«ENVIRONMENTAL RESEARCH OF THE FEDERAL MINISTRY FOR THE ENVIRONMENT, NATURE CONSERVATION, BUILDING AND NUCLEAR SAFETY Project No. (FKZ) 3711 11101 ...»

CLIMATE CHANGE

14/2014

Options and Proposals

for the International

Governance of

Geoengineering

CLIMATE CHANGE 14/2014

ENVIRONMENTAL RESEARCH OF THE

FEDERAL MINISTRY FOR THE

ENVIRONMENT, NATURE CONSERVATION,

BUILDING AND NUCLEAR SAFETY

Project No. (FKZ) 3711 11101

Report No. (UBA-FB) 001886/E

Options and Proposals for the International Governance of Geoengineering by Ralph Bodle, Sebastian Oberthür (Lead authors), Lena Donat, Gesa Homann, Stephan Sina, Elizabeth Tedsen (contributing authors) Ecologic Institute, Berlin On behalf of the Federal Environment Agency (Germany) Imprint

Publisher:

Umweltbundesamt Wörlitzer Platz 1 06844 Dessau-Roßlau Tel.: 0340/2103-0 Telefax: 0340/2103 2285 info@umweltbundesamt.de Internet: www.umweltbundesamt.de http://fuer-mensch-und-umwelt.de/ www.facebook.com/umweltbundesamt.de www.twitter.com/umweltbundesamt

Study performed by:

Ecologic Institute, Pfalzburger Str. 43/44, 10717 Berlin, Germany

Study completed in:

Edited by:

Section I 1.3 Environmental Law Friederike Domke

Publikation as pdf:

http://www.umweltbundesamt.de/publikationen/options-proposals-for-theinternational-governance ISSN 1862-4359 Dessau-Roßlau, June 2014 Options and Proposals for the International Governance of Geoengineering Abstract The debate about geoengineering as a potential option for climate policy is gaining attention at the policy interface. In this research project for the German Federal Environment Agency, Ecologic Institute develops specific proposals for the governance of the main currently discussed geoengineering concepts at the international level. Based on a comprehensive analysis of the existing regulatory framework and its gaps, the study identifies general options and specific recommended actions for the effective governance of geoengineering. A key consideration is that the recommendations can be implemented in practice. First, the study explores whether and to what extent it is useful and feasible to have a single definition of geoengineering for governance purposes. It then analyses the existing governance of geoengineering in international law, with a brief overview of EU and German law. On this basis, it develops specific regulatory options and proposals. We analyse why governance of geoengineering should be pursued and develop specific proposals how such governance should be designed. We first make explicit the objectives and functions that governance of geoenginering is to fulfil. The geoengineering debate for the most part has not addressed this issue. Second, we derive core elements of appropriate governance design from these objectives and criteria. Third, we assess which geoengineering techniques require international governance on the basis of the objectives and criteria. Fourth, we identify governance gaps where the existing international framework does not correspond to our proposed core governance elements. Fifth, we make proposals to fill the governance gaps.

Kurzbeschreibung Die Diskussion um Geoengineering als mögliche Option der Klimapolitik gewinnt zunehmend Aufmerksamkeit an der Schnittstelle zwischen Wissenschaft und Politik. In diesem Forschungsprojekt für das Umweltbundesamt entwickelt das Ecologic Institut konkrete Vorschläge für die Governance der gegenwärtig diskutierten Geoengineering-Konzepte auf internationaler Ebene. Auf Grundlage einer umfassenden Analyse des bestehenden Regelungsrahmens und seiner Lücken entwickelt diese Studie allgemeine Optionen und konkrete Handlungsempfehlungen für die wirksame Governance von Geoengineering. Ein zentrales Anliegen ist, dass die Empfehlungen praktisch umsetzbar sind. Die Studie erörtert zunächst, ob und inwieweit es sinnvoll und durchführbar ist, eine einzige Definition von Geoengineering als Grundlage von Governance zu nehmen. Sie untersucht die bestehende Governance von Geoengineering im internationalen Umweltrecht, und gibt einen kurzen Überblick des EU und deutschen Rechts. Auf dieser Grundlage entwickelt sie konkrete Regulierungsoptionen und -vorschläge. Wir analysieren, warum Governance von Geoengineering angestrebt werden sollte, und entwickeln konkrete Vorschläge, wie solche Governance gestaltet werden sollte. Wir legen zuerst ausdrücklich die Ziele und Kriterien dar, die die Governance von Geoengineering erfüllen soll. Die bisherige Diskussion zu Geoengineering hat sich meist nicht damit befasst. Zweitens leiten wir aus diesen Zielen und Kriterien Kernelemente einer angemessenen Governancestruktur ab. Drittens bewerten wir auf Grundlage der Ziele und Kriterien, für welche Geoengineering-Konzepte internationale Governance erforderlich ist. Viertens identifizieren wir Regelungslücken, wo der bestehende internationale Regelungsrahmen nicht den von uns vorgeschlagenen Kernelementen der Governance entspricht. Fünftens machen wir Vorschläge, wie diese Governancelücken auszufüllen sind.

Options and Proposals for the International Governance of Geoengineering Options and Proposals for the International Governance of Geoengineering Table of Contents Table of Contents

List of Abbreviations

1 Summary

1.1 Definition of geoengineering

1.2 The existing legal framework

1.2.1 International Law

1.2.2 Conclusions on existing international governance

1.2.3 European Law and German Law

1.3 Regulatory options and proposals

2 Zusammenfassung

2.1 Definition von Geoengineering

2.2 Der bestehende Regelungsrahmen

2.2.1 Völkerrecht

2.2.2 Bewertung bestehender internationale Governance

2.2.3 Europäisches und deutsches Recht

2.3 Regelungsoptionen und -vorschläge

3 Introduction

4 Definition of geoengineering

4.1 Definitional context

4.2 Existing definitions

4.3 Activity

4.4 Intent

4.5 Purpose

4.6 Scale

4.7 Conclusions

5 The existing legal framework

5.1 International Law

5.1.1 Introduction

5.1.2 Cross-cutting general rules

5.1.3 Stratospheric aerosol injection

5.1.4 Cloud brightening from ships

5.1.5 Desert reflectors

5.1.6 Installations in outer space

Options and Proposals for the International Governance of Geoengineering

5.1.7 Carbon capture and storage

5.1.8 Ocean liming

5.1.9 Ocean biomass storage

5.1.10 Biomass and biochar

5.1.11 Enhanced weathering

5.1.12 Carbon capture from air (‚artificial trees‘)

5.2 European Law and German Law

5.2.1 Introduction

5.2.2 Cross-cutting general rules

5.2.3 Stratospheric aerosol injection

5.2.4 Carbon Capture and Storage (CCS)

5.2.5 Carbon capture from air (‚Artificial Trees‘)

5.2.6 Biomass and biochar

5.2.7 Enhanced weathering

5.3 Conclusions on existing law

5.3.1 International law

5.3.2 EU and German law

6 Regulatory options and proposals

6.1 Introduction

6.2 Governance proposals

6.2.1 Historical overview

6.2.2 Common features of existing governance proposals

6.3 Objectives and criteria for international geoengineering governance

6.3.1 Particular characteristics of geoengineering relevant to governance

6.3.2 Reasons for geoengineering governance

6.3.3 How to regulate and design governance

6.4 General approach and main governance options

6.4.1 The normative perspective: Instruments and techniques

6.4.2 The institutional perspective: The emerging institutional complex of geoengineering

6.4.3 Preliminary choice of main governance options

6.5 Current governance: analysis and assessment

6.5.1 Assessment of the existing governance

6.5.2 Gaps in the existing governance

Options and Proposals for the International Governance of Geoengineering

6.5.3 Conclusions from gap analysis: Which geoengineering techniques should be subject to international governance?

6.6 Options for filling the governance gaps

6.6.1 Options for overarching functions

6.6.2 Options for addressing in more detail the gaps for specific geoengineering techniques

6.6.3 Options for special scientific/technological tasks, e.g. coordination of research:

6.7 Conclusions and proposals

7 Annex I: Overview of selected governance proposals

8 Annex II: Expert Workshop 5./6. November 2012

8.1 Discussion paper

8.1.1 Introduction: The UBA research project

8.1.2 State of play in geoengineering governance

8.1.3 Criteria for geoengineering governance

8.1.4 Assessment and Options

8.1.5 Options for Future Framework

8.2 Summary

8.2.1 Introduction

8.2.2 Background presentations

8.2.3 General points

8.2.4 Governance design

8.2.5 In particular: CBD

8.2.6 Normative perspective

8.2.7 Moral hazard

8.2.8 Research

9 References

9.1 Literature

9.2 List of treaties

Options and Proposals for the International Governance of Geoengineering 1 Summary The debate about geoengineering as a potential option for climate policy is gaining attention at the policy interface. For several years the feasibility, risks and desirability of geoengineering (also referred to as climate engineering) have been discussed mainly within the science community. Today, while many geoengineering techniques are at the conceptual or modelling stage, there have also been field experiments followed by an emerging public debate. These developments raise the question of whether a governance framework for geoengineering is needed over and above the current framework, and what it should look like. In this research project for the German Federal Environment Agency, Ecologic Institute develops specific proposals for the governance of the main currently discussed geoengineering concepts at the international level. Based on a comprehensive analysis of the existing regulatory framework and its gaps, the study identifies general options and specific recommended actions for the effective governance of geoengineering. A key consideration is that the recommendations can be implemented in practice.

The question of governance encompasses more than binding legal rules. In this sense, our understanding of “governance” is broader than “regulation”. We also include formal and informal, implicit and explicit processes, procedures and institutions. Governance, meant in this broader sense, is not necessarily restrictive. It can also provide legal certainty and political legitimacy, or fulfil pragmatic functions such as coordination.

The study has three main parts: After the introduction, section 4 explores whether and to what extent it is useful and feasible to have a single definition of geoengineering for governance purposes. section 5 analyses the existing governance of geoengineering in international law, with a brief overview of EU and German law. On this basis, section 6 develops specific regulatory options and proposals. We analyse why governance of geoengineering should be pursued and develop specific proposals how such governance should be designed. The key results of these three parts are summarised in this section.

1.1 Definition of geoengineering Affixing a precise definition to geoengineering presents a challenge, as common usage of the term encompasses a wide range of dissimilar techniques with varying methodologies, levels of risk, and feasibility. A definition of geoengineering can be sought for different purposes and carries political and social implications. Without a clear notion of the political objectives and regulatory purpose, proposing a regulatory definition could in essence put the cart before the horse.