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证明标准的立法视角【樊崇义】 
2008-3-18

                                       樊崇义

    证明标准是裁判的尺度。因此,必须区分作为裁判尺度的证明标准与作为评判结果的定案根据,二者的关系犹如丈量土地的尺子和被丈量的土地。其中,就立法而言,证明标准问题的关键是裁判尺度高低的选择。一般而言,我国法学界均承认,由于定罪直接关系着特定公民的权利剥夺,刑事证明标准应当高标准、严要求。但究竟如何标注该裁判尺度,则存在客观真实与法律真实的分歧。由于视角的不同可能会出现“横看成岭侧成峰”的视觉效果,在此,我们有必要首先明确证明标准的立法视角问题。

  关于指控犯罪事实的认识,至少可以区分为两种视角:知情人视角和不知情人视角。为了说明这两种视角之间的差别,先看一个生活中的事例:B抱着流血的鼻子跑去向A的母亲告状说A打了他。在这个事例中,B是事实的经历者。他关于事实的认识是以知情人视角出发的。因此,在他看来,A打了他简直是铁证如山:亲身经历、血迹未干,等等。A的母亲对事实的认识则属于不知情人视角,在她看来,B所提出的证据(包括B的陈述)就没有这么真确了。A的母亲是否相信自己的儿子打了人,可能还需要进一步考虑更多的证据。

  通过这个事例,我们或许已经感觉到了两种视角的实质差别:作为经历者,B视角下的证据显然包含了确定的实质性内容;而作为被说服者,A的母亲眼中的证据却只具有形式性的证据特征,至于其是否包含有实质性内容,则需要进一步的调查、判断。更重要的是,作为不知情者,A的母亲无法知道事情的原本面貌,她对事实的认识只能通过证据进行。因此,就A的母亲而言,她关于该事实的认识存在以下两种出错的可能:第一,相信儿子打了人,事实上儿子没有打人;第二,不相信儿子打人,事实上儿子确实打了人。显然,A母亲认识上的错误,对于知情人而言是显而易见的,但对于A母亲而言,除非依靠证据,否则,她根本无法自省或发现。

  明白了上述两种视角的不同,我们再来看证明标准应当采取何种视角。在现代诉讼制度下,裁判者永远都不可能是指控犯罪事实的知情者(否则,他应当成为证人而非裁判者);裁判者对指控事实的认识只能建立在证据材料基础之上。因此,作为裁判者判断何时应当裁判有罪的尺度,证明标准只能以裁判者为立足点,只能采取不知情人视角。其实,根据我国立法,不唯作为最终裁判者的法官,就连侦查人员和检察人员对案件事实的认识也只能采取不知情人视角。基于此种视角上的局限性,立法对裁判者(包括侦查人员、检察人员、审判人员)的要求,只能是法律上具有最低限度正当性的真实;脱离实际要求裁判者像案件事实的经历者或知情人那样完全达到客观真实的程度,是不切实际的,也是不可能的。   

    裁判者对指控事实的认识属于不知情人视角。在此视角下,尽管指控事实是否发生是客观存在的,裁判者却只能看得到诉讼视野之内的证据所展示的内容,而裁判者通过证据所获得的关于指控事实的认识则是裁判的真正基础,而且是惟一基础。因此,立法关于证明标准的规定只能指向裁判者以证据为基础所形成的主观认识程度,换句话说,证明标准所要解决的问题是,裁判者对指控事实的认识程度至少达到何种程度才可以确认被告人有罪。

  证明标准指向的是裁判者根据证据等法定证明手段所获得的关于证明对象的认识状态。就此需要明确三点:第一,证明标准指向的只能是裁判者的主观认识状态。案件客观事实只有借助特定的媒介进入裁判者的认识视野并就此形成主观上的认识,才可能对裁判产生实际的影响。第二,裁判者的认识仅限于对具体证明对象的认识。第三,该项认识主要是依靠证据获得的,但也包括其它法律所允许的认识手段,如推定、司法认知等。在证据范围上,既包括来自证实方当事人的证据,也包括对方当事人提出的证据。因此,证明标准指向的尽管是以主观形式存在的认识状态,此种认识状态却不是纯粹的个人意见,而是一种包含了客观内容的主观认识,“亦即法官有限制的主观的‘视其为真’,是思想、自然和经验的耦合”(〔德〕普维庭:《现代证明责任问题》,第99页)。换句话说,此种认识状态的存在形式是个人的主观判断,但是,这种主观判断却是以法庭所调查的证据为基础的,其中包含了证据所反映的客观内容。当然,这里的客观内容指的是裁判者对法庭所调查证据的反映,是存在于“裁判者-证据”之间的客观性,而非我国传统证据法学通常所说的裁判者对(社会意义上的)案件事实的客观反映。

  我国传统证据法学理论要求,裁判者认定的事实应当正确反映客观存在的案件事实。此一要求的基本方向无疑是正确的。但应当明确的是,客观事实的实现是依靠诉讼制度的共同作用来实现的,证明标准仅是其中的一环。证明标准评判的对象是裁判者借助证据获得的关于指控事实的认识,此种认识是诉讼证明的结果,而非诉讼活动的向标。因此,尽管主观正确反映客观是我们的追求目标,在诉讼证明中,却不可能预先存在一个客观事实作为评判的标准;尽管诉讼证明的结果在客观意义上确实已经达到了如实反映客观事实的程度,裁判者对此却不可能知晓。显然,这与知情人头脑中已有一个客观事实作为标准有着截然不同的特征。   

    为了推动裁判者的认识能够正确地反映客观事实,我们则应当强调诉讼制度的其它方面。如,检察官的客观义务;应当如实提供证据,保证认识手段(证据)的真实性;甄别证据的真假必须以法庭调查的形式在控辩双方参与下进行;上诉审程序的实质化;等等。

转自中国诉讼法律网

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