【作者】 刘昕；

【导师】 张创新；

【作者基本信息】 吉林大学 ， 行政管理， 2015， 博士

【摘要】 举报行为历史悠久，形式多样，伴随着人类的进化史不断演进，成为社会监督和国家治理的有效工具。统治阶级因为执政需要会在不同的历史时期对举报行为进行相应的伦理塑造，包括对举报行为性质和举报人道德修养的褒贬不一，也正是因为如此，传统文化、理论研究和现实社会对于举报行为的善恶争论不休。对于这种本身充满危险的行为，纯粹的得益者——“公众”往往呐喊助威；纯粹的受害者——“被举报对象”则深恶痛绝；夹在两者之间冷静的“举报人”常常会理性剥离荣誉的光环，冷静思考举报结果能够给各方带来的变化。于是，因为伦理道德驱使而进行举报的行为个体，将会一次次的陷入利益权衡、忠诚保持以及规则遵循的内生伦理矛盾之中，进而导致举报意愿的逐渐消磨，举报行为实施几率的下降。潜在举报人伦理矛盾产生的原因主要来自于三个方面：其一，举报行为的行为性质是伦理矛盾产生的必然原因。举报行为本身融合了非完全利他行为性质、亲社会行为性质和强互惠行为性质，即举报行为并非完全的利他性质，每个潜在举报人都会因为非完全利他意愿而产生矛盾性利益思考，而亲社会行为性质和强互惠行为性质的判定又会促使潜在举报人因为存在维护社会规则的需要而产生不顾自身利益的罚他冲动，恣意的惩罚他人替代了举报利他的根本初衷，“利他-罚他”、“利他-利己”，行为性质本身就涉及内生伦理矛盾的思考。其二，潜在举报人个人伦理认知的不坚定是伦理矛盾产生的直接原因。这种个人伦理认知的动摇可以来自于组织、组织成员以及公众支持的减少，也可以来自于能够对伦理敏感度、伦理推理、伦理动机产生影响的个人情感认知的不稳定。其三，传统社会文化对于潜在举报人伦理判断上的困扰是伦理矛盾产生的间接原因。这其中包括崇尚集体主义的国家文化对于举报行为的抗拒，以及崇尚个人主义的国家文化对于举报行为的逃避。显然协助潜在举报人走出伦理困境，首先要在内心深处，使其坚定对于举报行为正义属性的伦理判断。文章通过对国家相关法律的解读、公民政治民主权利的重申以及部分侵权行为的法理辨析，在公众契约视角下确认举报行为的正义性。同时，文章通过对自我伦理救赎、忠诚他人得益和本身职业角色坚守三种具有代表性的举报行为动机的分析，来帮助潜在举报人肯定自己的行为动机符合伦理正义，并且以“代理转换原则”和“社会交换理论”解释下的两种不作为的非正义性论证，逆推公民实施举报行为符合伦理正义。在探讨协助潜在举报人摆脱伦理困境的具体措施中，本文仍强调回归人本精神，坚持对潜在举报人内心层面的伦理关怀。提倡以伦理摩擦较小的内部举报作为缓解各方伦理冲突的有效手段，在营造正确的组织伦理氛围基础上，不断加强对组织内部接报机构和内部举报机制的完善。其次，努力消除盲目忠诚为潜在举报人带来的伦理困扰，提出将理性忠诚作为替代盲目忠诚的最优选择，建议雇佣双方树立正确的理性忠诚目标，合理把握理性忠诚尺度，进而从理性忠诚真诚的维系中得到互惠。在举报行为相关法律设定的探讨中，本文更多强调“法定权利”和“伦理义务”，扭转举报行为“权利-义务”的失衡态势，并且希望可以通过完善法律条款达到约束并引导企业伦理和社会道德，规范并激励内部举报和匿名举报行为，同时强调以道德谴责来塑造潜在举报人内在秉性，从根本上为潜在举报人排除个人伦理认知的干扰因素。最后，以举报行为的回应机制建设作为未来提升举报行为伦理认定的有效手段。提出对于举报行为应以政府回应为主导、以社会回应为辅助，以共同治理思想来明确举报行为的正义判定，激励举报意愿向举报行为实施的转化，完成由混乱的个人伦理认知向清晰正确社会伦理秩序内化的转变。更多还原

【Abstract】 Whistleblowing has a long history and multiple forms, revolting with the evolutionof human history. It also becomes the effective tool of social supervision andgovernance. Because of the governance needing, the ruling class always make thecorresponding shape on this behavior in different historical periods. It includes thecharacter of report behavior and the moral cultivation of whistleblowers. Just because ofthis, the traditional culture, the theory research and the reality of society are debatingendlessly towards it. To this full of dangerous behavior, pure profit-"public"often cheer it; pure victim–“wrongdoers” often hate it; sandwiched between them–“whistleblowers” often rationally strip the ring of honor, and consider the result toevery party. Therefore, the ethical and moral drives the whistleblowers fall into theendogenous ethical thinking with interests of maintenance, loyalty holding, and rulesfollowing. And then the willingness and probability rate of whistleblowing is decline,even disappear.The causes of potential whistleblowers’ ethical contradiction are mainly from threeaspects. Firstly, the nature of whistleblowing behavior is the inevitable reason. Thenecessity of potential informants ethical conflict is the behavior itself incorporatesAltruism, Prosocial Behavior, and Altruistic Punishment. That is to say, whistleblowingis not a totally altruistic behavior. Because of the not completely altruistic behavior,each whistleblower will consider the benefit. At the same time, the prosocial behaviorand altruistic punishment will encourage potential whistleblowers to produce amotivation to punish the wrongdoer in order to maintain the social rule. The arbitrarypunishment replaces the altruism as the basic intention.“Altruism, Punishment”, “Altruism, Egoism”, which means the behavior nature itself refers to the thinking of theendogenous ethical contradiction. Secondly, the personal ethical cognition is the directcause. Personal ethics cognitive part demonstrates the behavior contradiction ofpotential whistleblower mainly comes from the individual ethics cognition frailness.The support reduction from organization, the organization members and the public willshake the individual ethics cognition. Cognition of emotion will influence the individualethical sensitivity, ethical reasoning and ethical motivation. Finally, the social culture isthe indirect cause. The background of social culture mainly refers to the collectivistcountries, and the individualistic countries. The collectivist countries usually directlyrefuse to whistleblowing, and the individualistic countries usually avoid thewhistleblowing.Obviously, in order to help the whistleblowers walk out of the ethical dilemma, thefirst thing is to help them confirm the justice of whistleblowing in the deep heart.Through the law, political democracy, the infringement of business secrets and personalprivacy law interpretation to confirm the justice of report behavior. Secondly, analysisfrom the individual personal ethic redemption, the loyalty for the other belief and theoccupation role keeping, in order to help the potential whistleblowers understand thathis action is justice. And then, the argument takes the inactive whistleblowing based onthe “agency conversion” and “social exchange theory” as the contrary proof of injusticeto overthrow the justice of inactive whistleblowing. It also proves the implementation ofwhistleblowing as a justifiably ethical behavior.In the research process of specific measures, we also stressed the humanistic spirit.Advocate the internal whistleblowing which is the minimum ethical friction way as aneffective method to alleviate the conflict among parties, construct the right ethicalatmosphere, and then strive to improve the internal whistleblowing construction and thesystem of organization. Secondly, remove the moral distress of potential whistleblowersfrom blind loyalty, and select the optimal proposes rational loyalty instead of the blindloyalty. Suggest to building the rational loyalty target, reasonably grasp the scale ofrational loyalty, and then it may give them reciprocal. In the research of relevant rules,we emphasize the “legal rights” and the “ethic obligation” and reverse the imbalance situation of “rights, obligations” with whistleblowing. Hope to restrain and guide thebusiness and social ethic, limit and incent the internal and anonymous whistleblowing.At the same time, emphasize shape the natural instincts of whistleblowers through theethical denouncing. These may fundamentally remove the interference factor ofpersonal ethical cognitive. Finally, make the construction of response mechanism towhistleblowing as an effective method to enhance the ethical confirmation towhistleblowing. We need to make the government response behavior as leading power,the social response as auxiliary and the cooperation idea to clear the justice ofwhistleblowing. We also use these to incentive the report behavior, complete thetransition from individual ethics cognitive confusion to clear and correct internalizationof the social ethical order.更多还原