小说《京华烟云》的修辞运作分析

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ACKNOWLEDGEMENTS

I wish to express my heartfelt gratitude to many individuals who have helped me

with this thesis and/or contributed to my development as a postgraduate student.

First of all, I would like to extend my sincere thanks to Professor Deng Zhiyong,

my supervisor, who led me through the threshold of rhetoric and devoted much to my

thesis. His illuminating suggestions during the thesis writing helped me get over

difficulties one after another. Besides, his serious attitude towards academic studies as

well as easy-going personality impressed me a lot. Without his patient instruction, I

could hardly finish the whole thesis.

My gratitude also goes to the professors and teachers whose lectures and

researches enlightened me much on my journey of linguistic studies: Professor Dai

Weihua, Professor Wang Bin, and Dr. Han Geling. Also, I am obliged to my dear

classmates with whom I have had a wonderful time in USST.

Next, I want to thank my good friends Laverna, Emily and Lele. From you all, I

received much strength and support by which I could overcome the obstacles bravely.

Finally, I want to thank my families for being there every step of the way. Their

selfless love is always the firmest support for my development. I love you all.

ABSTRACT

Moment in Peking is the representative novel of Lin Yutang, which had been

nominated for the Nobel Prize of literature for four times. The novel received

world-wide popularity since its publication, which aroused the author’s interest. Many

scholars have done researches on this novel from various perspectives: literature,

culture, and philosophy, etc. Yet so far few have studied it from the perspective of

rhetoric. Hence, the author of this thesis would like to reveal, by employing relevant

rhetorical theories, its operational mode so as to clarify the deep reason for its

sensation.

Fiction is also rhetoric. By the form of fiction, an author makes the audience

naturally accept his ideas, attitudes, emotions, and ethical values, etc. contained in the

literary discourse. This thesis starts with the introduction of Aristotle’s rhetoric and

poetics, and then explores James Kinneavy’s communication triangle theory. Based on

Wayne Booth and other researchers’ studies, the author of this thesis finally adopts Li

Jianjun’s definition of Rhetoric of Fiction: an activity that the novelists, for the

purpose of controlling the reader’s response and to persuade them to accept the

characters as well as their main attitudes of values, choose and use certain methods,

skills and strategies to form the congenial communications between the author and the

audience. Since Rhetoric of Fiction involves the interactions among author, reader,

text and reality, then the author of this thesis introduces these elements respectively.

Geoffrey N. Leech and Michael H. Short’s multi-level communication structure is

helpful to demonstrate the author-reader relationship; Kenneth Burke’s study on

literature and form provides the theoretical foundation for the interaction between text

and other elements. Besides, the ultimate goal of a fiction lies in the author exerting

ethical influences through conveying his moral attitudes and ethical values. So, in the

final part of theoretical preliminaries, the author of this thesis introduces the operation

of ethical values in fictions.

In the application section, the author studies the rhetorical operation of Moment

in Peking from two aspects: the internal operation and the external operation. The

internal operation focuses on how an author interferes in the novel and interacts with

the audience. By employing the multi-level communication structure, we may find

that there exist many layers of interactions, both horizontal and vertical, among real

author, real reader, implied author, implied reader, and characters. Lin Yutang’s

iii

thoughts, attitudes and emotions are transmitted through such a web-like structure.

The external operation makes the text as its core. Through the tsunghsi event, we find

out that readers can naturally accept the progression of the plot because Lin Yutang

appeals to the audience’s reason. The forms in the fiction coincide with the innate

forms of human beings, physical and mental. The common emotions, knowledge, and

attitudes, etc. shared by the author and the readers are what Burke summarizes as

patterns of experience, which serve as the deep mechanism of successful

communication. The more their patterns of experience coincide, the more easily

readers will accept what the author conveys, and accordingly, the more persuasive the

fiction is. And since an author has his terministic screen which is value-laden, what he

expresses in a novel will inevitably show his value orientation. Readers who read

through the author’s limited viewpoint only perceive a biased world where the

author’s values and morals are implied. If they accept Lin’s design of the story, they

will necessarily accept Lin’s ethical sermon. Hence, the ethical operation of the novel

is insensibly realized.

The analyzing mode in this thesis is a tentative study, which proves the

feasibility of applying Rhetoric of Fiction to particular novels and also reveals the

reasons for the popularity of Moment in Peking.

Key Words: Rhetoric of Fiction, persuasion, operation, Moment in

Peking

ⅳ

摘要

《京华烟云》是著名学者林语堂的长篇小说代表作，曾多次被提名诺贝尔文

学奖。该书的广受欢迎引起了本文作者的兴趣。前人已经从文学、文化、哲学观

等多个角度对该小说进行了分析，但是从修辞学角度对其进行分析的文章和论文

尚未有过。鉴于此，本文作者希望借助小说修辞学的相关理论，探讨该小说的运

作模式，以揭示出它对读者产生广泛影响的深层原因。

小说也是一种修辞，它的修辞性体现在运用小说这一文学形式，使读者自然

地接受小说作者的思想、态度、感情、道德观念等。本文从介绍亚里士多德关于

修辞学和文学的相关理论开始，引入了 James Kinneavy 的交际三角理论，旨在从

作者、读者、文本和现实的互动中探讨小说的修辞运作。在参考了布斯和其他学

者的研究的基础上，本文作者接受了李建军关于小说修辞的定义。接下来，本文

作者分别对前三个主体做了介绍。里奇和肖特的交际层次结构有助于阐释作者和

读者的互动关系；肯尼斯·伯克关于文学和形式的关系探讨为理解文本和其他三

个主体的关系奠定了理论基础。鉴于小说的最高任务是作者以其道德态度和价值

观给读者带来影响，因此在理论部分的最后，本文作者介绍了小说中道德价值的

运作。

《京华烟云》的修辞运作可以分为两大方面：内部运作和外部运作。内部运

作主要关注作者是如何介入文本并与读者产生互动的。运用交际层次结构我们可

以看到，林语堂和真实读者之间存在着多层互动，包括隐含作者和隐含读者，叙

述者和对话者，人物和人物之间。林语堂思想、态度、情感的传达正是通过这样

的层次一级级隐含在作品中，又反馈给读者的。外部运作以文本为主，通过对冲

喜这一事件的详细分析，本文作者发现故事情节之所以能为读者自然接受，是因

为小说文本诉诸了读者的理性，并且小说的形式吻合了人们生理和心理上的内在

形式。作者和读者共有的情感、知识和态度等，即经验模式，正是二者交际成功

的深层机制。双方模式的重合度越高，读者对事件或情绪的体验越深刻，相应地，

文本的说服力就越大，作者的劝说就越成功。关于小说道德伦理价值的运作，本

文以曼娘这个人物为例，说明了作者道德伦理观的传达一方面有赖双方的共同经

验模式为基础，另一方面受作者术语视界的影响。

通过小说的内部运作和外部运作揭示作者、读者、文本和现实的互动关系，

这种分析方法初步证实了小说修辞理论在分析具体作品上的可行性，也揭示了该

小说深受读者喜爱的原因所在。

关键字：小说修辞学说服运作《京华烟云》

ⅴ

List of Figures

Fig. 3.1 Kinneavy’s communication triangle………………………………………..

Fig. 3.2 The communication triangle of literary discourse………………………….

Fig. 3.3 A spoken communication structure…………………………………………

Fig. 3.4 Two-level communication structure………………………………………..

Fig. 3.5 The complete communication structure………...…………………………..

Fig. 4.1 The operational structure for Rhetoric of Fiction…………………………..

Fig. 4.2 The application of communication structure to Moment in Peking……...…

Fig. 4.3 Tree diagram for the progression of a plot………………………………….

Fig. 4.4 The progression of the tsunghsi event……………………………….……..

Fig. 4.5 The coincidence of patterns of experience…………………………………

CONTENTS

ACKNOWLEDGEMENTS ...............................................................................................i

ABSTRACT ..................................................................................................................... ii

摘要 ............................................................................................................................. iv

List of Figures ................................................................................................................... v

Chapter One: Introduction ................................................................................................ 1

1.1. The source, significance and aim of the study .................................................... 1

1.2. The frame of this thesis ....................................................................................... 2

Chapter Two: Literature Review .......................................................................................4

2.1. Researching trends of Rhetoric of Fiction .......................................................... 4

2.2. Researches based on Moment in Peking ............................................................. 8

2.2.1. Lin Yutang’s cultural perspective and its influence upon the creation of

Moment in Peking ............................................................................................... 8

2.2.2. Previous studies on this novel ...................................................................9

Chapter Three: Theoretical Preliminaries ....................................................................... 11

3.1. The influence of Aristotle upon Rhetoric of Fiction ......................................... 11

3.1.1 The definition of rhetoric and relevant elaboration ..................................11

3.1.2. Aristotle and poetics ................................................................................12

3.2. James Kinneavy’s communication triangle ...................................................... 13

3.3. The theory of Rhetoric of Fiction ..................................................................... 15

3.3.1. The definition of Rhetoric of Fiction ...................................................... 15

3.3.2. The interaction among author, reader and text ........................................16

3.3.2.1. About the author ............................................................................17

3.3.2.2. About the reader ............................................................................ 19

3.3.2.3. The author-reader relationship ...................................................... 21

3.3.2.4. The influence of reading psychology upon the author-reader

relationship .................................................................................................25

3.3.2.5. About the text ................................................................................26

3.3.3. The operation of ethical values in fictions .............................................. 31

Chapter Four: Detailed Analysis of Moment in Peking with the theory of Rhetoric of

Fiction ............................................................................................................................. 33

4.1. Brief introduction of Moment in Peking ........................................................... 33

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iACKNOWLEDGEMENTSIwishtoexpressmyheartfeltgratitudetomanyindividualswhohavehelpedmewiththisthesisand/orcontributedtomydevelopmentasapostgraduatestudent.Firstofall,IwouldliketoextendmysincerethankstoProfessorDengZhiyong,mysupervisor,wholedmethroughthethresholdofrhetoricanddevotedmuchtomythesis.Hisill...

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