比例原则的适用范围与审查基准  

Proportionality Review:Scope of Application and Standard of Scrutiny

作　　者：谢立斌[1] XIE Li-bin

机构地区：[1]中国政法大学比较法学研究院、中德法学院、制度学研究院

出　　处：《当代法学》2024年第5期87-98,共12页Contemporary Law Review

基　　金：2022年度法治建设与法学理论研究部级科研项目“基本权利比例原则审查:法益权衡的困境与出路”(22SFB3008)的阶段性成果。

摘　　要：比例原则已经从一个警察法上的原则发展成一个行政法原则,进而上升为一个公法原则,甚至有在民法和刑法领域开疆拓土的趋势。比例原则的主要适用范围为公法领域,尤其是在行政诉讼、备案审查等制度框架内,应当就公权力是否侵犯公民权利,围绕有关措施的目的正当性、适当性、必要性和均衡性展开审查。理论上,审查中可以采取较严格或者较宽松的基准。然而,采取的基准不同,很大程度上导致结果不同,从而降低比例原则审查的合理性和可预见性。我们应当立足我国对公权力进行监督的实践,参考域外相关经验,合理确定比例原则各个子原则审查所适用的基准。在目的正当性审查阶段,应当严格审查公权力的目的,防止公权力以正当目的为幌子掩盖其未必正当的真实目的,而对于目的的正当性则不宜提出过高要求。进行适当性审查时,应当适用宽松审查基准。在必要性审查中,应当根据有关措施对公民导致损害大小,分别适用严格或者宽松审查基准。在均衡性审查中,对基本权利所受限制的程度、所实现公共利益大小,应当予以严格审查,对两者之间的法益权衡则应当从宽审查。The principle of proportionality has evolved from a principle of police law into an important principle of administrative law,and further into a principle of public law.It might even enter the field of private law and criminal law.It is hoped that the introduction of this principle to private law might limit the interference of public power with private autonomy,and restore the distorted balance between strong and weak parties of civil law relationships.However,the interference with private autonomy by the public power is already subject to a proportionality review in the field of public law.The state bears the duty to protect weak parties of civil law relationships.Therefore,it is not necessary and impossible for the principle of proportionality to be incorporated into private law.In the field of criminal law,the state prosecutes the accused.Theoretically this legal relationship could be regulated by the principle of proportionality.However,since this principle has been concretized by criminal law to a great extent,there is no need for its application.Hence,the principle remains a principle of public law and regulates both legislation/rule-making and concrete acts of administrative agencies.When the public power interferes with the exercise of basic rights,the measure untertaken shall be subjected to a proportionality review to determine whether it persuits a legitimate goal,helps realise the goal,and whether it is necessary and proportionate in the narrow sense.In each of these four steps,a relatively loose or strict standard of scrutiny can be applied.The choice of the scrutiny determines to a great extent the final outcome and shall therefore be carefully made.Public power may only pursue legitimate goals.Since public actors may hide its real goal behind a pretended one,the goal put forward by the public actor shall be examined closely.As long as it corresponds with public interest,it shall be deemed legitimate,even when it does not count as compelling public interest.Measures taken by the public power shall

关 键 词：比例原则 基本权利 审查基准 

分 类 号：D910[政治法律—法学]