论国际仲裁中国家放弃豁免条款的效力  

On the Effect of State’s Waiver of Immunity Clauses in International Arbitration

作　　者：杜焕芳[1] 段鑫睿 Du Huanfang;Duan Xinrui

机构地区：[1]中国人民大学法学院

出　　处：《国际法研究》2022年第2期53-70,共18页Chinese Review of International Law

摘　　要：国际仲裁在裁决执行过程中面临的一大障碍是国家豁免,即便是采取限制豁免立场的国家,对于执行豁免放弃也持非常审慎的态度。为了规避国家豁免的阻碍,在仲裁协议或合同中约定放弃豁免条款成为可能的尝试。但不论是学术界还是立法或司法实践,对于放弃豁免条款的有效性、效力范围和违反后的责任承担没有较为一致的观点。通过考察国际条约和代表性国家的立法及司法实践可以发现,采取限制豁免立场的国家认同放弃豁免条款具有放弃司法管辖豁免的效力,但执行豁免和临时措施豁免需要单独明示。违反放弃豁免条款既可能违反国际法也可能违反国内法,这取决于争议受理法院所属国的国家豁免立场。在拟定放弃豁免条款时,仲裁协议相对方要考虑约定的法院选择协议、争议受理国的国家豁免立场以及保障合同履行的其他辅助性措施。One of the major obstacles faced by international arbitration in the enforcement of awards is state immunity and even states that take a restrictive position on immunity take a very cautious approach to the enforcement of waiver of immunity. In order to circumvent the impediment of state immunity, agreeing on a waiver of immunity clause in the arbitration agreement or contract becomes a possible attempt. However, no matter in academic circles, legislation or judicial practice, there is no consensus on the validity, scope of validity and liability after breaching waiver of immunity. A review of international treaties and the legislation and judicial practice of representative states shows that states which have taken the position of limiting immunity agree that a waiver of immunity clause has the effect of waiving immunity from jurisdiction, but that immunity from execution and immunity from provisional measures need to be separately and clearly expressed. A breach of a waiver of immunity clause may be contrary to both international law and domestic law, depending on the position of the state whose court is seized of the dispute. The agreed choice of court agreement, the immunity status of the state where the dispute is dealt with and other ancillary safeguards for contract performance should be taken into account when drafting the waiver clause.

关 键 词：国际仲裁 国家豁免 放弃豁免条款 管辖豁免 执行豁免 临时措施豁免 

分 类 号：D997.4[政治法律—国际法学]