本篇論文試圖藉由比較一個產業生產技術為固定規模報酬的經濟體系，如何因外部因素的影響而改變其動態調整方式。在此考慮的外部因素有資本移動的開放與否、生產要素的外部性、及政府對要素報酬的課稅。考慮各種因素後，所得出的結論為在生產函數為Cobb-Douglas型式且產業生產技術為固定規模報酬的情況下： 1.多重均衡路徑在資本帳封閉時期唯有效用函數為特例時才能使其出現，但在資本自由移動時期對於所有的效用函數型態皆會成立。 2.其他條件保持不變之下，單獨存在生產要素外部性或是對要素所得課稅皆可使體系存在多重均衡路徑。 3.其他條件保持不變之下，若生產要素外部性與要素所得稅皆同時存在時，可使體系存在唯一的穩定馬鞍路徑。

本論文包含兩篇獨立但主旨相關的文章， 目的均在探討融資契約與廠商投資的關聯，以分析融資契約的實質效果。第一篇文章「股價資訊外部性與新投資之採行」研究權益證券(股票)集訊、揭訊功能的實質效益，我們由股價資訊公開所產生的外部效果，分析股價資訊效率性與廠商投資效率之間的關聯。在1.眾多異質廠商，2.投資具實質選擇權(real options)特性的假設下，內生化廠商與股市交易者的資訊取得決策，發現1. 均衡時廠商的投資與資訊取得決策取決於廠商技術水準與股價效率性之高低：高股價效率性時，無廠商取得新資訊，皆根據股價判斷投資，低股價效率性時，僅較低技術廠商根據股價資訊投資。2. 股價有額外的資訊揭露效果：由於廠商僅能獲得新資訊的部份效益，且廠商利用資訊有機會成本，將投資證券化可提高新資訊被揭露的可能性，使得資訊可被充份利用，提昇投資效率。3. 股價資訊可提增投資效率，增加廠商期望報酬，但當體系平均技術水準落後，新資訊的實質效益低落時，股價資訊公開的外部淨效益亦趨薄弱，故經濟發展初期，股市資訊公開的外部效益相對不重要。 第二篇文章「抵押品、財務槓桿與廠商投資」研究借貸契約中，抵押品舒緩借貸限制的作用，及其可能產生的實質效果。我們採用Williamson(1986,1987)的狀態確認成本模型(costly state verification model)，在該訊息不對稱模型，廠商向外融資面臨借貸限制，僅較高自有資金廠商可獲融資。當借貸市場資金相當寬鬆，資金供給恆大於資金需求，資金成本(無風險利率)為一由模型外因素所決定的外生參數時，抵押融資不影響資金成本，此時抵押品具有舒緩借貸限制的作用，體系財務槓桿提高，期望查帳成本下降，投資的期望淨產出增加。若資金相對緊俏，無風險利率須由借貸市場均衡所內生決定時，長期而言，財務槓桿僅受體系資金寬鬆程度的影響，短期間抵押融資雖能提高財務槓桿，但隨槓桿之提高，資金需求增加，無風險利率上揚，在新的均衡，較低自有資金廠商投資的期望報酬下降，借貸利率上漲，反而增加其應負債務，資產狀況惡化，此即本文所欲突顯之抵押融資的潛在成本。 第一章 緒論 3 第一節 研究動機 3 第二節 研究內容與架構 5 第二章 文獻回顧 7 第一節 融資契約的功能 7 第二節 金融結構與實質經濟活動 13 第三節 股價資訊與廠商投資 18 第四節 抵押品與廠商投資 22 第三章 股價資訊外部性與新投資之採行 27 第一節 前言 27 第二節 基本模型 29 第三節 期中股市均衡與股價效率性 35 第四節 股價資訊外部效益 41 第五節 小結 46 附 錄 47 第四章 抵押品、財務槓桿與廠商投資 53 第一節 前言 53 第二節 基本模型 55 第三節 抵押融資模型-資金寬鬆時的抵押品效果 62 第四節 抵押融資模型-資金緊俏時的抵押品效果 66 第五節 小結 70 第五章 結論 72 第一節 研究限制 72 第二節 未來研究方向 77 參考文獻 79 / This dissertation collects two separate but related papers, both study the channel through which financing contracts can affect firms' investment decisions and the corresponding real effects. The first paper " Informational Externality of Stock Prices and Firms' New Investment Decisions" analyzes what real benefits the information acquisition and signaling function of stocks can produce. From the viewpoint of informational externality, stock prices may disclose some valuable information beneficial to firms' investment decisions. Under the assumptions of " heterogeneous technology" and "new investment as a real option", this paper finds 1. Firms' investment and information acquisition decisions are determined both by their own technology level and stock prices efficiency. With high price efficiency, no firms acquire information directly, all make investment decisions based on stock prices. With low price efficiency, most firms acquire information directly, only few low-tech firms make decisions according to stock prices. 2. Stock prices have additional signaling effect. Firms can ony get half benefits of new information, besides they have opportunity costs in using information. As a result, stock prices can enhance the possibility of information disclosure, improving investment efficiency. 3. When the economy is underdeveloped and the real benefit of new information is small, the net benefit produced by informational externality will be tiny. The stock prices externality effect is thus comparatively unimportant at the beginning stage of economy. The second paper " Collateral, Financial Leverage and Firms' Investment"analyzes the constraints-smoothing function of collateral and its real effects. By adopting Williamson's costly state verification model(1986,1987), I find that with this specific asymmetric information structure, there are financing constraints in capital markets, only firms whose own capital inputs are higher above some level can get borrowed capital. The question is " Can offering collateral smooth this kind of financing constraints?" In markets with abundant capital where capital supply always exceeds demand, capital cost(riskless interest rate)will be an exdogenously-determined parameter which won't be affected by collateral financing. In this scenario, collateral can smooth financing constraints, increase financial leverage and improve the net expected return of investment. On the contrary, if capital is not so abnudant that the capital cost should be determined endogenously by capital market equilibrium, then in the long run this economy's financial leverage depends only on the relative abundance of capital. Though collateral financing can increase financial leverage in the short run, as capital demand increases, capital cost will also increase. This will offset the initial smoothing effect of collateral. After full adjustment of capital cost, at the new equilibrium the financial leverage remains unchanged. However, the expected return of firms with lower own capital inputs become smaller, and their borrowing rates become higher which mean they have heavier debt burden and less net worth at the new equilibrium.

企業社會責任(corporate social responsibility，簡稱CSR)的概念與實務發展在近年來已成為一門企業永續經營的顯學。本研究認為，有別於一般組織外部利害關係人的觀點，身為內部觀察者的員工身分具有特殊性，不僅較外部利害關係人更接近公司核心，亦有機會參與公司的企業社會責任政策制定與活動。因此，本研究旨在建構一研究模型，以員工觀點了解企業社會責任認知及企業志工參與對組織公民行為之影響過程與結果，包含探究員工對企業社會責任認知與企業志工參與程度是否與組織認同有正向影響？員工企業社會責任認知與組織認同是否為知覺外部聲望所中介？當員工組織認同提高時，是否增進其工作滿足、組織承諾、顧客導向？ 　　本研究以Kim et al.(2010)所提出的企業社會責任影響員工企業認同模型概念為基礎，並拓展員工可能展現的反應及工作態度構念，以便利抽樣法回收有效紙本問卷201份、有效網路問卷115份，共計獲得316份樣本。經由驗證性因素分析與結構方程模式(Structural Equation Modeling, SEM)分析後得出研究結論如下： 1.知覺外部聲望確實為企業社會責任認知程度與組織認同之中介變數，員工的企業社會責任認知程度對知覺外部聲望有正向的影響，而更進一步影響組織認同。 2.企業志工參與和組織認同具有正向關係，佐證當企業的社會責任相關活動能滿足員工的心理需求時，員工將會傾向認同該企業。 3.組織認同與顧客導向、工作滿足及組織承諾皆存有正向的影響關係。 4.顧客導向、工作滿足和組織承諾皆與組織公民行為有正向的影響關係，其中顧客導向和組織承諾的影響力皆大於工作滿足。 / The increasing development of corporate social responsibility has become a prevalent concern for business sustainability practices. In comparison to the viewpoint of outside stakeholders, employees play unique roles for their company for two reasons: (1) employees are closer to corporate core business (2) employees participate more easily in CSR activities and policy formulation. Therefore, this study aims to establish a model to understand how employees’ perceived CSR and participation in employee volunteer program (EVP) relate to their organizational citizenship behavior. This study also investigates whether perceived CSR and EVP participation has positive effects on organizational identification; whether perceived external prestige mediates the relationship between perceived CSR and organizational identification; and whether organizational identification acts as the antecedent of job satisfaction, organizational commitment and customer orientation. The model concept is based on the model of CSR and employee-company identification established by Kim et al. (2010), and modified by adding some employees’ attitude constructs. The survey, conducted by convenience sampling, consists of a total of 316 participants whose companies have EVP. Utilizing confirmatory factor analysis (CFA) and structural equation modeling (SEM), the results are as follows: 1.Perceived external prestige is a partial mediator between perceived CSR and organizational identification. Meanwhile, perceived CSR positively affects perceived external prestige, and perceived external prestige has positive relationship with organizational identification. 2.The relationship between EVP participation and organizational identification is positive, which means employees tend to identify with their company when they are mentally satisfied by CSR activities. 3.Organizational identification positively affects variables, such as customer orientation, organizational commitment and job satisfaction. 4.The attitude factors that positively affect employees’ organizational citizenship behavior include customer orientation, organizational commitment and job satisfaction. Further, the impact of customer orientation and organizational commitment are greater than job satisfaction.

歐洲聯盟共有27個會員國，克羅埃西亞將於2013年成為第28個歐盟會員國，歐洲聯盟自1952年成立後，已替歐洲帶來了半世紀的和平、穩定及發展，並榮獲2012年度諾貝爾和平獎，在第二次世界大戰後的重建工作及在1989年柏林圍牆倒下後，長期擔任團結凝聚歐洲、促進和平、和解、民主及人權的角色，除發行歐洲單一貨幣歐元外，並逐步建立歐洲單一市場，撤除歐盟內部邊界，讓人員、商品、服務和資金能自由流動，卻也導致非法移民可利用其邊境管制的疏忽而進入歐盟境內，造成歐洲各國的社會治安問題。不論是合法移民或非法移民，「移民」對歐洲聯盟各國的社會治安、種族文化及民族融合確實帶來不可小覷的影響，隨著歐盟內部人員可以自由在各國間移動，歐洲聯盟各會員國開始重視移民政策，穩定歐盟內部安全、加強歐盟外部邊界管制及打擊非法移民也日益重要，移民已經不再只是單一國內的問題，它廣泛的牽涉到跨國移民問題的類型，歐盟各國除將移民問題提高到歐盟層次的議題上，共同協商統籌規劃更詳盡的移民政策外，並成立歐盟外部邊境巡防協調管理局，共同管理歐盟外部邊境安全，透過結合各國的警力，提高邊境管制和緝捕的效力，改善非法移民或難民所產生的問題（例如跨國犯罪、毒品、人口販賣等），以達遏止非法移民入境的效果。本文將透過瞭解歐盟移民政策制定的發展過程及因素，藉以窺探歐洲移民政策目前現況，並透過研析其政策內容及成立歐盟外部邊境巡防協調管理局之政策法源，探討歐盟外部邊境巡防協調管理局於歐盟移民政策實際執行面上扮演之角色、功能與其重要性，以了解歐盟外部邊境安全共同管理之成效。 / European Union is composed of 27 member states. Croatia will become the 28th of the Europe Union (EU) member state in 2013. The European Union established in 1952 has brought Europe peace, stability and development for fifty years, and was awarded the 2012 Nobel Peace Prize. During the period of the post-World War II reconstruction and the fall of the Berlin wall in 1989, the EU serves as an important role to bring Europe together and to promote peace, reconciliation, democracy and human rights. The creation of European single currency and the formation of single market develop the free flow of goods, services and capital around the EU. However, it raises security issues while illegal immigrants exploit freedom of movement within the EU. Whether legal immigrants or illegal immigrants do bring underestimated impact on security and cultural and ethical integration issues. With the free movement of people within the EU, the member states have started to focus on the immigration policy in order to stabilize the internal security, to enhance the control of the external border and to fight against illegal immigration. Immigration issues are no longer just single domestic problems, but it is widely involved in the type of transnational migration. The EU member states see immigration issues at the EU level and coordinate the planning of the immigration policy, and establish the European Agency for the Management of Operational Cooperation at the External Borders of the Member States of the European Union (Frontex) to co-manage the EU external border security. The support of the national police force to improve the effectiveness of border control and the warrant of arrest ease the problem of illegal immigrants or refugees (such as transnational crime, drugs, human trafficking, etc.) to achieve the effect of curbing illegal immigration. This paper observes the current situation of the European immigration policy based on the study on the development of EU immigration policy-making process and factors. Through the analysis of policy and the law and treaties of founding the Frontex, this paper also examines the role and function of Frontex on the implementation of the EU immigration policy to understand the effectiveness of the co-management of the EU external border security.

團隊多元化(team diversity)指的是團隊成員於人口統計屬性(如性別、年齡與種族)或潛在特性(如人格特質、工作態度或工作價值觀)上之分配情形與差異程度，或可稱之為團隊異質性(team heterogeneity)。過去實證研究雖指出團隊多元化可對團隊結果產生不同方向與程度之影響，但對於不同類型多元化與不同團隊結果間之關係仍缺乏較完整之探討。本研究將團隊多元化區分為關係相關多元化(relation-oriented diversity)與工作相關多元化(job-related diversity)，其中，再進一步將關係相關多元化分為表象多元化(surface-level diversity)與深層多元化(deep-level diversity)，目的在釐清各種多元化屬性之異同處。同時，本研究另將團隊結果分為團隊歷程與團隊績效。與過去研究不同的，本研究不僅探討團隊內部凝聚力，更將團隊多元化連結至外部歷程－外部活動(external activity)，以檢視多元化與外部活動間之關聯性。 本研究以社會分類與社會認同理論解釋關係相關多元化對團隊歷程與團隊績效之影響，假設愈高的表象多元化與深層多元化將對團隊歷程與團隊績效造成負向影響。本研究另以資訊與決策觀點及認知資源觀點解釋工作相關多元化對團隊歷程與團隊績效之影響，假設工作相關多元化將對團隊外部活動與團隊績效造成正向影響。 本研究以62位團隊主管與280位研發工程師，共62個研發團隊為對象，探討關係相關多元化與工作相關多元化對各種團隊結果之影響。本研究以問卷調查法搜集資料，發放問卷予研發工程師與團隊主管，前者回答多元化屬性與團隊歷程問項，後者回答多元化屬性與團隊績效問項。 研究結果發現，深層多元化與團隊凝聚力呈負相關，且深層多元化對團隊凝聚力之負向影響大於表象多元化。表象多元化與外部活動呈負相關，且表象多元化愈高之團隊，其團隊績效愈低。同時，工作相關多元化對外部活動與團隊績效呈正相關。由此可知，不同類型之團隊多元化可對不同團隊結果造成影響，當團隊之關係相關多元化愈高時，其團隊凝聚力愈低；而當團隊之工作相關多元化愈高時，其團隊績效愈高。因此，在探討團隊多元化與團隊結果之關係時，須仔細地思考關係相關與工作相關多元化是否會對特定類型結果產生影響，方能有助於團隊多元化研究成果之累積。 / Team diversity refers to the differences and heterogeneity of the team members’ attributes that people use to tell themselves that another person is different. Diversity is traditionally conceptualized in terms of visible differences in age and gender. Individuals may also differ on less visible characteristics such as level of education, tenure, personality, and attitude. Past research had investigated the relationship between diversity and team outcomes, however, conclusive findings of the effects of diversity on team processes and outcomes still do not exist. There is a need to develop a theory to explain the complexity of diversity and team outcomes. In this study, we adopted Jackson, May, and Whitney’s (1995) argument, offering a distinction between relation-oriented and job-related diversity, in which the former represents diversity attribute that are easily detectable or underlying and likely to evoke others’ socioemotional responses. Furthermore, relation-oriented diversity is categorized as surface-level and deep-level attribute. The former is defined as biological characteristics that are typically reflected in physical features, the latter is the differences among members’ attitudes, beliefs, and personality. To understand the impact of different types of diversity in team outcomes, this study links diversity to team cohesiveness, performance, and a new outcome, external activity. According to social categorization and social identity theories, relation-oriented diversity is negatively related to team cohesiveness, external activity and team performance. Whereas the social categorization perspective explains the relationship between relation-oriented diversity and team outcomes, the information/decision-making and cognitive resources perspectives focus more on job-related diversity. The information/decision-making and cognitive resources theories propose that variances in job-related attributes have a positive impact through increase in the skills, abilities, information, knowledge, and confidence that diversity brings, independent of what happens in the group process. There are 62 team leaders and 280 engineers, totally 62 teams, responding to the survey. We distribute different questionnaires to leaders and engineers. Besides individual characteristics, leaders evaluated the team performance, and engineers answered their perception about their team. Results show that deep-level diversity is negatively related to cohesiveness. Moreover, the impact of deep-level diversity on cohesiveness is stronger than surface-level diversity. Teams higher in surface-level diversity perform less external activity, and received lower leader rating for team performance. Results also show that job-related diversity is positively related to team performance. Apparently, different type of diversity leads to specific team outcomes. Teams higher in relation-oriented diversity lower cohesiveness, and those higher in job-related diversity lead to higher performance. Implications and future research needs are discussed.

近年來公司財報不實之案件屢見不鮮，如美國的安隆(Enron)、世界通訊(WorldCom)、全錄(Xerox)、默克藥廠(Merck)等一連串公司爆發財報不實之情形，二○○四年日本的西武鐵道、日本テレビ放送網公司也傳出財務報表虛偽記載的消息，而我國從早期的丸億案到近期引起軒然大波的博達案，也都涉及到虛飾財務報表以掩飾公司財務狀況不佳的問題。鑑於公司董事依公司法第228條為財報之編製主體，其能否善盡其職責攸關財報之正確性與否。復考量到相較於刑事責任，民事責任之成立與否與廣大投資人求償的可能性較具關連，故本文限縮研究重心於公開發行公司董事就財報不實應負之民事責任。 由於我國證交法或公司法上關於公開發行公司董事財報不實之民事責任規定，多係參考美國法或日本法之規定，故本文於架構上於第二章及第三章部分先行探討美國法、日本法上董事財報不實之民事責任規定，最後再藉比較法觀點，於第四章部分檢討我國現行公開發行公司董事財報不實之民事責任規定。 本文以為我國法上公開發行公司財報不實董事之民事責任，可分為第三人責任與對公司責任兩個面向予以觀察。就對於第三人責任，主要規範於證交法第20條第1項證券詐欺規定、同條第2項資訊不實規定，以及第32條公開說明書不實規定。惟此等規定賠償義務人範圍、主觀要件、請求權人、適用範圍，甚至是請求賠償時之因果關係證明及損害賠償範圍，學說及實務判決上常有不同看法，應有確立該等規定構成要件內涵之必要性。另外公司法第23條第2項公司負責人之侵權行為責任、民法第28條法人之侵權行為責任規定，亦涉及董事於財報不實時對第三人之責任。 董事於財報不實時對公司之責任方面，主要檢討董事有無違反公司法第23條第1項善良管理人之注意義務。此外，關於美國、日本法上之董事責任減免機制，我國法上僅有公司法第231條股東會承認會計表冊規定及董事責任保險制度較為相關。惟本文以為在現行股東代位訴訟制度尚未修正前，並無引進與其配套之董事責任減免機制之必要。 至於獨立董事與內部董事責任應否區分?本文考量到獨立董事依公司法規定仍為執行業務者，且獨立董事與內部董事現實運作上難以劃定責任區分之標準，認為於我國現行法下，獨立董事與內部董事就財報不實所負之民事責任並無區分之必要。

根據瑞士有機農業研究所的全球有機市場報告指出，2013年全球有機農業產值為630億美金，相較於2011年增長25%，由此可見有機產業蓬勃發展。過往國內有關有機產業的研究，大多偏向探討有機農業的發展、消費者行為調查、通路行銷策略，對於有機商店創新層面著墨很少。另一方面，以往服務創新相關研究有提到組織方式與知識管理對其產生的影響，但探討的產業仍限縮在一般服務業，未曾針對有機商店作探討。基於上述的缺口，本研究以「有機認知」、「組織特性」、「知識取得」等三大構面為主軸，選擇國內三家有機零售通路商店進行深入研究，探討三大構面對服務創新的影響。 本研究得到的結論如下： (1) 有機零售通路業者共同採取的服務創新是複合式經營餐飲、不定期的講座與活動、網路平台、App互動與購物。 (2) 有機零售通路業者發展服務創新，其有機產品認知包含健康產品的定義、與農友間公平貿易。前者是說明店內產品的選擇，後者是說明其公平採購行為，兩者對於有機零售商店都是新服務概念。 (3) 有機零售通路會同時透過正式化的組織方式與非正式化的提案制度來激發創新。當公司不具備組織創業家精神，新服務發展將難以達成。 (4) 有機零售通路業者發展服務創新時，在外部連結與知識取得上，會以開放式創新的概念積極向外獲取所需之技術知識與市場知識，尤其注重一線員工與顧客的互動與顧客意見。 最後，本研究提出實務建議與後續研究之建議。 / According to the statistics of Research Institute of Organic Agriculture (FiBL), global output value was 15 billion dollars in 2013 and 25% growth from 2011, which shows that organic industry is a booming industry. Most of the past researches related to organic industry are focused on the “development of organic farming”, “consumer behavior”, “marketing strategy” and very few studies are conducted on the organic store innovation. On the other hand, most of the former studies of service innovation, knowledge management, and organizing focus on general service industry. The past studies of the cases are almost general service industry. Due to the research gap, this study establishes a research framework with four major constructs: organic product awareness, organizing, external sourcing of knowledge and service innovation. I select three organic retail stores and aim to find the relationship among them. Four major preliminary conclusions obtained from this study are as follows: (1) The observation of organic retail stores jointly take these actions, such as combinative restaurant, occasional lectures/activities, network platform and App interacting with shopping. (2) As far as organic retail stores for service innovation is concerned, firm’s organic product awareness consists of the definition of health products and fair trade between farmers. Both of them are the new service concepts. (3) As far as organic retail stores for service innovation is concerned, the firm may use both formal and informal organization. If firms do not acquire entrepreneurship orientation, new service development would not be accomplished. (4) As far as organic retail stores for service innovation is concerned, the firm will actively acquire both of technical knowledge and market knowledge. Especially stores pay attention to the views of frontline staff and customer feedback. Finally, this study draws some recommendations for both practitioners and follow-up researchers.

本文試圖對於北韓在後冷戰時期進行看似複雜與矛盾的內外政策進行分析，並整理出其規律性並予以模型化。而本文發現北韓應付生存危機首重外交與經濟政策，其規律性展現於：當外部危機出現惡化時，北韓外交政策會傾向使用邊緣策略；但外部危機出現好轉的時，北韓外交政策則會傾向使用妥協策略。另外，北韓經濟政策也出現一定的規律性，但其策略的採用必須同時考量到經濟與政治因素。而北韓經濟策略的規律性表現於：當經濟危機出現好轉時，但當局有政治考量的情況下，經濟策略將傾向使用計劃經濟搭配爭取經援，且對經濟改革進行限縮的情形；但經濟危機出現惡化時，當局的政治考量出現(或必須)退位，此時經濟策略將傾向於使用計劃經濟搭配爭取經援，並且進行經濟改革，或放鬆對經改的限縮。而本文依照上述所觀察出北韓外交與經濟策略的規律性，建立出分析模型，並以此預測出北韓未來可能採行的策略。 關鍵詞：北韓、外部危機、經濟危機、邊緣策略、妥協策略、計劃經濟、爭取經 援、經濟改革、受限縮的經改 / This paper tries to analyze and modelize the policies of the DPRK which look like complicated and paradoxical. It explores the DPRK puts emphasis on the foreign and economic policies to deal with he risks of her survival, and her policies or strategies can be formulated into a pattern. The pattern of her foreign strtegies shows that the authorities tend to engage in the brinkmanship after the economic risk getting worse, and they also tend to conduct the compromise after the economic risk getting better. Futhermore, the economic policies of the DPRK also shows the pattern. However, the political and economic factors should be considerated in the pattern. It shows that the authorities tend to engage in the package strategies including planned economy, aid-seeking and reform with restriction when the economic risk gets better and political concern exists. On the other hand, they tend to conduct the package strategies including planned economy, aid-seeking and reform without restriction when the economic risk coming worse and political concern diminishes. According to the pattern of foreign and economic strategies, it can be constructed the model and predicts the responses of strategies by the DPRK. Keywords: North Korea (Democratic Republic of Korea, DPRK); external risk; economic risk; brinkmanship; compromise; planned economy; aid-seeking strategy; economic reform; economic reform without restriction

我國刑事訴訟實務經常運用類推適用，解決法律所未明文規範之案型，也因此，刑事訴訟法是否容許類推適用？實務上運用類推適用是否合理妥適？會否誤用類推適用之概念？或是與其他的法學方法產生混淆？甚至是濫用類推適用導致侵害立法權之核心領域？等等，都是本文所欲深入研究探討的議題。 　　開始進入本文討論核心之前，首應處理的便係刑事訴訟法是否容許類推適用，此一先決問題，惟基於文章結構安排的流暢性，筆者將其列於第四章加以探討。透過刑事訴訟法與刑法之比較、刑事訴訟法本質之探究、比較法之借鑑等等，肯認刑事訴訟法上類推適用之容許性。 接著，本文嘗試以法學方法為基礎，分別就應然面向與實然面向，探討刑事訴訟法上之類推適用。就應然面相而言，筆者先於第二、三章，釐清法學方法中法律漏洞與類推適用之基礎概念，復於第四章納入刑事訴訟法特有之目的與價值考量，建構了一個刑事訴訟法上之類推適用，理想中應有的三階段操作模式：開放性法律漏洞之確認、類推適用中類似性之探求，以及刑事訴訟法上妥適性之權衡。復將觀察焦點轉向實然面向，筆者於第五章將關於刑事訴訟上類推適用之實務見解分為六大類型：大法官解釋與判例之類推適用、強制處分之類推適用、證據能力之類推適用、傳聞例外之類推適用、技術性規範之類推適用，以及實務否定之類推適用。於探討各類規範類推適用之容許性後，實際運用筆者於應然面向所建立之理想操作模型，對於二十多則的實務見解，一一檢驗與評析。 惟我國實務對於法學方法尚未能精確掌握，屢屢誤用類推適用，致與其他法學方法互相混淆，對於類推適用之操作與論述亦過於簡略，未能為個案司法造法之類推適用提供充足的理由與論證。故而，本文強調於刑事訴訟法之類推適用中，應納入法學方法之思考方式，尤須特別著重妥適性之權衡，將刑事訴訟法三大目的與其他原理原則納入權衡與考量。期能以本文所建構之操作模型，作為刑事訴訟法實務上運用類推適用時之參考，並引發學界與實務對於法學方法在刑事訴訟法上運用之關注。

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