【作者】 吕泽华；

【导师】 何家弘；

【作者基本信息】 中国人民大学 ， 诉讼法学， 2010， 博士

【摘要】 随着社会的发展进步,各种高科技手段进入了刑事司法领域。在这些应用于司法的高科技成果中,DNA证据无疑是当代最具有代表性的科学证据。DNA证据以其近乎百分之百的准确性,一举取代传统的“指纹证据”而成为当代的“证据之王”。在刑事司法领域,因为DNA证据的出现,大量的冤假错案被推翻,无辜者被平反昭雪;在侦查中,因DNA鉴定技术的应用,可以获得准确的侦查线索,拓宽了侦查的途径,从而侦破了大量的疑难复杂案件。在审判活动中,因为DNA证据高度准确的人身同一认定价值,为准确的认定犯罪和排除无辜发挥了举足轻重的作用。在学界和司法实务界广泛推崇DNA证据司法应用的热潮中,一些因DNA证据而发生的新型冤假错案也偶见报端,这无疑给我们敲响了警钟,不能不审慎地对待DNA证据。因为任何技术都有其“阿喀琉斯之踵”,都有其技术上的薄弱环节甚至盲点,也因为任何技术应用都离不开人的因素,也都有发生错误的可能性。DNA鉴定技术也一样有其缺陷和不足之处,需要我们警醒地对待。为此,笔者通过研究DNA鉴定技术原理以及司法应用的各个环节,探析DNA证据可能出错的各种情形,通过发掘错误背后的原因和潜在的错误可能性,提出DNA证据刑事司法应用的构建设想。同时,作为生命信息的遗传物质,DNA本身蕴含了人性尊严、生命传记等重要含义。另外,DNA证据的司法应用也会产生各种基本权利的冲突与矛盾。这些都需要一国完善的法律体系进行具体的规范,使DNA证据在刑事司法中的运用能有序、合理、公正、有效。本论文共分五章:第一章为DNA鉴定技术的概述。本章将为大家开启认识DNA鉴定技术的大门,将从DNA鉴定技术的发展历史、DNA鉴定对象——DNA的生命机理和DNA鉴定技术的基本原理三个方面展开。通过其发展历史,了解DNA鉴定技术的历史发展脉络和各种技术的基本特点。对DNA生命机理的简介,撩开了DNA的神秘面纱,揭示了DNA鉴定的生理基础——DNA的遗传多态性。通过DNA鉴定的技术原理,我们会认识到DNA鉴定的特定性、稳定性和反映性的基本原理。我们将会认识到DNA鉴定的科学根据——DNA等位基因的多型性与DNA的统计遗传规律的真实面目。第二章直接切入本文的主题之一——有可能影响DNA鉴定误差的各种原因。本章从个方面展开:一是揭示能够导致DNA鉴定结论错误的各种可能性因素。从鉴定样本本身、外界环境、分型技术问题、人为因素和污染五个方面进行阐述,从中发现各种可能导致DNA鉴定结论错误的原因。二是从对DNA鉴定结论解读的角度发现DNA鉴定结论司法应用上的误差。这里将为大家揭开DNA鉴定科学结论与司法裁判的基本关系,阐释DNA鉴定结论解读误差的各种现象,以求回归DNA鉴定结论的科学本质和科学解释。三是从DNA鉴定制度规范上研究导致DNA鉴定结论偏差的各种原因。在DNA鉴定检体(包含检材和样本)的提取环节和DNA的鉴定环节,如果缺乏统一规范的制度措施,将会影响到DNA鉴定结论的统一性和标准化,或者造成错误的鉴定结论或者鉴定结论的冲突。鉴定方法、鉴定程序、DNA分型、鉴定结论表述和实验室管理与控制等构成了DNA鉴定品质保证的重要方面,也是容易引起DNA结论偏差的重要领域。四是从刑事司法证明制度研究可能影响DNA鉴定结论准确认识的原因,发现司法证明制度上的不足。从这四个方面全面的揭示可能影响DNA鉴定结论准确性和可靠性的各种原因,以树立审慎对待DNA鉴定技术与DNA鉴定结论的科学态度。第三章从DNA鉴定技术在刑事司法中的功能作用角度谈起,进而发现其司法应用中的权利价值冲突和司法适用上的法律缺陷。本章研究了DNA证据隐含的各种权利,比如生命遗传性状上的个体隐私,并以DNA证据为线就真实发现与人权保障等权利冲突问题进行了探索,揭示了我国DNA证据立法上的不足。第四章从前述DNA鉴定品质保障上的不足,提出了DNA鉴定标准化构建的设想。以标准化、规范化、统一化为目的,对DNA检体的前处理,DNA鉴定实验室质量管理系统,DNA鉴定技术、DNA鉴定程序和DNA鉴定结论表述以及监督系统等方面进行了比较全面的规范化、标准化构建设想。可以说DNA鉴定的标准化将是DNA鉴定结论准确性、规范化、科学性的制度性策略,必将为DNA鉴定技术的有效应用提供制度性的保证。第五章从诉讼证据的角度研究了DNA鉴定结论司法适用的法律规则。按照司法证明的基本环节,对DNA鉴定结论证据涉及的重要的证据规则进行了研究,尤其对认证规则中的采纳与采信规则进行了更为具体细致的规则构建。本章和第四章是全文的主旨和目的,是本博士论文研究的意义所在,希望通过本博士论文的研究能为我国DNA鉴定技术的立法发展和司法进步提供参考。更多还原

【Abstract】 With social development and progress, numerous high-tech means have entered the field of criminal justice. Among those high-tech achievements applied to the administration of justice, DNA is undoubtedly the most typical contemporary scientific evidence. DNA evidence, with its almost 100 percent accuracy, has replaced the traditional "fingerprint evidence" and become“the King of evidence" of the present time. In the field of criminal justice, with the emergence of DNA evidence, a great number of individual cases in which people were unjustly, falsely or wrongly charged or sentenced have been re-examined and the verdicts reversed. In criminal investigation activities, with the application of DNA identification techniques, accurate detective clues have been obtained, detection means have been broadened, thus resulting in the solution of a large number of difficult and complicated cases. In criminal trial, with its value of high accuracy in personal identification, DNA evidence has played a pivotal role in the determination of crime and innocence. Yet in judicial scholars and practitioners’craze for DNA evidence, new DNA-caused injustice cases have come to be reported in the newspapers. This undoubtedly sounds the alarm--- DNA evidence must be carefully dealt with. Like any technology, which has its "Achilles heel"---those technical weaknesses or blind spots and errors caused by human involvement in its application, DNA identification technology is also possible of producing mistakes for its shortcomings and inadequacies and entails cautious treatment. To this end, the author analyzes in this research various cases where DNA evidence may lead to wrong judgments after a study of DNA identification technology theories and a study of all aspects of its application in the administration of justice, and, by identifying the causes of those errors and potential errors, proposes a framework for the proper employment of DNA evidence in criminal justice. In addition, as bio-information and genetic material, DNA itself contains such important implications as human dignity and life biography, and the judicial application of DNA evidence would give rise to various conflicts and contradictions of fundamental rights. All these require a sound legal system of specific norms within a country, so that the use of DNA evidence in criminal justice can be orderly, rational, fair and effective.This paper includes five chapters:Chapter I is an overview of DNA identification technology. This chapter will open the door to an understanding of DNA identification technology with an introduction of DNA identification technology history, DNA’s life mechanism and DNA identification technology fundamentals. The study on the history of DNA explains the development of DNA identification techniques and the basic features of various technologies; the study on DNA’s life mechanism lifts the mysterious veil of DNA and reveals the physiological basis of DNA identification—DNA genetic polymorphism; and the research on the technical principles of DNA identification brings the specificity, stability and reflectivity of DNA identification to light. We will come to recognize the scientific basis for DNA identification—DNA polymorphism alleles and statistical genetic law.Chapter II directly cuts into one of the themes of this article——various causes of DNA identification errors. This chapter includes four aspects. First, the possible factors for wrong DNA identification conclusions will be identified from a description of identification samples, the external environment, forensic DNA typing techniques, human factors and pollution. Second, errors can be identified in the interpretation of DNA identification conclusions. The basic relationship between judicial administration and DNA identification conclusions as well as various cases of DNA identification conclusion errors will be discussed here in order to find the scientific nature and scientific interpretation of DNA identification conclusions. Third, a variety of reasons for DNA identification conclusion bias are explored in the field of DNA identification system. In the process of DNA sample extraction and DNA identification, the absence of a unified and standardized system will affect the uniformity and standardization of DNA identification conclusions and cause wrong conclusions or conflicts of conclusions. Identification methods, identification procedure, DNA typing, identification conclusion interpretations, and laboratory management and control constitute important aspects of DNA identification quality assurance, and are also important areas liable to produce biased conclusions. Fourth, deficiencies in the judicial system of criminal evidence may be discovered with an analysis of factors possibly affecting an accurate interpretation of DNA identification conclusions in the criminal justice evidence system. The overall research in those four areas fully reveals the possible cases affecting the accuracy and reliability of DNA identification conclusions, and thus enables the establishment of a scientific and circumspect attitude towards DNA identification technology and DNA identification conclusions.Chapter III studies functions of DNA identification technology in criminal justice and further presents value conflicts and legal deficiencies in the judicial application process. This chapter examines implicit rights in DNA evidence, such as the individual privacy of genetic traits, and, with DNA evidence as the line, explores such right conflicts as those between real discovery and human right protection, thus revealing the inadequacy of DNA evidence legislation in our country.Chapter IV, based on the forementioned deficiency of DNA identification quality assurance, puts forward a tentative idea of the standardization of DNA identification. Aimed to achieve standardization, normalization and unification, a comprehensive normalization and standardization program is designed concerning the pre-treatment of DNA samples, DNA Identification Laboratory Quality Management System, DNA identification techniques, DNA identification procedures, DNA identification conclusion presentations, and monitoring system. Undoubtedly the standardization of DNA identification will be the institutional strategy to render DNA identification conclusions accurate, standard, and scientific, and are bound to provide institutional guarantees for an effective employment of DNA identification technology.Chapter V studies the legal rules for judicial application of DNA identification conclusions from the perspective of litigation evidence. In accordance with the basic parts of judicial proof, the important rules related to DNA identification conclusion evidence are examined, and more specific and elaborate rules concerning evidence adoption and admission are proposed. This chapter and Chapter IV are the subject and purpose of this paper, and are also where the significance of the doctoral thesis lies. The whole research is conducted with an intent to provide reference for legislative development and judicial progress of DNA identification technology in China.更多还原