【作者】 郭忠；

【导师】 付子堂；

【作者基本信息】 西南政法大学 ， 法学理论， 2010， 博士

【副题名】从道德的法律化到法律的道德化

【摘要】 本文旨在探讨道德秩序和法律秩序这两种不同的秩序形式存在着的相互转化现象。本文认为,从历史上看,法律秩序的形成来自于道德的法律化,法律秩序尽管是一种现实的必然,但也不无缺憾。本文的研究试图得出结论：从人类发展的远景看,在法律秩序的基础上进一步建立道德秩序是可能的,它就是通过法律的道德性的建立以及公民积极自愿的守法行为,实现法律的道德化,从而实现法律秩序向道德秩序的自然转变。本文的引言部分包括写作的目的和意义,以及相关文献的综述。该部分的目的是指明写作本文的问题意识和写作方向：来自笔者对道德秩序和法律秩序发展前景的思考,以及对于人性发展的关注。第一章主要是对本文的几个关键概念进行解释,这种解释是本文写作的必须。因为本文涉及到的这些概念的含义在学术界并不统一,所以有必要指明本文中的道德法律化、法律道德化、道德秩序、法律秩序这几个概念的含义是什么。当然,本文并不认为有关概念存在着标准的含义,也不试图给出标准含义,仅仅是因为表达本文内容的需要而进行的一种界定。第二章主要是对道德秩序向法律秩序转化的原因做出分析。本文认为道德秩序的存在是原始社会的秩序之源,随着利益以及道德的分裂,原始道德的统一性破裂了,一种更具有强制性的秩序形态——法律秩序开始产生出来,并日益地占据了人类社会生活的重要舞台。随着法律秩序的强大,道德秩序存在着一个逐渐衰落的过程,这个衰落过程的加剧又和资本主义的发展密切相关,资本主义的法律秩序是建立在最大限度地获取利益的理性人基础之上的,由于追逐利益的欲望引导,人们迫切需要能够明确地计算利益的法律规则,因此技术化、强制性的法律较之温情的、含糊的伦理道德规范而言具有更强大的优势,可以以更加明确的、可计算的规则提供行为的确定性和可预测性。第三章主要论述道德秩序向法律秩序转化的方式——道德的法律化。首先本文分析了法律中的伦理性内容和技术性内容。试图阐明,法律规范构成的基本材料来自道德,可以直接地来自道德,也可以间接地来自道德。此外,道德的法律化经历了一个从伦理、物理到法理,再到法律的过程。在这个转化过程中,又通过一些具体的方式和手段来实现,包括道德向法律的直接转化和道德向法律的间接转化。在道德向法律的间接转化中,道德在立法中通过一些技术性处理,即道德被拆分以及进行逻辑整合,而具有了法律的外在形式。道德向法律的间接转化最为隐蔽,但也最常见。无论是直接转化还是间接转化,最后都通过被赋予国家强制力,而成为法律。本章还将道德法律化分为道德义务的法律化和道德权利的法律化,以及道德向公法的转化以及道德向私法的转化。第四章主要论述道德法律化之后在人文领域出现的问题。人文领域是人的主观心灵世界所创造的领域,是人性可以自我发展的领域。本章认为道德的法律化并不能解决人文领域的问题,而相反让人产生更多的对于人性的忧虑。因为,道德的生活和法律的生活是有很大差异的,道德的生活是主动服从道德的积极生活,而法律的生活是被迫服从法律的消极的生活；道德的生活是基于情感的生活,法律的生活是基于理性的生活；道德的生活是着眼于和谐,法律的生活着眼于公平。由于以上不同,在道德的生活中,我们可以发现一个积极向上的,有道德自由、有情感的人,而在法律的生活中,我们发现的却是消极的、不自由的、计较利益的和冰冷无情的人。从道德的生活转向法律的生活,意味着人性也在发生着根本的变异,道德法律化加剧了人被物化的进程。第五章主要论述道德法律化过程中的法律难题。本章所指的道德法律化的法律难题并不涉及具体的道德规范或原则向法律转化中存在的难题,而是整个道德体系作为法律的价值根基时,而出现的法律难题,这个难题随着现代性的进程日益显现出来。难题分两个方面：首先是普遍性道德的虚无和法律道德根基的亏空。主要是指当代社会的道德的相对主义和虚无主义掏空了法律的道德根基,使法律变成了没有确定价值,而只具有工具意义的纠纷解决工具。其次是道德的碎片化和法律的整体性的破裂。主要是指个人主义思潮造成社会的共同道德分裂为碎片,最终造成法律无法维持自身的整体性。第六章主要承接上面提出的道德法律化所面临的难题,并回答道德秩序能否重建的问题。本章认为,道德法律化是一种现实的需要,但它又是具有缺憾的,因此法律秩序向道德秩序的转化是有必要的。从法律秩序到道德秩序的过程就从道德的法律化到法律的道德化的过程。这个过程可分解为两个过程。首先,从道德的法律化开始,最终建立法律的道德性；其次,由于法律获得了道德性,通过人们对具有道德性的法律的自愿遵守,法律的强制力逐渐变得没有必要,法律向道德进行转化,这个过程就是法律的道德化。从法律秩序向道德秩序转化具有可能性的关键点在于人性具有向善的能力,人性赖以生长的外在环境也是可改变的。第七章主要承接第六章论述法律道德化的第一步骤：法律的道德性的建立。首先,本章区分了内在道德和外在道德。内在道德是人内心自然产生出的道德直觉和道德观念,外在道德是内在道德外化而成,是在一个社会中客观化的、被社会成员共同接受的道德原则和道德规范。由于道德的这种划分,法律的道德性也就包括了法律的内在道德性和法律的外在道德性。内在道德和道德真理相关,可以解决法律的普遍性道德的根基问题,它出现在人的内心领域,表现为人的良知或情理,它可以通过立法和司法在法律中体现出来。要建立法律的内在道德性,需要立法者、司法者甚至全体社会成员提高道德修养,培养道德良知。法律的外在道德性是外在道德在法律中的体现。由于外在道德是社会性道德,它需要一致性和整体性,而缺乏了它,法律就无法具有整体性。所以有必要从体用关系角度认识道德和法律的关系,建立外在道德的整体性是法律获得整体性的关键。而外在道德的整体性有自身的历史延续性,必须从传统文化中吸取资源。第八章主要论述法律道德化的第二步骤：法律的道德化。本章认为法律秩序向道德秩序的转化就是法律道德化的过程,也是守法的道德义务被普遍完成的过程。这个过程也必然经历法律的权利本位向义务本位的转换。权利本位和义务本位在道德上存在着差异,从道德上讲,义务本位更有利于人们的内省、自律的道德精神的形成。因此,需要我们用对他人的合理义务来制衡权利的过度滥用和对权利的侵犯。这种合理的义务就是守法义务。从这种最基本的道德义务出发,我们就可以走出一条从法律秩序向道德秩序的转化之路。这条道路就是从低度法治到高度法治,最后到德治的道路。当亚里士多德提出的“良好法律”和“人人守法”的两大在法治要件被彻底实现时,法治向德治的转化就自然实现。在法治社会里,自觉守法的道德人的不断增长是法律秩序向道德秩序转化的直接原因。通过法律秩序向道德秩序的转化,法律的强制力开始减退,法律的技术性开始弱化,人性也开始发生变化。人们因为挣脱了法律的外在束缚,褪去了内在欲望的困扰,最终获得了真正的自由和解放。第九章是前一章的进一步深化,主要是从知行合一的角度论述法律道德化的实现机制。本章认为在道德领域和法律领域内都存在着知行合一现象。在道德领域内需要实现道德真知和道德行为的统一才能够防止道德知识和道德行为的脱离,实现道德秩序；而法律领域内需要实现知法和行法的统一,防止书本上的法和行动中的法的脱离,实现法律秩序。道德领域和法律领域内的知行合一尽管有不同,但二者可以通过法律意识和道德意识的契合实现二者的统一。因此,从知法和行法的统一可以开辟出一条法律秩序到道德秩序的道路,这条道路就是通过公民法律意识和道德意识的培养,修身自律,使法律义务转为公民自我的道德义务,使守法行为成为公民的道德行为,实现法律在每个公民那里的道德化。第十章总结了法律秩序和道德秩序相互转化的基础。本章认为法律秩序和道德秩序相互转化的前提是源于二者的共性,这种共性体现在：第一,法律和道德有共同的来源,即对“应当”的价值追求；第二,法律和道德有共同的目的,即促进社会秩序的有效形成。法律秩序和道德秩序相互转化的枢纽是正义(公正),笔者认为,正义是一种最低限度的道德,又称公正,是在利他和利己之间的一种适度,它构成了道德行为的最低要求。正义是法律和道德在价值上相互重合之处,无论是道德的法律化还是法律的道德化都必须以正义为出发点。结语部分是本文的总结。主要认为从道德秩序到法律秩序并非是人类必然的宿命,只要人类具有向善的理想和愿望,人性善良的目标是可以达到。因而法律秩序是可以向道德秩序转化的。这个转化过程就是：通过法律向外在道德的演变,由国家强制的他律转化为舆论他律；最后实现由舆论他律向服从内在道德的良知自律演变。更多还原

【Abstract】 The purpose of the thesis is to study the transformations of moral order and legal order. Legal order came from moral legalization in history. Although legal order is a selection of realism, there are some defects in it. The study try to conclude that to establish moral order in the foundation of legal order is possible in the aspect of human future. The transformation from legal order to moral order can be realized unconsciously by the establishing of morality of law and voluntary abidance of law.Moral order and legal order existed in difference historical periods. Moral order was the spontaneous order first happened in human society. But after the state and law appeared, people began to make the moral order transformed to legal order through the moral legalization gradually. The thesis first study the moral legalization, includes the evolution and course from moral order to legal order, the fundamental forms and concrete methods, the humanism problem and today’s legal problem in moral legalization. Secondly, the thesis study the problem if the moral order can be built renewably, involve how to achieve transformation from moral legalization to moralization of law. The thesis concludes that the spontaneous transformation from legal order to moral order can be carried out through the establishment of morality of law and transformation of humanity, and through the voluntary observing of law.The introduction of the thesis includes the purpose and significance, and some relevant literature review. The purpose of this part is to point out the issue and discussing aspect—my reflection about moral order and legal order, and my attention of humanity development.The first chapter is to explain several pivotal conceptions. The meaning of the conception has not been unification, so it is important to point out the meaning of the words such as moral legalization, moralization of law, moral order and legal order. However, the thesis doesn’t think this conception has a normative meaning, and put forward a normative meaning.The second chapter is to analysis the causation of transformation from moral order to legal order. The order of primeval society was moral order, but the oneness of morality finally was broken along with the split of benefit and morality. Legal order, a more compelling order was produced, and gradually stood on the stage of human being society. At the some time, moral order gradually declined. The eclipse of moral order rapidly developed in capitalist society. Capitalist legal order built on the base of rational man whom seeks for benefit furthest. Because of the desire of benefit, people need legal rule urgently to calculate their benefit accurately, so the technicality and compelling legal rules have stronger predominance than gentle and vague moral rules. It can provide more clear and calculable rule to guide human behavior.The third chapter analyses the mode of transformation from moral order to legal order—moral legalization. Firstly, the thesis analyzed ethical content and technical content in law, and intend to pointed out the basal material in legal rule came of morality. Legal rule came of morality directly or indirectly. Secondly, the course of moral legalization pass through from ethic to physics to Legal Logos, finally to law. There are some concrete instruments in this transformation, includes direct moral legalization and indirect moral legalization. In legislation, moral rules have a sort of legal form by some technical disposal, namely, moral is disconnected and recombined by logic. The indirect transformation is very familiar, but very covert. Whether direct transformation or indirect transformation, moral rules are endued with national force and become laws. Furthermore, the thesis is going to differentiate moral obligation legalization and moral right legalization, and differentiate transformations to public law and transformations to private law.The fourth chapter studies the problem in humanism realm about moral legalization. Humanism realm is a realm which created by human subjective inner world. It’s a realm that humanity can develop itself. The chapter thinks that moral legalization can’t solve the problem in humanism realm, on the contrary, it give us more worry about humanity. It is because that there are many differences between moral life and legal life:moral life is a voluntary life, and legal life is passive life that people are obliged to obey law; moral life is a affective life, and legal life is a rational life; moral life try to realize harmoniousness, and legal life try to realize impartiality. In moral life, people can find a person who has active sensibility and moral freedom, but in legal life, people can find a person whom is passive, comfortless, calculational and unkind. From moral life to legal life, a radical change happened in humanity. However, moral legalization increases the course materialize a man.The fifth chapter discusses the legal problem in the course of the moral legalization. The legal problem of the moral legalization does not include idiographic problem in moral rules transform to laws, but is the problem happens when whole moral system as a value foundation. The problem appears along with the course of the modernity increasingly. The problem has two aspects. Firstly, it is the nihility of universal morality and empty of moral foundation of law. Moral relativism and nihilism excavate moral foundation of law, and make the law become a tool only to solve legal disputes without any determinate values. Secondly, it is the fragmented morality and break of legal integrity. That is to say individualism trend result in fragmented social common morality, and result in comedown of legal integrity.The sixth chapter will answer the question if the moral order can be rebuilt. The chapter thinks that the moral legalization is a need of reality; however, there is some demerit in it. So it is necessary that legal order transforms to moral order. The course from legal order to moral order is the course from moral legalization to moralization of law. The course can be divided in two courses. Firstly, legal morality is built from moral legalization. Secondly, Because of the legal morality, the legal compulsion becomes no use gradually through the people’s voluntary abidance of law. So law transforms to morality, and moralization of law begins. The key of feasibility of transformation from legal order to moral order is the ability of humanity, and the environment of humanity growth can be changed too.The seventh chapter discusses the first step of moralization of law—build the morality of law. Firstly, the chapter differentiates the inner morality and exterior morality. Inner morality is moral intuition and moral idea comes from human heart. Exterior morality is moral principles and moral rules which are external and accepted by most social members, and it is from inner morality. Thus, the morality of law includes the inner morality of law and the exterior morality of law by the partition of morality. Inner morality relates to moral truth, can solve the legal foundation problem of the universal morality. Inner morality appears in human’s heart, is human conscience or rational sensibility. It can be represented in legislative and judicial course. The establishment of inner morality of law will needs legislator, judges and every citizen improve their moral culture and train moral conscience. The exterior morality of law is from the exterior morality represented in law. Exterior morality is social morality; it needs coherence and integrity inside. Laws will lose its integrity without moral integrity. So it is necessary to understand the relationship between morality and law from aspect of relation of essence and its use, the key of the legal integrity is the integrity of exterior morality. The integrity of exterior morality haw its historical continuity, it comes from tradition culture.The eighth chapter discusses the second steps of legal moralization. The chapter thinks that the transformation from legal order to moral order is the course of the legal moralization, at the same time; it is also the course that the moral obligation of abidance of law is achieved universally. The course of transformation from legal right standard to obligation standard is inevitable. Right standard and obligation standard is difference in morality. Obligation standard is more benefit for people’s introspection and self-discipline from the aspect of morality. Although the right standard is reasonable in today, we should not give up culturing people’s moral spirit. Because the abuse of right and infringing other’s right will happened without support of morality, we should restrict the abuse of right and power by reasonable obligation to others. This reasonable obligation is abidance of law. From the basal moral obligation, we will find a road from legal order to moral order. This road is from low-grade rule of law to high-grade rule of law, finally to rule of morality. The time when two conditions of rule of law--good law and abidance of law by everybody, indicated by Aristotle, has been achieved, is the time transformation from rule of law to rule of morality. The direct reason of transformation from legal order to moral order is increase of moral people who is able to observe law voluntarily. In the course of transformation from legal order to moral order, the force of law begins to die down, and the technicality of law begins to decrease, humanity begins to change also. Human beings obtain real freedom and liberation finally because they get rid of binding of law, and shake off harassment of fleshliness.The ninth chapter studies the implementing mechanism of moralization of law from the aspect of unity of knowing and doing. The phenomenon of unity of knowing and doing is both in the moral realm and legal realm. Moral order needs unity of moral gnosis and moral action to avoid knowledge of moral deviate from moral action, and legal order need unity legal knowledge and lawful action to avoid law in books deviate from law in action. Although the unity of knowing and doing is difference in moral realm and legal realm, both can be unified by the communication of moral consciousness and legal consciousness. So there is a road from legal order to moral order by the unity of knowing law and lawful action. The road is to realize moralization of law in every citizen by improving legal consciousness and moral consciousness, transform legal obligation to moral obligation, and transform lawful action to moral action.The tenth chapter discusses the foundation of transformation of legal order and moral order. The chapter thinks that the reason of the transformation between legal order and moral order is because of their commonness. First, law and morality have common origin which is to pursue "ought to". Second, law and morality has their common aims which protect social order. The hinge of transformation between legal order and moral order is justice. I think that justice is a lowest morality, namely, fairness. It is moderation between altruism and egoism, and is a lowest require of moral action. Just is superposition of law and morality in value, and moral legalization and moralization of law should both regard justice as springboard.The epilogue part is a summarization of the thesis. It thinks that the transformation from moral order to legal order is not a foreordination. The aim of virtuous humanity will be achieved if human has the ideal of actualizing morality. So the legal order can transforms to moral order. The course of transformation is that from heteronomy by national coercion to heteronomy by consensus through the change from law to exterior morality, then from heteronomy by consensus to self-discipline by conscience which observe inner morality.更多还原