汉语中“有+VP”结构的语法化理论视角研究硕士学位论文

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1、单位代码10475学号104753090793分类号H0-0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：孙焕焕指导教师：刘辰诞 教授 二一二 年 二 月The Study of the Chinese Construction “you+VP” from the Perspective of Grammatica

2、lization 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 Universityin Partial Fulfillment of the Requirementsfor the Degree of Master of ArtsBySun HuanhuanSupervisor: Prof. Liu ChendanFebruary, 201269AbstractThe present study is mainly about a Chinese language phe

3、nomenon, 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

4、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 “yo

5、u + 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

6、, “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

7、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, esp

8、ecially 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 theoreti

9、cal 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 langu

10、age 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

11、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 whic

12、h 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 ch

13、ange 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

14、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 happ

15、en 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 C

16、hinese 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 f

17、ive 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 grammatic

18、alization 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 ca

19、n 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 a

20、spect, 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,

21、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. Based on this analysis, there are two chara

22、cteristics 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. Whats more, on the method of reasoning, the author propose that wed better take the analysis from tw

23、o 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

24、 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

25、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

26、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。语法化就是之前的独立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

27、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

28、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

29、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

30、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ContentsAbstractI摘 要VChapter One Introduction11.1 Orientation11.2 Rationale21.2.1 Theoretical Basis of

31、 the Study21.2.2 Practical Basis of the Study31.3 Theoretical Framework51.4 Research Questions61.5 Methodology and Data Collection71.5.1 Methodology of the study71.5.2 Data Collection81.6 Conclusion81.7 Structural Organization9Chapter Two Literature Review112.1 Studies on Grammaticalization of Conte

32、nt Words in China112.1.1 Earlier Research about Abstraction112.1.2 Modern Research on Grammaticalization of Content Words122.2 Studies on Grammaticalization of Content Words Abroad132.2.1 Earlier Research on Grammaticalization142.2.2 Later Research on Grammaticalization152.2.3 Recent Trends of Resea

33、rch on Grammaticalization162.3 Researches on the Grammaticalization of “you” at Home and Abroad162.3.1 Studies on “you” in Ancient Chinese172.3.2 Studies on “you” in Modern Chinese182.4 Summary19Chapter Three Theoretical Framework213.1 Introduction213.2 Grammaticalizaion Theory213.2.1 Definition of

34、Grammaticalizaion213.2.2 Principles of Grammaticalizaion233.2.3 Mechanisms of Grammaticalizaion253.2.4 Pragmatic Factors303.2.5 Grammaticalizaion across Clause313.3 Some Important Concepts323.3.1 Language Change333.3.2 Abstraction(虚化)333.3.3 Grammaticalization343.3.4 Conclusion343.4 Summary34Chapter

35、 Four Study on the Chinese Verb “you”364.1 Introduction364.2 The Usage of “you” in Ancient Chinese364.2.1 “you” Followed by Noun phrases364.2.2 “you” Followed by Verb and Verb Phrase374.2.3 Other Usage of “you”404.2.4 Conclusion414.3 The Usage of “you” in Modern Chinese414.3.1 “you” as a Content Wor

36、d414.3.2 Special Usage of “you” in “you + VP”424.4 The Characteristics of the Usage Change of “you + VP”434.5 Summary44Chapter Five The Analysis of “you + VP” under Grammaticalization Theory465.1 The Reanalysis of the Construction “you + VP”465.1.1 “you” Reanalyzed to be a Bound Morpheme465.1.2 “you

37、” Reanalyzed to be an Auxiliary Used in Perfect Aspect515.2 The Analogy of the Construction “you + VP”555.2.1 “you + VP” in Ancient Chinese555.2.2 “you + VP” in Modern Chinese575.3 The Pragmatic Factors of the Usage Change of “you + VP”575.4 The Characteristics of the Grammaticalization in Chinese59

38、5.5 Summary60Chapter Six Conclusion626.1 Summary of the Present Study626.2 Main Findings of the Thesis636.3 Theoretical Implications of Present Work646.4 Limitations of the Present Work and Suggestions for Future Research65Bibliography67Chapter One Introduction1.1 OrientationIn our daily life, the a

39、uthor 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 “yo

40、u” dont have these concepts. In the authors 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

41、 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”

42、: (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 st

43、age. 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

44、 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 Rationale1.2.1 Theoretical Basis of the StudyWilhelm von H

45、umboldt, 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 sugges

46、ted, 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 employe

47、es of a certain state; they were hired, promoted, put on half-pay, and finally retired, while other new forms queue up for jobs (Gabelentz 1891: 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 di

48、stinctness, 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

49、 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 pr

50、ocesses, 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

51、 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 th

52、at 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 P

53、ractical Basis of the StudyLanguage 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 an

54、d 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 a

55、bout 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

56、 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 auxiliarys used in the perfect aspect. In this sense, the function of “you” has changed, or we can say until now a n

57、ew function of “you” appears. In ancient Chinese, this kind of usage of “you” didnt 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 no

58、minalized 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

59、 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 co

60、mplicate process with the works of reanalysis and analogy, with the influence of pragmatic factors and many other kinds of strength. 1.3 Theoretical FrameworkIn this thesis the author will use the grammaticalization theory to explain and display the grammaticalization process of “you”.Grammaticaliza

61、tion 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 wa

62、s “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 inflection

63、al affixAs 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 gram

64、maticalization 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, a