学位级别：法学硕士
论文提交时间：2003年5月
论文答辩日期：2003年5月
论文中文题名：权利存在形态的伦理分析
论文英文题名：An Ethical Analysis of the Existing Forms of Rights
作    者：刘雪斌
所在单位：吉林大学法学院
指导教师：张文显教授
所在单位：吉林大学法学院
分类标识：DF0-053
中文主题标识：权利存在形态 义务论  伦理分析
英文主题标识Existing forms of rights  Deontology of ethnics        Ethical analysis
总页数：73页

中文摘要:
权利的产生、存在和发展需要具有经济、政治和伦理等基础，没有这些基础的权利是很难获得法律和人民的认同的，当然也更谈不上什么满足权利主体的要求的问题。本文在历史唯物主义基础上，基于给人们提供一个真正能够从内心道德感出发行使和享有权利的需要，从伦理学角度对于权利存在形态进行了分析，以说明每一种权利存在形态（以每一种形态存在的权利）都有其道德价值和伦理基础，都可以从伦理学的角度加以论证。
本文共分为五部分。
第一部分，权利的伦理分析概述。在这一部分笔者论述了本文权利伦理分析的含义、权利的存在形态和伦理学的“义务论”,即本文的研究主题、研究对象和研究方法。首先，本文的研究目的就是通过对于权利进行伦理分析说明权利的道德价值和伦理基础以给权利主体提供一个行使权利和享有权利的内在的道德理由，使权利能够最大限度的满足权利主体和国家法律的需要。其次，根据本文的研究主题和目的，我把应有权利、法定权利和现实权利这三种权利存在形态作为研究对象来分析权利的道德价值和伦理基础。选择这一研究对象的原因在于权利的应有权利、法定权利和现实权利这三种权利存在形态，构成了从权利产生到权利实现的一个完整的链条，能够最大限度地体现和说明权利的道德价值和伦理基础，这是其他可供研究的权利内容不能比拟的。再次，本文采用的伦理理论即温和的义务论认为任何一个行为或者要求如果要有道德价值和伦理基础必须满足下面两个伦理原则：第一，尊重原则。这个原则指“人是不仅是手段更应该被尊重为目的”。这一原则是对于人的价值和自由的最大的承认和尊重，是人能够作为人而存在的起点。在本文简称为“尊重原则”。权利就应该符合并体现这一原则。第二，效果原则。它是说，在“尊重原则”已经获得了尊重和贯彻的前提下，需要进一步去分析行为如何才能给主体带来最大的利益，实现主体最大的善。这也被视为是权利要求道德价值和伦理基础的一个方面。最后，本文就是通过分析“尊重原则”和“效果原则”在作为初始权利的应有权利、作为权利核心的法定权利和作为权利目的的现实权利这三个权利存在形态中的遵守和体现的情况来说明权利的道德价值和伦理基础。权利的道德价值和伦理基础在本文中就表现为：每一种权利存在形态（以每一种形态存在的权利）都有其道德价值和伦理基础，都可以从伦理学的角度加以论证。
第二部分，应有权利的伦理分析。应有权利是权利的初始形态，广义上的“应有权利”包括一切正当的权利，即法律范围内外所有的正当权利。狭义的“应有权利特指当有、而且能够有、但还没有法律化的权利（本文中称为道德权利）。权利存在必须有道德价值和伦理基础，缺乏道德价值和伦理基础的权利要求是不会成为权利的。权利的道德价值和伦理基础在应有权利阶段表现为两个方面：第一方面是在伦理学上能够证成应有权利，就其内容来说就是依据“尊重原则”和“效果原则”能够得出应有权利是必须存在的和为社会客观需要的。表现为通过分析尊重原则基础上的正义、社会合作与合作利益，能够在伦理学上为应有权利的产生进行证成。第二方面是指应有权利存在需要具备道德价值和伦理基础。不是什么权利要求都可以成为应有权利，只有具有道德价值和伦理基础的权利要求才可以成为应有权利。
第三部分，法定权利的伦理分析。法定权利的道德价值和伦理基础具体表现在：法定权利存在原因、立法或法定权利内容和法定权利的作用等方面。首先，法定权利存在原因就是因为法定权利的性质和特点决定了它的存在正是“尊重原则”的要求和体现。同时，通过应有权利和法定权利比较而承认法定权利重要性时，社会公众和立法者其实也就遵守了“效果原则”的要求。其次，立法或法定权利的内容。法定权利的道德价值和伦理基础表现为人权和政治权利、经济社会权利、文化权利这三种法定权利的制定需要依据和体现“尊重原则”和“效果原则”。再次，通过分析“法定权利和法定义务”、“权利和权力”这两个法定权利在作为社会主要的调控方式发挥作用时的相关概念的关系，说明了法定权利的作用上体现的权利道德价值和伦理基础。最后，这一部分还分析了法定权利和道德权利关系作为补充。
第四部分，现实权利(法定权利实现方式)的伦理分析。现实权利即主体实际享有与行使的权利。对于现实权利而言道德价值和伦理基础体现在权利的实现过程也就是法定权利转化为现实权利过程中，伦理原则在执法过程、司法过程和守法过程等几个环节的遵守和体现上。首先，执法环节，只有符合显见义务要求尤其是“建立在我们能够在美德或智力方面完善自身这一事实”上的义务要求的执法行为才能实现行政权主体的职责并给公民和法人等行政相对人带来权利的满足。其次，司法过程中权利的道德价值和伦理基础主要表现为两个方面。第一，指导权利推理。在权利推理中除了社会经济和文化等因素外，也要依据的“尊重原则”和“效果原则”并且符合当时的社会伦理道德要求进行权利的推定。第二，指导权利冲突的解决。依据“尊重原则”对于冲突的权利进行判断以明确哪个权利更符合伦理要求，应受到法律的尊重和保护；在特定情况下依据“效果原则”对于应受保护权利进行分析，以明确对于权利进行不同程度保护的道德价值和伦理基础。最后，在守法过程中公民也需要遵守“尊重原则”和“效果原则”以获得现实权利的道德价值和伦理基础，否则就不能实现自己的法定权利或者不能完全地实现自己的合法权利。主要涉及两个方面：第一，正常守法中公民对于自己和他人权利的尊重以及努力最大限度地实现自己的权利；第二方面是非正常情况下公民的“抵抗权”问题。
第五部分，权利存在形态演化的伦理分析。具有道德价值和伦理基础的权利存在着一个不断从应有权利、法定权利、现实权利的循环和实现的过程。这一权利形态的演化过程中贯穿和体现着“尊重原则”和“效果原则”。这样，就分别通过权利存在形态的静态存在分析和动态的演化过程分析，说明了权利存在形态的道德价值和伦理基础，对于权利进行了伦理分析。

英文摘要：
The existence and development of rights are based on the economic, political, ethical and other foundations. Laws and people wouldn’t respect the rights without the foundations. These rights also can’t meet the needs of person and society. Considering the purpose that people can have and enjoy rights in deed from the conscience and by sense of morality, the article analyzes the rights from the view of ethnics on the basis of historical materialism. We can find that every existing form of rights or rights existing in every form are all based on ethical foundation and they all can get demonstration from the view of ethic.
The article is divided into five parts.
The first is the summary about ethical analysis of rights. The writer discusses the signification of the ethical analysis of rights, the existing forms of rights and the soft deontology of ethnics, which are the subject, the object and the ethical method in this article. Firstly, the purpose of the article is provided the internal moral reason for which people will enjoy rights and the rights can need the want of people and the society. Secondly, the object of ethical analysis is due rights, legal rights and actual rights. The three existing form of rights consist of a whole chain from the existence of rights to the implement of rights so that they can embody and explain the ethical foundation of rights for most extent. Thirdly, the ethical method in this article is the deontology. And the deontology is a soft deontological theory for the purpose of the article which means that every behavior or claim with moral value and on the ethical foundation be based on two ethical principles. The principle of respect for persons is the most important principle and it admits and respects the value and freedom of human being mostly .It is foundation of the rights and the rights must be in accord with this principle. The principle of effect is also can be the foundation of rights because that it is right to make good efficiently, but it must be secondary and under the principle of respect for persons. At last, we can show that due rights, legal rights and actual rights as existing form of rights or rights existing in every form are all with moral value, based on ethical foundation and they all can be demonstrated by method of ethics.
The second part is about the ethical analysis of due rights. The due rights are the first form of rights. The due rights are all proper rights inside and outside the law in broad sense and they are moral rights in narrow sense when they are the proper rights outside the law or not the legal rights. The want of people without moral value and lack of ethical foundation will not turn into rights really. The moral value and ethical foundation of due rights are in two aspect .In the first aspect the origin of rights can be justified in ethics. We can conclude that due rights are necessary and essential for the society and people by the principle of respect for persons and the principle of effect. The demonstration on the origin of rights in the ethics consist in the justice which is based on the principle of respect for persons, the social cooperation and common goods of the society based on the principle of respect for persons and the principle of effect .In the second aspect, to the rights they not only origin from ethical foundation but also exist on the foundation of ethics. The due rights are not any kind of want but the claims, which are with moral value, based on the ethical foundation and are in accord with the two ethical principles, the principle of respect for persons and the principle of effect.
The third part is about the ethical analysis of legal rights. The legal rights are the second form of rights. The moral value and ethical foundation of legal rights consist in the reason of existence of legal rights, legislation or the content of legal rights, the functions of the legal rights and so on. Firstly, the reason of existence of legal rights is the character and specialty of the legal rights, which are different from the due rights, just are the demand and embodiment of the principle of respect for persons. At the same time, the comparison by lawmaker and people between due rights and legal rights conforms to the principle of effect. Secondly, it is about legislation or the content of legal rights, including human and political rights, economic and social rights, and cultural rights. From the article we will find that all the three kinds of legal rights are based on and conform to the two ethical principles to the lawmakers. Thirdly, the writer analyzes the functions of legal rights by two correlative conceptions, duty and power to make the conclusion those legal rights also with moral value and based on ethical foundation when the legal rights act as the most important manner for the social control and regulation. Lastly, the writer compares the moral rights and the legal rights as the supplement of ethical analysis.
The fourth part is about the ethical analysis of actual rights, which are the rights people have and enjoy actually as the third form of rights. Concerning the actual rights, the moral value and ethical foundation are in the process of implement of rights or the legal rights turning into actual rights, which is composed of enforcement of law, judicature and obedience to law. Firstly, the executive activities must be in accord with the prima facie duties, especially the demand of executive activities by which we can perfect ourselves in the aspects of virtue and intellect. So, only by such executive activities, which are good to self-discipline, the administration can implement its responsibility and give the legal rights to the citizens and artificial persons. Secondly, the ethical foundation of rights are mainly in two aspects .The fist aspect is to give direction to the right–reasoning. Besides the social, economic and cultural factors, right –reasoning also should be based on the two ethical principles and in accord with the moral demands of the time. The second aspect is to give direction to solve the conflicts of legal rights. It requests the judges should affirm some legal rights are more reasonable, valuable and law-respected by the principle of respect for persons in all conditions and affirm the different degrees for protections of legal rights by the principle of effect among the conflicting rights. Lastly, when people are obedience to laws they should follow the two ethical principles to make their actual rights with moral value and ethical basis so that they could enjoy their legal rights really. It contains two parts. The first one is the demand that person should respect the rights of himself and others when the laws can be obeyed normally. The second is the civil disobedience or the rights of resistances when according to moral rights people cannot obey the laws from their hearts.
The fifth part is about the ethical analysis of evolvement of existing form of rights including due rights, legal rights and actual rights dynamically. We can see the two ethical principles are necessary in this evolvement. As a result, the writer explains the moral value and ethical foundation of the existing forms of rights and analyzes the rights by ethics.