形式法治论

发布时间：2018-01-28 05:49

本文关键词： 法治形式合理化形式主义形式正义形式法治论　出处：《苏州大学》2014年博士论文　论文类型：学位论文

【摘要】：本文的研究，试图回答法治原理究竟是实质性的还是形式性的这一重要理论问题。研究希望证明的命题是：法治的原理是形式性的。围绕这一命题，文章从以下三个相互联系、逻辑依次递进的层面进行了分项探索：一、法律制定的原理；二、法律适用的方法；三、法律治理的道德。就此，本文提出了关于法治原理的“形式法治论”。研究在这三个层次上得出了如下三组结论：其一、形式合理化是法律制定的基本原理。其基本目标是将治理的实质合理化考量最大限度地形式合理化。形式理性法律体系就是这一活动的产品。研究在三个方面对于该原理进行了分析：一是理由；二是内容；三是技术。理由方面：指出了其作为治理方法的便利性功效；内容方面：提炼了其寻求实质合理化与形式合理化两种价值均衡的实践理性智慧，并将其模型化；技术方面：总结了法律指令设计中选择法律形式时，在“规则”与“标准”之间进行决策的基本规律。其二、形式主义是保证司法合法性的元方法。研究依据法律对于案件的覆盖度，分常规案件和疑难案件两种情况加以讨论。研究表明：司法活动处理占据绝大多数的常规案件的基本方法是一种简单、直白的形式主义；而面对极少数的疑难案件，其基本方法则是一种复杂、隐蔽的形式主义。疑难案件中的法官无法可依时候的“造法”，其真实思维过程所蕴含的实践理性，，与立法者制定法律的基本原理具有同构性，只不过受职权属性所限，往往伪装成对法律的“解释”。其三、形式正义是法治所提供的治理道德。研究试图在一、二两部分基础上，对于形式法治的基本理论加以提炼、深化。首先，关于法治原理的“形式性”特质。通过对“形式性”要素在前法律、法律制定和法律适用三个环节之角色和功能的分析，得出了形式性要素对于实质性目标具有补充性价值的结论。其次，关于形式法治所提供的治理道德。研究表明：在一个有成本的世界里，推行法治所能提供的正义品格只能是形式正义，而且有着充分的合理性。最后，关于形式法治的学术语境。研究表明：法治的“实质性”理解进路，虽然在某些场合有政治修辞的策略，但也存在理论层面的不足，反而可能有消解法治权威的弊端，因此回归“形式性”进路理解，可能更有利于法治功能的发挥。由此，藉由关于法治的形式法治论，大致能够更好地展现出“形式性”特征之于法治得以成为一种优良治理方法的关键所在，也才能有效地抓住法律规范性的全部力量。
[Abstract]:The research of this paper attempts to answer the important theoretical question whether the principle of rule of law is substantive or formal. The proposition that the study hopes to prove is that the principle of rule of law is formal. From the following three interrelated levels, the logic of the progressive level of itemized exploration: first, the principle of law making; Second, the method of applying the law; Thirdly, the morality of legal governance. In this paper, the author puts forward the theory of "formal rule of law" on the principle of rule of law. The study draws the following three conclusions on these three levels: One. Rationalization of form is the basic principle of making laws. Its basic goal is to rationalize the essence of governance to the maximum extent. The legal system of formal rationality is the product of this activity. The principle is analyzed:. First, the reason; Second, the content; Third, technical. Reason: pointed out its convenience as a method of governance efficacy; In terms of content: it abstracts its practical rational wisdom of seeking the balance of value between substantial rationalization and form rationalization, and models it; Technical aspect: the basic rule of making decision between "rule" and "standard" is summarized when choosing legal form in the design of legal instruction. Second, formalism is a meta-method to guarantee judicial legitimacy. The study shows that the basic method of dealing with the majority of the conventional cases is a simple and straightforward formalism; But in the face of a few difficult cases, its basic method is a complicated, hidden formalism. The judges in the difficult cases can not "make the law" according to the time, and their real thinking process contains the practical rationality. It has the same structure as the basic principle of legislator's making the law, but it is limited by the power, and is often disguised as "interpretation" of the law. Third, formal justice is the governance morality provided by the rule of law. The study attempts to refine and deepen the basic theory of formal rule of law on the basis of one or two parts. Through the analysis of the role and function of the elements of "formality" in the former law, the making of law and the application of law. The conclusion is that formal elements have complementary value to substantive objectives. Secondly, on the governance ethics provided by the formal rule of law. The study shows that: in a world of costs. The justice character which can be provided by the rule of law can only be formal justice and has sufficient rationality. Finally, the academic context of formal rule of law. The study shows that: the "substantive" understanding of the rule of law goes through the road. Although there is a strategy of political rhetoric on some occasions, there are also some deficiencies in theory, on the contrary, there may be the drawbacks of dispelling the authority of the rule of law, so it returns to the "formal" way of understanding. May be more conducive to the function of the rule of law. Therefore, through the formal rule of law theory on the rule of law, it can better show the characteristics of "formality" to the rule of law can become a good governance method. Only then can we effectively grasp the full force of legal norms.
【学位授予单位】：苏州大学
【学位级别】：博士
【学位授予年份】：2014
【分类号】：D920.0

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