联合国豁免公约

限制豁免原则是否已经构成国家习惯法一、绝对豁免到限制豁免的发展 (1)（一）绝对豁免原则 (1)（二）限制豁免原则及其发展趋势 (2)二、各国关于国家豁免的实践 (3)三、公约 (5)（一）1926 年的《布鲁塞尔公约》 (5)（二）1969 年的《国际油污染损害民事责任公约》 (5)（三）1972 年的《欧洲国家豁免公约》 (6)（四）1982 年的《联合国海洋法公约》 (6)（五）《联合国国家及其财产豁免公约》 (6)四、刚果香港被诉案中法官观点总结 (7)（一）高等法院原讼法庭法官芮安牟的观点 (7)（二）高等法院上诉法庭法官 (8)（三）终审法院包致金法官的观点 (8)五、限制豁免原则已经形成国际习惯法 (9)一、绝对豁免到限制豁免的发展国家及其财产豁免权是一项公认的习惯国际法原则，但关于豁免的程度、范围和方式等，在国际社会无论是理论上还是实践中都存在着分歧。

从20世纪开始特别是二战以来，由于国家开始普遍地从事商业活动，出于对私人利益的保护，限制豁免理论出现，并逐渐产生了绝对豁免论和限制豁免论的对立。

（一）绝对豁免原则基于“平等者之间无管辖权”原则，任何法院都不能对发生其司法管辖区内的国家行使管辖权，除非该主权国家放弃此豁免权，仍证明法院地国对于外国主权国主权平等的承认。

国家豁免原则在各国判例实践和学界理论出现了两种不同的立场，一种被认为是“必须地排他的绝对的”的绝对豁免原则，即任何主权国家在外国法院都享有完全的或者绝对的豁免，除不动产和外国自愿同意之外，国内法院对外国任何行为都没有管辖权。

作为绝对豁免理论支持者的奥本海也认为：“国家平等的一个效果，是任何国家不能对另一国行使司法权。

因而国家虽然可以在外国法院提起诉讼，但是一般不能在外国法院被诉，除非它自愿服从该法院的管辖”。

美国著名学者海德认为：“一国不受任何其他国家的管辖，并且非经其同意，任何国家不得对其提起诉讼，这己是公认的学说”。

United Nations Convention on Jurisdictional Immunities of States and Their PropertyThe States Parties to the present Convention,Considering that the jurisdictional immunities of States and theirproperty are generally accepted as a principle of customary international law, Having in mind the principles of international law embodied in theCharter of the United Nations,Believing that an international convention on the jurisdictionalimmunities of States and their property would enhance the rule of law and legal certainty, particularly in dealings of States with natural or juridical persons, and would contribute to the codification and development of international law and the harmonization of practice in this area,Taking into account developments in State practice with regard to the jurisdictional immunities of States and their property,Affirming that the rules of customary international law continue togovern matters not regulated by the provisions of the present Convention, Have agreed as follows:Part IIntroductionArticle 1Scope of the present ConventionThe present Convention applies to the immunity of a State and itsproperty from the jurisdiction of the courts of another State.Article 2Use of terms1. For the purposes of the present Convention:(a) “court” means any organ of a State, however named, entitled to exercise judicial functions;(b) “State” means:(i) the State and its various organs of government;(ii) constituent units of a federal State or political subdivisions of the State, which are entitled to perform acts in the exercise of sovereign authority, and are acting in that capacity;– 2 –(iii) agencies or instrumentalities of the State or other entities, to theextent that they are entitled to perform and are actually performing actsin the exercise of sovereign authority of the State;(iv) representatives of the State acting in that capacity;(c) “commercial transaction” means:(i) any commercial contract or transaction for the sale of goods orsupply of services;(ii) any contract for a loan or other transaction of a financial nature, including any obligation of guarantee or of indemnity in respect of anysuch loan or transaction;(iii) any other contract or transaction of a commercial, industrial,trading or professional nature, but not including a contract ofemployment of persons.2. In determining whether a contract or transaction is a “commercial transaction” under paragraph 1 (c), reference should be made primarily to the nature of the contract or transaction, but its purpose should also be taken into account if the parties to the contract or transaction have so agreed, or if, in the practice of the State of the forum, that purpose is relevant to determining the non-commercial character of the contract or transaction.3. The provisions of paragraphs 1 and 2 regarding the use of terms in the present Convention are without prejudice to the use of those terms or to the meanings which may be given to them in other international instruments or in the internal law of any State.Article 3Privileges and immunities not affected by the present Convention1. The present Convention is without prejudice to the privileges and immunities enjoyed by a State under international law in relation to the exercise of the functions of:(a) its diplomatic missions, consular posts, special missions, missionsto international organizations or delegations to organs of international organizations or to international conferences; and(b) persons connected with them.2. The present Convention is without prejudice to privileges andimmunities accorded under international law to heads of State ratione personae.3. The present Convention is without prejudice to the immunities enjoyedby a State under international law with respect to aircraft or space objects owned or operated by a State.– 3 –Article 4Non-retroactivity of the present ConventionWithout prejudice to the application of any rules set forth in the present Convention to which jurisdictional immunities of States and their property are subject under international law independently of the present Convention, the present Convention shall not apply to any question of jurisdictional immunities of States or their property arising in a proceeding instituted against a State before a court of another State prior to the entry into force of the present Convention for the States concerned.Part IIGeneral principlesArticle 5State immunityA State enjoys immunity, in respect of itself and its property, from the jurisdiction of the courts of another State subject to the provisions of the present Convention.Article 6Modalities for giving effect to State immunity1. A State shall give effect to State immunity under article 5 by refraining from exercising jurisdiction in a proceeding before its courts against another State and to that end shall ensure that its courts determine on their own initiative that the immunity of that other State under article 5 is respected.2. A proceeding before a court of a State shall be considered to have been instituted against another State if that other State:(a) is named as a party to that proceeding; or(b) is not named as a party to the proceeding but the proceeding ineffect seeks to affect the property, rights, interests or activities of that other State.Article 7Express consent to exercise of jurisdiction1. A State cannot invoke immunity from jurisdiction in a proceeding beforea court of another State with regard to a matter or case if it has expressly consented to the exercise of jurisdiction by the court with regard to the matter or case:(a) by international agreement;(b) in a written contract; or– 4 –(c) by a declaration before the court or by a written communicationin a specific proceeding.2. Agreement by a State for the application of the law of another Stateshall not be interpreted as consent to the exercise of jurisdiction by the courts of that other State.Article 8Effect of participation in a proceeding before a court1. A State cannot invoke immunity from jurisdiction in a proceeding beforea court of another State if it has:(a) itself instituted the proceeding; or(b) intervened in the proceeding or taken any other step relating tothe merits. However, if the State satisfies the court that it could not have acquired knowledge of facts on which a claim to immunity can be based until after it took such a step, it can claim immunity based on those facts, provided it does so at the earliest possible moment.2. A State shall not be considered to have consented to the exercise ofjurisdiction by a court of another State if it intervenes in a proceeding or takes any other step for the sole purpose of:(a) invoking immunity; or(b) asserting a right or interest in property at issue in the proceeding.3. The appearance of a representative of a State before a court of another State as a witness shall not be interpreted as consent by the former State to the exercise of jurisdiction by the court.4. Failure on the part of a State to enter an appearance in a proceedingbefore a court of another State shall not be interpreted as consent by the former State to the exercise of jurisdiction by the court.Article 9Counterclaims1. A State instituting a proceeding before a court of another State cannot invoke immunity from the jurisdiction of the court in respect of any counterclaim arising out of the same legal relationship or facts as the principal claim.2. A State intervening to present a claim in a proceeding before a court of another State cannot invoke immunity from the jurisdiction of the court in respect of any counterclaim arising out of the same legal relationship or facts as the claim presented by the State.– 5 –3. A State making a counterclaim in a proceeding instituted against itbefore a court of another State cannot invoke immunity from the jurisdiction of the court in respect of the principal claim.Part IIIProceedings in which State immunity cannot be invokedArticle 10Commercial transactions1. If a State engages in a commercial transaction with a foreign natural or juridical person and, by virtue of the applicable rules of private international law, differences relating to the commercial transaction fall within the jurisdiction of a court of another State, the State cannot invoke immunity from that jurisdiction in a proceeding arising out of that commercial transaction.2. Paragraph 1 does not apply:(a) in the case of a commercial transaction between States; or(b) if the parties to the commercial transaction have expressly agreed otherwise.3. Where a State enterprise or other entity established by a State which hasan independent legal personality and is capable of:(a) suing or being sued; and(b) acquiring, owning or possessing and disposing of property,including property which that State has authorized it to operate or manage,is involved in a proceeding which relates to a commercial transaction in which that entity is engaged, the immunity from jurisdiction enjoyed by that State shall not be affected.Article 11Contracts of employment1. Unless otherwise agreed between the States concerned, a State cannot invoke immunity from jurisdiction before a court of another State which is otherwise competent in a proceeding which relates to a contract of employment between the State and an individual for work performed or to be performed, in whole or in part, in the territory of that other State.2. Paragraph 1 does not apply if:(a) the employee has been recruited to perform particular functions inthe exercise of governmental authority;(b) the employee is:– 6 –(i) a diplomatic agent, as defined in the Vienna Convention onDiplomatic Relations of 1961;(ii) a consular officer, as defined in the Vienna Convention onConsular Relations of 1963;(iii) a member of the diplomatic staff of a permanent mission to an international organization or of a special mission, or is recruited to represent a State at an international conference; or(iv) any other person enjoying diplomatic immunity;(c) the subject-matter of the proceeding is the recruitment, renewal of employment or reinstatement of an individual;(d) the subject-matter of the proceeding is the dismissal ortermination of employment of an individual and, as determined by the head of State, the head of Government or the Minister for Foreign Affairs of the employer State, such a proceeding would interfere with the security interests of that State;(e) the employee is a national of the employer State at the time whenthe proceeding is instituted, unless this person has the permanent residence in the State of the forum; or(f) the employer State and the employee have otherwise agreed inwriting, subject to any considerations of public policy conferring on the courts of the State of the forum exclusive jurisdiction by reason of the subject-matter of the proceeding.Article 12Personal injuries and damage to propertyUnless otherwise agreed between the States concerned, a State cannotinvoke immunity from jurisdiction before a court of another State which is otherwise competent in a proceeding which relates to pecuniary compensation for death or injury to the person, or damage to or loss of tangible property, caused by an act or omission which is alleged to be attributable to the State, ifthe act or omission occurred in whole or in part in the territory of that other State and if the author of the act or omission was present in that territory at the time of the act or omission.Article 13Ownership, possession and use of propertyUnless otherwise agreed between the States concerned, a State cannotinvoke immunity from jurisdiction before a court of another State which is otherwise competent in a proceeding which relates to the determination of:– 7 –(a) any right or interest of the State in, or its possession or use of, orany obligation of the State arising out of its interest in, or its possession or use of, immovable property situated in the State of the forum;(b) any right or interest of the State in movable or immovableproperty arising by way of succession, gift or bona vacantia; or(c) any right or interest of the State in the administration of property,such as trust property, the estate of a bankrupt or the property of a company in the event of its winding up.Article 14Intellectual and industrial propertyUnless otherwise agreed between the States concerned, a State cannotinvoke immunity from jurisdiction before a court of another State which is otherwise competent in a proceeding which relates to:(a) the determination of any right of the State in a patent, industrialdesign, trade name or business name, trademark, copyright or any other form of intellectual or industrial property which enjoys a measure of legal protection, even if provisional, in the State of the forum; or(b) an alleged infringement by the State, in the territory of the Stateof the forum, of a right of the nature mentioned in subparagraph (a) which belongs to a third person and is protected in the State of the forum.Article 15Participation in companies or other collective bodies1. A State cannot invoke immunity from jurisdiction before a court of another State which is otherwise competent in a proceeding which relates to its participation in a company or other collective body, whether incorporated or unincorporated, being a proceeding concerning the relationship between the State and the body or the other participants therein, provided that the body: (a) has participants other than States or international organizations;and(b) is incorporated or constituted under the law of the State of theforum or has its seat or principal place of business in that State.2. A State can, however, invoke immunity from jurisdiction in such a proceeding if the States concerned have so agreed or if the parties to the dispute have so provided by an agreement in writing or if the instrument establishing or regulating the body in question contains provisions to thateffect.– 8 –Article 16Ships owned or operated by a State1. Unless otherwise agreed between the States concerned, a State whichowns or operates a ship cannot invoke immunity from jurisdiction before a court of another State which is otherwise competent in a proceeding which relates to the operation of that ship if, at the time the cause of action arose, the ship was used for other than government non-commercial purposes.2. Paragraph 1 does not apply to warships, or naval auxiliaries, nor does it apply to other vessels owned or operated by a State and used, for the time being, only on government non-commercial service.3. Unless otherwise agreed between the States concerned, a State cannot invoke immunity from jurisdiction before a court of another State which is otherwise competent in a proceeding which relates to the carriage of cargo on board a ship owned or operated by that State if, at the time the cause of action arose, the ship was used for other than government non-commercial purposes.4. Paragraph 3 does not apply to any cargo carried on board the ships referred to in paragraph 2, nor does it apply to any cargo owned by a State and used or intended for use exclusively for government non-commercial purposes.5. States may plead all measures of defence, prescription and limitation of liability which are available to private ships and cargoes and their owners.6. If in a proceeding there arises a question relating to the government and non-commercial character of a ship owned or operated by a State or cargo owned by a State, a certificate signed by a diplomatic representative or other competent authority of that State and communicated to the court shall serve as evidence of the character of that ship or cargo.Article 17Effect of an arbitration agreementIf a State enters into an agreement in writing with a foreign natural or juridical person to submit to arbitration differences relating to a commercial transaction, that State cannot invoke immunity from jurisdiction before a court of another State which is otherwise competent in a proceeding which relates to:(a) the validity, interpretation or application of the arbitrationagreement;(b) the arbitration procedure; or(c) the confirmation or the setting aside of the award,unless the arbitration agreement otherwise provides.– 9 –Part IVState immunity from measures of constraint in connection withproceedings before a courtArticle 18State immunity from pre-judgment measures of constraintNo pre-judgment measures of constraint, such as attachment or arrest, against property of a State may be taken in connection with a proceeding before a court of another State unless and except to the extent that:(a) the State has expressly consented to the taking of such measuresas indicated:(i) by international agreement;(ii) by an arbitration agreement or in a written contract; or(iii) by a declaration before the court or by a written communicationafter a dispute between the parties has arisen; or(b) the State has allocated or earmarked property for the satisfactionof the claim which is the object of that proceeding.Article 19State immunity from post-judgment measures of constraintNo post-judgment measures of constraint, such as attachment, arrest or execution, against property of a State may be taken in connection with a proceeding before a court of another State unless and except to the extent that: (a) the State has expressly consented to the taking of such measuresas indicated:(i) by international agreement;(ii) by an arbitration agreement or in a written contract; or(iii) by a declaration before the court or by a written communicationafter a dispute between the parties has arisen; or(b) the State has allocated or earmarked property for the satisfactionof the claim which is the object of that proceeding; or(c) it has been established that the property is specifically in use orintended for use by the State for other than government non-commercial purposes and is in the territory of the State of the forum, provided that postjudgmentmeasures of constraint may only be taken against property that has a connection with the entity against which the proceeding was directed.– 10 –Article 20Effect of consent to jurisdiction to measures of constraintWhere consent to the measures of constraint is required under articles 18and 19, consent to the exercise of jurisdiction under article 7 shall not imply consent to the taking of measures of constraint.Article 21Specific categories of property1. The following categories, in particular, of property of a State shall notbe considered as property specifically in use or intended for use by the Statefor other than government non-commercial purposes under article 19, subparagraph (c):(a) property, including any bank account, which is used or intendedfor use in the performance of the functions of the diplomatic mission of the State or its consular posts, special missions, missions to international organizations or delegations to organs of international organizations or to international conferences;(b) property of a military character or used or intended for use in the performance of military functions;(c) property of the central bank or other monetary authority of theState;(d) property forming part of the cultural heritage of the State or partof its archives and not placed or intended to be placed on sale;(e) property forming part of an exhibition of objects of scientific,cultural or historical interest and not placed or intended to be placed on sale.2. Paragraph 1 is without prejudice to article 18 and article 19, subparagraphs (a) and (b).Part VMiscellaneous provisionsArticle 22Service of process1. Service of process by writ or other document instituting a proceeding against a State shall be effected:(a) in accordance with any applicable international conventionbinding on the State of the forum and the State concerned; or– 11 –(b) in accordance with any special arrangement for service betweenthe claimant and the State concerned, if not precluded by the law of the State of the forum; or(c) in the absence of such a convention or special arrangement:(i) by transmission through diplomatic channels to the Ministry ofForeign Affairs of the State concerned; or(ii) by any other means accepted by the State concerned, if notprecluded by the law of the State of the forum.2. Service of process referred to in paragraph 1 (c) (i) is deemed to have been effected by receipt of the documents by the Ministry of Foreign Affairs.3. These documents shall be accompanied, if necessary, by a translationinto the official language, or one of the official languages, of the State concerned.4. Any State that enters an appearance on the merits in a proceeding instituted against it may not thereafter assert that service of process did not comply with the provisions of paragraphs 1 and 3.Article 23Default judgment1. A default judgment shall not be rendered against a State unless the court has found that:(a) the requirements laid down in article 22, paragraphs 1 and 3, havebeen complied with;(b) a period of not less than four months has expired from the date onwhich the service of the writ or other document instituting a proceeding has been effected or deemed to have been effected in accordance with article 22, paragraphs 1 and 2; and(c) the present Convention does not preclude it from exercising jurisdiction.2. A copy of any default judgment rendered against a State, accompanied if necessary by a translation into the official language or one of the official languages of the State concerned, shall be transmitted to it through one of the means specified in article 22, paragraph 1, and in accordance with the provisions of that paragraph.3. The time-limit for applying to have a default judgment set aside shallnot be less than four months and shall begin to run from the date on which the copy of the judgment is received or is deemed to have been received by the State concerned.– 12 –Article 24Privileges and immunities during court proceedings1. Any failure or refusal by a State to comply with an order of a court of another State enjoining it to perform or refrain from performing a specific act or to produce any document or disclose any other information for the purposes of a proceeding shall entail no consequences other than those which may result from such conduct in relation to the merits of the case. In particular, no fine or penalty shall be imposed on the State by reason of such failure or refusal.2. A State shall not be required to provide any security, bond or deposit, however described, to guarantee the payment of judicial costs or expenses in any proceeding to which it is a respondent party before a court of another State.Part VIFinal clausesArticle 25AnnexThe annex to the present Convention forms an integral part of the Convention.Article 26Other international agreementsNothing in the present Convention shall affect the rights and obligationsof States Parties under existing international agreements which relate to matters dealt with in the present Convention as between the parties to those agreements.Article 27Settlement of disputes1. States Parties shall endeavour to settle disputes concerning the interpretation or application of the present Convention through negotiation.2. Any dispute between two or more States Parties concerning the interpretation or application of the present Convention which cannot be settled through negotiation within six months shall, at the request of any of those States Parties, be submitted to arbitration. If, six months after the date of the request for arbitration, those States Parties are unable to agree on the organization of the arbitration, any of those States Parties may refer the dispute to the International Court of Justice by request in accordance with the Statute of the Court.– 13 –3. Each State Party may, at the time of signature, ratification, acceptance or approval of, or accession to, the present Convention, declare that it does not consider itself bound by paragraph 2. The other States Parties shall not be bound by paragraph 2 with respect to any State Party which has made such a declaration.4. Any State Party that has made a declaration in accordance with paragraph 3 may at any time withdraw that declaration by notification to the Secretary-General of the United Nations.Article 28SignatureThe present Convention shall be open for signature by all States until17 January 2007, at United Nations Headquarters, New York.Article 29Ratification, acceptance, approval or accession1. The present Convention shall be subject to ratification, acceptance or approval.2. The present Convention shall remain open for accession by any State.3. The instruments of ratification, acceptance, approval or accession shallbe deposited with the Secretary-General of the United Nations.Article 30Entry into force1. The present Convention shall enter into force on the thirtieth dayfollowing the date of deposit of the thirtieth instrument of ratification, acceptance, approval or accession with the Secretary-General of the United Nations.2. For each State ratifying, accepting, approving or acceding to the present Convention after the deposit of the thirtieth instrument of ratification,acceptance, approval or accession, the Convention shall enter into force on the thirtieth day after the deposit by such State of its instrument of ratification, acceptance, approval or accession.Article 31Denunciation1. Any State Party may denounce the present Convention by written notification to the Secretary-General of the United Nations.2. Denunciation shall take effect one year following the date on which notification is received by the Secretary-General of the United Nations. The present Convention shall, however, continue to apply to any question of– 14 –jurisdictional immunities of States or their property arising in a proceeding instituted against a State before a court of another State prior to the date on which the denunciation takes effect for any of the States concerned.3. The denunciation shall not in any way affect the duty of any State Partyto fulfil any obligation embodied in the present Convention to which it would be subject under international law independently of the present Convention. Article 32Depositary and notifications1. The Secretary-General of the United Nations is designated thedepositary of the present Convention.2. As depositary of the present Convention, the Secretary-General of the United Nations shall inform all States of the following:(a) signatures of the present Convention and the deposit ofinstruments of ratification, acceptance, approval or accession or notifications of denunciation, in accordance with articles 29 and 31;(b) the date on which the present Convention will enter into force, in accordance with article 30;(c) any acts, notifications or communications relating to the present Convention.Article 33Authentic textsThe Arabic, Chinese, English, French, Russian and Spanish texts of the present Convention are equally authentic.IN WITNESS WHEREOF, the undersigned, being duly authorizedthereto by their respective Governments, have signed this Convention opened for signature at United Nations Headquarters in New York on 17 January 2005. – 15 –Annex to the ConventionUnderstandings with respect to certain provisions of the Convention。

最新电大《国际公法》形考作业任务01-05网考试题及答案100%通过考试说明：《国际公法》形考共有5个任务，任务1、任务2、任务3、任务4是是客观题，本人对任务1至4给出了标准答案（第1次任务_0001、国际公法02_0001、国际公法03_0001、国际公法04_0001）。

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01任务第1次任务_0001一、单项选择题（共 20 道试题，共 40 分。

）1.甲国发生的叛乱运动已经被甲国政府和国际社会承认为叛乱团体。

该叛乱在其控制的一些地区，强行掠夺或占用外国侨民和外国国家的财产。

下列关于甲国政府是否承担责任的说法哪个是正确的？A. 承担直接责任B. 承担间接责任C. 甲国政府和叛乱运动共同承担直接责D. 不承担责任2. 最先把国际法著作系统的译成中文的人是( )。

A. 林则徐B. 严复C. 丁韪良D. 张之洞3. 认为国际法的效力依据源于人类良知、理性和法律意识的学派叫做（）。

A. 实在法学派B. 规范法学派C. 格老秀斯派D. 自然法学派4. 被誉为国际法创始人的是荷兰著名法学家( )。

A. 克林顿B. 格老秀斯C. 普芬道夫D. 瓦特尔5. 对中华人民共和国的承认，属于对（）的承认。

A. 新国家B. 新政体C. 新政府D. 新国体6. 关于国家管辖豁免问题，（）立场在19世纪末期由比利时和意大利等国的司法判例正式确认。

A. 绝对主义B. 普遍主义C. 限制主义D. 连带主义7. ( )被视为是近代国际法形成的标志的事件之一。

A. 国际联盟的成立B. 《战争与和平法》的发表C. 《陆战法规惯例公约》的签订D. 《联合国宪章》的制定8. 关于国家行使自卫权，下列哪个说法是正确的？（）。

关于国际法院与联合国核心人权公约的实施一、前言联合国核心人权公约指的是在联合国主持下通过的9 项核心国际人权公约及其议定书。

长期以来，联合国一直致力于促进核心人权公约在国内和国际社会两个层面得到实施。

从国内层面来讲，公约的实施是指缔约国在国内采取纳入或转化的方式将公约并入国内法，并保证这些国内法的执行; 从国际层面来看，公约的实施主要是指通过公约自身所建立的实施监督机制，保证缔约国能够切实履行公约义务。

但除此之外，公约的实施还包括其他促进公约权利得以实现的机制，比如作为联合国主要司法机关的国际法院，曾在案件中涉及核心人权公约的解释和适用问题。

这些解释和适用，连同条约机构的监督机制和缔约国国内的履行措施，共同促进了核心人权公约的实施。

国际法院有权受理与核心人权公约实施相关的案件，是由于一些公约中包含了将争端提交国际法院解决的条款，而国际法治的发展也使得越来越多的国家愿意将案件提交国际法院。

此外，很多国际法院的法官曾从事过人权相关工作，从而进一步加强了国际法院妥善处理与人权公约实施相关案件的能力与信心。

虽然国际法院并非专门的人权法院，但作为联合国的主要司法机关，它可以利用其专业优势及实践经验为核心人权公约的解释和适用提供权威法律意见。

这些法律意见不仅在广度和深度方面要优于专门的公约实施监督机构，而且在效力方面也要强于后者，因为国际法院作出的判决会对争端当事国产生法律拘束力。

本文根据案件所涉主题的性质，将其分为两类: 第一类案件涉及核心人权公约实施的一般国际法问题，包括人权与主权的关系、人权公约在特殊情形下的适用、对一切义务( obilgations ergaomne) 、人权违反案件中的个人赔偿问题等; 第二类案件涉及核心人权公约具体条款的解释和适用问题，包括《公民权利和政治权利国际公约》所规定的民族自决权、禁止任意逮捕和拘禁的权利、公正审判权、《消除一切形式种族歧视公约》的适用、《禁止酷刑公约》中或起诉或引渡条款、核心人权公约中的争端解决条款等。

联合国多边条约（截至2009年3月12日）第一部分联合国条约第一章联合国宪章和国际法院规约1. 联合国宪章。

1945年6月26日签署于旧金山2. 接受《联合国宪章》所载之义务的声明(按照《宪章》第四条接纳国家成为联合国会员国)3. 国际法院规约(作为《联合国宪章》的附件)4. 根据《法院规约》第三十六条第二款承认国际法院之管辖为强制性的声明5. 对《联合国宪章》的修正案:对《联合国宪章》第二十三条、第二十七条和第六十一条的修正案。

1963年12 (a)月17日联合国大会第1991A和B(XVIII)号决议通过对《联合国宪章》第一百零九条的修正案。

1965年12月20日联合国大会第2101(XX) (b)号决议通过对《联合国宪章》第六十一条的修正案。

1971年12月20日联合国大会第2847(XXVI) (c)号决议通过第二章和平解决国际争端1. 和平解决国际争端修订总议定书。

1949年4月28日联合国大会通过第三章特权及豁免,外交和领事关系等1. 联合国特权和豁免公约。

1946年2月13日联合国大会通过2. 各专门机构特权及豁免公约。

1947年11月21日联合国大会核可3. 维也纳外交关系公约。

1961年4月18日订于维也纳4. 维也纳外交关系公约关于取得国籍之任意议定书。

1961年4月18日订于维也纳5. 维也纳外交关系公约关于强制解决争端之任意议定书。

1961年4月18日订于维也纳6. 维也纳领事关系公约。

1963年4月24日订于维也纳7. 维也纳领事关系公约关于取得国籍之任意议定书。

1963年4月24日订于维也纳8. 维也纳领事关系公约关于强制解决争端之任意议定书。

1963年4月24日订于维也纳9. 特种使节公约。

1969年12月8日联合国大会通过特种使节公约关于强制解决争端之任择议定书。

1969年12月8日联合国大会通过10.11.维也纳关于国家在其对普遍性国际组织关系上的代表权公约。

1975年3月14日缔结于维也纳关于国家对国家财产、档案和债务的继承的维也纳公约。

2019年国家法考《国际法》职业资格考前练习一、单选题1.威廉为甲国驻乙国使馆的三等秘书，赫利德为丙国驻乙国使馆的商务参赞。

威廉在乙国首都与一名乙国人发生纠纷，失手将其打死，赫利德当时恰好目击了该杀人事件。

甲、乙、丙三国都是《维也纳外交关系公约》的缔约国，且三国之间没有其他双边的涉及外交和领事特权与豁免方面的协定。

根据国际法规则，下列哪项判断是正确的？A、如威廉本人表示放弃其管辖豁免，乙国即可以对其提起刑事诉讼，无论使馆是否同意B、如赫利德本人表示愿意出庭作证，乙国即可以带其到法庭作证，无论使馆是否同意C、乙国向甲国提出要求，要求放弃威廉的豁免，如甲国没有答复，则可以推定甲国已经同意放弃，从而对威廉提起刑事诉讼D、如甲国明确表示放弃威廉的管辖豁免，则乙国可以对威廉提起刑事诉讼，而不论威廉本人是否同意>>>点击展开答案与解析2.中国人姜某(女)与甲国人惠特尼婚后在甲国定居，后姜某在甲国生下一女。

根据我国国籍法，下列哪一选项是正确的?A、如姜某之女出生时未获其他国家国籍，可以获得中国国籍B、姜某之女一出生就无条件获得中国国籍C、如姜某之女出生时已获得甲国国籍，她也可以同时获得中国国籍D、姜某之女出生地在甲国，因而不能获得中国国籍>>>点击展开答案与解析3.甲国是一个地理上宽大陆架的沿海国，也是发达国家，其地理大陆架从领海基线到大陆边外缘的距离为380海里。

根据《联合国海洋法公约》和有关的国际法规则，下列哪一选项是正确的？A、甲国大陆架的范围可以延伸到380海里处B、甲国的大陆架只能限定在200海里以内C、甲国的专属经济区不必限定在200海里以内D、甲国如果在200海里外的大陆架底土开采石油，应通过国际海底管理局并向其缴纳合理费用>>>点击展开答案与解析4.甲乙两国为隔海相望的国家，2012年因为岛屿主权以及海洋开发等问题发生争端，2014年1月和3月先后宣布与对方进入战争状态。

联合国特权和豁免公约文章属性•【缔约国】联合国•【条约领域】政治•【公布日期】1946.02.13•【条约类别】公约•【签订地点】正文联合国特权和豁免公约（１９４６年２月１３日联合国大会通过本公约于１９４６年９月１７日生效中华人民共和国政府于１９７９年９月１１日向联合国秘书长交存加入书，同时声明对本公约第八条第三十节持有保留１９７９年９月１１日对我生效）鉴于联合国宪章第一百零四条规定，本组织于每一会员国之领土内，应享受于执行其职务及达成其宗旨所必需之法律行为能力，又鉴于联合国宪章第一百零五条规定，本组织于每一会员国之领土内，应享受于达成其宗旨所必需之特权及豁免。

联合国会员国之代表及本组织之职员，亦应同样享受于其独立行使关于本组织之职务所必需之特权及豁免，因此大会于１９４６年２月１３日通过一项决议核准下列公约，并建议联合国各会员国加入。

第一条法律人格第一节联合国具有法律人格。

联合国并有行为能力：（甲）订立契约；（乙）取得和处分不动产和动产；（丙）提起诉讼。

第二条财产、款项和资产第二节联合国，其财产和资产，不论其位置何处，亦不论由何人持有，对于各种方式的法律程序应享有豁免，但在特定情况下，经联合国明示抛弃其豁免时，不在此限。

惟缔约各国了解抛弃豁免不适用于任何强制执行措施。

第三节联合国的房舍不可侵犯。

联合国的财产和资产，不论其位于何处，亦不论由何人持有，应豁免搜查、征用、没收、征收和任何其他方式的干扰，不论是由于执行行为、行政行为、司法行为或立法行为。

第四节联合国的档案以及一般而论属于联合国或联合国所持有的一切文件不论其置于何处，均属不可侵犯。

第五节在不受任何财政管制、财政条例和延期偿付令的限制下，（甲）联合国得持有款项、黄金或任何货币，并得以任何货币运用账款；（乙）联合国得自一国至他国或在一国境内自由移转其款项、黄金或货币，并得将其所持有的任何货币换成任何其他货币。

第六节联合国于行使上述第五节的权利时，应适当顾及任何会员国政府所提的主张，但以认为能实行此种主张而不损害联合国的利益为限。

《维也纳外交关系公约》1961年
《联合国海洋法公约》1982年
《联合国特权及豁免公约》
《国家与国际组织之间或国际组织之间维也纳条约法公约》
《关于防止和惩办灭种罪公约》1948年
《国际防止船舶造成污染公约》1973年
《维也纳领事关系公约》1963年
《特别使团公约》1969年
《关于防止和惩处侵害应受国际保护人员包括外交代表的罪行的公约》1973年
《关于国家在其对普遍性国际组织关系上的代表权的维也纳公约》1975年
《关于国家在条约方面的继承的维也纳公约》（关于条约继承的公约）1978年
《关于国家对国家财产、档案和债务的继承的维也纳公约》（关于国家财产、档案和债务继承的公约）1983年该公约尚未生效
《关于国家和国家组织间或国际组织相互间条约法的维也纳公约》1986年
《关于制止非法劫持航空器的公约》1970年
《国家及其财产管辖豁免公约》该公约尚未生效
《关于国籍法冲突的若干问题的公约》1930年
《关于难民地位的公约》1951
《关于无国籍人地位的公约》1954
《已婚妇女国际公约》1957
《减少无国籍状态公约》1961
《公民权利和政治权利国际公约》
《经济、社会和文化权利国际公约》
《世界人权宣言》
《保护工业产权巴黎公约》
《国际水道非航行使用法公约》1997年5.21通过，尚未生效。

《联合国国家及其财产管辖豁免公约》评介《联合国国家及其财产管辖豁免公约》是第一个全面规范国家及其财产管辖豁免问题的普遍性国际公约，也是第一个确认国家及其财产限制豁免的普遍性国际公约。

该《公约》的通过和开放签署对国际法的发展具有重要的理论和现实意义。

一、《公约》的起草背景和过程国家豁免主要涉及一国法院对他国的国家行为及财产是否有权管辖，以及对外国财产是否有权强制执行问题。

其对象是外国的国家行为及国家财产，其本质涉及如何协调两个国家主权和两种利益的关系这一重大而敏感问题。

如何在主张豁免国的国家人格的域外效力与给予豁免国的司法主权的域内效力之间取得合理平衡，以及如何在保护国家利益与保护个人利益之间保持合理平衡，不仅是一个法律问题，而且是一个政治问题，涉及政治考量、价值判断和政策取舍等许多因素。

纵观1812年美国联邦法院在斯库诺交易号案（Schooner Exchange Case）开始确立国家司法管辖豁免这一原则以来近两个世纪的历史，国家豁免的国际法规则的演变大体经历了两个阶段:在20世纪50年代前的一个半世纪，各国普遍奉行绝对豁免原则，即国家行为及财产在另一国法院享有绝对不受管辖和不得执行的特权。

自20世纪50年代以来的半个世纪，国际实践基本上是绝对豁免与限制豁免两种原则并存，但国际上主张限制豁免原则的呼声渐高。

以英、美为代表的西方国家及部分发展中国家认为，国家和私人当事方在商业活动中的地位应当是平等的，国家在其商业性活动中不应享有特权，一国法院应对他国的商业活动有管辖权。

限制豁免原则把国家行为分为统治权行为（acta jure inperii）或称主权行为、公法行为与管理权行为。

（acta jure gestionis）或称非主权行为、私法行为，主张国家的立法、行政、司法等统治权行为可以享受豁免，而国家从事商业活动等非主权行为不能享受豁免。

美国、英国分别于1976年、1978年制订了有关限制豁免的国内立法，欧盟也在1972年制订了《欧洲国家豁免公约》，限制豁免的立法和司法实践逐渐盛行。

国家官员的外国刑事管辖豁免2009年12月英国一家法院受理了加沙地带巴勒斯坦人委托的一名律师的起诉，该起诉指控以色列前外交部长齐皮 利夫尼犯有战争罪，因为她在2008年底支持以军在加沙地带发动“铸铅”军事行动，并导致巴勒斯坦平民丧生。

英国法院签发了逮捕令，决定将逮捕利夫尼。

(联合国2009年３月公布的调查结果显示，这场军事行动致使包括431名儿童和114名妇女在内1440名巴勒斯坦人死亡，其中大部分为平民。

联合国加沙冲突真相调查团2009年９月公布报告说，以军实施的行为构成战争罪且在某些方面可能构成反人类罪)该案在英以色列和英国之间引起了轩然大波，逮捕令引发以色列方面强烈不满，2009年12月15日以色列政府召见英国驻以色列大使汤姆·菲利普斯，提出抗议，以色列总理内塔尼亚胡在一份声明中形容签发逮捕令是“荒谬的举动”。

他还指派国家安全顾问阿拉德召见英国驻以色列大使菲利普斯，敦促英国政府“采取措施……挫败损害以色列自卫能力的企图”。

利夫尼也因此而取消了当月将对英国进行的访问。

2005年9月，以军驻加沙部队前最高指挥官、退役少将阿尔莫格抵达伦敦机场后立即乘机返回，因为他听说警察已在航站楼等着逮捕他。

(阿尔莫格2002年参与一次暗杀哈马斯前军事领导人的袭击行动，袭击造成包括9名儿童在内的14人死亡。

亚阿隆也因相同事件遭起诉。

)以色列副总理亚阿隆2009年10月原本应邀赴英参加一个犹太人慈善机构的善款筹集活动，但他得知自己可能因涉嫌战争罪而遭逮捕后取消了行程。

2009年9月，一些律师援引普遍管辖权向英国一家法院起诉以色列国防部长巴拉克，法院以巴拉克在职拥有外交豁免权为由予以驳回。

随着第二次世界大战结束后纽伦堡审判和东京审判的结束尤其是《国际刑事法院规约》的缔结和国际刑事法院的建立，在国际社会确立了对战争罪、灭绝种族罪、反人类罪等国际罪行的管辖权，而早在第二世界大战后进行的纽伦堡审判中，就确立了“纽伦堡七原则其中“官方身份无关性原则”则明确犯有国际罪行的人不能因为其官方身份而免除其责任或减轻刑罚。

联合国特权和豁免公约全文鉴于联合国宪章第一百零四条规定，本组织于每一会员国之领土内，应享受于执行其职务及达成其宗旨所必需之法律行为能力，又鉴于联合国宪章第一百零五条规定，本组织于每一会员国之领土内，应享受于达成其宗旨所必需之特权及豁免。

联合国会员国之代表及本组织之职员，亦应同样享受于其独立行使关于本组织之职务所必需之特权及豁免，因此大会于１９４６年２月１３日通过一项决议核准下列公约，并建议联合国各会员国加入。

第一条法律人格第一节联合国具有法律人格。

联合国并有行为能力：（甲）订立契约；（乙）取得和处分不动产和动产；（丙）提起诉讼。

第二条财产、款项和资产第二节联合国，其财产和资产，不论其位置何处，亦不论由何人持有，对于各种方式的法律程序应享有豁免，但在特定情况下，经联合国明示抛弃其豁免时，不在此限。

惟缔约各国了解抛弃豁免不适用于任何强制执行措施。

第三节联合国的房舍不可侵犯。

联合国的财产和资产，不论其位于何处，亦不论由何人持有，应豁免搜查、征用、没收、征收和任何其他方式的干扰，不论是由于执行行为、行政行为、司法行为或立法行为。

第四节联合国的档案以及一般而论属于联合国或联合国所持有的一切文件不论其置于何处，均属不可侵犯。

第五节在不受任何财政管制、财政条例和延期偿付令的限制下，（甲）联合国得持有款项、黄金或任何货币，并得以任何货币运用账款；（乙）联合国得自一国至他国或在一国境内自由移转其款项、黄金或货币，并得将其所持有的任何货币换成任何其他货币。

第六节联合国于行使上述第五节的权利时，应适当顾及任何会员国政府所提的主张，但以认为能实行此种主张而不损害联合国的利益为限。

第七节联合国，其资产、收入以及其他财产：（甲）应免除一切直接税；但联合国对于事实上纯为公用事业服务费用的税捐不得要求免除；（乙）对于联合国为公务用途而运入和运出的物品，应免除关税和进出口的禁止或限制；但这项免税进口的物品非依照与进口国政府商定的条件不得在该国出售；（丙）对于联合国的出版物，应免除关税以及进出口的禁止和限制。

·新问题笔谈·政治与法律2007年第1期《联合国国家及其财产管辖豁免公约》规则的性质与适用王虎华罗国强（华东政法学院，上海200042）摘要：《联合国国家及其财产管辖豁免公约》规定了国家主权有限豁免的内容和标准。

《公约》有关有限豁免主义的规则是国际条约法规范，尚不能构成国际习惯法规范。

但《公约》的通过与日后的生效，将促使有限豁免主义发展成为国际习惯法。

《公约》规则在我国不应得到直接适用。

我国应制定关于国家及其财产豁免的法律，一方面将《公约》规则转化为国内法并在缔约国之间适用，另一方面对非缔约国（也包括对《公约》提出保留的缔约国）继续实行对等原则。

在今后的司法实践中，应以《公约》规则来解释国内法，从而使国内法与《公约》保持一致。

关键词：《联合国国家及其财产管辖豁免公约》；管辖豁免；执行豁免；国际公约中图分类号：DF92 文献标识码：A 文章编号：1005-9512（2007）01-0034-05《联合国国家及其财产管辖豁免公约》（以下简称《公约》）已经于2004年12月2日通过。

截止2006年12月5日，《公约》已经得到了25个国家的签署。

1 《公约》有望在2007年1月17日，即《公约》第28条所规定的开放签署截止日期前得到30个以上国家的签署。

我国已经于2005年9月14日签署了《公约》，故而可见，我国将在适当的时候批准《公约》，而生效后的《公约》也将在我国国内适用。

一、《公约》的主要规则及其性质（一）《公约》的主要规则首先，国家行为及财产在他国享有诉讼管辖豁免、诉讼保全豁免和强制执行豁免，2 但国家也可以通过明示同意、主动参与诉讼或反诉的方式放弃这些豁免。

其次，国家在商业交易、雇佣合同、侵权、财产权、知识产权、参加公司或其他集体机构、国家拥有或经营的船舶、仲裁协议的效果等8种例外情况下，不享有诉讼管辖豁免；判断是否属于商业交易，作者简介：王虎华，华东政法学院教授、博士生导师；罗国强，华东政法学院讲师、法学博士。

浅析联合国豁免公约草案中的强制措施条款摘要：自美、英相继出台《外国主权豁免法》和《国家豁免法》，国际上开始了“关于国家及其财产豁免和实践的大动荡”1;。

如果说国家豁免原则的绝对性和相对性国际还没有在理论上加以明确，那么在对国家利益能产生实质性的强制措施方面，各国事实上已经达成了某些方面的默契和共识（尽管还存在范围和程度的不同）。

本文主要了《联合国国家及其财产的管辖豁免公约》91年二读草案（以下简称公约草案）中的核心条款即有关强制措施的规定，结合有关国家的立法和实践，对其加以和归纳，并对我国在公约磋商和制定过程中应采取的立场提出一些建议。

一、;执行豁免的理论（一）;理论关于执行豁免，存在2种学说或者说是实践做法，一种是一体说，如果国家行为及其财产享有管辖豁免，那么所涉国家财产也享有执行豁免，反之亦然，即将管辖豁免和执行豁免等同对待，此理论是绝对豁免论在执行方面的体现；还有一种是区分说，即将管辖豁免和执行豁免视为两个不同的问题区别对待，其中又有完全区分说和部分区分说，前者主张即使不享有管辖豁免，对国家财产的执行豁免的放弃仍需另行表示，后者规定一般需要另行表示，但某些财产符合如用于商业用途、与法院地有联系、与起诉商业活动有关等国内法条件的，则不享有执行豁免，如美、英、加拿大等国。

毕业论文（二）;公约的立场从公约草案第四部分的行文来看，采取了完全区分的立场，同时在某些细节方面也有特殊的地方。

体现具体在：1、;公约第18条第2款明确规定，国家同意接受他国管辖并非默示同意采取强制措施，对于强制措施必须另行表示同意。

表示同意的方式在该条第一款做了列举即：国际协定、仲裁协议、事后声明等。

2、;即使在国家已经另行表示同意的情况下，仍需符合：（1）该国已就此诉讼拨了专项财产；或;（2）执行财产位于法院地国，并被该国用于或意图用于政府非商业用途以外的目的，且与诉讼标的要求有关，或者与被诉机构或部门有关。

（1）;项较易理解，在实践中也比较容易区分，（2）项则是具体判定可否采取强制措施的实质条件，现将其分解开来进行分析：A、;地点（领土联系）公约规定执行的财产对象必须位于法院地国且在法院地国被用于商业目的，也就是说，执行对象与执行地国要存在领土联系。