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Mainstreaming Climate Change Adaptation in the Yangtze Water Resources Management in China: a Legal and Institutional Perspective

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Mainstreaming Climate Change Adaptation in the Yangtze Water Resources Management in China: a Legal and Institutional Perspective MAINSTREAMING CLIMATE CHANGE ADAPTATION IN THE YANGTZE WATER RESOURCES MANAGEMENT IN CHINA: A LEGAL AND INSTITUTIONAL PERSPECTIVE XIANGBAI HE A thesis submitted in fulfilment of the degree of Doctor of Philosophy School of Law University of Western Sydney 2013 The work presented in this thesis is, to the best of my information, knowledge and belief, original as acknowledged in the text. I declare that I have not submitted this thesis, for a degree at this or any other university or institution. The research presented in this thesis was approved by University of Western Sydney Human Research Ethics Committee, Reference number: H9252 on 6 September 2011. XIANGBAI HE ----------------------------- 2013 TABLE OF CONTENTS Acknowledgments ......................................................................................................... vi Abstract .......................................................................................................................viii List of Selected Acronyms ............................................................................................. x List of Figures and Tables ........................................................................................... xiv I Introduction ............................................................................................................ 1 A Research Background and Significance .............................................................. 2 B Research Objectives and Research Questions .................................................... 7 C Research Scopes and Key Definitions ................................................................ 8 D Research Methodology and Methods ................................................................ 18 1 Qualitative Research ..................................................................................... 19 2 Comparative Research Approach .................................................................. 21 3 Field Visit and Semi-structured Interview..................................................... 22 E Outline of Chapters ........................................................................................... 24 II The Legal and Institutional Frameworks of Yangtze Water Resources Management ................................................................................................................. 25 A Water Resources and Water Problems of the Yangtze River Basin (YRB)....... 26 1 The Overview of the YRB ............................................................................. 26 2 Water Problems Associated with the Yangtze River ..................................... 28 B A Theoretical Introduction of the Integrated Water Resources Management (IWRM) .................................................................................................................... 33 C Legal Framework with Respect to the Yangtze Water Resources Management 39 1 Legal Framework for Water Resources Management at the National Level 40 2 Specific Legislation on Yangtze Water Management .................................... 46 D Institutional Arrangements of Yangtze Water Resources Management ............ 49 i 1 Vertical Institutional Arrangements with Respect to Yangtze Water Management ......................................................................................................... 50 2 Horizontal Institutional Arrangements with Respect to Yangtze Water Management ......................................................................................................... 58 E The Practice of IWRM in the YRB ................................................................... 62 1 Understanding the Status of IWRM in the YRB ........................................... 63 2 The Implementation of the IWRM at the Basin Level and Local Level ....... 66 3 The Transition from an Engineering Mentality to a Resource-oriented Mentality .............................................................................................................. 70 4 The Transition from Water Supply Management to Water Demand Management ......................................................................................................... 74 F Conclusions and Recommendations ................................................................. 79 1 Conclusions ................................................................................................... 79 2 Recommendations ......................................................................................... 82 III The Legal and Institutional Frameworks of Yangtze Water-related Climate Change Adaptation ....................................................................................................... 88 A Adapting to Yangtze Water-related Climate Change Impacts ........................... 89 1 Screening Climate Change Impacts on Yangtze Water Resources ................ 89 2 Establishing an Adaptation-oriented Framework in the Water Sector .......... 99 B China’s Policies, Laws and Institutional Arrangements Regarding Climate Change Adaptation ................................................................................................. 102 1 Adaptation in the Context of Plans and Polices .......................................... 102 2 Adaptation in the Context of a Legal Framework ....................................... 105 3 Institutional Arrangements on Climate Change Adaptation ........................ 115 4 Adaptation Policies and Strategies on Yangtze Water Resources ............... 121 C An Assessment – Ambitious Progress or Conservative Steps? ....................... 124 1 Low Awareness of Adaptation from Central to Local Level Governments 125 ii 2 The Over-reliance on Engineering and Technological Approaches ............ 126 3 The Marginal Role of Environmental Authorities in Adaptation ................ 129 4 Lack of Institutionalised Governance at the Local Level ........................... 131 D Conclusion ...................................................................................................... 132 IV Mainstreaming Climate Change Adaptation in the Integrated Water Resources Management (IWRM) of the Yangtze River Basin .................................................... 135 A A Theoretical Analysis of Mainstreaming Adaptation in the Development Process ................................................................................................................... 136 1 Aligning Climate Change Adaptation with Sustainable Development ....... 136 2 Defining and Justifying Adaptation Mainstreaming ................................... 141 3 Examining the Status of Adaptation Mainstreaming in China and the Yangtze River Basin ......................................................................................................... 145 B Identifying the Challenges of Mainstreaming Adaptation in the IWRM – A Legal and Institutional Perspective ........................................................................ 148 1 Challenges to the Assumption of Legislation – Stationarity is Dead, Uncertainty is Pervasive .................................................................................... 149 2 Challenges to the Institutional Framework – the Context Specific Nature of Adaptation .......................................................................................................... 155 3 Requirement for Wider and More Effective Public Participation ............... 160 4 Challenges to the Capacity of IWRM in Managing Water-related Climate Change Impact ................................................................................................... 171 C Analysing the Potential to Mainstream Climate Change Adaptation in the IWRM Related Legal and Institutional Frameworks ............................................. 175 1 Bridging the Gap between Stationarity and Uncertainty............................. 177 2 Integrating an Integrated Thinking with Locality-based Actions ................ 180 3 Developing Collaborative Mechanisms between the Central and Local Governments ...................................................................................................... 182 iii 4 Understanding the Threats to Water Security Presented by Climate Change 184 5 Identifying the Potential of IWRM in Including Adaptation Considerations 185 D Conclusion ...................................................................................................... 188 V Setting the Legal and Institutional Environment for Mainstreaming Adaptation in the Integrated Water Resources Management (IWRM) of the Yangtze River ........... 190 A Re-thinking the Principle of Sustainable Development .................................. 192 1 The Principle of Sustainable Development in the Context of Climate Change Adaptation .......................................................................................................... 192 2 Applying the Principle of Sustainable Development in the Adaptation Mainstreaming Process ...................................................................................... 197 B Institutionalising the Precautionary Principle ................................................. 199 1 Understanding the Precautionary Principle in the Context of Climate Change Adaptation .......................................................................................................... 200 2 The Application of the Precautionary Principle in China ........................... 203 3 Applying the Precautionary Principle in the Adaptation
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