Grammaticalization, Economy, and Linguistic Cycles

Elly van Gelderen

ellyvangelderen@asu.edu

16 May 2007, University of Napleswww.public.asu.edu/~gelderen/Naples07.ppt

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AimsTo present a description of some recurring

changes (in the history of Germanic)

To understand some of these cycles within a Minimalist Program

OutlineEconomy Principles

CI and SM Economy

Examples of Cycles

Focus on one cycle: renewal of left periphery

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CyclesNegative (neg):

neg indefinite/adverb > neg particle > (neg particle)

Definiteness

demonstrative > article > class marker

Agreement

emphatic > pronoun > agreement

Auxiliary

V/A/P > M > T > C

Clausal

pronoun > complementizer

PP/Adv > Topic > C

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Grammaticalization is part of the Cycle:

Go, from V > T ([motion; future] > [future])

On, from P > ASP

Like, from P > C

Modals: v > ASP > T

To: P > ASP > M > C

PP > C (for and after)

VP Adv > TP/CP Adverbial

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One Macroparameter à la Baker? a Macro-Cycle or Micro-Cycles?

Synthetic Analytic

+/-Polysynthesis, or SM vs. CI?

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Background on the Cycle/Spiral

• de Condillac, Tooke, A.W. von Schlegel, von Humboldt, Bopp

• more recently: Tauli 1958 and Hodge 1970

• Grammaticalization literature:

word > clitic > affix > 0

(from Hopper & Traugott 2003)

• formal approaches

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Formal Approaches, e.g. Economy Principles, van Gelderen 2004

Head Preference Principle (HPP):Be a head, rather than a phrase.Late Merge Principle (LMP): Merge as late as possible.Specifier Incorporation (SIP)Be incorporated if you are a phrase.Null hypothesis of language acquisitionA string is a word with lexical content (Faarlund 2005).

UG Principles: guidance to the child (in acquisition) and the adult (in the derivation)

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The Linguistic Cycle, e.g. the Negative Cycle

HPP XPSpec X'na wiht X YP

not > n’t …Late Merge

Neg > Neg > Neg[i-neg] [u-neg] … negative [i-neg]

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Negative Cycle

(1)a. no/ne eOEb. ne (na wiht/not) OE, especially Southernc. (ne) not ME, especially Southernd. not LME-not/-n’t LME

Old English – South:(2)Næron 3e noht æmetti3e, ðeah ge wel ne dyden

not-were you not unoccupied. though you well not did`You were not unoccupied, though you did not do well'. (Pastoral Care, Cotton, Sweet, 206).

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Negative Concord Cycle

(1) ænig monn ne mæg tuæm hlaferdum hera

any man not may two lords serve (Northumbrian c950)

(2) ne mæg ænig twæm godum ðeowigan

not may any two gods serve (Mercian C10)

(3) Ne mæg nan man twam hlafordum þeowian not may no man two lords serve (Corpus c1000)

(4) Ne mayg nam man twam hlaferden þeowian not may no man two lords serve (Hatton c1150)

Matthew 6.24

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DP Cycle

a. DP b. DPdem D' D' (=HPP)

D NP D NPart N

c. DP

D'D NP^ N

renewal

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Demonstratives(1) demonstrative/adverb > definite article >

Case/non-generic > class marker > 0

(2) gife to … þa munecas of þe mynstregive to … the monks of the abbey (Chron.

E 656)(3) th'enrag'd Northumberland (2Henry4,

Shakespeare)(4) Oh they used to be ever so funny houses you

know and in them days … They used to have big windows, but they used to a all be them there little tiny ones like that. (BNC - FYD 72)

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Feature Change:

a. DP b. DP

that/thoseD' D'

[u-phi] D NP DNP

[i-loc] N … the N

[phi] [u-phi] [phi]

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Subject Cycle

TP TP (=HPP)DP T’ DP T’pron T VP pron pron-T VP

Urdu/Hindi, Japanese Coll French, CVC

TP[DP] T’ (=LMP)[pron] pron-T VP

Navajo, Spanish, Arabic

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The Subject Cycle

(1) demonstrative > third person pron > clitic > agrmnt(2) oblique > emphatic > first/second pron > clitic > agrmnt

Basque verbal prefixes n-, g-, z- = pronouns ni ‘I’, gu ‘we’, and zu ‘you’.

Pama-Nyungan, inflectional markers are derived from independent pronouns.

Iroquoian and Uto-Aztecan agreement markers derive from Proto-Iroquoian pronouns

Cree verbal markers ni-, ki-, o-/ø = pronouns niya, kiya, wiya.

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English: in transition(a) Modification, (b) coordination, (c) position, (d) doubling, (e) loss of V-movement, (f) Code switching

Coordination (and Case)(1) Kitty and me were to spend the day.(2) %while he and she went across the hall.

Position(3) She’s very good, though I perhaps I shouldn’t say

so.(4) You maybe you've done it but have forgotten.(5) Me, I was flying economy, but the plane, … was

guzzling gas

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Doubling and cliticization(1) Me, I've tucking had it with the small place.(2) %Him, he ....(3) %Her, she shouldn’t do that (not

attested in the BNC)(4) *As for a dog, it should be happy.

CSE-FAC:uncliticized cliticized total

I 2037 685 (=25%) 2722you 1176 162 (=12.1%) 1338he 128 19 (=12.9%) 147

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Aspect Cycle

a. ASPP b. ASPPASP‘ ASP'

ASP VP ASPVP

up V AP up ...finish up

c. ASPP

ASP'ASP VP

V APfinish up

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Late Merge?

• Chomsky (1995: 348): Late Merge accounts for the presence of expletive subjects over raising; the principle is used by Fox (2002) to account for Antecedent Contained Deletion and by Bhatt & Pancheva (2004) for the scope of degree clauses. Both Roberts & Roussou (2003) and van Gelderen (2004) use it to account for grammaticalization.

• Chomsky post 1995: IM = EM, no difference• It still seems salvageable but is it better to see

things in terms of features?

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Late Minimalism and Features• Architecture

– Syntax is inert– All is variation in the lexicon– Approaching UG from below– Computational Efficiency: SM and CI interface

• Features– uninterpretable = unvalued in the lexicon

(Chomsky 2006: 12)

– probes value them; removed before CI transfer

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Feature Economy: uF as SM perfection; iF as CI perfection

Economy of Features (at Sensory Motor interface):Minimize the interpretable features in the derivation

Spec > Head > zerosemantic> interpretable > uninterpretable

(phi on N) (uphi on T)

Cycle goes from (a) to (b) to (a) …a) Movement links two positions and is thereby economical

(synthetic) = uninterpretable/EPP = PHON Economyb) Avoid syncretism; Iconicity is economical (analytic) =

semantic and interpretable features = SEM Economy

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From V > AUX; and Pronoun > Agr

VP TP

V DP > T VP

wolde [uCASE] would V DP[ACC] [phi] [uphi]

[uphi]

emphatic > personal > agreement

[i-phi] [i-phi] [u-phi]

[i-Case] [uCase]

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From P > C

PP CP

P DP > CTP

after after[u-phi] [3S] (u-phi)

[ACC] [uACC]

In English, no phi, but Germanic C-agreement.

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Renewal at the end of the cycle

• Newmeyer 2006 notes that some grammaticalizations from noun/verb to affix can take as little as 1000 years, and wonders how there can be anything left to grammaticalize if this is the right scenario.

• Late Merge (Feature Economy), however, provides an answer for what the source of the replenishments are, namely lexical elements from lower in the tree. There are also borrowings and creative inventions through SIP.

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Internal and External Factors? CI and SM

• Jespersen: "the correct inference can only be that the tendency towards ease may be at work in some cases, though not in all, because there are other forces which may at times neutralize it or prove stronger than it".

• Von der Gabelentz (1891/1901: 251/256): "Deutlichkeit" ('clarity') and "Bequemlichkeit" ('comfort').

• Chomsky (2006: 9): “The conflict between computational efficiency and ease of communication appears to be resolved, universally, in favor of computational efficiency to satisfy the semantic (CI) interface, lending further support to speculations about its primacy in language design”.

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Clause markers and the Cycle

1. WH > Yes/No

2. Relative > C

3. P(P) > C

(4. VP adverb >

Clausal adverb)

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Cartography

ForceP

Force'

Force ForceP

Top'

Top FocP

Foc'

Foc TP(1) mekele ka ñgat na azla siñgwe ya

mekeleTOP he FOC 3-took money FOC

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Whether: WH-pronoun to Yes/No and C(1)Hwæðer þara twe3ra dyde þæs fæder willan?

Who of-the two did the father’s will WS Gosp. Matt. xxi. 31

(2)Hwæðer wæs iohannes fulluht þe of heofonum þe of mannumWhether was John's baptism that of heavens or of man`Was the baptism of John done by heaven or by man' (West Saxon Gospel, Corpus, Matthew 21.25).

(3)þær se snotera bad. hwæþer him alwalda æfre wille ... wyrpe gefremman. there the wise waited whether him almighty ever would ... change accomplish`There the wise one waited whether the almighty would ever grant him change' (Beowulf 1313-5).

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Pronoun to Q

CP CP

whether C’ whether C’ =LMP

C … C

Late Merge is obvious but

HPP never `caught on’: external reasons

Features? whether > whether-C > whether-C

[i-Q] [i-Q] [uQ]= probe

[i-phi]

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Urdu and Norwegian varieties

(1) kya ram jata he Hindi/UrduQ Ram go-3S is`Is Ram going'?

(2) Ap kya kerũge Hindi/Urduyou what do-FUT.2P`What are you going to do'.

(3) Kven du såg?Who you saw`Who did you see?' (Åfarli 1985: 6).

(4) Ka for nokka sa dokker?what for something said you`What kind of thing did you say?' (Taraldsen 1985)

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Chinese

(1) ta chang qu bu

he often go not

`Does he go often?' (Cheng et al 1996: 43)

(2) hufei kan-wan-le nei-ben shu meiyou

Hufei read-finish-PERFthat-CL booknot

`Has Hufei finished the book?' (Cheng et al. 1996: 41)

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late merge

CP

C'

C NegP

Neg'

Neg ASPP

ASP'

ASP ...

bu

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English relatives in OE and ME

OE se þe > þe or þæt:

(1) scyldwiga … se þe wel þenceþshield-fighter … the that well thinks/judges

`(Every sharp) shield fighter, who judges well' (Beowulf 287-9).

(2) as theo the duden with Godd al thet ha walden.

`as those who did with God all that they wanted’.

(Ancr. R. III 492)

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Colloquial French, Yiddish, etc

(1) jene vos hobn gezen zajne kuncn

those thathaveseenhis tricks`those who have seen his tricks' (Krogh 2001: 46)

(2) J’étais une personne que j’avais beaucoup d’amis

I was a person that I had many friends

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Wh-cycle

a. CP b. CP þat C' (=SIP) C’ (=HPP)

se/þam C TP C TP (þe/þat) that

c. CP

wh- C'C TP

renewal that ...

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New relatives

(1) a laide de Dieu notre Seigneur, Qui vous douit bonne vie et longue.`With the help of God, our Lord, who gives us a good and long life' (Bekynton, from

Rydén, p. 131).

(2) be the grace of God, who haue yow in kepyng

`by the grace of God, who keeps you' (Paston Letters 410).

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Preposition > Complementizer/ConjunctionAfter from P > C

(1) Ercenberht rixode æfter his fæder `E. ruled after/following his father' (Chronicle A, anno 640)

(2)a. [æfter him] Stephanus feng to rice. `after him (i.e. Pope Leo), Stephanus became pope'.(Chronicle A, anno 814 [816])

b. [æfter þissum gefeohte] cuom micel sumorlida. `after this fight, there came a large summer-force' (Chronicle A, anno 871)

(3)a. [Æfter þysan] com Thomas to Cantwarebyri `After this, Thomas came to Canterbury'. (Chronicle A, anno 1070)

b. [æfter ðon] uutedlice ic eftariso ic forlioro vel iowih in galileam

`after that, surely I arise-again I come before you in Galilee' (Lindisfarne Gospel, Matthew 26. 32).

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(1)After that the king hadde brent the volum (Wyclyf 1382, taken over in Coverdale 1535 and KJV 1611, from the OED).

(2)After that Raleigh had Intelligence that Cobham had accused him, he endeavour'd to have Intelligence from Cobham (HC, EModE2)

(3) Aftir he hadde take þe hooli Goost (c1360 Wyclif De Dot. Eccl. 22).

(4) After thei han slayn them (1366 Mandeville174).

Four stages:PP < PP 900 (Chronicle A) – presentPP (that) 950 (Lindisfarne) - 1600 (OED 1587)P that 1220 (Lambeth) - 1600 (OED 1611)C 1360 (Wycliff) - present

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Percentages of demonstrative objects (Dem) with after and fronting

Beowulf Chronicle Chronicle A

<892 >892

Dem 2/65=3% 2/26= 8% 17/22= 77%

Fronting 2/65=3% 7/26= 27% 12/22= 55%

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For : P to C(1)ouþer for untrumnisse ouþer for lauerdes neode ouþer for

haueleste ouþer for hwilces cinnes oþer neod he ne muge þær cumon`either from infirmity or from his lord's need or from lack of means or from need of any other kind he cannot go there' (Peterborough Chronicle, anno 675).

(2) forþam Trumbriht wæs adon of þam biscopdome`because T had been deprived of his biscopric' (Peterborough Chronicle, anno 685).

Beowulf PCDemonstr objects 16/54 =30% 67/150 =45%Fronting 18/54 =33% 80/150 =53%

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From lexical to grammatical category

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From P > C

PP CP

P DP > CTP

after after[u-phi] [3S] (u-phi)

[ACC] [uACC]

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Late Merge and Adverbials

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New CP adverbs

(1) You wrote so probably that hyt put me in a feare of daungerys to come. (OED, 1535)

(2) A source, from whence those waters of bitterness..have..probably flowed (OED, 1647)

(3) for, tho very probably I shall not have occasion for them, yet it wou'd be very vexatious to want them shou'd ther be occasion. (1690, Letter by Charles Hatton, HC)

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VP adverb > Clausal adverb

(1) and he shulde goo frank and quite. (OED 1475)

(2) All other lawfull thinges..to do as liberally, frankelie, lawfully..as if they..had been naturally borne within this realme (OED, 1541)

(3) Therefore [with franke and with vncurbed plainnesse], Tell vs the {Dolphins} minde. (Henry V)

(4) She... Can you wonder that I'm disinclined for amusement? He.Frankly, I do (OED 1888)

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Dutch, Bulgarian, Chinese(1)Eerlijk gezegd voel ik daar niet zoveel voor

honestly spoken feel I there not so-much about`Honestly, I don't quite feel like doing that'.

(2)Chestno kazano nishto ne razbiramFrankly spoken nothing not understand-1S.PRES 'Frankly, I don't understand anything.' (Mariana Bahtchevanova p.c.)

(3)Shihua shuo zhezi shi ni zuo leHonest say this-time be you wrong LE`Honestly this time you were wrong'. (Ji 2006)

(4)nou eerlijk ik vind dit een mooi machien now honestly I think this a beautiful engine(www.motor-europe.com/discussions/viewtopic.php?t=899)

(5)Eerlijk, ik heb het nu zeer moeilijkhonestly, I have it now very difficult

huizekeytsman.telenet.be/groen%20plus%20senioren/WVDStappenAsbest.pdf

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The challenge: the dual nature of N and V: need for +/- interpretable f

DP: Theta > discourse

(position > morphology)

V: Theta and TMA

Cycle goes from (a) to (b) to (a) …

a) Movement links two positions and is thereby economical (=synthetic) = uninterpretable/EPP

b) Avoid syncretism; Iconicity is economical (=analytic) = semantic and interpretable features

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Conclusions

• description of cyclical changes as Economy– Negative, Demonstrative, (Agreement), and

Perfective Cycles– Clause marking through

• wh• P• VP adverb

• Reason:– HPP and LMP, or– Semantic features are reanalyzed as grammatical

• Grammaticalization (SM Economy) vs renewal(CI Economy)