法治与形式原则的性能:以形式与实质关系为中心  

The Rule of Law and Functions of the Formal Principles:Centered on the Relationship between Form and Substance

作　　者：侯健[1] HOU Jian

机构地区：[1]复旦大学法学院,上海200433

出　　处：《政治与法律》2024年第5期81-97,共17页Political Science and Law

摘　　要：法治理论的争论主题之一是形式与实质的关系,其中涉及形式原则的性能。形式原则的性能可以从三个方面检视:形式性、自足性、充分性。形式原则具有形式性,但是并非纯粹,它们可能关涉法律规范的内容安排以及实质价值在规范内容上的贯彻效果,它们的解释适用也会受到实质价值的影响。形式原则具有指引法治实践的能力,但是并不自足,其自身无法解决遵守程度和例外问题,也无法消弭不同原则间的内在张力。对于有限、抽象的法治构成目标来说,形式原则可以作为构成条件,然而对于更具实践性的法治实现目标而言,就不敷其用了。法律的形式与实质相互联系,相互塑造。当法治对法律的形式提出要求,实践这种要求难免会牵连法律的实质。法治不可缺少形式原则,但是形式原则并非如通常想象的那样纯粹、自足和万能。One of the controversial themes in the theories of the Rule of Law is the relationship between form and substance,which involves functions of the formal principles.The functions of the formal principles may be examined from three aspects:formality,self-sufficiency,and comprehensiveness.The formal principles enjoys formality,but they are not pure:they may involve the content arrangement of legal norms and the implementation effect of substantive value on the normative content,and their interpretation and application may also be influenced by substantive value.The formal principles is capable of guiding the practice of the rule of law,but they are not self-sufficient in that they cannot resolve the issues of compliance level and exceptions themselves or eliminate the internal tension between different principles.For the limited and abstract goals of the constituents of rule of law,the formal principles may serve as constituent conditions,but for more practical goals of the realization of the rule of law,they are not sufficient.The form and substance of law are interrelated and mutually shaped.When the rule of law put forward requirements in terms of the form of the law,to implement such requirements inevitably involves the essence of the law.The rule of law requires the formal principles are necessary for the rule of law,but they are not as pure,self-sufficient,and omnipotent as generally imagined.

关 键 词：法治 形式原则 形式性 自足性 充分性 

分 类 号：DF0[政治法律—法学理论]