【作者】 张乾红；

【导师】 张梓太；

【作者基本信息】 武汉大学 ， 环境与资源保护法学， 2010， 博士

【摘要】 气候变化引发了一个威胁人与自然生态的全球性问题。其中,最脆弱群体尤受其害。作为应对气候变化的必要法律回应,自《联合国气候变化框架公约》缔结以来,新兴的气候变化法已经得到很大发展。在气候变化法律制度下,存在两条有所区别又相互关联的预防、减少气候变化损害的基本路径。一是通过稳定大气温室气体浓度而减缓气候变化；一是通过降低脆弱性或者提高适应能力而适应气候变化。近年来,适应作为一项应对气候变化战略,在国际、国家气候变化立法日程上甚受重视。但较之于减缓、减排,适应制度发展与制度研究仍甚为滞后。适应,作为预防、减少气候变化损害的直接路径,对于正承受气候变化影响与损害的主要受害者而言,有迫切的现实必要性。本文将聚集于适应问题,探究如何促进适应制度深入发展的相关理论与实践路径。本文主要结构安排如下：第一章解析适应气候变化的相关概念。适应是广泛应用于众多学科领域的常用概念之一,但不同语境下具体涵义并不划一,有时也会不甚明晰。根本上讲,适应一词发展成为一个应用广泛的基本术语,还得归功于现代生物学的适应理论。在生物学基础上,人类学相关研究进一步表明,人既在生物学意义上适应环境,也通过文化性适应增进生物性适应。气候变化现实语境下的适应,即适应气候变化,是一个现实适应命题。关于这一命题,政府间气候变化委员会(IPCC)已在其评估报告中给出了相应解释,并因其界定之宽泛性与综合性而广受认同。在法律制度意义上,适应,是在可能的范围内,通过对人的行为、社会结构与过程的必要调整,以建立与提高适应能力、降低对气候变化影响的脆弱性,从而直接预防、减少气候变化损害的制度路径。第二章主要介绍了国际气候变化谈判进程中多边适应制度的发展,以及国际气候变化制度与气候谈判催化下区域与国家层面的气候立法活动。总体而言,适应已成为气候变化法律制度与各层级气候变化治理不可缺少的内在组成部分之一。1992年气候变化公约为国际社会建立了应对气候变化的法律框架。不过,这一法律框架实际上主要是关于减缓、减排的国际制度安排,并未对适应政策与适应战略予以专门关注。直到2001年气候变化公约《马拉喀什协定》,适应对策才得以与减缓对策相比肩。在气候变化公约以及通过《京都议定书》建立的国际强制性温室气体减排制度的影响下,近些年来,气候变化法这一新兴法律领域已在一些发达国家与区域率先得到发展。尽管通常仍主要以如何履行温室气体减排承诺、控制温室气体排放为制度焦点,但在一定程度上,这些新兴的气候变化法、法案已展示出减缓与适应的战略融合之势,适应是促进国家与区域气候变化损害最小化的必要制度选择。第三章在评析适应制度之现实必要性基础上,指出适应制度发展与适应资源供给严重滞后于最脆弱者迫切适应需要的现实问题。气候变化影响与损害的分布并不均衡,由于地理、经济、社会、文化、制度或者其它原因而适应能力低下的最脆弱者,面临最严峻的适应挑战。如果先行的适应措施不能实质性地及时改善最脆弱者的境遇,那么,这些直接减少气候变化损害的制度努力的有效性必然存疑。一些学者已试图从社会资源、集体行动、社会连带等理论层面建构有效的适应行动。这些理论也启示了在适应这一能动的社会过程中各层级公私行动者共同参与的必要性；有效的适应行动应建立在以受害者为中心的社会团结之上。第四章从人权视角论述适应气候变化隐含的权利依据问题。过去几年中,与气候变化影响与损害相关联的人权问题,已在国际社会受到越来越多的关注。研究结果表明,气候变化对公认的各项人权存在普遍影响,并可能构成严重威胁,而最脆弱者、气候变化主要受害者的境遇尤其值得关注。以权利为基础的制度路径,对于深入强化适应行动、增强最脆弱者的影响力、确立气候变化主要受害者在各层级气候变化制度中的中心地位有重要意义。事实上,这种权利审视已经激励一些气候变化损害承受者积极寻求可能的维权路径,他们发起的一系列维权行动已对声援、促进预防与减少气候变化损害的适应援助与损害救助产生有利影响。第五章论述适应制度的价值基础与价值选择。安全与公平是适应制度应予遵循的基本价值依据。在现代社会,安全概念已超越了主要与军事安全相联系的传统理解,气候变化等各种人类问题、生态问题成为新的安全关切。适应行动通过直接预防、减少气候变化损害,体现其为人类与所有地球生命消除安全威胁的制度价值。以安全为基础的制度路径,有助于评估选择迫切必为的适应行动与其它应对气候变化战略。气候伦理或者气候正义要求适应公平。为维护适应公平,适应制度应确立最脆弱者优先地位、促进可持续适应、以及公平引导气候变化主要受害者等利益相关者的积极参与。第六章论述作为适应保障机制的气候变化基金与气候变化保险的完善问题。在这种适应保障机制下,借助适应成本与气候变化损害风险的社会化,有助于迫切所需的适应行动与重大的气候变化损害获得及时有效的支援与物质保障。气候变化基金机制已在国际与国家层面得到一定发展。但是,较之于实际所需资金规模,当下气候变化基金仍相当不足。因此,有必要在各层级开辟新的融资渠道,以为适应行动提供资金保障,包括借助强制性筹资措施。另外,在气候变化基金配置方面,应进一步增强脆弱者的主动权,以使基金配置符合他们的真正所需。在气候公约缔约方会议适应相关协议中(第11／CP.1),保险被视为便利充分适应的制度措施之一。但截至目前,国际气候谈判对于如何在适应制度下发挥保险机制的功能并没有达成实质性合意。一些国家通过公私合伙等形式已经建立起了相应的用于转移气候变化损害风险的国家保险计划。应当说,对于气候变化损害救助与脆弱者适应援助保障而言,公共保险是可行的制度选择。更多还原

【Abstract】 Global climate change presents serious threats that will affect both human system and natural system in the world. And the most vulnerable or the already-vulnerable population will suffer most. As necessary legal response to cope with climate change, climate change law has emerged as a new and developing legal system particularly since United Nations Framework Convention on Climate Change. Under climate change legal system, there are two distinct but related basic ways to prevent and reduce climate change effects, or climate change damage in legal sense. One is mitigation by stabilizing greenhouse gas concentrations in the atmosphere, and the other is adaptation by reducing vulnerability or improving adaptive capacity to climate change. Comparatively speaking, although adaptation has recently featured very high on the international or national climate change law-making agendas, adaptation is less developed and researched than mitigation as a coping strategy. As a direct way to prevent and reduce climate change damage, adaptation is especially important for those main victims who are suffering most from the real or expected climate change impacts. This thesis focuses on adaptation issues and analysis of the legal approaches to facilitate further climate change adaptation. And its structure is as follows:Chapter I examines the concepts of adaptation and the meaning of climate change adaptation as a legal term. Adaptation is one of the most commonly used concepts that applys to many disciplines in different areas with varied and sometimes equivocal meanings. Yet in spite of this, the adaptation theory in modern biology obviously lays the foundation for the widely accepted term of adaptation. Besides biological adaptation originating from biological theory, cultural adaptation particularly developed by anthropology is also the fundamental construct for the adaptation theory as far as human beings are concerned. Thus far, Intergovernmental Panel on Climate Change (IPCC) has provided a very broad, comprehensive and widely accepted definition of climate change adaptation, or briefly called adaptation in the context of dealing with global climate change. Under a legal framework for adaptation action, adaptation shall be directly related to prevent and reduce climate change damage through necessary, possible legal adjustment and regulation of human behavior, social process and structure, which helps establish and improve adaptability for those vulnerable to the effects of climate change.ChapterⅡintroduces the related international climate change negotiating process leading to the formulation of multilateral adaptation legal framework, as well as some regional and national climate change law-making activities catalyzed by the international climate change regime and international climate negotiation. Overall speaking, climate change adaptation has been an indispensable internal part of climate change legal system and multi-level climate change governance. The international community adopted the UNFCCC in 1992 as a legal policy framework to address anthropogenic global climate change. But the UNFCCC, emerging initially as an international mitigation arrangement agreement, paid only little attention to adaptation policy and strategy. It is not until 2001 Marrakesh Accords under the UNFCCC that adaptation policy has been appropriately placed on equal footing with mitigation. Under the influence of UNFCCC and international mandatory GHGs emissions reduction arrangement for developed countries by Kyoto Protocol, the last few years have also seen the emergence of climate change law as a new legal discipline in some developed region and nations. Although the focus is usually on GHGs control or how to fulfill GHGs emissions reduction commitments, those new climate change acts or bills have, to some extent, shown the trend of the development of an integrated mitigation and adaptation strategy so as to enable a comprehensive legal framework for regional or national climate change damage minimization.ChapterⅢgives an insight into the functional role of adaptation under climate change regime and the reality that adaptation policy development and resources supply is significantly lagging behind the urgent and immediate adaptation needs from the most vulnerable. Climate change damage tends to distribute unevenly and unequally. And the most vulnerable with low adaptive capacity due to geographic, economical, social, cultural, institutional or other reasons face the severest challenge of adaptation to climate change. If priority adaptation measures are unlikely to reach and benefit them timely and substantively, the effectiveness of legal responses aimed at reducing climate change damage comes under doubt. Some scholars have reviewed such theories as social capital, collection action and social solidarity to inform effective adaptation actions. Pubic and private actors at various scales should all be involved in the dynamic social process of adaptation through a victim-centered approach in order to facilitate solidarity support for effective adaptation.Chapter IV looks into the human rights dimensions of climate change adaptation in theory and practice. In the last few years, growing attentions have been paid to the human rights implications of climate change effects and damages in the international climate change community. It has been stressed that climate change effects pose severe threats to a broad range of universally recognized human rights, especially as far as those most vulnerable and those main victims of climate change are concerned. The right-based approach is important to inform, deepen and strengthen adaptation actions, to empower the vulnerable, and to bringing those main victims of climate change into focus at international and national levels. In fact, the right-based perspective has inspired the real and potential suffers of climate change damage to seek possible litigation approach, which may promote the national and international actions to prevent and reduce climate change damage including adaptation assistance and damage relief.Chapter V reviews the basic institutional value of climate change adaptation regime from the perspectives of security and fairness. In modern society, the concept of security has gone beyond its traditional concern with security from external military threats and is giving high priority to other human or ecological issues such as climate change effects. Climate change adaptation action, aimed at directly prevent and reduce climate change damage, implies the particular purpose of removing severe threats to human security and all life on earth. A security-based approach is important in assessment of the urgently required minimal level of climate change adaptation action and other coping strategies. The climate ethics or justice has called for fair adaptation to climate change. As has been pointed by the IPCC, equity or fairness also affects social adaptive capacity. In order to facilitate fair adaptation, climate change adaptation regime should prioritize adaptation assistance for the most vulnerable, pursue sustainable ways to adaptation and encourage fair and active participation from relevant stakeholders, especially those suffering most, in the dynamic adaptation process.Chapter VI concentrates on the social-based approach to facilitating adaptation through mechanisms of climate change funds and insurances, which may help socialize adaptation costs and climate change damage risks to the extent that urgent adaptation actions can be funded and catastrophic damage can be relieved timely and effectively. Climate change funds have somehow developed both at international and national levels. The estimated scale of financing needed is significant while the current climate change funds still lag too far behind. Additional international and domestic financing sources should be explored including mandatory funding stream for adaptation funding. With respect to the distribution of climate change funds, the vulnerable should be positively involved and the funds should be spent to meet their real needs. Insurance is deemed as one of the measures to facilitate adequate adaptation under the initial guidance from the Conference of the Parties on adaptation (Decision 11/CP.1). But to date there is little agreement on the role of insurance-related mechanism in adaptation assistance process from the climate negotiation. Some types of insurance have been developed to transfer climate change damage risk in several countries usually through public and private partnerships. Public insurance is one of feasible options for climate change damage relief and adaptation assistance to those vulnerable.更多还原