【作者】 郭金霞；

【导师】 樊崇义；

【作者基本信息】 中国政法大学 ， 诉讼法学， 2008， 博士

【摘要】 有关鉴定结论证据的研究和应用是近年来理论界和实务部门日益关注的一个重要问题。本文本着提出问题、分析问题、解决问题的思路,从我国鉴定结论证据适用的现状出发,借鉴国外的经验,对鉴定结论证据的本质特征、证据能力、证明力、鉴定结论适用程序等基础性问题以及鉴定结论科学性的审查认定等理论、立法和实践中存在的问题进行了系统的分析探讨。全文由导论、正文九章及结论三部分组成,约30万字。在导论中,本文首先交代了研究背景、研究意义和研究方法。鉴定结论作为科学证据在诉讼活动中发挥着越来越重要的作用,然而在这一背景下鉴定结论适用的证据规则在立法上却出现了空白,司法实践中成为新的“证据之王”为司法人员盲目采信。因而,鉴定结论适用的问题与对策研究具有为立法谏言、司法指导和丰富理论研究之意义。第一章:“司法鉴定解读”。本章在系统地考察和梳理有关司法鉴定的称谓和含义各种观点的基础上,对司法鉴定的称谓和概念进行了重构。指出从鉴定在不同的法律活动中,由于其受限于该种法律的约束而在法律制度规范上出现不同,将“鉴定”运用于诉讼活动中,鉴定就具有了“司法”的性质而成为司法鉴定。司法鉴定受到诉讼规则的严格制约和诉讼效率价值的掣肘而具有了诉讼品格。司法的目的和科学手段的结合成为司法鉴定的本质特征。第二章:“鉴定结论适用简析”。本章在对鉴定结论适用作广义界定的基础上,首先明确了鉴定结论的涵义、特性、功能等要素性问题,并从比较的视角考察了鉴定结论适用的历史轨迹,这是研究鉴定结论适用的基石。在此基础上分析了鉴定结论客观性、关联性和合法性的静态证据属性,以及鉴定结论适用的动态过程,明确鉴定结论适用包括鉴定资料的收集、鉴定结论的生成、鉴定结论的审查评断三大阶段。第三章:“鉴定结论之证据能力与证明力”。鉴定结论的证据能力和证明力是鉴定结论适用的核心问题。本章在明确鉴定结论之证据能力与证明力内涵的基础上,对两大法系鉴定结论证据能力和证明力规范进行了考察,剖析了我国鉴定结论证据能力和证明力规范的立法现状以及存在的问题,并论证了规范鉴定结论证据能力的必要性。最后提出了以鉴定之必要性、关联性、科学可靠性、主体资格、鉴定过程正当、鉴定资料来源合法等为要件的鉴定结论证据能力规范构想,以及鉴定结论无预定的、优先的证明力、鉴定结论效力等级禁止、心证公开等鉴定结论证明力规则。第四章:“鉴定结论科学性评判标准存在的问题与对策”。本章在对科学技术与鉴定科学的内涵与差异进行解读的基础上,论证了区分鉴定结论证据科学与非科学的必要性,梳理了科学与非科学在科学哲学中的一般区分标准以及域外证据法关于鉴定结论科学性的判断标准规范,立足于我国目前鉴定结论科学性判断标准的现状以及存在的问题,确立了以“最大限度的利用现代科技成果,同时最大限度的阻止非科学的鉴定结论证据进入审判程序”作为鉴定结论证据科学性评判标准的价值选择,提出了我国鉴定结论科学性判断标准的完善对策,并以专家辅助制度和法官鉴定科学知识培训制度作为鉴定结论科学性评判标准施行的保障。第五章:“鉴定资料收集存在的问题与对策”。本章首先通过对几个典型案例进行分析,引出鉴定资料对鉴定结论可靠性的影响以及研究的必要性。然后以现阶段我国刑事诉讼法对鉴定资料收集规范存在的问题为视角,分析原因并就如何对其完善提出对策,尤其对人体物质类鉴定资料的收集提出了特殊的规范要求。第六章:“鉴定主体资格存在的问题与对策”。本章首先对鉴定主体的内涵与外延进行了阐释,明确鉴定主体应为自然人鉴定人,继而考察了不同诉讼制度下鉴定人的资格条件,分析了我国鉴定人资格认证制度的现状以及存在的问题,提出了以“职业资格、执业资格和法律资格”作为鉴定人资格构成的制度设想,同时应该对鉴定人资质实行动态控制。第七章:“鉴定程序存在的问题与对策”。本章在对鉴定程序之内涵与外延进行界定之后,在此基础上展开了有关鉴定启动程序、鉴定实施程序、鉴定结论质证程序和多头鉴定和重复鉴定等问题的探讨。在比较考察域外相关规定的情况下,剖析了我国各个程序环节存在的问题,并提出了解决的对策。在鉴定启动模式上提出了“职权主义与当事人主义相结合的启动模式”,主张鉴定过程应当公开,强化控辩双方的参与,确立了鉴定人出庭作证制度,对于实践中普遍存在的多头鉴定、重复鉴定问题提出了规范构想。第八章:“鉴定结论适用之证据规则体系简论”。本章是前几章内容的总结,鉴定结论适用问题的研究宗旨在于设计出鉴定结论适用的证据规则,在前几章对鉴定结论适用中所存在的问题的分析以及完善对策的基础上,对鉴定结论适用的证据规则体系作一总结概括,具体包括鉴定结论适用之取证规则、鉴定启动程序规则、鉴定实施程序规则、鉴定结论质证规则、鉴定结论之科学性评断标准规则、鉴定结论证据能力与证明力规则。第九章:“几种新型鉴定结论适用的问题与对策”。本章主要针对几种新型鉴定结论进行了具体的研究,包括DNA鉴定结论的适用、心理测试鉴定结论的适用以及声纹鉴定结论的适用。每一新的科学技术应用于司法领域都会引起科学家和法学家的反思、抑制和监督,本章主要对这几种新型鉴定结论从法律规范的视角来研究其在诉讼中的适用问题。更多还原

【Abstract】 Research and application of the evidences of appraisal conclusions are attracting more and more attention of the theoretical and practical field, and become an important issue. With the thought train of question formulation, analysis and solution, based on China’s current situation of evidence application of appraisal conclusions and use of foreign experience for reference, this Paper tries to make systemic analysis and discussion of basic issues of the evidences of appraisal conclusions, such as essential characteristics, qualification of evidence, probative value and application procedures of appraisal conclusions, and existing issues on theories, legislation and practices in respect of examination and recognition of the science of appraisal conclusions. This Paper comprises three parts of Introduction, Main body of nine chapters and Conclusion, totally about 300,000 words.In the Introduction, author introduces the background, meanings and methods of this study. Appraisal conclusions, as scientific evidences, are taking more and more important effects upon legal procedure activities. However, evidence rules applicable to the appraisal conclusion application are blank field on legislations of China. And appraisal conclusions also become "King of Evidence" in judicial practice, which is blindly adopted by judicial personnel. Therefore, study on application issues of appraisal conclusions and countermeasures will be very meaningful to legislation expostulation, judicial instruction and enrichment of theoretical research.ChapterⅠ: "Analysis of Judicial Expertise".This chapter re-explains the titles and concepts of judicial expertise on the basis of systemic review and analysis of all opinions concerning the titles and concepts. The chapter points that, during different legal activities, expertise becomes judicial expertise in the judicial nature because of different regulations under law systems due to relevant legal binding. Due to strict restriction in procedure rules and the impediment from the value of justice efficiency, judicial expertise has the character of suits. Combination of judicial objectives and scientific means is the essential nature of judicial expertise.ChapterⅡ: "Analysis of Evidence Application of Appraisal Conclusions". This chapter specifies essential aspects concerning definition, characteristics and functions of the appraisal conclusions based on the broad sense of the application of appraisal conclusions, and reviews the historical track from the view of comparison, which is the foundation stone for study on appraisal conclusion application. Therefore, the chapter analyzes the static evidence attribute of appraisal conclusions, such as objectivity, relation and validity, and the dynamic course of the appraisal conclusion application, and then confirms there are three stages of the appraisal conclusion application, namely, collection of appraisal data, formation of appraisal conclusions and verification of appraisal conclusions.ChapterⅢ: "Qualification of Evidence and Probative Value for Appraisal Conclusion".The qualification of evidence and probative value are core elements concerning application of appraisal conclusions. On the basis of the connotation of the qualification of evidence and probative value for appraisal conclusion, the chapter reviews the regulations of two law systems on the qualification of evidence and probative value for appraisal conclusions, and analyzes the current legislation situation and existing issues concerning relevant regulations of that in China and discusses the necessity for standardizing the qualification of evidence of appraisal conclusion. In the end, the chapter suggests that the regulations on the qualification of evidence should be based on such key elements as the necessity, relations and scientific reliability of the appraisal, the subject competency, the justice of appraisal procedures, the lawful source of appraisal data, and other rules on the probative value for appraisal conclusions regarding non-predefined and prior evidence force, prohibition of the level of probative value, and open discretional evaluation of evidence.ChapterⅣ: "Issues and Countermeasures on Scientific Judge Standards for Appraisal Conclusions". The chapter discusses, based on the analysis of the meanings and difference between scientific technology and appraisal science, the necessity of demarcating science of appraisal conclusion evidence from non-science and teases the general demarcation standards for science from non-science and the judgment standards of foreign evidence laws on the science of appraisal conclusion. From the view of the current situation and existing issues of judgment standards for the science of appraisal conclusion in China, the chapter confirms that "utilization of modern scientific achievements and prevention from non-scientific appraisal conclusions into judicial procedures to a maximum extent" should be deemed as the value choice of judgment standards for the science of appraisal conclusion, suggests the improvement countermeasures for China’s judgment standards, and introduce the expert auxiliary system and the scientific knowledge training system for judge appraisal as the guarantee for implementing the judgment standards for appraisal conclusions.ChapterⅤ: "Issues and Countermeasures on Appraisal Data Collection". The chapter introduces the effects of appraisal data upon the reliability and validity of appraisal conclusions and the necessity of study thereon after analyzing several typical cases. From the view of existing issues on rules of appraisal data collection under China’s Criminal Procedure Law, the chapter analyzes the causes therein and puts forward countermeasures how to improve, especially, special requirements for collection of appraisal data in respect of physical body and materials.ChapterⅥ: "Issues and Countermeasures on Qualification for Appraisal Subject".The chapter elucidates the connotation and extension of appraisal subject and specifies the appraisal subject as a natural person expert. After reviewing the qualification for an expert under different procedure systems and analyzing the present situation and issues of the expert qualification certification system in China, the chapter suggests a system under which the "professional, practice and legal qualifications" will be deemed as expert qualifications, and controls the due implementation of expert qualifications.ChapterⅦ: "Issues and Countermeasures on Appraisal Procedures". The chapter discusses such issues as appraisal start-up procedure, appraisal implementation procedure, appraisal conclusion cross-examination procedure, multiple appraisal and reappraisal based on the definitions on connotation and extension of the appraisal procedure. Under comparing foreign rules author anatomizes issues in each tache of procedure in China, and then puts forward relevant countermeasures. Regarding appraisal start-up model, the chapter suggests the "start-up model combined with inquisitorial model and adversary model", advocating that appraisal procedure shall be open to the public and strengthen the participation of both the prosecuting party and the defending party, and establishes the Court Testimony System of Forensic Experts and sets up a normative constitution on multiple appraisal and reappraisal in practice.ChapterⅧ: "Discussion on System of Evidence Rules for Appraisal Conclusion Application" .The chapter summarizes the contents of the chapters mentioned above. Study on the application issues of appraisal conclusion aims to work out evidence rules for appraisal evidence application. Based on analysis of issues in the application and its improving countermeasures as mentioned above, this chapter summarizes the system of evidence rules for the application, including the rules of evidence collection on appraisal conclusion application, the rules of appraisal start-up procedure, the rules of appraisal implementation procedure, the rules of appraisal conclusion cross-examination, the rules of scientific judge standards on appraisal conclusions, and the rules of qualification of evidence and probative value of appraisal conclusions.ChapterⅨ: "Issues and Countermeasures of Several New Appraisal Conclusions Application" .The chapter studies several new appraisal conclusions, mainly including applications of appraisal conclusions on DNA, psychology test and sound wave. As application of each new technology to the judicial field will lead scientists and jurists to think over, restrain and supervise the application, and this chapter aims o discuss and studies the application issues for several new appraisal conclusions in procedure law from the legal standardization view.更多还原