国际投资仲裁裁决执行中的国家豁免适用问题

The Application of State Immunity in the Execution of International Investment Arbitration Awards

国际投资仲裁裁决执行机制是投资争端解决程序运行的重要保障,而国家豁免的适用则是投资仲裁裁决执行中的主要障碍且难以避免。实践中,投资仲裁裁决的执行面临着仲裁裁决效力与国家豁免抗辩的表面冲突与处理难题,同时涉及公约原则与国内法律的适用关系,以及绝对豁免与限制豁免的适用选择与判断标准等问题。对国家豁免原则的适用问题,本文分别从ICSID仲裁与非ICSID仲裁二个层面,分析《ICSID公约》机制与《纽约公约》机制在处理裁决执行方面的特点与区别,并结合投资仲裁的实际案例予以说明。本文旨在揭示投资仲裁裁决执行实践中正在形成与可行的原则与路径。本文认为,有限豁免理论并不改变国家及其财产享有豁免的一般原则,只是使国家在特定情况下不享受豁免权的保护。这种豁免例外实际上决定了国家豁免的范围和程度。关于裁决执行的法律适用,本文认为,虽然《纽约公约》规定各缔约国应承认裁决具有拘束力,但实践中胜诉方申请执行裁决时仍会面临法律障碍,而裁决执行中的法律适用主要涉及主权豁免与司法审查两个方面。

The executing mechanism of international investment arbitration awards is the important security for operation of investment dispute settlement procedure,whereas application of state immunity is an unavoidable major obstacle to execution of investment arbitration awards.In practice,the execution of investment arbitration awards is faced with surface conflict and awkward issue between effect of arbitral award and plea of state immunity,which refers to application relation of the convention principles and municipal laws as well as choice of application to absolute immunity or restrictive immunity with its judgment standard.So far as application of state immunity principle concerned,this article makes analysis of the feature and difference for dealing with execution of awards under mechanisms of both ICSID Convention and New York Convention with two aspects of ICSID arbitration and non-ICSID arbitration respectively,combining actual cases in investment arbitration for illustration.The substance of this article is to find out and reveal the forming and feasible principle and route in the practice of investment arbitration awards execution.this article points out that the theory of restrictive immunity does not change general principle of enjoying immunity for the state and its assets,but makes the state not enjoy the right of protection for immunity under specific circumstance called exception of immunity which actually determines the scope and degree of state immunity.In concerned with law application for awards execution,the article takes the position that although New York Convention requires its member states should recognize the binding force of arbitral awards,the prevailing parties in practice are still faced with legal barriers,and the law application in the execution of arbitral awards mainly refers to two aspects of state immunity and judicial review.