case study on sdg 5

SDG Good Practices-A compilation of success stories and lessons learned in SDG implementation (First Edition)

Related goals, related topics, multi-stakeholder partnerships.

The publication presents 16 SDG Good Practices from across the globe, received in response to the first open call for good practices, success stories and lessons learned in SDG implementation, promoted by UN DESA between 2018 and 2019.

Sorted by geographical region, this publication describes the diverse examples in detail, featuring updates and reflections on the impact and adaptations to the COVID-19 pandemic and showcasing results and impact.

As the world pursues a transformative recovery from COVID-19 and embarks on the Decade of Action for accelerating the implementation of the SDGs, it is hoped that these examples provide inspiration to Governments and stakeholders in their efforts to address crisis, reduce the risk of future potential emergencies and deliver on the ambitious and inclusive vision of the 2030 Agenda.

For more information about the SDG Good Practices, click  here . 

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To achieve Sustainable Development Goal 5 (Gender Equality) by 2030, the private sector’s scale, resources, and influence are imperative. Urgent action from all stakeholders, including companies, is critical to move the world toward gender equality faster. Below, view case studies and examples of corporate action toward gender equality.

In South Africa, where the rates of gender-based violence are incredibly high, AB InBev, launched a multi-year #NoExcuse campaign to change society’s views and tolerance of GBV. Using the beer, Carling Black Label, as an entry point to grab the attention of men, AB InBev produced several videos and initiatives to empower men to change their behavior at the call of other men. From sporting events, radio, to social media, the #NoExcuses struck at the heart of what it means to be a “Champion” man and provided resources and opportunity for men to change their behavior and fight GBV. Moreover, in 2020, as COVID-19 led to stay-at-home quarantine, domestic violence calls skyrocketed. AB InBev expanded the #NoExcuses campaign to include a dedicated WhatsApp line for women and men to use to discretely report GBV and to seek assistance.

Pony Malta, an AB InBev brand, is one of the most popular beverage brands for teenagers in Colombia. Given the drink’s popularity, AB InBev used its influence to encourage girls to seek inspiration from pioneering women. The initiative, called #SheSpeaks, urges teenagers to share quotes and messages from female pioneers across social media. The initiative launched on TikTok for International Day of the Girl and used one of the platforms most popular features, dubbing. With quotes from over 100 women including Michelle Obama, Christina Koch, Malala Yousafzai, Lady Gaga and the late Ruth Bader Ginsburg, girls could record themselves lip syncing their words to inspire and empower others. Citing the fact that over 54% of TikTok users are women, AB InBev’s #SheSpeaks effort sought to inspire and empower young girls to be anything they want to be and encouraged them to follow women who dared to dream big.

In Colombia, Pony Malta is one of AB InBev’s leading malt beverages’ brand. The drink is popular with girls, many of whom are tech savvy and football fans. Yet, girls are underrepresented in videogames. With the support of Colombia’s ministry of technology, and NGOs in Colombia. and simultaneously launched in Ecuador and Bolivia with our non-alcohol beverage brands, AB InBev launched an initiative to increase the representation of women in videogames. Specifically, in FIFA Clubs Pro, a football game, it is only possible to create a male avatar. For this reason, many girl gamers are forced to make their football career in FIFA with avatars that do not define them. To feel represented in FIFA 2021, a group of girls created their own female avatars with the male player creation tools and, together with Pony Malta, formed SHE F.C., the first women´s club in FIFA Clubs Pro.

As a global health technology company that recruits world-class scientists and engineers, Abbott knows women are a critical factor in solving the world’s biggest problems with smart, imaginative thinking. But in the United States, women make up just 24% of the science, technology, engineering and math (STEM) workforce. Black Americans hold 4.8% of STEM jobs but make up 12.3% of the labor force. Hispanics have 6% of STEM jobs yet make up 17.6% of U.S. workers. There are a lot of reasons for this: One is that high school girls and students from underrepresented groups can often think the STEM fields aren’t for people who look like them.

Abbott knows that hands-on experiences give these students the confidence to engage in STEM. That’s why, starting in 2012, it invested in a high school internship program to demystify what it means to work in STEM. The program gives students the opportunity to work on the company’s life-changing technologies alongside engineers and scientists who look like them. Abbott recruits students from diverse partner high schools near areas where the company has facilities. Because of this, 73% of the students participating in the 2020 internship program were from diverse backgrounds. About half of the students move on to Abbott’s college internship program, and more than 70% of the high school internship alumni hired as full-time engineers are women.

Abbott has created a downloadable “Shaping the Future of STEM” blueprint and is sharing the scalable plan with any company interested in starting a high school internship program of their own. Abbott believes changing the statistics will mean a commitment from all of us to provide young people with opportunities in STEM early on.

To learn more, visit www.stem.abbott  

According to the United Nations, more than 80 million people today are displaced from their homes by conflict, natural disasters and other emergencies.

In response, governments, organizations and companies have focused on meeting urgent needs for food, water and shelter. But for many people, particularly in the aftermath of crisis, basic needs include uninterrupted care and management of chronic diseases – also known as noncommunicable diseases, or NCDs, such as diabetes and cardiovascular disease. Despite this, chronic diseases often don’t receive enough attention in these humanitarian settings, according to the World Health Organization.

Working together with CARE, the global healthcare company Abbott and its foundation the Abbott Fund launched one of the world’s first programs aimed at filling this gap – creating a new model, both scalable and replicable, for the effective prevention and care of NCDs in challenging settings around the world.

The three-year program in Marawi City, Philippines is focused on supporting internally displaced people affected by diabetes, hypertension and obesity. Program work includes screening to identify people with NCDs and those at risk of developing NCDs, and expanding access to needed clinical care.

A key focus for the program is mobilizing displaced communities to fill gaps in prevention and care, with an emphasis on empowering women. With an in-depth understanding of the needs of their neighbors, women volunteers lead “NCD Clubs” to advance disease prevention and management and provide vital peer support. The program also strengthens the ability of local healthcare systems to manage NCDs and raises awareness and educates on the prevention and control of NCDs.

Initial results are promising. Baseline screening found that more than half (59%) of people identified as diabetic were previously undiagnosed. And following targeted interventions, 46% of diabetic and pre-diabetic patients saw a decrease in average blood glucose (HbA1c) levels, which is an indicator of better glucose control and lower risk of complications.

To learn more, please see story and video .

In many developing countries women comprise, on average, 43% of the agricultural work force. Women are at the heart of many farming communities and are a vital link between farms and families. Yet, they are often excluded from key decisions about their farming household, economic activities and community decisions.

Cargill is a global provider of food, agriculture, financial and industrial products with 155,000 employees across 70 countries. The company connects farmers with markets, customers with ingredients, and people and animals with the food they need to thrive. Cargill combines 155 years of experience with new technologies and insights to serve as a trusted partners for food, agriculture, financial and industrial customers in more than 125 countries. The company contributes at each stage in the supply change to build farmer and community resilience. This work allows Cargill to deliver its purpose to nourish the world in a safe, responsible, and sustainable way.

For the last 12 years, one of the programs that Cargill and CARE have partnered on, has been the Nourishing the Future program in Central America; which aims to support smallholder producers across the region. Cargill brings knowledge of markets, supply chains, best practices in agricultural production and food safety to build on CARE’s expertise of building strong resilient communities through multiple sets of interventions, taking a holistic approach to address the challenges these communities face. In this work, Cargill and CARE have focused on ensuring women producers are included and are able to make their own decisions to improve productivity and market access.

CARE has also been creating groups of women promoters to act as a change agents by transferring their knowledge to other women and men. During the last year, including these last few months of the pandemic, Cargill supported CARE to continue training for these producer groups through employing virtual tools and working to ensure that women were able to access these tools. The Nourishing the Future program is also enabling women to become members and leaders of Farmer Business Organizations, helping them to be part of decision-making processes and empowering them in their farming businesses.

Cargill’s work has enabled strong market linkages for agricultural communities, including integration of producers into its grain supply chains, as well as helping to establish livestock and aquaculture production activities. It has also improved agricultural production through its comprehensive farmer field school training curriculum. Lastly, Cargill worked with communities to build women’s skills, capabilities, and access to resources so they are better enabled to make decisions, both productive decisions and household decisions, and fully participate in economic activity. These interventions together have led to more equal household decision-making, improved nutrition, increased incomes, enhanced agricultural production, and stronger market connections. Between 2008-2020, CARE and Cargill reached 689,357 women in Central America through our Nourishing the Future programming (67,341 directly and 622,016 indirectly).

The Cargill Cocoa Promise is Cargill’s commitment to cocoa farmers and their communities, enabling them to achieve better incomes and living standards while growing cocoa sustainably. This includes a strong focus on giving women more access to economic opportunities, which is vital for strengthening the socio-economic resilience of cocoa farmers, families and communities. Such interventions also improve farm productivity, helping to secure cocoa as a livelihood for generations to come. Cargill works to upskill women in cocoa communities via functional and financial literacy training and entrepreneurship trainings. This has a positive ripple effect, since women tend to reinvest any earnings into their families and communities.

In partnership with CARE, across Ivorian and Ghanaian cocoa communities, the partnership supports people to access the resources, skills, and tools necessary to change their own lives. Cargill has specifically focused on facilitating access to savings and credit structures like Village Saving and Loans Associations (VSLAs) since 2008. VSLAs are established to create and support a strong savings culture in the community. Members are also able to take out small loans to build income-generating activities. These groups base their activities on trust, accountability, and transparency in all transactions. Savings and loan activities bring together neighbors who trust each other, and often these groups meet for many years.

CARE and Cargill understand the value these groups bring to communities and have focused on bringing credit closer to the farming families over the last decade. Among the chief lessons learned was to leverage technology to increase the pace of implementation and change at scale. Cargill and CARE’s VSLA approach has created an enormous value in the communities they serve, improving access to finance for women and men who are often excluded from formal financial systems. The VSLAs provide members a platform to access informal financial services and training across various topics, including financial literacy, business management, and diversification through income-generating activities.

The company aims to take the VSLA platform to the next level within the CARE-Cargill partnership, building a new generation of VSLAs that not only improve access to finance at the community level, but also open doors to the emerging digital economy. This includes digitization of the VSLA process using a shared digital platform to promote effective cashless systems by reducing security risks and increasing productivity. It also entails transforming a paper-based record system to an electronic system to improve tracking of loans and savings across VSLAs, enhancing group efficiencies, transparency, and data sharing. The evolution of VSLAs into the digital world will accelerate and deepen financial inclusion while increasing the usage of digital financial services in rural cocoa communities.

IDH, Cargill, Advans and CARE are working with cocoa producing communities on innovative solutions such as mobile money accounts or digital loans, as well as connecting the VSLAs to more formalized financial lending systems and institutions. CARE has been facilitating access to financial services for 27 VSLA groups to increase working capital, stimulate the promotion of a savings culture, and improve the quality of financial services. Between 2019-2020, these VLSAs were linked to a microfinance institution called Advans. Advans has signed a partnership with a mobile phone company to facilitate secured monetary transactions for VSLAs. To date, these VSLAs have $2,247 in invested savings with Advans. VSLA members are looking to use their savings to invest in business expansion activities, including processing, trading, transportation of agricultural products and animal husbandry. In the coming months, Cargill and CARE will focus on linking 40 more VSLAs with microfinance institutions to further secure their savings and increase the amount of loans they can access to expand their income generating activities.

The Coca-Cola Company

The Coca-Cola Company (TCCC) strives for a gender-balanced workplace. The Company believes that investing in and empowering women not only directly benefits them, but also its business and its communities. According to publicly available statistics, companies in the top quartile for gender diversity on executive teams are 21% more likely to outperform on profitability. TCCC has an aspiration to be 50% driven by women, and focuses on growing and developing female leadership and its female workforce overall. To make progress, the Company has leaned into a number of initiatives:

In 2007, TCCC started a Global Women’s Leadership Council (GWLC), comprised of women and men executives, that focused on accelerating the development and promotion of women into roles of increasing responsibility and influence. The GWLC did this through actions across 3 pillars:

• Sponsorship: A sponsorship program for female leaders matched to Executive Leadership Team members including the CEO.
• Pipeline: Launching the Women in Leadership program, a global System program designed to accelerate the leadership capabilities of women in the pipeline at mid-level positions. More than 850 female employees to date have participated in the program.
• Bias Awareness: In order to help foster an inclusive culture and to engage men as allies in the pursuit of our diversity and inclusion aspirations, The Coca-Cola Company expanded the GWLC to include women and men.

The Company also established a Women’s LINC Business Resource Group (BRG), designed to engage employees in support of our gender diversity and inclusion priorities, with a mission to empower women to lead, inspire and connect. The BRG now has approximately 1,500 members in the U.S., and there also several other chapters around the world.

TCCC’s efforts have included gender-neutral paid parental leave and committing to paying all associates fairly and equitably. The company has been conducting pay equity analyses (with regard to gender and race/ethnicity) in the U.S. for the Corporate function for several years. In 2019, it extended the pay equity analysis for gender globally across all business units (now operating units) of the company, as well as employees of Coca-Cola North America. Between 2017 and September 2020 women in senior leadership roles globally in the Company increased 2.4% from 31.4% to 33.8%. In 2020, four new North America Operations Zone Presidents were appointed – all were qualified women.

Coca-Cola Women in STEM (CWIS) is an internal organization dedicated to contributing to the talent pipeline at The Coca-Cola Company by raising awareness of STEM (Science, Technology, Engineering and Math) opportunities in the community, and by empowering, educating and inspiring the women of Coca-Cola to excel in leadership under the STEM umbrella. CWIS has about 5000 members and reaches thousands of middle/high school and college students each year though STEM events and scholarships.

Global Supplier Diversity and Inclusion

The Coca-Cola Company (TCCC) is acutely aware that its global success is made possible, in no small part, by diverse suppliers – including women-owned businesses. A diverse supplier base helps develop stronger local communities and creates long-term growth and a competitive advantage for the Coca-Cola system. Accordingly, TCCC set a goal to increase diverse supplier 1st-tier spend to $1 billion by 2021.

TCCC’s approach begins with fully understanding the business needs and identifying the diverse supplier capabilities and capacities that matches those needs and fully engaging them in potential opportunities. Through the diverse supplier engagement process, the company gains a working knowledge of the supplier’s business which helps the Company “tell the story” initially to the Coca-Cola procurement team in question. In many cases, Coca-Cola hosts multiple capability sessions (phone calls, in-person presentations, site visits, etc.) with potential diverse suppliers to confirm and prepare them for the next level of engagement with key business decision makers within the Company.

Through our Supplier Training & Empowerment Program (STEP), the Company helps the Coca-Cola system’s women-owned suppliers stay competitive and grow their businesses. Since the program launched in 2014, STEP has trained more than 41,846 women business owners as of the end of 2020.

TCCC also offers Supply Chain Financing to diverse suppliers to help them manage their cash flow. The Finance program benefits include early payment, reduced Days Sales Outstanding (DSO), an infusion of working capital and access to an alternate source of financing (liquidity). Suppliers who have enrolled find the program financially advantageous, especially where payment is received early so that they have working capital to pay their suppliers and (or) buy raw materials. In 2020, TCCC made a commitment to increase spend with Black-owned enterprises across its supply chain by at least $500 million over the next five years. The pledge – which is more than double the company’s current spend with Black-owned businesses – will provide Black entrepreneurs and innovators with opportunities for growth and economic empowerment. This commitment is in addition to our previously stated diverse supplier spending goal of $1 billion by the end of 2021.

5by20. According to a baseline study conducted by the Company in 2011, an estimated 86 percent of small retail shops globally are owned or operated by women.

In 2010, The Coca-Cola Company (TCCC) made a commitment to enable the economic empowerment of 5 million women entrepreneurs across its global value chain by 2020. The decade -long 5by20 program equips women entrepreneurs to overcome social and economic barriers by providing business skills training, access to financial services and assets, and connections with peers and mentorship networks. The women participating in 5by20 work in roles across Coca-Cola’s value chain, including retailers, suppliers, producers, artisans and more. The program also covers women who have been empowered beyond the Company’s value chain, through The Coca-Cola Foundation-funded initiatives.

One example of a 5by20 program is the “Success IS ME” program in Poland. This is a nationwide project helping women to build their self-esteem and strengthen their business and life competencies. This includes building the knowledge and skills of women to start and operate profitable businesses, and to successfully search for and secure a job or to change jobs. The project operates an online knowledge sharing platform, holds regional conferences and local workshops, and has established ambassador networks in 30 cities in Poland who organize monthly workshops and provide online support through closed Facebook groups. Another example is the Philippines Sari Sari 5by20 program, that targets micro-small and medium sized women-led enterprises. In 2020, the Covid-19 pandemic induced health and economic crisis, disproportionately impacting women and their businesses. Together with partners in the Public and Private sector Coca-Cola Philippines set out to support over 20,000 micro-retailers by launching the Rebuilding Sari-Sari Stores Through Access to Resources and Trade program or the ReSTART program earlier in the year. This timely program specifically addressed the barriers faced by micro-retailers during the pandemic such as Lack of access to much-needed capital, guidance on how to safely re-open and operate their business, plus the needed skills and know-how to properly navigate through the uncertainty as they steadily got back on their feet.

As of the end of 2020, TCCC, working alongside its partners has achieved its goal of having enabled the economic empowerment of over 6million women in diverse programs across 100 countries.

Several lessons have been learnt from the 5by20 initiative:

• Engagement of Company leaders and partners was key throughout the process, from program inception to completion. 5by20’s shared ownership model provided the foundation for long term sustainability of the project, including aligned values, strategic leadership, the development of tactics, and the commitment of time and resources.
• Working with the right implementing partners to help scale programs and achieve our goal was key from the onset of the program.
• Technology was an emergent tool of 5by20 efforts, particularly around the use of online, digital platforms for training delivery and locations suitable for women with heavy family obligations. Technology offers a means for rapid program scaling, as well as enhancing the monitoring and evaluation of programs.
• As this was a numerical goal, we instituted a transparent and rigorous counting methodology and Governance framework for reporting – This meant a strong governance process that enabled independent third parties to validate and provide review-level attestation over the 5 million women enabled by our Program, were key to ensuring program integrity.

Colgate-Palmolive

Colgate Women’s Games is the United States’ largest amateur track series open to all girls from elementary school through college and beyond. Competitors participate in a series of meets to determine finalists who will compete for educational grants-in-aid from Colgate-Palmolive Company. Colgate’s goal is to help girls and women from underserved communities thrive, using the competition as a means to emphasize the value of education—key to Colgate’s purpose to reimagine a healthier future for all people and the planet.

Colgate-Palmolive believes creating a diverse, equitable and inclusive culture is key to its growth. That’s why Colgate has made the commitment to ensure gender equity in its hiring, evaluation, and retention. The company now requires a diverse slate of candidates for hiring and extra effort is made to ensure promotions are gender and racially equitable. Colgate reviews job descriptions to eliminate gender bias, and has also instituted training for unconscious bias and allyship. In addition to equal pay, managers are accountable for maintaining inclusive teams.

The company also has a longstanding partnership with Women Unlimited as well as formal leadership programs that benefit women, including Colgate Leadership Challenge and BetterUp programs for mid-level managers, and Global Leadership: Discover and Create the Future, for emerging senior executives. Women lead priority growth areas for the company, including: Colgate’s digital transformation, led by Colgate’s Chief Digital Officer, EltaMD and PCA Skin premium skin health brands Tom’s of Maine and Hello Products natural personal care brands.

Women also occupy key positions within Colgate’s Global Innovation Group, which itself is led by a female Group President, and includes women in senior leadership roles: Chief R&D Officer, Chief Clinical Officer, Chief Sustainability Officer, Chief Procurement Officer, Vice President, Global Oral Care, Vice President, Global Public Health, and Vice President, Supply Chain, Latin American Division.

Fiserv is committed ensuring women have every opportunity to succeed and lead at the company. To this end, Fiserv provides an expansive gender neutral paid parental leave benefit, Women’s Leadership development programming, and has a global Women’s Impact Network designed to support, connect, and empower women employees and their allies for engagement, internal mobility, and career development and progression.

Fiserv has committed to bringing more women and girls into technology careers. The company (1) partners with Women In Technology (WIT) to inspire, hire and empower women in technical fields; (2) provides scholarships to women in technology to ensure inclusive pathways into STEAM; (3) partners with Girls Who Code and the Girl Scouts to provide access to technology at an early age; and (4) works closely with BBBS to provide STEM kits to girls in unrepresented communities.

Women, who comprise the majority of the global garment workforce, disproportionately face challenges in the workplace, especially regarding harassment. Over the years, Gap Inc. has conducted regular assessments of the facilities with which it works and has found serious violations related to gender-based discrimination and harassment. These issues require all relevant stakeholders in the garment sector to invest more time and resources to address. To do its part, in 2018, Gap Inc.’s Supplier Sustainability team worked with its suppliers in India to improve how they scope and implement policies on Gender Based Violence Prevention & Response (GBVP&R). Gap Inc.’s aim was to help its suppliers raise awareness about Gender Based Violence and the rights and responsibilities of male and female employees, including supervisors and managers. To review progress, Gap Inc. assessments include components on GBVP&R and determining areas for improvement, if needed, within a remediation plan. Gap Inc. has continued to evolve its efforts based on its learnings. Specifically, the company expanded these trainings to address gender-based discrimination and harassment in Bangladesh, Cambodia, China, El Salvador, Guatemala, Haiti, Honduras, Indonesia, Jordan, Nicaragua and Vietnam. By the end of 2019, Gap Inc. had conducted trainings for more than 500 facilities in its global supply chain—about 70% of all facilities it works with.

Looking ahead, Gap Inc. will build on this program to focus on women’s empowerment, which it will link to Empower@Work, a collaborative effort with BSR HERproject, ILO Better Work, and CARE. It aims to use common curriculum, best practices and collective action to advance women’s empowerment and gender equity in global supply chains.

In 1969, when Doris and Don Fisher opened the first-ever Gap store, they began to shape a culture of equality by contributing the same amount and running the business as equal partners. This was during an era where less than 40 percent of women worked outside the home. Fast forward to today, women account for nearly 76 percent of Gap Inc.’s worldwide employee base and a majority of company management. Equal Pay Day highlights the lingering discrepancy in pay between men and women, as well as the progress being made toward closing the gender pay gap. The good news is that every day is Equal Pay Day at Gap Inc., where women and men are paid equally for equal work. In 2014, Gap Inc. made history by becoming the first Fortune 500 company to publicly confirm it pays men and women equally for equal work. Third-party analysis showed no significant gender wage difference between the women and men at Gap Inc., thus confirming “equal pay for equal work.” Dollar for dollar, pound for pound, yen for yen. There is no gender pay gap across Gap, Inc. Since 2014, Gap Inc. has conducted annual reviews of its pay data by gender. While it has strong data to back its commitment to gender pay parity, it is aware that more work needs to be done. In 2020, the company began using an external firm to assess its pay data by race for all U.S. employees.

Addressing the systemic challenges of the apparel industry requires collaboration. Gap Inc. embraced this approach by working closely with its suppliers to build their capabilities, by joining industry-wide efforts to share best practices and improve efficiency and by partnering with local and international NGOs on innovative programs that benefit workers. In an effort to improve the livelihoods of garment workers and help improve supply chain transparency and efficiency, in early 2018, Gap Inc. announced a goal for all of its tier 1 suppliers to make the transition from a cash-based system to digital payments by 2020. As of the end of 2020, 96% of the company’s suppliers were using digital wage payments, and Gap Inc. had rolled out programs in 23 countries.

To support its commitment, Gap Inc. joined the UN’s Better Than Cash Alliance (BTCA), which works with the private sector, governments and international organizations to accelerate the transition to digital payments, which can help reduce poverty, build financial inclusion and support inclusive growth. It also advances supply-chain efficiency and transparency.

In addition to promotion of digital wage payments, Gap Inc. has also leveraged technology to enable workers to amplify their voices through the Workforce Engagement Program (WEP), which seeks to increase worker engagement and empower facilities to make worker-centric improvements. In India, where 100% of the facilities with which the company works now provide digital wage payments, time spent on payroll is down by 10% for finance teams and 25% for HR teams. Digital wage systems have also supported more transparency in worker payments, including overtime, which has helped ensure workers get paid what they earned. As a result, worker attrition and turnover has dropped by 15% to 20%.

The company’s suppliers benefit from cost savings via a faster, more efficient payment system. Digital wages also help to increase accountability and transparency across the garment sector. Since financial inclusion requires both access to financial services and knowledge about how to use those products and services, Gap Inc. is evaluating how it can tie its digital wage-payment work to financial-literacy training programs.

Collaboration is key to driving transformational, systemic change on issues bigger than any one of us can tackle individually. That’s why Gap Inc. partnered with BSR’s HERproject, ILO Better Work, and CARE to launch Empower@Work, a collaborative effort dedicated to empowering women and advancing gender equity in global supply chains through the sharing of knowledge, skills and networks. By harnessing the power of collective reach and pooling knowledge and resources, the company aims to support economic independence and a better future for the more than 80 million women working in the apparel industry worldwide.

The approach is built on two pillars: (1) Act to encourage and share best practices in worker training; and (2) advocate by amplifying collective voice for policy-level change. Empower@Work released an open-source worker training toolkit for women’s empowerment that includes Gap Inc.’s P.A.C.E. women’s curriculum, as well as expertise and training from the other partners. One of the core pillars of Empower@Work focuses on influencing and policy advocacy, engaging key stakeholders across the apparel industry including governments, worker organizations, brands, and others. While the development of the Empower@Work operating model is still in progress, Gap Inc. intends to leverage this platform to bring these stakeholders together to, for example, prioritize women in COVID-19 response and recovery efforts. A fundamental guidepost for this work is ILO Convention C-190.

Today, women are 27 times more likely to experience online violence than men. This is why Women Techmakers, Google’s flagship program supporting women in technology, launched a campaign in partnership with Jigsaw to train and engage women developers to build scaled technical solutions to keep women safe online. Now running in five regions, Google’s goal is to train 50,000 women in online safety by the end of year. In support of domestic abuse survivors impacted by shelter-in-place, Search and YouTube, together with the National Network to End Domestic Violence (NNEDV), launched a campaign called #ISeeYou to increase the visibility of available services to women globally. Alongside the campaign, Google granted $2 million in Search ads to domestic violence organizations to show our support for reducing domestic violence.

Women Will is Google’s program for economic opportunity for women, The program is making an impact in 49 countries, supporting women’s economic potential through digital skills and community building. The company’s data-driven insights show that while the gender gap persists, women are unable to truly thrive at home and at work. During the COVID-19 pandemic, through Women Will, Google’s online career development and entrepreneurship workshops reached over 80,000 women across the globe.

Johnson & Johnson

In Ethiopia’s Amhara, where rates of child, early and forced marriage are high, Johnson & Johnson implemented Towards Improved Economic and Sexual Reproductive Health Outcomes for Adolescent Girls in Ethiopia (TESFA) to address the economic rights and sexual and reproductive health of ever-married girls. Between 2015-2018, CARE worked with married adolescent girls and developed tested approaches to support positive changes in their lives. TESFA scaled up geographically, reaching 2,124 ever-married girls in 12 kebeles across the woredas of Farta and Gunabegemider. This project has been critical in replicating and geographically scaling a proven program model to improving girls sexual reproductive health and economic empowerment, and has advanced innovations in measuring social norms.

Recognizing that many employees have long commutes to the office, Kabbage, implemented flexible work schedules to allow for shared domestic responsibilities. They quickly found that worker productivity or output did not diminish and that both male and female colleagues felt less stress to rush home.

Kabbage observed that it had a dearth of women in technical positions at the company. To remedy this, the company overhauled its hiring procedures to mandate gender parity on interviewee candidate slates before the interviewing process can begin. Additionally, Kabbage changed the language in its job postings, included more inclusive pictures on our website, and offered a more flexible interview process so that women are able to choose what time of day works best. These small changes dramatically improved the hiring and retention of women. Among their central learnings from this work was that focusing community over company product was helpful in attracting and retaining a diverse workforce and that small changes can have a big impact.

The company offers free healthcare, including reproductive health services.

Kabbage’s business model is tied to the goal of democratizing access to financial services. By leveraging the customer’s real-time, online data, including transaction information, bank data, accounting information, and shipping records, to name a few of the 2.5+ million live connections, Kabbage is able to blindly underwrite businesses regardless of their race or gender. As a result over 30% of its customers are women- and/or minority- owned small business.

In 2020, Mars launched Full Potential – its platform to amplify work on gender equality across its workplaces, sourcing communities, and marketplaces where goods and services are advertised and sold. The platform fits within its enterprise wide I&D strategy that focuses on gender balance, workforce representation, and inclusion.

In its workplaces, Mars is committed to continue equal pay for male and female Associates. They are aspiring to reach 100% gender-balanced business leadership teams across the enterprise. And They are advancing Mars approach to flexible work – understanding that remote working opportunities can support individual needs and performance.

In communities, Mars recently expanded their partnership with CARE with a new $10 million investment over the next 5 years aims to empower 50,000 people in cocoa sourcing communities. This work is supplemented by an in initial $5 million contribution to CARE to advance COVID-19 response efforts across four supply chains.

In the marketplace, Mars reviews its advertising to identify and reduce gender bias to track and improve performance over time. In partnership with UN Women’s Unstereotype Alliance Mars is working to remove negative stereotypes in its advertising and increasing access to opportunity by mandating that agency bids must include a female director. And Mars is leveraging its brands, such as DOVE to raise awareness and support women in sourcing communities. Mars launched a consumer campaign #HeretoBeHeard to hear from women around the world and will use these insights to expand and amplify its work.

Mars recognized that its advertising and marketing reach could be a force for gender equality. To that end, the company has worked to remove gender bias and negative stereotypes in its advertising by becoming a founding member of the UN Women’s Unstereotype Alliance and increasing access to opportunity by mandating that agency bids include a female director. Additionally, Mars annually reviews its advertising to identify and reduce gender bias in partnership with the Geena Davis Institute on Gender in Media. The company is using these insights to track and improve its performance.

Mars recognized that for many agricultural raw materials, the least resilient link in the supply chain is the first one—where raw materials are grown and harvested. During COVID-19, pre-existing vulnerabilities in sourcing communities were compounded by disruptions including restrictions on movement and trade, changes in demand, currency devaluation, losses of work opportunities, and school closures. Moreover, women around the world face structural barriers that prevent them from thriving, especially in agriculture where raw materials are grown and harvested. Even after decades of progress, women make up two thirds of the world’s 775 million illiterate adults, carry out twice the unpaid care work, own only 20% of the world’s land and earn 24% less than men.

Recognizing these challenges and inequities, Mars committed to scale up its partnership with CARE with an investment of 10 million USD, aiming to reach more than 60,000 members in cocoa communities in Côte d’Ivoire and Ghana by 2025. Mars’ commitment expanded Village Savings and Loans Associations (VSLAs) that help women to save and invest in West African cocoa farming communities. Through VSLAs, women have access to financial inclusion and connection to formal finance, as well as business skills and entrepreneurship training. By the end of 2020, Mars had reached more than 24,000 VSLA members, who have saved 2.9 million USD to date.

In response to the COVID-19 pandemic, Mars also made an initial $5 million contribution to CARE focused on COVID-19 response and recovery across high-risk priority supply chains focusing efforts on women and girls. To date, these efforts have reached 451,472 community members with direct COVID-19 awareness messaging; provided cash support to 1,273; food support to 5,706; gender- based violence training to over 427,589 men and women; distributed over 13,000 washing stations across various communities; and supported nearly 150,000 people with hygiene kits and PPE.

Mars is partnering with others to unlock opportunities for women across sourcing communities around the world. The company invested more than $4.5 million in initiatives that include empowering women in coconut, vanilla and shea sourcing communities with the Livelihoods Fund for Family Farming. Additionally, Mars is reaching more than 4,500 women through self-help groups in mint sourcing communities in India through the Shubh Mint program and is supporting more than 800 women rice farmers in Thailand with expanded business skills and training through the Sustainable Rice Platform.

HERfinance – The Mastercard Center for Inclusive Growth has worked with BSR to scale up wage digitization for ready-made garment factories and workers in Bangladesh, Egypt, and Cambodia. The program focuses on implementing workplace training, especially tailored to women, and has included the development of specialized technology training tools to help factory managers and workers effectively transition to—and use—digital financial services. Shifting behavior away from cash is an extremely challenging task, regardless of gender. However, due to their unique circumstances, women remain at an increased risk of missing out on the benefits of digital financial services. For example, they are less likely than men to appear in the tax rolls, have formal identification, or own a cell phone. Moreover, they are less likely to control household finances. The existing digital gender gap, coupled with these barriers, means women may not have the access, knowledge, or confidence to use or fully benefit from digital solutions without additional support. Well-designed programs which support the transition from cash to digital financial services and take gender biases into account can increase women’s control over their finances, enhance their prospects for economic recovery and empowerment, and improve resilience in the long run. Since empowering women is critical for gender equality and brings clear socio-economic and business gains, their needs and circumstances should be strongly considered in policy and programmatic responses. This includes prioritizing efforts to support women’s financial resilience as they recover from COVID-19 and the associated economic challenges.

The Mastercard Center for Inclusive Growth realized that without training, digital wages may offer little to no benefit. While digital wages programs may succeed in providing workers with accounts and transitioning factories away from cash payments, this may be a token gesture with little impact if workers are not trained and encouraged to use digital financial services. In 2017, for instance, when the garment industry in India digitized wages, there was limited training provided to workers. Three years later, research found that male and female workers are still withdrawing 100 percent of their wages on payday.

By contrast, through the HERfinance Digital Wages programs in Bangladesh, workers have been trained on using their mobile money accounts to send remittances to families, save money in their accounts (which helps them to better weather future shocks), and make payments for products in areas around the factory. As a result, they became active mobile money users: women were conducting approximately eight transactions per month and men 13 transactions. If gender is considered from the start, digital payments can enable women’s economic empowerment. In Bangladesh, for example, women are often forced to hand over some or all of their wages to husbands or male family members.

Paying women digitally does not necessarily alleviate this problem and may, in some cases, make it worse. The HERfinance Digital Wages programs have therefore devoted significant time to discussing the advantages of joint financial decision-making with both men and women, leading to female participants reporting increased control over their wages. If the specific barriers women face are accounted for and incorporated into training programs, there is an increased likelihood that gender norms can be shifted, paving the way for greater women’s empowerment.

McCormick & Company, a global leader in flavor, launched their Purpose-led Performance (PLP) sustainability strategy in 2017 with a commitment to improving the lives of people, communities, and the planet, but more specifically, the Company aims to increase the resilience of farmers, including women, across their global supply chains. To achieve this, McCormick partnered with CARE to (1) diagnose the roles that women played in their supply-chains; the challenges they face, and the risks these pose to resilience; (2) design a global framework to increase resilience and achieve its PLP goals, including increasing the resilience of women in their supply-chain; (3) deliver programming that supports communities, including in COVID-19 response; and (4) document the impact of this work so that McCormick can make strategic business decisions around resources and understand what is improving, where and how. Through a deep dive into McCormick’s supply chain, CARE developed a dashboard that allows McCormick to clearly see the risks that women face, and make effective resource-allocation decisions accordingly, that deliver on their PLP goals.

McCormick & Company, a global leader in flavor, launched their Purpose-led Performance (PLP) sustainability strategy in 2017 with a commitment to improving the lives of people, communities, and the planet, but more specifically, the Company aims to increase the resilience of farmers, including women, across their global supply chains.

To achieve this, McCormick partnered with CARE to (1) diagnose the roles that women played in their supply-chains; the challenges they face, and the risks these pose to resilience; (2) design a global framework to increase resilience and achieve its PLP goals, including increasing the resilience of women in their supply-chain; (3) deliver programming that supports communities, including in COVID-19 response; and (4) document the impact of this work so that McCormick can make strategic business decisions around resources and understand what is improving, where and how. Through a deep dive into McCormick’s supply chain, CARE developed a dashboard that allows McCormick to clearly see the risks that women face, and make effective resource-allocation decisions accordingly, that deliver on their PLP goals.

In response to the COVID-19 pandemic and its social and economic impacts, Microsoft has focused on providing critical digital support for the world’s first responders, governments, and communities around three areas: (1) leveraging digital technology in concerted efforts to protect public health; (2) promoting inclusive economic recovery; and (3) ensuring digital safety.

To this end, in part, Microsoft launched a Global Skills Initiative, committing to helping 25 million people acquire new digital skills needed for the COVID-19 economy. This comprehensive technology initiative brings together every part of the company, combining existing and new resources from LinkedIn, GitHub, and Microsoft. Microsoft is also partnering with local and international humanitarian organizations in communities most at risk on COVID-19 providing technology and services to help scale needed response programming. Examples of efforts promoting empowerment of women through technology include:

• Microsoft in partnership with Care Egypt Foundation and the Egyptian Government has expanded Tawar Ghayar program aiming at improving skilling and employability of Egyptian underserved youth by upskilling 250,000 youth upskilled on Digital Skills, Employability & Business Skills, empower 7,500 Youth with Career Coaching & Guiding sessions and match 4,000 youth with job opportunities.
• Partnering with CARE to help create a new modern data architecture and business intelligence reporting for its COVID-19 “Women Respond” gender and data initiative to enable CARE to identify and respond to the most urgent needs of women and girls, and advocate for equitable access to services and resources for women.
• The accelerated deployment of the UNICEF Learning Passport. Girls are at most risk losing access to education during the crisis and not returning to school post-crisis. The Learning Passport will extend education for children online and offline.
• AI for Humanitarian Action has created the focus area Needs of Women & Children where the company will seek nonprofit projects demonstrating use of AI to ensure the safety and wellbeing of women and children around the world.

PepsiCo has implemented a number of programs to support mothers and caretakers at all levels of the company. These initiatives included:

• Providing on-site childcare at PepsiCo’s New York headquarters and near-site childcare at PepsiCo Foods North America headquarters in Texas. The company also provides on-site or near-site childcare at international locations, including Mexico, India, Egypt, and Pakistan, and in, outside of the US, provides enhanced maternity leave policies, flexible work hour policies, entertainment for children at home, and well-being programs and a well-being support line;
• In more than half of company locations worldwide with 500 or more employees, the company has either dedicated mother’s rooms, wellness rooms, or alternate space available for nursing mothers and the company is actively working to expand the number of PepsiCo locations with facilities for nursing mothers in the coming years.
• Making available back-up child and elder care services are available through third party providers when a regular care provider is unavailable.
• Launching “Ready to Return” in 2017 in New York for professionals who are re-entering the workforce after taking time off to care for a loved one. Ready to Return is a 10-week paid program designed for experienced professionals who have been out of the corporate workforce for more than two years and are looking to return. To help ease the transition, participants are provided with mentoring and coaching support, training to refresh skills and formal and informal networking opportunities with PepsiCo employees. In 2018, Ready to Return was expanded to Latin America, and now includes Brazil, Chile, and Mexico. This program is a demonstration of PepsiCo’s support for working caregivers in our communities around the world and a means to build the female talent pool at PepsiCo. (5) Expanding parental leave in the U.S., starting in 2021, to be 6–8 weeks for mothers and 6 weeks for parents — a total of 12-14 weeks.

Women’s work in agriculture—essential to meet the nutrition needs of a growing global population—is often unpaid and undervalued. Research shows that if women farmers had the same access to resources as men, they could increase yields on their farms by 20–30 percent, potentially reducing the number of hungry people in the world by up to 150 million. To that end, PepsiCo is the largest private sector partner in CARE’s She Feeds the World program, which is addressing gender inequality in the agriculture sector. The company’s $18.2 million investment aims to provide approximately 5 million female farmers and their families with education, resources and economic support that can help them increase crop yields and income. The program is active in Peru, Egypt and Uganda. In Uganda where the partnership with CARE first launched, PepsiCo has reached nearly 200,000 people with trainings that tackle issues like gender inclusive leadership, sustainable farming and sanitary food preparation.

PepsiCo made a firm commitment to having 50% of management roles held by women by 2025. In doing so, they implemented a number of programs that benefitted women at all levels of the company. These initiatives included:

• Developing a Transformational Leadership Program (TLP) designed to equip women with the tools they need to elevate their business impact and achieve career fulfillment. By providing participants with the knowledge and skills to navigate a global matrix organization and increase their effectiveness and influence, the TLP helps propel high-performing teams and innovation at PepsiCo in the U.S., Europe, Asia, Middle East, and North Africa across multiple functions and levels.
• Providing on-site childcare at PepsiCo’s New York headquarters and near-site childcare at PepsiCo Foods North America headquarters in Texas. The company also provides on-site or near-site childcare at international locations, including Mexico, India, Egypt, and Pakistan.
•  Launching “Ready to Return” in 2017 in New York for professionals who are re-entering the workforce after taking time off to care for a loved one. Ready to Return is a 10-week paid program designed for experienced professionals who have been out of the corporate workforce for more than two years and are looking to return. To help ease the transition, participants are provided with mentoring and coaching support, training to refresh skills and formal and informal networking opportunities with PepsiCo employees. In 2018, Ready to Return was expanded to Latin America, and now includes Brazil, Chile, and Mexico. This program is a demonstration of PepsiCo’s support for working caregivers in our communities around the world and a means to build the female talent pool at PepsiCo.
• Expanding parental leave in the U.S., starting in 2021, to be 6–8 weeks for mothers and 6 weeks for parents — a total of 12-14 weeks.

Starbucks is committed to 100 percent gender and racial pay equity. Indeed, Starbucks has achieved — and maintained — 100 percent pay equity for women and men and people of all races performing similar work in the United States. In 2018, when the company first hit that milestone, it also announced that it is committed to reaching 100 percent gender pay equity for our all partners in Starbucks company-operated markets globally. A year later, on March 20, 2019, Starbucks verified that it reached that goal in China and Canada — and it is continuing this work around the world.

Starbucks is also encouraging multinational companies to achieve global gender pay equity, with the support of equal rights champion Billie Jean King and her Leadership Initiative (BJKLI) and leading national women’s organizations, the National Partnership for Women & Families (National Partnership) and the American Association of University Women (AAUW) – by sharing the principles and tools the company uses.

Leveraging its experience working to achieve pay equity in the U.S., Starbucks has formulated pay equity principles – equal footing, transparency and accountability – that employers can implement to help address known, systemic barriers to global pay equity. In the U.S., we’ve also established best practices supporting each of these principles, and going forward we will establish global practices as well. To learn more, please click here .

Through funding for a multi-country project focused on worker well-being in the garment supply chain, Target has been strong support of a number of advocacy efforts in Asia aligned with CARE’s global campaign to support the ratification of ILO Convention 190 on Violence and Harassment in the World of Work. In Vietnam, CARE worked to ensure issues of gender equality in the workplace were considered in the national Labor Code. As a result of these efforts, specific provisions focused on preventing sexual harassment in the workplace – including a standard definition; requirements for workplace regulations to protect employees; and responsibilities of employers, employees and other stakeholders – have been included in the revised Labor Code for the first time when approved by the National Assembly in November 2019. When the Labor Code and associated Guiding Decree are implemented in 2021, it is estimated that approximately 1.2 million Vietnamese garment workers will benefit from the new provisions, along with millions more in other sectors.

Progress on the Sustainable Development Goals: The gender snapshot 2022

Publication year: 2022.

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The latest available Sustainable Development Goal (SDG) 5 data show that the world is not on track to achieve gender equality by 2030.

COVID-19 and the backlash against women’s sexual and reproductive health and rights are further diminishing the outlook for gender equality. Violence against women remains high; global health, climate, and humanitarian crises have further increased risks of violence, especially for the most vulnerable women and girls; and women feel more unsafe than they did before the pandemic. Women’s representation in positions of power and decision-making remains below parity. Only 47 per cent of data required to track progress on SDG 5 are currently available, rendering women and girls effectively invisible.

Nearly halfway to the 2030 endpoint for the SDGs, the time to act and invest in women and girls is now.

“Progress on the Sustainable Development Goals: The gender snapshot 2022” presents the latest evidence on gender equality across all 17 Goals , calling out the long road ahead to achieve gender equality. It emphasizes the interlinkages among the goals, the pivotal force gender equality plays in driving progress across the SDGs, and women and girls’ central role in leading the way forward.

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Progress on the Sustainable Development Goals: The gender snapshot 2023

Progress on the sustainable development goals: the gender snapshot 2021, progress on the sustainable development goals: the gender snapshot 2020.

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With this online database of sustainable development case studies, the SDG Fund has gathered a selection of best practices on “how” to achieve a sustainable world and advance the 17 Sustainable Development Goals.

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Occupied Palestinian Territory: A One-Stop-Shop for Sustainable Women-Owned Businesses

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The Sustainable Development Goals – SDG#5 Gender Equality

Attaining the 2030 Sustainable Development Goal of Gender Equality

ISBN : 978-1-80455-835-5 , eISBN : 978-1-80455-832-4

Publication date: 14 December 2023

Hales, R. and Birdthistle, N. (2023), "The Sustainable Development Goals – SDG#5 Gender Equality", Birdthistle, N. and Hales, R. (Ed.) Attaining the 2030 Sustainable Development Goal of Gender Equality ( Family Businesses on a Mission ), Emerald Publishing Limited, Leeds, pp. 1-11. https://doi.org/10.1108/978-1-80455-832-420231001

Emerald Publishing Limited

Copyright © 2024 Rob Hales and Naomi Birdthistle. Published by Emerald Publishing Limited. These works are published under the Creative Commons Attribution (CC BY 4.0) licence. Anyone may reproduce, distribute, translate and create derivative works of these works (for both commercial and non-commercial purposes), subject to full attribution to the original publication and authors. The full terms of this licence may be seen at http://creativecommons.org/licences/by/4.0/legalcode.

These works are published under the Creative Commons Attribution (CC BY 4.0) licence. Anyone may reproduce, distribute, translate and create derivative works of these works (for both commercial and non-commercial purposes), subject to full attribution to the original publication and authors. The full terms of this licence may be seen at http://creativecommons.org/licences/by/4.0/legalcode .

Introduction

The 2030 Agenda for Sustainable Development, adopted by all member states of the United Nations in 2015, is a shared blueprint for people and the planet, intending to achieve peace and prosperity for all. The Sustainable Development Goals (SDGs) is a call to action, to develop innovative solutions to some of the world's most complex, societal, and environmental challenges. Businesses play a crucial role in forging this path, and since family businesses account for more than two-thirds of businesses worldwide and contribute to 70–90% of the world's gross domestic product (GDP), we believe it is important to showcase the role they play in facilitating the achievement of these SDGs.

The 2030 Agenda for Sustainable Development is a call to action for all countries to address ‘the global challenges of poverty, inequality, climate change, environmental degradation, peace and justice’. These challenges are identified by 17 SDGs as depicted in Fig. 1 and within the SDGs are a total of 169 targets. These 17 SDGs acknowledge that ending poverty and other global challenges need strategies that improve health and education, reduce inequality, and spur economic growth – all while tackling climate change and working to preserve our oceans and forests ( United Nations, 2021 ).

17 Sustainable Development Goals.

This book makes an important contribution to research on family businesses by highlighting how businesses can make valuable contributions towards sustainable development and in particular SDG#5 Gender Equality. There are several streams of research emerging in the literature on family business and sustainability that are relevant to this book. Ferreira et al. (2021) identify four streams of research in family business and sustainability: family business capital, family business strategy, family business social responsibility, and family business succession. The case study approach of this book provides insights into how SDGs can be used to advance the family business's sustainability strategy and social responsibility concerning Gender Equality. How a family's trans-generational sustainability intentions positively influence the strategy of the business and the family's concern for its reputation has been identified as a driver of sustainability in family businesses. Additionally, family businesses routinely combine innovation and tradition to achieve and maintain a sustainable competitive advantage.

The COVID-19 pandemic had the effect of demonstrating that family businesses are more resilient and operate more sustainably than standard businesses (such as the shareholder approach). The reason for this lies in family businesses generally taking a long-term perspective on stakeholder relationships and the real need for long-term continuity planning to sustain the people within their businesses. The people in their business are most likely to be family members – women being an important part of the leadership of many family businesses. However, like all businesses, the COVID-19 pandemic placed financial pressures on family businesses. One needs to ask the question: How then can family businesses extend their capacity to operate more sustainably and with more social impact during times of business stress? Well, family businesses can offer unique insights into how sustainability and social impact can be part of the regenerative response to the impacts of the COVID-19 pandemic and the regenerative response to sustainability challenges. The idea for the book came from two observations. The first observation was that family businesses that had sustainability at their core were performing well despite the impacts of the pandemic. The second observation was that the SDGs were being used as a framework for regeneration after the impact of the COVID-19 pandemic.

The global pandemic of COVID-19 has presented challenges to those working towards achieving the goals. The social and economic impacts of COVID-19 are predicted to increase the divide between people living in rich and poor countries ( UNEP, 2020 ). However, if there can be concerted action using the blueprint of the SDGs, then human development can exceed pre-COVID development trajectories ( UNEP, 2021 ). What is needed is a combination of political commitment from all levels of government, investment in green economy initiatives, socially oriented innovation and a (re)focus on the purpose of business to align with SDGs. Fig. 1 shows the 17 SDGs.

The importance of family businesses in their contribution to SDGs can be envisaged in several ways. Firstly, many family business owners emphasise that the SDGs align with their core values and legacy-building efforts. They use the goals as a chance to align their business activities with a greater purpose and create a positive impact in their communities. Because of the nature of family businesses, they adopt a business purpose that provides a legacy for future generations. This results in a long-term perspective on business development and strategy. Family businesses also recognise that addressing the SDGs can enhance relationships with stakeholders, including customers, employees and local communities. Contributing to the achievement of the SDGs can foster goodwill and strengthen their reputation because of the external focus on global goals as opposed to just their own business goals ( Barrett, 2017 ).

For family business owners who seek to transform their business models, the SDGs are a source of inspiration for innovation. The integration of sustainability into their business strategies can lead to the development of innovative products, services and business models that contribute to the greater good as well as create business value. Family business owners also use SDGs to identify and mitigate risks associated with environmental, social and governance issues. By addressing these challenges as a future-oriented strategy, they aim to ensure the resilience and long-term success of their businesses ( Bauweraerts et al., 2022 ; Muhmad & Muhamad, 2021 ). Family businesses that are aligned with the SDGs are more likely to have a positive impact on their financial performance ( Muhmad & Muhamad, 2021 ). Consumers and investors increasingly favour companies that demonstrate a commitment to sustainability. Lastly, many family businesses see themselves as ethical leaders, and their commitment to ethical decision-making and responsible business conduct is enacted through business alignment and contribution to SDGs.

Book Series Focus – SDG#5

This book focuses on SDG number 5 (SDG#5) which focuses on Gender Equality. The main targets within SDG#5 are shown below in Table 1 .

SDG #5 Targets.

Source: United Nations (n.d. ).

While these targets may appear abstract to many family businesses through careful analysis, specific actions of business can contribute to the targets above. The targets are designed to be aspirational targets for countries, but businesses can make a valuable contribution to these targets and specifically advance gender equity. Each of the targets will be examined and suggested contributions that family businesses can make are provided.

Target 5.1 – End all forms of discrimination against all women and girls everywhere. An important contribution is that family businesses can create inclusive and non-discriminatory workplaces where women have equal opportunities and are treated fairly. They can implement policies that prevent gender-based discrimination in hiring, promotion and compensation. In addition, they can provide equal training and development opportunities for all employees, regardless of gender.

Target 5.2 – Eliminate all forms of violence against all women and girls in the public and private spheres. Family businesses can promote a safe and respectful work environment that prevents harassment and violence. Family businesses can establish a zero-tolerance policy for harassment and violence. Provide training to employees on recognising and addressing gender-based violence. Support anti-violence campaigns and initiatives.

Target 5.3 – Eliminate all harmful practices, such as child, early and forced marriage and female genital mutilation. Family businesses may not have a direct influence on this target; they can consider supply chain impacts. Family businesses can engage with suppliers to ensure that their operations align with the principles of gender equality and human rights. By adopting responsible sourcing practices, family businesses can contribute to a broader movement that seeks to eliminate harmful practices from various industries.

Target 5.4 – Recognise and value unpaid care and domestic work. As a result of family businesses having employees that are ‘family’, family businesses are predisposed to support work–life balance for both women and men and encourage shared caregiving responsibilities. Family businesses that are aware of these issues offer flexible working arrangements, parental leave and childcare support. The businesses also promote the importance of valuing and sharing caregiving responsibilities within families.

Target 5.5 – Ensure women's full and effective participation and equal opportunities for leadership. Women's leadership and participation in decision-making is an important hallmark of many family businesses and is important in contributing to SDG#5. These businesses actively encourage and support women's advancement into leadership roles within the business. They also provide mentorship, training and networking opportunities for women employees. If these actions are taken on a national scale in family businesses, then the impact becomes significant for their contribution to national SDG targets.

Target 5.6 – Ensure universal access to sexual and reproductive health and reproductive rights. Depending on the country where the family business is located, the business can ensure that their employees have access to comprehensive sexual and reproductive health services. They can also provide health insurance coverage that includes health services and educational services for women and girls.

Target 5. a-b-c – Undertake reforms to give women equal rights to economic resources. Family businesses are often at the forefront of business advocating and promoting economic empowerment for women within their workforce and communities. They not only ensure equal pay for equal work but can also support women's entrepreneurship by providing training, access to financing and business development resources within their organisations. Advocating for sound policies and enforceable legislation for the promotion of gender equality is also something that many family businesses undertake.

Family businesses can contribute to these SDG#5 targets by integrating gender equality principles into their organisational culture, policies and practices. By fostering an environment of inclusivity, fairness and empowerment, family businesses can play a vital role in advancing gender equality and creating a positive impact on their employees, families and communities.

The above list provides a framework for how family businesses can focus and potentially repurpose strategies to achieve sustainability actions that align with the SDGs. Progressive family businesses that have a focus on sustainability and social responsibility are likely to already be focusing on such priorities but may not realise they contribute to a country's SDG targets and in particular SDG#5.

Challenges Facing Businesses in the Achievement of SDG#5

While having the potential to contribute to the achievement of SDG#5 related to gender equality and the empowerment of women and girls, family businesses may also encounter several challenges in their efforts. Family businesses may operate within cultural contexts where traditional gender roles and norms persist that hinder the adoption and commitment to the goal. In such situations, challenging these norms and promoting gender equality in a family business might face resistance from other family members, employees and the broader community. Succession is also an issue for SDG#5. Family businesses often face succession challenges, and traditional male-dominated values and attitudes might influence decisions about who takes over leadership roles. How to break the cycle of male-dominated leadership is a key question for equal opportunities for women in leadership. Family businesses often demand significant time and commitment, which can create challenges for women seeking a work–life balance. This is especially the case if caregiving responsibilities are disproportionately placed on them, and there are no equitable systems of caregiving to counter this impact.

There also might be limited access to education and training opportunities in some countries, and this can impact women's ability to contribute effectively to the family business and broader gender equality goals. Legal frameworks or cultural norms might limit women's rights, inheritance and property ownership, affecting their ability to engage fully in the family business and decision-making. Women might be under-represented in certain sectors or industries where family businesses operate. This can limit their access to networks, resources and mentorship opportunities. Like other businesses, family businesses may struggle with addressing gender pay gaps because of entrenched values and attitudes but also because of the imbalance of caregiving and its impact on the career advancement of women.

Lack of awareness and mindset changes are another challenge. Some family business owners might not fully recognise the importance of gender equality or may not be aware of the benefits it can bring to the business and society. Implementing gender equality initiatives may require changes in policies, practices and mindsets. Resistance to change, especially from traditional stakeholders, can hinder progress. The lack of resources in small to medium enterprises can limit investment in gender equality programs, training and resources. This also extends to the potential lack of resources for measuring the impact of gender equality initiatives and determining their direct influence on business outcomes. Disruptions such as the COVID-19 pandemic can also have an impact on the resources of a family business to innovate and transform culture and processes around SDG#5.

Despite these challenges, family businesses can overcome them by leveraging their strengths, values and commitment to long-term sustainability. Engaging in partnerships, seeking external expertise, gradually implementing changes and aligning gender equity initiatives with core business values can help family businesses make meaningful contributions to SDG#5 while addressing the challenges they may encounter.

The Book Chapters

The book series aims to contribute positively to providing evidence of the role of family businesses in effectively contributing to the SDGs. The family business case studies display support and provide some evidence of how they embody the principles of an SDG in their operations, culture and/or business philosophy. This book is one of a 17 vignette book series in which each book is comprised of a set of short, easy-to-read family business cases related to the unique SDG being discussed in the book. The format of the book series allows the works to be accessible to those working in the field beyond academia such as family business practitioners, family business owners, family business advisors, government and business policymakers, members of non-governmental organisations (NGOs), business associations and philanthropic centres, as well as to those who have a general interest in entrepreneurship and business.

The chapters in this book focus on businesses that have prioritised SDG#5 Gender Equality. The first chapter features Hacienda Las Flores, which is located in the city of Jutiapa in Honduras, Central America. Founded in 2011, it produces a unique collection of artisan and healthy chips made from natural ingredients without preservatives. It also uses 100% Honduran ingredients. Importantly for this chapter, the company was created by women and supports women in their personal and professional development. The authors are Karen Dubon who is the CEO and legal representative of Luna Inversiones (real estate) and Bay Island Harvest S de RL where the products of the Hacienda Las Flores and Paraiso brands are marketed and distributed. Silvia Paz is the CEO of Inversiones S y B S de RL (Hacienda Las Flores) since 2011. Dr Allan Discua Cruz is a member of the Pentland Center for Sustainability in Business and director of the Center for Family Business at Lancaster University Management School, United Kingdom.

The authors make the point in the chapter that the activities of women entrepreneurs and leaders in the creation and development of family businesses are often invisible and fraught with diverse paradoxes in Latin America. Despite this lack of visibility, women in Honduras have played a fundamental role in all social, economic and cultural aspects of the country and have become key actors in the creation and continuity of family enterprises. This case aims to show that family businesses in Latin America can be part of the inclusion and empowerment of women through guidance based on SDGs, specifically SDG#5. The company aligns with SDG#5 through the economic empowerment of women, providing equal pay for women and ensuring women also benefit from the supply chain of their products. The company encourages collaborators to participate in local initiatives that promote gender equality and the empowerment of women, such as motivational talks in schools and colleges.

The next chapter profiles a family business called Ballandean Estate Wines in Queensland, Australia. It is the oldest family-run winery in its local region and has passed the business on through five generations. Ballandean Estate Wines is home to two vineyards. Ballandean Estate, the original vineyard, is situated 800m above sea level and situated in Ballandean. In addition to selling wine as a product, Ballandean Estate Wines also offers an experience through the Cellar Door, as well as the barrel room. The family business proudly champions the women who lead the Ballandean Estate to where it is today. Within SDG#5 Gender Equality, target 5.5.2 is the proportion of women in managerial positions. This goal is evident within Ballandean Estate Wines which contributes positively to this target and has done so for generations. Over the generations, women in the family business have been leaders in the business. The women within the family note that they never felt like they couldn't do anything, be businesswomen or choose to work how they wanted to work. They commented that gender barriers never felt like a ‘thing’.

The next family business profiled is the Stanglwirt in Austria. This company is an award-winning 5-star green spa hotel and includes a wellness resort located on its farm. The company is family-led and owned by the Hauser Family in the 10th generation and was founded in 1609. The Stanglwirt successfully integrates SDG#5 on gender equality and empowerment. The history of the Stanglwirt displays a unique tradition in female leadership and role models. Many managerial positions at the Stanglwirt are taken by women, and this is due to a shared understanding built based on mutual trust, teamwork and focusing on individuals' abilities rather than any other attribute, such as kinship. The Stanglwirt constitutes a best practice example for a family business that prioritises gender equality. At the Stanglwirt, the share of women in managerial positions is around 80%. Studies show that in Europe and North America, female managers amount to less than 40% on average ( United Nations, 2023 ). The Stanglwirt is a leading family firm when it comes to the inclusion of female successors and managers. The authors of this chapter illustrate the values and position of the family business. They state that the company does not need to explicitly make gender equality a subject of discussion at the Stanglwirt as it is perceived as a natural component of the company's success. The Stanglwirt values confidence, trust and proactiveness, as put by one of the children. Hence today, the staff is naturally balanced according to their gender division.

The next chapter illustrates how gender equality and women's empowerment are exemplified in a small company called the Eather Group based in Australia. The company described is engaged in heavy haulage, earthmoving, material supply and disposal and crushing and screening processes. This chapter is pertinent in that there is a substantial gender gap in the transport industry, internationally, women represent 17.3% of the transport industry workforce, while just 9.5% of those working as machinery drivers and operators are females. The central message in the chapter is that gender equality is an objective attainable by companies in industries that traditionally have a large gender gap in employment. The principal actors, in this case, are Peter Eather, founder and managing director, his wife, Sally-ann, general manager and their daughter, Divinia, marketing manager. The latter is also the co-author of the chapter. This case study showcases women's involvement in a family business through the story-telling approach. Marketing and human resources (HR) strategies and goals explicitly discuss gender equality and are active parts of the business model. Financial strategies allow for training programs and related community initiatives to drive the gender goals of the business. The business model has strong gender values underpinning business operations to the point where supervisors are held accountable for achieving the company's vision for a more balanced workforce.

The last chapter profiles the family business Technica International. The company is a Lebanese family business founded by Mr Tony Haddad. As an engineering and automation solution company, Technica International is aware that engineers and technicians in the industry are mostly male. This is because females were particularly under-represented in science, technology, engineering and mathematics (STEM) education and, consequently, in STEM careers. Despite a general under-representation, the company is a showcase of positive motivation for, and engagement in, gender equality and women's empowerment. Technica International seeks to improve gender equality and women's empowerment within its business. The case first highlights the active involvement of the daughter of the founder, Cynthia Abou Khater, who joined the business in 2007 and who is currently Vice President overseeing the Strategy, Information Technology and HR departments. Cynthia was actively instrumental in attracting more female talent to the company and in developing an organisational environment that is conducive to women.

This final chapter focuses on the efforts of Technica International to promote gender equality in the organisation, and it examines the initiatives and practices adopted by the company to achieve this goal. Cynthia was influenced by her own experiences as a highly qualified woman and mother who was discriminated against in the labour market, and she wanted to do things differently at Technica International. When Cynthia started working at Technica International, there were no special policies in place for women. She understood that greater gender equality could create a positive effect on the company, leading to fresh perspectives, new ideas and a pleasant environment for both women and men working at the company. She recognised the need to provide support, especially for young women who just started a family to balance work and life.

The Methodological Approach Adopted for the Book

The book used a case study method to gain insights into the practices of businesses incorporating the SDGs into their business strategies and management practices. The editors approached a range of potential authors to develop the case studies. They approached early career researchers, PhD students, family business academics, family business consultants, managers of family business centres and family business practitioners to consider submitting a case for the book. Interested authors were asked to choose the SDGs that best matched the family business of their choice and use a case study template provided by the editors of the book series to craft a case study on how the family business advanced the SDG (see Table 2 for template). A truly global response was received for the book series with participants from all over the globe.

Key Aspects of the Case Study Template Used by Authors in This Book.

The content of this publication has not been approved by the United Nations and does not reflect the views of the United Nations or its officials or Member States.

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Bauweraerts et al., 2022 Bauweraerts , J. , Arzubiaga , U. , & Diaz-Moriana , V. ( 2022 ). Going greener, performing better? The case of private family firms . Research in International Business and Finance , 63 , 101784 .

Ferreira et al., 2021 Ferreira , J. J. , Fernandes , C. I. , Schiavone , F. , & Mahto , R. V. ( 2021 ). Sustainability in family business–A bibliometric study and a research agenda . Technological Forecasting and Social Change , 173 , 121077 .

Muhmad and Muhamad, 2021 Muhmad , S. N. , & Muhamad , R. ( 2021 ). Sustainable business practices and financial performance during pre-and post-SDG adoption periods: A systematic review . Journal of Sustainable Finance & Investment , 11 ( 4 ), 291 – 309 .

UNEP, 2020 UNEP . ( 2020 ). A UN framework for the immediate socio-economic response to COVID-19 . https://unsdg.un.org/sites/default/files/2020-04/UNFramework-for-the-immediate-socio-economic-response-to-COVID-19.pdf . Accessed on July 26, 2023.

UNEP, 2021 UNEP . ( 2021 ). Leaving no one behind: Impact of COVID-19 on the sustainable development goals (SDGs) . https://www.undp.org/publications/ . Accessed on 26 July, 2023.

United Nations, 2021 United Nations . ( 2021 ). The 17 goals . https://sdgs.un.org/goals . Accessed on July 26, 2023.

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Evidence-based policymaking and the wicked problem of SDG 5 Gender Equality

Lorraine eden.

1 Department of Management, TAMU 4221, Mays Business School, Texas A&M University, College Station, TX 77843-4221 USA

M. Fernanda Wagstaff

2 Department of Marketing and Management, The University of Texas at El Paso, El Paso, TX 79968 USA

Evidence-based policymaking (EBP) contends that policy decisions are successful when informed by evidence. However, where policy problems are “wicked” (systemic, ambiguous, complex, and conflictual), politics trumps evidence and solutions are never first best or permanent. Applying an EBP approach to solving wicked problems (WPs) therefore appears to be a daunting, impossible task. Despite the difficulties, we contend that blending insights from the EBP and WP literatures can provide actionable and practical policy advice to governments and MNEs for dealing with the WPs of the UN Sustainable Development Goals (SDGs). We support our thesis with a case study applying EBP to the WP of SDG 5 Gender Equality. We compare the statistical evidence from gender inequality indexes to SDG 5’s targets and indicators. We provide five insights from the EBP and WP literatures into why and how good evidence is necessary but not sufficient for progress on SDG 5. Building on these insights, we recommend that governments adopt an EBP approach employing public–private partnerships to address SDG 5. We also recommend that MNE executives use our new SDG Materiality Matrix, designed on EBP principles, to build SDG 5 into their global corporate social responsibility strategies.

Introduction

On 25 September 2015, the United Nations (UN) General Assembly adopted the 2030 Agenda for Sustainable Development, a general pledge to “transform our world” and “leave no one behind” in terms of the economic, social, and environmental dimensions of sustainable development (UN, 2015b ). The 2030 Agenda established 17 Sustainable Development Goals (SDGs) with a long list of targets and indicators that were to be collected, shared, and monitored by the UN Member States.

The 2030 Agenda is a form of goal-based global governance, where the 17 global goals define the sustainable development aspirations of UN Member Countries and their major stakeholders (Fukuda-Parr, 2014 ). Global goals are instruments that “translate norms from the language of words to that of numbers, coupled with setting time bound targets” (Fukuda-Parr & McNeill, 2018 : 6). Since the SDGs are voluntary, lack sanctions, and have few mechanisms to ensure their achievement, the 2030 Agenda is a form of “soft” international law (van Zanten & van Tulder, 2018 : 212).

Progress on the 2030 Agenda has been slow, and criticisms have begun to appear. A January 2020 editorial in Nature ( 2020 ) argued that the SDGs were “not on track” and had a “bleak trend.” Nature noted that only two targets were close to being achieved, and predicted that most SDGs would miss their 2030 target date. Lack of funding (an estimated shortfall of 2.5 trillion USD) and lack of government commitment were suggested as possible causes. There are also other reasons why the SDGs may be off track. For example, scholars have argued that many SDG targets are so conceptually complex that they cannot be translated into measurable indicators (Breuer, Janetschek, & Malerba, 2019 ). The SDGs themselves may be a problem, both their lack of prioritization (Breuer et al., 2019 ) and their number; there may be “too many goals, too little focus” for meaningful policymaking (Selin, 2015 : 1).

The prospects for achieving the SDGs by 2030 have now become significantly worse since the COVID-19 pandemic spread across the globe in early 2020. In March, the estimated global cost of the pandemic for 2020 in terms of forgone world GDP was $1 trillion USD (Garten, 2020 ); by May, the estimate for 2020–2021 had risen to a 2-year loss of $8 trillion USD (UN, 2020 : 1). The UN Secretary-General has called the coronavirus the “most challenging crisis since World War II”, one that could cause a recession with “no parallel in the recent past” (Lederer, 2020 ). The effects are expected to be catastrophic for developing countries, and halt progress towards the SDGs (UNCTAD, 2020b ).

We believe that slow progress on the 2030 Agenda was inevitable, even before the coronavirus pandemic, because the issues the UN are addressing are wicked problems (WPs; Rittel, 1972 ; Rittel & Webber, 1973 ; Alford & Head, 2017 ; Head, 2019 ). WPs are “systemic in nature, complexly interrelated, and materialize at the interface between public–private and profit–nonprofit interests”; as a result, they cannot be handled with “old management or leadership mindsets, or with old organizational structures” (van Tulder, 2018 : 34). If WPs cannot be solved, policymakers may instead need to focus on managing or coping (Daviter, 2017 ; Head, 2019 : 183). Assuming WPs scholars are correct, and slow progress on the SDGs was inevitable, what can policymakers do to ensure that the SDGs get back on track, or – given the global crisis now unfolding – that the SDGs are not derailed permanently?

We contend that insights from the evidence-based policymaking (EBP) literature can be helpful in spotlighting difficulties and suggesting policy directions for managing the WPs of the 2030 Agenda. EBP puts “the best available evidence from research at the heart of policy development and implementation” (Davies, 2004 : 3). EBP scholars recognize that good evidence is necessary but not sufficient for good policymaking. Recognition that EBP is being applied to WPs can help dampen policymaker expectations, point out where difficulties and disputes are likely, and clarify achievable metrics for success.

We illustrate how insights from both the WP and EBP literatures can be useful for addressing the 2030 Agenda through a case study of SDG 5 Gender Equality, “achieve gender equality and empower all women and girls” (UN, 2015b : 14). Gender equality was originally a UN 2000–2015 Millennium Development Goal, which was carried over as SDG 5 in the 2030 Agenda (UN, 2015a , b ). The global goal for SDG 5 is to achieve gender equality, and to empower women and girls by eliminating gender disparities, discrimination, and violence against women (UN, 2015b ). A case study of SDG 5 is particularly appropriate because this year marks the 25th anniversary of the Beijing Declaration and Platform for Action that asserted that women’s rights were human rights (UN Women, 1995 ). This year is also the 20th anniversary of the UN Security Council’s Resolution 1325 on women, peace, and security, and the 10th anniversary of the establishment of UN Women (UN Women, 2020 ). Our study of SDG 5 is also especially salient, given that the harmful impacts of the COVID-19 pandemic are expected to fall disproportionately on women (Alon, Doepke, Olmstead-Rumsey, & Tertilt, 2020 ; UNCTAD, 2020a ).

We begin by reviewing the WP literature and its applicability to the 2020 Agenda, focusing on SDG 5. We next analyze the existing evidence on gender equality. We employ country-based comparisons of the best-available gender inequality indexes, and assess their ability to appropriately measure SDG 5’s targets and indicators. We then turn to the EBP literature and show how EBP can provide useful insights for policymaking when faced with WPs. We argue that the generation and dissemination of high-quality, reliable evidence is necessary but not sufficient for making progress on the 2030 Agenda. Policymakers must also prepare for the many “slips between the cup and the lip” that bedevil EBP in addressing WPs. Lastly, we build on these insights to develop policy recommendations for governments and multinational enterprises (MNEs) for dealing with the WP of SDG 5. Figure  1 provides an outline of our paper.

Applying evidence-based policymaking to the wicked problem of SDG 5 Gender Equality.

The Wicked Problem of SDG 5 Gender Equality

What are wicked problems.

The WP literature began as a critique of the systems approach to policymaking (Rittel, 1972 ; Rittel & Webber, 1973 ). In the systems approach, the planner implements a policy cycle with several steps: understand the problem; gather and analyze evidence; generate and assess solutions; and implement, test, and modify the solution. Rittel ( 1972 ) and Rittel and Webber ( 1973 ) criticized the systems approach, arguing that it could only handle “tame” problems. Since WPs were inherently unsolvable, their solutions could only be good or bad, not right or wrong; thus, a systems approach was unlikely to be successful.

Since the late 1970s, the WP literature has grown dramatically, in terms of both the number of scholarly disciplines and policy areas. 1 Ten key propositions underlie WP theory (see, e.g., McCall & Burge, 2016 ; Crowley & Head, 2017 ; Peters & Tarpey, 2019 : 236), which are summarized below:

• Problem : (1) hard to define and no definite formulation; (2) no stopping rule; (3) unique; (4) multiple explanations; and (5) may be symptomatic of another problem.
• Solution: (1) not true or false but only good or bad; (2) no immediate or ultimate test; (3) no clear solution or even set of possible solutions; (4) attempts at solutions have effects that may not be reversible or forgettable; and (5) policymakers bear the responsibility for wrong solutions.

WP scholars believe that most policy problems have some degree of wickedness, so they cannot be solved using rational-scientific methods (Newman & Head, 2017 ). 2 Complexity is viewed as a key driver of wickedness, both the complexity of the problem (factual uncertainty) and of the actors/institutions involved (Alford & Head, 2017 ; Daviter, 2019 ). As the number and diversity of stakeholders and institutional contexts rise, so does the heterogeneity of preferences and interests, increasing the likelihood of conflict (Bannink & Trommel, 2019 ). Uncertainty and ambiguity exacerbate both complexity and conflict, increasing the degree of wickedness (van Tulder, 2018 ).

Key issues in the WP literature are how to address a WP and how to define success. Since WPs “are never solved. At best they are only re solved – over and over again” (Rittel & Webber, 1973 : 160), policymakers cannot achieve first-best solutions. A frequent recommendation for addressing WPs, building on Rittel and Webber ( 1973 ), is that new and different ways of thinking are needed, and so also is collaboration or partnering among societal actors where they share joint responsibility for the solutions (Ney & Verweij, 2015 ; Crowley & Head, 2017 ; Daviter, 2017 ; Termeer & Dewulf, 2019 ).

An unexpected and paradoxical consequence of framing policy problems as wicked is that policymakers may choose to do nothing and just live with the problem (Bannink & Trommel, 2019 ). “Paralysis occurs when people experience or define the wickedness as so overwhelming that it discourages them and prevents them from doing anything about it” (Termeer, Dewulf, & Biesbroek, 2019 : 176). Paralysis can be particularly wicked when grand societal challenges are framed negatively (van Tulder, 2018 : 19). To avoid choice paralysis, policymakers are encouraged to explore “intelligent modes of imperfect governance” (Bannink & Trommel, 2019 : 198), and to look for solutions that are “clumsy” or “just viable”, which “everyone can more or less agree to live with” and are “responsive to different rationalities” (van Tulder, 2018 : 39). Policymakers are also encouraged to focus on identifying, valuing, and learning from “small wins” (Termeer & Dewulf, 2019 ). Small wins are preferable to either doing too little (i.e., settling for paralysis or “cherry-picking” the least wicked parts of a problem) or expecting too much (i.e., the solving of an inherently unsolvable problem).

SDG 5 Gender Equality as a Wicked Problem

Scholars clearly view the 2030 Agenda as an example of a WP (Head, 2019 ; van Tulder, 2018 ). A core thesis of van Tulder ( 2018 : 37) is that all 17 SDGs are WPs. The SDGs are “systemic in nature, complexly interrelated and materialize at the interface between public–private and profit–nonprofit interests. They are wicked both by nature and design” (van Tulder, 2018 : 36) because they suffer from uncertainty, complexity, erratic dynamics, and ambiguity – all symptoms of WPs. The SDGs are societal problems, not tame or technical problems; for example, the guiding principle of the 2030 Agenda is that no one must be left behind – a huge societal challenge. Specific vulnerable groups are also regularly mentioned (e.g., women, children, minorities, migrants, refugees) and no vulnerable groups can be left behind.

To explore the WP of the 2030 Agenda in more depth, we provide a case study of SDG 5 Gender Equality “achieve gender equality and empower all women and girls” (UN, 2015b : 14). SDG 5 is decomposed into 9 targets and 14 indicators (UN, 2019 ); see Table  1 . Ten of the other SDGs also include gender-specific indicators; as a result, 22% of the indicators for the 17 SDGs are gender specific (UN, 2019 : 21–23), implying that gender equality is an important, cross-cutting goal in the 2030 Agenda.

Table 1

SDG 5 targets, indicators, and gender equality metrics

Sources : for SDG 5 targets and indicators: https://unstats.un.org/sdgs/indicators/indicators-list/ ; for GII metrics see http://hdr.undp.org/en/content/gender-inequality-index-gii ; for GGGI metrics see WEF ( 158 , Table 1); for SIGI see Branisa et al. ( 2014 and Supplemental Material); for EM2030 see EM2030 and Supplemental Material at https://data.em2030.org/2019-sdg-gender-index/methodology/ , for SDG Index see SDSN (2019, Tables 5 and 7). These metrics may cover partially or totally the target indicators.

The word “gender” refers to “the socially-constructed roles and responsibilities that societies consider appropriate for men and women” (Peace Corps, 2020 ). Gender equality means that “women and men enjoy the same rights and opportunities across all sectors of society, including economic participation and decision-making, [and that]…. the different behaviours, aspirations and needs of women and men are equally valued and favoured” (UNCTAD, 2016 : 31). Gender equality is a “fundamental human right” and “keystone of a prosperous, modern economy that provides sustainable inclusive growth” (OECD, 2017 : 3).

In the international business (IB) literature, gender equality has typically been defined as equal treatment of women and men in the workplace (Eden & Gupta, 2017 ; O’Brien, Fitzsimmons, Crane, & Head, 2017 ; UNCTAD, 2014 , 2018 ; UN Economic Commission for Europe, 2019b ). Workplace gender inequality is viewed as having many causes, including gender discrimination and stereotyping, undervaluation of women’s work, gender-based labor market segmentation, traditions and culture that treat men and women unequally, and work–life balance issues (UNCTAD, 2014 : 4). O’Brien et al. ( 2017 ) hypothesize that workplace gender inequality has three WP characteristics: divergence, complexity, and uncertainty. There are divergent views about the problem, no agreed definitions, and large differences in values, underlying beliefs and interpretations of findings. Workplace gender inequality also suffers from complexity due its multiple causes, lack of a dominant solution, and complex linkages with other societal issues. Lastly, uncertainty affects problem definition, prevents optimal solutions, and causes unintended consequences. The authors argue that policymaking requires methodological reflexivity, the ability to see multiple world views, and the need to pay attention to context. Rational approaches based on a single discipline cannot handle the WP of achieving workplace gender equality.

It is important to recognize, however, that SDG 5 is about more than workplace gender equality; it is also about the empowerment of women and girls . The goal of SDG 5 is equality between men and women in their rights and opportunities, their valuation and treatment, and their empowerment (i.e., the fostering of women’s voice and agency). Women’s empowerment can be defined as “a woman’s sense of self-worth, her decision-making power, her access to opportunities and resources, her power and control over her own life inside and outside the home, and her ability to effect change” (Peace Corps, 2020 ).

Women’s empowerment has been shown to be a fundamental and necessary input for economic and social development. 3 The most recent empirical evidence on the negative economic and social consequences of disempowering women (such as worse governance, more conflict, less stability, worse economic performance, and slower social progress) can be found in Hudson, Bowen and Nielsen ( 2020 ). The authors assert that women’s disempowerment is pervasive and embedded in societies around the world. Disempowerment has four dimensions: status (whether male and female groups engage as equals or as subordinate and superordinate), decision-making (whether decisions are made by one or both groups), conflict resolution (how disagreements are resolved, whether one group can be coerced against its will), and resource distribution (whether control over resources is by one or both groups). Hudson et al. ( 2020 ) argue that patrilineal/fraternal networks (e.g., tribes and clans) support and encourage practices that disempower women, such as violence towards women, personal status laws benefitting men, laws that prevent women from owning property, preferences for sons over daughters, and polygyny. The authors create a women’s disempowerment index to assess the presence or absence of these harmful practices in 176 countries over 2010–2015, finding that 56 countries score low on the index (mostly OECD countries), 40 countries score high (primarily in Sub-Saharan Africa, the Middle East, and West and South Asia), and the rest are in between (Hudson et al., 2020 : 54). The pervasiveness of these harmful practices against women lead the authors to conclude that “the true clash of civilizations is not about religion or ethnicity but about the subordination of women” (Hudson et al., 2020 : 377). Thus, whether measured as workplace gender equality or as women’s empowerment, SDG 5 is a wicked problem.

Measuring Gender (In)equality

The gender inequality indexes.

One way to assess gender inequality is to examine government policies and laws promoting gender equality; however, policies on the books are not the same as policies in practice . A second way is to examine gender-based statistics, and, in fact, statistical indexes are the most common empirical method for assessing differences between men and women. The two best-known indexes are the UN Development Programme’s (UNDP’s) Global Inequality Index (GII), available since 2010, and the World Economic Forum’s (WEF’s) Global Gender Gap Index (GGGI), available since 2006. Given that the GII and GGGI were not developed for SDG 5, a few international and non-governmental organizations (NGOs) have started to build new indexes for SDG 5, responding to the UN ( 2015a , b ). These indexes (the OECD’s SIGI, the SDSN SDG Index, and the Equal Measures 2030 2019 SDG Gender Index) attempt to measure gender equality across countries and across time by collecting a broad set of socio-economic indicators on workplace gender inequality and women’s empowerment. Below, we briefly review the five indexes and compare them in terms of SDG 5’s targets and indicators.

The UNDP global inequality index (GII)

The GII is designed to measure the human development costs of gender inequality; i.e., the higher the GII value, the greater the gender gap and the larger the loss in human development (UNDP, 2018 , 2019 ). The GII measures inequality between men and women in terms of economic opportunity, reproductive health, and empowerment. The GII combines women-specific indicators with indicators for both men and women; some scholars view this as an “odd mixture” of “women status” (level) and “gender inequality” (gap) (Permanyer 2013a , b : 940). Table  1 compares the components of GII to the SDG 5 targets and indicators; Table  2 summarizes the GII targets, indicators and data sources.

Table 2

GII and GGGI targets and indicators

Data sources in parentheses. Bold text shows that indicators are included in that index but missing from the other index.

ILO International Labor Organization; WEF World Economic Forum; UNESCO United Nations Educational, Scientific and Cultural Organization; UN United Nations; WHO World Health Organization; UNDESA United Nations, Department of Economic and Social Affairs; IPU Inter-Parliamentary Union.

The WEF global gender gap index (GGGI)

The GGGI measures the gap between men and women in four target areas: economic participation and opportunity, health and survival, political empowerment, and educational attainment. The GGGI is reverse-coded from the GII so a higher GGGI score implies a country is closer to equality (GGGI = 1; GII = 0). Table  1 compares the components of GGGI to the SDG 5 targets and indicators, and Table  2 summarizes the GGGI targets, indicators and data sources. Table  2 also compares the GII and GGGI in terms of their targets and indicators; differences between the two indexes are shown in bold text.

The index is designed to disassociate the gender gap from a country’s level of economic development, i.e., the index uses the male–female gap, not the actual level, for each indicator. The GGGI also uses ratios, and caps each ratio at 1 (gender equality) for countries where women outperform or have reached parity with men on the indicator. 4 The index is also designed to capture outcomes rather than causal factors of gender inequality, such as culture or government policies. In sum, the GGGI measures gaps not levels, outcomes not inputs, and equality not empowerment (WEF, 2020 : 45).

The OECD social institutions and gender index (SIGI)

The SIGI was created to track progress on gender equality for the 2015 Millennium Development Goals (Branisa, Klasen, Ziegler, Drechsler, & Jutting, 2014 : 31–32). Its five targets (discrimination in the family, restricted physical integrity, restricted access to productive and financial resources, and restricted civil liberties) are meant to capture the deprivation of women caused by gender gaps in social institutions (OECD, 2018a , b , 2019 ). Data from the OECD’s Gender, Institutions and Development Database are used to create the SIGI, which is currently available for 4 years (2009, 2012, 2014, 2018). The SIGI scores 120 countries and organizes them into quintiles; thus, the SIGI not only has a shorter time series but also includes fewer countries than either the GII or the GGGI (OECD, 2019 ). Table  1 compares the components of the SIGI to the SDG 5 targets and indicators. The index is reverse-coded like the GII where 0 represents perfect equality and 1 perfect inequality.

Equal Measures 2030 SDG gender index (EM 2030 gender index)

The EM 2030 index uses indicators developed by the Inter-Agency and Expert Group on SDG Indicators. The index was developed from several frameworks: the UN Women SDG Indicator Framework and Women Turning Promises into Action report, the UN Minimum Set of Gender Indicators agreed by the UN Statistical Commission in 2013, and the Ready to Measure study produced by DATA2x (EM 2030, 2019 ; Buvinic, Furst-Nichols, & Koolwal, 2014 ; Buvinic & Levine, 2015 ). There are two EM 2030 indexes; a broad index including 51 gender-related indicators from 14 SDGs and a narrower index for only SDG 5 indicators. Table  1 compares the components of the narrower index to the SDG 5 targets and indicators. Higher scores represent greater gender equality.

The SDSN SDG gender index (SDSN gender index)

The Sustainable Development Solutions Network (SDSN) and Bertelsmann Stiftung developed the SDG Index and Dashboards to cover all 17 SDGs (Schmidt-Traub, Kroll, Teksoz, Durand-Delacre, & Sachs, 2017 ; Sachs, Schmidt-Traub, Kroll, LaFortune, & Fuller, 2019 ). The SDG targets are grouped into “five P’s: Prosperity, People, Planet, Peace, and Partnership.” Country scores range from 0 to 100, with higher scores representing greater gender equality (Sachs et al., 2019 : 1). The components of the SDSN gender index relative to the SDG 5 targets and indicators are reported in Table  1 .

Statistical Comparison of the Indexes

To date, only the GII and GGGI have sufficient years of data to compare them over time; it will be some years before the other indexes are sufficiently developed to make robust historical comparisons. We focus below on the GII and GGGI, building on Eden and Gupta ( 2017 ).

The UNDP gender inequality index (GII)

Table  3 shows the GII scores for several years between 2000 and 2017. Note that lower GII values represent greater movement toward SDG 5. The world average GII score fell from 0.432 in 2000 to 0.350 in 2017; thus, the gender gap shrank by 18.9% between 2000 and 2017. Given that gender equality is defined as GII = 0, a 35% gap still exists between men and women as of 2017.

Table 3

The UNDP gender inequality index, 2000–2017

Source : Authors’ calculations based on GII data from the UNDP website: http://hdr.undp.org/en/content/gender-inequality-index-gii .

The UNDP also calculates and publishes the Human Development Index (HDI) in which countries are grouped into clusters based on their economic and social development levels. The HDI groupings can help us see how different country groups are progressing towards gender equality relative to one another and over time. We calculate and report the GII score in Table  3 for the four HDI groups in two different ways. First, for each row (HDI group), we calculate the difference in GII scores between the base year (2000) and the most recent year (2017), as a raw score and as a percent of the base year. Since lower GII scores reflect greater gender equality, negative numbers represent improved performance and closer movement toward SDG 5. Looking from left to right across each row (each HDI group), we find that gender equality improved (i.e., the GII score fell) for all four HDI groups. The improvement was largest in the High and Very High HDI countries. Second, looking vertically (by year), we calculate the gap in GII scores between the bottom (Low HDI) and top (Very High HDI) groups, as a raw score and ratio. The gap between the raw scores falls slightly between 2000 and 2017, implying a small narrowing of the gender gap. The ratio of the raw scores (Low HDI/Very High HDI) rises from 2000 to 2017, suggesting that Low HDI group lagged behind the other HDI groups in improvements in gender equality.

We also collected GGGI data for 2006–2017 and linked the GGGI data with the UNDP’s HDI country groups; our statistical results are reported in Table  4 . The world average GGGI rose between 2006 and 2017 from 0.663 to 0.698, implying a modest 3.5% improvement in gender equality. As of 2017, the gender gap recorded by the GGGI is 30.2%, a bit smaller than the 35% gap recorded by the GII. Looking across the rows in Table  4 , gender inequality fell in all four HDI groups, with the largest improvement in the Low HDI group. Looking down the columns, the gap between the raw scores of the low and very high HDI countries fell over the period, while the ratio of the raw scores (Low HDI/Very High HDI) rose slightly, indicating that the GGGI gap narrowed across the HDI groups over time. Thus, measured across HDI groups, the gender gap between Low and Very High HDI countries narrowed, suggesting that improvements in gender equality were larger in Low HDI countries.

Table 4

The WEF global gender gap index, 2006–2017

In calculating the overall GGGI average we used all 144 countries in the GGGI dataset. However, because North Korea is missing an HDI score and group, we used 143 countries in calculating the HDI country groupings.

Source : Authors’ calculations based on WEF data for the Global Gender Gap. Data for 2016 and 2017 are from WEF ( 2017 ). Data for 2006–2013 are from the Humanitarian Data Exchange at https://data.humdata.org/dataset/global-gender-gap-index-world-economic-forum .

Assessing the Evidence on Gender Equality

Comparing the gii and gggi: why are their country rankings so different.

A comparison between the results for the GII in Table  3 and the GGGI in Table  4 reveals a perplexing picture. Table  3 shows a large gap in GII scores between Low and Very High HDI country groups that widens over time. Table  4 , on the other hand, shows that the gap in GGGI scores between Low and Very High HDI countries is much smaller and narrows over time. Both indexes are on a scale of 1 although they reverse code equality [gender equality = 0 (GII), 1 (GGGI)]. What explains the differences between the two indexes, when considered by HDI group?

We hypothesize that the puzzling findings noted above are due, first, to differences in the targets and indicators for the GII and GGGI. Table  2 puts in bold text the indicators that are included in one index but not the other. There are several differences; e.g., there are four economic indicators included in GGGI that are missing from GII (e.g., wage equality, female/male ratio of earned income).

A second reason is that the goals and how they are implemented differ between the two indexes. The GGGI is designed to remove country levels of economic development; i.e., the index reflects gaps in gender equality ignoring the development in each country. The GII, on the other hand, is designed to incorporate the loss in human development as a function of gender inequality (Permanyer, 2013a , b ; Piper, 2019 ; WEF, 2018 , 2020 ). The differential treatment of economic development is clear when we compare the GGGI and GII scores across the four HDI country groupings. Table  3 shows that the GII score for Low HDI countries is nearly four times the score for Very High HDI countries. Table  4 , on the other hand, shows very small differences in GGGI scores across the four HDI groups. Even when one inverts the ratio because GGGI is reverse-coded from GII, there is little variance by HDI level in the GGGI compared with the GII. This result is deliberate: the GGGI is designed to disassociate the gender gap from country levels of development, while GII is designed to include the impact of gender inequality on potential human development. As a result, some scholars worry that the GII may be proxying not only for differences in gender equality but also for differences in living standards across countries; this concern does not apply to the GGGI (Sotsky, Shibuya, Kolovich, & Kebhai, 2016 ).

Two-country case study: Mozambique and Nicaragua

As a second exploration of the underlying differences between the GII and the GGGI, we provide a brief two-country case study. We selected two developing countries: Mozambique and Nicaragua. Both countries are ranked, when compared with the world average, relatively low on the GII but relatively high on the GGGI. Table  5 provides data for the two countries in terms of all five gender indexes (where available). We highlight in bold text the score of the country (Mozambique or Nicaragua) that performs better on each indicator. We also provide average world scores for comparison.

Table 5

Comparison of Nicaragua and Mozambique gender equality scores, 2017–2018

Bold text highlights the score of the country (Mozambique or Nicaragua) that performs better on each indicator.

Sources : EM 2030 ( 2019 ), OECD ( 2019 ), Sachs et al. ( 2019 ), UNDP ( 2018 ), and WEF ( 2018 ).

As Table  5 shows, Nicaragua outperforms Mozambique on all five gender indexes and on most indicators. Both countries rank poorly on the GII (Mozambique = 138; Nicaragua = 106) but do well on the GGGI (Mozambique = 29; Nicaragua = 6). The first reason for why both countries do poorly on the GII but well on the GGGI is because their indicators also do so; i.e., selection of the indicators is a key reason for the anomaly. The second reason is also visible; i.e., the way the indicators are measured. By focusing on gaps not levels and outcomes not inputs, the GGGI takes economic development out of the equation, whereas the GII deliberately includes human development. 5 Thus, with GGGI – but not GII – women may be worse off (in absolute terms) even though the gender gap is small.

Workplace gender equality versus women’s empowerment

Our analysis of the GII and GGGI shows clearly that the two indexes are more narrowly focused than SDG 5. The targets and indicators for SDG 5 are designed to capture both gender inequality and empowerment, particularly for marginalized groups and others “left behind.” The SDG 5 targets also consider not only gender inequality outcomes but also their antecedents, such as government policies, laws, and customs. As Table  1 shows, with the exception of target 5.5 (women’s leadership) and target 5.c (policies and laws), neither GII nor GGGI cover the other targets and indicators in SDG 5.

We conjecture that the narrow foci of the GII and GGGI reflects an implicit focus on gender equality in the workplace rather than empowerment of women and girls. For example, neither the GII nor GGGI incorporate measures that Hudson et al. ( 2020 ) see as critical components of women’s disempowerment. 6 As a result, neither the GII nor the GGGI is as comprehensive as UN SDG 5, which treats gender equality from a holistic perspective, considering voice, agency, and the empowerment of women and girls.

Our assessment that the GII and GGGI do not capture women’s disempowerment suggests that the newer gender inequality indexes – SIGI, EM 230, and SDSN SDG 5 – should be better proxies for the targets on SDG 5. However, reliable and complete data are very hard to find for many SDG 5 indicators, particularly those for marginalized groups, and it will be years before longer time series datasets become available. 7 Time series indexes take time to build. We conclude that, at least for the present, although the three new gender indexes based on SDG 5 look very different on paper from the old gender inequality indexes (GII and GGGI), the new indexes in practice are much closer to the GII and GGGI, particularly for developing countries for which data for the SDG 5 targets and indicators are very scarce. Still, as these new indexes mature, better evidence on women’s empowerment should become available. 8

Which is the best index? It depends

The five gender indexes that we have reviewed above vary enormously in focus, breadth and depth, and sophistication. Some indexes use indicators based on gaps between men and women; others look at women’s levels. Some indexes vary with a country’s level of economic development, while others attempt to remove the relationship between gender inequality and the standard of living. Some indexes are narrowly focused on women at work, while others include many socio-cultural and legal indicators designed to capture broader issues of women’s empowerment. Some indexes have long historical time-series datasets, while others are just beginning to finalize methodologies, collect data, and report statistics on a cross-section basis. Some indexes weight all their components equally, while others use unequal weights.

So how can policymakers decide which of the five gender inequality indexes is best for tracking their country’s performance on SDG 5? Similarly, how do MNE executives select an index to track their company’s gender equality performance, at home and in their foreign affiliates? We offer three insights into these questions. First, we argue that there is no single right answer. Policymakers and MNE executives need to match their selection of a gender inequality index with the specific gender equality goals and targets they are trying to achieve. The “best” gender inequality index for one government or one MNE may not be the same for another where their goals and targets differ. There may be no “best” index nor “off the shelf” solution; it may be that a single index is not sufficient and will need to be assembled from different indexes. Second, policymakers and MNE executives need to understand why and how the various indexes are constructed; that is, making a “deep dive” into the selection and measurement of indicators and construction of the indexes. A thorough analysis of the various indexes is a necessary first step to selecting or creating an inequality index that best fits the organization. Third, our overall assessment is that, given their strengths and weaknesses, the GII and GGGI are better able to usefully inform policymakers and MNE executives on how to move toward SDG 5 in terms of workplace gender equality. For more holistic measures of gender equality that take account of women’s empowerment, policymakers must look to the new SDG 5 gender indexes. Policymakers should also study Hudson et al.’s ( 2020 ) new women’s disempowerment measure.

Evidence-Based Policymaking and the Wicked Problem of the SDGs

We turn now to the second part of our analysis. Given the existing evidence on gender inequality, how can policymakers use this evidence to address the WP of SDG 5? We contend that EBP is the appropriate response.

What is Evidence-Based Policymaking?

The premise behind EBP is that policy decisions are more likely to result in better outcomes when informed by evidence (Scott, 2005 ). EBP uses “open, smart and trusted statistics [that are] relevant for the society” (Rademacher, 2019 : 524), and puts “the best available evidence from research at the heart of policy development and implementation” (Davies, 2004 : 3). 9 While EBP has been primarily used in OECD countries, EBP has also been applied in developing countries (Sutcliffe & Court, 2005 , 2006 ; Bartlett, 2013 ; Hewlett Foundation, 2018 ). 10

The original approach to EBP assumes a linear relationship between evidence and policy choice where the policymaker defines a problem, identifies what is known, collects the best available evidence, and makes a policy choice. The basic steps in EBP are outlined in Figure  1 . The current approach to EBP embeds evidence into the policy cycle process in a circular fashion, as shown in Figure  2 . The EBP policy cycle starts with agenda setting, moves through policy formulation, selection, and implementation, to monitoring, evaluation, and revision, in a circular fashion. 11

Evidence-based policymaking – a policy cycle approach.

Good evidence is a fundamental component of the EBP cycle. The key evidence steps in EBP are illustrated in the circled and bold text items in the second box in Figure  1 ; the sub-steps in the evidence collection phase are shown in the third box in Figure  1 . The evidence steps are also highlighted in Figure  2 as steps 5 (obtaining evidence), 7 (interpreting evidence), 13 (monitoring), and 14 (evaluation). Thus, collecting, analyzing, and using good evidence are key elements in successful EBP.

Wicked Problems and Evidence-Based Policymaking

Can EBP be applied successfully to WPs? One might think that EBP should be applicable to WPs, given that both the WP and EBP literatures have their historical roots in the systems approach to planning. However, the WP literature arose as a critique of the systems approach, whereas the EBP literature adopted the systems approach and the policy cycle as part of EBP. As a result, neither literature has had much to do with the other for the past 40 years (Head, 2019 ).

In fact, the WP literature has been very critical of the EBP approach. WP scholars have long argued that the rational, step-based approach to policymaking illustrated in Figure  2 is incapable of addressing policy problems that are ill-defined, complex, and amorphous (Newman & Head, 2017 ; Daviter, 2019 ; Head, 2019 ; Termeer et al., 2019 ). Because poorly structured problems cannot be handled by “advanced and precise analytic methods”, EBP “will predictably fail to grapple with the challenge of wicked problems” (Daviter, 2019 : 67).

EBP is also criticized for its implicit assumption that “access to better knowledge….will lead to greater consensus on how to improve policy outcomes”. WP scholars argue instead that “political dynamics… cannot be neutralized by a dose of evidence, no matter how relevant or powerful” (Newman & Head, 2017 : 419). WP scholars assert that policymaking is based, not on scientific evidence, but on “stakeholder perceptions, values and interests in explaining how issues are scoped, priorities are set and possible solutions considered” (Head, 2019 : 188). Politics drives policy, not evidence, according to WP theorists. 12 As a result, the WP literature has been critical of and has ignored EBP for decades.

We contend that EBP can provide useful insights for addressing the WPs of the 2030 Agenda. Our thesis may appear overly optimistic, disingenuous, or even radical, given the criticisms of EBP by WP scholars noted above. We believe, however, that both literatures can inform each other and are particularly useful for analyzing the WP of the 2030 Agenda.

The timing may also be right for exploring connections between these two literatures. Recently, a few WP scholars have begun to take a second, more positive look at scientific approaches and EBP. For example, Head ( 2019 : 183) contends that, after ignoring insights from the policy studies and public management literatures for 40 years, WP theory would benefit from reconnecting with these fields. He argues that WP theorists need to “draw more deeply on cutting-edge developments in contemporary policy sciences”, and that policymakers need “to use best available evidence and to communicate the value of open processes for tackling complex and wicked problems” (Head, 2019 : 192). Given “populist distain for expertise” and “widespread lack of trust in the institutions of public governance”, Head ( 2019 : 192) concludes that WP theorists need to use “best available evidence.”

At the same time, EBP scholars have also moved away from the simple model in Figure  2 , recognizing that “it is a long away from getting the facts straight to analyzing complex policy problems” (Daviter, 2019 : 70). In pluralistic societies, political dynamics and embeddedness can matter as much or more than evidence in an EBP process, even when facing “tame” (technical or scientific) problems (Newman & Head, 2017 ). The current EBP literature is also sensitive to several issues that are inherent in WPs, such as complexity, uncertainty, ambiguity, and divergence (Head & Alford, 2015 ). Many ambiguities, for example, are likely involved in applying EBP to a WP: ambiguities in framing the issue (given interdependencies), determining the evidence (sorting opinions from facts, deciding what is relevant), selecting targets (that are typically moving), selecting and implementing a policy or policies (which may have unintended consequences), and monitoring outcomes (relative to an unknown counterfactual) (van Tulder, 2018 : 43–50).

Given these trends, we believe that the time is right for exploring how insights from the WP and EBP literatures could help devise appropriate public policies for managing the WPs of the SDGs.

Blending Insights from the EBP and WP Literatures

Below, we explore five insights drawn from the EBP and WP literatures, which we believe could help policymakers address the WP of the 2030 Agenda.

Insight #1: Good evidence is necessary but not sufficient

The proper application of EBP requires the creation and use of good evidence, which raises methodological questions among stakeholders over “what is evidence” and how to make it accessible to policymakers. High-quality evidence is defined as the “best available” evidence that is appropriate for the problem and has been “ systematically searched, critically appraised, and rigorously analysed according to explicit and transparent criteria” (Davies, 2004 : 7). Most EBP scholars agree that all forms of evidence collected through a systematic process should be included, e.g., theory building, data collection, and analysis, and practice-based wisdom (Sutcliffe & Court, 2006 : 2). At the other end of the scale, EBP scholars also agree that using poor-quality research as evidence clearly reduces the efficacy of EBP.

However, once we move past these two zones of agreement (what is in/what is out), disputes emerge because the “devil is in the details.” A first problem is that definitions of what constitutes appropriate evidence can vary across stakeholders, ranging from narrow (e.g., peer-reviewed academic journal articles) to broad (e.g., professional experience, stakeholder accounts). Stakeholders also disagree on what constitutes evidence in different issue areas. Nutley, Davies and Walter ( 2003 : 31–32), for example, note that health care has an “established hierarchy of evidence for assessing what works”; whereas fields such as education and criminal justice are “riven with disputes” over what is appropriate evidence.

Moreover, evidence is generally assumed to be synonymous with empirical evidence, with the implicit assumption that “hard” evidence (official statistics, econometrics, indexes) is more rigorous than “soft” evidence (qualitative studies, expert evaluations). However, empirical findings are typically built on mathematical models that involve simplification and parsimony, which suggests that drawing policy recommendations from empirical results may not only be meaningless but potentially harmful. Saltelli and Giampietro ( 2017 : 64) note that it is “one thing…to use a model to simulate a policy, another story is the leap whereby the same model is used to justify one.”

Thus, the first step in EBP, the collection and provision of good evidence, is a necessary but onerous and contentious requirement for successful EBP. Moreover, while collecting, building, and analyzing “good evidence” are necessary steps, they are not sufficient. A successful EBP process needs to recognize and account for factors other than evidence that influence the policy process. Awareness of these potential problems is critically important for governments and MNE executives as they attempt to choose and implement the WP of the 2030 Agenda.

Insight #2: Good evidence may be misunderstood or misused by policymakers

Even though the adage “better statistics, better decision-making” is widely accepted, there can be “slips between the cup and the lip” that derail an EBP process. Policymakers may be “flying blind: trying to make policy decisions in the dark”, even when good evidence exists, if the evidence cannot be found, or is misunderstood (Hewlett Foundation, 2018 : 3).

For example, high-quality evidence may not be sufficient to motivate policymakers if they do not have the policy capacity or level of expertise needed to understand or use the evidence (Newman, Cherney, & Head, 2017 ). Successful EBP requires the government sector to have skilled analytical staff that are trained in data analysis and policy evaluation (Head, 2010 ). The level of training and professional competence of civil servants and government legislators varies across countries, along with their access to resources and institutional infrastructure. Policy capacity is typically much lower in developing than in developed countries (Howes, Betteridge, Sause, & Ugyel, 2017 ).

Misuse and misunderstanding of research findings by policymakers can also be caused by the researchers themselves, who seldom consider “policymaker friendliness” when disseminating their research findings. Researchers need to communicate well to “make their research relevant and readable” (Oliver & Cairney, 2019 : 3). There are also multiple ways in which numbers can be misunderstood or misinterpreted, creating “mutant statistics” that lead to bad policymaking (Best, 2012 ). Examples include problems of generalizability, definition, inadequate measurement, bad samples, changing the meaning of statistics, garbling complex statistics, and compounding errors by creating chains of bad statistics. To prevent such technical biases, new institutions for good governance of evidence may be needed if EBP is to function effectively (Parkhurst, 2017 ).

It is also possible that the specialized knowledge of academics can be counterproductive, creating contentious debates over highly technical alternatives among experts on different sides of the problem. The uncertainty of social science and the different status of knowledge fields can cause policymakers to doubt or refuse to include particular studies as evidence, leading to disputes between policymaking groups. Where WPs are involved, there may be equally compelling evidence that supports competing perspectives, causing stakeholders to privilege the evidence that favors their own position (Daviter, 2019 : 67). A related concern is the politicization of science whereby policymakers bury, misuse, manipulate, or cherry-pick evidence to support and promote their own policy preferences. EBP can be turned into policy-based evidence, generated by mechanisms such as knowledge monopolization, blame avoidance, black-boxing, or oversimplification of the evidence (Strassheim & Kettunen, 2014 : 263). 13

Insight #3: Good evidence is often trumped by politics

While EBP scholars stress the role played by good evidence, they also recognize that exogenous and endogenous factors other than evidence are regularly – and legitimately – involved in policymaking. Examples include the experience, expertise, and judgment of policymakers; the constraints of finite resources; the importance of values such as ideology and political beliefs and the role of habit and tradition; the power exerted by lobbyists, pressure groups, and consultants; and, more generally, the pragmatics and contingencies of political life (Davies, 2004 ; Head, 2010 ; De Marchi, Lucertini, & Tsoukiàs, 2016 ; Richards, 2017 ; Saltelli & Giampietro, 2017 ).

In theory, the selection and measurement of targets and indicators for building good evidence should be decisions made on technical or scientific grounds. In practice, the evidence collection stage can become a highly contested, political activity because the measurement tools are essential to defining the goals (Fukuda-Parr & McNeill, 2018 ).

Getting appropriate “buy-in” from politicians and bureaucrats to using EBP can also be difficult. “[P]ractitioners need incentives to use evidence and to do things that have been shown to be effective. This also means not doing things that have been shown to be ineffective or even harmful” (Davies, 2004 : 20). Policymakers must have the capability, opportunity, and motivation to use evidence before they engage in behavioral change (Langer, Tripney, & Gough, 2016 : 4). Outside events, such as pressing but unqualified threats, can also cause policymakers to “throw caution to the wind”, ignore evidence, and make quick, precautionary decisions (Monaghan, Pawson, & Wicker, 2012 ). Arguing that evidence should prevail over pragmatism is difficult for politicians where politics and budget constraints are likely to be more important than evidence in driving policymaking (Richards, 2017 ).

These political realities at every stage in the EBP process accord well with the concerns of WP theorists. One of the core insights of the WP literature is that the political arena is the true battlefield in policymaking because public policy problems are inherently political problems (Newman & Head, 2017 ; Head, 2019 ). As the wickedness of a problem increases, conflicts among stakeholders with differing values become more important and the usefulness of scientific evidence diminishes.

Insight #4: Good evidence needs networks and partnerships

Networks and partnerships among the various stakeholders in EBP – government, business, non-governmental organizations (NGOs), policy think tanks, academics, and the general public – are necessary for successful EBP, particularly in democratic systems and when dealing with WPs (Ney & Verweij, 2015 ; Crowley & Head, 2017 ; Daviter, 2017 ; Termeer & Dewulf, 2019 ). Partnerships are “voluntary and collaborative relationships between various parties, both State and non-State, in which all participants agree to work together to achieve a common purpose or undertake a specific task and to share risks and responsibilities, resources and benefits” (UN, 2005 , par. 8, p. 4).

Partnerships between government policymakers and their stakeholders can offer benefits, such as access to resources, capacity and coalition building, more policy relevant research, and linkages with stakeholders (Richards, 2017 ). EBP is more likely to be successful when the “actors in the evidence-to-policy ecosystem…..have regular opportunities to connect with each other, develop relationships of mutual trust and respect, and exchange ideas and learning” (Hewlett Foundation, 2018 : 8).

Academics and policymakers have historically been viewed as “two communities” with few contacts and bridges, either formal or informal, between them (Caplan, 1979 ). While evidence suggests the situation is better now than in the 1970s (Newman, Cherney, & Head, 2016 ), it is still the case that factors which could encourage networking, such as knowledge brokers, shared agendas, and common meeting places (e.g., joint conferences), are often missing or weak (Lugo-Gil, Jean-Baptiste, & Livia Frasso Jaramillo, 2019 ). For example, academic scholars are seldom motivated to work on policy issues nor encouraged to disseminate their research findings in ways that reach policymakers or to interact in policy circles. The “publish-or-perish” syndrome and the rewards systems in universities do not privilege policy-based research or reward linkages between government and academia, viewing them as consulting or secondary contributions to knowledge (Eden, Lund Dean, & Vaaler, 2018 , Chapter 28). 14 Academics need to learn the “dos and don’ts” of how to influence policy (Oliver & Cairney, 2019 ). For expert advice to be helpful, academic experts may also need to be more formally embedded in the policymaking process and able to think “outside the box” of their own discipline and specialty (Daviter, 2019 ).

Insight #5: Good evidence here may not work there

A concern particularly salient for IB scholars arises from the difficulty of applying EBP in different country settings. Context matters, and “what works here may not work there.” A simple but telling example is the need for and difficulty of adapting policies that work in OECD countries to the very different and differing institutional contexts of developing economies. While EBP has been used mostly in OECD countries, 15 most EBP experts agree that the potential economic gains from successfully implementing EBP in developing countries are likely to be large, possibly much larger than those found in case studies of EBP in OECD countries (Sutcliffe & Court, 2005 , 2006 ; Bartlett, 2013 ; Hewlett Foundation, 2018 ).

Only a few developing countries have embraced and attempted to implement EBP; for example, Malawi (Government of Malawi, 2016 ) and Tanzania (Lubua & Maharaj, 2012 ). The reasons for why EBP initiatives have failed in developing countries include the application of orthodox approaches inappropriate to countries at different stages of development, weaker economic conditions and more difficult political environments (e.g., political volatility, corruption), and institutional voids (Data for African Development Working Group, 2014 ; Hewlett Foundation, 2018 ). Even where international organizations have developed EBP “toolboxes or kits” for developing countries, a common concern is that the toolkits may be ideologically-based, promoting orthodox policies inappropriate for countries at different stages of development (Sutcliffe & Court, 2005 , 2006 ; European Commission, 2017b ). The heterogeneity of developing economies also makes it difficult to translate the lessons from EBP case studies carried out in one developing country to another because the environmental contexts are so different.

Even for a single developing country, the hurdles can be interactive and reinforce one another. A particularly difficult “cocktail” is the mix of poor evidence, political realities, and weak academic–policymaker networks (Hantrais, Lenihan, & MacGregor, 2015 ). While there is some research on how to successfully apply EBP in developing country contexts (see, e.g., the Overseas Development Institute’s RAPID Framework; Sutcliffe & Court, 2005 , 2006 ; Court & Young, 2006 ), clearly the hurdles are higher and the success stories fewer in number. 16

Problems at the single country level are compounded in a multi-country framework where attempting to implement EBP generates huge coordination issues. Examples are Bartlett’s ( 2013 ) study of the hurdles faced by applying EBP to labor-skill policies in the EU enlargement countries 17 and Lofstedt & Schlag’s ( 2017 ) study of the debate over banning the chemical Bisphenol A in the European Union. 18

The problems of applying EBP to multiple countries are even more acute in developing countries. A useful (and timely, given the current COVID-19 pandemic) analysis of the challenges is the study by Andrus, Jauregui, De Oliveria and Ruiz Matus ( 2011 ) of the Pan American Health Organization’s ProVac Initiative in the Americas, which was designed to ensure that developing countries had equitable access to new vaccines. The authors found that more lives were saved more quickly when national governments had sufficient policy capacity, took responsibility for helping to pay for and distribute the vaccines, and were supported by strong partnerships with international organizations.

In sum, “what works there may not work here” reminds us that an EBP approach to WPs will be particularly difficult in multi-country cases with multiple stakeholders and wide differences in institutional contexts and levels of development. Top–down, “one size fits all” policies – even where the definition of success is tackling, managing or coping – are unlikely to be accepted or successful.

Policy Recommendations for the Wicked Problem of SDG 5

As we have shown above, determining what is and how to use high-quality evidence in an EBP framework is far from easy and especially difficult where WPs are involved. Despite these difficulties, we argue that policymakers can benefit from applying the EBP and WP literatures to the WPs of the SDGs. Drawing on these insights, we make some policy recommendations for governments and MNEs for addressing the WP of SDG 5 Gender Equality.

SDG 5 Policy Recommendations for Governments

Recommendation #1: formally adopt ebp and prioritize completion of evidence collection.

The UN recognized early in the multi-stakeholder negotiations led to the 2030 Agenda that “good quality, verifiable evidence on progress toward achieving the 2030 Agenda” would be necessary, together with a formal monitoring and evaluation mechanism to ensure accountability and benchmark country progress (MacFeely, 2019b : 3). Implementation of the 2030 Agenda was to be based on “sound evidence and science, taking advantage of contemporary approaches from the sustainability sciences including systems thinking and analysis and quantitative modelling” (Allen, Metternicht, & Wiedmann, 2018 : 1454). Thus, the United Nations in 2015 implicitly, if not explicitly, recognized the importance of evidence and made a commitment to an EBP process for the 2030 Agenda.

UN Women has been actively leading the process for SDG 5, working with PARIS21, a worldwide network of statisticians and other stakeholders that are committed to EBP in the public sector. Their goal is to develop better gender statistics through assessing country-level data and statistical capacity gaps, with the ultimate goal of using these assessments to develop better strategies for national statistics (UN, 2013 , 2016 ; UN Women and PARIS21, 2019 ). UN Women ( 2018 , 2019a ) has set up a Women Count Data Hub with an SDGs Dashboard ( https://data.unwomen.org/countries ) where raw data are posted and analyzed, by country, for as many of the SDG indicators as possible. 19 The OECD is also heavily involved in the SDGs project, providing “snapshots” of OECD member countries and their performance on the SDGs (see, e.g., OECD, 2018 ). Once SDG 5’s targets and indicators are finalized, governments and intergovernmental agencies have committed to collecting and reporting statistics annually (UN Statistics Division, UNSD, 2020 ; UN, 2015b ; Allen et al., 2018 ). Socio-demographic statistics are to be collected on everyone, including marginalized populations (e.g., the homeless, migrants, minorities, and the underground economy) that are typically difficult or impossible to track. 20 Data collection so far has been difficult, and less than half the SDG indicators are high quality and many are completely missing. 21

The activities above involving SDG 5 are steps in the “evidence collection” stage of an EBP process. As Figure  1 shows, once a goal has been defined, the policymaker selects targets and indicators, identifies data sources, and assigns data collection roles and responsibilities. Where multiple entities are involved, a central entity typically coordinates and oversees the process by creating ex ante protocols, manuals, and training materials to guide collection, and by ex post cleaning, merging, and analyzing the submitted data. The last step is the generation and dissemination of the results.

Evidence collection occurs early in the EBP process. Why, in May 2020, 5 years after the SDGs were launched, are UN agencies and Member States still in the evidence-gathering stage for SDG 5 22 ? The slow progress appears to have multiple causes. UN Women ( 2018 : 54) lists three problems: the uneven coverage of gender indicators across goals and targets, the absence of internationally agreed standards for data collection, and the uneven availability of gender statistics across countries and over time. The existing gender inequality indexes, the GII and GGGI, were not closely tied to the broader targets and indicators of SDG 5 so new indexes had to be created; data collection for the new metrics has been hampered by lack of established methodologies for collecting and measuring the indicators.

A second reason why SDG 5 is still in the evidence collection phase is that national governments have failed to mainstream gender by not prioritizing gender statistics and/or by having weak and under-resourced statistical agencies (Thomas, Cordova Novion, de Haan, de León, Forest, & Iyer, 2018 ; UN, 2016 ; UN Women, 2018 ). Resource constraints on statistical agencies are likely to be even more important given the coronavirus pandemic and the global recession now underway.

A third causal factor is that selection and measurement of targets and indicators becomes a political activity when WPs are involved (Fukuda-Parr & McNeill, 2018 ). Politics can affect evidence collection in terms of, for example, determining priorities within complex targets, handling country composition changes over time, deciding which entities (national or international) are responsible for providing data, and allocating the financial costs of measurement (MacFeely, 2019b ). Governments may also be unwilling to collect and provide gender-related data to an international agency, especially governments with poor records on gender equality, which may prefer to hide or tamper with their statistics, fearing the reputational risks (UN Women, 2018 ).

Our assessment is that SDG 5 needs more momentum. The evidence collection phase needs completion and the process needs to move forward on other steps in the EBP process. We therefore recommend that the UN and UN Women first commit explicitly and publicly to an EBP approach to SDG 5 and, second, prioritize completion of the evidence collection phase. The symbolic effect of a formal restatement of commitment to EBP we believe would be useful for all stakeholders in the process. The commitment would also raise awareness among stakeholders of the need to set up formal milestones and to prioritize completion of the evidence collection phase in the EBP process.

Recommendation #2: Expand the role of partnering in evidence collection

Our second policy recommendation is that the UN and UN Women expand their partnering arrangements so they can move faster on the evidence collection phase for SDG 5. We recommend expansion both in terms of partners and data sources.

The UN has worked for many years to ensure independence and impartiality of official statistics through the UN Fundamental Principles of Official Statistics and UN Statistical Quality Assurance Frameworks (UN-SQAF, 2018 ). Only official or accredited statistical agencies that supply official statistics are currently acceptable sources of data for the SDG indicators (MacFeely & Nastav, 2019 ).

Imagine a 2 × 2 matrix with Agency (official/accredited vs. non-official/non-accredited) on one side and Data Source (official/accredited vs. non-official/non-accredited) on the other side. The UN’s current rules and procedures limit evidence collection for the SDGs to only one of the four cells in the 2 × 2 box: official/accredited agencies and official/accredited data sources. Given that the lack of data for many SDG indicators has slowed down completion of the data collection stage, we support proposals to – carefully – open up and include agencies and data sources in the other cells of the 2 × 2 matrix.

We recommend that UN statistical agencies should push forward rapidly on expanding their partnering to include non-official partners, as argued in MacFeely ( 2019b ) and MacFeely and Nastav ( 2019 ). UN Women could, for example, build on the unrealized potential in DATA2x, the collaborative technical and advocacy platform at https://data2x.org/ , which is estimating gaps in gender data, finding potential sources, and collecting data (Buvinic & Levine, 2015 ; Buvinic et al., 2014 ).

We also support recent proposals that unofficial data and statistics, both national and international, be certified and used as sources (MacFeely, 2019a ; MacFeely & Nastav, 2019 ). Expansion of acceptable data metrics is particularly important for developing countries where policy capacity and resources are limited. “Big data” could prove to be a more cost-effective, efficient, and fine-grained data source than official sources and of better quality than survey data (MacFeely, 2019a ). For example, DATA2x provides several fascinating case studies of gender inequalities, which were done using big data in developing countries (DATA2x, 2017 , 2019 ).

In order to expand partnering in terms of agencies and data sources, the UN and its statistical agencies will need to be more open to using unofficial routes for SDG indicators (MacFeely, 2019a ; MacFeely & Nastav, 74 ). We therefore also support a rapid certification process whereby unofficial agencies and data sources can be accepted by the UN specifically for the SDG indicators.

Recommendation #3: Build public–private partnerships for the long-term stages of EBP

Generating high-quality good evidence for SDG 5 is only the first step in the EBP process. Governments must also mobilize and allocate resources to the achievement of gender equality. This means prioritizing gender-responsive investments, policies, and programs. Implementation, monitoring, and accountability are also needed. These next steps in the EBP process are likely to be very difficult for the UN and its Member States, for at least three reasons. First, short-run dislocation costs caused by the COVID-19 pandemic and global recession will make it difficult for governments to prioritize and fund gender equality initiatives. A second, longer-term reason is that the SDGs are a goal-based institution built on soft international law with little to no enforceability. “As a non-binding political commitment, the 2030 Agenda lacks enforceability. There are no defined consequences if countries fail to make serious efforts to meet the goals and targets” (UN Women, 2018 : 257). The third reason is simply that SDG 5 is a WP where politics may trump evidence.

How can national governments move forward on the policy implementation, monitoring, and evaluation stages of the EBP cycle to address the WP of SDG 5? We argue that a key requirement will be that governments build successful partnerships with other stakeholders, in particular with multinational enterprises. Public–private partnerships (PPPs) with MNEs will be critical, for example, in developing and implementing firm-level policies for gender equality and empowerment of women in the workplace. Potential benefits from partnering with other stakeholders include knowledge-sharing and capacity building, mobilization of resources, and achievement of joint goals through collaboration (Bull & McNeill, 2019 ).

Our commitment to PPPs as a solution to the “evidence using” stages of an EBP approach to the 2030 Agenda builds on the three evidence “lenses” in Head ( 2008 ): scientific knowledge (the research-based knowledge of specialists), political knowledge (the know-how, analysis and judgment of political actors), and practical implementation knowledge (the wisdom and practices of government bureaucrats). Head ( 2008 ) argues that viewing evidence more broadly as three lenses can help policymakers address the complexity and conflict inherent in WPs. Our modification contends that PPPs can also bring together “three lenses” on evidence: scientific (academics, scientists), political (government policymakers and bureaucrats), and practical implementation (MNEs) knowledge, to deal with the WP of SDG 5. We explore this idea below.

Policy Recommendations for Multinational Enterprises

Recommendation #1: commit to a global corporate social responsibility strategy.

How MNE executives view the role of business in society has changed significantly over the years (Bull & Miklian, 2019 ; Eden, 2020 ). Definitions of social issues and corporate social responsibility (CSR) have broadened significantly as the social responsibility of business has evolved from its historical goal of “do no harm” to the more activist role of “doing good.” 23 More recently, CSR scholars have found that MNEs, in particular the largest ones are moving from “doing good” to “going above and beyond” mandated levels of government social policies (Eden, 2020 ; Schlegelmilch & Szöcs, 2020 ). Simply meeting government CSR regulations is no longer viewed as a differentiating factor; MNEs must exceed mandated levels of social and environmental activities to build a reputation and positively affect their financial performance (Miller, Eden, & Li, 2020 ).

The 2030 Agenda provides an opportunity for MNE executives to rethink their CSR strategies. We recommend that MNE executives shift from viewing CSR as a stand-alone activity located in their marketing departments to recognizing that CSR is an activity that can and should be linked strategically and dynamically to the MNE’s overall global strategy (Eden, 2020 ; Schlegelmilch & Szöcs, 2020 ). This new role should include building a commitment to global CSR into the MNE’s goals, scope, rules of engagement, capabilities, and management systems. Making a commitment to at least 1 of the 17 SDGs should be a core component of the global corporate social strategy for every MNE.

Recommendation #2: Build public–private partnerships for the 2030 Agenda

The 2030 Agenda is a new form of global governance by goal setting (van Zanten & van Tulder, 2018 ; Bull & McNeill, 2019 ). The agenda offers an opportunity for MNEs to use PPPs as a vehicle for solidifying a new role for business in society. MNEs, especially large MNEs with a global footprint, can be proactive agents of change that can serve society and address global problems (Kolk, Kourula, & Pisani, 2017 ; van Tulder, 2018 ). We therefore recommend that MNEs work pro-actively with UN agencies and national governments through PPPs to further the 2030 Agenda.

MNEs have been partnering with international organizations at least as far back as 1946 when the International Chamber of Commerce was given consultative status at the United Nations (Seitz, 2019 ). PPPs began to play a major role in MNE–state relations starting in the late 1990s (Bull & McNeill, 2019 ). For example, over the past 20 years, the primary forum for UN–business networking has been the UN Global Compact (UNGC), initiated in 1999 by UN Secretary-General Kofi Annan. 24 Other industry groups have also formed to support the SDGs; for example, the World Business Council for Sustainable Development (WDCSD, 2017 , 2018 ) whose members are primarily large MNEs.

The 2030 Agenda provides many opportunities for MNEs to work with national governments and international NGOs. Van Zanten and van Tulder ( 2018 : 226), in their study of MNE engagement with the SDGs, found that MNEs were using PPPs where the SDGs were complex and externally actionable, notably, SDG 1 (no poverty), SDG 2 (zero hunger), and SDG 4 (quality education). While PPPs and strategic alliances are costly, they enable resource collaboration and knowledge-sharing benefits that often cannot be achieved by firms on their own.

We recommend that MNEs use PPPs especially for the evidence collection stage for the SDGs, in particular for SDG 5. The UN has asked businesses to partner with governments and NGOs to build more robust statistical indexes for the SDGs (Business for 2030, 2020 ). There will be some targets and indicators where the private sector has better and more direct access to data than governments (e.g., SDG 5 data on wages and salaries, access to childcare and maternity leave policies, and share of women in management and leadership roles). These are areas where MNEs can play a powerful role in improving gender statistics in the evidence collection stage, particularly where statistical agencies are weak.

Recommendation #3: Adopt an EBP approach to the wicked problem of the 2030 Agenda

Our third recommendation is that MNEs adopt an EBP approach to selecting and implementing their own CSR strategy for engagement with the 2030 Agenda. Given that the SDGs are voluntary goals without formal binding commitments or penalties, each MNE has the flexibility to select from among the “menu” or “smorgasbord” of the 17 SDGs, prioritizing/ignoring and spending/not spending on the SDGs’ multiple targets and indicators, as the firm’s executives so choose (van Zanten & van Tulder, 2018 ).

Our proposed framework builds on the EBP policy cycle in Figure  2 with the key difference that the EBP approach is applied to MNE decision-making. We call our framework the SDG Materiality Matrix because a key component of the matrix is the analysis of both ex ante and ex post materiality of SDG targets to the MNE. The concept of materiality reflects the impact of a decision on a firm or actor; materiality analysis is designed to determine “what really matters to company sustainability performance, commitment and strategies” (Calabrese, Costa, Ghiron, & Menichini, 2017 : 440; Bellantuono, Pontrandolfo, & Scozzi, 2018 ). Materiality analyses are typically carried out on an ex post basis, assessing the performance of the MNE’s CSR activities. Here, we expand the concept to include both ex ante and ex post estimates of materiality of SDG targets to the MNE. We argue that MNE executives can use our SDG Materiality Matrix to develop their internal evidence-based policies, first, for creating and disseminating good evidence for the SDGs, and second, for policy design and implementation of SDG policies inside their organizations. We illustrate our SDG Materiality Matrix in Figure  3 . Given the huge number of SDG targets and indicators, we recommend that SDG target selection by the MNE should be based on four factors: Quality of evidence for the target, Salience of the target to the MNE, Actionability of the target by the MNE, and Ethicality of the target for the MNE.

The SDG Materiality Matrix applied to SDG 5 Gender Equality.

An EBP approach starts with the requirement of good evidence. Thus, quality – the “best available evidence” – for each SDG in terms of its targets and its indicators is the first factor in our SDG Materiality Matrix. MNE executives should start by mapping and assessing the 17 SDGs and their targets and indicators, for example, by consulting the most recent edition of the E - Handbook on the SDGs (UNSD, 2020 ). Summaries of available datasets and questions are also provided in GRI and the UN Global Compact ( 2017 ) and UNSD ( 2020 ). 25

Our second factor is the salience of the evidence for the MNE. We argue that salience has two components: fit and materiality. In terms of fit , we argue that MNE executives should prioritize SDG targets based on their relevance to and fit with the MNE’s core business purpose (Szöcs & Schlegelmilch, 2020 ). The MNE’s corporate goals for performance (market, financial, and social) and organizational legitimacy must also be considered (Donoher, 2017 ; Terpstra-Tong, 2017 ). The MNE should also consider existing in-house programs (e.g., CSR activities) and how the SDG target would fit with the MNE’s capabilities (Szöcs & Schlegelmilch, 2020 ) and CSR programs (Schönherr, Findler, & Martinuzzi, 2017 ).

The second component of salience is materiality of the SDG target to the MNE. Here, we recommend that MNE executives estimate the expected benefits and costs (both private and social) from acting on the SDG target, the likely impact on firm performance, and in what ways the SDG target is relevant to the MNE’s internal and external stakeholders. How, for example, would adopting the SDG target likely affect the MNE’s exports and imports, employment, foreign direct investment (FDI), and global value chains? 26 Based on an assessment of fit and materiality, the MNE can determine which SDG targets have the greatest salience.

Our third factor is actionability by the MNE, which has three components: target scope, action type, and actors (we expect the three components to be interdependent). The first component is target scope ; that is, whether the target is aimed at the regional/global, country, industry, or firm level. The second component is the type of action required by the SDG target. Addressing the target could require the MNE to engage in actionability through market-based actions (e.g., new products), operational actions (e.g., processes and value chains), or regulatory actions (e.g., standard-setting) (Szöcs & Schlegelmilch, 2020 ). The third component of actionability – actors – addresses which entity or entities are responsible for the actions and what roles they play. Both target scope and action type should affect the choice of actors and roles. For example, if the target is actionable at the firm level, the MNE can, but does not have to, move on its own to address the target. Targets aimed at the industry are likely to require partnering with firms in the same industry. Targets at the national or international levels are more likely to require PPPs and alliances with NGOs. Similarly, standard-setting actions may need industry alliances or PPPs, whereas new product launches can be done inside the MNE.

Our last factor in the SDG Materiality Matrix is ethicality of the target, which is the level of effort that the MNE chooses for the SDG target. Here, we consider two components: the standard or norm embedded in the SDG target and the MNE’s choice of compliance level. First, SDG targets can be written as either proscriptive (“do not harm”) or prescriptive (“do good”) norms or standards, which can also be either voluntary or mandatory. Where the standard is mandatory, additional issues involve enforceability and sanctioning. Because the SDGs are “soft” law, only the first component (prescriptive or proscriptive behavior) is at issue here. The second component of ethicality is the MNE’s chosen level of compliance with the standard: below (symbolic), at (compliant), or above (substantive) the norm (Miller et al., 2020 ). We also consider the materiality of the MNE’s engagement with the SDG target in terms of monitoring, impact assessment, and reporting to governments and other stakeholders (Calabrese et al., 2017 ; Bellantuono et al., 2018 ). Note that, while the salience factor assesses materiality on an ex ante basis, the ethicality factor does the same on an ex post basis.

The four factors in our SDG Materiality Matrix for MNE engagement with the SDGs have their direct parallels in the EBP policy cycle recommended for government policymakers. As Figure  2 shows, given the best available evidence, policymakers should consult with stakeholders, interpret the evidence for the context, select their preferred option(s), determine the actors and their roles, implement the policies, and monitor and assess performance.

Recommendation #4: Use the SDG materiality matrix to mainstream gender equality

We hypothesize that MNEs will prioritize at least some SDG 5 targets and indicators as part of their global CSR strategy. Below, we apply the SDG Materiality Matrix to explore how this can be done.

In terms of selecting evidence based on its quality, we argue that businesses are best placed to “make a difference” if they select targets that focus on gender equality and empowering women in the workplace. In terms of indicators, we recommend that MNEs start with the GII and GGGI rather than the newer SDG gender indexes to assess and design policies for addressing the gender inequality gaps in their organizations. As we have argued above, the GII and GGGI are better measures (at least at present) of workplace gender inequalities than the newer indexes. MNEs should use metrics from the GII and GGGI to collect and monitor their own internal statistics on gender equality and empowerment.

In terms of salience, van Zanten and van Tulder ( 2018 : 220) report that MNE engagement with the SDGs has been “particularly high” for SDG 5. Their result accords with other literature on the importance and salience of gender equality to business both in terms of fit and materiality; see, for example, Accenture ( 2019 ), Ike, Donovan, Topple and Masli ( 2019 ), PwC ( 2016 ), and WBCSD ( 2018 ).

In terms of actionability, we recommend that MNEs should focus, first, on the collection and dissemination of internal evidence on SDG 5 and, second, on designing and implementing internal policies to foster gender equality. MNEs that adopt SDG 5 as one of their key social strategies need to mainstream gender in their organizations and set up EBP management and reporting systems to ensure implementation (Thomas et al., 2018 ).

We also recommend that the MNE’s workplace, for the purposes of SDG 5, be defined as including all domestic and foreign affiliates. This does not imply that the exact same gender equality policies must apply throughout the MNE group on a worldwide basis. Given the large differences across countries in both gender inequality antecedents and outcomes, a proactive and substantive strategy will be a difficult, expensive, and contentious undertaking (Terpstra-Tong, 2017 ). EBP predicts that top–down strategies based on global integration are likely to fail when “what works here does not work there.” We therefore recommend a bottom–up, locally responsive approach. MNEs should build partnerships with key stakeholders at the country level (e.g., employees, governments, suppliers and buyers, civil society) and use the partnerships to develop appropriate country-based gender equality policies. MNEs should also address “missing links”, such as second- and third-tier suppliers that often “fly below the radar” in (non)compliance with the lead firm’s and first-tier suppliers’ CSR initiatives (Serdijn, Kolk, & Fransen, 2020 ). The commitment to mainstreaming gender equality throughout the MNE group should be, initially, to “go above and beyond” country-level requirements for gender equality and, in the longer term, to “lift all boats” to the highest common denominator across the MNE’s local and foreign affiliates.

Lastly, in terms of ethicality, assuming MNEs do prioritize SDG 5, what norm should they adopt – do no harm or do good – and what level and materiality? Van Zanten and van Tulder ( 2018 ) hypothesized that good citizens (including MNEs) would be more likely to choose compliance with expected norms. Assuming that a “do good” standard is more costly than a “no harm” standard, the authors found that MNEs preferred SDG targets with “no harm” standards. 27 On the other hand, if MNE executives view CSR as a socially responsible contract with their stakeholders, the executives are more likely to choose pro-active levels of engagement with the SDG targets (Eden, 2020 ; Schlegelmilch & Szöcs, 2020 ). There is also empirical evidence that MNEs that “go above and beyond” mandated CSR levels earn a positive reputation, which positively affects firm performance (Miller et al., 2020 ). We therefore expect MNEs to benefit from positive reputation gains that come from exceeding government mandates in terms of their global CSR strategies. We therefore recommend that MNEs commit publicly to exceeding national standards as they mainstream gender equality throughout their organizations.

Finally, adopting SDG 5 as a corporate social strategy also involves dissemination to others and reporting standards. The most common of these are CSR reports (Eden, 2020 ; Schönherr et al., 2017 ); other examples for how to build SDG 5 activities into corporate reports can be found in GRI and UNGC (2018). In addition, MNE CEOs are now being asked to publicly sign and post the seven Women’s Empowerment Principles, designed to mainstream gender in business organizations (UN Women, 2019 ). 28 When CEOs of large MNEs commit to making gender equality a top strategic priority for their organizations, the positive signaling effect encourages others to follow suit. 29 The visibility of large MNEs encourages others to emulate their practices, creating a bandwagon effect (Van Zanten & van Tulder, 2018 : 225). We therefore recommend that, as part of mainstreaming gender equality in their organizations, MNE CEOs sign on to the seven Women’s Empowerment Principles.

In sum, our recommendations, drawn from the SDG Materiality Matrix, would mainstream gender equality throughout the MNE group and send a strong signal to stakeholders and other MNEs.

Gender equality is 1 of 17 “wicked problems” in the 2030 Agenda. The issue fulfills all the criteria: systemic, complexly interrelated, with material involvement by multiple actors at multiple levels across multiple countries (van Tulder, 2018 ). There is wide recognition that better evidence is needed to foster women’s voice and agency, and to meet the UN challenge to leave no one behind (Thomas et al., 2018 ; UN Women, 2018 ). Our paper explores how insights from EBP can be useful for tackling the WP of SDG 5 and the 2030 Agenda.

Our paper makes several contributions to the IB literature. First, to the best of our knowledge, there have been no articles in Journal of International Business Policy ( JIBP ) or Journal of International Business Studies ( JIBS ) on WPs or EBP. A keyword search of JIBS and JIBP failed to find a single article on either topic. 30 We believe both frameworks offer much value added for thinking about IB policies and problems. IB theory has a long history of adopting insights from other disciplines. We hope that our work will encourage other IB scholars to use these theoretical frameworks for their own research topics.

We contribute to the EBP literature by expanding it in three different contexts: first, from the single-country (domestic) level to the multi-country level of the 2030 Agenda; second, by applying EBP to the problem of gender inequality; and third, by developing a EBP for multinational enterprises in our new SDG Materiality Matrix. In addition, we contribute to the WP literature by applying it to SDG gender equality, building on O’Brien et al. ( 2017 ). We also bring together two literatures – WPs and EBP – that historically have had little to do with one another, and show that they can usefully inform each other. Our work here builds on Daviter ( 2019 ) and Head ( 2019 ).

We contribute to the literature on the SDGs, and SDG 5 in particular, by showing how high-quality evidence and EBP can assist in the attainment of the 2030 Agenda. Our paper also contributes to the literature on gender equality by exploring differences between five gender inequality indexes, building on Eden and Gupta ( 2017 ), and assessing their relative appropriateness as evidence in an EBP approach to SDG 5. Our paper also addresses the research agenda items outlined by Witte and Dilyard ( 2017 ), including how government policies on the SDGs affect MNE strategies and predict which firms will engage and how they will engage with the SDGs.

A key innovation in our paper is the introduction of a new EBP framework for MNEs, the SDG Materiality Matrix, based on four factors (Quality, Salience, Actionability, and Ethicality), which MNEs can use to select and implement policies for their preferred SDG targets. We also contribute to the CSR literature by expanding it to encompass the SDGs, applying CSR insights into our SDG Materiality Matrix, and developing the concepts of ex ante and ex post materiality.

Going forward, we argue that IB scholars need to better understand how, why, and where MNEs are involved in the SDG process. Our SDG Materiality Matrix could be used as the framework for case studies of MNE interactions with other SDGs. Lastly, our paper could be expanded to discuss the role of evidence and EBP for the SDGs from the perspective of other organizations, such as business schools and professional associations. To what extent are they involved in the 2030 Agenda and what policy processes are they adopting to ensure that no one is left behind and everyone’s voice is heard?

• For good literature reviews, see the August 2012 special issue of Journal of Agricultural and Environmental Ethics introduced by Whyte and Thompson ( 2012 ), and the December 2019 special issue of Policy and Society introduced by Termeer et al. ( 2019 ).
• In an interesting test of Newman and Head ( 2017 ), Peters and Tarpey ( 2019 ) surveyed researchers on six policy problems, asking respondents to assess each problem’s wickedness according to the ten propositions. The respondents viewed all six as having some degree of wickedness, which depended on complexity and conflict.
• See, for example, Hudson, Ballif-Spanvill, Caprioli and Emmett ( 2012 ), Klugman, Hanmer, Twigg, Hasan, McCleary Sills and Santamaria Bonilla ( 2014 ), Hudson ( 2015 ), McKinsey Global Institute ( 2015 ), and Hudson et al. ( 2020 ).
• To create the index, all data are converted to indicator ratios that are truncated at 1; scores between 0 and 1 for each target are calculated using weighted averages of the individual indicators; and the final score is calculated as an unweighted average of the four targets (World Economic Forum, WEF, 2020 : 17: 45–48).
• Piper ( 2019 ) argues that Nicaragua’s fast rise up the GGGI country rankings was due to the GGGI ignoring national levels of economic development; “if the situation is bad for both genders, but similarly bad, the Index will report (accurately) a narrow gender gap” (Piper, 2019 : 1395). Constantine ( 2017 ) reached a similar conclusion. Piper ( 2019 ) also tested whether Nicaraguan women reported greater life satisfaction when the gender gap narrowed; once GDP growth rates were accounted for, no differences between Nicaragua and other countries remained.
• Measures of violence against women, such as forced marriages, gender-selective abortions, human trafficking, and sexual violence in armed conflicts, are missing. Both indexes are silent on discriminatory laws and stereotypes pervasive in many countries that deter gender equality. In addition, women’s rights to economic resources, as well as access to ownership and control over land and other forms of property, financial services, inheritance, and natural resources, are typically absent from the indexes.
• A look at the indicators in the SDSN’s gender index provides some evidence on the difficulties of capturing “no one left behind.” Of the 14 target indicators for SDG 5 (i.e., 5.1.1 to 5.c.1 in Table  1 ), the actual measures used appear to be a combination of GII and GGGI indicators.
• Barnat, MacFeely and Peltola ( 2019a , b ) conducted a principal component analysis of the GII, GGGI, and SIGI; the indexes clustered on four components: education and women’s social conditions, women’s economic and labor market participation, women’s political participation, and health.
• Histories and analyses of EBP can be found in, for example, Brownson, Gurney and Land ( 1999 ), Nutley et al. ( 2003 ), Davies ( 2004 ), Sutcliffe and Court ( 2006 ), Head ( 2010 ), Jayaraman and Rocholl ( 2017 ), Saltelli and Giampietro ( 2017 ), Haskins ( 2018 ), and Hewlett Foundation ( 2018 ).
• EU ( 2017a ) provides a useful case study of efforts by the European Institute for Gender Equality to launch, implement, and evaluate the gender mainstreaming platform.
• On EBP, see, for example, Davies, Nutley and Smith ( 2000 ), Sutcliffe and Court ( 2005 ), Davies ( 2012 ), Strehlenert, Richter-Sundberg, Nystrom and Hasson ( 2015 ), and European Commission ( 2017b ).
• Newman and Head ( 2017 ) provide mini-case studies of climate change, genetically modified foods, and hydraulic fracturing. In all three cases, there was abundant scientific evidence on which almost all scientists agreed. Despite the evidence, public policy was driven by political dynamics and embedded biases. The authors conclude that good evidence alone cannot address wicked problems; rather, the cure lies in “untangling the political dynamics and values-based discourse” (Newman & Head, 2017 : 424).
• The well-known phrase “lies, damned lies, and statistics” also points to a broader critique of evidence: the crisis of reproducibility, integrity, and legitimacy that currently plagues academic research. Ethical pitfalls bedevil academia, especially in research, as evidenced by growing numbers of shoddy research practices, article retractions, and predatory journals (Eden et al., 2018 ; Nielsen, Eden, & Verbeke, 2020 ). The crisis in science creates a crisis of trust; how can policymakers trust the research findings when scientists themselves are behaving badly?
• The problem of weak academic-policymaker linkages may be changing. A recent example is Responsible Research in Business and Management, a global network of business and management faculty that encourages research on societal issues with practical relevance for policymakers and businesses (Responsible Research in Business and Management, Community, 2017 ). Some academic associations are also setting up policy journals, such as the Academy of International Business’s Journal of International Business Policy , specifically to encourage scholars to engage in scholarly policy-based research.
• For examples, see Davies et al. ( 2000 ), Nutley et al. ( 2003 ), Mulgan ( 2005 ), Shepherd ( 2007 ), Janssen and Forbes ( 2014 ), and Commission on Evidence-Based Policymaking ( 2017 ).
• A useful example of how internationally endorsed EBP can fail in developing countries is Behague, Tawiah, Rosato, Some and Morrison’s ( 2009 ) study of the conflict between the neonatal and maternal health care targets in the Millennium Development Goals (UN, 2015a ). Developing country governments were asked to collect statistics and adopt EBP for neonatal health care, but, hampered by lack of policy capacity and resources, ended up diverting resources from maternal to neonatal health care. The authors concluded that international norms ignored local policy needs, weakening the benefits of EBP.
• The assistance of four international organizations (the European Commission, World Bank, OECD, and UNDP) proved to be a mixed blessing since “conflicting advice received from multiple donors and external advisers only provides an incentive for playing the system and producing inconsistent policy formulas” (Bartlett, 2013 :464).
• Using EBP at the regional level is explored in Lofstedt and Schlag’s ( 2017 ) account of how European governments handled the heated debate over whether to allow the use of the chemical Bisphenol A in Europe; the authors concluded that policy decisions were ideological, not evidence- or risk-based.
• The data collection and analysis are part of the UN Women Count Project established in 2016 to “improve the production and use of gender data and help countries monitor the SDGs from a gender perspective” (Seck & Maskey, 2019 : 3).
• UN Women ( 2019a : 5) estimates that socio-demographic data are missing for up to 350 million people.
• The SDG indicators are classified into three tiers: tier 1 (highest quality = established methodology with widely available data), tier 2 (mid-quality = established methodology but data not easily available) and tier 3 (lowest quality = no internationally accepted methodology). As of April 2019, only 44% of the SDG indicators were tier 1 and 15% were tier 3 (MacFeely & Nastav, 2019 : 311).
• The Statistics Division of the UN Department of Economic and Social Affairs maintains a list of proposed changes to the SDG indicators at https://unstats.un.org/sdgs/iaeg-sdgs/2020-comprev/UNSC-proposal/ (last accessed 15 May 2020).
• See, for example, Eden ( 2020 ), Kolk ( 2016 ), Schlegelmilch and Szöcs ( 2020 ), Schönherr et al. ( 2017 ), van Tulder ( 2018 ), and van Zanten and van Tulder ( 2018 ).
• The UNGC now has more than 14,000 member firms; its members committed originally to 10 principles related to human rights, labor, the environment, and anti-corruption. In 2015, the UNGC also signed onto the 2030 Agenda and developed its own set of 10 Action Platforms to encourage networking between businesses, governments, and NGOs. ( https://www.unglobalcompact.org/sdgs/action-platforms ).
• For example, pages 206–207 of the GRI and UNGC ( 2017 ) Report assess which SDG 5 targets are most closely and least closely tied to business, and then provide a detailed assessment of the best available indicators for each target. Detailed commentaries are provided on each SDG 5 indicator with suggestions for gender statistics that the MNE could collect itself (see GRI, and UN Global Compact, UNGC, 2017 : 59–68).
• The OECD has created a new set of FDI Qualities Indicators designed to measure the impact of FDI on sustainable development. OECD ( 2019 , Ch.5) takes a “women at work” approach, arguing that there are four channels through which FDI can affect SDG 5: employment, wages, top management positions, and entrepreneurship (see also UNCTAD, 2014 ). The OECD’s new FDI qualities index may prove useful for tracking SDG performance for MNEs that adopt SDG 5 as their corporate social strategy.
• There is also some evidence that MNEs may choose to make a symbolic commitment to the SDGs, or, worse, use the process to impede government regulation by lobbying (Seitz, 2019 ). The “scope, intent and impact of business’ involvement in the SDGs is often “vague and hard to measure”, according to Abshagen, Cavazzini, Graen and Oberland ( 2018 : 7). The lack of a common and systematic approach to interactions between MNEs and UN agencies can also create risks and conflicts of interest.
• The principles were developed under the WE EMPOWER program, a program funded by the European Union and implemented by UN Women and the International Labor Organization ( https://www.weps.org/join ).
• For example, at the January 2020 Davos meetings of the World Economic Forum, the UNGC together with SAP and Accenture announced, “SDG Ambition”, challenging its members to raise their level of commitment to the 2030 Agenda (UN Global Compact, UNGC, 2020 ).
• Every scholar stands on the shoulders of earlier scholars. We owe a particular debt to Robert van Tulder for his seminal work applying insights from the WP literature to the 2030 Agenda (van Tulder, 2018 ).

Acknowledgements

This paper was first presented at a JIBP Workshop at the Academy of International Business meetings in Copenhagen in June 2019. We thank the JIBP Special Issue Editors, especially Rob van Tulder, and the anonymous reviewers, for their thoughtful, detailed, and helpful comments on the paper. We thank Reilly Smith for her assistance with the datasets. Any remaining errors are the authors.

Biographies

is Professor Emerita of Management and Research Professor of Law (joint appointment) at Texas A&M University. Her current research interests include transfer pricing and MNE strategies in the digital economy. She was 2008–2010 Editor-in-Chief of the Journal of International Business Studies and 2017–2018 President of the Academy of International Business. She is incoming Dean of the AIB Fellows for 2020–2023.

is an Associate Professor in the Department of Marketing and Management at the University of Texas at El Paso where she holds the Robert E. and Jacqeline Skov Professorship in Business Ethics. She received her PhD from Texas A&M University. Her current research interests include gender and diversity issues at work and international human resource management. She is the Associate Editor of Management Research : The Journal of the Iberoamerican Academy of Management .

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Accepted by Rob van Tulder, Area Editor, 21 May 2020. This article has been with the authors for three revisions.

Contributor Information

Lorraine Eden, Email: ude.umat@nedel .

M. Fernanda Wagstaff, Email: ude.petu@ffatsgawf .

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• Published: 13 September 2024

Risk benefit analysis to evaluate risk of thromboembolic events after mRNA COVID-19 vaccination and COVID-19

• Huong N. Q. Tran   ORCID: orcid.org/0000-0003-3828-3862 1 ,
• Malcolm Risk 2 ,
• Girish B. Nair 3 &
• Lili Zhao 4  

npj Vaccines volume  9 , Article number:  166 ( 2024 ) Cite this article

Metrics details

• Epidemiology
• Thromboembolism
• Viral infection

We compared the risks and benefits of COVID-19 vaccines using a causal pathway analysis to weigh up possible risk factors of thromboembolic events post-vaccination. The self-controlled case series (SCCS) method examined the association between thromboembolic events and vaccination while a case-control study assessed the association between thromboembolic events and COVID-19, addressing under-reported infection data issues. The net vaccine effect was estimated using results from SCCS and case-control studies. We used electronic health record data from Corewell Health (16,640 subjects in SCCS and 106,143 in case-control). We found increased risks of thromboembolic events post-vaccination (incidence rate ratio: 1.19, 95% CI: [1.08, 1.31] after the first dose; 1.22, 95% CI: [1.11, 1.34] after the second dose). Vaccination attenuated infection-associated thromboembolic risks (odds ratio: 4.65, 95% CI: [4.18, 5.17] in unvaccinated vs 2.77, 95% CI: [2.40, 3.24] in vaccinated). After accounting for vaccine efficacy and protection against infection-associated thromboembolic events, vaccination decreases thromboembolic event risk, especially during high infection rate periods.

Introduction

The Coronavirus Disease 2019 (COVID-19) pandemic prompted a race to develop and distribute effective vaccines. Approximately 81.4% of the US population have been vaccinated with at least one dose, and 69.5% have completed the primary series of COVID-19 vaccination 1 . While the benefits of vaccination are widely acknowledged, concerns have emerged regarding the development of thromboembolic events after vaccination 2 . Phase 3 clinical trials were not statistically powered to identify rare adverse events 3 . The risks of new vaccines were not fully known during regulatory approval, particularly for mRNA-based vaccines (mRNA-1273 or BNT162b2), which were under authorized emergency use. Therefore, it is important to conduct post-marketing safety surveillance of the vaccines. More specifically, cases of venous thromboembolism following a mRNA-based vaccination were reported in 2022 after COVID-19 vaccines were administered in the US and some other countries 4 , 5 , 6 , 7 , drawing attention to the potential risk of thromboembolic events after the first vaccination dose. One study confirmed an increased risk of thromboembolism, ischemic stroke, and cerebral venous sinus thrombosis after the first dose of BNT162b2 8 , and another retrospective cohort study found an increased risk of cerebral venous thrombosis and portal vein thrombosis after any mRNA-based vaccination 9 . Moreover, a recent systematic review 10 has shown that thromboembolism is the most frequent cardiovascular complication following a mRNA-based vaccination. Despite those findings, vaccination is still recommended to reduce the likelihood of COVID-19, hospitalization, and mortality 8 , 11 . Furthermore, COVID-19 itself substantially increases the risk of thromboembolic events 12 , 13 , 14 , 15 , 16 , 17 , 18 , with a more prolonged and significant threat compared to vaccine-associated risks 8 . Therefore, studying the risk of thromboembolic events after COVID-19 vaccination should incorporate the protective effect of vaccines against COVID-19 severity and hence COVID-19-associated thromboembolic events.

Several studies have reported a positive correlation between thromboembolic events and mRNA-based vaccines, with reported incidence rate ratios (IRRs) between 1.04 and 1.22 8 , 19 , 20 , 21 , 22 . These studies used the self-controlled case series 23 (SCCS) design, which is a standard approach to studying adverse events of vaccines. The same design was used to evaluate the risk of thromboembolic events after COVID-19, with reported IRRs between 6.18 and 63.52 8 , 11 , 14 . However, since a thromboembolic event typically requires a hospital visit (emergency visit or hospital admission), subjects with a thromboembolic event are subject to a higher rate of COVID-19 testing, and so at a lower likelihood of misclassification as uninfected compared to subjects without an event. Hence, the SCCS design is subject to some risks of bias 24 , which we would expect to inflate the SCCS estimated relative risk (RR) of thromboembolic events after COVID-19.

The objective of this study is to evaluate whether the overall effect of the COVID-19 vaccination is to increase or decrease the risk of thromboembolic events. To do so, we first quantified the risk of thromboembolic events after mRNA-based vaccination using the SCCS method. Secondly, we evaluated the association between thromboembolic events and COVID-19 using a case-control study, avoiding the misclassification bias associated with the SCCS method. Finally, we conducted a risk-benefit analysis by comparing the magnitude of the increased risk through the direct effect of the COVID-19 vaccination with the reduced risk through the indirect pathway via protection against infection-associated thromboembolic events.

Our studies used electronic health record (EHR) data from the Corewell Health East (CHE, formerly known as Beaumont Health) and Corewell Health West (CHW, formerly known as Spectrum Health) healthcare systems, which includes demographics, mortality, hospital admissions, and COVID-19 testing. We obtained accurate COVID-19 vaccination records (vaccine types, dates, and doses) by linking EHR data at Corewell Health with the Michigan Care Improvement Registry (MCIR), giving more complete data for individuals who received the COVID-19 vaccines outside the healthcare system. We included all patients aged ≥ 18-years-old and were registered with a primary care physician within 18 months before Jan 1st, 2021.

We identified thromboembolic events based on ICD-10 (International Classification of Diseases version 10) codes from a hospital visit (emergency visit or hospital admission). These ICD-10 codes represent diagnoses for venous thromboembolism, arterial thrombosis, cerebral venous sinus thrombosis, ischemic stroke, and myocardial infarction (Supplementary Table 1 ). We also used patients with physical injury at a hospital visit (list of ICD-10 codes in Supplementary Table 2 ) to identify potential bias related to the misclassification and further leveraged them as a control group to estimate the effect of COVID-19 on thromboembolic events.

Estimate effect of mRNA-vaccination on thromboembolic events

We used the SCCS design to examine the association of thromboembolic events and the first two doses of mRNA-based COVID-19 vaccines (mRNA-1273 or BNT162b2) from December 1st, 2020, to August 31st, 2022. The SCCS method compares the incidence rate of thromboembolic events before and after vaccination. In this method, subjects are under their own control, and comparisons are made within subjects, thus avoiding any time-invariant confounding. We included subjects who had a thromboembolic event and received at least one dose of the primary series of mRNA-based vaccines in the study period. The control period was defined from December 1st, 2020, to 28 days before the first dose of vaccination, excluding the period of 28 days prior to vaccination to avoid bias due to contra-indications 25 . Two separate risk periods for the first and second doses were defined until 28 days after vaccination, death, or August 31st, 2022, whichever occurred first (Supplementary Fig. 1 ). We also excluded subjects who had COVID-19 within 90 days before a thromboembolic event to remove the confounding effect of infection on that event. We used a conditional Poisson regression 22 with an offset for the length of each period to estimate the IRRs of dose one and dose two simultaneously. Specifically, the model has an independent variable of the period with three categories (control periods, and two risk periods after the first and second dose). Using the control period as the reference, we derived the IRRs for the two doses. As Poisson regression assumes the independence between recurrent events, therefore, we considered only events that occurred at least one year after the previous events.

Estimate effect of COVID-19 on thromboembolic events

In an initial analysis of the association between thromboembolic events and COVID-19, we used the SCCS design and included patients who had at least one positive COVID-19 test (PCR or antigen) and a thromboembolic event at a hospital visit during the same period as in the previous study of vaccination. However, due to the missing infection data in patients who did not have any hospital visits for thromboembolic events or other reasons, the SCCS design resulted in a biased estimate of the association between thromboembolic events and COVID-19. Patients visiting the hospital, almost always received a COVID-19 (PCR or antigen) test, especially early in the pandemic, while patients who did not visit the hospital were subject to underreporting infection data. This underreporting (or misclassification of infected as uninfected) led to an inflated IRR of thromboembolic events after COVID-19.

We proposed a simple and efficient method to quantify the association between thromboembolic events and COVID-19 while dealing with the misclassification issue. The main idea is to select a subset of control (i.e., subjects without thromboembolic events) who had a hospital visit for reasons independent of COVID-19 and therefore had complete infection data. To this end, we used patients who had a diagnosis code for physical injury (see Supplementary Table 2 ) at a hospital visit as the control group, since we would not expect any causal association between physical injury and COVID-19. We used a case-control design, in which patients with a thromboembolic event are considered as cases, and patients with a physical injury are considered as controls. If an individual had multiple hospital visits for thromboembolic events or physical injuries, we considered only the first visit. As physical injuries can be risk factors for thromboembolic events 26 , 27 , we therefore excluded patients who experienced both events at the same visit. We determined the COVID-19 status based on the COVID-19 test results during the 28 days prior to the date of the event (Supplementary Fig. 2 ). If an individual had a positive test result, this subject was classified as exposed to COVID-19, otherwise, unexposed. We compared the odds of infection (exposed) vs no infection (unexposed) in the cases (with thromboembolic events) vs controls (with physical injury) using a logistic regression model adjusted for age, race, gender, Charlson comorbidity index (CCI), number of visits, and prior vaccination status (yes/no). Patients who had any COVID-19 vaccine between the date of the positive COVID-19 test and the date of the event were removed. The number of visits was fit with a natural spline with three degrees of freedom. The CCI was obtained using the R package comorbidity and categorized into four categories, ‘0’, ‘1–2’, ‘3–4’, and ‘ ≥ 5’ 28 , 29 . Analyses were done after excluding patients with incomplete covariate data.

Estimate the net effect of mRNA-vaccination on thromboembolic events: a risk-benefit analysis

COVID-19 vaccines are protective against COVID-19 and COVID-19 severity 30 , 31 , 32 , and so can indirectly decrease the likelihood of experiencing a thromboembolic event. Hence, we conducted a risk-benefit analysis to estimate the net RR of thromboembolic events after vaccination by considering the role of vaccination in preventing infection-associated thromboembolic events. Figure 1 illustrates the direct and indirect effect of the COVID-19 vaccination on the occurrence of thromboembolic events while considering vaccine efficacy (VE). As presented in the diagram, the association between thromboembolic events and COVID-19 vaccination is described by two paths, the direct association between thromboembolic events and vaccination, and the indirect association between thromboembolic events and vaccination via potential reduction in the risk of thromboembolic events through decreasing the risk of COVID-19. We estimated the overall influence of vaccination on the occurrence of thromboembolic events by considering both direct and indirect paths.

COVID-19 (I), individuals with COVID-19. COVID-19 vaccination (V), individuals with COVID-19 vaccines. Thromboembolic events (Y), individuals with thromboembolic events. V → I indicates vaccine effect (VE) in preventing COVID-19, V → Y indicates the risk of thromboembolic events after COVID-19 vaccination, I → Y indicates the risk of thromboembolic events after COVID-19, V → Y (via I) indicates the risk of thromboembolic events after vaccination accounting for vaccine effect in reducing infection-associated thromboembolic events.

Let \({\rm{P}}\left({\rm{I}}|{\rm{V}}\right)\) and \({\rm{P}}\left({\rm{I}}|\bar{{\rm{V}}}\right)\) be the probability of COVID-19 ( \({\rm{I}})\) in vaccinated ( \({\rm{V}}\) ) and unvaccinated ( \(\bar{{\rm{V}}}\) ) subjects, respectively. Let \({\rm{P}}\left({\rm{Y}}|\bar{{\rm{V}}},\bar{{\rm{I}}}\right),{\rm{P}}\left({\rm{Y}}|{\rm{V}},\bar{{\rm{I}}}\right),{\rm{P}}\left({\rm{Y}}|{\rm{I}},\bar{{\rm{V}}}\right),\) and \({\rm{P}}\left({\rm{Y}}|{\rm{I}},{\rm{V}}\right)\) be the probability (or risk) of thromboembolic events ( \({\rm{Y}})\) in unvaccinated and uninfected, vaccinated and uninfected, unvaccinated and infected, and vaccinated and infected subjects, respectively.

With the above notations, for a vaccinated subject, the total risk of thromboembolic events is \({\rm{P}}\left({\rm{Y}}|{\rm{V}},\bar{{\rm{I}}}\right)+{\rm{P}}\left({\rm{I}}|{\rm{V}}\right)\times {\rm{P}}\left({\rm{Y}}|{\rm{I}},{\rm{V}}\right)\) , where the product \({\rm{P}}\left({\rm{I}}|{\rm{V}}\right)\times {\rm{P}}\left({\rm{Y}}|{\rm{I}},{\rm{V}}\right)\) is the indirect risk calculated by multiplying the risk of COVID-19 of a vaccinated subject and the risk of thromboembolic events given a COVID-19 in the vaccinated group. Similarly, the overall risk of thromboembolic events for an unvaccinated subject is given by \({\rm{P}}\left({\rm{Y}}|\bar{{\rm{V}}},\bar{{\rm{I}}}\right)+{\rm{P}}\left({\rm{I}}|\bar{{\rm{V}}}\right)\times {\rm{P}}\left({\rm{Y}}|{\rm{I}},\bar{{\rm{V}}}\right)\) . Hence the net RR ( \({{\rm{RR}}}_{{\rm{Net}}}\) ) of thromboembolic events for a vaccinated subject compared to an unvaccinated subject is

The terms \({{\rm{RR}}}_{{\rm{V}}}\) is the RR of thromboembolic events comparing vaccinated versus unvaccinated in subjects without COVID-19, and \({{\rm{RR}}}_{{\rm{I|}}\bar{{\rm{V}}}}\) is the RR of thromboembolic events comparing subjects with and without COVID-19 in the unvaccinated group. The term \({{\rm{RR}}}_{{\rm{IV}}}\) is the RR of thromboembolic events in subjects who have both vaccination and infection, compared to the group of subjects who do not have any exposures.

We further defined VE as \({\rm{VE}}=1-{\rm{P}}({\rm{I|V}})/{\rm{P}}({\rm{I|}}\bar{{\rm{V}}})\) , then plugged VE into Eq. (1) to obtain

If \({{\rm{RR}}}_{{\rm{Net}}}\) is smaller than one, COVID-19 vaccination offers protection against thromboembolic events, with a lower \({{\rm{RR}}}_{{\rm{Net}}}\) implying a stronger protection.

Statistical analyses were performed in R 4.3.0. We reported odds ratio (OR) and IRR with 95% CIs and p -values from the two-sided test. We generated a figure for \({{\rm{RR}}}_{{\rm{Net}}}\) over a range of VE values based on the estimates of ORs and IRRs.

We used de-identified EHR data, the use of which was approved by the Institutional Review Board of Corewell Health.

Study population

During the study period from December 1st, 2020, to August 31st, 2022, there were 747,070 subjects at Corewell Health who received mRNA-based vaccines, among which 279,229 (37.38%) had the primary series of mRNA-1273 and 467,841 (62.62%) took BNT162b2. Overall, the number of fully vaccinated patients was 711,460 (95.23%), and 35,610 (4.77%) patients received only one dose. The median age was 57 (with interquartile range [IQR]: 40–69), and 59.81% of patients were female. There were 367,105 patients taking at least one COVID-19 test (antigen or PCR), among which 78,568 (21.4%) patients received positive results. The median age was 52 (with interquartile range [IQR]: 34–67), and 61.44% of patients were female.

In the study cohort of vaccination exposure, there were 16,640 patients who had at least one thromboembolic event and had the first dose of either mRNA-1273 or BNT162b2 vaccine. Patient demographics are presented in Table 1 . We identified 2724 events in the control period, 722 events within 28 days after the first dose, and 786 events within 28 days after the second dose.

In the study cohort of COVID-19 exposure, there were 18,004 patients who had a thromboembolic event (cases) and 88,139 patients who had a physical injury (controls) at a hospital visit. 16.96% of cases and 1.48% of controls had COVID-19 within 28 days before the event. Demographics of patients are presented in Table 2 .

Based on the SCCS analysis, we found an increased risk of thromboembolic events 28 days after the first dose (IRR = 1.19, 95% confidence interval (CI): [1.08, 1.31], p -value < 0.001), and after the second dose (IRR = 1.22, 95% CI: [1.11, 1.34], p -value < 0.001) of the mRNA-based vaccines.

We studied the risk of thromboembolic events in a 28-day window after vaccination based on prior research 8 . An event that occurs in a short period (such as 28 days) is more likely to be attributable to the vaccines. We also conducted a sensitivity analysis using a 60-day window after vaccination. The conclusions remained the same with slightly lower IRRs (IRR = 1.13, 95% CI: [1.03, 1.24] after the first dose, and IRR = 1.14, 95% CI: [1.05, 1.3] after the second dose).

Supplementary Figs. 3 and 4 show the IRRs for subgroup analyses by age (“18–31”, “31–50”, and “≥51”) and gender (female/male). We found that the effects of vaccination on thromboembolic events were similar between age groups and gender groups.

Naïve SCCS analysis showed a very large increased risk of thromboembolic events associated with COVID-19 (IRR = 19.36, 95% CI: [17.64, 21.26], p -value < 0.001). However, a similar analysis using the physical injury as an event also derived a large increased risk (IRR = 3.31, 95% CI: [3.10, 3.54], p -value < 0.001), indicating misclassification bias as COVID-19 should not substantially increase the risk of physical injury. In the case-control analysis with controls having a physical injury, we found that COVID-19 increased the risk of thromboembolic events but with a much smaller magnitude than the risk in the SCCS analysis (although it is still larger than the vaccination exposure). Moreover, the degree of the increased risks was modified by vaccination status (Fig. 2 ). The reported OR for the unvaccinated group was 4.65 (95% CI: [4.18, 5.17], p -value < 0.001) compared to 2.77 (95% CI: [2.40, 3.24], p -value < 0.001) for the vaccinated group. We observed the increased risks of thromboembolic events after COVID-19 in both groups, but vaccination appears to confer some protection against infection-associated thromboembolic events, given the lower OR. Alternatively, we divided the vaccinated group into four categories based on the time to the last vaccination (“≥365 days”, “180–365 days”, “90–180 days”, and “<90 days”). The effects of COVID-19 on thromboembolic events were similar across the four vaccinated groups. The results are in Supplementary Fig. 5 .

OR is denoted by a solid circle and a 95% CI is represented by a line. The x -axis is plotted on the natural log scale. CCI Charlson comorbidity index. Infection or non-infection refers to COVID-19.

We also conducted two sensitivity analyses. In the first analysis, rather than adjusting for the CCI, we adjusted individual risk factors that might be related to a thromboembolic event. These are congestive heart failure, peripheral vascular disease, cerebrovascular disease, chronic pulmonary disease, diabetes with complications, cancer, moderate or severe liver disease, and metastatic solid tumors. We included the above eight risk factors (present or absent) in the logistic regression model. The effect of COVID-19 on the outcome of thromboembolic events was similar to the analysis with CCI. Results can be found in Supplementary Fig. 6 .

We assumed that patients who visited hospitals were routinely tested for COVID-19, especially during the early pandemic. Based on Corewell Health’s policy, patients who visited the healthcare system before March 1st, 2022, were tested for COVID-19. In our study cohort, 74.05% of participants had a hospital visit before March 1st, 2022. We conducted a sensitivity analysis using only these patients and the conclusions remained the same. See results in Supplementary Fig. 7 .

Our analysis in the previous sections gave an IRR of 1.22 as the measure of the association between thromboembolic events and the second dose of COVID-19 vaccination, therefore, we set \({{\rm{RR}}}_{{\rm{V}}}\)  = 1.22. We also obtained odd ratios \({{\rm{OR}}}_{{\rm{I|}}\bar{{\rm{V}}}}\)  = 4.65 and \({{\rm{OR}}}_{{\rm{IV}}}\)  = 2.82 from the analysis using the case-control design. Since the RR is very close to the OR when the event is rare, we therefore set \({{\rm{RR}}}_{{\rm{I|}}\bar{{\rm{V}}}}\)  = 4.65 and \({{\rm{RR}}}_{{\rm{IV}}}\)  = 2.82, as the thromboembolic events are rare 33 . Hence, plugging these estimators into Eq. (2), the \({{\rm{RR}}}_{{\rm{Net}}}\) becomes

Figure 3 illustrates the \({{\rm{RR}}}_{{\rm{Net}}}\) of thromboembolic events after COVID-19 vaccination as a function of VE. As VE increases from 0 to 1, \({{\rm{RR}}}_{{\rm{Net}}}\) decreases and reaches a point where vaccine benefits outweigh the harms. Specifically, vaccines with higher VE offer higher protection against thromboembolic events. For example, the effectiveness of mRNA-based COVID-19 vaccines against infection was 61% during the Delta period and 46% during the Omicron period 34 , 35 , 36 . Given an infection rate of 0.08 among unvaccinated subjects, the risk of thromboembolic events was decreased by 4.62% in the Delta period, which is higher than 2.07% in the Omicron period. Moreover, vaccines offer stronger protection during periods with higher infection rates. For example, with the infection rate of 0.1 in unvaccinated subjects, the reduction of the risk of thromboembolic events was higher (by 9.19% in Delta and 6.23% in the Omicron period), compared to the scenario when the infection rate was 0.08.

The x -axis is VE, and the y -axis is the net RR of thromboembolic events.

The list of ICD-10 codes for thromboembolic events is based on a previous publication 8 , including old myocardial infarction (I252). Old myocardial infarction (I252) reports for any myocardial infarction described as older than four weeks. However, our study cohort removed subjects with an I252 code who had any thromboembolic event with ICD-10 codes listed in Table S1 in the prior year. Therefore, we can consider observing I252 in the study period as a new incidence. There were 20,002 (18.84%) patients with a hospital visit associated with the I252 code. We conducted a sensitivity analysis by excluding these patients and the conclusions did not change. The estimated IRRs of thromboembolic events are 1.16 and 1.17 after vaccine dose 1 and dose 2, respectively, which are slightly smaller than the original results including the I252 code (IRRs were 1.19 and 1.22 after the first and second dose). The association between COVID-19 and thromboembolic events is higher in the unvaccinated group (OR = 5.77 without I252 and OR = 4.65 with I252) and similar in the vaccinated group (OR = 2.80 without I252 and OR = 2.77 with I252). Hence, given the same infection rate and VE, vaccination offered a stronger protection, compared to the analysis with the I252 codes. For example, given an infection rate in the unvaccinated population of 0.08 and a VE of 0.8, vaccination lowers the risk of thromboembolic events by 17.14% without I252, compared to 6.67% in the analysis with I252. Detailed results are in Supplementary Figs. 8 and 9 . We considered the analysis that includes the I252 code as the main analysis to represent more conservative results.

We found that both COVID-19 vaccination and COVID-19 increase the risk of thromboembolic events. However, evidence implies that the likelihood of experiencing a thromboembolic event after COVID-19 is much higher than after vaccination. Our analysis agrees with previous research, indicating that COVID-19 is a more dangerous risk factor for thromboembolic events than vaccination 8 , 11 , 12 , 13 , 14 .

Different from existing work, we evaluated the association between thromboembolic events and COVID-19 using a case-control study, avoiding the misclassification issue associated with the SCCS design. We also studied the effect of prior vaccination on reducing infection-associated thromboembolic events. Moreover, we included both COVID-19 vaccination and COVID-19 in the analysis of the risk of thromboembolic events and conducted a risk-benefit analysis by comparing the magnitude of the increased risk through the direct effect of COVID-19 vaccination with the reduced risk through the indirect pathway via protection against severe diseases. Our analysis provides evidence that COVID-19 vaccination directly increases the risk of thromboembolic events, but indirectly reduces the risk of infection-associated events. Results show that the indirect benefit of preventing infection-associated thromboembolic events outweighs the direct harm if the VE and infection rate reaches certain levels. Moreover, COVID-19 vaccination may have additional benefits in preventing thromboembolic events associated with COVID-19, as a higher rate of vaccination increases the overall level of immunity in the population, reducing the spread of the virus and conferring collective protection against infection-associated thromboembolic events and other health risks associated with COVID-19.

There are several limitations to this study. First, using ICD-10 codes to identify thromboembolic events may be subject to phenotype errors. Second, Corewell Health has 22 hospitals, and the catchment area for these hospitals is across many counties, hence patients may seek care at other facilities outside the Corewell Health system, leading to missing data such as infection data. To deal with the missing infection data, we used the case-control study. Moreover, the use of a prior number of hospital visits as covariates in the regression model mitigates the bias due to differing degrees of interaction with the Corewell Health system between infected and control subjects. However, patients with a hospital visit due to injuries may not be the perfect control group, but it is clearly better than a control group of patients without thromboembolic events. Therefore, we may not totally correct the bias, but we reduce it. Finally, the study population for vaccine doses 1 and 2 are different. If a subject had a thromboembolic event after the first vaccine dose, this subject is unlikely to receive the second dose, therefore, the population who received the second dose only includes subjects who did not have a thromboembolic event after the first dose.

Despite these limitations, our study makes a critical contribution to quantifying the net risk of thromboembolic events associated with COVID-19 vaccination. It accounts for both the direct effects of vaccination and the indirect effects of protection against COVID-19 and severe diseases. The dual consideration is vital for a comprehensive understanding of the risk-benefit profile. The mechanism of vaccination is to simulate the immune response the body has against infection using a dead/attenuated virus or mRNA, which can lead to side effects similar to those of the virus, albeit in a less severe form (e.g., thromboembolic events, myocarditis 37 , acute kidney injury 38 , 39 ). Our finding highlights the necessity of evaluating both the indirect benefits and direct harms of vaccination to provide a complete and accurate assessment of vaccine safety. This comprehensive approach ensures a balanced understanding of the risks and the benefits, reinforcing the overall safety and efficacy of vaccination programs.

Our risk-benefit analysis was conducted on the population level. This analysis can also be stratified by patient groups of interest. For example, the risk-benefit of vaccination might be different between older and younger populations. Moreover, our findings are for a broad range of thromboembolic conditions, so more research is needed on the specific biological mechanisms connecting COVID-19 and mRNA vaccination to these events, both to establish causality and help identify a more specific set of conditions or risk factors.

Data availability

The datasets analyzed during the current study are not publicly available due to privacy or ethical restrictions.

Code availability

Code for this study is available from the corresponding author on request.

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Acknowledgements

We thank Kevin Heinrich at Quire and Martin Witteveen-Lane for querying the data from the Corewell Health Epic system. This study was funded by the National Institute of Allergy and Infectious Diseases of the National Institutes of Health under award number R01AI158543. The funder played no role in the study design, data collection, analysis, and interpretation of data, or the writing of this manuscript.

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Tran, H.N.Q., Risk, M., Nair, G.B. et al. Risk benefit analysis to evaluate risk of thromboembolic events after mRNA COVID-19 vaccination and COVID-19. npj Vaccines 9 , 166 (2024). https://doi.org/10.1038/s41541-024-00960-7

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Diet along the eastern Silk Roads: an isotopic case study of ancient humans and livestock from the Han-Jin Dynasties in the Lop Nur region, northwest China

• Published: 13 September 2024
• Volume 16 , article number  163 , ( 2024 )

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• Xueye Wang 1 , 2 ,
• Kangkang Li 3 , 4 ,
• Dong Wei 5 ,
• Guiying Zhang 1 , 2 ,
• Xingjun Hu 6 , 7 ,
• Jing Feng 8 ,
• Yingxin Jiao 8 ,
• Bing Xu 4 ,
• Xiaoguang Qin 4 ,
• Vicky M. Oelze 9 &
• Zihua Tang 4  

As a crossroad of the ancient Silk Roads, the historic Lop Nur population of northwest China witnessed substantial cultural integration among the Han, Xiongnu, and Western Regions communities known as the ancient Loulan. However, the dietary practices of the Loulan population remains poorly understood due to the challenging, harsh environment for sampling. Here, we present human and faunal multi-isotope data from a simple-constructed cemetery dating to the Han-Jin Dynasties (130–320 AD). The results show that herbivores exhibited exceptionally high δ 15 N values, ranging from 10.2‰ to 15.5‰. Combined with regional climate conditions and direct evidence of extensive deposits of archeological animal manure found in Loulan sites, this phenomenon can be interpreted as indicative of extreme regional aridity and intensive fertilization. Humans had mixed C 3 /C 4 -based diets and relied on animal products. Our study indicates greater millet consumption among rural individuals compared to other more urban Loulan people. Additionally, our research reveals a much higher dietary diversity coupled with millet consumption of Loulan people in comparison to local Bronze Age communities.

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Acknowledgements

We are grateful to members who contributed to the Lop Nur project and to Renee D. Boucher from UCSC for editing the early draft.

This work was funded by the National Natural Science Foundation of China (Grant Nos. 42072210 & 42207508), the Chinese Academy of Sciences (Grant No. IGGCAS-201905), the Fundamental Research Funds for the Central Universities (Grant No. YJ202366), the Open Research Fund of Center for Archaeological Science, SCU, and the Ministry of Science and Technology, China (2014FY210500).

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Xueye Wang & Guiying Zhang

School of Archaeology and Museology, Sichuan University, Chengdu, 610207, China

Archaeological Institute for Yangtze Civilization, School of History, Wuhan University, Wuhan, 430072, China

Kangkang Li

Key Laboratory of Cenozoic Geology and Environment, Institute of Geology and Geophysics, Chinese Academy of Sciences, Beijing, 100029, China

Kangkang Li, Bing Xu, Xiaoguang Qin & Zihua Tang

School of Archaeology, Jilin University, Changchun, 130012, China

School of History, Xinjiang University, Urumqi, 830046, China

Xinjiang Institute of Cultural Relics and Archaeology, Urumqi, 830000, China

Loulan Museum, Ruoqiang, 841800, China

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Anthropology Department, University of California Santa Cruz, Santa Cruz, CA, 95064, USA

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X.W. and Z.T. designed the research and conducted the measurements. X.W., K.L., and Z.T. wrote the original manuscript and finalized the paper. X.Q., B.X., Z.T., K.L., D.W., X.H., J.F., and Y.J. performed the geological and archaeological surveys.  D.W. identified the human skeletons. G.Z. & V.O. contributed to data interpretation.

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Wang, X., Li, K., Wei, D. et al. Diet along the eastern Silk Roads: an isotopic case study of ancient humans and livestock from the Han-Jin Dynasties in the Lop Nur region, northwest China. Archaeol Anthropol Sci 16 , 163 (2024). https://doi.org/10.1007/s12520-024-02068-4

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Received : 16 March 2024

Accepted : 29 August 2024

Published : 13 September 2024

DOI : https://doi.org/10.1007/s12520-024-02068-4

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