【作者】 曾云燕；

【导师】 张文显；

【作者基本信息】 吉林大学 ， 法学理论， 2014， 博士

【摘要】 在性质与意义上，平等作为正义之法的永恒理念，既是法律的精神和生命，又是一个抽象而不易掌握的原则。如何根据平等原则确定法律具体的平等并在执法和司法中得以体现一直是个相当复杂的法律难题，对此进行探讨无论在理论上还是实践中都不乏其重要意义。研究时应以厘清平等概念为前提，并围绕平等的法性质、平等原则的法效力及法功能、平等原则的适用等方面进行探讨。学界将平等作为不证自明的概念使用而没有对其进行反思是造成平等问题歧义丛生的根源，因而澄清平等的本意是研究平等问题的前提。针对平等本身具有的抽象性，我们通过平等观念历史流变的考察，以人们熟知的杠杆原理为媒介，对平等的内涵作了形象的说明。借助杠杆原理，我们认识到“等同”或“平均”只不过是平等概念中重要的特例而已，将之理解为平等的全部必然使平等问题的探讨陷入混乱和窘境。杠杆原理也揭示了，平等在形式上表现为等同的平等或差异的平等，在法律适用中都意味着按规定同样对待，一视同仁，平等也因此成为衡量特定事项是否平等的一种基准和尺度。平等在内容上体现为公平，表达的是国家在人们之间就某一利益、权利或义务的配置应形成合理的比例关系，故而将等同、比例、平衡、公平融为一体是正确理解平等概念的关键。形式平等和实质平等作为平等的双重维度，针对学界夸大其差异而忽略其联系的现象，我们认为两者并非仅仅处于对立与排斥之中，而是具有“自否定”的关系。在平等的法性质上，学界对平等应作为权利还是原则的争论仍未尘埃落定，虽然通说认为平等兼具原则与权利二重属性，却缺少系统的论证。平等作为权利符合人们对平等及权利的可欲性，但对作为权利的平等的维护所需成本的无力支付产生的却是平等作为权利的不可行性。为此，我们通过对原则与规则、权利与义务关系的理解，从法律关于平等的规定、法律适用中的平等、平等与权利的关系、平等的历史流变四个向度对平等是一项原则而不是一种权利进行了系统的论证。在平等原则的法效力和法功能方面，平等原则主要表现为立法时应形成合理的归类，这使法律如何“合理区别”成为平等原则的基准原点。由于“合理性”的认定充满主观性，只能根据一定的基准才能确定，目前仅在司法审查领域研究得比较深入，其中又以美国建立的对确定法律或政策是否违反平等原则所形成的作为系统判断根据的三重审查基准最为典型，而优惠性差别待遇是经美国发起而在各国倡行的政策措施，对其是否违反平等原则进行审查也一直是人们关注的焦点领域，对此进行专门探讨有利于我们进一步加深平等只能作为原则而不是权利的理解。另外，对美国平等保护条款如何促进公正法律制度的出现进行分析，既能增进人们对平等原则实际运行中复杂性的认识，也能引起将平等原则排斥出立法领域的我国学者的深思。在平等原则的适用上，平等作为一种内含价值判断的衡量标准和尺度，虽被广泛地适用却也并非无所不包，且在不同领域表现也自不同，故而厘清平等原则的法律表现是判定决策或行为是否违反平等原则的前提。但平等原则的适用经常处于变动不定之中，故只能就其在常见领域即国家权力的运行、人权、国家公法制度、私法领域等方面进行探讨。此外，由于平等的理念没有进入我国立法的领域，平等原则遭受立法冷遇，导致我国在法律制度和现实中不平等现象相当严重，故而建立平等理念的意识，转化立法观念是改变法律不平等现象的有效之道。对少数民族高考加分的实例进行合宪性分析，有利于加深我们对如何发挥平等原则对立法权的约束的认识。更多还原

【Abstract】 Equality, as the eternal law of justice, is the spirit and life of law, it is also anabstract and difficult principle to grasp. How to confirm the concrete equality of thelaw according to the equal principle and to reflect it in the law enforcement andjudicial, has been a quite complicated legal problem all the time, it is significant toimplement the research both in theory and in practice. This paper insists that clarifyingthe concept of equality should be regarded as the prerequisite to study this problem andmainly discusses from several aspects: the nature of the law, the effectiveness and thefunction of equality principle in the law and the scope of the principle of equality.The academy regarded equality as a self-evident a concept and used it withoutreflection is the root cause of equality ambiguity, and thus to explore the concept ofequality, to clarify its intent is the premise to study equality. this thesis gives us a vividexplanation through the investigation of historical rheology of the equal idea and thelever principle, we can recognize that the "equivalence" or "average" is just a specialcase of the concept of equality, it will be bound to the chaos and dilemma if weunderstand it e all the issues of equality. Leverage theory also also reveals thatequality in the form of its meanings has different content, but in the law they means thesame and non-discriminatory treatment, equality has thus become an equal measureand yardstick of whether a particular matter to be equal or not. Equality in its content isthe embodiment of the fairness, which reflects a rational proportionate relationshipwith a certain interests or burden configuration among people, it is a key to understandthe concept of equality to integrated the equivalent, balance, proportion, fair. Formalequality and substantive equality as a dual dimension of equality for scholars toexaggerate their differences and ignore the phenomenon of his associates, and wesupports that they are not only just being in opposition and rejection, but alsoself-denied themselves.As for the nature of the law, the arguments whether we should consider equality as the right or just a principle is still hang in the sky. the equality as a measure standardand tool including criterion and tool of value it is not all-encompassing although thereis extensive embracing applicable scope and is different in different areas. Thereforeclarify the equal applicable scope is the premise of judging whether the decision orbehavior violates the prerequisite of the equal principle or not. We can only discusstheir common range because the applicable scope of the equal principle oftenfluctuates. For this respect, this paper discusses the scope and border of equalityprinciple in human rights, state power, state system, and the field of private law.Thirdly, effectiveness and functionality of equality principle embodied mainlyhow to do rational distinction on legal, Namely confirm " The same " With " different "on a rational Basis, and how a " rational difference " the law can give is the benchmarkof the equal principle. Identification of Rationality can only be determined accordingto certain benchmark because of filling with subjectivity. In the current the benchmarkof systematic research is mainly reflected in the field of judicial review. The UnitedStates establish the triple Scrutiny test, which form the Systematically judgement basisto confirm whether or not the law or policy violate equal principle, different Scrutinytest corresponds to different right types, which lead to the acceptability of assertingwhether violating equal principle. but Affirmative Action is a focal area judging bywhether it violates equality principle according to Scrutiny test. Favour differentialtreatment is the policies and measures advocated by U.S.A and practiced in variouscountries. During which, checking its abiding by equal principle is the focus fieldspeople pay much attention to is conducive to further clarify the reason that equality isonly as a matter of principle rather than a right. In addition, To analyze how Americansequal clause promote the appearance fairness legal of system can promote people’sunderstanding of complexity in the actually running of the equal principle.It is also cancause the deep thinking of educational circles of field of our country:the direction ofrepelling equal principle out of legislative field.Finally, because the equal principle has not entered our country’s legislates field,the equal principle suffers from legislative refuse, which leads to the fact that inequality phenomenon is seriously common in reality and in the legal system. it is aeffective way to change inequality phenomenon to set up the consciousness of theequal ideal and transform the legislative idea. for this reason, Analyzing from theconstitutional side with the example of the college entrance examination of ethnicminority and discussing how to restrain the judicial right through equal principle.更多还原