美国宪法如何分割国家权力

撰写于200多年前的《美利坚合众国宪法》是我们建设这个伟大国家的基础。它是美国政府的核心工具，也是美国的最高法律。200多年来，它指导了美国政府机构的演变，为政治稳定、个人自由、经济增长和社会进步奠定了基础。然而，《宪法》的诞生并非偶然，而是有着复杂的经济政治背景。独立战争后的时期以经济萧条和政治危机为特征，原因是《邦联条例》只是在各州之间建立了一个松散的联盟，并建立了一个权力非常有限的中央政府。中央政府无法在国家的政治生活中占据主导地位，而各州可以按照自己的方式行事。在这种混乱的局面下，中央政府无力偿还债务，无法规范国内外商业，无法维持货币的稳定价值，最糟糕的是，无法保持强大的军事力量来保护国家利益不受外国侵犯。随着时间的推移，旧的制度越来越不利于这个年轻国家的发展，政治改革似乎是不可避免的。最好的解决办法是起草一部新宪法来取代《邦联条例》。1787年夏天，12个州(除罗德岛州外)的55名代表在费城制宪会议上起草了宪法，并于1788年获得各州批准。 That distinguished gathering at Philadelphia’s Independence Hall brought together nearly all of the nation’s most prominent men, including George Washington, James Madison, Alexander Hamilton and Benjamin Franklin. Many were experienced in colonial and state government and others had records of service in the army and in the courts. As Thomas Jefferson wrote John Adams when he heard who had been appointed: “It is really an assembly of demigods.” Despite the consensus among the framers on the objectives of the Constitution, the controversy over the means by which those objectives could be achieved was lively. However, most of the issues were settled by the framers’ efforts and compromises, thus the finished Constitution has been referred to as a “bundle of compromises”. It was only through give-and-take that a successful conclusion was achieved. Such efforts and compromises in the Constitutional Convention of 1787 produced the most enduring written Constitution ever created by humankinds. The men who were at Philadelphia that hot summer hammered out a document defining distinct powers for the Congress of the United States, the president, and the federal courts. This division of authority is known as a system of checks and balances, and it ensures that none of the branches of government can dominate the others. The Constitution also establishes and limits the authority of the Federal Government over the states and emphasizes that power of the states will serve as a check on the power of the national government.

中央政府的权力分立

美国宪法体现的一项重要原则是三权分立。为了防止权力集中，美国宪法将中央政府分为三个部门，并建立了一个相互制衡的体系。立法、行政和司法这三个政府部门中的每一个都“检查”其他部门的权力，以确保政府的主要权力不集中在任何一个部门的手中。三权分立原则和权力制衡制度发挥了重要作用，有助于美国稳定的政治局势。

1.三权分立理论

三权分立的原则可以追溯到亚里士多德时代。亚里士多德赞成由君主政体、贵族政体和民主政体组成的混合政府，他认为没有一种政体是理想的，而是将三者的优点结合起来。詹姆斯·哈林顿在他1656年的《海洋》一书中提出了这些最新的思想，并提出了基于权力分立的制度。许多美国宪法的起草人，如麦迪逊，都学习过历史和政治哲学。基于他们对政府权力的复杂看法，他们非常欣赏分权的思想。他们在《联邦条例》方面的经验告诉他们，国家政府必须拥有实现其成立目的所需的权力。与此同时，他们担心权力集中在一个人手中。正如约翰·亚当斯在他的《美利坚合众国政府宪法辩护》(1787年)中所写的那样，“对于任何一个获得了巨大影响力、无限信心和无限权力的人来说，自愿辞职无疑是光荣的;利用这样一个机会去摧毁一个自由的政府是可憎的，但是，如果一个立法者把他的政策建立在经常会出现这样的宽宏大量的假设之上，那就太疯狂了。他的工作就是以这样一种方式制定他的计划，使任何人都无法获得这种无限的影响力、信心和权力。” (Isaak 2004:100) Such worries compelled the framers to find a good way to establish a new government, thus separation of powers and a balanced government became a good choice. Two political theorists had great influence on the creation of the Constitution. John Locke, an important British political philosopher, had a large impact through his Second Treatise of Government (1690). Locke argued that sovereignty resides in individuals, not rulers. A political state, he theorized, emerged from a social contract among the people, who consent to government in order to preserve their lives, liberties, and property. In the words of the Declaration of Independence, which also drew heavily on Locke, governments derive “their just powers from the consent of the governed.” Locke also pioneered the idea of the separation of powers, and he separated the powers into an executive and a legislature. The French political philosopher Baron de Montesquieu, another major intellectual influence on the Constitution, further developed the concept of separation of powers in his treatise The Spirit of the Laws (1748), which was highly regarded by the framers of the U.S. Constitution. Montesquieu’s basic contention was that those entrusted with power tend to abuse it; therefore, if governmental power is fragmented, each power will operate as a check on the others. In its usual operational form, one branch of government (the legislative) is entrusted with making laws, a second (the executive) with executing them, and a third (the judiciary) with resolving disputes in accordance with the law. Based on the theory of Baron de Montesquieu and John Locke, the framers carefully spelled out the independence of the three branches of government: executive, legislative, and judicial. At the same time, however, they provided for a system in which some powers should be shared: Congress may pass laws, but the president can veto them; the president nominates certain public officials, but Congress must approve the appointments; and laws passed by Congress as well as executive actions are subject to judicial review. Thus the separation of powers is offset by what are called checks and balances.

2.三权分立

美国宪法制定者设计的三权分立的目的是:防止权力集中，并为每个部门提供武器，以抵御其他两个部门的侵蚀。正如詹姆斯·麦迪逊(James Madison)在《联邦党人文集》(第51期)中所说的:“野心必须用来对抗野心。”显然，分权制度的设计初衷并不是为了最大化效率;它旨在最大限度地提高自由。美国宪法第一条规定，立法机关由众议院和参议院组成;执行机构根据第二条设立，由总统、副主席和各部门组成;司法部由联邦法院和最高法院组成，根据第三条设立。这些分支中的每一个都有一定的权力，而这些权力都是有限的。美国宪法第一条规定:“本宪法所赋予的一切立法权应授予美国国会，国会由参议院和众议院组成。”这句话清楚地定义了国会最重要的权力:为美国立法。 At the same time, the framers granted some specific powers to Congress. Congress has the power to impeach both executive officials and judges. The Senate tries all impeachments. Besides, Congress can override a Presidential veto. Congress may also influence the composition of the judicial branch. It may establish courts inferior to the Supreme Court and set their jurisdiction. Furthermore, Congress regulates the size of the courts. Judges are appointed by the President with the advice and consent of the Senate. The compensation of executive officials and judges is determined by Congress, but Congress may not increase or diminish the compensation of a President, or diminish the compensation of a judge, during his term in office. Congress determines its own members’ emoluments as well. In short, the main powers of the Legislature include: Legislating all federal laws; establishing all lower federal courts; being able to override a Presidential veto; being able to impeach the President as well as other executive officials.

行政权力

美国宪法第2条赋予总统行政权。总统的主要职责是确保所有法律得到忠实执行。总统是联邦政府的首席执行官。他是行政部门的领导人和武装部队的总司令。他有权在参议院三分之二议员的建议和同意下与其他国家签订条约。总统还在参议院的同意下任命外交代表、最高法院法官和许多其他官员。除了弹劾，他还拥有赦免和缓期执行的权力。这种赦免不需要国会两院的确认，甚至不需要接受赦免的人接受。总统获得的另一项重要权力是对所有法案的否决权，但正如上文所述，国会可以推翻任何否决，除了两院三分之二多数的袖珍否决。当国会两院不能就休会日期达成一致时，总统可以解决争端。 Either house or both houses may be called into emergency session by the President. The judicial power—the power to decide cases and controversies—is vested in the Supreme Court and inferior court established by Congress. The following are the powers of the Judiciary: the power to try federal cases and interpret the laws of the nation in those cases; the power to declare any law or executive act unconstitutional. The power granted to the courts to determine whether legislation is consistent with the Constitution is called judicial review. The concept of judicial review is not written into the Constitution, but was envisioned by many of the framers. The Supreme Court established a precedent for judicial review in Marbury v. Madison. The precedent established the principle that a court may strike down a law it deems unconstitutional.

3.权力制衡

美国宪法的制定者认为，根据宪法，制衡对保障自由至关重要。他们认为，通过平衡三个政府部门的权力，可以遏制人性中走向暴政的努力。约翰·亚当斯(John Adams)称赞平衡的政府是“人类发明的最惊人的结构”。在他的《为美利坚合众国政府宪法辩护》(1787)中，他写道:“在我们所争取的混合政府中，部长们，至少是行政权力的部长们，对行使权力的每一个实例负责;如果他们通过腐败处理了一个委员会，他们就要对众议院负责，众议院可以通过弹劾使他们向参议院负责，他们可以在参议院受到独立法官的指控、审判、谴责和惩罚。(Isaak 2004:103-104)因此建立了权力制衡制度，并成为美国宪法的重要组成部分。通过相互制衡，政府的三个分支都可以限制其他分支的权力。这样，就没有哪个部门太强大了。每个分支“检查”其他分支的权力，以确保它们之间的权力是平衡的。每个分支拥有的主要检查如下所列。

国会

1. 可以用以下方法检查总统:
   1. 通过拒绝通过一个总统想要的法案
   2. 通过一项法律来推翻总统的否决
   3. 通过使用弹劾权将总统免职
   4. 拒绝批准总统任命(仅限参议院)
   5. 通过拒绝批准总统签署的条约(仅限参议院)
2. 可以通过以下方式检查联邦法院:
   1. 通过改变下级法院的数量和管辖权
   2. 通过使用弹劾权将法官免职
   3. 拒绝批准一个人被提名为法官(仅限参议院)

总统

1. 可以通过否决国会通过的法案来制衡国会吗
2. 可以通过任命法官来制约联邦法院吗

法院

1. 可以通过宣布一项法律违宪来制约国会吗
2. 可以通过宣布他或他的下属的行为是违宪的或没有法律授权来检查总统吗

通过将政府的基本权力分配给三个独立但相互依赖的部门，制宪者确保政府的主要权力，立法、行政和司法，不集中在任何单一部门手中。将政府权力分配给三个独立的部门，也可以防止形成一个过于强大的国家政府，使其能够压倒各个州政府。为了修改三权分立，制宪者创造了一个著名的制度——制衡。在这种体制下，权力由政府的三个分支机构共享。与此同时，一个部门的权力可能受到另一个部门的挑战。三权分立和权力制衡制度是美国宪法的基本原则之一，有助于美国政治局势的稳定。

联邦政府与各州权力的分离

如上所述，美国独立战争后，美国处于混乱状态。根据《邦联条例》，所有13个州只有一种非常松散的联系。他们就像13个独立的国家，可以用自己的方式做事。他们有自己的法律制度和宪法，制定自己的经济、贸易、税收甚至货币政策，很少接受中央政府的命令。地方主义使得州议会对来自其他州的商品设置障碍，因此州与州之间的贸易无法发展。与此同时，中央政府没有任何重要的权力来很好地控制各个州。随着时间的推移，旧制度越来越不利于这个年轻国家的稳定和发展。许多美国人认为，邦联的软弱导致了许多严重的问题。他们认为邦联太软弱了，在外国或国内的压力下有分崩离析的危险。他们呼吁改革政府结构，建立一个更强大的中央政府。 This government should have some positive powers so that it could make and carry out policies to safeguard state sovereignty against foreign violations and to protect the people’s interests. This idea was embodied in the U.S. Constitution: The powers of the national government and the states were divided. The central government was specifically granted certain important powers while the power of the state governments was limited, and there were certain powers that they shared. All those powers granted to the Federal Government by the U.S. Constitution are enumerated principally as powers of Congress in Article I, Section 8. These powers can be classified as either economic or military. As is known to all, economic and military power are fundamental and essential to a government. Possessing such powers, the U.S. central government was capable of controlling the country well, thus keeping up a stable political situation and promoting the economic development. Economic powers delegated to the Federal Government include the authority to levy taxes, borrow money, regulate commerce, coin money, and establish bankruptcy laws. In Article I, Section 8, the Constitution writes, “The Congress shall have power to lay and collect taxes, duties, imposts and excises, to pay the debts and provide for the common defense and general welfare of the United State; …to borrow money on the credit of the United States; to regulate commerce with foreign nations, and among the several States, and with the Indian tribes; to establish a uniform rule of naturalization, and uniform laws on the subject of bankruptcies throughout the United States; to coin money, regulate the value thereof, and of foreign coin, and fix the standard of weights and measures.” According to this stipulation, the Federal Government has gathered the most important economic power into its own hands: with the right to collect taxes directly, the Federal Government could pay its debt and provide funds for the nation’s common defense and general welfare; with the right to issue uniform currency and to determine the value of foreign currencies, the Federal Government could control the money supply and restrain inflation; with the right to regulate trade with foreign nations and among the states, the Federal Government became able to control the economic situation of the country. The stipulation about commerce regulation won strongest support from big cities and centers of manufacturing industry and commerce, such as New York, Philadelphia and Boston, because they knew that the regulation of the central government would be quite helpful for the sale of their products. Alexander Hamilton, one of the most active representatives in the Constitutional Convention, pointed out that free trade in the whole nation was very profitable for any kind of business. For example, when the local market was weakened, the markets in other states and areas of the country would support the sale of the producers, thus their business could keep developing. Hamilton concluded that any farsighted businessman would see the power of the unity of the country, that they would find the unity of the whole nation would be much better than the separation of the thirteen states.

宣战权

授予联邦政府的某些军事权力包括宣战、组建和支援陆军、管理和维持海军以及召集民兵。《宪法》第一条第8款规定:“国会有权宣战，授予标记和报复令，并就在陆地和水上捕获的俘虏制定规则;组建和支援陆军……提供和维持一支海军;制定海陆空三军的规章制度;规定动员民兵执行联邦法律，镇压叛乱，击退入侵;组织、武装和训练民兵....”有了这些权力，联邦政府不仅可以保护土地，为国家的发展提供保障，而且还可以创造条件，以它拥有宣战权、授予船号权和报复权为由，入侵其他国家。美国宪法的制定者将联邦政府的军事力量视为保护国家国内利益不受外国入侵的工具。《联邦党人文集》三位作者之一、美国最高法院第一任首席大法官约翰·杰伊甚至说，当一个国家想要得到什么东西时，它就会卷入一场战争。制宪会议上的大多数代表都意识到，美国一旦分裂，很容易成为邻国和敌国的牺牲品。 They saw that other countries still threatened the security of the United States. The Great Britain was unwilling to secede from America and kept military bases in the Northwest boundary of the United States. At the same time, France blockaded some important river mouths so that it could monopolize the market, and Spain also tried to blockade the Mississippi River. The European powers did not want the United States to develop into a powerful nation, or to share their market, neither in the United States itself nor abroad. The framers of the U.S. Constitution fully realized that a strong navy and land force could become not only a tool to protect the interests of the United States, but also a tool to force other countries to open their markets. A strong army would definitely make the European countries respect their country. Apart from the foreign troubles, the leaders of the United States had also seen the serious influences of clashes between different classes. They believed that in time of trouble, a strong army would be decisive. Of course, they would not ignore the danger of such domestic rebellions as Shays’ Rebellion. When talking about the danger of rebellions, James Madison said, “I have noticed a kind of unhappy people scattered in some states. They degrade under the human standard when the political situation remains steady; but when the society is in chaos, they would provide their fellow people with a great force.” (Smith 1986:194) So the rulers of the country needed a strong army to suppress the revolt of these “unhappy people”, and to maintain a stable domestic political situation. The U.S. Constitution grants so many specific powers to the Federal Government, at the same time, lists a rather large number of things that the Federal Government is not allowed to do. Evidently, the framers were afraid that too strong a central government would easily bring about autocracy. In order to restrict the authority of the central government, the framers wanted to make it clear in the Constitution that certain powers were emphatically denied to the Federal Government. Restrictions of the powers of the Federal Government are listed below:

1. 不得行使宪法未授权的权力。
2. 除依法拨款外，财政部不得支付任何款项。
3. 美国各地的所有关税和杂费都必须统一。
4. 对从任何州出口的物品不征税或征收关税。
5. 不得任命参议员或代表担任其担任国会议员期间设立的或在此期间薪酬有所增加的任何民事职务。
6. 在监管或税收方面，一个州的港口不会优先于另一个州。
7. 美国政府不授予贵族头衔，外国政府也不允许授予政府官员贵族头衔。
8. 不通过褫夺公权法案或追溯既往的法律。

当宪法赋予联邦政府某些权力时，制宪者也考虑削弱州政府的权力，以便在必要时中央政府可以迫使各州采取统一的步骤。宪法第一条第10款规定:“任何州不得缔结任何条约、联盟或邦联;授予标记和报复函;硬币钱;发行信用证;使任何东西，但金银硬币支付或债务的投标....任何一州，未经国会同意，不得对进出口货物征收任何关税，但为执行其检验法所绝对必要的除外....未经国会同意，任何州不得征收任何吨位税，不得在和平时期保留军队或军舰，不得与另一州或外国缔结任何协定或契约，不得进行战争.... "根据这一条款，各州被剥夺了发行货币、自由征税、在和平时期保持军队、与美国的另一个州或外国签订协议以及参与战争的权力。由于禁止各州发行货币，美国现在可以避免不受管制的货币供应造成的通货膨胀和货币贬值。 With the restriction of the states from levying taxes freely, the obstacles of the commerce were removed. Now the state congresses did not have the power to collect heavy taxes freely on goods from other states any more, thus the commerce in the United States began to thrive. With the prohibition of the states from keeping troops in time of peace and engaging in war, the territorial integrity of the United States could be guarded, and the Union could be maintained. As the power of the state governments was limited, people’s confidence in their central government was greatly strengthened. The society of the United States was being led onto a right path of development. Although the power is restricted, the states still possess some necessary powers and exercise important functions in the United States. The Tenth Amendment of the U.S. Constitution indicates that the states possess those powers that are not given to the Federal Government or prohibited to the states. The Tenth Amendment stipulates, “The powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people.” State powers then are called reserved powers. Reserved powers are interpreted as the right to establish schools and supervise education, regulate intrastate commerce, conduct elections, establish local government units, and borrow money. In addition, a broad and generally undefined “police power” enables the states to take action to protect and promote the health, safety, morals, and general welfare of their inhabitants. All of these are functions that directly affect Americans every day and in every part of their lives. There are still some powers that both the national and state governments can exercise. They are called concurrent powers, which include the power to tax and borrow money, to take property for public purposes, to enact bankruptcy laws, and to establish laws and courts. Thus in the course of the U.S. Constitutional Legislation, a federal system was created by separating power between two levels of government, state and national. According to the Constitution, the Federal Government was granted certain powers, the states were given certain powers and there were certain powers that they shared. In order to overcome a series of domestic crises and keep a stable political situation, a strong central government was created. This central government was granted certain important powers while the power of the state governments was limited. The U.S. Constitution has remained in force because its framers successfully separated and balanced governmental powers to safeguard the interests of majority rule and minority rights, of liberty and equality, and of the central and state governments. For over two centuries it has provided the basis for development of the United States and a guarantee for the stability of the country.

参考文献

1. Donald M. Bishop(1985)。《美国历史活文献》[C]。北京:美国驻华大使馆新闻文化处。
2. 杰,约翰;麦迪逊，詹姆斯和汉密尔顿，亚历山大(1979)。《联邦党人——美国宪法评论》[C]。纽约:现代图书馆。
3. 约翰·洛克(1690)。政府论第二篇[M]。印第安纳波利斯:哈克特出版公司
4. 罗伯特·艾萨克(2004)。《美国政治思维:从起源到21世纪》[C]。北京:北京大学出版社。
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作者简介

魏晓红是中国四川农业大学的全职工作人员，她在那里教英语。她拥有英语语言文学学士学位(四川外国语大学)和外国语言学及应用语言学硕士学位(四川大学)。十多年来，她一直在四川农业大学任教。她的研究兴趣包括跨文化研究、迁移理论以及文化教学。主持完成科研项目3项，参与国家级、省部级科研项目6项。她在学术期刊上发表了两本书章节和20多篇文章，特别是在中国一些著名大学的学术期刊上。收件人:魏晓红通讯地址:中国四川省雅安市四川农业大学玉城区外语系新康路46号邮编:625014