适应气候变化政策机制的国际经验与启示

中国高度重视适应气候变化工作,实行减缓与适应并重的应对气候变化原则,已出台适应气候变化相关的战略、规划等一系列政策文件。但总体来看,中国适应气候变化政策与行动尚处于起步阶段,面临着法规制度缺位、监测评估不足、组织协调机制不完善等挑战,适应气候变化政策的类型、数量和力度都明显弱于减缓。为完善中国适应气候变化政策与机制的框架设计,文中梳理了相关研究、《联合国气候变化框架公约》下的适应气候变化国际机制及主要国家经验,提出了一套完整闭环的适应气候变化核心决策流程及关键支撑机制,并重点从开展法制建设、制定适应战略（计划）、建立监测评估机制、构建协调机制和完善资金机制等五方面,归纳了主要国家的经验与启示,最终研究提出完善我国适应气候变化政策与机制框架设计的建议,包括加快建立和完善适应气候变化法制建设、加快构建国家适应气候变化的政策体系、加快完善国家适应气候变化的机制设计、加强适应气候变化支撑能力建设、推动适应气候变化的国际合作等。     

Climate policy innovation in the South – Domestic and international determinants of renewable energy policies in developing and emerging countries

This article attempts to disentangle the determinants of the adoption of renewable energy support policies in developing and emerging countries. By analyzing policies already implemented in industrialized countries, we focus on the diffusion but not the invention of climate-relevant policies. We look at four different types of policies (renewable energy targets, feed-in tariffs, other financial incentives and framework policies) and consider both domestic factors and international diffusion mechanisms utilizing a discrete-time events history model with a logit link on a self-compiled dataset of grid-based electricity policy adoption in 112 developing and emerging countries from 1998 to 2009. In general, we find stronger support for the domestic determinants of policy adoption, but also substantial influence of international factors. Countries with a larger population and more wealth have a higher probability of adopting renewable energy policies. Only in some specific cases do natural endowments for producing renewable energy encourage governments to adopt policies, and hydro power resources even correlate negatively with the adoption of targets. Among the international determinants, emulation from colonial peers and membership within the EU seem to facilitate policy adoption. International climate finance is less relevant, as the Global Environmental Facility and the Clean Development Mechanism may only increase the adoption of frameworks and targets, but they have no influence on tariffs and incentives.     

What drives national adaptation? A global assessment

That the climate is changing and societies will have to adapt is now unequivocal, with adaptation becoming a core focus of climate policy. Our understanding of the challenges, needs, and opportunities for climate change adaptation has advanced significantly in recent years yet remains limited. Research has identified and theorized key determinants of adaptive capacity and barriers to adaptation, and more recently begun to track adaptation in practice. Despite this, there is negligible research investigating whether and indeed if adaptive capacity is translating into actual adaptation action. Here we test whether theorized determinants of adaptive capacity are associated with adaptation policy outcomes at the national level for 117 nations. We show that institutional capacity, in particular measures of good governance, are the strongest predictors of national adaptation policy. Adaptation at the national level is limited in countries with poor governance, and in the absence of good governance other presumed determinants of adaptive capacity show limited effect on adaptation. Our results highlight the critical importance of institutional good governance as a prerequisite for national adaptation. Other elements of theorized adaptive capacity are unlikely to be sufficient, effective, or present at the national level where national institutions and governance are poor.     

Interface bureaucrats and the everyday remaking of climate interventions: Evidence from climate change adaptation in Zambia

When climate change policies are implemented in practice, they travel through the hands of a range of practitioners who not only mediate but also potentially transform climate interventions. This article highlights the role of a group of actors whose practices have so far received little attention in the study of climate change governance, namely the public servants who are responsible for the everyday implementation of national climate change policies and associated programmes on the ground. Situated at the frontline of the state and often engaging directly with citizens, these “interface bureaucrats” occupy a complex position in which they must balance their role as representatives of the state with the need to accommodate the pressures, interests and practical challenges associated with everyday policy implementation. In this article we examine how interface bureaucrats in Zambia seek to navigate this role as they go about implementing national climate change adaptation policies in practice, and what this means for the nature and outcome of these interventions. We identify key dilemmas of the interface bureaucrats in our study areas, namely (i) intervening with limited reach, (ii) implementing generic policies, and (iii) managing conflicting interests. We show how they address these dilemmas through highly pragmatic practices involving informal agreements with community members, discretionary adjustments of official policies, and negotiation of contested interventions. As a result, the nature and outcomes of climate change adaptation interventions end up differently from the official policies and the underlying governance interests of the central state. Our findings suggest a need for greater attention to the role of interface bureaucrats as everyday climate policy makers and point to the significance of pragmatism and compromise in the interaction between state actors and citizens in environmental interventions.     

National-level factors affecting planned,public adaptation to health impacts of climate change

Our understanding of whether adaptive capacity on a national level is being translated into adaptation policies, programs, and projects is limited. Focusing on health adaptation in Annex I Parties to the UNFCCC, we examine whether statistically significant relationships exist between regulatory, institutional, financial, and normative aspects of national-level adaptive capacity and systematically measured adaptation. Specifically, we (i) quantify adaptation actions in Annex I nations, (ii) identify potential factors that might impact progress on adaptation and select measures for these factors, and (iii) calculate statistical relationships between factors and adaptation actions across countries. Statistically significant relationships are found between progress on adaptation and engagement in international environmental governance, national environmental governance, perception of corruption in the public sector, population size, and national wealth, as well as between responsiveness to health vulnerabilities, population size and national wealth. This analysis contributes two key early empirical findings to the growing literature concerning factors facilitating or constraining adaptation. While country size and wealth are necessary for driving higher levels of adaptation, they may be insufficient in the absence of policy commitments to environmental governance. Furthermore, governance and/or incentive frameworks for environmental governance at the national level may be an important indicator of the strength of national commitments to addressing health impacts of climate change.     

Policy innovation in a changing climate: Sources,patterns and effects

States have been widely criticized for failing to advance the international climate regime. Many observers now believe that a “new” climate governance is emerging through transnational and/or local forms of action that will eventually plug the resulting governance gaps. Yet states, which remain oddly absent from most discussions of the “new” governance, will remain key players as governance becomes more polycentric. This paper introduces a special issue that explores the ability of states to rise to these interconnected challenges through the analytical prism of policy innovation. It reveals that policy innovation is much more multi-dimensional than is often thought; it encompasses three vital activities: invention (centering on the ‘source’ of new policy elements), diffusion (that produces different ‘patterns’ of policy adoption), and the evaluation of the ‘effects’ that such innovations create in reality. The papers, which range from qualitative case studies to large ‘n’ quantitative studies, offer new insights into the varied roles that states play in relation to all three.They show, for instance that: the policy activity of states has risen dramatically in the past decade; that state innovation is affected to similar degrees by internal and external factors; and that policies that offer flexibility to target groups on how to meet policy goals are most effective but that voluntary reporting requirements are ineffective. This paper draws upon these and many other insights to offer a much more nuanced reflection on the future of climate governance; one that deservedly puts states at the front and center of analysis.     

《巴厘行动计划》以来适应气候变化谈判进展及未来需求分析

回顾了《巴厘行动计划》以来形成的与适应气候变化议题相关的国际决议及谈判进展,分析了这些决议对推动发展中国家适应气候变化进程的可能作用和面临的障碍,综述了发展中国家和发达国家对“2015气候协议”的利益诉求和建议。作者认为：《巴厘行动计划》以来,《联合国气候变化框架公约》下适应气候变化方面的谈判取得了较明显的进展,建立了适应委员会、国家适应计划进程和应对损失与危害的国际机制等;资金、技术研发、推广和使用、政策法规、机构设置与能力、信息等是提高发展中国家适应气候变化的限制因素;资金、技术转让和能力建设仍是“2015气候协议”谈判的重点和难点。针对非洲集团和小岛屿国家联盟全球适应目标和应对气候变化造成的损失与危害的补偿的提议,作者建议加强科学研究,开发评估方法和工具,探讨气候自然变率和人类活动导致的气候变化影响的归因;同时建议中国进一步加强适应气候变化的南南合作。     

Integration of ecosystem-based adaptation to climate change policies in Viet Nam

There is growing recognition of the importance of ecosystem-based approaches for adaptation to climate change—it is a cost-effective measure that has multiple benefits and can overcome many of the drawbacks of more common engineering adaptation options. Viet Nam has a rich biodiversity and is also one of the most vulnerable countries impacted by climate change. Climate change policies have been adopted at national and local levels as well as by sector, making Viet Nam one of the nations to most systematically fulfill their obligation under the United Nations Framework Convention on Climate Change. Consequently, we have used Viet Nam as a case study, to assess the integration of ecosystem-based approach to adaptation to climate change. We found that ecosystem-based adaptation is being implemented in some projects but, overall, is inadequately considered by Viet Nam’s climate change policies. Instead, policies predominantly rename infrastructure projects as climate change adaptation and focus on hard solutions for disaster reduction, rather than responding to long-term climate change through ecosystem-based adaptation. Moreover, ecosystem-based adaptation projects have focused on only a few relevant types of ecosystems. Viet Nam should revise its existing climate change policies and sectoral strategies to integrate ecosystem-based adaptation across different scales of governance. As other nations develop adaptation policies at different scales, the lesson from Viet Nam is that engineering measures need to be balanced with ecosystem-based adaptation for more affordable and effective responses to climate change.     

Diffusion of global climate policy: National depoliticization,local repoliticization in Turkey

Although climate policy diffusion is widely studied, we know comparatively little about how these global policies and the norms that surround them are used by various political actors seeking to advance their own agendas. In this article, we focus on how global climate norms are diffused differently at national and local scales and used to repoliticize or depoliticize climate change. We focus on the case of Turkey, which carries the stark contrast of showing willingness to achieve global climate goals in the international arena but less so in domestic politics and actions. The article employs a novel methodological approach, using topic modeling and network analyses on a range of climate change–related policy documents, and interviews with high-level officers, conducted at the three jurisdictional levels in Turkey. The findings reveal that although global climate policy is diffused to both national and local governments, it is used in different ways at these levels. The national government uses climate policy diffusion to depoliticize climate change by creating ad hoc climate coalitions and limiting local climate actions to seeking external climate-related funds. Meanwhile, the metropolitan municipalities replicate nationally adopted climate goals, whereas the district municipalities domesticate ambitious climate norms and repoliticize climate change via local climate entrepreneurs and civic action. The paper contributes to understanding how climate policy diffusion and norm domestication can have different political outcomes in achieving global climate goals and argues for increased policy attention to the strategic use of climate policy diffusion for the depoliticization of climate change.     

Domestic politics and the diffusion of international policy innovations: How does accommodation happen?

What happens to policy innovations after they have been adopted? What factors account for subsequent changes to these policies? These are the research questions guiding this study on the spread of and subsequent changes to limit values for nitrogen oxide emissions from large combustion plants. By comparing the processes of diffusion and follow-up policy changes, we assess whether and how policy innovations translate into policy making. In so doing, we build on the literature on the determinants of policy diffusion and transfer. We employ original data on instances of policy adoption and policy change in 24 Organisation for Economic Co-operation and Development (OECD) countries over a period of thirty years (1976–2005). The data are analysed using semi-parametric event-history models. Our empirical findings show that both international and domestic factors account for the observed variation in our data regarding both first-time adoptions and post-adoption modifications. The results reveal that the subsequent tightening of emission standards faces greater obstacles than their mere diffusion (i.e., policy adoption). While international factors and supranational integration appear to impede the subsequent tightening of existing policies, international peer pressure is a strong predictor of an on-going regulatory commitment. Overall, adoption and accommodation processes seem to follow distinctive patterns, suggesting that a promising strategy in policy innovation research would involve differentiation between the first-time adoption and subsequent modification of policies.     

Advising national climate policy makers: A longitudinal analysis of the UK Climate Change Committee

Despite the recent proliferation of national climate change advisory bodies, very little is known about what advice they provide, to whom, and when. To address these gaps in the literature, this article systematically analyses all 700 of the recommendations made by the UK Climate Change Committee (CCC) in the period 2009–20. The CCC is one of the oldest climate change advisory bodies of its kind in the world and its design has been widely emulated by other countries. For the first time, this article documents how the CCC’s mitigation and adaptation recommendations have changed over time with respect to their addressee, sectoral focus and policy targets. It reveals that they became: more numerous per year; more cross-sectoral in their nature; clearer in targeting a specific addressee; and more focused in referring to specific policy targets. By drawing on Fischer’s synthesis of policy evaluation to derive a measure of policy ambition, it also reveals that despite many of its recommendations being repeated year after year, the CCC has become more willing to challenge the policy status quo. It concludes by identifying future research needs in this important and fast-moving area of climate governance, notably understanding the conditions in which the recommendations of advisory bodies (do not) impact national policy.     

Europe adapts to climate change: Comparing National Adaptation Strategies

For the last two decades, European climate policy has focused almost exclusively on mitigation of climate change. It was only well after the turn of the century, with impacts of climate change increasingly being observed, that adaptation was added to the policy agenda and EU Member States started to develop National Adaptation Strategies (NASs). This paper reviews seven National Adaptation Strategies that were either formally adopted or under development by Member States at the end of 2008. The strategies are analysed under the following six themes. Firstly, the factors motivating and facilitating the development of a national adaptation strategy. Secondly, the scientific and technical support needed for the development and implementation of such a strategy. Thirdly, the role of the strategy in information, communication and awareness-raising of the adaptation issue. Fourthly, new or existing forms of multi-level governance to implement the proposed actions. Fifthly, how the strategy addresses integration and coordination with other policy domains. Finally, how the strategy suggests the implementation and how the strategy is evaluated. The paper notes that the role of National Adaptation Strategies in the wider governance of adaptation differs between countries but clearly benchmarks a new political commitment to adaptation at national policy levels. However, we also find that in most cases approaches for implementing and evaluating the strategies are yet to be defined. The paper concludes that even though the strategies show great resemblance in terms of topics, methods and approaches, there are many institutional challenges, including multi-level governance and policy integration issues, which can act as considerable barriers in future policy implementation.     

National ownership in the implementation of global climate policy in Uganda

Abstract

This article explores the history, from a developing country perspective, of how external interventions to implement global policies on the Climate Convention and the Clean Development Mechanism (CDM) have been integrated into national development policy frameworks in the period 1990–2005. The main question asked is to what extent external interventions have formed part of a country-driven approach in Uganda. The conflicting national and global priorities concerning the need for adaptation to the impacts of climate change versus the need for global mitigation of greenhouse gases (GHGs) are explored first. Against this background, Uganda's policy response to climate change is reviewed. National climate policies are found not to exist, and the implementation of global policies is not integrated into national policy frameworks, partly due to conflicting national and global priorities. Given limited national awareness and the fact that climate policy is marginal compared to other national interests in Uganda, the experiences with donor support for the implementation of global climate policy nationally are analysed. This article demonstrates that neither national policies nor national management of donor support have secured a country-driven approach to external interventions in Uganda.     

The quiet opposition: How the pro-economy lobby influences climate policy

The lack of ambitious climate change policies in large anglophone countries, such as the United States, has been explained by the strong media presence of denialist arguments against climate science. Such counterarguments are less visible in the news media of most European countries. Why do many of these countries nevertheless fail to enact ambitious climate change policies? This paper suggests that influential organizations may block ambitious climate change policies in corporatist countries without an extensive media strategy or a strong denialist message. We draw from theories on the policy process, policy networks, influence strategies, and comparative politics to formulate hypotheses about the existence, influence, and strategies of organizations that oppose ambitious climate policy. We test these hypotheses using an original combination of media data and survey data on the national climate policy network in Finland, a corporatist European country that has long lacked ambitious climate policies. The findings show that a coalition that prioritizes economic competitiveness over climate change mitigation is influential and occupies a central position in the policy network. This pro-economy lobby does not question the validity of climate science or actively seek media visibility. Rather, it influences the policy process using other strategies, such as inside lobbying, and appears in the news media less often than other climate policy organizations. Our results suggest that opponents of climate change mitigation can be powerful despite a weak media presence. This implies that studies on climate politics should pay more attention to strategies of influencing beyond the media spotlight.     

国际适应气候变化政策保障体系建设

适应气候变化政策体系由适应气候变化行动方案、保障体制、保障机制和保障法制4个部分组成,是为了提高国家或地区的适应能力以及达成适应目标而形成的政策体系。在对国家气候变化适应政策进行调研的基础上,系统梳理了欧盟、美国、日本、俄罗斯及印度等主要国家和组织所采取的适应气候变化政策保障体系,总结了国际适应气候变化政策保障体系对中国的经验启示。     

气候变化影响和适应认知的演进及对气候政策的影响

通过分析IPCC第二工作组的5次评估报告对气候变化影响、适应的主要结论和方法的演进、原因以及对国际适应谈判和国家适应政策的影响,指出由于文献的迅速增加,影响评估方法和适应技术手段的不断成熟,以及思维的转变和意识的逐渐增强,IPCC进一步确认了气候变化已经并将继续对自然生态系统和人类社会产生广泛而深刻的影响;未来社会经济发展路径、适应和减缓行动以及风险治理将影响气候变化带来的风险。IPCC报告极大地推动了国际和各国适应气候变化科学研究和政策实践的进程。尽管中国各级各部门已逐渐将适应融入到相关政策中,但仍然存在认识、能力、体制机制等问题,需要进一步推进国家和各地的适应工作。     

国际气候治理中的公正转型议题：概念辨析与治理进展

国际气候治理中的公正转型议题涉及就业、关乎民生,是各国都很关注的政策领域之一,因此也被视为是支持应对气候变化的一种重要社会机制。近年来,国际社会积极推动建设气候治理公正转型制度体系,各国也在所制定的国家应对气候变化战略和规划中越来越多地提出与公正转型和就业相关的目标与措施。公正转型议题在国际气候治理进程中主流化的趋势给中国参与和引领全球气候治理带来了新的机遇与挑战。中国应加强关于该问题的基础性研究;在国内应对气候变化的行动中充分考虑该问题,保障受影响就业群体获得社会公正对待;总结具体实践经验;在政策领域协调上做好新的布局;积极参与《联合国气候变化框架公约》下公正转型治理体系的构建中。     

Alleviating barriers to urban climate change adaptation through international cooperation

International cooperation on climate change adaptation is regarded as one of the major avenues to reduce vulnerability in developing countries. Nevertheless, it remains unclear which design properties of international arrangements match with specific problems in local adaptation processes. This paper analyses conditions and institutional design options under which international cooperation can facilitate climate adaptation in urban areas in developing countries. We conduct a qualitative meta-analysis of empirical evidence from 23 cases. Using the archetype approach, we identify re-appearing barriers and change factors in urban squatter settlements and municipal public sectors in developing countries. We characterise five generic modes of international cooperation for climate adaptation based on UNFCCC documents, process observation, and literature review. Combining these analyses, we develop testable propositions that explain how specific design options of international arrangements can alleviate barriers and make use of change factors for urban adaptation in developing countries. We find, first, that international cooperation has the most potential to tackle adaptation barriers in squatter settlements if its institutional mechanisms support improvements of procedures and rights in localised state–society interactions. Second, national or regional centres of competence may foster endogenous dynamics in municipal public sectors. Third, national adaptation policies can enable and incentivise municipal adaptation. Fourth, flexible indicators of adaptation benefits are instruments to tailor international decision making and monitoring systems to local needs. We conclude that these insights, the archetypes approach, and a multi-level study design can be used to advance research on international cooperation, barriers, and success factors for climate change adaptation.     

CDM potential in the power-generation and energy-intensive industries of China

Reducing emissions from deforestation and forest degradation (REDD+) has emerged as an important carbon governance mechanism. However, forest governance is weak in most REDD+ countries, which undermines efforts to establish REDD+. This study analyses the factors that enable national REDD+ processes in the context of weak governance using a two-step ‘qualitative comparative analysis’ (QCA) of 12 REDD+ countries. Assuming that actor-related factors can be effective only if certain institutional preconditions are met, six factors were divided into two categories that were analysed separately: institutional setting (pressure from forest-resource shortage; forest legislation, policy, and governance; already initiated policy change) and the policy arena (national ownership; transformational coalitions; inclusiveness of the policy process). The factors were analysed to determine their role in efforts to establish comprehensive REDD+ policies that target transformational change. The results reveal path dependencies and institutional stickiness in all the study countries. Only countries already undertaking institutional change have been able to establish REDD+ policies in a relatively short period – but only in the presence of either high pressure from forest-resource shortages or key features of effective forest legislation, policy, and governance. Furthermore, where an enabling institutional setting is in place, the policy arena conditions of national ownership and transformational coalitions are crucial.Policy relevance Although the aim of REDD+ is to provide performance-based payments for emissions reductions, the outcomes in terms of actual emission reductions or co-benefits are not yet observable. Most REDD+ countries are still at the design and implementation stage for policies and measures. Indicators and criteria to measure progress in this phase are required to identify which factors enable or hinder countries' performance in delivering necessary policy change to provide targeted financial incentives to support countries' efforts. This study analyses the factors that shape national REDD+ processes in the context of weak governance using a two-step QCA of 12 REDD+ countries. The results show a set of enabling conditions and characteristics of the policy process under which REDD+ policies can be established. These findings may help guide other countries seeking to formulate REDD+ policies that are likely to deliver efficient, effective, and equitable outcomes.