Guidebook STI For SDG Roadmaps Final Edition Clean

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Guidebookfor the Preparation of Science,Technology and Innovation (STI) forSDGs RoadmapsSeptember 2020United Nations Inter-Agency Task Team on Science, Technology and Innovation for the SDGs (IATT)Sub-Working Group on STI Roadmaps co-led by World Bank, DESA, UNCTAD and UNESCO

AcknowledgementThe UN Inter-agency Task Team on STI for the SDGs (IATT) thanks the Government of Japan for fundingfor the development of this Guidebook. The team also wants to acknowledge the inputs of variousinstitutions beyond those represented by the IATT Sub-Working Group co-leads, including the OECD,the European Commission’s Joint Research Center (EU JRC), African Union and its affiliated agenciesincluding Regional Economic Communities, African Development Bank, ACTS, RIS, G-STIC, Pathwaysfor Prosperity, InterAcademy Partnership, INGSA, Global Solutions Summit, Technology Bank for LDCs,UNECA, UNESCAP, UNESCWA, UNDP, UNIDO, UNISDR, UNOSSC, UNU and WIPO, among others, aswell as many individuals who have made comments on earlier drafts of the Guidebook.Representatives of UN Member States, including Australia, Barbados, Botswana, Brazil, Cambodia,Chad, China, Colombia, Ecuador, Egypt, Ethiopia, Germany, Ghana, Guatemala, Hungary, India,Indonesia, Jamaica, Japan, Kenya, Macedonia, Mexico, Philippines, Republic of Korea, Rwanda, Serbia,South Africa, Tanzania, Thailand, Tunisia, United Kingdom and United States of America providedinputs through discussions at the four Expert Group Meetings (in New York, Tokyo, Brussels andNairobi), Science, Technology and Innovation (STI) Forums and other UN-hosted meetings. The Groupof Twenty (G20) under Japanese Presidency, through Development Working Group’s deliberation onthe Guiding Principles for the Development of STI for SDGs Roadmaps, provided perspectivescomplementary to this Guidebook. Current and former members of UN Technology FacilitationMechanism (TFM)’s 10-Member Group, notably Dr. E. William Colglazier, Dr. Michiharu Nakamura, Dr.Nebojsa Nakicenovic, Dr. Paulo Gadelha, Dr. Jose Ramon Lopez-Portillo Romano and Dr. HeideHackmann, provided valuable inputs and championship throughout IATT’s work on STI for SDGsRoadmap and the Guidebook.The work on the Guidebook was led by Naoto Kanehira, Carl Dahlman (World Bank) and Wei Liu(DESA), under IATT Co-Lead agencies’ management supervision by Shantanu Mukherjee (DESA), KlausTilmes and Denis Medvedev (World Bank), Dong Wu (UNCTAD) and Ernesto Fernandez Polcuch(UNESCO), and participated by Justin Hill (World Bank), Richard Roehrl, Charlie Chen, Ruiying Zhao(DESA), Clovis Freire and Michal Anthony Lim (UNCTAD), Kornelia Tzinova and Angela Sarcina(UNESCO), Fernando Santiago Rodriguez (UNIDO) with the support and contributions of IATT partner,EU JRC, represented by Alessandro Rainoldi, Liliana Pasecinic and Monika Matusiak. Backgroundresearch and synthesis including through background papers were provided by Rui Kotani, AnupamKhanna, Michal Miedzinski, Paulo Correa, Shuyang Huang, Philipp Sebastian Ruppert and Neda Bostani(World Bank), Mario Cervantes, Olivier Cattaneo, Rolf Schwarz, Sam Mealy and Edoardo Bollati(OECD), Monika Matusiak, Katerina Ciampi Stancova, Mafini Dosso (EU JRC) and Chux Daniels (EU JRCexpert).Views expressed in this Guidebook are of the authors and do not represent official positions of theUnited Nations, the World Bank Group or their member States. Written comments and feedback tothis Guidebook will be most welcome and should be addressed to Naoto Kanehira(nkanehira@worldbank.org) and Wei Liu (liuw@un.org).

Table of ContentsChapter 1. Introduction. 11.1Background and Objective . 11.2Rationale of STI for SDGs Roadmaps . 41.3Need for Strengthened International Partnerships on STI for SDGs . 51.4Key Elements of an STI for SDGs Roadmap. 91.5Structure of the Guidebook . 9Chapter 2. Towards National STI for SDGs Roadmaps. 102.1.Institutional Set-up . 102.2.The Framework . 122.3.The Core Inputs. 142.4.The Six Steps . 152.5.Overview of methodologies . 402.6.Ensuring that a Country takes Full Advantage of the Global STI System . 41Chapter 3. International Partnerships for STI for SDGs Roadmaps . 443.1Landscape of International Cooperation on STI for SDGs . 443.2.Three-Pillar Framework for International Partnerships – “Build, Boost, Broker” . 483.3.Key Priorities and Actors for STI Collaborations for SDGs. 513.4.What Donor Country and Pilot Country Governments Can Do. 55Chapter 4. Conclusions and Next Steps . 614.1.Key Messages . 614.2.Global Pilot Program on STI for SDGs Roadmaps . 614.3.Moving Forward . 66References . 68Annex 1: Technology Facilitation Mechanism in the 2030 Agenda for Sustainable Development . 73Annex 2: STI as Explicit in 2030 Agenda Languages . 75Annex 3. Overview of the main methodologies to support STI for SDGs roadmaps . 79Annex 4. Summary of Key Lessons Learned from the Global Pilot Programme on STI for SDGs Roadmaps. 82

Chapter 1. Introduction1.1Background and ObjectiveThe 2030 Agenda, unanimously adopted at the United Nations Sustainable Development Summit inSeptember 2015, positioned Science, Technology and Innovation (STI) as key means for theachievement of the Sustainable Development Goals (SDGs), and launched the UN TechnologyFacilitation Mechanism (TFM). The Annual Multi-Stakeholder Forum for Science, Technology andInnovation (STI Forum) has been the main fora for the TFM to discuss topics of common interests toMember States and STI stakeholders in the context of the 2030 Agenda (for more backgrounds on theTFM and key STI mechanisms, see Annex 1).In the Addis Ababa Action Agenda, Member States committed to “adopt science, technology andinnovation strategies as integral elements of our national sustainable development strategies” (para119). In the 2017 STI Forum, participants highlighted that STI roadmaps and action plans are neededat the subnational, national and global levels, and should include measures for tracking progress.These roadmaps should incorporate processes that require evaluating what is working and notworking and producing continual revisions that create a real learning environment.Science, Technology and Innovation, both technological and non-technological, can lead to economicgrowth by increasing productivity, reducing costs and increasing efficiency. STI also helps address andalleviate societal challenges while finding effective ways to tackle environmental challenges. In otherwords, it feeds into the three components of sustainability: economic, environment and social. Therole of STI in economic and social progress not only requires appropriate infrastructure, resources andcapabilities to produce new inventions but also the capacity of individuals, communities, andcompanies to apply and absorb them. It is only by understanding and supporting the whole processof technological and innovative development, diffusion, and readiness of its final recipients to accept,own and implement change that we can strive to achieve sustainable and inclusive growth.In the context of the SDGs, TFM’s work on STI has involved four broad deliberations: STI for or as individual Goals/Targets in SDGs. While innovation is the most visible focus of Goal9 (build resilient infrastructure, promote inclusive and sustainable industrialization, and fosterinnovation), as reflected in the 2030 Agenda language, STI is formally agreed as a means or endsfor 12 (out of the 17) Goals, and 26 (out of the 169) Targets1. Addis Ababa Action Agenda (AAAA)has more than 20 commitments for STI. More broadly, STI Forum discussions have shown that STIcan contribute to virtually every single Goal and Target, either directly or indirectly. STI for SDGs as a system. Beyond disciplinary or sectoral STI contributions (such as for food, healthor energy), interdisciplinary approaches and science-policy interfaces have deepened theunderstanding of inter-linkages across multiple SDGs for policymakers to pursue synergies ormanage trade-offs (such as between economic and social as well as environmental goals).Systemic gender disparity in key STI actors in STEM fields, beyond Targets under Goal 5, have beenrecognized as a key issue to be addressed. Traditional knowledge held by indigenous communitiesis also seen as part of important STI contributions to inclusive development. International cooperation for STI for SDGs, related to (but not limited to) Goal 17. Whiletechnology transfer has long been debated at UN deliberations, a broader set of issues needs tobe examined, to facilitate capacity development and materialize the full potential of STIcontributions toward the Global Goals, in the context of diverse STI supply and demand conditionsacross developed and developing economies and through market and non-market mechanisms.1Not all of these Targets are accompanied by corresponding metrics under the Global Indicator Framework.For full list of STI explicitly reflected to 2030 Agenda languages, see the Annex 2.1

Emerging risks of STI in achieving the SDGs and leaving no one behind. New and emergingtechnologies, such as artificial intelligence, have raised global concerns around displacing jobs,undermining the advantage of most developing countries in unskilled labour and exacerbatinginequalities within and between countries2.STI Forums have enriched the discussions, while the breadth and depth of the inter-related issueshave presented challenges in identifying practical courses of actions to maximize opportunities andmitigate risks. Meanwhile, the reflection on the state of SDGs has made it clear that ‘business as usual’is not an option and added a sense of urgency to deliver on the promises of STI, in reaching the lastmile, addressing the needs of those being left behind, changing the trajectory and acceleratingprogress.In this context, a STI for SDGs Roadmap has been proposed as a useful approach to strengthen countryownership and elevate the policy debate on STI for SDGs, inform on the areas of common interestsamong UN Member States, strengthen complementarities of UN system initiatives on STI in a demanddriven manner, and effectively facilitate relevant national and international efforts.The diversity of the stakeholders involved in deliberations so far on STI for SDGs Roadmaps has causedthe challenge of the ‘tower of babel’ problem, namely the absence of a shared framework andlanguage across these different professional communities – scientists, technologists, and innovatorsthat are rooted in public, private, academic, and civil society organizations. In response, thisGuidebook is meant to facilitate the development of STI for SDGs Roadmaps by providing aframework, common language and step by step advice for practical policymaking andcommunication purposes.This Guidebook is addressed to interested national and local governments, agencies and institutionsthat wish to use roadmaps as a policy tool to harness STI as a mean to achieve the SDGs. It can also beof interest to stakeholders taking part in the dialogue, an essential part in the design, implementation,monitoring and adjustment of the STI for SDGs Roadmaps, and to the wider public audience that wantsto advance global and national SDG agendas. The Guidebook first focuses on the design stage of theRoadmaps, while showing that the design underpins effective implementation and monitoring.2Concerns often discussed at the UN and other international forums also relate to ethical, security (both cyberand physical, such as autonomous weaponry) and human rights aspects, not necessarily within the SDGsscope.2

Box 1.1: Concepts and Definitions3Science, technology, and innovation are three different domains, each affiliated with a distinctset of actors, although there are strong relationships among them. Science is fundamentally the pursuit of knowledge through systematic studies of thestructure and behaviour of the physical and natural world and societies. Scientists orresearchers across public and private institutes, are the key actors often organized andrepresented through academies of sciences, professional societies, universities, and otherresearch institutions. Governments typically have a responsible ministry for sciencepolicies and funding agencies administering research programs.Technology is the practical application of knowledge for a given end. Publicly fundedscientists conducting applied research, as well as private sector scientists, engineers andproduct/service developers, are the key actors in developing and applying newtechnologies. Yet, broader actors in industries and governments’ line ministriesdisseminate, adopt or adapt existing technologies, such as for agriculture, health, energy,education, defence, infrastructure and environmental purposes.Innovation is a new way of producing, delivering, or using goods and services, based onnew technology, or through new business models or forms of economic or socialorganization. While also applicable to public administration and service delivery,innovation so far has been largely a private sector undertaking by industries andentrepreneurs, farmers and individuals who develop better ways of producing or usinggoods and services. Nowadays, the waves of social innovation and community-basedinnovation (such as indigenous solutions) calls for a new understanding of thisphenomenon.In the past, innovation used to be seen as a linear process to turn scientific discoveries intocommercial applications of new technologies. From policymakers’ perspective, the respectivefields of science, technology and innovation were typically considered as highly specializeddomains, left to experts who are oftentimes facing challenging political, administrative andbudgetary environments, as well as inherent uncertainties and long timeframes. STI has alsobeen regarded in some developing country contexts as unaffordable “luxuries.”Today, policymakers’ understandings of STI and approaches to STI policies have matured (asreflected in the rest of this Guidebook). Many governments have cross-ministerial mechanisms,such as national STI councils or commissions, conducive for multi-stakeholder dialogues,planning for coherent STI policy mix, and coordinating and interfacing with the implementationof sectoral policies. Yet, in many countries, STI policy focus is still transitioning frompredominantly scientific and economic objectives towards achieving a closer integration withbroader social and environmental aspirations in line with the SDGs. (See Table 2.1 for a broaderdiscussion of different types of innovation.)3There are many definitions of innovation. See for example the Oslo Manual on Innovation, (OECD/Eurostat,2018; UNCTAD, 2017 and 2019; Cirera and Maloney, 2017). For this Guidebook, we have adopted a broaddefinition including many types, see Table 2.1 on page 24.3

1.2Rationale of STI for SDGs RoadmapsThe rationale behind creating realistic and action-oriented STI for SDGs Roadmaps is to speed up theprocess of developing new, or adapting existing, solutions in time to meet the SDGs and targets by2030 and to ensure that the three dimensions of sustainability are properly addressed (Box 1.2).STI for SDGs Roadmaps are not created in a vacuum. Most countries already have or are developingtheir research, development and innovation infrastructures and capabilities. A systematic assessmentand exchange of national and international experiences have so far been limited, though, indeveloping and implementing policies, action plans and strategies on STI specifically for SDGs usingsystemic and consistent frameworks.Three related policy frameworks provide a national context for STI for SDGs Roadmaps:1. National development plan. Most countries have developed some national plans and industrypolicies (occasionally framed as a growth strategy) with varying levels of detail and usefulness.2. National STI plans. These vary widely in scope, as well as in the degree to which they directlyrelate to the national development plans. Sometimes they are conceived independently ofnational development plans, mostly by science and technology ministries. Other times, they aremore closely aligned with national development plans.3. National SDGs plans. Since the global agreement on the UN Sustainable Development Goals in2015, countries have also begun drawing up plans on how to reach these goals and specifictargets, and many are explicitly including them in their national development plans. Developedcountries tend to have strategies guiding development cooperation in line with the SDGs.Figure 1.1: STI for SDGs Roadmaps as an intersection of three types of national plansNationalDevelopmentPlanSTI PlanSDGsPlanSource: AuthorsThese three generic, yet distinct types of plans may or may not have any areas of overlap. The focusof this Guidebook is to encourage the greater use of STI to help meet the SDGs in all three types ofplans—the intersection of the three circles. The basic proposition is that STI can accelerate theachievement of SDGs if it is properly integrated into plans to reach the SDGs.STI for SDGs Roadmaps may be stand-alone documents, or part of other planning and implementationdocuments su

UNECA, UNESCAP, UNESCWA, UNDP, UNIDO, UNISDR, UNOSSC, UNU and WIPO, among others, as . Annex 4. Summary of Key Lessons Learned from the Global Pilot Programme on STI for SDGs Roadmaps . framework, common language and step by step advice for practical policymaking and .

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