【作者】 邵敏；

【导师】 徐亚文；

【作者基本信息】 武汉大学 ， 法学、法学理论， 2016， 博士

【摘要】 本文建立在对身份理论阐释和对平等理论反思的基础上。人类发达史同时也可以视为一部不断追求并逐步实现和发展平等的历史,在这一过程中,身份始终发挥着重要作用——历经“契约化”的身份也不再是特权的同义词,而是实现实质平等无法绕过的因素。而以对“法律面前一律平等”的身份反思为起点,则可以进一步挖掘出身份之于法律调整与社会控制的重要意义：身份所附带的是权利与责任及其合法化事由,一旦这种合法化事由发生了变化,身份所赋予的权利与责任也必然被重新定义,进而指向制度变迁。因此本论文旨在探讨身份与法律的交互作用,以明晰身份作用于法律的原理,并以此为基础,为反思我国身份制度与平等的理论提供新视角。在结构上,本文分为三个部分,共五个章节。第一部分为第一章。作者将法律上的身份视为包含了地位、资格、关系和其他要素的系统,由此体现的是身份固有的比较性、被动性和多重性,并昭示出现代身份在政治上的平等意义、在经济上的分配意义以及在法律上的规范意义。而按照不同依据将身份划分为先天身份—法定身份、形式身份—实质身份、积极身份—消极身份、定式身份—不定式身份则是对身份上述特征和意义的进一步阐论。而纵向来看,身份与平等始终存在着无法割裂的联系,即社会发展的整体趋势在于：从注重身份特权的不平等到淡化身份的形式平等,继而走向突出身份的实质平等。也正是在这种历史轨迹之下,自然法学派更着重于论述身份平等与权利平等,分析实证主义法学派则将包括身份在内的一切非法律要素排除,以保证平等成为法律的必然特质。而二战之后兴起的法律与社会运动以及后现代解构主义则促使法学更加注重对特殊身份的保护,由此女权主义法学、批判种族主义法学、批判残疾人法学理论等基于特定身份的法学研究开始进入法理学,并推动实质平等的实现。第二部分为第二章、第三章和第四章。作者分别分析了私法、公法和社会法对身份的调整与控制。在“从身份到契约”这一转化发生之前,身份法在整个法律体系中占有重要地位。而在市场经济之下,在人格平等基础上分别形成了契约化、商业化和市场化的身份,因而近现代的身份实质上意味着一种人格平等和成员资格,还在某些时候决定着财产的归属。而身份的私法调整机制则是利益、价值体系、区分机制、行为规则、外部标志的整合,使得私法中的身份秩序呈现出先在性、伦理性、自主性和国家谦抑性。具体而言,对民法中身份的阐论主要从财产法、人格权法和亲属法三方面入手,对商法中身份的研究则重点关注了商人身份、公司治理结构中的身份以及资本市场中的投资者。第三章作者分析了身份的公法调整。现代公法中身份最为显著的特征有二,一是淡化身份,突出平等；二是公法关系主体双方(国家与公民)身份、地位不平等。前者指向对于公民权利一视同仁地尊重和关怀,后者则衍生出对公权力的严格限定和全面归置。而以社会与国家的关系演变为基础,身份的公法控制机制实际上可以分解为两部分,一是不平等地对待公权力身份主体与公民,以减轻国家之于个人的优势地位；二是平等地调整公民间的关系,以消除各类基于身份的差异。具体到各个公法部门法,宪法对身份的调整以平等和反歧视为重点,刑法中的身份则是定罪和量刑的重要因素。第四章作者分析了身份的社会法调整,社会法的出现在某种程度上意味着人们从淡化身份转为突出身份,而以社会法的分类为基础,社会法中的身份主要包括社会保障法中的身份、社会优待法中的身份以及社会公益法中的身份,并以“集体之人”为基础,形成了兼具平等性和差异性的社会法身份调整机制。第五章为第三部分,是作者对中国现实身份现象及其理论的反思。在立法中,应明确弱者这一身份的相对性、虚拟性和综合性,并以经济贫困和权利贫困为主要判断标准,以生存权为核心,通过赋权和赋能实现对弱者的合理保护。在司法中,由于身份差异而引发的能力差别、情感倾向以及涉诉舆论是身份影响司法判决的主要方式,而区分法律身份和社会身份则是正确处理司法中身份要素的基本原则。在行政执法方面,一方面存在着基于地域、家庭、性别的身份歧视,另一方面身份也是影响行政自由裁量的因素。而应对的重点则在于逐步完善裁量基准制度。更多还原

【Abstract】 This thesis is based on the elaboration of the identity and reflection of the equality. The development of human being can also be regarded as one of striving for, realizing and developing the equality. During this period, identity always plays an important role. The "contractual" identity is no longer synonymous with privilege, but an inevitable factor to the realization of substantial equality. Starting from reflecting the identity out of "equality before the law", the essence of identity to the legal adjustment and social control may be further disclosed. What accompany the identity are the rights, duties and their legitimacy. In case of any change to the legitimacy, the rights and duties entrusted by the identity will be re-defined as well as the institutional change. Therefore, this thesis aims to explore the interaction between the identity and the laws to clarify the role of the principle that the law influences the identity, which is as the base to provide a new perspective for the reflection of status system and equality theory. Structurally speaking, this thesis consists of three parts and five chapters.The first chapter is the first part. The author regards the legal identity is a system composed of one’s status, qualifications, relations and other elements, which thus displays the identity of the specific comparison, passiveness and multiplicity. It discloses the meaning of modern identity to the political equality, economic assignment and legal norms. Further, based on different standards, the classification of innate identity and legal identity, formal identity and substantive identity, positive identity and negative identity, fixed identity and variant identity, are further elaboration of the characteristics and essence of the identity. Seen from the vertical perspective, identity and equality can not be separated. The overall trend of social development lies in that from the inequality with identity-conscious privilege to the formal equity with diluted identity, then to the substantive equality with highlighted identity. It is also under this historical track, the Classical School of Natural Law more focused on the identity equality and equal rights, while the School of Legal Positivism excluded all non-legal elements in order to ensure equality to be the inevitable trait of law. The legal and social movement after World War Ⅱ and the rise of post-modern deconstruction of law is to promote more attention to the protection of the special identities, thereby Feminist Jurisprudence, criticism racism, the disabled and other critical legal theory has begun to enter specific identity-based legal research jurisprudence, and promote the realization of substantive equality.The second part consists of Chapter 2,3 and 4. The author separately analyzed private law, public law and social law adjustment and control to the identity. Before this transition "from status to contract" occurred, the identity of law plays an important role in the whole legal system. Under the market economy, on the basis of equal personality, the contractual identities, the commercial identities and the marketizationed-identities were separately formed, which essentially means the modern identity an equal personality and membership, which some time decides the ownership of property as well. The private law adjustment mechanism is actually the integration of interests, value systems, distinguishing mechanism, rules of conduct, external sign, which makes the identity order of private law to exhibit resistance, ethics, independence and national modesty. Specifically, the study of identity in the civil law mainly starts from three aspects:the property law, the personal law and family law, while the identity in the commercial law is focused on the merchant identity, the identity of the corporate governance structure and capital markets investors identity.The third chapter analyzes the public law adjustment of the identity. The identity in the modern public law has two significant features:one is to dilute the identity and highlight the equality; the other one is the identity and status inequality between the main parties in public law (state and citizens). The former one points to the equally respect and care of the civil rights, while the latter one extends to the strict limit and division of the public power. Based on the evolution of the relationship between the society and the state, the public law control mechanism of the identity can actually be split into two parts:one is the unequal treatment between the identity body of public authority and citizens in order to weaken the individual dominant position of the state; the other one is the equal adjustment to the relationship between citizens in order to eliminate all kinds of identity-based differences. Specific to the various public law departments, constitutional law focuses on the equality and anti-discrimination, while the criminal law takes the identity as important element to the conviction and sentencing.In the fourth chapter, the author analyzes the social law adjustment of the identity. The emergence of social law, to some extent, means that people tends to highlight the identity instead of diluting the identity. Based on the classification of social law, the identity mainly includes those in Social Security Law, Social Preferential Treatment Law as well as Social Public Interest Law. In addition, the social law identity adjustment mechanism, integrated with the equality and diversity, is formed on the grounds of the "collective of the people".Chapter five is of the third part, which is the reflection of the author for the real identity phenomenon and its theory in China. In the legislation area, the relativity, the virtualization and integration of the identity shall be clearly put forward. The economic poverty and right poverty shall be the main criteria of the decision, and economic rights of the poor and poverty as the main criteria for the right to life as the core, through empowerment of rights and capabilities to achieve a reasonable protection for the weak. In the administration area, due to the ability differences triggered by identity difference, emotional tendencies and litigation opinion are the main forms of identity’s affecting judicial decisions. How to tell the distinction between the legal identity and social identity is the basic principle of justice to handle identity-related elements correctly. In terms of administrative law enforcement, on the one hand there is discrimination based on region, family, gender identity; on the other hand, the identity is also a factor to influence the administrative discretion. The response lies in the gradual improvement of discretion-benchmarks system.更多还原