【作者】 青维富；

【导师】 文正邦；

【作者基本信息】 西南政法大学 ， 法学理论， 2009， 博士

【摘要】 就1787年美国制宪会议所设计的政府,既需要一个具有强大力量和有效力的政府,又要求必须是保护人民权利的限权政府,从而使政府的权力被界定在所谓的“我们,美利坚合众国人民”所制定的宪法的许可范围内。从现代的观点而言,美国政府制度中存在着双重的分权制衡,正如麦迪逊和汉密尔顿所认为的,在制宪会议所构建的政府制度中,人民交出的权力首先分给两个不同的政府,然后把各政府分得的那部分权力再分给几个分立的部门。……两种政府将互相控制,同时各政府又自己控制自己。前一种分权和控制就是联邦制,它体现为联邦主义原则,所谓两种政府,即全国政府和州政府;后一种分权和控制就是联邦政府和各州政府内部的三权分立,即美国的全国政府和各州政府都实行了立法权、司法权和行政权的三权分立和制衡体制。本文正是基于此内容,以制宪会议为背景,阐释和论述美利坚合众国的国父们在制宪会议上如何设计把联邦主义和分权与制衡机制融入各个政府之中,以及设计这样的政府其目的是什么。其描述风格是在辩论中选择政府的形式,运用西方成熟的法哲学、政治哲学和宪法哲学的理论和原则阐释美利坚合众国国父们如何构建有限政府,并使所设计的政府具有正当性和合法性。就美利坚合众国政府的外在特征而言,作为世之公认的有限政府,其特征具有多样性和多层次性;然而就其内在的而具有实质性的特征而言,主要体现在联邦主义政府即纵向分权制衡的政府与联邦和州各部门之间的横向分权和制衡机制。本文正是选择了美国政府设计中的这两个最主要而基本的特性,运用制宪者在制宪会议上设计政府时所采用的法理辩论作为理论和事实依据,分析美国联邦主义即纵向分权体制和联邦政府的横向分权体制。本文共分为两篇。上篇阐述了美国联邦和州之间的纵向分权,即联邦主义政府的构建;围绕联邦主义的意涵和本质特征、联邦主义的表现形式以及制宪者设计联邦主义政府的法理性辩论过程进行论述。第一章阐述了美国联邦主义构成中的两个关键性词语——“State”和“Federalism”,分析了美国联邦主义的基本意涵和联邦主义制度在美国不同时期的具体表现形式,并阐述了美国联邦共和国的性质和特征。第二章阐述了美国构建联邦主义政府制度时的种种实践,包括失败的邦联体制给美国人的启示、弗吉尼亚方案所表现的主要特征及其命运,新泽西方案的可替代性以及新泽西方案作为可替代性方案是如何修正弗吉尼亚方案的,从而揭示了制宪者如何构建了具有美国宪制特色的联邦主义政府。第三章阐释了美国设计联邦主义政府的辩论过程及其运用的基本理论。主要阐释了美国制宪会议所设计的能够体现联邦主义特性的政府的基本内容,集中于参议院和众议院的选举、参议院和众议院议员的议席分配以及联邦与州的权力界定等基本问题以及联邦政府是否有权否定各州政府的立法所确立的宪法至上条款。下篇阐述了分权制衡理论在美国三个时期(即殖民地时期、前制宪会议时期和制宪会议及其以后)的发展变化,分权与制衡原则在联邦政府结构中的内在分层,并依据制宪会议的各种法理性辩论阐释了美国联邦政府各部门即立法部门、行政部门和司法部门之间是如何实现分权和制衡机制的。第一章阐述了美国横向分权和制衡机制的早期实践以及理论的确立和发展。从三个不同时期论述美国横向分权和制衡机制的发展,即殖民地时期的分权理论的发展;邦联时期的各邦政府分权与制衡理论的发展和变化;制宪会议和美利坚合众国政府奠基时期的分权和制衡理论,揭示了美国联邦政府的横向分权与制衡理论经历了从纯粹分权理论到分权与制衡理论的有机结合构建均衡政体的发展过程。第二章阐述了美国分权和制衡机制在三个主要层面上的内在分层。就主权所有而言,横向分权和制衡在主权权力行使中的内在分化;就权力行使而言,美国政府的三种权力在联邦政府部门之间的内在分化;就决策过程而言,体现了美国联邦政府的三种不同权力在美利坚合众国政府的决策程序的内在分化。第三章阐述了制宪者如何在法理辩论中设计横向分权和制衡的立宪政府。首先阐述了立宪者们在构建横向分权和制衡的立宪政府时所运用的理论,在此基础上分析了美国联邦政府三权分立和权力制衡所涉及到的三个主要方面,联邦国会与总统和法官之间分权和制衡的设计和辩论过程,即设计弹劾制度;联邦总统制约国会的制度构建和辩论过程,即设计立法复审制度;联邦司法部门制约总统和国会的制度构建和辩论过程,以及在美国建国之后联邦司法部门如何通过司法解释和判例把司法审查制度确立起来,从而形成了有效地制约国会和总统的预防机制。更多还原

【Abstract】 The Convention of the United States in 1787 designed by the Government requires a strong and effective government,which is required to protect the rights of the people of the government so that government power is defined in the so-called "We,the people of the United States of America" established by the Constitution permits.As a result,from the modern point of view,the U.S.government there is a dual system of separation of powers, Madison and Hamilton may be the point of view is correct,that is,in the Convention by building a system of government,to hand over the people of First of all,the power to the two different governments,and then the government’s share of that portion of the power and then distributed to a number of discrete departments.……Two governments will control each other,at the same time the government has control of their own.The former is the separation of powers and control of the federal system,which reflected the principle of federalism,two of the so-called government,that the National Government and state governments;the latter is the separation of powers and control of the federal government and state governments within the separation of powers,That the United States Government National and state governments to implement the legislative,judicial and executive power of the separation of powers and checks and balances system.This article is the core content of the above,so as to the Convention as the background to explain on the United States of America and the founding fathers of the Convention on how the design has not only reflected in the federal separation of powers and checks and balances can also integrate into the various government,As well as the design of such a government with the aim of what.His style is described as in the debate to choose the form of government, the West is ripe for the use of legal philosophy,political philosophy and the philosophy of the Constitution the theory and principles of the United States of America explained how the founding fathers to build a limited government,and the design of the legitimacy of the government and Legitimacy.The United States of America on the external characteristics, recognized as the world’s limited government,with its diversity and the characteristics of the multilevel nature;however,its inherent characteristics of the substantive and,federalism is mainly reflected in the government that is Vertical separation of powers and federal and state government departments and the separation of powers between the horizontal checks and balances.This article is the U.S.government has chosen the design of the two most important and basic characteristics of the United States the use of hers.The Founding Fathers in the Convention on the Government to design used as a theoretical debate on the legal and factual basis for the analysis of federalism in the United States that is,vertical The separation of powers and the federal government’s system of horizontal separation of powers.This article is divided into two.PartⅠ,It interprets the United States on the federal government and local governments between the vertical separation of powers,that is,the federal government and around the meaning of federalism,as well as the design of the essential character of the federal system of government is to explain the process.Chapterl It explains the United States on federalism constitute two key words-"State" and "Federalism",an analysis of American federalism and the basic meaning of the federal system in the United States at different times of the specific form of expression, and on the United States of the Federal Republic of The nature and characteristics.Chapter2 It states the United States on building a federalist system of government when all the practice,including the failure of the confederation system to the American Enlightenment,Virginia,the program has shown the main features of their fate,New Jersey’s program as well as the desirability of New Jersey as an irreplaceable program Is how to fix Virginia’s program,which reveals the founding fathers of the United States is how to construct a constitutional characteristics with the United States and the Federal Government.Chapter3 It explains the United States to explain the design of the Federal Government and the debate on the basic theory and its application.On paper at the center,to explain the Constituent Assembly of the United States designed by the federalist system of government the nature of the content,focused on the election of the Senate and the House of Representatives,the Senate and the House of Representatives seats and,as well as the allocation of the federal government and state governments the power to define the basic Issues,including whether the federal government has the right to deny state governments established by the legislative provisions of the supremacy of the Constitution.PartⅡ,it explains on the theory of separation of powers in the United States at different stages of development and changes,as well as the federal government in the United States in the internal hierarchical structure,based on the constitution and laws of the various meetings to explain the rational debate on the U.S.federal government departments that the legislative branch,Between the executive and the judiciary,as well as between the two houses of the legislature is how to achieve the separation of powers and checks and balances.Chapterl It explains the United States on the horizontal separation of powers and checks and balances in the early practice,as well as the establishment and development of the theory.From three different points in time the United States on the horizontal separation of powers and checks and balances in the development of the colonial period that the development of the theory of separation of powers;confederation of state governments during the separation of powers and checks and balances and changes in the development of the theory;the Convention and the United States of America foundation Period of separation of powers and checks and balances theory,the U.S.federal government reveals the horizontal separation of powers theory has gone through the separation of powers from the purely theoretical to the separation of powers theory of a balanced system of government theory of the development process.Chapter2 It explains of the United States on the separation of powers and checks and balances of the three main characteristics of the internal division that the United States horizontal separation of powers checks and balances in the government the power system and reflects the three main Stratified.On the sovereignty of all,the horizontal separation of powers and checks and balances in the exercise of sovereignty in the internal differentiation; on the exercise of power,the U.S.government of the three government powers in the division; on the decision-making process,the U.S.federal government reflects the three Different powers of the United States of America in the decision-making process of differentiation.Chapter3 It describes how the United States of America Dr.Sun Yat-sen in the legal debate on the design of horizontal separation of powers and checks and balances of the federal government.First of all,on the United States were in the constitutional separation of powers and checks and balances to build horizontal when the federal government’s use of the theory, based on this analysis of the U.S.federal government checks and balances and separation of powers by involving the main aspects,namely the Senate and the House of Representatives The separation of powers between the checks and balances and mutual problems in the design and the process of debate;Congress and the president and federal judges and the separation of powers between the checks and balances in the design and the process of debate,that is,the design of the system of impeachment;constraints of the Federal President on the Congress of the system and building a course of the debate,that is,the system of legislative review;the course of the debate and constructing the constraints of the federal judiciary on Congress and President,as well as in the United States after the founding of the federal judiciary through judicial interpretation and case law to establish a system of judicial review,thereby effectively restricting the construction of the Congress and the president’s guard unit.更多还原