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A Narratological Analysis of Shi Ji University of Pennsylvania ScholarlyCommons Publicly Accessible Penn Dissertations 2016 Building Blocks of Chinese Historiography: A Narratological Analysis of Shi Ji Lei Yang University of Pennsylvania, [email protected] Follow this and additional works at: https://repository.upenn.edu/edissertations Part of the Asian History Commons, and the Asian Studies Commons Recommended Citation Yang, Lei, "Building Blocks of Chinese Historiography: A Narratological Analysis of Shi Ji" (2016). Publicly Accessible Penn Dissertations. 2113. https://repository.upenn.edu/edissertations/2113 This paper is posted at ScholarlyCommons. https://repository.upenn.edu/edissertations/2113 For more information, please contact [email protected]. Building Blocks of Chinese Historiography: A Narratological Analysis of Shi Ji Abstract In Shi ji studies, scholars from both the East and West have predominantly taken one particular approach: the psychological reading of its author, Sima Qian. Since the author suffered penal castration when he was writing the Shi ji, this approach has been summarized as “the theory of conveying one’s frustration.” Many scholars, modern and pre-modern alike, have inferred the author’s feelings and emotions from his biographical experiences and have interpreted the text accordingly. This narrow interpretation constrains our understanding by exclusively focusing on the author’s personal pains and purposes. Such analysis thus commits the intentional fallacy, which mistakenly equates the author with the text, unjustifiably simplifying the complicated interpretive process. I explore the features of the text itself, shifting the focus of research from the author’s intention to the effects produced by its narrative devices, which have determinative influence over the interpretive process but have long been overlooked. I explore the role of narrative as a medium in historical works, applying theories of narratology from the French Structualist Gérard Genette to analyze narratives in the Shi ji. By setting the text into this framework, I systematically examine the narrative sequences, such as anticipation and flashback, narrative duration and mood, and characterization. My investigation shows that these narrative devices produce literary effects, distinguishing Shi ji from both earlier and later histories, such as the Zuo zhuan and Han shu. Shi ji presents a highly complicated past by manipulating interrelations among historical events, regulating information, and emphasizing changes and their effects. It pays most attention to how the historical events happened, more than what happened and why, a significant issue has not been discussed in a context of Chinese historiography. My narratological approach provides an alternative perspective and explores new territory in Shi ji studies. Degree Type Dissertation Degree Name Doctor of Philosophy (PhD) Graduate Group East Asian Languages & Civilizations First Advisor Paul Dr. Goldin Keywords Historiography, Intention, Narratological, Shi ji, Sima Qian, structure Subject Categories Asian History | Asian Studies | History This dissertation is available at ScholarlyCommons: https://repository.upenn.edu/edissertations/2113 BUILDING BLOCKS OF CHINESE HISTORIOGRAPHY: A NARRATOLOGICAL ANALYSIS OF SHI JI COPYRIGHT 2016 Lei Yang iii To my family: Yongbai and Guoyan, who always believe in me and encourage me to follow my passion iv ACKNOWLEDGEMENTS This dissertation owes a great deal to the encouragement and mentorship that I have received from my professors and friends. I would like to extend my heartfelt thanks to my advisor, Paul R. Goldin. His belief in me five years ago and the tremendously beneficial guidance have helped me to grow and mature as a scholar. His rich knowledge and in-depth thoughts on ancient China, and his approach to research have shaped my understanding of what it means to be a scholar. I also owe a special debt of gratitude to the other members of my committee, Professors Nathan Sivin and Gerald J. Prince. In the past two years, Professor Sivin has offered generous help through our weekly meetings and established for me a model of thinking, writing, and living. Professor Prince has been a decisive influence in helping me to conceptualize the world of Narratology. His patient and inspiring analysis of examples in French literature have helped me to approach Chinese narrative literature in general. Overall, I have been blessed with three mentors whose guidance has been a constant source of inspiration for me. Another scholar that I would like to mention is Professor William Labov, who first inspired my interests in narrative. During my time at Penn, I have received a Benjamin Franklin Fellowship awarded by the University of Pennsylvania and have greatly benefited from the financial support from the EALC department. I would like to thank Professors Nancy S. v Steinhardt, Victor H. Mair, Adam Smith, and Linda H. Chance. Their teaching, and our conversations both in and outside of the class, have established a broad foundation for my future research and career. In addition, the staff of the EALC office, Linda Greene, Peggy Guinan, and Diane Moderski have offered tremendous help. I thank all of these and many other colleagues and friends who have encouraged me along the journey of my study at Penn. I also wish to express my deep gratitude to Professor Theresa Jen, who has offered me many interesting opportunities at Penn to explore areas outside my research. Without these rewarding experiences, I would not be able to travel between the ancient and modern worlds and enjoy both of them. Finally, I want to express gratitude beyond words to my family. I know I missed many important moments when I should have been beside you. vi ABSTRACT BUILDING BLOCKS OF CHINESE HISTORIOGRAPHY: A NARRATOLOGICAL ANALYSIS OF SHI JI Lei Yang Paul R. Goldin In Shi ji studies, scholars from both the East and West have predominantly taken one particular approach: the psychological reading of its author, Sima Qian. Since the author suffered penal castration when he was writing the Shi ji, this approach has been summarized as “the theory of conveying one’s frustration.” Many scholars, modern and pre-modern alike, have inferred the author’s feelings and emotions from his biographical experiences and have interpreted the text accordingly. This narrow interpretation constrains our understanding by exclusively focusing on the author’s personal pains and purposes. Such analysis thus commits the intentional fallacy, which mistakenly equates the author with the text, unjustifiably simplifying the complicated interpretive process. I explore the features of the text itself, shifting the focus of research from the author’s intention to the effects produced by its narrative devices, which have determinative vii influence over the interpretive process but have long been overlooked. I explore the role of narrative as a medium in historical works, applying theories of narratology from the French Structualist Gérard Genette to analyze narratives in the Shi ji. By setting the text into this framework, I systematically examine the narrative sequences, such as anticipation and flashback, narrative duration and mood, and characterization. My investigation shows that these narrative devices produce literary effects, distinguishing Shi ji from both earlier and later histories, such as the Zuo zhuan and Han shu. Shi ji presents a highly complicated past by manipulating interrelations among historical events, regulating information, and emphasizing changes and their effects. It pays most attention to how the historical events happened, more than what happened and why, a significant issue has not been discussed in a context of Chinese historiography. My narratological approach provides an alternative perspective and explores new territory in Shi ji studies. viii TABLE OF CONTENTS ACKNOWLEDGEMENTS .............................................................................................. IV ABSTRACT ...................................................................................................................... VI INTRODUCTION .............................................................................................................. 1 1. Previous Shi ji Studies: ................................................................................................... 5 1.1 Shi ji: A Historical Record by a Historian .................................................................. 11 1.2 Perspective from Literature ......................................................................................... 16 2. Structure of the Current Study ...................................................................................... 28 3. A Brief Introduction of Chunqiu, Zuo zhuan and Guo yu ............................................ 31 CHAPTER 1: METHODOLOGY .................................................................................... 37 1.1 The Form of Shi ji ....................................................................................................... 38 1.2 Classical Chinese Literary Theory .............................................................................. 40 1.3 Intentional Fallacy ...................................................................................................... 45 1.4 What is History? ......................................................................................................... 53 1.5 Chinese Historical Writing ........................................................................................
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