数字平台监管指南：保护言论自由和信息获取的多方利益相关者方法

1Draft2.01Contents TheobjectiveoftheGuidelines 4oftheGuidelines Approachtoregulation 6ironment tatesdutiestorespectprotectandfulfilhumanrights Theresponsibilitiesofdigitalplatformstorespecthumanrights 9Theroleofintergovernmentalorganizations 9Theroleofcivilsocietyandotherstakeholders 9tem Constitution 11 oftheregulatorysystem ofdigitalplatforms iplePlatformsrespecthumanrightsincontentmoderationandcuration 14curationpoliciesandpractices ntmoderation seofautomatedsystemsforcontentmoderationandcuration Principle2.Platformsaretransparent 16ltransparency Dataaccessforresearchpurposes 181TheoriginalversionofthisdocumentisinEnglish.TheFrenchandSpanishversionswillfollow.2iplePlatformsempowerusers tionliteracy Languageandaccessibility 20Childrensrights 0rinciplePlatformsareaccountabletorelevantstakeholders seofautomatedtools landredress PrinciplePlatformsconducthumanrightsduediligence htssafeguardsandriskassessments onclusion Appendix 26rces esonterminology Introduction1.InNovember1945,UNESCOwascreatedwiththemissionof“contributingtopeaceandsecuritybypromotingcollaborationamongnationsthrougheducation,scienceandcultureinordertofurtheruniversalrespectforjustice,fortheruleoflawandforthehumanrightsandfundamentalfreedomswhichareaffirmedforthepeoplesoftheworld.”2UNESCO’sglobalmandate,whichhouse,astandard-setter,acatalystandmotorforinternationalcooperation,andacapacity-builder.ThishistoryhasshapedourmandatewithintheUnitedNationssystemtoprotectandpromotefreedomofexpression,accesstoinformation,andsafetyofjournalists.2.Buildinguponrelevantprinciples,conventions,anddeclarationsoverthepastNESCOSecretariatisnowdevelopingthroughmultistakeholderconsultationsandaglobaldialogueGuidelinesforregulatingdigitalplatforms:amultistakeholderapproachtosafeguardingfreedomofexpressionandaccesstoinformation(theGuidelines).2ConstitutionoftheUnitedNationsEducational,ScientificandCulturalOrganization,Article1./en/legal-affairs/constitution#article-i---purposes-and-functions33.ThisendeavouralsobuildsuponUNESCO’sworkinthedomainofbroadcastonoverseveraldecadesandfurtherstheOrganizationsMediumTermStrategyfor29(41C/4).34.In2015,UNESCO’sGeneralConferenceendorsedtheROAMprinciples,4whichhighlighttheimportanceofhumanrights,openness,accessibility,andtheinternet.TheseprinciplesrecognizethefundamentalneedtoensurethattheonlinespacecontinuestodevelopandbeusedinwaysthatareconducivetoachievingtheSustainableDevelopmentGoals.5.UNESCO’s41stGeneralConferenceendorsedtheprinciplesoftheWindhoek+30Declaration5inNovember2021,followingamultistakeholderprocessthatbeganattheglobalcelebrationofWorldPressFreedomDayinTheDeclarationrecognizedinformationasapublicgoodandsetthreegoalstoguaranteethatsharedresourceforthewholeofhumanity:thetransparencyofdigitalplatforms,citizensempoweredthroughmediaandinformationliteracy,andmediaviability.Inspeakingaboutinformationasapublicgood,UNESCOrecognizesthatthisuniversalentitlementisbothameansandanendforthefulfilmentofcollectivehumanaspirations,includingmationempowerscitizenstoexercisetheirfundamentalrights,supportsgenderequality,andallowsformentleavingnoonebehind.accesstoinformationcomplementtheOrganization’sworkintheareasofeducation,thesciences,andculture.ThisincludesUNESCO’sRecommendationontheEthicsofArtificialIntelligence,6the2005ConventionontheProtectionandPromotionoftheDiversityofCulturalExpressions,7andtheMONDIACULTDeclarationof2022.8keholderandconsultedduringtheInternetforTrustGlobalConference,tobeheldatUNESCOHeadquartersinParisfrom21to23February2023.Subsequently,3StrategicObjective3istobuildinclusive,just,andpeacefulsocieties,includingbypromotingfreedomofexpression.StrategicObjective4istofosteratechnologicalenvironmentintheserviceofhumankindthroughthedevelopmentanddisseminationofknowledgeandskillsandethicalstandards./ark:/48223/pf00003780834/en/internet-universality-indicators5/ark:/48223/pf00003781586/ark:/48223/pf00003804557/creativity/convention8/sites/default/files/medias/fichiers/2022/10/6.MONDIACULT_EN_DRAFT%20FINAL%20DECLARATION_FINAL_1.pdf4areviseddraftoftheGuidelineswillbecirculatedforfurtherconsultationswithllowingtheConferenceTheobjectiveoftheGuidelineslopmentandimplementationofregulatoryprocessesthatguaranteefreedomofexpressionandaccesstoinformationwhiledealingwithcontentthatisillegal9andcontentthatriskssignificantharmtodemocracyandtheenjoymentofhumanrights.10TheycallforStatestoapplyregulationinamannerconsistentwithinternationalhumanrightsstandardsandArticle19oftheInternationalCovenantonCivilandPoliticalRights(ICCPR).119.TheGuidelinesmayserveasaresourceforarangeofstakeholders:forpolicymakersinidentifyingobjectives,principles,andprocessesthatcouldbeconsideredinpolicymaking;forregulatorybodiesdealingwiththeandforotherstakeholders,suchascivilsociety,intheiradvocacyandaccountabilityefforts.10.TheGuidelineswillinformregulatoryprocessesunderdevelopmentorreviewfordigitalplatforms,inamannerthatisconsistentwithinternationalhumanrightsstandards.Suchregulatoryprocessesshouldbeledthroughanopen,transparent,multistakeholder,andevidence-basedmanner.todisseminatecontenttothewiderpublic,includingsocialmedianetworks,messagingapps,searchengines,appstores,andcontent-sharingplatforms.Bodiesintheregulatorysystemshoulddefinewhichdigitalplatformservicesareinscope,andalsoidentifytheplatformsbychaswhethertheyarefor-profitornon-profit,andiftheyarecentrallyiftheyarefederatedordistributedplatforms.TheGuidelineswill:a.Enrichandsupportaglobalmultistakeholdersharedspacetodebateandsharegoodpracticesaboutdigitalplatformregulationto9Anycontentwhich,initselforinrelationtoanactivity,isillegalinaccordingtointernationalhumanrightslawandcorrespondingjurisprudence.10DemocracyasperUNHumanRightsCouncilresolution19/36:http://daccess-/access.nsf/Get?Open&DS=A/HRC/RES/19/36&Lang=E.AsstatedintheAppendix,thedefinitionofthiscontentshouldbefullyalignedwithexistingprovisionsininternationalhumanrightslaw.11/en/instruments-mechanisms/instruments/international-covenant-civil-and-political-rights5protectfreedomofexpressionandaccesstoinformation,whiledealingwithcontentthatisillegalunderinternationalhumanrightslawandcontentthatriskssignificantharmtodemocracyandtheenjoymentofhumanrights,gatheringdifferentvisionsandabroadspectrumofperspectives.b.Serveasatoolforallrelevantstakeholderstoadvocateforhumanaccountable.c.Addtoexistingevidence-basedpolicyapproachesthatrespecthumanrights,ensuringalignmentwherepossible.12.TheGuidelineswillcontributetoongoingUN-wideprocesses,suchastheimplementationoftheproposalsin“OurCommonAgenda,”includingthedevelopmentoftheGlobalDigitalCompact,thepreparationoftheUNSummitoftheFuturetobeheldinSeptember2024,andthecreationofaCodeofConductthatpromotesintegrityinpublicinformation.TheGuidelineswillalsofeedintodiscussionsabouttheupcoming20-yearreviewoftheWorldSummitontheInformationSociety(WSIS)andtheInternetGovernanceForum(IGF)in2025.reoftheGuidelines13.TheGuidelinesstartbysettingouttheoverallapproachtoregulation.Theycontinuebyoutliningtheresponsibilitiesofdifferentstakeholdersinfosteringanenvironmentforfreedomofexpression,accesstoinformation,andothermanrightsThisincludesa.States’dutiestorespect,protect,andfulfilhumanrights.b.Theresponsibilitiesofdigitalplatformstorespecthumanrights.c.Theroleofintergovernmentalorganizations.lsocietymediaacademiathetechnicalcommunityandotherstakeholdersinthepromotionofhumanrights.14.ThentheGuidelinesproposesomepreconditionsthatshouldbeconsideredintheestablishmentofanindependentregulatorysystem,regardingitsconstitution,powers,andexternalreview.15.Finally,itdescribestheareaswheredigitalplatformsshouldhavestructuresandprocessesinplacetofulfiltheobjectiveoftheregulation.616.Itisimportanttounderscorethatthisdocumentshouldbeconsideredinitsovisionsontheirownwillnotbesufficienttoachievetheregulatorygoals.Approachtoregulation17.Thegoalofanyregulationofdigitalplatformsthatintendstodealwithillegalofhumanrightsshouldincludeguaranteeingfreedomofexpression,therightablishedinlawandbedrawnupafteranopen,transparent,multistakeholder,andevidence-basedprocess.18.Regulationshouldfocusmainlyonthesystemsandprocessesusedbyplatforms,ratherthanexpectingtheregulatorysystemtojudgetheappropriatenessorlegalityofsinglepiecesofcontent.Anyspecificdecisionsaboutthelegalityofspecificpiecesofcontentshouldfollowdueprocessandbeopentoreviewbyajudicialbody,followingthethree-parttestonlegitimaterestrictionstofreedomofexpressionaslaidoutintheICCPR,12andwhererelevant,thesix-pointthresholdfordefiningcriminalhatredthatincitestodiscrimination,hostility,orviolenceoutlinedintheRabatPlanofAction.1319.Withinregulation,digitalplatformsareexpectedtobetransparentabouttheandhowthosesystemsandprocessesfulfilthegoalofregulation.Iftheestablishedgoalisnotbeingfulfilled,theregulatorysystemshouldhavethepowertorequirethedigitalplatformtotakefurtheraction,asdescribedinparagraph46(f).Theregulatorwillexpectdigitalplatformstoadheretointernationalhumanrightsstandardsinthewaytheyoperateandtobeabletodemonstratehowtheyareimplementingthesestandardsandotherpoliciescontainedintheirtermsofservice.20.Alongsidetheregulationofdigitalplatforms,itisessentialthatkeymediaandinformationliteracyskillsforusersarepromoted,includingbytheplatformsthemselves.Thisenablesuserstoengagecriticallywithcontentandtechnologies,navigatearapidlyevolvingmediaandinformationlandscapemarkedbythedigitaltransformation,andbuildresilienceinthefaceofrelatedchallenges.21.ThecurrentapproachtakenbytheseGuidelinesisoneofco-regulation,implyingthattheState,ontheonehand,providesalegalframeworkthat12SeetheUNESCOexplanatoryvideo,“TheLegitimateLimitstoFreedomofExpression:theThree-PartTest,”at/watch?v=Wg8fVtHPDag.13SeetheUNESCOexplanatoryvideo,“TheRabatPlanofActionontheProhibitionofIncitementtoHatred,”at/watch?v=ADrB32OSe3A&t=8s.7enablesthecreation,operationalization,andenforcementofrules,andself-governingbodies,ontheotherhand,createrulesandadministerthem,sometimesthroughjointstructuresormechanisms.Thisshouldbedoneincivilsocietyorganizations,journalists,researchers,andotherrelevantinstitutionsinasystemofchecksandbalances.Enablingenvironment22.Toaccomplishthegoalofregulation,allstakeholdersinvolvedhavearoleinsustaininganenablingenvironmentforfreedomofexpressionandtherighttothatriskssignificantharmtodemocracyandtheenjoymentofhumanrights.23.Creatingasafeandsecureinternetenvironmentforuserswhileprotectingfreedomofexpressionandaccesstoinformationisnotsimplyanengineeringquestion.Itisalsoaresponsibilityforsocietiesasawholeandthereforerequireswhole-of-societysolutions.Statesdutiestorespectprotectandfulfilhumanrights24.Stateshaveaparticulardutytopromoteandguaranteefreedomofexpressionandtherighttoaccessinformation,andtorefrainfromcensoringlegitimatecontent.25.Akeyelementofanenablingenvironmentisthepositiveobligationtopromoteuniversalandmeaningfulaccesstotheinternet.In2011,intheJointtiononFreedomofExpressionandtheInternetthespecialinternationalmandatesonfreedomofexpressionindicated:“GivingeffecttotherighttofreedomofexpressionimposesanobligationonStatestopromoteuniversalaccesstotheInternet.”1426.Moreover,itisaresponsibilityoftheStatetobetransparentandaccountableabouttherequirementstheyplaceupondigitalplatforms.27.Specifically,Statesshould:aRespecttherequirementsofArticle19(3)oftheICCPR:anyrestrictionsaimandbenecessaryandproportionalensuringthatusersrightstofreedomofexpression,accesstoinformation,equalityandnon-discrimination,autonomy,dignity,reputation,privacy,association,andpublicparticipationareprotected.14Adopted1June2011,para.6(a),/wp-content/uploads/2010/07/11.06.Joint-Declaration.Internet.pdf.8b.Provideaneffectiveremedyforbreachesoftheserights.c.Ensurethatanyrestrictionsimposeduponplatformsconsistentlyfollowthehighthresholdsetfordefininglegitimaterestrictionsonfreedomofexpression,onthebasisoftheapplicationofArticles19and20oftheICCPR.d.Beopen,clear,andspecificaboutthetype,number,andlegalbasisofotakedownremoveandblockArticle19oftheICCPR.e.Refrainfromdisproportionatemeasures,particularlypriorcensorshipiseofcombattingdisinformationoranyotherreasoninconsistentwiththeICCPR.f.Refrainfromimposingageneralmonitoringobligationorageneralobligationfordigitalplatformstotakeproactivemeasurestorelationtoillegalcontent.Digitalplatformsshouldnotbeheldliablewhentheyactingoodfaithandwithduediligence,carryoutvoluntaryinvestigations,ortakeothermeasuresaimedatdetecting,identifying,andremovingordisablingaccesstoillegalcontent.g.Refrainfromsubjectingstaffofdigitalplatformstocriminalpenaltiesforanallegedorpotentialbreachofregulationsinrelationtotheirworkoncontentmoderationandcuration,asthismayhaveachillingeffectonfreedomofexpression.nformationliteracyincludingindigitalspacesasacomplementaryapproachtoregulationwiththeaimofempoweringusers.Thisshoulddrawupontheexpertiseofmediaandinformationliteracyexperts,academics,civilsocietyorganizations,andaccesstoinformationinstitutions.i.Ensurethattheregulatorysystemwithresponsibilitiesinthisareaisstructuredasindependentandhasexternalreviewsystemsinplacephssuchaslegislativescrutinyrequirementstobetransparentandconsultwithmultiplestakeholders,andtheproductionofannualreportsandregularaudits.9Theresponsibilitiesofdigitalplatformstorespecthumanrights28.Digitalplatformsshouldcomplywithfivekeyprinciples:a.PlatformsrespecthumanrightsincontentmoderationandcurationTheyhavecontentmoderationandcurationpoliciesandesconsistentwithhumanrightsstandardsimplementedalgorithmicallyandthroughhumanmeanswithadequateprotectionandsupportforhumanmoderators.b.Platformsaretransparent,beingopenabouthowtheyoperate,withaboutthetoolssystemsandprocessesusedtomoderateandcuratecontentontheirplatformsincludinginregardtoautomatedprocesses.c.Platformsempoweruserstounderstandandmakeinformeddecisionsaboutthedigitalservicestheyuse,includinghelpingthemtod.Platformsareaccountabletorelevantstakeholders,tousers,thepublicandtheregulatorysysteminimplementingtheirtermsofservicententpoliciesincludinggivingusersrightsofredressagainstcontent-relateddecisions.e.Platformsconducthumanrightsduediligence,evaluatingtherisksandimpactonhumanrightsoftheirpoliciesandpractices.29.Tofollowtheseprinciples,therearespecificareasonwhichdigitalplatformshavearesponsibilitytoreporttooractbeforetheregulatorysystem.Theseeroleofintergovernmentalorganizationsementationofthesegbyprovidingtechnicalassistancemonitoringandreportinghumanrightsviolations,developingrelevantstandards,andfacilitatingmultistakeholderdialogue.Theroleofcivilsocietyandotherstakeholders31.Everystakeholderengagedwiththeservicesofadigitalplatformasauser,supportingfreedomofexpression,accesstoinformation,andotherhumanrights.Towardthisend,theprocessofdeveloping,implementing,andevaluatingeveryregulationshouldtakeamultistakeholderapproach;abroadsetofstakeholdersshouldalsobeengagedinoversight.32.Civilsocietyplaysacriticalroleinunderstandingthenatureofandcounteringfreedomofexpression,accesstoinformation,andotherhumanrights.thepossiblerootcausescouldbeaddressed;researchersshouldalsobeabletoprovideindependentoversightofhowtheregulatorysystemisworking.dothertypesofreportsonplatformspracticesandactivities34.Mediaandfact-checkingorganizationshavearoleinpromotinginformationasocracyandtheenjoymentofhumanrightsontheirownplatforms.35.Engineers,datascientists,andallthetechnicalcommunityinvolvedalsohavearoleinunderstandingthehumanrightsandethicalimpactsoftheproducts36.Allofthesestakeholdersshouldhaveanactiveroleinconsultationsontheoperationoftheregulatorysystem.Theregulatorysystem37.Therearevastlydifferenttypesofbodiesinvolvedinonlineregulationwhomaybeaskedtotakeontheroleofregulatingcontentonline,tonewlygivenanextendedremit.Theremayalsobeoverlapinsomestateswithadvertisingorelectionbodies,orwithinformationcommissionersornationalhumanrightsinstitutions.Someregulatorsexistindependentlyofthegovernmentwhileothersareconstitutedasgovernmentagencies.15ttheseGuidelinesaremeanttobegenerallyapplicabletoanysystemofregulation,irrespectiveofitsspecificlcontextswillimpacthowregulationisenactedandimplemented.15Itisimportanttobearinmindhowtheregulationofonlinecontentinteractswithandinformsotherinstitutionswithjurisdictionoverissuesasdiverseastheprotectionofpersonaldata,consumerprotection,accesstopublicinformation,electoralregulation,telecommunicationsregulation,antitrustandmarketregulationauthorities,andtheprotectionofhumanrights.Therolesofthelegislatureandjudicialauthoritiesalsoneedtobeconsideredinthestructureoftheregulatorysystem.38.Whateverformittakes,anyprocessthatestablishesaregulatorysystemfordigitalplatformsshouldbeopenandtransparentandincludemultistakeholderconsultation.Additionally,achievingthegoalofregulationrequirestheexistenceofanindependentregulatorysystemthatallowsregularmultistakeholderconsultationonitsoperation.39.TheWorldBankstatedthatthekeycharacteristicoftheindependentregulatormodelisdecision-makingindependence.16AguidingdocumentonbroadcastregulationcommissionedbyUNESCO(2006)alsohighlightedthat“anoutinaninstrumentofpubliclawandisempoweredtomanageitsownresources,andwhosemembersareappointedinanindependentmannerandprotectedbylawagainstunwarranteddismissal)isbetterplacedtoactimpartiallyinthepublicinterestandtoavoidundueinfluencefrompoliticalorindustryinterests.”1740.Theproposalbelowisdividedintothreesections:theconstitutionofanindependentregulatorysystem,itspowers,andsuggestedprovisionsforreview.41.Anyregulatorysystem—whethercomprisedofasinglebodyormultiplectorialinvestigative,orothercompliancefunctionsoverhowdigitalplatformsconductcontentmoderationandcuration,needstobeindependentandfreefromeconomicorpoliticalpressures.42.Theregulatorysystemmusthavesufficientfundingtocarryoutitsresponsibilitieseffectively.Thesourcesoffundingmustalsobeclear,transparent,andaccessibletoallandnotsubjecttothedecisionsoftheregulator(s).43.Officialsormembersoftheregulatorysystemshould:a.Beappointedthroughaparticipatoryandindependentmerit-basedprocess.16Thismeansthattheregulator’sdecisionsaremadewithoutthepriorapprovalofanyothergovernmententity,andnoentityotherthanacourtorapre-establishedappellatepanelcanoverruletheregulator’sdecisions.Theinstitutionalbuildingblocksfordecision-makingindependenceareorganizationalindependence(organizationallyseparatefromexistingministriesanddepartments),financialindependence(anearmarked,secure,andadequatesourceoffunding),andmanagementindependence(autonomyoverinternaladministrationandprotectionfromdismissalwithoutduecause).SeeHandbookforEvaluatingInfrastructureRegulatorySystems,p.50/doi/book/10.1596/978-0-8213-6579-317/ark:/48223/pf0000144292b.Beaccountabletoanindependentbody(whichcouldbethelegislature,anexternalcouncil,oranindependentboard/boards).c.Haverelevantexpertiseininternationalhumanrightslaw.Deliveraregularpublicreporttoanindependentbodyideallytheabouttheirreasonedopinion.e.Makepublicanypossibleconflictofinterestanddeclareanygiftsorincentives.f.Aftercompletingthemandate,notbehiredorprovidepaidservicestothosewhohavebeensubjecttotheirregulation,andthisforareasonableperiod,inordertoavoidtheriskknownas“revolvingdoors.”44.Theregulatorysystemshouldprimarilyfocusonthesystemsandprocessesusedbydigitalplatformstomoderateandcuratecontent,ratherthanmakingjudgementsaboutindividualpiecesofcontent.Thesystemshouldalsolookatrmationriskssignificantharmtodemocracyandtheenjoymentofhumanrights.inspectorial,investigative,orothercompliancefunctionsoverdigitalplatformstofulfiltheoverarchinggoalstoprotectfreedomofexpressionandaccesstoinformation,whilemoderatingillegalcontentandcontentthatriskssignificanttheprovisionsofArticle19oftheICCPR.46.Tofulfilthegoalofregulation,theregulatorysystemshouldhavethefollowinga.Establishstandardizedreportingmechanismsandformats.Ideally,reportsshouldbemadeannuallyinamachine-readableformat.b.Commissionoff-cyclereportsifthereareexigentemergencies,suchasasuddeninformationcrisis(suchasthatbroughtaboutbytheCOVID-19pandemic)oraspecificeventwhichcreatesvulnerabilities(forexample,electionsorprotests).orfailingtoprotectusers.Anydecisionbytheregulatorshouldbeevidence-based,theplatformshouldhaveanopportunitytomakerepresentationsand/orappealagainstadecisionofnon-compliance,andtheregulatorysystemshouldberequiredtopublishandconsultonenforcementguidelinesandfollowdueprocessbeforedirectingaplatformtoimplementspecificmeasures.d.Commissionaspecialinvestigationorreviewbyanindependentthirdpartyifthereareseriousconcernsabouttheoperationorapproachofhumanrights.e.Establishacomplaintsprocessthatoffersusersredressshouldaplatformnotdealwiththeircomplaintfairly,basedontheneedsofthepublictheyserve,theenforcementpowerstheyhaveinlaw,theirresources,andtheirlocallegalcontext.f.Overseethefulfilmentbythedigitalplatformsofthefiveprinciplesdetailedintheseguidelines,takingnecessaryandproportionalplatformsconsistentlyfailtoimplementtheseprinciples.latorysystemdicindependentreviewoftheregulatorysystem,conductedbyarespectedthirdparty,reportingdirectlytothelegislature.48.Anypartoftheregulatorysystemshouldactonlywithinthelawinrespectofthesepowers,respectingfundamentalhumanrights—includingtherightstoprivacyandtofreedomofexpression.Itshouldbesubjecttoreviewinthecourtsifitisbelievedtohaveexceededitspowersoractedinabiasedordisproportionatemanner.49.Decisionsoneventuallimitations