【作者】 赵迅；

【导师】 李步云； 石柏林；

【作者基本信息】 湖南大学 ， 经济法学， 2008， 博士

【摘要】 社会契约是一种关于国家与社会的“存在原理”。社会契约论的理论旨趣是:国家何以合法?社会何以可能。按价值取向的不同,社会契约可分为同意型社会契约、互惠型社会契约、平等型社会契约、人本型社会契约。社会契约视域下的弱势群体可相应界定为:没有实际参与同意过程而使缔约目的没有充分实现的人群;没有从社会契约中受惠并与契约伙伴共同发展的人群;没有在立约时被平等对待并予倾斜保护致使其基本人权受到侵害的人群;没有在契约重大变更(即利益结构重大变更)时处于有利地位而被作为功利考量牺牲品的人群。弱势群体保护的社会契约责任基础包括:同意型社会契约政府责任之自由基础、互惠型社会契约个人责任之功利基础、平等型社会契约社会责任之正义基础、人本型社会契约动态完善之人道基础。社会契约理论形态经历了漫长而复杂的历史变奏。但其基本精神始终不散:政治权威源于人民的同意,政府基于人民的委托。同意型社会契约政府责任有其内在的生成逻辑:政治国家是理性型构的产物;自然状态的非自足性是进入文明社会的逻辑起点;人民一致同意是政府合法性的前提;政府合法性更在于信守承诺、履行责任,遵守自然法;社会契约终极关怀是保障人民的安全、自由和财产;政府的合法性还在于自身应是一个道德体;当政府合法性丧失时人民可以行使抵抗权。社会契约论虽非历史的,但不减其合法性判准的实践现实性。弱势群体保护是同意型社会契约视域下政府责任的必然诉求;政府责任的重心所在;政府良善的集中体现;政府安全的社会基础。互惠型社会契约的契约机理是:社会契约是缔约各方建立在合意基础上的一种共识;每个人必定从协议中获利;互惠是一种回报合作的道德义务;契约通常是一连串的行为需要各方不断地践约。互惠型社会契约的价值取向是完善后的个人主义,即“合作性个人主义”。互惠型社会契约的人性基础是:社会之可欲在于对每一个立约人都有改善;“人类独占性危机”决定互惠性“社会强制”的必要;个人效用最大化之“自然理性”的非自足对“正确理性”的诉求。互惠型社会契约的理性标准与“人性悖论”消解的理路是:个人必须信守有限的效用最大化;把有利于效用最大化与有利于每一个人调和起来。互惠型社会契约蕴涵了弱势群体保护的价值精髓:契约团结;契合了弱势群体保护的社会意义:系统最优;标示了弱势群体保护的发力源泉:个人责任;明晰了弱势群体保护的有效路径:规则之治。平等型社会契约之道德平等诉求在于互惠型社会契约之功利诉求对弱势群体保护的局限。平等型社会契约下平等对待的基本理据是:缔约主体平等;缔约贡献平等;种属尊严平等;人权权利平等。平等型社会契约平等对待的价值在于创造良善的生活与良善的共同体。平等型社会契约须树立正确的平等与正义、平等与自由关系观;弱势群体保护下平等型社会契约平等之真义是主体地位与人格尊严的平等,是形式平等与实质平等的统一、机会平等与结果平等的统一。平等型社会契约下弱势群体特殊保护首先需要公平正义原则的择出,而此原则其所以有对社会弱势群体倾斜保护的诉求,首先是建立社会合作体系的需要;其次是人之为人的尊严;再次是在“无知之幕”下对某一个人最好的就是对所有人最好的。而对公平正义原则之“差别原则”的质疑是可辩护的。人本型社会契约的生成逻辑在于人本主义与社会契约在理论逻辑与历史演进上深刻的内在契合。在这一意义上人本精神是社会契约的基因与核心价值。提炼人本型社会契约概念意义深远:使人从抽象的契约中解脱出来,实现“从契约到身份”的地位转变,这是弱势群体保护的根本性出路。人本型社会契约的基本特征是以人为中心、以满足“人的需要”为根本目的的社会。人本主义的精神意涵包括:人的价值高于一切;人是目的不仅是手段;尊重人格和人的主体性;承认人性保障人权。人本主义的价值取向是“个体主义下的整体主义”。人本型社会契约下的弱势群体生成与现代化进程中以人的异化为主要表征的“现代性悖论”有着深层次的关联。因此,现代性语境下人本型社会契约的弱势群体保护,其要害是对以物为本的修正与对人的救赎;其实质是对现代性危机的破解;其诉求是对科学发展观的契合。弱势群体保护下社会契约的动态完善需要社会契约人本主义向度的理念沉淀与原则坚守:即坚持在个人、社会、国家三者共生基本原则,既要对自由放任主义防范,又要对“功利”侵害“权利”之社会功利主义保持警惕。坚持“人是目的不是手段”的基本原则,反对以物为本的“生产主义”。坚持“人是中心主体而不是客体”的基本原则,反对“生态中心主义”,防止对可持续发展理论的误读。坚持“全体人民共享发展成果”的公平正义原则,反对“精英豪强社会”。坚持“凸显人性保障人权”的基本原则,反对“恶法亦法”的形式法治。弱势群体保护诉求下完善人本型社会契约的技术草图和制度型构包括:创新保护模式;着力后续调整;突出经济权利;完善利益表达制度;建立诉讼制衡机制。更多还原

【Abstract】 Social contract is a kind of“existence principle”concerning state and society. The aim of social contract theory is: What is the validity of state existence? What is the probability of social existence? The social contract’s justice includes freedom principle, reciprocity principle, equality principle and credit principle. According to different value mindsets, social contract may be divided into types of approval, reciprocity, equality and humanism social contract. Under the visual field of social contract, disadvantaged groups can correspondingly be defined for: Groups who did not really participate in the agreement process and thus made the purpose of conclusion has no full realization; Groups who had not benefited from social contract and developed together with their contract partners; Groups who had not been treated equally at the time of conclusion and whose basic human rights suffered infringement; Groups who were not on a good wicket during contract’s significant change and were taken into account as utility sacrificial lamb. Social contract responsibility foundations of the protection of vulnerable groups include the freedom foundation of consent-type social contract government’s responsibility, the utilitarian foundation of reciprocal type social contract individual’s responsibility, the justice foundation of equal type social contract social responsibility and the humanitarian foundation of human-based social contract dynamic improvement.Approval social contract theory’s configuration experienced an endless but complications historic variation. But its basic spirit never scattered: State comes from people’s approval and government according to people’s entrust; In reverse, it’s state responsibility that government scrupulously abides by promises, guarantees human rights and realizes social justice which by no means can not be evaded of, and are also the legal substantial condition for state and government. Responsibility of the approval social contract type state has its inside creation logic: Political state is the outcome of the reasonableness establishment; State of nature’s not-self-sufficient is the logic point of departure in entering a civilization society; People’s consistent approval is the premise of the state’s legitimacy; The state’s legitimacy lies in more to keep commitment, implement responsibility and to obey nature principle; Social contract’s ultimate concern is to guarantee people’s safety, freedom and property; The state’s legitimacy also lies in that itself should be a moral system; When state’s legitimacy losing its function, people can exercise their resistance power. Although social contract theory is of no historic, the practicing reality of its standard judge legitimacy will not reduce. Under the visual field of approval social contract disadvantaged group’s protection is an inevitable claim of the government responsibility, the center of the government responsibility, the concentrate embodiment of the government’s good conscience and the society foundation of the government’s safety.Reciprocity social contract’s contract mechanism is: Social contract is to conclude a kind of consensus which builds on the pleasing foundation of every side; Everyone can earn benefit from the agreement without fail; Reciprocity is a kind of moral obligation on cooperation; The contract is usually a series of behavior demands that need everyone constantly go to an appointment. The value tropism of reciprocity social contract is a perfected individualism, that is "cooperation individualism" or "general benefit individualism", also named as "relation individualism". The human nature foundation of the reciprocity social contract is: Social existence purpose is to improve everyone’s circumstance who participates in making a social contract; "Mankind monopoly crisis" decides the necessity of reciprocal "society compulsive"; Not- self-sufficient of personal effect maximized "Nature reasonableness" claims "exactitude reasonableness". The reasonableness standard of the reciprocity social contract’s solution ways with "human nature contrary theory" is: Individual has to keep limited maximized effective; To adjust the harmony of the public benefits and the ego benefits, and the harmony of benefiting maximized effective with benefiting each person. Reciprocity social contract contains the value essence of disadvantaged group’s protection: The contracted solidify; Corresponding the social meaning to disadvantaged group’s protection: System optimum; Marked the origin strength of disadvantaged group’s protection source; Personal responsibility; Clearing an valid path for disadvantaged group’s protection: The governing of rule.The moral equal claim of equality social contract lies in the limit of utility claim to the disadvantaged group’s protection of reciprocity social contract. Equal treatment’s basic reason under the equality social contract is: Individual equally; Contribution equally; Dignity equally; Human rights equally. The equal treatment’s value under equality social contract lies in creating good life and good community. The equality social contract should set up correct relation view between equality and justice, equality and freedom; The really meaning of equality under the disadvantaged group’s protection of the equality social contract is the equality between individual’s status and personal dignity, is the unification of formal equality and substantial equality and the unification of opportunity equality and result equality. The special protection of disadvantaged group under the equality social contract firstly needs emphasizing fair and justice principle, and the reason why this principle has an demand of inclined protection for disadvantaged group’s protection, firstly is the need of constructing social cooperation system, secondly is the dignity of why a person be human being, thirdly is the need of treating everyone the best by treating some one the best under the veil of ignorance. The query to "difference principle" of fair and justice principle can be vindicated: Once the veil of ignorance is removed, "difference principle" can still exist under the uncertainty of market and life; The nation’s intervention that realizes "difference principle" is not to infringe upon personal right but a kind of universal benefit principle including the advantaged group; distributive justice will not cause centralization, but is the appropriate intervention and system respond carried out by state to change "night police" role in“private area”emphasizing particularly on“substantive equality”claim; Nor the "difference principle" will cause equalism, but only regards ensuring basic human rights as the base line; "Difference principle" is not only fair, but also the scientific justice theory for alleviating the conflict between freedom and equality.The hypostasis logic of humanism social contract lies in humanism’s deep internality agrees with social contrast in theory logic and history evolvement. The concluding and improving of social contract substantially are similar to the constitutionality and amending constitution which establishes social basic economic and political system (essential system), also is the establishment of the backside’s logos which is the most important system in social basic system’s establishment. The concluding of social contract is derived from and serves the needs of human themselves’survival and development, the purpose which makes an agreement to found a nation is for person, on this meaning, humanism is the gene and central value of social contract. The meaning of refining humanism social contract’s concept is profound: If classical social contract makes individual separated from the Middle Ages particular identity social relationship, completed the principal model change“from identity to contract”, humanism social contract will make the person set free from abstract contract, manifesting human’s value again, realizing the position change“from contract to identity”, this is the essential path of disadvantaged group’s protection. Humanism social contract’s creation path lies in individual and society’s harmonious symbiosis; its basic characteristic is a society which takes human beings as its center and satisfying men’s demand as its basic purpose. The spirit of humanism includes: men’s value is the most important; Man is the purpose not only a tool; Respecting personality and men’s independence; Admitting human nature and guaranteeing human rights. Humanism’s value mindset is“a whole doctrine under the individual doctrine”. Disadvantaged group’s creation under humanism social contract has a deep relation with“modernity paradox”which takes men’s variation as main characteristic in the modern progress. Therefore, the vital part of disadvantaged group’s protection under modern humanism social contact is to the correction which takes material as central and to the person redemption; The substance of disadvantaged group’s protection is to solve the modern crisis and its claim is to agree with Scientific Developing Concept.Under the disadvantaged group’s protection, social contract’s dynamic perfection needs idea precipitation and principle persevere of social contract’s humanism: That is insisting the symbiosis basic principle on personal, social and state, keeping a vigilance not only to the Laissez-faire doctrine, but also to the social utilitarianism which makes“utility”to violate“right”.We must insist the basic principle that“person is the purpose not tool”, and against the production principle which takes material as essential. Insisting the basic principle that“man is the central part not an object part”, and against“ecosystem central principle”, preventing the misunderstanding to the sustainable development which is: Regarding“nature feelings”is more important than“humanism feelings”,“fairness between generations”is more important than“fairness in generation”and“ecosystem harmony”is more important than“society harmony”. Insisting the fair and justice principle that“the whole nation shares the development achievement”, and against“a society of too many elites”. Insisting the basic principle of“highlighting human nature and guarantee human rights”, opposing the formation government that“bad laws are also laws”. Under disadvantaged group’s protection claim, technique drafts and system modes on perfecting the humanism social contract include: The innovation protection mode; Put forth effort to follow-up adjustment; Highlighting economic right; Perfecting the benefit express system; Build up a litigation mechanism of checks and balances.更多还原