联合国工业发展组织发布《标准与数字化转型：数字时代的良好治理手册》-16正式版

STANDARDS&DIGITALTRANSFORMATIONGoodGovernanceinaDigitalAge©UNIDO,14October2021TheworldisinthemidstoftheFourthIndustrialRevolution(4IR)poweredbydigitaltechnologiesthataretransformingsociety,economiesandtheenvironment.Increasinglyconnectingobjects,machines,peopleandtheenvironment,thedisruptivenatureofthesetechnologicalinnovationsmakesitdifficulttoplanforandanticipatethefuture.Whatisclearisthattheseismicshiftthatdigitaltransformationbringshasmajorimplicationsforsustainabledevelopment.Thisbrochure,introducesabroaderpublicationdevelopedbytheUnitedNationsIndustrialDevelopmentOrganization(UNIDO),whichdescribesdigitaltransformation,itskeydriversandtheimplicationsforthreeoftheSustainableDevelopmentGoal(SDG)pillars—people,prosperityandplanet.Italsohighlightstheroleofstandardsindigitaltransformationgovernance.Areviewoftheinternationalstandardslandscapewasundertakenforsevenofthemost-trendingdigitaltechnologiesofthe4IR.Whilestandardizationreflectsthedifferentfeaturesandscopeofimpactsof4IRtechnologies,thispublicationidentifiestheessentialcriteriatounderstandhowtodevelopappropriateandeffectivestandardsfordigitaltransformationworldwide.Basedonthereview,furtherconsiderationisgiventowhatgoodgovernanceprinciplesarenecessaryforguidingthedevelopmentofstandardsinthedigitaltechnologylandscapetoensurethatthetechnologiesremainhuman-centeredandalignedtothegoalsofsustainability.Timelyandharmonizedstandardscanplayapivotalroleinshapingthedigitaltransformationprocess,complementingregulationsandcontributingtodigitaltransformationgovernance.Standardscanfacilitatetheongoingdigitalizationofindustrybyenhancingproductivityandefficiency,promotingcompatibilityandinteroperabilitybetweenproductsandprocessesthroughcommonlanguage,whileguaranteeingminimumlevelsofqualityandsafety.Furthermore,standardscanserveasacceleratorsofchangeastheypromoteinnovationandtheuptakeofnewdigitaltechnologiesandspreadknowledgethroughcodification.CHANGINGWORLD–THEFOURTHINDUSTRIALREVOLUTIONRevolutionsandchangehavemarkedhumandevelopment.Whatdistinguishesthe4IRfrompreviousindustrialrevolutionsistheparalleltechnologicalbreakthroughswithinandacrossthedigital,biologicalandphysicalspheres.Thecomplexityandrapidpaceofchangeofthe4IRalsomaketherevolutionuniquecomparedtopreviousindustrialrevolutions.Moreover,theCOVID-19pandemichasactedasanunanticipatedacceleratortothepaceofchangeandstructuralshifttowardsthe4IRandtheadoptionofnewtechnologies.The4IRisstillbeingshaped.Thedigitaltechnologiesthatsitattheheartofthe4IRwillirrevocablytransformsystemsand,consequently,howpeoplelive,workandplay;therefore,societiesneedtounderstanditsrisksandrewards.Itisessentialtoensurethenewtechnologiesinthedigital,biologicalandphysicalworldsremainhuman-centeredandservesocietyandtheplanetasawhole.IMPLICATIONSFORSUSTAINABLEDEVELOPMENTThe4IRisinfullsteam.Italreadyhasglobalimplicationsforsustainabledevelopment.Enormousconsequencesarisefromthenewandtransformationaltechnologiesastheyenablenewmodesofproduction,newbusinessesandsocietalmodelsandnewbehavioursthatcandisruptestablishedandfundamentalparadigms.Thepaceandthecomplexityofthe4IRcanblurinternationalbordersandentangleboundariesbetweenpublicandprivate,presentingnationalregulatorswithuniquegovernancechallenges.Regulationcanstruggletokeepupwithadvancesofthe4IR,hinderinginnovationandleavingsocietywithoutdatedlawsandregulations.Regulatorsneedtoadoptamoreagile,flexibleapproachtoregulationtoseizethepotentialofthe4IRtodeliverbenefitstosocietyandmanageitsrisks.Tograsptheopportunitiesandmitigatetherisksfrom4IRtechnology,the‘regulateandforget’approachneedstogivewaytoan‘adaptandlearn’approach.TheSDGssitatthecenterofthe2030AgendaforSustainableDevelopmentandguideglobal,regionalandnationaldevelopmentendeavoursuntil2030.Subsequently,asthe4IRcontinuestoreshapetheworld,alignmentwiththeSDGsisfundamentaltoensurethatbenefitsaccrueforpeople,deliveringthemprosperity,andthattheplanetisprotected.DIGITALIZATIONANDTHEDIGITALTRANSFORMATIONThe4IRischaracterizedbythewidespreadandever-increasingphenomenaofꢀdigitization,ꢀi.e.theconversionofanalogueinformationintothedigitalform.Atthesametime,theever-greaterꢀdigitalization—thedevelopmentandapplicationofdigitalanddigitalizedtechnologiesthataugmentanddovetailwithallothertechnologiesandmethods—isservingtoreinforceandexpandthedigitaleconomy.Inalargercontext,digitaltransformationisabroadertermthandigitalization.Itistheintegrationofdigitaltechnologyintoallorganizationalareas,fundamentallychanginghowtheorganizationoperatesanddeliversvaluetocustomersorstakeholders.Itisalsoaboutprioritizingorganizationalculturechange,whichrequiresorganizationstocontinuallychallengethestatusquo,experiment,andlearnfromfailure.Digitaltransformationisawidelyusedtermthat,inpractice,willlookverydifferentineachorganization.Inessence,itreferstothecustomer-drivenstrategicbusinesstransformationrequiringorganizationalchangeandtheimplementationofdigitaltechnologies.ꢀThethreefactorsthataredrivingthedigitaltransformationinclude:necessity,thetechnologyitself,andtheheightenedsetofexpectationsthathavebeenraisedbydigitalization.DIGITALTRANSFORMATIONIMPACTSONPEOPLE,PROSPERITYANDPLANETTheacceleratedpaceofchangebroughtaboutbydigitaltransformationtoproduction,theeconomy,theenvironmentandsocietywillsignificantlyimpacttheachievementofthe2030AgendaforSustainableDevelopmentandSDGs.Asadevelopmentdrivenbyhumans,despitestillbeinginitsinfancywithlittlementionmadetoitintheSDGs,digitaltransformationhasthepotentialtobeshapedtopromotesustainabilityforthebenefitofallpartsofsociety.»»ImplicationsforPeople-Digitalizationisunevenlydistributedbutoffersthepotentialforovercomingspatialandsocialbarrierstobenefitꢀpeople.ImplicationsforProsperity-Digitaltransformationisfundamentallychangingthecommercialworld,impactingcompetitionwhilstdisruptingmarketsandaffectingꢀprosperity.Digitaltechnologiesaretransformingproductionbyenablingnewproductionmethodsandbusinessmodels.»ImplicationsforPlanet-Uncheckeddigitaltransformationunalignedwiththeenvironmentalconstraintsoftheearthwillnegativelyimpacttheꢀplanet,increasingresourceandenergyconsumption,exacerbatingdamagetoterrestrialandwaterecosystemsandacceleratingclimatechange.Digitaltechnologiesofferthepotentialtocontributetotheprotectionoftheplanet.©UNIDOTHEROLEOFSTANDARDSTheroleofstandardsineconomicgovernancederivesfromthewiderangeoffunctionsthattheyfulfil.Amongstothers,standardshavethepotentialtoreinforceopportunities,enhanceproductivity,andpromotetechnologyadoption,whileminimizingrisk,improvingsafety,andsupportingpolicyandlegislation.Thesefunctions,inturn,affecttheeconomyinavarietyofways,includingthroughtheimprovementofcompetitionandefficiency,theexploitationofnetworkeffects,thediffusionofinnovationandthereductionofproductioncosts.Thereisalsoacircularrelationshipbetweenstandards,regulationsandpolicies,whichfeedintoanoverallconcept/publicgoodofgoodgovernance.Standardsareavoluntarycomplementtoregulation,whichhavetheeffectofenhancingefficiencyandproductivity.Thesestandardsinformeffectiveregulations,whichcancreateanenablingenvironmentforinnovationandminimizeriskfordisruptorsandinvestors.Standardsdevelopedbyinternationalorganizationscanprovideaneffectiveresponsetomarketbarriers.Inthecontextofdigitaltransformation,thetimelyandharmonizedadoptionofstandardsislikelytoplayakeyroletothisend,bothasameansofpromotinginteroperability,productivityandinnovation,andalsoofensuringthesuccessfulscale-upofsolutionstobeimplementedglobally.Standardizationcanofferanumberofbenefitsandopportunitiesfordigitaltechnologies.Theseoutcomesmaybeespeciallybeneficialinrestoringinternationalmanufacturingandtradetotheirpreviousvitality,asbothsectorsslumpedsignificantlyduetotheCOVID-19pandemic,theassociatedlockdownsandvaluechainbreakdownsinmanyregions.Digitaltechnologiesandthenewbusinessmodelsofdigitaltransformationdonotfiteasilyintothetraditionalregulatoryframeworkregulatorsusetointerveneinmarkets.Itisclearthatpreviousmodesofgovernance,whicharelargelyreactiveinnature,cannothopetobeeffectiveintheeraofadvanceddigitaltransformation.Governancerulesandregulatoryapproachesfornewtechnologyandprocessesofinnovationneedtobemoreagile,flexibleandresilientthroughthedevelopmentofexperimentalregulationsuchasregulatorysandboxes,anticipatoryapproaches,multi-stakeholderuseofguidelinesandstandards,andthepromotionofinternationalinitiatives.Eventhoughtheworldhaswitnessedariseofstandards-settingactivitiesrelatedtodigitaltechnologiesinrecentyears,itstillfallsshorttomeettheneedofproducers,consumersandregulatorsandremainsfragmentallyconcentratedatthenationallevel,leavingplentyofworkforinternationalexploitationandharmonization.GOODGOVERNANCETECHNICALREGULATIONPOLICYSTANDARDSDIGITALTRANSFORMATIONENVIRONMENTALPROTECTIONTRADE©UNIDOSEVENBIGTECHNOLOGIESThedigitaltransformationispoweredbydigitaltechnologiesofthe4IR.TherapidadoptionofthesedisruptivetechnologiesisacceleratingandhasbeenfurtherboostedbytheCOVID-19pandemic.Globalspendingondigitaltransformationtechnologiesandservicesgrewby10.4%in2020grewbymorethan10%in2020.Technologicaladoptionisnotageographicallyevenprocess;agreaterquantityandrapidityoftechnologyadoptionishappeningindevelopedcountries.Leastdevelopedcountriesarehamperedby,amongotherthings,lackofinformationandcommunicationstechnology(ICT)andaccesstoproperarchitectureandbasicassetssuchascomputersandsmartdevicesbutmostimportantly,thecapacitytoensurepeoplehavetherightsetofbasicskills.Illustratingthisunevenness:in2019,92%ofSwisshouseholdscomparedto38%ofBangladeshi,36%ofPeruvianand34%ofPakistanihouseholdshadaccesstoICT.Detaileddescriptionsareincludedinthefullpublicationofthefollowingsevendigitaltechnologiesimportanttothedigitaltransformation:artificialintelligence,bigdata,blockchain/distributedledgertechnology,InternetofThings,robotics,3Dprintingandautonomousvehicles.Thescopeandimpactofthesetechnologiesvaryandstandardizationhasaroletoplayineachonetohelpdelivertrust,privacy,protection,interoperabilityandsustainability.PRINCIPLESFORGOODGOVERNANCEINADIGITALAGETherapidandextensiveadoptionofdigitaltechnologiesandtheirfar-reachingpervasiveimpactonpeople,theirprosperityandtheplanetsuggestacoresetofdistinctprinciplesisneededtoguidestandardsdevelopedfordigitaltransformationgovernance.»»»»»»»TrustworthinessInclusivenessSustainabilityInteroperabilitySafetyandsecurityDataprivacyThereviewofcurrentdevelopeddigital-relatedstandardsandtheactivitiesofstandardsdevelopingbodies’committeesinthedigitalspace,andforthesevenbigdigitaltechnologiesinparticular,evidencedthatthefollowingsevenprinciplesshouldbeplacedatthecenterofstandardsmaking:InternationalcollaborationTRUSTWORTHINESSINCLUSIVENESSDATAPRIVACYINTEROPERABILITYSUSTAINABILITYSAFETYANDSECURITYINTERNATIONALCOLLABORATION©UNIDOThesevenprinciplesrelatetotheimpactsofnewtechnologiesinthedigitaleraandarebasedonthenatureandinternalmechanismofstandardizationinthecontextofdigitaltransformationgovernance.Theycovernotableconcernsaboutthecompleximpactsofnewtechnologiesonpeopleandtheplanet,intermsofwell-beingandethics,aswellasthekeyfactorsemergingfromtheevolvingdiscussionsaboutwhatshouldbeconsideredinstandardsmakinginthecontextofdigitaltransformationgovernance.LOOKINGINTOTHEFUTUREProgressintheinnovationanddevelopmentofdigitaltechnologiesanddigitaltransformationiscreatingafast-movingenvironmentandisunstoppable.Theevolvingregulatoryandpolicyframeworksdevelopappropriategovernancerulesfortechnology,however,thisevolvingframeworkhaslimitationssuchasbeingprimarilynationboundandtime-consuming.Standardshaveanimportantroleinthisframework,beingtransnational,multi-stakeholderdriven,speedytodevelopandresponsivetouserneeds.Standardshavethepotentialtocontributetodigitaltransformationgovernance.Inordertounlockthispotential,thefollowingaspectsshouldbeconsidered:»Thescopeofimpactsofthedigitaltechnologiesshapingthe4IRvary.Arobuststrategyisrequ