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Luận văn tiếng Anh: A study on theory of Iceberg in “The Old Man and the Sea” by Earnest Hemingway = Nghiên cứu về Nguyên lý Tảng băng trôi trong tác phẩm “Ông già và biển cả” của Ernerst Hemingway. M.A Thesis Linguistics: 60 22 15
Nhà xuất bản: University of Languages and International Studies
Ngày: 2013
Chủ đề: Ngôn ngữ học
Tiếng Anh
Miêu tả: The study firstly aimed at giving some certain information about ‘The Old Man and the Sea”, the last major work published in Ernest Hemingway’s life. Secondly, Hemingway’s distinctive writing style with the Iceberg Theory was thoroughly discussed, providing readers some insights into man’s power and endurance. The results of the study suggest some findings in literary and reading comprehension. They also recommend a number of things for readers to consider in the choice of widening their knowledge in literature
Electronic Resources
M.A. Thesis. English Linguistics -- University of Languages and International Studies. Vietnam National University, Hanoi, 2013
TABLE OF CONTENTS
Page
Acknowledgement .................................................................................. ii
Abstract .................................................................................................. iii
Table of contents..................................................................................... iv
PART A: INTRODUCTION
1. Rationale of the study ...................................................................... 1
2. Aims and objectives of the study ...................................................... 3
3. Research questions............................................................................ 3
4. Design of the study ............................................................................ 4
5. Methods of the study......................................................................... 4
4. Scope of the study.............................................................................. 4
PART B: DEVELOPMENT
CHAPTER 1. LITERATURE REVIEW
1.1. Theoretical background
1.1.1. Discourse and Critical discourse analysis ................................. 6
1.1.2. Literary style ............................................................................... 8
1.1.3. Language use ............................................................................... 9
1.2. Analytical background
1.2.1. Introduction to “The Old Man and the Sea” ............................ 11v
1.2.1.1. Plot overview ........................................................................... 13
1.2.1.2. Themes in “The Old Man and the Sea” .................................. 13
1.2.1.3. Setting of „The Old Man and the Sea” .................................... 13
1.2.1.4. Characters in “The Old Man and the Sea”............................. 15
1.2.2. Hemingway‟s Iceberg Theory..................................................... 15
1.2.2.1. Introduction to the Theory ...................................................... 16
1.2.2.2. Features of Hemingway‟s Iceberg Theory .............................. 17
CHAPTER 2. THEORY OF ICEBERG
IN THE OLD MAN AND THE SEA
2.1. The above part of the iceberg ........................................................ 121
2.2. The hidden part and its components............................................. 22
2.2.1. Setting .......................................................................................... 24
2.2.2. Characters ................................................................................... 25
2.3. Literary devices for Iceberg theory
2.3.1. Language style............................................................................. 26
2.3.2. Narrator style .............................................................................. 27
2.3.3. Characters‟ discourse ................................................................. 29
2.3.4. Symbolism ................................................................................... 31
2.3.4.1. The character Santiago ............................................................ 32
2.3.4.2. The marlin ................................................................................ 34
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2.3.4.3. The sharks ................................................................................ 35
2.3.4.4. The sea ...................................................................................... 36
2.3.4.5. The lions.................................................................................... 37
2.3.4.6. The mast ................................................................................... 38
PART C. CONCLUSION
1. Summary .......................................................................................... 40
2. Limitations ....................................................................................... 41
3. Suggestions for further study ......................................................... 42
REFERENCES ..................................................................................... 431
PART A. INTRODUCTION
This initial part stated the problem and the retionale of the study, together with the
aims, objectives, the scope of the study, and the overview of the rest of this paper.
Above all, it was in this part that the research questions were identified to work as
clear guidelines for the whole research.
1. Rationale of the study
Earnest Hemingway (1899 - 1961), also known as ―Papa‖, occupies a prominent
place in American Literature by virtue of his revolutionary role in the arena of 20th
century American fiction. The period 1940-1950 was perhaps the bleakest ten
years in Hemingway‘s writing career when his last major work ―Across the River
and into the Trees”, which he considered his best work ever, met with severe
negative criticism of unintentional self-parody. However, the publication of the
next work, The Old Man and the Sea, in one edition of Life magazine in 1950 was
an instant success. Some viewed the story as Hemingway‘s symbolic attack on
literary critics—the elderly master fighting and triumphing over his long-time
adversaries. The novella soared to the top of the best-seller list and remained there
for six months. At first glance, the story appears to be an extremely simple story of
an old Cuban fisherman (Santiago), who catches an enormously large fish then
loses it again. But, there's much more to the story than that. ―The Old Man and the
Sea” helped to revive Hemingway's reputation as a writer of great acclaim. This
slim volume won the Pulitzer Prize in 1953 and also contributed enormously to
Hemingway's recognition as a world-renowned writer--with the award of the
Nobel Prize for literature in 1954. As a writer, Hemingway became known for his
predominant them of "grace under pressure." This theme was clearly developed in
the character Santiago who fought the giant fish and killed it against all odds; it
also characterized Hemingway‘s own life until the point in his life when he felt he
was no longer able to demonstrate grace under pressure.
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The Old Man and the Sea is believed to be Hemingway's best work, and no less
than William Faulkner (1977) said, "Time may show it to be the best single piece
of any of us, I mean his and my contemporaries”. It ranked one of the best-known
books and it was also taught at school. This classic novella proves to be a mustread for those who are interested in Hemingway‘s literary work as well as his
legacy to American literature.
Moreover, as the last piece of writing Hemingway published in his life, The Old
Man and the Sea typically reflects his unique writing style. Hemingway language
in The Old Man and the Sea is simple and natural on the surface, but actually
deliberate and artificial. The language is rarely emotional. Rather, it controls
emotions by holding them in. Theory of Iceberg, the most notable in Hemingway‘s
writing style, is also reflected clearly in this novel. The "Iceberg Theory" can be
explained as such: If a writer is worth anything, and is actually going to create a
piece of art in words, he must follow this theory. The author's short story must
omit items that are obvious or are already stated by metaphors, similes, or some
other figures of speech. The author should do this to the point where the reader
must think, understand, and really delve into the character and the words that are
used to understand the entire story. In this way the words on the page are merely
1/8 of the story itself, it is the other 7/8 that the story truly lives in. Moreover,
Hemingway's Iceberg theory highlights the symbolic implications of art. He makes
use of physical action to provide an interpretation of the nature of man's existence.
It can be convincingly proved that, "while representing human life through
fictional forms, he has consistently set man against the background of his world
and universe to examine the human situation from various points of view."
(Halliday, 1956)
For the reasons above, the researcher carried out this study with the hope to have
better insights into Hemingway‘s literary work and also his impact on the whole
American literature. Although The Old Man and the Sea is only one of the great3
novels of the author, it sets an excellent illustration of his writing principle and
literary ideology.
2. Aims and objectives of the study
This study aims at analyzing Hemingway‘s Theory of Iceberg in The Old Man and
the Sea. As the greatest principle of Hemingway‘s writing style, the theory
provides readers an obvious overlook of the writer‘s literary career. In terms of art
value, the answer to this matter would Giúp the student of Linguistics, the novel‘s
readers as well as those who wished to specialized in American Literature realize
what made Hemingway one of the most successful authors in literature arena.
In terms of reality value, understanding Theory of Iceberg could Giúp readers
discover the story‘s purpose through some underlying principle nit readily
apparent in the text. Hemingway believed the true meaning of a piece of writing
should not be evident from the surface story because the crux of the story lies
below the surface. This tale of an aged Cuban fisherman going head-to-head (or
hand-to-fin) with a magnificent marlin encapsulates Hemingway's favorite motifs
of physical and moral challenge. If a younger Hemingway had written this novella,
Santiago most likely would have towed the enormous fish back to port and posed
for a triumphal photograph--just as the author delighted in doing. Instead his prize
gets devoured by a school of sharks. Returning with little more than a skeleton, he
takes to his bed and, in the very last line, cements his identification with his
creator: "The old man was dreaming about the lions." The tale of The Old Man
and the Sea is obviously a hymn to human courage and endurance.
As a linguistic student, the researcher expected to find out and briefly analyze the
significance of language used in The Old Man and the Sea exposing Hemingway‘s
striking writing style. The finding of this would Giúp the students of linguistics ,
the novel‘s readers as well as those who wish to specialized in American
Literature realize what made Hemingway one of the most influential authors of the
century.
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3. Research questions
The general goal of this research is to look into Hemingway‘s Theory of Iceberg in
The Old Man and the Sea which can at least partly contribute to findings in
literary appreciation and reading comprehension. To this end, this research tries to
answer the following questions:
1. What is Hemingway‘s Theory of Iceberg?
2. How is the Theory revealed in The Old Man and the Sea?
3. What can be withdrawn from the surface of the story?
4. Design of the study
This paper is organized in the following way:
Part One presents a general introduction of the research containing the rationale,
aims and objectives, methodology and scope of the study. Part Two gives a
theoretical and analytical background for the study. Part Three goes into details
about Iceberg Theory in the novel with an emphasis on the hidden part of the
iceberg. The conclusion can be found in Part Four, which includes a summary,
limitations of the research as well as suggestions for further study.
5. Methods of the study
Descriptive and contextual methods of data collecting and analyzing are used in
the research.
First, relevant literature, publications and studies were reviewed in order to get indepth information on Hemingway‘s writing style in general and Theory of Iceberg
in particular. Also country specific information on the organic horticultural sector
was reviewed. Second, the researcher analyzes and agglutinates those ideas into
her own comprehensible viewpoints. Finally, the information was analyzed and
processed. Evidence is taken from the story and analyzed based on the
researcher‘s knowledge to put a light on how Hemingway used Theory of Iceberg
in his novel.
6. Scope of the study5
The study focuses on how Hemingway exposed his striking writing style in The
Old Man and the Sea. To find the answer to the question, full attention was paid to
the conversations between characters, the symbolic images and the mood flow of
the characters.
The researcher also placed great emphasis on the language used in the novel. In
The Old Man and the Sea, Hemingway practiced his familiar short and concrete
language but filled with emotions. In contrast to Romantic writers who often
emphasize on abundance, Hemingway is a classicist in his restraint and
understatement. He believes that the strongest effect comes with an economy of
means. Therefore, understanding Hemingway‘s writing style can Giúp readers
draw valuable lessons in reading comprehension.
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PART B. DEVELOPMENT
Chapter 1. Literature Review
1.1. Theoretical Background
There were several key terms: discourse and critical discourse analysis, literary
style and language use, which needed to be deeply understood. So for the purpose
of providing a clear and deep understanding of the matter, this first chapter would
focus on the definitions of those key terms while mentioning some necessary
information about previous studies that related to the matter of the study.
1.1.1. Discourse and discourse analysis
Through centuries, 'discourse' was defined in various ways by a number of
scholars and their discussions became an art, which drew a lot of attention from
the later authors.
‗Discourse‘ was 'stretches of language perceived to be meaningful, unified and
purposive'. (Cook 1989:156)
‗Discourse‘ was considered 'a communicative event which draws on the meaning
potential of the language (and other systems of communication) to carry
communicative value (the illocutionary force) of speech acts through utterances.
In other words, it referred to “the interpretation of communicative events in
context.” (Nunan 1993:7-8)
It could be said that there were no significant differences between those definitions
since the notion of ‗discourse‘ was all about how the language use was understood
in such verbal events.
Sharing a lot in common with Malinowski, linguists (Hymes, 1960s; Austin, 1962;
Searle, 1969; Grice, 1975; and Halliday and Hasan, 1973, 1978, 1989, 1994) had
drawn certain attention to this branch by clarifying some “contextual, grammar7
and cohesional models as well as pragmatic and conversational viewpoints”,
which were very clear and essential.
However, at the limitation of the minor thesis, the researcher wanted to focus on
the role of contextual analysis in the three major discourses for the reason that
'context' was created by the discourse and vice versa. It was what and how people
could depend on to interpret the discourses created in each context as Nunan
(1993:7-8) cited that J.R. Firth and Dell Hymes also appreciated the idea that
people always reacted toward how they understood and predicted what the others
were going to say next.
More systematically and clearly than Malinowski, a great British anthropologist
who significantly contributed in clarifying two types of ‗context‘: Context of
Situation and Context of Culture, Halliday (1989) developed a model of
contextual analysis, just following the context of situation, which included three
components as followed:
Components of a
SITUATION
Feature of the context
Field of discourse what was happening, to the nature of the social action
that was taking place
Tenor of discourse Who were taking part in the situation
Mode of discourse The role assigned to language
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Example 1:
A short conversation was given and analysed in Halliday and Hasan‘s theory
(1989) as an example:
Doctor: Have you been vomiting?
Patient: Em, yeah. I vomitted about … I vomitted twice … two days ago at school
and I vomitted about um eight or ten times last night.
Patient: Oh, er, just sort of altogether, you know, Dr M gave him anti-biotic
capsules for him to take because he's also got …
Doctor: a throat.
Patient: A bit of infected tonsils yeah and he said that, you know for him to spit
the capsule out … I don't know whether he was trying to swallow it down or what
but he did.
Doctor: Ah Look, I don't think you can go past an appendix there. Just, you know,
number one, he's got no pain just there and is sore there and I think he's probably
got something blocking in the appendix and it's giving him this constant pain and
trouble. So seeing that you've had it for some time and been worse lately I think it
certainly would be wise to think about having done.
(Halliday and Hasan,1989)9
Analysis of Example 1
Components of a
SITUATION
Feature of the context
Field A child-patient that influenced the choice of lexical items
Tenor A doctor and a patient
Mode
The choice of lexical items: parts of the body: throat, tonsil,
appendix; bodily actions: vomit, spit, swallow
Example 2
A: Hi! I didn't know you belonged to the national Film Theatre. Have you been a
member for long?
B: No, I joined only last week. It's good, isn't it?
A: Yes, it is. There's always an excellent selection of films here. I'm just going to
get a coffee. Would you like one?
B: I'm really thirsty. Oh, don't forget that I've given up sugar.
(Hoang Van Van Ph.D, 2006)
Analysis of Example 2
Components of a
SITUATION
Feature of the context
Field An informal conversation between friends in a cafeteria
Tenor Two friends
Mode Use of words related to theatre: film, member; cafeteria:
thirsty, coffee, sugar
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In the field of Literature, no matter what the story was, the conversations might be
between or amongst people in a certain circumstance, but it was Mode that
perfectly helped recognize and distinguish an author's literary style from others'.
1.2. Literary style
Literary style was defined in various ways by a number of scholars.
According to Geoffrey Leech and Mick Short, Literary style referred to “linguistic
choice in general” or to ―those aspects of linguistic choice which concern
alternative ways of rendering the same subject matter” (cited by Mitchell, A. &
McGee, K. 2011: 31-32).
Much more clearly in ―Linguistics and literary style‖ (1970), Donald C. Freeman
once clarified the literary style into some categories: sentence structure, pace,
vocabulary, figures of speech, use of dialogue, tone, etc.
Similarly with those scholars, David Watson in ‗The Elements of Style‘ (1915),
defined literary style as ―the translation of thought into language”. This
identification of the style surely did not fail in ―width and generality”. In other
words, there was no doubt, as the widespread belief in the existence and the power
of something so called when words, sentences and voice were carefully chosen to
be the means or the medium of the garment of the certain processes of thought. It
gave a distinction to certain writers or compositions because even though it was
not so easy to recognize an author‘s style, readers were still able to see her literary
accent of a school, a nation or an age which could be clarified through the concrete
whole form by means of a number of concrete parts.
Although literary style was defined in various ways, it was known in conclusion as
the element that described an author‘s choice of words, sentence structures,
figurative language and the habit of correct grammar, arrangement of all her work
together to establish mood, images and meaning of the text. In the limitation of
this minor study, the researcher would focus on three main elements, which were11
known in the necessity of Mode in Halliday‘s theory, as David Watson (1915) and
Strunk W. and White E.D. (2000) once again agreed.
1.2.1. Word choice
General speaking, nouns and verbs were the main medium, which helped readers
visualize and convey the meanings of a novel, and a novel writer was said to be
good only if she knew when to choose or weed out the words concisely and
precisely. It should be words which were “active verbs, concrete nouns and
specific adjectives” (cited in ‗The Elements of Style‘, 2000).
1.2.2. Sentence fluency
Easily seen in well-known novels that readers mostly were attracted by a variety
of sentences with different lengths and rhythms which was called “the flow and
rhythm of phrases and sentences”; in other words, it was ‗Sentence fluency‘. All
the ideas were carefully considered, chosen and then arranged in various structures
to reflect the main themes of the novel. They were not like in speaking when
people could not rethink or revise the ideas for effect. To make the sentences
fluent, sounding like an own style, the writer would re-choose the words, delete
redundancies, make vague or ambiguous words much clearer to convey the
greatest effect as possible.
1.2.3. Voice
Lord Chesterfield once shared: “Style is the dress of thoughts”; and Literary style
was most clearly defined by an author‘s voice. Although voice was difficult to be
drastically measured, it was the essential element that revealed the writer‘s
personality to the extreme; and in ‗Pride and Prejudice‘, Jane Austen was
successful in portraying characters with a great sense of irony.
“Irony is a form of utterance that postulated a double audience, consisting of one
party that hearing shall hear and shall not understand, and another party that,
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when more is meant than meets the ear, is aware both of that more and of the
outsiders’ comprehension” (Fowler 1968, 305)
In those hidden language, actions, differences and communications, irony was
seen as an art or a means of worth and effective persuasion in speeches when it
allowed people to convey the meaning above what was said. As Socrates (cite by
Colebrook, 2004) once implied, irony was used by saying one thing and meaning
another which resulted in an insistence. Irony was believed to bring about ―truth
and recognition” even if that truth was hard to be recognized and not fully
meaningful.
1.3. Language use
Language use was said to be ―the people’s production and understanding of a set
of sentences with particular meanings‖ (Clark, 1993). In other words, the choice
of words had to be suitable for each communication circumstance so as to express
different meanings, those needed to be clarified and deeply understood in order to
keep up with the chains of following activities. In those activities the speakers said
and took actions by using words whilst the others had to coordinate with them in
trying to comprehend what they meant.
Part C. Conclusion
The novella The Old Man and the Sea was created in Hemingway‘s most creative
years, but on the edge of this health. The message and underlying meaning of The
Old Man and the Sea was the subject of much debate and speculation Hemingway
managed to compose a book that grasps attention of both laics and literary
scientists.
A study on Hemingway‘s Iceberg of Theory can be valuable in terms of literary
appreciation and reading comprehension. The Old Man and the Sea is a thoughtsprovoking text rather than a short story and it emphasizes the important role of
readers in active reading. Theory of Omission demands that the readers feel the
whole story and fill the gaps left by their omission with their feelings. When
understanding the Iceberg Theory, readers find themselves mastering the skill of
understanding and eveluating text for its relevance to their needs. The influence of
Hemingway‘s style is so great that in the latter part of his life, he was known as
‗Papa Hemingway‖. It refers mainly to his contribution to the development of a
new writing style- the colloquial style. A critic named Storm Jameson discussing
―The Craft of the Novelist‖in the January 1934 issue of the English Review, she
explained Hemingway‘s popularity: It is the simplicity which explains
Hemingway‘s success….In English, at least his success has been largely with the
intellectuals. They have praised his simplicity, his directness…And Hemingway‘s
influence as a stylist was nearly expressed in the praise of the Nobel Prize
Committee about his ―powerful style- forming mastery of the art of writing
modern fiction‖. Many researhers analyze the careful preparation of the writer
when creating the circumstances for his characters. In modern literature, loneliness
can be one of the means to express characters and The Old Man and the Sea is no
exception, but in a different way. In this novella, there are eight characters but
actually, only one goes from the first to the last page, giving the book its long41
lasting power. Santiago, like many other old fishermen in the beach, has old poor
apprearance and wreckled eyes. During his ocean life, he realizes the sea does not
only belong to him but also to birds, fish and other fishermen. Standing at the sea
with the endless vast infinity of nature, it is easy for people to feel lonely, but with
Santiago ―no one should be lonely in the sea‖. Santiago lives on his own and he
always recalls the glorious time of the past. It is the symbol of strength in the poor
old man. To some extent, the lonely Santiago fights against his loneliness. He has
an extraordinary energy to live and this character deserves to praized and to be
appreciated. That sets the difference between Hemingway‘s character and other
lonely people in modern Western literature.
It is interesting to note that Hemingway‘s Iceberg Theory unexpectedly fits our
conception of old literature, especially about poems. It is when true meaning lies
outside words (Ý tại ngôn ngoại), quality is more important than quantity (Qúy hồ
tinh bất quý hồ đa). Vietnamese old poetry is often short, saying the most in the
least amount of word. For example, in Truyện Kiều, Nguyen Du only use some
verbs “lẻn”, “tót”, “cò kè”, “ngây” to show the cunning nature of Ma Giam Sinh.
Thanks to the concreteness similar to the Theory of Omission by Hemingway, the
poems are compressed about words, but call a sound knowledge on the part of the
reader. This way of writing appeals to readers more than long poetry which is
often pale because the reader does not need to wrestle to discover anything. Even
in Chinese Literature, Iceberg Theory can also bear some similarities with the
empire of Tang Poetry (618 – 907), the Golden Age of Chinese Literature.
Nowadays, the theory now is generally adopted by writers around the world and
helps them convey their ideas effectively. The term Iceberg Theory can also be
found in other aspects of life such as Culture and Economics with the same
meaning.
Hemingway has a famous Iceberg Theory; he believed a good writer does not need
to reveal every detail of a character or action; If a writer of the prose knows
enough about what he is writing about, he may omit things that he knows and the
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reader, if the writer is writing truly enough, will have a feeling of those things as if
the writer had stated them. Thus Hemingway‘s language is highly symbolic and
suggestive. Among all the works of Hemingway, the saga of Santiago is thought
as the most typical one as far as this Iceberg Theory concerned. The author seldom
expresses his own feelings directly, nor does he make any comments or
explanations. On the contrary, he tries to narrate and describe things objectively
and blends his own feelings harmoniously with the natural narration and
description. There will not be great difficulties to understand the literal meaning of
his short sentences and simple words, but a work by Hemingway demands
deliberate attention. In other word, one has to keep a close eye on Hemingway‘s
words and to read between the lines because of his highly symbolic language.
There have been obviously numerous researchers on Hemingway‘s literary
heritage. The researcher hopes that this study may add a further interpretation to
Hemingway‘s Iceberg Theory in his famous novella The Old Man and the Sea.
Besides, this study can be used in order to Giúp students and the ones who love
reading novels draw a certain notice to the impact of Hemingway‘s writing style
on other writers not only in America.
This study is mainly concentrated on Iceberg Theory in The Old Man and the Sea.
However, Hemingway‘s unique writing style can be found in many other of his
works. Therefore, further study can be conducted about the theory in A Farewell
to Arms (1929), a famous war novel of Hemingway set during the Italian
campaign of World War I.
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Nhà xuất bản: University of Languages and International Studies
Ngày: 2013
Chủ đề: Ngôn ngữ học
Tiếng Anh
Miêu tả: The study firstly aimed at giving some certain information about ‘The Old Man and the Sea”, the last major work published in Ernest Hemingway’s life. Secondly, Hemingway’s distinctive writing style with the Iceberg Theory was thoroughly discussed, providing readers some insights into man’s power and endurance. The results of the study suggest some findings in literary and reading comprehension. They also recommend a number of things for readers to consider in the choice of widening their knowledge in literature
Electronic Resources
M.A. Thesis. English Linguistics -- University of Languages and International Studies. Vietnam National University, Hanoi, 2013
TABLE OF CONTENTS
Page
Acknowledgement .................................................................................. ii
Abstract .................................................................................................. iii
Table of contents..................................................................................... iv
PART A: INTRODUCTION
1. Rationale of the study ...................................................................... 1
2. Aims and objectives of the study ...................................................... 3
3. Research questions............................................................................ 3
4. Design of the study ............................................................................ 4
5. Methods of the study......................................................................... 4
4. Scope of the study.............................................................................. 4
PART B: DEVELOPMENT
CHAPTER 1. LITERATURE REVIEW
1.1. Theoretical background
1.1.1. Discourse and Critical discourse analysis ................................. 6
1.1.2. Literary style ............................................................................... 8
1.1.3. Language use ............................................................................... 9
1.2. Analytical background
1.2.1. Introduction to “The Old Man and the Sea” ............................ 11v
1.2.1.1. Plot overview ........................................................................... 13
1.2.1.2. Themes in “The Old Man and the Sea” .................................. 13
1.2.1.3. Setting of „The Old Man and the Sea” .................................... 13
1.2.1.4. Characters in “The Old Man and the Sea”............................. 15
1.2.2. Hemingway‟s Iceberg Theory..................................................... 15
1.2.2.1. Introduction to the Theory ...................................................... 16
1.2.2.2. Features of Hemingway‟s Iceberg Theory .............................. 17
CHAPTER 2. THEORY OF ICEBERG
IN THE OLD MAN AND THE SEA
2.1. The above part of the iceberg ........................................................ 121
2.2. The hidden part and its components............................................. 22
2.2.1. Setting .......................................................................................... 24
2.2.2. Characters ................................................................................... 25
2.3. Literary devices for Iceberg theory
2.3.1. Language style............................................................................. 26
2.3.2. Narrator style .............................................................................. 27
2.3.3. Characters‟ discourse ................................................................. 29
2.3.4. Symbolism ................................................................................... 31
2.3.4.1. The character Santiago ............................................................ 32
2.3.4.2. The marlin ................................................................................ 34
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2.3.4.3. The sharks ................................................................................ 35
2.3.4.4. The sea ...................................................................................... 36
2.3.4.5. The lions.................................................................................... 37
2.3.4.6. The mast ................................................................................... 38
PART C. CONCLUSION
1. Summary .......................................................................................... 40
2. Limitations ....................................................................................... 41
3. Suggestions for further study ......................................................... 42
REFERENCES ..................................................................................... 431
PART A. INTRODUCTION
This initial part stated the problem and the retionale of the study, together with the
aims, objectives, the scope of the study, and the overview of the rest of this paper.
Above all, it was in this part that the research questions were identified to work as
clear guidelines for the whole research.
1. Rationale of the study
Earnest Hemingway (1899 - 1961), also known as ―Papa‖, occupies a prominent
place in American Literature by virtue of his revolutionary role in the arena of 20th
century American fiction. The period 1940-1950 was perhaps the bleakest ten
years in Hemingway‘s writing career when his last major work ―Across the River
and into the Trees”, which he considered his best work ever, met with severe
negative criticism of unintentional self-parody. However, the publication of the
next work, The Old Man and the Sea, in one edition of Life magazine in 1950 was
an instant success. Some viewed the story as Hemingway‘s symbolic attack on
literary critics—the elderly master fighting and triumphing over his long-time
adversaries. The novella soared to the top of the best-seller list and remained there
for six months. At first glance, the story appears to be an extremely simple story of
an old Cuban fisherman (Santiago), who catches an enormously large fish then
loses it again. But, there's much more to the story than that. ―The Old Man and the
Sea” helped to revive Hemingway's reputation as a writer of great acclaim. This
slim volume won the Pulitzer Prize in 1953 and also contributed enormously to
Hemingway's recognition as a world-renowned writer--with the award of the
Nobel Prize for literature in 1954. As a writer, Hemingway became known for his
predominant them of "grace under pressure." This theme was clearly developed in
the character Santiago who fought the giant fish and killed it against all odds; it
also characterized Hemingway‘s own life until the point in his life when he felt he
was no longer able to demonstrate grace under pressure.
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The Old Man and the Sea is believed to be Hemingway's best work, and no less
than William Faulkner (1977) said, "Time may show it to be the best single piece
of any of us, I mean his and my contemporaries”. It ranked one of the best-known
books and it was also taught at school. This classic novella proves to be a mustread for those who are interested in Hemingway‘s literary work as well as his
legacy to American literature.
Moreover, as the last piece of writing Hemingway published in his life, The Old
Man and the Sea typically reflects his unique writing style. Hemingway language
in The Old Man and the Sea is simple and natural on the surface, but actually
deliberate and artificial. The language is rarely emotional. Rather, it controls
emotions by holding them in. Theory of Iceberg, the most notable in Hemingway‘s
writing style, is also reflected clearly in this novel. The "Iceberg Theory" can be
explained as such: If a writer is worth anything, and is actually going to create a
piece of art in words, he must follow this theory. The author's short story must
omit items that are obvious or are already stated by metaphors, similes, or some
other figures of speech. The author should do this to the point where the reader
must think, understand, and really delve into the character and the words that are
used to understand the entire story. In this way the words on the page are merely
1/8 of the story itself, it is the other 7/8 that the story truly lives in. Moreover,
Hemingway's Iceberg theory highlights the symbolic implications of art. He makes
use of physical action to provide an interpretation of the nature of man's existence.
It can be convincingly proved that, "while representing human life through
fictional forms, he has consistently set man against the background of his world
and universe to examine the human situation from various points of view."
(Halliday, 1956)
For the reasons above, the researcher carried out this study with the hope to have
better insights into Hemingway‘s literary work and also his impact on the whole
American literature. Although The Old Man and the Sea is only one of the great3
novels of the author, it sets an excellent illustration of his writing principle and
literary ideology.
2. Aims and objectives of the study
This study aims at analyzing Hemingway‘s Theory of Iceberg in The Old Man and
the Sea. As the greatest principle of Hemingway‘s writing style, the theory
provides readers an obvious overlook of the writer‘s literary career. In terms of art
value, the answer to this matter would Giúp the student of Linguistics, the novel‘s
readers as well as those who wished to specialized in American Literature realize
what made Hemingway one of the most successful authors in literature arena.
In terms of reality value, understanding Theory of Iceberg could Giúp readers
discover the story‘s purpose through some underlying principle nit readily
apparent in the text. Hemingway believed the true meaning of a piece of writing
should not be evident from the surface story because the crux of the story lies
below the surface. This tale of an aged Cuban fisherman going head-to-head (or
hand-to-fin) with a magnificent marlin encapsulates Hemingway's favorite motifs
of physical and moral challenge. If a younger Hemingway had written this novella,
Santiago most likely would have towed the enormous fish back to port and posed
for a triumphal photograph--just as the author delighted in doing. Instead his prize
gets devoured by a school of sharks. Returning with little more than a skeleton, he
takes to his bed and, in the very last line, cements his identification with his
creator: "The old man was dreaming about the lions." The tale of The Old Man
and the Sea is obviously a hymn to human courage and endurance.
As a linguistic student, the researcher expected to find out and briefly analyze the
significance of language used in The Old Man and the Sea exposing Hemingway‘s
striking writing style. The finding of this would Giúp the students of linguistics ,
the novel‘s readers as well as those who wish to specialized in American
Literature realize what made Hemingway one of the most influential authors of the
century.
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3. Research questions
The general goal of this research is to look into Hemingway‘s Theory of Iceberg in
The Old Man and the Sea which can at least partly contribute to findings in
literary appreciation and reading comprehension. To this end, this research tries to
answer the following questions:
1. What is Hemingway‘s Theory of Iceberg?
2. How is the Theory revealed in The Old Man and the Sea?
3. What can be withdrawn from the surface of the story?
4. Design of the study
This paper is organized in the following way:
Part One presents a general introduction of the research containing the rationale,
aims and objectives, methodology and scope of the study. Part Two gives a
theoretical and analytical background for the study. Part Three goes into details
about Iceberg Theory in the novel with an emphasis on the hidden part of the
iceberg. The conclusion can be found in Part Four, which includes a summary,
limitations of the research as well as suggestions for further study.
5. Methods of the study
Descriptive and contextual methods of data collecting and analyzing are used in
the research.
First, relevant literature, publications and studies were reviewed in order to get indepth information on Hemingway‘s writing style in general and Theory of Iceberg
in particular. Also country specific information on the organic horticultural sector
was reviewed. Second, the researcher analyzes and agglutinates those ideas into
her own comprehensible viewpoints. Finally, the information was analyzed and
processed. Evidence is taken from the story and analyzed based on the
researcher‘s knowledge to put a light on how Hemingway used Theory of Iceberg
in his novel.
6. Scope of the study5
The study focuses on how Hemingway exposed his striking writing style in The
Old Man and the Sea. To find the answer to the question, full attention was paid to
the conversations between characters, the symbolic images and the mood flow of
the characters.
The researcher also placed great emphasis on the language used in the novel. In
The Old Man and the Sea, Hemingway practiced his familiar short and concrete
language but filled with emotions. In contrast to Romantic writers who often
emphasize on abundance, Hemingway is a classicist in his restraint and
understatement. He believes that the strongest effect comes with an economy of
means. Therefore, understanding Hemingway‘s writing style can Giúp readers
draw valuable lessons in reading comprehension.
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PART B. DEVELOPMENT
Chapter 1. Literature Review
1.1. Theoretical Background
There were several key terms: discourse and critical discourse analysis, literary
style and language use, which needed to be deeply understood. So for the purpose
of providing a clear and deep understanding of the matter, this first chapter would
focus on the definitions of those key terms while mentioning some necessary
information about previous studies that related to the matter of the study.
1.1.1. Discourse and discourse analysis
Through centuries, 'discourse' was defined in various ways by a number of
scholars and their discussions became an art, which drew a lot of attention from
the later authors.
‗Discourse‘ was 'stretches of language perceived to be meaningful, unified and
purposive'. (Cook 1989:156)
‗Discourse‘ was considered 'a communicative event which draws on the meaning
potential of the language (and other systems of communication) to carry
communicative value (the illocutionary force) of speech acts through utterances.
In other words, it referred to “the interpretation of communicative events in
context.” (Nunan 1993:7-8)
It could be said that there were no significant differences between those definitions
since the notion of ‗discourse‘ was all about how the language use was understood
in such verbal events.
Sharing a lot in common with Malinowski, linguists (Hymes, 1960s; Austin, 1962;
Searle, 1969; Grice, 1975; and Halliday and Hasan, 1973, 1978, 1989, 1994) had
drawn certain attention to this branch by clarifying some “contextual, grammar7
and cohesional models as well as pragmatic and conversational viewpoints”,
which were very clear and essential.
However, at the limitation of the minor thesis, the researcher wanted to focus on
the role of contextual analysis in the three major discourses for the reason that
'context' was created by the discourse and vice versa. It was what and how people
could depend on to interpret the discourses created in each context as Nunan
(1993:7-8) cited that J.R. Firth and Dell Hymes also appreciated the idea that
people always reacted toward how they understood and predicted what the others
were going to say next.
More systematically and clearly than Malinowski, a great British anthropologist
who significantly contributed in clarifying two types of ‗context‘: Context of
Situation and Context of Culture, Halliday (1989) developed a model of
contextual analysis, just following the context of situation, which included three
components as followed:
Components of a
SITUATION
Feature of the context
Field of discourse what was happening, to the nature of the social action
that was taking place
Tenor of discourse Who were taking part in the situation
Mode of discourse The role assigned to language
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Example 1:
A short conversation was given and analysed in Halliday and Hasan‘s theory
(1989) as an example:
Doctor: Have you been vomiting?
Patient: Em, yeah. I vomitted about … I vomitted twice … two days ago at school
and I vomitted about um eight or ten times last night.
Patient: Oh, er, just sort of altogether, you know, Dr M gave him anti-biotic
capsules for him to take because he's also got …
Doctor: a throat.
Patient: A bit of infected tonsils yeah and he said that, you know for him to spit
the capsule out … I don't know whether he was trying to swallow it down or what
but he did.
Doctor: Ah Look, I don't think you can go past an appendix there. Just, you know,
number one, he's got no pain just there and is sore there and I think he's probably
got something blocking in the appendix and it's giving him this constant pain and
trouble. So seeing that you've had it for some time and been worse lately I think it
certainly would be wise to think about having done.
(Halliday and Hasan,1989)9
Analysis of Example 1
Components of a
SITUATION
Feature of the context
Field A child-patient that influenced the choice of lexical items
Tenor A doctor and a patient
Mode
The choice of lexical items: parts of the body: throat, tonsil,
appendix; bodily actions: vomit, spit, swallow
Example 2
A: Hi! I didn't know you belonged to the national Film Theatre. Have you been a
member for long?
B: No, I joined only last week. It's good, isn't it?
A: Yes, it is. There's always an excellent selection of films here. I'm just going to
get a coffee. Would you like one?
B: I'm really thirsty. Oh, don't forget that I've given up sugar.
(Hoang Van Van Ph.D, 2006)
Analysis of Example 2
Components of a
SITUATION
Feature of the context
Field An informal conversation between friends in a cafeteria
Tenor Two friends
Mode Use of words related to theatre: film, member; cafeteria:
thirsty, coffee, sugar
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In the field of Literature, no matter what the story was, the conversations might be
between or amongst people in a certain circumstance, but it was Mode that
perfectly helped recognize and distinguish an author's literary style from others'.
1.2. Literary style
Literary style was defined in various ways by a number of scholars.
According to Geoffrey Leech and Mick Short, Literary style referred to “linguistic
choice in general” or to ―those aspects of linguistic choice which concern
alternative ways of rendering the same subject matter” (cited by Mitchell, A. &
McGee, K. 2011: 31-32).
Much more clearly in ―Linguistics and literary style‖ (1970), Donald C. Freeman
once clarified the literary style into some categories: sentence structure, pace,
vocabulary, figures of speech, use of dialogue, tone, etc.
Similarly with those scholars, David Watson in ‗The Elements of Style‘ (1915),
defined literary style as ―the translation of thought into language”. This
identification of the style surely did not fail in ―width and generality”. In other
words, there was no doubt, as the widespread belief in the existence and the power
of something so called when words, sentences and voice were carefully chosen to
be the means or the medium of the garment of the certain processes of thought. It
gave a distinction to certain writers or compositions because even though it was
not so easy to recognize an author‘s style, readers were still able to see her literary
accent of a school, a nation or an age which could be clarified through the concrete
whole form by means of a number of concrete parts.
Although literary style was defined in various ways, it was known in conclusion as
the element that described an author‘s choice of words, sentence structures,
figurative language and the habit of correct grammar, arrangement of all her work
together to establish mood, images and meaning of the text. In the limitation of
this minor study, the researcher would focus on three main elements, which were11
known in the necessity of Mode in Halliday‘s theory, as David Watson (1915) and
Strunk W. and White E.D. (2000) once again agreed.
1.2.1. Word choice
General speaking, nouns and verbs were the main medium, which helped readers
visualize and convey the meanings of a novel, and a novel writer was said to be
good only if she knew when to choose or weed out the words concisely and
precisely. It should be words which were “active verbs, concrete nouns and
specific adjectives” (cited in ‗The Elements of Style‘, 2000).
1.2.2. Sentence fluency
Easily seen in well-known novels that readers mostly were attracted by a variety
of sentences with different lengths and rhythms which was called “the flow and
rhythm of phrases and sentences”; in other words, it was ‗Sentence fluency‘. All
the ideas were carefully considered, chosen and then arranged in various structures
to reflect the main themes of the novel. They were not like in speaking when
people could not rethink or revise the ideas for effect. To make the sentences
fluent, sounding like an own style, the writer would re-choose the words, delete
redundancies, make vague or ambiguous words much clearer to convey the
greatest effect as possible.
1.2.3. Voice
Lord Chesterfield once shared: “Style is the dress of thoughts”; and Literary style
was most clearly defined by an author‘s voice. Although voice was difficult to be
drastically measured, it was the essential element that revealed the writer‘s
personality to the extreme; and in ‗Pride and Prejudice‘, Jane Austen was
successful in portraying characters with a great sense of irony.
“Irony is a form of utterance that postulated a double audience, consisting of one
party that hearing shall hear and shall not understand, and another party that,
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when more is meant than meets the ear, is aware both of that more and of the
outsiders’ comprehension” (Fowler 1968, 305)
In those hidden language, actions, differences and communications, irony was
seen as an art or a means of worth and effective persuasion in speeches when it
allowed people to convey the meaning above what was said. As Socrates (cite by
Colebrook, 2004) once implied, irony was used by saying one thing and meaning
another which resulted in an insistence. Irony was believed to bring about ―truth
and recognition” even if that truth was hard to be recognized and not fully
meaningful.
1.3. Language use
Language use was said to be ―the people’s production and understanding of a set
of sentences with particular meanings‖ (Clark, 1993). In other words, the choice
of words had to be suitable for each communication circumstance so as to express
different meanings, those needed to be clarified and deeply understood in order to
keep up with the chains of following activities. In those activities the speakers said
and took actions by using words whilst the others had to coordinate with them in
trying to comprehend what they meant.
Part C. Conclusion
The novella The Old Man and the Sea was created in Hemingway‘s most creative
years, but on the edge of this health. The message and underlying meaning of The
Old Man and the Sea was the subject of much debate and speculation Hemingway
managed to compose a book that grasps attention of both laics and literary
scientists.
A study on Hemingway‘s Iceberg of Theory can be valuable in terms of literary
appreciation and reading comprehension. The Old Man and the Sea is a thoughtsprovoking text rather than a short story and it emphasizes the important role of
readers in active reading. Theory of Omission demands that the readers feel the
whole story and fill the gaps left by their omission with their feelings. When
understanding the Iceberg Theory, readers find themselves mastering the skill of
understanding and eveluating text for its relevance to their needs. The influence of
Hemingway‘s style is so great that in the latter part of his life, he was known as
‗Papa Hemingway‖. It refers mainly to his contribution to the development of a
new writing style- the colloquial style. A critic named Storm Jameson discussing
―The Craft of the Novelist‖in the January 1934 issue of the English Review, she
explained Hemingway‘s popularity: It is the simplicity which explains
Hemingway‘s success….In English, at least his success has been largely with the
intellectuals. They have praised his simplicity, his directness…And Hemingway‘s
influence as a stylist was nearly expressed in the praise of the Nobel Prize
Committee about his ―powerful style- forming mastery of the art of writing
modern fiction‖. Many researhers analyze the careful preparation of the writer
when creating the circumstances for his characters. In modern literature, loneliness
can be one of the means to express characters and The Old Man and the Sea is no
exception, but in a different way. In this novella, there are eight characters but
actually, only one goes from the first to the last page, giving the book its long41
lasting power. Santiago, like many other old fishermen in the beach, has old poor
apprearance and wreckled eyes. During his ocean life, he realizes the sea does not
only belong to him but also to birds, fish and other fishermen. Standing at the sea
with the endless vast infinity of nature, it is easy for people to feel lonely, but with
Santiago ―no one should be lonely in the sea‖. Santiago lives on his own and he
always recalls the glorious time of the past. It is the symbol of strength in the poor
old man. To some extent, the lonely Santiago fights against his loneliness. He has
an extraordinary energy to live and this character deserves to praized and to be
appreciated. That sets the difference between Hemingway‘s character and other
lonely people in modern Western literature.
It is interesting to note that Hemingway‘s Iceberg Theory unexpectedly fits our
conception of old literature, especially about poems. It is when true meaning lies
outside words (Ý tại ngôn ngoại), quality is more important than quantity (Qúy hồ
tinh bất quý hồ đa). Vietnamese old poetry is often short, saying the most in the
least amount of word. For example, in Truyện Kiều, Nguyen Du only use some
verbs “lẻn”, “tót”, “cò kè”, “ngây” to show the cunning nature of Ma Giam Sinh.
Thanks to the concreteness similar to the Theory of Omission by Hemingway, the
poems are compressed about words, but call a sound knowledge on the part of the
reader. This way of writing appeals to readers more than long poetry which is
often pale because the reader does not need to wrestle to discover anything. Even
in Chinese Literature, Iceberg Theory can also bear some similarities with the
empire of Tang Poetry (618 – 907), the Golden Age of Chinese Literature.
Nowadays, the theory now is generally adopted by writers around the world and
helps them convey their ideas effectively. The term Iceberg Theory can also be
found in other aspects of life such as Culture and Economics with the same
meaning.
Hemingway has a famous Iceberg Theory; he believed a good writer does not need
to reveal every detail of a character or action; If a writer of the prose knows
enough about what he is writing about, he may omit things that he knows and the
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reader, if the writer is writing truly enough, will have a feeling of those things as if
the writer had stated them. Thus Hemingway‘s language is highly symbolic and
suggestive. Among all the works of Hemingway, the saga of Santiago is thought
as the most typical one as far as this Iceberg Theory concerned. The author seldom
expresses his own feelings directly, nor does he make any comments or
explanations. On the contrary, he tries to narrate and describe things objectively
and blends his own feelings harmoniously with the natural narration and
description. There will not be great difficulties to understand the literal meaning of
his short sentences and simple words, but a work by Hemingway demands
deliberate attention. In other word, one has to keep a close eye on Hemingway‘s
words and to read between the lines because of his highly symbolic language.
There have been obviously numerous researchers on Hemingway‘s literary
heritage. The researcher hopes that this study may add a further interpretation to
Hemingway‘s Iceberg Theory in his famous novella The Old Man and the Sea.
Besides, this study can be used in order to Giúp students and the ones who love
reading novels draw a certain notice to the impact of Hemingway‘s writing style
on other writers not only in America.
This study is mainly concentrated on Iceberg Theory in The Old Man and the Sea.
However, Hemingway‘s unique writing style can be found in many other of his
works. Therefore, further study can be conducted about the theory in A Farewell
to Arms (1929), a famous war novel of Hemingway set during the Italian
campaign of World War I.
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