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中文题名:

 经济制裁法律理念研究    

姓名:

 李清林    

保密级别:

 公开    

论文语种:

 chi    

学科代码:

 030107    

学科专业:

 经济法学    

学生类型:

 博士    

学位:

 法学博士    

学位类型:

 学术学位    

学位年度:

 2023    

校区:

 北京校区培养    

学院:

 法学院    

研究方向:

 经济法学    

第一导师姓名:

 袁达松    

第一导师单位:

 法学院    

提交日期:

 2023-06-22    

答辩日期:

 2023-05-25    

外文题名:

 A STUDY OF THE LAW IDEA OF ECONOMIC SANCTIONS    

中文关键词:

 经济法学 ; 经济法治 ; 经济制裁法律理念 ; 国家安全    

外文关键词:

 Economic Law ; Rule of Law in Economic ; The Law Idea of Economic Sanctions ; National Security    

中文摘要:

随着联合国的成立和《联合国宪章》的签署,经济制裁逐渐呈现制度化的发展趋势。这种趋势固然可以被视作全球治理法治化的可喜成就,但与此同时,亦需看到的是,现有大量经济制裁立法只是一国国家政策在法律领域的简单延伸,它们的核心诉求是达成特定的政策目标,而并非是实现法律应当永恒追求的正义。如此一来,现实中的经济制裁法律规范就很可能会与法律理念相互背离,甚至渐行渐远。

必须承认的是,经济制裁法律规范对法律理念的背离绝非是无需引发各国立法者关注的无足轻重之事。与法律理念相悖的经济制裁法案频频颁布实施,以及依据这些法案所做出的解释和判决常常站在正义的对立面,一定程度上导致现实之中只有较少的国家能够通过法律途径解决经济制裁引发的系列问题,除此之外的诸多国家通常只能依靠对话磋商、政治施压等方式来应对经济制裁法律举措所造成的威胁与侵损。而这不仅一定程度上毁坏了经济制裁的合法性根基,甚至还导致经济制裁的制度化面临重重阻碍。

着眼前述问题,第一章从对经济制裁制度化过程中理念变迁的考察入手,指出经济制裁法律理念在经济制裁法律创制和法律适用中有重要作用。与这一理念相悖的经济制裁立法、执法和司法活动既可能对经济制裁的“立法之源”造成污染,也可能导致执法者、司法者在适用相关法律的过程中陷入“法律确定性”和“法律正义性”的两难选择之中。在此基础上,本文提出,应当将经济制裁法律理念切实地引入到经济制裁的制度化进程中,充分发挥其对经济制裁法律创制和法律适用的指引作用,促使依法发起、实施的经济制裁能够真正成为正义的“捍卫者”。基于本章节的相关论述,可以发现,针对经济制裁法律理念这一论题展开研究具有一定的必要性与正当性。

第二章意在通过对经济制裁法律理念进行界定和对其理论基础予以阐释,为经济制裁法律理念的后续研究提供源于理论层面的必要支撑。具体而言,从卡尔纳普的概念认知方法出发,经济制裁法律理念可被视作法律理念的一个种概念,它主要指向经济制裁法律法规在应然层面的理想样态,并一定程度上反映了蕴含其间的本质及规律。就经济制裁法律理念的理论基础而言,由于经济制裁法律法规在应然层面主要追求的实现通常与经济法及其他相关法律法规的创制和适用有所关联,因此经济法学及其他相关的法学理论可以成为经济制裁法律理念研究的重要理论基础。除此之外,因为经济制裁立法、执法和司法活动还会与一国处理国际关系的外交政策举措密切相关,而且在“百年未有之大变局”的当下,维护国家安全已经成为经济制裁法律法规最为主要的应然追求之一,因此,国际关系学和国家安全学的相关理论也应成为本研究的主要理论基础。

第三章旨在探讨经济制裁法律理念的研究理路。法律理念有其特定的研究理路。关于经济制裁法律理念的研究不能是任意的,否则便会削弱它的客观性,由此得到的相应结论也难以获得普遍的认同。审视迄今为止关于法律理念的相关研究,可以找到一些较为成熟且已获普遍认同的法律理念研究理路。将前述研究理路置于经济制裁法律理念研究的视域下,结合其间的特殊性并进行择优的选择,可以探寻一条适用于经济制裁法律理念的研究理路,即与实证法学相协调的自然法学研究理路。这一研究理路立足于理性主义假设的基础之上,并旨在针对特定法律理念进行类似“金字塔”式的抑或“同中心旋转的圆盘”式的研究。在后续章节中,本文将沿着这一理路,对经济制裁法律理念的理性主义假设、主要构成、诸理念间的内在关联和平衡之法等论题展开详细阐述。

第四章依循前述研究理路,分析并验证经济制裁法律理念研究中的理性主义假设。首先,针对经济制裁法律理念理性主义假设的必要性及主要内容进行阐析;其次,着眼恩格斯和波普尔的假设验证方法,从理论层面和经验层面出发对前述假设进行“科学主义”式的验证。在此基础上,提出经济制裁法律法规拥有以正义为主要表现形式且彼此间存在密切关联的应然追求、本质属性以及发展演进的一般规律。

第五章继续沿着经济制裁法律理念的研究理路,对经济制裁法律理念的构成进行阐析。通过结合拉德布鲁赫、考夫曼等学者对法律理念构成的相关认知,可以发现经济制裁法律理念主要由基本理念及其下位理念构成。具体而言,经济制裁法律的基本理念主要指向特定的国际正义、矫正正义和政治正义,这三种正义可以统合于“万民法”宽容的国际正义之下。从经济制裁法律基本理念的本质要求出发,它的下位理念可以被表述为经济制裁法律中的自由理念、平等理念、人权理念、和平理念以及安全理念。一般情况下,前述理念中既包含“肯定性成分”,也包含“否定性成分”。“肯定性成分”可能成为经济制裁法律创制和法律适用的“助力”,而“否定性成分”则可能对不当的经济制裁立法、执法和司法活动进行必要的限制。

第六章是在第五章的基础上更进一步地探讨经济制裁法律理念间的内在关联,以及不同理念发生冲突时的平衡之法。细言之,经济制裁法律理念间呈现“彼此需要”又“互相矛盾”的关系。“彼此需要”的关系既存在于基本理念与其下位理念之间,也存在于不同的下位理念之间;而“互相矛盾”的关系则主要存在于下位理念之间。至于如何实现“彼此需要”又“互相矛盾”的经济制裁法律理念间的平衡,合宜的做法是着眼于“全球风险社会”的时代背景,将维护自身安全以及与自身安全密切相关的国际安全作为推进经济制裁法律中正义实现的关键所在,以安全理念为主导理念指引经济制裁相关的法律创制和法律适用。

第七章是在前述章节的基础上探寻经济制裁法律理念的实现进路,即如何推动经济制裁法律理念走向法律实践。在这一章节中,首先,依循考夫曼的法律现实化理论阐明法律理念的实现进路。沿着这一进路,意欲推动经济制裁法律理念走向法律实践,就必须要确保这一理念能够从个体认知转变为多元主体的“重叠共识”,并在应然与实然的“交互关联和彼此对应”中实现经济制裁法律理念的规范化,以及经由规范化对相关法律适用的指引。在此基础上,还需注意的是,新时代背景下,中国能够为经济制裁法律理念的践行提供一些新的方案。习近平主席提出的全球安全观可以作为“全新的实践方案”助力经济制裁法律理念更好地走向法律实践。细言之,这种助力作用主要体现在以下两方面:其一,全球安全观是一个旨在“化解分歧,谋求共识”的安全观念,其关于“凝聚最广泛共识”的相关论断对经济制裁法律理念“重叠共识”的达成有着重要的启示意义;其二,全球安全观能够基于自身富含的实践性与可操作性助力经济制裁法律理念在行为条件、行为模式等方面进一步合理化、具体化,丰富其间的实然性色彩,使其能够更为合宜地指引相关的法律创制与法律适用。

外文摘要:

With the establishment of the United Nations and the signing of the Charter of the United Nations, economic sanctions have shown a clear trend toward institutionalization. This trend can certainly be seen as a welcome achievement in the legalization of global governance. But at the same time, it should also be noted that a large number of existing laws and regulations related to economic sanctions are just a simple extension of a country's national policy in the legal field. Their core appeal is to achieve some specific policy goals, rather than to realize the justice that law should pursue forever. In this way, the legal norms of economic sanctions in reality are likely to deviate from the law idea.

It must be admitted that the deviation of the legal norms of economic sanctions from the law idea is by no means a trivial matter that does not require the attention of legislators. The frequent promulgation and implementation of laws and regulations related to economic sanctions are contrary to the law idea, and the interpretation and judgment made according to these laws and regulations often stand on the opposite side of justice, which to some extent leads to the reality that only a few countries can solve the series of problems caused by economic sanctions through legal means. Most other countries can only rely on dialogue, consultation and political pressure to cope with the threat and damage caused by economic sanctions. The above-mentioned situation not only destroys the legitimacy foundation of economic sanctions to a certain extent, but also causes the institutionalization of economic sanctions to face numerous obstacles.

Focusing on the above problems, the first chapter of this paper starts with the investigation of the change of ideas in the process of institutionalization of economic sanctions, and points out that the law idea of economic sanctions plays an important role in the creation and application of relevant laws and regulations. The legislation, enforcement and judicial activities of economic sanctions contrary to this idea may pollute the "source of legislation" of economic sanctions. In the meantime, the legal norms of economic sanctions which are contrary to the law idea may also cause the executor and the judicator to fall into the difficulty of choosing between following the substantive law or following the justice. On this basis, this paper argues that the law idea of economic sanctions should be introduced into the process of institutionalization of economic sanctions, and appropriately guide the creation and application of laws related to economic sanctions, in order to promote the economic sanctions to become the "defender of justice". Objectively speaking, based on the relevant discussion in this chapter, it can be found that it is necessary and reasonable to carry out the study of the law idea of economic sanctions.

The second chapter of this paper aims to clarify the concept of the law idea of economic sanctions and explain its theoretical basis to provide theoretical support for the follow-up study of the law idea of economic sanctions. To be specific, according to Carnap's conceptual cognition method, the law idea of economic sanctions can be regarded as a subordinate concept of law idea, which mainly points to the ideal state of laws and regulations of economic sanctions, and to some extent, it reflects the essence and rules contained in the above-mentioned laws and regulations. In terms of the theoretical basis of the law idea of economic sanctions, economic law and other relevant legal theories can be an important theoretical basis for the study of the law idea of economic sanctions, because the realization of the main pursuit of economic sanctions laws and regulations is usually related to the creation and application of economic laws and other relevant laws and regulations. In addition, since the creation and application of laws and regulations related to economic sanctions are usually closely related to a country's foreign policy in handling international relations, and in the face of "worldwide changes of a scale unseen in a century", safeguarding national security has become one of the most important pursuits of laws and regulations on economic sanctions, the relevant theories of international relations and national security should also be the main theoretical basis of this study.

The third chapter discusses the research approach of the law idea of economic sanctions. The study of law idea should follow specific research approaches, otherwise its objectivity will be weakened, and the conclusion of this study will be difficult to obtain universal recognition. By examining the relevant researches on legal idea so far, some mature and generally accepted research approaches of legal idea can be found. By placing the above-mentioned research approaches in the perspective of the research on the law idea of economic sanctions, combining with the particularity of the legal practice of economic sanctions and making the optimal selection, a research approach suitable for the study of law idea of economic sanctions can be found, namely the research approach of natural law coordinated with legal positivism. This research approach is based on the rationalist hypothesis and aims to conduct systematic research on specific law idea in a similar way as "pyramid" or "circular disc rotating with the center". In the following chapters, this paper chooses to follow this approach to carry out detailed analysis on such topics as rationalist hypothesis, composition, correlation and balance of the law idea of economic sanctions.

The fourth chapter analyzes and verifies the rationalist hypothesis in the study of the law idea of economic sanctions by following the above approach. Firstly, the necessity and main contents of rationalist hypothesis of the law idea of economic sanctions are explained and analyzed. Secondly, based on the hypothesis verification methods of Engels and Popper, the above hypothesis is verified by "scientism" from the theoretical level and the empirical level. On this basis, this paper points out that laws and regulations of economic sanctions have ideal pursuits, essence and rules which are mainly manifested in justice and closely related to each other.

The fifth chapter continues along the research approach of the law idea of economic sanctions to explain and analyze the constitution of the law idea of economic sanctions. According to Radbruch, Kaufman and other scholars' cognition about the components of lawl idea, it can be found that the law idea of economic sanctions is mainly composed of basic idea and some subordinate ideas. Specifically, the basic law idea of economic sanctions mainly points to international justice, corrective justice, and political justice. To examine the essential requirements of the basic law idea of economic sanctions, the subordinate ideas of the basic idea can be expressed as the idea of freedom, equality, human rights, peace and security. In general, those subordinate ideas contain both "positive elements" and "negative elements". The "positive component" may become the "support" for the creation and application of laws related to economic sanctions, while the "negative component" may impose necessary restrictions on improper legislative, enforcement and judicial activities related to economic sanctions.

On the basis of the fifth chapter, the sixth chapter further expounds the internal relationship and the balance between different law ideas of economic sanctions. To be specific, law ideas of economic sanctions present the relationship of "mutual need" and "mutual contradiction". The relationship of "mutual need" exists not only between the basic idea and its subordinate ideas, but also between different subordinate ideas, and the relationship of "mutual contradiction" is mainly reflected in different subordinate ideas. As for how to achieve the balance between law ideas of economic sanctions, it is appropriate to focus on the background of "global risk society", take safeguarding one's own security and international security closely related to one's own security as the key to promote the realization of justice in the laws and regulations of economic sanctions, and guide the creation and application of laws related to economic sanctions with the security idea as the leading idea.

Chapter seven explores the realization of the law idea of economic sanctions on the basis of the previous chapters, that is, how to promote the law idea of economic sanctions to legal practice. In this chapter, this paper first illustrates the approach to the realization of law idea according to Kaufman's theory. Focusing on this approach, in order to promote the law idea of economic sanctions to legal practice, it is necessary to ensure that the idea can be transformed from individual cognition to the "overlapping consensus" of multiple subjects. At the same time, it is improtant to normalize the law idea of economic sanctions in the "interactive correlation and correspondence" between the ought and the reality, and guide the application of relevant laws and regulations through nomlalization. In addition, it should be noted that in the new era, China can provide some new schemes for the practice of the law idea of economic sanctions. The global security concept proposed by Chinese President Xi Jinping can be used as a "new practical scheme" to help the law idea of economic sanctions to better practice. Specifically, the above-mentioned help is mainly reflected in the following two aspects: First, global security concept is a concept aimed at "resolving differences and seeking consensus", and its relevant conclusions about "building the broadest consensus" have important implications for the establishment of "overlapping consensus" on the law idea of economic sanctions; Second, the global security concept can help to rationalize and substantiate the law idea of economic sanctions, so that this idea can more appropriately guide the creation and application of laws and regulations related to economic sanctions.

参考文献总数:

 396    

馆藏地:

 图书馆学位论文阅览区(主馆南区三层BC区)    

馆藏号:

 博030107/23002    

开放日期:

 2024-06-21    

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