学 士 学 位 论 文

编号（No.）SFLC2012 200805210207宁夏师范学院外国语学院学士学位论文The Comparative Study of English and Chinese Appellations作者姓名安利宁论文方向文化指导教师王托兄答辩时间2012年5月28日AbstractEvery language and culture has its own appellation form system. Appellation form is not only the identity of a person, but also a symbol of a culture. In this paper, we aim to explore the similarities and differences between Chinese and English appellation forms. The methods adopted in the paper are synthetically approach and generalization. The author concludes that a comprehensive command of appellation forms can help people to understand the differences between Chinese and British culture, so that language learners can overcome communication difficulties resulting from the cultural differences.Key words: appellation forms; differences; cultural rootsCONTENTSI Introduction (1)1.1 The Definition of Appellation Forms (1)1.2 The Classification of Appellation Forms (2)1.3 Significance of the Study (2)II Literature Review (2)2.1 Studies of Appellation Forms by Foreign Scholars (3)2.2 Studies of Appellation Forms by Chinese Scholars (3)III Contrastive Studies of Appellation Forms between Chinese and English (4)3.1 Similarities (4)3.2 D issimilarities (5)3.2.1 Comparison of Name Appellation (5)3.2.2 Comparison of Kinship Appellation (6)3.3.3 Comparison of Social Appellation (6)IV Influence from Different Cultures on Appellation (8)4.1 Chinese Culture (8)4.1.1 Collectivism in China (8)4.1.2 Confucianism in China (8)4.1.3 Clanism in China (9)4.2 Western Culture (9)4.2.1 Individualism in Western Countries (9)4.2.2 Christianity in Western Countries (10)Conclusion (10)Bibliography (12)I IntroductionAppellation form is the word/words used to designate the other person/persons by the speaker. It shows the role which people play in certain communicating background. It also implies the interpersonal relationships between them. Every language and culture has its own appellation form system. Appellation form not only is the identity of a person, but also is a symbol of a culture. The forming, selecting and using of it is affected by socio-cultural factors. Using appellation form appropriately will affect communication. Otherwise it will even lead to the failure of it. Many scholars have done researches on appellation forms. Although each language has its unique appellation form system, the patterns of classifications of English appellation forms and Chinese appellation forms are almost similar. In general, seven types of appellation forms can generally be found: pronouns, personal names, titles, kinship terms, nicknames, no-naming and others.In this thesis, the author considers that appellation forms represent the status and role in relationships of a person in human society and reflect the human relation in a language-specific or socio-cultural environment. Appellation forms can help people recognize their roles in social society, and also build and define the relationship with others. From the appellation forms we can see a person‟s identity, social status, close or distant relations with others and so on. The author thinks that appellation is the word or words used to address a person directly according to their relation among persons or their occupations. Moreover, proper terms of appellation must be reflected a person‟s age, sex, gender, profession and social status.It‟s useful for English learners to use appellation terms properly by comparing and classifying Chinese and English appellation forms and discuss cultural factors which lead to the differences. A comprehensive command of appellation forms can help people to understand the differences between Chinese and British culture, so that language learners can overcome communication difficulties resulting from the cultural differences.1.1 The Definition of Appellation FormsAppellation forms are frequently used and easily observed in our daily life, but how to define this item is a really difficult task because the use of appellation forms involves many factors. Appellation forms are also called address terms, terms of address or forms of address, which can be defined from different perspectives.According to Contemporary Chinese Dictionary (2007: 170), appellation forms are appellations usedin the mutual relations between relatives and other people, as well as to show statues, occupations and so on. While in Longman Dictionary of Contemporary English(2004: 16), it refers to "the correct title or name that you use for someone when you are speaking to them."In the author‟s opinion, appellation is the word or words used to address a person directly according to their relation among persons or their occupations. Moreover, proper terms of appellation must be reflecteda person‟s age, sex, gender, profession and social status.1.2 The Classification of Appellation FormsThere are too many types of appellation forms between English and Chinese. Many scholars have done researches on appellation forms. Although each language has its unique appellation form system, the patterns of classifications of English appellation forms and Chinese appellation forms are almost similar. In general, seven types of appellation forms can generally be found: pronouns, personal names, titles, kinship terms, nicknames, no-naming and others.1.3 Significance of the StudyAppellation is a universal phenomenon in all culture. People are social animals. Everyone has corresponding relations with the people around them. Appellation forms are the cultural symbols of interpersonal relationship, and the signals and bridges to communicate for the daily relationship. Up till now, a lot of researches have been conducted on appellation system from different perspectives, and great achievement has been gained. Yet, there is still large room for people to be engaged in the study of appellation system.The author wants to get three goals through this thesis: First, this thesis can make people know what is appellation briefly. Second, this thesis can help people know the similarities and dissimilarities of appellation forms between English and Chinese. Third, this thesis can give some help for translators and language instructors.II Literature ReviewSo far, there have been numerous linguists and scholars engaged in the field of appellation forms, and a lot of books have been published to discuss and show their viewpoints and researches on appellation forms. Great efforts have been made and glorious effects have been gained.2.1 Studies of Appellation Forms by Foreign ScholarsInterests in the study of appellation systems began with some American anthropologists in their study in the 19th century. The classic and most influential study of appellation forms and the social relationships they reveal this in The Pronouns of Power and Solidarity published by Brown and Gilman(Brown and Gilman 1960:253). By using a variety of methods, such as informal interviews, the analysis of works of literature, and the results of a survey questionnaire, they investigated the use of second person pronoun in French, German, Italian, and Spanish. According to Brown and Gilman (1960), two semantic components operate in selecting pronouns: power and solidarity. When pronouns are exchanged, solidarity between participants is stressed, whereas nonreciprocal usage reflects an unequal power relationship.American linguist Ervin-Tripp (1972) is another influential contributor to the research of appellation forms. In her work Sociolinguistic Rules of Address(Ervin-Tripp 1972:225), she generalizes the relevant researches on appellation forms since 1970s. She lists a number of selectors which might affect the choice of appellation forms. That is, rank dominating age is a determinant factor. In other words, a higher-ranking person is privileged to decide how he/she will be addressed. In a selection on the comparison of appellation systems, Ervin-Tripp mentions variation in appellation behavior within one community. She holds that “a shared language does not necessarily mean a shared set of sociolinguistic rules” .Different groups of people may employ different rules. Ervin-Tripp finally mentions other means of expressing social relationships. Her method of investigating appellation forms can be employed to study the rules of Chinese social appellation forms.2.2 Studies of Appellation Forms by Chinese ScholarsStudy of appellation forms has received considerable attention in China. Chinese scholars also believe that the choice of appellation forms is governed by a number of social factors. These scholars have studies Chinese appellation forms from different aspects. Studies of appellations made by some scholars are briefly reviewed here.In the 1950's, Zhao Yuanren (1956) gave a very detailed description of the appellation system in modern Chinese. Under the general heading of appellation, he described (1) vocatives, or terms of direct address to call persons by, and (2) designative, or mentioning terms, which one uses as part of connected discourse in speaking of persons. He discussed pronouns, proper names, titles and kinship terms. His study is chiefly concerned with the conditions of actual use in various interpersonal relations, the grammatical status of the terms of address and the formal conditions for their occurrence. He gave a very detaileddescription of Chinese appellation system.Chen Songcen (1989) discussed the use of appellation terms and divided them into six main types: (1) kinship titles; (2) occupational titles; (3) rank titles; (4) common titles; (5) despicable titles; (6) names. Her investigation shows that there are two cases in which zero addressing occurs. One case is when the speaker does not know how to address the interlocutor. The other case is when the speaker does know how to address the interlocutor but feels shy to use it. The use of zero appellation forms is a common phenomenon in conversations between strangers in China today.III Contrastive Studies of Appellation Forms between Chinese andEnglishAppellation forms represent the culture of a country. Different country has its unique culture, and culture origin. Because of the unique culture, Chinese and English appellation forms have similarities and dissimilarities. Now, the chapter will introduce the similarities and dissimilarities of Chinese and English appellation forms.3.1 SimilaritiesThe two systems have much in common in the broad sense. Firstly, they are classified in a similar manner. Communicative appellations, relation appellations, post and rank appellations are found in both English and Chinese languages.Second, some terms are similar in the usage, such as, post and rank appellations. In English, academic titles such as professor and Dr. are often employed to address a teacher who is the professor or doctor in a certain department or college. These titles may be used alone or together with surnames, e.g. Dr., Dr. Smith, and Professor Green. But titles such as lecturer, master, bachelor can not be used as appellations. In Chinese we also use similar academic titles to address people, e.g. 李教授, 张博士. We don’t employ titles such as 硕士, 学士to address people either. In another side, we can call a friend to show our intimacy by using his or her first name. For example, in English, we can call John Johnny, Ronald Ronnie, Cecelia Celia, etc. In Chinese often we repeat part of the name to achieve the effect. For example, we call a boy 大明, 明明; 朝东, 东东. In addition, we address people by nicknames to indicate affection in both languages. For example, if a person is fat, then in English, he may be called fatty, while in Chinese we maycall him 小胖.3.2 Dissimilarities3.2.1 Comparison of Name AppellationIn the modern human society, everyone has his own name. As an important part of the appellation terms system, name appellation generally includes family name and given name, the former represents the family; the latter is one or a few words, which represent a person with the surname together in order to distinguish with other people. The two parts have cultural connotation, not only mutually related but also independent. In spoken English, the role of name is to call or refer to others. Both are necessary to the communication. And it is able to distinguish individual from group, as well as another individual.There are too many differences between English and Chinese name appellation. The author thinks that there are three important differences of it.First, the structure of Chinese and western name is different. The general structure of Chinese names is that the surname comes first and the given name second. The general structure of English name is that the given name is first, middle name and family name is second. However, on many occasions, middle name is often omitted to write.Second, the Chinese name always avoids the bad thing of people, and pursues the goodness and beauty. Chinese name always has a good meaning. It means a good wish from the old and avoids badness and ugliness. But in western countries, western name has nothing to avoid.Third, the usage of name appellation is different between Chinese and English. In western, it is not common to call a people by calling his full name. People always call other‟s given name. But in China, it is suitable for people to use the full name, such as classmates and close friends.3.2.2 Comparison of Kinship AppellationKinship appellations are used to name and address one's relatives. They are the reflections of the real relative relationship. Kinship system is human relations system originated from marriage, blood relationship and law. This is not only the main element to manage the individual behaviours, but also the main element to influence the group formation of the society, politics and regions. It is the special creation of human culture.First, Chinese kinship appellation and English kinship appellation come form different systems ofrelatives appellation terms. The Chinese kinship appellation belongs to Sudan relatives appellation. It emphasizes the importance of man so it leads to the imbalance of relatives on the paternal side and the maternal relatives. The English appellation belongs to Eskimo relatives appellation system. It emphasizes the importance of family and it can ensure that family is in a stable situation.Second, there are specific differences between Chinese kinship appellations, but in English, it is not. In Chinese, the appellation must be represented the relationships between people. It is differentiated strictly by direct line or collateral line, elder or the younger, etc. In English, the family name is more general. One word maybe can describe a lot of people. For example, in Chinese brother can mean two positions in the family hierarchy,“哥哥”or “弟弟”,but in English, we can‟t distinguish, we can just guess the brother is the elder one or the younger one.Third, in Chinese it emphasizes the seniority in the family or seniority among brothers and sisters. The younger number of a family can‟t call the full name of the elder. It shows no respect to elders and superiors. But in western countries, it agrees with the equality of everyone. In daily life, English always call their relatives‟ full name except for their parents and grandparents.Fourth, the Chinese name appellation has the unique Chinese feature. It can make people feel kind and warm. In China, children often call their mother or fathers‟ colleagues uncle or aunt. In western countries, the word uncle or aunt just use at the family, children always calls their mother or father‟s colleagues “Mr.”or “Mrs.”3.3.3 Comparison of Social AppellationAs a kind of appellation terms, social appellation is relative to the kinship appellations. It is the recognition for the identity, status, role of the addressee and the relationship between addresser and addressee, and also plays the role of maintaining and strengthening human relationships. In other words, it has a positive effect. For this point, either English or Chinese is the same. However, due to the different cultural backgrounds, the differences between Chinese and western social appellation are more significant First, general social appellation can be widely used by members in the same community. Chinese general appellation includes Tongzhi (comrade), Shifu (Master), Xiansheng (Mr), Nvshi (Ms), Xiaojie (Miss), Nvshimen (ladies) and Xianshengmen (gentlemen), Tongzhimen (comrades) and Pengyoumen (friends) and so on. English general appellation involves Mr., Mrs., Miss, Ms, Sir, Lady and so on. In Chinese, surname should be brought in front of Tongzhi (comrade), Shifu (Master), Xiansheng (Mr), Nvshi(Ms), etc, such as "Wang Xiaojie", "Xu Shifu". But in English, the title like Mr., Mrs., Sir, and Lady is behind the surname. It can be used in formal occasions, for serious relationships or strangers, and also for people with different ages and identities.Second, professional appellation refers to the appellation used in communication based on people‟s social status, such as position, professional title, academic title or other titles. In Chinese, the words showing social status like occupation, position and professional title are popular to address. For example, Laoshi (teacher), Yisheng (doctor), Jingli (manager), Jiaolian (coach), Jizhe (journalist), Lvshi (lawyer), Jiaoshou (professor), Gongchengshi (engineer), Kuaijishi (chartered accountant) , Boshi (Doctor), Shuoshi (master) and Xueshi (bachelor) ,etc.In China, we always use these professional appellations by added people‟s name, such as Wang Laoshi (teacher), Xiaoyan Laoshi, Wang Xiaoyan Laoshi. In western countries, the professional appellation is limited, such as, president, prime ministers, minister, governor, professor, teacher and doctor, etc. So, we can‟t to find the same meaning in English professional appellations to represent Chinese professional appellations. In addition, it can be used in the form "title plus the family name" or "title plus the first name" like Queen Elizabeth, President Clinton, Father White, Colonel Quail, Judge Black and so on.Third, Chinese people often use some unique appellations to express intimacy or respect, such as 老，小, e.g. 老王，小李，王老，etc. These kinds of appellations don‟t exist at all in English. In addition, some kinship appellations are used to achieve similar effects. It is used so widely that everyone will address their colleagues and friends. But in the West Country, it is not always to address people other than family numbers by kinship appellations. For example, children will call their friend‟s fathe r Mr. Green or just address them by full name. If the two families are very intimate, then the children may employ the form uncle/ aunt to address adults. However, adults can only use the traditional appellation forms Mr., Mrs., Miss + Surname.IV Influence from Different Cultures on AppellationLanguage is the supporter of culture. Chinese and English appellation is different because of their different cultures.4.1Chinese CultureThe above analysis shows that Chinese social appellation system differs greatly from that of Englishsystem in many aspects. Appellation system is an important part of language. It is also the reflection of interpersonal relationship, which is influenced by cultural patterns in a certain society. Different cultures may also have different basic principles.Chinese culture and English culture display sharp contrasts in many aspects. Chinese cultural orientation is the idea of Confucianism and clanism. However, English cultural orientation is the concept of individualism and equality. In the following part, two different cultural patterns and different interpersonal relationships will be studied in detail. Furthermore, the influence of them on appellation system, especially on social appellation system will be examined.4.1.1 Collectivism in ChinaIn China, people always emphasize the collectivism. They think that man lives in the society and man can‟t live without the society. Chinese people always think family and society is a whole group. Family and society is a good expression of collectivism. Chinese defines human being as the formation of social relations rather than an independent existence. . A person may perform various social roles in a society. For example, 王大明, manager of a company, he may be called 王经理, 王先生, 老王, 大明哥, or even 大哥by different persons. This may be the important cause of the complexity of Chinese social appellation system.4.1.2 Confucianism in ChinaConfucianism has been dominant for long time in China's traditional ethics. Therefore during two or three thousand years in China in the history of feudal patriarchal society, people think highly of blood relations and emphasize on level differences, advocate respecting the old and loving the young. The key viewpoints of Confucian ethics are: …ren 仁‟ (benevolence); …yi 义‟ (righteousness); …li 礼‟ (propriety); …zhi 智‟ (wisdom); …xin 信‟ (trustworthiness or integrity); …xiao 孝‟ (filial piety). All the principles and doctrines of Confucianism can be gener alized into a saying …San Gang Wu Chang 三纲五常‟. Courtesy is the first important principle which people are required to observe in their behaviors. The more powerful should be clearly distinguished from the less powerful. Chinese people all pursue and abide by the power and authority. So in Chinese appellations, people always call others by considered the power and authority strictly. It is a good representation of respect and politeness.4.1.3 Clanism in ChinaAnother important factor of Chinese culture is clanism. It is a representation of Lunli doctrine inChinese families and societies. In clanism, a family was the basic social unit .The father was the head of his family and his wife and children must be controlled by the father. He was the law of the family in the same way as the emperor was the law of the state. The whole country was like one big family. The emperor was regarded as the head of the big family or the country. The officials were considered as 父母官（parent officials）, and the people were the children or 子民（children masses）. Individual person had no independent personality and legal status. Chinese people have a strong sense of class and obedience under its influence.Clanism has influenced Chinese people and language a lot. The influence on the social appellations is very obvious. For example, as family is an important unit in China, people tend to address people family or other family members by kinship appellations such as 大妈, 大爷, 叔叔, 阿姨to shorten the distance and express intimacy. Consequently it is an honor to be called by such titles. This accounts for why there exist so many post and rank appellations in Chinese.4.2 Western CultureWestern culture is different from Chinese culture. In western culture, people emphasize the individualism. They believe everyone is independent in the world. They also have the influence from Christianity. Westerners believe that the world is composed of three levels of existence. Now the author will introduce how the western culture influences the English appellation forms.4.2.1 Individualism in Western CountriesIn English culture, Americans emphasize the individualism. It includes self-existence, self-expression, self-realization, self-awareness and personal independence. Americans usually regard themselves as an independent thing which is separated from other people and the whole world. Americans also highlight equality and independence. Every one has the equal right to be free, to compete, to pursue power and money, to share all the rights and obligations stipulated in the constitution. No one is born superior to any one else. With efforts and abilities, every one can make success. They believe that individual activity is much more important than the contact with other members in the group. At the same time, in order to show equality between family members, first name can be addressed in family members. In China, it is not polite to call the senior‟s name directly but in western countries it is an expression of respect and love. Another example, in western countries, after getting marriage, the female would change her surname to her husband‟s. it is not to show that the female is subjected to her husband but just to signify that she has gotmarried, but in China, people emphasize the equality between males and females. So after getting married, the female still keeps her own surname. In general, the special American culture generates the special appellation forms system in American English.4.2.2 Christianity in Western CountriesIn the American or English culture, people admire individuality for the deep influence from Christianity. Westerners believe that the world is composed of three levels of existence. The highest is God. The lowest is the material nature such as the mountains, rivers, animals, plants, etc. In the middle are human beings. On one hand human beings are the creation as well as the servants of God. On the other hand, they are the owners of the nature. This thought makes it possible for people to believe a person‟s existence has no relationship to others. The western people think that children and parents in the family are equal, students and teacher also enjoy the equal relationship in the school, and even the students are regarded as the center. In many areas they relatively respect and promote the spirit of equality, which is shown in appellations in a unique way, especially in the face to face address that they often directly call addressee their first name in order to show the speaker equal relationship.In China, people always believe that when you call someone, you must think highly of their status or their class. But in western countries, people believe that everyone is equal, and name is just an appellation. Maybe it is the most important reason to make the differences between Chinese and English appellations. ConclusionChinese and American English are two major languages in the world that represent the eastern culture and the western culture. Appellation forms are the first level and the most basic content of verbal communication.Due to different cultures, histories and social systems, habits of Chinese and English address terms are different. There are similarities and dissimilarities between the appellation system in Chinese and the appellation system in English. Choosing which kind of appellation forms and which way to use is influenced and limited by its cultural background. Chinese culture is typical. Traditional social structure is based on the blood ties to maintain the patriarchal society. Family and country have the same structure. However, English culture is typical commercial culture. Traditional social structure is the city-state system which based on property and contract. Social relations are equal or parallel. The fundamental value is individualism. 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