【作者】 王晓丽；

【导师】 程卫东；

【作者基本信息】 中国社会科学院研究生院 ， 国际政治， 2014， 博士

【摘要】 在欧盟宪政的发展过程中，欧洲联盟法院不断修正在基本权利保护方面的态度而使欧盟法获得至上的权威。《欧盟基本权利宪章》的出台和生效使基本权利保护从欧洲联盟法院遵守的一般法律原则发展为一套较为完备的“权利清单”。新近发展起来的欧盟移民与避难法律成为以基本权利保护为基础的欧盟宪政的一部分，从立法到实施的各个环节都要尊重和保护基本权利。在权利话语兴起的背景下，第三国国民不再被单纯地视为外来的劳动力，而被认为是“权利的持有者”。保护第三国国民的权利成为欧盟移民与避难法律的重要目标。学界一般认为，对外来移民的管控是一个国家主权的核心内容，是不可让渡的权力。然而，欧盟通过指令这种立法方式，分享了原本专属于成员国主权事务的移民与避难领域的立法权能。作为区域性的国际组织，欧盟独创性地在欧盟层面对移民与避难事务进行共同立法，并已经初步建立了共同移民政策和共同避难体系。当前，欧盟国家有关移民事务的决策权在一定程度上已经转移至欧盟的层面。移民与避难政策已不再纯粹是成员国的主权事务，而是被纳入欧盟的法治框架之中。在欧盟立法的约束下，成员国必须在行使国家主权权力和尊重第三国国民个人权利之间达到一种平衡。欧盟移民与避难法律继承了国际人权法中的“家庭权”、“避难权”等权利内容，并在此基础上赋予这些权利更加丰富的内涵。欧盟立法已经赋予部分第三国国民在欧盟范围内自由流动的权利，例如高技术工人和欧盟长期居民。“平等待遇”条款的使用使长期居民、受雇劳动者和避难者在一些领域能够享有与成员国国民平等的待遇。除欧盟公民身份作为权利的基础之外，长期居民身份在欧盟成为一种新的身份和权利基础。欧盟在移民与避难领域的共同立法在总体上提升了第三国国民的权利水平。坦佩雷会议赋予第三国国民与欧盟公民类似权利的目标逐步得以实现。更为重要的是，在欧盟的法治框架中，第三国国民的各项权利可以直接在法庭上主张并通过诉讼的方式得以实现。个体诉讼与欧洲联盟法院司法能动主义的结合将推动第三国国民权利保护水平不断提高。在欧盟的法治框架下，欧盟机构立法赋权、委员会监督实施和欧洲联盟法院的司法保护在欧盟层面构建起对第三国国民的权利保护机制。欧盟层面的监督和第三国国民对自身权利的捍卫从两个维度上削减了成员国主管部门的任意性权力，促使各成员国的移民与避难事务逐步实现欧盟层面的法治。随着人权保护原则在欧盟法上的确立和发展，欧洲联盟法院新增了“基本权利法院”这个角色。在具体的案例中，欧洲联盟法院发挥司法能动性，本着保护第三国国民基本权利的态度对欧盟立法进行解释。《欧盟基本权利宪章》成为这种对第三国国民权利保护的宪法性依据。欧盟移民与避难立法为成员国留出了大量的自由裁量空间，导致在一些领域成员国仍旧可以对第三国国民的权利施加各种条件和限制。然而，欧洲联盟法院对一系列案例的判决表明，成员国自由裁量权的行使是受到约束的。即使是在立法过程中确定为成员国行使权能的事项也要符合欧盟指令的总体目标，更要受《欧盟基本权利宪章》的约束。在一些案件的裁决中，欧洲联盟法院直接援引宪章对欧盟指令中含糊不清的条文进行解释，确定第三国国民应当享有的权利。在欧盟立法协调尚不完善的领域，欧洲联盟法院通过发挥司法能动主义在一定程度上弥补了立法上的不足，使第三国国民权利的实现获得重要的司法保障。更多还原

【Abstract】 During the constitution of Europe, the Court of Justice of the European Union (CJEU)realized the supremacy of EU law through modification of its attitude towards fundamental right.“EU Charter of Human right and Fundamental Freedoms”(the Charter) developed fundamentalright protection from the general principle of EU law to an adequate “list of rights”. As part of thisEuropean constitution process based on fundamental rights, the recently developed EUimmigration and asylum law has put the protection of fundamentals rights at the very core of thelegislation and implementation process. Third country nationals (TCNs) are no longer regarded asmere laborers, but “human right holders” instead. Protecting the rights of TCNs has become animport goal of EU immigration and asylum law.It is believed by many scholars that the power to control immigration and asylum lies at thevery core of a state’s sovereignty. However, by promulgating directives, the European Union hasmanaged to share the competence in the field of immigration and asylum which used to becontrolled exclusively by the member states. The European Union has innovatively initiated jointlegislation in the field of immigration and asylum and has already established commonimmigration policy and common European asylum system. Immigration and asylum affairs are nolonger purely subject to sovereign control, but have already been incorporated into the system ofrule of law at the EU level.The EU immigration and asylum directives have incorporated the concepts like “right tofamily life” and “right to asylum” in international human right law and further enrich the contentof these rights. EU law has given the right to free movement within the EU to high-skilledmigrants and long-term residents.“Equal treatment” clauses in these directives have enabledlong-term residents, employed workers and asylum seekers to enjoy equal treatment in certainareas. EU long-term resident status has become a new basis of rights alongside EU citizenship. EUimmigration and asylum legislation has helped to upgrade the rights of TCNs and made it closer tothe rights of EU citizens, as envisaged in the Tampere European Council.More importantly, the rights of TCNs can be realized through lawsuit in courts. Individuallawsuits and the judicial activism of the CJEU have driven up the level of protection of the rightsof TCNs. The mechanism for protecting the rights of TCNs has been established including the EUlegislative empowerment, Commission’s supervision and the judicial protection of CJEU. EUlevel supervision and individual lawsuits have reduced the discretionary power of member statesand helped to realize the EU rule of law in the field of immigration and asylum. CJEU hasrecently acquired a new role of “fundamental right court”. In the cases related to immigration andasylum, CJEU has made clear its position to protect the rights of TCNs. Although the EUimmigration and asylum directives normally leave certain room for discretion to the memberstates, the CJEU judgments show that the exercise of discretion by the member states has to beconstrained by the purpose of these directives and even more importantly by the Charter. Thejudicial activism of CJEU has made up the shortcoming of legislations to a certain extent.更多还原