合意性原则与刑事庭审转述行为分析

发布时间：2018-02-25 06:23

本文关键词： 刑事庭审转述事件框架合意性原则行为主体肯定性转述否定性转述直接引语间接引语原述性　出处：《华东师范大学》2013年博士论文　论文类型：学位论文

【摘要】：司法是现代社会生活中一个极其重要的“场域”,转述是司法活动中一个特别高频而重要的语言现象。司法实践过程中的一切行为均须“以事实为依据,以法律为准绳”。其中的“事实”与“法律”不管其初始形态如何,最后都一定呈现为语言。本文试图通过分析第一手转写的几十万字的真实庭审录音转写脚本,揭示庭审转述(引语)在言语行为分析合意性原则框架下的典型性特征,并建立转述事件分析框架。本文既是转述问题的分析,也是法律语言问题的讨论,还是言语行为论的研究,根据对于这三方面相关学术文献的回顾,本文看到：语言学研究领域对转述的研究通常或者是从形式出发加以考察,或者是从功能出发加以考察。基于形式的转述研究主要围绕转述与原述的形式对应性和意义忠实度而展开。基于功能视角的代表性研究首推’Thompson对转述现象及其组成要素的界定和分析。这些研究的共性之一是对静态语篇,如新闻语篇、文学语篇、学术语篇等的关注。静态研究的不足之处体现在对转述行为形式、功能多样性和不确定性的忽略,其研究成果同时也因语域的差异,难以指引法庭审判这一真实语言环境下的转述行为。为此,本文力图构拟一个基于“言语行为分析”和“合意性原则”而展开的、对于司法“场域”法院刑事庭审过程中的言语转述现象加以系统考察的分析框架。由此,本文首先重新梳理了“言语行为”、“场域”和“转述”这样三个核心概念,提出：任何用语言呈现的行为都是“言语行为”,任何言语行为都必须“合乎行为主体的意图”,合意性是制约一个言语行为最重要的原则。不同文本的转述都是为达到一定的言后行为效果而进行的一种选择性言语行为；提出：“场域”与“语境”、“语体”、“语域”相关却并不相等,指的是主要由语言外参数构成的“一定社会空间联系,是各种力量调整定型的‘某种被赋予了特定引力的关系构型’”。信息的意义和社会效力只有在一个既定的场域中被决定,而这个既定场域又处于一个与其他场域相关联的等级关系网络中；更特别提出：“转述”不仅仅是“对叙述的再叙述”,就其本质而言,更应该定义为：“一种某言语主体对于其他言语主体所作叙述进行再叙述,以实现自己的语篇意图的事件”。在这一基础上,本文以法院“刑事庭审”(并兼及“民事庭审”,以下一般直接均称之“庭审”)为对象,对于影响、制约“转述”这一事件成立、变化的主要参数进行了分析。本文发现：在法律庭审中,实时、动态、在线是最显著的语篇特征,这就已经显示出庭审转述与文学、学术、新闻等相对静态语篇的区别,而这一特性又制约了其话语结构乃至话语标记的选择。本文发现：在法律庭审中,言语行为不但不是“独白性”的,也不是一般意义上的“对话性”的,而是最强烈地表现为“我”、“你”、“他”三方主体同时呈现的互动博弈过程,表面上的控方与辩方的互相辩驳,其实都不是为了说服对方,而是为了说服第三方——“法官”。本文发现：在法律庭审中,不同的行为主体的意图明显可以分为合作与对抗两类,这就决定其中的转述应分析为“肯定性转述”和“否定性转述”。本文发现,在法律庭审中,一般意义上的“直接引语”和“间接引语”在此也有了不同的意义。直接转述并非为了忠实性的目的展开,而更多的是为了实现一种情感的诉求；间接转述并非部分地失去忠实性,而是为了选择性地呈现自己的立场,达到自己的利益最大化目的。进而言之,在法律庭审中,所有事实的确定,都是通过转述来实现的；同时,所有转述又需要都承担相应的责任,因此,无论是“肯定性转述”还是“否定性转述”,无论“直接引语”还是“间接引语”,在法律言语行为中,一切转述都具有原述性,即意味着都必须承当相应的法律责任。本文将庭审转述看作是由多种言语行为构成的转述事件框架。该框架通过对如下参数的不同凸显与背景化,使不同的转述文本显现出不同的典型性特征,包括：信息来源主体、信息忠实度、信息数量、行为忠实度、媒介形式、媒介背景。转述与原述最根本的联系是一种彼此之间的关联性,对关联路径的不同选择是为了服务于不同的言语行为目的,也即要达到“合意”的效果。不同文本转述的相似性在于原述和转述基于转述事件框架的关联性,不同文本转述的巨大差异性在于关联路径选择的差异性,也即默认参数和凸显参数的差异性。所有转述特征的分析都可在转述事件框架、原转述关联性、原转述关联路径的基础上,围绕合意性原则完成。庭审语言中的一切“事实”与“法律”必得经过转述才能够获得最后的确认,庭审证据链的构成过程,在某种意义上,也就是转述的过程。就此而言,转述是固定证据、构建“法律事实”的重要手段。因此,庭审转述因其预设的忠实性、意图的明确性、互动主体的实时在线性而呈现出不同于文学、新闻、学术等语篇的独特特征和功能。
[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 .

【学位授予单位】：华东师范大学
【学位级别】：博士
【学位授予年份】：2013
【分类号】：H030;D90-055

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