【作者】 刘再辉；

【导师】 邓瑞平；

【作者基本信息】 西南政法大学 ， 国际法学， 2009， 博士

【摘要】 二战后国际社会最深刻的变化是以联合国为核心的国际组织的崛起,不仅数量急剧增长,功能和影响也无所不在。从外层空间到洋底海床,从政治经济到文化卫生,从咖啡香蕉到石油核能,从体育音乐到战争难民,无处不见国际组织的活跃身影,甚至人类的一切都或多或少地在国际组织的影响之下。国际社会的组织化趋势催生出崭新的、以国际组织为研究对象的国际法分支学科——国际组织法。从国际组织法研究状况看,众多国际组织中,联合国、世界贸易组织和区域性政治经济一体化组织欧洲联盟自然长期受到研究者的追捧,而青睐北美自由贸易区、东南亚国家联盟、亚太经济合作组织等区域性国际组织的同样大有人在。然而,对于目前唯一一个由中国倡导成立并发挥主导作用的国际组织——上海合作组织,却鲜有法律学者问津。客观而言,国内外关于上海合作组织的研究成果无论形式还是内容都可谓丰富多彩,但从法学角度解剖、诠释这一国际组织的学术作品至今寥寥无几。国际组织是国际社会开展国际合作的有效法律形式,法律元素从来就是国际组织不可或缺的组成部分,而以法律为切入点观察分析国际组织也是研究国际组织的重要方法,从这个意义上说,法学界必须对上海合作组织发出自己的声音。补齐上海合作组织研究领域的法学短板,正是本文的写作目的。本论文属于补白性选题,以国内外法学界尚未做过系统研究的上海合作组织法作为研究对象。其学术价值在于进一步拓宽了国际组织法的研究范围,开辟了上海合作组织研究的新领域,填补了关于该组织的一个研究空白。揭示法律因素在上海合作组织机制建设、安全协作、经贸合作中的地位与作用,是本文的理论意义所在。研究问题最终是为了服务于现实需要,为决策部门拟订方针、出台制度、解决问题提供理论依据,同时为相关部门的具体操作提供参考意见,并为今后的研究工作奠定一个扎实的基础,是本文希望达到的现实目的。上海合作组织的法律研究涉及国际法的三个领域,即国际组织法、国际刑法、国际经济法。国际组织法是从公法角度对上海合作组织的性质、法律人格、运作机制、成员制度等进行探讨;国际刑法是从成员国之间的安全合作入手,解剖反恐斗争、多边刑事司法合作中存在的法律问题,揭示安全合作法律机制的特点与不足;国际经济法主要研究区域经济合作中的法律问题,内容涵盖贸易投资便利化、上海合作组织自由贸易区,成员国之间的能源合作等。论文综合运用了实证分析、比较分析、分类研究等研究方法。实证分析法是基本而重要的法学研究方法,也是本文的主要研究方法;比较分析法主要用于本组织与其他国际组织,以及本组织各成员国之间法律制度的比较与借鉴;国际法规范的分类研究是一种传统的国际法研究方法,也在论文中得到了运用。论文的整体结构遵循了“一根主线、两个方面、三种类别”的思路。“一根主线”指的是以上海合作组织所面临的主要或基本的法律问题为主线:“两个方面”是指论文研究的法律问题主要与组织的基本形态和具体运作有关;“三种类别”是指论文探讨的各种法律问题大体上可分为组织建设法律问题、安全合作法律问题以及经贸合作法律问题三类。全文按组织建设法、安全合作法以及经贸合作法的顺序依次展开。论文由绪论和正文(七章)组成,共约20万字。绪论部分对选题的背景和意义、研究状况与文献综述以及研究思路、结构安排等进行了说明。第一章探讨了上海合作组织的法律属性和法律地位。所谓法律属性,是相对于该组织的政治属性和经济属性而言的。第一节首先回顾了上海合作组织的发展历程,然后围绕本组织的法律根据——宪章分析了它的宗旨和原则:通过对其法律定位明确了该组织的法律性质;最后梳理、论证、阐述了上海合作组织与成员国、成员国的国民、非成员国及其他国际组织的法律关系。法律人格决定国际组织的法律地位。第二节在分析国际组织法律人格理论的基础上,结合相关法律规范,探讨了上海合作组织法律人格的确立过程与作用、意义。接着对该组织法律人格的多重性和多层次性作了剖析,指出上海合作组织作为国际法主体,既有国内法上的人格,也有国际法上的人格。特权与豁免法律制度对上海合作组织具有极为重大的意义,第三节从特权与豁免法律制度的法理基础入手,立足于《上海合作组织特权与豁免公约》等法律规范,对各类主体所享有特权与豁免的内容、范围及限度分别作了深入研究。同时评析了上海合作组织的特权与豁免制度,认为其在内容和形式上借鉴了《联合国特权与豁免公约》。在肯定特点的同时,也指出了不足。解析上海合作组织成员制度的任务由第二章完成。宪章对上海合作组织成员资格的取得、中止与丧失作了原则性的规定。成员国作为组织的组成部分时,其权利义务包括每个成员国本身的权利义务和所有成员国作为一个整体的权利义务。观察员制度是上海合作组织同其他国际组织或国家进行对话、交流的重要平台,观察员资格的取得条件、程序及权利界限由相关法律规范明确。对话伙伴制度是观察员制度的补充和扩展。本章也对对话伙伴的法律地位、给予相对话伙伴地位的方式和程序进行了阐述。第三章论证分析了上海合作组织的法律秩序。本组织的法律秩序由组织框架内的各种法律规则组成,包括宪章、决议(建议、宣言、联合声明等)、各类公约、约束性决定以及适用于该组织的国际法、一般法律原则与习惯法等,形成了一个相对独立的国际法体系,体系内部的规则具有等级性。上海合作组织的各类规范性文件形式多样,名称不一,性质、效力各不相同,有必要逐一理清。本章对条约性多边文件、宣言类文件、联合声明与联合公报、谅解备忘录及各类组织决议的法律性质及效力进行了分门别类的整理和归纳。第四章讨论了上海合作组织的机构与程序法律制度,从组织结构、议事机制、预算经费制度、争端解决机制等方面阐述了上海合作组织的运作机制。上海合作组织的组织结构由权力机关、执行机构等组成,包括国家元首会议、政府首脑(总理)会议、外交部长会议、国家协调员理事会会议、各部门领导人会议、秘书处、地区反恐怖机构等。其议事规则有会议制度、决策程序、执行程序等。上海合作组织活动经费的来源、支出、预算编制等问题均由《上海合作组织预算编制与执行协定》规定。上海合作组织目前还没有建立起完整、有效的争端解决机制。通过与WTO、欧洲联盟、北美自由贸易区等国际组织进行对比,发现本组织在组织结构的完备性、权威性等方面存在不小的差距,由此启示上海合作组织要在提高组织机构的机制化运作程度等方面做文章。第五章集中探讨上海合作组织的安全合作法律机制。上海合作组织框架下的区域安全合作以反恐斗争为核心,因此其安全合作法律框架基本上是围绕反恐法律构建。具体由国际法及成员国国内法两个部分构成,其中国际法层面又有全球性法律规范和区域性法律规范之分;国内法部分主要是各成员国制定的与反恐有关的实体法和程序法。上海合作组织初步建立了以反恐法制为核心的安全合作法律体系,并设有专门的跨国反恐机构,但也存在规范体系不全,人权保障乏力,多边刑事司法协助开展不力等局限。为此,要通过调整反恐理念、填补法律盲点以及转变合作模式、克服立法不足等方式加以完善。第六章是对组织框架下地区经贸合作的法律解读。首先从区域经济合作法律平台的角度剖析了多边经贸合作规则,比较并评析了成员国的外贸投资法律制度。接着对组织框架下的贸易投资便利化进程展开了法律分析,指出迟滞贸易便利化进程的法律因素以及投资便利化缺乏法律动力。然后针对构建上海合作组织自由贸易区的战略目标,结合WTO规则,就其中面临的法律障碍进行了分析。最后对成员国能源合作中的法律原则、法律方式、法律依据及争端解决提出了自己的看法。第七章主要阐述了中国与上海合作组织的利益关系以及上海合作组织的发展方向。上海合作组织对中国具有重要战略意义,并对中国国家利益产生重大影响。上海合作组织在明确战略定位之后,应向多功能组织发展,在条件成熟时要积极扩员,吸纳周边国家加入本组织,扩大组织影响。论文的最后部分总结了研究得出的结论。通过对上海合作组织在机制建设、安全合作、经贸合作等领域存在的法律问题、法律现象进行全景式扫描,论文得出三点结论:第一,上海合作组织已经初步形成了独立的法律体系;第二,上海合作组织法律体系尚欠成熟,要使之完备、有效还有很长的路要走;第三,法律因素还没有对组织的整体发展构成决定性影响,法律的地位和作用还没有得到充分体现。更多还原

【Abstract】 After the Word WarⅡ,the deepest change of the international society is the rise of international organizations whose core is the United Nations.Not only the numbers of the international organizations increase rapidly,but also their function and influence spread comprehensively.From the outer space to the ocean bed,from politics and economics to culture and hygiene,from sports and music to war refugees,international organizations have their active roles.They affect even all areas of human beings more or less.The organizing of the international society brings out a new branch of International Law——International Organizations Law(IOL) whose study objects is international organizations.Among the study objects of IOL,United Nations(UN),World Trade Organizations(WTO) and European Union(EU) are popular choices,North American Free Trade Agreement(NAFTA), Association of South-east Asian Nations(ASEAN) and Asia-Pacific Economic Cooperation (APEC) and other regional organizations also attract the scholars’ interest.However,as the only organization founded and played a major role by China,Shanghai Cooperation Organization(SCO) does not obtain much attention of law scholars.Objectively, the foreign and domestic study fruit of SCO have colorful contents and forms,there are few academic harvests to study and interpret SCO from the angel of law.Since international organizations are the affective legal form for the international society to cooperate internationally,and law is the necessary the element of international organizations,the legal angle is one of the important study ways for international organizations;legal profession must sound their voices to SCO.Making up the defect of the legal research of SCO is the purpose of this paper.Because the international and domestic legal profession has not made a systemic study on SCO,this paper is to fill the blank.The academic value of this paper is that,it expands the object scope of International Organizational Law,explores a new study area and fills a study blank of SCO.Revealing the status and functions of law element in the structure establishment,security coordination,economics and trade cooperation in SCO,is the theoretical value of this paper.The realistic object of this article is to satisfy the realistic need, to provide the policy-making bodies with theoretical basis in drawing policies,establishing regulations and resolving problems,to offering the relevant bodies with advice in particular execution,and to proffer the future study a solid basis.The study on the law of SCO relates to three aspects of International Law,they are International Organizations Law,International Criminal Law and International Economic Law. From the side of Public International Law,International Organization Law focuses on the character,legal personality,operative mechanism and membership regulations of SCO; International Criminal Law studies on the problems of the security cooperation,anti-terrorism, multilateral criminal judiciary cooperation among the members of SCO,and reveals the specialties and defects of the legal mechanism of security cooperation;International Economic Law prefers to the legal issues in regional economic cooperation,such as the smoothing of trade and investment,the free trade zone of SCO,members’ cooperation in energy,etc.This paper multiply applies the study methods of positive analysis,comparative analysis, classification research,etc.Positive analysis is the may study method of this paper for that it is a basic and important study method of law;Comparative analysis mostly applies to the law comparison and adoption,between SCO and other international organizations,and among the SCO member states;Classification research on international law is also applied in this paper as a traditional study method in International Law.The dissertation is underlined by a center,two aspects and three classifications.The center refers to the main legal issues that the SCO faces.Two aspects mean that the chief legal problems that the dissertation researches are related to the basic forms and specific operation of the SCO.Three classifications mean that the legal problems are classified into the following three groups,i.e.,the legal problems of the organization construction,security cooperation,and economic and trade cooperation.The dissertation is organized in accordance with the organization construction law,security cooperation law,and economic and trade cooperation law.This paper is composed by the Introduction and the Text.The Text has nine chapters,all the chapter are connected and sorted by the three basic issues of the development of SCO, structure establishment,security cooperation,trade and economics cooperation.The Introduction part describes the following sides of the topic choosing and the paper: background and value,study situation,documents summary,study clue and methods.The first chapter studies the legal character of SCO.The legal character is a comparable term to the political character and economic character.The first part of this chapter traces the developmental history of SCO firstly;secondly,analyses the purposes and principles of SCO based on its legal foundations——SCO Chapter;thirdly,clarifies the legal character of SCO through legally orientating it position.;lastly,sorts,discusses and proves the relations between SCO and its member states,member states’ people,nonmember states and other international organizations.Legal personality defines the legal status and international action abilities of SCO.Based upon the analyses the theory of legal personality of international organizations,the second part of this chapter discusses the foundation process,function and value of the legal personality of SCO.Then,this part analyses the multi-character and multi-layer of the legal personality of SCO,and points out that,as a subject of international law,SCO has both legal personality in domestic law and international law.The law of privileges and immunities is very important to SCO,the third part of this chapter studies it particularly.Through discussing the legal theory of the law of privileges and immunities,and researching Agreement on Privileges and Immunities and other legal documents,this part studies the content,area and limitation of the privileges and immunities enjoyed by different subjects of SCO.The last section of this chapter appraises the privileges and immunities rules of SCO and holds that, those rules adopts Convention on Privileges and Immunities of UN in contents and forms,but they also have their own specialties.While affirming those specialties,this section finds some defects.The second chapter construes SCO statutes regarding memberships.SCO Chapter principally regulates the acquisition,suspension and deprivation of memberships.The obligations of a member of SCO include two sides:each member state as a single member and all of the member states as an entire.The statute of observer is an important channel for SCO to communicate with other states and international organizations.The acquisition condition,process,and the right area of an observer are regulated by relevant SCO rules.The dialogue companion statute is the expansion and supplement of the observer statute.The relevant SCO rules regulate the legal status of dialogue companion,the acquisition ways and process as well.The third chapter analyses the legal order of SCO.The legal order of SCO is composed by different rules including Chapter,decisions(advice,announcements,and joint declarations, etc.),all kinds of conventions,binding resolutions,and the international law,general legal principles and customary law which are applicable to SCO.Those rules form a comparatively independent international law system which has its hierarchy of regulations.It is necessary to sort and clarify the different regulatory documents of SCO because they are flexible in form, under mutative names and with varied characters and affects.This chapter sorts and summarizes the legal characters and affects of the multilateral documents who has the character of treaty,the declaration documents,joint declarations and joint communiqu(?)s, memorandums of understanding,and other resolutions of various organizations.The fourth chapter elaborates the operation mechanism from the sides of institution mechanism,debate mechanism,financial budget mechanism,disputes resolving mechanism, etc.SCO are constituted by power agency,execution agency,etc.Those constitutions include: Council of Heads of states,Council of Heads of Government(prime ministers),Council of Foreign Ministers,Council of National Coordinators,Meeting of Heads of Ministers and/or Departments,Secretary-General,and Regional Anti-Terrorist Structure,etc.SCO’s debate mechanism includes statute of meeting,process of policy making and execution.The origin, expenditure and budget of SCO’s funds are regulated by SCO Procedures for The Formation and Execution of the Budget of The Organization.Hitherto,SCO has not established a complete and affective disputes resolving mechanism.Through the comparison with WTO, EU,NAFTA and other international organizations,it is found that SCO has many defects in completeness,authority and other aspects.Hence fore,SCO need to improve its operating mechanism.The fifth chapter focuses on the security cooperation legal mechanism of SCO.Since the core of regional security cooperation in SCO is struggle of anti-terrorism,its homologous law frame is established by the way for the core——Law of anti-terrorism.The security cooperation law frame has two parts.The first part international law can be separated into global law and regional law.The second part is mainly the material law and procedure law related to anti-terrorism established by the member states.With the core of anti-terrorism law, SCO security cooperation law frame set up specialized anti-terrorism institution.However,it has the defects for the incomplete rule system,ineffective protection of human rights,and deficient multilateral criminal judicial assistance,etc.To make up those defects,SCO need to adjust the idea of anti-terrorism,fill law blanks,transfer cooperative model and other perfections.The sixth chapter researches SCO’s rules regarding the regional trade and economics cooperation.It firstly studies SCO’s relevant law of regional economic cooperation,compares and appraises member states’ trade and investment law.Secondly,it analyses the advance process for the convenience of trade and investment in SCO,finds out the legal reason of the delayed process of the convenience of trade and investment,and concludes that the legal impetus is deficient for that process.Thirdly,considering the free trade zone as the strategic purpose of SCO and comparing with the rules of WTO,this chapter studies the legal obstacle for the free trade zone.Lastly,it proffers the opinions on the legal principles,legal forms, legal bases in the member states’ energetic cooperation and disputes resolving.The seventh chapter construes the relation between China and SCO,predicts the development of SCO.SCO has important strategic value for China and brings critical influence to China’s national benefit.After establishing its strategic purpose,SCO should try to develop to a multi-function organization.When certain conditions are satisfied,SCO should actively accept the surrounding states to expand its influence.The last part of this paper is conclusion.Through comprehensive studies on the legal issues and phenomenon regarding the structure establishment,security cooperation and trade and economics cooperation,this paper draws the following three conclusions:Firstly,SCO has establish its fundamental legal frame;Secondly,It will be a long process for SCO to establish its complete and affective law frame;Lastly,legal elemental has not played its ought decisive role for the whole development of SCO.更多还原