File #2778: "2019_Book_TheLegalBarriersToTechnologyTr.pdf"
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1|Acknowledgment|5
1|Contents|7
1|Abbreviations and Acronyms|10
1|Chapter 1: Introduction|12
2|1.1 A Study of Climate Change-Related Technology Transfer and the Legal Barriers|12
3|1.1.1 Overview|12
3|1.1.2 Definition of the Problem|16
3|1.1.3 Methodology|17
2|1.2 Basic Concepts|19
3|1.2.1 Technologies, Environmentally Sound Technologies (ESTs) and Climate sound Technologies|21
3|1.2.2 Technology Transfer|24
4|1.2.2.1 Technology Transfer in Traditional Business|24
4|1.2.2.2 Climate Change-Related Technology Transfer|26
2|1.3 Background: Climate Change-Related Technology Transfer|31
3|1.3.1 Technology Transfer and Climate Change|31
3|1.3.2 The Theoretical Basis|32
3|1.3.3 Practices and Trends|35
2|1.4 Conclusion|37
1|Chapter 2: The Legal Framework of Climate Change-Related Technology Transfer|39
2|2.1 Background: Rio Declaration and Agenda 21|40
3|2.1.1 An Overview|40
3|2.1.2 The Principle of Common But Differentiated Responsibilities|40
3|2.1.3 The Principle of Cooperation|43
3|2.1.4 Assessment|44
2|2.2 Technology Transfer in the UNFCCC|44
3|2.2.1 Technology Transfer Commitments|45
4|2.2.1.1 The Commitments of All Parties|45
4|2.2.1.2 The Commitments of Developed Country Parties|52
4|2.2.1.3 The Commitments of Developing Country Parties|57
3|2.2.2 Assessment|60
2|2.3 Technology Transfer in the Kyoto Protocol|61
3|2.3.1 The Reaffirmation of the Commitment to Technology Transfer|61
3|2.3.2 Innovative Measures to Technology Transfer|62
2|2.4 Technology Transfer in the Post-Kyoto Proceedings|66
3|2.4.1 The Bali Action Plan|66
3|2.4.2 The Copenhagen Accord|69
3|2.4.3 Recent Developments|71
2|2.5 Conclusion|74
1|Chapter 3: Instrumental Barriers to Supplying Climate Sound Technology|77
2|3.1 The Legal Barriers Confronting the Public Sector in Supplying Technology|79
3|3.1.1 The Barriers Emerging in International Law|79
4|3.1.1.1 Governmental Obligations to Supply Climate Sound Technology|79
4|3.1.1.2 Intellectual Property Rights (IPRs)|87
5|3.1.1.2.1 Background: IPRs and Climate Change|87
5|3.1.1.2.2 Assessing the Role of IPRs in Climate-Related Technology Transfer|88
5|3.1.1.2.3 Options for Dealing with TRIPS|101
3|3.1.2 The Barriers Emerging in National Law|106
4|3.1.2.1 Inappropriate Protection Measures|107
4|3.1.2.2 Inadequate Domestic Incentives|109
2|3.2 The Legal Barriers Confronting the Private Sector in Supplying Technology|112
3|3.2.1 Market-Based Barriers to Technology Transfer|112
4|3.2.1.1 Restrictive Business Practices in Technology Trade|112
4|3.2.1.2 Other Deficiencies in Technology Investment|114
3|3.2.2 Corporate Social-Environmental Responsibility (CSR)|115
4|3.2.2.1 Overview|115
4|3.2.2.2 The Legal Framework of Corporate Social Responsibility|116
2|3.3 Conclusion|118
1|Chapter 4: Instrumental Barriers to Receiving Climate Sound Technology|120
2|4.1 Background|121
3|4.1.1 Summary of Developing Countries’ Needs|121
3|4.1.2 The Approach|122
2|4.2 Weak Bargaining Power in the Climate Technology Transfer Negotiations|123
3|4.2.1 Developing Countries in Climate Change Negotiations|123
3|4.2.2 Climate Change-Related Technology Transfer Negotiations|124
2|4.3 The Lack of Capacity for Climate Technology Transfer|126
3|4.3.1 The Lack of Capacity at the Macro Level|126
4|4.3.1.1 Poor Technology Innovation System|126
4|4.3.1.2 The Barrier of Information Management|127
4|4.3.1.3 Unsound Market for Climate Technology|128
4|4.3.1.4 Low Indigenous Adaptive Capacity|132
3|4.3.2 The Lack of Capacity at the Micro Level|132
2|4.4 Poor Regulatory Framework and Enforcement|136
3|4.4.1 The Lack of an Overall Plan for Climate Technology Transfer|137
3|4.4.2 The Lack of Supporting Legislation|138
3|4.4.3 Appropriate Policies for FDI and Technology Licensing|140
3|4.4.4 Incentives|142
3|4.4.5 Poor Implementation and Enforcement|143
2|4.5 Conclusion|144
1|Chapter 5: Chinese Legislation and Practices in Climate Sound Technology Transfer|148
2|5.1 Background|149
3|5.1.1 The Chinese Perspective on Climate Change|149
4|5.1.1.1 Climate Change and China|150
4|5.1.1.2 Climate Policies, National and Regional Actions in China|152
3|5.1.2 Climate Change-Related Technology Transfer in China: An Overview|158
4|5.1.2.1 Chinese S&T Strategies, Action Plans|159
4|5.1.2.2 The Current Level of Technology Capacity in China|161
3|5.1.3 International Transfer of Climate Sound Technology in China|163
4|5.1.3.1 China in the Negotiations on Climate Change|163
4|5.1.3.2 To What Extent Does Technology Transfer Take Place in China?|168
2|5.2 The Legal Framework of Climate Change-Related Technology Transfer in China|176
3|5.2.1 Technology Transfer in the Climate Change Framework|177
4|5.2.1.1 The Proposed Climate Change Act|178
4|5.2.1.2 Climate Change-Related Legislation|180
4|5.2.1.3 Other Specific Regulations|199
3|5.2.2 Technology Transfer in Economic Law|200
4|5.2.2.1 Technology Trade Laws in China|201
4|5.2.2.2 Technology Investment Laws in China|210
2|5.3 Legal Barriers to Receiving Climate Sound Technologies in China|216
3|5.3.1 Barriers Resulting from the Legal Basis of Climate Sound Technology Transfer|217
4|5.3.1.1 Technology Transfer Provisions|217
4|5.3.1.2 The Legal Context in Which Climate Sound Technology Transfer Is Regulated|220
3|5.3.2 Implementation and Enforcement|238
4|5.3.2.1 Legal Tradition|238
4|5.3.2.2 Government Coordination and Cooperation|242
4|5.3.2.3 Capacity for Implementation and Enforcement|245
2|5.4 Conclusion|248
1|Chapter 6: Conclusion|251
2|6.1 What Do We Mean by Technology Transfer in Addressing Climate Change? What Are the Distinctive Features in Comparison With Regular Technology Transfer and What Is the Theoretical Basis Behind This?|252
2|6.2 What Is the Legal Framework of Climate Change-Related Technology Transfer? What Specific Principles, Rules, Institutions and Mechanisms Have Been Formulated?|254
2|6.3 What Are the Legal Barriers in the Process of Supplying and Receiving Climate Sound Technologies in General and Specifically How Do They Impact on International Technology Transfer? What Kinds of Solutions, If Any, Have Been Proposed to Tackle Th|256
2|6.4 Has Climate Change-Related Technology Transfer Been Regulated in China? What Legal Barriers Exist Specifically in Chinese Legislation and Practices?|261
1|Table of Legislation (Preliminary)|269
2|International Law|269
3|Law Documents|269
3|Reports|270
3|Decisions|270
3|Others|271
2|Foreign Law|272
2|Chinese Law|272
3|Laws|272
3|Government Documents|273
1|Bibliography|274
1|Contents|7
1|Abbreviations and Acronyms|10
1|Chapter 1: Introduction|12
2|1.1 A Study of Climate Change-Related Technology Transfer and the Legal Barriers|12
3|1.1.1 Overview|12
3|1.1.2 Definition of the Problem|16
3|1.1.3 Methodology|17
2|1.2 Basic Concepts|19
3|1.2.1 Technologies, Environmentally Sound Technologies (ESTs) and Climate sound Technologies|21
3|1.2.2 Technology Transfer|24
4|1.2.2.1 Technology Transfer in Traditional Business|24
4|1.2.2.2 Climate Change-Related Technology Transfer|26
2|1.3 Background: Climate Change-Related Technology Transfer|31
3|1.3.1 Technology Transfer and Climate Change|31
3|1.3.2 The Theoretical Basis|32
3|1.3.3 Practices and Trends|35
2|1.4 Conclusion|37
1|Chapter 2: The Legal Framework of Climate Change-Related Technology Transfer|39
2|2.1 Background: Rio Declaration and Agenda 21|40
3|2.1.1 An Overview|40
3|2.1.2 The Principle of Common But Differentiated Responsibilities|40
3|2.1.3 The Principle of Cooperation|43
3|2.1.4 Assessment|44
2|2.2 Technology Transfer in the UNFCCC|44
3|2.2.1 Technology Transfer Commitments|45
4|2.2.1.1 The Commitments of All Parties|45
4|2.2.1.2 The Commitments of Developed Country Parties|52
4|2.2.1.3 The Commitments of Developing Country Parties|57
3|2.2.2 Assessment|60
2|2.3 Technology Transfer in the Kyoto Protocol|61
3|2.3.1 The Reaffirmation of the Commitment to Technology Transfer|61
3|2.3.2 Innovative Measures to Technology Transfer|62
2|2.4 Technology Transfer in the Post-Kyoto Proceedings|66
3|2.4.1 The Bali Action Plan|66
3|2.4.2 The Copenhagen Accord|69
3|2.4.3 Recent Developments|71
2|2.5 Conclusion|74
1|Chapter 3: Instrumental Barriers to Supplying Climate Sound Technology|77
2|3.1 The Legal Barriers Confronting the Public Sector in Supplying Technology|79
3|3.1.1 The Barriers Emerging in International Law|79
4|3.1.1.1 Governmental Obligations to Supply Climate Sound Technology|79
4|3.1.1.2 Intellectual Property Rights (IPRs)|87
5|3.1.1.2.1 Background: IPRs and Climate Change|87
5|3.1.1.2.2 Assessing the Role of IPRs in Climate-Related Technology Transfer|88
5|3.1.1.2.3 Options for Dealing with TRIPS|101
3|3.1.2 The Barriers Emerging in National Law|106
4|3.1.2.1 Inappropriate Protection Measures|107
4|3.1.2.2 Inadequate Domestic Incentives|109
2|3.2 The Legal Barriers Confronting the Private Sector in Supplying Technology|112
3|3.2.1 Market-Based Barriers to Technology Transfer|112
4|3.2.1.1 Restrictive Business Practices in Technology Trade|112
4|3.2.1.2 Other Deficiencies in Technology Investment|114
3|3.2.2 Corporate Social-Environmental Responsibility (CSR)|115
4|3.2.2.1 Overview|115
4|3.2.2.2 The Legal Framework of Corporate Social Responsibility|116
2|3.3 Conclusion|118
1|Chapter 4: Instrumental Barriers to Receiving Climate Sound Technology|120
2|4.1 Background|121
3|4.1.1 Summary of Developing Countries’ Needs|121
3|4.1.2 The Approach|122
2|4.2 Weak Bargaining Power in the Climate Technology Transfer Negotiations|123
3|4.2.1 Developing Countries in Climate Change Negotiations|123
3|4.2.2 Climate Change-Related Technology Transfer Negotiations|124
2|4.3 The Lack of Capacity for Climate Technology Transfer|126
3|4.3.1 The Lack of Capacity at the Macro Level|126
4|4.3.1.1 Poor Technology Innovation System|126
4|4.3.1.2 The Barrier of Information Management|127
4|4.3.1.3 Unsound Market for Climate Technology|128
4|4.3.1.4 Low Indigenous Adaptive Capacity|132
3|4.3.2 The Lack of Capacity at the Micro Level|132
2|4.4 Poor Regulatory Framework and Enforcement|136
3|4.4.1 The Lack of an Overall Plan for Climate Technology Transfer|137
3|4.4.2 The Lack of Supporting Legislation|138
3|4.4.3 Appropriate Policies for FDI and Technology Licensing|140
3|4.4.4 Incentives|142
3|4.4.5 Poor Implementation and Enforcement|143
2|4.5 Conclusion|144
1|Chapter 5: Chinese Legislation and Practices in Climate Sound Technology Transfer|148
2|5.1 Background|149
3|5.1.1 The Chinese Perspective on Climate Change|149
4|5.1.1.1 Climate Change and China|150
4|5.1.1.2 Climate Policies, National and Regional Actions in China|152
3|5.1.2 Climate Change-Related Technology Transfer in China: An Overview|158
4|5.1.2.1 Chinese S&T Strategies, Action Plans|159
4|5.1.2.2 The Current Level of Technology Capacity in China|161
3|5.1.3 International Transfer of Climate Sound Technology in China|163
4|5.1.3.1 China in the Negotiations on Climate Change|163
4|5.1.3.2 To What Extent Does Technology Transfer Take Place in China?|168
2|5.2 The Legal Framework of Climate Change-Related Technology Transfer in China|176
3|5.2.1 Technology Transfer in the Climate Change Framework|177
4|5.2.1.1 The Proposed Climate Change Act|178
4|5.2.1.2 Climate Change-Related Legislation|180
4|5.2.1.3 Other Specific Regulations|199
3|5.2.2 Technology Transfer in Economic Law|200
4|5.2.2.1 Technology Trade Laws in China|201
4|5.2.2.2 Technology Investment Laws in China|210
2|5.3 Legal Barriers to Receiving Climate Sound Technologies in China|216
3|5.3.1 Barriers Resulting from the Legal Basis of Climate Sound Technology Transfer|217
4|5.3.1.1 Technology Transfer Provisions|217
4|5.3.1.2 The Legal Context in Which Climate Sound Technology Transfer Is Regulated|220
3|5.3.2 Implementation and Enforcement|238
4|5.3.2.1 Legal Tradition|238
4|5.3.2.2 Government Coordination and Cooperation|242
4|5.3.2.3 Capacity for Implementation and Enforcement|245
2|5.4 Conclusion|248
1|Chapter 6: Conclusion|251
2|6.1 What Do We Mean by Technology Transfer in Addressing Climate Change? What Are the Distinctive Features in Comparison With Regular Technology Transfer and What Is the Theoretical Basis Behind This?|252
2|6.2 What Is the Legal Framework of Climate Change-Related Technology Transfer? What Specific Principles, Rules, Institutions and Mechanisms Have Been Formulated?|254
2|6.3 What Are the Legal Barriers in the Process of Supplying and Receiving Climate Sound Technologies in General and Specifically How Do They Impact on International Technology Transfer? What Kinds of Solutions, If Any, Have Been Proposed to Tackle Th|256
2|6.4 Has Climate Change-Related Technology Transfer Been Regulated in China? What Legal Barriers Exist Specifically in Chinese Legislation and Practices?|261
1|Table of Legislation (Preliminary)|269
2|International Law|269
3|Law Documents|269
3|Reports|270
3|Decisions|270
3|Others|271
2|Foreign Law|272
2|Chinese Law|272
3|Laws|272
3|Government Documents|273
1|Bibliography|274