Pillar 9: Compliance and Legal Considerations Maturity Assessment

This maturity assessment tool is designed to help educational institutions evaluate their current state of AI governance in terms of compliance and legal considerations. The assessment covers the key components of Pillar 9 of the SAGE-AI Framework.

Who Should Participate?

This assessment should be completed by a cross-functional team including:

  • Senior leadership (e.g., President, Provost, CIO)
  • Legal counsel
  • Compliance officers
  • AI/IT leadership
  • Data privacy officers
  • Procurement officers
  • Faculty representatives involved in AI research
  • Student affairs representatives

How to Use This Assessment

Read each question carefully and select the answer that best describes your institution's current state. Be honest in your responses to get an accurate picture of your institution's maturity level. After completing the assessment, use the scoring guide to calculate your overall maturity level for Pillar 9. If you are completing multiple pillar assessments, transfer your score into the master score sheet.

Assessment Questions

  1. Do you have an AI Compliance Oversight Committee in place? (No, Partially Implemented, Fully Implemented)
  2. Have you developed an AI Legal Risk Assessment Framework? (No, Partially Implemented, Fully Implemented)
  3. Is there an AI-Specific Policy Development Process? (No, Partially Implemented, Fully Implemented)
  4. Have you established an AI Intellectual Property Management Policy? (No, Partially Implemented, Fully Implemented)
  5. Is there an AI Transparency and Accountability Standards protocol? (No, Partially Implemented, Fully Implemented)
  6. Have you implemented an AI Regulatory Monitoring System? (No, Partially Implemented, Fully Implemented)
  7. Is there a policy for AI Contract and Vendor Management? (No, Partially Implemented, Fully Implemented)
  8. Have you aligned AI use with accreditation standards? (No, Partially Implemented, Fully Implemented)

Scoring

For each question:

  • No = 0 points
  • Partially Implemented = 1 point
  • Fully Implemented = 2 points

Interpretation of Results

Based on your total score, your institution's maturity level can be categorized as follows:

  • Nascent Stage (0-4 points): Your institution is in the very early stages of addressing compliance and legal considerations for AI use. There may be some awareness of legal requirements, but formal structures and policies are largely absent. Focus on establishing an AI Compliance Oversight Committee and developing an initial legal risk assessment framework.
  • Emerging Stage (5-9 points): Your institution has begun to address compliance and legal considerations for AI, but the approach is still developing. Some key components like policy development or intellectual property management may be in place but not fully developed or consistently applied across the institution. Work on formalizing processes, expanding compliance efforts, and developing more comprehensive strategies for legal governance in AI use.
  • Established Stage (10-13 points): Your institution has a clear and consistent approach to compliance and legal considerations for AI. Most key components are in place and functioning effectively. Focus on refining these processes, ensuring they're fully integrated across all AI initiatives, and adapting them to address emerging legal challenges and opportunities in AI governance.
  • Transformative Stage (14-16 points): Your institution is at the forefront of compliance and legal governance for AI in education. Legal considerations are fully embedded in AI decision-making processes, driving responsible and transparent AI innovation. Continue to refine and evolve your approach, potentially serving as a model for other institutions. Focus on pushing the boundaries of AI legal governance and contributing to the broader discourse on AI ethics and compliance in education.

Next Steps

Based on your assessment results:

  • Identify the areas where your institution scored lowest and prioritize these for improvement.
  • Develop action plans to address gaps in your AI compliance and legal governance practices.
  • Set goals to progress to the next maturity stage, focusing on the key components that will help you advance.
  • Regularly reassess your maturity level to track progress and identify new areas for improvement.
  • Share best practices and lessons learned within your institution to foster a culture of strong legal governance in AI initiatives.
  • Consider assessing other pillars of the SAGE-AI Framework to get a comprehensive view of your institution's AI governance maturity.
  • For institutions at the Transformative stage, explore opportunities to contribute to the broader education community's understanding of effective compliance and legal governance for AI.
Maturity Assessments