【作者】 吕康宁；

【导师】 周永坤；

【作者基本信息】 苏州大学 ， 宪法学与行政法学， 2014， 博士

【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。更多还原

【Abstract】 The objective of this paper was to answer an important problem that the principleabout rule of law is subjective or formal. We want to demonstrate that the principle aboutrule of law is formal. The article proves this thesis by three closely linked steps: the firstis principle of legislature; the second is judicial method; the third is concept of rule of law.Thus, we can conclude the following three results:First, formal rationalization is the fundamental principle of legislature. Its basic aim isto transform the subjective consideration to the formal rationalization by maximum extent.the system of formal rationalization law is the result of this activity. The study was madeup by three sides: reason, content and technique. About reason, we hold the opinion thatthe effect of convenience about formal rationalization as a governance method; aboutcontent, we think that seeking a balance between the subjective rationalization and theformal rationalization is wisdom of practice, and make a model for it. About technique, wesummarize the wisdom of option about the formal of law designing between “rule” and“standard”.Second, formalism is the fundamental method that can ensure the legitimacy ofjudiciary. According to the coverage degree of law to case, we classify cases into two typesto discuss. We will show that: the method of easy cases is an simple and straightforwardformalism; the method of difficult cases is an complex and covert formalism. In difficultcases, there no law can be used by judge to cases in hand, so they have to made law bythemselves. The practical wisdom in the real process of thinking is the same as legislature.Just because judge was restricted by their power, so the activities usually were disguised asthe legal interpretation. It will show that: the justice provided by the rule of law can onlybe formal justice and has fully rationality. Last, about the academic context, it will showthat: although the “substantial” explanation of the rule of law sometimes was the Politicalrhetoric strategy, it was misleading and harmful for legal authority. So accept the “formal”explanation of rule of law, will be more conductive to the function of law. Third, the rule of law provided for formal justice is morality of governance. The papertries to refine and deepen the basic theory of formal rule of law based on the first part andsecond part. First is the nature of "formal" on the principle of rule of law. Based on the analysis of the factors of "formal" by the role and function of before law, law-making and application of law, the conclusion drawn that the factors of “formal” has the supplementary value for substantive goal.Secondis moralityofgovernance provided bythe formalrule oflaw.Thus, by the theory of formal approach to understand rule of law, we can better showthe essence of the rule of law as a good governance methodology and grasp the full powerof law.更多还原