本文關(guān)鍵詞： 刑事庭審 轉(zhuǎn)述 事件框架 合意性原則 行為主體 肯定性轉(zhuǎn)述 否定性轉(zhuǎn)述 直接引語 間接引語 原述性　出處：《華東師范大學(xué)》2013年博士論文　論文類型：學(xué)位論文

【摘要】：司法是現(xiàn)代社會生活中一個極其重要的“場域”,轉(zhuǎn)述是司法活動中一個特別高頻而重要的語言現(xiàn)象。 司法實踐過程中的一切行為均須“以事實為依據(jù),以法律為準(zhǔn)繩”。其中的“事實”與“法律”不管其初始形態(tài)如何,最后都一定呈現(xiàn)為語言。 本文試圖通過分析第一手轉(zhuǎn)寫的幾十萬字的真實庭審錄音轉(zhuǎn)寫腳本,揭示庭審轉(zhuǎn)述(引語)在言語行為分析合意性原則框架下的典型性特征,并建立轉(zhuǎn)述事件分析框架。 本文既是轉(zhuǎn)述問題的分析,也是法律語言問題的討論,還是言語行為論的研究,根據(jù)對于這三方面相關(guān)學(xué)術(shù)文獻的回顧,本文看到：語言學(xué)研究領(lǐng)域?qū)D(zhuǎn)述的研究通常或者是從形式出發(fā)加以考察,或者是從功能出發(fā)加以考察�；谛问降霓D(zhuǎn)述研究主要圍繞轉(zhuǎn)述與原述的形式對應(yīng)性和意義忠實度而展開。基于功能視角的代表性研究首推’Thompson對轉(zhuǎn)述現(xiàn)象及其組成要素的界定和分析。這些研究的共性之一是對靜態(tài)語篇,如新聞?wù)Z篇、文學(xué)語篇、學(xué)術(shù)語篇等的關(guān)注。靜態(tài)研究的不足之處體現(xiàn)在對轉(zhuǎn)述行為形式、功能多樣性和不確定性的忽略,其研究成果同時也因語域的差異,難以指引法庭審判這一真實語言環(huán)境下的轉(zhuǎn)述行為。 為此,本文力圖構(gòu)擬一個基于“言語行為分析”和“合意性原則”而展開的、對于司法“場域”法院刑事庭審過程中的言語轉(zhuǎn)述現(xiàn)象加以系統(tǒng)考察的分析框架。 由此,本文首先重新梳理了“言語行為”、“場域”和“轉(zhuǎn)述”這樣三個核心概念,提出：任何用語言呈現(xiàn)的行為都是“言語行為”,任何言語行為都必須“合乎行為主體的意圖”,合意性是制約一個言語行為最重要的原則。不同文本的轉(zhuǎn)述都是為達到一定的言后行為效果而進行的一種選擇性言語行為；提出：“場域”與“語境”、“語體”、“語域”相關(guān)卻并不相等,指的是主要由語言外參數(shù)構(gòu)成的“一定社會空間聯(lián)系,是各種力量調(diào)整定型的‘某種被賦予了特定引力的關(guān)系構(gòu)型’”。信息的意義和社會效力只有在一個既定的場域中被決定,而這個既定場域又處于一個與其他場域相關(guān)聯(lián)的等級關(guān)系網(wǎng)絡(luò)中；更特別提出：“轉(zhuǎn)述”不僅僅是“對敘述的再敘述”,就其本質(zhì)而言,更應(yīng)該定義為：“一種某言語主體對于其他言語主體所作敘述進行再敘述,以實現(xiàn)自己的語篇意圖的事件”。 在這一基礎(chǔ)上,本文以法院“刑事庭審”(并兼及“民事庭審”,以下一般直接均稱之“庭審”)為對象,對于影響、制約“轉(zhuǎn)述”這一事件成立、變化的主要參數(shù)進行了分析。 本文發(fā)現(xiàn)：在法律庭審中,實時、動態(tài)、在線是最顯著的語篇特征,這就已經(jīng)顯示出庭審轉(zhuǎn)述與文學(xué)、學(xué)術(shù)、新聞等相對靜態(tài)語篇的區(qū)別,而這一特性又制約了其話語結(jié)構(gòu)乃至話語標(biāo)記的選擇。 本文發(fā)現(xiàn)：在法律庭審中,言語行為不但不是“獨白性”的,也不是一般意義上的“對話性”的,而是最強烈地表現(xiàn)為“我”、“你”、“他”三方主體同時呈現(xiàn)的互動博弈過程,表面上的控方與辯方的互相辯駁,其實都不是為了說服對方,而是為了說服第三方——“法官”。 本文發(fā)現(xiàn)：在法律庭審中,不同的行為主體的意圖明顯可以分為合作與對抗兩類,這就決定其中的轉(zhuǎn)述應(yīng)分析為“肯定性轉(zhuǎn)述”和“否定性轉(zhuǎn)述”。 本文發(fā)現(xiàn),在法律庭審中,一般意義上的“直接引語”和“間接引語”在此也有了不同的意義。直接轉(zhuǎn)述并非為了忠實性的目的展開,而更多的是為了實現(xiàn)一種情感的訴求；間接轉(zhuǎn)述并非部分地失去忠實性,而是為了選擇性地呈現(xiàn)自己的立場,達到自己的利益最大化目的。 進而言之,在法律庭審中,所有事實的確定,都是通過轉(zhuǎn)述來實現(xiàn)的；同時,所有轉(zhuǎn)述又需要都承擔(dān)相應(yīng)的責(zé)任,因此,無論是“肯定性轉(zhuǎn)述”還是“否定性轉(zhuǎn)述”,無論“直接引語”還是“間接引語”,在法律言語行為中,一切轉(zhuǎn)述都具有原述性,即意味著都必須承當(dāng)相應(yīng)的法律責(zé)任。 本文將庭審轉(zhuǎn)述看作是由多種言語行為構(gòu)成的轉(zhuǎn)述事件框架。該框架通過對如下參數(shù)的不同凸顯與背景化,使不同的轉(zhuǎn)述文本顯現(xiàn)出不同的典型性特征,包括：信息來源主體、信息忠實度、信息數(shù)量、行為忠實度、媒介形式、媒介背景。 轉(zhuǎn)述與原述最根本的聯(lián)系是一種彼此之間的關(guān)聯(lián)性,對關(guān)聯(lián)路徑的不同選擇是為了服務(wù)于不同的言語行為目的,也即要達到“合意”的效果。不同文本轉(zhuǎn)述的相似性在于原述和轉(zhuǎn)述基于轉(zhuǎn)述事件框架的關(guān)聯(lián)性,不同文本轉(zhuǎn)述的巨大差異性在于關(guān)聯(lián)路徑選擇的差異性,也即默認參數(shù)和凸顯參數(shù)的差異性。所有轉(zhuǎn)述特征的分析都可在轉(zhuǎn)述事件框架、原轉(zhuǎn)述關(guān)聯(lián)性、原轉(zhuǎn)述關(guān)聯(lián)路徑的基礎(chǔ)上,圍繞合意性原則完成。 庭審語言中的一切“事實”與“法律”必得經(jīng)過轉(zhuǎn)述才能夠獲得最后的確認,庭審證據(jù)鏈的構(gòu)成過程,在某種意義上,也就是轉(zhuǎn)述的過程。就此而言,轉(zhuǎn)述是固定證據(jù)、構(gòu)建“法律事實”的重要手段。 因此,庭審轉(zhuǎn)述因其預(yù)設(shè)的忠實性、意圖的明確性、互動主體的實時在線性而呈現(xiàn)出不同于文學(xué)、新聞、學(xué)術(shù)等語篇的獨特特征和功能。
[Abstract]:Justice is an extremely important " field " in modern social life , which is a particularly high - frequency and important linguistic phenomenon in judicial activities . All actions in judicial practice must be based on facts , with the law as the criterion . The facts and the law , regardless of their original form , must be presented as a language . This paper attempts to reveal the typical characteristics of the trial - trial transfer ( quote ) in the framework of the semantic analysis of speech act by analyzing the real court trial transcript of hundreds of thousands of words written by the first hand , and establish the framework for analyzing the event analysis . This paper is not only the analysis of the problem , the discussion of the legal language problem , or the study of the theory of speech act . According to the review of the relevant academic literature in the three aspects , this paper shows that the study of linguistics in the field of linguistics is usually carried out from the form of study , or from the function . For this reason , this paper tries to construct an analysis framework based on the " Speech Act Analysis " and " Consensus Principle " . In this paper , the three core concepts of " Speech Act " , " Field Field " and " Transfer " are first reviewed in this paper . It is suggested that any language presented in language is " verbal behavior " , and any speech act must be " subject to action " , and the desirability is the most important principle to restrict a speech act . The transfer of different texts is a kind of selective speech act which is carried out in order to achieve a certain post - verbal behavior effect ; The meaning and social effect of the information is determined only in a given field , and the established field is in a hierarchical relationship network associated with other field domains . On the basis of this , the article analyses the main parameters of the event that the court " criminal court review " ( and the " civil court hearing " and the " court hearing " ) is the object . In this paper , we find that real time , dynamic and on - line are the most significant features of discourse in the legal hearing , which has shown the difference between the relative static texts such as literature , academic , news and so on , which restricts the choice of discourse structure and discourse markers . It is found that in the law court hearing , the speech act is not only " monologue " , but not " dialogue " in the general sense , but rather the interactive game process of " I " , " you " and " his " three main bodies are presented at the same time , the prosecution of the surface and the defense of each other , in fact not to persuade the other party , but in order to persuade the third party _ " judge " . In this paper , it is found that the intention of different actors can be divided into two categories : cooperation and confrontation . In this paper , it is found that the " direct quotation " and " indirect quotation " in the general sense also have different meanings in the legal court hearing . The direct transfer is not carried out for the purpose of fidelity , but more is to achieve an emotional appeal ; the indirect transfer is not partial loss of loyalty , but in order to selectively present its position , to achieve its own benefit maximization purpose . In short , in the legal hearing , all the facts are determined by the restatement ; at the same time , all the references need to bear the corresponding responsibilities . Therefore , whether the " direct quotation " or " negative transfer " , in the act of legal speech , all transfers have the original stated character , that is , it must bear the corresponding legal responsibility . This paper regards the trial referral as the framework of the transfer events composed of a variety of speech acts . The framework has different typical characteristics through different highlighting and background of the following parameters , including information source subject , information fidelity , quantity of information , behavior fidelity , media form and media background . The similarity of different texts lies in the differences of the selection of the associated paths , that is , the difference between the default parameters and the highlighting parameters . All " facts " and " law " in the court trial language must be transferred to obtain the final confirmation , the composing process of the trial evidence chain , in a sense , that is , the transfer process . In this case , the transfer is the important means of fixing evidence and constructing the " legal fact " . Therefore , the court trial transfers the unique features and functions of the text , such as literature , news , academic , etc . due to its pre - set loyalty , the clarity of intention , and the real - time linearity of the interaction subject .

【學(xué)位授予單位】：華東師范大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2013
【分類號】：H030;D90-055

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