关于ICSID仲裁裁决执行的国家豁免问题研究

Study on State Immunity for Enforcement of ICSID Arbitral Awards

摘要: 随着全球经济一体化进程的向前推进，各主权国家间的经贸往来和跨国资本的流动日益频繁，国际投资争端的数量日益增长。基于“关于解决国家与其他国家国民之间投资争端的公约”(以下简称《华盛顿公约》)建立的国际投资争端解决机制(以下简称“ICSID”)致力于为私人投资者和东道国提供尽可能独立自主的争端解决场所，通过一系列有效规则的设计来平衡私人投资者和东道国在利益博弈中的地位。《华盛顿公约》第六节中有关仲裁执行的规定将执行豁免的问题留给了缔约国各自解决，各国关于国家豁免问题并无统一立场，仲裁裁决的执行中不可避免地出现国家执行豁免问题，并且对中国的豁免制度也发出了挑战。本文在评析ICSID机制、分析相关法条、介绍国际豁免理论的基础上，深入分析ICSID仲裁裁决执行困境及其多方面具体原因，给出多层次对策：投资者在具体投资合同中尽量与东道国达成明确无误的豁免弃权条款；制度执行豁免方面的国际法制度；中国需要完善国家豁免相关的司法机制。

Abstract: As the process of global economic integration advances, economic and trade exchanges between sovereign states and cross-border capital flows are becoming more frequent, and the number of international investment disputes is growing. The International Settlement of Investment Disputes (hereinafter referred to as “ICSID”), established on the basis of the Convention on the Settlement of Investment Disputes between States and Nationals of Other States (hereinafter referred to as the “Washington Convention”), is committed to providing a dispute settlement forum that is as independent and autonomous as possible for private investors and host countries. The ICSID seeks to provide private investors and host countries with a dispute settlement forum that is as independent and autonomous as possible, and to balance the positions of private investors and host countries in the game of interests through the design of a series of effective rules. The provisions on arbitration enforcement in Section VI of the Washington Convention leave the issue of immunity from enforcement to be resolved by the contracting parties individually, and there is no uniform position among countries on the issue of state immunity. The issue of state immunity from enforcement inevitably arises in the enforcement of arbitral awards, and it also challenges China’s immunity system. On the basis of evaluating the ICSID mechanism, analyzing the relevant laws and regulations, and introducing the theory of international immunity, this paper analyzes the difficulties in the enforcement of ICSID arbitral awards and the specific reasons for these difficulties, multilevel countermeasures were given: investors should try to reach clear and unambiguous waiver clauses on immunity with host countries in specific investment contracts; the system should implement the international law regime on immunity; and China needed to improve the judicial mechanism related to State immunity.