Pillar 4: Risk Management and Security Maturity Assessment

This maturity assessment tool is designed to help educational institutions evaluate their current state of AI governance in terms of risk management and security practices. The assessment covers the key components of Pillar 4 of the SAGE-AI Framework.

Who Should Participate?

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

  • Senior leadership (e.g., CIO, CISO)
  • Risk management officers
  • IT security professionals
  • AI/IT leadership
  • Representatives from academic affairs and student services
  • Legal counsel
  • Business continuity planners

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 4. If you are completing multiple pillar assessments, transfer your score into the master score sheet.

Assessment Questions

  1. Do you have an AI Risk Assessment Framework? (No, Partially Implemented, Fully Implemented)
  2. Have you developed an AI-Aware Security Strategy? (No, Partially Implemented, Fully Implemented)
  3. Is there an Incident Response and Recovery Plan specific to AI-related incidents? (No, Partially Implemented, Fully Implemented)
  4. Have you implemented an AI System Monitoring and Auditing Protocol? (No, Partially Implemented, Fully Implemented)
  5. Is there a Third-Party AI Vendor Management Process in place? (No, Partially Implemented, Fully Implemented)
  6. Have you established an AI Security Awareness Training Program? (No, Partially Implemented, Fully Implemented)
  7. Is there an AI System Vulnerability Management process? (No, Partially Implemented, Fully Implemented)
  8. Have you developed a Business Continuity and Disaster Recovery Plan for AI-dependent operations? (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 risk management and security for AI systems. There may be some basic security measures in place, but a comprehensive approach to AI-specific risks is largely absent. Focus on developing a basic AI risk assessment framework and security strategy.
  • Emerging Stage (5-9 points): Your institution has begun to address risk management and security for AI systems, but the approach is still developing. Some key components like incident response or vendor management may be in place but not fully developed or consistently applied to AI initiatives. Work on formalizing processes, implementing more robust security measures, and developing comprehensive policies for AI risk management.
  • Established Stage (10-13 points): Your institution has a clear and consistent approach to risk management and security for AI systems. 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 security challenges in AI.
  • Transformative Stage (14-16 points): Your institution is at the forefront of risk management and security practices for AI in education. Security considerations are fully integrated into AI decision-making processes and are driving responsible innovation. Continue to refine and evolve your approach, potentially serving as a model for other institutions. Focus on addressing complex AI security challenges and contributing to the broader discourse on AI risk management 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 risk management and security 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 security awareness 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 risk management and security in AI systems.
Maturity Assessments