比例原则的规范论基础与方法论定位  

Normative Basis and Methodological Positioning of the Principle of Proportionality

作　　者：雷磊[1] Lei Lei

机构地区：[1]中国政法大学法学院

出　　处：《政法论坛》2025年第1期3-15,共13页Tribune of Political Science and Law

基　　金：教育部哲学社会科学研究后期资助重大项目“时代镜像中的法理学研究”(21JHQ012)的阶段性成果。

摘　　要：比例原则只是处理手段与目的两个范畴的“关系公式”,是一种论证框架而非实质标准,只提出了一种“薄的”、而非“厚的”理性要求。作为“上游理论”,原则理论构成了比例原则理论的规范论基础。比例原则与(法律)原则的结构性同构决定了,凡是适用法律原则的场合,就有运用比例原则的空间。所以,它是法律领域的普遍方法论原则,并不限于对基本权利的保护和国家权力的限制,甚至适用于绝对权利与紧急状态的情形。作为权衡方法,比例原则具有独立的方法论地位,但需通过作为“下游理论”的重力公式和“配套理论”的理性论证理论(商谈理论)获得更为精确化和客观化的运用。比例原则不等于、但可以适当引入成本收益分析方法,在具体运用时也要注重与教义学知识的结合。The principle of proportionality is only a “relationship formula” that deals with the two categories of means and ends. It is only an argumentative framework rather than a substantive standard, and only puts forward a “thin” rather than a “thick” rational requirement. As an “upstream theory”, theory of principle forms the normative basis of theory of the principle of proportionality. The structural isomorphism between the principle of proportionality and(legal) principles determines that wherever legal principles are applied, there is room for the principle of proportionality to be used. Therefore, the principle of proportionality is a general methodological principle in the field of law, which is not limited to the protection of basic rights and the restriction of state power, and even applies to absolute rights and status of emergencies.As a method of balancing, the principle of proportionality has an independent methodological status, but needs to be more objectively and accurately applied through the weight formula as a “downstream theory”and the theory of rational argumentation(discourse theory) as a “supplementary theory”. The principle of proportionality is not equal to, but can properly introduce cost-benefit analysis methods, and when specifically applied, it should also pay attention to the knowledge of legal dogmatics.

关 键 词：比例原则 原则理论 权衡 重力公式 理性论证理论 

分 类 号：D911[政治法律—宪法学与行政法学] D912.1[政治法律—法学]