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題名:刑事鑑定報告證據能力之研究-以美國法為借鏡
作者:劉耀明
作者(外文):LIU, YAO-MING
校院名稱:國立臺北大學
系所名稱:法律學系一般生組
指導教授:吳景芳
學位類別:博士
出版日期:2020
主題關鍵詞:鑑定報告專家證言證據能力Daubert法則守門審查認識能力criminal forensic reportexpert testimonyadmissibilityDaubert standardgatekeepingepistemic competence
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鑑定制度存在之目的,是為藉由提供相關領域之專業知識,以協助法官就超越其認知範圍之事物進行事實認定或了解證據內涵,故鑑定人所提供之鑑定報告是否可信,將相當程度影響判決之適正性。關於鑑定報告之可信性判斷,若參酌美國關於專家證言證據能力之判定,至少須透過鑑定人之適格性及鑑定報告之可靠性評估等兩大步驟進行檢驗,唯有通過檢驗之鑑定報告方可具備證據能力。而為強化專家證言之可靠性評估,美國聯邦最高法院於Daubert判決中提出四項彈性評估要素,並於判決中強調,對抗制度下由雙方當事人提出相抗衡之證據,以及透過交互詰問來攻擊脆弱證據之措施,將有助於法官審查專家證言之可靠性,故要求法官應以守門人身分,親自承擔審查專家證言可靠性之任務。
相較於美國法之運作模式,我國實務主張只要經檢察官或法官依法選任,鑑定人即具備不可挑戰之適格性,並認定除有調查鑑定報告證明力之必要外,法官無須傳喚鑑定人到庭以言詞說明或報告鑑定內容,此除不當剝奪被告挑戰鑑定報告證據能力之權利外,並導致無法對鑑定人之適格性及鑑定報告之可靠性進行詳實審查。為改善此缺失,司法院遂於2019年5月提出刑事訴訟法部分條文修正草案。
為了解司法院2019年版修正草案是否可有效改善現行問題,並因應刑事鑑定制度將來可能面臨之挑戰,本研究除分析我國相關文獻及判決外,並以美國法之相關規範與制度運作為研究核心,於討論美國法中科學與法律之交會架構後,先分析美國法專家證言可靠性評估規則之演進脈絡,次檢討美國刑事法庭仍充斥垃圾科學之現狀與成因,再介紹學者針對美國專家證人制度之缺失所提出的改革建議。進行上述分析後,可發現為增加專家證言可靠性評估之質量,須同時由強化專家證言之透明度及提升法院整體認識能力等兩大方向進行改革。在此基礎之上,本研究認為司法院2019年版修正草案已相當程度改善我國目前實務運作之相關缺失,但仍有得再予精進之處。
The purpose of criminal forensic system is to assist a judge to determine facts or to understand evidence beyond the scope of his knowledge by providing professional information of relevant fields. Therefore, the credibility of criminal forensic reports will considerably affect the correctness of judgments. Regarding the credibility of criminal forensic reports with reference to the admissibility of expert testimony in the United States, at least two steps of assessment must be carried out, including the qualification of an expert and the reliability of expert testimony. Furthermore, the parties to the litigation can equally challenge the assessment.
In order to strengthen the assessment of the reliability of expert testimony, in Daubert v. Merrell Dow Pharmaceuticals, Inc., the United States Supreme Court proposed these assessment factors: (1) “whether it can be (and has been) tested,” (2) “whether the theory or technique has been subjected to peer review and publication,” (3) “the known or potential rate of error and the existence and maintenance of standards controlling the technique’s operation,” and (4) the “degree of acceptance within community.” The United States Supreme Court also emphasized that the countervailing evidence offered by the parties under the adversary system and attack on vulnerable evidence through cross-examination will help a judge to review the reliability of expert testimony, and therefore require a judge to take the role as a gatekeeper and personally to undertake the task of reviewing the reliability of expert testimony.
However, our country’s practice advocates that as long as a prosecutor or a judge has elected an expert according to the law, the expert will have the qualification that cannot be challenged, and there is no need to summon an expert to court unless it is necessary to evaluate the probative value of criminal forensic reports. This practice deprives the right of the accused to challenge the admissibility of criminal forensic reports and further equates a prosecutor or a judge’s selection with the admissibility of criminal forensic reports.
In response to the above-mentioned shortcoming of practice in our country, the Judicial Yuan proposed a draft amendment to some provisions of the Criminal Procedure Law in May 2019. In order to evaluate whether the draft can effectively improve the current problems and respond to the challenges that the criminal forensic system may face in the future, the study, by means of analyzing relevant literature and judgements in our country, and taking the relevant norms and system operations of the United States as the core of research, aims to provide possible adjustments to the amendment draft of the 2019 edition of the Judicial Yuan to strengthen the transparency of criminal forensic reports and enhance the epistemic competence of court.
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三、英文文獻
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5 JOHN HENRY WIGMORE, EVIDENCE IN TRIALS AT COMMON LAW (Little Brown, Boston, 1974)
C. S. ORWIN AND C. S. ORWIN, THE OPEN FIELDS (3rd ed. 1967)
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FEDERAL BUREAU OF INVESTIGATION, HANDBOOK OF FORENSIC SCIENCE (rev. ed. 2019)
HARRY COLLINS AND ROBERT EVANS, RETHINKING EXPERTISE (2007)
JAMES M. ANDERSON ET AL., THE UNREALIZED PROMISE OF FORENSIC SCIENCE –– AN EMPIRICAL STUDY OF ITS PRODUCTION AND USE (May 14, 2018)
JOHN H. LANGBEIN, THE ORIGINS OF ADVERSARY CRIMINAL TRIAL (2003)
JOHN H. LANGBEIN ET AL., HISTORY OF THE COMMON LAW: THE DEVELOPMENT OF ANGLOAMERICAN LEGAL INSTITUTIONS (2009)
JOSEPH K. BLITZSTEIN AND JESSICA HWANG, INTRODUCTION TO PROBABILITY (2015)
JOSEPH SANDERS, BENDECTIN ON TRIAL: A STUDY OF MASS TORT LITIGATION (1998)
LLOYD DIXON AND BRIAN GILL, CHANGES IN THE STANDARDS FOR ADMITTING EXPERT EVIDENCE IN FEDERAL CIVIL CASES SINCE THE DAUBERT DECISION (2001)
NATIONAL ACADEMIES OF SCIENCES, ENGINEERING, AND MEDICINE, OPEN SCIENCE BY DESIGN: REALIZING A VISION FOR 21ST CENTURY RESEARCH (National Academies Press 2018)
NATIONAL ACADEMIES OF SCIENCES, ENGINEERING, AND MEDICINE, REPRODUCIBILITY AND REPLICABILITY IN SCIENCE (National Academies Press 2019)
OFFICE OF THE INSPECTOR GENERAL OVERSIGHT AND REVIEW DIVISION, A REVIEW OF THE FBI'S HANDLING OF THE BRANDON MAVFIELD CASE (2006)
OFFICE OF THE INSPECTOR GENERAL OVERSIGHT AND REVIEW DIVISION, A REVIEW OF THE FBI’S PROGRESS IN RESPONDING TO THE RECOMMENDATIONS IN THE OFFICE OF THE INSPECTOR GENERAL REPORT ON THE FINGERPRINT MISIDENTIFICATION IN THE BRANDON MAYFIELD CASE (2011)
STEPHEN T. GOUDGE, INQUIRY INTO PEDIATRIC FORENSIC PATHOLOGY IN ONTARIO (2008)
TAL GOLAN, LAWS OF MEN AND LAWS OF NATURE: THE HISTORY OF SCIENTIFIC EXPERT TESTIMONY IN ENGLAND AND AMERICA (2004)
THE NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES, STRENGTHENING FORENSIC SCIENCE IN THE UNITED STATES: A PATH FORWARD (2009)
THE PRESIDENT'S COUNCIL OF ADVISORS ON SCIENCE AND TECHNOLOGY, FORENSIC SCIENCE IN CRIMINAL COURTS: ENSURING SCIENTIFIC VALIDITY OF FEATURE–COMPARISON METHODS (2016)
(二)專書論文
Alexander Bird, When Is There a Group That Knows? Distributed Cognition, Scientific Knowledge, and the Social Epistemic Subject, in ESSAYS IN COLLECTIVE EPISTEMOLOGY 42–63 (Jennifer Lackey ed., 2015)
David Goodstein and Frank J. Gilloon, How Science Works, in REFERENCE MANUAL ON SCIENTIFIC EVIDENCE 37–54 (3rd ed. 2011)
Margaret A. Berger, The Admissibility of Expert Testimony, in REFERENCE MANUAL ON SCIENTIFIC EVIDENCE 11–36 (3rd ed. 2011)
(三)期刊論文
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Andrew Taslitz, Catharsis, the Confrontation Clause, and Expert Testimony, 22 CAP. U. L. REV. 103–144 (1993)
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Carol Krafka et al., Judge and Attorney Experiences, Practices, and Concerns Regarding Expert Testimony in Federal Civil Trials, 8 PSYCHOL. PUB. POL'Y & L. 309–332 (2002)
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Dale A. Nance, Two Concepts of Reliability, 5 J. PHIL. SCI. & L. 1–12 (2005)
Dan Quayle, Civil Justice Reform, 41 AM. U. L. REV. 559–570 (1992)
Daniel A. Krauss and Bruce D. Sales, The Effects of Clinical and Scientific Expert Testimony on Juror Decision Making in Capital Sentencing, 7 PSYCHOL. PUB. POL'Y & L 267–310 (2001)
Daniel C. Murrie et al, Are Forensic Experts Biased by the Side That Retained Them, 24 PSYCHOLOGICAL SCIENCE 1889–1897 (2013)
Daniel J. Capra, Foreword Symposium on Forensic Expert Testimony, Daubert, and Rule 702, 86 FORDHAM L. REV. 1459–1461 (2018)
Daniele Fanelli, How Many Scientists Fabricate and Falsify Research? A Systematic Review and Meta–Analysis of Survey Data, 4 PLOS ONE 1–11 (2009)
David E. Bernstein and Eric G. Lasker, Defending Daubert: It's Time to Amend Federal Rule of Evidence 702, 57 WM. & MARY L. REV. 1–48 (2015)
David E. Bernstein, Expert Witnesses, Adversarial Bias, and the (Partial) Failure of the Daubert Revolution, 93 IOWA L. REV. 451–490 (2008)
David E. Bernstein, Frye, Frye, Again: The Past, Present, and Future of the General Acceptance Test, 41 JURIMETRICS 385–408 (2001)
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David H. Kaye, How Daubert and its Progeny Have Failed Criminalistics Evidence and a Few Things the Judiciary Could Do About It, 86 FORDHAM L. REV. 1639–1659 (2018)
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David Paciocco, Taking a “Goudge” out of Bluster and Blarney: an “Evidence–Based Approach” to Expert Testimony, 13 CANADIAN CRIMINAL LAW REVIEW 135–157 (2009)
David V. Budescu and Timothy R. Johnson, A Model–Based Approach for the Analysis of the Calibration of Probability Judgments, 6 JUDGMENT & DECISION MAKING 857–869 (2011)
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