Methodologies and Tools for Methodologies and Tools for Technology Needs Technology Needs

Assessment: an OverviewAssessment: an Overview

Zou JiZou JiDept. of environmental Economics and Dept. of environmental Economics and

Management, Renmin University of ChinaManagement, Renmin University of Chinazoujit@public.bta.net.cnzoujit@public.bta.net.cn

Technology needs assessment (TNA) Technology needs assessment (TNA) in the overall process of T&Tin the overall process of T&T

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

Process of TNA: Models IdentifiedProcess of TNA: Models Identified

CTI ModelCTI Model

UNEP ModelUNEP Model

UNCSD ModelUNCSD Model

Process of TNA: CTI Model Process of TNA: CTI Model (1)(1)

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

Define Priority Sectors and Sub-Define Priority Sectors and Sub-Sectors Sectors

Compile and Supplement Compile and Supplement Technology and Market Information Technology and Market Information

Select Priority Technologies Select Priority Technologies

Process of TNA: CTI Model (2)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

Process of TNA: UNEP Models (1)Process of TNA: UNEP Models (1)

Features ofFeatures of Environmental Technology Environmental Technology Assessment (EnTA):Assessment (EnTA):delivery of information that helps those delivery of information that helps those involved with technological developments to involved with technological developments to determine their strategic policydetermine their strategic policyInformal and flexibleInformal and flexibleserving for a strategic level of decision making serving for a strategic level of decision making Providing for well informed policy choices Providing for well informed policy choices which direct and guide selection, adoption, which direct and guide selection, adoption, implementation and use of technologies. implementation and use of technologies.

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

Process of TNA: UNEP Models (3)Process of TNA: UNEP Models (3)

4. 4. Investigation and evaluation of Investigation and evaluation of technology effectivenesstechnology effectiveness: :

(1) (1) Technology cycle;(2) Material and energy;Technology cycle;(2) Material and energy;(3) Toxicity of material used; (4)Waste;(5) (3) Toxicity of material used; (4)Waste;(5) Effluent discharges; (6) Atmospheric Effluent discharges; (6) Atmospheric emissions; (7) Global concerns; (8)Health emissions; (7) Global concerns; (8)Health and safety; (9)Operational efficiency; (10) and safety; (9)Operational efficiency; (10) Financial efficiency;(11)Social efficiency; Financial efficiency;(11)Social efficiency;

(12) Institutional capacity(12) Institutional capacity..

Process of TNA: UNEP Models Process of TNA: UNEP Models (4)(4)

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

Process of TNA: UNCSD Models Process of TNA: UNCSD Models (1)(1)

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

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

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

stakeholders, and/or execution of pilot stakeholders, and/or execution of pilot projects regarding transfer of ESTs; and projects regarding transfer of ESTs; and

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

Process of TNA: UNCSD Models Process of TNA: UNCSD Models (3)(3)

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

execution of the assessment tasks throughexecution of the assessment tasks throughdata 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.

Process of TNA: UNCSD Models Process of TNA: UNCSD Models (4)(4)

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

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

technology transfer projects regarding technology transfer projects regarding ESTs;and ESTs;and

(c)(c) an ongoing dialogue among national an ongoing dialogue among national stakeholders, government and financing stakeholders, government and financing institutions regarding the implementation of institutions regarding the implementation of ESTs. ESTs.

General Process of TNA (1)General Process of TNA (1)

1. Establish criteria for evaluation of 1. Establish criteria for evaluation of technology by integration of core technology by integration of core social and economic goals;social 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 technologies and evaluate them with the above criteria;the above criteria;

General Process of TNA (2)General Process of TNA (2)

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

Criteria for selecting Criteria for selecting prioritized technologyprioritized technology

Environmental concern: global and localEnvironmental concern: global and localTechnological 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)

Analytical Tools for Decision MakingAnalytical Tools for Decision Making

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

Infrastructure for TNAInfrastructure for TNA

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

Barriers/challenges to TNA (1)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 survey sample and what is the appropriate scale of the sample?appropriate scale of the sample?Weak awareness of climate and the Weak awareness of climate and the normal environment and thus low rate of normal environment and thus low rate of reply to questionnairereply to questionnaireLimitation of knowledge background Limitation of knowledge background across sectors of the investigated across sectors of the investigated experts from specific sectors experts from specific sectors

Barriers/challenges to TNA (2)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?

Barriers/challenges to TNA (3)Barriers/challenges to TNA (3)

Difficult to get reliable data and informationDifficult to get reliable data and information

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

Barriers/challenges to TNA (4)Barriers/challenges to TNA (4)Link between technology need Link between technology need assessment and national medium and assessment and national medium and long term plan for social and economic long term plan for social and economic development and R&D strategies is not development and R&D strategies is not very close sometimes 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.

Conclusions and Recommendations (1)Conclusions and Recommendations (1)

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

Conclusions and Recommendations (2)Conclusions and Recommendations (2)

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

Conclusions and Recommendations (3)Conclusions and Recommendations (3)

A close link should be made between TNA A close link should be made between TNA and national social, economic, and and national social, economic, and technological strategies and policies;technological strategies and policies;

More description of the approach for More description of the approach for adaptation technologies and the possible adaptation technologies and the possible development of a simplified user manual are development of a simplified user manual are needed;needed;

Conclusions and Recommendations (4)Conclusions and Recommendations (4)

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