Tools and Methodologies in Assessing Technology Needs: An Overview Contact: Prof. Zou Ji Dept. of Environmental Economics and Management Renmin University of China

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ The basic questions we try to answer: 1. How are different technology needs of different stakeholders reflected? 2. How to prioritize these technology needs? 3. How to ensure them most effective for achieving goals of both local sustainable development and the Convention?

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Contents of the Presentation 1. Mandate and roles of technology needs assessment (TNA) 2. Process of technology transfer 3. Definition and roles of TNA 4. Process of TNA 5. Criteria for prioritizing technology needs 6. Decision making tools 7. Barriers encountered in TNA 8. Conclusions

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Mandates on TNA Decision 7/CP.2, Para. 2b and 4f Decision 9/CP.3, Para. 5b Decision 4/CP.4, Para. 5 and Para. 7c Decision 9/CP.5, Para. 6 Decision 4/CP.7, Several paragraphs and the Annex on framework for meaningful and effective actions to enhance technology transfer

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Decision4/CP.7: Definition of TN and TNA A set of country-driven activities that identify and determine the mitigation and adaptation technology priorities of developing countries; A set of country-driven activities that identify and determine the mitigation and adaptation technology priorities of developing countries; Involve different stakeholders in a consultative process to identify the barriers to T&T and measures to address these barriers through sectoral analyses; Involve different stakeholders in a consultative process to identify the barriers to T&T and measures to address these barriers through sectoral analyses; These activities may address soft and hard technologies, mitigation and adaptation technologies, identify regulatory options and develop fiscal and financial incentives and capacity-building. These activities may address soft and hard technologies, mitigation and adaptation technologies, identify regulatory options and develop fiscal and financial incentives and capacity-building.

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ UNCSD: Definition of TNA TNA can be an important instrument for the identification of technology needs, the development of sector specific technology strategies and facilitator of sound technology acquisition and transfer.

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Process of technology transfer (1) Establish partnership between stakeholders by specific institutional arrangement; Establish partnership between stakeholders by specific institutional arrangement; Assess technology needs: identify alternative technology options and prioritize technology needs; Assess technology needs: identify alternative technology options and prioritize technology needs;

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Process of technology transfer (2) Design, implement, evaluate, and refine action plans for T&T; Design, implement, evaluate, and refine action plans for T&T; Dissemination of technology information; Dissemination of technology information; Technologies are in place and recipients can understand and utilize them. Technologies are in place and recipients can understand and utilize them.

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Process of TNA: models investigated CTI Model CTI Model UNEP Model UNEP Model UNCSD Model UNCSD Model

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Process of TNA: CTI Model (1) Establish Criteria for Selecting Technology Transfer Priorities Establish Criteria for Selecting Technology Transfer Priorities Define Priority Sectors and Sub-Sectors Define Priority Sectors and Sub-Sectors Compile and Supplement Technology and Market Information Compile and Supplement Technology and Market Information Select Priority Technologies Select Priority Technologies

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Process of TNA: CTI Model (2) Further Technology & Barrier Assessment & Stakeholder Consultations Further Technology & Barrier Assessment & Stakeholder Consultations Define Alternative Actions Define Alternative Actions Select Actions Select Actions Prepare Needs Assessment Report Prepare Needs Assessment Report

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Process of TNA: UNEP Models (1) Features of Environmental Technology Assessment (EnTA): delivery of information that helps those involved with technological developments to determine their strategic policy delivery of information that helps those involved with technological developments to determine their strategic policy Informal and flexible Informal and flexible serving for a strategic level of decision making serving for a strategic level of decision making Providing for well informed policy choices which direct and guide selection, adoption, implementation and use of technologies. Providing for well informed policy choices which direct and guide selection, adoption, implementation and use of technologies.

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Process of TNA: UNEP Models (2) Process: 1. Examine the reason for the proposed technology 2.Identification of other guideline documents (Policies;Plans, and legislation) 3.Technology alternatives (Possible modification and possible alternative system to achieve )

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Process of TNA: UNEP Models (3) 4. Investigation and evaluation of technology effectiveness : (1) Technology cycle; (2) Material and energy; (2) Material and energy; (3) Toxicity of material used; (4)Waste; (3) Toxicity of material used; (4)Waste; (5) Effluent discharges; (6 ) Atmospheric emissions; (7) Global concerns; (8)Health and safety; (9)Operational efficiency; (10) Financial efficiency; (5) Effluent discharges; (6 ) Atmospheric emissions; (7) Global concerns; (8)Health and safety; (9)Operational efficiency; (10) Financial efficiency; (11)Social efficiency; (11)Social efficiency; (12) Institutional capacity. (12) Institutional capacity.

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Process of TNA: UNEP Models (4) 5. Identify decision makers and processes 6. Identification of potential impact 7. Evaluation of Impacts 8. Policy generation 9.Implementation of follow up

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Process of TNA: UNCSD Models (1) Definition: A National Needs Assessment (NNA) is a tool for the government or other national stakeholders of a developing country (designated as the 'host country') to define a portfolio of capacity building actions and technology transfer projects to be undertaken to facilitate, and possibly accelerate, the development, adoption and implementation of Environmentally Sound Technologies (ESTs).

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Process of TNA: UNCSD Models (2) Three phases: Phase I: Creating an enabling environment: (a) awareness raising and communication with stakeholders, and/or execution of pilot projects regarding transfer of ESTs; and (b) defining the NNA-project (problem definition in order to set objectives, define participation of stakeholders, develop the organizational framework and raise necessary funds);

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Process of TNA: UNCSD Models (3) Phase II: Assessing capacity building needs: Actual execution of the assessment tasks through data analysis; data analysis; consultation of national stakeholders; consultation of national stakeholders; resulting in a portfolio of prioritized capacity building actions and technology transfer projects. resulting in a portfolio of prioritized capacity building actions and technology transfer projects.

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Process of TNA: UNCSD Models (4) Phase III: Implementation of the portfolio of prioritized capacity building actions. (a) the application of ESTs; (b) the definition and implementation of technology transfer projects regarding ESTs;and (c) an ongoing dialogue among national stakeholders, government and financing institutions regarding the implementation of ESTs.

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ General Process of TNA (1) 1. Establish criteria for evaluation of technology by integration of core social and economic goals; 2. Identify different options of technologies 3. Describe characteristics of different technologies and evaluate them with the above criteria;

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ General Process of TNA (2) 4. Express opinions of different stakeholders on technology preferences and synthesize these opinions; 5. Rank/prioritize technology needs; 6. Summarize and report the results of assessment; and 7. Set up link with follow-up activities (design and execution and action plan).

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Criteria for selecting prioritized technology Environmental concern: global and local Environmental concern: global and local Technological concern (penetration, reliability, easiness, and replication, etc) Technological concern (penetration, reliability, easiness, and replication, etc) Economic concern (IRR, payback period, abatement and transaction costs) Economic concern (IRR, payback period, abatement and transaction costs) Social concern (equity and employment) Social concern (equity and employment)

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Analytical Tools Analytic hierarchy process (AHP) Analytic hierarchy process (AHP) Existing information-based approach Existing information-based approach Cost-benefit analysis Cost-benefit analysis Cost-effectiveness analysis Cost-effectiveness analysis Decision analysis Decision analysis Risk-benefit analysis Risk-benefit analysis

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Barriers/challenges to TNA (1) How to identify the right experts and stakeholder representatives to be in the survey sample and what is the appropriate scale of the sample? How to identify the right experts and stakeholder representatives to be in the survey sample and what is the appropriate scale of the sample? Weak awareness of climate and the normal environment and thus low rate of reply to questionnaire Weak awareness of climate and the normal environment and thus low rate of reply to questionnaire Limitation of knowledge background across sectors of the investigated experts from specific sectors Limitation of knowledge background across sectors of the investigated experts from specific sectors

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Barriers/challenges to TNA (2) Determine the appropriate scale of survey sample. Determine the appropriate scale of survey sample. Failure in consistency test for significant amount of experts Failure in consistency test for significant amount of experts How to ensure that no significant technologies are missed in the set of candidate technologies and keep the list of candidate technologies updated? How to ensure that no significant technologies are missed in the set of candidate technologies and keep the list of candidate technologies updated?

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Barriers/challenges to TNA (3) The difficult to get reliable data and information The difficult to get reliable data and information lack of regular mechanism to keep the process of technology needs assessment continuous and iterative lack of regular mechanism to keep the process of technology needs assessment continuous and iterative institutional division between different government agencies and different administrative areas like provinces institutional division between different government agencies and different administrative areas like provinces

UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/ Barriers/challenges to TNA (4) Link between technology need assessment and national medium and long term plan for social and economic development and R&D strategies is not very close sometimes Link between technology need assessment and national medium and long term plan for social and economic development and R&D strategies is not very close sometimes The limitation of funding for conducting survey in a larger scale of sample and in a dynamic/iterative manner. The limitation of funding for conducting survey in a larger scale of sample and in a dynamic/iterative manner.