China: 鉴定意见质证的16把金钥匙

Last Updated: 27 November 2019
Article by Liang Yali

  2019年10月20日,"京都刑辩论坛"在大连拉开了帷幕(点击回顾论坛盛况)。本届论坛可谓群星云集,知名专家学者、一线刑辩律师共同探讨刑事辩护的理论和实践。

  以下内容根据中国法学会法律文书学研究会理事,京都律师事务所高级合伙人梁雅丽的现场发言整理。


  梁雅丽

  尊敬的各位老师、专家和同仁,大家下午好!我今天分享的题目是"鉴定意见质证的16把金钥匙",也是结合法律、司法解释的相关规定,把自己之前办案的经验做一个简单的归纳分享给大家。我的发言主要是以法律条文为线索和基础,结合一些案件,从审查的维度展开的。在刑事案件的审查当中,往往因为鉴定意见的专业性太强,让律师不知道该从何下手,需要弄明白:刑事诉讼法和其他法律是如何规定对鉴定意见进行审查的?法律条文这样规定背后的原因是什么?今天我只是想跟大家做一个简要的分享,因为时间原因,也只能是点到为止。

  我们首先需要了解鉴定意见是什么?针对什么对象作出?鉴定意见的性质是什么,这个性质的依据是什么?

  我们需要了解鉴定意见,通俗来说,就是有些案件为了解决专门问题,聘请专门的人员,根据专门的知识,按照专门的方法,对事实问题做出专业的鉴别和判断。而鉴定意见的目的就在于,帮助法官对专业问题作出一个最终的判断。而鉴定意见的形成过程就是由相关的鉴定机构及鉴定人,对送检的检材和样本进行推理,得出他对这个事实的判断,这个判断也要通过法定的程序,经过法庭的举证、质证作为法官定案的依据。从这样一个流程来看,我们对鉴定意见的审查就有静态和动态的部分。从建立形成的环节来看,首先就是审查作出鉴定意见的主体资质问题,检材的客观性、真实性的问题,以及有关同一性的问题。其次就是在运用专业知识进行推理的过程中,是否符合专业规则的问题,以及最后得出的结论是否具有确定性的问题。最后,进入法庭展示,进行举证质证的全部过程是否合法的问题。以上,就是我们要观察的几个环节。

  在探讨鉴定意见的具体环节之前,需要先强调两点。其一,要区分专门性问题和普通事实问题。因为是一个专门性问题,与普通性的问题是相对的,通过自己的感知就可以进行判断的,尤其是法官根据生活经验就可以判断的,是不需要鉴定的普通性问题。而在案件中需要专业知识进行判定的,就出现了一些大家意识到的问题:有一些明明是普通事实问题,不需要进行专门的鉴定来判别的,但是做了司法鉴定;有一些明明是法律界定的问题,却也通过司法鉴定的方式来进行了鉴别。我们作为辩护律师就要进行分析,所以一定要清楚这其中的区别。其二,鉴定意见本质上是言词证据。鉴定意见到底是一个什么证据?我们经常在庭审中,出示的书证确实是专门的人员做出的鉴别和判断,但究其根本这只是意见性证据,比如作为证人或者法律工作者对案件事实的揣测、推断性的意见是不能作为依据的,法官根据生活经验认为是符合事实的除外,在我们的刑事诉讼法就有这样一条规定,《刑诉法解释》第75条第2款也做出了强调。所以,鉴定意见能被采纳,是意见证据规则的主要例外。大家要注意这个问题,既然鉴定意见本质上是个意见性问题,为什么要强调对它有一个清楚的认识和界定,这就牵涉到为什么我们要对鉴定主体资格进行审查。

  下面简单介绍一下猎杀马鹿案,作为鉴定意见审查的一个引子。被告人和同伴在牧场猎杀了4只马鹿,2只狍子,最后被追究刑事责任。这个案件最大的问题在于,要认定被猎杀的动物是保护动物,是要做专业鉴定书的,但本案就只有这样一张纸,没有写明检材的状态、送检的过程以及检验的方法等,甚至适用的规范和鉴定人的签字都没有。而我们对鉴定意见要从哪个角度和维度去审查?我们经常审查的维度法律依据是刑事诉讼法及其相关解释,还有公安机关和检察机关关于鉴定的规定,关键是关于资质的审查,还有检材的收集、检验、鉴定的方法和标准。另外,同样重要的还有鉴定过程,是不是符合《司法鉴定程序通则》规定的程序。

  1. 关于对鉴定人和鉴定机构的审查

  这里总结为(1)鉴定机构法定资质、(2)鉴定人法定资质、(3)鉴定人违反回避的情形三把"金钥匙"。根据刑事诉讼法司法解释第84、85条,其一,鉴定机构必须具备法定资质,具备足够的技术条件,鉴定事项也须在该鉴定机构的业务范围内;其二,鉴定人都要具备相应的资质,有相应的职称;其三,在鉴定人应当回避而没有回避的情形下作出的鉴定,应当依法排除的,不能作为定案依据。为什么有这样的规定?我们的规定跟英美法系是不同的,后者是当事人主义,鉴定机构允许有个人倾向。但我们的鉴定机构以及鉴定人实行的是双管制,也就是有登记管理制度的,这就要求鉴定机构保持中立性,不要带有任何的利益倾向。

  再者,关于这样一个规定,还要提醒大家关注到,鉴定事项是否超出资质范围的问题。不管是机构还是个人,超范围的问题往往是我们可能忽略的。比如在某故意杀人案中,一份DNA的鉴定成为确认被告人是凶手的关键证据。但经法庭调查发现,出具该鉴定意见的鉴定人,一位仅具有鉴定人助理资质,一位是普通法医,均无DNA鉴定资质。根据公安部《法庭科学DNA实验室建设规范》规定,该鉴定意见因为鉴定人无资质,不能作为定案依据。因此,在主体审查的问题上需要考虑三点:一是该鉴定机构是否具有省级公安司法鉴定管理部门核发的公安司法鉴定机构资格证书和公安司法鉴定人资格证书,二是审查鉴定人员的执业状态是否正常,三是是否超出鉴定范围进行鉴定。比如在毒品案件当中,一些公安的鉴定人可能只有法医的鉴定资格,而没有毒物化学鉴定资质。又比如在交通事故成因鉴定中,对车辆驾驶人、乘车人进行了论证分析,这既属于超出鉴定范围鉴定,也属于对鉴定事项不具有鉴定资质的鉴定。

  在一个生产销售有毒有害食品的案件中,就出现了超范围鉴定的问题。具体来说,是出现在案件中的检验报告,是公安的物证检验中心出具的,但食品安全关于食品和药品是国家专门规定,由食品药品卫生行政管理部门指定的检验机构来执行,公安直接根据人的血液里毒素的鉴定方法做了一个检验,认定了猪肉里面肾上腺素含量的问题,显然这个是一个鉴定事项超范围的问题,这是需要大家在审查主体资格的问题上着重关注的。

  2. 关于鉴定意见质证中对检材的审查

  鉴定意见的客观性、真实性的来源是什么?最关键的部分就是检材的部分,这里提出(4)对检材来源的审查、(5)送检链条的审查以及(6)鉴定对象与样本同一性的审查三把"金钥匙"。具体而言,关于检材的样本,首先样本从哪里来,通过什么方式提取,提取过程是否受污染;其次,样本固定之后是怎么样保管的,送检的链条是否断裂;最后,检材来源和送检过程会影响到能否保证鉴定结论的鉴定对象,跟当初提取的检材保持一致的问题。这个环节也需要大家进行仔细的审查,尤其是出现链条断裂的问题,往往会影响到对象跟检材同一性的问题。尤其在毒品案件里面尤为突出,毒品的抽查、扣押、送检,公安部都有相关的规定,比如《办理毒品犯罪案件毒品提取、扣押、称量、取样和送检程序若干问题的规定》等,相信同行们都是清楚的。

  3. 关于鉴定意见质证中对专业性的审查

  鉴定意见是专业性的,也是针对专门问题的。当我们要对他的专业性进行审查时,要从三个方面进行判断,也就是(7)鉴定是否针对专门性问题、(8)鉴定过程与方法是否符合专业规范要求,以及(9)鉴定所使用的标准是否有误,这又是三把"金钥匙"。虽然之前也谈到了鉴定意见专业性的问题,但重在前提性地区分专业性事实和普通性事实,而这里关于审查是否针对了专门性问题,需要大家进一步鉴别的是,针对的是需要通过专门的方式和手段来鉴别的事实问题,还是一个法律问题。比如,会计司法鉴定往往对资金的流向有鉴定,但是在司法鉴定文书中,会计司法鉴定文书经常出现认定非法所得是多少的结论。"非法所得"显然是一个法律判断,是当事人行为责任的问题。又比如,无行为能力是法律定性判断,其确实基于精神病的专业鉴定,但鉴定意见本身,只能对行为人对自己行为的辨别和控制能力的情况作出鉴定。如果鉴定意见就代为判断了,行为人是限制行为能力人还是无行为能力人,那么我们认为这个鉴定已经超越了事实部分,做出了一个法律问题的评价。还有之前说过天价葡萄的问题,鉴定的方法到底是针对一个法律问题还是事实问题,这个也是我们引发这个问题的原因。

  还有一个,关于鉴定过程里面,这个鉴定方法是否得当,这个鉴定过程是否符合专业的规范,也是值得关注的方面。比如,在对枪支的鉴定中,除了有检验的过程之外,还有一个复检环节,但有的案件只有鉴定的过程,没有复检,这不符合相关的规范。因此我们当时提出了对该鉴定意见予以排除的请求。我们认为,鉴定过程和方法一定要严格的按照规范进行。又比如回到之前提到的涉嫌生产有毒有害食品的案件,因为方法错误,我们要检验猪肉中有没有盐酸肾上腺素的残留,应该按照针对动物的相关规定方法,以及相关的专业标准来进行,但是案件中,办案机关直接用人的血液毒素的含量这种方法来进行鉴定,这显然鉴定方法和适用规范都是错误的。

  另外,针对鉴定所适用的标准是否有误的问题,鉴定的标准一共分了三级,也就是国家技术标准、行业标准,还有该专业领域多数专家认可的方法。有国家标准的适用国家标准,没有国家标准有行业标准,适用行业标准,这两个都没有的情况下,才采用专家认可的方法。这个也是大家在审查过程当中要关注到的。

  4. 鉴定意见质证中的实质性审查

  关于鉴定意见,最后还有一个实质性审查的问题。在这个环节中分了四个角度,即(10)鉴定的推理过程是否具有科学性、(11)鉴定的推理过程是否符合逻辑规则和生活常识、(12)相关性判断以及(13)鉴定意见缺乏明确性,这里也称为四把"金钥匙"。而四个角度中最核心的就是关联性的审查问题,也就是说,这个鉴定结论与待证事实之间是否有关联。此外,现实中还存在鉴定结论缺乏明确性的问题。我们承办过的有些案件的鉴定结论中,经常出现"不排除......原因","均系......原因之一","......等等原因"的表述,也就是其鉴定结论仍然是一个不确定的状态,鉴定意见不具有唯一性、确定性。所以,这样一个鉴定意见不能证明行为和结果之间存在刑法意义的因果关系,那么应当予以排除。从规定来看,对于鉴定意见缺乏明确性的问题,我们也可以根据刑事诉讼法司法解释第84条第(七)项的规定,从审查的角度看,证明力应该达到何种程度,能否采信。这都是我们需要判断的问题。

  这里为什么把鉴定的推理过程是否具有科学性,是否符合相关规则和常识,也列在实质性审查中?比如,在我们承办的一个案件中,针对致命伤如何形成、颅脑外伤如何形成、是否颅脑损伤导致的死亡作出法医学鉴定意见,但我们提出质疑,该鉴定对于伤的形成并不符合力学原理。但是,这些专业性的审查中,我们不具有专业的知识,自己做不到怎么办?我们可以申请具有专业能力和资质的人,对这样的鉴定进行审查。再则,我们可以申请具有专门知识的人出庭,帮助我们对这些鉴定意见做质证,这个是通常可以想到的办法,因此,对于实质审查可以从这四个角度进行审查。

  5. 关于鉴定意见的形式要件审查

  鉴定意见的形式要件的审查强调的是,如果连基本的要素都没有具备,鉴定意见也不得作为定案根据,主要针对两方面,一是(14)鉴定文书形式是否完整,二是(15)鉴定内容是否有遗漏。鉴定的事由、鉴定的过程、鉴定的要求、鉴定的方法,以及鉴定人的签字这些形式要件都没有具备时,就要看形式要件里面哪些内容直接根据法律规定不能作为定案的依据。刑事诉讼法第85条规定得很清楚,如果缺少了鉴定机构的盖章、鉴定人的签字,就直接不能作为定案依据。这个规定我认为其原理就是基于鉴定意见本质上是意见性证据,它需要对人进行核实质证,需要人的签字,否则就不能作为定案依据。至于缺少其他的,如鉴定日期、鉴定委托人、鉴定要求的,以及缺少鉴定过程和鉴定方法的,这显然是影响了这个鉴定意见作为证据本身的证明力,我们认为,也不应该作为定案依据来采信,也是违反相关法律规定的。但是,这需要根据不同的案件和不同的情况进行判断,不是可以一概排除的。

  6. 关于鉴定意见的诉讼程序规则审查

  最后,鉴定意见作出以后,都要按照法律规定的程序,进行庭审质证,由法官来裁判能否作为定案依据。根据最高院关于适用《刑事诉讼法》的解释第87条规定,鉴定人具备出庭条件的,在应当出庭且法院通知出庭的情况下,鉴定人拒绝出庭的,不管其鉴定结论的形式如何,鉴定主体如何,检验检材的真实性如何,都可以(16)对鉴定意见提出"异议",法院应该依法排除,不能作为定案依据,这就是诉讼程序审查。

  以上,就是我发言的内容,主要是根据刑事诉讼法第84、85条规定的内容,结合自己办案的一些体会,还有司法鉴定本身背后的一些原理,简要地为大家做了一些归纳,引导大家以后拿到鉴定意见从这几个角度审查。

  希望我今天的发言能为大家日后办案提供一些可参考的思路,也欢迎大家再对鉴定意见质证的相关问题进行探讨交流,谢谢各位的聆听!

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In your use of the Website and/or Services you shall: comply with all applicable laws, regulations, directives and legislations which apply to your Use of the Website and/or Services in whatever country you are physically located including without limitation any and all consumer law, export control laws and regulations; provide to us true, correct and accurate information and promptly inform us in the event that any information that you have provided to us changes or becomes inaccurate; notify Mondaq immediately of any circumstances where you have reason to believe that any Intellectual Property Rights or any other rights of any third party may have been infringed; co-operate with reasonable security or other checks or requests for information made by Mondaq from time to time; and at all times be fully liable for the breach of any of these Terms by a third party using your login details to access the Website and/or Services

however, you shall not: do anything likely to impair, interfere with or damage or cause harm or distress to any persons, or the network; do anything that will infringe any Intellectual Property Rights or other rights of Mondaq or any third party; or use the Website, Services and/or Content otherwise than in accordance with these Terms; use any trade marks or service marks of Mondaq or the Contributors, or do anything which may be seen to take unfair advantage of the reputation and goodwill of Mondaq or the Contributors, or the Website, Services and/or Content.

Mondaq reserves the right, in its sole discretion, to take any action that it deems necessary and appropriate in the event it considers that there is a breach or threatened breach of the Terms.

Mondaq’s Rights and Obligations

Unless otherwise expressly set out to the contrary, nothing in these Terms shall serve to transfer from Mondaq to you, any Intellectual Property Rights owned by and/or licensed to Mondaq and all rights, title and interest in and to such Intellectual Property Rights will remain exclusively with Mondaq and/or its licensors.

Mondaq shall use its reasonable endeavours to make the Website and Services available to you at all times, but we cannot guarantee an uninterrupted and fault free service.

Mondaq reserves the right to make changes to the services and/or the Website or part thereof, from time to time, and we may add, remove, modify and/or vary any elements of features and functionalities of the Website or the services.

Mondaq also reserves the right from time to time to monitor your Use of the Website and/or services.

Disclaimer

The Content is general information only. It is not intended to constitute legal advice or seek to be the complete and comprehensive statement of the law, nor is it intended to address your specific requirements or provide advice on which reliance should be placed. Mondaq and/or its Contributors and other suppliers make no representations about the suitability of the information contained in the Content for any purpose. All Content provided "as is" without warranty of any kind. Mondaq and/or its Contributors and other suppliers hereby exclude and disclaim all representations, warranties or guarantees with regard to the Content, including all implied warranties and conditions of merchantability, fitness for a particular purpose, title and non-infringement. To the maximum extent permitted by law, Mondaq expressly excludes all representations, warranties, obligations, and liabilities arising out of or in connection with all Content. In no event shall Mondaq and/or its respective suppliers be liable for any special, indirect or consequential damages or any damages whatsoever resulting from loss of use, data or profits, whether in an action of contract, negligence or other tortious action, arising out of or in connection with the use of the Content or performance of Mondaq’s Services.

General

Mondaq may alter or amend these Terms by amending them on the Website. By continuing to Use the Services and/or the Website after such amendment, you will be deemed to have accepted any amendment to these Terms.

These Terms shall be governed by and construed in accordance with the laws of England and Wales and you irrevocably submit to the exclusive jurisdiction of the courts of England and Wales to settle any dispute which may arise out of or in connection with these Terms. If you live outside the United Kingdom, English law shall apply only to the extent that English law shall not deprive you of any legal protection accorded in accordance with the law of the place where you are habitually resident ("Local Law"). In the event English law deprives you of any legal protection which is accorded to you under Local Law, then these terms shall be governed by Local Law and any dispute or claim arising out of or in connection with these Terms shall be subject to the non-exclusive jurisdiction of the courts where you are habitually resident.

You may print and keep a copy of these Terms, which form the entire agreement between you and Mondaq and supersede any other communications or advertising in respect of the Service and/or the Website.

No delay in exercising or non-exercise by you and/or Mondaq of any of its rights under or in connection with these Terms shall operate as a waiver or release of each of your or Mondaq’s right. Rather, any such waiver or release must be specifically granted in writing signed by the party granting it.

If any part of these Terms is held unenforceable, that part shall be enforced to the maximum extent permissible so as to give effect to the intent of the parties, and the Terms shall continue in full force and effect.

Mondaq shall not incur any liability to you on account of any loss or damage resulting from any delay or failure to perform all or any part of these Terms if such delay or failure is caused, in whole or in part, by events, occurrences, or causes beyond the control of Mondaq. Such events, occurrences or causes will include, without limitation, acts of God, strikes, lockouts, server and network failure, riots, acts of war, earthquakes, fire and explosions.

By clicking Register you state you have read and agree to our Terms and Conditions