A review of the evolution and state of transboundary freshwater treaties

Internationally shared basins supply 60 % of global freshwater supply, are home to about 1/3 of the world’s population, and are focal points for interstate conflict and, as importantly, cooperation. To manage these waters, states have developed a large set of formal treaties, but until now these treaties have been difficult to access and systematically assess. This paper presents and makes publicly available the assembly and organization of the largest known collection of transboundary water agreements in existence. We apply for the first time a “lineage” concept to differentiate between independent agreements and groups of legally related texts, spatially reference the texts to a global basin database, and identify agreement purposes, goals and a variety of content areas. The 688 agreements identified were signed between 1820 and 2007 and constitute 250 independent treaties which apply to 113 basins. While the scope and content varies widely, these treaties nominally govern almost 70 % of the world’s transboundary basin area. In terms of content, treaties have shifted from an earlier focus on regulation and development of water resources to the management of resources and the setting of frameworks for that management. While “traditional” issues such as hydropower, water allocation and irrigation are still important, the environment is now the most commonly mentioned issue in treaty texts. Treaties are also increasingly likely to include data and information sharing provisions, have conflict resolution mechanisms, and include mechanisms for participation beyond traditional nation-state actors. Generalizing, treaties have become more comprehensive over time, both in the issues they address and the tools they use to manage those issues cooperatively.     

Global governance principles for the sustainable development of groundwater resources

A normative framework for the governance of groundwater is emerging at the global level. However, existing analyses have not comprehensively covered all the governance texts that have a bearing on transboundary groundwater resources or looked at them from the perspective of sustainable groundwater governance. Therefore, this paper responds to the questions: What are the global governance texts (including international laws) applicable to groundwater resources; to which forms of the resource do they apply; which principles have been included over time; and what are the implications for sustainable development of groundwater resources now and in the future? The analysis highlights key groundwater concepts, discusses twelve global groundwater governance texts and the thirty principles therein, classifies the principles into ideal–typical categories based on the sustainable development concept; and assesses the gaps and conflicts between the principles and texts. The paper has three key findings. First, groundwater governance is rapidly evolving and there are a number of principles available to promote sustainable development. Second, however, these collective principles do not adequately address (a) the link with all water resources; (b) the potential impact of climate change on water resources; and (c) the impact of trade on equitable sharing of groundwater and protection of groundwater-related ecosystems. Third, to the extent that this collection of principles can contribute to sustainable development, they are inconsistently included in the legally binding groundwater governance texts. Therefore, much progress is needed to ensure a global normative framework that can guide the sustainable governance of groundwater resources.     

Clearing the muddy waters of shared watercourses governance: conceptualizing international River Basin Organizations

Institutions that have been set up by riparian states to internationally govern shared water resources—international River Basin Organizations (RBOs)—play a key role in river basin governance. Despite an increased attention paid to RBOs in international relations and water scholarship, there has been little focus on defining and conceptualizing RBOs and, subsequently, on comprehensively identifying the RBOs that exist around the world. This has challenged research around RBOs in both methodological and theoretical ways. This paper aims to meet this challenge by offering a theoretically grounded definition of an international RBO and crafting a comprehensive list of international RBOs. We do so deductively, building from the larger neo-institutionalist research and international water resources governance literature. Our definition identifies three broad categories of constitutive elements: internationalization, institutionalization and governance. We apply this definition to potential cases to better identify the extent of RBOs around the world today and outline which cases qualify as RBOs and which cases fail to meet our constitutive criteria. This allows us to compile a comprehensive list of all existing international RBOs, including the identification of RBOs with specific characteristics. The article concludes by crafting an agenda for future research around RBOs that builds on this more complete understanding of RBOs.     

Domestic environmental activists and the governance of the Ganges and Mekong Rivers in India and China

It is generally considered difficult to resolve negative unidirectional externalities within hydro-hegemonic basins in which the upstream powerful riparian has the incentive to unilaterally develop the river without regard to downstream consequences. Weaker downstream riparian states can resort to issue linkages and side payments to coerce a change in the upstream hydro-hegemon’s behavior, but the success of these tools depends on the specific political and economic situation in the basin and on the preferences of the hydro-hegemonic state for cooperation. Neglected in the literature is another possibility. Through a consideration of the sanctioned discourse of watershed management at the domestic levels, this article shows that domestic environmental non-governmental organizations and policy entrepreneurs—through the application of a range of tools—can work to change the domestic water management discourse from a state-hydraulic paradigm to a more sustainable water management paradigm. When these efforts are successful, we can find that these non-state actors can perform a crucial function in cleaning up domestic stretches of international rivers, which produces positive externalities downstream. In the process, they are able of achieving what often years of international negotiations failed to accomplish. Drawing on semi-structured interviews, India’s policies on water quality in the national stretches of Ganges Basin and China’s policies on biodiversity in the national stretches of the Mekong Basin are used to make this argument.     

水环境与水资源流域综合管理体制研究

水资源具有生态价值和经济价值双重属性.又具有系统性和整体性的特点,这决定了水资源开发、利用和保护必须以流域为基础,走水环境管理与水资源管理相结合的道路.为实现水资源可持续利用,缓解水资源短缺的压力.必须对我国现行的水环境管理与水资源管理并行的双重管理体制进行改革,建立水环境与水资源流域综合管理体制.     

Theorising complex water governance in Africa: the case of the proposed Epupa Dam on the Kunene River

Various multi-dimensional governance models have been suggested by scholars and policy makers alike as suitable conceptual lenses through which to view the complexity of water governance, particularly in international river basins. While these models, most notably, the Government–Society–Science and the Hegemonic Politicians models, do provide more holistic pictures of the multiple actors at play and their interactions, the nature of these actor interactions is overly linear, and make them incapable of explaining the numerous processes within complex governance systems. They assume the dominance of a limited number of actors while ignoring various feedback loops. This paper therefore provides a critical review of the Government–Society–Science and the Hegemonic Politicians models. Our alternative perspective is derived from complexity theory as it pertains to water governance. Explaining water governance through the complexity lens highlights the myriad of actors that act within international river basins and the consequences of their actions; something that is lacking within the traditional models. This holds implications not only for decision-making in river basins and water resources management in particular, but also for theoretical developments that feed back into the policy arena. Complexity theory paints a more nuanced picture for the decision maker. We put forward this view using the proposed Epupa Dam on the Kunene River as a case study where various actors interact in the debate around the suggested dam.     

Transboundary water interaction II: the influence of ‘soft’ power

This paper seeks to broaden the analysis of transboundary water interaction, by examining and interpreting the influence of ‘soft’ power therein. The ‘soft’ power of persuasion is understood to be exercised through discursive and to a lesser extent ideational means, and is interpreted in terms of compliance related to distributive (conflictual) or integrative (consensual) ends (after Scott (1994)). The focus is on inter-state water conflicts in hegemonic political contexts, where, it is found, the ‘first among equals’ has a greater ability to exploit ‘soft’ power and to determine the outcome. ‘Soft’ power is also seen to influence the choices states make or avoid in their transboundary water interaction, which explains in part how treaties intending to manage conflict may in fact delay or perpetuate it. For example, ‘soft’ power can be used by the basin hegemon to frame inequitable forms of cooperation in a cooperative light, such that unfair and ultimately unsustainable transboundary arrangements are replicated by the international donor community. Non-hegemonic riparian states also employ their capacity of ‘soft’ power, though may find themselves with little choice other than to comply with the arrangement established by the basin hegemon. The findings stress the importance of analysts questioning claims of interaction promoted as ‘cooperative’, and of examining the ‘soft’ power plays that underlie all transboundary water arrangements. Exemplification is provided through transboundary river basins and aquifers around the globe.     

国际河流开发的区域合作法律机制

世界范围内的水资源短缺导致国家之间的"水冲突",尤其是因国际河流的利用导致的冲突时有发生。除了政治和外交努力之外,运用国际法的手段来解决国际河流冲突成为各国的共识。本文试图梳理现有国际河流的国际规则,分析国际河流开发过程中的各种国际利益冲突,为国际河流开发提出一个新的框架——建立在多边协定根本原则基础上的区域合作机制,以期通过国际法的手段预防和解决国际河流开发引发的国际冲突。     

Governing Iberian Rivers: from bilateral management to common basin governance?

Traditionally, international water resources have been managed by riparian states based essentially on a technical hydraulic approach, addressing navigation concerns, water flows at the border and shared hydraulic structures, besides the definition of political borders. During the 1990s, the possibility of a paradigm change emerged, where a “technical hydraulic management approach” seemed to be giving way to a more “political environmental governance approach”. Yet, in many cases, this change did not ensue. This article argues that several riparians are trapped in stalemate due to a too strong sovereign approach to their water relations. Adopting a critical perspective on hydro-hegemony, this article argues that this framework of analysis is too limited since it is embedded in a Westphalian concept of sovereignty. To support this argument, the article draws on the Iberian Peninsula water politics. These riparians are still embedded in notions of territorial sovereignty, not being able to take on a holistic water basin governance regime embedded on considerations of equity, human rights and social justice. The article concludes that it is vital to move beyond a static sovereignty-based analysis of riparian relations and engage in a dynamic discussion of different water governance models and their consequences concerning peace and development.     

论我国饮用水源保护法律调控的基本指导思想

因世界性饮用水源紧缺和污染所导致的饮用水源危机,不仅严重威胁着人们的生命健康和生存,而且随时可能引发国际政治问题。因此,饮用水源的保护被提上了世界各国的议事日程,并成为国际社会共同关注的焦点。可持续发展战略作为一种新的发展模式,是当代人类的普遍共识。本文在分析的基础上提出我国饮用水源保护立法应当以可持续发展为基本指导思想,以期对完善或创新我国饮用水源保护法律调控的理论和实践提供依据和思路。     

论国际河流后开发国家的权利与义务

国际河流后开发国家特殊的地理位置使其对国际河流的开发会对先开发国家的既得利益产生重要影响.国家对位于其领土内的国际水资源享有主权是后开发国家对国际河流享有开发利用权最主要的法理基础,“先占主义”理论在国际实践中鲜获支持,国际仲裁、判例进一步确认了后开发国家开发利用国际水资源的权利和义务.故国际河流后开发国家享有开发利用国际河流的权利,同时也应承担相应的国际责任和义务.我国作为大部分国际河流的后开发国家也应受到启示,以实现国际水资源的可持续利用.     

对我国《水法》关于水资源流域管理规定的思考

2 0 0 2年《水法》确立了水资源流域管理制度 ,设立了流域管理机构。本文认为《水法》对流域管理机构的规定在实践中难以真正落实流域管理制度 ,将导致流域管理机构的管理效果不显著 ,影响水法对正义价值的追求。建议建立健全具有权威性和独立性的科学的流域管理机构体系 ,强化流域水资源的宏观管理 ,弱化微观管理 ,增强服务功能。     

“最先受诉法院原则”与禁诉令的博弈

"最先受诉法院原则"是解决国际民事诉讼管辖权冲突的原则之一。由于该原则强调受诉时间优先的法院优先享有诉讼案件之管辖权,实践中出现了当事人恶意利用此原则进而拖延、规避预期对自己不利的诉讼的情形。为了规避此类风险,英国等国制定禁诉令制度限制当事人恶意的"在先诉讼"。这不可避免地导致了"最先受诉法院原则"与禁诉令制度在实践操作中的冲突。在上述两公约关于"最先受诉法院原则"构建的基础上,结合实践中出现的禁诉令冲突、"意大利鱼雷"式诉讼等问题,讨论该原则在实践中运用的限制与发展,减少其在解决国际民事管辖权冲突中的机械性,使其更具合理性与借鉴意义。     

Enhancing climate resilience of transboundary water allocation agreements: the impact of shortening the agreement’s lifetime on cooperation stability

Efficient use of transboundary rivers under climate change requires periodic adaptation of their governing regime to the hydrological realities of the basin. Applying a short-term time horizon to an agreement on water allocation can make it easier for the riparian states to update the terms of their cooperation periodically, and thus, adapt them to changes in water availability resulting from climate change. However, agreements with a pre-agreed termination date can only increase the efficiency of water use if they lead to a stable cooperation. In this paper, I analyze how riparian states’ previous knowledge of the termination date of a water allocation agreement affects the agreement’s stability. The results show that when riparian states are aware of the agreement’s termination date, there is a higher chance for them to free-ride. However, certain cases may occur in which previous knowledge of the agreement’s termination date can contribute to the stability of an agreement by enforcing compliance.     

从“卡翁达诉南非共和国总统案”看外交保护的另一种国家实践

外交保护的实施过程可以区分为国内决策阶段和利用国际法向侵害本国人权利的相对国采取措施的阶段。因此,在国内决策阶段中有一种不可忽视的实践,那就是认为从国内法角度来看国家负有以一切可能方式保护本国公民的义务。但是,实际上外交是国家行为,它代表国民的整体利益。因而在具体个案中可能需要从大局出发采取和缓的方式对权益受侵害的国民进行保护或放弃保护。但,必须建立有效的机制以沟通被害者和实行外交保护的公权力机构。在对公共利益和私人利益进行取舍时,可能需要考虑相应的补偿问题。以此为出发点,对将以外交保护方式保护国民作为国家宪法义务的国家实践进行研究。     

Subsistence Emissions and Luxury Emissions

In order to decide whether a comprehensive treaty covering all greenhouse gases is the best next step after UNCED, one needs to distinguish among the four questions about the international justice of such international arrangements: (1) What is a fair allocation of the costs of preventing the global warming that is still avoidable?; (2) What is a fair allocation of the costs of coping with the social consequences of the global warming that will not in fact be avoided?; (3) What background allocation of wealth would allow international bargaining (about issues like 1 and 2) to be a fair process?; and (4) What is a fair allocation of emissions of greenhouse gases (over the long-term and during the transition to the long-term allocation)? In answering each question we must specify from whom any transfers should come and to whom any transfers should go. As the grounds for the answers we usually face a choice between fault-based principles and no-fault principles.     

Competing Knowledge Systems in the Management of Fish and Forests in the Pacific Northwest

In this paper I investigate the interaction of knowledge and institutions in the context of First Nations in the Pacific Northwest of Canada who have evolved management systems for fish and forest resources over hundreds of years. These management systems are viewed as institutions that are based on and apply knowledge systems over time. In the Nisga'a and Haida nations, knowledge systems guide management regimes that govern access, rights and responsibilities, harvesting, allocation of benefits and costs, technology, education and training. For the past hundred years these institutions and knowledge systems have come into conflict with knowledge and management systems imposed first by missionaries, settlers and colonizers and later from Provincial and National governments and corporations holding tenure rights assigned by those governments. National and international regimes such as the Law of the Seas and the Exclusive Economic Zones conflict with traditional institutions and knowledge systems by privileging one level of governance and consequently one form of knowledge and devaluing others. The paper is based on research conducted in the Pacific Northwest over the past eight years, primarily through interviews with elders, decision-makers, and resource users, as well as observation of cultural and resource practices. The research investigated the impacts of conflicting knowledge systems and the attempts to resolve those conflicts. The paper raises questions about knowledge systems and institutions, about institutional interplay, and the impact of international institutions on local institutions as they come into contact and conflict.     

The New Water Legislation of Zimbabwe and South Africa – Comparison of Legal and Institutional Reform

Recently, several new pieces of water legislation have been promulgated in both Zimbabwe and the Republic of South Africa. The new acts are an attempt to correct injustices of a colonial past and to trigger development towards effective, equitable and efficient integrated water resources management influenced by the policy decisions in Agenda 21 and the need to respect economic and social human rights. This article aims at identifying and describing factors of prime importance in the process of legal and institutional reform. Major factors are earmarked and derived from the proceedings in Zimbabwe and are compared with the situation in South Africa. Thorough analysis by the author of proceedings, preambles, memoranda, legislation and addenda has induced roughly 5 major reform issues: The call for equitable water distribution based on a widely consented water resources management strategy; The need for effective and efficient integrated water resources management conducive to stakeholder participation through decentralisation processes; The redressing of legal shortcomings in former water legislation with the emphasis on the introduction of integrated approaches; The introduction of instruments of cost recovery for water resources management; The need to develop human resources capacity and institutional strength within the implementing agencies.For both Southern African states, these issues appear to be of comparable importance as major triggers for legal and institutional reform, although not always in the same sense.The resulting most important legal and institutional changes are presented, discussed and compared. Finally, prospects for and constraints on implementation of the new water legislation in these countries are compared.     

The geopolitical overlay of the hydropolitics of the Harirud River Basin

This paper explores the geopolitical overlay that is shaping dynamic hydropolitical interactions of the Harirud River Basin, which is a basin that spans Afghanistan, Iran and Turkmenistan. This paper argues that the control and capture of water resources are not solely for economic development but rather for geopolitical reasons that serve the security interests of the actors involved, particularly outside-basin powers like the US and India. The Afghan Government similarly views dams as symbols of nation-building and a way of staying in power. In the absence of a lasting trilateral agreement, the existing nature of the geopolitical dynamics of the basin has led upstream Afghanistan and downstream Iran and Turkmenistan to unilaterally establish their rights to control the “rules of the game”. This paper suggests that sustainable solutions will not be reached unless the geopolitical nature of the basin and outside interventions can center on a normative understanding of the regional interests, identities, and commonalities of all the riparian states.