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汉语中“有VP”结构的语法化理论视角研究硕士学位

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分类号硕士学位论文

The Study of the Chinese Construction “you+VP” from

the Perspective of Grammaticalization Theory

汉语中“有+VP”结构的语法化理论视角研究

学科、专业：外国语言学及应用语言学研究方向：认知语言学申请学位类别：文学硕士申

请

人：孙焕焕

二〇一二年二月

指导教师：刘辰诞教授

The Study of the Chinese Construction “you+VP” from the Perspective of Grammaticalization Theory

汉语中“有+VP”结构的语法化理论视角研究

A Dissertation Submitted to the Graduate School of Henan University in Partial Fulfillment of the Requirements

for the Degree of Master of Arts

By Sun Huanhuan

Supervisor: Prof. Liu Chendan

February, 2012

Abstract

The present study is mainly about a Chinese language phenomenon, the “you + vp” construction, and takes the grammaticalization theory as the theoretical basis and theoretical perspective to have a theoretical and systematical explanation of the grammaticalization process of “you”, and has a general concluding on the characteristics of grammaticalization of chinese.

In modern Chinese, the usage of “you” has changed a lot, for example, in cases like

我有吃饭。(wo you chi fan.), 他有来。(ta you lai.), the usage of “you” is totally different from its original usage as a possessive verb which means possession and existing. In these cases, which is seen as the “you + vp” construction by the author, “you” has the grammatical function, and the grammatical category it belongs, the meaning sense it conveys both have changed a lot. The other reason for choosing this language phenomenon as the object of study is that whether in ancient Chinese or in modern Chinese, “you” plays an important role as a high frequency vocabulary and people are very familiar with this word, so even the smallest change about the word will be caught by language researchers and put this on the studying level. Therefore, recently, especially after the western linguistic theories are brought into our country, many more researches on “you + vp” construction begin to appear. Different people have different explanations about this phenomenon. However, their researches are partial to be descriptive, which are lack of the theoretical basis and theoretical analysis.

Based on this, especially on the plenty descriptions and studies of this linguistic phenomenon by previous scholars, this thesis tries to have an all-sided and systematic study on the question of the grammaticalization of “you”, using the grammaticalization

theory. This is the orientation of this thesis.

The theoretical basis of this thesis is the grammaticalization theory, especially the applying of the reanalysis mechanism and analogy mechanism of this theory. Among the various schools of linguistic theories, grammaticalization theory is one of these that take the synchronic and diachronic change of the language as their object of research.

grammaticalizaion is “the attribution of grammatical character to an erstwhile autonomous word” (Meillet 1912:131; Hopper and Traugott, 2003: p.19). Strictly speaking, what is grammaticalized in this process is not the word itself, but the whole system of structures and usages about this word. The grammaticalization process is an unidirectional one, that is from a content word to a grammatical one, from a grammatical one to a more grammatical one.

The reanalysis and analogy are the two important internal mechanisms in the grammaticalization of content words which works at the different stages in the grammaticalization process and together put forward this process. Reanalysis, which always happens in the early stage of the grammaticalization process, causes the change of the sentence structure which is shown clearly in the bracketing of the sentence. The change caused by reanalysis is a covert one which can not figure out in the surface, but things behind the words, the structure, the constituents and the usage, the function of some words have all changed. On the contrary, changes caused by analogy are overt. Changes about this kind are based on some certain rules and inferred under these rules, so we also call this mechanism the rule generalization. The analogy makes the changes caused by the reanalysis obvious in the surface of language. In the process of the grammaticalization of a certain content word, the reanalysis and analogy may not happen only one time or two, but many times maybe. The detailed contents about reanalysis and analogy are in chapter three.

In chapter four, the author has a general description and classification about “you + vp” constructions. The author describes the usage change of “you” synchronically from ancient Chinese to modern Chinese. These usages are divided into usages of “you” in ancient time and usages in present Chinese. The purpose of this description is to let people have a general understanding about the synchronic change of “you”, and also lay the foundation for the following analysis.

Chapter five is the central part of this thesis. In this part, the author gives a detailed analysis of “you + vp” in the theoretical level. The analysis is going from the perspectives of reanalysis and analogy, and the whole grammaticalization process is shown out. According to the analysis, in the grammaticalization of “you”, there are two obvious times of reanalysis and two obvious times of analogy. Even though these are seemed obvious changes, they are also based on the several times of minor changes.

In this process, at the work of analogy, “you” can not only be followed by noun phrases, but also can be followed by the nominalized verb phrase, and then can also be followed by verb phrase. But in this time, the status of “you” as a main verb in the sentence has been weakened and grammaticalized a lot. Through the work of reanalysis, “you” becomes a bound morpheme with empty meaning in the one aspect, like in “有待”, “有违”; and an auxiliary used in the perfective aspect of verbs in the other aspect. The concrete analyzing process is in chapter five.

As a conclusion, the author points out in chapter six that in this thesis, through plenty of descriptions and studies on “you + vp” construction, and under the grammaticalization theory, especially the applying of reanalysis and analogy mechanisms， the analysis is going in steps and logically, and gives out the reasoning and explanation of its own about the whole change of the linguistic phenomenon.

III

Based on this analysis, there are two characteristics of the Chinese grammaticalization found in this thesis, which are: language change is of no relation to the change of the word form; and the change of Chinese language is meaning centered. What’s more, on the method of reasoning, the author propose that we’d better take the analysis from two levels, which means explaining the situation of change from meaning level and structure level respectively.

In one word, this thesis is working on the explanation of “you + vp”, this Chinese construction, from the perspective of grammaticalization theory. And the author hopes this study is of, even a little help to the research of the language change of Chinese.

Key words: “you + vp” construction; grammaticalization theory; reanalysis; analogy

摘要

本论文主要研究“有+vp”这一汉语语言现象，运用语法化理论作为理论基础和理论视角，对“有”的语法化过程进行理论性和系统性的释解，并对汉语语法化的特点做一简要概括。

在现代汉语中，“有”一词的用法发生了变化，如在例句“我有吃饭。”“他有来。”中，“有”的这一用法不同于“有”作为领属动词表领属和存在的用法。在这些用法中，这里表示为“有+vp”结构，“有”有了语法功能，而且其所属此类、所表意义亦发生了很大变化。再者，无论在古汉语或是现代汉语中，“有”都作为一个高频词汇发挥着重要作用，为人们所熟知，所以是关于此词的即便是细小的变化都能为语言研究者所捕捉得到，进而提到研究的层面上来。因此，近来，对“有+vp”这一语言现象的研究举不胜举，各位语言学者各抒己见，一时呈现出繁多之景象。但此类研究大都偏向描述性分析，缺乏一定的理论支撑和理论性分析。

本论文的研究目标是在前人研究的基础之上，特别是在前人对此现象的大量描述和分类的基础之上，尝试运用语法化的理论视角来对“有”的语法化现象做全面系统的研究。

以上内容在论文的第一章都已做详细交代，此外作为本论文的理论基础和实践基础，在论文第一章中也做了简要讲述。

本研究的理论基础是语法化理论，特别是对该理论中重分析机制和类推机制的运用。在众多语言学理论中，语法化理论是其中的以对语言的历时和共时的变化为研究对象的。

语法化就是之前的词现在拥有了语法用能，有了功能词的特点(Meillet 1912, Traugott and Hopper 2003: 19)。严格的来说，在这个过程中，语法化的并不是一个词，而是有关这个词的结构和用法的整个体系。语法化的过程是一个单向性的过程，即由实词到功能词，从一般功能词到更为虚化的功能词。

重分析机制和类推机制是实词语法化重要的内部机制，此两种机制作用在语法化过程中的不同时期，共同推动着语言的语法化进程。重分析一般发生在语法化进程的早期，它使语言在表面结构上发生了变化，这一变化明显的体现在对句子进行成分分析之上。重分析是一种隐性的变化，即从虽然句子表面看不出哪些变化，但是文字背后的结构，

成分，以及一些词的词性用法均已发生变化。类推是一种显性的变化。它其实是在一定规则的前提下，并运用此规则来推断出之后的变化，所以也称作规则的泛化。类推使那些由重分析引起的变化得到了表面上的显现。在一个词的语法化过程中，重分析和类推的作用有可能不是一次两次，也可能是很多次的。关于有关语法化和重分析，类推机制的具体内容，详见第三章。

第四章，笔者对“有+vp”结构做了单独描述和分类，历时性的对“有”的用法的改变从古到今进行了描述。此描述是通过对不同时期文学作品中“有+vp”结构的例举来实现的，并把“有”的用法分为“有+vp”在古汉语中的用法和“有+vp”在现在汉语中的用法。此描述的目的是为了使人们先对“有”的历时变化做一大致了解，也为下文的分析部分打好基础。

第五章是论文的核心部分。在此部分，作者对“有+vp”从理论层面做了详细的分析。分析分别从重分析和类推角度把“有”的语法化过程展示出来。分析指出，在“有”的语法化过程中，有过两次明显的重分析过程和两次类推过程。其实即便是这些看似明显的过程也是建立在无数细微变化的积累之上的。

在此过程中，通过类推，“有”后面不止可以加指物类名词，也可接名动词，进而也可以接动词词组，但此时“有”的动词地位被削弱，有了明显的虚化现象。通过重分析，“有”一方面成了一个无实际意义的黏着词，如“有待，有违”，另一方面“有”成为了助词用在动词前表示完成体。详细分析过程请见第五章。

作为总结部分，在第六章笔者指出，本论文通过对“有+vp”这一现象的大量研究和描述，借助语法化理论，特别是对重分析和类推机制的运用，有步骤有逻辑地进行了详细的分析，对于这一语言现象的变化始终，本文将给出具体的论证和解释。

在此论证过程中，本人得出了两点汉语语法化的独特之处，即语言变化无关乎字词本身形式的变化和汉语语言变化以意义变化为中心的观点。除此之外，在论证方法上，本人提出了分层论述的方法观，即从语义层和句法结构层分别阐述变化情况。但由于研究的不足，此理论分析还需进一步巩固和扩展，对语法化理论本身的运用尚需深化。

本论文致力于对“有+vp”结构这一汉语语言现象的语法化理论视角释解和论证之上，也希望此研究能对研究汉语语言变化的语言学研究方面做出片瓦之贡献。

关键词：“有+ vp”结构，语法化理论，重分析机制，类推机制

Contents

Abstract ...................................................................................................................................... I 摘要 ....................................................................................................................................... V Chapter One Introduction ....................................................................................................... 1

1.1 Orientation ............................................................................................................ 1 1.2 Rationale ................................................................................................................ 2

1.2.1 Theoretical Basis of the Study ............................................................. 2 1.2.2 Practical Basis of the Study ................................................................. 3

1.3 Theoretical Framework ........................................................................................ 5 1.4 Research Questions ............................................................................................... 6 1.5 Methodology and Data Collection ....................................................................... 7

1.5.1 Methodology of the study ..................................................................... 7 1.5.2 Data Collection ...................................................................................... 8

1.6 Conclusion ............................................................................................................. 8 1.7 Structural Organization ..................................................................................... 10

Chapter Two Literature Review ........................................................................................... 12

2.1 Studies on Grammaticalization of Content Words in China .......................... 12

2.1.1 Earlier Research about Abstraction ................................................. 12 2.1.2 Modern Research on Grammaticalization of Content Words ....... 13

2.2 Studies on Grammaticalization of Content Words Abroad ............................ 15

2.2.1 Earlier Research on Grammaticalization ........................................ 15 2.2.2 Later Research on Grammaticalization ........................................... 16 2.2.3 Recent Trends of Research on Grammaticalization ....................... 17

VII

2.3 Researches on the Grammaticalization of “you” at Home and Abroad ........ 18

2.3.1 Studies on “you” in Ancient Chinese ................................................ 19 2.3.2 Studies on “you” in Modern Chinese ................................................ 20

2.4 Summary .............................................................................................................. 21

Chapter Three Theoretical Framework ............................................................................... 22

3.1 Introduction ......................................................................................................... 22 3.2 Grammaticalizaion Theory ................................................................................ 22

3.2.1 Definition of Grammaticalizaion ....................................................... 22 3.2.2 Principles of Grammaticalizaion ....................................................... 24 3.2.3 Mechanisms of Grammaticalizaion .................................................. 26 3.2.4 Pragmatic Factors .............................................................................. 31 3.2.5 Grammaticalizaion across Clause ..................................................... 33

3.3 Some Important Concepts .................................................................................. 34

3.3.1 Language Change ............................................................................... 35 3.3.2 Abstraction(虚化) ............................................................................... 35 3.3.3 Grammaticalization ............................................................................ 36 3.3.4 Conclusion ........................................................................................... 36

3.4 Summary .............................................................................................................. 36

Chapter Four Study on the Chinese Verb “you” ................................................................ 38

4.1 Introduction ......................................................................................................... 38 4.2 The Usage of “you” in Ancient Chinese ............................................................ 38

4.2.1 “you” Followed by Noun phrases ...................................................... 38 4.2.2 “you” Followed by Verb and Verb Phrase ....................................... 39 4.2.3 Other Usage of “you” ......................................................................... 43 4.2.4 Conclusion ........................................................................................... 43

VIII

4.3 The Usage of “you” in Modern Chinese ........................................................... 43

4.3.1 “you” as a Content Word ................................................................... 43 4.3.2 Special Usage of “you” in “you + VP” .............................................. 44

4.4 The Characteristics of the Usage Change of “you + VP” ................................ 46 4.5 Summary .............................................................................................................. 47

Chapter Five The Analysis of “you + VP” under Grammaticalization Theory ............... 48

5.1 The Reanalysis of the Construction “you + VP” .............................................. 48

5.1.1 “you” Reanalyzed to be a Bound Morpheme ................................... 48 5.1.2 “you” Reanalyzed to be an Auxiliary Used in Perfect Aspect ........ 54

5.2 The Analogy of the Construction “you + VP” .................................................. 57

5.2.1 “you + VP” in Ancient Chinese ......................................................... 57 5.2.2 “you + VP” in Modern Chinese ......................................................... 60

5.3 The Pragmatic Factors of the Usage Change of “you + VP” .......................... 61 5.4 The Characteristics of the Grammaticalization in Chinese ............................ 62 5.5 Summary .............................................................................................................. 63

Chapter Six Conclusion ......................................................................................................... 65

6.1 Summary of the Present Study .......................................................................... 65 6.2 Main Findings of the Thesis ............................................................................... 66 6.3 Theoretical Implications of Present Work ....................................................... 67 6.4 Limitations of the Present Work and Suggestions for Future Research ....... 68

Bibliography ........................................................................................................................... 70

Chapter One Introduction

1.1 Orientation

In our daily life, the author finds that people always use expressions like these to communicate with each other:

我有吃饭。他有来。

“you” looks special in these cases, because “you” is a common used word in modern Chinese and it is mostly used as a content verb which means existing, possessing, like in：

山上有一座庙。我有一本书。

However, here “you” don’t have these concepts. In the author’s point of view, “you” in these cases is an auxiliary, with the function of expressing perfect aspect. It has the sense of conveying the “have happened” of the event expressed by the following verb phrase.

The hypothesis about this is that this kind of usage of “you” is the result of the grammaticalization of this word.

In modern Chinese, there are also phrases about “you” as in: 有劳, 有请, 有失(矜持), 有待, and so on. “you” in these cases do not have the concrete meaning and used as a bound morpheme in these disyllable words.

These three kinds of usage of “you”:

(a) “you” as a content verb means existing, possessing;

(b) “you” as an auxiliary expressing perfect aspect; (c) “you” as a bound morpheme in the disyllable words.

They co-exist in modern Chinese, and the last two kind of usage are the results of the grammaticalization of “you” in its different stage.

Therefore, in this thesis, the central work is to study this grammaticalization process of “you” and this study is based on the grammaticalization theory, which is a theory about the language change, especially about the grammaticalization or functionalization of the former content words to the present grammatical or functional elements.

So the aim of this thesis is mainly to study the grammaticalization process of “you” from the perspective of grammaticalization theory, especially from the perspective of reanalysis and analogy.

1.2 Rationale

1.2.1 Theoretical Basis of the Study

Wilhelm von Humboldt, the German philosopher and humanist, proposed the most sophisticate speculations about the origins of grammar. “He suggested that the grammatical structure of human language was preceded by an evolutionary stage of language in which only concrete ideas could be expressed. Grammar, he suggested, evolved through distinct stages out of the collocation of concrete ideas (Humboldt 1825).”(Traugott and Hopper 2003:19)

George von der Gabelentz did much research on the root source of grammatical forms and their evolution. In his survey, he pointed out that the linguistic forms were the employees of a certain state; they were hired, promoted, put on half-pay, and finally retired, while other new forms queue up for jobs (Gabelentz 11: 241). He proposed

that there were two tendencies leading to the grammaticalization, one was towards to the ease of articulation and the other was to the distinctness, and this grammaticalization process was a cyclical process, not a linear one. (Traugott and Hopper 2003:21)

Antoine Meillet, the French linguist, was also among the first scholars who started to study the grammaticalization and he coined the term “grammaticalization” to designate that the grammatical morphemes were developed from the earlier lexical formatives. “It was also anchored in a more positivistic view of language, which stress regularity in linguistic change and systematicity in synchronic description. Meillet (1912) describes how new grammatical forms emerge through two processes, one is analogy, whereby new paradigms come into being through formal resemblance to already established paradigms; (an example of analogy in recent English would be the replacement of the plural shoen by shoes through analogy to such established plurals as stones.) the second way is through grammaticalization, “the passage of an autonomous word to the role of grammatical element” (1912: 131).”(ibid)

Traugott and Hopper (1993, 2003) gave the systematical research of grammaticalization theory in their works Grammaticalization based on the research of the former scholars. They proposed that the internal mechanisms of the grammaticalization were reanalysis and analogy and they were not worked separately, but effected the grammaticalization of the language together, and they were not worked only one time in this process, but maybe many times at different stages in this process.

1.2.2 Practical Basis of the Study

Language is changing all the time. Many new expressions appear while the old ones will be displaced and disappear from the present language system.

The grammaticalization is one part of the change. However this part attracts many

linguists to study this changing process and what is reflected behind this change. Through this way, people can have a deep understanding of our languages.

Until now, there are many linguists in this field, and many ways of explanation of the change are proposed.

In this thesis, the author also focuses on the language change. This change is about the grammaticalization of the lexical word to the functional word. Like in:

(a) 我有一本书。 (b) 山上有一座庙。 (c) 我有吃饭。

In (a), “you” is a lexical word, a content verb, which means the possessing of something by person expressed by the subject in this sentence. In (b), “you” is also a content word meaning the existing. “you” in (c), does not have the sense of possessing or existing, but relates to the happening of the action expressed in the sentence, and “you” here has the function of an auxiliary’s used in the perfect aspect. In this sense, the function of “you” has changed, or we can say until now a new function of “you” appears.

In ancient Chinese, this kind of usage of “you” didn’t exist, but the time sense was displayed sometimes, like in:

燕人，其妻有私通与士.

Here, “you” has the time sense, and we can replace it with “曾经”, a temporal adverb. In this case, the constituent after “you”, the “私通” , is a nominalized verbs, so in the surface it is a “you + nominalized verb phrase” construction. This sense aspect of “you” was salient in the latter time and the result of this change was that “you” became an auxiliary in forming the perfect aspect.

On the other hand, “you” also has experienced another way of grammaticalization.

As in: 有劳，有请，有失，有赖，有待, “you” is a bound morpheme with empty meaning. This is also another result of the grammaticalization of “you”.

The grammaticalization of “you” from a content word to an auxiliary; and from a content word to a bound morpheme in another way is a long and complicate process with the works of reanalysis and analogy, with the influence of pragmatic factors and many other kinds of strength.

1.3 Theoretical Framework

In this thesis the author will use the grammaticalization theory to explain and display the grammaticalization process of “you”.

Grammaticalization theory is an influential theory in the field of language change. Briefly speaking, it is a theory about how the lexical words or phrases gradually become the grammatical forms, taking the grammatical functions in its present use. Just as Meillet mentioned in his works, the grammaticalization was “the attribution of grammaticalization character to an erstwhile autonomous word.”(Traugott and Hopper 2003: 19).

This grammaticalization process is a cline both in historical and synchronic directions and this chine of grammaticality can be shown as:

Content term > grammatical word > clitic > inflectional affix

As a matter of fact, the content that is grammaticalized is not the lexical word itself, but the whole system related to this word. In grammaticalization, this process is unidirectional: from content to grammatical, from grammatical to more grammatical. This is an important principle of grammaticalization theory.In this theory there are several other principles, like generalization, decategorialization, specialization, divergence, renewal, layering, frequency and so on.

The central part of this theory is the grammaticalization mechanisms that promote this changing process. There are two grammaticalization mechanisms: the reanalysis and analogy. They are together to influence the grammaticalization of content forms.

Reanalysis causes the change of the surface structure of the language while analogy causes the change of the rule, and makes the changed rule generalized.

A famous example about reanalysis is: traditionally, “back of the barn” is analyzed as:

[[back] of the barn].

After the reanalysis, the structure of the phrase changes as: [back of [the barn]].

“back” which is a former content word is grammaticalized to an adposition in a complex prepositional construction, and the boundary assignment of this phrase also changes.

As for analogy, a simple example that can be taken is: cat: cats = idea: X X = ideas

It is a kind of proportion or equation. Through this way, the rule is generalized, and this kind of change is obvious.

In Traugott and Hopper’s research, they not only study the case of words and phrases, but also expend their sight to the clause and across clause.

1.4 Research Questions

In order to make the aim of this thesis set in the beginning come true, the author gives several questions under this study object and this theoretical framework. The research questions are as follows:

(ⅰ) How does the content word “you” grammaticalize? How do the structures related to “you” change and effect, along with the grammaticalization of “you”.

(ⅱ) How do the grammaticalization mechanisms: reanalysis and analogy work in this grammaticalization process?

(ⅲ) what are the grammaticalization characteristics of Chinese from the case study of “you + vp” construction?

The above are the questions that we will mainly solve in the latter parts.

1.5 Methodology and Data Collection

1.5.1 Methodology of the study

In this thesis, we start with a language phenomenon, like 我有吃饭。他有来。

I take structures like these as “you + vp” constructions expressing a kind of perfect aspect. Here “you” is not a possessive verb any more; it is a functional word, an auxiliary. Then we have a question of how this word has become what it is now. I will start my explanation from the Grammaticalization theory. In this theory, the sources of functional words have two mechanisms: reanalysis and analogy. In most cases, these two mechanisms are not work separately, they influence each other.

In “you +vp” construction, there are both reanalysis and analogy. Firstly, in this construction, the word “you” cannot exist as a separate constituent. Traditionally speaking, there are two verbs now, as in “我有吃饭”, the “you” and “chi” are both verbs here, but we can find that the “chi” is in a more important position in this sentence, because this verb has expressed the central meaning of this sentence, an event. “you”

here just as a auxiliary element, to modify the happening time and state of the action expressed. So here, the sentence structure has been reanalyzed. Traditionally, people are commonly put the “chi fan” as noun-verb, so it can appear behind the content verb “you” taking the accusative case together like a noun. After the reanalysis, the “you” and “chi” are reanalyzed together as the predicate part, and “you” here is an auxiliary to mean the perfect aspect.

The analogy mechanism also played its part in this changing process. Here, the analogy existed both in meaning and form, these two levels, and the meaning change caused the form change. I will do this explanation in detail in the succeeding chapters.

1.5.2 Data Collection

The data and materials in this thesis are mainly from the internet, the literature works, the data in other articles, and collected in the daily life by the author, and so on. So this language phenomenon is relatively common in language use. And this kind of use, the “you +vp” construction is relatively more common in the South of China, so when you watch the TV programs of the South, you will hear this language phenomenon so frequently.

Although most of the data and materials are from the research papers of other people, they are analyzed from a totally different perspective. In order to meet the need of the study, these data will be classified in a different way and analyzed differently. For the purpose of preciseness in this study, the source of these data is marked clearly in the article and in the bibliography to show the author’s respect and thanks.

1.6 Conclusion

As we have said above, although we have many research results on the change process of the construction “you + vp”, and the change of the characteristics of the word

“you”, from a content possessive verb to an auxiliary to express the perfect aspect, these researches are mainly about the descriptive aspect of the study. Now, this thesis try to study the object in an explanatory way under the Grammaticalization theory, and the central point in this paper is to explain the mechanisms of this kind of change, that is, why the verb and verb phrase can appear behind the word “you”, which we regarded as a content possessive verb before, and how this content verb changes to an functional word, to an auxiliary.

Through this way, we can be cognizant of the explanatory power of the Grammaticalization theory for the one hand, and for the other hand, we can find out the special Grammaticalization characteristics of the Chinese, from this case: the Grammaticalization processes of the word “you”.

In the end of this thesis, the author expects to get these conclusions:

(ⅰ) the present usage of “you” as an auxiliary used in perfect aspect and is the result of the grammaticalization of “you”. The grammaticalization of “you” is under the work of reanalysis and analogy. This grammaticalization process has several stages.

(ⅱ) from the case study of “you + vp”, the author points out the characteristics of Chinese grammaticalization: the grammaticalization of Chinese word is of no relation to the word form, which is not the same case in English (such as, go > gonna). What’s more, in Chinese, the meaning change is decisive for the grammaticalization. When one sense aspect of the word is salient, structures about the word in this sense will change at the same time.

(ⅲ) the meaning change and structure change effect each other in the grammaticalization process, so the analysis should not only be carried out in the meaning level, but also in the structure level separately. Only through this way, the grammaticalization process of the word “you” can be shown and explained clearly.

1.7 Structural Organization

The central thought of this thesis is the question of grammaticalization, and generally speaking it is the topic about language change. This change is not only related to the meaning part, but also changes about the language structure.

The object of this thesis is about the changing process of “you + vp” construction. Through the description and classification of the use of “you + vp”, we will start to analyze this changing process and put the analysis foreword under the theory which studies the language change — the grammaticalization theory. This analysis will go in steps and logically.

The concrete organization of this thesis is as the following. Apart from the introduction part, in chapter two we will discuss the literature review about the study of grammaticalization of content categories both in China and abroad, from the early time to the present research, and also about present studies on “you + vp” construction and the grammaticalization of “you”. The next chapter is the theoretical framework. In this chapter we mainly introduce and explain the grammaticalization theory. It concludes the origination and the important concepts about grammaticalization theory, like its definitions, principles and mechanisms. The two mechanisms: reanalysis and analogy are more focused about the language change. The follows in this part are other factors about the language change, and some related concepts are also discussed.

Chapter four is the study of “you + vp” construction both in ancient Chinese and modern time. The change of its use has been described clearly, with many examples. The fifth part is the most important part and it is also the central point of this thesis. The analysis of the change of “you + vp” construction under the grammaticalization theory is carried out in this chapter. The reanalysis and analogy study of this construction

displays the method of the reasoning and analyzing. And the pragmatic influence is also essential to this kind of change. In the last we get the conclusion of the features about the Chinese grammaticalization.

The last chapter is the concluding part, which points out the main findings and the implications of this study, and also the present limitations and suggestions for the future study are indicated.

Chapter Two Literature Review

The study on the grammaticalization of content words or the shi ci xu hua (实词虚化) in Chinese has been such a long time, both in our county and in other foreign countries.

Maybe the motivation of the appearance of researches on grammaticalization is when people start to notice the fact that why some words are taking the grammatical function while they also belong to the group of lexical or content forms at the same time. These co-existing phenomenons are easily caught to the research by people.

2.1 Studies on Grammaticalization of Content Words in China

The study of grammaticalization has also been a long period in China, and the researches are totally about the Chinese, from the ancient to the modern Mandarin, and also include various kinds of dialects.

2.1.1 Earlier Research about Abstraction

In the ancient time of China, the study of the grammaticalization was called abstraction, and in Chinese, we call it “shi ci xu hua”.

As we all know, the China has a long history of literature and culture, and we also have plenty of written works, which provide abundant research materials for the scholars. The early research stage in this area is to differentiate the content words from the grammatical words, and the representative works in this time is Lu Yiwei’s Zhu Yu Ci in Yuan Dynasty (Xiang Mingyou＆Huang Lihe 2008). As the first research book of the empty or grammatical words study, it has differentiated and explained the

grammatical words very systematically and started the comprehensive research on the grammatical words.

The next stage is the development of the abstraction. Actually, the abstraction had been mentioned in very early period, like in early Song Dynasty. In 13 century of Yuan Dynasty in China, the concept of “abstraction” had been proposed clearly, in Zhou Boqi’s works Liu Shu Zheng Wei. The significant works in this period is Yuan Renlin’s On Grammatical Category. (ibid) It had talked about the source of some grammatical words, and the forming process of “content word→half grammatical word→grammatical word ”, and the thought of reanalysis had also appeared in this research. We may think it is a coincidence, but if we see it from the characteristics of the language change, it can also be put in this way that people in early China has touched, to a certent extent, the soul of grammaticalization.

2.1.2 Modern Research on Grammaticalization of Content Words

The study of abstraction lasts a relatively long period, and many classic works appeared, which had given a solid foundation of the development of grammaticalization research in China, and also had provide the various material for the following study.

The modern grammaticalization researches began in 1990s. This kind of research was started by two language researchers in China, Shen Jiaxuan (1994) and Sun Chaofen (1994). They published their papers in Foreign Language Teaching and Research and Foreign Linguistics to introduce the foreign grammaticalization theory and its new research achievements. From then on, the linguists and researchers began to absorb the foreign theories and used them to study Chinese.

Liu Jian (1992) tried to begin to sum up the grammaticalization mechanisms of Chinese theoretically, on the base of existed theories and researches on Chinese home

and abroad. Sun Chaofen, (1996) in his book The Word-Order Change and Grammaticalization in Chinese History, firstly analyzed the evolution of Chinese grammatical markers using grammaticalization theory, such as “liao (了)”, “ba (把)”, and so on (Song Yanxin 2008).

Many other linguists had also done many researches on the grammaticalization of Chinese, and the researches were mainly about the functional words and aspect markers, like Shi Yuzhi (2000, 2006), Wu Fuxiang (2005), and so on and so forth.

In modern time, people start to pay attention to a certain grammatical mark and find out its source——the content word.

Zhang Hongming studied the grammaticalization of “bei(被)” from a physical verb to a non- physical verb, from the non- physical verb to a mental verb, and at last to a passive marker. He analyzed this process from the perspective of discourse explanation, and pointed that the grammaticalization of “bei (被)”, especially from the sense of meaning, reflected the shift of the empathy focus of the speaker (Wu Fuxiang 2005). This is a new perspective of the study of “bei” consreuction.

Liu Jian made research on the grammaticalization of “guo(过)” which was a former content verb meaning “surpass”. Now it is together with “bu(不)” to form the word “bu guo (不过)” as an adverb. He also researched on “bu de(不得)”, “bian(便)”, “cong(从)”, “da(打)”, “huan(还)”, “wang(望)”, and so on, and found out that they all came from the former content words (ibid).

Jiang Shaoyu made the study on the grammaticalization of “gei (给)” and “jiao ()教” constructions, and Xu Dan did a research on the grammaticalization of “shi (使)”, and so on.(Wu Fuxiang＆Hong Bo 2003)

People have done many researches on the grammaticalization from content words to their present un-content usage, with different kinds of grammatical status.

2.2 Studies on Grammaticalization of Content Words Abroad

Not only in China, people of other foreign countries are also have made plenty researches on grammaticalization of content words, that is, how does a content word start to have the grammatical function.

Although the notion of grammaticalization, that is, the shi ci xu hua, is first proposed in China, it is the western scholars who first recognize the importance of the grammaticalization, and they also established the relatively systematic theoretical frame of the research on grammaticalization.

2.2.1 Earlier Research on Grammaticalization

The study of the grammaticalization of the content words to the functional forms has started early in other countries.

George von der Gabelentz (11), the German neogrammarian, makes his effort in finding out the origin of grammatical forms and how they develop to what they are now. “Gabelentz (11: 241) invites his readers to visualize linguistic forms as employees of the state, who are hired, promoted, put on half-pay, and finally retired, while outside new applicants queue up for jobs.” He gives the point that grammaticalization is led to by two competing tendencies: one tendency is toward to the ease of articulation, and the other toward to distinctness, and this process is a cyclical process, not a linear one. He studied on the grmmaticalization of the Latin first-person-singular future tense of the verb the -bo, which grammaticalizes from the old periphrastic construction, that is, a complex form of an auxiliary verb and a main verb to a single inflectional form. (Traugott and Hopper 2003:21)

In Meillet’s research, he proposed that there were two processes that can lead to the development of grammatical forms: one is analogy, and the other way is through grammaticalization “the passage of an autonomous word to the role of grammatical element” (1912: 131) (Traugott and Hopper 2003: 22). Meillet uses the French verb “etre” (to be) to display the result of the process of grammaticalization. This word has been a purely grammatical word functioning as a tense aspect auxiliary from its former status as a content verb. (ibid)

In the early stage of the study on grammaticalization of the content form to the grammatical form, people also pay attention to the present inflectional forms or the auxiliaries or the forms taking grammatical function, and try to find out their origin in the group of content words or in the disappeared language forms. Their researches are based on the survey and description of the change about the word or phrase, and they also proposed their own hypothesis about this kind of change.

2.2.2 Later Research on Grammaticalization

After the work of Meillet, the topic of grammaticalization was out of the focus of many people. They didn’t view the language change and the grammaticalization phenomenon from the perspective of the former grammaticalization thoughts and they didn’t use this term, either.

However, in this time, Benveniste (1968), student of Meillet, made the study on the grammaticalization of auxiliary verbs out of lexical verbs, just like have, hold and so on, and he coined the word “auxiliation” to refer to this process. (Traugott and Hopper 2003:26)

In this period, there announced a slogan “Today’s morphology is yesterday’s syntax” (Givon 1971:413), to show how verbs forms that are now stems with affixes

could be traced back to earlier origin of pronouns and independent verbs.

In Li and Thompson’s (1976a) work, they studied the serial-verb construction in Chinese and other languages. They found that verbs can be reanalyzed as prepositions and case markers. They studied the word “ba (把)”, which has the status of both the content verb and prepositional case marker. Their study was a significant one on the grammaticalization of content word.

2.2.3 Recent Trends of Research on Grammaticalization

“Heine and Reh’s book Grammaticalization and Reanalysis in African languages (1984) was perhaps the first to address an entire linguistic area (Africa) synchronically from the point of view of grammaticalization.” (Traugott and Hopper 2003:32) However, they only focused on morphosyntax, with relatively little attention to meaning. “Traugott (1982) suggested that there were semantic/pragmatic factors in grammaticalization that lead to unidirectionalities of change, specifically tendencies leading from concrete meanings to more abstract ones, and in particular to ones grounded in the speaker’s assessment of connections between propositions.” (ibid) Sweetser’s (1900) suggested ways in which relationships among polysemies of modals, such as may and connectives, such as but and if, might be grammaticalized metaphorically. Bybee (1914) and her collaborators crucially saw grammaticalization as both semantic and formal in nature.

Now, the integration of grammaticalization with the notion of “used-based” structure has much more likely been the trend in grammaticalization study.

The study on grammaticalization of content forms becomes hotter and hotter, with the development of the theoretical field of grammaticalization.

Behind the description of the usage change of the linguistic forms, different people give their own way of explanations. On the other hand, many other languages in the

world are also starting to enter this field and attract the attention of people to study various kind of grammaticalization phenomenon among them.

Other areas of the world have also had researchers in the grammaticalization field. Many linguists have presented studies of certain particular languages, language families, and linguistic areas, from the perspective of grammaticalization.

2.3 Researches on the Grammaticalization of “you” at Home and Abroad

Because of the differences from the Indo-European language families, the language of Chinese had attracted much attention in the research of syntax, morphology and other linguistic areas. Many foreign linguists have done many researches on Chinese grammar, including the word order change, the change of the sentence structure, the evolution of the verb to functional markers, and so on. Tai Tian Chen Fu, Li＆Thompson , Light, Givon were among these researchers.

However, the Chinese researchers are doing the mainly work on the study of the Chinese grammaticalization, such as, Shen Jiaxuan, Shi Yuzhi, Li Na, and so on, just as the author have talked in the above part.

On the topic of the Chinese verb “you”, there were also many studies from different perspectives. Most researches were done by Chinese linguists and language researchers. The hot point of the study on this word was the construction “you +VP”. Some researchers proposed that this structure inherited the character of the ancient Chinese “you”; some other gave the point of view that “you” had been an aspect marker of perfect tense. It seemed that the usage of this word had changed more or less, including its part of speech.

2.3.1 Studies on “you” in Ancient Chinese

“you” is a complicate word with high frequency of using in ancient. Many people have done research on “you” in the ancient Chinese from different perspectives.

Song Yuke studies “you” as a pronoun, which was a study about the analysis of grammatical category of “you” in some cases in ancient Chinese. In Zhang Wenguo and Zhang Wenqiang’s (1996) research, they pointed that “you + vp” construction in pre-Qin days were used a lot, and “you” is the content verb; “vp” part after “you” had been materialized.

Cui Yun studied “you” constructions in Zuo Zhuan, she classified these “you” constructions and pointed that there were five kinds of meaning of “you”. This is a good description of the usage of “you”, but not mentions the grammaticalization of “you”. Ni Huaiqing also did his research of “you” from the perspective of description of “you” construction in Guo Yu.

Liu Li studied “you” in ancient Chinese and gave the viewpoint that “you” has the function of expressing aspect which was a new view on the usage of “you”. He pointed that “you” does not only have the sense of possessing and existing, but also have the function of expressing perfective aspect as an aspect marker. However, he just analyzed this kind of usage of “you” with many examples and his analysis was mainly about that “you” had the function of expressing aspect, he did not mentioned why “you” have this function and how this new usage of “you” developed and the internal mechanism of change of usage.

Of course, there are also many other researches about “you” in ancient Chinese. The author just lists some of them which are related to the research of this thesis. From the survey of the above, the author find that even in ancient Chinese, “you” has also

attracted the attention of many people to study and analyze the change in its usage.

2.3.2 Studies on “you” in Modern Chinese

Actually, most studies on “you + vp” are about “you” in modern Chinese, or at least are caused by those phenomenons in modern Chinese.

Zhu Xia (2002) made a simple study on the grammaticalization process of “you” synchronically, from the ancient Chinese to its present use. It is like a description of the usage change of “you”.

Liu Jie (2009) said in her research that “you V” construction has its origin in ancient Chinese, and still exists in modern times and it is the positive answer of the interrogative sentences, “you mei you …?”.

In Sun Jing’s research, she said that the cognitive process of the formation of “you + vp” is a metaphorical process. This function of expressing the perfect aspect is a metaphorical process from the possessor of something to the agent of an action.

Li Xuefeng is the one who talked about the grammatical category of “you” in “you + vp” construction. He said that “you” in Chinese has many similarities with “have” in English, especially the same usage of “you” to “have” used in perfect aspect. So he proposed that “you” is also an auxiliary. Until now, the author find that most research on “you” and “you + vp” construction are mainly of these kinds in the above. So the author doesn’t need to list all of these articles. Some of them are about the description of the usage change of “you” synchronically; some are talking about the grammatical category and function of “you”; some are analyzing and classifying the element appearing after “you”. Many of them admit that “you” has grammaticalized to a certain extent, and the mechanisms behind this grammaticalization are metaphorical factors or the influence of the ancient Chinese, or the effect of pragmatic and semantic influence,

and so on. Different people give their own suppositions and analyze from different perspectives. But they just get the point of description or supposition, and they don’t have a systematic analysis of this grammaticalization process.

Although this will be a difficult and complicate project, the author tries to use her own way of analysis to give a clear explanation of the grammaticalization process of “you” in “you + vp” construction.

2.4 Summary

In this part, we mainly have talked about the research situation of the grammaticalization of the content forms from its early stage to its present study abroad and at home. About the study of “you + vp” construction, we also looked back to its former studies. Some people study this construction in ancient Chinese, or in modern times, but many are the synchronic studies about it.

What’s more, in present studies people have done much on the description and classification of “you + vp” not only in ancient Chinese, but also about its present usage. Their studies have provided abundant research materials for the later study.

Chapter Three Theoretical Framework

3.1 Introduction

Simply speaking, grammaticalizaion is the study of the grammatical forms, about how they become what they are right now. As a theory of language change, we also need a systematical understanding, which is the main content of this part.

3.2 Grammaticalizaion Theory

Here is a general introduction of the grammaticalizaion theory, and the related contents are its definition, principles, mechanisms, and so on. The relatively much more important point for this thesis is the mechanisms of the grammaticalizaion, because this is used to explain the “you + vp” construction as an essential way.

3.2.1 Definition of Grammaticalizaion

In the process of the research on grammaticalizaion, different linguists may have different point of view on the grammaticalizaion, even in different time people have the different understanding of the grammaticalizaion, too. Of course the divarication and the difference of the opinion start with the definition of the grammaticalizaion.

Antoine Meillet, who coined the term “grammaticalizaion”, gave his definition that grammaticalizaion is “the attribution of grammatical character to an erstwhile autonomous word” (Meillet 1912:131; Hopper and Traugott, 2003: p.19).

This definition points out the most impotent and the most obvious characteristic of the process of autonomous word→grammatical word, that is, the grammaticalization.

May be the most quoted definition of grammaticalization is the one proposed by

Jerzy Kurylowicz, which said that: “Grammaticalization consists in the increase of the range of a morpheme advancing from a lexical to a grammatical or from a less grammatical to a more grammatical status, e.g. from a derivational… formant to an inflectional one.” (1975[1965]: 52).

This definition points out the starting point and the final ending result of the grammaticalization.

Another famous and significant definition concluded by Christian Lehmann in his works is more detailed and widely related. He said that: “Grammaticalization is a process leading from lexemes to grammatical formatives. A number of semantic, syntactic and phonological processes interact in the grammaticalization of morphemes and of whole constructions” (1995 [1982]: p. x).

Paul Hopper and Elizabeth Closs Traugott also made out their point of view on grammaticalization by saying that: “… grammaticalization as the process whereby lexical items and constructions come in certain linguistic contexts to serve grammatical functions, and, once grammaticalized, continue to develop new grammatical functions (Hopper and Traugott, 2003[1993]: pp.xv).”

At the same time, by William Croft (1990), “Grammaticalization is the process by which full lexical items become grammatical morphemes… is unidirectional and cyclic…: grammatical morphemes originate from lexical items, disappear through loss, and reappear when new words become grammatical morphemes. Phonological, morph-syntactic and functional (semantic/pragmatic) changes are correlated… (1990: 230)”.

In nowadays, two other definitions of grammaticalization are also very influential. They are: “Grammaticalization” has two meanings, one to do with a research

framework within which to account for language phenomena, the other with the phenomena themselves (Hopper and Traugott, 2003[1993]: pp.1 ～ 2); “Reduced to its essentials, grammaticalization theory begins with the observation that grammatical morphemes develop gradually out of lexical morphemes of combinations of lexical morphemes with lexical or grammatical morphemes… (Bybee et al., 1994: p.4)”.

In China, on the other hand, the study of grammaticalization was originally called Shicixuhua (实词虚化). People found that the grammatical words used for the time being were content words a long time ago. They found out many cases about the word, constructions from very ancient time to modern mandarin, to exhibit the usage change of the word. They also pointed out the changing ways or changing laws of the language. Researches of Shen Jiaxuan, Wu Fuxing and Shi Yuzhi and so on are very representative in this field.

3.2.2 Principles of Grammaticalizaion

In the process of grammaticalization, there are many recognized principles concluded by the linguists through plenty of researches. The followings are mostly discussed.

(ⅰ) Unidirectionality

By Hopper and Traugott, “Grammaticalization as viewed from the diachronic perspective is hypothesized to be prototypically a unidirectional phenomenon.”(2003: 99). This thought was similarly summarized by Meillet as:

Lexical item ﹥ morphology

Although unidirectionality is in accordance with the most grammaticalization phenomenon, the counterexamples also exist in the language change. So this topic of

unidirectionality is also discussed in present research.

(ⅱ) Generalization

“It is often observed that grammatical meaning develops out of lexical meaning by a process of generalization or weakening of semantic content (Givon 1973; Fleischman 1982)”. In the process of grammaticalization, there are both the generalization of meaning and the generalization of grammatical function, or we can also say it is an increase in the polysemies usage of a word.

(ⅲ) Decategorialization

In the grammaticalization, the grammatical forms always come from the content or lexical forms, that is, the major category becomes the minor category. For example, the “go” in “be going to” is a verb previously. This is the decategorialization phenomenon.

(ⅳ) Specialization

As the grammaticalization develops, constructions or forms expressing the same grammatical function will reduce to one or two kind of them. In earlier stages of French, the supportive particle used in the negative construction were pas, point, mie, and goutte, but only the pas was chosen to be used in the negative construction in modern French. Also, in Chinese, many empty forms with the same meaning in the ancient disappeared, only few of them continued to be used in modern Chinese.

(ⅴ) Divergence

When a lexical form undergoes grammaticalization to a clitic or affix, the original lexical form may remain as an autonomous element and undergo the same changes as ordinary lexical items (Hopper 1911:22). So the result is that two grammatical forms may come from the same lexical form.

(ⅵ) Renewal

Renewal means that the existing meaning is expressed by the new forms, so it

results in other ways of expressing the same thing.

(ⅶ) Principle of layering

“The persistence of older forms and meanings alongside newer forms and meanings, whether derived by divergence from the same source or by renewal from different sources, lead to an effect that can be called ‘layering’ or ‘variability’ at any one synchronic moment in time” (Hopper and Traugott 2003:124). “With a broad functional domain, new layers are continually emerging; in the process the older layers are not necessarily discarded, but may remain to coexist with and interact with new layers” (Hopper 1991: 22)

The older layer and the new layer are different in complexity of their forms. Generally, the full or complex forms are older ones and the reduced or simple forms are newer ones. They serve the basically same functions with a slightly difference.

(ⅷ) Frequency

Some research proved that the higher the usage frequency of the lexical word, the easilier this word will be grammaticalized. Once it was grammticalized its usage frequency will be much higher. However, this is not the whole thing, because in other languages the most frequently used words, especially the verbs, are not grammticalized at all. So we can see that this is not an absolute phenomenon.

The above are the grammaticalization principles we mostly concerned. Some linguists may differentiate these principles more detailed, and as the research material become richer and richer, the grammaticalization phenomenon will show many other characteristics.

3.2.3 Mechanisms of Grammaticalizaion

The mechanism is very important in grammaticalizaion theory. It can explain the

motivation of language change and the way how that change happens step by step. This part will introduce the mechanisms of grammaticalizaion in detail. 3.2.3.1 Reanalysis

Here is a simple example given by Hopper and Traugott to show how reanalysis works. It is the word “hamburger”. When we speak this word, it means a kind of food from the city Hamburg that is, “Hambur + er”. However, the hearer will not analyze this word in this way and then people start to analyze this word as “ham + burger”. Base on this, the second kind of analysis, some new word appear, like cheeseburger, beefburger, and so on. Here we call the second analysis “reanalysis”. That is to say, we reanalyze the construction in a different way from the traditional way of analysis. The result of the reanalysis is that the same form has a new structure.

Technically, on syntactic change, Langacker also had talked about the reanalysis. He defined that: “change in the structure of an expression or class of expressions that does not involve any immediate or intrinsic modification of its surface manifestation” (1977: 58). From this perspective, reanalysis involves a change in constituency, hierarchical structure, category labels, grammatical relations, and cohesion (type of boundary) (A. Harris and Campbell 1995: 61).

The mechanism of the reanalysis causes the change of the boundary assignment. Langacker said that there are three kind of change in terms of layer of structure, they are: boundary loss, boundary shift, and boundary creation. The first two of them are closely relating to the grammaticalization (Shen Jiaxuan 1994).

Next, there will be several examples to illustrate how the reanalysis works and the characteristics of them.

An example we talked most is “back of the barn”. In this construction, the traditional way of analysis is:

1. [[back] of the barn]

And the result of the reanalysis is: 2. [back of [the barn]]

We can see that after the analysis, this complex noun phrase has two kind of understanding. In the first case, the head noun is “back”, and in the second case the head noun is “the barn”. And we can also find that the grammatical status of the word “back” has changed, from a noun to as an adposition in a complex prepositional construction. In this case of reanalysis, it concerns with the change in constituency, hierarchical structure, and category labels. In other way of saying, by Langacker, it is boundary shift from the way of the rebracketing. (Traugott and Hopper 2003:51)

Another example in Chinese is “hoaxing (好像)”. In the first, it seems that “好像” is not together as one word. “像” is a verb itself, like in “[[她][像][她姐姐]]” means she and her sister look the same in their appearances. And in “[[她][[好][像]][她姐姐]]”, here “好” and “像” are two words: “像” is the verb, “好” is the degree adverb to modify the verb “像”. Then as the process of grammaticalization develops and the reanalysis works, sentences like “[[他][[好像][没有来]]]” become very common, and here “好” and “像” are together as an adverb to express the speaker’s guessing mood.

From the above cases, we can see what reanalysis is clearly. In the next, the characteristics and the relation between reanalysis and grammaticalization will be taked about.

Reanalysis is an important mechanism of grammaticalization, but not all cases of reanalysis are cases of grammaticalization, like the compounding, which is a reanalysis of boundary loss but not the grammaticalization.

“Reanalysis essentially involves linear, syntagmatic, often local, reorganization and

rule change. It is not directly observable.” (Hopper and Traugott 2003: 68). Reanalysis, as we can see, can change the deep structure of the language, and can not cause the change of the surface structure immediately. However, it is not the case that only the reanalysis is involved in grammaticalization process. Reanalysis always works together with the analogy.

In the early stage of the grammaticalization, the reanalysis takes the mainly role to change the deep structure, then the analogy would work to change the surface structure. In this process, there may be many times of the work of reanalysis and analogy.

So, the next will concern with the mainly content of analogy, the other mechanism of the grammaticalization. 3.2.3.2 Analogy/Rule Generalization

When we talked about, we always put it together with the reanalysis to make a comparative study to make it understood clearly.

As Meillet said, the development of new grammatical forms and arrangement is the result of the reanalysis. It means that the new structure take the place of the old one. It is covert, because it does not cause the change on the surface. “Analogy, on the contrary, refers to the attraction of extant forms to already existing construction” (Hopper and Traugott 2003:63-), and it is overt. “In essence reanalysis and analogy involve innovation along different axes. Reanalysis operates along the ‘syntagmatic’ axis of linear constituent structure. Analogy, by contrast, operates along the ‘paradigmatic’ axis of options at any one constituent node” (Jakobson and Halle 1956) (Hopper and Traugott 2003: ).

To a certain extent, analogy is a kind of proportion or equation. Through this way, it makes the irregularities in grammar, particularly at the morphological level, were regularized (Hopper and Traugott 2003: ). To make it clear, there was a simple

example:

cat: cats = child: X X = childs

This is a simple proportion to illustrate the analogy. The plural of cat is cats, so in this case the rule of forming plural is to plus –s after the noun word. Under this rule, we can make the analogy that the plural of child is childs. Although this is not right according to the English grammar, it is an actual case happening in the child language. But the point is that, from this aspect, we can have a general understanding of how analogy works. In other way, we can also see that the rule of forming plural is generalized from cat to child, so in this sense, we can called analogy the rule generalization.

The difficult point is how to choose the rule, that is, we have to give the reason of why we choose one member of the pair as the model or as the starting point of the change. Many linguists gave their explanation, Kurylowicz (1945-9) pointed to some tendencies with regarding to the choosing of the model. He made the point that it was the tendency that the more constrained form was likely to be replaced by a more general form, not in the contrary. (Hopper ) later, Kiparsky (1968) said that analogy was a kind of rule extension, and was not random in language change. It was the “generalization or optimization of a rule from a relatively limited domain to a far broader one” (Hopper and Traugott 2003: ).

Analogy, unlike analysis, is an overt change, because we can obviously see the change in the surface. It makes the covert change caused by reanalysis observable.

However, in the changing process of a grammatical form or construction, reanalysis and analogy are always working together, just like we have said in the former part. They may

work in a turn of reanalysis-analogy, or by the cycle of

reanalysis-analogy-reanalysis. To a certain extent, they interact as both cause and effect. The following is a classical example to show a relatively complete grammaticalization process talked by Hopper and Traugott:

Syntagmatic axis

Mechanism:

reanalysis

Stage Ⅰ be going [to visit Bill] PROG Vdir [Purp. clause]

Stage Ⅱ [be going to] visit Bill TNS Vact (by renanalysis)

Stage Ⅲ [be going to] like Bill TNS V (by analogy)

Stage Ⅳ [gonna] like/visit Bill

(by reanalysis) Paradigmatic axis Mechanism: analogy Figure 1 Scheme of the development of auxiliary be going to

From this figure, we can see that in the early stage of the grammaticalization, the reanalysis works to change the structure of the phrase, and the result is the former directional verb now together with be and to forming the future auxiliary, and verb of activity follows them. Then, because of the analogy, the verb following this phrase extends to other kind of verbs, such as stative verbs. Next, again the reanalysis makes the complex auxiliary a simple word gonna. But these stages are coexisting in the present language usage.

3.2.4 Pragmatic Factors

When we talk about the language change, we should not ignore the role of pragmatics in the grammaticalization process. In one word, the language is a tool of communication, so if it changes, it must happen in the process of using. In this sense, the

speaker and hearer will take up our attention in our study. And the motivation of the language change will likely be found out in the field of language use, the pragmatics.

In our communication, we are likely to make ourselves easily and quickly and exactly be understood. So the principles like economy principle, efficiency principle, and clarity principle and so on are what we are inclined to obey. In order to do this, we will improve the language we used to convey the right meaning in our mind. So we can make the claim that “grammaticalization (and indeed language change in general) is motivated by speaker- hearer interactions and communication strategies is a claim that change is goal-directed” (Hopper and Traugott 2003: 73).

Here we talked about an important factor in the study of language change, the pragmatics. It is the language use that cause or motivate the language change. However, as we all know, pragmatics means a lot, and if we want to find the exact factor related to the grammaticalization in pragmatics, we should study more.

This part we will mainly talk about the role of pragmatic inferencing in grammaticalization process.

In order to understand the conversational implicature when we hear what the speaker said, we should turn to our ability of inferencing in that context. Even the same construction may express the different meaning, and we have to catch each kind of meaning the speaker wants to pass. So although the language is used to express meaning, only the inference is the way to find the meaning. And once it is found, it will, to some extent and gradually, be conventionalized. Actually, “in early stages of grammaticalization conversational implicatures frequently become ‘semanticized’, that is, become part of the semantic polysemies of a form” (Hopper and Traugott 2003: 82). Dahl gave his argument as that: “if some condition happens to be fulfilled frequently when a certain category is used, a stronger association may develop between the

condition and the category in such a way that the condition comes to be understood as an integral part of the meaning of the category” (Dahl 1985: 11; Hopper and Traugott 2003: 82). Change caused by this is not necessarily grammaticalization, but it reflects that “the kind of semantic change undergone by lexical items or constructions in grammaticalization are a subset of semantic change in general, and that for inferences to play a significant role in grammaticalization, they must be frequently occurring, since only standard inferences can plausibly be assumed to have a lasting impact on the meaning of an expression or to function cross-linguistically” (Hopper, 82).

As a conclusion, in pragmatics, the inferences of the meaning of words and construction in certain context cause the variety of the meaning. We also say this is the starting point of the change. And the grammaticalization is on this base.

3.2.5 Grammaticalizaion across Clause

Contents about grammaticalization we have talked are mainly about the small units of language. The starting research point of language is likely to be a word, a construction, or a phrase. But it seems that our final attention will definitely come to the discourse in the language.

Basically, the discourse is consisted by linked clauses. Several linked clauses together are called complex sentences. So the Grammaticalizaion across clause here is about the study of the change in these complex sentences, especially about the change related to those kinds of clauses. When we think of the relationship between clauses, we will always talk about the coordinate and subordinate relation and so on. From the respective of grammaticalization, and in Traugott and Hopper’s research, they thought that there were three kind of clauses cluster: parataxis, hypotaxis, and subordination.

Now we come to the grammaticalization point in the discourse or clauses level. And

the important factor in discourse is the clause linker. When we study the change or grammaticalization of the clause linker, we can find the various changes of the sentences relations and the way to express by language.

Similarly as the lexical grammaticalization, the source of clause linkers are also in nouns, verbs, adverbs, and also in pronouns, derivational affixes and so on. Such as on the basis (of), in order to, and in terms of, they are used to link the clauses together, so they are also the clause linkers. Linguists of this field have done many case studies in different languages, to do researches on those kinds of linkers, and the sentence relation without the overt linkers.

This part is very complex, because we have to do much work on the meanings, relations of clause related to the linkage. As a simple introduction, I will stop here. For another reason, this part is not the key point for my study, the “you + vp” construction, so this part is simplified.

3.3 Some Important Concepts

In our study of grammaticalization, we always find that many technical terms are seems like the same, and we’d better have a clear study of each of them. Especially like linguistics, although the original systematical theories of it came from the western countries, in China, we also had many scholars who had started their studies on language and language changes in early time, and the thoughts and terms we adopted are, to some extent, similar as those terms in western linguistics, such as grammaticalization in English and 实词虚化in China，which is representative example. In the following, we will talk something about language change, abstraction, and comparing them with grammaticalizatin.

3.3.1 Language Change

Language change is a very wide kind of concept. If there is a language, the language change will exist. Generally speaking, every new kind of language use, every new way of expressing, every new meaning appearing from the old construction, and so on, are all called language change.

The process of the language change is also a process of language forming. Language change contents the syntagmatic and paradigmatic factors. When we study these changes, we have to take the synchronic and diachronic studies. We study the change motivations, change models, change directions, different levels of change, different aspects of change, and so on. From this sense, the language change is language itself, because it seems like that the research contents of each of them are basically the same.

3.3.2 Abstraction(虚化)

As we have talked earlier, in China, we also have scholars studying the language change, and exactly it was part of the language or kind of language change, and we call it 实词虚化 (abstraction in English). 实词虚化 is the study of how the content or lexical words become the grammatical or functional or empty words. And 实词虚化 is a study starting from the literature works, especially in literary language used in ancient China, or we can say ancient Chinese.

Actually, the different point between abstraction (实词虚化) and grammaticalization is: in grammaticalization, it concerns the change of how a lexical word or construction or even a kind of language use come to be the grammatical forms; abstraction, on the other hand, is a term of critical interpretation of ancient texts or the Chinese scholium, which pays its attention on the meaning of the forms, including the

old meaning losing and the new meaning appearing, and the abstraction, the generation, the weakening of the meaning (Wu Fuxiang 2002a). In this sense, we can also say that abstraction is part of the grammaticalization study.

3.3.3 Grammaticalization

Grammaticalization, which we have study a lot, is part of the scientific study of language, the linguistics. It is about how the language changes, why it changes and explains the process of change. It is kind of theoretical and systematical research and it tries to explain all the languages, that is, the aim is to find the common deep reason of the changes. Grammaticalization study is closely related to the cognitive study and semantics and pragmatics and so on.

3.3.4 Conclusion

Until now, we can see the relation between these three concepts. Language change is a common and widely term and it is like the language itself. Grammaticalization is the scientific study of language change, which is deep and universal. Abstraction is part of the grammaticalization study, which emphasize the study of the meaning change of the language.

3.4 Summary

In this chapter, we mainly talked about the knowledge of the grammaticalization itself, including the study on the definition, the principles, the mechanisms of the grammaticalization, and some terms of similar meaning. This is the base of this thesis, of the body of the analysis. After this, we will go on to the language phenomenon of this thesis, things about the “you + vp” construction.

Chapter Four Study on the Chinese Verb “you”

In Chinese, whether in ancient or in modern time, the word “you” is widely used. From the perspective of grammaticalization, the more frequent the word is used, the easier this word is like to be grammaticalized. Although this rule is not fit for all the situations, it is supported by many cases. From this point, “you” is somewhat fit this rule.

4.1 Introduction

This part is a diachronic and synchronic study of “you”. Different grammatical functions of the form are closely related to each other. So if we study one aspect of a word, we should better have an all-sided study of the word, from the early time to its present situation.

4.2 The Usage of “you” in Ancient Chinese

Here the description will go around the different usage of “you”. As we all know, the mainly grammatical status of “you” is a content verb which is followed by the nouns or noun phrases. Other usages of “you” are not as a content word, but an auxiliary, or an empty word. So here we divide its usage into two parts: “you” followed by noun phrases and “you” followed by verb phrases.

4.2.1 “you” Followed by Noun phrases

In ancient Chinese, “you” is firstly used as a verb which means “belonging, existing”. The subject is also various, including person, place, thing, and the followed part is noun phrase. We can find many cases of this kind of usage:

(1)采采芣苢，薄言有之。（诗经·芣苢）

(2)江有汜,之子归,不我以。（诗经·召南·江有汜）

(3)野有死麕,白茅包之。有女怀春,吉士诱之。(诗经·召南·野有死麕)

(4)南有樛木，葛藟累之。乐只君子，福履绥之。南有樛木，葛藟荒之。乐只君子，福履将之。南有樛木，葛藟萦之。乐只君子，福履成之。(诗经·周南·樛木)

(5)维鹊有巢，维鸠居之。之子于归，百两御之。（诗经·召南·鹊巢）

(6)中谷有蓷，其干矣。有女仳离，慨其矣。慨其矣，遇人之艰难矣。（诗经·王风·中谷有蓷）

(7)五伯有之谋。(吕氏春秋) (8)汤武有放杀之事。(吕氏春秋) (9)舜有不孝之行。(吕氏春秋) (10)敌国有贤者，国之忧也。(韩非子)

(11)陛下虽有廉颇、李牧，不能用也。（《汉书·冯唐传》）

Used as a content verb, this kind of usage of “you” has existed all the time.

4.2.2 “you” Followed by Verb and Verb Phrase

In ancient Chinese, “you” also used before the verb phrases: (12)君子于役，不日不月。曷其有佸？（诗经·王风·君子于役） (13)子产为政，有事伯石，赂与之邑。(《左· 襄30》) (14)天下曷敢有越厥志？（《孟子·梁惠王下》） (15)人生实难，其有不获死乎？（《左转·成2》） (16)舅犯有善言，后有战胜。（《韩·难一》） (17)行有不慊于心则馁矣。（《孟子·公孙丑上》）

(18)大臣父兄有能进言于君，用则可，不用则去，谓之谏；有能进言于君，用则可，不用则死，谓之争。（《墨子·富国》）

(19)翟人有献丰狐，玄豹之皮与晋文公，文公受客皮而叹。（《韩非子·喻老》） (20)故可以有夺人国，不可以有夺人天下。（《荀子·正论》） (21)岂有为人之臣而又为之客哉？（《韩非子·说林上》） (22)有自门前射阳越杀之。（《左转·定》）

(23)志士仁人，无求生以害仁，有杀身以成仁。（《论语·卫灵公》） (24)燕人，其妻有私通与士。 (《韩非子·内储说下》) (25)自生民以来，未有盛于孔子也。（《孟子·公孙丑上》）

(26)自古及今，生民以来者，亦有尝见鬼神之物，闻鬼神之声，则鬼神何谓无乎？（《墨子·明鬼下》）

(27)弥子瑕母病，人闻，有夜告弥子。（《韩非子·说难》）

(28)诸吏卒民，有谋杀其将长者，与谋反同罪。有能捕告，赐黄金二十金。（《墨子·号令》）

(29)女子有行，远父母兄弟。(《诗经·鄘风·蝃蝀》)

The above examples are all in works of the earlier ancient time. We can see that, these usages of “you” are so complicated: various in subject, in the verb phrases and “you” itself.

Firstly, in the surface, they are “you + vp” constructions. The difference is that the structure of the “vp” is various, but this not the concern of this thesis. Then, semantically, we can see that the meaning or the status of “you” is not simple as the surface. Like in:

弥子瑕母病，人闻，有夜告弥子。

We can see that, “you” here is much more like a pronoun to mean “somebody”, although in the surface it is a “you + vp” construction. (19), (25), (28) and so on are of this kind.

In other cases like: 燕人，其妻有私通与士。女子有行，远父母兄弟。

Here, “you” seems like an empty word with no meaning. But we can find that it has a time sense in “you”, which means that the action expressed by the verb after “you” happens in the past time. This sense is also related to the possessing and existing meaning of “you”, and here mean the existence of the action which is also the meaning of the happening of this action.

In the latter time, we can see some changes from the examples as follows.

(30)此下诸将，人殊意异，未必服从，今留匡弼，．事势不便，帷有移驾幸许耳。(《三国志·魏书》)

(31)天下虽有逆节，施不能为累，明矣。(《三国志·魏书》)

(32)天下有重得，有重失：势可得而我勤之，此重得也；势不可得而我勤之，此重失也。(《三国志·魏书》)

(33)甲寅，制曰“自古帝王皆以厚葬为诫。以其无益亡者，有损生业故也。” (《旧唐书》)

(34)摄养乖方。寒署成疠，实有虑于阙政，且无暇于怡神。(《旧唐书》)

(35)仆答：“⋯⋯万一不得已交兵，须各有损折。⋯⋯”(《宋代汉语语法资料汇编，茅斋自叙，129》)

As time goes, we can see that the usage of “you” related to verb phrases are much

tidier and in good order. This is also the trend and tendency in Chinese morphology. In order to make the sentences tidy and easy saying, words are always tend to be consisted by two or four morphemes, like in “帷有”, “虽有”, “有损”, “实有” and so on. Also in this time, many words and phrases like these are appearing, such as: 有似有违有求;鲜有进纳罔有不备实有不忍素有不平如有不负若有背违 and so on.

Then in starting in Yuan dynasty, there was a new kind of structure about “you”, examples were like these:

(36) (红上云)姐姐着我传简帖儿与张生，约他今宵赴会。俺那小姐，我怕又有说谎，送了他的性命，不是耍处。我见小姐去，看他说什幺。（《西厢记》王实甫）

(37)黑夜道场里你有来么?我有来． (《朴通事》) (38)我有认色了，不拣几时要换． (《老乞大》)

(39)先从马院里入来，就杀了养马的后槽一人，有脱下旧衣两件．（《水浒全传》） (40)李逵唱个喏道：“拜揖节级哥，小街内有在这里。”(《水浒全传》)

“you” in these sentences has the new function. It begins to mean the tense and aspect. We can see that, the action expressed by the predicates after the “you”, such as “有来”, “有在这里”, happens in the past time, and the action is also been finished. In this sense, “you” has the status of auxiliary, togethering with the verbs after it to form the perfect aspect. From then on, this usage as an auxiliary expands widely in modern Chinese.

Although, these sentences are all “you + vp” in their appearances, the meanings of “you” are different. However, these different meanings are related to each other, they coexist in the grammaticalization process of “you”. In the next chapter we will analyze these things in detail.

4.2.3 Other Usage of “you”

In ancient Chinese, “you” also have other kind of usage, as an empty word without any meaning; as a pronoun referring to certain people or certain place or else. However, thus the object of this study is the “you + vp” construction, we will not say much about this usage aspect of “you”.

4.2.4 Conclusion

In ancient Chinese, “you” had these mainly usage, especially as a content verb before the noun phrases, and before the verb phrases. When “you” is used before the verb phrases, it is hard to define its grammatical category, and also its meanings are different in different situations. Actually, it’s the result of the grammaticalization influence, the work of the reanalysis and analogy. As people said, the meaning change is always before the structure change. But we can see the change from the element used before and after the word.

4.3 The Usage of “you” in Modern Chinese

In this chapter, we will check out the usage of “you” in modern Chinese. From the former description, we can find that “you” has grammaticalized into not one way, but several ways, and some usage of it has declined and even disappeared, at the same time, the new usage begin to expand.

4.3.1 “you” as a Content Word

As we have said before, the usage of “you” as a content verb does never disappear. We also use this word to mean a kind of relationship between the subject and the object. Its meaning is basically also belonging and existing.

(41)我有一本书。

(42)这里有三棵树。 (43)中国有五十六个民族。

Examples like these are very common. In this aspect, “you” is not changed. Base on the sense of possessing and existing, “you” also expresses the attribute and character of the people or thing, like in these examples:

(44)西瓜有五斤重。 (45)树有三米高。 (46)他有学问。

(47)她的身高有一米六。

We can say this is caused by the reanalysis in meaning level. That is, when we reanalyze the basic meaning of the word, we will get the new meaning field of this word, and the new meaning does not cause the change in the surface usage of this word. Of this point of view, we will talk it latter in detail in next chapter.

4.3.2 Special Usage of “you” in “you + VP”

Of this kind of usage of “you”, we can say that, some structures disappear and some new structures become common on modern Chinese.

At the first, we should have a description of the “you + vp” construction in modern Chinese. Actually, we can divide the “you + vp” construction into two types. The first type is “you + a verb morpheme” to form a tidy and expressively simple word. We have some representative examples as follows:

(48)我对她承认心是凡夫俗子, 虽然自报家门有失矜持,有名菜不端自个上桌之嫌,但高出流水知音难逢, 你不把握我,我还急急欲把握你呢。(王朔《玩的就是心跳》

(49)汪太太是聪明人, 一口拒绝。一来她自知资格不好,至多做个小职员,有伤体

面。(钱钟书《围城》)

(50)一切图书馆本来像死用功的考时的头脑,是学问的坟墓;这图书馆倒像个敬惜字纸的慈善机关,若是天道有知,办事人今世决不遭雷击,来生一定个个聪明, 人人博士。(钱钟书《围城》)

(51)任务是否能提前完成, 有赖于大家共同的努力。(《现代汉语词典》) (52)这件事有劳您了。(《现代汉语词典》)

(53)这个问题有待进一步的研究。(《现代汉语词典》)

This kind of “you + vp” seems to be conventionalized, because the quantity of these constructions is limited and stable, such as 有劳，有请，有待，有赖，有输有赢，有劳有得，and so on. We can say that this is influenced fiercely by the Chinese morphological rules, which says that words are inclined to be formed by the even number morphemes to make them speak easily and sound well.

The other kind of “you + vp” in modern Chinese is “you+ verb phrase” to form the perfect aspect. In this sense, “you” is related to the happening time and the accomplishment of the action which is expressed by the predicate after “you”. We can give out examples like the follow in this sense:

(54)我有吃饭。 (55)他有来。

(56)我有看到（他听这张唱片）。 (57)我有照顾他。

This kind of usages is more common on southern China. The reason also has been studied by many researchers. They said that this construction has its source in ancient Chinese, which we can see that it is true based on the former study of this thesis. Except

for the surface structure, the meaning of perfect is also indicated in ancient Chinese; the difference is that this perfect meaning of “you + vp” is used more frequent and so more grammaticalized.

4.4 The Characteristics of the Usage Change of “you + VP”

From our former description about “you” as a content verb and “you” in “you + vp” constructions, we can see some characteristics in its usage changing from ancient to modern Chinese.

In ancient Chinese, we see that “you” is firstly used as a content verb to designate the “possessing and existing” meaning, and in this case it is the subject+ you+ noun phrases structures. Like 江有汜，南有樛木，here the subject is the place which means the existing state. In陛下虽有廉颇、李牧 the subject is people and “you” means possessing.

In the latter, we have the expressions like: 五伯有之谋，汤武有放杀之事. In these cases, the constituents after “you” are , 放杀. In Chinese, we call words like these nominalized verbs which designate the action but can be used like nouns appearing after the predicate verbs.

On this basis, we start to have the various kinds of constructions like “you + vp”, that is many verbs can be used after “you” in surface, but the meanings of you may different. So it is a kind of structural generalization.

Until in modern Chinese, the “you + vp” constructions are divided clearly into two kind. One is the tidy and conventionalized result of the ancient “you + vp”, and the other kind is the salient of the meaning part of “you” related to the time and develops to the auxiliary used in perfect aspect.

This is the brief grammaticalization process history of “you”. Of course, this is just

the description part, and if we want to have a thorough understanding and explanation of this change, we have to analyze it under the grammaticalization perspective.

4.5 Summary

In this chapter, we have intensively described the usage change of “you”, from its verb usage to its auxiliary usage. From this description, we can make clear the change direction and the change degree of this word. The next part is the analysis aspect under the grammaticalization theory.

Chapter Five The Analysis of “you + VP” under

Grammaticalization Theory

This chapter is the most important part of this thesis. In this part we will have a systematic analysis of the “you + vp” phenomenon in modern Chinese. After the diachronic description of the change of “you + vp”, here we go beneath the surface structure to find the deep reason of this change.

As we all know, in grammaticalization theory, there are two kinds of change mechanisms: the reanalysis and analogy. Here the analysis is mainly based on these two mechanisms. As for the root cause of this change, we will talk about some pragmatic causes. So this thesis work at trying to find out an appropriate way to explain the change of “you + vp” under grammaticalization theory.

5.1 The Reanalysis of the Construction “you + VP”

Reanalysis is one of the change mechanisms of grammaticalization. It is very important in the early stage of the grammaticalization.

As for the case of “you + vp”, the reanalysis mainly happened in two points in the changing process. One is in the stage of the “you + a verb morpheme” to form a tidy and expressively simple word, like the words 有劳，有请，虽有，实有 and so on are the results of the reanalysis. Here “you” is an empty word without any meaning, but as a bound morpheme. The other stage is that “you” is reanalyzed as an auxiliary used in expressing perfect aspect.

5.1.1 “you” Reanalyzed to be a Bound Morpheme

The reanalysis in grammaticalization of “you” do not happen suddenly, this is a long period with many times of the minor change. Although we can not describe all these changes here, the author lists several stages of change in this process.

In the early stage of the using “you”, it is used before various kinds of verb phrases, like in:

故可以有夺人国，不可以有夺人天下。

Here “you” 有 is a content word to mean that there can be the thing that we can get a man’s country, but the thing that we can take his world will not happen. So “you” designates the existing of a kind of thing. This sentence does not write out the whole object of “you” entirely but omit the center noun the “thing”. Here “you” is autonomous and we can bracket this sentence as:

(故)(可以)(有)(夺人国)，(不可以)(有)(夺人天下)。 The usage of “you” in this sense can be described as follows:

Stage Ⅰ:

Syntactically: you + verb phrase

you + vp

Semantically: (ⅰ) “you” is

the content verb with the concept of

existing

(ⅱ) The constituent

after it can be replaced by “something”

Figure 2 analysis of “you + vp” in its early stage

Until this period, “you” does not stick to any constituents. However as the expanding of this usage, the sentences like these are also appearing:

岂有为人之臣而又为之客哉？自生民以来，未有盛于孔子也

Here, “you” is likely attached by the element before it, like 岂有, 未有, and if we bracket the sentences the elements before “you” are better together with “you” to make them easy to be understood.

(岂有)（为人之臣而又为之客哉）？（自生民以来），（未有）(盛于孔子也)。 Here is the minor change of another stage:

Stage Ⅱ:

Syntactically: you (attach with other element)+ verb phrase you + vp

Semantically: (ⅰ) “you” is the content verb

(ⅱ) The constituent after it can be

Replaced by “something” or “somebody”

Figure 3 analysis of “you + vp” in stage Ⅱ

The above analysis give out a phenomenon that “you” is starting to be attached with some element. But “you” here remain as a verb semantically. Next, we will go to another stage of the attachment.

燕人，其妻有私通与士。女子有行，远父母兄弟。

Here we can see that there two verbs in each sentence if we say “you” is the content verb as before. But it is not the case, because if we check the sentences, we can find that it is the second verb in the sentence that expressed the mainly meaning of the whole sentence, like in the first sentence the “私通” and in the second sentence the “行”. “you” in each sentence does not have the concrete meaning. But, if we delete “you” in these sentences, the differences will be obvious.

燕人，其妻私通与士。女子行，远父母兄弟。

We can feel that when we delete “you”, the sentences are lack of a time sense, that is, the action expressed by the verbs “私通” and “行” are not fixed to a certain time, so this narration will be not exact in the sense of time, because we are not clear when the things

happen and how they have influence on present situation, thus “you” cannot be deleted but have to bind to the verb phrase after it. Until now, “you” is grammaticalized very much in its meaning sense, and also in the structure. It loses the center status in a sentence, and becomes an empty word or an auxiliary word that indicates aspect of the verb after it.

So in this stage the change of “you” can be described as:

Stage Ⅲ:

Syntactically: you (losing the status of the main verb) + verb phrase you + vp Semantically: its content meaning is weakened, and its existing

concept shifts to the time sense.

Figure 4 Figure 3 analysis of “you + vp” in stage Ⅲ

Later on, we have words and phrases like有似有违有求有待有劳 and so on. In these cases, “you” is grammaticalized much further in this aspect. “you” here does not have the concrete meaning either, even does not indicate the time factor. It is a bound morpheme in these phrases and the function of “you” is phonologically needed to make these words easy to say and sound well as the disyllabic word. In Chinese, we are inclined to form the tidy and morphologically symmetrical words with two morphemes or four morphemes. So “you” here becomes a bound morpheme.

However, it is not to say that “you” can bind to any verb phrases in this sense. The number of these phrase is small and most of these phrases are conventionalized as the

fixed phrase, like in 有伤风化，有请，有劳and so on. This change is conveyed in the following figure:

Stage Ⅳ:

Syntactically: “you” is bound to the verb/verb phrase you + vp

Semantically: “you” lose its content meaning becoming an

empty word

Figure 5 analysis of “you + vp” in stage Ⅳ

Until now, we can give the clear work of the reanalysis based on these stages of minor change of “you + vp”, both from the change of syntactical level and the semantic level.

The above analysis of the change of “you” gives us the first reanalysis in its grammaticalization process. Traditionally, “you + vp” is analyzed as:

[you] [vp]

Now this construction is reanalyzed in this way as: [you vp]

In this case, “you” becomes a bound morpheme with empty meaning, and the language structure about “you + vp” also changes, which we can find in the way of bracketing of the constituent. This is the result of reanalysis and is the way how “you” as a bound morpheme, such as in 有待有违, comes from in present Chinese.

However, this time of reanalysis is not a fixed point in the grammaticalization

process of “you”, it realizes on the base of many times of minor changes, just as the analysis in the above. If we want to make this process clear, it can be figured out in the following:

Stage Ⅰ…Stage Ⅳ with the work of reanalysis

[you] [vp] [you vp]

Figure 6 the process of reanalysis of “you” to a bound morpheme

“you” is reanalyzed from a content verb to a bound morpheme. This the first important reanalysis point of “you”, and the result of this reanalysis also exists in modern Chinese.

5.1.2 “you” Reanalyzed to be an Auxiliary Used in Perfect Aspect

Then we will discuss the second, or we can say the second kind reanalysis of “you”. In grammaticalization theory, we have the principle: divergence, which says that when a lexical form undergoes grammaticalization to a clitic or affix, the original lexical form may remain as an autonomous element and undergo the same changes as ordinary lexical items (Hopper 1911:22). So the result is that two grammatical forms may come from the same lexical form.

Here “you” has a divergence grammaticalization. The first kind is “you” reanalyzed as a bound morpheme, and the second kind is that “you” is reanalyzed as an auxiliary used in one kind of perfect aspect in modern Chinese.

When we talk about this, we also start from the period when “you” can be used before various kinds of predicates. Just like cases before:

燕人，其妻有私通与士。女子有行，远父母兄弟。

We also have had a little analysis that in these cases, the time sense of “you” is salient, that is “you” means the existence of the thing expressed by its following elements, and if the following part designates an action, then “you” restricts the happening time of the action, that is “you” indicates that the happening time of the action is in the past, not in the future or for the time being. We can describe this change as follows:

Stage Ⅰ:

Syntactically still: you + verb phrase you + vp

Semantically: the weakened sense of “you”, the time sense,

is salient in its later use

Figure 6 another trend of the grammaticalization of “you”

On this basis, “you” is starting to be used more frequently, and the examples we collected were cases in the early period of its usage, such as:

(37)黑夜道场里你有来么?我有来． (《朴通事》) (38)我有认色了，不拣几时要换． (《老乞大》)

In these cases, “you” starts to express the verb tense as an auxiliary. Especially, in the latter time, this usage of “you” is very obvious, as in these sentences:

(58)“他有说出原因吗？”（）辛其氏《》（《文学选刊》1977年第9

期）

(59)“你们有打架吗？”

“有，是我打他，他并没有还手。” （同上）

(60)“莎士比亚有这样说过吗？” 电视剧《缘来一家人》（上海卫视2001年2月） Until now, we can say that “you” is clearly used as an auxiliary to express verb tense, and particularly speaking, it is perfect aspect, because we can find that the action in this construction happened in the past time and until the present time of the speaking this action has been finished for a certain long period of time. So we can give “you” the exact grammatical status: the auxiliary expressing the perfect aspect. If we give the change of this period, it will be:

Stage Ⅱ:

Syntactically: you (an auxiliary) + verb phrase

you + vp

Semantically: “you” is grammaticalized as an auxiliary

used in perfective aspect

Figure 7 “you” grammaticalized as an auxiliary

And also in our daily life, sometimes we adopt these expressions: 我有吃饭。他有来。

我有看到（他听这张唱片）。我有照顾他。

Based on these evidences, we can find that as a kind of prefect aspect, “you + vp” has taken a certain space in modern language system.

It is also the time when we have to point out the second time of the reanalysis in this process. As we have said, in the early time, the status of “you” was not clear. It was just as an auxiliary element having a restriction on the verbs following it. Now, “you” is formally as the auxiliary used in perfect aspect, and “you” and the verb after it are together forming the predicate constituent of the sentence. If we describe this process in bracketing, it will be:

Before reanalysis: (you) (verb object.) After analysis: (you verb) (objects.)

A whole description of this grammaticalization process is conveyed in the following:

Stage Ⅰ… Stage Ⅱ with the work

of reanalysis

(you) (verb object) (you verb) (object)

Figure 8 the process of reanalysis of “you” to an auxiliary

In modern Chinese, this kind of usage is accepted and becomes common, especially in south of China.

5.2 The Analogy of the Construction “you + VP”

In the grammaticalization process of “you”, there were also many times of analogy happening. But here the analysis will base on two levels of analogy: analogy in meaning sense; analogy in surface structure.

5.2.1 “you + VP” in Ancient Chinese

We will also start this part of analysis from the sense of “you” as a content verb: possessing, existing.

As a content verb, “you” does not refer to any action, but refer to a relationship between the subject and the object. It means that some kind of things are possessed or taken or owned by somebody, and something exists for the time being. So in the surface, the objects of “you” are nouns or noun phrases referring the things or entities.

However, as we all know, there is a kind of words which has the similar function as noun phrases and which can be used as objects after verbs, the nominalized verbs, such as ，放杀，叛乱 and so on.

Through the working of analogy, the constituents appearing after “you” are expanding to these nominalized verbs, to expressing the existence of an event. This is a kind of rule generalization, the analogy. This changing process can be shown in the following:

Analogy

you + noun phrase you + nominalized verb phrase means the existing of things means the existing of events

Figure 9 working of analogy on “you”

Now that, we say that “you” can express the existence of an event, then we can do an analogy that “you” could also be followed by the verb phrases, because the verb phrases are the conventionalized way of designating the events. We also have the evidence proving this analogy, such as these collected cases appearing in those works written in Yuan, and Ming dynasty:

黑夜道场里你有来么?我有来． (《朴通事》) 我有认色了，不拣几时要换． (《老乞大》)

先从马院里入来，就杀了养马的后槽一人，有脱下旧衣两件．（《水浒全传》）李逵唱个喏道：“拜揖节级哥，小街内有在这里。”(《水浒全传》)

Until then, “you” started to be used with verb phrase commonly, referring to the existence of the event or the action, and in this sense, we can also say that, it means the occurrence or the happening of an action.

As a conclusion, we can convey these analogies in this way:

Analogy you + noun phrase you+ nominalized verb phrase

meaning the existing of things meaning the existing of events ana Anal

you + verb phrase

meaning the existing of events, that is 59

the occurrence or happened of actions

Figure 10 analogy processes in the grammaticalization of “you”

When it comes to the “you + verb phrase”, the function of “you” as a verb is weaken, because the second verb has expressed the most meaning of the sentence as a center verb. But the existing sense which is inferred to the happening and time sense through analogy is salient in this case, and the grammatical status of “you” has changed to auxiliary field to some extent.

5.2.2 “you + VP” in Modern Chinese

In modern Chinese, there is not any intrinsic and clear analogy process, but the important work is to generalize and conventionalize the usage of “you” based on the analogy result in the ancient times.

As for “you+ nominalized verbs”, it is used widely in modern Chinese. In our daily communication, we used phrases like these very frequently:

有张有弛，有起有落，有得有失，有胜有败，有担待，有担当，有所作为，有待，有劳，有违，……

They are among the conventionalized usage of “you”, and many of these kinds of phrases have been the fixed phrases in modern time. So in this aspect, “you” becomes relatively stable.

However, “you + verb phrase” on the other hand, is changing much. It has been the way of expressing the prefect aspect, and “you” has been given the grammatical identity of auxiliary in this case. Simple examples are like these:

我有吃饭。他有来。

Although this kind of expressing perfect aspect is not admitted by the Chinese traditional grammar, it is really starting to become common in modern Chinese. In our daily communication, we will use this structure to express ourselves occasionally. Actually, it is a new kind of usage of “you”, and its original source is from the ancient Chinese, so sooner or later it will have an influence on the understanding of “you”.

5.3 The Pragmatic Factors of the Usage Change of “you + VP”

As we have said before, the language change is closely related to the language use, to the speakers and hearers among the communication. In this sense, “you” is not an exception. Here we will have a simple discussion on this point.

From the former material collect from the Chinese works, we can see that, in ancient Chinese, the using of “you + vp” construction is quite complicated. We have to analyze each of the sentence for their own sake, because although they are all “you + vp” construction, the meanings of “you” are different.

In our daily communication, we all try to make our expression economy, and efficient. When we take these directions under grammaticalization, this will be a tendency that we will try to express more kinds of meaning with the same familiar form. So the polysemy is such a common thing in many kinds of languages. For example, “go” in English, this is not only a content word expressing the action of leaving a place, but also means the continuing of an activity, the changing of the thing or else. And it is also used in “be going to” “be gonna” which are the grammaticalization results through its development, not to say that there are plenty of the phrases and word groups about “go”.

“you” just likes this case. This word is among the most frequently used words in our language, so until now, it has many senses and many usages. Actually, these senses and

usage are all from the original meaning of “you”, and it is only through the frequently using that people start to infer many new senses and constructions to make it efficient in our daily communication.

So we say that the inference and usage frequency is the most important pragmatic factors in the grammaticalization process of “you + vp” construction.

Actually, in the sense of inference, we can find that in the reanalysis and analogy process, there always indicate people’s inference, because the language is used by people, so people’s or human beings’ use of the laguage is the most important reason of the language change.

5.4 The Characteristics of the Grammaticalization in Chinese

From the above discussion and explanation, we can see that, different from the English or European languages, Chinese has some special characteristics in its language change. From the case of “you + vp”, we can find out some characteristics in its grammaticalization

process,

which

also

indicate

the

characteristics

grammaticalization of Chinese itself.

From the former discussion of “you + vp” construction, we can find that “you” is becoming from a content verb to the bound morpheme and an auxiliary. Its grammatical function has changed a lot, and also its part of language or its grammatical category. However, we can see that “you” itself does not change, that is, “有” is also “有”, and it doesn’t change to another writing form. This is different from the western languages.

In Chinese, the grammaticalization does not relate to the form change of this word. In western languages this is not the whole case. For example, in English full is grammaticalized into –ful, a suffix indicating the adjective sense, and be going to is

grammaticalized to be gonna. Cases of this kind are very common, affixes and bound morphemes are most of this kind.

In Chinese, it is the meaning change of the word that causes the usage change of this word, and changes of the structures and constructions about this word. So the meaning change and sense inference is the most important motivation of Chinese grammaticalization.

In Chinese, when we study on its grammaticalization, we should better divide this study into two levels: meaning level and structure level. They influence each other deeply, especially when we do the analogy research.

Actually, theses differences are caused by language differences. Chinese is different from any one of western languages, so there must be some differences between them. When we do researches, we will find their differences in many respects.

However, the grammaticalization theory is facing the whole world languages. It does try to establish a theory system to explain every language. We can also see this attempt in this thesis.

The principles and mechanisms of grammaticalization can also explain the Chinese phenomenon. Like in “you + vp”, this change is also in accordance with those principles of unidirectionality, generalization, decategorialization, divergence, renewal, principle of layering, and frequency. And the mechanisms of reanalysis and analogy can also explain this Chinese change well and efficient. We can have a deep understanding of this change, the “you + vp” construction.

5.5 Summary

This part is the central point of this thesis. In this chapter, we have a detail analysis of the change process of the “you + vp” under the grammaticalization theory, mainly

under the reanalysis and analogy these two change mechanisms.

Behind the grading and classification description of the “you + vp” construction, this part continue to do the analysis of these materials under the guiding of the theoretical frame we have given before.

In the reanalysis part, we point out that there were two times or two kinds of reanalysis in this grammaticalization process: the reanalysis of “you” in “you + vp” construction into a bound morpheme and the reanalysis of “you” into auxiliary and used in perfect aspect. In analogy, we provide a kind of analysis method that there are two levels of analogy: the meaning level analogy and the structure level analogy, which is an efficient way of analyzing this language phenomenon maybe many language changes in Chinese. Then we had a conclusion on characteristics of Chinese grammaticalization on this case analysis of “you + vp”. Generally speaking, we have three points to say: first, there is no form change of the word itself in Chinese; second, the meaning change is the most important part in Chinese grammaticalization; then for the last, language changes happened in Chinese can also be explained by the western grammaticalization theory efficiently, although the language differences do exist.

Chapter Six Conclusion

Until now, the thesis will come to the end after the whole analysis. However, we also have many things to say as a conclusion.

6.1 Summary of the Present Study

In this thesis, we mainly did a shallow study on a Chinese language phenomenon. Actually, in China, we also have many researches of this kind. Many researchers have done study on “you” and “you + vp” construction, both in ancient and modern Chinese, and also “you + vp” in various dialects, and also proposed their own way of explanations and their own point of views. This thesis is also working at explaining this language phenomenon.

The difference is that, in this thesis, the grammaticalization theory is adopted as the theoretical frame. We mainly talked the change mechanisms of language.

Although the grammaticalization theory is born in western world on the study of the language materials most from the western countries, it is a theory facing all kind of languages in the world. And this thesis is a good case in this aspect.

The research content, the “you + vp” construction, is a representative phenomenon in Chinese. Whether in ancient or in modern Chinese, “you” is among the most frequently used word. In grammaticalization theory, there is a point that the more frequently a word is used the more likely this word will be grammaticalized, although this is not absolutely. However, here “you” is likely among those words. It has changed a lot from ancient to modern time.

There was also a systematic description of the change of “you”, especially about the

“you + vp” construction, providing the material base for the followed analysis part.

The analysis of this change mainly consists of the reanalysis part and the analogy part under grammaticalization theory. And at last, we also had a conclusion on the change characteristics in Chinese. Especially after this detailed study on “you + vp” construction, there are several features of grammaticalization different from the western languages in this aspect, like no form change, meaning centered change. And also there are remarks that although the language differences do exist, the grammaticalization theory is still an efficient way of explaining the language in Chinese.

6.2 Main Findings of the Thesis

In this thesis, through these plenty of descriptions and discussions, we also have some findings, though they are maybe not findings strictly. These are just the author’s thought or point of view which is immature and needed to be study more.

The first point is the object of study, the “you + vp” construction. As we all know “you” is one of the most frequently used words in our Chinese language, so we are familiar with this word and usages about it, therefore if the usage of this does change, even change a little, we will notice it sensitively and catch the differences quickly.

Second point is the way of classifying the language materials collected. In this thesis, the description of “you” started from its original usage as a content verb and point out how “you + vp” appeared and developed. So in this way we could have a sight at the cause and effect of its change clearly.

Then, beyond the description, we have to explain this phenomenon on theoretical level, so the grammaticalization theory is chosen as the theoretical frame, which is an efficient way of explaining the language change, or exactly speaking the grammaticalization.

The next point, in the analysis part, the author put forward the analysis of the grammaticalization of “you” in the way which is shown in the following figure:

Analogy Analogy

you + noun phrases you + nominal verbs you + verb phrases

Reanalysis Reanalysis

you (a bound morpheme) + a verb morpheme you (as an

auxiliary) + verb phrases

Figure 11 Grammaticalization of “you”

The author thinks that, in this way, we can analyze this language phenomenon clearly and also the function of reanalysis and analogy worked together to push the change go ahead.

For the last point, we also pint out the characteristics of Chinese language grammaticalization through this case study of “you + vp”, that is: no form change of the word itself; meaning centered change.

These are the thoughts and views of the author through this study. Of cause, there are also many limitations and points that need more and deeper study.

6.3 Theoretical Implications of Present Work

Through this study, we can see that if people, especially linguists want to establish the all-sided and profound and authoritative grammaticalization theory, they should have a deep study on Chinese change. As we all know, Chinese is one of the oldest and most complicate languages in the world, and its change is various and endless. So

Chinese should be an essential part in the study of language change, that is to say, the grammaticalization.

Through the study on “you + vp” construction, we find that in Chinese, the language change is not related to the form change, that is even the meaning, the grammatical category of a word and the sentence structure about the word have changed, the writing form of this word does not change. And in Chinese, the meaning change is the central part of the change. So the reanalysis and analogy are also very important in this changing process.

The grammaticalization analysis is a complicate process. In this thesis the author find that when we analyze the language change from these two levels: the meaning level and structure level, the analyzing work will be logical and clear. So I hope this analytical method will be useful in the later grammaticalization research.

6.4 Limitations of the Present Work and Suggestions for Future Research

Although the author does try to make this study meaningful and convincing, the limitations and inadequacy are ineluctable.

First, about “you” and “you + vp” construction, the present study in this thesis is not enough. Language change is a long period, and the obvious change is the accumulation of long time of small changes, and the stages of change are also not clearly divided. So if we want to have a thorough research on its grammaticalization, a complex and enormous changing system should be established. Thousands of materials have to be collected and classified. So in this sense, this thesis is general, sweeping and skin-deep.

Next is about the understanding of the theoretical frame itself. Because of the limitation of the time and capability, I could not have a thorough study and

comprehension of the grammaticalization theory, so the insufficient theoretical preparation is also a limitation.

Then the analyzing process does also need to do in a more detailed way. We just talked about the mainly obvious change of this construction, not mentioning those small changes. And the working of reanalysis and analogy is not clearly divided sometimes. They worked together to influence the change of the language.

However, on the other hand, these limitations and lacks also raise the questions for the future research.

In the later study, especially the study about the language change and grammaticalization, the rich materials and detailed historical description is necessary and important in the elementary stage of the research. Then, the exactly and deep understanding of the theory part is crucial to make the research successful and convincing. The last point is the analytical method. As we know, the way of analyzing is the inflection of one’s way of thinking. So a logical and rigorous way of study is a very important quality for a language researcher.

In one word, I hope this thesis will be a help in the later study on grammaticlization, and as a base I also want to do more researches in this aspect and apply myself to the field of language change.

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