论UNFCCC框架下的技术机制:历史沿革、现状和发展方向
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摘要
技术机制是指在UNFCCC框架下旨在促进缔约方加强技术开发和转让,以支持缓解和适应行动的组织体系和运作规则。技术机制先后经历了初始阶段、发展阶段和深化阶段三个发展阶段,目前已经初步建立完善的组织体系和运作规则。技术机制未来要充分发挥其作用,需要解决承诺问题、资金问题和监督问题,这需要推动发达国家缔约方做出有效承诺,加强技术机制与资金机制以及报告与审评机制的连接。技术机制对我国既是机遇也是责任,我国需要充分利用和参与技术机制,推动建立更加高效和公平的国际技术合作框架。
Technology Mechanism is the organizational framework and operational rules which will promote and facilitate technology development and transfer to support mitigation and adaptation actions. After three development stages, it has already been set up. In the future, it needs to resolve problems of commitment, financing and supervision. To handle these problems, it needs to push developed country parties make substantive commitments, enhancing the connection with Financial Mechanism and Report and Review Mechanism. Technology Mechanism is both opportunity and responsibility to China, we need to fully take advantage of and participate in Technology Mechanism, to promote building a more effective and fair international technology cooperation framework.
Technology Mechanism is the organizational framework and operational rules which will promote and facilitate technology development and transfer to support mitigation and adaptation actions. After three development stages, it has already been set up. In the future, it needs to resolve problems of commitment, financing and supervision. To handle these problems, it needs to push developed country parties make substantive commitments, enhancing the connection with Financial Mechanism and Report and Review Mechanism. Technology Mechanism is both opportunity and responsibility to China, we need to fully take advantage of and participate in Technology Mechanism, to promote building a more effective and fair international technology cooperation framework.
引文
[1]例如,多边环境协定的资金机制(Financial Mechanism),是指根据多边环境协定,发达国家缔约方向发展中国家缔约方提供履约所需资金的组织和运作规则。参见谷德近:《多边环境协定的资金机制》,法律出版社2008年版,第1页。
[2]〈Bali Action Plan〉(1/CP.13),1(d).
[3]〈United Nations Framework Convention on Climate Change〉,Article 4,5.
[4]〈Cancun Agreement〉(1/CP.16),113.
[5]〈The Subsidiary bodies established by the Convention〉(6/CP.1),Annex 1,A.3.
[6]〈Division of labour between the Subsidiary Body for Implementation and the Subsidiary Body for Scientific and Technological Advice〉(13/CP.3),(c).
[7]Id,11.
[8]〈Development and Transfer of Technologies〉(Decision 4/CP.4),7(a).
[9]Id,5,7(c).
[10]Id,9,10,Annex.
[11]〈Development and Transfer of Technologies(Decisions 4/CP.4 and 9/CP.5)〉(4/CP.7),2.
[12]Id,1,Annex.
[13]〈Bali Action Plan〉1(b)(ii)规定,“发展中国家缔约方在可持续发展方面可衡量和可报告的适当国家缓解行动,它们应得到以可衡量、可报告和可核实的方式提供的技术、资金和能力建设的支持和扶持”。
[14]附件中指出,“第4/CP.7号决定附件所载目前技术转让框架下的现有结构、5个主题工作领域、定义和目的仍是执行《公约》第4条第5款规定的坚实基础”。〈Development and transfer of technologies under the Subsidiary Body for Implementation〉(4/CP.13),Annex.
[15]Id.
[16]〈Copenhagen Accord〉,11.
[17]〈Cancun Agreement〉,11.
[18]Id,121,122,123.
[19]〈Outcome of the Work of the Ad Hoc Working Group on Long-term Cooperative Action under the Convention〉(Decision 2/CP.17),Annex 7.
[20]〈Meeting Paper of 8th Meeting of the Technology Executive Committee〉,Rolling Workplan of the Technology Executive Committee for 2014-2015.
[21]目前,已经有116个国家指定了其国家制定实体,我国的国家指定实体是国家应对气候变化战略研究和国际合作中心。See“National Designated Entities”,available at http://unfccc.int/ttclear/templates/render_cms_page?s=TEM_nda(Last visit:May 25,2015).
[22]〈Outcome of the Work of the Ad Hoc Working Group on Long-term Cooperative Action under the Convention〉(Decision 2/CP.17),Annex 4.
[23]〈Cancun Agreement〉,121.
[24]〈Outcome of the Work of the Ad Hoc Working Group on Long-term Cooperative Action under the Convention〉(Decision 2/CP.17),Annex 7.
[25]〈Cancun Agreement〉(1/CP.16),123.
[26]“Briefing Paper of Technology Mechanism”,available at http://www.gfsswy.com/?q=briefing+paper+t echnology+mechanism(Last visit:May 26,2015).
[27]Matthew Burns,“A Sustainable Framework for International Green Technology Transfer”,Colorado Journal of International Law and Policy,vol.23,summer 2012,p.422.
[28]〈Cancun Agreement〉,123.
[29]具体的评估过程远比描述复杂,参见UNFCCC Secretariat,UNDP,Expert Group on Technology Transfer,Handbook for Conducting Technology Needs Assessment for Climate Change,available at http://www.environmentportal.in/content/320838/handbook-for-conducting-technology-needs-assessment-for-climatechange/(Last visit:June 7,2014)。
[30]〈Synthesis report on technology needs identified by Parties not included in Annex I to the Convention〉(FCCC/SBSTA/2006/INF.1),7.
[31]〈Third synthesis report on technology needs identified by Parties not included in Annex I to the Convention〉(FCCC/SBSTA/2013/INF.7),Annex 1.
[32]参见国家发改委气候司:《“中国应对气候变化技术需求评估”项目启动会在京召开》,中国低碳网,http://www.ditan360.com/News/Info-120570.html,最后访问日期:2014年6月7日。
[33]〈Recommendations of the Expert Group on Technology Transfer for enhancing the implementation of the framework for meaningful and effective actions to enhance the implementation of Article 4,paragraph 5,of the Convention〉(FCCC/SBSTA/2006/INF.4),27-34.
[34]技术机制在第七次缔约方会议之前一直陷入僵局。发达国家缔约方认为建立技术机制的主要目标是在发展中国家建立一个能够充分激发技术合作潜力和推动技术受让国充分利用无害环境技术的扶持型环境(Enabling Environment),而发展中国家缔约方则认为技术机制主要应当以执行《公约》第4条为目标,即推动发达国家履行向发展中国家进行技术转让的国际义务。See“Briefing Paper of Technology Mechanism”,available at http://www.gfsswy.com/?q=brief ing+paper+technology+mechanism(Last visit:May 26,2015).
[35]与此相伴随,一系列以发展中国家缔约方为主导的概念迅速兴起,如“合作研究、开发与示范(Cooperative Research,Development and Demonstration)”、“国家创新体系(National System of Innovation)”以及“内生能力和技术(Endogenous Capacities and Technologies)”等。See〈Cancun Agreement〉,120.
[36]〈Cancun Agreement〉,115.
[37]〈United Nations Framework Convention on Climate Change〉,Article 11.
[38]〈Cancun Agreement〉,103-112.
[39]〈Launching the Green Climate Fund〉(Decision 3/CP.17),Annex“Governing Instrument for the Green Climate Fund”,B.Eligibility.
[40]〈Linkages between the Technology Mechanism and the Financial Mechanism of the Convention:Recommendations of the Technology Executive Committee〉,20.
[41]〈Launching the Green Climate Fund〉(Decision 3/CP.17),Annex”Governing Instrument for the Green Climate Fund”,C.Funding Windows and Fund Structure.
[42]〈Cancun Agreement〉,40-46.
[43]Id,60-66.
[44]〈Outcome of the Work of the Ad Hoc Working Group on Long-term Cooperative Action under the Convention〉(Decision 2/CP 17),AnnexⅠ“UNFCCC Biennial Reporting Guidelines for Developed Country Parties”.
[45]Id,AnnexⅡ“UNFCCC Biennial Update Reporting Guidelines for Parties not included in Annex I to the Convention”.
[46]例如,张乃根教授在通过调查后发现,在光伏发电领域,我国还缺少关键材料和制造设备的生产能力和转换效率的高端技术。此外,在顶尖技术方面,我国缺少薄膜电池制造技术,在商业化技术工艺(柔性太阳能制造工艺)和整套设备及关键设备如真空汞技术方面还是空白。在风电领域,发达国家转让的都是地段技术,我国在关键的控制系统、整机和叶片设计方面仍依赖国外进口。参见张乃根:《论后〈京都议定书〉时期的清洁能源技术转让》,《复旦学报》(社会科学版)2011年第1期。
[2]〈Bali Action Plan〉(1/CP.13),1(d).
[3]〈United Nations Framework Convention on Climate Change〉,Article 4,5.
[4]〈Cancun Agreement〉(1/CP.16),113.
[5]〈The Subsidiary bodies established by the Convention〉(6/CP.1),Annex 1,A.3.
[6]〈Division of labour between the Subsidiary Body for Implementation and the Subsidiary Body for Scientific and Technological Advice〉(13/CP.3),(c).
[7]Id,11.
[8]〈Development and Transfer of Technologies〉(Decision 4/CP.4),7(a).
[9]Id,5,7(c).
[10]Id,9,10,Annex.
[11]〈Development and Transfer of Technologies(Decisions 4/CP.4 and 9/CP.5)〉(4/CP.7),2.
[12]Id,1,Annex.
[13]〈Bali Action Plan〉1(b)(ii)规定,“发展中国家缔约方在可持续发展方面可衡量和可报告的适当国家缓解行动,它们应得到以可衡量、可报告和可核实的方式提供的技术、资金和能力建设的支持和扶持”。
[14]附件中指出,“第4/CP.7号决定附件所载目前技术转让框架下的现有结构、5个主题工作领域、定义和目的仍是执行《公约》第4条第5款规定的坚实基础”。〈Development and transfer of technologies under the Subsidiary Body for Implementation〉(4/CP.13),Annex.
[15]Id.
[16]〈Copenhagen Accord〉,11.
[17]〈Cancun Agreement〉,11.
[18]Id,121,122,123.
[19]〈Outcome of the Work of the Ad Hoc Working Group on Long-term Cooperative Action under the Convention〉(Decision 2/CP.17),Annex 7.
[20]〈Meeting Paper of 8th Meeting of the Technology Executive Committee〉,Rolling Workplan of the Technology Executive Committee for 2014-2015.
[21]目前,已经有116个国家指定了其国家制定实体,我国的国家指定实体是国家应对气候变化战略研究和国际合作中心。See“National Designated Entities”,available at http://unfccc.int/ttclear/templates/render_cms_page?s=TEM_nda(Last visit:May 25,2015).
[22]〈Outcome of the Work of the Ad Hoc Working Group on Long-term Cooperative Action under the Convention〉(Decision 2/CP.17),Annex 4.
[23]〈Cancun Agreement〉,121.
[24]〈Outcome of the Work of the Ad Hoc Working Group on Long-term Cooperative Action under the Convention〉(Decision 2/CP.17),Annex 7.
[25]〈Cancun Agreement〉(1/CP.16),123.
[26]“Briefing Paper of Technology Mechanism”,available at http://www.gfsswy.com/?q=briefing+paper+t echnology+mechanism(Last visit:May 26,2015).
[27]Matthew Burns,“A Sustainable Framework for International Green Technology Transfer”,Colorado Journal of International Law and Policy,vol.23,summer 2012,p.422.
[28]〈Cancun Agreement〉,123.
[29]具体的评估过程远比描述复杂,参见UNFCCC Secretariat,UNDP,Expert Group on Technology Transfer,Handbook for Conducting Technology Needs Assessment for Climate Change,available at http://www.environmentportal.in/content/320838/handbook-for-conducting-technology-needs-assessment-for-climatechange/(Last visit:June 7,2014)。
[30]〈Synthesis report on technology needs identified by Parties not included in Annex I to the Convention〉(FCCC/SBSTA/2006/INF.1),7.
[31]〈Third synthesis report on technology needs identified by Parties not included in Annex I to the Convention〉(FCCC/SBSTA/2013/INF.7),Annex 1.
[32]参见国家发改委气候司:《“中国应对气候变化技术需求评估”项目启动会在京召开》,中国低碳网,http://www.ditan360.com/News/Info-120570.html,最后访问日期:2014年6月7日。
[33]〈Recommendations of the Expert Group on Technology Transfer for enhancing the implementation of the framework for meaningful and effective actions to enhance the implementation of Article 4,paragraph 5,of the Convention〉(FCCC/SBSTA/2006/INF.4),27-34.
[34]技术机制在第七次缔约方会议之前一直陷入僵局。发达国家缔约方认为建立技术机制的主要目标是在发展中国家建立一个能够充分激发技术合作潜力和推动技术受让国充分利用无害环境技术的扶持型环境(Enabling Environment),而发展中国家缔约方则认为技术机制主要应当以执行《公约》第4条为目标,即推动发达国家履行向发展中国家进行技术转让的国际义务。See“Briefing Paper of Technology Mechanism”,available at http://www.gfsswy.com/?q=brief ing+paper+technology+mechanism(Last visit:May 26,2015).
[35]与此相伴随,一系列以发展中国家缔约方为主导的概念迅速兴起,如“合作研究、开发与示范(Cooperative Research,Development and Demonstration)”、“国家创新体系(National System of Innovation)”以及“内生能力和技术(Endogenous Capacities and Technologies)”等。See〈Cancun Agreement〉,120.
[36]〈Cancun Agreement〉,115.
[37]〈United Nations Framework Convention on Climate Change〉,Article 11.
[38]〈Cancun Agreement〉,103-112.
[39]〈Launching the Green Climate Fund〉(Decision 3/CP.17),Annex“Governing Instrument for the Green Climate Fund”,B.Eligibility.
[40]〈Linkages between the Technology Mechanism and the Financial Mechanism of the Convention:Recommendations of the Technology Executive Committee〉,20.
[41]〈Launching the Green Climate Fund〉(Decision 3/CP.17),Annex”Governing Instrument for the Green Climate Fund”,C.Funding Windows and Fund Structure.
[42]〈Cancun Agreement〉,40-46.
[43]Id,60-66.
[44]〈Outcome of the Work of the Ad Hoc Working Group on Long-term Cooperative Action under the Convention〉(Decision 2/CP 17),AnnexⅠ“UNFCCC Biennial Reporting Guidelines for Developed Country Parties”.
[45]Id,AnnexⅡ“UNFCCC Biennial Update Reporting Guidelines for Parties not included in Annex I to the Convention”.
[46]例如,张乃根教授在通过调查后发现,在光伏发电领域,我国还缺少关键材料和制造设备的生产能力和转换效率的高端技术。此外,在顶尖技术方面,我国缺少薄膜电池制造技术,在商业化技术工艺(柔性太阳能制造工艺)和整套设备及关键设备如真空汞技术方面还是空白。在风电领域,发达国家转让的都是地段技术,我国在关键的控制系统、整机和叶片设计方面仍依赖国外进口。参见张乃根:《论后〈京都议定书〉时期的清洁能源技术转让》,《复旦学报》(社会科学版)2011年第1期。