Preview – Microsoft Responsible AI Standard v2 – Introduction
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Microsoft
Responsible AI
Impact Assessment
Template
FOR EXTERNAL RELEASE
June 2022
The Responsible AI Impact Assessment Template is
the product of a multi-year effort at Microsoft to
define a process for assessing the impact an AI
system may have on people, organizations, and
society. We are releasing our Impact Assessment
Template externally to share what we have learned,
invite feedback from others, and contribute to the
discussion about building better norms and
practices around AI.
We invite your feedback on our approach:
https://aka.ms/ResponsibleAIQuestions
Microsoft Responsible AI Impact Assessment Template
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Responsible AI Impact Assessment for [System Name]
For questions about specific sections within the Impact Assessment, please refer to the Impact Assessment Guide.
Section 1: System Information
System profile
1.1 Complete the system information below.
System name
Team name
Track revision history below.
Authors
Last updated
Identify the individuals who will review your Impact Assessment when it is completed.
Reviewers
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System lifecycle stage
1.2 Indicate the dates of planned releases for the system.
Date
Lifecycle stage
Planning & analysis
Design
Development
Testing
Implementation & deployment
Maintenance
Retired
System description
1.3 Briefly explain, in plain language, what you’re building. This will give reviewers the necessary context to understand
the system and the environment in which it operates.
System description
If you have links to any supplementary information on the system such as demonstrations, functional specifications,
slide decks, or system architecture diagrams, please include links below.
Description of supplementary information
Link
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System purpose
1.4 Briefly describe the purpose of the system and system features, focusing on how the system will address the needs
of the people who use it. Explain how the AI technology contributes to achieving these objectives.
System purpose
System features
1.5 Focusing on the whole system, briefly describe the system features or high-level feature areas that already exist and
those planned for the upcoming release.
Existing system features
System features planned for the upcoming release
Briefly describe how this system relates to other systems or products. For example, describe if the system includes
models from other systems.
Relation to other systems/products
Geographic areas and languages
1.6 Describe the geographic areas where the system will or might be deployed to identify special considerations for
language, laws, and culture.
The system is currently deployed to:
In the upcoming release, the system will be deployed to:
In the future, the system might be deployed to:
For natural language processing systems, describe supported languages:
The system currently supports:
In the upcoming release, the system will support:
In the future, the system might support:
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Deployment mode
1.7 Document each way that this system might be deployed.
How is the system currently deployed?
Will the deployment mode change in the upcoming release?
If so, how?
Intended uses
1.8 Intended uses are the uses of the system your team is designing and testing for. An intended use is a description of
who will use the system, for what task or purpose, and where they are when using the system. They are not the same as
system features, as any number of features could be part of an intended use. Fill in the table with a description of the
system’s intended use(s).
Name of intended use(s)
Description of intended use(s)
1.
2.
3.
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Section 2: Intended uses
Intended use #1: [Name of intended use] – repeat for each intended use
Copy and paste the Intended Use #1 section and repeat questions 2.1 – 2.8 for each intended use you identified
above.
Assessment of fitness for purpose
2.1 Assess how the system’s use will solve the problem posed by each intended use, recognizing that there may be
multiple valid ways in which to solve the problem.
Assessment of fitness for purpose
Stakeholders, potential benefits, and potential harms
2.2 Identify the system’s stakeholders for this intended use. Then, for each stakeholder, document the potential benefits
and potential harms. For more information, including prompts, see the Impact Assessment Guide.
Stakeholders
Potential system benefits
Potential system harms
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
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Stakeholders for Goal-driven requirements from the Responsible AI Standard
2.3 Certain Goals in the Responsible AI Standard require you to identify specific types of stakeholders. You may have
included them in the stakeholder table above. For the Goals below that apply to the system, identify the specific
stakeholder(s) for this intended use. If a Goal does not apply to the system, enter “N/A” in the table.
Goal A5: Human oversight and control
This Goal applies to all AI systems. Complete the table below.
Who is responsible for troubleshooting, managing,
operating, overseeing, and controlling the system during
and after deployment?
For these stakeholders, identify their oversight and
control responsibilities.
Goal T1: System intelligibility for decision making
This Goal applies to AI systems when the intended use of the generated outputs is to inform decision making by or
about people. If this Goal applies to the system, complete the table below.
Who will use the outputs of the system to make
decisions?
Who will decisions be made about?
Goal T2: Communication to stakeholders
This Goal applies to all AI systems. Complete the table below.
Who will make decisions about whether to employ the
system for particular tasks?
Who develops or deploys systems that integrate with
this system?
Goal T3: Disclosure of AI interaction
This Goal applies to AI systems that impersonate interactions with humans, unless it is obvious from the circumstances
or context of use that an AI system is in use, and AI systems that generate or manipulate image, audio, or video content
that could falsely appear to be authentic. If this Goal applies to the system, complete the table below.
Who will use or be exposed to the system?
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Fairness considerations
2.4 For each Fairness Goal that applies to the system, 1) identify the relevant stakeholder(s) (e.g., system user, person
impacted by the system); 2) identify any demographic groups, including marginalized groups, that may require fairness
considerations; and 3) prioritize these groups for fairness consideration and explain how the fairness consideration
applies. If the Fairness Goal does not apply to the system, enter “N/A” in the first column.
Goal F1: Quality of service
This Goal applies to AI systems when system users or people impacted by the system with different demographic
characteristics might experience differences in quality of service that can be remedied by building the system
differently. If this Goal applies to the system, complete the table below describing the appropriate stakeholders for this
intended use.
Which stakeholder(s)
will be affected?
For affected stakeholder(s) which
demographic groups are you prioritizing for
this Goal?
Explain how each demographic group
might be affected.
Goal F2: Allocation of resources and opportunities
This Goal applies to AI systems that generate outputs that directly affect the allocation of resources or opportunities
relating to finance, education, employment, healthcare, housing, insurance, or social welfare. If this Goal applies to the
system, complete the table below describing the appropriate stakeholders for this intended use.
Which stakeholder(s)
will be affected?
For affected stakeholder(s) which
demographic groups are you prioritizing for
this Goal?
Explain how each demographic group
might be affected.
Goal F3: Minimization of stereotyping, demeaning, and erasing outputs
This Goal applies to AI systems when system outputs include descriptions, depictions, or other representations of people,
cultures, or society. If this Goal applies to the system, complete the table below describing the appropriate stakeholders
for this intended use.
Which stakeholder(s)
will be affected?
For affected stakeholder(s) which
demographic groups are you prioritizing for
this Goal?
Explain how each demographic group
might be affected.
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Technology readiness assessment
2.5 Indicate with an “X” the description that best represents the system regarding this intended use.
Select one
Technology Readiness
The system includes AI supported by basic research and has not yet
been deployed to production systems at scale for similar uses.
The system includes AI supported by evidence demonstrating feasibility for uses similar to
this intended use in production systems.
This is the first time that one or more system component(s) are to be validated in
relevant environment(s) for the intended use. Operational conditions that can be
supported have not yet been completely defined and evaluated.
This is the first time the whole system will be validated in relevant environment(s) for
the intended use. Operational conditions that can be supported will also
be validated. Alternatively, nearly similar systems or nearly similar methods have been
applied by other organizations with defined success.
The whole system has been deployed for all intended uses, and operational conditions
have been qualified through testing and uses in production.
Task complexity
2.6 Indicate with an “X” the description that best represents the system regarding this intended use.
Select One
Task Complexity
Simple tasks, such as classification based on few features into a few categories with clear
boundaries. For such decisions, humans could easily agree on the correct answer, and identify
mistakes made by the system. For example, a natural language processing system that checks
spelling in documents.
Moderately complex tasks, such as classification into a few categories that are subjective. Typically,
ground truth is defined by most evaluators arriving at the same answer. For example, a natural
language processing system that autocompletes a word or phrase as the user is typing.
Complex tasks, such as models based on many features, not easily interpretable by humans,
resulting in highly variable predictions without clear boundaries between decision criteria. For such
decisions, humans would have a difficult time agreeing on the best answer, and there may be no
clearly incorrect answer. For example, a natural language processing system that generates prose
based on user input prompts.
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Role of humans
2.7 Indicate with an “X” the description that best represents the system regarding this intended use.
Select One
Role of humans
People will be responsible for troubleshooting triggered by system alerts but will not
otherwise oversee system operation. For example, an AI system that generates keywords
from unstructured text alerts the operator of errors, such as improper format of submission
files.
The system will support effective hand-off to people but will be designed to automate
most use. For example, an AI system that generates keywords from unstructured text that can
be configured by system admins to alert the operator when keyword generation falls below a
certain confidence threshold.
The system will require effective hand-off to people but will be designed to automate
most use. For example, an AI system that generates keywords from unstructured text alerts
the operator when keyword generation falls below a certain confidence threshold (regardless
of system admin configuration).
People will evaluate system outputs and can intervene before any action is taken: the
system will proceed unless the reviewer intervenes. For example, an AI system that generates
keywords from unstructured text will deliver the generated keywords for operator review but
will finalize the results unless the operator intervenes.
People will make decisions based on output provided by the system: the system will not
proceed unless a person approves. For example, an AI system that generates keywords from
unstructured text but does not finalize the results without review and approval from the
operator.
Deployment environment complexity
2.8 Indicate with an “X” the description that best represents the system regarding this intended use.
Select One
Deployment environment complexity
Simple environment, such as when the deployment environment is static, possible input
options are limited, and there are few unexpected situations that the system must deal with
gracefully. For example, a natural language processing system used in a controlled research
environment.
Moderately complex environment, such as when the deployment environment varies,
unexpected situations the system must deal with gracefully may occur, but when they do,
there is little risk to people, and it is clear how to effectively mitigate issues. For example, a
natural language processing system used in a corporate workplace where language is
professional and communication norms change slowly.
Complex environment, such as when the deployment environment is dynamic, the system
will be deployed in an open and unpredictable environment or may be subject to drifts in
input distributions over time. There are many possible types of inputs, and inputs may
significantly vary in quality. Time and attention may be at a premium in making decisions and
it can be difficult to mitigate issues. For example, a natural language processing system used
on a social media platform where language and communication norms change rapidly.
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Section 3: Adverse impact
Restricted Uses
3.1 If any uses of the system are subject to a legal or internal policy restriction, list them here, and follow the
requirements for those uses.
Restricted Uses
Unsupported uses
3.2 Uses for which the system was not designed or evaluated or that should be avoided.
Unsupported uses
Known limitations
3.3 Describe the known limitations of the system. This could include scenarios where the system will not perform well,
environmental factors to consider, or other operating factors to be aware of.
Known limitations
Potential impact of failure on stakeholders
3.4 Define predictable failures, including false positive and false negative results for the system as a whole and how
they would impact stakeholders for each intended use.
Potential impact of failure on stakeholders
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Potential impact of misuse on stakeholders
3.5 Define system misuse, whether intentional or unintentional, and how misuse could negatively impact each
stakeholder. Identify and document whether the consequences of misuse differ for marginalized groups. When serious
impacts of misuse are identified, note them in the summary of impact as a potential harm.
Potential impact of misuse on stakeholders
Sensitive Uses
3.6 Consider whether the use or misuse of the system could meet any of the Microsoft Sensitive Use triggers below.
Yes or No
Sensitive Use triggers
Consequential impact on legal position or life opportunities
The use or misuse of the AI system could affect an individual’s: legal status, legal rights, access
to credit, education, employment, healthcare, housing, insurance, and social welfare benefits, services,
or opportunities, or the terms on which they are provided.
Risk of physical or psychological injury
The use or misuse of the AI system could result in significant physical or psychological injury to an
individual.
Threat to human rights
The use or misuse of the AI system could restrict, infringe upon, or undermine the ability to realize an
individual’s human rights. Because human rights are interdependent and interrelated, AI can affect
nearly every internationally recognized human right.
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Section 4: Data Requirements
Data requirements
4.1 Define and document data requirements with respect to the system’s intended uses, stakeholders, and the
geographic areas where the system will be deployed.
Data requirements
Existing data sets
4.2 If you plan to use existing data sets to train the system, assess the quantity and suitability of available data sets
that will be needed by the system in relation to the data requirements defined above. If you do not plan to use pre-
defined data sets, enter “N/A” in the response area.
Existing data sets
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Section 5: Summary of Impact
Potential harms and preliminary mitigations
5.1 Gather the potential harms you identified earlier in the Impact Assessment in this table (check the stakeholder
table, fairness considerations, adverse impact section, and any other place where you may have described potential
harms). Use the mitigations prompts in the Impact Assessment Guide to understand if the Responsible AI Standard can
mitigate some of the harms you identified. Discuss the harms that remain unmitigated with your team and potential
reviewers.
Describe the potential harm
Corresponding Goal from the
Responsible AI Standard
(if applicable)
Describe your initial ideas for mitigations or
explain how you might implement the
corresponding Goal in the design of the system
Goal Applicability
5.2 To assess which Goals apply to this system, use the tables below. When a Goal applies to only specific types of AI
systems, indicate if the Goal applies to the system being evaluated in this Impact Assessment by indicating “Yes” or
“No.” If you indicate that a Goal does not apply to the system, explain why in the response area. If a Goal applies to the
system, you must complete the requirements associated with that Goal while developing the system.
Accountability Goals
Goals
Does this Goal apply to the system? (Yes or No)
A1: Impact assessment
Applies to: All AI systems.
A2: Oversight of significant adverse impacts
Applies to: All AI systems.
A3: Fit for purpose
Applies to: All AI systems.
A4: Data governance and management
Applies to: All AI systems.
A5: Human oversight and control
Applies to: All AI systems.
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Transparency Goals
Goals
Does this Goal apply to the system? (Yes or No)
T1: System intelligibility for decision making
Applies to: AI systems when the intended use of the generated
outputs is to inform decision making by or about people.
T2: Communication to stakeholders
Applies to: All AI systems.
T3: Disclosure of AI interaction
Applies to: AI systems that impersonate interactions with
humans, unless it is obvious from the circumstances or context
of use that an AI system is in use, and AI systems that generate
or manipulate image, audio, or video content that could falsely
appear to be authentic.
If you selected “No” for any of the Transparency Goals, explain why the Goal does not apply to the system.
Fairness Goals
Goals
Does this Goal apply to the system? (Yes or No)
F1: Quality of service
Applies to: AI systems when system users or people impacted by
the system with different demographic characteristics might
experience differences in quality of service that can be
remedied by building the system differently.
F2: Allocation of resources and opportunities
Applies to: AI systems that generate outputs that directly affect
the allocation of resources or opportunities relating to finance,
education, employment, healthcare, housing, insurance, or
social welfare.
F3: Minimization of stereotyping, demeaning, and erasing
outputs
Applies to: AI systems when system outputs include
descriptions, depictions, or other representations of people,
cultures, or society.
If you selected “No” for any of the Fairness Goals, explain why the Goal does not apply to the system below.
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Reliability & Safety Goals
Goals
Does this Goal apply to the system? (Yes or No)
RS1: Reliability and safety guidance
Applies to: All AI systems.
RS2: Failures and remediations
Applies to: All AI systems.
RS3: Ongoing monitoring, feedback, and evaluation
Applies to: All AI systems.
Privacy & Security Goals
Goals
Does this Goal apply to the system? (Yes or No)
PS1: Privacy Standard compliance
Applies when the Microsoft Privacy Standard applies.
PS2: Security Policy compliance
Applies when the Microsoft Security Policy applies.
Inclusiveness Goal
Goals
Does this Goal apply to the system? (Yes or No)
I1: Accessibility Standards compliance
Applies when the Microsoft Accessibility Standards apply.
Signing off on the Impact Assessment
5.3 Before you continue with next steps, complete the appropriate reviews and sign off on the Impact Assessment. At
minimum, the PM should verify that the Impact Assessment is complete. In this case, ensure you complete the
appropriate reviews and secure all approvals as required by your organization before beginning development.
Reviewer role and
name
I can confirm that the document benefitted from
collaborative work and different expertise within the
team (e.g., engineers, designers, data scientists, etc.)
Date
reviewed
Comments
Update and review the Impact Assessment at least annually, when new intended uses are added, and before advancing
to a new release stage. The Impact Assessment will remain a key reference document as you work toward compliance
with the remaining Goals of the Responsible AI Standard.
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