正当程序原则下美国外资国家安全审查机密信息披露研究——基于“Ralls诉CFIUS”案的审视  

Disclosure of Classified Information in the US.National Security Review under the Due Process Doctrine Based on the Case of“Ralls v.CFIUS”

作　　者：陈汇臻 CHEN Hui-zhen

机构地区：[1]首都经济贸易大学法学院,北京100070

出　　处：《华侨大学学报（哲学社会科学版）》2023年第2期117-129,共13页Journal of Huaqiao University(Philosophy & Social Sciences)

基　　金：首都经济贸易大学新入职青年教师科研启动基金项目(XRZ2022013)。

摘　　要：近年,美国逐渐将其外资国家安全审查用作阻碍中国企业在美正常发展的手段。由于审查的特殊性和三权分立原则,美国法院并未发挥其对相关审查中显失公平部分的纠正作用。正当程序原则是对外资国家安全审查提供保障的关键宪法原则,其中确定信息披露边界是正当程序原则下合理通知之基础。2014年“Ralls诉CFIUS”案错误地适用了Mathews框架,以致过度限制外资国家安全审查披露信息的范围。基于此,结合近年美国涉及国家安全的判例,第五修正案正当程序原则下美国外资国家安全审查披露信息的范围可以作为司法救济的核心。特别是通过进一步明确Mathews框架,确定了中国企业有权通过机密信息摘要间接接触机密信息而非仅有权接触非机密信息。最后,从国际法及国内法角度论述,中国企业应配合中国政府在与美国的双边或多边贸易协定对外资国家安全审查进行多维度限定,并积极提起诉讼推动正当程序原则从程序法维度向实体法维度扩张,以实现在美直接投资中获得更有力的司法救济。In recent years,the US has repeatedly used its national security review to hinder the development of Chinese companies in the US.Because of the special nature of national security review and the principle of separation of powers,the US federal courts have not played their role in correcting the obvious unfairness in the relevant review.The due process doctrine is the key constitutional principle to protect individual rights in the national security review,and the boundary of information disclosure is the basis for reasonable notice under the due process doctrine.The 2014 Ralls v.CFIUS case incorrectly applied the Mathews framework and unduly limited the scope of information disclosed in the national security reviews of the US.Accordingly,in combination with recent precedents related to national security in the United States,the scope of information disclosed under the due process clause of the Fifth Amendment can be the core of judicial relief in the United States'national security review.In particular,by clarifying the Mathews framework,Chinese companies have the right to indirectly access confidential information via the summary of classified information rather than only non-confidential information.Finally,according to the international law/domestic law paradigm,it is discussed that the Chinese companies should cooperate with the Chinese government in the bilateral or multilateral trade agreement with the United States to restrain the application of national security review in multi-dimensions.In addition,the companies should actively file lawsuits to promote the expansion of due process doctrine from the procedural law dimension to the substantive law dimension,so as to establish more powerful judicial relief for their direct investment in the United States.

关 键 词：外资国家安全审查 正当程序原则 Mathews框架 信息披露 机密信息摘要 

分 类 号：D922.29[政治法律—经济法学] D996[政治法律—法学]