《史记》对四大名著的叙事影响研究

【作者】 葛鑫；

【导师】 詹福瑞；

【作者基本信息】 中央民族大学 ， 古代文学， 2010， 博士

【摘要】 史书与小说同为叙事作品,因为《史记》在中国史学界及四大名著在中国古典长篇小说界的地位,所以拿《史记》和四大名著为例,试图从叙事的角度,来探讨前面的史传传统对后面的中国古典章回小说文体的形成的影响。从宏观叙事的角度上看,《史记》纪传体的结构类似中国传统的智力游戏——九连环。九连环的部件主要由单侧活环担子、横梁、横带组成,而横梁和横带就分别是时间和事件搭载着单侧活环担子。具有编年性质的篇章与十表就是其中的横梁与横带,一个强调其事件性,一个强调其时间性,人与物(书)就是其中的一个个小小的单侧活环担子,《史记》是一个有机的整体,一方面每一篇都是这个整体的有机组成部分,另一方面,每一篇又有其极强的独立性,有其独立的艺术结构,有如九连环上的一个个单侧活环担子,和前后的小环及横梁和横带有着联系。《史记》的列传体结构对四大名著九连环的结构有明显的影响,《三国演义》与《水浒传》是全部借鉴了史传的结构,《西游记》是艺术地改造了这个结构,而《红楼梦》是部分地借鉴了这个结构。《史记》的编撰思维是“以类相从”,《史记》的分类是很有层次性的。从宏观上,《史记》的本纪、世家、列传就是按类进行划分的,按等级将人物分为帝王、诸侯与人臣,其次,篇与篇之间也多“以类相从”,再次,每一篇之内也多“以类相从”。《史记》的“以类相从”深深地影响了后世的小说创作,既写出了其共性,又兼顾了个性,塑造了一批栩栩如生的人物形象。但《史记》的“以类相从”多数是指人,虽有些编年体的本纪、世家以事为主,但主要都是粗线条的编年大事记,很少具有情节性。而后世的四大名著,不仅仅在人物设置上“以类相从”,在场景、情节甚至小的叙事模式上也做到了“以类相从”。《史记》的“以类相从”、“类而不同”的叙事思维深深地影响了四大名著的创作。《史记》的互见法,一方面,使本传的人物的主要性格突出,个性鲜明,在本传中注意到人物的性格统一性,所有的事件都是为这个统一性来服务的,刻画了鲜明的人物形象。这一点影响了《三国演义》的人物形象塑造。《史记》的互见法的另一面是,在本传中刻画了鲜明的人物形象,写出了人物的主要性格特征,本传中的历史事件都是为这个主要特征服务的,所有重大的历史事件在本传中达到了统一性,但一个人的性格有其丰富性、复杂性,故将其他一些不宜在本传写的材料安排到别人的传记中去描述。这样,通过全书来看,历史人物形象还是完整而真实的,这一方法深深地影响了《红楼梦》的人物性格塑造,《红楼梦》很少在一个章回里将主人公写尽,而是通过多回的互见,把该人物塑造得丰满和生动,而且真实可信。九连环是叙事结构,以类相从是叙事思维,互见法是叙事方法,从中我们可以看出史传体对章回小说影响颇远。从微观叙事的角度出发,梦、谶语、奇异的出身现象、相术,不仅仅在叙事上有预叙的功能,而且有时还参与到叙事过程中,成为叙事不可缺少的有机组成部分,推动叙事向前发展；有时还起到塑造人物形象的作用,在这几方面上,四大名著与《史记》也是一脉相承的。尤其是预叙,是以四大名著为代表的中国古典小说,独具民族特色的叙事时间,这种叙事时间,在叙事功能上能概括全文,点明线索,起到操纵情节发展、预设情节走向的作用。使貌似散漫的叙事有了内在的脉络,起伏照应,形成一个前呼后应的完整的结构。而且这种以梦、谶语、奇异的出身现象、相术为代表的预叙方式,(当然不仅仅包括这四个方面,还有占卜、异兆等方式)大多没有明确指出,带有一定的含蓄色彩。这种叙事时间的形成,与《史记》为代表的史书也有着千丝万缕的联系的。所以说,以四大名著为代表的中国章回小说在九连环的结构下,场面宏大、人物众多,“以类相从”,在叙事的过程中抓住人物的主要特征为小说人物立传,同时又拥有独具特色的叙事时间——预叙,这些都是不同于任何西方的长篇小说的民族特色,它们的形成是与以《史记》为代表的史传传统有着深远的关系的。更多还原

【Abstract】 Historical books and novels both are narrative works. Due to their equally important position respectively in the historical field and the field of ancient Chinese classic novels,Historical records and The Four Famous Chinese Classics are taken as examples to explore the influence of the traditional historiography upon the formation of the Zhanghui Novels represented by the Four Famous Chinese Classics.From the perspective of overall narration, the biographical structure in Historical Records is similar to the traditional Chinese game_Nine Linked Rings, which is composed of three parts:a set formed by a ring and a post which attached to the former on one side, a transom and a platband. Time and plot are just like the transom and platband, which attached to the set of the ring and the post. In Historical Records, the chronological chapters and ten tables are just like the transom and platband:one focuses on plot and the other on time. Characters and things (books) are just the small rings in it. Historical Records is an organic unit, with each chapter as a part of the whole while keeping its independent artistic structure, like a ring in Nine Linked Rings, which is linked to the other rings nearby, the transom and platband. The biographical structure in Historical Records has an apparent effect upon the structure of The Four Famous Chinese Classics, which is quite similar to the structure of the Nine Linked Rings. Romance of the Three Kingdoms and Water Margin entirely borrow the structure of the Historical Records, while Journey to the West artistically transforms it and A Dream of Red Mansion partially borrows it.The narrative concept in Historical Records is classification based on types and the classification of Historical Records is highly stratified. The Overall classification of Historical Records into annals, genealogies and biographies is base on types and characters are classified into emperors, dukes and officials based on their social status. Moreover, the same concept is followed in the link between different chapters or within the same chapter. This concept exerts great influence upon the latter novel writing, which combines commonality with individuality and creates a lot of vivid characters. However,the classification in Historical Records is mainly based on characters, though some chronological chapters in annals and genealogies are based on the events, which are, in fact, rough chronologies of significant events and not so eventful. In The Four Famous Chinese Classics, in spite of the characterization, the scene, the plot and even the narrative mode are classified based on types. The narrative concept in Historical Records, which is to classify based on types but not in total sameness, greatly influences the writing of The Four Famous Chinese Classics.The cross-reference in Historical Records, on the one hand, highlights the major characteristics of the characters in biographies, which put emphasis on the unity of the characters and all events serve for this unity to mould a typical character. This method affects the characterization in Romance of the Three Kingdoms. On the other hand, a person’s character is profound and complicated, so the aspects, inappropriate to be written in this person’s biography, are described in others’, thus, throughout the book, the characterization is complete and real, and this method influences the characterization in Dream of the Red Mansion, in which the characterization of a character is never completed in one chapter, instead, it is made well-developed, vivid and reliable through cross-reference in other chapters.Nine-Linked-Rings are narrative structure. Classification based on types is narrative thinking. Cross-reference is narrative method. From the above we can see the historiography mass effects on the Zhanghui novels quite far.From the perspective of specific narrative methods, Dreams, prophecies, The Phenomenon of odd birth and anthroposophy, in addition to their function of flash-forward, are involved in the narration and become an inseparable part of the narration, developing the narration and helping the characterization. In those aspects, The Four Famous Chinese Classics also inherits from the Historical Records. Especially, the method of flash-forward is a unique narrative mode shown in traditional Chinese novels represented by The Four Famous Chinese Classics, This type of narration can manipulate the plot development and predict the direction of the plot by summarizing the whole plot and highlight the clues in the narration, thus maintains a hidden sequence, cross-reference and a complete structure in which the ending is correlated with its beginning. Moreover, the flash-forward, typified by dreams, prophecies and odd birth and anthroposophy (of course, there are more than the listed four aspects, such as divination etc.),is not explicitly pointed out,Instead, it takes on an implicit style. The formation of this type of narration is inextricably tied to the historical books represented by Historical Records.Therefore, the Zhanghui Novels represented by the Four Famous Chinese Classics, under the Nine- Linked -Rings structure, with its unique national features, such as grand setting, numerous characters, classification based on types, writing biographies for the characters by focusing on their major characteristics, as well as the unique narrative method of flash-forward and the quality of true record, that is the spirit of calling a spade a spade, are quite different from any western novel. Its formation has a profound connection with the traditional historiography represented by Historical Records.更多还原