本文選題：美國 + 國家安全　； 參考：《華東政法大學(xué)》2009年博士論文

【摘要】： 第二次世界大戰(zhàn)結(jié)束后,美國為了保護(hù)國家安全,積極應(yīng)對“冷戰(zhàn)”的對抗和威脅,實現(xiàn)世界霸主的地位,從1947年開始,陸續(xù)頒布了包括《國家安全法》在內(nèi)的一系列國家安全法律,建立了包括中央情報局在內(nèi)的16家國家安全情報機(jī)構(gòu),逐漸構(gòu)筑起完善且卓有成效的現(xiàn)代國家安全體制。 多年來,我國理論界對美國的其它法律制度研究的學(xué)術(shù)成果非常多,也很全面,取得了豐碩成果,也對我國的法制建設(shè)起到了很好的借鑒和參考作用。但我國對美國國家安全法律制度的研究成果卻很少,基本上處于空白狀態(tài)。本論文對這一領(lǐng)域進(jìn)行了探索和嘗試,比較全面系統(tǒng)地梳理和探究了美國建國以來特別是“二戰(zhàn)”后頒布的各項國家安全法律,總結(jié)了美國國家安全法制建設(shè)的內(nèi)在規(guī)律和特點,豐富和充實了我國對美國國家安全法律制度研究的成果,彌補(bǔ)了這一領(lǐng)域研究的薄弱和不足。 全文重點揭示了戰(zhàn)后到2009年,62年來美國國家安全立法史、美國現(xiàn)代國家安全情報體制和機(jī)構(gòu)的法律職能及其演變過程以及美國國家安全法律監(jiān)督制度的發(fā)展與完善。 論文所追求的理論價值和創(chuàng)新點在于：一是從法律史的角度,對戰(zhàn)后美國所頒布的四十部多部國家安全法律采取分階段、分類別的方式,進(jìn)行了梳理和歸納,發(fā)現(xiàn)和找尋美國國家安全立法過程中如何處理特殊“立法矛盾”的價值取向和調(diào)和藝術(shù)。這幾對“立法矛盾”主要是法律的公開性和國家安全工作秘密性的矛盾,公民權(quán)利和國家安全工作特殊權(quán)力的矛盾,發(fā)現(xiàn)了美國國家安全立法妥當(dāng)解決與平衡上述矛盾的“技巧”和“良方”,即隱蔽秘密的國家安全情報工作必須也可以通過公開的法律進(jìn)行調(diào)控,并實現(xiàn)二者的有機(jī)結(jié)合和平衡；二是通過鳥瞰和透視美國現(xiàn)代國家安全情報體制和機(jī)構(gòu)法定職能的發(fā)展及演變過程,對美國通過立法調(diào)整和規(guī)范國家安全機(jī)關(guān)活動的做法進(jìn)行了剖析,洞察美國當(dāng)政者如何運用法律設(shè)置和管理國家安全體制和機(jī)構(gòu),改革和完善國家安全機(jī)構(gòu)及其職能的“初衷”和“用意”,研究發(fā)現(xiàn)美國既依靠“情報界”這頭“搗蛋的大象”維護(hù)國家安全,又運用法律規(guī)范和約束國家安全機(jī)構(gòu)不致侵害公民的合法權(quán)利,立法的價值取向是美國的國家安全和公民的權(quán)利同等重要。這些研究彌補(bǔ)了我國學(xué)術(shù)界從政治、外交等角度研究美國國家安全體制的文章過多、從法律的角度研究過少的缺失；三是通過剖析美國國家安全法律監(jiān)督制度的發(fā)展和完善過程,揭開了美國總統(tǒng)、國會、法院對國家安全機(jī)關(guān)既依靠又制衡的斗爭史,查找和分析了美國三權(quán)分立平衡的憲政法律制度的利弊。 全稿33萬字,其中正文26萬字,美國《1947年國家安全法》全文翻譯7萬字(不含英文條文字?jǐn)?shù))。除導(dǎo)言外,論文共分六章。 第一章主要梳理和歸納了戰(zhàn)后美國國家安全立法發(fā)展史。首先對美國建國至二戰(zhàn)時期的國家安全立法進(jìn)行了簡要回顧,為研究戰(zhàn)后的國家安全立法做好鋪墊。對戰(zhàn)后美國國家安全立法研究劃分為三個階段：第一階段是“冷戰(zhàn)”時期美國國家安全法律的發(fā)展,這一時期是美國國家安全立法的高峰時期,論文采用分類法,將構(gòu)建體制、劃分職能、保護(hù)情報人員身份等國家安全立法歸并為9大類并進(jìn)行了分析；第二階段是冷戰(zhàn)后美國國家安全法律的完善；第三階段是“9·11”后美國國家安全法律的改革。本章最后采用列表方式將戰(zhàn)后美國國家安全立法進(jìn)行了梳理。 第二章對戰(zhàn)后美國國家安全法律制度進(jìn)行評述,與第一章構(gòu)成了本文研究的第一部分。美國國家安全法律主要的表現(xiàn)形式是成文法、總統(tǒng)行政命令和判例法,主要以成文法為主、判例法為輔。美國國家安全立法追求平衡的價值取向,注重靈活運用立法技術(shù),實現(xiàn)法律的公開性和國家安全工作的隱蔽性有機(jī)結(jié)合。尤其是在對待美國國家安全工作權(quán)力與公民權(quán)利的矛盾關(guān)系方面,立法妥當(dāng)?shù)剡M(jìn)行了協(xié)調(diào)和平衡。通過立法界定國家安全信息公開與公民知情權(quán)的界線,協(xié)調(diào)國家安全技術(shù)偵察權(quán)力的使用與公民隱私權(quán)保護(hù)的關(guān)系和矛盾,運用判例法強(qiáng)調(diào)公民言論自由權(quán)對國家安全優(yōu)先權(quán)的減讓。上述的協(xié)調(diào)和平衡,是美國國家安全法律對憲法精神的直接體現(xiàn),也是與美國行政法、刑法等的有機(jī)銜接和互為補(bǔ)充。 第三章研究戰(zhàn)后美國國家安全體制的構(gòu)建與演變。戰(zhàn)后美國逐漸建立起決策、指揮、執(zhí)行、咨詢和監(jiān)督完善的國家安全情報運行體制,并經(jīng)歷了不斷改革和發(fā)展的過程。美國國家安全委員會是這一體制的核心,剖析其職能演變和發(fā)展過程,可以一窺美國國家安全體制從建立到完善的全貌。 第四章對戰(zhàn)后美國成立的16家國家安全成員機(jī)構(gòu)逐一進(jìn)行了解剖、揭示了美國國家安全機(jī)構(gòu)的類型、法定職能及其嬗變。 第五章在第三章和第四章的基礎(chǔ)上,對戰(zhàn)后美國國家安全法律如何規(guī)制國家安全工作進(jìn)行了研究。美國依法構(gòu)建了戰(zhàn)后國家安全體制,并確立總統(tǒng)為該體制的最高領(lǐng)導(dǎo)人,國家情報主任依法享有指揮權(quán)和協(xié)調(diào)權(quán)。戰(zhàn)后美國國家安全法律對美國國家安全機(jī)構(gòu)的設(shè)立、職權(quán)、內(nèi)部管理、與其他政府部門和企業(yè)間的關(guān)系、以及國家安全工作人員的權(quán)利與義務(wù)都進(jìn)行了詳盡的規(guī)定。將國家安全機(jī)關(guān)秘密搜查和監(jiān)視權(quán)、技術(shù)偵察權(quán)、隱蔽行動權(quán)納入法治軌道,要求依法開展情報、反間諜等國家安全工作,同時對美國國家安全工作提供充分的法律保障。 第六章論述戰(zhàn)后美國國家安全工作法律監(jiān)督。戰(zhàn)后美國國家安全立法確立了監(jiān)督的原則、明確了監(jiān)督機(jī)構(gòu)職能、規(guī)定了監(jiān)督的權(quán)利和義務(wù)、劃分了公開與保密的法律監(jiān)督界線。本章主要論述戰(zhàn)后美國國家安全的法律監(jiān)督,即總統(tǒng)、法院和國會對國家安全的監(jiān)督。戰(zhàn)后美國總統(tǒng)主要通過頒布行政命令、設(shè)立專門調(diào)查委員會對國家安全工作進(jìn)行法律監(jiān)督,總統(tǒng)授權(quán)的洛克菲勒委員會和墨菲委員會在國家安全監(jiān)督發(fā)揮過重要的作用；戰(zhàn)后美國法院對國家安全工作監(jiān)督經(jīng)歷了一個由保守到積極的過程,相關(guān)判例清晰地刻畫了法院對國家安全監(jiān)督軌跡的變化歷程；戰(zhàn)后美國國會是國家安全監(jiān)督的主要力量,國會通過立法、行使預(yù)算和人事批準(zhǔn)權(quán)、專門調(diào)查等方式開展國家安全法律監(jiān)督。通過對參議院邱奇委員會、眾議院派克委員會、以及參、眾兩院常設(shè)特別情報委員會的解剖,探尋了戰(zhàn)后美國國會國家安全法律監(jiān)督模式從雛形到發(fā)育再到成型的歷史過程。從20世紀(jì)80年代開始,美國國會不斷進(jìn)行國家安全法律監(jiān)督機(jī)制的改革與完善,但國家安全活動“保密性”和法律監(jiān)督“公開性”的矛盾,國會監(jiān)督部門和情報界之間相互猜忌的斗爭和內(nèi)耗,情報是順應(yīng)政治需要還是忠于客觀事實的困惑,導(dǎo)致國會國家安全監(jiān)督的艱難和效力不彰,也暴露了美國憲政體制的缺陷和無奈。 通過對相關(guān)文字資料的整理和歸納,繪制了“戰(zhàn)后美國國家安全立法一覽表”、“戰(zhàn)后美國國家安全體制結(jié)構(gòu)圖”、“中央情報局歷任局長一覽表”、“聯(lián)邦調(diào)查局歷任局長一覽表”以及最新的“奧巴馬總統(tǒng)國家安全機(jī)構(gòu)負(fù)責(zé)人一覽表”等圖表并附于論文的相關(guān)章節(jié)之中,起到直觀明了總結(jié)、說明美國國家安全法律制度之作用。另外所收集的40多部美國國家安全法律英文條文內(nèi)容,在論文中多有提及和引用,其中的《1947年國家安全法》是美國建立現(xiàn)代國家安全體制的基本法和開端,至今仍對美國國家安全工作起著至關(guān)重要的作用,實在不忍割愛,加上在收集本論文資料過程中,尚沒有看到完整的中文翻譯條文,于是將美國國家情報主任辦公室2007年發(fā)布的最新英文版本的條文全部翻譯成中文,采取中英文對照的排版方式,附錄于論文之后,作為論文的組成部分。
[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.

【學(xué)位授予單位】：華東政法大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2009
【分類號】：D971.2

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