【作者】 王燕；

【导师】 余劲松；

【作者基本信息】 中国人民大学 ， 国际法， 2008， 博士

【摘要】 非政府组织在WTO下的参与权研究可以说是个新颖并且挑战传统学说的一个法律问题。乌拉圭回合之前,GATT被严格定义为“成员方驱动”的临时协定,非政府组织本身并无参与权。WTO成立之后,《马拉喀什协定》规定可与非政府组织进行咨询,从而为非政府组织的参与提供了一定的法律依据。自多哈回合以来,伴随市民社会的壮大,非政府组织对于推崇贸易利益至上的WTO日益感到不满,她们以保护公共利益和弱势群体为己任,积极争取在WTO中的意见表述权。如果说非政府组织的抗议是推动WTO改革的外部动力,那么WTO体制可持续发展的需求则构成WTO透明度和参与性改革的内因。当WTO规则成为分配各国人民在贸易、投资、知识产权、环境保护、竞争政策等领域中利益的法律依据时,以“俱乐部”模式运作的WTO所体现出来的“民主缺失”问题昭然若揭。非政府组织参与权问题正是在这样的背景下产生,成为涉及到WTO体制正当性和民主性的重要因素。这个问题的解决,将决定WTO未来发展的可持续性。基于这样的认识,论文围绕着非政府组织是否应该享有WTO体制下的参与权,参与的路径以及参与的正当性进行了详尽的分析。论文分为六章,约24万字。第一章和第二章提出问题,何为非政府组织在WTO下参与权;非政府组织参与的必然性和必要性是什么?第三章到第五章论证了非政府组织在WTO下参与权的构成和正当性。第六章是本文的结论,作者根据全文的理论和实证分析,并结合中国的国情,提出增进非政府组织在WTO下参与的若干建议。第一章是全文的基础,主要介绍非政府组织的概念、地位以及参与权的内涵和外延。论文在进入正式理论分析之前,先对国际公约和文件中非政府组织的定义进行了对比,以确定非政府组织为国际社会所普遍承认的条件和特征,并比较了非政府组织与类似概念如跨国市民社会之间的区别。而参与权也并非一个明晰的概念,晚近参与权在国际关系学中的发展,摆脱了人权或政治权利的单一属性,而被赋予了民主权利属性。更重要的是,90年代后环境法领域一些公约的通过,拓宽了参与权的外延,使其从决策层面的投票权延伸至立法、执行、司法领域的全方位参加权。第一章还介绍了本文的研究背景,即晚近国际形势最新发展对非政府组织参与的促进。首先,WTO管辖领地从传统的贸易领域向社会价值领域扩张,客观上要求WTO听取代表社会价值的市民团体的意见;其次,市民社会的兴起和壮大,为政府、私人之外的第三部门参与国际立法、执法和司法提供了物质基础;再次,社会法从公法、私法二分模式中独立出来,形成公法-私法-社会法三足鼎力的局面,为市民社会参与跨国社会问题的立法和执行提供新的场合;最后WTO面临的民主缺失也需要市民团体的参与以增强民主投入。第二章着重分析了非政府组织参与WTO的必要性。从利益分析的角度来看,非政府组织参与WTO的必要性实际上反映为她们对增进国际法的有效性和正当性所提供的福祉和利益。非政府组织对全球贸易规则有效性的促进体现为大量新的具有约束力的贸易规则在非政府组织的积极参与下而产生,弥补了政府间组织进行贸易立法的滞后和不足,满足国际贸易立法增量的需求;并且她们还协助政府间组织解释现有的贸易规则,澄清异议,填补空白,为促进贸易有序、高效地发展而贡献卓越;再有就是她们作为“法庭之友”,向国际争端解决机构提供专家意见,协助国际司法程序的顺利开展。除此之外,非政府组织对于国际贸易规则民主正当性的促进也是深远的。她们的介入,使得国际贸易规则在执行过程中“去政治化”,得以民主、正当地执行;她们代表非贸易团体,为贸易利益相关人争取WTO下的利益,以纠正WTO内在的偏向资本优势团体的利益歧视性。论文的第三章首先对非政府组织在WTO下立法参与权进行研究。作者首先分析了WTO协定中有关非政府组织参与的若干条文。然后介绍了目前非政府组织在WTO中立法参与的形式。WTO协定中直接涉及非政府组织参与的条文寥寥可数,但其各分项协定下有若干条文间接指向了非政府组织的参与。秘书处作为连接WTO与非政府组织的纽带,自多哈回合,在每次部长级会议召开之前吸收符合资格的非政府组织参与到部长级会议中来。会议期间,秘书处提供便利为非政府组织召开专项研讨会,提供简报会等,与非政府组织进行沟通。多数成员方对于非政府组织的参与充满戒心,理论届也是针锋相对。反对派强调国际法的国家主义,认为WTO是个俱乐部式的组织,任何非成员方均不应介入WTO,否则非政府组织构成在国内层面和国际层面两次民主参与。因此,WTO应秉承个人的“民主参与权国内用尽”原则,不接受任何形式下非政府组织的介入。赞成派则持个人主义的观点,针对WTO体制的民主缺失进行抨击,认为WTO规则距离民众过远,其规则的产生不具有正当性,并不符合WTO追求透明度的原则。因此,本章将比较国家主义下管制自由论和个人主义下有效市场论以及贸易利益相关者理论,根据三种理论产生的时代背景以及WTO的性质,考量WTO在未来的发展中应采取的理论模式。第四章是对非政府组织在WTO下司法参与权的研究。争端解决机制一直被学者们认同为WTO的核心价值。作为WTO实质上的司法机构,非政府组织在其下的参与也同样影响WTO主体构成。非政府组织当前在争端解决程序的介入以法庭之友的身份。自海虾-海龟案后,上诉机构在争端决程序中逐步发展出一套非政府组织主动向其提交意见书的程序,引发了成员方争论。因此,本章立足于案例研究,通过对海虾-海龟案、英国钢铁案、欧共体石棉案,以及新近的巴西翻新轮胎案等的研读,对上诉机构处理非政府组织在WTO下司法参与的正当性进行分析。分析以DSU中涉及非政府组织司法参与的条文作为依据,借助于《维也纳条约法公约》的条约解释原则,然后得出结论:加强非政府组织在WTO下的司法参与本身并非不当,但上诉机构运用司法能动主义的模式篡夺了政治机构的立法权限,违背社会价值引入WTO的正当模式,并且在处理非政府组织提交意见书的方式上也违反了司法的正当程序。非政府组织在整个国际法领域下的参与并非WTO体制下的独特现象。鉴于政府间组织在管辖领地上存在着潜在的竞争,市民社会在游说参与权的过程中也试图以“体制转移”的策略在较为友善的政府间组织中推行相关的社会价值。因此,第五章通过体制的比较分析,借助于对其他政府间国际组织,如联合国、世界银行、OECD以及区域性贸易组织下非政府组织参与权的研究,以期对WTO下相关制度建设提供借鉴。所有的国际组织同WTO一样,面临着相同的民主缺失问题,并承受着外部市民社会的压力。但不同的国际组织给与非政府组织参与权的程度是不同的,获得的成效也不同。本章的分析分为两部分:首先是非政府组织在其他政府间组织中决策参与的状况以及政府间组织对于非政府组织的行为规范;其次是非政府组织在其他政府间组织下司法或执行参与状况及其评价。需要注意的是,即便是类似的贸易组织,参与的路径和参与的程度也不能照搬。例如,欧盟体制下非政府组织不仅具有非争端方的司法参与权,还享有争端方的诉讼提起权。对于后者,WTO尚且不具备授予的条件。私人诉权在WTO体制下的推行,需要具备几个因素:WTO下各成员方经济、文化、社会等因素的进一步趋同和整合;WTO体制要真正演变为类似于欧盟的新法律秩序,以及WTO法对成员方国民有直接适用的效力。最后,通过上述五章的分析,第六章得出加强非政府组织在WTO下参与权的若干建议。首先,应完善WTO下非政府组织参与的规定,为增进非政府组织的参与权提供条约基础或法律依据;其次,争端解决机构在进行有关非政府组织司法参与约文的解释上,应司法克制,慎防司法立法行为;再次,鉴于非政府组织地域分布的不均衡,在构建非政府组织参与权时,要注意非政府组织的代表性、公正性、专业性等因素,并扶植南方国家非政府组织的发展,给与南方市民社会意见优先的考虑;另外,WTO应借鉴其他国际组织下非政府组织参与的方式和行为规范,合理地构建WTO体制下非政府组织参与权;最后,中国作为WTO的成员,并且是最富有影响力的发展中成员方之一,应看清非政府组织在全球治理中参与的实质和趋势,并积极扶持本国非政府组织的成长和壮大,促进市民社会在中国的形成和成熟,从而更充分地发挥中国非政府组织在全球治理中代表中国民众的作用。总之,非政府组织将持续在国际法领域中发挥作用并争取参与权。她们对WTO封闭性的抵制和抗议不利于WTO新议题的谈判,也使得WTO逐渐丧失民心。鉴于非政府组织参与已经成为一种不可逆转的趋势,WTO也无从逃避。只有顺应形势,并且摸索出一套系统的、合理的与非政府组织咨询路径,才能改善其民主正当性,保障体制的可持续发展。更多还原

【Abstract】 The Participation Right of NGOs in the WTO is a new but challenging legal issue. Before Uruguay Round, GATT, the predecessor of the WTO is firmly defined as“member driven”agreements, which deny the participation right of NGOs completely. Only after establishment of the WTO, does Marrakech Agreement allow the WTO consult with NGOs, which provides the legal basis for the participation of NGOs. As the civil society becomes stronger, NGOs are increasingly unsatisfied with the superiority of trade value pursued by the WTO. They stand for public interests and minority interests, aggressively fight for the“Voice Right”in the WTO. If the protests held by NGOs are outward force pushing forward the reform of the WTO, the need for sustainable development is the inner cause for transparence and participation reform. When WTO rules have been treated as the legal basis to allocate the interests of different peoples around the world in fields of trade, investment, intellectual property, environmental protection, competition and so on, the“democratic deficiency”of the WTO, which is operated on“club model”, has been clearly unveiled. The issue of NGO’s participation right comes to light right in this situation, and constitutes a critical element in deciding the legitimacy and democracy of the institution. If solved properly, the sustainable development of the WTO will be ensured.Therefore, the thesis makes a detailed analysis on whether NGOs should have participation right in the WTO, the route of participation and the legitimacy of participation.The thesis is divided into six chapters, which adds up to 240,000 words. The first two chapters raise the questions, what is NGOs’participation right in the WTO, and what are the necessities for their participation. Then, the constituency and legitimacy of NGOs’participation are analyzed in Chapter 3, 4 and 5. Chapter 6 draws a conclusion after theoretical and empirical studies in former chapters.Chapter 1 is the cornerstone of the thesis, which introduces the definition, status of NGOs and scope of participation right. This chapter first compares definitions of NGOs in different international conventions and legal documents, and summarized the requirements and characteristics of NGOs as commonly recognized by international community. The differences between NGO and transnational civil society is defined here as well. Participation Right is another controversial legal term. The recent evolvement of participation right in international relations, breaking the limits of human right or political right nature, but entrusted it with a democratic entitle. And more importantly, the ratification of certain conventions on environmental protection enlarges the scope of participation right, which extends its range from policy-making to legislation, execution and litigation. Chapter 1 also describes the impacts of recent development of international policies on NGOs’participation, which constitutes the background of the research. First, the jurisdiction of WTO is enlarged from trade area to social value area, which requires the WTO listen to civil society’s opinions, who stands for social value. Secondly, the rapid development of civil society provides material basis for the“third department”to participate in legislation, execution and enforcement of international rules. Thirdly, social law is separated from public law and private law, provides new arena to solve the transnational social problems. And the last but not the least, the democratic deficit encountered by the WTO also requires more democratic input through participation of civil organizations.Chapter 2 focuses on the necessity of NGOs’participation in WTO. From the perspective of cost-benefit, NGOs’participation will enhance the efficiency and legitimacy of international law. Numerous binding trade rules are adopted with the assistance of NGOs, which rectifies the deficiency of trade rules drafted by the International Governmental Organizations. NGOs also help interpret existing trade rules, clarify ambiguities, and fill the gaps, so as to promote the international trade. Furthermore, as“friends of courts”, NGOs can provide expert opinions to international courts, and assist in the running of international judicial procedures. Apart from these, NGOs may enhance the democracy of international trade rules as well. The involvement of NGOs in execution can make the rules de-politicalized. And they represent non-trade organizations, fight for the interests of trade stakeholders, which changes the potential discriminatory nature of the WTO.Chapter 3 researches on NGOs’participation in policy-making process of the WTO. Several relevant provisions are analyzed first, followed by the introduction of participation manner of NGOs. Actually, the articles directly relating to NGOs’participation are rare, but several provisions under sub-agreements indirectly refer to their participation. As the collecting bond between NGOs and the WTO, the Secretariat allows qualified NGOs attend each Ministerial Meeting from Doha Round. During the Ministerial Meeting, the Secretariat also offers assistance to convene symposia and provides daily briefs for NGOs. Most of the members oppose to give more participation to NGOs. And theories relating to NGOs’participation disagree with each other. Scholars against NGOs’participation emphasize the statism of international law, and treat the WTO as a Club-Model organization. Any non-member shall not be invited into the WTO; otherwise, NGOs will participate twice in domestic and international affairs. So the WTO shall insist on the principle of“exhaustion of democratic right domestically”, denies any types of participation by NGOs. While scholars with individualism opinions impugn on the WTO’s democratic deficit as the WTO is too far away from ordinary people, which makes the rules lack of legitimacy. So this Chapter will compare Regulatory Freedom Theory under statism with Efficient Market Theory and Trade Stakeholder Theory under individualism, and considers which theory shall be adopted by the WTO for future development.Chapter 4 analyzes NGOs’participation in dispute resolution process of the WTO. The Dispute Resolution Mechanism has been applauded as the“pearls in the crown”. As the de facto juridical branch of the WTO, the participation in DSB also relates to the constituency of subjects of the WTO. Currently, NGOs enter into the judicial procedure of the WTO through“Amicus Curiae”. The Appellate Body have established a series of procedures allowing NGOs submit their opinions without solicitation since Shrimp-Turtle case, which arouse arguments of members. Chapter 4 mainly engages in case studies, through the reading of Shrimp-Turtle case, UK Steel case, EU Asbestos case and the recent Brazil Retreated Tyre case, the legitimacy of Appellate Body’s handling manner on unsolicited Amicus Curiae Briefs is analyzed. After interpreting relevant articles of DSU through the customary method of treaty interpretation adopted by Vienna Convention, the thesis opined as:More judicial participation of NGOs in WTO is free from impunity, but the Appellate Body errs in usurping political organ’s legislative power through judicial activism, incorporating social value into the WTO with illegitimate manner, and violating due process principle when handling NGOs’briefs.NGOs’participation in international community is not a unique phenomenon for the WTO. As potential competitions for more fields and authorities among different IGOs exist, and civil society tries to using the“regime shifting”strategy to sell their social value to NGO-friendly IGOs, therefore, Chapter 5 takes a comparative study on NGOs’participation in different IGOs, such as UN, World Bank, OECD or regional trade organizations, expecting to give some advices to the WTO. These IGOs all encounter the same“democratic deficit”problem as the WTO, and most survive the pressure from civil society. As different IGOs entitle different participation to NGOs, they are paid off differently. Chapter 5 first studies NGOs’participation in other IGOs’policy making and how these IGOs regulate NGOs behaviors, then continues to study NGOs’participation in judicial process or enforcement mechanism. It’s worthy mentioned that the participatory route shall not be copied directly even from similar trade organizations. For example, the judicial participation right under EU regime includes participation rights both as non-disputing party and disputing party. But the latter shall not be introduced into the WTO. To adopt the individual litigation right in the WTO, certain conditions shall be met: the economy, culture, and social values of the member states shall be converged and integrated further; the WTO shall become a new legal order as the EU, and the WTO rules shall have direct applicability to the nationals of the member states.After analysis of above five chapters, Chapter 6 summarized as follows. First, the rules relating to consultation with NGOs under WTO shall be further completed, so as to provide legal basis for NGOs’participation. Secondly, the Panel and Appellate Body shall maintain judicial constraint, avoid judicial legislation. Thirdly, the imbalance of distribution of NGOs shall be noticed, and the elements of representation, fairness and professionness shall be taken into account. More resources and opportunities shall be distributed to southern NGOs. Fourthly, the WTO may follow other IGOs’experiences on regulating the behavior of NGOs. The last but not the least, China as the most influential developing country under the WTO, shall respect the tendency of NGOs’participation in global governance. Chinese government shall assist in developing the local NGOs, allowing local NGOs to play positive role in global trade governance.To sum up, NGOs will continue to function and push for more participation in international law. The resistance and protests by NGOs to the close nature of the WTO have seriously hampered the negotiation of new issues, and taken away people’s confidence and faith on WTO. As their participation has been an unavoidable trend, WTO shall conform to the trend, and find a systematic and reasonable way to consult with NGOs to enhance its democratic legitimacy and ensure a sustainable regime development.更多还原