【作者】 刘衡；

【导师】 余敏友；

【作者基本信息】 武汉大学 ， 国际法学， 2011， 博士

【副题名】From the International Rule of Law to Global Governance

【摘要】 我们不仅生活在一个全球化世界,而且处于一个全球治理时代。全球治理是国际法管理全球公共事务的方式。因此,这也是一个“国际法之治”的时代,国际法是全球治理的核心和基础。三百多年来,“国际法之治”历经国际会议—国家治理、国际组织—国际治理和国际法—全球治理三个阶段；欧盟体制和WTO体制是“国际法之治”的当代实践；中国参与全球治理表现为“治下”、“治外”和“治中”三个不同时期；法律至上、法律面前人人平等和依法而治这三个法治核心要素在“国际法之治”语境下具有新的内涵与外延；“国际法之治”的未来由领袖型国家、共进国际法与和谐世界三个关键词界定。除导论和结论外,论文的主体部分共分五章。导论部分简要介绍问题的缘起,提出本文研究的中心问题,围绕该问题对相关文献进行述评；并对论文的研究思路、结构安排和研究方法作出说明。第一章对国内法治、国家法治、国际法治、国际法之治与全球治理的概念进行初步界定。“国际法之治”包括国际社会的法治(国际法治),也包括作为国内社会法治一部分的国家法治。联合国正在开展的国家法治和国际法治两级法治是“国际法之治”实践的一个缩影。“国际法之治”认同威斯特伐利亚体系的基本架构,其进程取决于国际法。完善的国际法具备三个基本要素,并由三大系统有机组成。第二章梳理“国际法之治”的历史演进。自1648年威斯特伐利亚和会始,国际社会经历了国际会议—国家治理、国际组织—国际治理和国际法—全球治理三个阶段。在第一阶段,国家利益是压倒一切的价值,各国解决国际争端的主要方式是召开国际会议。第二阶段,维持和平与促进发展不仅靠国家,也靠各国共同创立的国际组织,后来一些非政府组织也争取加入进来；不仅基于国家意志,而是逐步形成了一整套治理机制。当下阶段,国家意志仍然是强有力的价值,但是全人类共同利益得到极大关注,国际法调整着国际生活的几乎所有方面。当然,这些演进不总是顺理成章地到来。第三章考察两种“国际法之治”的当代实践：欧盟体制和WTO体制。欧盟治理是一种区域性的全方位治理,表现为二战后欧洲一体化的持续努力,它创建了一种国家联合共同治理的新型体制。欧盟法律制度及其形成的法律秩序在欧盟治理中发挥了至关重要的作用。WTO全球治理始于1990年代中期,是一种普遍性的专门治理。争端解决机制构成的“硬性约束”,与贸易政策审议机制构成的“软性诱导”有机组合在一起,共同促进WTO法律制度的适用和遵守,确保多边贸易体制的运转自如。毫无疑问,二者也都处于为适应国际体系的深刻变革而不断调整的过程之中。第四章从治理观、历史变迁和参与WTO实践三个方面探讨中国在全球治理与国际法的互动演进中是如何思想和行为的。“以礼经世”与“和谐世界”是中国全球治理观的集中表达。中国进入国际法体系并参与全球治理历经“治下”、“治外”和“治中”三个阶段。中国一直通过国际法来理解世界秩序,将主权视为国际法的支柱和国际关系的基础。在WTO全球治理中,中国善意履行国际义务、和平解决国际争端并认真行使国际权利。第五章讨论“国际法之治”的标准。全球治理的三大困境(国家主权的悖论、治理主体的矛盾和治理依据的缺陷)和国际法的三大挑战(“去正式化”、“碎片化”与“帝国”)将在相当长时期内伴随甚至左右“国际法之治”进程。但重要的是,国际法在世界秩序中将扮演越来越重要的角色。法律至上、法律面前人人平等和依法而治这三个法治核心要素在“国际法之治”语境下具有新的内涵与外延。“国际法之治”的未来由领袖型国家、共进国际法与和谐世界三个关键词界定。当然,一个完美法治时代的到来仍然相当遥远。结论部分总结全文主要观点,对“国际法之治”进行再次界定,对历史分析、实践考察和个案研究的结果作出说明,并对该模式的不足之处进行适当澄清。更多还原

【Abstract】 It is not only a globalized world, but an age of global governance. Global governance is such a manner in which international law governs global public affairs. Accordingly, it is also a time of the rule of international law, and international law is the basis and hardcore of global governance. For over three hundred years, the rule of international law experienced the stage of "international conference-state governance" and the stage of "international organization-international governance", nowadays is in a stage of "international law-global governance". The European Union (EU) regime and the World Trade Organization (WTO) system are two of contemporary practices of the rule of international law. The process of participation in the rule of international law of China includes three different periods, namely, the period of "under governance", "out of governance" and "in governance". In the contexts of the rule of international law, the three coral elements of the rule of law, namely the supremacy of the law, equality before the law and a government of laws, have enriched innovative contents. The future of the rule of international law may be defined jointly by Leader States, the International Law of Co-progressiveness and the Harmonious World.The main body of the thesis consists of five parts besides Introduction and Conclusion.In Introduction, the coral issue to be studied in this paper and the reason why to research it are briefly presented, some discourse related to the issue is explored, and research ideas, structural arrangement as well as research methods are explained too.Some conceptions, such as the domestic rule of law, the national rule of law, the international rule of law and the rule of international law are preliminarily defined in Chapter One, the conception of global governance is done as well. The rule of international law includes the rule of law in international society (the international rule of law) and the national rule of law which constitutes a part of the rule of law in domestic society. The rule of law at the national and international levels carrying out the United Nations is an important component of the practice of the rule of international law. The rule of international law recognizes the fundamental framework of the Westphalia system and its process relies on international law. The sophisticated international law is both a set of rules with three basic elements and a legal order with three systems.Chapter Two examines the history of the rule of international law. Starting from the Westphalia Peace in 1648, the evolving process of the rule of international law is divided into three stages. In the stage of "international conference-state governance", national interests are overwhelming values; international conferences were major means in which international disputes to be resolved. In the second stage, that is the stage of "international organization-international governance", the maintenance of the peace and the promotion of the development not only were commitments of both states and international organizations established jointly by the former, and some non-intergovernmental organizations were managed to do later on; but also were based on both national wills and a set of governance institutions shaped gradually. The stage of "international law-global governance" is the current phase we are witnessing in which national wills are still primary values; however, the common interests of humankind are quite concerned; international law governs almost all aspects of the international life. Admittedly, all these evolutions are not preceded naturally.Chapter Three observes two of the contemporary practices of the rule of international law. The EU governance is regional, all-round governance which is illustrated by the continuing European integration since post-World WarⅡ, and it establishes an innovative regime of co-governance by states. The European legal system and the legal order it forms play an essential role in European governance. The WTO global governance is universal and specialized governance launched only in 1990s. The "hard bindingness" and the "soft inducement" provided by the dispute settlement mechanism and the trade policy review mechanism respectively enhance together the application of and compliance with the WTO law for ensuring the well-functioning of the multilateral trade system. Needless to say, both of them are in the process of adaptation to the profound changes of international system.Chapter Four discusses how China thinks and behaves in the interaction between global governance and international law. The views of "ruling the world by Li(礼)”and "harmonious world" are essentials of Chinese thinking on global governance. Three periods can be differentiated from the experience of China’s participation in international law system and global governance; they are the period of "under governance", "out of governance" and "in governance". China always understands the world order through international law, and regards the sovereignty as both the backbone of international law and the basis of international relations. In WTO global governance, China performs her obligations in good faith, resolves international disputes peacefully and exercises her rights seriously.Chapter Five explores the standards of the rule of international law. Three dilemmas in global governance (the paradox of the sovereignty, the contradictions among subjects, and the demerits of the basis) and three challenges facing international law (deformalization, fragmentation and empire) will accompany even determine sometimes the process of the rule of international law in a very much long time. The most important is, however, international law will play a significant role more and more in the world order. In the contexts of the rule of international law, the three coral elements of the rule of law, namely the supremacy of the law, equality before the law and a government of laws, have enriched innovative contents. The future of the rule of international law may be defined jointly by Leader States, the International Law of Co-progressiveness and the Harmonious World. Absolutely, the coming of an age of the perfect rule of law is a quite far picture.Finally, Conclusion summarizes the main points of the thesis, re-defines the conception of the rule of international law, explains the results of historic analysis, practice observance on the EU regime and the WTO system and case study on China of the rule of international law, and due clarifies the shortcomings of the rule of international law.更多还原