论阻断诉讼的法律风险及其司法控制

Legal Risks and Judicial Control of the Blocking Litigation

阻断诉讼是一种防御措施。《阻断外国法律与措施不当域外适用办法》第9条和《中华人民共和国反外国制裁法》第12条规定的阻断诉讼,赋予私人针对外国组织或者个人的追索求偿权,允许私人直接在本国法院发动损害赔偿之诉,事实上将具有报复性的国家间反制措施的发动权,从国家向私人主体转移和让渡,沿循和激活了国内公法域外适用的私人执行机制。由于阻断诉讼在追索求偿权层面的国内法律与国际政治二重性,其属事适用范围亦兼具域内与域外双重法律效力,加之缺乏对追索求偿权人的必要限制,故允许私人直接发动阻断诉讼,隐含着国内公法域外适用私人执行的任意性法律风险,可能会偏离阻断诉讼作为防御措施的功能定位。国内法院在本国公法域外适用私人执行过程中具有重要的风险阻却作用,可以通过司法管辖权的强制功能、排他效力和行为后果管辖标准,设立阻断诉讼的司法控制机制,防范和化解公法域外适用私人执行中隐含的法律风险。

The blocking litigation as a defensive measure against foreign sanctions,which lies in the Article 9 of Rules on Counteracting Unjustified Extraterritorial Application of Foreign Legislation and Other Measures and the Article 12 of Anti-foreign Sanctions Law of the People’s Republic of China, gives private parties the claim right to recourse against foreign parties, and allows private parties to directly initiate suits for damages in domestic courts. In fact, the blocking litigation includes the process of transferring the public power in inter-state countermeasures from the sovereign state to private party, and is de facto private enforcement in extraterritorial application of public law. Due to the duality of domestic law and international politics in blocking litigation, the blocking litigation has both intraterritorial and extraterritorial effects. Furthermore, without necessary restrictions on the private parties,multiple legal risks would be involved such as the risk of abusing blocking litigation by the plaintiff,the risk of choosing sides by the potential defendants, and the risk of exacerbating confrontation and decoupling between the states. Domestic courts play an important role of risk mitigation in private enforcement in extraterritorial application of domestic public law. Therefore, we may rely on the use of the mandatory function of jurisdiction, exclusive effect and behavioral consequence jurisdiction standards in domestic courts to set up control mechanisms so as to prevent and resolve potential legal risks.