作者：刘权
作者介绍：中央财经大学法学院“龙马学者”特聘教授
出版日期：2026年6月9日
内容提要 比例原则成为我国备案审查的重要标准，具有里程碑意义。合比例性审查标准的明文化，实质上使比例原则成为规范立法权的重要原则，既能够增强备案审查工作的可操作性，强化备案审查决定的权威性与说服力，也有助于提升人权保障水平，助推良法善治目标的实现。在备案审查标准体系中，合比例性属于适当性审查的核心标准，但也在合法性审查和合宪性审查中发挥着重要的方法论功能。判断法规、规章、司法解释等规范性文件“采取的措施与其目的是否符合比例原则”，需要遵循“目的正当性—适当性—必要性—均衡性”的四阶分析框架。应以备案审查时为节点，审查措施的客观适当性，并判断相同有效性下的措施是否具有必要性和均衡性。通过适用积极面向的比例原则，判断被审查机关是否在合理的成本范围内采取了必要的保护措施，可以更加客观准确地识别立法“放水”。为了更好地处理好中央与地方关系，提升合比例性审查的理性程度，应当建立合比例性三重审查基准体系。
关键词 备案审查 适当性审查 比例原则 不足禁止原则 合比例性审查基准
Abstract: The adoption of the principle of proportionality as the basic standard for China’s record and review marks a milestone. The codification of the proportionality review standard has essentially made the principle of proportionality an important principle for regulating legislative power. It not only enhances the operability of the record and review work, strengthens the authority and persuasiveness of the record and review decisions, but also helps to improve the level of human rights protection and promote the realization of good law and good governance. In the record and review standard system, proportionality is the core standard of the appropriateness review, but it also plays an important methodological role in the legality review and constitutional review. To determine whether the measures adopted in normative documents such as laws, regulations, and judicial interpretations are in line with the principle of proportionality with their purposes, a four-stage analytical framework of ‘legitimacy of purpose — appropriateness — necessity — proportionality’ should be followed. The objective appropriateness of measures should be reviewed at the time of record and review, and the necessity and balance of measures under the same effectiveness should be determined. By applying the positive aspect of the principle of proportionality, it is possible to more objectively and accurately identify whether the reviewed authority has taken necessary protective measures within a reasonable cost range. In order to better handle the relationship between the central and local authorities and enhance the rationality of proportionality review, a three-tiered proportionality review benchmark system should be established.