Transcript Tools and Methodologies in Assessing Technology Needs: An Overview Contact: Prof. Zou Ji Dept.

Tools and Methodologies in Assessing
Technology Needs: An Overview
Contact: Prof. Zou Ji
Dept. of Environmental Economics and Management
Renmin University of China
Email: [email protected]
The basic questions we try to answer:
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How are different technology needs of
different stakeholders reflected?
How to prioritize these technology needs?
How to ensure them most effective for
achieving goals of both local sustainable
development and the Convention?
2002-4-23
UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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Contents of the Presentation
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3.
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Mandate and roles of technology needs
assessment (TNA)
Process of technology transfer
Definition and roles of TNA
Process of TNA
Criteria for prioritizing technology needs
Decision making tools
Barriers encountered in TNA
Conclusions
2002-4-23
UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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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
2002-4-23
UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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Decision4/CP.7: Definition of TN and TNA
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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;
These activities may address soft and hard
technologies, mitigation and adaptation technologies,
identify regulatory options and develop fiscal and
financial incentives and capacity-building.
2002-4-23
UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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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.
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UNFCCC/UNDP Expert Meeting,
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Process of technology transfer (1)
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Establish partnership between
stakeholders by specific institutional
arrangement;
Assess technology needs: identify
alternative technology options and
prioritize technology needs;
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UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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Process of technology transfer (2)
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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.
2002-4-23
UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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Process of TNA: models investigated
 CTI
Model
 UNEP Model
 UNCSD Model
2002-4-23
UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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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
2002-4-23
UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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Process of TNA: CTI Model (2)
 Further
Technology & Barrier
Assessment & Stakeholder
Consultations
 Define Alternative Actions
 Select Actions
 Prepare Needs Assessment Report
2002-4-23
UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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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.
2002-4-23
UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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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 )
2002-4-23
UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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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.
2002-4-23
UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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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
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UNFCCC/UNDP Expert Meeting,
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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).
2002-4-23
UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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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);
2002-4-23
UNFCCC/UNDP Expert Meeting,
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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.
2002-4-23
UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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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.
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UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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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;
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UNFCCC/UNDP Expert Meeting,
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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).
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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)
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UNFCCC/UNDP Expert Meeting,
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Analytical Tools
Analytic hierarchy process (AHP)
 Existing information-based approach
 Cost-benefit analysis
 Cost-effectiveness analysis
 Decision analysis
 Risk-benefit analysis
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UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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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
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2002-4-23
UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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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?
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UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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Barriers/challenges to TNA (3)
The 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
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2002-4-23
UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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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.
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2002-4-23
UNFCCC/UNDP Expert Meeting,
Seoul, 23-25/04/2002
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