国家豁免中“国家”的识别:以法律适用为视角  

The Identification of“State”in State Immunity:From a Perspective of Application of Laws

作　　者：袁发强[1,2] 胡程航 Yuan Faqiang;Hu Chenghang

机构地区：[1]华东政法大学国际法学院 [2]武汉大学国际法研究所 [3]华东政法大学

出　　处：《国际法研究》2024年第6期41-57,共17页Chinese Review of International Law

基　　金：教育部人文社科重点研究基地重大项目“统筹发展与安全的涉外管辖权研究”(项目编号22JJD820011)之阶段性研究成果。

摘　　要：被诉方是否为“国家”是国家豁免案件面临的首要问题。若要准确识别国家,便不能盲从域外司法实践所归纳的国家类型,而应关注国家识别中的法律适用过程。国家豁免案件审理依据的国内法转向和各国关涉“国家”的立法差异是“依何法识别国家”之问产生的重要原因。考察发现,一国法院既有依法院地法识别“国家”的实践,也有依外国法识别的情形。前者多受制于识别适用法院地法的固有观念,而后者则往往出于对外国政府的礼让。为妥善处理国家豁免案件,法院识别“国家”时不宜僵化适用法院地法,而应在三种场景中考察适用外国法:其一,待识别主体于法院地法无所对应;其二,法院地法与外国法规定两相矛盾;其三,基于非国家实体主权行为的二次识别。有鉴于此,中国在审理国家豁免案件时,应立足于《中华人民共和国外国国家豁免法》第2条,结合个案考察适用被诉方所属国之宪法、宪法性法律、组织法等以准确识别国家。To identify whether the defendant is a“state”is a primary issue in the immunity cases.If courts hope to accurately identify a state,they may not just refer to different forms of a“state”as classified by foreign judicial practice but should pay attention to the application of laws when identifying a state.Currently,the basis for the trial of the immunity cases is gradually shifting from international law towards domestic law,and the legislative provisions related to the“state”varies from countries to countries.These situations have jointly led to the question of“which country's law should be employed to identify a state”.The research found that there are not only scenarios where domestic courts identify the defendant as a state in accordance with lex fori,but also with examples of identifying the defendant in accordance with foreign laws.The former situation is often influenced by lex fori doctrine,while the latter is often driven by the comity to the foreign governments'interests.In order to properly solve immunity disputes,courts should not rigidly apply lex fori when identifying states but should consider choosing to apply foreign laws in three scenarios:firstly,the subject to be identified does not correspond to lex fori;secondly,there is a contradiction between lex fori and foreign laws;thirdly,identifying the independent non-state entities under the secondary identification.Consequently,in order to accurately identify a“state”,China's courts may base themselves on Article 2 of the Foreign State Immunity Law and,in light of individual cases,examine the application of the constitution,constitutional laws,organizational laws,etc.of the country to which the defendant belongs.

关 键 词：国家豁免 法律适用 外国国家豁免法 法院地法 外国法 

分 类 号：D92[政治法律—法学]