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【名稱】


《聯合國國家及其財產管轄豁免公約》
United Nations Convention on Jurisdictional Immunities of States and Their Property


【頒布日期】2004年12月10日
 
【索引】
第一部分 導言 §1
第二部分 一般原則 §5
第三部分 不得援引國家豁免的訴訟 §10
第四部分 在法院訴訟中免於強制措施的國家豁免 §18
第五部分 雜項規定 §22
第六部分 最後條款 §25
 
【內容】
  本公約締約國,考慮到國家及其財產的管轄豁免為一項普遍接受的習慣國際法原則,銘記《聯合國憲章》所體現的國際法原則,相信一項關於國家及其財產的管轄豁免國際公約將加強法治和法律的確定性,特別是在國家與自然人或法人的交易方面,並將有助於國際法的編纂與發展及此領域實踐的協調,考慮到國家及其財產的管轄豁免方面國家實踐的發展,申明習慣國際法的規則仍然適用於本公約沒有規定的事項,議定如下:
  The 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 the Charter of the United Nations,
  Believing that an international convention on the jurisdictional immunities 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 to govern matters not regulated by the provisions of the present Convention,Have agreed as follows:

第一部分 導言 Part I Introduction

第1條 本公約的範圍 Article 1 Scope of the present Convention


  本公約適用於國家及其財產在另一國法院的管轄豁免。
  The present Convention applies to the immunity of a State and its property from the jurisdiction of the courts of another State.

第2條 用語 Article 2 Use of terms


  1.為本公約的目的:
  (a)“法院”是指一國有權行使司法職能的不論名稱為何的任何機關;
  (b)“國家”是指:
  (一)國家及其政府的各種機關;
  (二)有權行使主權權力並以該身份行事的聯邦國家的組成單位或國家政治區分單位;
  (三)國家機構、部門或其他實體,但須它們有權行使並且實際在行使國家的主權權力;
  (四)以國家代表身份行事的國家代表。
  (c)“商業交易”是指:
  (一)為銷售貨物或為提供服務而訂立的任何商業合同或交易;
  (二)任何貸款或其他金融性質之交易的合同,包括涉及任何此類貸款或交易的任何擔保義務或補償義務;
  (三)商業、工業、貿易或專業性質的任何其他合同或交易,但不包括雇用人員的合同。
  2.在確定一項合同或交易是否為第1款(c)項所述的“商業交易”時,應主要參考該合同或交易的性質,但如果合同或交易的當事方已達成一致,或者根據法院地國的實踐,合同或交易的目的與確定其非商業性質有關,則其目的也應予以考慮。
  3.關於本公約用語的第1款和第2款的規定不妨礙其他國際文書或任何國家的國內法對這些用語的使用或給予的含義。
  1. 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;
  (iii) agencies or instrumentalities of the State or other entities, to the extent that they are entitled to perform and are actually performing acts in 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 or supply 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 any such loan or transaction;
  (iii) any other contract or transaction of a commercial, industrial,trading or professional nature, but not including a contract of employment 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.

第3條 不受本公約影響的特權和豁免 Article 3 Privileges and immunities not affected by the present Convention


  1.本公約不妨礙國家根據國際法所享有的有關行使下列職能的特權和豁免:
  (a)其外交代表機構、領事機構、特別使團、駐國際組織代表團,或派往國際組織的機關或國際會議的代表團的職能;和
  (b)與上述機構有關聯的人員的職能。
  2.本公約不妨礙根據國際法給予國家元首個人的特權和豁免。
  3.本公約不妨礙國家根據國際法對國家擁有或運營的航空器或空間物體所享有的豁免。
  1. 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, missions to 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 and immunities accorded under international law to heads of State ratione personae.
  3. The present Convention is without prejudice to the immunities enjoyed by a State under international law with respect to aircraft or space objects owned or operated by a State.

第4條 本公約不溯及既往 Article 4 Non-retroactivity of the present Convention


  在不妨礙本公約所述關於國家及其財產依國際法而非依本公約享有管轄豁免的任何規則的適用的前提下,本公約不應適用於在本公約對有關國家生效前,在一國法院對另一國提起的訴訟所引起的任何國家及其財產的管轄豁免問題。
  Non-retroactivity of the present Convention Without 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 Statebefore a court of another State prior to the entry into force of the present Convention for the States concerned.


回索引〉〉

第二部分 一般原則 Part II General principles

第5條 國家豁免 Article 5 State immunity


  一國本身及其財產遵照本公約的規定在另一國法院享有管轄豁免。
  A 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.

第6條 實行國家豁免的方式 Article 6 Modalities for giving effect to State immunity


  1.一國應避免對在其法院對另一國提起的訴訟行使管轄,以實行第5條所規定的國家豁免;並應為此保證其法院主動地確定該另一國根據第5條享有的豁免得到尊重。
  2.在一國法院中的訴訟應視為對另一國提起的訴訟,如果該另一國:(a)被指名為該訴訟的當事一方;或(b)未被指名為該訴訟的當事一方,但該訴訟實際上企圖影響該另一國的財產、權利、利益或活動。
  1. 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 in effect seeks to affect the property, rights, interests or activities of that other State.

第7條 明示同意行使管轄 Article 7 Express consent to exercise of jurisdiction


  1.一國如以下列方式明示同意另一國對某一事項或案件行使管轄,則不得在該法院就該事項或案件提起的訴訟中援引管轄豁免:(a)國際協定;(b)書面合同;或(c)在法院發表的聲明或在特定訴訟中提出的書面函件。
  2.一國同意適用另一國的法律,不應被解釋為同意該另一國的法院行使管轄權。
  1. A State cannot invoke immunity from jurisdiction in a proceeding before a 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
  (c) by a declaration before the court or by a written communication in a specific proceeding.
  2. Agreement by a State for the application of the law of another State shall not be interpreted as consent to the exercise of jurisdiction by the courts of that other State.

第8條 參加法院訴訟的效果 Article 8 Effect of participation in a proceeding before a court


  1.在下列情況下,一國不得在另一國法院的訴訟中援引管轄豁免:(a)該國本身提起該訴訟,或(b)介入該訴訟或採取與案件實體有關的任何其他步驟。但如該國使法院確信它在採取這一步驟之前不可能知道可據以主張豁免的事實,則它可以根據那些事實主張豁免,條件是它必須儘早這樣做。
  2.一國不應被視為同意另一國的法院行使管轄權,如果該國僅為下列目的介入訴訟或採取任何其他步驟:(a)援引豁免;或(b)對訴訟中有待裁決的財產主張一項權利或利益。
  3.一國代表在另一國法院出庭作證不應被解釋為前一國同意法院行使管轄權。
  4.一國未在另一國法院的訴訟中出庭不應被解釋為前一國同意法院行使管轄權。
  1. A State cannot invoke immunity from jurisdiction in a proceeding before a court of another State if it has:
  (a) itself instituted the proceeding; or
  (b) intervened in the proceeding or taken any other step relating to the 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 of jurisdiction 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 proceeding before a court of another State shall not be interpreted as consent by the former State to the exercise of jurisdiction by the court.

第9條 反訴 Article 9 Counterclaims


  1.一國在另一國法院提起一項訴訟,不得就與本訴相同的法律關係或事實所引起的任何反訴向法院援引管轄豁免。
  2.一國介入另一國法院的訴訟中提出訴訟請求,則不得就與該國提出的訴訟請求相同的法律關係或事實所引起的任何反訴援引管轄豁免。
  3.一國在另一國法院對該國提起的訴訟中提出反訴,則不得就本訴向法院援引管轄豁免。
  1. A State instituting a proceeding before a court of another State cannot invoke immunity from the jurisdiction of the court in respect of anycounterclaim 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.
  3. A State making a counterclaim in a proceeding instituted against it before a court of another State cannot invoke immunity from the jurisdiction of the court in respect of the principal claim.


回索引〉〉

第三部分 不得援引國家豁免的訴訟 Part III Proceedings in which State immunity cannot be invoked

第10條 商業交易 Article 10 Commercial transactions


  1.一國如與外國一自然人或法人進行一項商業交易,而根據國際私法適用的規則,有關該商業交易的爭議應由另一國法院管轄,則該國不得在該商業交易引起的訴訟中援引管轄豁免。
  2.第1款不適用於下列情況:
  (a)國家之間進行的商業交易;或
  (b)該商業交易的當事方另有明確協議。
  3.當國家企業或國家所設其他實體具有獨立的法人資格,並有能力:
  (a)起訴或被訴;和
  (b)獲得、擁有或佔有和處置財產,包括國家授權其經營或管理的財產,其捲入與其從事的商業交易有關的訴訟時,該國享有的管轄豁免不應受影響。
  1. 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 has an 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.

第11條 雇用合同 Article 11 Contracts of employment


  1.除有關國家間另有協定外,一國在該國和個人間關於已全部或部分在另一國領土進行,或將進行的工作之雇用合同的訴訟中,不得向該另一國原應管轄的法院援引管轄豁免。
  2.第1款不適用於下列情況:
  (a)招聘該雇員是為了履行行使政府權力方面的特定職能;
  (b)該雇員是:
  (一)1961年《維也納外交關係公約》所述的外交代表;
  (二)1963年《維也納領事關係公約》所述的領事官員;
  (三)常駐國際組織代表團外交工作人員、特別使團成員或獲招聘代表一國出席國際會議的人員;或
  (四)享有外交豁免的任何其他人員;
  (c)訴訟的事由是個人的招聘、雇用期的延長或複職;
  (d)訴訟的事由是解雇個人或終止對其雇用,且雇用國的國家元首、政府首腦或外交部長認定該訴訟有礙該國安全利益;
  (e)該雇員在訴訟提起時是雇用國的國民,除非此人長期居住在法院地國;或
  (f)該雇員和雇用國另有書面協議,但由於公共政策的任何考慮,因該訴訟的事由內容而賦予法院地國法院專屬管轄權者不在此限。
  1. 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 in the exercise of governmental authority;
  (b) the employee is:
  (i) a diplomatic agent, as defined in the Vienna Convention on Diplomatic 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 torepresent 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 when the 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 in writing, 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.

第12條 人身傷害和財產損害 Article 12 Personal injuries and damage to property


  除有關國家間另有協議外,一國在對主張由可歸因於該國的作為或不作為引起的死亡或人身傷害、或有形財產的損害或滅失要求金錢賠償的訴訟中,如果該作為或不作為全部或部分發生在法院地國領土內,而且作為或不作為的行為人在作為或不作為發生時處於法院地國領土內,則不得向另一國原應管轄的法院援引管轄豁免。
  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 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, if the 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.

第13條 財產的所有、佔有和使用 Article 13 Ownership, possession and use of property


  除有關國家間另有協定外,一國在涉及確定下列問題的訴訟中,不得對另一國原應管轄的法院援引管轄豁免:
  (a)該國對位於法院地國的不動產的任何權利或利益,或該國對該不動產的佔有或使用,或該國由於對該不動產的利益或佔有或使用而產生的任何義務;
  (b)該國對動產或不動產由於繼承、贈予或無人繼承而產生的任何權利或利益;或
  (c)該國對託管財產、破產者財產或公司解散前清理之財產的管理的任何權利或利益。
  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 determination of:
  (a) any right or interest of the State in, or its possession or use of, or any 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 immovable property 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.

第14條 智慧財產權和工業產權 Article 14 Intellectual and industrial property


  除有關國家間另有協議外,一國在有關下列事項的訴訟中不得向另一國原應管轄的法院援引管轄豁免:
  (a)確定該國對在法院地國享受某種程度、即使是暫時的法律保護的專利、工業設計、商業名稱或企業名稱、商標、版權或任何其他形式的智慧財產權或工業產權的任何權利;或
  (b)據稱該國在法院地國領土內侵犯在法院地國受到保護的、屬於第三者的(a)項所述性質的權利。
  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) 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 State of 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.

第15條 參加公司或其他集體機構 Article 15 Participation in companies or other collective bodies


  1.一國在有關該國參加具有或不具有法人資格的公司或其他集體機構的訴訟中,即在關於該國與該機構或該機構其他參加者之間關係的訴訟中,不得向另一國原應管轄的法院援引管轄豁免,但有以下條件:
  (a)該機構的參加者不限於國家或國際組織;而且
  (b)該機構是按照法院地國法律註冊或組成,或其所在地或主要營業地位於法院地國。
  2.但是,如果有關國家同意,或如果爭端當事方之間的書面協議作此規定,或如果建立或管理有關機構的文書中載有此一規定,則一國可以在此訴訟中援引管轄豁免。
  1. 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 the forum 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 that effect.

第16條 國家擁有或經營的船舶 Article 16 Ships owned or operated by a State


  1.除有關國家間另有協議外,擁有或經營一艘船舶的一國,在另一國原應管轄的法院有關該船舶的經營的一項訴訟中,只要在訴訟事由產生時該船舶是用於政府非商業性用途以外的目的,即不得援引管轄豁免。
  2.第1款不適用於軍艦或輔助艦艇,也不適用於一國擁有或經營的、專門用於政府非商業性活動的其他船舶。
  3.除有關國家間另有協議外,一國在有關該國擁有或經營的船舶所載貨物之運輸的一項訴訟中,只要在訴訟事由產生時該船舶是用於政府非商業性用途以外的目的,即不得向另一國原應管轄的法院援引管轄豁免。
  4.第3款不適用於第2款所指船舶所載運的任何貨物,也不適用於國家擁有的、專門用於或意圖專門用於政府非商業性用途的任何貨物。
  5.國家可提出私有船舶、貨物及其所有人所能利用的一切抗辯措施、時效和責任限制。
  6.如果在一項訴訟中產生有關一國擁有或經營的一艘船舶、或一國擁有的貨物的政府非商業性質問題,由該國的一個外交代表或其他主管當局簽署並送交法院的證明,應作為該船舶或貨物性質的證據。
  1. Unless otherwise agreed between the States concerned, a State which owns 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.

第17條 仲裁協定的效果 Article 17 Effect of an arbitration agreement


  一國如與外國一自然人或法人訂立書面協定,將有關商業交易的爭議提交仲裁,則該國不得在另一國原應管轄的法院有關下列事項的訴訟中援引管轄豁免;
  (a)仲裁協議的有效性、解釋或適用;
  (b)仲裁程式;或
  (c)裁決的確認或撤銷,
  但仲裁協議另有規定者除外。
  If 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 arbitration agreement;
  (b) the arbitration procedure; or
  (c) the confirmation or the setting aside of the award,unless the arbitration agreement otherwise provides.


回索引〉〉

第四部分 在法院訴訟中免於強制措施的國家豁免 Part IV State immunity from measures of constraint in connection with proceedings before a court

第18條 免於判決前的強制措施的國家豁免Article 18 State immunity from pre-judgment measures of constraint


  不得在另一國法院的訴訟中針對一國財產採取判決前的強制措施,例如查封和扣押措施,除非:
  (a)該國以下列方式明示同意採取此類措施:
  (一)國際協定;
  (二)仲裁協議或書面合同;或
  (三)在法院發表的聲明或在當事方發生爭端後提出的書面函件;或
  (b)該國已經撥出或專門指定該財產用於清償該訴訟標的的請求。
  No 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 measures as 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 communication after a dispute between the parties has arisen; or
  (b) the State has allocated or earmarked property for the satisfaction of the claim which is the object of that proceeding.

第19條 免於判決後的強制措施的國家豁免 Article 19 State immunity from post-judgment measures of constraint


  不得在另一國法院的訴訟中針對一國財產採取判決後的強制措施,例如查封、扣押和執行措施,除非:
  (a)該國以下列方式明示同意採取此類措施:
  (一)國際協定;
  (二)仲裁協議或書面合同;或
  (三)在法院發表的聲明或在當事方發生爭端後提出的書面函件;或
  (b)該國已經撥出或專門指定該財產用於清償該訴訟標的的請求;或
  (c)已經證明該財產被該國具體用於或意圖用於政府非商業性用途以外的目的,並且處於法院地國領土內,但條件是只可對與被訴實體有聯繫的財產採取判決後強制措施。
  No 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 measures as 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 communication after a dispute between the parties has arisen; or
  (b) the State has allocated or earmarked property for the satisfaction of the claim which is the object of that proceeding; or
  (c) it has been established that the property is specifically in use or intended 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 postjudgment measures of constraint may only be taken against property that has a connection with the entity against which the proceeding was directed.

第20條 同意管轄對強制措施的效力 Article 20 Effect of consent to jurisdiction to measures of constraint


  雖然必須按照第18條第19條表示同意採取強制措施,但按照第7條的規定同意行使管轄並不構成默示同意採取強制措施。
  Where consent to the measures of constraint is required under articles 18 and 19, consent to the exercise of jurisdiction under article 7 shall not imply consent to the taking of measures of constraint.

第21條 特定種類的財產 Article 21 Specific categories of property


  1.一國的以下各類財產尤其不應被視為第19條(c)項所指被一國具體用於或意圖用於政府非商業性用途以外目的的財產:
  (a)該國外交代表機構、領事機構、特別使團、駐國際組織代表團、派往國際組織的機關或國際會議的代表團履行公務所用或意圖所用的財產,包括任何銀行帳戶款項;
  (b)屬於軍事性質,或用於或意圖用於軍事目的的財產;
  (c)該國中央銀行或其他貨幣當局的財產;
  (d)構成該國文化遺產的一部分或該國檔案的一部分,且非供出售或意圖出售的財產;
  (e)構成具有科學、文化或歷史價值的物品展覽的一部分,且非供出售或意圖出售的財產。
  2.第1款不妨礙第18條第19條(a)項和(b)項。
  1. The following categories, in particular, of property of a State shall not be considered as property specifically in use or intended for use by the State for other than government non-commercial purposes under article 19,subparagraph (c):
  (a) property, including any bank account, which is used or intended for 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 the State;
  (d) property forming part of the cultural heritage of the State or part of 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).


回索引〉〉

第五部分 雜項規定 Part V Miscellaneous provisions

第22條 訴訟文書的送達 Article 22 Service of process


  1.送達傳票或對一國提起訴訟的其他文書應按以下方式進行:
  (a)按照對法院地國和有關國家有約束力的任何可適用的國際公約;或
  (b)如果法院地國法律未作禁止,則按照求償方和有關國家關於送達訴訟文書的特殊安排;或
  (c)如無此公約或特殊安排,則:
  (一)通過外交管道送交有關國家的外交部;或
  (二)採取有關國家接受的不受法院地國法律禁止的任何其他方式。
  2.以第1款(c)(一)項所指的方式送達訴訟文書時,外交部收到該項文書即視為該項文書已送達。
  3.在必要時,送達的文書應附有譯成有關國家正式語文或正式語文之一的譯本。
  4.任何國家在對其提起的訴訟中就實質問題出庭,其後即不得聲稱訴訟文書的送達不符合第1款和第3款的規定。
  1. Service of process by writ or other docxument instituting a proceeding against a State shall be effected:
  (a) in accordance with any applicable international convention binding on the State of the forum and the State concerned; or
  (b) in accordance with any special arrangement for service between the 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 of Foreign Affairs of the State concerned; or
  (ii) by any other means accepted by the State concerned, if not precluded 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 docxuments by the Ministry of Foreign Affairs.
  3. These docxuments shall be accompanied, if necessary, by a translation into 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.

第23條 缺席判決 Article 23 Default judgment


  1.不得對一國作出缺席判決,除非法院已查明:
  (a)第22條第1款和第3款規定的要求已獲遵守;
  (b)從按照第22條第1款和第2款送達傳票或其他起訴文書之日算起,或視為已送達之日算起至少已經四個月;並且
  (c)本公約不禁止法院行使管轄權。
  2.對一國作出任何缺席判決,應通過第22條第1款所指的一種方式並按該款規定將判決書的副本送交該有關國家,必要時附上譯成有關國家正式語文或正式語文之一的譯本。
  3.申請撤銷一項缺席判決的時限不應少於四個月,時限應從有關國家收到判決書副本或視為有關國家收到判決書副本之日算起。
  1. 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, have been complied with;
  (b) a period of not less than four months has expired from the date on which the service of the writ or other docxument 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 officiallanguages 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 shall not 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.

第24條 法院訴訟期間的特權和豁免 Article 24 Privileges and immunities during court proceedings


  1.如一國未能或拒絕遵守另一國法院為一項訴訟的目的所下達的關於要求它實行或不實行一項特定行為,或提供任何文件,或透露任何其他資料的命令,則這種行為除了對該案的實質可能產生的後果外,不應產生任何其他後果。特別是,不應因此對該國處以任何罰款或罰金。
  2.一國對它在另一國法院作為被告方的任何訴訟,均無須出具無論何種名稱的擔保、保證書或保證金保證支付司法費用或開支。
  1. 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 docxument 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.


回索引〉〉

第六部分 最後條款 Part VI Final clauses

第25條 附件 Article 25 Annex


  本公約附件為公約的組成部分。
  The annex to the present Convention forms an integral part of the Convention.

第26條 其他國際協定 Article 26 Other international agreements


  本公約不影響與本公約所涉事項有關的現有國際協定對締約國所規定的,適用於這些協定締約方之間的權利和義務。
  Nothing in the present Convention shall affect the rights and obligations of States Parties under existing international agreements which relate to matters dealt with in the present Convention as between the parties to those agreements.

第27條 爭端的解決 Article 27 Settlement of disputes


  1.締約國應致力通過談判解決關於本公約的解釋或適用方面的爭端。
  2.兩個或兩個以上的締約國之間關於本公約的解釋或適用方面的任何爭端,不能在六個月內談判解決的,經前述任一締約國要求,應交付仲裁。如果自要求仲裁之日起六個月內,前述締約國不能就仲裁的組成達成協議,其中任一締約國可以依照《國際法院規約》提出請求,將爭端提交國際法院審理。
  3.每一個締約國在簽署、批准、接受或核准本公約或加入本公約時,可以聲明本國不受第2款的約束。相對于作出這項保留的任何締約國,其他締約國也不受第2款的約束。
  4.依照第3款的規定作出保留的任何締約國,可以隨時通知聯合國秘書長撤回該項保留。
  1. 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.
  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.

第28條 簽署 Article 28 Signature


  本公約應在2007年1月17日之前開放給所有國家在紐約聯合國總部簽署。
  The present Convention shall be open for signature by all States until 17.January 2007, at United Nations Headquarters, New York.

第29條 批准、接受、核准或加入 Article 29 Ratification, acceptance, approval or accession


  1.本公約須經批准、接受、核准或加入。
  2.本公約持續開放給任何國家加入。
  3.批准書、接受書、核准書或加入書應交存聯合國秘書長。
  1. 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 shall be deposited with the Secretary-General of the United Nations.

第30條 生效Article 30 Entry into force


  1.本公約應自第三十份批准書、接受書、核准書或加入書交存聯合國秘書長之日後第三十天生效。
  2.對於在第三十份批准書、接受書、核准書或加入書交存以後批准、接受、核准或加入本公約的每一國家,本公約應在該國將批准書、接受書、核准書或加入書交存之後第三十天生效。
  1. The present Convention shall enter into force on the thirtieth day following the date of deposit of the thirtieth instrument of ratification,acceptance, approval or accession with the Secretary-General of the UnitedNations.
  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.

第31條 退出 Article 31 Denunciation


  1.任何締約國可書面通知聯合國秘書長退出本公約。
  2.退出應自聯合國秘書長接到通知之日起一年後生效。但本公約應繼續適用於在退出對任何有關國家生效前,在一國法院對另一國提起的訴訟所引起的任何國家及其財產的管轄豁免問題。
  3.退出決不影響任何締約國按照國際法而非依本公約即應擔負的履行本公約所載任何義務的責任。
  1. Any State Party may denounce the present Convention by writtennotification 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 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 Party to fulfil any obligation embodied in the present Convention to which it would be subject under international law independently of the present Convention.

第32條 保存機關和通知 Article 32 Depositary and notifications


  1.聯合國秘書長應為本公約的保存機關。
  2.聯合國秘書長作為本公約的保存機關,應將以下事項通知所有國家:
  (a)本公約的簽署及按照第29條第31條交存批准書、接受書、核准書或加入書或退出通知的情況;
  (b)本公約按照第30條生效之日期;
  (c)與本公約有關的任何文書、通知或來文。
  1. The Secretary-General of the United Nations is designated the depositary 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 of instruments 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.

第33條 作準文本 Article 33 Authentic texts


  本公約的阿拉伯文、中文、英文、法文、俄文和西班牙文文本同等作準。本公約於2005年1月17日在紐約聯合國總部開放供簽字。下列簽署人經各自政府正式授權在本公約上簽字,以昭信守。
  The Arabic, Chinese, English, French, Russian and Spanish texts of the present Convention are equally authentic.IN WITNESS WHEREOF, the undersigned, being duly authorized thereto by their respective Governments, have signed this Convention opened for signature at United Nations Headquarters in New York on 17 January 2005.


回索引〉〉

公約附件 Annex to the Convention


  對公約若干規定的理解
  本附件旨在列出對有關規定的理解。
  Understandings with respect to certain provisions of the Convention
  The present annex is for the purpose of setting out understandings relating to the provisions concerned.

第10條 With respect to article 10


  第10條中的“豁免”一詞應根據本公約全文來理解。
  第10條第3款並不預斷“掀開公司面紗”的問題,涉及國家實體故意虛報其財務狀況或繼而減少其資產,以避免清償索賠要求的問題,或其他有關問題。
  The term “immunity” in article 10 is to be understood in the context ofthe present Convention as a whole.
  Article 10, paragraph 3, does not prejudge the question of “piercing the corporate veil”, questions relating to a situation where a State entity has deliberately misrepresented its financial position or subsequently reduced its assets to avoid satisfying a claim, or other related issues.

第11條 With respect to article 11


  第11條第2款(d)項所提到的雇主國“安全利益”主要是針對國家安全事項和外交使團和領事館的安全而言。
  1961年《維也納外交關係公約》第四十一條和1963年《維也納領事關係公約》第五十五條規定,條款提及的所有個人都有義務遵守東道國的法律規章,包括遵守東道國的勞工法。同時,1961年《維也納外交關係公約》第三十八條和1963年《維也納領事關係公約》第七十一條規定,接受國有義務在行使管轄時,不對使團或領館開展工作造成不當妨礙。
  The reference in article 11, paragraph 2 (d), to the “security interests” of the employer State is intended primarily to address matters of national security and the security of diplomatic missions and consular posts. Under article 41 of the 1961 Vienna Convention on Diplomatic
  Relations and article 55 of the 1963 Vienna Convention on Consular Relations,all persons referred to in those articles have the duty to respect the laws and regulations, including labour laws, of the host country. At the same time, under article 38 of the 1961 Vienna Convention on Diplomatic Relations and article 71.of the 1963 Vienna Convention on Consular Relations, the receiving State has a duty to exercise its jurisdiction in such a manner as not to interfere unduly with the performance of the functions of the mission or the consularpost.

第13條第14條With respect to articles 13 and 14


  “確定”一詞不僅指查明或核查是否有受保護的權利,而且也指評價或評估此類權利的實質,包括其內容、範圍和程度。
  The expression “determination” is used to refer not only to the ascertainment or verification of the existence of the rights protected, but also to the evaluation or assessment of the substance, including content, scope and extent, of such rights.

第17條 With respect to article 17


  “商業交易”一詞包括投資事項。
  The expression “commercial transaction” includes investment matters.

第19條 With respect to article 19


  (c)款“實體”一詞系指作為獨立法人的國家,以及具有獨立法人地位的聯邦制國家的組成部分、國家政治區分單位、國家的機構或部門或其他實體。
  (c)款“與被訴實體有聯繫的財產”一語應理解為具有比“所有”或“佔有”更廣泛的含義。
  第19條並不預斷“掀開公司面紗”的問題,涉及國家實體故意虛報其財務狀況或隨後減少其資產,以避免清償索賠要求,或其他有關問題。
  The expression “entity” in subparagraph (c) means the State as an independent legal personality, a constituent unit of a federal State, a subdivision of a State, an agency or instrumentality of a State or other entity,which enjoys independent legal personality.
  The words “property that has a connection with the entity” in subparagraph (c) are to be understood as broader than ownership or possession.
  Article 19 does not prejudge the question of “piercing the corporate veil”, questions relating to a situation where a State entity has deliberately misrepresented its financial position or subsequently reduced its assets to avoid satisfying a claim, or other related issues.



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