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What is policy prototyping?

Policy Prototyping is the art of testing and experimenting with policy ideas to ultimately provide evidence-based input that can improve existing governance frameworks and/or inform lawmaking processes.

Open Loop follows four main steps when rolling out its programs.

STEP ONE

Problem Analysis

This step allows to draw up the theory of change identifying the following elements

  • phase of the policy process;
  • goal that the regulator aims to achieve (e.g. enabling innovation, improving users’ rights, reducing complexity and compliance costs)
  • the requirements within the proposal that look unclear, technically unfeasible and costly

STEP TWO

Program Initiation.

In this phase, a multi-stakeholder consortium of partners and observers is built. The ideal composition of the consortium is the following:

  • policymakers (e.g. regulatory authorities, international organizations, national governments): they vet outcomes and provide strategic governance guidance;
  • academics (e.g. think tanks, scholars, universities): they provide the subject matter expertise throughout the program;
  • civil society organizations (e.g. non profit organizations, consumers associations, civil rights associations): they provide perspective of end-users, consumers and citizens impacted by technology;
  • industry (e.g. AI startups, small businesses, business associations): they are onboarded to test the prototype on their real-world applications and share their user experience.

STEP THREE

Prototype Design.

In this phase, the consortium partners co-create the policy prototype based on the policy instrument (e.g. a legislative proposal, governance framework or industry guideline) and drafts the following documents:

  • Playbook: guiding document that provides hands-on details on how to understand and comply with prototype law (with examples, taxonomies, additional resources);
  • Test framework: operational document that allows to assess whether and how the policy prototype achieves the goals set out for the programme.

STEP FOUR

Execution and Testing.

In this phase, participants (namely future norm addresses, who will be subjected to the policy/law) test the playbook and prototype against the following axes:

  • clarity and level of understanding of the prototype for the participants
  • effectiveness of the prototypes in meeting the formulated goals
  • costs of complying with and enforcing the prototypes
  • impact of the policy is on different stakeholders
  • any potential unintended consequences

Methods of testing are listed in Appendix.

STEP FIVE

Evaluate and Report. 

In this phase, results of the testing are incorporated into a report and complemented by policy recommendations. This phase will contribute to improve next drafts of the AI RMF.

How can we make experimentation the norm when building policy in emerging tech?

Open Loop and Demos Helsinki reflect on past experimental governance initiatives, assess the ones being currently used, and imagine what a holistic, inclusive experimental governance framework for the regulation of emerging technologies could look like.

Together, we set out to explore what a more holistic approach to experimental governance in emerging technologies can look like. By learning from past and present experimental policy making initiatives and methodologies, we will also explore how such a framework can foster openness and trust.

Open Loop is a global strategic program that connects policymakers and technology companies to develop evidence-based governance frameworks based on policy experimentation.

Demos Helsinki is an independent think tank focused on governance innovation, and participatory and experimentalist policy-making.

What we aim to achieve

The goal is to extrapolate actionable insights about the future of experimentalist policymaking for technology, and what roles and activities of different actors in it could look like. By drawing on key insights from past experimental legislation and policy initiatives, public sector innovation and policy design; and by studying the current landscape of regulatory sandboxes and policy prototyping activities in the field of emerging technologies, our aim is to co-design a novel and holistic framework for experimental governance that bridges the gap and strengthens both policy and technology design.

The past, present and future of experimental governance in technology – a 3-part event series

We want to create a platform for joint reflection and open conversation about the past experiences, present applications and future use of policy and legal experimentation in the governance of emerging technologies.

GET INVOLVED

Do you have innovative ideas on how to govern emerging technologies?
Do you want to co-develop and test new policy ideas?

We want to hear from you!

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