【作者】 李海新；

【导师】 虞崇胜；

【作者基本信息】 武汉大学 ， 政治学理论， 2011， 博士

【摘要】 本文题为“公民表达权及其保障研究”,在研究的缘起上,本文围绕着一个核心问题：什么样的人才是真正意义上的人?针对这个核心问题,本文从政治学的视角,从权利和权利保障的层面出发,通过探讨公民表达权的概念、内涵、特性和属性,公民表达权的价值,公民表达权的保障和限制,最终得出结论：具有表达权并且能够自由表达的公民才是真正意义上的人。具体的研究进路是在理论上解释公民表达权的概念,分析公民表达权的内涵和外延,阐释公民表达权的特性和属性,梳理公民表达权的具体价值和功能,探讨公民表达权的保障和限制,从历史的角度归纳公民表达权在中国的发展历程并做了阶段性分析,在现实中关照中国的公民表达权保障的现状、存在的问题,提出构建具有中国特色的公民表达权保障体系的具体建议。在公民表达权这个概念提出之前,国外对表达自由的研究比较深入,成果也比较多。关于表达自由的基础理论是自由主义理论。这一理论的代表人物和代表作有：约翰·斯图亚特·密尔(John Stuart Mill)的《论自由》；约翰·弥尔顿(John Milton)的《论出版自由》；托马斯·杰斐逊在《独立宣言》中提出表达自由的作用和监督政府的功能。当然,其他的政治思想家如洛克、孟德斯鸠、培根和斯宾诺莎等人的学说和观点,对表达自由的自由主义理论学说给予了突出的贡献。表达自由的理论以自由主义理论为基础,不断进行修正和发展,形成了综合价值目的理论和自我统治理论或根本价值理论。综合价值目的理论的提出者是美国耶鲁大学教授托马斯·I.埃默森(ThomasⅠ. Emerson);自我统治理论或根本价值理论的代表人物为美国学者亚历山大·米克尔约翰(Alexander Meikleljohn)。他在1948年出版了《表达自由的法律限度》(Free Speech and Its Relation to Self Government)。国外其他关于表达自由理论还有社会稳定理论、保障信息流通理论、自由理论、民主的法制条件理论、第四权利理论等关于表达自由方面的理论。而国内学者关于表达自由方面的理论有：侯健、甄树青和王锋等学者对表达自由的功能和价值的解读。其他学者如孙力的社会和谐价值理论,郭道晖、姚剑文等人的民主政治功能理论。无论是国外学者还是国内的学者,观点基本上是大同小异,都是从自由的角度,对表达自由的功能和价值加以综合分析。公民表达权这个概念提出以后,应当提出区别于表达自由研究的理论分析框架。权利与自由是有区别的,公民表达权与表达自由在概念、内涵和外延等方面是大相径庭的,有必要从政治学的角度,从权利和权利保障的层面出发,建构公民表达权研究的理论分析框架。进行公民表达权研究,首先,具有重要的学术价值和理论意义。从权利和权利保障这一全新的角度对公民表达权进行分析和研究,科学界定公民表达权这一核心概念,进一步明确公民表达权的内涵和外延,充分论证公民表达权保障及限制的理论依据,从历史的角度对公民表达权在中国的实践进行阶段性分析研究,从而有助于弥补国内同类研究的缺陷和空白。其次,具有重要的现实意义。对公民表达权进行研究,提出缓和社会矛盾和冲突、进行科学决策的体制和机制,对社会主义和谐社会建设有着重要的现实意义。从权利的视角对公民表达权的内涵、外延、特性和属性进行界定和分析。简单地说,公民表达权作为公民的基本权利之一,它是公民依法享有的借助各种方式表达自己意志而不受他人干涉的权利。从广义上说,公民表达权贯穿于民主运行的全过程,不仅包括民主选举过程中的选举权这一公民政治意愿的表达,民主决策和民主管理过程中公民的言论、出版、集会、结社、游行、示威等表达自由权,还包括民主监督过程中的公民的批评权、建议权、控告权、检举权、申述权等监督公权力保障私权利不受侵害的监督权利。从表达权的存在形态角度加以区分,表达权可分为应有表达权、法定表达权和现实表达权三种存在形态。表达权发展的趋势应当表现为从应有表达权向法定表达权以及由法定表达权向现实表达权的转化。根据公民表达权的性质,可分为作为个人权利的公民表达权、作为政治权利的公民表达权和作为社会权利的公民表达权。马克思主义认为,没有无义务的权利,也没有无权利的义务。作为公民的一项基本权利,公民表达权的首要属性是其相对性；由于人是天生的政治动物,政治规定了人的本质。人的本质体现在现实性上,是一切社会关系的总和。由此可见,公民表达权有着政治性和社会性；在阶级社会中,表达权是具有不同阶级特性的政治权利,可见,公民表达权具有阶级性；另外,公民表达权还有法定性和广泛性等特性。对公民表达权的属性进行分析,可以得出如下结论：公民表达权是最基本的人权；它具有广义的政治自由权利属性,但不是政治自由权利的核心；具有广义的精神自由权属性,但属于外在的精神自由；它是通过法律制度规定或确认的权利,当然具有法定权利属性。作一个真正意义上的人,表达权是必不可少的要件。表达权作为公民的一项基本权利,具有其他权利无法替代的价值和功能。这主要体现在：(1)它是基本人权的核心。表达权是人所固有的,不可剥夺的,不可转让的权利,具有固有性、排他性和母体性的特点,有利于个体的自我实现,攸关个人的尊严。(2)它是民主政治的基石。它是政治合法性的根源,有利于达致共识和防止多数人的暴政；它是政府权力的来源和政府的目的,是监督国家权力的当然要求。(3)它是文化繁荣的动力。它为文化的繁荣提供了良好的社会氛围、渠道和后盾,推动了整个社会乃至人类文明的发展和进步。(4)它是社会和谐的缓冲器。它可以化解利益矛盾、协调利益关系,为构建和谐社会创造公平正义的社会环境。(5)它是科学决策的要件。它有助于建构真正反映社情民意的公共政策,促进民主科学决策的实现。一个真正意义上的人,必须是能够自由表达的人。能否自由表达,关键在于处理好公民的表达权这一私权利与政府公权力之间的张力。从内容上看,公民表达权分为积极的表达权和消极的表达权。消极的表达权在行使时,体现为不受其他组织或个人的非法干涉和侵犯；积极的表达权在行使时,表现为要求其他人或组织,特别是政府给予支持和提供保障。一个公民能不能自由表达,法治社会是前提条件。1959年国际法学家大会通过的《德里宣言》,对法治的定义为,法治不仅被用来保障和促进公民个人的民事和政治的权利,而且能够创造社会的、经济的、教育的和文化的条件,使个人的合法愿望和尊严在这样的条件下实现。法治原则分为形式正义的法治原则、合法性法治原则和全面正义的合法性原则,这些是保障公民权利的一般性的规定。联系到公民表达权的这一特殊权利,加之各国宪法学界和审判实践,保障公民的表达权,必须遵循的法治原则为：禁止事先约束原则、自由优先原则、明显而即刻的危险的原则、明确性原则、内容中立原则、救济原则,还有公职人员、公众人物隐私权适当减损原则,较少限制手段原则,双重基准原则((对限制政治自由和精神自由以及限制经济自由的法律进行合宪性审查时,采取不同的标准)、绝对保护主义原则(绝对保护主义分言论绝对保护主义、自治言论绝对保护主义和应受保护言论绝对保护主义等)等原则。制度问题带有根本性、全局性、稳定性和长期性。为了保障公民能够自由表达,必须从制度上建构公民表达权保障体系。(1)法律制度保障。这有两个方面的要求：一方面在公民表达权未受侵犯或破坏之前就有保障公民表达权的已经存在的立宪和立法制度；另一方面在公民表达权受侵犯、破坏之后而存在的权利救济,目的是使受到侵害的原权利得到恢复或补偿,这一过程同时也是由于原权利受到侵犯而产生的补救权利的实现过程。(2)政治制度保障。即建立能够保障公民表达权实现的政治机制。(3)社会经济保障。即建立能够保障公民表达权实现的社会经济机制。(4)思想文化保障。即建立保障公民权利实现的思想观念,普及和提高公民的表达权利意识,不断发展公民表达权利的功能；国家促进教育事业和科学事业的发展,促进医疗卫生事业的发展,开展群众性的文化活动来保障公民表达权的实现。绝对的权利是不存在的。对权力的适度限制是对权利的最好保护。权利的相对性决定了要对公民表达权进行适度的限制。对表达权进行适度的限制是在政府的公权力和公民表达权这一私权利之间的张力进行适度的平衡；表达权主体在行使时不能超越法律规定的界限,否则将带来不利的后果,危及他人合法权益和社会公益；公权力对表达权的限制也不能超越法律的界限,渗透到公民自治的领域,这将带来权力压迫权利的暴政。在长达数千年的中国君主专制时期,根本没有现代法学意义上的权利概念,作为基本权利之一的公民表达权更无从谈起。可以说,整个封建专制时期的历史,就是一部表达不自由的历史。新中国成立后,我国公民表达权保障先后经历了初步展开阶段、遭受挫折和严重倒退阶段、初步恢复并逐渐走向成熟阶段。当然,现实中还存在着诸如相关法律缺位、违宪审查机制的缺失和公民表达权利意识淡薄等问题。我国是社会主义国家。社会主义民主政治的本质和核心,或者说社会主义制度的本质特征和根本优势,是发展广大人民群众普遍参与国家和社会事务的民主政治的实践,保障广大人民群众享有各项民主权利,真正实现人民当家作主。构建具有中国特色的公民表达权保障体系,一要健全并完善保障公民表达权的制度体系,二要培育和完善保障公民表达权的公民社会；三要不断增强公民表达权利意识。总结全文,继而得出结论,也是对本文核心问题的回答：一个具有表达权并且能够自由表达的人才是真正意义上的人。做一个真正意义上的人,虽然需要很长的路要走,但这是历史的必然。更多还原

【Abstract】 This paper is entitled "the study on the citizen’s expression right and its security ".The origin of the research, this paper encircles a core question: what kind of person is the true man? This paper, from politics perspective, from rights and right guarantee on the level, through discussing the concept, the meaning, the characteristics attributes and the value of citizen’s expression right, guarantee and restrictions of the citizen’s expression right, eventually draw a conclusion: a real person is the man who has expression right and be able to express freely. Specific road to research is in explaining the concept of citizen’s expression right, analyzes connotation and denotation of citizen’s expression right, explains its characteristics and attribute. This paper discusses the specific value, function, guarantee and restrictions of the citizen’s expression right. From a historical perspective, inductive the development course of the citizen’s expression right in China, analysis three phases. As a matter of fact, the situation and existing problems of Chinese citizen’s expression right shall be analyzed. This paper puts forward recommendations on how to construct the specialized Chinese security system.Before the concept of citizen’s expression right given up, scholars overseas have studied the freedom of expression for a long time, and gained a great deal of research results. Firstly is liberalism theory. British philosopher, political thinker, John Stuart Mill in 1859 published on liberty. In his book about freedom of speech, he has demonstrated the value of free speech. Mill not only comprehensively demonstrates the necessity of human spirit and its enormous contribution to human civilization, also attacked the harm of religion, secular autocratic system to human mental activity systems. British political essayist, poet, John Milton published the freedom of the press in 1644. He firstly proposed the freedom of the press, which fought against the feudal censorship system. In addition, American prominent politicians and democratic thinker, the third President Thomas Jefferson believes, freedom of speech, of the press, of the religious belief is the people’s inalienable rights. Freedom of expression is the only path to truth. The government is established by people, which must be supervised by people. Only through freedom of expression can people supervise the government.Of course, other political thinkers such as Locke, Montesquieu, Bacon and Spinoza etc. whose theory and views on freedom of expression gave prominent contribution to liberalism theory. Secondly, in the last century, the federal Supreme Court justice Holmes commented free market concept, and for the first time in the world put free market theory to opinion judicial operation. In 1919, the lawsuit of Abrams case, Holmes said: "the free exchange of opinion is able to reach the final good result people expected... ...the best test of truth is a kind of thought in market competition"The theory of freedom of expression, which based on liberal theory continuously revised and developed, formed the comprehensive value objective theory and self rule theory or fundamental value theory. Comprehensive value objective theory was given by professor Thomas I Emerson. He thought, the function of freedom of expression is to guarantee personal self fulfillment, promote knowledge, discover truth, ensure all social members to participate in the decision and built "an adaptive stronger and more stable society". Emerson’s theory was found in favor of by the most scholars in Europe and Japan later; Self rule theory was given by American scholar, Alexander MeikelJohn. In 1948, he published Free Speech and Its Relation to Self Government.Domestic scholars such as Houjian, Zhenshuqiing, Wangfeng put forward their opinion about the value of freedom expression. Other domestic scholars such as SunLi, who gave up the theory of he value of social harmonious, Guodaohui, YaoJianwen etc. who gave up Democratic political function theory.Whether foreign scholars or domestic scholars, the viewpoint they give up is basically the same, both from the same angle of freedom of expression.After the concept of Citizen’s expression right was put forward, we shall give up different research framework to study. It is different between the rights and freedom from the concept, the connotation to the extension. It is necessary to build the analysis framework for the citizen’s expression right from the perspectives of political science, which based on the level of right and its security.The study of citizen’s expression right, first of all, has important academic value and theoretical significance. It helps to compensate for similar domestic research defects and blank, which studied from a whole new angle of right and its security, its scientifically definition, the connotation and the denotation of this core concepts, the theoretical basis of the safeguard and restrictions. Secondly, it has the important practical significance to alleviate social contradiction and conflict, to construct the harmonious society.Its connotation, extension, characteristics and attribute is defined and analyzed from the angel of right. Say simply, as one of the basic citizen’s rights, the citizen have the right to express themselves through various ways and non- interference by others. Say from broad sense, citizen’s expression right is throughout the whole process of the operation of democracy, including not only the right to vote, to speech, to press, to assembly, and to demonstrate, but also the right to supervise, to suggest, and to accuse. From the Angle of the existing state, it can be divided into should-be right, the legal right and realistic right. According to its property, citizen’s expression right can be divided as individual right, as political right, and as social right.Marxism believes that right is relatively to obligation. As a citizen’s fundamental right, citizen’s expression right is the relatively primary right. Because people are born as a political animal, political life is the essence of human beings. The essence of man reflected in reality, is the sum of all social relations. Thus, citizen’s expression right has the political, social, classical, legal character. In addition, it has the legal and extensive characteristics. We can draw a conclusion that: citizen expression right is the most basic human right. It possesses broad political liberties properties, but not the core of political rights. It possesses broad spirit liberty properties, but belongs to external spirit freedom. As the legal regulations or confirmation of rights, of course, it has the legal right attributes.As a real sense of man, citizen’s expression right is an indispensable requirement. As a citizen’s basic right, it has irreplaceable value and function. This is mainly embodied in such aspects. Firstly it is the core of basic human rights. Secondly, it is the cornerstone of democratic politics. Thirdly it is the power of cultural prosperity. Fourthly, it is social harmonious buffers. Fifthly, it is the elements of scientific decision-making. It helps to construct public opinion really reflecting the public policy and to promote the realization of democracy and science decision-making. A real sense man must be able to of express freely. The key to express freely lies in whether the tension between public power and private right can be rightly dealt with. From the angel of the content, citizen’s expression right is divided into positive and negative right. In exercising their right to express, the negative one embodied in non-interference from other organizations or individuals, the positive one should be given the government support and security.A society ruled by law is the prerequisite to the citizen’s expression right. The rule of law is divided into formal, the validity and comprehensive legitimacy principle of justice, which are general provisions to protect citizens’ rights. We must follow the principles such as prohibition prior restraint test, the priority test, clear and present danger test, clarity test, neutral contents test, relief test, less restrictive test, double standards test.System have characters of radical, global, stability and long-term. In order to guarantee citizens expression right, security system must be constructed. Firstly is the legal system. There are two requirements. On the one hand, the constitutional and legislative system must be existed before the citizen’s expression right be assaulted or destroyed. On the other hand it should be relieved after it has been assaulted. Secondly is political system security. Thirdly is social economic security. Fourthly is the culture security.The absolute right is not existed. The moderate restriction to power is the best measure to protect citizen’s expression right. The relativity character of the right decides it to be appropriately restricted. The appropriate restriction means the balance of the tension between the private rights and the government’s public power. In exercising their expression right the subject cannot transcend boundaries of the law, otherwise will bring adverse consequences. Public power to limit the citizen’s expression right also cannot beyond the legal boundaries of the law, otherwise will bring tyranny.In the thousands of years of Chinese monarchy period, there is no modern legal sense of right. We can say, the history of feudal autocratic period is a history of non-freedom of expression. After the founding of P.R.C, citizen’s expression right security has undergone preliminary spread stage, suffer setbacks and serious setback stage, preliminary restore and gradually mature stage. Of course, it really still exist such issues as the vacancy of related law, the flaw of constitutional reviewing system and the dim consciousness to express.China is a socialist country. The essence of socialist democracy and core, or the essential characteristics of socialist system and the ultimate advantages, is the development of the universal participation of state and social affairs, to ensure the people to enjoy various democratic rights, truly to realize people are the masters of the country. Constructing the security system with Chinese characteristics, firstly, a security system to improve and perfect the citizen’s expression right should be given. Secondly, a civil society to improve citizen’s expression right must be cultivated. Thirdly, the citizen’s consciousness to express ought to be enhanced unceasingly.Summing up, then we can draw the conclusion, at the same time which is the answer for this core problem: A true sense man is the man who has the right of expression and be able to express freely. Being a true man, although need a long way to go, but this is historically inevitable.更多还原