Transcript The IPCC Special Report on Technology Transfer

IPCC Special Report on
Methodological and Technological
Issues in Technology Transfer:
Key Messages related Decision 4/CP.4
OGUNLADE R DAVIDSON
Co-chair IPCC Working Group III
Workshop on Transfer of Technology Consultative Process
Bonn, 7 June 2000, SBSTA 12
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Contents of Presentation
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Purpose and Background of Report
Definition of Technology Transfer
Technology Transfer and Climate Change
Trends and stakeholders of Technology Transfer
The Consultative Process
Key Messages
Sectoral Actions
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Purpose and Background
• Primary purpose - request to IPCC by SBSTA on its
first session a list of issues to assist Parties to the
Convention to enable them to make decisions
• The Background to report :
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Chapter 34 of Agenda 21
UNFCCC, Articles 4.1 & 4.5
The Request from SBSTA
Kyoto Protocol, Article l0
COP Decision (4/CP.4)
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Definition of technology transfer in the
Report
• Broad set of processes, covering flow of knowledge,
experience, equipment amongst stakeholders
• Includes both hardware and software
• Includes technology diffusion and technology cooperation
• Between developed and developing countries as well
as within/amongst each of the groups
• Includes learning to understand, choose, utilise, adapt
and replicate technology
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Technology transfer and Climate Change
• Achieving ultimate objective of UNFCCC
(stabilisation of concentrations at “safe level”)
requires rapid technological innovation and
widespread transfer of environmentally sound
mitigation and adaptation technologies
• These technologies should fit into the local needs
and priorities and to find new sustainable paths for
development
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Trends of Technology Transfer
• No measurements; financial flows only a proxy indicator.
• ODA declining, but primary source for countries and sectors
with low private capital flows, and can be used as leverage for
creating enabling conditions
• Large differences between countries:
– Africa: $27/cap aid vs $3/cap FDI (1997)
– Latin America: $13/cap aid vs $62/cap FDI (1997)
• Private sector role more important, but definite role for
governments directly and in creating enabling conditions
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Stakeholders and Pathways of
Technology Transfer
• Technology transfer results from the combined actions,
networks of and partnerships between many
stakeholders
• Key players: private firms, financiers, government and
state owned institutions, NGO’s, community groups,
international institutions, information providers, R&D
organisations, business consultants
• Ways of interaction vary with sector, country and type
of technology: purchase, FDI, licensing, joint ventures,
government assistance, R&D co-operation
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4/CP.4 :Consultative Process
• What are the main barriers for technology transfer and how to
remove them?
• How can private sector play additional role in facilitating
technology transfer and how can enabling environment for
private investment be created?
• What additional activities need priority attention?
• What areas should be the focus of capacity building and how
should it be undertaken?
• How to facilitate transfer and access to emerging technologies
and publicly owned technologies?
• Are existing mechanisms sufficient? Are new mechanisms
needed? What can multilateral institutions do?
• How can progress on technology transfer be better monitored?
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What are the main barriers for
technology transfer?
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Lack of data, information, knowledge, awareness
High transaction costs
Poor access to capital, especially for smaller firms
Risk aversion in financial institutions, incl. MDB’s
Trade barriers such as tariffs
Insufficient human and institutional capabilities
Poor understanding of local needs
Lack of adequate codes and standards for EST’s
Low, subsidised conventional energy prices
Absence of full-cost pricing
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How to overcome barriers?
• Depends on sector and technology pathway
• Identification, analysis and prioritisation of
barriers are country specific
• Barrier removal requires consideration of different
interests and influences of stakeholders
• Integrated approach is needed
• Increase the flow of technology to the needed
• Improve the quality: transfer only the right
technology (ESTs)
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How can private sector play additional role in facilitating
technology transfer and how can enabling environment for
private investment be created? (1)
All governments may wish to consider:
• Enact well-enforced regulations and reform of legal systems
• Protect intellectual property rights and licenses to promote
innovation, while avoiding misapplication that impede diffusion
• Encourage financial reforms, competitive capital markets, FDI, and
special financial lending for EST’s
• Simplify approval and procurement procedures
• Promotion of open trade policies and competitive markets
• Building national markets for ESTs
• Creating awareness on ESTs products, processes and services
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How can private sector play additional role in
facilitating technology transfer and how can enabling
environment for private investment be created? (2)
Developed country governments incl. EIT may consider:
• Stimulate fair competition in EST markets by discouraging
restrictive business practices
• Reform export credit and risk insurance to encourage FDI
in ESTs and discourage exports of lower environmental
quality
• Reduce export controls and tied aid
• Encourage multinationals to apply uniform standards
• Develop modalities and/or policies to improve the transfer
of ESTs in the public domain
• Increase flows of financial assistance for targeted ESTs
including patent licensing
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How can private sector play additional role in
facilitating technology transfer and how can enabling
environment for private investment be created? (3)
Developing country governments may wish to consider:
• Ensure assessment of local needs and social impacts
• Expand R&D programmes on the development of ESTs
including adaptation to local needs
• Create awareness about ESTs
• Improve transfer of ESTs among developing countries incl.
Joint R&D and D, and opening of markets
• Develop communication infrastructure to support
investments in ESTs and the operation of intermediaries
• Improve macro-economic stability for transfer of ESTs
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What additional activities to facilitate
technology transfer need priority attention?
All governments:
• Internalise full environmental and social costs
• Reduce commercial risk and actively support replication of
innovative ESTs
Developed country governments incl. EIT:
• Increase national and multilateral development assistance
for ESTs
• Increase ODA to facilitate the transfer of ESTs
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What areas should be the focus of capacity
building and how should it be undertaken? (1)
• Human capacity
– Wide range of technical, business, management and regulatory skills
– Developed countries can include broad range of training in capacity
building projects and ensure integration among local stakeholders
– Developing countries can build capacities for transfer of both technical and
other associated services
• Organisational capacity
– strengthen networks of organisations, particularly assessment,
management, financial, legal services
– provide adequate communication infrastructure
– promote private firms covering essential organisational services
– encourage associations of professionals, private firms and consumers
– use participatory approaches in policy making and project formulation and
decentralise decision making where appropriate
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What areas should be the focus of capacity
building and how should it be undertaken? (2)
Information assessment and monitoring capacity:
– do not focus too narrowly on information barriers; they
are just one of many
– private sector role in information exchange is growing:
internet services, information speciality firms, trade
publications
– governments should emphasise linking national
information systems on EST’s to regional and global
networks
– when using clearing houses a well defined focus is
important for effectiveness
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How to facilitate Transfer and Access to
Emerging Technologies and Publicly Owned
Technologies?
• Increase public R&D funding for EST’s
• Publicly owned technology is small sub-set of
publicly supported technology
• Encourage transfer of publicly supported (or
owned) technology by stimulating R&D
partnerships with developing countries (developed
countries)
• Provide funding for patent licensing where
appropriate (developed countries)
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Are Existing Mechanisms Sufficient?
Critical for GEF effectiveness:
– Sustainability of market development and policy
impacts
– Duplication of successful technology transfer models
– Enhanced links with MDB’s and other technology
transfer financing institutions of ESTs
– Co-ordination with activities that support national
systems of innovation and international technology
partnerships
– Attention to technology of ESTs among developing
countries
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What can Multilateral Institutions do?
• Governments can use their leverage through
Boards and Councils of MDB’s
• Environmental dimensions of lending to be
strengthened
• Develop focussed programs to remove barriers for
private sector technology transfer
• Encourage participation in building national
systems of innovation
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Are New Mechanisms Needed? (1)
Kyoto Protocol mechanisms:
– contingent on entry into force of Kyoto
protocol
– potential to add to art 4.5 activities
– encourage co-operation between developed and
developing countries and between government
and private sector and community organisations
– can complement other capacity building and
enabling activities
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Are New Mechanisms Needed? (2)
National Systems of Innovation:
– Integration of capacity building, access to information
and creating enabling environment
– stimulate partnerships between all relevant private and
public stakeholders, both domestically as well as
internationally
– provide focus for activities of GEF, MDB’s and other
international organisations
– include wide variety of activities, such as training,
strengthening educational institutions, assessment of
information, identification of solutions for removing
barriers, innovative financing mechanisms
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How can progress on Technology
Transfer be better monitored?
• Establish collectively a system of improved
indicators and data collection on quality and
flows of EST’s
• Technology performance benchmarks could
be compiled to indicate the implementation
of EST’s and the potential for technological
improvements
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Sectoral Actions for Enhancing
Mitigation & Adaptation Technology
Transfer
• Actions vary across sectors.
• Extent and involvement of stakeholders
differ within and across sectors.
• Common lessons among sectors are:
– Networking among stakeholders is essential for
effective transfer
– Effective transfers occur when focus is on
products and techniques with multiple benefits
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Specific Sectoral Actions for Enhancing
Technology Transfer (1)
• Buildings:
– Incentives and DSM programmes for Energy efficient
& ESTs homes
– Building Codes & guidelines, equipment standards and
performance labels.
• Transport:
– Policies on co-operative technology agreements, joint
R&D, information networks, and specialised
management & technical training
– Adoption of standards and regulations
– Partnership among stakeholders and countries.
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Specific Sectoral Actions for Enhancing
Technology Transfer (2)
• Industry:
– Legislation, regulations & voluntary agreements
– Information transfer on technology assessments,
especially to SMEs
– Long-term support for capacity building, especially in
modifying equipment & products to local conditions
• Energy Supply:
– Power sector reform programs for the promotion of
ESTs, particularly RETs
– Mobilisation of capital for ESTs and RETs
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Specific Sectoral Actions for Enhancing
Technology Transfer (3)
• Agriculture:
– Information transfer on crop varieties, and improved
technical and management methods, incl..integration of
local solutions.
– Promotion of R&D networks (CIGAR system)
Forestry:
– Transfer of sustainable management practices and
techniques, and technical options
– Strengthening government actions and programs
including monitoring and evaluation
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Specific Sectoral Actions for Enhancing
Technology Transfer (4)
• Waste Management & Human Health:
– Government facilitation of stakeholders initiatives.
– Increase support for local initiatives by community
groups especially those that involve locally appropriate
technologies.
Coastal Adaptation:
– Emphasis on proven technologies and integrated
coastal-management plans and programs
– Strong partnership between existing institutions and use
of local expertise
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