【作者】 饶传平；

【导师】 王立民；

【作者基本信息】 华东政法大学 ， 法律史， 2010， 博士

【摘要】 宪法中的基本权利(basic rights),又称基本人权(fundamental human rights),或人权(human rights),包含自由权(liberty)、公民权(political rights,也称公民的政治权利,或民主权、参政权,本文统称公民权)、社会权(social and economic rights,也称社会经济权利)三类。与之相关的思想,则涉及到自由主义、民主主义、社会主义。研究近代中国宪法中的基本权利,不但要梳理近代中国宪法中自由权、公民权、社会权的条款变迁,更应梳理自由权、公民权、社会权背后的三种思想:自由主义、民主主义、社会主义,及其在近代中国的不同的影响、不同命运。自由主义、民主主义、社会主义在中国的不同命运,又直接与近代中国自身的命运紧密相连,也即,与近代中国的政治任务密切相连。实际上,我们甚至可以这样说,正是因为近代中国政治任务的特殊性,而决定了自由主义、民主主义、社会主义在中国的不同命运。对近代中国而言,人权的观念和制度都是舶来品。清末民初,虽然经由严复的翻译,英国自由主义传统的人权观在中国得到一定的传播,但因为严复不完全了解弥尔自由概念的所以然,以及受到儒家传统的“乐观主义的认识论”之影响,而且因为当时中西弱强情势的对比之下,由危机情境所产生的“救亡”心态,使他无法把密尔建立自由理论之时所具有的热情与背后的推理,亦即密尔思想中个人自由的所以然,精确地译介到中文世界。相反,严复所极力反对的革命派所推崇的卢梭和天赋人权、民主共和等理论,因其思想的“体系性”、解决方案的“彻底性”,更多地得到中国知识分子的欢迎,并一步步走向“激进化”。由此,国家主义的情绪和社会主义的追求,逐渐成为主流。梁启超把中国传统思想中的“致良知”、“克己”、“齐”等概念,灌注进西方自由和权利的概念,这与自由、权利概念的本原,便产生了微妙的差异。西方近代的自由和权利概念,基于自然法和社会契约论的理念,旨在强调于个人与国家之间,个人有国家所不得干涉的自由,是谓以个人为本位的“免于国家干涉的自由”之自由权,在此意义上,法律以保障自由为依归。而梁启超从自由到自治、自制的概念,则更为强调以法律作为整齐驳杂、追求群利(遂而可能箝制个人自由)的工具。严复的国情论与群己观,以及梁启超从自由到自制的思想,在个人和群体的关系上,都明显带有“个人服从群体”的倾向。实际上,无论是严复还是梁启超,都深受中国传统的影响,他们强调在互动辨证的关系中理解个人与群体、国民与国家的关系。作为清末民初中国思想界的两大钜子,梁、严的思想有巨大的影响力,对此一时期中国的立宪事业不能不产生深远深远影响。从《钦定宪法大纲》的“臣民与法律范围内”到《临时约法》的“得以法律限制之”,对基本权利条款的措辞一再强调其法定性和法律制限性,便能明显地看到梁、严二氏自由观、权利观的巨大影子。从来源上看,《钦定宪法大纲》中的基本权利条款则主要受日本的影响,而日本又受德国的影响,尤其是受德国一些宪法学者对“法律保留”原则的误解所造成的影响。清廷的立宪,一方面是为“立宪日本战胜专制俄国”所激,另一方面更在“定人心而维国势”、“皇位永固、外患渐轻、内乱可弥”之冰消革命、加强中央集权的目的。所以,对于自由权,即便明载于《钦定宪法大纲》,却也可通过《大清报律》等肆意侵夺;对于仅有的一些公民权,还加以诸多的严格限制,无异于少数达官宗室的特权。在向来官吏异常专横,于人民之生命财产,往往视之如草芥的中国,所谓人民基本权利的观念和制度,要让其得到真正的运作,可谓难之又难。近代中国思想界对自由和权利的理解,挣脱梁启超、严复的影响,这就要等到五四新文化运动以后。尤其是,此一时期,日本影响减弱,更多的欧美留学生开始大量回国参政、言政。作为职业学者,他们对西方自由、权利的原理及其最新发展有更深刻的认知,他们的言论和行动直接带来了1920年代中国制宪中的新局面。与1910年代不同的是,在1920年代,一些研习法政专业的赴欧美留学生纷纷归国,他们利用所学积极参政言政,成为制宪和议宪的主力军。此一时期,由于南北分裂和中央政权的式微,对地方各省和报刊舆论成失控状态,这也正好为他们制宪和议宪提供了广阔的舞台,他们一边撰文翻译介绍欧美新宪法,一边积极投身到各省或民间团体的制宪中去。经由他们所制定的宪法,极大地容纳了欧战之后新宪法中有关社会权和直接民主的内容,对国会的制宪产生了巨大的冲击和影响。当然,由于欧美传统本身存在英美自由主义和欧陆民主主义的差异,以及这些赴欧留学生们自身兴趣、关注甚至党派的差异,他们在对宪法理论的阐述和宪法条文的拟定上,也便具有相当的差异性。比如,受德国魏玛宪法影响至深的张君劢,在基本权利方面,他对社会权的关注无疑更甚于自由权、民主权,他所起草的国是宪草,对自由权便无所着墨,他即使曾撰文大为赞赏德国魏玛宪法的直接民主条款,但在自己起草的宪法中,却对直接民主不甚了了。而相对受英美宪法影响较多的李剑农,对欧战之后兴起的社会权也相当重视,但他似乎更注目于自由权的实质性保护和直接民主的实现,由他主持起草(起草委员也多为英美留学生)的湖南省宪,对于自由权和直接民主的规定,在1920年代的宪法中可以说无出其右者。而且,李氏主张直接民主的目的,也是为了更好地保护自由权,这充分说明了李氏宪法思想中的自由主义色彩。1920年代初的中国制宪运动,基本保持了与世界宪法发展的同步性,并在相当程度上照应了中国自身的政情民情,因此,在宪法文本的水准上,达到了中国制宪史上的一个高峰。但是,随着南京国民政府的建立,国民党截断民国十几年的历史,采用革命的方法,取代北京政府,重新造党以建国,从此,党统代替法统,中华民国由宪政而入党治,中国制宪事业受政局裹挟,不得不经历一次新的涅槃。孙中山在提倡民权和民生的同时,批评个人的自由和平等,强调团体和国家的自由和平等。在训政时期,孙中山所谓的民权,即国民的选举、罢免、创制、复决四个政权,也即宪法理论上的公民权,已由国民党代为行使。由宪政而入党治,虽已成了历史的事实,但毕竟有悖一般知识分子的期望。由此,以胡适为代表的知识界虽然也默认了国民党的训政统治,但仍忍不住要以保障人民的权利和自由为由,强烈呼吁“快快制定约法以确定法治基础”。制定约法的呼吁不仅来自知识界,也来自国民党内部的蒋介石政敌,他们为实现反蒋目标也呼吁尽快制定约法。出自他们之手的“太原约法”第一次出现了“不得以法律限制之”的措辞,斩钉截铁地废止了除宪法、戒严法外的其他任何立法限制自由权的机会。这不啻是中国自由权的观念史和宪法保护史上的一次革命,也是对自由之天赋性的一定程度上的承认。“九·一八”事变后,国民党内外“结束训政、实行宪政”的呼声渐高。迫于压力,国民党内开始讨论开启宪政的问题。从五五宪草到期成宪草、政协宪草、1947年宪法(有学者根据通过时间,称该宪法为“1946年宪法”,本文则根据生效时间,统称为“1947年宪法”),无论是人身权保障条款的进一步明确、完善,还是生存权、工作权的新增,以及至关重要的“不得以法律限制之”之宪法保障主义的确立,还有民主权、社会权的条款演变,等等,无不凝聚了国民党之外各民主党派的心血。被称为“民国宪法之父”的张君劢,在1946年参加政协会议之际,曾写成一书《中华民国民主宪法十讲》,参照各国宪法例,对期成宪草作逐条的说明,以之为会议讨论的底稿。张氏说,此书稿之立脚点在调和中山先生五权宪法与世界民主国宪法之根本原则。之所以强调这一点,是因为张氏知道,中山之五权宪法与欧美之自由民主宪法,实有不少相悖之处。中山先生为民国之创始人,其宪法要义必须尊重,然民主国宪法之根本要义,如人民监督政府之权,政府对议会负责,既为各国通行之制,吾国自不能自外。张氏之用心,可谓精良。张氏自青年时代即有志于制宪事业,他既参加过晚清的政闻社,又主持过1920年代国事宪草的拟定,1930年代后,他更先后组织中国国家社会党、中国民主政团同盟、中国民主同盟,以民主党派负责人的身份参加期成宪草、政协宪草以及1947年宪法的制定。相对“圣君贤相之宪法”,他所坚持的“以人民为基本之宪法”,诚为识者之言,真正指示了未来中国立宪的方向。“以人民为基础之宪法”的1947年中华民国宪法,虽然不否认“紧急危难、社会秩序、公共利益”对权利的限制,但一句“不得以法律限制之”,在在强调的,仍是人民权利对法律的先在性、固有性。面对“要国家来干什么”的问题时,张君劢干脆利落地回答道,第一,国家的目的是在维持人民的生存,第二,人民所以要国家是在保障人民的自由。这种回答,实在是“不得以法律限制之”的最好注脚。张氏背负严酷的舆论批评与“民主同盟”令其退盟之屈辱而起草的1947年宪法,虽也遭“动员戡乱时期临时条款”的长期封冻,但毕竟熬到“到得前头山脚尽,堂堂溪流出前村”。台湾今天政治之基础,仍建筑在1947年宪法之上,不可谓不是“以人民为基础之宪法”的最终胜利。比较于西方各国的宪法,本文首先对晚清、民国宪法中的基本权利条款及其措辞作出了较为详尽的规范结构分析。我们可从中看出近代中国人权制度的发展史。我们再进一步去追索这些宪法条文的制定者,去追索条文背后的思想来源,我们又可从中见到了一部近代中国人权观念的输入史和形成史。而无论人权制度还是人权观念,我们都必须把它放在它所在的时代中去加以考察和理解。由此,遵循“制度的条文—条文的思想—思想的时代”的脉络层层追寻(制度反映思想,思想反映时代),或者层层反推(一定的时代产生了此一时代的思想,该一思想产生了一定的制度形态),我们便可以“法条”之“一管”而窥见“时代”之“全貌”,或以“时代”之“全貌”而理解“法条”之“一管”。从更广阔的范围看,通过中西近代宪法中基本权利条款的规范结构及其思想根源的比较研究,我们更可见中西不同时代里“人”的概念的不同。个体的人与整体的人,政治的人、阶级的人、经济的人、与社会的人,同族人与异族人,男人与女人,富人与穷人,老人与儿童,等等。宪法的核心是对“人”的保护,那么,“人”的概念的多样性,便决定了人权制度的多样性。从传统的政治学说中,我们更多地看到了作为“整体的人”的概念,比如“天下”、“万民”、“公”、“群”、“家”等。在梁启超、严复的“群”、孙中山的“天下为公”、“民族主义”的概念中,便得到了很好的说明。正是这种“群”、“公”的观念,使近代中国的主流思想中带有了浓郁的国家主义色彩,由此,国家的统一与建设强有力中央政府便一直成为内忧外患之近代中国的主旋律,使中国的共和革命趋向了社会主义的方向。即便是如胡适般的自由主义者,在那特定的历史下也选择默认国民党的训政地位。这种对中国“人”的群体性理解,或许指示了中国宪法的现在与未来。但决定中国宪法未来的,不仅仅是“传统的残照”,更有来自“西方的参照”。历经半个多世纪的西学东渐,以及民国从宪政到党治的痛苦经历,自由与民主的思想在1940年代已经深入人心,成为中国人自身的理想和追求。由是,自西而东的自由与民主,当然也决定了中国宪法的未来方向。在这个意义上,兼顾“传统的参照”与“西方的参照”,贯通古今中西对“人”的概念之理解,厘清中国人心目中个人与国家、个体与群体的关系,奠立中国之“人学”在宪法学中的核心地位,也便成了中国人权思想与制度发展的必然要求。更多还原

【Abstract】 The fundamental rights endowed by constitution include three types -liberty, democratic rights and social rights, with which the ideologies are concerned involve liberalism, democratism and socialism. To make a study of those fundamental rights of the Chinese constitution in modern times, it is required to make it clear for the relocation of clauses for liberty, democratic rights and social rights and the three ideologies behind the three rights-liberalism, democratism and socialism, as well as their various influences on China and the different destinies in modern times. The different destinies of liberalism, democratism and socialism are directly bound up with China’s destiny in modern times, that is, closely associated with the political mission for that period. In practice, we can even put it this way: it is the peculiarity of these political tasks that determines the different destinies for liberalism, democratism and socialism in China.In modern times, concepts and systems for human rights in China were borrowed from abroad.During the transition period between the Qing Dynasty and the Republic of China, in spite of the translation efforts made by Yan Fu which promote to some degrees the spread of the traditional outlook on human right of British liberalism, he failed to translate precisely the enthusiasm and the hidden deduction for the establishment of the“theories on liberty”by Mill-the correctness of the individual freedom in the Mill Ideology into the Chinese realm due to insufficient knowledge of the concept of liberty by Mill, the influences by the traditional epistemology on optimism of Confucianism and the mentality of“saving the nation from extinction”triggered by the risky circumstances with remarkable comparison between China and the Western countries in strength. On the contrary, Yan Fu stood in strong opposition against the theories such as the“natural rights”by Rousseau and the theories on democratism and republicism advocated by the revolutionaries, which however, are more and more received by Chinese intellectuals and are advancing towards“radicalization”gradually due to the systematization of the ideologies and thoroughness of the coping mechanism. In this way, the pursuit of the nationalism and socialism has evolved into the main stream.These concepts of“to conscience”,“self-restraint”and“evenness”in Chinese traditional ideology system have been indoctrinated into the concepts of the western-style liberty and rights by Liang Qichao, which bear some subtle differences from the origin of the concepts of liberty and rights. Based on the modern ideology of the Natural law and Theories on social contract, concepts for liberty and rights in the western countries in modern times, which are targeted at stressing that between individuals and the state; in detail, the individuals are endowed with the rights without any intervention from the state with individuals as the main unit. So, in this sense, laws are formulated with the purpose of guaranteeing people’s freedom. And, Liang Qichao attached more importance to the laws as tools for sorting things out and pursuing group profits (or limiting personal freedom) from the concept of liberty to that of autonomy and self-restraint.The“theories on realities of the country”and the“outlook on individuals and group”by Yan Fu, and the“ideology from freedom to self-restraint”by Liang Qichao show evident propensity of“subordinating individuals to the group”in the relations between individuals and group. Actually, either Yan Fu or Liang Qichao, deeply affected by the Chinese tradition, stressed that the relations between individuals and group, people and the whole country should be interpreted in mutually active and dialectic relations.As two tycoons in the Chinese ideological circle during the transition period between the Qing Dynasty and the Republic of China, Liang Qichao and Yan Fu were exerting tremendous effects for their ideologies and had produced profound influences on China’s constitutionalism. From“within the scope of officials and the law”in the Constitutional outline made by the imperial order to“exerting limits by law”in the Provisional senate, repeated importance was attached to the legality and restrictiveness by law for the diction of the clauses of the fundamental rights, which reflected in large part their outlook on liberty and tights significantly.In terms of its origin, the clauses for the fundamental rights specified in the Constitutional outline made by the imperial order were largely shaped by Japanese style, which were influenced by German style, especially the misinterpretation on the“principle of legal reservation”by some scholars in Germany. The constitutionalism drive launched by the Qing government, on one hand, was triggered by the mentality of“Japan defeating Russia with autocratic system after setting up the constitution system”, on the other hand, was targeting at“pacifying the people and maintain the national strength”, alleviating revolutionaries and intensifying the central authority. Therefore, for liberty, it may be deprived arbitrarily according to the Law of karma although it is specified clearly in the Constitutional outline made by the imperial order; for the bare civil rights, they are strictly restricted, which were similar to the privilege of minorities of high-ranking officials and royal clans. So, it is extremely difficult to achieve real operation for the concepts on the fundamental rights and the system in places like China, where officials were of great arrogance regardless of people’s lives and possessions.Interpretation for liberty and rights by the Chinese ideology circle in modern times would not be able to shake off the influences by“Liang Qichao and Yan Fu”concepts until the May 4th Movement of 1919 and the new culture campaign, especially because the Japanese influences had been reduced in that period and more overseas returnees began to participate in the deliberation and administration of state affairs. As professional scholars, they had more impressive cognition of the principles of the occidental liberty and rights and their latest development status, whose speeches and actions had directly ushered in a new phase for the Chinese constitutionalism in the 1920s.It was different that in the 1920s, some students majoring in Law and Politics returned to our motherland successively, who drew on their knowledge and techniques to participate enthusiastically in the deliberation and administration of state affairs, and became the main force for the constitution undertakings. During that period, the division between the south and north and the weak power of the central government had made the provinces and newspapers and public opinions out of control, which provide broad space for their constitution-related work. So, they could do the translation work for the introduction on the fresh constitutions of the western world and meanwhile committee themselves to the constitution-related work. The constitution made by them, has substantially included the content on social rights and direct democracy in the new constitution after WWⅠ, and had great impact on the constitution-related work of the congress.Sure, due to the gap between the UK-US liberalism and the Continent democratism existing in the western traditions and the differences in their interest, focus even parties, considerable differences have been shown in their formulation for the theories of the constitution and drawing-up work for the clauses and provisions of the constitution. For instance, Zhang Junmai, deeply influenced by the German Weimar Constitution, paid more attention to social rights than liberty and democratic rights in terms of the fundamental rights. The charters on state affairs drawn up by him made little description on liberty. Even though he sang much praise of the provision for direct democracy in the German Weimar Constitution, he also gave little description for direct democracy in the constitution with his own efforts, compared with Li Jiannong, who received influences by the UK &US constitutions and attached great importance to the emerging social rights after WWⅠbut paid more attention to substantial protection for liberty and the accomplishment of the direct democracy. Li Jiannong was in charge of the drafting work for the provincial charter of Hunan Province, who had made specifications for liberty and the direct democracy, which was second to none in constitutions in the 1920s. Furthermore, the purpose of Li Jiannong, who advocated direct democracy, was to properly protect the liberty, which showed the liberalism taste of Li-style constitution.The constitutionalism campaign in the earlier 1920s fundamentally achieved the synchronicity with the development of the global constitution, and took into consideration the situation of the government and the citizens of China. Therefore, in terms of the standard level of the text, the constitution has reached to a peak in China’s constitution history.However, with the establishment of the Nanjing National Government, the Kuomintang cut the history of over ten years, superseded the Beijing central government in revolutionary mode to constitute party and form a country. Afterward, the party governance replaced the legal governance, which signifies that the Republic of China entered the party-governance system. Besides, China’s constitutional undertakings are refrained by the political situation and had to undergo a new“nirvana”.Sun Yatsen advocates the civil rights and people’s lives, criticizes individual freedom and equality and attaches great importance to the freedom and equality of groups and the state. During the political tutelage stage, the so-called“civil rights”by Sun Yatsen includes the election, dismissal, system establishment and referendum, that is, the citizenship in the constitution theories, which had been exercised by Kuomintang. The party governance replaced the constitution governance, which can not live up to the general intellectuals’ expectation although it is past. In this way, The academy circle, which represented by Hu Shi, although acquiesced in Kuomintang’s political tutelage, could not help appealing strongly "formulating provisional constitution to entrench the legal foundation”on the pretext of ensuring people’s rights and freedom.The appeal for working out provisional constitution came not only from the academy circle, but also from the political opponents of Kuomintang against Chiang Kai-shek, who aimed to achieve the anti-Chiang purpose; their works“Taiyuan provisional constitution”firstly regulated that“no exerting limits by law”and decisively abolished other possible opportunities for constitutions that imposed limits on liberty except constitution and the martial law, which can be rated as a revolution in the history of the concepts for Chinese liberty and constitution protection history and acknowledgement for the innateness of liberty to some extent.After the September 18th Incidence (1931), the cry for“drawing an end to the political tutelage and carrying out constitutionalism”was growing. Under this pressure, the Kuomintang began to make discussions about the issue of launching constitutionalism. From the WuWu charter to the Qicheng charter, 1947 Constitution, either for the further clarification and improvement for the human body right, or the fresh increase of living rights and or crucial establishment of guarantee“no exerting limits by law”by constitution, and evolution of provisions for the democratic rights and social rights and so on, which all have collected the wisdom and energy of all democratic party.Renowned as“father of the constitution of the Republic of China”, Zhang Junmai achieved the edition of Lectures on democratic constitution of the Republic of China during his attendance for the political consultative conference in 1947, which dealt with the instructions for all the draft clauses of the Qicheng Charter as the manuscript of the conference. Zhang Junmai put it this way: the main purpose of this sketch is to reconcile the fundamental principle of the Constitution on five rights and Constitutions of the democratic countries. Zhang Junmai stressed this just because he realized that there are many contradictions between the Constitution on five rights and Constitutions of the democratic countries. Mr. Sun Yat-sen is the founding father of the Republic of China, so the gist of this constitution must be respected. And the fundamental gist of the constitution of democratic countries, including“people have the right to supervise the government”, and“the government is responsible for the parliament”are commonly used by these countries and we should make independent efforts in this constitution work and can not completely use borrowed products. Therefore, Zhang Junmai had made great efforts to achieve this, who was ambitious for the constitutionalism undertakings during his early years. Not only did he participate in the Political and News Agency of the late Qing Dynasty, but he also got in charge of the drafting work of the Charter on state affairs in the 1920s. After the 1930s, he mobilized the Chinese State Social Party, Chinese Democratic Political Alliance, and Chinese Democratic Alliance to participate in the formulation work of the Qicheng Charter, Charters on the Political Consultative Conference and the 1947 Constitution in the name of the directors of the democratic parties. Compared with the constitution symbolizes the will of the emperor, the constitution focused on the interests and rights of the people, and this concept he holds becomes wise thoughts, which really pointed the direction for China’s constitutionalism undertakings in the future.While the 1946 Constitution focusing on the interests and rights of the people did not deny the fact that the emergency and calamities, social order and public interests exert limits on rights, the sentence“no exerting limits by law”was highly stressed, which indicated the innateness and priority that the people’s rights to the laws. Faced with the question that what the purposes of the establishment of states become, Zhang Junmai replied frankly: firstly, states are set up for subsistence of the people; secondly, the state runs to guarantee the people’s freedom. This answer, however, could be considered as the best footnote for the sentence“no exerting limits by law”. Zhang Junmai endured the severe critics by the public opinions and the humiliation by the“Democratic Alliance”to recede to help draft the 1947 Constitution. Although this constitution had undergone the long-term close by the“Provisional clauses on the mobilization in the event of war or turbulence”, it could eventually become known and popular among the people, on which the political foundation of Taiwan Province are still built, and which can be called as the final victory of the constitution focusing on the interests and rights of the people.更多还原