【作者】 孙耀霖；

【导师】 文正邦；

【作者基本信息】 西南政法大学 ， 法学理论， 2012， 博士

【摘要】 立法是法治社会的头等大事。立法结果为法治社会提供治理规则；立法过程保证立法结果的正当性、合宪性，保证法律质量，提高法律实效。立法观念、思想、制度、机制、行为等任何一个方面、一个环节一旦偏离了民主、科学和宪政，即使立法者怀揣制定“良法”的美好愿望、为民请命般地追求立法质量，也难以保证立法的人民性和科学性，也很有可能“创造”出“恶法”或“劣法”。没有“良法”的社会，必将是一时有序而积存隐患的社会，必将是损害人民民主制度和公民利益的社会。公民是社会的主人，当然拥有立法权力。在人民民主国家，无论是从政治主张上，还是从国家基本制度上、宪法规定上，公民不仅仅是整体意义上的国家主人和立法主体，更是个体意义上的国家主人和立法主体，公民绝对不是抽象意义上的国家主人和立法主体。没有公民立法，法律既没有正当性可言，又违背民主制度要求，还造成法律脱离社会生活、远离公民利益、背离具体的立法目的，成为完全由立法机关掌控的国家行为。公民是立法权力的所有者，但在现代社会治理中，公民直接行使立法权力显然无法实现。依据社会治理实践需要和宪法规定，公民把立法权力委托给专门从事立法活动的国家权力机关，由民选的立法代表集体行使立法权力。虽然专门的立法机关掌握了立法行使权，但公民的立法主体地位没有发生变化，公民时刻监督立法机关的立法行为。在国家主导立法的体制下，公民立法与国家立法应当和谐统一。在“有权立法”——立法机关立法的体制下，公民主导立法与国家主导立法的最佳融合，犹如物理学中的寻求合力，是完全可能之事。最大限度地激发公民表达立法意愿，立法机关把公民立法表达充分集中、恰当抽象，发现公益和公意，设计法律规范，保护公民利益；公民通过具体的立法表达行使立法权力，反映公共利益和个人利益，要求立法机关启动立法程序，要求立法机关公开全面的、具体的立法信息和立法过程，监督立法机关的立法行为；公民所具有的立法所有权、立法表达权、立法监督权与立法机关的立法审议权、立法表决权、立法决策权密切结合，将使人民代表大会制度更加牢不可破，将使公民立法权变为现实，将弥补立法代表的能力缺陷，使立法制度、执政党、立法机关所追求的民主立法、科学立法真正得以实现。实现公民立法表达权，必须相应地树立公民乃立法主体的观念，立法机关乃公民立法匠的观念。国家应当在此立法观念指导下，转变立法模式，以法治的方式保障公民有充分的立法表达机会、条件、渠道、方式，并保障公民立法表达权得以实现，立法表达内容在法律中得以体现。我国公民立法表达权利保障制度尚不完善，在理论上、实践中、观念里，公民立法权利的行使方式极少有或不会有抗议、示威、不服从、全民公决等【表达方式】，唯有最符合社会稳定需要、最可能实现“有序”表达的是书面语言或口头话语形式的公民立法表达。公民立法表达将长期是我国民主立法的基本形式、人民代表机关立法的基石、公民参与立法的实质、法律规范的根源和沃土。公民立法表达权利意识的唤醒、行为的激起、效果的实现必将推进公民意识的完善和增强，必将推进立法体制的改革和立法质量的提高，必将推动与立法相关的诸如立法代表制度完善、公民政治和社会生活方式的改变。《立法表达权研究》分上、下两篇八章，主要以法社会学和实证研究方法从实践到理论，再到制度设计渐次展开研究。相对而言，上篇理论性较强，下篇实践性较强且设计了立法表达权实现的制度和机制；引言部分虽然没有独立成章，但简要地介绍了研究背景和相关研究现状，明确了研究起点和前提，实际上起到了限定研究范围的作用。第一章研究的是立法表达权的宪政基础、理论基础，即表达自由。综述、分析了表达自由的概念。在立法这一实践性极强的法理学范畴里，下定义的意义不但在于概念的精确程度，而且在于把基于此而提出的原则、理论加以展开和应用；事实上，在理论研究和表达实践中至今没有唯一确定的表达自由概念，不但是因为研究难度所致，而且恰恰是制度设计者、实践者、研究者的聪明所在，更是社会开放性实践的需要。研究中外表达自由的行使方式，透析表达自由的价值，以期引起对表达自由的深度认识，指导公民立法表达权研究和实践。第二章提出了立法表达权概念，并对它下了定义。立法表达权是指公民享有的受法律保护的，通过各种渠道、运用各种媒介手段与方式，将自己的立法思想、主张、愿望和意见公开表达给立法机关和社会，并要求立法机关把自己的立法意愿体现在立法过程和立法结果中的权利。我国公民立法表达权行使的方式主要是言语表达。把握立法表达权的特征，了解立法表达权的构成，掌握立法表达权的价值，区别立法表达权与表达自由的不同，既有助于民主立法研究，也能够促使公民立法权力得以实现。通过公民与立法机关之间、公民之间的讨论和立法机关的审议，集中公民意志，完善代议制立法缺陷，阻止行政部门利益法律化，提高立法质量，制定“良法”。第三章认为公民立法表达权行使应坚持必要的基本原则，如坚持我国立法的根本制度，即人民代表大会制度，坚持立法权力属于人民这一本质，实行民主立法，鼓励并保障公民行使立法表达权，对公民立法表达免于责任追究。同时，法律要对立法表达权主体实行平等保护，保障公民行使立法表达权的各种渠道和方式，最大限度地扩大公民立法表达权利范围，必要时才可依据宪法制定法律对立法表达权加以限制。第四章对公民立法表达存在问题从观念与理论、制度与机制、环境与效果三个方面进行了实证分析，以期在理论研究和立法实践中加以解决。在我国立法表达权研究、立法观念和实践中，极少把公民作为立法主体，更多地把公民立法表达作为“有权立法”的辅助方式，公民被动表达立法意愿，甚至仅仅是为了增加点立法中的民主色彩。没有专门的保障公民立法表达权的制度，国家与公民之间在立法中力量和作用不均衡，立法互动少；同时，公民意识欠缺，立法表达积极性不高。从第五章起，侧重研究立法表达权实现的制度构建。第五章着重分析了公民参与立法这一大家习以为常的行为的实质、国外公民参与立法的形式。与外国相比，我国立法实践中公民参与立法的形式不丰富。认真剖析公民参与立法的行为方式和行为内容，发现参与立法只是以言语的方式向立法机关表达立法意愿，其实质仍然是立法表达。而且，使用立法表达权概念要比使用参与立法概念更能揭示公民民主立法的实质，有助于转变立法观念，廓清研究方向，有效地推进民主立法，真正实现公民立法。第六章是关于公民行使立法表达权的研究。在以公民为立法主体的立法观念下，公民除了被动行使立法表达权外，还有权要求立法机关提供更多、更便捷的表达方式。虽然立法要求公民具备一定的立法表达条件，但是公民立法表达条件的优劣不影响公民立法权的行使。公民有权直接表达立法意愿，有权开展和参加立法辩论，有权申请立法论证，有权申请立法公开和立法救济。立法表达环境的优劣能够促进或阻碍公民立法表达权的实现程度，国家应当积极为公民立法表达营造良好的表达环境。第七章认为公民立法表达权利能否实现，根本上在于立法机关。立法机关应全方位公开立法信息和过程，实施立法宣传和教育，认真受理和处理公民立法表达信息，并实行立法表达权利救济制度，对受侵犯的立法表达权和立法表达内容未被采纳这两种情况实行国家救济。第八章为了保障立法表达权的行使，设计了立法表达自由制度、鼓励保障保护立法表达制度、依法及时有效处理立法表达信息制度、立法表达责任制度、立法表达奖励制度。特别是比较详细地设计了立法表达权的实现机制，设定了立法表达程序和立法表达信息处理步骤。结论部分通过回顾和总结，概要认为《立法表达权研究》的基本观点是：立法权力属于人民，公民是立法主体，不但在宪法上拥有立法权力，而且在现实生活中享有立法权力；立法表达权是一项基本的公民权利，通过行使立法表达权，展现立法意愿，实现立法表达权的价值；立法应更新观念，树立立法权力属于人民的观念、公民能够实现立法权力的观念、立法表达自由的观念等等，改进立法方式，促进立法表达权利充分实现，推动民主立法，提高立法质量。其中，提出立法表达权概念，并认为其基本理论基础是表达自由，揭示立法表达权的价值，重构立法制度并设计出立法表达信息处理的主要程序等应属创新之处。但由于认识能力有限，还存在理论依据不足、概括高度不够等问题。但无论如何，立法表达都将势不可挡，将成为具体立法的根本基础、公民政治生活的重要内容。立法表达权理论与立法表达实践的兴起，必将推动民主立法理论研究和实践，推动相关立法制度乃至政治生活方式的改革。更多还原

【Abstract】 Legislation is the issue of the prime importance in law-governance society. The legislative consequence provides the administrative rules of the law-governance society. Meanwhile, the legislative process will ensure the legitimacy and constitutionality of the legislative consequence in order to safeguard the high quality of the law and to improve the effectiveness of the law. If each aspect or link in the legislative ideology, thought, system, mechanism, act etc. deviates away from democracy, science and constitutionalism, the legislator, who is with the will of establishing good rules and regulations and the hope to pursue the quality of legislation as in the effort as pleading for the people, has difficulty in ensuring the affinity to the people and scientificity or they will enact the immoral or wicked rules and regulations. A society without sound laws will be a temporally ordered society yet actually full of potential risks and it will damage people’s democratic system and destroy the public’s interest.The citizens are the master of a society. They are surely to have the legislative power. In a people’s democratic country, no matter in the political perspective or the fundamental system of a nation and the stipulation of the constitution, citizens are not only the master the nation or the main body of the legislation in the overall sense, they are also the master of the nation and the main body of the legislation. The citizens are not the master of the nation and the main body of the legislation in abstract sense. Without the citizens’ participation in the process of legislation, law won’t convey the meaning of legitimacy, but it is also against the requirement of people’s democracy, which will make the law detach away from the social life, interest of the public and the specific legislative purpose and therefore becomes the act of a country utterly mastered by the legislative body. Citizen is the owner of the power of legislation. However, obviously it is hard for the citizen to directly realize their legislative right in the modern social administration. In accordance with the practice of social administration and the provisions of the constitution, citizens entrust the special legislative body of state power with the legislative power and the representatives of the electorates exercise the legislative power. Although the special legislature has the power of legislation, the dominant position in legislation of the citizens has not change and the citizens will strictly supervise the legislative action of the legislative body. In the state legislative oriented system, legislation by the citizen and the states should be in harmony and unity. Under the structure with legislative right, there exists the optimum combination of the citizen-oriented legislation and the state-oriented legislation, just like the resultant force in physics, which is absolutely possible. In order to stimulate the citizen’s will of legislation at the maximum degree, the legislative body will fully express the citizen’s legislative intent with proper abstract meaning to find the public’s interest and general will and design the legislative norms to protect the public’s interest. Through the specific expression on legislation, the citizens can exercise the legislative right, which reflects the public and individual interest. It requires the legislative body to initiate the legislative procedure and it demands the legislature to open the overall and specific legislative information and procedure in order to supervise the legislation of the legislative body. The citizens have the listed rights such as legislative ownership, expression right on legislation and legislative supervision right. The legislature has the power of legislative deliberation, legislative vote and legislative decision power. The aforesaid rights of the citizens and the legislative body are closely connected, which makes the people’s congress system to be more stable and makes the citizen legislative power to be realized. It can also remedy the deficiency of legislative representatives’ competence. It will truly realize the legislative system and the pursuit of ruling parry’s and legislature’s democratic and scientific legislation. The realization of citizen’s legislative expression right is the concept of the dominant legislator. The concept of the legislative body reflects the citizens’ wills on legislation. A state should change the legislative mode under the guidance of the aforesaid legislative concept in order to safeguard the citizens have enough legislative opportunities, conditions, sources and methods, and protect the realization of citizens’ expression on legislation in the rules and regulations.The system of expression on legislation in China is still not perfect in theory, practice and concept. The citizens’ legislative methods have less or no protestation, manifestation, rebellion and referendum. The only acceptable legislative expression of the citizens in written or verbal should be in accord with the stability of the society and realize the sequential expression in most probably. In long term the legislative expression of the citizen will be China’s fundamental democratic legislation forms, the cornerstone of representative organ of the people lawmaking, the essence of citizens’ participation of legislation, and the source and fertile soil of law norms.The citizens’ legislative awareness in waking, legislative action in stimulation, and realization of legislative consequence will boost the completion and the strengthening of the citizens’ concept, will advance the legislative reform and improve legislative quality, will carry forward the activities concerning with legislation such as the improvement of legislative system and the change of citizens’ political and social life style.This dissertation, named Study on the right of Expression on Legislation, is composed of2parts with9chapters. It mainly adopts the research approaches of legal sociology and empirical study, which takes on the studies from practice to theory and then to systemic design. Relatively speaking, the first part concerns more on the theory and the second part concerns more on the practice which designs the expression system and mechanism on legislation. The introduction, without separated in one chapter, briefly introduces the study background and relevant research situation, and explicitly defines the research starting point and premise, which sketches out the clear research scope.In Chapter1, it studies the constitutional and theoretical foundation of legislative expression, which is the freedom of expression. It summarizes and analyses the concept of free expression. In legislation, which stresses most on practice in the scope of legal field, the meaning of given definition does not only on defining the precise concept, but also it is for the expansion and application of the principles and theories on this concept. In fact, there is no definite concept to express the meaning of free expression in theatrical and practical researches at home and abroad. This problem is not due to the difficulty in research, but it is also the wisdom of the practitioners and researchers. Furthermore, it is also the practical needs of the social openness. In this chapter, it focuses on the execution of freedom expression, analyses the value of freedom in detail in order to express the deep understanding of freedom and to guide the citizens’ legislative expression in theory and practice.Chapter2proposes and also defines the concept of expression on legislation. Expression on legislation refers to the right that the citizens enjoy the protection of the laws and the convey their legislative ideologies, opinions, wills and suggestions to the legislative body and society through various sources, media and methods and it also requires the legislative body to reflect the citizens’ legislative will and intend in the legislative procedure and consequence. In China, the citizens’ main legislative expression is in verbal. The grasp of legislative expression’s character, understanding the composition of legislative expression, grasp the value of legislative expression, distinguishing the differences between legislative expression and free expression will assist the study of legislative democracy as well as to promote the realization of citizens’ legislative right. Through the discussion between the citizens and the legislature, the discussion among citizens, and the deliberation of the legislative body, it can gather the citizens’ opinions, perfect the defects of the legislation, persist the administrative departments to make their interest legally and improve the quality of the legislation in order to enact conscience laws.In chapter3, it holds that the citizens’ expression on legislation should adhere to the fundamental principles. For example, the adherence of people’s congress system which is China’s fundamental legislative system, is to insist on the essence of the legislative power belonging to the people, to execute the democratic legislation in order to encourage and safeguard people’s expression right on legislation with the disclaimer accordingly. Meanwhile, the law should equally protect the expression on legislation; safeguard the citizens’ expression on legislation in various sources and methods in order to expand the scope of citizens’ expression on legislation. It is in necessity to limit the expression on legislation through lawmaking(by law) in accordance with the constitution.Chapter4depicts the existing problems in expression on legislation in three aspects through empirical analysis, i.e. ideology and theory, system and mechanism, environment and effect, so as to solve the problems above in theoretical researches and legislative practice. In the research of China’s expression on legislation, legislative idea and practice, most of the researchers take the expression on legislation as the assisted method rather than the legislative body. The citizens express their legislative will in passive way. Furthermore, it is only to add more democratic color in the legislation. Without the special system to safeguard expression on legislation, there will not be equal between the states and the citizens in the legislative force and function, with less interaction. Meanwhile, the citizens are insufficient of citizen awareness and are not positive in the activities of expression on legislation.From Chapter5this dissertation pays more attention to the construction of realization system of the right of expression on legislation. In Chapter5, it focuses on the analysis of the essence of China citizens’ participation in legislation and the participation form of the foreign citizens’legislation. In comparison with the foreign countries, the forms of citizens’ legislation participation in China’s legislation are not in variety. After the careful analysis on the method and content of citizens’ participation in legislation, it finds that the participation is only in the verbal form to express their legislative will to the legislature, which is expression on legislation in essence. The usage of the concept of expression on legislation can more clearly expose the essence of citizens legislative expression than the concept legislative participation. In this way it is helpful to convert the legislative idea, clarify the research field, effectively promote the democratic legislation and truly realize the citizens’ right to legislation.In Chapter6, it concerns the study of the execution of citizens’ right to expression on legislation. In the ideology taking the citizens as the legislative subject, the citizens are entitled to require the state legislature to provide more information in a more convenient way, besides passively to accept the expressions on legislation. Though the legislation requires the citizens to have certain conditions of expression on legislation, the advantages and disadvantages of the conditions of citizens’ expression on legislation won’t impact the citizens’ execution of legislative right. The citizens are entitled to directly express their legislative will, debate and participate in the legislative discussion, apply for the legislative evidence, apply for legislative publicity and legislative remedies. The quality of the environment of expression on legislation, sound or bad, will promote or hinder the realization degree of citizen’s legislative expression. Therefore, the state should actively construct the good environment of legislative expression for the citizens.In Chapter7, the realization of citizens’ right to legislative expression fundamentally depends on the legislative body. The legislature should publicize the legislative information and procedures in all round way, execute the legislative publicity and education, carefully deal with and process the information on legislative expression delivered by citizens, and exercise the remedy system of expression on legislation in order to use the national remedy for the infringement of legislative expression right and unadopted legislative expression content.In Chapter8, with the purpose to safeguard the execution of expression on legislation, it designs the system of freedom, encourages and protection, administrate in accordance with laws in time, liability, reward of legislative expression. It is especially designs the mechanism to realize the right of legislative expressions in details, make the procedure of expression on legislation and information process steps of legislative expression.The last part draws the conclusion of the whole dissertation through the review and summary. It mainly summarizes the basic viewpoints that legislative power belong to people and the citizens are the legislative subject. The citizens do not only have the legislative power in the constitution, but also enjoy the legislation power in the real life. Expression on legislation is the fundamental right of citizens. Through the legislative expression, it can present the legislative will and realize the value of legislative expression. The legislation should update its concept, establish the concepts, such as the legislative power belonging to the people, citizens’can execution of the legislation, freedom of expression on legislation, etc., improve the legislative methods, facilitate the full realization of the legislative right in order to motivate the democratic legislation and the quality of legislation. Among the aforesaid, it proposes the expression on legislation and possesses the concept that the theoretical foundation is the freedom of expression. It also exposes the value of legislative expression, and reconstruct the legislative system and design the procedures to realization of legislative expression, which are the innovation points of this dissertation. However, due to the limitation in cognition, there are still some problems existed in this dissertation, such as insufficient theoretical basis and inadequacy of summaries. No matter what happens, the impetus of expression on legislation can not be impeded irresistibly. The legislative expression will become the fundamental basis for detailed legislation and an important part of citizens’ political life. The rising of expression on legislation in theory and practice will promote the study of democratic legislation in theory and practice and motivate the relevant legislative system even to the reform of political life style.更多还原