Guide for Affiliate Centres - Centre for the Fourth Industrial Revolution Network - Ruta N
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Centre for the Fourth Industrial Revolution Network Guide for Affiliate Centres January 2019
World Economic Forum 91-93 route de la Capite CH-1223 Cologny/Geneva Switzerland Tel.: +41 (0)22 869 1212 Fax: +41 (0)22 786 2744 Email: contact@weforum.org www.weforum.org © 2018 World Economic Forum. All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, including photocopying and recording, or by any information storage and retrieval system.
Contents
Foreword 4 b) C4IR Network external communications policy 23
c) Publication guidelines 24
1. Introduction 5
a) What is the mission and purpose of the C4IR 5 8. Operational Recommendations 25
Network? a) C4IR Affiliate management and staffing 25
b) Why is the C4IR Network focused on 5 b) Monitoring and evaluation process for C4IR 27
governance frameworks? Affiliates
c) What are the current C4IR Network portfolios? 5
d) Why is the C4IR Network focused on piloting 6 9. World Economic Forum Guiding Principles 28
governance frameworks with governments? a) Ethos: Public-private cooperation 28
e) How does the C4IR Network co-develop and 6 b) Forum guiding principles 28
pilot governance frameworks? c) C4IR Network compliance guidelines 29
f) How will the C4IR Network optimize the 6 d) Sustainability guidelines 31
likelihood that policy frameworks are
implemented? APPENDIX I: 35
g) What are the criteria to join the C4IR Network as 7 Summary of C4IR Network portfolios
an Affiliate Centre?
APPENDIX II: 54
2. C4IR Methodology 8 Overview of Global 4IR Councils
a) Phase 1: Opportunity mapping 9
b) Phase 2: Framework development 9 APPENDIX III: 55
c) Phase 3: Prototype, test and iterate 11 C4IR Affiliate: Portfolio Project Proposal Form
3. C4IR Network Portfolios 12 APPENDIX IV: 56
a) Description of C4IR Network portfolios 12 C4IR Affiliate: Portfolio Proposal – Evaluation
b) Cross-cutting focus areas 14 Criteria
c) Core C4IR Affiliate portfolio commitments 15
d) C4IR Affiliate portfolio structures and approvals 15 APPENDIX V: 57
e) Joining C4IR portfolio communities 17 Sample Organizational Chart for C4IR Affiliates
f) Timeline for launching C4IR Affiliate portfolios 18
g) C4IR Affiliate carrying out non-forum-related 18
activities
4. C4IR Network and Affiliates 19
a) Structure for companies and organizations to 19
partner with C4IR Affiliates
b) Forum partner access to C4IR Affiliate portfolios 19
and communities
c) C4IR Affiliate access to the C4IR Network 20
5. C4IR Fellowships 21
a) C4IR Network Fellowship 21
b) C4IR Affiliate Fellowship 21
6. C4IR Affiliate Executive Committee 22
a) Role of the C4IR Network Advisory Board 22
b) Role of the C4IR Affiliate Executive Committee 22
c) Governance and Interaction 22
d) Public Affairs 22
e) Termination 22
7. Branding and Communications 23
a) Taxonomy 23
3
Foreword
The Fourth Industrial Revolution (4IR) is happening at a much faster speed
and scale than the preceding revolutions. While technologies such as artificial
intelligence, precision medicine, new materials, drones, advanced manufacturing
techniques (3D printing) and the internet of things offer new and innovative ways
to address some of the most critical challenges we face today and create new
opportunities, the regulatory frameworks in place either get in their way or are
not designed to take maximum advantage of the potential. When machines are
capable of developing insights from data, ethical design becomes critical. But
whose ethics? There is also the real possibility that the privileged few will take
advantage of these developments, while the gap that has been widening in past
decades will be amplified further, potentially reaching a point of no return, with
most members of society feeling left behind. This is not morally right, it is not
socially right, and it is not economically right.
Murat Sönmez, The World Economic Forum launched the Centre for the Fourth Industrial
Managing Director Revolution Network (C4IR Network) in March 2017 with the mission of ensuring
Head of the that the 4IR benefits not just the few but all of society. Borrowing from the
Centre for the software industry, our methodology is a human-centric approach that is agile
Fourth Industrial and based on rapid iteration. We co-design governance frameworks through
Revolution
continuous multistakeholder engagement and rapid piloting at the city, state and
Network
national levels.
World Economic
Forum
Governance does not necessarily mean government. While government
engagement is key, industry and other actors play a major role by accelerating
the design and adoption of solutions. Our community includes governments,
businesses, international organizations, civil society, academia and innovators.
Rather than looking at the past to predict the future – which is impossible given
the rapid pace of innovation – we project forward, and reverse engineer to design
the underlying governance protocols for accelerating the positive outcomes and
minimizing – ideally eliminating – the negative effects.
Following early successes from projects driven from our headquarters in San
Francisco, we rapidly moved to meet growing demands from governments and
industry to expand our activities by opening Centres in China, India and Japan,
representative of large economies with different demographics. We are now
developing our activities further and entering what will likely be a critical phase by
expanding the C4IR Network through Affiliate Centres, which will allow all of us
to accelerate the benefits of the 4IR exponentially. The C4IR Network is inclusive
and international yet informal in order to allow rapid iterations. At the same
time, our methodology and operating principles must be based on a common
framework that this Guide aims to formalize across the C4IR Network.
We welcome your active involvement and leadership in ensuring that we can
overcome some of the most pressing challenges we face today. The underlying
governance protocols enabling the 4IR must remain human-centred and seek
to harness the positive outcomes of emerging technologies for the benefit of
society as a whole. The Forum is committed to helping to improve the state of
the world and, now more than ever, we are excited to have you join this collective
mission for the greater good.
4
1. Introduction
The Fourth Industrial Revolution (4IR) is characterized by the At the same time, industry actors are increasingly recognizing
unprecedented advances in technology transforming the the need to take responsibility for the effects of the scientific
way individuals and groups across society live, work and and technological developments they are accelerating.
interact. New principles, protocols, rules and policies are Growing numbers of companies and investors are seeking
needed to accelerate the positive and inclusive effects of opportunities to collaborate with experts, civil society,
emerging technologies, while minimizing or eliminating their academia, governments and regulators to ensure effective,
negative consequences. balanced and co-developed responses to the scientific and
technological changes that the 4IR presents to society and
The institutions that have traditionally been responsible for the economy.
shaping the societal impacts of emerging technologies,
including governments, companies, academia and civil The demand is rising for a robust, credible and impartial
society organizations, are struggling to keep up with the platform for public-private collaboration on the 4IR. The C4IR
rapid change and exponential consequences. A faster, more Network aims to fill the emerging gap between these two
agile and collaborative approach to governing emerging trends, addressing clear demand signals from both the public
technologies as well as the business models and social and private sectors, and acting as a global accelerator.
structures that they enable are therefore urgently needed.
c) What are the current C4IR Network
a) What is the mission and purpose of the portfolios?
C4IR Network?
The nine global portfolios launched by the C4IR Network are:
The mission of the World Economic Forum Centre for the
Fourth Industrial Revolution Network (C4IR Network), with 1. Artificial Intelligence and Machine Learning
its headquarters in San Francisco and additional Centres in 2. Blockchain and Distributed Ledger Technology
China, India and Japan, is to accelerate the development 3. Internet of Things, Robotics and Smart Cities
and implementation of protocols for the governance of 4. Digital Trade
emerging science and technology to best serve citizens, 5. Autonomous and Urban Mobility
society and the public interest. 6. Drones and Tomorrow’s Airspace
7. Fourth Industrial Revolution for the Earth
Anticipating the need for collective action to harness the 8. Precision Medicine
rapid pace of change triggered by emerging technologies, 9. Data Policy
the Forum launched the C4IR Network comprised of Forum
and Partner-led Centres (C4IR Affiliates) across the world. Each C4IR portfolio is comprised of a number of projects
The C4IR Network will help governments, companies, tackling different governance challenges within the broader
academia and civil society to ensure our technologically portfolio theme. For example, the Artificial Intelligence and
enriched future is safe, ethical, inclusive and sustainable. Machine Learning portfolio is formed of five projects: (i)
unlocking public-sector AI; (ii) empowering AI leadership; (iii)
The primary focus of the C4IR Network is to work generation AI; (iv) reimagining the regulator; and (v) teaching
with governments, private-sector actors, international responsible AI.
organizations and civil society groups to co-design and pilot
practical policies for the agile governance of specific 4IR Each C4IR portfolio project has designated partners from the
scientific and technological advances. public and private sectors, civil society, academia and other
key stakeholders as collaborators to co-design governance
frameworks to address challenges identified under each
b) Why is the C4IR Network focused on issue. Communities of experts are formed for each project,
who are responsible for sharing insights and disseminating
governance frameworks? learnings. These communities together form the wider
C4IR portfolio community, where knowledge is generated
Governments, policy-makers and regulators around the
and shared among the various project communities. C4IR
world are struggling to keep up with the pace of scientific
portfolios are guided by relevant World Economic Forum
and technological change. Historically, the public sector has
Global Fourth Industrial Revolution Councils.
often been reactive to drivers of economic and social change,
waiting to act until the negative consequences are well
Appendix I: Summary of C4IR Network Portfolios (provides
understood. However, given the unprecedented speed, scale
an overview of each portfolio, including their projects,
and scope of the 4IR, governments are eager for insights and
updated on a quarterly basis)
tools that can enable them to proactively shape the trajectory
Appendix II: Overview of the Global 4IR Councils
of these trends.
5
d) Why is the C4IR Network focused on piloting In time, sets of tools targeted to different archetypes of
governance frameworks with governments? government partners will emerge from these pilots, through
a constant cycle of knowledge sharing, leading to the
The C4IR Network’s focus on pilot projects is part of the development of common principles across the C4IR Network.
Forum’s broader strategic emphasis on impact. To ensure The C4IR Network is therefore focused on applied research
the C4IR Network has an effect on, and helps to shape, to help shape the trajectory of 4IR scientific and technological
specific agendas, the C4IR’s portfolio teams located in San developments, and is using the resulting insights to co-design
Francisco have built their policy frameworks with a specific a new global operating system for the governance of the 4IR
focus on the “end user” governments that have partnered to drive real-world impact.
on their projects. Working hand-in-hand with these partner
governments (with the designated Fellow from the jurisdiction The C4IR Network takes a similar approach to working with
as a communication bridge) ensures the practical viability industry to co-design and pilot governance frameworks that
of pilot projects. The lessons learned from these pilots are can be scaled internationally by forward-leaning companies
then used to improve and iterate each policy so they can seeking to maximize societal benefits and mitigate the risks
be scaled and piloted elsewhere, thereby creating a global of emerging technologies.
network of continuous learning.
e) How does the C4IR Network co-develop and pilot governance frameworks?
C4IR portfolios involve a time-specific process in four phases:
Phase 1: Opportunity mapping Technology trajectory
Sample time frame: 3-6 months Positive/negative impacts, desired end states Government and industry case
studies
Landscape review, mapping existing efforts (meta-research)
Audit of government and industry needs
Identification of portfolio focus areas
Phase 2: Framework development Identification of key levers for government and industry
Sample time frame: 6 months Development of governance framework
Partner deep-dive – stakeholder and influence mapping for pilot portfolios
Digital protocol networks
Phase 3: Prototype, test and iterate Action plan for pilot portfolio monitoring and evaluation
Sample time frame: 9+ months Development of case studies
Iterative cycle with additional partners
Phase 4: Scaling and adoption Development of case studies detailing key insights from pilots
Dissemination of the policies and frameworks across the C4IR
Network and globally
Chapter 2 on the C4IR methodology explains the approach
for conducting each of these portfolio phases. The key issue
to note is a consistent structure and a rapid timeline geared
to move quickly to prototyping, testing and iterating. The
C4IR Network strives to balance the utility of a consistent
framework and the adaptation of this methodology and
timeline to each portfolio according to its specific needs and
context.
f) How will the C4IR Network optimize
the likelihood that policy frameworks are
implemented?
C4IR portfolios are designed for rapid implementation,
particularly through a consistent process of piloting
and rapid iterations of 18 months, and have a common
design principle that seeks to maximize the benefit and
minimize the harm of 4IR scientific and technological
developments to citizens and society. Of course, some
6
scientific and technological challenges are best addressed –– Serve as a platform for public engagement on key
by governments, while some are best addressed by societal issues posed by the 4IR
industry protocols or other actions driven by the private –– Contribute to the development of governance
sector. The C4IR Network adopts a “human-centred protocols on a global scale.
design” approach, determining on a case-by-case basis
who within a government or industry will be the users of To ensure a balanced distribution of Centres across the
the portfolio outputs (as often multiple people, agencies world, the C4IR Network will have locations in multiple
and branches of government and industry teams will wish jurisdictions across Africa, the Americas, Asia, Europe
to use the outputs), understanding the precise needs and the Middle East. Organizations eligible to join the
for these policy tools or frameworks, and aligning those C4IR Network as C4IR Affiliates include governmental
needs with maximum positive effects to citizens and offices, advisory commissions or related research
society. bodies, academic institutes or universities, and non-profit
organizations or business associations whose purpose is
advancing public-private cooperation on the governance
g) What are the criteria to join the C4IR and application of emerging technologies. A foundational
Network as an Affiliate Centre? requirement for launching a C4IR Affiliate is confirmation
that the host government will actively engage in the policy
The Forum has identified a select number of jurisdictions design and pilot activities of the C4IR Affiliate and permit
to deepen their engagement on public-private the piloting of these policies within its jurisdiction.
cooperation by establishing C4IR Affiliates focused on the
governance frameworks needed to mitigate the risks and Developing and piloting governance protocols and
maximize the opportunities of the 4IR for their countries policy frameworks focused on specific technologies, for
to join the C4IR Network. C4IR Affiliates are established, implementation by both government and industry in their
operated and managed locally rather than by the Forum. local jurisdiction, are critical for harnessing the benefits
They play a vital role in helping to: of emerging technologies to serve as a good for society.
These frameworks are intended to serve as templates
–– Shape the development of a national 4IR strategy for policy at the global, regional, national and subnational
through multistakeholder dialogue and cooperation levels.
–– Support its execution through public-private initiatives
–– Serve as a vehicle for multistakeholder input into
specific government policy proposals and initiatives
–– Organize research to inform decision-making in the
public and private sectors
7
2. C4IR Methodology
The C4IR Network’s methodology for creating impact Following this approach for every portfolio across the C4IR
involves building communities of interest, purpose and Network creates a platform that serves as a multidisciplinary
action across the public, private, academic and civil society portfolio “laboratory”. Stakeholders in the public and
sectors in order to identify key levers for impact and private sectors who are experiencing a range of contextual
trigger systemic change for positive effect in the 4IR. This challenges with the 4IR can engage with each other in
is manifested through a consistent portfolio design and communities of action on particular portfolios and learn
delivery methodology across the C4IR Network, involving from each other, forming wider communities of interest
close engagement between C4IR portfolio teams in San and purpose. In this way, the C4IR Network promotes the
Francisco and the Centres around the world. Leveraging development of both a unique multistakeholder portfolio
a common approach to engage public and private of projects, focused on identifying, designing and piloting
stakeholders at every stage includes: agile, public-private solutions to a range of 4IR challenges
and opportunities. This will also generate influential new
–– Mapping the areas and issues of interest in the public-private networks and communities across the world,
jurisdiction based on C4IR portfolio themes with experience in agile and flexible collaboration on policy-
–– Creating communities of interest by identifying the scope making for the 4IR.
of work for each C4IR Affiliate portfolio
–– Identifying challenges and potential opportunities within The C4IR portfolios and the aggregate development
each C4IR Affiliate portfolio of new multidisciplinary networks of stakeholders with
–– Ensuring the ideation of innovative policy tools, experience in applying themselves to 4IR policy challenges
governance frameworks or protocols to address key and opportunities therefore offer the potential for the C4IR
problems or capture latent opportunities, thereby Network to have a substantial impact across the world.
creating communities of purpose
–– Piloting and iterating these policies, frameworks and
protocols through partnerships in particular sectors or
jurisdictions, and disseminating the lessons learned to
broader constituencies across the C4IR Network, thus
creating communities of action.
8
a) Phase 1: Opportunity mapping
Every C4IR portfolio begins with an initial meta-research
phase, to define the parameters of the emerging science
and technology, and identifies challenges that are ripe
for focus. The C4IR portfolio teams adopt a systematic
approach to the ecosystem and then strategically focus on
specific governance issues where policy interventions can
help to address the challenges identified in the mapping
process.
Relevant questions for this research phase include:
–– What is the current state of the emerging science and
technology? What is the projected trajectory over the
next five years?
–– In what ways might this science and technology help or
hurt people (e.g. in their jobs, privacy, family)?
–– In what ways might this science and technology
have a positive or negative effect on society at large
(e.g. on the economy, trust, the rule of law, security,
international relationships, the environment)?
–– What societal challenges could this science and
technology be used to address?
–– What are the known unknowns?
–– What needs to happen to maximize benefits and
minimize harm?
This research phase also includes compiling case studies
on how governments and industries currently engage with
4IR developments in science and technology. Relevant potential list of challenges is identified, the portfolio teams
questions include: in the C4IR Affiliate will work with all the stakeholders
to identify the issues that are particularly acute in their
–– How are countries and industries engaging with context and that the government and industries are best
this emerging science and technology (regulating it, positioned to address (whether due to resources, political
promoting or using it, stymying it, etc.)? considerations, structural constraints or other factors).
–– What’s working; what’s not working? These considerations should be weighed against the
–– What current research, initiatives and associations are challenges that have international applicability and can
addressing a specific topic? lead to the development of frameworks that can be useful
–– How did they get it done (what was the step-by-step in other contexts. The goal is to maximize the likelihood
policy-making process)? that C4IR Affiliate portfolios will be piloted in the host
–– Does legislative text already exist? jurisdiction and then scaled globally.
–– What international law is already on the books; are
there analogous issues (e.g. GMOs, gene editing) or
previous regulation attempts? b) Phase 2: Framework development
This research phase includes an in-depth landscape The development of policy frameworks is driven by the C4IR
review to map what work has been or is currently being Affiliate’s portfolio team, with guidance and direction from the
performed to develop policy frameworks for the project C4IR portfolio heads based in San Francisco.
within each portfolio, to ensure that the C4IR Network
does not launch portfolios that duplicate other efforts. Once the focus areas have been finalized (balancing pilot
The outcome of this phase is a list of specific governance potential and broader applicability), each C4IR Affiliate
challenges within the selected C4IR portfolio area, a portfolio team must consider all the levers government and
good idea of what the ideal end state/resolution of industries have to shape the trajectory of the emerging
these challenges would look like, and which can best be trend in science and technology and orientate it towards the
achieved through new policy frameworks by the C4IR desired end states. While regulation is among the strongest
Affiliate. and most common lever that governments use to impact
scientific and technological developments, the C4IR Affiliate
Driven by the Forum’s human-centred design approach, must also look at the broader toolkit that the government and
each team in the C4IR Affiliate portfolio will comprise industries can use in innovative ways. Examples include:
a community of partner government, companies, civil
society, academia and other stakeholders who are key –– Regulations
participants throughout this initial process. Once the –– Standards and protocols
9
–– Reference architectures resources insufficient to address these roadblocks?
–– Corporate policy frameworks –– What needs to be done at the local vs national vs
–– Legislation international level?
–– Domestic and international laws –– Which competing values must be balanced (privacy vs
–– Funding/incentives/grants security; hands on vs hands off; individual vs society;
–– Taxes/tariffs economic vs social; fast vs slow; low budget vs high
–– Pilots with government services/buildings/resources budget; lead vs follow; bold vs cautious; regulatory vs
–– Contracting/procurement guidelines libertarian)?
–– Public engagement/convening –– Which trade-offs might need to be made?
–– Competitions/challenges –– What do policy-makers need to answer these questions
–– Public-private partnerships (examples from other jurisdictions in the C4IR Network
–– Aligned public-private commitments or outside; views from industry in the local jurisdiction
–– Hiring/tours of duty and wider region; principles; best practices; access to
–– Citizen science experts; community of practice)?
–– Leadership/board toolkits –– Which parts of government and industry need to be
–– Opt-in certification involved; which agencies; which branches?
–– Labelling requirements
The format of the policy frameworks should differ based
C4IR portfolios do not prescribe specific vehicles for on the needs of the partner government and industries.
implementation but offer diverse options and innovative Examples include:
approaches that governments can use to drive impact.
–– A government audit tool
This phase involves “deep dives” with the C4IR Affiliate’s –– Which parts of government are already working on
partner government and industries, including meeting the this?
relevant stakeholders at key gatherings in the jurisdiction. –– How do they interact with each other?
Important issues to research include: –– Which parts have access to which levers?
–– A policy-making dashboard or canvas
–– What key decisions must policy-makers make about –– What decisions need to be made?
this trend in science and technology? –– What is the spectrum of options for each decision?
–– What key questions must they answer? –– A policy-making toolkit
–– What is standing in the way of the government –– What levers/tools are available for each decision?
and industries engaging with these scientific and –– An online catalogue of case studies.
technological developments? Why are other efforts or
10While governments and industry are the primary “end users” industry, academia and civil society in order to test different
for policy frameworks developed by the C4IR Network, the hypotheses regarding the impact of particular policy tools
C4IR Network engages a broad spectrum of stakeholders in and governance frameworks in varied political/economic/
designing outputs to ensure that the frameworks benefit all regional contexts. C4IR Affiliates will facilitate knowledge
aspects of society, help predict unexpected pitfalls, secure sharing from pilot projects across the C4IR Network and
far-reaching support and buy-in, and maximize the likelihood create a “community of practice” so members of the C4IR
of success. Key stakeholders include: Network can learn from each other’s experiences in real
time.
–– Private sector
–– Entrepreneurs Leading academic institutions, international organizations
–– Civil society and other research centres and organizations that join the
–– Academia C4IR Network as partners or as hosts of C4IR Affiliates
–– International organizations can serve as test beds. Together these partnerships serve
–– Multilateral and regional bodies as a force multiplier for the C4IR Network’s portfolios and
–– Other countries (bilateral). draw on the unique connections that universities and other
civil society organizations may have with local and national
The C4IR Network also aims to use crowdsourcing governments and industries. In addition, they have a unique
platforms and other tools for participatory policy understanding of local dynamics and relevant expertise.
development to generate innovative and unconventional
solutions. Within three years, each C4IR Affiliate will have catalysed
and facilitated a continuous cycle of prototyping- testing-
iterating, with each pilot creating new learnings that can
c) Phase 3: Prototype, test and iterate hone policy frameworks and frame them for new rounds
of testing with additional partners or in other regions. As
If the human-centred design approach is followed through the frameworks gain increased fidelity and credibility from
the first two phases, the emerging policy framework should multiple rounds of testing, they will become increasingly
be designed to enable a swift transition to pilot projects attractive, inducing other governments and industry
with minimal friction. Pilot projects are focused; rather partners to pilot and adopt them, and helping to reach the
than creating an all-encompassing policy framework, the objective of forming a new global operating system for the
C4IR portfolio teams should be able to identify the key governance of emerging technologies.
hypotheses about the ability of governments and industry
to shape the trajectory of scientific and technological
developments as well as the right tools to enable them, and
create prototypes to test these assumptions. Prototype
policies should be tested in weeks and months rather than
years, and the learnings from these pilots should enable
rapid iteration of the policy.
Each pilot is driven by an action plan, which lays out the
various stages of the portfolio, including the detailed steps
needed for execution within the specific context of the
partner government or relevant industry. Early buy-in from
senior government leadership is necessary for success.
Specific timelines are established at the outset, as is the
assignment of responsibility of specific tasks. While C4IR
portfolio teams provide design guidance, the work is
implemented by the C4IR Affiliate’s portfolio teams.
The C4IR Affiliate will be expected to create a robust plan to
regularly monitor and evaluate the pilots (both on substance
and process) in line with C4IR Network templates to capture
key lessons and iterate the policy tools and governance
frameworks as necessary. C4IR Affiliates must ensure that
partner governments commit to a reasonable amount of
engagement and transparency throughout the pilot process
and that their experience serves as a case study that will be
available across the C4IR Network and for potentially public
release. Capturing these case studies is crucial to the C4IR
Network’s mission, and should be part of the project design
from the beginning.
Each C4IR Affiliate should run pilots simultaneously across
its various portfolios with multiple partners from government,
113. C4IR Network Portfolios
a) Description of C4IR Network portfolios boards to identify specific benefits of AI for their
companies and ways to design, develop and deploy it
C4IR portfolios fit into three intersecting and complementary responsibly
categories: –– Generation AI – standards for protecting children:
Actionable guidelines to help address privacy, bias,
–– Portfolios on 4IR drivers: These portfolios take a accountability and security concerns arising from data
holistic, “vertical” view of a particular 4IR technology or collected from children without their knowledge
scientific driver of transformation, exploring the range –– Reimagining the regulator: The co-design of new
of social and economic implications it poses to multiple regulatory models that enable governments to
sectors of society and the economy, and developing proactively work with companies to ensure safety up
policy and governance frameworks to help policy-makers front and not after the fact, without stifling the many
shape the agenda accordingly. societally beneficial uses of AI
–– Teaching responsible AI: An ethics curriculum for
Examples include Artificial Intelligence and Machine university-level AI students so they understand the social
Learning; Internet of Things, Robotics and Smart Cities; impact of the technology.
Autonomous and Urban Mobility; Drones and Tomorrow’s
Airspace; and Blockchain and Distributed Ledger 2. Blockchain and Distributed Ledger Technology
Technology. Blockchain has the potential to upend entire systems,
but it also faces challenges such as security threats,
–– Portfolios on 4IR and societal challenges: These the centralization of power, the lack of interoperability
portfolios take a “horizontal” perspective of a specific and overhype. A systemic and inclusive approach is
global challenge, exploring how diverse 4IR scientific and needed to ensure everyone can benefit from blockchain’s
technological developments can be leveraged individually transformative potential. Current projects include:
or in concert to help governments and regional or
international organizations develop innovative solutions –– Redesigning trust: Blockchain for supply chains
and public-private partnership approaches at scale. –– Central banks in the age of blockchain: New global
approaches to privacy, consensus and risk
Examples include Data Policy; Fourth Industrial Revolution –– Distributed transparency: Balancing anonymity and
for the Earth; Digital Trade; and Precision Medicine. accountability on the blockchain
–– The token economy: New models for control over data.
–– Cross-cutting areas of focus: These themes are the
foundation of the C4IR Network’s work and ensure that 3. Internet of Things, Robotics and Smart Cities
consistent threads run through all C4IR portfolios. They There are more connected devices in the world today than
look at underlying structural issues across the economy humans. By 2020, they are projected to exceed 20 billion.
and society involving 4IR scientific and technological As Internet of Things (IoT) technologies continue to spread
developments, and ensure that all portfolios work to the across all aspects of day-to-day life, and even become
benefit of the individual and society. embedded in the human body, questions regarding data
ownership, cybersecurity, accuracy and privacy protection
Examples include ethics and values, and agile governance. take on newfound urgency and importance. Current projects
include:
C4IR portfolios include the following nine areas (with their
respective projects): –– Market incentives for secure industrial IoT: New policy
frameworks and incentive mechanisms that address
1. Artificial Intelligence and Machine Learning liability concerns and elevate the security of critical
Artificial Intelligence and Machine Learning (AI and ML) infrastructure
promise to solve some of the most pressing issues facing –– Trusted blueprints to accelerate IoT impact: Proven
society but also present challenges, such as inscrutable implementation models that enable IoT solutions to be
“black box” algorithms, the unethical use of data and deployed better, faster and more responsibly
potential job displacement. This portfolio aims to help design –– Data frameworks for the cities of tomorrow: Guidelines,
and test policy frameworks that accelerate the benefits of AI policy frameworks and standard operating procedures that
and ML for society. Current projects include: facilitate greater interoperability and financial sustainability
of IoT solutions tackling major urban challenges
–– Unlocking public-sector AI: Standards for effective –– Labelling standards for consumer IoT devices:
and responsible design, procurement and deployment of Alignment of the private sector, governments and civil
AI by government to vastly improve operations and the society around a common approach to inform, educate
provision of services and build trust among consumers on topics such as
–– Empowering AI leadership: A toolkit for corporate privacy and security
12–– Overcoming barriers to widespread 5G deployment: –– International autonomous vehicle (AV) safety
Streamlined regulatory processes and new business regulation: Vehicle safety regulators from China,
models that ease access and adoption of high-speed Germany, Japan, Sweden, the United States and other
wireless technologies. key “AV leading” nations jointly developing a framework
for determining “how safe is safe enough?”
4. Digital Trade –– Autonomous multimodal mobility: The development of
Outdated regulations, fragmented governance and strict a platform for identifying synergies and sharing lessons
localization policies are creating increasing barriers for learned among the various modes of autonomous
digital trade. This portfolio is addressing these barriers so mobility – from trucking to shipping to rail to aerial
economic and social benefits are realized. Current projects mobility.
include:
6. Drones and Tomorrow’s Airspace
–– Paying without money: Accelerating the digital Unmanned aircraft systems are democratizing the skies and
payment transformation: A suite of innovative policy are already used to increase crop yields, make dangerous
and regulatory best practices that accelerate the societal jobs safe and act as a literal lifeline for remote populations.
benefits of cross-border digital payments, with a focus Autonomous systems can potentially revolutionize how
on mobile payments goods and people are transported, relieving gridlock and
–– Reshaping the narrative of cross-border data flows: stresses on existing infrastructure. Current projects include:
The drafting of global norms and “soft” guidelines that
enable innovative business models across boundaries –– New paradigms for drone regulation: The co-design
while protecting privacy and individual rights and piloting of new performance-based policies that
–– TradeTech: Protocols and principles to apply emerging take into consideration the rapid pace of technological
technologies to revolutionizing international trade development in the drone industry and enable new use
processes, such as using blockchain to streamline trade cases for data collection, delivery and the transportation
financing. of people
–– Drones in the cloud: The development of industry
5. Autonomous and Urban Mobility best practices to ensure the cloud-based storage of
Autonomous vehicles have the potential to improve road drone derived data is secure and respects privacy, while
safety, decrease pollution, reduce congestion and transform maintaining safety for operators
the design of cities. However, transitioning to autonomous –– Citizen services with drones: The design of
vehicles involves a disruptive shift that is bound to reshape interoperable and scalable frameworks to enable
public and private transportation systems, leaving many governments’ more effective use of drones
players behind if they fail to keep pace with emerging –– Urban aerial mobility challenge: A partnership
technologies. Current projects include: with governments, industry and civil society to co-
design ways to integrate aerial mobility into broader
–– New Mobility Coalition: A forward-looking community transportation networks.
of business and NGO leaders developing policy
recommendations to guide cities towards autonomous, 7. Fourth Industrial Revolution for the Earth
clean and shared mobility systems 4IR technologies offer new tools that can enable better
13stewardship of the earth. This is particularly urgent given the use cases undermines the ability of most consumers to
interdependence of human well-being and the environment provide meaningful consent
– for food, energy and natural resource security – and –– Chief Data Officers community: A gathering of data
the need to tackle urgent global challenges such as leaders across industries to better understand the data
climate change. This portfolio aims to help build and test policy issues of tomorrow that can be solved today.
multistakeholder governance frameworks to realize the
societal benefits of technology for the environment, while
mitigating the risks. Current projects include: b) Cross-cutting focus areas
–– Scaling renewable energy with blockchain: A process Given the societal impact of the 4IR, each C4IR
to streamline the way in which renewable energy portfolio should include the following key principles and
certificates are verified and tracked, via co-designing and considerations.
piloting blockchain-enabled protocols
–– Ocean innovations for ending overfishing: The –– Ethics and values
development of tech and market solutions to support Ethics and values are practical, accessible and essential.
greater sustainability in the management of fisheries and Technologies embody ethical frameworks and the values
traceability in global seafood supply chains, including of the societies that create them. As they continue to
norms for accessing and integrating diverse data inform the administrative foundation of governments,
sources for monitoring the use of ocean resources shape societies and affect the health and well-being
–– Environmental data from 4IR tech: Norms and best of individuals, understanding the relationship between
practices for sharing and analysing new forms of earth technologies and values becomes ever more vital. The
observation and other environmental data available in purpose of this project is to enable leaders to bring
larger volumes and generated by new stakeholders. practical skills for working with values and ethics into
their organizations and to imprint a broader, more
8. Precision Medicine constructive view of technological development that
The intersection of emerging technologies and new sources of gives people the agency to shape the future.
data is enabling a more personalized approach to health and
healthcare – from screening to diagnostics, treatment and cure The ethics and values focus area functions in a cross-
– which can improve outcomes and potentially lower costs. cutting format with all the C4IR portfolios that address
This portfolio aims to help build and test policy frameworks technology policy, e.g. data, drones, AI/ML, blockchain,
and governance protocols to realize the benefits of precision precision medicine, IoT and autonomous vehicles. Each
medicine for society, while reducing the risks. Current projects of the C4IR’s portfolios takes time to consider and work
include: through the ethical issues that are tied to its technologies
and its drive for effective governance. Collaborating with
–– Breaking barriers to health data: The building and C4IR portfolios that keep approaches to technologies
testing of a new approach to sharing siloed health data, tied to people, communities and societies provides
focusing on genomic information for precision medicine space to encourage multistakeholder dialogue and keep
across four countries the C4IR Network’s work on the 4IR human-centred.
–– Leapfrogging with precision medicine: The This work represents one of the critical themes that will
development and acceleration of a precision medicine affect how the interplay of societies, businesses and
approach that works in low resource environments, with technologies shape our future in the 4IR.
the first case study on diagnostics capacity.
–– Agile governance
9. Data Policy The 4IR is characterized by rapid, simultaneous and
As data are increasingly generated and collected globally, systemic transformations driven by the unprecedented
businesses require clearer and more practical data policies, consequences of the pace, scale and scope of
while policy-makers need better tools to develop future- emerging technologies. In addition, the combined global
oriented and agile frameworks for data regulation that allow challenges of climate change, demographic trends and
innovation, but protect individual privacy. This portfolio declining trust in institutions are challenging established
focuses on maximizing the humanitarian and beneficial uses governance models and mindsets. New principles,
of data while seeking to develop practical solutions using a protocols, rules and policies are needed to accelerate
multistakeholder approach to policy-making. Current projects the positive and inclusive effects of innovation and
include: technologies, while minimizing or eliminating the negative
consequences and risks. A faster, more agile approach
–– National Data Policy Toolkit: A resource for policy- to governing emerging technologies and the business
makers to better evaluate the trade-offs of different data models and social interaction structures they enable is
policy regulatory models with technology urgently needed.
–– General Data Protection Regulation and the
Fourth Industrial Revolution: A rulebook to help Agile governance, defined as adaptive, human-
resolve ambiguity arising from new regulation that may centred, inclusive and sustainable policy-making,
undermine key applications of IoT, AI and blockchain acknowledges that policy development is no longer
–– Reimagining consent: New models that focus on limited to governments but instead is an increasingly
accountability as the complexity of data collection and multistakeholder effort. The vision for the agile
14governance focus area is to become the leading to these two portfolios, C4IR Affiliates may participate in
knowledge platform for agile governance practices and the communities of 2-3 other C4IR projects to receive and
to provide practical guidance for policy-makers as well contribute to the knowledge generated by those portfolio
as private and civil society stakeholders engaged in communities without committing to designing policies and
reimagining policy-making to implement agile governance piloting the outputs from those portfolios.
principles and practices.
(i) Create new projects
c) Core C4IR Affiliate portfolio commitments Guiding principles
Each C4IR Affiliate commits to undertake policy and protocol C4IR Affiliates can launch a new project in one C4IR portfolio
development work ideally in at least two portfolio areas area following consultation with and approval from the relevant
covered by the C4IR Network and will coordinate the scope of C4IR portfolio head. They must conform to the following
these portfolios with the corresponding C4IR portfolio heads guiding principles:
in San Francisco. This will increase opportunities for policy
development synergy and experience sharing across the 1. Social benefit: The primary objective for this new project
C4IR Network. The C4IR portfolio heads will provide steering should be to accelerate the benefits of the 4IR for society
through guidance frameworks and orientation calls with (whether local, regional or global) and/or to mitigate
C4IR Affiliates to align the direction of activities in the relevant negative societal impacts.
portfolio area. C4IR Affiliates can collaborate with C4IR
portfolios in three primary ways: 2. Policy/governance: The focus must be on a foundational
policy or governance issue shaping the trajectory of a
1. Launch new projects aligned with C4IR portfolios particular technology (rather than just the deployment of a
2. Serve as an anchor partner for global C4IR portfolio technology).
projects
3. Join C4IR portfolio and project communities to learn from 3. Multistakeholder: The new project must encourage and be
and contribute to ongoing experiments. relevant not just to one but to several diverse sectors and
groups (i.e. the private sector, civil society, academia, etc.).
In all three approaches, C4IR Affiliates are encouraged to
place agile prototyping, testing and iteration at the heart of the 4. Inclusivity: All C4IR Network partners (including
portfolio design methodology to facilitate continuous learning governments, the private sector, civil society and
and adapt to global shifts in technology development and academia) must be allowed to participate in the new
usage. They will also have the opportunity to recommend project.
government and industry leaders from their host jurisdiction
to participate in the relevant Global 4IR Councils (described 5. Pilot-driven: The new project must have aspects that can
below) to capture their diverse global perspectives on 4IR be tested on the ground in short time frames, in line with
technologies. the C4IR Network’s prototype-test-iterate approach.
C4IR Affiliates will help shape the ongoing work of the C4IR 6. Scalable: The new project must be relevant in other
and other institutions across the C4IR Network by sharing their jurisdictions and geographies, with a clear pathway
local learnings with the C4IR Network. C4IR Affiliates must towards scaling its adoption internationally, thereby
send an official from the C4IR Affiliate or host government as a seeking to achieve a common standard.
full-time Fellow, on secondment, to the C4IR in San Francisco
to facilitate coordination with the C4IR portfolio teams, oversee 7. C4IR alignment: The new project must be aligned with
all C4IR Affiliate projects and ensure the C4IR Affiliate is well the global C4IR portfolio for the particular technology,
integrated and engaged in the various C4IR portfolios and comprised of distinct projects that tackle a diverse
communities. Fellows will have access to the Forum’s training spectrum of key governance areas.
and learning programmes in addition to opportunities to
participate in C4IR workshops and portfolio-related activities. The Forum cannot support activities undertaken by C4IR
Affiliates that do not align with C4IR portfolios. Thus any
projects launched outside the nine C4IR portfolio areas
cannot be listed as being collaborations with the Forum unless
d) C4IR Affiliate portfolio structures and approved by C4IR leadership.
approvals
Appendix III: C4IR Affiliate: Portfolio Project Proposal Forum
C4IR Affiliates should have a range of portfolios that includes (outlines the guiding questions, work plan and timeline
collaboration on both C4IR Affiliate-led and global C4IR information required for submission to C4IR portfolio heads)
projects. This will enable C4IR Affiliates to appropriately
calibrate their involvement in C4IR portfolio activities. C4IR Appendix IV: C4IR Affiliate: Portfolio Proposal – Evaluation
Affiliates are encouraged to launch a minimum of two Criteria (lists the evaluation metrics used to assess the
portfolios: (i) scoping and leading a new project within a portfolio proposals submitted by governments launching C4IR
C4IR portfolio; and (ii) serving as an anchor partner for a Affiliates).
global project identified by C4IR portfolio heads. In addition
15Scoping sequence 3. Once projects are approved by the relevant C4IR
portfolio heads, C4IR Affiliates must complete a work
Each prospective C4IR Affiliate must submit a proposal plan and timeline for each portfolio (using the form
outlining the new C4IR project they wish to launch at provided in Appendix III) and designate a project lead
the C4IR Affiliate. Guidance is provided to C4IR Affiliates from the C4IR Affiliate to manage it.
through this Guide and through engagement with the
Forum’s C4IR Government Affairs Team. Appendices 4. Once the C4IR portfolio heads approve the work
III and IV include information for submitting project plan and timeline, the project can become an official
proposals, including an outline work plan and evaluation collaboration with the Forum.
criteria. However, the following key steps will be
undertaken: 5. Regular communication between the C4IR Affiliate
and C4IR portfolio teams will be managed by the C4IR
1. Once received, project proposals will be reviewed by Affiliate Fellow and through quarterly project calls.
relevant C4IR portfolio heads based on the evaluation
criteria, and assessed for complementarity across the 6. The process will be reviewed regularly to ensure that
C4IR Network’s portfolio activities. the project remains aligned with the C4IR portfolio.
Any projects determined to deviate from the approved
2. A scoping call will be held between the C4IR work plan by C4IR portfolio heads may be decoupled
Affiliate, relevant C4IR portfolio heads and the C4IR from the C4IR portfolio and cannot be designated as
Government Affairs Team to ensure alignment on the collaborations with the Forum.
vision and structure of the proposed projects.
Figure 1: Key steps and timeline for launching a new project at the C4IR Affiliate
NEW PROJECT
WEEK 2 WEEK 3 WEEK 4 - 5 WEEK 6
BEFORE YOU BEGIN
Submit proposal Scoping calls Project plans are refined. Once Onboarding
The project scope should meet the using template between C4IR approved by C4IR portfolio head, call between
Guiding Principles:
provided. portfolio heads, they will agree on timeline and C4IR portfolio
Social Benefit C4IR Affiliate proposed deliverables. A project team and C4IR
and host lead will be identified from the Affiliate project
Policy/Governance Focus
government C4IR Affiliate to lead project lead to kick off
Multistakeholder
WEEK 2
focal point to activities for the C4IR. the project.
Inclusivity
align on vision Regular calls
C4IR portfolio
and structure will take place
Pilot-Driven heads review
for proposed at agreed
proposals using
Scalable projects. intervals.
evaluation crite-
C41R Portfolio Alignment ria.
WEEK 0 1 2 3 4 5 6
Timeframes are illustrative and may differ based on project scope and the capacity of the relevant portfolio team.
(ii) Anchor global projects a good fit to serve as an anchor partner for the selected
existing projects and that there is a good spread of topics
C4IR Affiliates are encouraged to anchor 1-2 C4IR projects covered by C4IR Affiliates in that region. The following key
as one of the core government partners for that project steps will be undertaken:
and commit to co-designing and piloting related policies
in their jurisdictions. C4IR portfolio leads from the relevant 1. The C4IR Affiliate will receive all the documentation on
portfolio areas will work directly with the C4IR Affiliate to C4IR portfolios and specific material on the project, as
integrate key stakeholders into the project and support well as initial recommendations for projects that could be
piloting policies generated by the C4IR Affiliate in its local particularly relevant for the specific jurisdiction.
jurisdiction.
2. The C4IR Affiliate will work with the C4IR Government
Scoping sequence Affairs Team to address any questions about specific
projects, share initial ideas on C4IR portfolio projects that
Once a C4IR Affiliate submits a proposal to anchor an are of interest and identify synergies with activities being
existing C4IR project, it will be reviewed by relevant C4IR carried out by other Centres in the C4IR Network.
portfolio heads to ensure that the C4IR Affiliate would be
163. Once a C4IR Affiliate chooses a preferred project, the 5. A call with the C4IR portfolio team will be held with
C4IR Affiliate will submit a short proposal based on the the C4IR Affiliate to kick off the project and provide
form provided in Appendix III to outline the rationale and orientation to the C4IR Affiliate portfolio lead who will
suitability to serve as an anchor partner. manage the co-design and piloting of the project.
4. The proposal will be evaluated by relevant C4IR portfolio
teams; once a project has been approved by the relevant
C4IR portfolio team, it can be launched by a C4IR
Affiliate.
Figure 2: Key steps and timeline for anchoring a C4IR projects at the C4IR Affiliate
ANCHOR A PROJECT WEEK 2 WEEK 3 WEEK 4
C4IR Affilate C4IR Affiliate com- Onboarding call
recieves all existing pletes project proposal between C4IR portfolio
BEFORE YOU BEGIN documentation for template explaining heads and C4IR
The project scope should match C4IR Affiliateʼs priorities the selected project. rationale and suitability Affiliate project lead to
and meet the Guiding Principles: to anchor a project. kick off the project.
Regular calls will take
Social Benefit
place at agreed
WEEK 2
Policy/Governance Focus intervals.
C4IR Affiliate and
Multistakeholder WEEK 3
Forumʼs Government
Proposal evaluated by
Inclusivity Affairs team discuss
C4IR portfolio team.
scope of activities and
Pilot-Driven Once approved,
align on suitability of
Scalable project is officially
project for host
launched by the C4IR
C41R Portfolio Alignment governmentʼs goals.
Affiliate.
WEEK 0 1 2 3 4
Timeframes are illustrative and may differ based on project scope and the capacity of the relevant portfolio team.
e) Joining C4IR portfolio communities technical leaders committed to shaping the governance
and application of 4IR technologies in the global public
In addition to launching two portfolios, C4IR Affiliates interest.
are encouraged to join C4IR portfolio communities to
learn from and contribute to the insights being generated The Councils:
by other C4IR portfolios. This will maximize the C4IR
Affiliate’s exposure to C4IR Network know-how. C4IR –– Provide a platform for leading policy-makers,
Affiliates are encouraged to join at least 2-3 C4IR practitioners and experts from around the world to
portfolios' project communities by appointing an official share information and insights gained from innovative
from the C4IR Affiliate or the host government to serve in policy and governance experiments
the relevant C4IR portfolio communities. Participants will
be able to join all conference calls, webinars and in- –– Identify governance gaps in public policy or the
person workshops, as well as provide input on draft private sector that would benefit from the Centre’s
policies and protocols. multistakeholder approach to developing policy
frameworks and governance protocols
Global 4IR Councils
–– Provide strategic guidance and feedback on protocols
A select number of senior leaders from Partner and frameworks designed at the Centre
companies, governments and organizations are invited
to join the C4IR Network’s Global 4IR Councils related to –– Serve as early adopters and ambassadors in testing,
their respective portfolios. refining, improving and scaling new enhancements to 4IR
tools, policies and protocols.
Global Councils are the foremost international
communities of government, corporate, civil society and
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