【作者】 马勇；

【导师】 叶青； 周长军；

【作者基本信息】 山东大学 ， 诉讼法学， 2017， 博士

【摘要】 在事实认定活动中遵循证据裁判原则是当代刑事诉讼的主要特点之一。我国《刑事诉讼法》虽然没有明确规定证据裁判原则,但是该原则在司法解释等规范性文件中有所体现,并成为以审判为中心的诉讼制度改革的重要环节。可以说,不论是在理论上还是在司法实践中,证据裁判原则已经成为不容忽视的重要议题。证据裁判原则在证据法领域的核心地位虽已确立,但是其内容是什么,应当如何通过制度设计、方法选择去实现则是尚待澄清的问题,这些问题构成了本文的核心内容。“透视社会依次有三个层面:技术、制度和文化。小到一个人,大到一个国家一个民族,任何一种命运归根到底都是那种文化属性的产物”①,对一种法律原则的剖析也大致如此,本文将从理念、技术和制度三个层次对证据裁判原则进行分析并以此为基础探讨其实现的途径。具体说来,本文主要内容如下:第一章主要阐述了证据裁判原则的含义、内容。第一部分主要介绍了证据裁判原则的基本含义,第二部分以理性主义为视角考察了两大法系中证据裁判原则的发展脉络,并就我国古代法律制度中与“证据裁判”相关的内容进行了介绍。第三部分从价值论和认识论两个维度对证据裁判原则的含义进行了剖析。价值论上,证据裁判原则是以程序正义观念为基础的,强调裁判方法、手段的合法性;认识论上,证据裁判原则受人类认知能力的局限,人类认知能力的变革决定着证据裁判原则的深度和广度。第四部分就证据裁判原则的内容进行了探讨,并提出关于证据裁判原则内容的两种解读方案:形式上的证据裁判原则与实质上的证据裁判原则。随着人类认识能力的不断进步,证据裁判原则的内容应当从形式面向实质面发展。第五部分就证据裁判原则和自由心证原则的关系进行了讨论,本部分提出自由心证原则在语义逻辑上属于证据裁判原则的下位概念,而且随着人类认知能力的不断发展,证据裁判原则的规范领域将逐步扩大。第二章从理念层面对证据裁判原则进行剖析。第一部分主要探讨了证据裁判原则的认识论基础,该节从认识的来源、认识的判断标准等方面对证据裁判原则进行考察的。从认知来源上看,证据裁判原则兼具理性主义与经验主义的内容;从认识能力上看,证据裁判原则预设了一种可知论的哲学基础;从认识的检验标准来看,证据裁判原则应当以基础的融贯论为基础设定检验规则。第二部分主要分析了证据裁判原则的价值基础,该节分别从公正价值、效率价值、法的安定性以及国民的预测可能性等方面对证据裁判原则的价值进行了考察。第三部分就证据裁判理念的选择做了进一步的阐述,指出裁判的可接受性决定了价值理念的选择,而特定时期下人类的认知能力决定了证据裁判模式的取舍,此外,法律政策、社会道德规范也对证据裁判原则的理念产生着影响。第三章从技术层面考察了证据裁判原则在运行过程中所遵从的方法论原理。第一部分从较为抽象的视角对证据裁判原则的方法论内涵进行了考察。参考法理学关于方法论的论述,证据裁判领域应当以“抽象系统”和“解释系统”为主要部分,统合证据裁判中的概念、假说与模型等内容构建起一个统一、完整的方法论体系。第二部分对证据裁判中涉及到的相关证据模型进行了引介。首先讨论了证据推论模型,主要着眼于如何从证据材料推论出证据事实,分别介绍了图示法模型、证据论证模型、故事讲述模型和混合模型;在证据推论模型之外,还介绍了心证描述模型,主要着眼于裁判者如何形成心证,分别介绍了概率论模型、代数学模型和随机模型。第三部分讨论了证据裁判中的诸模型在实践中的意义。证据裁判中的方法论模型不仅能够为证据裁判活动提供一种过程上的控制工具,还能为司法体系的完善提供有益的帮助,对于证据裁判原则而言,证据模型还能为理论上的反思提供镜鉴。第四章从制度层面探讨了证据裁判原则在运行中所依赖的制度、程序。第一部分主要探讨证据裁判的内部制度,即刑事证据制度与司法证明制度。前者主要从证据形式与证据方法、证据属性、证据能力规则加以阐述;后者则从证明对象制度、证明责任制度、证明标准制度三方面加以阐述。第二部分则是从外部程序角度进行分析,主要讨论了审判主体制度、庭审制度、上诉制度与证据裁判原则的关系。在对相关制度、程序进行探讨的基础上,该章的第三部分探讨了证据裁判制度中的正当法律程序,包括程序法定、裁判者的中立与理性以及被追诉人的有效参与三个基本方面。第五章主要讨论证据裁判原则在我国的实现。以本文第二、三、四章的内容为基础,本章第一部分分别从理念、技术和制度三个方面对我国证据裁判原则的特点进行了归纳。第二部分主要也是以理念、技术和制度为主要的分析框架,分别从以经验法则类型化为基础的证明简化、证据印证证明规则、新法定证据主义等三方面阐述了我国证据裁判活动中存在的一些基本问题。第三部分讨论了如何贯彻证据裁判原则。首先从理念的层面分析了我国应当确立的证据裁判理念,随后分析了模型化方法在证据裁判原则中的应用,在确定理念和方法之后,该部分从制度方面阐述了贯彻证据裁判原则的制度保障,包括:落实以审判为中心的诉讼制度保障,强化证据规则的可操作性,协调司法解释和案例指导制度等内容。第六章着眼于科学技术和人类认知能力的提高,讨论了司法大数据、人工智能与法对证据裁判原则的影响。该部分是一个展望性的内容,本文在第一部分指出,随着人类认知能力的提高,证据裁判原则的作用范围、作用方式都会有较大的拓展,大数据、人工智能的发展恰恰印证了这个趋势。更多还原

【Abstract】 It is one of the main characteristics of contemporary criminal litigation to follow the principle of evidence judgment in factual activities.Although the principle of evidence judgment is not clearly stipulated in the Criminal Procedure Law of our country,the principle is embodied in normative documents such as judicial interpretation and becomes an important link in the trial-centered litigation system reform.It can be said,whether in theory or in judicial practice,the principle of evidence judgment has become an important issue cannot be ignored.The first chapter mainly elaborates the meaning and content of the principle of evidence judgment.In the first section,based on explaining the meaning of the principle of evidence judgment,the development of the principle of evidence judgment in the two legal systems is studied from the perspective of rationalism,and the contents related to"evidence judgment" in ancient Chinese legal system are introduced.The second part analyzes the meaning of the principle of evidence judgment from the two dimensions of value theory and epistemology.On the basis of procedural justice,the principle of evidence judgment is based on the concept of procedural justice,emphasizing the legitimacy of the method and means.On the epistemology,the principle of evidence judgment is limited by human cognitive ability,and the change of human cognition determines the evidence the depth and breadth of the principle.In the third section,the author discusses the contents of the principle of evidence judgment and puts forward two kinds of interpretation schemes:The formal aspect of the principle of evidence judgment and the substantive aspect of the principle of evidence judgment.With the continuous improvement of human cognitive ability,the contents of the principle of evidence judgment should be from the formal aspect to the substantive aspect of the development.The fourth section discusses the relationship between the principle of evidence judgment and the principle of free evidence.The second chapter analyzes the principle of evidence judgment from the concept level.The first section mainly discusses the epistemological basis of the principle of evidence judgment,which examines the principle of evidence judgment from the source of cognition and the criterion of cognition.From the point of view of cognition,the principle of evidence judgment is both the content of rationalism and empiricism.From the point of view of cognition,the principle of evidence judgment presupposes a philosophical basis of knowledge.From the cognitive test standard,the rules of inspection should be set on the basis of the underlying coherence.The second section mainly analyzes the value basis of the principle of evidence judgment,which examines the value of the principle of evidence from the aspects of fair value,efficiency value,law stability and the possibility of national prediction.The third part elaborates on the choice of the concept of the evidence referee,it points out that the acceptability of the referee determines the choice of the value concept,and the current cognitive ability determines the choice of evidence refereeing mode.In addition,the legal policy,social morality norms has an impact on the concept of the principle of evidence judgment.The third chapter investigates the method of the principle of evidence judgment in operation.In the first section,the connotation of the principle of evidence judgment is investigated from the more abstract perspective.With reference to the theory of jurisprudence,the field of evidence should be based on the concept of "abstract system"and "interpretation system" as the main part,and the concept,hypothesis and model of the evidence reunification should be used to construct a unified and complete methodological system.The second and third sections introduce the relevant evidence models involved in the evidence judgment.The second part introduces the evidence inference model,mainly focuses on how to infer the evidence from the evidence material,respectively,introduced the icon model,evidence demonstration model,story description model and mixed model;Section Ⅲ describes the judgment model,mainly focusing on how the judge to form a judgment,respectively,introduced the probability theory model,algebraic model and stochastic model.The fourth section discusses the influence and significance of the models in the evidence referee on the principle of evidence judgment and the practice of evidence referee.The fourth chapter discusses the system and procedure of the principle of evidence judgment in operation.The first section mainly discusses the internal system of evidence judgment,namely criminal evidence system and judicial certificate system.The former is mainly from the form of evidence and evidence,the evidence attribute,the evidence ability rule to elaborate;the latter from the proof object system,the proof responsibility system,the proof standard system to elaborate three aspects.The second section is from the perspective of external procedures,mainly to discuss the main trial system,the trial system,the system of appeal.The third part discusses the application of the models in evidence referee in practice.They not only provide a process control tool for evidence refereeing activities,but also provide useful tools for the improvement of judicial system.For the principle of evidence judgment,evidence models can provide a mirror for the theoretical reflection.The fifth chapter mainly discusses the realization of the principle of evidence judgment in our country.Based on the contents of the second,third and fourth chapters,the first section analyzes the characteristics of the principle of evidence judgment in our country from three aspects of concept,technology and system.The second part uses the analysis framework of concept,technology and system,which are respectively elaborated from three aspects:simplification of proof,confirming model of evidence and New Statutory doctrine of evidence.The third part discusses how to implement the principle of evidence judgment.First of all,it analyzes the concept of evidence referee which should be established in China from the ideological level,and then analyzes the application of the method of modeling in the principle of evidence referee.After confirming the concept and method,this part elaborates the system guarantee of implementing the principle of evidence judgment from the system aspect,Including:the implementation of the trial-centered litigation system to ensure that the rules of evidence to strengthen the operability,coordination of judicial interpretation and case guidance system and so on.Chapter 6 focuses on the improvement of science and human cognitive ability,and discusses the influence of judicial big data,artificial intelligence and law on the principle of evidence judgment.更多还原