Policy tools for technology transfer can be used to overcome a variety of barriers to technology transfer. The United Nations (UNCTAD, 1990) saw the lack of indigenous technological capabilities, infrastructure and institutions as key barriers to developing countries conducting technology transfer:
[Developing countries] lack the strong knowledge base, integrated physical infrastructure and diversified economy required to weather shocks and recombine existing resources in new ways to adjust to what has become a continuous process of change. They also lack the institutional mechanisms and capabilities to perceive opportunities and constraints, and to translate these into effective policies for change. The financing and skills needed to innovate, to adapt and to diversify are also exceedingly rare in these countries. (p.3)
Many have recognised that barriers to technology transfer depend very much on the specific context in question:
The limiting factors for technological transformation are not primarily technological but are instead part of the social, economic, political, and cultural milieus in which technologies are developed, diffused, and used. Market incentives, the structure of regulations, the content and quality of research and education, and social values and preferences all determine technological trajectories. (Heaton et al., 1991, p. 21)
Governments and international agencies have a variety of policy tools for overcoming key barriers to technology transfer (see Table 4.1). Many of the barriers and tools are discussed broadly in this chapter and in Chapter 5, while barriers and policy tools more specific to individual sectors are discussed in Section II of this report. In addition, direct government financial support for technology transfer (such as grants, subsidies, loans, provision of equipment or services, and loan guarantees), as well as indirect financial support for private-sector innovation, are discussed further in Chapter 5.
Agenda 21, adopted in 1992, provided some of the earliest recommendations for public policies to promote technology transfer for environmental benefits (UN, 1993). These recommendations reflect not only the need for hardware, but also for building associated local capacities and for providing market intermediation. Strategies outlined in Agenda 21 include: (a) information networks and clearinghouses that disseminate information and provide advice and training; (b) government policies creating favourable conditions for both public-sector and private-sector transfers; (c) institutional support and training for assessing, developing, and managing new technologies; (d) collaborative networks of technology research and demonstration centres; (e) international programmes for cooperation and assistance in R&D and capacity building; (f) technology-assessment capabilities among international organisations; and (g) long-term collaborative arrangements between private businesses for foreign direct investment and joint ventures.
In view of the considerable opportunities for action, some have argued for nothing less than a technological "transformation" towards more environmentally sustainable technologies (Heaton et al., 1991). To promote such a transformation, successful technology transfer policies must make available financial resources, must reduce or eliminate barriers to technology transfer, must promote capacity building within developing countries, and must promote new forms of technology intermediation or "technology brokering." Capacity building should target technology acquisition, skills development, and local policies and institutions to support the technology transfer process. Market intermediation should include matching technologies with applications, brokering partnerships, and facilitating negotiations and financing packages.
A new role for Governments has been identified where they play an integrating role in managing knowledge on an economy-wide basis by making technology and innovation policy an integral part of overall economic policy (OECD, 1999). It should be recognised that fundamental social structures and personal values (i.e., social factors) evolve along with a society's physical infrastructure, private and public institutions, and the technologies embodied within them. New (climate friendlier) technological trajectories for an economy can provide great opportunities. Governments can support the establishment of dynamic flexible learning mechanisms within the private sector and with the rest of civil society. Private companies can create greater environmental awareness. Greater participation across society in the charting of technological trajectories, and in the use of the products of goods and services they generate go hand in hand with raising awareness through education and the media.
Table 4.1 Policy Tools for Creating an Enabling Environment for Technology Transfer | ||
POLICY TOOL | BARRIERS ADDRESSED | RELEVANCE |
NATIONAL SYSTEMS OF INNOVATION AND TECHNOLOGY INFRASTRUCTURE (4.3) | ||
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Primarily private-sector-driven pathways Primarily buildings, energy, and industrial sectors All stages |
SOCIAL INFRASTRUCTURE AND RECOGNITION THROUGH PARTICIPATORY APPROACHES (4.4) | ||
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All pathways Particularly adaptation technologies, but applies to all sectors Particularly assessment, evaluation and replication stages, although NGOs are more and more participating in implementation stages |
HUMAN AND INSTITUTIONAL CAPACITIES (4.5) | ||
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All pathways All sectors Particularly assessment and implementation stages |
MACROECONOMIC POLICY FRAMEWORKS (4.6) | ||
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Particularly private-sector-driven pathway, but relevant to all pathways Trade and foreign investment policies particularly relevant to private-sector-driven pathways Particularly assessment and repetition stages All sectors; energy tariffs relevant to buildings, industry, and energy sectors |
SUSTAINABLE MARKETS FOR ENVIRONMENTALLY SOUND TECHNOLOGIES (4.7) | ||
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Private-sector-driven pathways Buildings, industry, and energy sectors All stages |
NATIONAL LEGAL INSTITUTIONS (4.8) | ||
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All pathways All sectors Particularly agreement stage |
CODES, STANDARDS, AND CERTIFICATION (4.9) | ||
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All pathways Buildings, transport, industry, and energy sectors Assessment stage |
EQUITY CONSIDERATIONS (4.10) | ||
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All pathways All sectors Assessment stage |
RIGHTS TO PRODUCTIVE RESOURCES (4.11) | ||
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All pathways Most sectors where land use is involved |
RESEARCH AND TECHNOLOGY DEVELOPMENT (4.12) | ||
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Government-driven and community-driven pathways Assessment and replication stages Buildings, industry, energy, waste management and treatment sectors |
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