Background

The framework for meaningful actions to enhance the implementation of Article 4.5 defines technology needs assessments (TNAs) as, "a set of country-driven activities that identify and determine the mitigation and adaptation technology priorities of Parties other than developed country Parties, and other developed Parties not included in Annex II, particularly developing country Parties. They involve different stakeholders in a consultative process to identify the barriers to technology transfer and measures to address these barriers through sectoral analyses. These activities may address soft and hard technologies, such as mitigation and adaptation technologies, identify regulatory options and develop fiscal and financial incentives and capacity-building" (4/CP.7).

Purpose

The purpose of technology needs assessments is to assist in identifying and analysing priority technology needs, which can be the basis for a portfolio projects using environmentally sustainable technologies (ESTs) and programmes which can facilitate the transfer of, and access to, the ESTs and know-how in the implementation of Article 4.5 of the Convention.

Conducting and reporting

Parties other than developed country Parties, and other developed Parties not included in Annex II, particularly developing country Parties, are encouraged to undertake assessments of country-specific technology needs, subject to the provision of resources, as appropriate to country-specific circumstances, from developed country Parties and other developed Parties included in Annex II. Other organizations in a position to do so may also assist in facilitating the TNA process. Parties are encouraged to make available information on the results of TNAs in their national communications (NCs), other related national reports and channels for consideration by the Subsidiary Body for Scientific and Technological Advice (SBSTA) on a regular basis.

Developed country Parties and other developed Parties included in Annex II to the Convention are urged to facilitate and support the TNA process, recognizing the special circumstances of the least developed countries (LDCs).
The Chairman of the SBSTA, with the assistance of the secretariat, in consultation with the expert group on technology transfer (EGTT), was requested to organize a meeting with representatives from governments, experts drawn from the UNFCCC roster of experts, and representatives from relevant international organizations, to identify methodologies needed to undertake TNAs and to report its findings to the SBSTA at its sixteenth session.

Progress

Since COP 7, developing country Parties have been assessing their technology needs in the areas of climate change mitigation and adaptation through an analysis that takes account of their development plans and strategies.
Through its interim financing for capacity-building in priority areas – enabling activities phase II (also known as “top-ups”) – the Global Environmental Facility (GEF) had provided funding to some 92 non-Annex I Parties to conduct TNAs. Out of these, 78 TNAs are being supported by the United Nations Development Programme (UNDP), and 14 by the United Nations Environment Programme (UNEP).

To assist Parties in undertaking TNAs, UNDP, in collaboration with Climate Technology Initiative (CTI), the EGTT and the secretariat, developed a simplified, user-friendly handbook entitled Conducting Technology Needs Assessments for Climate Change, which provides guidance on identification of needs for technologies for mitigation of, and adaptation to climate change. The most recent version of this handbook was made available to Parties in 2004.

CTI, in collaboration with UNDP, UNEP and the secretariat, organized three regional workshops to field-test and to further improve the TNA handbook. The workshops provided an opportunity for country experts to discuss regional concerns and priorities in assessing technology needs, and to further assist Parties in conducting TNAs. CTI also provided technical support to Bolivia, Ghana, Malawi and South Africa to carry out TNAs.

To share best practices and lessons learned from conducting technology needs assessments with non-Annex I Parties undertaking TNAs, to enable Parties in the process of conducting or updating TNAs to effectively undertake and complete their assessments and reports, and to identify specific needs and practical actions that could assist Parties in implementing the results of TNAs, a workshop on best practices with conducting TNAs was held in Bangkok, Thailand on 27-29 June 2007. The workshop provided an opportunity for countries' experts to exchange views with representatives from the private sector in particular the financial community on possible ways to enhance access to funding for the implementation of the results of TNAs. In this context, a special training session on project development was organized for participants from non-Annex I Parties utilizing a UNFCCC guidebook for preparing technology transfer projects for financing .

To help Parties conducting TNAs, UNDP, with collaboration of the Secretariat, the EGTT, and the CTI, developed a simplified, user friendly updated Handbook for Conducting TNA for climate change, which provides specific guidance on identifying technology needs for mitigation of and adaptation to climate change, including three innovative supporting tools TNAssess for undertaking the prioritization process, TEchWiki to assist with descriptions of ESTs in sectors and categories, and the TNA report formulation aid. The TNA handbook will be available to Parties in the first quarter of 2010.

TNA reports

As requested by the SBSTA at its twenty-first session, the secretariat prepared a synthesis report on technology needs identified by non-Annex I Parties based on the TNAs available and on the technology needs identified by non-Annex I Parties in their NCs. This report was made available for consideration by the SBSTA at its twenty-fourth session, and it compiles the first 23 submitted TNA reports.

The COP, by its decision 3/CP.13, annex I, paragraph 8 (a), encouraged non-Annex I Parties that had not yet undertaken or completed their TNAs to do so as soon as possible and to make these reports available to the secretariat for posting on TT:CLEAR.

In addition, in annex I, paragraph 8 (b), to that same decision, the COP encouraged non-Annex I Parties to provide updated information on their technology needs in their second national communications and other national reports and to make them available to the secretariat.

Furthermore, the COP, by its decision 3/CP.13, annex I, paragraph 8 (c), requested the secretariat to prepare a synthesis report(s) of the information mentioned in paragraphs 8 (a) and 8 (b) above, for consideration by the SBSTA. In this context, the secretariat prepared the Second synthesis report on the information on technology needs identified by Parties not included in Annex I to the Convention (non-Annex I Parties) in their TNAs, second National Communications (NCs) and other national reports for consideration by the SBSTA at its thirtieth session, in June 2009.

TNA Implementation

The COP, by its decision 3/CP.13, annex I, paragraph 8 (g), also requested the secretariat to provide regular updates on the progress of the implementation of the results of technology needs identified in TNAs, including success stories, for consideration by the SBSTA at its subsequent sessions, as appropriate.

To date, some sixty-eight TNAs have been reported, including more than two hundred project proposals. These proposals are listed in a comprehensive database which will be soon featured on the TT: Clear web site. The main objective of the TNA database will be to facilitate project search and identification based on relevant criteria such as sector, project size, financial amount required, and timing of the project, including the planned start of project operation.

In response to the request of the Conference of Parties at its thirteenth session in December 2007, the Secretariat, in cooperation with UNIDO, UNEP and CTI, is organizing a series of trainings of project champions in preparation of bankable project proposals, in order to transform these environmentally sound project ideas into feasible proposals, and to assist the financial assessment necessary for implementation.

After the initial training of trainers organized in cooperation with UNIDO in September 2007 in Vienna, Austria with participation of some thirty trainees, a regional training workshop on preparing technology transfer projects for financing took place in September 2009 in Gaborone, Botswana. At this workshop, some of the trained participants from Vienna were already facilitating some sessions and discussions. To further enhance the financial skills of project developers, the Secretariat is preparing two additional regional workshops for Asia and the Pacific, and Latin America and Caribbean regions.