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Appendix A

SECRECY

A Brief Account
美国经验

1. Secrecy as Regulation

Secrecy is a form of government regulation. There are many such forms, but a general division can be made between regulations dealing with domestic affairs, and those dealing with foreign affairs. In the first category, it is generally the case that government prescribes what the citizen may do; in the second category, it is generally the case that government prescribes what the citizen may know.

同样,在第一类中,通常情况下,该法规源自法规。国会制定了一项法律,将其执行委托给官僚机构,该官僚机构发表了法律规则和裁决。金博宝正规网址这是20世纪初在美国的行政国家的一个特征,大致在西奥多·罗斯福和伍德罗·威尔逊的行政管理之间。因此,商业和劳动部成立于1903年;1913年的美联储委员会;1914年的联邦贸易委员会。1917年,一名行政公报(官方公告)成立了。Official Bulletinwas published for only two years. It was the precursor to theFederal Register, in which all new regulations are published, which began in 1936.)

Secrecy became a persuasive mode of regulation with the advent of the national security state at mid-century, although its origins also go back to the beginning of the century. The statutory base of secrecy is modest; two or three laws, of which the National Security Act of 1947 is emblematic. Withal, its spare reference to the protection of "sources and methods" led to a vast secrecy system almost wholly hidden from view. There would be noOfficial Bulletin

这个“简短帐户”将出现三个一般命题。首先是,从第一次世界大战时期起,大国的开始,这将在本世纪的大部分时间里持续,美国反复面对外国政府的间谍袭击,有时,有明显比例的比例。这些危机的复发模式是族裔的参与,通常是第一代移民,他们对祖先的房屋保持着牢固的依恋,并且并非很少经常对移民时突出的政治运动。

The ethnic dimension of international conflict has repeatedly created a fear of internal conspiracy in aid of external threat. This was succinctly stated by Theodore Roosevelt in October 1917:

可以说,“野蛮”内synd的后果之一rome is that the United States developed a pattern of extensive defensive secrecy far greater than would have been required to deal with an essentially external threat. A kind of backward formation took place. Whereas, in the usual situation (if there is such) the existence of secrets required defensive measures, in the American experience of the 20th century, the secrets came about largelybecausethere was a perceived threat. Loyalty would be the arbiter of security. Given that loyalty could not be assumed, a vast secretive security system emerged.

第二个命题是法定的基础for secrecy has been, and remains, so elusive that violations of secrecy occur with relative impunity. Edward A. Shils defined secrecy as "the compulsory withholding of knowledge, reinforced by the prospect of sanctions for disclosure."2 This was written in 1956, when the morale of the Cold War system was high, and discipline was readily maintained. In 1946, as will be discussed, the Army Security Agency (formerly the Army Signal Security Agency) decoded the first of several thousand VENONA 3 messages sent by the KGB [Komitet Gosudarstvennoi Bezopasnosti (Committee for State Security)]4 and other Soviet intelligence agents identifying spies working within the American Government. The consequences for American counterespionage were spectacular; the VENONA project continued until 1980. Early on, the Soviets learned of its existence through a spy in the Army Security Agency itself, but as for the American public, not a whisper was heard until the 1980s, and only with the establishment of the Commission on Protecting and Reducing Government Secrecy has this extraordinary archive been made public.

In time, however, the system degraded, largely in consequences of having grown to grotesque proportions. A specific example would be the celebrated "Pentagon Papers," essentially an official history of the war in Vietnam. Most of which were "Top Secret." The New York Times, and later the Washington Post, obtained copies and proceeded to publish selections. The United States Government moved to enjoin publication. The Supreme Court overruled the Executive Branch. Soon after, Harold Edgar and Benno C. Schmidt, Jr. published an article on the case in the Columbia Law Review. Just what was the law here? they asked. They replied, after 158 pages, that they could not possibly tell.5

它现在已经成为常规的信息highest classification to appear in the press, most commonly as a tactical move in some intra-government policy dispute. There are no sanctions. A fairly routine example of what might be called "deregulation" occurred on October 22, 1996, when the Washington Times published details of a "Top Secret" CIA analysis of the control system of Russian nuclear weapons. The following day, the Washington Post had a "follow-up" story by Reuters:

Now came the essential part of the story: Who benefited when someone within the government chose to betray this "secret"? The Reuters dispatch continued:

This is a fixed pattern. Classified documents are routinely passed out to support an administration; weaken an administration; advance a policy; undermine a policy. A newspaper account would be incomplete without some such reference.

相反,希尔斯的定义现在没有披露的制裁。对于副助理秘书级别或更高的任何人来说,不是,也就是说。以成熟的官僚机构的方式,与安全事务有关的大多数机构都开发了有关其活动的一系列出版物。金博宝更改账户国防部安全研究所发布了最近的间谍案件。1996年5月的发行记录了自1975年以来的所有案例。这是忧郁的阅读。在89例此类案件中,有55名参与人员通常决定试图向苏联出售秘密。只有15个成功地“招募”了15个,只有九个现实生活中的外国特工。几乎没有批次中的“匈奴”。但是,有一个值得注意的情况是,海军情报局的一名平民分析师向简恩(Jane)的出版物提供了机密照片,显示了正在建设的苏联核动力承运人。金博宝更改账户这些照片随后发表在简·《国防周刊》(1984年7月)中。 The employee was sentenced to two years� imprisonment. The Defense Security Institute comments that this was "the first individual convicted under the 1917 Espionage Code for unauthorized disclosure to the press."6

Along with the de facto immunity of senior officials who release classified information, there developed a form of Congressional oversight, beginning with the House Committee on Un-American Activities and the Senate Subcommittee on Internal Security, which could and did protect the intelligence community, as it came to be known, and let out a fair amount of information to the public. But in the process, the public also "learns" a good many things that are not so. As Evan Thomas, the author of a recent book on the early days of the CIA, notes in a recent issue of Studies in Intelligence, a publication of the Central Intelligence Agency: "Polls show that nearly 80 percent of Americans believe JFK died as a result of a conspiracy, and about half believe the CIA was somehow involved."7 Secrecy begets suspicion, which can metastasize into belief in conspiracies of the most awful sort.

尽管高级披露机密材料的频率越来越大,但公众的看法并没有错。机密材料的巨大比例仍被分类。这反映了武装部队男女的原则性特征以及各种情报和相关机构。它还反映了保密系统的纯粹维度。一个公平的猜测是,如果仅仅为了重印当天创建的机密文件而为美国发表在美国发表的每一页的报纸的每一页,那将没有足够的空间。反过来,这反映了分类的标准,也就是说national security

Harold C. Relyea, of the Congressional Research Service, notes that, "A perusal of the Federal statutes indicates thatnational securitysuddenly began to appear with some frequency as the undefined term in laws enacted around the time of U.S. involvement in World War I."8 National defense was not enough; that had been the concern of admirals and generals: dockyards and arsenals and order of battle. This was something more. The world was a far more dangerous place; ideological conflict was as serious as military conflict: indeed, more so, and far more elusive in its details. For the better part of a century the United States would hardly know a moment�s peace of mind. We would gradually see, in Donald L. Robinson�s term, "The Routinization of Crisis Government."9

The decisive moment in this regard was the enactment in 1947 of the National Security Act, which established the unified Department of Defense, the Central Intelligence Agency, and the National Security Council, the latter a standing committee in the White House designed to deal with emergencies of all sorts. In testifying in support of such legislation before the Senate Committee on Military Affairs, James F. Forrestal, then Secretary of the Navy, was explicit in choosing the term "national security" over "national defense." Unifying the Army and Navy was not nearly enough. Forrestal set out a list of "eight requirements against which to measure any plan for national security":

At this time, a report prepared for Forrestal declared that "our international policy in the years ahead looks for national security through a United Nations organization for the maintenance of world peace."11 This would hardly do today, and yet, in the first war following the Second World War, in Korea beginning in 1950, the United States fought under a United Nations flag. If the United Nations receded as a vehicle for collective security--another term of that time--the North Atlantic Treaty Organization was by now also in place. International venues would vary; what continued ever after was Forrestal�s dictum that national security must "bring in every element of our Government."12

A succession of post-World War II presidents issued executive orders published in the Federal Register asserting this particular form of regulation, but without defining it. Truman in 1951:

Eisenhower in 1953:

尼克松总统的1972年执行命令更加雄心勃勃:

1995年克林顿总统的最新行政命令是其核心定义的简洁性:

But succinctness is not the same as clarity. Under these executive orders, "national security" is in the eyes of the "appropriate classifying authority." Of which there are at present roughly 5,300 persons within the Federal Government with the authority to classify "originally," but an estimated two million additional persons in the Government who then can classify "derivatively" by citing already-classified documents or by using "classification guides" prepared by their agencies, and another one million in private industry with such ability.17

A third and final proposition is that secrecy, unless carefully attended to, is a source of consider-able sorrow in government. That there can be a need for it, none should dispute. The Framers so provided in Article 1, Section 5 of the Constitution:

但是,正如约瑟夫的故事所写Commentaries on the Constitution of the United States,要求保存期刊的条款的目的是“确保立法机关诉讼的宣传,以及成员对各自选民的通讯责任。” 18 18

因此,从一开始,我们就遇到了公众认识的权利与某些情况下的政府需求之间不可避免的紧张关系。19Relyea观察到:“理想情况下,政府持有的所有信息属于政府的所有信息属于公民。” 20然而,这可能非常符合相同公民的利益,即某些信息通常无法获得,并且在成熟的民主身份以偏爱。只有该系统进行审查。

However, secrecy can confer a form of power without responsibility, about which democratic societies must be vigilant. A disturbing instance occurred after the discovery, beginning with the Army Security Agency�s code-breaking in 1946, of a most considerable Soviet espionage apparat in the United States, including, by all the evidence, senior officials of the United States Government. The person who most needed to know this was the President of the United States. The issue was national security and he was Commander-in-Chief.

It would appear, however, that President Truman was not told. In their superb account of these events, VENONA: Soviet Espionage and the American Response, 1939-1957, published by the National Security Agency and the Central Intelligence Agency (in connection with a major October 1996 conference on VENONA), Robert Louis Benson and Michael Warner write:

Benson and Warner continue:

分享或扣留信息的决定可能是 - 是一个很高的个人和政治,或者纯粹是专业的。中央情报机构直到1952年才得知Venona。克格勃电缆表明,第二次世界大战中的战略服务办公室(OSS)已被苏联特工彻底渗透。由于中央情报局被广泛认为是OSS的继任者,因此陆军和联邦调查局在分享他们的秘密时非常谨慎。这是一个不可避免的问题。但是,当出于个人或政治原因拒绝秘密信息时,民主就会处于危险之中。

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1 Albert Bushnell Hart, ed., Theodore Roosevelt Cyclopedia (New York: Roosevelt Memorial Association, 1941). "Roosevelt in the Kansas City Star," 1 October 1917, 8.
2 Edward A. Shils, The Torment of Secrecy, with an introduction by Daniel Patrick Moynihan (Glencoe: The Free Press, 1956; reprint, Chicago: Ivan R. Dee, Inc., 1996), 26.
3 The term "VENONA" is an arbitrary codeword which describes more than 2,900 Soviet diplomatic telegrams sent between 1940 and 1948 and the efforts by the United States Government to decode the messages and to identify Soviet agents mentioned therein. Robert Louis Benson and Michael Warner, eds., VENONA: Soviet Espionage and the American Response, 1939-1957 (Washington, D.C.: National Security Agency, Central Intelligence Agency, 1996), vii-viii.
4 Harvey Klehr, John Earl Haynes, and Fridrikh Igorevich Firsov, The Secret World of American Communism (New Haven: Yale University Press, 1995), xxvi.
5 Harold Edgar and Benno C. Schmidt, Jr., "The Espionage Statutes and Publication of Defense Information," Columbia Law Review 73, no. 5 (May 1973), 930.
6 U.S. Department of Defense Security Institute, Recent Espionage Cases: Summaries and Sources (Rich-mond: 1996), 12.
7 Evan Thomas, "A Singular Opportunity: Gaining Access to CIA�s Records," Studies in Intelligence 39, no. 5 (1996): 23.
8 Harold C. Relyea, "National Security and Information," Government Information Quarterly 4, no. 1 (1987): 16.
9 Donald L. Robinson, "The Routinization of Crisis Government," Yale Review 63 (Winter 1974): 161.
10 Relyea, "National Security and Information," 17, quoting Senate Committee on Naval Affairs, Unification of the War and Navy Departments and Postwar Organization for National Security, 79th Congress, 1st Session, Washington, D.C.: Government Printing Office, 1945), 578-79.
11 Relyea, "National Security and Information," 18.
12 Ibid., 17.
13 President, Executive Order 10290, "Regulations Establishing Minimum Standards for the Classification, Transmission, and Handling, by Departments and Agencies of the Executive Branch, of Official Information Which Requires Safeguarding in the Interest of the Security of the United States," Federal Register 16, no. 188 (27 September 1951): 9797.
14 President, Executive Order 10501, "Safeguarding Official Information in the Interests of the Defense of the United States," Federal Register 18, no. 220 (10 November 1953): 7049.
15 President, Executive Order 11652, "Classification and Declassification of National Security Information and Material," Federal Register 37, no. 48 (10 March 1972): 5209.
16 President, Executive Order 12958, "Classified National Security Information," Federal Register 60, no. 76 (20 April 1995): 19825.
17 These estimated figures were supplied by the Information Security Oversight Office, which issues an annual report on classification decisions. See Information Security Oversight Office, 1995 Report to the President (Washington, D.C.: Information Security Oversight Office, 1996). "Derivative" classifiers are responsible for 94 percent of all classification decisions.
18 Joseph Story, Commentaries on the Constitution of the United States (Boston: Little, Brown, 1891; reprint, William S. Hein, 1994), 609-10.
19 Secrecy was present at the creation. The Constitutional Convention of 1787 met in closed session. Before final adjournment, in answer to an inquiry by George Washington, the presiding officer, the Conven-tion resolved "that he retain the Journal and other papers subject to the order of Congress, if ever formed under the Constitution." Max Farrand, ed., The Records of the Federal Convention of 1787, vol. 1 (New Haven: Yale Univ. Press, 1934), xi.
20 Harold C. Relyea, The Evolution of Government Information Security Classification Policy: A Brief Overview (1775-1973) (Washington, D.C.: Congressional Research Service, 11 September 1973), 1.
21 Benson and Warner, VENONA, xxiv.
22 Ibid., xxix.

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