Methodologies and Tools for Technology Needs Assessment: an Overview Zou Ji Dept. of environmental Economics and Management, Renmin University of China

Technology needs assessment (TNA) in the overall process of T&T Establish partnership between stakeholders by specific institutional arrangement; Assess technology needs: identify alternative technology options and prioritize technology needs; Design, implement, evaluate, and refine action plans for T&T; Dissemination of technology information; Technologies are in place and recipients can understand and utilize them.

Process of TNA: Models Identified CTI Model UNEP Model UNCSD Model

Process of TNA: CTI Model (1) Establish Criteria for Selecting Technology Transfer Priorities Define Priority Sectors and Sub- Sectors Compile and Supplement Technology and Market Information Select Priority Technologies

Process of TNA: CTI Model (2) Further Technology & Barrier Assessment & Stakeholder Consultations Define Alternative Actions Select Actions Prepare Needs Assessment Report

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 Informal and flexible 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.

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 )

Process of TNA: UNEP Models (3) 4. Investigation and evaluation of technology effectiveness : (1) Technology cycle;(2) Material and energy;(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;(11)Social efficiency; (12) Institutional capacity.

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

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).

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);

Process of TNA: UNCSD Models (3) Phase II: Assessing capacity building needs: Actual execution of the assessment tasks through data analysis; consultation of national stakeholders; resulting in a portfolio of prioritized capacity building actions and technology transfer projects.

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.

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;

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).

Criteria for selecting prioritized technology Environmental concern: global and local Technological concern (penetration, reliability, easiness, and replication, etc) Economic concern (IRR, payback period, abatement and transaction costs) Social concern (equity and employment)

Analytical Tools for Decision Making Analytic hierarchy process (AHP) Existing-information based approach Cost-benefit analysis Cost-effectiveness analysis Decision analysis Risk-benefit analysis

Infrastructure for TNA Institutional arrangement to ensure the effective participation and cooperation of different stakeholders; Reliable and available information sources and management; Adequate expertise of investigators and investigated experts; and Necessary resources to implement activities for TNA

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? 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

Barriers/challenges to TNA (2) Determine the appropriate scale of survey sample. 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?

Barriers/challenges to TNA (3) Difficult to get reliable data and information 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

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 The limitation of funding for conducting survey in a larger scale of sample and in a dynamic/iterative manner.

Conclusions and Recommendations (1) Technology needs assessment is fundamental for the achievement of successful technology transfer. Governments should play an important role in coordinating and guiding technology needs assessment among different stakeholders, and in creating other enabling environment for technology needs assessment. No “one-size-fits-all” approach for TNA

Conclusions and Recommendations (2) A regular mechanism is needed for assessing dynamic needs for EST of developing countries; Active and broad participation of stakeholders are important; Several methodologies and tools have been available and need to be improved and synthesized as favorable starting points;

Conclusions and Recommendations (3) A close link should be made between TNA and national social, economic, and technological strategies and policies; More description of the approach for adaptation technologies and the possible development of a simplified user manual are needed;

Conclusions and Recommendations (4) There are some potential barriers in both institutional and technical terms to implement technology needs assessment successfully and measures should be taken to overcome these barriers. Technical and financial assistance from developed countries are crucial to implement technology needs assessment in developing countries.