多边体制下气候技术转让法律问题研究

发布时间：2018-03-05 22:01

本文选题：气候变化　切入点：气候技术　出处：《广东商学院》2011年硕士论文　论文类型：学位论文

【摘要】：气候变化及其引发的一系列严重后果已越来越引起各国政府、国际组织、环保组织乃至一般民众的极大关注,气候变化问题已经成为全球性问题。人类活动向大气中排放的大量温室气体被认为加强了地球的温室效应,从而造成全球暖化。应对全球气候变化需要减缓气候变化以及适应气候变化引发的不利后果。《联合国气候变化框架公约》(UNFCCC)及其《京都议定书》(KP)是应对气候变化最重要的全球性多边法律文件。UNFCCC要求发达国家应采取一切实际可行的步骤,促进、便利和资助向其他缔约方特别是发展中国家缔约方转让或使它们有机会获得气候技术和专有技术,以使它们能够履行本公约的各项规定。尽管UNFCCC已经生效17年之久,KP生效也有14年,但气候技术转让始终没有取得突破性进展,其中有UNFCCC和KP本身的原因,可能也与另一个全球性多边协议-《与贸易有关的知识产权协定》(TRIPs协议)有关。发现气候技术转让不充分的法律原因并提出完善建议,对促进气候技术转让以更好地应对全球气候变化具有重要意义。对此,论文分成四个部分展开论述。第一部分在定义了“气候”、“气候变化”概念的基础上,讨论了气候变化的原因及其科学上的不确定性;接着描绘了应对全球气候变化的多边法律框架,并指出应对气候变化的两种措施;最后通过与相关概念的比较,定义了本文其他几个关键的概念:气候技术、气候技术转让。第二部分梳理了《联合国气候变化框架公约》(UNFCCC)及其《京都议定书》(KP)关于气候技术转让的命令框架;通过回顾气候技术谈判进展及其焦点问题,指出气候技术转让不充分是因为普遍缺少政治意愿、技术转让命令本身不具有可操作性以及UNFCCC缺少有力的遵约机制;最后分析了KP设立的灵活机制与气候技术转让的关系。第三部分讨论《与贸易有关的知识产权协议》(TRIPs)与气候技术转让的关系。重点考察了TRIPs关于技术转让的“推机制”、“拉机制”以及其他像强制许可条款、控制限制性商业措施条款和专利信息披露条款等可能影响气候技术转让的规定。分析发现没有明确的证据表明增强知识产权保护会有利于气候技术转让,发展中国家也无法利用TRIPs规定的灵活机制来获得气候技术。第四部分基于前三章的分析,提出气候技术转让法律机制的完善需遵循合作原则、比例原则、透明原则、合理使用原则和坚持UNFCCC原则,同时从范式选择、UNFCCC国家履行信息报告制度、技术转让资金机制、KP灵活机制、建立合适的知识产权保护制度、气候技术强制许可制度、完善TRIPs协议第六十六条第2款的规定等方面提出建议。
[Abstract]:Climate change and its series of serious consequences have attracted increasing attention from governments, international organizations, environmental organizations and even the general public. Climate change has become a global problem. The massive amount of greenhouse gases emitted into the atmosphere by human activities is thought to have strengthened the Earth's Greenhouse Effect. In response to global climate change, climate change needs to be mitigated and the adverse consequences of adaptation to climate change. The United Nations Framework Convention on Climate change (UNFCCC) and its Kyoto Protocol (KP) are among the most important in combating climate change. The important global multilateral legal document, .UNFCCC, requires developed countries to take all practicable steps, Promoting, facilitating and financing the transfer of, or access to, climate technology and know-how to other parties, in particular to developing country parties, To enable them to fulfil the provisions of this Convention. Although it has been 17 years since the entry into force of the UNFCCC and 14 years after the entry into force of the KP, there has been no breakthrough in the transfer of climate technology, including UNFCCC and KP itself, May also be relevant to another global multilateral agreement, the trips Agreement... Discover the legal causes of inadequate transfer of climate technology and make recommendations for improvement, It is of great significance to promote the transfer of climate technology to better deal with global climate change. This paper is divided into four parts to discuss. The first part discusses the causes of climate change and its scientific uncertainties, based on the definitions of "climate" and "climate change", and then describes the multilateral legal framework for addressing global climate change, Two measures to deal with climate change are pointed out and several other key concepts in this paper are defined by comparison with related concepts: climate technology and climate technology transfer. The second part reviews the framework of the United Nations Framework Convention on Climate change (UNFCCC) and its Kyoto Protocol on the transfer of climate technology, and reviews the progress of the climate technology negotiations and their focus issues, It is pointed out that the inadequacies of climate technology transfer are due to the general lack of political will, the lack of maneuverability of the technology transfer order itself and the lack of a strong compliance mechanism of UNFCCC. Finally, the relationship between the flexible mechanism established by KP and the transfer of climate technology is analyzed. The third part discusses the relationship between trips and the transfer of climate technology. It focuses on the "push mechanism", "pull mechanism" and other compulsory licensing provisions of TRIPs on technology transfer. Provisions that may affect the transfer of climate technology, such as restrictive commercial measures and patent disclosure provisions. The analysis found no clear evidence that enhanced intellectual property protection would facilitate the transfer of climate technology, Nor can developing countries take advantage of the TRIPs's flexible mechanisms to gain access to climate technology. 4th based on the analysis of the first three chapters, the author points out that the perfection of the legal mechanism of climate technology transfer should follow the principles of cooperation, proportionality, transparency, rational use and adherence to the UNFCCC principle. At the same time, from the perspective of the UNFCCC model, the UNFCCC country should implement the information reporting system, the technology transfer financial mechanism and the KP flexible mechanism, and establish an appropriate intellectual property protection system and a climate technology compulsory licensing system. To improve the provisions of paragraph 2 of Article 66th of TRIPs Agreement, and so on.
【学位授予单位】：广东商学院
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D99

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