【作者】 陈胜利；

【导师】 汪榕培；

【作者基本信息】 苏州大学 ， 英语语言文学（专业学位）， 2014， 博士

【摘要】 语言接触是20世纪70年代以来国际语言学界研究的热点，主要研究不同源的、或虽同源但已分化的语言相互接触而引发的语言变化规律。民族之间的贸易往来、文化交流、移民杂居、战争征服等各种形态的接触，都会引起语言的接触。语言的接触有不同的类型，其中最常见的，就是词汇的借用。从词汇角度说，整个英语史就是一部词汇借用史。英语在其1500多年的变迁过程中，共计吸纳了120多种语言的词汇。它从几个日耳曼部族的语言发展成为今天世界上最流行的语言，成为“不是世界语的世界语”。英语借词的来源，非常广泛，这其中就有一部分是来自汉语。由于是小宗词源，英语中的汉语借词，虽然早在19世纪晚期语言学家就开始提及，但一直没有得到重视。这种情况直到20世纪80年代才有起色和改观，代表性研究有Chan&Kwok（1985）的香港词汇研究、美国学者Garland Cannon（1987；1988）的汉语词汇研究，以及大陆学者汪榕培（1986；2001；2002）先生的“英语中的汉语借词”研究。在接下来的二三十年里，国内这个领域的研究呈现出一派热闹景象，但繁华的背后，有两个基本问题没有得到解决，一是“量”的问题：英语里到底有多少汉语借词？二是“质”的问题：是什么样的借词？有怎样的规律？本论文从接触语言学的角度，以已有语料和自建语料为基础，整合已有的借词理论，采用理论研究和语料分析相结合的方法，以借词的整个“动态”过程为“纲”，以借词的分类为“目”，以语言、社会、文化等因素为切入“点”，以借词语料为支撑“面”，做到“点”“面”结合，“纲”举“目”张。语言接触研究，既讲接触，也讲影响，换言之，就是过程、结果两者都要兼顾。基于这样的认识，我们提出借词“动态过程论”的构想，将借词研究的外延扩大，保留传统的“词典借词”研究，增加“前借词”和“后造词”的研究。这样，借词研究，就分成了三个阶段，从而构成一个“动态”的“过程”。对这个“过程”进行全面考察，有助于从宏观和微观两个方面，形成系统的、分层的认识。前借词，是指“临时借用”的翻译词汇；后造词，是指英语、汉语或英汉语混合而“新造”的词汇，两者都是“新词”，通常情况下，不能视同“借词”，但随着接触的深入，时间的推移，它们却有可能转化为“借词”。从借词角度看，前借词阶段的音译和仿译方法，有利于“新词”向“借词”转化；后造词阶段的“新造词”，特别是英语新造词，由于舍弃了汉语的形式，看不到汉语的“源模”，因而，相比之下，难成借词，一般词典不予收录，收录了也不注明词源，总体说来，数量有限，难以统计。语言的发展和演变，通常需要一定的时间，是一个“渐变”的过程；但一些非语言因素，如政治因素、科技因素等，借助现代快捷的传媒，可穿越时空，让“新词”一举成为“借词”，是一个“突变”的过程。词典借词，顾名思义，就是被一般英语词典收录了的汉语借词，处于借用过程的“借入”阶段。根据其语素和构式的存无，可细分为音译借词、混合借词和义借词三种。音译借词的数量，大致有三、四百个，从时间上看，16世纪之前的很少，主要集中在19世纪和20世纪，总体呈增长趋势；从语义上看，多为饮食、艺术、动植物、政治等词汇；从拼法上看，普通话拼音词汇最多，以后依次是威妥玛拼音、粤语拼音、威妥玛之前的拉丁拼音、闽南语拼音以及洋泾浜英语等等。需要强调的是，洋泾浜英语的借用方式，和普通的借词方式不同，其特点是“结构借用”比较突出；借词有直接借词和间接借词两种。间接借词中，以“日媒词”贡献最大，有200多个。由于词源考证复杂，尚待深入研究。混合借词有派生和复合两种方式，通过派生方式产生的汉语借词大约有100个；通过复合方式产生的大约800个，其中音译义注词有几十个，描写词有700多个。音译义注词通常为单个英语词汇，说明其前面音译词的语义类别。描写词是一种最便捷、最经济、最易懂的借词的方式，因此，在整个借词中所占的比例也最大。义借词有引申和仿译两种类型。词义发生引申，有时是因为语音相似，有时是因为语义相似，这类汉语借词数量有限，加之表现形式为“旧词添新义”，因而其“借词”身份常遭质疑。仿译由于英汉词形同构、语素对应，易于“依瓢画葫芦”，所以，这类借词越来越多，英语里大致有100多个，并且呈强劲增长趋势。译借词的构成方式，以两个或三个词为主，一个或四个词为辅。主要是政治、经济和文化方面的词汇，反映现代中国风貌。接触语言学认为，借用成分、借用数量跟语言接触的强度密切相关。一般来说，借词数量和接触强度成正比。偶然的接触，一般只借用实义词——通常是名词，也有一些动词、形容词和副词，但没有结构上的借用。高强度的接触，既有词汇借用，也有结构借用。对照英语中的汉语借词，不难发现，这一理论经受住了检验。汉语和英语接触，18世纪之前，总体程度不高，因而借词也不多；到了19、20两个世纪，特别是鸦片战争之后，接触越发频繁，借词也随之增多，但增长方式不同，音译借词是“递增”式发展，而仿译借词是“倍增”式发展，且主要是政治、经济和文化方面的词汇，不像音译借词多为中国“土产”、“古董”等。地域方面，广东、香港、福建、上海等地，语言接触时间较早、较长、较强，因而，借词中，出现了粤语拼音、闽南语拼音以及洋泾浜英语等。整体上看，英语对汉语的借用，主要是以词汇为主，音译借词多为“命名”之需；结构上的借用较少，主要体现在仿译词和洋泾浜英语的短句上。英汉语间的接触强度，介于“偶然接触”和“强度不高的接触”之间。英语中的汉语借词研究，它带来的启示是多方面的，如汉语英译、词汇教学、词典编纂、二语习得、语言规划等，都有一定的借鉴意义。从借词角度看，异化的翻译策略以及音译和仿译的翻译方法，会给汉语词汇提供更多“接触”的机会，从而有利于汉语词汇走入英语。这些汉语词汇，特别是文化词汇，一旦成为借词，也便成了文化符号和文化“使者”。它们架构起中外语言和文化的交流桥梁，让中国走向世界，让世界了解中国。更多还原

【Abstract】 The study of language contact has been the focus of the international linguistic circlessince the1970s, which is mainly on the changes of contact-induced languages of different(or same) genetic sources.Trade, cultural exchanges, immigrants, wars and other forms, all can bring languagesto contact.Among them, the most common outcome is the lexical borrowing.In term of vocabulary, English history is the borrowing history. In its1500years ofdevelopment, English has taken in words from as many as120-odd languages, includingChinese, and developed from several Germanic dialects to the world’s most popularlanguage as so-called the “non-Esperanto Esperanto”.Due to the minor word contributor, Chinese borrowings in English, although as earlyas the late19thcentury linguists began to mention, had not been taken seriously until1980swith some influential publications from Chan&Kwok (1985), Garland Cannon(1987;1988) and Wang Rong-pei(1986;2001;2002). In the following two or three decades,researches in this area, though with many participated in, still leave two basic problemsunresolved: One is the “quantity”—how many Chinese loanwords are there in English?The other is the “quality”—what types of loan words? Any rules to follow?This dissertation, on the base of self-built corpora, presents a panoramic description ofthe Chinese borrowings from the perspective of language contact. It views the borrowingas a “dynamic” process and divides it into various stages with a macro and micro analysisfrom the dimensions of language, society and culture.Language contact researches include contact and influence; therefore, it must take intoaccount both process and result. Based on this understanding, the concept of “dynamicborrowing process” is put forward, which consists of three continual stages of pre-,present-, and post-borrowing. In accordance with this, the research of this paper alsocovers three parts, trying to give the readers a systematic and detailed picture of Chinese borrowings in English.Pre-borrowing means “temporary borrowing” while post-borrowing “creations”,which includes purely English ones, hybrids and those using only Chinese morphemes.The words in these two periods are just “neologisms”, normally, can not be regarded as“loanwords”, but could be if given more in-depth contact and longer time. At thepre-borrowing stage, the methods of transliteration and loan translation are more suitablefor the transformation of “new words” into “borrowed words”; At the post-borrowing stage,“creations”, especially those using only English morphemes, for lack of original Chinesemodel, by contrast, are usually difficult to turn into loanwords, and are generally excludedin dictionaries. If any, however, the number of this kind is very limited and hard tocalculate.Language evolution or change is a “gradual” process, usually taking some time, so isthe case of borrowings; but if connected with non-linguistic factors such as political andtechnological, and with modern media, words can pass through time and space, and all ofsudden, narrow the gap between “neologisms” and “loans”.Borrowings, in traditional sense, are usually those contained in dictionaries. Theybelong to the “borrowed” stage in the whole process. According to more or less foreignmorphemes, they can be further divided into three types: loanword, loanblend andloanshift.The amount of loanwords, roughly between three and four hundred, with very little inthe16thcentury and much in the19thand20thcenturies, shows an ascending trend; As tosemantics, loanwords are mainly those of Chinese “indigenous”, such as diet, art, biota,and politics; When it comes to spelling, most of them are in Pinyin system, followed inturn by Wade-Giles, Cantonese, Latin, Hokkien, and Pidgin English which, different fromthe ordinary “lexical borrowing”, is characterized by its prominent “structural borrowing”.Borrowings have two ways to adopt foreign words: directly and indirectly. Among theindirect Chinese loanwords, Japanese, as one of the transmission languages, is the greatestcontributor which has helped bring into English more than200words. However, academicresearches in this area have not been well conducted for the complexity of etymology.Loanblends can be sub-divided into two types: derivational and compound. Theformer have around100words, and the latter800, of which dozens are those in the form of“transliteration+one category word”, and the rest are those of “descriptive form” which occupy the largest proportion in the entire Chinese borrowings for its most convenient,economical and straightforward ways in adoption of foreign words.Loanshifts also have two types: semantic loans and loan translations. Semantic loanshappen, sometimes because the sound is similar, sometimes the meaning similar. Thenumber of this kind is limited, and in addition, their identity is often doubted for their wordform of “new wine in old bottles”. Loan translations, because of the same structures andcorresponding morphemes between Chinese and English, are becoming more and morepopular with over100in total and still in a soaring rise. Their structure is usuallycomposed of two or three words, but sometimes, of just one or four; their meanings chieflyfall into political, economic and cultural aspects of modern China.Language contact theory holds that outcomes of influence are closely related with theintensity of contact. In general, more intense contact, more borrowed words and structures.For example, casual contact usually has just lexical borrowings, such as nouns, verbs,adjectives and adverbs, but not structural borrowings. However, in the case of intensecontact, anything is possible, either lexical or structural borrowings.As far as Chinese borrowings are concerned, it is not difficult to find that this theoryhas withstood the test. Contact between Chinese and English before the18thcentury, wasnot that frequent, therefore, few words came into English; but things have changed greatlysince19thcentury, especially since the Opium Wars. Chinese words in English haveincreased steadily at a high rate in general but with some differences in particular: phoneticloanwords at a progressive growth rate while loan translations, a multiple one and mainlyin political, economic and cultural areas, unlike the former’s of Chinese “native” and“antique”—this phenomenon is very important, worthy of more attention. Geographically,language contact in Guangdong, Hong Kong, Fujian, and Shanghai happens comparativelyearlier, longer and stronger, accordingly in English appear the spellings of Cantonese,Hokkien and Pidgin.On the whole, Chinese borrowings in English are more lexical (and phonetic loans arein need of naming things), rather than structural which, mainly appear in loan translationsand Pidgin sentences. As a conclusion, it could be drawn as follows: the intensity ofSino-Anglo contact is to some degree between “casual contact” and “slightly more intensecontact.”The study of Chinese borrowings in English brings enlightenments in many aspects, such as Chinese-English translation, vocabulary teaching, lexicography, second languageacquisition and language planning. From the perspective of loanwords, the strategy offoreignization as well as the methods of transliteration and loan translation will providemore opportunities for Chinese words to “contact”, thus favorable for them to enterEnglish. These Chinese vocabularies, especially the cultural-loaded ones, once “going out”,they would play the role as a cultural “messenger” to bridge the gap between the East andthe West and let the world better understand China.更多还原