立法者的认知裁量空间——以形式原则为核心的分析

The Epistemic Discretion of the Legislature:an Analysis Based on Formal Principle

立法监督技术对于提高立法质量具有重要作用。在合宪性审查的新背景下,立法监督技术问题应当更为关注宪法与立法之间的关系,其中由新兴立法领域中的认知不确定性所引发的立法预测决定有可能导致立法者突破宪法的约束,需要从理论层面分析此种立法行为的性质与界限,为后续的制度设计提供基础。形式原则的介入为立法者在面临认知不确定性之时优先做出决定提供了正当理由,产生了立法者的认知裁量空间。形式原则只能间接地对实体原则发挥支持作用,其与实体原则之间的冲突必须以认知不确定性的存在为前提,而且只具有初显性特征。这决定了立法者的认知裁量空间并不能完全豁免于审查和监督。相关立法监督技术的设计应当着重考察特定情形本身的不确定性程度、立法者做出的预测决定的确定性程度、形式原则和实体理由各自发挥的支持作用等因素。根据立法领域的不同,审查与监督的密度也应当做出差异化的处理,并且结合具体的宪法规范、基本权利的保护价值等因袭进行综合性的考量。

The legislative supervision techniques play an important role in improving the quality of legislation.In the new context of constitutional review,the issue of legislative supervision which should be paid more attention is the relationship between the constitution and the legislation.The legislative prediction decision triggered by the cognitive uncertainty in the emerging legislative field may lead to the breakthrough of constitutional constraints by the legislators.The nature and boundaries of such legislative acts shall be analyzed from a theoretical perspective to provide a basis for subsequent institutional design.The intervention of the formal principle provides a justification for the legislator to make a decision in the face of cognitive uncertainty,which creates an epistemic discretion for the legislator.The formal principle can only support the substantive principle indirectly.The conflict between the formal and substantive principle only exists with the presence of cognitive uncertainty,and only has a prima facie characteristic.This suggests that the legislator epistemic discretion is not completely exempt from censorship and supervision.The design of relevant legislative supervision techniques should focus on factors such as the degree of uncertainty of the specific situation,the degree of certainty of the legislator’s predictions,the supporting role of the formal principles and the substantive reasons.Depending on the legislative field,the density of censorship and supervision should also be treated differently,and considered comprehensively in conjunction with factors such as specific constitutional norms and the protection value of basic rights.