【作者】 吴迪；

【导师】 王虎华；

【作者基本信息】 华东政法大学 ， 国际法， 2013， 博士

【摘要】 庇护制度是一项古老的法律制度，在近千年的历史发展过程中经久不衰。它萌芽于人类崇拜神灵的迷信思想；发展于中世纪基督教势力的增长；成熟于民族国家产生后的外交实践；成名于法国、美国大革命后对政治犯和寻求自由者的保护；转型于世界大战后难民潮和关闭边境制度的客观现实；最终融于当代人权保护理念和实践而重获新生。庇护制度从古至今不断发展，经历了无数的政治制度变迁、见证了人类发展的历程。庇护制度总是能同所处历史阶段的时代特点产生结合，不断地发展壮大。庇护制度同当代人权保护和难民保护制度的结合再次赋予了庇护制度新的活力，在新的时代背景下其将继续发挥重要的作用。庇护从产生的第一天起，就同权力、宗教、利益、人权产生了纠缠不清的复杂关系。作为法律概念的庇护更是充满了误解、模糊和神秘。本文的主要目的就是通过梳理庇护发展的历史脉络，明确不同庇护发展的不同阶段的特点，确定当代庇护的法律概念；通过明确国家在庇护制度方面承担的国际人权法和难民法义务，确定庇护制度同国际法的关系；从国家所承担国际法义务的角度分析个人所享有的庇护权利以及取得庇护的条件。最后，本文的研究还是要回归到中国问题，中国作为发展中的世界大国必须重视难民庇护问题。庇护问题是当代人权保护的重要一个环节，是中国真正崛起前必经正视、必须解决的重大国际法问题。全文共分五章，字符数共计约二十万。涵盖了庇护发展的历史、庇护的对象、庇护实施的条件、受庇护者的权利等重要问题。导言部分，本文首先介绍了联合国难民署关于当代全球庇护实践的报告，其中包括了世界40多个主要庇护国家近两年接受庇护人数的最新数量。从目前庇护制度保护的巨量人数，直观地说明了庇护制度在当今国际法制度中的重要程度。随后笔者列举分析了文章写作前及写作过程中收集、掌握的文献资料。总体上讲，国外学者关于庇护问题的研究比国内学者起步早、范围广、程度深。国外学者在庇护制度的基本问题层面已经不存在大的争议和冲突，大量的文献资料能够反映出观点上的一致性。他们的研究重点已经深入到更深的理论层次或者更细致的制度层面。反观我国学界，总体上而言尚未产生对庇护问题的研究热情。庇护的历史、庇护的概念、庇护实施条件、保护对象等基本问题都没有解决，都处于模糊的认识阶段。解决庇护制度的基本问题也就成了本文写作的重要目标。文章主要采用文本研究、历史分析、比较分析、案例分析、图表分析等研究方法。文章第一章是关于庇护的概念和保护对象等基本问题的概述。从庇护的历史、庇护的概念、庇护的保护对象、庇护与人权和主权的关系等方面展开的论述。首先，本章重述了从古希腊、古罗马时期到基督教中世纪，再到民族国家产生，再到两次世界大战等历史时期庇护制度发展的历史，对这些历史特点的了解有助于加深对当代庇护制度的正确认识。本章简要阐述了庇护的两种表现形式：领土庇护和外交庇护。当代国际法所承认和认可的、各国实践最长实施的是领土庇护，因此本文的主要研究对象是领土庇护，而非外交庇护。外交庇护在整体上为当代国际法所禁止，其仅在拉丁美洲有限的范围内根据区域性条约有法律效力。其次，本章重点论述了庇护制度的保护对象问题。国内学者倾向于认同庇护的对象为政治犯，而非政治难民。本章从政治犯受保护的历史角度展开论述，证明政治犯作为庇护的对象仅仅是法国大革命后一阶段历史时期的特点，如今已经产生了变化。无论是国际组织实践还是各国国内立法、司法的实践均表明，当代庇护制度的保护对象已经扩展到政治难民。政治犯标准已经被当代的受迫害标准所代替。最后，本章讨论了庇护制度同国家主权、人权保护之间的关系。当代庇护权有两层含义，恰好同主权和人权保护一一对应。庇护权首先属于施加庇护的国家，是国家主权的一部分。国家有权根据国际法确定的主权独立原则，自由裁量是否授予某人以庇护。国家授予庇护的意思表示不受其他国家强制，目前没有任何条约要求国家必须实施庇护。同时，寻求庇护者来源国不能视庇护国实施庇护的行为为不友好、敌对行为。此外，庇护权属于个人可以享受的权利，目前国际法只赋予个人申请庇护的权利。但是在庇护申请前、申请过程中及授予庇护后，庇护国和来源国都必须尊重申请人的人权。人权保护理念已经深入到庇护制度的各个阶段。第二章是关于庇护的国际法依据，包括国际条约、国际习惯法和一般法律原则三个方面。首先本章从国际难民条约和国际人权条约两个方面论述了国家承担的国际法义务。其中国际难民条约主要是1951年《难民地位公约》及其1967年附加议定书，该公约是难民庇护领域最主要的国际法文件。当今各国主流做法是根据1951年难民公约规定的难民概念制定本国实施庇护的标准条件。公约还规定了难民不推回原则，涉及到寻求庇护者申请庇护之前、来到庇护国之初的权利。与庇护制度相关的国际人权法条约主要是指《世界人权宣言》、《公民权利和政治权利国际条约》、《经济、社会和文化权利国际公约》，这些人权公约涉及到庇护程序各个阶段寻求庇护者能够享受的政治权利、经济权利的保障。其次，本章阐述了庇护国际法依据中的习惯法规则，主要涉及到难民不推回原则。本章主要从规则的造法属性、国家实践时间的长久性、广泛存在的国家实践的一致性等三方面论证了难民不推回原则已经构成了国际法上的习惯法规则。最后，本章探讨了庇护国际法渊源的一般法律原则。一般法律原则在目前庇护国际法渊源中并不占有最重要的地位，但是世界各国主流立法趋于一致的事实本身，就证明在庇护制度领域存在着这样的一般法律原则。在将来国际条约或者习惯法不能解决某些具体问题的时候，关于庇护的一般法律原则有可能发挥一定的作用。第三章是关于实施庇护的申请标准和申请程序，从国家应当遵循的国际法的视角分为实施庇护的前提条件、拒绝庇护的理由、停止庇护的原因、庇护审查程序等四个问题进行了论述。首先，庇护国实施庇护的前提条件是本章乃至本文的重点问题，其中重点论述了“有正当理由的恐惧”、“迫害”、“五种迫害原因”、“身处国外”、“不受本国保护”等五个方面的要件。这是1951年《难民公约》规定的构成难民身份的五个前提要件，如今已经被世界各国接受为授予庇护的前提条件。因此符合1951年《难民公约》难民身份的人往往能够在庇护国取得庇护，但是最终能否取得庇护还要看庇护国是否根据该公约制定了国内庇护法。其次，本章阐述了庇护国拒绝授予庇护的三种情形：已经受到联合国保护或援助的人、被认为无需国际保护的人以及确定为不得保护的人。已经受到联合国保护的人特指几种联合国针对特定地区的难民采取的保护、救助对象，这种人不能再接受其他庇护国的庇护；无需国际保护的人主要是指已经获得庇护国国籍的人不能再享受庇护待遇，而是享有等同于该国国民的权利、义务；不得保护的人是指曾犯过国际罪行的人、犯过严重非政治罪行的人以及违反联合国宗旨和原则的人。再次，本章阐述了停止实施庇护的终止条件：“受庇护者自愿接受本国保护”、“受庇护者自愿重新取得原国籍”、“受庇护者取得新国籍且受其保护”、“受庇护者在过去畏惧迫害的国家重新定居”、“受庇护者成为难民的理由不复存在”等五个方面。最后，本章论述了公平、快捷的庇护审查程序，这也是国际社会关注的保护寻求庇护者权利的一个重要方面。在此问题上并没有现存的国际法条约，庇护程序方面的国际法规则主要而是以国际组织决议的方式存在。国际组织决议鼓励庇护国给予寻求庇护者公平快捷的审查程序，在程序中提供必要的协助、保障寻求庇护者最基本的人权、保障程序合理公正，主要涉及程序的基本原则、查明事实的方式和允许上诉等若干方面。第四章是关于寻求庇护者在庇护各阶段能够享受的多种权利。本章以庇护申请的时间顺序从三个方面进行的论述：寻求庇护者入境前后不被推回的权利；申请者提出庇护申请之后的接待待遇；向寻求庇护者实施庇护之后的正式待遇。首先，本章论述了难民不推回原则的法律依据，包括国际难民条约、人权条约和国际习惯法两个方面；在难民不推回原则的具体内容方面，本章涉及难民不推回原则约束的对象、禁止的行为、保护的对象、适用的地域范围、针对的五种威胁等问题。其次，关于寻求庇护者的接待待遇方面，本章阐述了国际人权法公约、国际难民法公约中规定的庇护接待待遇标准；着重介绍了联合国难民署针对寻求庇护者的接待待遇和接待政策的建议决议，该建议对于各庇护国理解本国国际法义务有重要价值。庇护国不仅需要保障寻求庇护者个体最低的生理需求以及人格尊严，还要尽力保护老弱病残等特殊群体的特殊需求。最后，本章阐述了政治难民可以享受的正式待遇。该种待遇一般是指1951年《难民公约》授予“合法居留于庇护国的难民”或“在庇护国经常居住的难民”的诸多待遇。具体包括：经济、社会权利，例如就业权、自由职业从业权、社会救济权、住房权、知识产权等；公民权利和政治权利，例如取得旅行证件的权利、自由结社的权利、出席法院的权利等；难民享有的最终安置的权利，包括自愿遣返、自愿回国定居、重新安置、就地入籍等四个方面。第五章是关于中国难民庇护制度的现状及其完善建议。涉及到中国难民庇护实践、面临的法律问题、中国参与的国际条约、中国国内立法和司法实践是否符合国际法义务以及对完善中国难民庇护制度的建议等若干方面。首先关于中国难民庇护的历史，中国目前难民庇护的历史实践集中体现在对于印支难民、朝鲜脱北者、缅甸果敢难民的救助上，这些实践为我国庇护立法和司法的进一步完善提供了现实基础。但是在这些实践中也暴露出若干问题，例如中国目前未明确可以接受庇护对象，不承认政治难民的概念；不能完全履行难民不推回义务，尤其是对朝鲜脱北者；缺乏专门的难民申请和甄别程序等方面。其次，本章论述了中国参与的庇护相关条约以及中国应当承担的国际法义务。中国大量参与了庇护相关的国际公约，例如难民公约和数项人权公约，根据这些公约我国主要承担的国际法义务包括：难民身份的确定标准、不推回原则、寻求庇护者在庇护各个阶段可以享受的待遇标准问题。再次，本章还评析了我国国内立法关于庇护问题的相关规定，包括宪法条款和具体部门法、行政规章的规定等方面。最后本章对完善我国的庇护立法和实践提出了若干建议：从国内法上承认难民概念，完善甄别难民地位的标准；确定寻求庇护者在庇护程序的各个阶段的待遇标准；创设专门的难民甄别程序并明确专门的主管机关。更多还原

【Abstract】 Asylum, an ancient legal system, has developed from thousands years of humanhistory. Asylum stood at the cradle of human’s worship of superstition, developed inthe growth of the Christian church, matured in diplomatic practice of nation-state,famed for the protection of political offender after the France Revolution, transformedto protect refugees after World War II, reborn in the protection of human rights.Asylum has experienced numerous political and institutional changes and witnessedthe history of human development. The history of asylum is always related to thecharacteristic temper of an age and gains the force to growth. Currently, Asylum hasbeen combined within the system of human rights and will continue to play animportant role in the future.Since the day it was born, asylum has always complicated relationships withpower, religion, interests and human rights. The concept of asylum is filled withmisunderstanding, fuzzy and mysterious. The main purpose of this dissertation is toclarify the different characteristics of asylum in its different development stages anddetermine the contemporary legal concept of asylum, determine the legalresponsibilities of asylum country by review its commitment to international humanrights law and refugee law, make sure individuals in what extent to enjoy the right ofasylum and enjoy what kind of human rights in the process of asylum. Finally, thestudy returns to the respective issues of China. As a developing power in the world,China shall pay attention to the issue of asylum. Asylum is an important part of thecontemporary human rights protection. China’s huge development shall be harmonious with the protection of human rights. The dissertation is divided into fivechapters. The number of characters of this dissertation is totally about two hundredthousand, including the development history of the asylum, object of asylumprotection, conditions of asylum implementation, rights of asylum seekers and otherimportant issues.In the introductory section, the dissertation first introduces the UNHCR report oncontemporary global practice of asylum, including the number of asylum seekersreceived by40major asylum countries in the past two years. The figure of massiveasylum seekers visually illustrates the importance of the institution of asylum in theinternational legal system today. Then the author analyzed the academic materialswhich collected in the process of writing. Overall, foreign scholars moved far away onasylum issues than domestic scholars, either on wide range or degree of depth.Foreign scholars have come into agree for some basic problem of asylum which arestill been controversy and conflict within China scholars. Lots of literatures of Westresearchers reflect the point of view of consistency. The focus of their research hasgone into the deeper theoretical level. On the other hand, our scholars generally haveno much interest for research on the issue of asylum. Asylum history, the concept ofasylum, asylum implementation conditions, protected objects, and other basic issuesare not resolved. We still misunderstanding for those basic asylum problems. Solvethe basic problems of the asylum system will become important goal of this writing.The main research methods of this study include historical analysis, comparativeanalysis, case studies, charts analysis and other methods.The first chapter is an overview of the basic questions about the concept ofasylum and protection objects. The first chapter is mainly discusses the history ofasylum, the object of protection of asylum, the modern concept of asylum, therelationship between human rights and sovereignty. First, the chapter restated asylumin the age of ancient Greece, ancient Rome and medieval Christianity, and thendiscusses the asylum after the born of nation-state and the situation after the twoworld wars and other historical period. These historical characteristics help to deepenour understanding of contemporary institution of asylum. Subsequently, the chapter explains the two forms of the asylum, and territorial asylum and diplomatic asylum.The territorial asylum is recognized by contemporary international law and nationalpractices. The main object of this paper is territorial asylum rather than diplomaticasylum. Diplomatic asylum is generally prohibited by the contemporary internationallaw, only recognized within a limited range of areas, such as South America wherediplomatic asylum has legal force according to regional treaties. Secondly, thischapter focuses on the problem of protection object of asylum. Domestic scholars tendto agree that asylum is made to protect political offenders rather than politicalrefugees. This chapter discussed the history of protection for political offender andfinds that political offender once been protection object of asylum in the period ofFrench Revolution. It has been changed till now. The practice of internationalorganizations, national domestic legislation and judicial practice show that theprotection object of contemporary asylum system has been extended to the politicalrefugees. The “political offender Standard” has been taken place by “persecutionstandards”. Finally, the chapter discusses the relationship between asylum system andthe national sovereignty and human rights. Contemporary right of asylum has twomeanings, each of them related to sovereignty and human rights protection. Theasylum right is owned by sovereignty countries in the first place, which is part of thenational sovereignty. According to the principle of sovereignty and independence, thestate has the right under international law to determine whether or not to grant asylumto a person. There is no treaty requires countries must implement asylum. Meanwhile,the country of origin can’t consider the implementation of the asylum as unfriendlyand hostile behavior. In addition, the right of asylum also belongs to individuals.However, modern international law only grants individuals the right to apply forasylum. In the process of asylum, including application, examination andimplementation of asylum, the country of asylum and related countries shall respectthe human rights of the asylum seekers. The spirit of human rights protection has gonedeep in the process of asylum.The second chapter is the basis of the international law on asylum, includinginternational treaties, customary international law and general principles of law. First, this chapter discusses the asylum country’s obligations under international law frominternational refugee treaties and international human rights treaties. Internationalrefugee treaties mainly refer to the1951Convention relating to the Status of Refugeesand its1967Protocol. The Convention is the most important international law in thefield of asylum. The asylum countries tend to develop their domestic asylum lawaccording to the1951Refugee Convention. The Convention also provides theprinciple of non-refoulement of refugees. International human rights treaties inasylum system mainly refer to the "Universal Declaration of Human Rights",International Treaty on Civil and Political Rights and the International Convention onEconomic, Social and Cultural Rights. These human rights conventions make sureasylum seekers enjoy various rights during the asylum procedure. Secondly, thechapter explains international customary law in asylum which mainly related to theprinciple of non-refoulement. This chapter focuses on the nature of the principle, suchas its law-making purpose, national practices and widespread consistency. Finally, thechapter discusses the general principles of law which as is one kind of source ofinternational law,. In the asylum field, general principles of law does not occupy themost important position, but the fact of the world mainstream legislation consistentitself prove the existence of such a general principle of law. It may play a role infuture when international treaty or customary law could not solve some specificproblems.The third chapter concerns the examination criteria for implementation of theasylum and the procedures for application. It has been divided into four parts: thecriteria of implementation of asylum, denying asylum, stopping asylum andapplication proceedings. First, the criteria for examination is the most important issuesof this article, which focuses on the justified fear of "persecution","five kinds ofpersecution," living abroad, out of their own country’s protection. This criterion camefrom five premise condition for refugee status under the1951Refugee Conventionwhich has been accepted as the precondition for the grant of asylum in most asylumcountries in the world. Therefore, individuals qualified as the refugee status under1951Refugee Convention are often able to obtain asylum in the country of asylum. Secondly, the chapter explains three reasons for the countries of asylum refused togrant asylum: persons have been protected or assistance by United Nations, or personsdetermined to be not deserve to be protected, or person who have committedinternational crimes or serious non-political crimes and violation of the purposes andprinciples of the United Nations. Thirdly, this chapter explains the terminationcondition to stop the implementation of the asylum: asylees voluntarily accept theirorigin country’s protection, the asylees voluntary resettled on their origin country,asylees acquired a new nationality, and reasons caused the asylees fear have no longerexists. Finally, the chapter discusses the fair and efficient asylum application process.For this issue, the rules of international law exists but in the way of the resolutions ofinternational organizations. Resolutions of international organizations to encouragethe countries of asylum to give asylum seekers a fair and speedy review process, toprovide the necessary assistance in the program, and to protect asylum-seekers’ mostbasic human rights. The procedure mainly related to the basic principles of theapplication, to ascertain the facts and to allow the appeal certain aspects.The fourth chapter is about asylum-seekers’ variety of rights in each stages ofasylum. This chapter discusses of the three types of rights in chronological order: notpush back asylum-seekers to their origin frontier or area; asylum applicant’s receptiontreatment; formal treatment after grant of asylum. First, the chapter discusses the legalbasis of the principle of non-refoulement of refugees which including the internationalrefugee treaty, two human rights treaties and customary international law. This partdeals with problems within the principle, such as prohibited conduct, the object ofprotection, the territorial scope of the five targeted threats. Secondly, this chapterdescribes the standards for the treatment of asylum reception which set byinternational human rights law and international refugee Convention. This part alsofocuses on a proposed resolution of the UN Refugee Agency for the treatment ofasylum-seekers in reception and hospitality policy. The proposal is important tounderstand convention obligations under international law for the countries of asylum.The asylum country is not only requested to protect asylum-seekers’ physiologicalneeds and human dignity, but also need to protect the sick and elderly and other special groups. Finally, the chapter explains the formal treatment of political refugees.The formal treatment generally refers individual qualified refugee status under the1951Refugee Convention whom received legal residence in the country of asylum.The formal treatment included economic and social rights, which means the right toemployment, the right to freelance practitioners, the right to social assistance, housingrights, intellectual property rights. The treatment also refers to civil and politicalrights, such as the right to obtain travel documents, the right to freedom of association,the right to attend the court etc. Refugees enjoy the right of final settlement, includingvoluntary repatriation, return home voluntarily, resettlement and naturalization.Chapter V is about the status of China’s asylum system and suggestions for itsimprovement. Those legal issues include China’s participation in international treaties,domestic legislation and judicial practice compliance with obligations underinternational law. First, the asylum historical practice of China is mainly related toIndo-Chinese refugees, North Korean defectors, Burma refugees. These practicesprovide the realistic basis for further improvement of China’s asylum legislation andjudicial practice. But these practices also have revealed some serious problems, suchas China does not recognize the concept of political refugees, not completely fulfillnon-refoulement obligations, lack of specialized applications procedures. Secondly,the chapter discusses China’s participation in the asylum-related treaties. China isheavily involved in the asylum of the relevant international conventions, such as theRefugee Convention and Conventions on Human Rights. China’s major conventionobligations under international law include criteria for determining refugee status, theprinciple of non-refoulement, treatment standards for asylum seekers. This chaptercomment on the relevant provisions of China’s domestic legislation on asylum issues,including constitutional provisions, sector-specific law and administrative rules.Finally, this chapter contains some recommendations for the Improvement of theasylum legislation and practice of China. Such as Recognize the concept of refugee;improve the standard of treatment for refugee status; determine the examinationstandards for grant asylum to seekers; creation of a special refugee procedures andexplicitly specialized competent authorities.更多还原