经济法利益理论研究

【作者】 甘强；

【导师】 李昌麒；

【作者基本信息】 西南政法大学 ， 经济法学， 2008， 博士

【摘要】 “法学利益理论”是法学理论的核心之一。它主要从两个向度展开:一是利益决定法的产生并推动法的发展,二是法调整和保护各种利益。正是在这一理论框架下,不同的部门法结合自身的特点发展出了各具特色的利益理论,这些利益理论对于部门法的理论建设和法律实践都具有重要的意义。从理论的角度看,经济法利益理论的研究,不仅会影响到对经济法的应有功能和价值追求的认识,而且还会直接影响到经济法的宗旨和原则等重大理论问题,所以经济法利益理论研究具有重要的理论意义。从实践的角度看,中国已经进入到一个利益分化的时代,利益博弈成为一种常态,如果利益格局严重失衡,就会阻碍社会的和谐与发展,因此经济法如何来回应这一社会现实,也需要利益理论的指引。然而当前的经济法利益理论研究,只是停留在一种价值宣示的层面,至于如何来实现对利益的保护则鲜有涉及。因此,基于对经济法自身理论发展的需要以及社会实践对经济法提出的要求,本文尝试对经济法利益理论展开系统的研究,希望回答应当怎样认识经济法利益,经济法在保护利益时应当遵循什么样的价值标准以及究竟如何来保护?从而对建构经济法利益理论做出积极的努力。本文的结构分为三个大的部分,首先是基础篇(第一章),即对经济法利益理论研究的基础进行分析,这是全文研究的理论基础,主要探讨经济法利益理论建构的逻辑起点、理论框架和学术谱系。其次是反思篇(第二章),即对当下经济法利益理论研究进行梳理与反思,目的是总结当下研究的特点和可能存在的问题,从而找到经济法利益理论建构的路径。最后是建构篇(第三到第七章),即对经济法利益理论的建构,包括本体论、价值论和方法论三个部分。而其中方法论的研究,则遵循利益保护的机制而展开,即立法环节的利益确认、执法环节的利益实现和司法环节的利益维护。根据上述逻辑,本文的写作分为七章。第一章是“经济法利益理论研究的基础”。本章是全文的基础篇,主要是为经济法利益理论研究寻求逻辑起点、理论框架和学术谱系,从而为全文研究奠定理论基础。本章重点探讨了三个问题:第一,如何认识利益,这是对经济法利益理论建构的逻辑起点的分析。本文通过对利益的词源学和思想史的考察,从现象学的“生活世界”角度将利益回归到最质朴的理解——利益是人的需要的一种满足,从而将经济法利益理论建构的逻辑起点定位于生活利益,不再去纠缠于所谓精确概念的界定。第二,利益与法的内在结构,这是对经济法利益理论建构的理论框架的探析。从逻辑上讲,利益与经济法的关联,实际上是利益与法这一关系在部门法中反映,是一种个别与普遍的关系,那么如何来勾连利益与经济法的关联,就需要回到利益与法的关系这一更为基本的结构之中去。这个基本结构就是:利益是法的基础,法是利益的保障。这是一个互动的结构,它构成了经济法利益理论的基本框架。第三,关于利益与法所形成的“法学利益理论”,这是对经济法利益理论研究所作的学术谱系的说明。具体的分析从纵向和横向两个角度展开,就纵向而言,梳理了“法学利益理论”的内在逻辑关联,归纳出了从“起源的利益理论”到“生产的利益理论”,再到“方法的利益理论”这一发展路径,从而使经济法利益理论的研究回归到“法学利益理论”传统之中;就横向而言,对“法学利益理论”在部门法中的体现进行了简要分析,重点探讨了该理论在我国刑法、民法和行政法学领域的表现方式,说明了经济法利益理论的建构,应当是根据其法律自身的特点来展开,因而具有其个性。第二章是“当下经济法利益理论研究的反思”。本章首先对当下的研究进行了全面的梳理和归纳,总结了当下两种主要的利益学说:“社会本位论”和“利益均衡论”。经过仔细的研究,本文认为“社会本位论”可以分为“广义社会本位论”和“狭义社会本位论”。“广义社会本位论”与“利益均衡论”实际上有很大的相似性,二者都强调对各种利益的综合保护,只是二者采用的语言表达方式不同而已。而“狭义社会本位论”则从社会实体的理论出发,认为经济法只保护社会这个有机体的利益,即所谓社会利益,而且这种社会利益在价值上具有最优性。其次,本章对当下经济法利益理论的研究进行了审慎的反思。通过知识考古学的研究,本文认为经济法是社会本位法的判断是准确的,是学者们敏锐把握法律发展规律对经济法所作的正确定位。但需要指出的是,社会本位是一个纵向的概念,它是对所有法律发展的一个阶段性描述,所以社会本位不能成为经济法独有的概念。此外,本文还针对“狭义社会本位论”的观点进行了反思,论证了经济法不是只保护社会有机体所具有的社会利益,独立的社会利益在价值上并不绝对优先于其他利益,经济法调整利益的价值基准也不是社会利益。本章最后在分析当下研究的特点基础上,确定了经济法利益理论建构的范围,包括经济法保护的利益是什么,经济法保护利益的价值基准是什么,经济法保护利益的方法是什么。并由此确立经济法利益理论建构的路径,即从本体论、价值论和方法论三个维度来建构经济法的利益理论。第三章是“经济法利益的基本认知”。本章是经济法利益理论的本体论研究,主要回答经济法利益是什么,它有哪些分类、在现实的法律中有哪些表现,其内在构造是什么。就经济法利益的内涵而言,本文从生活利益的角度来进行界定,遵循从“生活利益”到“法律利益”的分析路径,得出经济法利益的内涵就是“经济法保护的生活利益”。并且指出这种利益虽然产生于经济领域,但并非一定具有经济性,经济法利益的内容也可能受到其他法律的保护,它的独特之处在于经济法对利益提供的保护方式。就经济法的分类而言,本文除了从常见的“主体角度”把经济法利益分为个人利益、社会利益和国家利益之外,还从“利益内容的角度”将其分为经济性利益和非经济性利益,从“法律规范对利益的体现角度”将其分为权利和法益,从“利益主体获取利益的行为方式角度”将其分为追求利益、接受利益、获得利益、保有利益、免责利益和救济利益,从而有助于更全面的理解经济法利益。就当下经济法所保护的利益究竟有哪些而言,本文对重要的经济法文本作了细致的梳理,从而使我们对经济法利益的理解不只停留在理论层面,而是可以实实在在的感受到其法律的表现。就经济法利益的内部结构而言,本文从两个层次展开了具体分析,一是个人利益、社会利益和国家利益这三种利益之间的矛盾冲突;二是个人利益、社会利益和国家利益各自内部的利益冲突,从而可以使我们进一步深入到经济法利益的内在构造之中。第四章是“经济法调整利益的价值基准”。本章是经济法利益理论的价值论研究,但不是探讨所有价值问题,而是集中分析价值基准问题,也就是经济法在对利益进行立法确认、执法保障和司法维护的各个阶段都必须予以坚守的基本尺度。本文认为法的价值基准不同于价值目标和价值内容,它是特定主体对各种法律事项所作评价的标准,而我们当前的研究并没有对此进行严格的区分。就当下经济法调整利益的价值基准而言,由于其深层结构存在着“功利主义”与“正义原则”两种理念的对峙,因此存在冲突并难以形成体系。而解决这个问题的方法,则可能要在功利主义与正义原则之间寻求突破。本文正是在参考功利主义原则与罗尔斯正义理论的基础上,提出了一个新的价值基准的序列。具体而言,它包括三个原则:第一,基本自由与权利具有优先性,即当经济法调整利益时,应当首先保护的是个人的基本自由和权利,个人基本自由和权利不能基于多数人利益的需要而进行干预。第二,符合沟通正义,即在保障基本自由与权利的前提下,遵循利益交换的原则,通过充分对话,彼此妥协来达成利益协商,它主要表现为经济自由和经济民主。第三,利益综合最大化,这一原则是指当沟通不能达成一致时,就以社会整体利益最大化为标准来调整利益。它可以分为两个子标准,一是当利益存在冲突必然使一方主体利益受损时,就以“最大利益净余额”为标准来调整,但必须对利益受损者给与补偿;二是当利益不发生冲突时,以“不损害一人的增加总量”为标准。总的来讲,这是一个字典式的秩序,只有在先的原则得以满足的条件下,才适用后一个原则。第五章是“经济法利益的确认——立法分配”。本章是经济法利益理论的方法论之一,探讨的是立法对经济法利益的确认,主要从确认的基本观念、主要程序和规范设置三个角度进行分析。就经济法利益确认的基本观念而言,本文认为与传统的立法理念不同,利益分化是经济法利益确认的背景,公共选择是确认的过程,集团博弈是确认的关键。就经济法利益确认的主要程序而言,其内在逻辑是利益识别→利益选择→利益整合→利益表达。具体来讲,在利益识别阶段除了常规方法外,要高度关注利益集团的利益表达;在利益选择阶段要遵循三个标准,一是应当符合特定文明的要求、二是利益必须能被经济法所保护、三是利益选择时须注意平衡;在利益整合阶段则主要采用价值评估、利益交换和比例分析的方法;而在利益表述阶段,要注意经济法利益的表达是一种“符号——直观的”的模式,其法律语言往往直接来源于生活世界的日常语言。就规范设置而言,经济法的“主体设置”呈现出了“从契约到身份”的特点;经济法的“权义结构”呈现出不均衡性的特征;经济法的“责任规定”也有许多不同于传统法的特点,从而体现出了立法对利益分配的态度。第六章是“经济法利益的实现——多方联动”。本章是经济法利益理论的方法论之二,研究经济法利益确认以后如何来实现,即通过什么样的方式将法律文本意义上的经济法利益转变为实际的利益。本文认为经济法传统的利益实现模式是行政执法,这一模式表现为行政主导、强制性和单方性,是一种“命令——服从”的模式。然而在利益分化的时代背景和国家干预手段市场化的条件下,这一模式遭到了困境,因此经济法应当采用“多方联动”的模式,即由多元主体通过商谈博弈的方式来实现利益,这是一个开放立体的结构,不同的利益主体被允许进入其中充分的表达其利益诉求。从利益实现的主体来看,已经不再是只有行政主体,而是一个多元的结构,包括政府、第四部门、行业协会、中介组织、企业和个人等等。从利益实现的进路来看,商谈和博弈成为利益实现的重要方式。而且,在多方联动模式的运行中,政府的经济政策起到了关键的作用,因为不同于传统法,政策成为了经济法利益实现的重要手段。第七章是“经济法利益的维护——法律论证。”本章是经济法利益理论的方法论之三,研究经济法利益发生冲突进入到司法保障程序后如何维护。本章认为在利益维护中,传统的利益衡量论有不可克服的缺陷,因此需要引入了法律方法论的最新成果——法律论证,来对经济法利益维护机制进行重构。本文认为当下法律方法论发生了转向,即从注重形式逻辑推理转向了解释学的路径,正是在这个背景下,法律论证这一具体的解释学法律方法得以迅速的发展,而这种法律方法对于经济法利益维护有重要的意义。依据法律论证理论,经济法的利益维护机制出现了与传统司法适用模式不同的面相。在这一机制里,利益维护的场域是一个敞开的体系;利益维护的主体不是只有法官,而是一个多元的结构;利益维护的结论也不是追求唯一正确的答案,而是听众的可接受性;利益维护的推理也不再是只遵循三段论的形式法律推理,而主要是采用实质法律推理的方式,具体包括法律阐释、经济分析、社会后果分析和政策分析等等方法;而且利益维护还必须遵循严格的程序,这种程序不是广义的诉讼程序,而是狭义的法律论证程序,它参考了阿列克西的论证规则。更多还原

【Abstract】 "Theory of interest and law", as one of cores in legal theory, includes a content of two aspects, one is that interest gives rise to law and then pushes the development thereof, the other is that law regulates and protects interests of various kinds. Theory of interest of different branch laws with different characteristics, formed by combining with such legal system of "Theory of Interest and Law" with their own natures, are of great significance for not only theory development but practice of respective branch laws. A research on theory of interest and economic law , from the perspective of theory, is of great theoretical sense because such research will exert influence on recognition of functions and value of economic law, and will exert influence on important legal issues of purposes and principles of economic law.Theory of interests, from the perspective of practice, is also needed to direct economic law how to respond to the fact that the serious imbalance of interests’ allocation will hinder the social development in China in an era when interests are split off and game for interests has been commonplace. Considering that the current research on theory of interests and economic law mentions much on advocate for values but little on protection of interests, driven by the demand for development of theory of economic law and the requirement made by social practice on economic law, this paper, through systematic research of theory of interest and economic law, attempts to answer such questions that, how to define interest from the perspective of economic law, what criteria shall economic law take for interests protection and how to protect such interests, to make efforts for improvement of theory of interest and economic law.This paper is roughly divided into three main parts. First comes Part of Basic Theory (Chapter One), which approaches basic theory of interest and economic law, and focus on logical starting point of theory of interest and economic law, its theoretical frame and academic pedigree. Second comes Part of Reflection (Chapter Two), which reflects on current theory of interest and economic law in order to sum up characteristics and possible problems of current research and further find out access to construct theory system of interest and economic law. The Part of Construction comes finally (Chapter Three- Chapter Seven), aiming to construct theory system of interest and economic law that consists of ontology, value and methodology. Part of ontology gives answer to definition and classification of interest of economic law, its legal expression and inner structure. Part of value mainly analyzes the criteria economic law shall follow for protection of interests. Part of methodology, pursuant to protection mechanism of interests, attempts to figure out how to protect interests in stages of legislation, law enforcement and judicature. This Paper, based on aforesaid logic, is divided into seven chapters as follows.Titled "Basic Theory of Interest and Economic Law", Chapter One is the theoretical basis of this paper, which aims to analyse logical starting point of theory of interest and economic law, its theoretical frame and academic pedigree. This dissertation focuses on three problems: recognition of interest, relationship between interest and law, and manifestation of theory of interest and law. As for recognition of interest, this paper, through analysis of etymology of interest and concerning theory, makes the plainest definition of interest from the perspective of ’life world" in phenomenology, i.e. the satisfaction of human demand, hence no need for so called accurate definition thereof, which eventually bases the logical starting point of theory of interest and economic law on the interest of real life. Second to the aforesaid is the inner frame of interest and law which analyzes how to construct theoretical frame of the theory of interest and economic law. From perspective of logic, the relationship between interest and economic law is a reflection of the relationship between interest and law in branch laws, i.e. a relationship between individuality and universe. Thus how to connect the interest and economic law needs going back to the fundamental structure of relationship between interests and law which indicates that interest is the basis of law and vice versa law safeguards interest The inner structure of relationship between interest and law constitutes the theoretical frame of theory of interest and economic law. In the end comes the theory of interest and law which accounts for the academic pedigree of the theory of interest and economic law. This part starts with vertical and vertical horizontal analysis. As for the former perspective, this paper sums up a research route from "origin of theory of interest" to "theory of interest in production", then to "theory of interest in methodology", so that the research on theory of interest and economic law follows the tradition of "theory of interest and law", which is of sense of passing on traditional knowledge and enriches the theory resources for the study of the dissertation. As for the latter perspective, this paper makes a brief analysis of expression of "theory of interest and law" in branch laws and attaches more importance to, its expression in criminal law, civil law and administrative law, in order to indicate that theory of interest of economic law shall be constructed according to natures of economic law and hence be of characteristic.Titled "Reflection on Current Research on Theory of Interest and Economic Law", Chapter Two first makes an all-round analysis and subsequent summary of current research and then sums up two dominant doctrines of interest "doctrine of social interest orientation" and "doctrine of equilibrium of interest". This paper, through thorough research, concludes that "doctrine of social interest orientation " may be divided into "doctrine of social interest orientation in broad sense" and "doctrine of social interest orientation in narrow sense", and that the former, although different from " doctrine of equilibrium of interest" in exact form of expression, is similar in comprehensive protection of interests of various kinds. The "doctrine of social interest orientation in narrow sense", from the perspective of theory of social entity, takes the society as an organic part and protects its interest only, i.e. social interest, which is considered having prevailing value. This chapter then makes careful reflection on current research on theory of interest and economic law. This paper, through a research on archaeology of knowledge, concludes that the judgment, made by scholars finding out the regular pattern of development of law, that economic law is orientated as the law of social interest orientation is a proper location of economic law in legal system. Social interest orientation, however, is a vertical concept to describe law of different stages of development hence not a unique concept of economic law. Furthermore, this paper makes reflection on the viewpoint of "doctrine of social interest orientation in narrow sense", attempts to expound and prove that economic law does not protects only social interest of organic society, social interest independently exists neither prevails over other interests nor serves as the criteria of interest regulation of economic law. In the end, this paper, on the basis of analysis of characteristics of current research, settles the scope of theory system of interest and economic law, i.e. what interest economic law protects, what interest standard economic law follows for interest protection and what method economic law adopts to protect interest, and determine the access to theory system of interest of economic law, which will be constructed from the perspective of ontology, value and methodology.Chapter Three: Basic Recognition of Interest of Economic Law. This chapter, as the part of research on ontology of theory of interest and economic law, is to answer what interest of economic law is, its classification, exact forms of expression in present laws and inner structure. This paper, from the perspective of interest in life and according to the analysis route from "interest in life" to "interest in law", concludes that the intensive meaning of interest of economic law is the "interest in life economic law protects", and that such interest, although arising out of economic aspect, does not always own economy-related characteristics and is not the unique content of economic law except the way economic law protects it. When classifying interest from the perspective of economic law, apart from traditional classification of personal interest, social interest and state interest pursuant to common " subject standard", this paper also divides interest of economic law into economic interest and non-economic interest pursuant to " standard of interest content", divides it into right and legal interest pursuant to "standard of expression of interest in law, and pursuit of interest, receipt of interest, procurement of interest, possession of interest, interest from exemption and interest from relief pursuant to " standard of the way interest subject obtain interest", which helps in understanding more profoundly interest of economic law. As for the scope of interest economic law protects, this paper makes us have a clear idea of the legal expression of interest of economic law through careful analysis of important woks of economic law so that the understanding thereof will no longer limited to the theory aspect. This paper analyses the inner structure of interest of economic law from two perspectives i.e. conflict among personal interest, social interest and state interest, and inner conflict respectively in personal interest, social interest and state interest, so that we may go further into the inner structure of interest of economic law.As the part of research on issue of value of interest and economic law, Chapter Four, "Value Criteria for Protection of Interest of Economic Law", does not going into all value issues but focuses on the issue of value criteria, which shall be follow strictly by economic law in stages of acknowledgement by legislation, guarantee by law enforcement and maintenance by judicature of interest. This paper holds that, unlike value target and value content, value criteria serves as a standard for comments by certain subject on various legal issues, among which current research fails to make strict discrimination. As there exists in value criteria for protection of interest of economic law a confrontation of principles between "utilitarianism" and "justice", a system of value criteria is so difficult to be constructed that a solution to this problem shall entail a break-through in the conflict between "utilitarianism" and "justice". This paper, by reference to principle of utilitarianism and "Roles’ Justice Theory", bring about a new order of value criteria including three exact principles as follows: Basic freedom and right as a first priority, which implies that the top priority of economic law when it regulates interest is to protect basic freedom and right, which shall not be interfered out of demand of interest of majority of people; realization of justice in communication, reflecting economic freedom and democracy, which is achieved by interest negotiation through adequate talk and consequent mutual compromise on the premise of guaranty of basic freedom and right and of interest exchange; comprehensive maximum of interest, which means that maximum of social interest as a whole shall be the standard for interest regulation in case of failure to achieve settlement through communication. Such standard includes two subsidiary ones: one is that " maximum of net balance of interest" shall be adopted as standard when the conflict of interest results in detriment to the interest of one party in conflict such party shall be compensated therefor, the other is standard of " increased total sum without detriment to any party" should there be no conflict of interest. Only where the former stand cannot be satisfied, the latter one shall be adopted.Chapter Five, "Acknowledgement of Interest of Economic Law: Distribution by Legislation", is the first part of methodology in theory of interest and economic law. This chapter analyses the issue of acknowledgement of interest of economic law by legislation from three perspectives: basic idea of acknowledgement, main procedure of acknowledgement and creation of norms therefor. As for basic idea of acknowledgement, this paper holds that, unlike tradition legislation idea, split-off of interest is the background of acknowledgement of interest of economic law, public choice is the procedure of such acknowledgement, and game among groups is the core of acknowledgement. On main procedure of acknowledgement of interest of economic law, its inner logic follows the route from recognition to choice, then integration and gradually expression of interest In detail, besides common issues, the expression of interest from interest groups shall be given great attention at the stage of recognition of interest; at the stage of choice of interest, three standards shall be adopted that specific requirement of civilization shall be met; interests shall not beyond the protection scope of economic law; and balance shall be achieved when interests are chosen; methods of assessment of value, exchange of interest and proportional analysis shall be adopted at the stage of integration of interest; at the stage of expression of interest, attention shall be given to the fact that expression of interest of economic law falls into the mode of " symbol-object" and the legal language of economic law is usually derived from daily language. As for creation of norms for acknowledgement of interest, the fact that "creation of subject of economic law" reflects characteristics of "from contract to identity"; the structure of "right -obligation" of economic law features imbalance; and the "regulation of legal responsibility " also has many characters different from those of traditional branch laws reflects the attitude of legislation to distribution of interestChapter Six, "Realization of Interest of Economic Law: Multipartite Participation", as the second part of methodology in theory of interest and economic law, researches how to realize interest of economic law, in other words, which means shall be adopted to transform interest of economic law regulated from legal documents to real world. This paper holds that the traditional way of economic law to realize interest is administrative enforcement of law, which is a "order-obedience" mode featuring leading role of administration, enforceability and unilateral act, and encountered difficulties in the circumstances that interests have been split off nowadays and interference means of state features marketability. Economic law, therefore, shall adopt the mode of "multipartite participation" in which multiple parties realize interests through negotiation. Such mode is a structure with characteristics of openness and multi-level, which allows different interest subjects to participate and express their claims for interest From the perspective of the subject who realizes interest, interest may be realized by government, the forth sector, trade union, enterprise and individual instead of only by administration subject As for the way to realize interest, negotiation and game has become important access to interest. Compared with its role in traditional branch laws, policy is such an important means to realization of interest of economic law that it plays a key role in the running of multipartite participation mode.Chapter Seven, "Protection of Interest of Economic Law: Legal Argumentation", as the third part of methodology in theory of interest and economic law, researches how to protect interest of economic law in procedure of judicial safeguard in case of conflict thereof. This chapter holds that the newest research result of legal methodology—legal argumentation shall be introduced to reconstruct the mechanism of protection of interest of economic law for traditional theory of balance of interest has defect unable to overcome. This chapter points out that it is the change of legal methodology in direction from reasoning by formal logic to hermeneutics that pushes rapid development of legal argumentation as a legal method of hermeneutics, which is significant for protection of interest of economic law. Therefore, the mechanism of protection of interest of economic law, according to theory of legal argumentation, has an outlook different from that of traditional judicial procedure. Such mechanism makes protection of interest an open system, in which, subject of interest protection is not the judge only but multiple parties; the result of interest protection is subject to acceptability of the solution by audience instead of correctness of one answer, reasoning of interest protection does not conducted only through formal logic but substantive legal reasoning, including interpretation of law, economic analysis, analysis of social result and analysis of policy; and protection of interest must be in compliance with strict procedure, which refers not to the litigation procedure in broad sense but to a procedure of legal proof in narrow sense as a result of reference to the proof rules of Robert Alexy.更多还原