中国国家豁免立法中的对等原则:概念内涵、法理依据及制度设计  

The Principle of Reciprocity in China’s State Immunity Legislation: Conceptual Meaning, Legal Basis and Institutional Design

作　　者：徐树[1] Xu Shu

机构地区：[1]华南理工大学法学院

出　　处：《国际法研究》2022年第2期21-39,共19页Chinese Review of International Law

基　　金：国家社会科学基金青年项目“国际投资仲裁庭的裁判偏好及中国对策研究”(17CFX048)的阶段性研究成果。

摘　　要：实现对等豁免是中国国家豁免立法的重要考量因素。所谓对等豁免,是将对等原则作为主张或给予国家豁免的适用条件,其不同于国家责任法语境下的反措施,也有别于外交豁免领域的对等原则实践。对等原则作为应对国家豁免规则冲突的法律工具,能够灵活调整国家豁免范围,兼具防御性与进攻性功能。对等豁免不是国家豁免的虚无主义。适用对等原则并不当然导致国家豁免标准的不确定性,也并非所谓的双重或多重标准。实践中,越来越多的国家将对等豁免的政策主张予以法律化,其适用空间不断扩展。中国国家豁免立法应当结合自身的利益定位在国家豁免规则的“模糊地带”表明立场,与此同时应明确规定对等原则,充实法律工具箱,防范他国恣意否定国家豁免。对于适用对等原则可能带来的不确定性、不可预期性等问题,可以通过法律化的制度设计,细化对等原则适用的情形、程序和条件,将其不利影响控制到最小。Achieving reciprocal immunity is among the most important considerations in China’s state immunity legislation. The so-called reciprocal immunity, distinguishable from the concept of countermeasures in the context of the law of state responsibility or the practice of reciprocity in the area of diplomatic immunity, aims to apply the principle of reciprocity as the prerequisite of claiming or granting state immunity. The principle of reciprocity, as the legal toolkit for dealing with conflicts of state immunity rules, also having both defensive and aggressive functions, is conducive to flexibly adjusting the scope of state immunity. Reciprocal immunity would not end up in nihilism of state immunity. Applying the principle of immunity does not necessarily lead to the uncertainty or the so-called double or multiple standards of state immunity. In state practice, the policies of reciprocal immunity have been written into law by more and more countries and the application of the principle of reciprocity keeps expanding. In her state immunity legislation, China should make clear her position over “grey zones” in state immunity rules based upon interest evaluation. Meanwhile, the principle of reciprocity should be explicitly stipulated to fill the legal toolbox, preventing other countries from arbitrarily denying China’s state immunity. The uncertainty and unpredictability that might be brought by applying the principle of reciprocity could be minimized through legalized institutional design and by refining the circumstance, procedure and conditions for the application of the principle of reciprocity.

关 键 词：对等豁免 国家豁免立法 绝对豁免 限制豁免 反措施 制度设计 

分 类 号：D99[政治法律—国际法学]