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Photographs included in the original manuscript have been reproduced xerographically in this copy. Higher quality 6" x 9" black and white photographic prints are available for any photographs or illustrations appearing in this copy for an additional charge. Contact UMI directly to order. ProQuest Information and Learning 300 North Zeeb Road, Ann Arbor, Ml 48106-1346 USA 800-521-0600 UMI' GENITIVE PARTICLES, HISTORICAL CHANGE, AND GRAMMAR: ISSUES IN JAPANESE AND BROADER IMPLICATIONS VOLUME I DISSERTATION Presented in Partial Fulfillment of the Requirements for the Degree Doctor of Philosophy in the Graduate School of The Ohio State University By Yu Hirata, B.M.Eng., M.A. ***** The Ohio State University 2001 Dissertation Committee: Approved by Professor Charles J. Quinn, Jr., Adviser Professor James M. Unger Iviser Professor Brian D. Joseph Department of East Asian Languages and Literatures UMI Number 3022500 Copyright 2001 by Hirata, Yu All rights reserved. UMI’ UMI Microform 3022500 Copyright 2001 by Bell & Howell Information and Leaming Company. All rights reserved. This microform edition is protected against unauthorized copying under Title 17, United States Code. Bell & Howell Information and Leaming Company 300 North Zeeb Road P.O. Box 1346 Ann Arbor. Ml 48106-1346 Copyright by Yu Hirata 2001 ABSTRACT This dissertation attempts to shed new light on various issues concerning historical changes undergone by genitive particles in Japanese. It examines not only various historical data (e.g. Man 'yôshû, ca. 759 A.D.), but also variations in modem dialects. It also considers relevant crosslinguistic data, such as 0(ld)/M(iddle)/Mod(em) English, 0/M/Mod Chinese, M/Mod Korean, 0/M/Mod (High) German, Latin, French, Turkish, Yaqui, Quechua, Classical/Mod Tibeto-Burman languages, and Australian languages. Based on this broader approach, this research offers specific claims about Japanese, as well as claims that have significant implications for general linguistics. Chapter 1 provides preliminary information about Old Japanese (OJ) of the eighth century and Modem Japanese (ModJ). Chapter 2 discusses differences among three genitive particles of OJ, namely gn, no, and tu. Chapter 3 addresses their origins. Chapter 4 is devoted to subject marking by genitives in OJ and other languages. Chapter 5 discusses historical changes undergone by genitive particles, i.e. their development into the nominative ga and the conjunctive ga, the development of theme-marking particles, and the development of quasi-nominal no. Chapter 6 examines dialectal variations in ModJ and historical developments of genitive morphemes in various languages. Chapter 7 offers an overall conclusion. Regarding the differences between GEN ga and GEN no, I claim in Chapter 2 that the so-called “pejorative/honorific distinction” in Middle Japanese (MJ) was a socially motivated, temporary and regional development based on language use at the time, and that such distinction was not operative in 0 1 GEN tu has been studied less than GEN ga and no, perhaps because it was not very productive in 01 However, I claim that tu was actually more widely used as a general genitive in the pre-OJ period, and argue for the likelihood of the cognate relationship between OJ GEN tu and Middle Korean GEN 5. As for the origins of GEN ga, no, and tu. Chapter 3 provides thorough reviews and critiques of past studies regarding the issues, and narrows down the possible scenarios. One possible scenario seems to be that GEN no and tu came hom copula verbs. Another possible scenario would be that GEN ga and tu came from demonstratives. GEN-marldng of subjects is observable in many languages. It is generally thought to be limited to subordinate clauses. In OJ, however, it is observable in almost all types of clauses, including main clauses, albeit with different frequencies. Based on the OJ data, 1 claim in Chapter 4 that different frequencies of GEN-marking are attributable to different degrees of clausal nouniness. In other words, each clause is “nouny” (or “verby”) to a different degree, and this correlates with GEN-marking of their subjects. 1 also argue that the different degree of clausal nouniness is a result of what 1 call “category management” in the domain of the sentence, which is deducible &om a more general claim that all (major) categories in a single sentence must be managed along the category squish between noun and verb. With regard to the development of the conjunctive ga in Chapter S, I argue against the unidirectionality hypothesis as articulated in grammaticalization theory, and claim that change from subordination towards parataxis is possible as long as two morphological and syntactic conditions are met In Chapter 5,1 also claim that a fundamental restructuring of the theme-marking system for desiderative expressions (‘want to’) occurred in Early Middle Japanese. Ill In Chapter 6 ,1 argue that different genitive particles in OJ took the same developmental path in different dialects, i.e. genitive > pronominal genitive > bound pronominal > nominalizer > sentence particle. Crosslinguistic data show that this process is not unusual, but simply constrained by the morphology, syntax, and lexicon of each language. This developmental process also demonstrates that grammaticalization theory does not • in its present formulation, at least - account for all possible changes in human language. Based on what we observe with regard to dialectal variation, it can be claimed that so-called “standard” languages in general do not necessarily represent what speakers must do (or must have done) with their languages. One recurring theme throughout this dissertation is how grammars are formulated for competing forms, structures, and categories, and how those competitions project to language change. In conclusion, I claim in Chapter 7 that grammar is formulated based on speech production; there is no grammar formulated without negotiations over meanings and structures among speakers. In other words, grammar is not autonomous. I also claim that categories, such as “noun” and “verb”, and “subject” as well, are not given in grammar, but rather can only be first induced from speech production. IV Dedicated to my parents ACKNOWLEDGMENTS I wish to thank my adviser, Charles Quinn, who first brought me to the fascinating world of classical Japanese in his class J601 and broadened my views on linguistic analysis. I am grateful for his continuous intellectual support and encouragement I would also like to thank James Unger for his invaluable comments and stimulating discussions. 1 am still at the entrance to Old Japanese phonology, but I feel that the door was opened because of him. I also wish to thank Brian Joseph for his invaluable and encouraging comments. His views on grammar and language change have had significant influence on this dissertation. 1 feel fortunate to have these professors on my dissertation committee. Many thanks are also due to all professors in my department I would especially like to thank Mari Noda and Mineharu Nakayama for their continuous intellectual support and encouragement. I also thank Richard Torrance, since 1 took J601, which was not a required class at the time, on his recommendation. I am also grateful to Harry Vredeveld &om the department of German, whose generosity made my first quarter at OSU possible. [ appreciate every moment I have had in Columbus. [ would like to thank Diana Kaderly, who provided me with a home away home when I first arrived in Columbus. I am very thankfiil for all the people I have met in my department I especially thank Sanae Eda, Yuko Harako (Okutsu), Shane Jones, Michiko Kato, AkQiiko Kumakura, Ayumi Nagatomi, Atsushi Onoe, Minae Savas, Koichi Sawasaki, Misako Suzuki, and Misako Terashima. I also thank Stephen Filler, Scott Langton, Stephen Stratman, and Michael Tangeman for their fiiendship, as well as their help in prooÈeading my various papers. I also owe thanks to vi H u ^ Lin, Lt Yu, and Ok Joo Lee for their help on Chinese data and Korean data. Special thanks go to Debbie Knicely for her assistance on every aspect of my school life. I thank my department for providing me with graduate teaching assistantships and an invaluable teaching experience. My dissertation research in 2001 has been supported by a Presidential Fellowship at OSU. 1 am grateful for this support from the Graduate School, and for the arrangement by DEALL for my absence from teaching. Also, I wish to thank professors and a faculty member outside OSU who supported my graduate life: Yukio Hori, Takahisa Kato, and Mamoru Katagiri of the University of Tokyo helped me starting a graduate life in Australia, and I also thank Hugh Clarke, Hiroko Kobayashi, and Nerida Jarkey of the University of Sydney. I am grateful to Shuzen Hokama of Hosei University for his continuous encouragement. I also owe many thanks to Wesley Jacobsen of Harvard University for his help in my pursuit of the above fellowship. On many occasions in this dissertation, 1 present analyses different from those of past studies.