【作者】 温融；

【导师】 曾文革；

【作者基本信息】 重庆大学 ， 环境与资源保护法学， 2011， 博士

【摘要】 气候变化是一个全球性问题,深刻影响着人类的生存和发展,需要世界各国共同携手应对。应对气候变化政府间合作的历史可以追溯到上世纪七十年代。通过多年的共同努力,国际社会形成了以《联合国气候变化框架公约》和《京都议定书》为代表的一系列国际法律文件,在应对气候变化政府间合作方面取得了显著成就。然而,日益严峻的气候变化形势和举步维艰的国际气候谈判,不禁让人们对应对气候变化政府间合作中存在的法律问题进行思考。本文主要从应对气候变化政府间合作的一般法理入手,对合作的法律原则、法律形态、法律内容、争端解决等问题进行研究,以期对未来的应对气候变化政府间合作提供法律参考。本文的主要内容分为五个部分:第一部分,应对气候变化政府间合作的一般法理。气候既是环境又是资源,处于变动不居的状态之中。《联合国气候变化框架公约》对“气候变化”做出的定义,奠定了应对气候变化政府间合作的法律基础。虽然科学界对气候变化的看法至今尚无定论,但并不妨碍人类采取必要措施,降低对能源的过度依赖,走可持续发展的道路。气候变化对人类共同利益的损害与威胁是应对气候变化政府间合作的现实起点。本文中的“政府间合作”是指代表主权国家的政府间在应对气候变化中的合作,既有双边合作也有区域和多边合作,既有行为型合作也有组织型合作。除了损害与威胁的现实考量和政府提供公共物品职能因素,应对气候变化政府间合作还具有环境伦理学、生态政治学、环境社会学、社会生物学等多元理论基础。同时,由于各国在经济、政治利益上差异,外部性问题、集体行动的困境、发达国家与发展中国家之间的分歧以及现有法律制度,在一定程度上又制约着政府间合作。第二部分,应对气候变化政府间合作的法律原则。应对气候变化政府间合作的法律原则,贯穿于应对气候变化政府间合作之中,是指导和推动应对气候变化政府间合作的准则,主要包括国家主权原则、共同但有区别责任原则、可持续发展原则、有约(诺)必守原则和谨慎原则。国家主权原则表现为对国内气候事务享有最高权和对国际气候事务享有独立、平等的参与权。共同责任与区别责任是共同但有区别责任原则的双核要素,实践中需要强化落实。可持续发展原则在解决全球环境与发展问题中处于基础地位,应在应对气候变化政府间合作中创新实施。坚持有约(诺)必守原则是舒缓应对气候变化政府间合作困境的重要途径,要构建和完善承诺履行促进机制。谨慎原则是对气候变化中不确定性的积极应对。这些法律原则在应对气候变化政府间合作中的地位和作用并不完全相同。其中,国家主权原则是基础性的。第三部分,应对气候变化政府间合作的法律形态。应对气候变化政府间合作的法律形态,是应对气候变化政府间合作的法律载体,表现为应对气候变化政府间合作中的“硬法”、“软法”和组织化安排。《联合国气候变化框架公约》和《京都议定书》以其多边性和法律约束力,在气候变化政府间合作“硬法”渊源中具有举足轻重的意义。应对气候变化政府间合作中的“软法”具有其独特的制度价值,与“硬法”之间功能互补。但从长期来看,应对气候变化政府间合作中的“软法”比其他领域中的“软法”更具有硬化趋势。“软法”硬化的途径至少有三种:(1)内化为一国的国内法;(2)内化为其他具有法律约束力的国际法渊源之中;(3)在条件成熟时,部分或者全部直接升级为“硬法”。应对气候变化政府间合作的组织除了传统的协定性组织,还包括至少还包括国家间论坛性组织、国际组织间的联合机构(项目)和多边条约性组织,它们具有各自的特点。在未来,组织化安排将提供合作平台与场所、参与国际气候谈判、实施合作成果等方面发挥更大作用。第四部分,应对气候变化政府间合作的法律内容,主要以《联合国气候变化框架公约》为线索展开研究。在《联合国气候变化框架公约》缔约方会议第十三届会议上通过的《巴厘岛行动计划》,确定了加强全球应对气候变化的四大议题,即减缓、适应、技术和资金。这四大议题彼此间互相交叉,但内容又相对独立,科学地涵盖了应对气候变化政府间合作的基础范围。减缓是采取措施或手段减少大气温室气体浓度,主要包括经济手段和行政手段。2012年后的减缓气候变化政府间合作核心方案应该在气候公平与气候效率之间维持适当平衡。适应是采取措施缓解气候变化的不利影响,它与减缓是应对气候变化的两种必要政策选择,二者相辅相成,互为补充。技术是应对气候变化的重要支撑,应建设专门的组织机构帮助发展中国家获得来自发达国家的气候友好型技术。资金是应对气候变化政府间合作的关键,要积极促成发达国家兑现出资承诺,确保资金的额外性、稳定性和可预见性,完善资金的运行和管理机制。第五部分,应对气候变化政府间合作中的争端解决。应对气候变化政府间合作过程中不可避免也会出现国际争端。有些争端局限于应对气候变化领域,有的争端则衍生至其他领域。相应的,应对气候变化政府间合作中的争端可以分为基础性争端和衍生性争端。衍生性争端又可根据涉及的具体领域不同,分为环境衍生性争端和其他衍生争端。前者如海洋衍生争端、水资源衍生争端、生物多样性衍生争端,后者如人权衍生争端、贸易衍生争端、和平与安全衍生争端。传统国际争端解决方法可以作为应对气候变化政府间合作中争端解决的一般方法。目前,解决应对气候变化政府间合作中基础争端的具体方法主要体现在《联合国气候变化框架公约》中。环境衍生争端和其他衍生争端,由于气候变化仅仅是导致争端产生的原因要素之一,其争端的性质没有发生根本改变,通常可以继续适用原争端解决的法律渊源,或者在原争端解决法律渊源的基础上做出适当调整。我国是一个应对气候变化能力相对较弱的国家。据预测,我国未来的气候变暖趋势将进一步加剧。气候变化已经并将继续对我国现有的经济发展模式、能源结构、科学技术创新、森林资源保护和发展、水资源开发和保护等多个方面提出严峻挑战。我国在实施一系列国内应对政策和行动的同时,还积极参与应对气候变化政府间合作,初步形成了全方位、多层次、宽领域、广形式的国际合作格局,为全球应对气候变化做出了重要贡献。同时,必须看到,我国参与应对气候变化政府间合作的水平还比较低,不能满足全球应对气候变化和我国社会经济发展的客观要求。今后,在国际合作中,我国应当坚持《联合国气候变化框架公约》和《京都议定书》在应对气候变化政府间合作中的法律地位,坚持共同但有区别责任原则和可持续发展基本框架,团结广大发展中国家,积极参与和推动气候变化国际谈判,促进落实已有合作成果,继续深化应对气候变化国际交流与合作。更多还原

【Abstract】 As a global issue, the climate change exerts profound influence on human well-being and development, and hence entails joint efforts of all countries in the world to deal with. The intergovernmental cooperation in dealing with climate change could be traced back to as early as the 1970s and made remarkable achievements represented by a series of international legal documents established by international community, such as United Nations Framework Convention on Climate Change (UNFCCC) and Kyoto Protocol. The increasingly urgent situation of climate change and cliamate negotiations ending with a little success provokes reflections on the legal problems standing in intergovernmental cooperation in dealing with climate change. Based on the general jurisprudence in connection with the intergovernmental cooperation in dealing with climate change, this paper makes analyses of issues such as the legal principles of intergovernmental cooperation, its legal patterns and content, and dispute settlement with the attempt to render legal advice on the future intergovernmental cooperation on response to climate change.This paper is divided into five parts:Part one is titled the general jurisprudence in connection with the intergovernmental cooperation in dealing with climate change. With characteristics of environment as well as resource, the climate is always changing. The concept of“climate change”defined by UNFCCC built the legal basis for the intergovernmentalcooperation in dealing with climate change. Despite the standing controversy about the climate change in scientific circles, people still find it necessary to take the path of sustainable development by mitigate the excessive reliance on energy.The factual damages to human common interest as well as threats thereto causedby the climate change makes the foundation of reality of the intergovernmental cooperation. The“inter-governmental cooperation”in this paper refers to the cooperation in dealing with the climate change amid governments representing sovereign states, including bilateral cooperation as well as multilateral cooperation, and cooperation featuring states’acts as well as that conducted by organizations. Apart from above foundation of reality for cooperation and the role governments play as the provider of public services, the intergovernmental cooperation in dealingwith climate change is also built on the diverse bases of environmental ethics, e cological politics, environmental sociology, sociology of biology and so on. Nevertheless, such cooperation is to an extent restricted by state’s differences in economic and political interests causing externality problems, the plight of collective action, the divergence between the developed countries and the developing ones, and some current systems.Part two is titled legal principles of the intergovernmental cooperation in dealing with climate change. Highlighted in the process of the intergovernmental cooperation in dealing with climate change, these principles serve as the norms of guiding, promoting and conducting such intergovernmental cooperation, including principles of state sovereignty, common but differentiated responsibility, sustainable development, pacta sunt servanda and precaution. The principle of state sovereignty refers to that all countries have supreme rights to deal with respective internal affairs concerning the climate change and may independently and equally participate in international affairs in connection therewith. Both common responsibility and differentiated responsibility are two cores in the principle of common but differentiated responsibility and shall be strengthened and realized in practice. Featuring the basic principle of resolving global environment and development problems, the principle of sustainable development shall be implemented in an innovative way in the intergovernmental cooperation in dealing with climate change. The principle of pacta sunt servanda is the important resolution to the problems of the intergovernmental cooperation and shall be realized through building and better the mechanism promoting performance of promises. The principle of precaution is viewed as the positive response to the uncertainty of climate change. The status and role of principles aforesaid are not quite the same and the principle of state sovereignty is basic one.Part three is about the legal pattern of intergovernmental cooperation in dealing with climate change. The legal pattern of intergovernmental cooperation, represented by the“hard law”and“soft law”as well as organizations, constitutes the implement basis of the inter-governmental cooperation in dealing with climate change. UNFCCC and Kyoto Protocol, with characteristics of multilateral instruments and binding force, are of critical importance among sources of“hard law”applied to the intergovernmental cooperation in dealing with climate change.“Soft law”of the intergovernmental cooperation in dealing with climate change, with its unique systematic value, complements the functions of“hard law”. In the long run, compared with“soft law”in other fields, the“soft law”of the intergovernmental cooperation is showing more tendency to be hardened, which is realized by (1) being internalized as domestic laws or (2) adopted as other sources of international law, or(3) upgraded in part or in whole to“hard law”. Besides traditional organizations bound by agreements organizations of intergovernmental cooperation in dealing with climate change also include ones featuring the forum, joint institutions or projects and multilateral treaties with respective characters.Part Four, focuses on the legal content of intergovernmental cooperation in dealing with climate change from the prospective of UNFCCC. Bali Action Plan, adopted at COP13 of UNFCCC, put four themes on the agenda strengthening global response to the climate change, that is, mitigation, adaptation, technology and financing. The four themes, overlapping while independent, cover the basic scope of intergovernmental cooperation in dealing with climate change. Mitigation refers to taking measures, including economical and administrative ones, to decrease the density of greenhouse gases. The core of intergovernmental cooperation project of mitigating as of 2012 lies in the appropriate balance between the climate equity and the climate efficiency. As the other necessary policy choice complementing with mitigation in functions, adaptation refers to taking measures to mitigate the adverse effects caused by the climate change. Technology may provide critical support for response to the climate change and specialized agencies shall be established to help the developing countries with obtaining climate-friendly technology from developed countries. Financing is the core factor in the intergovernmental cooperation in dealing with climate change, measures shall be taken to facilitate and guarantee the performance of promises made by developed countries to provide stable and predictable funds, and improve the operation and management mechanism thereof.Part five is about the dispute settlement arising out of the intergovernmental cooperation in dealing with the climate change. It is also unavoidable to encounter international disputes in the process of the intergovernmental cooperation in dealing with the climate change. Some disputes are restricted to the scope of dealing with the climate change, and others are extended to other fields. Accordingly, the disputes of the intergovernmental cooperation in dealing with the climate change shall be classified into fundamental dispute and derivative dispute. On the basis of the difference in the involved specific fields, derivative dispute also shall be classified into the environment derivative dispute and other derivative disputes. The former, such as ocean derivative dispute, water derivative dispute, biodiversity derivative dispute, and the latter, such as human rights derivative dispute, trade derivative dispute and peace and security derivative dispute. The traditional international dispute settlement shall be deemed as an ordinary solution to dispute settlement in intergovernmental cooperation in dealing with the climate change. At present, the specific measures of resolve the fundamental dispute in intergovernmental cooperation in dealing with the climate change are mainly embodied in UNFCCC. Because the climate change is just one of the factors which can bring dispute out, the natures of environment derivative dispute and other derivative dispute have no material change. Thus, it shall apply the legal resource of the usual dispute settlement, or on the basis of the legal resource of the usual dispute settlement, appropriate adjustment shall be applied.Our country has a relatively weak capability in dealing with climate change. It is predicted that our country will face a stronger climate warming trend in the future. The climate change has seriously challenged and will keep seriously challenging in our existing economy development model, energy structure, innovation of science and technology, protection and development of forest resources, and utilization and protection of water resources and so on. China has implemented a series of domestic policies and actions, at the same time, has actively participated in intergovernmental corporation in dealing with climate change. It preliminarily forms up an all-dimensional, multi-leveling, and wide-ranging, wide-forming international corporation pattern. Thus, our country has made an important contribution in dealing with global climate change. At the same time, we must be clear that our country is still weaker in intergovernmental cooperation in dealing with the climate change we have participated in, which can not satisfy the objective requirement of dealing with the global climate change and development of our social economy. In the future, our country shall insist on legal status of UNFCCC and Kyoto Protocol in inter-governmental cooperation in dealing with climate change, insist on the principle of common but differentiated responsibility and basic framework of sustainable development, unite the mass developing countries, actively participate in and promote international negotiations on climate change, boost to carry out the existing corporation results, and keep a further international communication and corporation in dealing with climate change.更多还原