International Climate Change Law 0199664307, 9780199664306

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OXFORD

INTERNATIONAL CLIMATE CHANGE LAW Daniel Bodansky, Jutta Brunnée, and Lavanya Rajamani

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International Climate Change Law DANIEL

BODANSKY

JUTTA BRUNNEE LAVANYA RAJAMANI

OXFORD UNIVERSITY

PRESS

OXFORD UNIVERSITY

PRESS

Great Clarendon Street, Oxford, OX2 GDP,

United Kingdom Oxford University Press is a department of the University of Oxford. It furthers the University’s objective of excellence in research, scholarship, and education by publishing worldwide. Oxford is a registered trade mark of Oxford University Press in the UK and in certain other countries © Daniel Bodansky, Jutta Brunnée, Lavanya Rajamani 2017 The moral rights of the authors have been asserted

First Edition published in 2017 Impression: 1

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Foreword International climate change law presents a moving target. Since its birth in the early 1990s, it has been whiplashed by the vicissitudes of domestic politics. Even before its rules had been finalized, the Kyoto Protocol was pronounced dead by the newly elected administration of George W. Bush in spring 2001. And less than two decades later, years of arduous negotiations leading to the 2015 Paris Agreement are now at risk as a result of the election of President Donald Trump. So writing a book about international climate change law poses a challenge. Given its chequered history, what can one say about the subject that is not in danger of becoming quickly obsolete? If we had completed this book in 2014, as originally intended, it would have missed the Paris Agreement, now the central element of international climate change law. And with the election of President Trump, cli-

mate change law may undergo yet another reversal in the coming years. Nevertheless, we believe that a careful examination of the current elements of international climate change law is of enduring value. An enormous amount of effort and legal creativity has gone into the development of international climate change law. So whatever its ultimate fate, it is of significant interest from a scholarly perspective.

Even more importantly, we believe that international climate change law will continue to play a crucial role in practice. The Paris Agreement still commands very broad international support, changes in the United States notwithstanding, so it may well endure and flourish. Even if it does not, climate change is not going away as a problem. At some point states will be compelled to address it as a matter of urgent priority. And when they do, they will find a rich trove of ideas and approaches in the Framework Convention on Climate Change, the Kyoto Protocol, the Paris Agreement, and the other elements of international climate change law discussed in this book. For even when things change, they often stay the same. The UN climate regime, for one, has been remarkably resilient and its basic principles and procedural elements have remained salient throughout its meandering history. Collectively, we have been involved in the UN climate regime for more than a half century. During this time, we have benefited from countless conversations with colleagues working in academia, government, non-governmental groups, and international institutions, and have accumulated far too many debts to acknowledge fully. But we would like to thank, in particular, Harro van Asselt, Susan Biniaz, Chad Carpenter, Michael Zammit Cutajar, Chandrashekar Dasgupta, Elliot

Diringer, Navroz K. Dubash, Andrew Green, Andrew Higham, Jiirgen Lefevere,

Jane McAdam, Sebastian Oberthiir, Franz Perez, Bryce Rudyk, Christina Voight, over the Jacob Werksman, and Harald Winkler for their insights and friendship they had not years, and for their comments on some of the chapters of this book. If not have been given so generously of their knowledge and time, this book would Bayefksy, possible. We have also benefited from the dedicated support of Samuel

vi

Foreword

Jordan Brunner, Elizabeth Christy, Robert Hersch, Vyoma Jha, Evan Singleton, and Raag Yadava, whose exceptional research assistance was indispensable. In particular, we want to thank Shibani Ghosh, whose extraordinary eye for detail and tremendous research skills have enriched this work beyond measure. Finally, we are grateful to our loving and supportive families for their patience and good cheer as we worked to complete this manuscript and long workdays grew longer still. Daniel Bodansky Jutta Brunnée

Lavanya Rajamani February 2017

Table of Contents Table of Cases Table ofInternational Instruments and National Legislation List ofAcronyms 1. Introduction

3 Il.

Climate change as an intractable policy challenge Three perspectives on the climate change problem A. Climate change as an environmental problem B. Climate change as an economic problem C. Climate change as an ethical problem

Il.

Demarcating international climate change law The subject matter of international climate change law A. Mitigation B. Adaptation C. Finance

D. Oversight

Recurring themes in the UN climate regime A. Legal bindingness 1. Treaties

2. Decisions of parties 3. Political agreements B.

Architecture C. Differentiation

VI.

The broader context for international climate change law

Select Bibliography 2. Climate Change and International Law I. Il. Ill.

Introduction The sources of international law Key principles of international environmental law

A. The no-harm rule and related principles 1. Harm prevention and due diligence 2. Procedural obligations 3. Prevention and precaution Establishing state responsibility for violation of the no-harm rule 1. General considerations 2. Legal action for climate harm—some examples Invoking state responsibility for harm to the global commons oN_ Common concern and common but differentiated responsibilities and respective capabilities Precaution, sustainable development, and the intertemporal reach of international environmental law

Table of Contents IV.

Treaty-based approaches to environmental protection A. ‘Treaty development over time 1. The framework-protocol model 2. Institutionalization 3. Ongoing standard-setting processes B. Treaty design to induce participation C. Promotion of implementation and compliance 1. Emergence of the implementation and compliance focus 2. Modern multilateral environmental agreements and compliance

V. Conclusion Select Bibliography

3. Treaty-Based Law-Making: Rules, Tools, and Techniques I. — Introduction II. Treaties and treaty-based law-making A. What is a treaty? B. ‘Treaty negotiations 1. The pre-negotiation phase: issue, forum, and mandate 2. The negotiating process C. Adoption, signature, ratification, and entry into force of treaties D. Treaty development 1. New treaties to supplement the framework 2. Amendments 3. Decisions of the parties 4. Political agreements 5. Ambiguity, interpretation, and subsequent practice

III. Conclusion Select Bibliography . Evolution of the United Nations Climate Regime I. — Introduction II. Agenda-setting (1985-1990) III. Constitutional phase: negotiation and entry into force of the FCCC (1990-1995) IV. Regulatory phase: negotiation and elaboration of the kyoto protocol (1995-2005) V. Second constitutional phase: negotiating the future climate regime (2005-2016) A. B, C. D.

Bali Action Plan Copenhagen Accord Cancun Agreements Durban Platform and Doha Amendment

VI. Conclusion Select Bibliography

5. The Framework Convention on Climate Change I.

Introduction

Table of Contents II.

Overarching issues A. Legal bindingness B. Architecture C. Scope D. Differentiation

III.

Preamble, objective, and principles (Articles 2 and 3)

A. Preamble B. Objective (Article 2)

C. Principles (Article 3)

1. Background 2. Principle of common but differentiated responsibilities and respective capabilities 3. Precaution and cost-effectiveness 4. Sustainable development IV.

5. Supportive and open economic system Commitments (Articles 4-6 and 12) A. General commitments (Articles 4.1, 5, 6, and 12.1) B. Mitigation (Articles 4.1(b)—(d) and 4.2)

1. Targets and timetables 2. Comprehensive approach 3. Joint implementation . Adaptation (Articles 4.1(b) and (e), 4.8, and 4.9)

. Financial support (Articles 4.3 and 4.4) Technology transfer (Article 4.5)

V.

t) mmo Transparency (Articles 4.1(a) and 12) Institditeats (Articles 7—11) A. Conference of the Parties (Article 7) B. Secretariat (Article 8)

C. Subsidiary Body for Scientific and Technological Advice (Article 9) D. Subsidiary Body for Implementation (Article 10) E. Financial mechanism (Articles 11 and 21.3)

VI.

ix

119 119 120 120 121 123 123 125 126 126

127 128 129 129 130 130 131 ie Bd 133 134 135 137 140 141 141 142 143 144 145 145

Implementation and compliance mechanisms (Articles 7.2 and 12-14) Overview Reporting (Article 12) International review (Article 7.2)

148 148 149 151

. Multilateral consultative process to resolve questions regarding = Soe implementation (Article 13) E. Dispute settlement (Article 14)

VII.

Final clauses (Articles 15—25) A. Amendments, annexes, and protocols to the convention (Articles 15, 16, and 17)

B. Voting rights, signature, and ratification (Articles 18, 20, and 22) C. Entry into force (Article 23) D. Reservations and withdrawal (Articles 24 and 25)

VIII. Conclusion Select Bibliography

153 154 155 155 156 157 LD/ 158 158

Table of Contents

x

6. Kyoto Protocol Introduction i Overarching issues II.

II.

Legal bindingness Architecture . Scope . Differentiation OOPS 1. Differentiation between Annex I and non-Annex I parties 2. Differentiation within the category of Annex I parties 3. Voluntary commitments for developing countries Preamble and definitions (Article 1) Commitments (Articles 2, 3, 5, 7, 8, 10, and 11) A. General commitments B. Specific commitments for Annex I and Annex II parties 1. Policies and measures (Article 2)

2. Mitigation targets and timetables (Article 3) a) Legal character b) Differentiated targets

c) Collective target d) Base year e) Assigned amount units f) Sinks

V.

g) Multi-year commitment period h) Banking i) Joint fulfilment 3. Financial support (Article 11) Mechanisms (Articles 6, 12, and 17) A. Joint implementation (Article 6) B. Clean Development Mechanism (Article 12)

1. 2. 3. 4.

Additionality Sustainable development Project eligibility Project types a) Unilateral CDM b) Programmatic CDM c) Other project types 5. Equitable geographical distribution of CDM projects 6. Share of proceeds C. Emissions trading (Article 17)

D. Outlook

Reporting, review, and compliance (Articles 5, 7, 8, and 18) A. Reporting and review (Articles 5, 7, and 8) B. Compliance procedures and mechanisms 1. Context and goals 2. Triggers 3. The Compliance Committee and its process a) The facilitative branch b) The enforcement branch 4. Outlook

Table of Contents Institutions (Articles 13, 14, and 15)

. Multilateral consultative process (Article 16) Final clauses (Articles 19-28)

The second and future commitment periods of the Kyoto Protocol Conclusion Select Bibliography 7. Paris Agreement Introduction I. Il. Overarching issues A. Legal bindingness 1. Legal form of the 2015 agreement 2. Legal character of the provisions in the 2015 agreement Architecture . Scope . Differentiation OO 1. The CBDRRC principle in the Paris Agreement

2. Operationalizing the CBDRRC principle in the Paris Agreement a) Differentiation in mitigation b) Differentiation in transparency c) Differentiation in finance

Preamble Purpose (Articles 2 and 4.1) S25pecan (Article 4) A. Obligations in relation to nationally determined contributions (NDCs) B. Registering NDCs

C. Progression in NDCs D. Ambition cycle

Market-based approaches (Article 6) Adaptation (Article 7) VIL. Loss and damage (Article 8) Support (Articles 9, 10, and 11) A.

Finance

1. Financial commitments 2. Donor pool 3. Mobilization goal B. Technology C. Capacity-building Oversight system (Articles 13, 14, and 15) A. Transparency (Article 13) B. Global stocktake (Article 14) C. Implementation and Compliance Mechanism (Article 15)

XI. Institutions (Articles 16-19) XII. Final clauses (Articles 20—28) XIII. Next steps

Table of Contents

xii

XIV. Conclusion Select Bibliography

. Climate Governance beyond the United Nations Climate Regime Introduction I. Multi-level climate governance H. II. Public and private climate governance Climate governance by other multilateral institutions IV. A. Bunker emissions 1. International Maritime Organization 2. International Civil Aviation Organization Ozone-depleting substances Black carbon and other short-lived climate forcers . UN Security Council Informal political forums fw moo 1. Major Economies Forum on Energy and Climate 2. G-8/G-20 3. Bilateral initiatives

Sub-national climate governance

=

Judicial governance A. Functions of litigation B. Source of law C. Forum D. Assessment

VIL. Polycentric governance of the carbon market VIII. Polycentric governance and the UN climate change regime IX Conclusion Select Bibliography

249 250 258 258 260 264 266 268 268 270 273 L795 277 278 278 279 280 281 283 285 287 288 290 290 292 293 294

. Intersections between International Climate Change Law and Other Areas of International Law

I. II.

Introduction Climate change and human rights A. Introduction B. Distinguishing features of a human rights approach to climate change Cc . Advantages and disadvantages of a human rights approach to climate change D. Which human rights are affected by the impacts of climate change? 1. Extending the ambit of existing rights to address climate impacts 2. Recognizing a right to a healthy or clean environment E. Nature of duties 1. Types of duties 2. Duty holders 3. Duty beneficiaries F. Human rights implications of response measures G. Human rights in the UN climate regime

295 295 296 296 298

299 301 301 303 304 _ 304 307 308 308 309

Table of Contents Ill.

Climate change, migration, and displacement A. Introduction B,. Existing international protection 1. Internal displacement 2. Cross-border displacement a) International refugee law b) International human rights law c) Law relating to statelessness

C. Addressing gaps in protection D. Climate-induced displacement and migration in the UN climate regime

Climate change and trade A. The World Trade Organization B. GATT principles . Trade disciplines . Exceptions . The dispute settlement process Oo. The relationship between trade rules and climate wm protection measures a) Unilateral or multilateral measures? b) Direct and indirect trade restrictions Noe

c) The role of the ‘likeness’ standard

d) Criteria for assessing ‘likeness’ e) Processes and production methods (PPMs) and ‘likeness’

5. Trade-related climate measures a) Border adjustments b) Subsidies

C. Trade in the UN climate regime

Select Bibliography 10. Conclusion

I.

The evolution of international climate change law: A brief recap Distinctive features of international climate change law Effectiveness of international climate change law Looking ahead

xiii

313 313 33 315 318 318 320 321 322

325 327 328 330 331 332 333

334 334 336 338 338 339 341 342 343 347 349 ee 351 355 357 360 363

Table of Cases INTERNATIONAL

COURTS

AND TRIBUNALS

African Commission on Human and Peoples’ Rights Social and Economic Rights Action Centre (CERAC) and the Centre for Economic

and Social Rights (CESR) v Nigeria, Communication no 155/96 (27 October 2001) ES

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304

Arbitral Tribunals Lake Lanoux Arbitration (Spain v France) (1957) 12 RIAA 281........... cece eee eee eee 42 Trail Smelter Arbitration (United States y Canada) (1938 and 1941) 3 RIAA 1905 .......... 40-1

European Court of Human Rights Budayeva v Russia, App nos 15339/02, 21166/02, 20058/02, 11673/02, and 15343/02 (20 March 2008) ....... ee Pmemera: V Rien (2k) 59-EITRIG Dig ics: ys.

eee eee 301 «sip ns ss oo ss eee od 305

Dubetska and others v Ukraine, App no 30499/03 (10 February 2011) ...........0 005005. 301 meeenue w Mummememe?) 45) EHR IO... .. 1s serenees ssh 3) +5 ees 301 eeerra anc ocnemee Teaty-(1998) 26, RECNMS 57 |... . . «:s dgieemeee elspire «>>.» -halentiemelnmatsiniie oe: 301 meanente Unger Ranestom (2002) S4-REte Wg... 2. cae eres e+. oh TA SE emeesed 301

mumeetns v Geneeed 2009) 40 EHIRR 1G becits ics.» o.« +s bomglibigete ii y,+\- 4 io

ements > 6 5 302

muon unre came gh gee) 20 FEIN 277 ... cee ess s+ ++ +s me § 301 meena (omen ¥ Scat (2005) 41 ERRRERAD 1c... « «a «+ aiinditeaields > an 332, 337-8, 340-1, 343, 345-7 IE CHAPIN Guraine ass... 57, 145, 203 |g ORE Ses ee 104, 145-7, 179 ee 1S, FOO es 8 ws 16, 140, 147 mae 82 .. veseewer «104, 141, 148-50, 225 mat 12.33 2550 122, 130, 139, 141, 149, 194 BP RE oA 104, 122, 130, 141, 149 0 XS eee 149-50 ERAS s PPO OETS PS aly. 0 so STITT. 28 Oe Be oe ae Pe aeee 150 meeaS 5. SGCSe: 104, 149, 153-4, 201 ge eee 87, 149, 154~5, 212 Ae ss a Pree ar 155 0 a aN 8 eo or 118 oe ale oe ey 104, 143 he Se 87 OS eee 83, 87, 155, 162 ER Nt ret «era ae 89 a 2! ae 83, 87, 155-6, 219 OEE oa 87, 156 et are 89, 122 gt, Sy ee es) ae 88 MELE shceriedav ds »-86, 155-6, 162, 212 yy Sin opaia te ee 86 SID 2 PERM as 22ers 87, 156 vet: are 87, 156 POR TT or a 83 ee alee Ren > a pee 146 A, OF ery ee 145 EELS fog DUETS 6 ov renee 87, 156 pe es 9 ee eee 84 oie). oe re yr 157 EE oe > 9)ae re 85

XXxVii

Ast Fe. sO PROIIRIIT e e 87 I oy es oyee be kc cee 87, 157 AO Zs uae ee. ces VSR 87, 157, 248 Annee Ts bee ds ti 8, 20, 23, 25, 27-8, 85,

89-90, 103-4, 106, 109, 114, 120,

122-3, 128, 130, 132-5, 138-9, 141, 148-53, 160-1, 166-84, 187-91, 194, 196-8, 200, 205, 219, 225, 267-8, 272, 347, 352-5, 358 Arties, oo. te 16, 28, 89-90, 104, 122, 130, 135, 138-9, 141, 149,

158, 167, 169-70, 179, 240, 353 United Nations General Assembly, ‘New York Declaration for Refugees and Migrants’ (13 September ye Ve i re, : en

324

United Nations General Assembly Resolution 2398 (XXII), ‘Problems

of the Human Environment’ (3 December 1968) UN Doc A/RES/ 2398 (XXII) United Nations General Assembly Resolution 41/128, ‘Declaration on the Right to Development’ (4 December 1986) UN Doc A/ RES/41/128

United Nations General Assembly Resolution 43/53, ‘Protection of global climate for present and future generations of mankind’ (6 December 1988) UN Doc A/RES/

Le er ee 99,AZ3 United Nations General Assembly Resolution 44/228, ‘United Nations Conference on Environment and Development’ (22 December 1989) UN Doc A/RES/44/228 ..... 101 United Nations General Assembly Resolution 45/94, “Need to ensure a healthy environment for the well-being of individuals’ (14 December 1990) UN Doc A/RES/45/94 ....... 303 United Nations General Assembly Resolution 45/212, ‘Protection of global climate for present and future generations of mankind’ (21 December 1990) UN Doc A/ RES/45/212 ...73, 101-2, 119, 124, 292

United Nations General Assembly Resolution 58/177, ‘Protection of and Assistance to Internally Displaced Persons’ (12 March 2004) UN Doc A/ RES/58/177

XXVili

Table ofInternational Instruments and National Legislation

United Nations General Assembly Resolution 60/1, ‘2005 World Summit Outcome’ (24 October

2005) UN Doc A/RES/60/1 para 132 United Nations General Assembly Resolution 63/281, “Climate Change and its Possible Security Implications’ (11 June 2009)

UN Doc A/RES/63/281 Vienna Convention for the Protection of the Ozone Layer 1985 (adopted 22 March 1985, entered into force 22 September 1988) 1513 UNTS 293... «14, 65, 120; 273;275, 352 Vienna Convention on the Law of Treaties 1969 (adopted 23 May 1969, entered

into force 27 January 1980) 1155 LUNES Sales Seat so ockape 72-3, 211 Art 2 iG

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