Tools and Methodologies in Assessing Technology Needs: An Overview

Tools and Methodologies in Assessing Technology Needs: An Overview

Contact: Contact: Prof. Zou JiProf. Zou Ji

Dept. of Environmental Economics and ManagementDept. of Environmental Economics and Management RenRenmin University of Chinamin University of China

Email: [email protected]: [email protected]

2002-4-23 UNFCCC/UNDP Expert Meeting, Seoul, 23-25/04/2002

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The basic questions we try to answer:1.1. How are different technology needs of How are different technology needs of

different stakeholders reflected?different stakeholders reflected?

2.2. How to prioritize these technology How to prioritize these technology needs?needs?

3.3. How to ensure them most effective for How to ensure them most effective for achieving goals of both local sustainable achieving goals of both local sustainable development and the Convention?development and the Convention?


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Contents of the Presentation1.1. Mandate and roles of technology needs Mandate and roles of technology needs

assessment (TNA)assessment (TNA)2.2. Process of technology transferProcess of technology transfer3.3. Definition and roles of TNADefinition and roles of TNA4.4. Process of TNAProcess of TNA5.5. Criteria for prioritizing technology needsCriteria for prioritizing technology needs6.6. Decision making toolsDecision making tools7.7. Barriers encountered in TNABarriers encountered in TNA8.8. ConclusionsConclusions


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Mandates on TNA

Decision 7/CP.2, Decision 7/CP.2, Para. 2b and 4fPara. 2b and 4fDecision 9/CP.3 , Para. 5bDecision 9/CP.3 , Para. 5bDecision 4/CP.4, Para. 5 and Para. 7cDecision 4/CP.4, Para. 5 and Para. 7cDecision 9/CP.5, Para. 6Decision 9/CP.5, Para. 6Decision 4/CP.7, Several paragraphs aDecision 4/CP.7, Several paragraphs a

nd the Annex on framework for meand the Annex on framework for meaningful and effective actions to enhaningful and effective actions to enhance technology transfernce technology transfer


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Decision4/CP.7: Definition of TN and TNA

A set of country-driven activities that identify and detA set of country-driven activities that identify and determine the mitigation and adaptation technology prioermine the mitigation and adaptation technology priorities of developing countries;rities of developing countries;

Involve different stakeholders in a consultative proceInvolve different stakeholders in a consultative process to identify the barriers to T&T and measures to adss to identify the barriers to T&T and measures to address these barriers through sectoral analyses;dress these barriers through sectoral analyses;

These activities may address soft and hard technologiThese activities may address soft and hard technologies, mitigation and adaptation technologies, identify rees, mitigation and adaptation technologies, identify regulatory options and develop fiscal and financial incegulatory options and develop fiscal and financial incentives and capacity-building.ntives and capacity-building.


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UNCSD: Definition of TNA

TNA can be an important instrument TNA can be an important instrument for the identification of technology for the identification of technology needs, the development of sector needs, the development of sector specific technology strategies specific technology strategies and and facilitator of sound technology facilitator of sound technology acquisition and transfer.acquisition and transfer.


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Process of technology transfer (1)

Establish partnership between Establish partnership between stakeholders by specific institutional stakeholders by specific institutional arrangement;arrangement;

Assess technology needs: identify Assess technology needs: identify alternative technology options and alternative technology options and prioritize technology needs;prioritize technology needs;


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Process of technology transfer (2)

Design, implement, evaluate, and refine Design, implement, evaluate, and refine action plans for T&T;action plans for T&T;

Dissemination of technology Dissemination of technology information;information;

Technologies are in place and recipients Technologies are in place and recipients can understand and utilize them.can understand and utilize them.


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Process of TNA: models investigated

CTI ModelCTI Model UNEP ModelUNEP Model UNCSD ModelUNCSD Model


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Process of TNA: CTI Model (1)

Establish Criteria for Selecting Establish Criteria for Selecting Technology Transfer Priorities Technology Transfer Priorities

Define Priority Sectors and Sub-Sectors Define Priority Sectors and Sub-Sectors Compile and Supplement Technology Compile and Supplement Technology

and Market Information and Market Information Select Priority Technologies Select Priority Technologies


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Process of TNA: CTI Model (2)

Further Technology & Barrier Further Technology & Barrier Assessment & Stakeholder Assessment & Stakeholder Consultations Consultations

Define Alternative ActionsDefine Alternative Actions Select Actions Select Actions Prepare Needs Assessment ReportPrepare Needs Assessment Report


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Process of TNA: UNEP Models (1)

Features ofFeatures of Environmental Technology Assessment Environmental Technology Assessment (EnTA):(EnTA):

delivery of information that helps those involved delivery of information that helps those involved with technological developments to determine thwith technological developments to determine their strategic policyeir strategic policy

Informal and flexibleInformal and flexible serving for a strategic level of decision making serving for a strategic level of decision making Providing for well informed policy choices whicProviding for well informed policy choices whic

h direct and guide selection, adoption, implementh direct and guide selection, adoption, implementation and use of technologies. ation and use of technologies.


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Process of TNA: UNEP Models (2)Process:Process:

1. Examine the reason for the proposed 1. Examine the reason for the proposed technologytechnology

2.Identification of other guideline 2.Identification of other guideline documents (Policies;Plans, and documents (Policies;Plans, and legislation)legislation)

3.Technology alternatives (Possible 3.Technology alternatives (Possible modification and modification and possible alternative possible alternative system to achieve )system to achieve )


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4. 4. Investigation and evaluation of technology eInvestigation and evaluation of technology effectivenessffectiveness: (1) : (1) Technology cycle;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) (5) Effluent discharges; (6Effluent discharges; (6) ) Atmospheric eAtmospheric e

missions; (7) Global concerns; (8)Health anmissions; (7) Global concerns; (8)Health and safety; (9)Operational efficiency; d safety; (9)Operational efficiency; (10) (10) FinaFinancial efficiency;ncial efficiency;

(11)Social efficiency; (11)Social efficiency; (12) (12) Institutional capacity.Institutional capacity.


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5. Identify decision makers and 5. Identify decision makers and processesprocesses

6. Identification of potential impact 6. Identification of potential impact 7. Evaluation of Impacts 7. Evaluation of Impacts 8. Policy generation8. Policy generation9.Implementation of follow up9.Implementation of follow up


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Process of TNA: UNCSD Models (1)

Definition: A National Needs Assessment (NNA) iDefinition: A National Needs Assessment (NNA) is a tool for the government or other national staks a tool for the government or other national stakeholders of a developing country (designated as teholders of a developing country (designated as the 'host country') to define a portfolio of capacithe 'host country') to define a portfolio of capacity building actions and technology transfer projecy building actions and technology transfer projects to be undertaken to facilitate, and possibly accts to be undertaken to facilitate, and possibly accelerate, the development, adoption and implemeelerate, the development, adoption and implementation of Environmentally Sound Technologies ntation of Environmentally Sound Technologies (ESTs).(ESTs).


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Three phases:Three phases:Phase I: Creating an enabling environment: Phase I: Creating an enabling environment: (a)(a) awareness raising and communication with stakeawareness raising and communication with stake

holders, and/or execution of pilot projects regardholders, and/or execution of pilot projects regarding transfer of ESTs; and ing transfer of ESTs; and

(b)(b) defining the NNA-project (problem definition idefining the NNA-project (problem definition in order to set objectives, define participation of sn order to set objectives, define participation of stakeholders, develop the organizational framewotakeholders, develop the organizational framework and raise necessary funds);rk and raise necessary funds);


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Phase II:Phase II:Assessing capacity building needs: Actual Assessing capacity building needs: Actual

execution of the assessment tasks throughexecution of the assessment tasks through data analysis;data analysis; consultation of national stakeholders;consultation of national stakeholders; resulting in a portfolio of prioritized resulting in a portfolio of prioritized

capacity building actions and technology capacity building actions and technology transfer projects.transfer projects.


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Phase III: Implementation of the portfolio of prioritPhase III: Implementation of the portfolio of prioritized capacity building actions. ized capacity building actions.

(a)(a) the application of ESTs;the application of ESTs;(b)(b) the definition and implementation of technologthe definition and implementation of technolog

y transfer projects regarding ESTs;and y transfer projects regarding ESTs;and (c)(c) an ongoing dialogue among national stakeholdean ongoing dialogue among national stakeholde

rs, government and financing institutions regarrs, government and financing institutions regarding the implementation of ESTs. ding the implementation of ESTs.


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General Process of TNA (1)

1. Establish criteria for evaluation of 1. Establish criteria for evaluation of technology by integration of core social technology by integration of core social and economic goals;and economic goals;

2. Identify different options of 2. Identify different options of technologiestechnologies

3. Describe characteristics of different 3. Describe characteristics of different technologies and evaluate them with the technologies and evaluate them with the above criteria;above criteria;


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General Process of TNA (2)

4. Express opinions of different stakeholders 4. Express opinions of different stakeholders on technology preferences and synthesize on technology preferences and synthesize these opinions;these opinions;

5. Rank/prioritize technology needs;5. Rank/prioritize technology needs;6. Summarize and report the results of 6. Summarize and report the results of

assessment; andassessment; and7. Set up link with follow-up activities 7. Set up link with follow-up activities

(design and execution and action plan).(design and execution and action plan).


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Criteria for selecting prioritized technology

Environmental concern: global and localEnvironmental concern: global and local Technological concern (penetration, Technological concern (penetration,

reliability, easiness, and reliability, easiness, and replication, etc)replication, etc) Economic concern (IRR, payback period, Economic concern (IRR, payback period,

abatement and transaction costs)abatement and transaction costs) Social concern (equity and employment)Social concern (equity and employment)


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Analytical Tools

Analytic hierarchy process (AHP)Analytic hierarchy process (AHP) Existing information-based approach Existing information-based approach Cost-benefit analysisCost-benefit analysis Cost-effectiveness analysisCost-effectiveness analysis Decision analysisDecision analysis Risk-benefit analysisRisk-benefit analysis


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Barriers/challenges to TNA (1) How to identify the right experts and How to identify the right experts and

stakeholder representatives to be in the stakeholder representatives to be in the survey sample and what is the appropriate survey sample and what is the appropriate scale of the sample?scale of the sample?

Weak awareness of climate and the normal Weak awareness of climate and the normal environment and thus low rate of reply to environment and thus low rate of reply to questionnairequestionnaire

Limitation of knowledge background across Limitation of knowledge background across sectors of the investigated experts from sectors of the investigated experts from specific sectors specific sectors


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Barriers/challenges to TNA (2)

Determine the appropriate scale of survey Determine the appropriate scale of survey sample. sample.

Failure in consistency test for significant Failure in consistency test for significant amount of expertsamount of experts

How to ensure that no significant How to ensure that no significant technologies are missed in the set of technologies are missed in the set of candidate technologies and keep the list of candidate technologies and keep the list of candidate technologies updated?candidate technologies updated?


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The difficult to get reliable data and The difficult to get reliable data and informationinformation

lack of regular mechanism to keep the lack of regular mechanism to keep the process of technology needs assessment process of technology needs assessment continuous and iterative continuous and iterative

institutional division between different institutional division between different government agencies and different government agencies and different administrative areas like provinces administrative areas like provinces


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Link between technology need assessment Link between technology need assessment and national medium and long term plan for and national medium and long term plan for social and economic development and R&D social and economic development and R&D strategies is not very close sometimes strategies is not very close sometimes

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

Documents

Tools and Methodologies in Assessing Technology Needs: An Overview