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研究生：	陳彤曲 Tung-chu Chen
論文名稱：	「掉」的語義演變與語法化 Semantic Change and Grammaticalization of Diao
指導教授：	曹逢甫 Tsao, Feng-Fu 陳純音 Chen, Chun-Yin
學位類別：	博士 Doctor
系所名稱：	英語學系 Department of English
論文出版年：	2014
畢業學年度：	102
語文別：	英文
論文頁數：	361
中文關鍵詞：	語義來源、同義並列複合詞、結果式動詞複合詞、動相標記、可能式、持續原則
英文關鍵詞：	semantic source, synonymous compound, resultative verb compound, phase marker, potential form, persistence
論文種類：	學術論文
相關次數：	點閱：256 下載：15
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本論文以歷時的觀點研究「掉」字的語義演變、語法化演變模式。上古時期，漢語「掉」字的中心意義為動詞掉1「擺動」，次要義為掉2「扶正」、掉3「帶動」。透過譬喻、換喻等機制，再加上同義並列複合詞的另一個成分的加強作用，中古時期出現了大量的多義現象，即以動物的「擺動」為基礎，衍生出掉4「轉動」。掉5「控制」來源為「尾大不掉」，已經延用為成語。由於掉1可以「擺動」無生命物體，加上掉2「掉鞅」被用來指「駕車」，於是中古時期形成掉6「划船」、「駕車」。晉朝郭璞將「掉」字在「掉希間」的「跳躍」註解為「懸」、「擿/擲」，我們認為「懸」是形成掉7「吊」的來源，而「擿/擲」以及「擲」為中心形成的同義並列複合詞是掉8「落」、掉9「遺留/遺漏/遺失」、以及「掉」作為完結標記的語義來源。我們認為掉8「落」、掉9 「遺留/遺漏/遺失」、以及「掉」作為完結標記的用法在南宋是共時存在的。
我們以Heine (2002) 一個語法形式的形成需要四個階段的路徑假說為基礎，以及一個普遍的語法化過程：拋棄 > 完結標記的理論為背景來分析「掉」的語法化。我們認為造成語法化的語義來源為一連串「掉」的義項：拋/棄/落/移除/釋放/遺留。從晉朝以來「掉」的「拋棄」義都是和同義動詞搭配成複合詞。這樣的搭配造成「掉」本身詞義的擴張，也造成語法化的語義來源成為一連串「掉」的義項，而且當有新的複合詞形成時，「掉」被放在複合詞的第二個位置導致語義弱化，使得整個「V-掉」結構被重新分析成「結果式動詞複合詞」(RVC) 。南宋時期，「掉」在「結果式動詞複合詞」中仍是一個動詞，指涉動作的結果與完成。我們將清朝時的「掉」命名為「結果標記」，因為清朝時「V-掉」結構已經出現「可能式」，「掉」在現在成為「動相標記」，因為現代漢語平衡語料庫中「V-不-掉」的結構佔了「掉」詞條的 29.3%，而在清朝的語料中卻只佔5.3%。

根據 Hopper (1991, 1996)的「持續原則」，「掉」從南宋開始就和一連串「掉」的義項: 拋/棄/落/移除/釋放/遺留相關的前置動詞搭配，結果從現代的角度來看，「掉」似乎能無窮盡的和沒有相關意義的動詞搭配成「結果式動詞複合詞」。還有從元、明、清殘留的詞彙含義。元朝時，「掉」在「V-掉」中就有標記物體「從有到無」的意義。明代時，「掉」在「V-掉」中可用來純粹標記「具體動作」的完成，清代時更用來純粹標記「抽象動作」的完成。現代漢語中，「掉」在「V-掉」中可用來純粹標記「狀態的改變」。有些「V-掉」結構有負面的含義，無法形成「得掉」或「記掉」。這一方面是因為語法化的語義來源為一連串「掉」的義項: 拋/棄/落/移除/釋放/遺留，而這些義項本身含有負面的特點。另外，元朝時，「掉」在「V-掉」中就有標記物體「從有到無」的意義，而「得掉」或「記掉」不能被接受，也是因為和「掉」的「從有到無」的意義矛盾。

This dissertation explores the semantic change of diao in a diachronic perspective. Diao 1 in Archaic Chinese points to a central idea ‘to move up and down/back and forth.’ Diao 2 in diao yang means ‘to keep the strap upright’ while diao 3 means ‘to mobilize.’ In Middle Chinese, diao 4 ‘to turn’ derives from ‘the oscillation of a tail fin.’ Diao 5 ‘to control’ benefits from a conventional metaphor, wei da bu diao ‘hard to control.’ Diao 6 ‘to paddle/drive’ benefits not only from the central idea ‘to sway an entity’ applied to ‘to paddle a boat,’ but also from diao yang, which evolves into ‘to drive’ via the metonymy, PART FOR WHOLE. Diao 7 ‘to hang’ benefits from Pu Guo’s annotation of diao as ‘to hang.’ Diao 8 ‘to drop’ and diao 9 ‘to leave/miss/lose’ are suggested to come from Pu Guo’s another annotation of diao in diao xi jian as ‘to throw’ and from nearly-synonymous compounds associated with diao ‘to throw.’ During Sothern Song Dynasty, diao 8 ‘to drop’ takes shape by extracting the reading ‘to drop’ from a group of synonymous compounds. The same applies to diao 9 ‘to leave/miss/lose’ and a grammatical diao in V-diao. We hold that diao 8, diao 9, and the grammatical diao are in a relation of companions at a synchronic state, not a relation of derivation.
Grammaticalization path of diao is analyzed on the basis of Heine’s (2002) four-stage scenario and a general process, ‘to throw,’ ‘to abandon’ > COMPLETIVE. We suggest that the semantic source, a continuum of senses ‘to throw/abandon/drop/remove/release/leave,’ gives rise to a grammatical diao. Diao ‘to throw’ from the Jin Dynasty, strengthened by the preceding verbs within nearly-synonymous compounds, forms a continuum of senses, which makes a contribution to the expansion of the senses of semantic source. Before and during Southern Song Dynasty, when a nearly-synonymous compound is formed, it tends to a construction that places diao in the second position, which weakens diao’s semantic indication and leads to a new interpretation of a resultative verb compounds (RVC) of V-diao in terms of reanalysis. We term diao at this stage as a resultative/completive use in an RVC to characterize that it is a lexical verb but signals some result and the completion of an action. We term diao during the Qing Dynasty as a resultative marker because the potential form occurs. Diao in RVCs in contemporary Chinese is viewed as a phase marker since a potential form of V-bu-diao construction in Sinica Corpus accounts for 29.3% out of 317 diao entries while that during the Qing Dynasty accounts for only 5.3%. Based on the principle of persistence (Hopper 1991, 1996), some traits of the lexical diao meaning a continuum of senses have persisted since the Southern Song Dynasty. Diao tends to collocate with preceding verbs with a hue of the senses in the continuum comprising ‘to throw/abandon/drop/remove/release/leave,’ and the result is inexhaustible V-diao compounds. Some traits of diao in V-diao persist from the Yuan, Min, Qing. Diao in V-diao implies an entity from existence to non-existence and also denotes the completion of an action. In the Ming, diao purely pointing to the completion of a concrete physical action occurs. In the Qing, diao purely denoting the completion of an abstract idea occurs. In contemporary Chinese, a new denotation of diao in V-diao emerges, referring to change of state. Some V-diao entries convey a negative connotation, which is attributable to the continuum of senses, as well. Some V-diaos, ji diao ‘to remember’ and de diao ‘to obtain’ are diametrically opposed to the implication of an entity from existence to non-existence. Some senses along the continuum have a hint of negative features. Old implication and new denotation of diao have coexisted side by side since the Yuan Dynasty.

Chinese Abstract………………………………………………………………………i
Abstract………………………………………………………………………………iii
Acknowledgments.........................................................................................................v
Table of Contents……………………………………………………………………vii
List of Tables………………………………………………………………………...xii
List of Figures……………………………………………………………………….xv
List of Abbreviations……………………………………………………………….xvi

Chapter One  Introduction
1 Motivation…………………………………………………………………..……..1
2 Goals………………………………………………….………………….………...4
3    Methodology and Data Collection…………………………….………….……….5
4 Organization of the Dissertation…………………………………………………...9

Chapter Two  Literature Review and Theoretical Background
1 Diachronic Studies……………………………...………………………………..11
1.1 Yang (2007)………………………………………………………………...11
1.2 Liu (2007)……………………………….………………...……………….12
1.3 Xu (2007)…………………………………………...……………………...14
1.4 Chen (2007)……………………………………...…………………………14
2 Synchronic Studies……………………………………………………………….16
2.1 Zhou (1999)…………………………………………………………...……16
2.2 Pu (2000)…………………………………………...………………………20
2.3 Cheng (2004)……………………………………………………………….22
2.4 Liu (2007)…………………………………………………………………..24
3 Theoretical Background……………………………………………………...…..28
3.1 Semantic Change of Diao………………………………………………….28
3.1.1 Compounding………………...……………………………………29
3.1.2 Metaphor and Metonymy………………………………………….30
3.1.3 Bridging Contexts……………..…………………..………………32
3.2 Grammaticalization of Diao………………………………………………..33
3.2.1 The General Tendency of Grammaticalization in Chinese………..33
3.2.2 Semantic Source……………………………………...……………35
3.2.3 The Syntagmatic Association within a Compound………………..38
        2.3.2.4 Reanalysis…………………………………...………………….….39
3.2.5 Heine’s Scenario (2002)………………………………...…………40
3.2.6 Principles of Grammaticalization Involved……………………….42
3.2.7 Characteristics of a Phase Marker………………………...……….44
4 Conclusion…………………………………….………………………………….45

Chapter Three  The Diachrony of Diao in Archaic Chinese
1 Diao 1 Category: The Central Idea…………………………………………...….47
1.1 The Basic Sense……………………………………………………………48
        3.1.1.1 Diao Associated with Animate Body Parts……………….……….48
        3.1.1.2 Diao Associated with Inanimate Entities………………………….56
1.2 The Extended Meaning of the Central Idea………………….……………..63
1.3 Interim Summary…………………………………...………………………67
2 Diao 2, Diao 3, and Diao 4………………………………………………………69
2.1 Diao 2 ‘to Keep Upright’…………………………………………………..69
2.2 Diao 3 ‘to Mobilize’………………………………….…………………….72
2.3 Diao 4 ‘to Turn’…………………………………………………………….73
2.4 Interim Summary……………………………………….…………………..75
3 The Historical Paths of Diao in Archaic Chinese………………………………...76
4 Conclusion………………………………………………...……………………...79

Chapter Four  The Diachrony of Diao in Middle Chinese
1 Diao 1 Category: The Central Idea………………………………………...…….83
1.1 The Basic Sense……………………………………………………………84
        4.1.1.1 Diao Associated with Animate Body Parts………………….…….84
        4.1.1.2 Diao Associated with Inanimate Entities………………………….93
1.2 The Extended Meanings of the Central Idea…………………...…..………99
1.3 Interim Summary………………………………………………………….109
2 Other Senses of Diao……………………………………………………………112
2.1 Diao 2 ‘to Keep Upright’……………………………………………...….113
2.2 Diao 4 ‘to Turn’………………………………………….………………..114
2.3 Diao 5 ‘to Control’……………………………………...………………...119
2.4 Diao 6 ‘to Paddle/Drive’…………………………………………...……..121
2.5 Diao 7 ‘to Hang’……………………………...…………………………..125
3 The Starting Point of Bridging Context for Future Diao 8 and Diao 9…….…..126
4 Developmental Paths of Diao from Archaic to Middle Chinese………....……..129
5 Conclusion………………………………………………………………………132

Chapter Five  The Diachrony of Diao in the Song Dynasty
1 The Semantic Change of Diao…………………………………….……..……..137
1.1 The Basic Sense and Its Metaphorical Use……………………………….137
        5.1.1.1 Diao Associated with Animate Body Parts………………………137
        5.1.1.2 Diao Associated with Inanimate Entities…………………...……144
        5.1.1.3 Interim Summary…………………………………………………146
1.2 Diao 2, Diao 3, Diao 4, Diao 5, Diao 6, and Diao 7…………………..…146
1.3 Diao 8 ‘to Drop’ and Diao 9 ‘to Leave/Miss/Lose’…….……...…………148
        5.1.3.1 The Assumption Based on Heine’s (2002) Scenario…….………150
1.3.2 The Overview of Formation of Diao 8 ‘to Drop’………………...150
        5.1.3.3 The Overview of Formation of Diao 9 ‘to Leave/Miss/Lose’…...165
        5.1.3.4 Frequency of Occurrences for Diao 8 and Diao 9…………...…..174
2 The Grammaticalization of Diao………………………………………………..174
2.1 The General Tendency of Grammaticalization in Chinese History………175
2.1.1 The Cline………………...……………………………………….175
2.1.2 The Assumption of a Cline for the Grammaticalization of Diao...177
2.2 The Semantic Source………………………...…………...……………….179
2.2.1 Evidence for the General Process of Grammaticalization……….182
2.2.2 The Assumption of the Role of Diao in V-diao Construction…...183
2.3 The Syntagmatic Association…………………………………………..…185
2.3.1 The Constructions in Archaic Chinese………….………………..187
2.3.2 The Constructions in Middle Chinese……………………………188
2.3.3 The Constructions in the Song Dynasty………………………….191
3 Conclusion………………………………………………………………………201

Chapter Six  The Diachrony of Diao in Yuan, Ming, and Qing Dynasties
1 The Mixture of Homophones: Diao 掉 and Diao 調………………….……...206
2 The Metaphorical Use of Newly-formed Terms……………….……………….217
2.1 The Metaphorical Use of Diao with Body Parts………………………….218
2.2 The Extension of Diao She …….…………………………………………218
2.3 The Metaphorical Use of Diao with Inanimate Entities………………….221
3 Diao as a Resultative Marker in a Resultative Verb Compound……………….226
3.1 Four-stage Scenario of Diao on the Basis of Heine (2002)………………228
3.1.1 Stage I: Initial Stage……………………………………………...228
3.1.2 Stage II: Bridging Context…………………………………...…..229
3.1.3 Stage III: Switch Context……………………………………...…234
3.1.4 Stage IV: Conventionalization………………….………………..238
3.2 The Distributions of RVCs of V-diao……………………………………..257
3.3 V-de-diao Construction and V-bu-diao Construction………………….....261
3.4 Disyllabic Predicate + Diao Construction    …………..…………….………263
3.5 Interim Summary………………………………………………………….265
4 Conclusion………………………………………………………………………266

Chapter Seven  The Diachrony of Diao in Contemporary Chinese
1 The Effect of Semantic Source on V-diao in Contemporary Chinese………….269
1.1 Various Types of Preceding Verbs in V-diao………………………...……270
1.2 Old Implication and New Denotation of Diao in V-diao…………………273
1.3 Negative Connotations of V-diao……………………………......………..276
2 The Grammatical Status of Diao in V-diao……………………………..………278
2.1 Diao as a Resultative Marker in the Qing Dynasty……………………….278
2.2 Diao as a Phase Marker in Contemporary Chinese……………………….281
3 New Trends of V-Diao Construction……………..………………..……………283
3.1 Competition between a Lexical Diao and a Grammatical Diao……….…283
3.2 Disyllabic Predicate + Diao Construction…………………………….…..286
4 Conclusion………………………………………………………………………287

Chapter Eight  Conclusion
1 Semantic Change of Diao………………………………………...…………….289
1.1 Archaic Chinese…………………...………………………………………289
1.2 Middle Chinese……………….…………………………………………..290
1.3 Song Dynasty………………..…………………………………………….291
1.4 Yuan, Ming, Qing Dynasties………………...…………………………….292
2 Grammaticalization of Diao…………………………………...………………..293
2.1 Factors for Grammaticalization of Diao and the Cline for Diao……..…..293
2.2 Semantic Source for Grammaticalization and Its Effects……………...…296
2.3 Implications and Denotations of Diao in V-diao…………..……………..298
2.4 The New Trends……………..……………………………………………298
3 Limitations of the Study and Suggestions for Further Research…..…………....299

References…………….……………………………………………………………301

Appendix 1 Diao Entries in Archaic Chinese………………………………………319
Appendix 2 Diao Entries in Middle Chinese……………………………………….321
Appendix 3 Diao Entries in the Song Dynasty……………………………………..329
Appendix 4 Entries of V-diao in the Yuan Dynasty………………………………...338
Appendix 5 Entries of V-diao in the Ming Dynasty………………………………..340
Appendix 6 Entries of V-diao in the Qing Dynasty…………………………….......342
Appendix 7 Entries of V-diao in Sinica Corpus 4.0……………………………..…350
Appendix 8 Entries of V-bu/de-diao in Sinica Corpus 4.0…………………………352
Appendix 9 Chronology of Chinese History………………………………………..355
Appendix 10 Senses of Diao 1 and Its Collocations in Archaic Chinese…………...356
Appendix 11 Senses of Diao 2, Diao 3, and Diao 4 and Their Collocations in Archaic Chinese……………………………………………………………….357
Appendix 12 Frequency of Diao Entries for Different Senses and Their Collocations in Archaic Chinese…………………………………………………...358
Appendix 13 Development Paths of Diao in Archaic Chinese………..……………359
Appendix 14 Senses of Diao 1 and Its Collocations in Middle Chinese………...…360
Appendix 15 Developmental Paths of Diao from Archaic Chinese to Middle Chinese…………………………………………………………….…361

                                

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