气候变化损害救济的实践探索与未来发展
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摘要
气候变化所致的损失与损害救济(简称"气候变化损害救济")由来已久,且随着气候灾难频发、应对气候变化谈判的不断深入从而逐渐被国际社会所重视。《巴黎协定》虽然将"损失与损害"纳入其中,但是作为谈判各方妥协的结果,在1/CP.21中明确指出该条不提供任何责任和赔偿的基础。由于缺乏相应的法律基础,以及气候变化自身"集体性"和"累积性"的特点,气候变化所致损失与损害的国际司法救济已陷入困境。但是随着《巴黎协定》三次缔约方大会的召开、"损失与损害"理论的不断发展,以及一系列新的国际司法实践的出现使得气候变化所致的损失与损害救济走向了一条主体更加多元化,方式更加全面化的道路,这些新的趋势都使得气候变化损害救济或见曙光。
引文
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[26]《巴黎协定》四点共同立场为:(1)《协定》中必须明确损失损害的内容;(2)《协定》中必须锁定损失损害的机制安排;(3)损失损害的机制安排必须遵循《公约》的原则和条款,尤其是共同但有区别的责任的原则;(4)《协定》要有条款特別处理不可逆和永久的损失损害。参见陈敏鹏等:《〈巴黎协定〉适应和损失损害内容的解读和对策》,《气候变化研究进展》,2016年第3期,第254页。
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[29]《巴黎协定》第8条第3款:“缔约方应当在合作和提供便利的基础上,包括酌情通过华沙国际机制,在气候变化不利影响所涉损失与损害方面加强理解、行动和支持”。
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[31]UNFCCC,Warsaw International Mechanism for Loss and Damage associated with Climate Change Impacts,Draft decision-/CP.23,http://unfccc.int/resource/docs/2017/sb/chi/l05c.pdf.
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[34]《联合国气候变化框架公约》第2条:根据本公约的各项有关规定,将大气中温室气体的浓度稳定在能够防止气候系统受到危险的人为干扰的水平上。这一水平应当在足以使生态系统能够自然地适应气候变化、确保粮食生产免受威胁并使经济发展能够可持续地进行的时间范围内实现。
[35]《联合国气候变化框架公约》第4条第2款:每一个此类缔约方应制定国家政策和采取相应的措施,通过限制其人为的温室气体排放以及保护和增强其温室气体汇与库(sinks and reservoirs),减缓气候变化。这些政策和措施将表明,发达国家正在带头遵循本公约的目标,改变人为排放的长期趋势……。
[36]Jacob David Werksman,Could a Small Island Successfully Sue a big Emitter?Pursuing a Legal Theory and a Venue for Climate Justice,in Michael B.Gerrard&Gregory E.Wannier(ed.),Threatened Island Nations Legal Implications of Rising Seas and a Changing Climate,Cambridge University Press 2013,p.416.
[37]Christina Voigt.State Responsibility for Climate Change Damage.Nordic Journal of International Law,vol.77,2008,p.4.
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[45]“特雷尔冶炼厂仲裁案”中,仲裁庭首次对“禁止损害”规则作了阐述,并发表了如下著名的论断:“根据国际法原则以及美国法,任何国家都没有权利以这样一种方式使用或允许他人使用其领土,以致烟雾对他国领土或他国领土内的财产或人员造成损害,其后果严重并且有明确和令人信服的证据证明这一损害。”参见:Trail Smelter Tribunal United States v.Canada,American Journal of International Law,Vol.33,1939.在1949年“科孚海峡案”中,国际法院指出:“每一个国家都有义务不得在明知的情况下允许其领土被用于损害他国权利的行为。”参见:Corfu Channel Case,United Kingdom v.Albania,ICJ Reports,1949.1996年,国际法院在对“使用或威胁使用核武器的合法性”发表咨询意见时,再次强调:“各国确保其管辖和控制下的活动尊重(不损害)其他国家或者国家控制范围以外区域的环境的普遍义务,现已成为与环境有关的国际法的一部分。”参见Advisory Opinion on Legality of the Threat or Use of Nuclear Weapons,Reports,1996,pp.241-242.
[46]1951年的《国际植物保护公约》在其序言中认为有必要防止植物病虫害越过国家边界;1968年的《非洲自然保护公约》第16条第1款第6项要求有关国家在开发计划有可能影响其他国家的自然资源时进行协商和合作;1972年的《世界自然和文化遗产公约》第6条第3款规定缔约国不得采取可能直接或间接损害位于其他缔约国领土上的自然和文化遗产的措施;此外,1972年6月联合国人类与环境会议通过的《斯德哥尔摩宣言》第21条同样宣告:按照《联合国宪章》和国际法原则,各国享有按照其环境政策开发利用自然资源的主权权利,同时亦有责任确保其管辖或控制范围内的活动不对其他国家或本国管辖范围以外地区的环境造成损害。1992年里约热内卢《环境与发展宣言》第2条亦重申了这一点。1982年《联合国海洋法公约》第194条第2款规定:各国应采取一切必要措施,确保其管辖或控制下的活动不致使其他国家及其环境遭受污染的损害,并确保其管辖或控制范围内的事件或活动所造成的污染不致扩大到其按照本公约行使主权权利的区域之外。
[47]虽然一国在国际法上有义务对本国境内或本国管辖范围内的私人行为加以管理和控制,以避免对他国造成损害;但考虑到任何国家事实上都不可能像控制国家行为那样对私人行为实现完全的控制,因此该义务并不是绝对的。通常认为,“禁止损害”义务所对应的国家行为标准为“应有的注意”(due diligence)标准:只要一国的行为达到了“应有的注意”标准,便无须对私人行为造成的损害承担国家责任。例如,在“科孚海峡案”中,国际法院之所以判定阿尔巴尼亚对英国军舰触雷爆炸事件承担责任,并不是基于该事件造成的损害结果本身,而是因为阿尔巴尼亚在明知或不可能不知海峡中布有水雷的情况下,没有向英国履行告知和警示的义务。参见龚宇:《气候变化损害的国家责任:虚幻或现实》,载《现代法学》2012年第4期。
[48]鉴于科学结论已经明确揭示了人类温室气体排放与气候变化之间的联系,并且气候变化损害具有持续性、渐进性的特点,因此理论上每个国家都有采取行动、“亡羊补牢”的机会;同时从1990年IPCC发布第一次评估报告时起,国际社会对于人类温室气体排放与气候变化损害之间的关系就已经形成了普遍共识,于是才有了1992年《框架公约》。在此情形下,自然没有任何国家能够否认对于气候变化损害的“预见”。
[49]龚宇:《气候变化损害的国家责任:虚幻或现实》,载《现代法学》2012年第4期。
[50]跨境环境损害赔偿要求的因果关系是特定国家的行为与特定损害结果之间的因果关系,即法律认证里的无A即无B的关系,在气候变化损害的累积性跨境损害中,特定因果关系的确定却是几乎不可能的。即便哪一天图瓦卢、马尔代夫等岛国真的被海水淹没,我们也很难将这一结果归咎于美国、日本或任何一个特定国家的温室气体排放,正如我们无法证明:排除上述任一特定国家的温室气体排放,该结果就不会发生。
[51]GCF由1/CP.16决定设立,是《联合国气候变化框架公约》财务机制的运作实体,在缔约方会议的指导下负有责任和职责。它由24个成员组成的委员会(来自发达国家和发展中国家缔约方的人数相等)管理,并打算在2020年动员1000亿美元成为全球气候变化融资的主要基金。参见http://unfccc.int/bodies/green_climate_fund_board/body/6974.php.
[52]Linda Siegele,“Loss and Damage(Article 8)”,in Daniel Klein,María Pía Carazo,Meinhard Doelle,Jane Bulmer,and Andrew Higham edited,The Paris Agreement on Climate Change Analysis and Commentary,Oxford University Press,2017,p.229.
[53]《巴黎协定》第8.4条:“据此,为加强理解、行动和支持而开展合作和提供便利的领域可包括以下方面:(一)早期预警系统;(二)应急准备;(三)缓发事件;(四)可能涉及不可逆转和永久性损失与损害的事件;(五)综合性风险评估和管理;(六)风险保险机制,气候风险分担安排和其他保险方案;(七)非经济损失;和(八)社区、生计和生态系统的复原力。”
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[58]Ibid.
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[60]Julia Taub,Naznin Nasir,M.Feisal Rahman and Saleemul Huq,From Paris to Marrakech:Global Politics around Loss and Damage,http://journals.sagepub.com.ezproxy.library.uwa.edu.au/doi/pdf/10.1177/0974928416671591(last viewed at 28February 2018).
[61]what is SCF,http://unfccc.int/bodies/standing_committee/body/6973.php(last viewed at 10 May2017).
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[65]Bodansky,Daniel,“The Legal Character of the ParisAgreement”,https://ssrn.com/abstract=2735252(last viewed at 22May 2017).
[66]事实上,一些小岛屿发展中国家(马绍尔群岛、瑙鲁和图瓦卢)在其批准《巴黎协定》的文书中明确声明,加强了这一解释。For a legal interpretation of Decision 1/CP.21para 51,see Legal Response Initiative,loss and damage in the Paris Agreement and COP Decision,and State Responsibility,http://legalresponseinitiative.org/legal-assistance.(last viewed at 12April 2016);The interpretive declarations can be accessed at U-nited Nations,“United Nations Treaty Collection”http://treaties.un.org/Pages/ViewDetails.aspx?src=TREATY&mtdsg_no=XXVII-7-d&chapter=27&clang=_en.(last viewed at 13April 2016).
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[69]何志鹏:《逆全球化潮流与国际软法的趋势》,载《武汉大学学报》(哲学社会科学版)2017年第4期。
[70][美]曼瑟尔·奥尔森:《集体行动的逻辑》,陈郁、郭宇峰、李崇新译,格致出版社2011年版。
[71]Alan Boyle,Some Reflections on the Relationship of Treaties and Soft Law,48(4)International and Comparative Law Quarterly(1999)901.
[72]Vaughan Lowe,International Law,Oxford University Press,2007,pp.96-97.
[73]P.W.Birnie and Alan Boyle,International Law and the Environment(2nd ed.),oxford University Press,2002,p.24.
[74]Alan Boyle,“Some Reflections on the Relationship of Treaties and Soft Law”,48 International and Comparative Law Quarterly901(1999).
[75]何志鹏、孙璐:《国际软法何以可能---一个以环境为视角的展开》,载《当代法学》2012年第1期。
[76]Vera Künzel,Laura Schfer,Sabine Minninger and Roxana Baldrich,Loss and Damage at COP23:Looking at Small Island Developing States,(2017)10GermanWatch,Available at:https://germanwatch.org/en/download/20288.pdf.
[77]The InsuResilience Global Partnership for Climate and Disaster Risk Finance and InsuranceSolutions全球合作伙伴关系气候与灾害风险金融与保险解决方案旨在加强发展中国家的抗灾能力,保护贫困和弱势群体的生命和生计免受灾害的影响。该伙伴关系的中心目标是通过使用气候和灾害风险融资和保险解决方案,减少人道主义影响,帮助贫困和弱势群体恢复更多灾害,从而实现更及时和可靠的灾后应对措施,更好地应对气候和灾害风险。迅速提高当地的适应能力并加强当地的适应能力。这补充了各国正在进行的努力,以避免,尽量减少和应对气候和灾害风险。参见:http://www.insuresilience.org/HYPERLINK"http://www.insuresilience.org/"
[78]Soumya Sarkar,COP23:Climate insurance not enoughf or loss and damage,https://www.thethirdpole.net/2017/11/16/climate-insurance-not-enough-for-loss-and-damage/(last viewed at 6March 2018)
[79]Climate change conference launches global insurance initiative,https://www.insurancebusinessmag.com/au/news/breaking-news/climate-change-conference-launches-global-insurance-initiative-84908.aspx(last viewed at 9March 2018).
[80]ActionAid International全球气候变化负责人Harjeet Singh表示:“保险可能解决了一些问题,但我们不能假装它是每个人的安全网”,参见Soumya Sarkar,COP23:Climate insurance not enough for loss and damage,https://www.thethirdpole.net/2017/11/16/climate-insurance-not-enough-for-loss-and-damage/(last viewed at 6March 2018).
[81]InsuResilienceto Provide the Poor with More Financial Protection Against Climate Risks,https://cop23.unfccc.int/news/insuresilience-to-provide-the-poor-with-more-financial-protection-against-climate-risks(last viewed at 22February 2018).
[82]Peruvian farmer sues German energy giant for contributing to climate change,https://www.theguardian.com/world/2017/nov/14/peruvian-farmer-sues-german-energy-giant-rwe-climate-change(last viewed at 5March 2018)
[83]Eric J.Lyman,why It’s Vital for the UN to Agree on a Plan for Loss and Damage,https://psmag.com/environment/why-its-vital-for-the-u-n-to-agree-on-a-plan-for-loss-and-damage(Last viewed 20 at January2018).
[84]Olivia Serdeczny,Loss and Damage at COP23-goals,roadblocks and detours,http://climateanalytics.org/blog/2017/loss-and-damage-at-cop23-disappointments-and-consolation-prizes.html HYPERLINK"http://climateanalytics.org/blog/2017/loss-and-damage-at-cop23-disappointments-and-consolation-prizes.html"(Last viewed at 21February 2018).
[85]气候变化影响相关损失和损害华沙国际机制执行委员会的报告,FCCC/SB/2017/L.5,第九段,http://unfccc.int/resource/docs/2017/sb/chi/l05c.pdf.
[86]气候变化影响相关损失和损害华沙国际机制执行委员会的报告,FCCC/SB/2017/L.5,第十五段,http://unfccc.int/resource/docs/2017/sb/chi/l05c.pdf.
[87]Daniel Klein,María Pía Carzao,Meinhard Doelle,Jane Bulmer,and Andrew Higham Edited,The Paris A-greement on Climate Change:Analysis and Commentary,Oxford University Press,2017,p.237.
[88]United Nations,Sustainable Development Knowledge Platform.http://sustainabledevelopment.un.org/;United Nations Office for Disaster Risk Reduction(UNISDR),UNISDR.http://www.unisdr.org/,especially the“Sendai Framework for the Disaster Risk Reduction 2105-2030”http://www.unisdr.org/we/coordinate/sendai-framework;World Climate Change Programme(WCRP),WCRP”http://www.wcrp-climate.org/;the CCRIF(n 63);ARC(n 64);Federal Ministry for Economic Cooperation and Development,What is the G7 Initiative on Climate Risk Insurance About?http://www.bmz.de/g7/en/Entwicklungspolitische_Schwerpunkte/Klimawandel/index.html.However,for an example of how the loss and damage and other international agendas can be differentiated see M J Mace and Michiel Schaeffer,Loss and Damage under the UNFCCC:What Relationship to the Hyogo Framework?http://loss-and-damage.net/4941.
[2]IPCC,Climate Change 2014:Impacts,adaptation,and vulnerability.Part A:Global and sectoral aspects.Contribution of working group II to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change.
[3]张乾红:《拯救地球:气候变化适应制度研究---维护受害者利益》,上海社会科学出版社2012年版,第2页。
[4]Randall S.Abate and Elizabeth Ann Kronk,Climate Change and Indigenous Peoples,Edward Elgar Publishing Limited,2013.
[5]《飓风“艾尔玛”横扫加勒比海破坏严重》,联合早报,http://www.zaobao.com.sg/news/world/story20170908-793495,2017年11月5日最后访问。
[6]Newswire(2016):$2.98billion damage caused by TC Winston.Available at:https://www.newswire.com.fj/national/tc-winston/2-98-billion-damage-caused-by-tc-winston/..(last viewed at June 15 2016).
[7]2002年,图瓦卢将联合基里巴斯和马尔代夫,就美国和澳大利亚超标排放二氧化碳所导致的全球变暖给岛民带来的威胁向海牙国际法庭提起诉讼;2011年9月,西太平洋小岛国帕劳亦在联合国大会上提出了就气候变化损害的国家责任问题向国际法院寻求咨询意见的计划。参见龚宇:《气候变化损害的国家责任:虚幻或现实》,载《现代法学》2012年第4期。
[8]Eric J.Lyman,why It’s Vital for the UN to Agree on a Plan for Loss and Damage,https://psmag.com/environment/why-its-vital-for-the-u-n-to-agree-on-a-plan-for-loss-and-damage.
[9]张晨阳:《国际应对气候变化所致小岛屿国家损失与损害研究》,载《太平洋学报》2017年第9期;程玉:《论气候变化损失与损害的国际法规则》,载《太平洋学报》2016年第11期;Eric J.Lyman,why It’s Vital for the UN to Agree on a Plan for Loss and Damage,https://psmag.com/environment/why-its-vitalfor-the-u-n-to-agree-on-a-plan-for-loss-and-damage(Last Viewed at January 20 2018);Aruna Chandrasekhar,COP 23:Loss and Damage text analysis,http://climatetracker.org/cop-23-loss-damage-text-analysis/(last Viewed at January 18 2018);Vera Künzel,Laura Schfer,Sabine Minninger and Roxana Baldrich,Loss and Damage at COP23:Looking at Small Island Developing States,(2017)10GERMANWATCH,Available at:https://germanwatch.org/en/download/20288.pdf.
[10]Koko Warner and Kees Vander Geest,Loss and Damagefrom Climate Change:Local-level Evidence From Nine VulnerableCountries,International Journal of Global Warming,vol.5,4,2013,p.369.
[11]See Negotiation of a framework convention on climate change,elements related to mechanisms,A/ac.237/WG.II/CRP.8.http://unfccc.int/resource/docs/a/wg2crp08.pdf.
[12]INC,Vanuatu,“Draft Annex Relating to Article 23(Insurance)for Inclusion in the Revised Single Text on Elements Relating to Mechanisms(A/AC.237/WG.II/Misc.13)Submitted by the Co-Chairmen of Working Group II.Intergovernmental Negotiating Committee for a Framework Convention on Climate Change”,WorkingGroup II,Fourth Session,Geneva,Dec 9-20,1991,http://unfccc.int/resource/docs/a/wg2crp08.pdf.;Background paper for UNFCCC workshops.http://unfccc.int/files/meetings/workshops/other_meetings/application/pdf/background.pdf(last accessed February 10 2017);Report on the UNFCCCworkshops on insurance,FCCC/SBI/2003/11;Investment and financial flows to address climate change:an update,FCCC/TP/2008/7.
[13]UNFCCC,Report of the Conference of the Parties on its Seventh Session,Decision5/CP.7,P32,http://unfccc.int/resource/docs/cop7/13a01.pdf#page=32.
[14]UNFCCC,Bali Action Plan,Decision 1/CP.13,para.1(c)https://unfccc.int/resource/docs/2007/cop13/eng/06a01.pdf.
[15]See Ideas and proposals on the elements contained in paragraph 1of the Bali Action Plan,African Group and AOSIS submissions,FCCC/AWGLCA/2009/MISC.8.
[16]Daniel Klein,María Pía Carzao,Meinhard Doelle,Jane Bulmer,and Andrew Higham Edited,The Paris A-greement on Climate Change:Analysis and Commentary,Oxford University Press,2017,p.226.
[17]UNFCCC,The Cancun Agreements:Outcome of the work of the Ad Hoc Working Group on Long-term Cooperative Action under the Convention,Decision 1/CP.16,para.26-27.http://unfccc.int/resource/docs/2010/cop16/eng/07a01.pdf#page=4.
[18]Doelle Meinhard,The Birth of the Warsaw Loss&Damage Mechanism:Planting a Seed to Grow Ambition?,Carbon&Climate Law Review,vol.35,8,2014,p.3.
[19]UNFCCC,Approaches to address loss and damage associated with climate change impacts in developing countries that are particularly vulnerable to the adverse effects of climate change to enhance adaptive capacity,Decision 3/CP.18,para.4.http://unfccc.int/resource/docs/2012/cop18/eng/08a01.pdf.
[20]UNFCCC,Warsaw international mechanism for loss and damage associated with climate change impacts,Decision 2/CP.19,para.2.http://unfccc.int/resource/docs/2013/cop19/eng/10a01.pdf.
[21]Ibid para 15.
[22]IPCC,Climate Change 2014:Impacts,adaptation,and vulnerability.Part A:Global and sectoral aspects.Contribution of working group II to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change.
[23]UNFCCC,Warsaw International Mechanism for Loss and Damage associated with Climate Change Impacts,Decision 2/CP.20,https://unfccc.int/files/bodies/election_and_membership/application/pdf/decision_2_cp20_loss_and_damage_committee.pdf.
[24]The Group of 77and China is the largest intergovernmental organization of developing countries in the United Nations.http://www.g77.org/.
[25]Working document,Version of 8September 2015(18:00)21-22,proposal 2,http://unfccc.int/files/bodies/awg/application/pdf/adp2-10_8sep2015t1500_cwd.pdf.
[26]《巴黎协定》四点共同立场为:(1)《协定》中必须明确损失损害的内容;(2)《协定》中必须锁定损失损害的机制安排;(3)损失损害的机制安排必须遵循《公约》的原则和条款,尤其是共同但有区别的责任的原则;(4)《协定》要有条款特別处理不可逆和永久的损失损害。参见陈敏鹏等:《〈巴黎协定〉适应和损失损害内容的解读和对策》,《气候变化研究进展》,2016年第3期,第254页。
[27]Working document,Version of 8September 2015(18:00)21-22,proposal 3,http://unfccc.int/files/bodies/awg/application/pdf/adp2-10_8sep2015t1500_cwd.pdf.
[28]Draft agreement and draft decision on workstreams 1and 2of the ADP,Work for the ADP contact group,Version of 23October 2015(23:30)16-17,art 5,opts 1and 2,41-42,opt1,paras 53-59,and opt 2,paras53-37.https://unfccc.int/files/bodies/application/pdf/ws1and2@2330.pdf.
[29]《巴黎协定》第8条第3款:“缔约方应当在合作和提供便利的基础上,包括酌情通过华沙国际机制,在气候变化不利影响所涉损失与损害方面加强理解、行动和支持”。
[30]UNFCCC,Warsaw International Mechanism for Loss and Damage associated with Climate Change Impacts,Decision3/CP.22,http://unfccc.int/resource/docs/2016/cop22/eng/10a01.pdf.
[31]UNFCCC,Warsaw International Mechanism for Loss and Damage associated with Climate Change Impacts,Draft decision-/CP.23,http://unfccc.int/resource/docs/2017/sb/chi/l05c.pdf.
[32]UNFCCC,The Katowice Climate Package:Making The Paris Agreement Work For All,https://unfccc.int/process-and-meetings/the-paris-agreement/katowice-climate-package.
[33]Tiny Pacific nation takes on Australia,BBC News(4 March 2002)available at http://news.bbc.co.uk/2/hi/asia-pacific/1854118.stm(last viewed at September 6 2013).
[34]《联合国气候变化框架公约》第2条:根据本公约的各项有关规定,将大气中温室气体的浓度稳定在能够防止气候系统受到危险的人为干扰的水平上。这一水平应当在足以使生态系统能够自然地适应气候变化、确保粮食生产免受威胁并使经济发展能够可持续地进行的时间范围内实现。
[35]《联合国气候变化框架公约》第4条第2款:每一个此类缔约方应制定国家政策和采取相应的措施,通过限制其人为的温室气体排放以及保护和增强其温室气体汇与库(sinks and reservoirs),减缓气候变化。这些政策和措施将表明,发达国家正在带头遵循本公约的目标,改变人为排放的长期趋势……。
[36]Jacob David Werksman,Could a Small Island Successfully Sue a big Emitter?Pursuing a Legal Theory and a Venue for Climate Justice,in Michael B.Gerrard&Gregory E.Wannier(ed.),Threatened Island Nations Legal Implications of Rising Seas and a Changing Climate,Cambridge University Press 2013,p.416.
[37]Christina Voigt.State Responsibility for Climate Change Damage.Nordic Journal of International Law,vol.77,2008,p.4.
[38]Sebastian Oberth r&Hermann E.Ott,The Kyoto Protocol:International Climate Policy For The 21ST Century(1999).
[39]Aruna Chandrasekhar,“COP 23:Lossand Damage Text Analysis”,http://climatetracker.org/cop-23-lossdamage-text-analysis/(last viewed at January 31 2018).
[40]Saleemul Huq and Roger-Mark De Souza,Climate Compensation:How Loss and Damage Fared in the Paris Agreement,https://www.newsecuritybeat.org/2016/01/loss-damage-fared-paris-agreement/(last viewed at31January 2018).
[41]UNFCCC,Decisions adopted by the Conference of the Parties,Decision1/CP.21para 51.http://unfccc.int/resource/docs/2015/cop21/eng/10a01.pdf#page=2.
[42]Keely Boom,Julie-Ann Richards,and Stephen Leonard,Climate Justice:The International Momentum Toward Climate Litigation(2016)12 https://www.boell.de/sites/default/files/report-climate-justice-2016.pdf;Bonnie Smith,Adapting the Paris Agreement.Envrionment Law Review Syndicate.http://vjel.vermontlaw.edu/adapting-paris-agreement-2/;Samisoni Pareti,What is Loss and Damage?.(2016)Earth Journalism Network http://earthjournalism.net/stories/what-is-loss-and-damage.
[43]Linda Siegele,Loss and Damage(Article 8),in Daniel Klein,María Pía Carazo,Meinhard Doelle,Jane Bulmer,and Andrew Higham edited,The Paris Agreement on Climate Change Analysis and Commentary,Oxford University Press,2017,p.230.
[44]Andrea L.Mackielo,Core Rules of International Environmental Law,ILSA Journal of International andComparative Law,3(2009),p.258.
[45]“特雷尔冶炼厂仲裁案”中,仲裁庭首次对“禁止损害”规则作了阐述,并发表了如下著名的论断:“根据国际法原则以及美国法,任何国家都没有权利以这样一种方式使用或允许他人使用其领土,以致烟雾对他国领土或他国领土内的财产或人员造成损害,其后果严重并且有明确和令人信服的证据证明这一损害。”参见:Trail Smelter Tribunal United States v.Canada,American Journal of International Law,Vol.33,1939.在1949年“科孚海峡案”中,国际法院指出:“每一个国家都有义务不得在明知的情况下允许其领土被用于损害他国权利的行为。”参见:Corfu Channel Case,United Kingdom v.Albania,ICJ Reports,1949.1996年,国际法院在对“使用或威胁使用核武器的合法性”发表咨询意见时,再次强调:“各国确保其管辖和控制下的活动尊重(不损害)其他国家或者国家控制范围以外区域的环境的普遍义务,现已成为与环境有关的国际法的一部分。”参见Advisory Opinion on Legality of the Threat or Use of Nuclear Weapons,Reports,1996,pp.241-242.
[46]1951年的《国际植物保护公约》在其序言中认为有必要防止植物病虫害越过国家边界;1968年的《非洲自然保护公约》第16条第1款第6项要求有关国家在开发计划有可能影响其他国家的自然资源时进行协商和合作;1972年的《世界自然和文化遗产公约》第6条第3款规定缔约国不得采取可能直接或间接损害位于其他缔约国领土上的自然和文化遗产的措施;此外,1972年6月联合国人类与环境会议通过的《斯德哥尔摩宣言》第21条同样宣告:按照《联合国宪章》和国际法原则,各国享有按照其环境政策开发利用自然资源的主权权利,同时亦有责任确保其管辖或控制范围内的活动不对其他国家或本国管辖范围以外地区的环境造成损害。1992年里约热内卢《环境与发展宣言》第2条亦重申了这一点。1982年《联合国海洋法公约》第194条第2款规定:各国应采取一切必要措施,确保其管辖或控制下的活动不致使其他国家及其环境遭受污染的损害,并确保其管辖或控制范围内的事件或活动所造成的污染不致扩大到其按照本公约行使主权权利的区域之外。
[47]虽然一国在国际法上有义务对本国境内或本国管辖范围内的私人行为加以管理和控制,以避免对他国造成损害;但考虑到任何国家事实上都不可能像控制国家行为那样对私人行为实现完全的控制,因此该义务并不是绝对的。通常认为,“禁止损害”义务所对应的国家行为标准为“应有的注意”(due diligence)标准:只要一国的行为达到了“应有的注意”标准,便无须对私人行为造成的损害承担国家责任。例如,在“科孚海峡案”中,国际法院之所以判定阿尔巴尼亚对英国军舰触雷爆炸事件承担责任,并不是基于该事件造成的损害结果本身,而是因为阿尔巴尼亚在明知或不可能不知海峡中布有水雷的情况下,没有向英国履行告知和警示的义务。参见龚宇:《气候变化损害的国家责任:虚幻或现实》,载《现代法学》2012年第4期。
[48]鉴于科学结论已经明确揭示了人类温室气体排放与气候变化之间的联系,并且气候变化损害具有持续性、渐进性的特点,因此理论上每个国家都有采取行动、“亡羊补牢”的机会;同时从1990年IPCC发布第一次评估报告时起,国际社会对于人类温室气体排放与气候变化损害之间的关系就已经形成了普遍共识,于是才有了1992年《框架公约》。在此情形下,自然没有任何国家能够否认对于气候变化损害的“预见”。
[49]龚宇:《气候变化损害的国家责任:虚幻或现实》,载《现代法学》2012年第4期。
[50]跨境环境损害赔偿要求的因果关系是特定国家的行为与特定损害结果之间的因果关系,即法律认证里的无A即无B的关系,在气候变化损害的累积性跨境损害中,特定因果关系的确定却是几乎不可能的。即便哪一天图瓦卢、马尔代夫等岛国真的被海水淹没,我们也很难将这一结果归咎于美国、日本或任何一个特定国家的温室气体排放,正如我们无法证明:排除上述任一特定国家的温室气体排放,该结果就不会发生。
[51]GCF由1/CP.16决定设立,是《联合国气候变化框架公约》财务机制的运作实体,在缔约方会议的指导下负有责任和职责。它由24个成员组成的委员会(来自发达国家和发展中国家缔约方的人数相等)管理,并打算在2020年动员1000亿美元成为全球气候变化融资的主要基金。参见http://unfccc.int/bodies/green_climate_fund_board/body/6974.php.
[52]Linda Siegele,“Loss and Damage(Article 8)”,in Daniel Klein,María Pía Carazo,Meinhard Doelle,Jane Bulmer,and Andrew Higham edited,The Paris Agreement on Climate Change Analysis and Commentary,Oxford University Press,2017,p.229.
[53]《巴黎协定》第8.4条:“据此,为加强理解、行动和支持而开展合作和提供便利的领域可包括以下方面:(一)早期预警系统;(二)应急准备;(三)缓发事件;(四)可能涉及不可逆转和永久性损失与损害的事件;(五)综合性风险评估和管理;(六)风险保险机制,气候风险分担安排和其他保险方案;(七)非经济损失;和(八)社区、生计和生态系统的复原力。”
[54]Alexis Durand,Victoria Hoffmeister,Romain Weikmans,Jonathan Gewirtzman,Sujay Natson,Saleemul Huq and J.Timmons Roberts,“Financing options for loss and damage:a review and roadmap”,Deutsches Institut für Entwicklungspolitik(DIE)2016,p.10.https://www.die-gdi.de/uploads/media/DP_21.2016.pdf.
[55]“COP23:What do you need to know about loss and damage”,http://climatetracker.org/cop-23-need-knowloss-damage/(last viewed at February 20 2018).
[56]Estrin,D.,Vern Tan,S.,De Souza,R.-M.,Osgood,D.,Braun,M.,Huq,S.et al.Thinking outside the boat about climate change loss and damage:Innovative insurance,financial and institutional mechanisms to address climate harm beyond the limits of adaptation(International Workshop Report).Washington,DC:Centre for International Governance Innovation(CIGI),2016.
[57]Hope,C.,The costs and benefits of adaptation.M.Parry,N.Arnell,P.Berry,D.Dodman,S.Fankhauser,C.Hope,et al.(Eds),Assessing the costs of adaptation to climate change:A review of the UNFCCC and other recent estimates.London:International Institute for Environment and Development and Grantham Institute for Climate Change,2009,pp,100-111.
[58]Ibid.
[59]Durand,A.,Hoffmeister,V.,Roberts,J.T.,Gewirtzman,J.,Natson,S.,Weikmans,R.,&Huq,S.,Financing options for loss and damage:A review and roadmap(DRAFT).USA and Bangladesh:Climate and Development Lab(CDL),Brown University and International Centre for Climate Change and Development(ICCCAD),2016.
[60]Julia Taub,Naznin Nasir,M.Feisal Rahman and Saleemul Huq,From Paris to Marrakech:Global Politics around Loss and Damage,http://journals.sagepub.com.ezproxy.library.uwa.edu.au/doi/pdf/10.1177/0974928416671591(last viewed at 28February 2018).
[61]what is SCF,http://unfccc.int/bodies/standing_committee/body/6973.php(last viewed at 10 May2017).
[62]Estrin,D.,Vern Tan,S.,De Souza,R.-M.,Osgood,D.,Braun,M.,Huq,S.et al.“Thinking outside the boat about climate change loss and damage:Innovative insurance,financial and institutional mechanisms to address climate harm beyond the limits of adaptation(International Workshop Report)”.Washington,DC:Centre for International Governance Innovation(CIGI),2016.
[63]Kathleen Mogelgaard and Heather McGray,“When Adaption Is Not Enough:Paris Agreement Recognizes‘Loss and Damage’”http://www.wri.org/blog/2015/12/when-adaptation-not-enough-paris-agreementrecongnizes-%E2%80%9Closs-and-damage%E2%80%9D(last viewed at 11May 2017);Robinson Meyer,“AReader’s Guide to the Paris Agreement”http://www.theatlantic.com/science/archive/2015/12/a-readersguide-to-the-paris-agreement/420345/(last viewed at 14December 2017);Climate Focus,”Loss and Damage in the Paris Agreement”,http://www.climatefocus.com/sites/default/files/20160214%20Loss%20and%20Damage%20Paris_FIN_0.pdf(last viewed at 15January 2018).
[64]Keely Boom,Julie-Ann Richards,and Stephen Leonard,“Climate Justice:The International Momentum Toward Climate Litigation”,https://www.boell.de/sites/default/files/report-climate-justice-2016.pdf(last viewed at 10December 2017);Bonnie Smith,“Adapting the Paris Agreement”http://vjel.vermontlaw.edu/adapting-paris-agreement-2/(last viewed at 20November 2017);Samisoni Pareti,“What is Loss and Damage?”,http://earthjournalism.net/stories/what-is-loss-and-damage.(last viewed at 12December 2017).
[65]Bodansky,Daniel,“The Legal Character of the ParisAgreement”,https://ssrn.com/abstract=2735252(last viewed at 22May 2017).
[66]事实上,一些小岛屿发展中国家(马绍尔群岛、瑙鲁和图瓦卢)在其批准《巴黎协定》的文书中明确声明,加强了这一解释。For a legal interpretation of Decision 1/CP.21para 51,see Legal Response Initiative,loss and damage in the Paris Agreement and COP Decision,and State Responsibility,http://legalresponseinitiative.org/legal-assistance.(last viewed at 12April 2016);The interpretive declarations can be accessed at U-nited Nations,“United Nations Treaty Collection”http://treaties.un.org/Pages/ViewDetails.aspx?src=TREATY&mtdsg_no=XXVII-7-d&chapter=27&clang=_en.(last viewed at 13April 2016).
[67]Snyder,“Soft Law and Institutional Practice in the EuropeanCommunity”,in S.Martin(ed.),The Construction of Europe,Kluwer Academic Publishers,1994,p.198.
[68]罗豪才、毕洪海:《通过软法的治理》,《法学家》2006年第1期,第2页。
[69]何志鹏:《逆全球化潮流与国际软法的趋势》,载《武汉大学学报》(哲学社会科学版)2017年第4期。
[70][美]曼瑟尔·奥尔森:《集体行动的逻辑》,陈郁、郭宇峰、李崇新译,格致出版社2011年版。
[71]Alan Boyle,Some Reflections on the Relationship of Treaties and Soft Law,48(4)International and Comparative Law Quarterly(1999)901.
[72]Vaughan Lowe,International Law,Oxford University Press,2007,pp.96-97.
[73]P.W.Birnie and Alan Boyle,International Law and the Environment(2nd ed.),oxford University Press,2002,p.24.
[74]Alan Boyle,“Some Reflections on the Relationship of Treaties and Soft Law”,48 International and Comparative Law Quarterly901(1999).
[75]何志鹏、孙璐:《国际软法何以可能---一个以环境为视角的展开》,载《当代法学》2012年第1期。
[76]Vera Künzel,Laura Schfer,Sabine Minninger and Roxana Baldrich,Loss and Damage at COP23:Looking at Small Island Developing States,(2017)10GermanWatch,Available at:https://germanwatch.org/en/download/20288.pdf.
[77]The InsuResilience Global Partnership for Climate and Disaster Risk Finance and InsuranceSolutions全球合作伙伴关系气候与灾害风险金融与保险解决方案旨在加强发展中国家的抗灾能力,保护贫困和弱势群体的生命和生计免受灾害的影响。该伙伴关系的中心目标是通过使用气候和灾害风险融资和保险解决方案,减少人道主义影响,帮助贫困和弱势群体恢复更多灾害,从而实现更及时和可靠的灾后应对措施,更好地应对气候和灾害风险。迅速提高当地的适应能力并加强当地的适应能力。这补充了各国正在进行的努力,以避免,尽量减少和应对气候和灾害风险。参见:http://www.insuresilience.org/HYPERLINK"http://www.insuresilience.org/"
[78]Soumya Sarkar,COP23:Climate insurance not enoughf or loss and damage,https://www.thethirdpole.net/2017/11/16/climate-insurance-not-enough-for-loss-and-damage/(last viewed at 6March 2018)
[79]Climate change conference launches global insurance initiative,https://www.insurancebusinessmag.com/au/news/breaking-news/climate-change-conference-launches-global-insurance-initiative-84908.aspx(last viewed at 9March 2018).
[80]ActionAid International全球气候变化负责人Harjeet Singh表示:“保险可能解决了一些问题,但我们不能假装它是每个人的安全网”,参见Soumya Sarkar,COP23:Climate insurance not enough for loss and damage,https://www.thethirdpole.net/2017/11/16/climate-insurance-not-enough-for-loss-and-damage/(last viewed at 6March 2018).
[81]InsuResilienceto Provide the Poor with More Financial Protection Against Climate Risks,https://cop23.unfccc.int/news/insuresilience-to-provide-the-poor-with-more-financial-protection-against-climate-risks(last viewed at 22February 2018).
[82]Peruvian farmer sues German energy giant for contributing to climate change,https://www.theguardian.com/world/2017/nov/14/peruvian-farmer-sues-german-energy-giant-rwe-climate-change(last viewed at 5March 2018)
[83]Eric J.Lyman,why It’s Vital for the UN to Agree on a Plan for Loss and Damage,https://psmag.com/environment/why-its-vital-for-the-u-n-to-agree-on-a-plan-for-loss-and-damage(Last viewed 20 at January2018).
[84]Olivia Serdeczny,Loss and Damage at COP23-goals,roadblocks and detours,http://climateanalytics.org/blog/2017/loss-and-damage-at-cop23-disappointments-and-consolation-prizes.html HYPERLINK"http://climateanalytics.org/blog/2017/loss-and-damage-at-cop23-disappointments-and-consolation-prizes.html"(Last viewed at 21February 2018).
[85]气候变化影响相关损失和损害华沙国际机制执行委员会的报告,FCCC/SB/2017/L.5,第九段,http://unfccc.int/resource/docs/2017/sb/chi/l05c.pdf.
[86]气候变化影响相关损失和损害华沙国际机制执行委员会的报告,FCCC/SB/2017/L.5,第十五段,http://unfccc.int/resource/docs/2017/sb/chi/l05c.pdf.
[87]Daniel Klein,María Pía Carzao,Meinhard Doelle,Jane Bulmer,and Andrew Higham Edited,The Paris A-greement on Climate Change:Analysis and Commentary,Oxford University Press,2017,p.237.
[88]United Nations,Sustainable Development Knowledge Platform.http://sustainabledevelopment.un.org/;United Nations Office for Disaster Risk Reduction(UNISDR),UNISDR.http://www.unisdr.org/,especially the“Sendai Framework for the Disaster Risk Reduction 2105-2030”http://www.unisdr.org/we/coordinate/sendai-framework;World Climate Change Programme(WCRP),WCRP”http://www.wcrp-climate.org/;the CCRIF(n 63);ARC(n 64);Federal Ministry for Economic Cooperation and Development,What is the G7 Initiative on Climate Risk Insurance About?http://www.bmz.de/g7/en/Entwicklungspolitische_Schwerpunkte/Klimawandel/index.html.However,for an example of how the loss and damage and other international agendas can be differentiated see M J Mace and Michiel Schaeffer,Loss and Damage under the UNFCCC:What Relationship to the Hyogo Framework?http://loss-and-damage.net/4941.