Activities of CTI Working Group on Technology Assessment and Capacity Building

1
Technology Needs Assessments Methods and Country
Experiences
Ron Benioff Climate Technology Initiative April
23, 2002
2
Climate Technology Initiative

• 23 OECD Countries and the EC Launched CTI at
  COP-1
• CTI Mission
• Promote objectives of the UNFCCC by fostering
  international cooperation for accelerated
  diffusion of climate-friendly technologies and
  practices
• CTI Activities Providing Potential Model for
  Technology Transfer Under UNFCCC

3
CTI Technology Transfer Activities

• Needs Assessment Methodology Development
• Needs Assessment Technical Assistance
• CTIP - Cooperative Technology Implementation
  Plans
• Capacity Building through Training Courses
• Dissemination of Technology Information

4
Needs Assessment Methodology Development

• Convened Workshop In Budapest to Review Methods
  for Needs Assessment and Technology Transfer
  Implementation
• 40 participants reviewed notes on methods based
  on experiences of developing and transition
  countries
• Turned Workshop Notes into Report Describing
  Step-Wise Methods with Country Examples
• Ready to Assist UNFCCC Secretariat, UNDP, GEF,
  and others with further Methods Development Work
  

5
Report Identifies Steps and Methods with Country
Examples

• Report describes country approaches and methods
  for key needs assessment steps
• Also discusses approaches for implementation of
  technology transfer activities
• Interested in comments to improve report
• Binders also includes examples of country needs
  assessments
• Would be glad to distribute/compile additional
  examples

6
Broad Country Experience with Technology Needs
Assessment

• Countries Have Completed Needs Assessments in
  Pilot Programs that Include Implementation
• Brazil, China, Egypt, Mexico, Philippines, and
  South Korea with U.S. (TCAPP-CTP)
• Southern African Countries with CTI (CTIP)
• India and Nigeria also Initiating Work with CTI
• Over 50 Countries Conducting Technology Needs
  Assessments with GEF (UNDP and UNEP) support
• CTI Technical Assistance Available to These
  Countries (e.g. Bolivia and Ghana)

7
Needs Assessments Have Included 5 Basic Elements

• Establishment of Collaborative Partnerships
• Implementation of Needs Assessments
• Resulting in Proposed Technology Transfer Actions
  for High Priority Technologies
• Implementation of Selected Technology Transfer
  Actions
• Evaluation and Refinement of Actions
• Technology Information and Networking Supporting
  Each Step

8
Comprehensive Approach to Technology Transfer
9
Broad Stakeholder Participation is Important

• Most Country Teams Have Included
• Government climate and sectoral officials
• Businesses and business associations
• Technical institutions
• Other Non-Government Organizations
• Participation of Donors, International
  Businesses, and Technical Experts Also Helpful

10
Common Needs Assessment Steps
11
Establishing Criteria

• Countries Have Often Used 3 Basic Criteria
  Defined Through Stakeholder Consultations
• 1. Development Benefits Impact on national
  development priorities
• 2. Market Potential Projected scale of private
  and public investment
• 3. Contribution to Climate Response Goals
  Impact on GHG mitigation and adaptation

12
Defining Priority Sectors and Sub-Sectors for
Assessment

• Countries Have Applied Criteria to Select
  Priority Sectors (e.g. Energy, Forestry) and
  Sub-Sectors (e.g. Industrial Efficiency, Rural
  Renewables, etc.)
• Commonly use ranking or voting process engaging
  all key stakeholders to select priority sectors
• Countries have found it helpful to focus
  initially on a few specific sectors/ sub-sectors
  to maximize effectiveness

13
Compiling and Supplementing Technology Information

• Identification of alternative technologies
• Development benefits of the technologies
• Implementation and investment potential
• Contribution to climate response goals
• Technology performance and costs
• Barriers to widespread implementation
• Existing and planned programs and key actors

14
Selecting Priority Technologies

• Countries have convened stakeholder meetings to
  select priority technologies
• Presentation of information on alternative
  technologies
• Ranking of technologies according to the criteria
• Some countries have convened separate meetings
  for each sector/sub-sector
• Active participation of all key stakeholders
• Can develop both full list of priority
  technologies and shorter list of initial
  priorities

15
Southern African Development Community (SADC)
Example

• Countries Established 5 Criteria
• Development Benefits
• Market Readiness
• GHG Avoidance Potential
• Regional Application
• Local Environmental Benefits
• Identified 18 Candidate Energy Sectors and
  Selected 6 for Further Assessment (e.g. Renewable
  Energy)
• From Assessments and Further Consultations,
  Selected 2 Technologies for Implementation
• Sugar Mill Cogeneration and Solar Hot Water

16
In-depth Technology Assessment for each Priority
Technology

• Identify and Evaluate Technology Applications
• Potential scale of implementation, costs,
  development and climate benefits, key
  stakeholders etc.
• Analysis of Implementation/Tech Transfer Barriers
  
• Effectiveness of Existing and Planned Programs
• Identify opportunities to build on current
  programs
• Identify Actions to Accelerate Implementation and
  Address Barriers
• Can Prepare Technology Specific Summary Reports
  that Present Frameworks for Action (e.g. China)

17
Further Define Alternative Actions

• Helpful to clarify goals, scope, and impacts of
  alternative actions before selection
• Stakeholder consultations
• Especially important to engage government program
  managers and businesses in action design
• Evaluation to ensure that barriers can be
  realistically addressed
• Definition of how actions would complement
  existing and planned programs

18
Select Actions

• Countries Have Used Stakeholder Meetings to
  Select Priority Actions
• Often have applied original criteria to rank
  alternative actions plus consideration of
• Level of support by government program managers,
  businesses, and donors
• Likelihood of success in overcoming barriers
• Results in identification of highest priority
  actions for near-term implementation

19
Prepare Needs Assessment Report

• Summary of
• Needs Assessment Process
• Priority Technologies
• Technology Assessment Results
• Alternative Actions
• Priority Actions Selected for Near-Term
  Implementation
• Including Draft Implementation Strategies
• Foundation for Securing Domestic and
  International Support for Implementation

20
Example for the Philippines

• Early in Process, Philippines Focused on
  Renewable Energy for Rural Development as Highest
  Priority
• Identified Best Opportunities, Designed/Implemente
  d Actions for Each and Addressed Policy Barriers
• Fast Track RE Policy Reforms Streamlined
  approval, tax incentives, etc.
• Island and Isolated Grids Technical support to
  electric cooperatives and project developers for
  wind/diesel systems.
• Renewable Energy in Rural Applications System
  design assistance to utility for electrification
  of 140 villages plus supporting 2-3
  demonstrations of solar-powered irrigation
• Hydropower Retrofits Addressed legal and policy
  barriers for electric cooperatives and conducted
  pre-investment studies for 1-2 hydro
  rehabilitation and upgrade projects.

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Key Lessons

• Must Be Country Driven One Size Does not Fit
  All
• Respond to Country Development Priorities and
  Build on Current Programs
• Active and Broad Stakeholder Participation is
  Vital
• Couple Needs Assessments with Implementation
  Process
• Needs Assessment Reports Should be Living,
  Adaptable Documents

22
Possible Needs Assessment Resources

• Sharing of Experiences Between Countries
• Distribution of Country Reports, Workshops and
  Forums, Technical Expert Exchange
• Methodology Reports, Handbooks
• Ready Access to Technology Information
• Business Donor Networks
• Input to Needs Assessments and Matchmaking
• Technical Expert Assistance
• Methodology Questions, Technology Assessment,
  Action Design, Matchmaking, etc.
• Needs Assessments Training Courses?

23
CTI Contact Information www.climatetech.net

• Elmer Holt, CTI Vice Chair (elmer.holt_at_hq.doe.gov
  ) or
• Ron Benioff (ron_benioff_at_nrel.gov) or
• Debra Justus (debra.justus_at_iea.org)