美国国家安全信息豁免公开的双重路径  

On the Dual Paths of the National Security Information Exemption from Disclosure in the United States

作　　者：李淮 蔡瑶 Li Huai;Cai Yao(School of law,China University of Political Science and Law,Beijing 10088)

机构地区：[1]中国政法大学法学院,北京100088

出　　处：《河南财经政法大学学报》2020年第5期114-126,共13页Journal of Henan University of Economics and Law

基　　金：北京市法学会2019年市级法学研究课题青年课题“行政规范性文件合法性审查标准研究”(项目编号:BLS(2019)C006)的阶段性成果。

摘　　要：行政特权与《信息自由法》中的第一豁免条款共同开辟了美国国家安全信息豁免公开的两条路径。第一豁免条款确立的"国防、外交利益"保密标准,取代了原"公共利益"保密标准,限制了豁免公开范围,具有进步意义。经过1974年修法,豁免条款被增设限制条件,强调定密信息的"事实上"和"适当"两要素,注重"事前定密"规范性。法院在国家安全信息案件中极为尊让,多止于形式审查,采行"有效规范依据→定密特殊要求→主体资格正当"的审查标准,但也能动地创造了"沃恩索引",弥补了仅审查行政宣誓书的不足。通过实践发展而来的行政特权,由总统及相关高级官员所行使,旨在依法不向立法机关和司法机关公开特定政府信息,但其主张应当合理,局限为军事、外交和国家安全事项。反观我国,有必要批判吸收美国经验,保证真正的国家秘密受到保护,非涉密事项不被排除于公开范围,实现"以公开为原则,以保密为例外",推动政府信息公开制度取得运行实效和精细化发展。State secret privilege and the First Exemption Clause of the Freedom of Information Act have jointly carved out two paths that national security information can be exempt from being disclosed.Replacing the former“public interests”standard,the“national defense and foreign affairs interests”standard established in the First Exemption Clause has narrowed down the scope of information exempt from disclosure,which is of progressive significance.Additional limits created by the 1974 Amendment attach importance to the normativity of the“ex-ante classification”,emphasizing the“factual”and“proper”classification status of the withheld information.Courts defer substantially in cases concerning national security information and judicial review often stays merely on the formality of the classification,following the standard of“effective legal authority→special classification requirements→legitimate standing”.Courts have also created the procedural tool of the“Vaughn Index”,offsetting the defects of affidavits review.The state secret privilege,developed through judicial practice,is utilized as defense by the President and senior officials against requests of disclosure from the judiciary and the legislature and such privilege shall be used properly and is limited to matters related to military and foreign affairs as well as national security.In contrast,it is necessary for China to draw enlightenment from the American practice critically to ensure protection of real state secrets and disclosure of non-classified information,so as to realize the ideal of“upholding openness as fundamental principal and classification as exception”and facilitate the efficacy and refined development of open government information.

关 键 词：国家安全信息 豁免公开 第一豁免条款 行政特权 信息自由法 

分 类 号：D922.1[政治法律—宪法学与行政法学]