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LABILITY OF VERBS AND THE CHANGE-OF-STATE CONSTRUCTION IN CHINESE A DISSERTATION SUBMITTED TO THE GRADUATE DIVISION OF THE UNIVERSITY OF HAWAI‘I AT MĀNOA IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY IN CHINESE JUNE 2017 By Liulin Zhang Dissertation Committee: Song Jiang, Chairperson Haidan Wang Hsin-I Hsieh Li Jiang William O’Grady Keywords: Chinese, Verb, Change of state, Construction, Cognitive linguistics ACKNOWLEDGMENTS I am a girl born in summer. Summer is my favorite season, and the only season here in Hawaii. Coincidentally, Hawaii is translated as in Chinese, and is also the Chinese character for summer. Before I came here, I asked myself whether it would be the place for me. Things were not that dreamy, despite the amazing beaches and the year-round beautiful weather. Being in a Ph.D. program in Chinese linguistics means that one’s interaction with the nature is indirect. Studying and making a living at the same time in a completely unfamiliar, extremely complicated environment was the most challenging situation I had ever faced in my life. I am not sure whether I would have made it through without Prof. Song Jiang and Prof. Haidan Wang. They are more like parents than professors to me. In fact, I shared emotions with them that I would not even have shared with my parents, for in the Ph.D. program, I realized I was still not strong enough to fight against the loneliness of studying, working and exploring independently. The solace of their smiles, their encouragement, and their patience lit up my path, and I have learned and grown steadily through the opportunities they have provided. To me, they are warmer than the sunshine of Hawaii. Through their care, I felt reborn in my new land. Prof. Li Jiang and Prof. William O’Grady guided my research in a professional direction. Prof. Jiang and I shared distinct beliefs in language, and though the intensity of our respective views often led to disagreements and conflicts, I learnt from all of them – including about the importance and techniques of scholarly debate. I am grateful to have a professor, and a friend, who is so willing to fight with me. Prof. O’Grady, meanwhile, is a true legend: always ready to help me through my obsessional scholarly problems. Far from acting arrogantly about his infinitely great knowledge and experience, however, he has been unfailingly kind and empathetic. It has been said that love and hatred are the same thing, and that their opposite is indifference. It was frustrating to be initially confronted with indifference from the person who inspired me to come here. However, this only made it sweeter when a glimmer of care later appeared. I realized Prof. Hsin-I Hsieh had been supporting me in his own way, which forced me to be more independent. I appreciate your existence, Prof. Hsieh, and my story of commitment, admiration, struggle, frustration, rebirth, and growing up all begins with you. Whatever does not kill you makes you stronger. The beauty of Hawaii, a Paradise on Earth, belongs only to the strong. ABSTRACT It has often been noted that some Chinese verbs can be used transitively or intransitively, and that the syntactically privileged argument (subject) in these different uses has different semantic roles. Many terms have been introduced to describe this phenomenon, among which verb lability appears to be the most felicitous one, given its transparency and straightforwardness: it does not pertain to notions absent in Chinese, nor does it encode any information about the function of the transitive/intransitive construction pair, which has been highly contentious in previous studies. Set within the framework of cognitive linguistics and construction grammar, this dissertation proceeds from the assumption that language is usage-based instead of rule-generated. Accordingly, it employs a diachronic corpus-based approach. Meanwhile, to adapt to the special feature of Chinese, i.e., the rich varieties of Chinese are connected by characters, this dissertation’s diachronic analysis of lexical semantics is based on Chinese characters. Corpus data from the pre-Qin period (Old Chinese), the Tang dynasty (Middle Chinese), and the Ming dynasty (Early Mandarin) show that the ‘theme + labile verb’ construction is extraordinarily ancient and stable in Chinese, and that historically, labile verbs prototypically denote changes of state. An extensive study of verbal semantics in Modern Mandarin reveals two semantic factors determining verb lability: change of state and spontaneity. While change of state is the prototypical function of labile verbs and the construction pairs formed by them, the contingency between labile verbs and their transitive/intransitive use is sensitive to the likelihood of spontaneous occurrence of the event being described. This finding holds in a cross-linguistic context, reflecting general characteristics of human conceptualization. The complex event structure represented by a change-of-state event gives way to two competing strategies for profiling in human construal – agent orientation and theme orientation – which respectively lead to the transitive use and intransitive use of a verbal. However, as an isolating language in which causative/anticausative is not marked, Chinese exhibits an overwhelmingly large group of labile verbs in comparison with other languages. The intransitive change-of-state construction (CSC) formed by labile verbs has traditionally been referred to as the notional passive construction, and distinguished from the so- called Chinese passive construction marked by 么 bei. After investigating the process of grammaticalization of the character 么, it is found that 么 derived an ‘affected’ sense in construal from its lability (denoting ‘cover/receive’), and thus the 么 bei construction (BEIC) can be roughly represented as ‘affectee +么+ event’. In contrast to CSC, BEIC predominantly takes animate subjects as affectees, and the events that affect them are not limited to change-of- state events. In Chinese, the overall frequency of CSC is much higher than that of BEIC, but this prevalence is not commented upon or otherwise reflected in Chinese textbooks. Moreover, previous studies have reported contradictory findings about learners’ acquisition of CSC and BEIC. Taking a usage-based approach to language acquisition, The present research includes two experiments involving picture-description tasks. The results indicate that Chinese learners use more BEICs and fewer CSCs than native speakers do. Additionally, due to the difference in markedness, CSC is much more difficult to notice during incidental exposure than BEIC is, rendering explicit instruction necessary. It needs to be noted that such explicit instruction merely functions to counteract the attentional bias, and is not necessarily about the selectional constrainsts between these two constructions, which are inherent in learners’ cognition. TABLE OF CONTENTS ACKNOWLEDGMENTS ABSTRACT ABBREVIATIONS TIMELINE OF CHINESE DYNASTIES HISTORICAL PERIODS OF THE CHINESE LANGUAGE CHAPTER 1 INTRODUCTION 1.1 Observation and Characterization 1.2 Disputed Terminology 1.2.1 Object deletion 1.2.2 Transitivity alternation 1.2.3 Controversial transitivity alternation 1.2.4 Summary of the terminological dispute 1.3 Research Questions 1.4 Organization CHAPTER 2 FRAMEWORK AND METHODOLOGY 2.1 Background of Construction Grammar: Major Movements of Linguistics 2.1.1 From structuralism to generative grammar 2.1.2 From generative grammar to cognitive linguistics 2.1.3 Cognitive linguistics and construction grammar (CG) 2.1.4 Summary 2.2 Basic Tenets of CG 2.2.1 Prototype theory 2.2.2 Syntax-lexicon continuum 2.2.3 The usage-based approach 2.2.4 Interaction between verb meaning and construction meaning 2.3 Advantages of CG in the Study of Chinese Intransitive Labile Construction 2.3.1 Theoretical plausibility 2.3.2 Applicability to Classical Chinese, Chinese dialects, and novel use 2.3.3 Pedagogical adaptability 2.4 Methodologies 2.4.1 Bottom-up approach 2.4.2 Lexical semantic approach 2.4.3 Character-based approach 2.4.4 Diachronic approach 2.5 Summary: Revisiting the Research Questions from the Perspective of CG CHAPTER 3 DIACHRONY OF MONOSYLLABIC LABILE VERBS AND THE INTRANSITIVE LABILE CONSTRUCTION IN CHINESE 3.1 The Intransitive Labile Construction in the Pre-Qin Period (Old Chinese) 3.1.1 The intransitive labile construction in Mencius 3.1.2 Contingency between verb types and the intransitive labile construction 3.1.3 Summary of the intransitive labile construction in the pre-Qin period 3.2 The Intransitive Labile Construction in the Tang Dynasty (Middle Chinese) 3.2.1 The intransitive labile construction in Chuanqi stories 3.2.2 Contingency between verb types and the instransitive labile construction 3.2.3 Summary of the intransitive labile construction in the Tang dynasty 3.3 The Intransitive Labile Construction in the Ming Dynasty (Early Mandarin) 3.3.1 The intransitive labile construction in Sanyan stories 3.3.2 Contingency between verb types and the intransitive labile construction 3.3.3 Summary of the intransitive labile construction in the Ming dynasty 3.4 Summary and Implications CHAPTER 4 COMPOUNDING AND THE DEVELOPMENT OF CHINESE LABILE VERBALS 4.1 The Structure of Compound Verbs and Verb Compounds 4.2 Compounding and the Structure of Labile Verbals in the Ming Dynasty (Early Mandarin) 4.2.1 Compound labile verbals in Sanyan stories 4.2.2 Contingency between compound verbals and the intransitive labile construction