【作者】 范水兰；

【导师】 岳彩申；

【作者基本信息】 西南政法大学 ， 经济法学， 2011， 博士

【摘要】 权利既是法律的核心内容，又是法学研究的核心问题。德国法学家莱布尼兹说“法学乃权利之学”。现代经济法自19世纪末产生以来，作为体现国家干预经济的一种新兴法律现象，既是对伯尔曼所说的“西方传统法治危机”的某种回应，又在很大程度上“颠覆”了人们的传统法律观。经济法现象尽管已经存在一百多年，但是经济法的核心问题即公权干预私人关系的正当性与合法性问题，不仅在理论上远未获得深入的论证，在具体的实践中还常常引发争议。与此相应，对于经济法权利的认识，既存在着理论解释方面的单薄，又存在着认定方面的争议；既存在着将其直接分别纳入传统私法权利体系和传统公法权利体系的观点，也存在着将其视为经济法特有权利的诸多观点。经济法现象的复杂性决定了在相当长一段时期内人们对于经济法以及经济法权利现象的认识将处于分歧大于共识的状态。经济法学界通常在两种意义上界定经济法权利的范围：一种是广义的理解，认为经济法权利的范围不仅包括政府享有的市场规制权、宏观调控权等国家权力，而且包括经营者、消费者等私人主体享有的权利；另一种是狭义的理解，认为经济法权利仅指私人享有的权利。从现有的经济法权利研究成果来看，绝大多数经济法学者是在广义意义上界定经济法权利，而在狭义意义上界定经济法权利的极少。不同研究视角能揭示问题的不同方面，使认识更加全面和深入。带着求知的态度，笔者在学界已有研究成果的基础上，由私人权利保障的视角入手，做了一系列的基础性工作。本文既是笔者的博士论文，也是这两年研究的一点心得，希望能起到抛砖引玉的作用，参与学界的讨论，共同促进经济法权利这一重要且无法回避的课题的研究。本文的结构分为两个大的部分。第一部分是本论篇，即第一章、第二章和第三章，这一部分主要探讨经济法权利的界定、经济法权利的独特性、经济法权利的性质、经济法权利的来源、经济法权利的生成以及经济法权利的类型化等问题。第二部分是实践篇，即第四章和第五章，这一部分主要探讨经济法权利的配置和经济法权利的实现问题。根据上述逻辑，全文除前言和结语外，共分为五章。第一章是经济法权利的界定。本章重点探讨了五个问题：第一，如何认识权利，这是对经济法权利理论建构的逻辑起点的分析。本文通过对权利的词源学和语境论的考察，将权利理解为个人的正当要求。第二，如何认识权利与法律的关系，这是对经济法权利理论建构的理论框架的探析。从逻辑上讲，权利与经济法的关系实际上是权利与法律这一关系在部门法上的反映。权利与法律的关系表现为：权利是使法律成其为法律的东西，法律是权利实现的保障。第三，如何认识经济法权利的概念。本文在梳理学界对于经济法权利概念现有研究的基础上，对经济法权利做出了适合本研究需要的初步界定，认为经济法权利是指经济法所规定或确认的、由具有特定经济身份的私人主体所享有的各种法定权利的总称。第四，如何认识经济法权利的特征。本文认为与传统私法权利所具有的权利主体的抽象性和普遍性、权利客体的同质性和有限性、权利配置的对等性、权利行使的内部性、权利保护主体的单一性等特征相比，经济法权利具有权利主体的具体性和身份性、权利客体的异质性和广泛性、权利行使的正外部性、权利配置的倾斜性、权利保护主体的多元性等特征。第五，如何认识经济法权利的性质。本文认为与传统私法权利仅具有私益性、个体性和分配性相比，经济法权利在性质上兼具私益性和公益性、个体性与群体性、分配性与再分配性。第二章是经济法权利的来源与生成。本章首先探讨了经济法权利的来源问题，在尽可能地阅读各种关于权利起源学说的基础上，认为应从生产方式的角度去看待经济法权利的来源。其次，本章阐述了经济法权利生成的历史逻辑，将经济法权利生成的历史逻辑概括为：生产方式变革——新型利益冲突——为权利而斗争——价值判断更新——新型权利，认为伴随工业革命所引发的生产方式的巨大变革，近现代社会呈现出了工业化、市场化、社会化、城市化、风险化和信息化的发展趋势，从而导致了经济高度社会化条件下经营者与经营者之间、经营者与消费者之间、经营者与劳动者之间的新型利益冲突，以及处于弱势地位的经营者、消费者和劳动者的新型权利诉求和权利抗争，这种状况促使社会不得不开始反思根深蒂固的体现个人主义、自由主义、形式主义和绝对主义的传统权利观念，用一种体现真个人主义、真自由主义、实质主义和相对主义的新价值视角去看待工业社会中经营者、消费者和劳动者的个人正当要求，由于传统私法及私法权利在解决经营者问题、消费者问题和劳动者问题方面存在着局限性和内在悖论，社会迫切需要一种有别于传统法律的新的立法和权利话语来解决前述问题，体现这种新的立法和权利话语的经济法和经济法权利由此应运而生。最后，本章运用法经济学和法社会学的分析工具和相关理论，分别从交易成本和制度变迁角度以及社会分化与社会整合角度分析了经济法权利的生成动因。第三章是经济法权利类型化思考。经济法权利的类型化问题无疑是经济法权利研究中的一个重点和难点问题。本章首先在梳理经济法权利类型的现有研究成果的基础上，探讨了经济法权利类型化的基本问题，即权利类型化的必要性、分类标准的选择和权利形态的确定问题。就经济法权利的分类标准而言，本文认为价值标准、主体标准、客体标准等经济法权利体系的划分标准各有利弊，关键是如何根据构建权利体系的目的以及经济法权利自身的特点选择一个相适应的分类标准。基于经济法权利具有异质性和经济法权利体系具有开放性等方面的考虑，本文倾向于选择主体标准作为经济法权利基本类型的划分标准，认为经济法权利体系是由经营者权利、消费者权利、劳动者权利和社会团体权利构成的有机整体。其中，经营者权利、消费者权利和劳动者权利是原生性权利，行业协会、消费者组织和工会三大社会团体权利是由前三种权利派生出来的，其目的是为了更好地保护前三种权利，因此社会团体权利可视为前三种权利的延伸。其次，本章在回答了识别经济法权利需要弄清的两个问题的基础上，对我国经济法文本中的经济法权利进行了系统的梳理。最后，本章从权利主体、权利客体、义务主体和权利内容等方面分别探讨了经济法上的经营者权利、消费者权利、劳动者权利和社会团体权利。第四章是经济法权利的配置。本章主要是结合价值论探讨经济法权利的立法问题。首先阐述了经济法权利配置的两个基本问题，即经济法权利配置的层次和主体，认为经济法权利的配置有三个层次，即市场主体之间的横向权利配置、公权机关与市场主体之间权力与权利的纵向配置以及市场主体与社会团体之间的纵横交错的权利配置，经济法权利配置的主体在事实上包括了立法机关和政府。其次，本章探讨了经济法权利配置观问题，即经济法权利正当性的判别标准问题，在尽可能地阅读各种关于权利配置观理论的基础上，本文认为评判经济法权利配置正义与否的核心标准是看权利配置是否既维护了个体正当利益又维护了社会利益。最后，本章阐述了经济法权利配置的原则，认为与私法权利配置普遍奉行对等配置原则不同，经济法权利的配置更多地体现了权利倾斜配置原则，并对经济法权利倾斜配置的经济效果和经济法权利倾斜配置的限度问题进行了分析。本文认为，虽然权利倾斜配置可以有效地保护部分群体的正当利益和社会利益，但是经济法权利的倾斜配置应当是有限度的，这主要是基于尊重市场规律、避免过度再分配、避免引发严重道德风险、干预成本过高以及社会成本过高的考虑。在把握经济法权利倾斜配置限度时，应注意以下三个方面的问题：一是要树立尊重市场规律的意识；二是避免形成对再分配手段的过度依赖；三是对经济法权利倾斜配置进行预先的经济分析和后续的效果评估。第五章是经济法权利的实现。本章主要探讨经济法权利实现的影响因素、基本途径和实现机制。首先在明确权利实现的内涵和判定依据的基础上，考察了我国经济法权利的实现状况，发现我国经济法权利的实现存在诸多问题，究其根源，不得不归结于我国并不完全具备经济法权利实现所需要的一系列特定的政治、经济、文化和法律条件。其次，本章进一步分析了影响经济法权利实现的外部因素和内部因素，认为经济法权利的实现除了受到政治、经济、文化等外部因素影响之外，还受到经济法规则不确定性、经济法执法失灵、经济法司法局限性以及经济法权利救济有效性等内部因素的影响。再次，本章阐述了经济法权利实现的基本途径，包括立法途径、行政途径、司法途径和社会途径等，认为包括行政申诉、行政调解和行政投诉在内的行政途径、公益诉讼、社会团体调解和专业性仲裁等权利实现途径是传统私法权利所不具有的，这些途径在实现经济法权利方面具有特别重要的意义。最后，本章从责任机制、监督机制、激励机制和参与机制四个方面阐述了经济法权利实现的具体法律机制。更多还原

【Abstract】 Right is not only a core element of the law, but also a core issue of the legal research.The German legal scholar Leibniz said “the science of law is the science of right”. Since themodern economic law came into being at the end of19thcentury, as the new legalphenomenon which embodies the state interference in the economy, it is a response to “thecrisis of western traditional rule of law” said by Berman, and it also overturns people’straditional view of law to a great extent. Although the phenomenon of economic law hasexisted for more than one hundred years, the core issue of economic law, i.e. the validity andlegitimacy of public power interference in private relationship, has not been proved in depthyet and has always stirred controversy in practice. Correspondingly, the theoreticalexplanation to the rights in economic law is weak and the recognition of the rights ineconomic law is controversial. The view that the rights in economic law may be taken into thesystem of traditional private rights and the system of traditional public rights and the viewthat the rights in economic law is a new type of rights coexist. The complexity of thephenomenon of economic law decides that for a considerably long period of time people’scognition of economic law and the rights in economic law will be in a situation thatdifferences is much greater than consensus.The academia of economic law generally defines the scope of rights in economic law intwo senses, one is in the broad sense, holding that the scope of rights in economic law is notonly including state powers owned by government such as power to regulate the market andpower to control the macroeconomic but also including private rights owned by individualsuch as the business operator and the consumer; the other is in the narrow sense, holding thatthe scope of rights in economic law is only including the private rights of an individual.Viewing from the current research achievements on rights in economic law, most of economiclaw scholars define the scope of rights in economic law in the broad sense, while very feweconomic law scholars define the scope of rights in economic law in the narrow sense.Different research angle reveals the different aspect of a problem, which make the cognitionmore comprehensive and in-depth. With an attitude for knowledge, on the ground of thecurrent research achievements, the author from the angle of the protection of the private rightsof an individual did a series of fundamental work. This Paper is the author’s doctoral thesis and also some thoughts of the author arising from this two-year research, in the hope that itwould generate more public discussion and promote the research on the important andunavoidable issue of rights in economic law.This Paper is divided into two main parts. The first part is the ontic part (Chapter One toChapter Three), which mainly approaches the definition, characteristics, nature, source,generation and types of rights in economic law. The second part is the practical part (ChapterFour to Chapter Five), which mainly approaches the disposition and realization of rights ineconomic law. This Paper, based on aforesaid logic, apart from the forward and theconclusions, is divided into five chapters as follows:Chapter one is the definition of rights in economic law. This chapter mainly probes fivequestions. First, how to recognize right, which is the analysis of the logic point of the theoriesof rights in economic law. Through the exploring of etymology and contextualism of right,right is defined as the just demand of an individual in this Paper. Second, how to recognizethe relationship between right and law, which is the analysis of the theoretical frame of thetheories of rights in economic law. From the angle of logic, the relationship between right andeconomic law is a reflection of the relationship between right and law. The relationshipbetween right and law is: the right is something that makes law to be law, and the law is theguarantee of the realization of right. Third, how to recognize the concept of rights ineconomic law. On the basis of elaborating the current research on the concept of rights ineconomic law, in this Paper the concept of rights in economic law is preliminarily defined as acollection of legal rights enjoyed by the private party who is in a concrete economic statusand confirmed by economic law, to meet the need of this research. Four, how to recognize thefeatures of rights in economic law. The author holds that the features of rights in economiclaw includes the specification and identity of subject of right, the heterogeneity anduniversality of object of right, the positive externality of exercising right, the inclining ofright disposition and pluralism of the subjects of right protection, in comparison with thefeatures of traditional private right which includes the abstractness and universality of subjectof right, the homogeneity and finiteness of object of right, the parallelism of right disposition,the internality of exercising right and the unity of the subjects of right protection. Five, how torecognize the nature of rights in economic law. The author holds that rights in economic lawis possessed of both the nature of private interest and public interest, both personal and group,both the distribution and redistribution, in comparison with the traditional private rights which only possesses the nature of private interest, the nature of personal and the nature ofdistribution.Chapter two is the source and generation of rights in economic law. This chapter firstprobes the source of rights in economic law, and on the basis of reading all kinds of theorieson the source of rights as much as possible, the author thinks that we should seek the sourceof rights from the mode of production. Secondly, this chapter illustrates the historical logic ofthe generation of rights in economic law, which is described by the author as follows: thechange of the mode of production——the conflict of new types of interest——fighting for therights——renewing value judgements——the new types of right. The author holds that withthe great change of the mode of production caused by industrial revolution, the modernsociety appears the development trend of industrialization, marketization, socialization,urbanization, risk and informationization, which caused the conflict of new types of interestbetween business operators, between business operators and consumers, between businessoperators and laborers in the condition of high socialization, and the new appeal of rights andfighting for rights of the business operators, consumers and laborers who are in a inferiorposition. This situation compels the society to reflect the traditional ideas of rights, and facethe just demand of the business operators, consumers and laborers with a new value angle.Due to the limitation and paradox of the traditional private law and traditional private rights inresolving the problems of business operators, consumers and laborers, a new type of law anda new type of right are urgently needed to resolve aforesaid problems. This new law is theeconomic law and this new rights is rights in economic law. Finally, using the analytic toolsand relevant theories of law-economics and law-society, this chapter analyses the reasons ofthe generation of rights in economic law from the angles of trade cost and institutional change,the social differentiation and social integration.Chapter three is the thoughts on the typification of rights in economic law. The questionof the typification of rights in economic law is definitely one of the focus and difficultquestions in the research on rights in economic law. This chapter first, on the basis ofelaborating the current research achievements on the types of rights in economic law, probesthe basic questions of the typification of rights in economic law, i.e. the necessity oftypification, the choice of the criterion and the fixation of right form. The author holds thatthe criterions of value, subject and object have their own advantages and disadvantages, thekey point is to choose a proper criterion according to the purpose of constructing the system of rights in economic law and the features of rights in economic law. Considering that rightsin economic law is heterogeneous and the system of rights in economic law is open, theauthor is inclined to choose the criterion of subject as the basic criterion of the types ofrights in economic law, and holds that the system of rights in economic law is consisting ofbusiness operators rights, consumer rights, laborer rights and social organization rights,among which, business operators rights, consumer rights and laborer rights are primordialrights and rights of social organization such as industry association, consumers’ associationand laborers’ association are derived from aforesaid three types of rights, the purpose ofwhich is to protect aforesaid three types of rights better. Secondly, on the basis of answeringthe two questions that to be clear to identify the rights in economic law, this chapter elaboratesthe rights in China’s economic law. Finally, from the aspects of right subject, right object,obligation subject and content of right, this chapter separately analyzes business operatorsrights, consumer rights, laborer rights and social organization rights.Chapter four is the disposition of rights in economic law. This chapter mainly probes thelegislation of rights in economic law combined with the theory of value. This chapter firstillustrates two basic questions of the disposition of rights in economic law, i.e. the level andthe subject of the disposition of rights in economic law, holding that there are three levels ofthe disposition of rights in economic law, i.e. the horizontal disposition between themarketing subjects, the longitudinal disposition between the government and the marketingsubjects, and the horizontal and longitudinal disposition between the marketing subjects andsocial organizations, and the subjects of disposition of rights in economic law actuallyincludes the legislature and the government. Secondly, this chapter probes the question of theview of disposition of rights in economic law, i.e. the criterion of the legitimacy of dispositionof rights in economic law. On the basis of reading all kinds of theories on the disposition ofrights as much as possible, the author holds that the core criterion to judge the legitimacy ofdisposition of rights in economic law is to see whether the disposition of rights protects bothjust interest of an individual and the social interest. Finally, this chapter describes theprinciples of disposition of rights in economic law, holding that, in contrast with the privatelaw, the economic law shows much application of the principle of inclined disposition ofrights. The author analyzes the economic effect and limitation of the principle of inclineddisposition of rights, holding that although this principle can protect the just interest of part ofgroups and social interest, this principle has its own limitation, due to respecting the marketing law, avoiding excessive redistribution, avoiding to cause serious moral risk,excessive interventional cost and social cost. In grasping the limitation of the principle ofinclined disposition of rights, the following questions should be noticed: the first is erectingcognition of respecting the marketing law; the second is to avoid excessive dependence on thetool of redistribution; the third is to do economic analysis of the inclined disposition of rightsin advance and to do a follow-up evaluation.Chapter five is the realization of rights in economic law. This chapter mainly probes theinfluence factors, basic ways and legal mechanisms of the realization of rights in economiclaw. On the basis of clarifying the connation and judge criterion of realization of rights, thischapter first surveys the current situation of China’s rights in economic law, finding that thereare many problems in the realization of rights in China’s economic law, which are attributableto the lack of certain political, economical, cultural and legal conditions needed by therealization of rights in economic law. Secondly, this chapter analyzes the inner factors andouter factors which influence the realization of rights in economic law, holding that therealization of rights in economic law is not only influenced by political, economical, culturaland legal conditions, but also influenced by the uncertainty of economic law rules, the failureof the enforcement of economic law and the limitation of judicature of economic law. Thirdly,this chapter illustrates the basic ways to realize the rights in economic law includinglegislative ways, administrative ways, judicial ways and social ways, holding that theadministrative ways such as administrative appeal, administrative mediation andadministrative complaints, public welfare litigation, social organization mediation andprofessional arbitration are very important to the realization of rights in economic law. Finally,from the aspects of responsibility mechanism, supervision mechanism, inspiration mechanismand participation mechanism, this chapter illustrates the concrete legal mechanism of therealization of rights in economic law.更多还原