战后美国国家安全法律制度研究

发布时间：2018-05-02 10:20

本文选题：美国 + 国家安全　；参考：《华东政法大学》2009年博士论文

【摘要】： 第二次世界大战结束后,美国为了保护国家安全,积极应对“冷战”的对抗和威胁,实现世界霸主的地位,从1947年开始,陆续颁布了包括《国家安全法》在内的一系列国家安全法律,建立了包括中央情报局在内的16家国家安全情报机构,逐渐构筑起完善且卓有成效的现代国家安全体制。多年来,我国理论界对美国的其它法律制度研究的学术成果非常多,也很全面,取得了丰硕成果,也对我国的法制建设起到了很好的借鉴和参考作用。但我国对美国国家安全法律制度的研究成果却很少,基本上处于空白状态。本论文对这一领域进行了探索和尝试,比较全面系统地梳理和探究了美国建国以来特别是“二战”后颁布的各项国家安全法律,总结了美国国家安全法制建设的内在规律和特点,丰富和充实了我国对美国国家安全法律制度研究的成果,弥补了这一领域研究的薄弱和不足。全文重点揭示了战后到2009年,62年来美国国家安全立法史、美国现代国家安全情报体制和机构的法律职能及其演变过程以及美国国家安全法律监督制度的发展与完善。论文所追求的理论价值和创新点在于：一是从法律史的角度,对战后美国所颁布的四十部多部国家安全法律采取分阶段、分类别的方式,进行了梳理和归纳,发现和找寻美国国家安全立法过程中如何处理特殊“立法矛盾”的价值取向和调和艺术。这几对“立法矛盾”主要是法律的公开性和国家安全工作秘密性的矛盾,公民权利和国家安全工作特殊权力的矛盾,发现了美国国家安全立法妥当解决与平衡上述矛盾的“技巧”和“良方”,即隐蔽秘密的国家安全情报工作必须也可以通过公开的法律进行调控,并实现二者的有机结合和平衡；二是通过鸟瞰和透视美国现代国家安全情报体制和机构法定职能的发展及演变过程,对美国通过立法调整和规范国家安全机关活动的做法进行了剖析,洞察美国当政者如何运用法律设置和管理国家安全体制和机构,改革和完善国家安全机构及其职能的“初衷”和“用意”,研究发现美国既依靠“情报界”这头“捣蛋的大象”维护国家安全,又运用法律规范和约束国家安全机构不致侵害公民的合法权利,立法的价值取向是美国的国家安全和公民的权利同等重要。这些研究弥补了我国学术界从政治、外交等角度研究美国国家安全体制的文章过多、从法律的角度研究过少的缺失；三是通过剖析美国国家安全法律监督制度的发展和完善过程,揭开了美国总统、国会、法院对国家安全机关既依靠又制衡的斗争史,查找和分析了美国三权分立平衡的宪政法律制度的利弊。全稿33万字,其中正文26万字,美国《1947年国家安全法》全文翻译7万字(不含英文条文字数)。除导言外,论文共分六章。第一章主要梳理和归纳了战后美国国家安全立法发展史。首先对美国建国至二战时期的国家安全立法进行了简要回顾,为研究战后的国家安全立法做好铺垫。对战后美国国家安全立法研究划分为三个阶段：第一阶段是“冷战”时期美国国家安全法律的发展,这一时期是美国国家安全立法的高峰时期,论文采用分类法,将构建体制、划分职能、保护情报人员身份等国家安全立法归并为9大类并进行了分析；第二阶段是冷战后美国国家安全法律的完善；第三阶段是“9·11”后美国国家安全法律的改革。本章最后采用列表方式将战后美国国家安全立法进行了梳理。第二章对战后美国国家安全法律制度进行评述,与第一章构成了本文研究的第一部分。美国国家安全法律主要的表现形式是成文法、总统行政命令和判例法,主要以成文法为主、判例法为辅。美国国家安全立法追求平衡的价值取向,注重灵活运用立法技术,实现法律的公开性和国家安全工作的隐蔽性有机结合。尤其是在对待美国国家安全工作权力与公民权利的矛盾关系方面,立法妥当地进行了协调和平衡。通过立法界定国家安全信息公开与公民知情权的界线,协调国家安全技术侦察权力的使用与公民隐私权保护的关系和矛盾,运用判例法强调公民言论自由权对国家安全优先权的减让。上述的协调和平衡,是美国国家安全法律对宪法精神的直接体现,也是与美国行政法、刑法等的有机衔接和互为补充。第三章研究战后美国国家安全体制的构建与演变。战后美国逐渐建立起决策、指挥、执行、咨询和监督完善的国家安全情报运行体制,并经历了不断改革和发展的过程。美国国家安全委员会是这一体制的核心,剖析其职能演变和发展过程,可以一窥美国国家安全体制从建立到完善的全貌。第四章对战后美国成立的16家国家安全成员机构逐一进行了解剖、揭示了美国国家安全机构的类型、法定职能及其嬗变。第五章在第三章和第四章的基础上,对战后美国国家安全法律如何规制国家安全工作进行了研究。美国依法构建了战后国家安全体制,并确立总统为该体制的最高领导人,国家情报主任依法享有指挥权和协调权。战后美国国家安全法律对美国国家安全机构的设立、职权、内部管理、与其他政府部门和企业间的关系、以及国家安全工作人员的权利与义务都进行了详尽的规定。将国家安全机关秘密搜查和监视权、技术侦察权、隐蔽行动权纳入法治轨道,要求依法开展情报、反间谍等国家安全工作,同时对美国国家安全工作提供充分的法律保障。第六章论述战后美国国家安全工作法律监督。战后美国国家安全立法确立了监督的原则、明确了监督机构职能、规定了监督的权利和义务、划分了公开与保密的法律监督界线。本章主要论述战后美国国家安全的法律监督,即总统、法院和国会对国家安全的监督。战后美国总统主要通过颁布行政命令、设立专门调查委员会对国家安全工作进行法律监督,总统授权的洛克菲勒委员会和墨菲委员会在国家安全监督发挥过重要的作用；战后美国法院对国家安全工作监督经历了一个由保守到积极的过程,相关判例清晰地刻画了法院对国家安全监督轨迹的变化历程；战后美国国会是国家安全监督的主要力量,国会通过立法、行使预算和人事批准权、专门调查等方式开展国家安全法律监督。通过对参议院邱奇委员会、众议院派克委员会、以及参、众两院常设特别情报委员会的解剖,探寻了战后美国国会国家安全法律监督模式从雏形到发育再到成型的历史过程。从20世纪80年代开始,美国国会不断进行国家安全法律监督机制的改革与完善,但国家安全活动“保密性”和法律监督“公开性”的矛盾,国会监督部门和情报界之间相互猜忌的斗争和内耗,情报是顺应政治需要还是忠于客观事实的困惑,导致国会国家安全监督的艰难和效力不彰,也暴露了美国宪政体制的缺陷和无奈。通过对相关文字资料的整理和归纳,绘制了“战后美国国家安全立法一览表”、“战后美国国家安全体制结构图”、“中央情报局历任局长一览表”、“联邦调查局历任局长一览表”以及最新的“奥巴马总统国家安全机构负责人一览表”等图表并附于论文的相关章节之中,起到直观明了总结、说明美国国家安全法律制度之作用。另外所收集的40多部美国国家安全法律英文条文内容,在论文中多有提及和引用,其中的《1947年国家安全法》是美国建立现代国家安全体制的基本法和开端,至今仍对美国国家安全工作起着至关重要的作用,实在不忍割爱,加上在收集本论文资料过程中,尚没有看到完整的中文翻译条文,于是将美国国家情报主任办公室2007年发布的最新英文版本的条文全部翻译成中文,采取中英文对照的排版方式,附录于论文之后,作为论文的组成部分。
[Abstract]:After the Second World War, the United States, in order to protect national security, actively responded to the confrontation and threat of the "cold war" and realized the status of the world hegemony. From 1947, a series of national security laws including the national security law have been promulgated, and 16 national security intelligence agencies, including the central and Central Intelligence Bureau, have been set up. Gradually build up a perfect and effective modern national security system.
Over the years, there are many academic achievements in the study of other legal systems in the United States, which have achieved fruitful results and have played a very good reference and reference role to the construction of our country's legal system. However, our country's research results on the national security legal system in the United States are very few and are basically in a blank state. A field has been explored and tried, and the national security laws issued after the founding of the United States, especially after the "World War II", have been systematically reviewed and explored. The internal laws and characteristics of the construction of the national security legal system in the United States have been summarized, and the results of the study on the security legal system of the United States have been enriched and enriched, and this has made up for this The weakness and lack of research in one field.
The full text highlights the history of the national security legislation in the United States after the war to the 2009, the 62 years in the United States, the legal functions of the United States modern national security intelligence system and institutions, the evolution process and the development and improvement of the legal supervision system of the national security of the United States.
The theoretical values and innovation points pursued in this paper are: first, from the perspective of legal history, the value orientation of the special "legislative contradictions" in the process of finding and finding the national security legislation of the United States is found out and summed up by classifying and classifying the forty multiple national security laws promulgated by the United States after the war. The contradiction between the openness of the law and the secrecy of the security work of the state, the contradiction between the civil rights and the special power of the state security work, the contradiction between the civil rights and the special power of the state security work, has discovered the "skill" and "good recipe" of the American national security legislation to solve and balance the above contradictions, that is, the secret secret national security intelligence. The work must also be regulated by open laws and the organic combination and balance of the two. Two, through a bird's eye view and a perspective of the development and evolution of the national security intelligence system and the statutory functions of the United States, the United States has made an analysis of the practice of adjusting and standardizing the activities of national security organs through legislation. How the American politicians use the law to set up and manage the national security system and institutions, reform and improve the "original intention" and "intention" of the state security institutions and their functions, find that the United States maintains national security by relying on "mischief elephants" in the "intelligence community", and uses legal norms and restrains the national security institutions from invading. The legal rights of the citizens and the value orientation of the legislation are as important as the national security of the United States and the rights of the citizens. These studies make up the excessive articles on the study of the national security system of the United States from the angle of politics and diplomacy, and the lack of research from the legal point of view; three, through the analysis of the legal supervision of the national security of the United States. The process of the development and perfection of the system uncovered the advantages and disadvantages of the constitutional law system of the United States' three powers in the separate balance of the United States, which has been uncovered by the American presidents, the Congress and the court.
The whole manuscript is 33 million words, of which 26 words are in the body. The full text of the national security law of the United States in <1947 is translated into 7 words (excluding the number of words in English). Besides the introduction, the thesis is divided into six chapters.
The first chapter mainly combs and sums up the history of the national security legislation of the United States after the war. First, it briefly reviews the national security legislation from the United States to the Second World War, and pave the way for the study of the national security legislation after the war. The study of the national security legislation of the United States is divided into three stages: the first stage is the "cold war" period. The development of national security law in the United States is the peak period of the national security legislation in the United States. The thesis adopts the classification method, and analyzes the 9 categories of national security legislation, such as the construction of the system, the division of functions, and the protection of the identity of the intelligence personnel. The second stage is the improvement of the national security law of the United States after the cold war; the third stage is the third stage. The reform of the US national security law after "9 / 11" is finally introduced.
The second chapter reviews the national security legal system of the United States after the war, and the first chapter is the first part of the study. The main forms of the national security law of the United States are the grammatical law, the executive order and the case law of the president, mainly by the grammar and the case law, and the value orientation of the national security legislation in the United States, and the emphasis on the balance of the national security legislation. Flexible use of legislative technology to realize the openness of the law and the concealment of the security work of the state. In particular, the legislation is properly coordinated and balanced in the treatment of the contradictory relations between the national security work power and the civil rights of the United States. The relationship and contradiction between the use of security technology reconnaissance power and the protection of civil privacy, the use of case law to emphasize the reduction of citizen's right of freedom of speech to the priority of national security. The coordination and balance of the above is the direct embodiment of the national security law of the United States to the spirit of the constitution, as well as the organic connection and mutual complement to the American administrative law and the criminal law. Charge.
The third chapter studies the construction and evolution of the national security system of the United States after the war. After the war, the United States has gradually established the system of decision-making, command, execution, consultation and supervision of the perfect operation system of national security intelligence, and has experienced the process of continuous reform and development. The National Security Council of the United States is the core of this system, and analyzes its function evolution and development process. We can see the whole picture of American national security system from establishment to perfection.
The fourth chapter dissected 16 national security members established in the United States after the war, and revealed the type, the legal function and the evolution of the national security institutions in the United States.
The fifth chapter, on the basis of the third and the fourth chapters, studies how the national security law of the United States has been regulated after the war. The United States established the postwar national security system according to law, and established the president as the supreme leader of the system. The state intelligence director has the right of command and coordination in accordance with the law. The establishment, authority, internal management, relations with other government departments and enterprises, and the rights and obligations of national security workers are detailed. The secret search and surveillance rights of the state security organs, technical reconnaissance and covert action rights are incorporated into the rule of law, and information is required according to law, Anti espionage and other national security work, while providing adequate legal protection for the work of national security in the United States.
The sixth chapter discusses the legal supervision of the national security work in the United States after the war. After the war, the national security legislation of the United States established the principle of supervision, defined the functions of the supervisory authority, stipulated the rights and obligations of the supervision, and divided the legal supervision of the public and secrecy. This chapter mainly discusses the legal supervision of the national security of the United States after the war, that is, the president, the court and the court. After the war, the president of the United States established a special investigation committee to supervise the work of national security. The Rockefeller Committee and the Murphy Committee authorized by the president had played an important role in the national security supervision; after the war, the United States Court supervised the work of national security. The relevant cases clearly depict the course of changes in the track of national security supervision. The United States Congress is the main force of national security supervision after the war. Congress has passed legislation, exercised the right of budget and personnel approval, special investigation and other ways to carry out national security legal supervision. The special committee, the Parker Committee of the house of Representatives, as well as the anatomy of the permanent special intelligence committee of the two houses, explored the historical process of the post-war national security legal supervision of the United States Congress from the embryonic form to the development and the shaping process. Since 1980s, the United States Congress has continuously made the reform and improvement of the national security legal supervision mechanism. The contradiction between the "secrecy" of national security activities and the "openness" of the legal supervision, the struggle and internal consumption of mutual jealousy between the Congressional supervision department and the intelligence community, the confusing of the information is to conform to the political needs or to the objective fact, which leads to the difficulty and effectiveness of the national security supervision of the Congress, and also exposes the defects of the constitutional system in the United States and the defects of the American constitutional system. But.
Through the collation and induction of relevant text information, a list of "national security legislation after the war" was drawn, "national security system structure map of the United States after the war", "a list of directors of the Central Intelligence Bureau", "a list of directors of the Federal Bureau of investigation," and the latest "head of President Obama's national security agency" The chart, which is attached to the relevant chapters of the paper, provides an intuitive and clear summary of the role of the national security legal system in the United States. In addition, the English provisions of the more than 40 national security laws of the United States have been mentioned and cited in many papers, and the national security law of <1947 is the establishment of a modern national security system in the United States. The basic law and the beginning still play a vital role in the national security work of the United States and can't bear to be able to love it. In addition, in the process of collecting this paper, no complete Chinese translation provisions have yet been seen. All the articles of the latest English version published in 2007 by the office of the National Intelligence Director of the United States are translated into Chinese. Take the Chinese and English typesetting method, appendix after the paper, as an integral part of the thesis.

【学位授予单位】：华东政法大学
【学位级别】：博士
【学位授予年份】：2009
【分类号】：D971.2

【参考文献】