本文關(guān)鍵詞： 國家及其財(cái)產(chǎn)管轄豁免 國有企業(yè) 主體 責(zé)任關(guān)系 改革　出處：《華東師范大學(xué)》2011年碩士論文　論文類型：學(xué)位論文

【摘要】：國有企業(yè)作為國家管轄豁免中的特殊問題,一直以來都受到世界各國學(xué)者的廣泛探討。首先因?yàn)檫@是一個(gè)理論難題,國家豁免作為一個(gè)公法權(quán)利,只能由公權(quán)力的主體才能享有,比如國家,而國有企業(yè),一方面具有公法主體的性質(zhì),因?yàn)樗蓢易①Y,由國家掌握股權(quán),并且與本國政府有著密切的聯(lián)系,是國家的企業(yè)；而另一方面,在現(xiàn)代公司理論中,公司又應(yīng)當(dāng)是一個(gè)獨(dú)立的私法主體。那么這樣一個(gè)兼具公法和私法雙重性質(zhì)的主體,能否享有公法上的國家豁免權(quán)?它與國家豁免權(quán)的相互關(guān)系如何?這是一個(gè)值得探討的問題。其次,一國政府對于國有企業(yè)能否享有國家豁免權(quán)的態(tài)度,關(guān)系到跨國貿(mào)易的開展,并會(huì)影響到本國的國際經(jīng)濟(jì)地位。因此,從立法司法實(shí)踐角度來探詢各國對于“國有企業(yè)與國家豁免主體之間的相互關(guān)系”問題的做法,有重大的國際意義。與此同時(shí),我國是一個(gè)國有經(jīng)濟(jì)占較大比重的發(fā)展中國家,長期以來因?yàn)閲衅髽I(yè)的“政企不分、產(chǎn)權(quán)不明”而在國際貿(mào)易中廣受詬病,甚至致使我國政府被外國主體濫訴,造成了很負(fù)面的國際影響。2004年《聯(lián)合國國家及其財(cái)產(chǎn)管轄管轄公約》出臺(tái),為解決國家豁免問題提供了重要藍(lán)本的同時(shí),也對我國提出了重要的挑戰(zhàn),作為公約的簽署國,我國有必要盡快對此問題的世界通行做法進(jìn)行研究,對國內(nèi)法進(jìn)行修正,以與國際接軌。 在以上兩個(gè)大背景之下,本文從國家豁免問題中的國有企業(yè)為切入點(diǎn),嘗試對國有企業(yè)與國家豁免主體的相互關(guān)系進(jìn)行深入分析。本文分別從兩個(gè)方面入手：國有企業(yè)能否成為國家豁免的主體；國有企業(yè)與國家豁免主體之間的相互責(zé)任關(guān)系,仔細(xì)研究了世界主要國家的立法和司法實(shí)踐,并結(jié)合國際公約和學(xué)理研究,在此基礎(chǔ)上總結(jié)出了對此問題的國際主流觀點(diǎn),并將此觀點(diǎn)用于對我國“國企改制”以及立法提出改進(jìn)意見。本文認(rèn)為,基于獨(dú)立主體的身份,國有企業(yè)不能成為國家豁免的主體,不能享有國家豁免權(quán),除非是在代表國家行使公共職能；另外,對于國有企業(yè)與國家之間的相互責(zé)任關(guān)系,對于國家行為所引起的后果,在國家因?yàn)榛砻鈾?quán)而無需承擔(dān)責(zé)任的時(shí)候,不應(yīng)當(dāng)由國有企業(yè)來為國家行為買單,這也是源于國有企業(yè)的獨(dú)立主體地位,除非,這種做法將有違于公平原則,例如國有企業(yè)實(shí)質(zhì)上是被國家的控制,這種情況下,可以通過“揭開公司面紗”的途徑,來要求國有企業(yè)承擔(dān)相應(yīng)責(zé)任；對于國有企業(yè)行為所引起的后果,國家的豁免權(quán)不會(huì)受到影響,無需為國有企業(yè)負(fù)責(zé),除非有違公平原則。與此同時(shí),我國作為國有經(jīng)濟(jì)占較大比例的貿(mào)易大國,應(yīng)當(dāng)以國際主流的“獨(dú)立主體”觀點(diǎn)為指導(dǎo),進(jìn)一步深化國有企業(yè)的體制改革,以實(shí)現(xiàn)國有企業(yè)與政府的真正分離,這不僅有利于保護(hù)我國國有企業(yè)的合法權(quán)益,也有利于樹立良好的國際形象。
[Abstract]:As a special problem in the immunity of state jurisdiction, state-owned enterprises have been extensively discussed by scholars all over the world. First of all, because this is a theoretical problem, state immunity is a public law right. It can only be enjoyed by the subject of public power, for example, the state, and the state-owned enterprise, on the one hand, has the nature of the subject of public law, because it is often funded by the state, is controlled by the state, and has close ties with its own government. On the other hand, in modern corporate theory, the company should be an independent subject of private law. How does it relate to State immunity? This is a question worth exploring. Secondly, the attitude of a government to the enjoyment of state immunity by state-owned enterprises is related to the development of transnational trade and will affect its international economic status. From the angle of legislative and judicial practice, it is of great international significance to probe into the practice of various countries on the issue of "the relationship between state-owned enterprises and the subject of state immunity". At the same time, China is a developing country with a large proportion of state-owned economy. For a long time, the state-owned enterprises have been widely criticized in international trade because of their "indistinction between government and enterprises, and their property rights are not clear." this has even caused our government to be oversued by foreign parties. The introduction of the United Nations Convention on jurisdiction of States and their property in 2004, which provides an important blueprint for the resolution of the question of State immunity, also poses an important challenge to our country as a signatory to the Convention, It is necessary for our country to study the world practice of this problem as soon as possible and amend the domestic law in order to meet the international standards. Under the above two big background, this article regards the state-owned enterprises in the question of state immunity as the starting point, This paper tries to analyze the relationship between the state-owned enterprises and the subject of state immunity. This paper starts with two aspects: whether the state-owned enterprises can become the subject of the state immunity, the relationship of mutual responsibility between the state-owned enterprises and the subject of the state immunity, and the relationship between the state-owned enterprises and the subject of state immunity. Having carefully studied the legislative and judicial practices of the major countries of the world, and combining the study of international conventions and theories, we have summed up the mainstream international views on this issue, This point of view is used to improve the reform of state-owned enterprises and the legislation of our country. This paper holds that, based on the status of independent subject, state-owned enterprises can not become the subject of state immunity, and can not enjoy state immunity. Except in the exercise of public functions on behalf of the State; moreover, in the case of mutual responsibility between State-owned enterprises and the consequences of acts of the State, when the State is not liable by reason of immunity, State enterprises should not pay for state behavior, which is also due to the independent subjective status of state-owned enterprises, unless this practice would be contrary to the principle of fairness, such as the fact that state-owned enterprises are essentially controlled by the state, in which case, Through the way of "lifting the veil of the company," the state-owned enterprises can be held responsible accordingly. The immunity of the state will not be affected as a result of the actions of the state-owned enterprises, and there is no need to be held accountable for the state-owned enterprises. Unless there is a violation of the principle of fairness, at the same time, as a large trading country with a large proportion of the state-owned economy, China should be guided by the international mainstream view of "independent subject" to further deepen the institutional reform of state-owned enterprises. In order to realize the real separation of the state-owned enterprises from the government, this is not only conducive to the protection of the legitimate rights and interests of the state-owned enterprises in China, but also conducive to the establishment of a good international image.
【學(xué)位授予單位】：華東師范大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2011
【分類號】：D99

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