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1、南京财经大学 硕士学位论文 自由贸易协定之劳工标准问题分析及改进构思-以美国模式为视 角 姓名：班小辉 申请学位级别：硕士 专业：国际法学 指导教师：沈木珠 2011-01-08 I 摘 要 摘 要 自由贸易与劳工标准是否应当“挂钩” ，在理论上一直是争论不休，但是实践中 却已在全球范围内形成了不同方式、不同程度的挂钩格局，国际劳工标准的治理朝 着多样化的进程发展。 在国际贸易发展方面，因成员方利益难以调和，WTO 的谈判陷入了僵局，而另 一边区域或双边的自由贸易发展地却如火如荼。在一些新型的区域或双边自由贸易 协定签订过程中，都涉及到有关劳工标准的谈判。这些自由贸易协定多是在美国、 加拿大等
2、发达国家推动下所签订的，特别是美国在 WTO 纳入社会条款受挫后，加快 了在区域或双边自由贸易区的实践。这些贸易协定中纳入了劳工标准条款，约定了 缔约方在劳工立法、执法等所应遵守的基本规则，这些规则虽目标一致，但在不同 协定中却存在差异，呈现出不同的治理格局。美国签订的自由贸易协定中有关劳工 标准的条款，值得我国研究和借鉴。 中国作为贸易大国， 近年也加快了融入区域贸易的浪潮。 从 2001 年 曼谷协定 开始，我国先后与东盟、智利、新西兰、新加坡、巴基斯坦、秘鲁等签定了区域贸 易协定，并正与海湾合作委员会、澳大利亚、冰岛、挪威等进行自由贸易区建设的 谈判，并且还与韩国、日本等国家研究建立自由
3、贸易区的可行性。在已签订的贸易 协定中，有些以谅解备忘录的形式对劳工标准问题进行了约定，如中新劳动合作 谅解备忘录 。 而因我国劳动力的低廉优势， 导致正在进行的贸易谈判遭到了一些谈 判方国内工会的反对。这些表明，日后与发达国家之间进行自由贸易区建设时，有 关劳工标准的谈判是不可避免的。 在我国经济发展转型和劳工权益亟需保护的现实下， 结合我国现行的劳工标准， 本文认为，我国在区域或双边自由贸易协定的谈判（特别是与发达国家的谈判）中， 应当积极地应对劳工标准的问题，而不是抱以回避的态度。在具体的贸易协定制度 设置中，可借鉴美国相关模式，坚持立法主权原则，承担起应尽的执法义务，积极 进行劳工事务
4、的合作，引入第三方监督机制，建立一种新的责任模式即私人责任和 国家责任的并轨，理清两者的合理界限，从而使我国能够在劳工标准问题上实现双 赢。 关键词：自由贸易协定；劳工标准；治理模式；改进构思 II ABSTRACT ABSTRACT Whether free trade and labor standards should be linked up, it still has been debated in theory, but in practice the pattern of “linkage” has formed in different forms and degrees, t
5、he governance of international labor standards towards diversification. In the development of international trade, WTOs negotiation have been becoming an impasse for that the interests of members are difficult to be coordinated, in the other side while the regional or bilateral free trade are develo
6、ping in full swing. In the signed process of some new regional or bilateral trade agreements, where had involved matters related to the negotiation on the labor standards. These kinds of trade agreements were mostly signed in the drive of United States, Canada and other developed countries, especial
7、ly the United States accelerated “linkage” in regional or bilateral free trade area when fell to get social clause into the WTO, These trade agreements include the clauses of labor standards, getting a agreement about the basic rules which parties should obey in the legislation and enforcement of la
8、bor law. Although these clauses has the same objectives in different agreements, there are showing a different governance structure. The provisions relating to labor standards, sighed by United States are worthy to be studied and drawn experiences from by us , as a big trading nation, China have bee
9、n also speeding up to join the wave of regional trade. From the 2001 “Bangkok Agreement“, China has respectively signed regional trade agreement with ASEAN, Chile, New Zealand, Singapore, Pakistan, and Peru etc, and is negotiating with the Gulf Cooperation Committee, Australia, Iceland, and Norway e
10、tc for building free trade agreements, and is discussing to establish the feasibility of a free trade zone with South Korea, Japan etc. During the signed FTAs, some of has contracted labor standards issues in the form of memorandum, such as The Memorandum of Understanding on Labour Cooperation betwe
11、en New Zealand and China. The ongoing negotiations are protested by some trade unions in the negotiating parties for our cheap labor price. These are suggesting that it is unavoidable to have a discussion on how to deal with labor standards in the future, when China wants to attend more FTAs. With t
12、he reality of needs of restructuring Chinas economic development and protecting labor rights , combining with our existing labor standards, This paper argues that our country in the regional or bilateral free trade agreement (particularly in the negotiations with developed countries), we should acti
13、vely respond to the labor standards, rather than choose to avoid them. We can learn from the patterns of United States to set the specific provisions in the trade agreements, as follows: adhere to the principle of III legislative sovereignty, assume due duties of law enforcement, and actively carry
14、out cooperation in labor matters, introduce third-party monitoring mechanism, establish a new model of responsibility which consists of the private responsibility and the national responsibility, clarify the boundaries between them. Only do this, can make our country achieve win-win outcome in the i
15、ssue of labor standards. Key Words：FTAs; Labor Standards; Pattern of Governance; Idea of Improvement 学位论文独创性声明学位论文独创性声明 本论文是我个人在导师指导下进行的研究工作及取得的研究成果。论文中除了 特别加以标注和致谢的地方外，不包含其他人或其它机构已经发表或撰写过的研究 成果。其他同志对本研究的启发和所做的贡献均已在论文中作了明确的声明并表示 了谢意。 作者签名： 日期： 学位论文使用授权声明学位论文使用授权声明 本人完全了解南京财经大学有关保留、使用学位论文的规定，即：学校有权保
16、留送交论文的复印件，允许论文被查阅和借阅；学校可以公布论文的全部或部分内 容，可以采用影印、缩印或其它复制手段保存论文。保密的论文在解密后遵守此规 定。 作者签名： 导师签名： 日期： 南京财经大学硕士学位论文 1 前 言 前 言 加强劳动者权益保护是民生改善的重要内容之一， 也是逐步改变过度依靠廉价 劳动力发展经济，促进经济转型升级的重要保障。在对外贸易方面，随着区域经济 一体化的蓬勃发展，我国已迅速融入了区域或双边自由贸易的浪潮中。因此，如何 加强劳动者权益保护与自由贸易区建设已成为我国当前的重要任务。我国在与新西 兰签订自由贸易协定时，将国际劳工标准的要求写进了双方的劳动合作谅解备忘录 中，并且还可能在谈判中的自由贸易协定中同样列入此类规定。因此如何将劳动者 权益保护和自由贸易区建设有效结合，便成为一项有益的研究课题。 在国内，随着我国的入世，在贸易与劳工标准关系的研究方面，一些学者开始 对两者挂钩的问题进行探讨，如常凯教授的WTO、劳工标准与劳工权益保障 、 周长征教授的WTO 的“社会条款”之争与
