论《人鼠之间》中的二元对立.pdf

硕士学位论文 m.d. thesis on binary oppositions in of mice and men 论人鼠之间中的二元对立 guo hong 郭宏 contents 独创性声明独创性声明.i abstract. ii 摘要摘要 chapter one introduction. 1 1.1 john steinbecks life 1 1.2. steinbecks writings and his of mice and men 2 1.3 the purpose and significance of this thesis.4 chapter two literature review . 5 2.1 studies abroad 5 2.2studies at home . 12 chapter three theoretical framework . 20 3.1 introduction to the theory of binary oppositions 20 3.2 structuralism . 22 3.2.1 saussures linguistic concepts 22 3.2.2 the theory of claude l vi-strauss . 23 3.2.3 roland barthes assumption 23 3.3 binary opposition and literary criticism 24 chapter four binary oppositions in of mice and men . 26 4.1 binary oppositions in characters . 26 4.1.1 the strong and the weak . 26 4.1.2 the strong side of the weak24 4. 2 binary oppositions in images 33 4.2.1 the images of nature and the images of society.27 4.2.2 animal imagery and human imagery: candys dog and lennie.30 4.3binary oppositions in themes . 38 4.3.1 friendship and loneliness . 38 4.3.2 illusion and reality 43 4.3.3 social tragedy and destined tragedy . 39 chapter five conclusion . 42 bibliography . vi acknowledgements.xi ii abstract john steinbeck, one of the greatest american novelists in the twentieth century, published his masterpiece- of mice and men in 1937. the book immediately became the bestseller, and then was turned into a play, which got a great success. steinbeck secured the great position in american literary scene because of these. of mice and men is steinbecks classic literary work. it has great significance and infinite space for interpretation. it expresses the profound understanding of the tragedy of the lower people. this thesis intends to indicate the deep structure of the story in the light of structuralism; and it also attempts to analyze the binary oppositions between each part, and to understand the real reason for the tragedy of characters in the light of binary oppositions advocated by roland barthes, hoping this new perspective might provide a different angle for the understanding of the novel. the thesis is composed of five chapters. chapter one is an introduction to john steinbecks life, steinbecks writings and his of mice and men. although of mice and men, one of steinbecks labor trilogies, is short and simple in plot, it is still regarded as one of steinbecks finest works. the chapter also explains the purpose and significance of this study in the end. chapter two is the literature review of of mice and men, which focuses on the historical review abroad and at home. it shows the reason for choosing binary oppositions as the theoretical perspective. chapter three presents the theoretical frame. it includes two divisions: the first one introduces the general principle of literary structuralism, and the second one, binary opposition, to structuralists, is the relation that is the most important in structural analysis, and governs the structure of a text. binary oppositions exist substantially in literary works and binarism has become a very important binary means in literary criticism. in of mice and men, steinbeck employs several pairs of oppositions to enhance its artistic values. this thesis, based on the theories done by previous scholars, starts from the principle of structural linguistics, and by analyzing the various pairs of opposing elements, discloses how the binary oppositions are successfully employed to depict the characters, sharpen the conflicts, uncover the theme and intensify the tragedy. chapter four is the analysis of of mice and men with binary oppositions to reveal the deep structure in the novel. binary oppositions function as the core and the basis of structuralism. moreover, of mice and men is an excellent embodiment of binary oppositions in its characters, images, and its theme, which will be analyzed in the thesis. these opposed pairs serve as good illustrations of the deep oppositional structure underlying the iii novel. chapter five is the conclusion of the thesis. the author firstly concludes the deep structure of the of mice and men and finds the real reason why the tragedy of the characters is caused. there is a magical force existing behind the life in addition to the social factors. the force is the destiny, which is so great that human beings become the victims of the power. as a result, the tragedy is not merely social, but also destined. key words: john steinbeck;of mice and men;structuralism;binary oppositions;tragedy iv 摘摘 要要 二十世纪美国著名作家约翰斯坦贝克在 1937 年出版了他的代表作人鼠之间 。该小说一出 版，立即成为畅销书，之后有又被改编成同名戏剧上映并取得巨大成功，从此确立了斯坦贝克在美 国文坛的地位。小说人鼠之间是约翰斯坦贝克经典之作，其间拥有沉重而巨大意义底蕴，有 着无限可供阐释的空间，从中渗透着作家对社会下层人悲剧命运的同情和理解。本文尝试以结构主 义理论为视角诠释小说的深层结构，并且用罗兰巴尔特的二元对立思想来分析各部分间的对立关 系，更好得理解小说人物悲剧的真正原因，从而期望以全新的理论视角来解读这部小说。 论文分为五个章节: 第一章介绍斯坦贝克的生平、主要作品及人鼠之间这部作品。作为斯坦贝克的“工人三部 曲”之一的人鼠之间 ，尽管情节简短，但是被文学界认为是他的一部经典之作。本章在最后也阐 释了该研究的目的和意义。 第二章是论文的文献综述部分。主要讲述国内外文学界对人鼠之间的主要评价，旨在说明 选择二元对立视角解读人鼠之间的原因。 第三章是论文的理论框架部分。首先介绍文学结构主义的基本理论原则。其次介绍了该理论中 的核心概念:二元对立。二元对立是结构主义理论的根本所在，是产生意义的最基本结构，也是叙事 作品最根本的深层结构。对于文学结构主义来说，它是文本结构分析中最为重要的关系，是文本中 基本的二元对立支配其结构。 二元对立普遍存在于文学作品中，并且已经成为文学批评的重要研究方法。在人鼠之间中， 斯坦贝克运用了好几对对立关系强调了小说的文学价值。本文基于前人的研究，从结构主义语言学 的相关理论出发，通过分析小说中几对相对立的结构关系，揭示二元对立是怎样成功地刻画人物形 象、深化矛盾、揭示主题和渲染小说的悲剧色彩。 第四章主要运用二元对立来分析人鼠之间进而揭示小说的深层结构。二元对立是结构主义 理论的核心和基础。 人鼠之间这部小说，在人物形象、意象和主题方面都深刻地体现了二元对立 的思想。本文对此通过几对相对立的结构关系的分析与比较，揭示隐藏在小说背后的相互对立关系 正是对此小说深层对立结构的诠释。 第五章是论文的结论部分。从以上论述得出人鼠之间的深层结构，并且揭示了引起人物命 运悲剧的主要原因，即除社会因素之外，生活的背后隐藏着一种神秘的力量。这种力量即是命运， 它如此之强大以至于人类会成为其牺牲品。因此，人物的悲剧不仅是社会造成的，而且是命运所决 定的。 v 关键词关键词: :约翰斯坦贝克； 人鼠之间 ； 结构主义；二元对立；悲剧 chapter one introduction 1 chapter one introduction 1.1 john steinbecks life john steinbeck (1902-1968) is universally recognized as one of the most prominent american writers of the twentieth century. throughout his life, he created many works, such as sixteen novels, a collection of short stories, and four screenplays, many journalistic essays, including four collections, three travel narratives, a translation, and two journals, which established his reputation as a versatile novelist across the world. however, his great achievement lies in his novels. in 1902, john steinbeck was born in salina, california near monterey bay, which he later descried again and again in his works. his mother was a teacher, and found her son love for literature. she believed that her son would have bright future in literature. during his early years, steinbecks mother read to him from books, such as treasure island and robin hood. young john grew up hearing the rhythms of the bible and the magical stories of the round table from malorys le morte darthur, which paved the way for his future as a writer. in 1919, he enrolled at stanford university, where he studied literature and wrote for the next five years, and he then worked as a journalist. in new york, steinbeck worked different jobs to support him while working on his first novel, cup of gold (1929). it was his experience as a hired hand that made great impression on his following writings. while discussing of mice and men during an interview, steinbeck said. i was a bindle stiff myself for quite a spell. i worked in the same country that the story is laid in. the characters are composites to a certain extent. lennie was a real person; hes in an insane asylum in california right now. i worked alongside him for many weeks. he didnt kill a girl. he killed a ranch foreman. got sore because the boss had fired his pal and stuck a pitchfork right through his stomach, i hate to tell you how many times. i saw him do it. we couldnt stop him until it was too late. (bloom, 1996:58) in 1935, steinbeck was finally able to support himself entirely with his writing, with the release of tortilla flat. at that time, he had developed a friendship with the biologist ed ricketts, whom he first met in 1930. ricketts idea about the interdependence of living things influenced steinbeck and many other on binary oppositions in of mice and men 2 artists and thinkers of the day. ricketts and steinbeck would be friends and collaborators until the biologists accidental death in 1948. in many of steinbeck works, ricketts influence could be found, particularly in cannery row (1945) and sweet thursday (1954). 1.2. steinbecks writings and his of mice and men steinbeck published in dubious battle (1936), of mice and men (1937), the red pony (1937) and the grapes of wrath (1939), which was considered by many critics to be his masterpiece and won him the international reputation. in 1962, steinbeck won the noble prize in literature. and he died in new york city six years later after his receiving the noble prize. of steinbeck labor trilogy, of mice and men was published in 1937. it was reviewed as one of his finest works, though it is short and simple in plot, and it is claimed to open an impressive new horizon in the course of steinbecks literary development and bring about significant alteration in his personal situation. as long as of mice and men was published, it became an immediate hit and received critical success. with the play and movie adaption that followed, the novel brought financial security and engendered lasting respect among critics. he adopted the procedures of his craft. he saw the novel as a kind of the laboratory, a theatre of operations in which he could master innovative dramatic skills. the experiment, he said, was an attempt to make a play that can be read or a novel that can be played (tetsumaro, 1974: 29). at the same time, he said in the foreword of burning bright. burning bright is the third attempt i have made the work in this new formthe play-novelette. i dont know that anyone else has ever tried it before. two of my previous booksof mice and men and the moon is down-essayed it. in a sense it is a mistake to call it a new form. rather it is a combination of many old forms. it is a play that is easy to read or a short novel that can be played simply by lifting out the dialogue. (steinbeck, 1950: 9) of mice and men is a story about lennie, a huge moron who has a passion to touch anything soft and goes into a panic if it is taken from him, and about george, who watches over lennie with touching care. george, a little man with a quick mind, is the only person in the world (since lennies aunt claras death) who can do anything with the giant moron. he can do everything with him, and does everything for him, chapter one introduction 3 including thinking. when the story begins, lennie and george are about to start a new job, after having had to flee for their lives from their last one. their great dream is to save a little money and buy a farm and live on the land where they can raise rabbits. they think they can. but the reader knows they cant, for fate is piling up something for them. in the novel, each chapter is arranged as a scene, and each scene is limited to a single space: a secluded grove, a bunkhouse, and a barn. there are six sections. the background is the time of the great depression in california, and the main characters are lower migrant farm hands who drift here and there, searching for temporary jobs or doing some field work for a short time and then moving on to the next place of employment. the novel is narrated in the third person, but there is no single viewpoint. when readers read scenes where george or lennie or both are present, other characters on the ranch may briefly follow, such as candy and crooks. no one is told what anyone is thinking, but one must work this out from what people say, with one curious exception. in the final chapter, steinbeck describes the imaginary talking rabbit and the dead aunt clara. they appear in the mind of lennie and their voices are supplied by his loud talking. however, there is little narration in the whole novel. therefore, steinbeck pays his attention to the words and actions of the characters. after the initial description of the setting, each chapter reveals that most pages contain almost all dialogues with very short introductory phrases. by these dialogues, steinbeck hopes that readers can get their own understanding of the characters, images and the themes from the action and words of the characters, rather than from authors opinions. the structure of the novel is annular, which makes each part integrate together. the opening scene of the story depicts george and lennie beside a stream, and the last one is the same setting. the use of the structure means that the death of lennie is a return, a return to nature. death makes human beings and nature regain harmony, quietness, unity and makes men become a part of the nature. so death is the reunion of men and nature. as are the words in the bible dust you are, to dust you shall return. the structure steinbeck uses shows what he wants to emphasize: death is inevitable. in of mice and men, steinbecks binary oppositions in characters, images and themes imply his deep thinking of lennie s death and his enthusiasm to the people in the lower class, especially the labors. 1.3 the purpose and significance of this thesis this thesis provides a study on the deep structure and meaning of of mice and men from the on binary oppositions in of mice and men 4 perspective of structuralism, especially the theory of binary oppositions. first, it intends to indicate the deep structure of the novel, which is essential for getting a further understanding of the relation between each part in the novel. second, it attempts to find out the binary oppositions between each part, such as in characters, images and themes, and to disclose how the binary oppositions are successfully employed to depict the characters, sharpen the conflicts, uncover the theme and intensify the tragedy in the novella. third, it tries to probe the real reason for the characters tragedy. in short, the thesis is in an attempt to provide a new perspective for the understanding of steinbeck and his of mice and men with a view to enlarging the insights into steinbecks world. chapter two literature review 5 chapter two literature review up to now, the interpretations and criticism of any one of steinbecks works are in so large a number that it seems impossible to summarize them within few pages. however, by consulting some important criticism materials of steinbeck, interpretations and criticism of of mice and men can be clearly traced, which will provide the foundation of composing this thesis. 2.1 studies abroad two years after the publication of of mice and men, harry thornton moore published the novels of john steinbeck: a first critical study. according to moore, steinbecks characters were quite realistic but were trapped in a web of circumstance that made their fates inevitable. this initial reaction was to become a typical response from critical majority that considered steinbecks work as an integral part of the american naturalist movement, where human beings had little to say so or to affect or change their lives. moore also lamented the fact that the book depicted violence without tragedy, and a trait that made its message melodramatic rather than eliciting pathos. the early reviews indicated a much divided stream of criticism about steinbecks short novel, ranging from extravagant praise to dismissive critical assessment, indicating unease with the novels slang and questionable vocabulary as well as its sentimentalism and its predictable. the positive reactions emphasized steinbecks compassion for the disenfranchised, his poetic and colorful use of language, and the accuracy of his recording of the speech of the common people. there were other significant studies from the 1930s, such as: burton rascoes the play accentuates the consummate art of john steinbeck. the essay reviewed the play version of the novel and comments on the compassion of steinbeck for the misfits of life and for those who were handicapped by the imponderables of heredity and environment. steinbecks empathy for individuals who were warped physically and emotionally was grounded and was credited with evoking pity and wonder from his audience. most importantly, rascoe suggested that of mice and mens tragedy should be sophoclean in stature and that steinbecks manichean tendencies indicated the authors concern with the problem of good versus evil and his effort to show the non-morality of nature and the natural world. however, in 1940s and 1950s, some critics held the opposite point of view. the representatives were maxwell geismar, albert kazin, and e. w. tedlock. these three critics criticized of mice and men from different points. maxwell geismar in american moderns, from rebellion to conformity was similarly on binary oppositions in of mice and men 6 dismissive of the novel, criticizing the lack of freewill demonstrated by steinbecks protagonistslennie small and george milton. his reflections suggested that the pair should be more animal-like than human and that the authors talent is questionable. albert kazins on native grounds continued the tendency of finding of mice and men to be somewhat inferior because of its popular appeal and the broad reading public it attracted. kazin concluded that the books calculated sentimentality created a far general appeal for it, and was considered a piece of fine literature. instead, it seemed to be simplistic rather than mature. e. w. tedlock jr. and c. v. wickers steinbeck and his critics: a record of twenty-five years appeared in 1957 and called into question the assumption of steinbecks earlier critics, especially those who were critical of steinbeck because they felt his philosophy was not compatible with theirs. tedlock and wicker also defended the author against charges of sentimentality and reprinted essays that were to become classic commentaries on the steinbeck canon. the first full-fl