《生物多样性公约》现行资金机制及其替代方案

doi:10.17520/biods.2025353

摘要/Abstract

摘要：

全球生物多样性保护面临巨大的资金缺口, 以全球环境基金(Global Environment Facility, GEF)作为实施《生物多样性公约》现行资金机制存在法律地位不确定、治理结构不匹配、资金可及性低、受援国自主权弱等结构性缺陷, 难以满足《生物多样性公约》实施需求。本文系统梳理了GEF及其新设的全球生物多样性框架基金(Global Biodiversity Framework Fund, GBFF)的运作机制与局限性, 深入分析了缔约方关于是否新建由缔约方大会(Conference of the Parties, COP)授权的正式资金机制的立场分歧, 基于《生物多样性公约》第21条规定及谈判动态, 构建了新建全球生物多样性基金(Global Biodiversity Fund, GBF)、深度改革GEF、设立GEF下混合过渡机制3种备选方案, 并从治理结构、资金可持续性、运营效率、包容性等维度进行了可行性评估。研究旨在为建立更公平、高效、符合《生物多样性公约》宗旨的生物多样性国际履约资金机制提供科学依据, 并为在后续相关谈判中维护国家利益、弥合南北分歧提供参考策略建议。

关键词: 生物多样性公约, 资金机制, 全球环境基金, 资源调动, 昆蒙框架

Abstract

Background & Aims: This study aims to address the critical gap in the implementation of the Convention on Biological Diversity (CBD) by systematically analyzing the structural deficiencies of the current financial mechanism centered on the Global Environment Facility (GEF). It seeks to develop and rigorously evaluate alternative options for a new financial mechanism that operates under the authority of the Conference of the Parties (COP), as mandated by Article 21 of the Convention. The primary objective is to provide a robust, evidence-based framework to inform the ongoing international negotiations, particularly following the impasse at COP17.

Method: The research employs a qualitative comparative policy analysis, grounded in the negotiation progress of CBD, in which the author was directly involved. A structured multi-criteria assessment framework was developed, evaluating proposed mechanisms against eight key dimensions: legal coherence with the CBD, governance effectiveness, financial sustainability, operational efficiency, accessibility for Least Developed Countries, inclusivity, political acceptability, and implementation feasibility.

Results: The analysis confirms significant structural flaws in the interim GEF arrangement, including a governance misalignment with the COP, complex access procedures, and limited recipient country ownership. Three distinct alternative models were formulated and assessed: Establishing a new Global Biodiversity Fund demonstrates high legal coherence and long-term effectiveness but faces substantial political and implementation hurdles; Deeply reforming the existing GEF offers practical feasibility but yields uncertain and potentially limited outcomes in addressing core governance issues; A hybrid transitional mechanism within the GEF structure emerges as the most viable compromise, balancing political acceptability with a meaningful step toward a more accountable and accessible system.

Conclusion & Recommendation: The study concludes that a hybrid transitional mechanism represents a possible viable pathway for breaking the current negotiation deadlock. It provides a concrete foundation for a consensus at COP17 while establishing a clear trajectory for future evolution. The findings underscore that the design of any new financial mechanism must strategically balance legal ideals with political and operational realities. This research provides a critical technical foundation for Parties to make informed decisions, ultimately supporting the establishment of a fair, efficient, and effective financial mechanism for implementing the Kunming-Montreal Global Biodiversity Framework.

Key words: Convention on Biological Diversity, financial mechanism, Global Environment Facility, resource mobilization, Kunming-Montreal Global Biodiversity Framework

王也, 王茜璐, 关婧, 王迎 (2026) 《生物多样性公约》现行资金机制及其替代方案. 生物多样性, 34, 25353. DOI: 10.17520/biods.2025353.

Ye Wang, Qianlu Wang, Jing Guan, Ying Wang (2026) The current financial mechanisms of the Convention on Biological Diversity and its alternatives. Biodiversity Science, 34, 25353. DOI: 10.17520/biods.2025353.

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链接本文: https://www.biodiversity-science.net/CN/10.17520/biods.2025353

https://www.biodiversity-science.net/CN/Y2026/V34/I1/25353

图/表 1

参考文献 6

[1]	CBD Convention on Biological Diversity (1992) Convention on Biological Diversity. Rio de Janeiro: United Nations. https://www.cbd.int/convention/articles/default.shtml?a=cbd-392025-07-31. (accessed on 2025-07-31)
[2]	CBD Convention on Biological Diversity (1994) Financial Mechanism of the CBD. https://www.cbd.int/decisions/cop?m=cop-012025-07-31. (accessed on 2025-07-31)
[3]	CBD Convention on Biological Diversity (2022) Kunming-Montreal Global Biodiversity Framework. CBD/COP/DEC/15/4. https://www.cbd.int/doc/decisions/cop-15/cop-15-dec-04-en.pdf. (accessed on 2022-12-20)
[4]	CBD Convention on Biological Diversity (2025) Resource mobilization and financial mechanism. CBD/COP/16/L.31/Rev.1, 2025. https://view.officeapps.live.com/op/view.aspx?src=https%3A%2F%2Fwww.cbd.int%2Fdoc%2Fc%2Fb63f%2F17ad%2F4f41a3f3adf119f9903a01dc%2Fcop-16-l-31-rev1-en.docx&wdOrigin=BROWSELINK. (accessed on 2025-12-31)
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[6]	Young Z (2002) A New Green Order? The World Bank and the Politics of the Global Environment Facility. Pluto Press, London.

评估维度 Dimensions	方案一 Option A	方案二 Option B	方案三 Option C
法理契合度 Legal Compliance	高 High 完全符合《公约》第21条的原则, 建立纯粹的COP授权机制 Fully aligned with the spirit of Article 21 of the Convention, establishing a pure COP-mandated mechanism	中 Medium 取决于改革深度, 理论上可通过法律安排使其对COP负责, 但历史表明难度极大 Dependent on the depth of reform; in theory, legal arrangements can make it accountable to the COP, but historical experience shows significant challenges	中‒低 Medium-Low 仍从属于GEF架构, 是法律上的妥协产物, COP的直接授权被稀释 Still under the GEF framework, a product of legal compromise that dilutes the direct mandate of the COP
治理有效性 Governance Effectiveness	潜力高 High potential 全新的、以缔约方为主体的治理结构, 决策链清晰, 问责对象明确 New governance structure centered on Parties, with clear decision-making chains and defined accountability	不确定 Uncertain 效果高度依赖于GEF及其成员国的改革意愿和执行力度, 存在较大不确定性 Effectiveness highly relies on the reform willingness and implementation capacity of the GEF and its member states, with substantial uncertainties	中 Medium 独立委员会能提升决策针对性, 但仍受GEF大环境制约, 有效性介于二者之间 An independent committee can enhance decision-making relevance but remains constrained by the overall GEF environment, with effectiveness between the other two options
资金可持续性 Financial Sustainability	长期潜力高, 短期不确定 High long-term potential, uncertain short-term 具备开拓新资金来源的机制灵活性, 但初期动员传统捐资面临挑战Mechanistic flexibility to explore new funding sources, but faces challenges in mobilizing traditional donations initially	高 High 依托GEF成熟的增资周期和资金池, 短期资金稳定性最好 Leveraging the GEF’s mature replenishment cycles and fund pool, ensuring the strongest short-term financial stability	高 High 可共享GEF的资金基础, 同时有机会吸引指定用于该窗口的捐资, 稳定性较好 Can share the GEF’s financial base while attracting earmarked donations for the window, with good stability
运营效率 Operational Efficiency	潜力高 High potential 无历史包袱, 可从头设计最简化的流程, 交易成本有望最低 No historical baggage, enabling the design of streamlined processes from scratch with the lowest expected transaction costs	中 Medium 只能在现有复杂体系上做“减法”, 效率提升空间有限, 且易受官僚惯性影响 Only incremental improvements (“subtractions”) can be made to the existing complex system, with limited room for efficiency gains and vulnerability to bureaucratic inertia	中 Medium 可设计独立流程, 但行政服务依赖GEF, 效率提升可能受制于后台服务支持体系 Independent processes can be designed, but administrative services depend on the GEF, and efficiency improvements may be constrained by backend support systems
最不发达国家可及性 Accessibility for the Least Developed Countries (LDCs)	潜力高 High potential 可为最不发达国家设计极度简化的专项通道 Can design highly simplified special channels for LDCs	中 Medium 改革后可改善, 但受制于GEF整体资源分配规则, 能否实现根本性改善存疑 Improvements possible post-reform, but fundamental changes are questionable due to constraints from the GEF’s overall resource allocation rules	中 Medium 可通过独立委员会的规则倾斜予以支持, 效果取决于委员会的政策倾向 Support can be provided through preferential rules by the independent committee, with effectiveness depending on the committee’s policy orientation
包容性(IPLCs等) Inclusiveness (IPLCs, etc.)	潜力高 High potential 可将包容性参与直接嵌入新机制的设计中 Inclusive participation can be directly embedded in the design of the new mechanism	中 Medium 需通过主动政策纳入, 在现有GEF文化中推动深层包容性变革挑战较大Requires proactive policy integration; driving deep inclusive transformation within the existing GEF culture is highly challenging	中 Medium 独立委员会机制为纳入多元声音提供了结构可能性, 效果取决于委员会构成和意愿 The independent committee mechanism provides structural possibilities for incorporating diverse voices, with effectiveness depending on the committee’s composition and willingness
政治可接受性 Political Acceptability	低 Low 发达国家反对意愿强烈, 是目前谈判陷入僵局的主要原因 Strong opposition from developed countries, the primary cause of the current negotiation deadlock	中 Medium 存在谈判空间, 发达国家可能接受有限度的改革以避免更激进的方案 Negotiation space exists; developed countries may accept limited reforms to avoid more radical proposals	低‒中 Low‒Medium 较难为发展中国家缔约方接受, 特别是非洲国家和拉加国家。但有可能成为发展中国家妥协下的选择 Difficult for developing country Parties to accept, especially African and Latin American and Caribbean (LAC) countries, but may serve as a compromise option for developing countries
实施难度与周期 Implementation Difficulty & Timeline	高 High 需完成复杂的国际谈判、机构筹建工作, 周期长(3‒5年或更长) Requires complex international negotiations and institutional establishment, with a long timeline (3‒5 years or more)	中‒高 Medium‒High 改革谈判同样复杂, 且执行层面阻力大, 但可利用现有架构起步 Reform negotiations are equally complex with significant implementation resistance, but can leverage existing frameworks to initiate	低‒中 Low‒Medium 可在现有GEF框架下通过COP决定较快启动(1‒2年内), 实施门槛最低 Can be quickly launched (within 1‒2 years) through COP decisions under the existing GEF framework, with the lowest implementation threshold

评估维度 Dimensions	方案一 Option A	方案二 Option B	方案三 Option C
法理契合度 Legal Compliance	高 High 完全符合《公约》第21条的原则, 建立纯粹的COP授权机制 Fully aligned with the spirit of Article 21 of the Convention, establishing a pure COP-mandated mechanism	中 Medium 取决于改革深度, 理论上可通过法律安排使其对COP负责, 但历史表明难度极大 Dependent on the depth of reform; in theory, legal arrangements can make it accountable to the COP, but historical experience shows significant challenges	中‒低 Medium-Low 仍从属于GEF架构, 是法律上的妥协产物, COP的直接授权被稀释 Still under the GEF framework, a product of legal compromise that dilutes the direct mandate of the COP
治理有效性 Governance Effectiveness	潜力高 High potential 全新的、以缔约方为主体的治理结构, 决策链清晰, 问责对象明确 New governance structure centered on Parties, with clear decision-making chains and defined accountability	不确定 Uncertain 效果高度依赖于GEF及其成员国的改革意愿和执行力度, 存在较大不确定性 Effectiveness highly relies on the reform willingness and implementation capacity of the GEF and its member states, with substantial uncertainties	中 Medium 独立委员会能提升决策针对性, 但仍受GEF大环境制约, 有效性介于二者之间 An independent committee can enhance decision-making relevance but remains constrained by the overall GEF environment, with effectiveness between the other two options
资金可持续性 Financial Sustainability	长期潜力高, 短期不确定 High long-term potential, uncertain short-term 具备开拓新资金来源的机制灵活性, 但初期动员传统捐资面临挑战Mechanistic flexibility to explore new funding sources, but faces challenges in mobilizing traditional donations initially	高 High 依托GEF成熟的增资周期和资金池, 短期资金稳定性最好 Leveraging the GEF’s mature replenishment cycles and fund pool, ensuring the strongest short-term financial stability	高 High 可共享GEF的资金基础, 同时有机会吸引指定用于该窗口的捐资, 稳定性较好 Can share the GEF’s financial base while attracting earmarked donations for the window, with good stability
运营效率 Operational Efficiency	潜力高 High potential 无历史包袱, 可从头设计最简化的流程, 交易成本有望最低 No historical baggage, enabling the design of streamlined processes from scratch with the lowest expected transaction costs	中 Medium 只能在现有复杂体系上做“减法”, 效率提升空间有限, 且易受官僚惯性影响 Only incremental improvements (“subtractions”) can be made to the existing complex system, with limited room for efficiency gains and vulnerability to bureaucratic inertia	中 Medium 可设计独立流程, 但行政服务依赖GEF, 效率提升可能受制于后台服务支持体系 Independent processes can be designed, but administrative services depend on the GEF, and efficiency improvements may be constrained by backend support systems
最不发达国家可及性 Accessibility for the Least Developed Countries (LDCs)	潜力高 High potential 可为最不发达国家设计极度简化的专项通道 Can design highly simplified special channels for LDCs	中 Medium 改革后可改善, 但受制于GEF整体资源分配规则, 能否实现根本性改善存疑 Improvements possible post-reform, but fundamental changes are questionable due to constraints from the GEF’s overall resource allocation rules	中 Medium 可通过独立委员会的规则倾斜予以支持, 效果取决于委员会的政策倾向 Support can be provided through preferential rules by the independent committee, with effectiveness depending on the committee’s policy orientation
包容性(IPLCs等) Inclusiveness (IPLCs, etc.)	潜力高 High potential 可将包容性参与直接嵌入新机制的设计中 Inclusive participation can be directly embedded in the design of the new mechanism	中 Medium 需通过主动政策纳入, 在现有GEF文化中推动深层包容性变革挑战较大Requires proactive policy integration; driving deep inclusive transformation within the existing GEF culture is highly challenging	中 Medium 独立委员会机制为纳入多元声音提供了结构可能性, 效果取决于委员会构成和意愿 The independent committee mechanism provides structural possibilities for incorporating diverse voices, with effectiveness depending on the committee’s composition and willingness
政治可接受性 Political Acceptability	低 Low 发达国家反对意愿强烈, 是目前谈判陷入僵局的主要原因 Strong opposition from developed countries, the primary cause of the current negotiation deadlock	中 Medium 存在谈判空间, 发达国家可能接受有限度的改革以避免更激进的方案 Negotiation space exists; developed countries may accept limited reforms to avoid more radical proposals	低‒中 Low‒Medium 较难为发展中国家缔约方接受, 特别是非洲国家和拉加国家。但有可能成为发展中国家妥协下的选择 Difficult for developing country Parties to accept, especially African and Latin American and Caribbean (LAC) countries, but may serve as a compromise option for developing countries
实施难度与周期 Implementation Difficulty & Timeline	高 High 需完成复杂的国际谈判、机构筹建工作, 周期长(3‒5年或更长) Requires complex international negotiations and institutional establishment, with a long timeline (3‒5 years or more)	中‒高 Medium‒High 改革谈判同样复杂, 且执行层面阻力大, 但可利用现有架构起步 Reform negotiations are equally complex with significant implementation resistance, but can leverage existing frameworks to initiate	低‒中 Low‒Medium 可在现有GEF框架下通过COP决定较快启动(1‒2年内), 实施门槛最低 Can be quickly launched (within 1‒2 years) through COP decisions under the existing GEF framework, with the lowest implementation threshold

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