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Forests, Carbon & Rights: The Transnational Legal Process for REDD+ and the Rights of Indigenous Peoples and Local Communities

机译：森林，碳与权利：针对REDD +的跨国法律程序以及土著人民和地方社区的权利

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摘要

Since 2007, an extensive array of public and private actors and initiatives has supported the global development and domestic implementation of a new mechanism that would channel climate finance from North to South in order to reduce carbon emissions from deforestation and forest degradation in developing countries (REDD+). Given its technocratic focus on carbon sequestration and its potential to generate new funds for forest governance in developing countries, numerous scholars and practitioners have expressed concerns that the design and implementation of REDD+ activities might marginalize the interests and perspectives of local populations and dispossess them of their traditional rights to forests, lands, and resources.;This dissertation focuses on the causes and effects of the human rights .standards that have been incorporated across a range of REDD+ initiatives and activities around the world. Conceptualizing REDD+ as a transnational legal process entailing the construction and conveyance of legal norms across sites and levels of law that transcend the traditional territorial boundaries of sovereign states, I seek to answer two important questions. First, why and how have legal norms relating to the rights of Indigenous Peoples and local communities been constructed and conveyed across multiple international and transnational sites of law for REDD+? Second, how and to what extent have these legal norms been constructed and conveyed through various REDD+ activities carried out at the national and local levels in developing countries?;I propose an interdisciplinary theoretical framework anchored in a pluralist understanding of law and focused on the role of causal mechanisms in the construction and conveyance of legal norms within and across sites of law. Moreover, I employ a qualitative method known as explaining-outcome process-tracing to account for the spread and effects of rights across multiple sites of law for REDD+ from 2005 to 2014, specifically including: the United Nations Framework Convention for Climate Change, the Climate, Community & Biodiversity Alliance, Indonesia, and Tanzania.This dissertation yields five important findings. First, the emergence of REDD+ functioned as something of an exogenous shock across multiple sites of law that disrupted the traditional patterns of the development and implementation of legal norms relating to the rights of Indigenous Peoples and local communities. Although it was far from being a panacea, REDD+ provided meaningful opportunities for actors to convey and construct these rights across these various sites of law. This did not lead to the transplantation of rights, but resulted instead in the construction of new hybrid legal norms that reflected the resilience and mediating influence of sites of law.;Second, the trajectories through which actors conveyed and constructed rights across different sites of law entailed multiple causal mechanisms. The pluralism of the transnational legal process for REDD+ made it possible for multiple public and private actors to exert influence, from above and from below, across multiple sites of law that offered different opportunities for the conveyance and construction of rights. Third, the conveyance and construction of rights in the context of REDD+ was facilitated by broader developments relating to the global emergence of Indigenous rights, the growing relevance of human rights to the fields of climate change and conservation, and processes of democratization in Indonesia and Tanzania.;Fourth, the recognition and implementation of the participatory rights of Indigenous Peoples and local communities (such as rights to full and effective participation or to free, prior, and informed consent) appears to have been relatively more effectual than the recognition and implementation of their substantive rights (such as rights to forests, land tenure, and resources or to livelihoods). This disparity in outcomes gives some credence to the expectations of critical scholars regarding the limitations of REDD+ for the promotion of rights.;Fifth, the implications of REDD+ for human rights are paradoxical in two important ways. For one thing, there appears to be an underlying tension between the appreciation of the distinctive rights and status of Indigenous Peoples and the progressive recognition and expansion of the rights of forest-dependent communities. For another, the underlying ineffectiveness of REDD+ as a policy instrument seemingly provided unexpected opportunities for the recognition and protection of the rights of Indigenous Peoples and local communities.;Given that issues relating to the rights of Indigenous Peoples and local communities speak to larger debates about the objectives, challenges, and opportunities associated with REDD+, this dissertation enhances scholarly understanding of the law and governance REDD+. Lastly, it also speaks to the broader literature on the nature, influence, and legitimacy of transnational legal processes in a globalizing world.
机译：自2007年以来，广泛的公共和私人行为者和举措为全球发展和国内实施了一种新机制提供了支持，该机制将从北到南引导气候融资，以减少发展中国家的森林砍伐和森林退化所产生的碳排放（REDD + ）。鉴于其对碳固存的技术专长以及其为发展中国家的森林治理筹集新资金的潜力，许多学者和实践者表示关切的是，REDD +活动的设计和实施可能会边缘化当地居民的利益和观点，并抛弃他们对当地居民的兴趣。传统的森林，土地和资源权利。本论文着眼于人权标准的起因和影响，这些标准已被世界各地的各种REDD +倡议和活动所采用。我将REDD +概念化为跨国法律程序，要求跨超越主权国家传统领土边界的法律站点和法律水平来构建和传达法律规范，我试图回答两个重要问题。首先，为什么以及如何在关于REDD +的多个国际和跨国法律地点建立并传达与土著人民和地方社区的权利有关的法律规范？其次，如何通过在发展​​中国家的国家和地方各级开展的各种REDD +活动来构建和传达这些法律规范？在什么程度上，我提出了一个跨学科的理论框架，该框架以对法律的多元理解为基础，并着重于其作用。因果机制在法律站点内部和跨法律站点的构建和传递法律规范中的作用。此外，我采用定性方法（称为解释结果过程跟踪）来说明2005年至2014年间REDD +的多个法律站点之间权利的传播和影响，具体包括：《联合国气候变化框架公约》， ，印度尼西亚和坦桑尼亚的社区与生物多样性联盟。本论文得出了五个重要发现。首先，REDD +的出现是跨多个法律站点的外来冲击，它破坏了与土著人民和地方社区权利有关的法律规范的传统发展和实施模式。尽管REDD +并非万能药，但它为行为者提供了有意义的机会，使他们可以跨这些不同的法律领域传达和构建这些权利。这并没有导致权利的移植，反而导致了新的混合法律规范的构建，这些法律规范反映了法律场所的弹性和中介影响力。第二，行为者在不同法律场所之间传播和建构权利的轨迹需要多种因果机制。 REDD +跨国法律程序的多元化，使多个公共和私人行为体有可能在法律的多个站点上，从下到上施加影响，这些站点为权利的传递和构建提供了不同的机会。第三，在REDD +背景下的权利的传递和建设受到与土著权利的全球兴起，人权在气候变化和保护领域的日益重要以及印度尼西亚和坦桑尼亚的民主化进程有关的广泛发展的推动第四，承认和实施土著人民和地方社区的参与权（例如获得充分和有效参与或获得自由，事先和知情同意的权利）似乎比承认和执行以下权利相对有效。其实质性权利（例如森林，土地保有权，资源或生计的权利）。结果上的这种差异使批判学者对REDD +在促进权利方面的局限性有了一定的信任。第五，REDD +对人权的影响在两个重要方面是矛盾的。一方面，在欣赏土著人民独特的权利和地位与逐步承认和扩大依赖森林的社区的权利之间似乎存在着潜在的张力。另一个原因是，REDD +作为政策工具的潜在低效似乎为承认和保护土著人民和当地社区的权利提供了意想不到的机会。;鉴于与土著人民和当地社区的权利有关的问题，引发了关于通过与REDD +相关的目标，挑战和机遇，本文增强了学术界对REDD +的法律和治理的理解。最后，它也向更广泛的文学讲述自然，影响，以及全球化世界中跨国法律程序的合法性。

著录项

  • 作者

    Jodoin, Sebastien.;

  • 作者单位

    Yale University.;

  • 授予单位 Yale University.;
  • 学科 Law.;International relations.
  • 学位 Ph.D.
  • 年度 2015
  • 页码 487 p.
  • 总页数 487
  • 原文格式 PDF
  • 正文语种 eng
  • 中图分类
  • 关键词

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