Grammaticalization (also known as grammatization or grammaticization) is
a
linguistic
Linguistics is the scientific study of language. The areas of linguistic analysis are syntax (rules governing the structure of sentences), semantics (meaning), Morphology (linguistics), morphology (structure of words), phonetics (speech sounds ...
process in which words change from representing objects or actions to serving
grammatical functions. Grammaticalization can involve
content words, such as
noun
In grammar, a noun is a word that represents a concrete or abstract thing, like living creatures, places, actions, qualities, states of existence, and ideas. A noun may serve as an Object (grammar), object or Subject (grammar), subject within a p ...
s and
verb
A verb is a word that generally conveys an action (''bring'', ''read'', ''walk'', ''run'', ''learn''), an occurrence (''happen'', ''become''), or a state of being (''be'', ''exist'', ''stand''). In the usual description of English, the basic f ...
s, developing into new
function words that express grammatical relationships among other words in a sentence. This may happen rather than speakers deriving such new function words from (for example) existing
bound,
inflection
In linguistic Morphology (linguistics), morphology, inflection (less commonly, inflexion) is a process of word formation in which a word is modified to express different grammatical category, grammatical categories such as grammatical tense, ...
al constructions. For example, the
Old English
Old English ( or , or ), or Anglo-Saxon, is the earliest recorded form of the English language, spoken in England and southern and eastern Scotland in the Early Middle Ages. It developed from the languages brought to Great Britain by Anglo-S ...
verb 'to want', 'to wish' has become the
Modern English
Modern English, sometimes called New English (NE) or present-day English (PDE) as opposed to Middle and Old English, is the form of the English language that has been spoken since the Great Vowel Shift in England
England is a Count ...
auxiliary verb ''will'', which expresses intention or simply
futurity. Some concepts are often grammaticalized; others, such as
evidentiality, less frequently.
In explaining this process, linguistics distinguishes between two types of linguistic items:
*
lexical items or content words, which carry specific lexical meaning
* grammatical items or function words, which serve mainly to express grammatical relationships between the different words in an utterance
Some linguists define grammaticalization in terms of the change whereby lexical items and constructions come in certain linguistic contexts to serve grammatical functions, and how grammatical items develop new grammatical functions.
Where grammaticalization takes place, nouns and verbs which carry certain lexical meaning develop over time into grammatical items such as
auxiliaries,
case markers, inflections, and
sentence connectives.
A well-known example of grammaticalization is that of the process in which the lexical cluster ''let us'', for example in "let us eat", is reduced to ''let's'' as in "let's you and me fight". Here, the phrase has lost its lexical meaning of "allow us" and has become an auxiliary introducing a suggestion, the pronoun 'us' reduced first to a suffix and then to an unanalyzed
phoneme
A phoneme () is any set of similar Phone (phonetics), speech sounds that are perceptually regarded by the speakers of a language as a single basic sound—a smallest possible Phonetics, phonetic unit—that helps distinguish one word fr ...
.
In other areas of linguistics, the term ''grammaticalization'' has taken on a much broader meaning. These other senses of the term are discussed
below.
History
The concept was developed in the works of
Bopp (1816), Schlegel (1818),
Humboldt (1825) and
Gabelentz (1891). Humboldt, for instance, came up with the idea of evolutionary language. He suggested that in all languages grammatical structures evolved out of a language stage in which there were only words for concrete objects and ideas. In order to successfully communicate these ideas, grammatical structures slowly came into existence. Grammar slowly developed through four different stages, each in which the grammatical structure would be more developed. Though
neo-grammarians like
Brugmann rejected the separation of language into distinct "stages" in favour of
uniformitarian assumptions, they were positively inclined towards some of these earlier linguists' hypotheses.
The term "grammaticalization" in the modern sense was coined by the French linguist
Antoine Meillet in his (1912). Meillet's definition was "the attribution of a grammatical nature to a formerly autonomous word". Meillet showed that what was at issue was not the origins of grammatical forms but their transformations. He was thus able to present a notion of the creation of grammatical forms as a legitimate study for linguistics. Later studies in the field have further developed and altered Meillet's ideas and have introduced many other examples of grammaticalization.
During the second half of the twentieth century, the field of
linguistics
Linguistics is the scientific study of language. The areas of linguistic analysis are syntax (rules governing the structure of sentences), semantics (meaning), Morphology (linguistics), morphology (structure of words), phonetics (speech sounds ...
was strongly concerned with
synchronic studies of language change, with less emphasis on historical approaches such as grammaticalization. It did however, mostly in
Indo-European studies
Indo-European studies () is a field of linguistics and an interdisciplinary field of study dealing with Indo-European languages, both current and extinct. The goal of those engaged in these studies is to amass information about the hypothetical p ...
, remain an instrument for explaining language change.
It was not until the 1970s, with the growth of interest in
discourse analysis
Discourse analysis (DA), or discourse studies, is an approach to the analysis of written, spoken, or sign language, including any significant semiotic event.
The objects of discourse analysis (discourse, writing, conversation, communicative sy ...
and
linguistic universals, that the interest for grammaticalization in linguistic studies began to grow again. A greatly influential work in the domain was 's ''Thoughts on Grammaticalization'' (1982). This was the first work to emphasize the continuity of research from the earliest period to the present, and it provided a survey of the major work in the field. Lehmann also invented a set of 'parameters', a method along which
grammaticality could be measured both synchronically and diachronically.
Another important work was
Heine and 's ''Grammaticalization and Reanalysis in African Languages'' (1984). This work focussed on
African languages synchronically from the point of view of grammaticalization. They saw grammaticalization as an important tool for describing the workings of languages and their universal aspects and it provided an exhaustive list of the pathways of grammaticalization.
The great number of studies on grammaticalization in the last decade (up to 2018) show grammaticalization remains a popular item and is regarded as an important field within linguistic studies in general. Among recent publications there is a wide range of
descriptive studies trying to come up with umbrella definitions and exhaustive lists, while others tend to focus more on its nature and significance, questioning the opportunities and boundaries of grammaticalization. An important and popular topic which is still debated is the question of unidirectionality.
Mechanisms
It is difficult to capture the term "grammaticalization" in one clear definition (see the 'various views on grammaticalization' section below). However, there are some processes that are often linked to grammaticalization. These are semantic bleaching, morphological reduction, phonetic erosion, and obligatorification.
Semantic bleaching
Semantic bleaching, or desemanticization, has been seen from early on as a characteristic of grammaticalization. It can be described as the loss of semantic content. More specifically, with reference to grammaticalization, bleaching refers to the loss of all (or most) lexical content of an entity while only its grammatical content is retained. For example,
James Matisoff
James Alan Matisoff ( zh, , t=馬蒂索夫, s=马蒂索夫, p=Mǎdìsuǒfū or zh, , t=馬提索夫, s=马提索夫, p=Mǎtísuǒfū; born July 14, 1937) is an American linguist. He is a professor emeritus of linguistics at the University of Cal ...
described bleaching as "the partial effacement of a morpheme's semantic features, the stripping away of some of its precise content so it can be used in an abstracter, grammatical-hardware-like way".
John Haiman wrote that "semantic reduction, or bleaching, occurs as a morpheme loses its intention: From describing a narrow set of ideas, it comes to describe an ever broader range of them, and eventually may lose its meaning altogether". He saw this as one of the two kinds of change that are always associated with grammaticalization (the other being phonetic reduction).
For example, both English suffixes ''-ly'' (as in ''bodily'' and ''angrily''), and ''-like'' (as in ''catlike'' or ''yellow-like'') ultimately come from an earlier Proto-Germanic etymon, ''*līką'', which meant ''body'' or ''corpse''. There is no salient trace of that original meaning in the present suffixes for the native speaker, but speakers instead treat the more newly-formed suffixes as bits of grammar that help them form new words. One could make the connection between the body or shape of a physical being and the abstract property of likeness or similarity, but only through metonymic reasoning, after one is explicitly made aware of this connection.
Morphological reduction
Once a
linguistic
Linguistics is the scientific study of language. The areas of linguistic analysis are syntax (rules governing the structure of sentences), semantics (meaning), Morphology (linguistics), morphology (structure of words), phonetics (speech sounds ...
expression has changed from a
lexical to a
grammatical meaning (bleaching), it is likely to lose
morphological and
syntactic elements that were characteristic of its initial category, but which are not relevant to the
grammatical function. This is called ''
decategorialization,'' or ''morphological reduction''.
For example, the
demonstrative
Demonstratives (list of glossing abbreviations, abbreviated ) are words, such as ''this'' and ''that'', used to indicate which entities are being referred to and to distinguish those entities from others. They are typically deictic, their meaning ...
'that' as in "that book" came to be used as a
relative clause
A relative clause is a clause that modifies a noun or noun phrase and uses some grammatical device to indicate that one of the arguments in the relative clause refers to the noun or noun phrase. For example, in the sentence ''I met a man who wasn ...
marker, and lost the grammatical category of
number
A number is a mathematical object used to count, measure, and label. The most basic examples are the natural numbers 1, 2, 3, 4, and so forth. Numbers can be represented in language with number words. More universally, individual numbers can ...
('that' singular vs. 'those' plural), as in "the book that I know" versus "the things that I know".
Phonetic erosion
Phonetic erosion (also called phonological attrition or phonological reduction), is another process that is often linked to grammaticalization. It implies that a linguistic expression loses
phonetic
Phonetics is a branch of linguistics that studies how humans produce and perceive sounds or, in the case of sign languages, the equivalent aspects of sign. Linguists who specialize in studying the physical properties of speech are phoneticians ...
substance when it has undergone grammaticalization. Heine writes that "once a
lexeme
A lexeme () is a unit of lexical meaning that underlies a set of words that are related through inflection. It is a basic abstract unit of meaning, a unit of morphological analysis in linguistics that roughly corresponds to a set of forms ta ...
is conventionalized as a
grammatical marker, it tends to undergo erosion; that is, the
phonological substance is likely to be reduced in some way and to become more dependent on surrounding
phonetic
Phonetics is a branch of linguistics that studies how humans produce and perceive sounds or, in the case of sign languages, the equivalent aspects of sign. Linguists who specialize in studying the physical properties of speech are phoneticians ...
material".
Bernd Heine
Bernd Heine (born 25 May 1939) is a German linguist and specialist in African studies.
From 1978 to 2004 Heine held the chair for African Studies at the University of Cologne, Germany, now being a Professor Emeritus. His main focal points in res ...
and
Tania Kuteva have described different kinds of phonetic erosion for applicable cases:
# Loss of phonetic segments, including loss of full syllables.
# Loss of suprasegmental properties, such as stress, tone, or intonation.
# Loss of phonetic autonomy and adaptation to adjacent phonetic units.
# Phonetic simplification
'Going to' → 'gonna' (or even 'I am going to' → 'I'm gonna' → 'I'mma') and 'because' → 'coz' are examples of erosion in English. Some linguists trace erosion to the speaker's tendency to follow the
principle of least effort, while others think that erosion is a sign of changes taking place.
However, phonetic erosion, a common process of language change that can take place with no connection to grammaticalization, is not a necessary property of grammaticalization. For example, the Latin construction of the type , meaning 'with a clear mind' is the source of modern Romance productive adverb formation, as in
Italian , and
Spanish 'clearly'. In both of those languages, -''mente'' in this usage is interpretable by today's native speakers only as a morpheme signaling 'adverb' and it has undergone no phonological erosion from the Latin source, ''mente''. This example also illustrates that
semantic bleaching of a form in its grammaticalized morphemic role does not necessarily imply bleaching of its lexical source, and that the two can separate neatly in spite of maintaining identical phonological form: the noun is alive and well today in both Italian and Spanish with its meaning 'mind', yet native speakers do not recognize the noun 'mind' in the suffix ''-mente''.
The phonetic erosion may bring a brand-new look to the phonological system of a language, by changing the inventory of phones and phonemes, making new arrangements in the phonotactic patterns of a syllable, etc. Special treatise on the phonological consequences of grammaticalization and
lexicalization
In linguistics, lexicalization is the process of adding words, set phrases, or word patterns to a language's lexicon.
Whether '' word formation'' and ''lexicalization'' refer to the same process is controversial within the field of linguistics. M ...
in the Chinese languages can be found in
Wei-Heng Chen (2011), which provides evidence that a morphophonological change can later change into a purely phonological change, and evidence that there is a typological difference in the phonetic and phonological consequences of grammaticalization between
monosyllabic languages (featuring an obligatory match between
syllable
A syllable is a basic unit of organization within a sequence of speech sounds, such as within a word, typically defined by linguists as a ''nucleus'' (most often a vowel) with optional sounds before or after that nucleus (''margins'', which are ...
and
morpheme
A morpheme is any of the smallest meaningful constituents within a linguistic expression and particularly within a word. Many words are themselves standalone morphemes, while other words contain multiple morphemes; in linguistic terminology, this ...
, with exceptions of either loanwords or derivations like
reduplicatives or
diminutive
A diminutive is a word obtained by modifying a root word to convey a slighter degree of its root meaning, either to convey the smallness of the object or quality named, or to convey a sense of intimacy or endearment, and sometimes to belittle s ...
s, other morphological alternations) vs non-monosyllabic languages (including
disyllabic
A syllable is a basic unit of organization within a sequence of speech sounds, such as within a word, typically defined by linguists as a ''nucleus'' (most often a vowel) with optional sounds before or after that nucleus (''margins'', which are ...
or bisyllabic Austronesian languages,
Afro-Asiatic languages featuring a
tri-consonantal word root,
Indo-European languages
The Indo-European languages are a language family native to the northern Indian subcontinent, most of Europe, and the Iranian plateau with additional native branches found in regions such as Sri Lanka, the Maldives, parts of Central Asia (e. ...
without a 100% obligatory match between such a sound unit as syllable and such a meaning unit as morpheme or word, despite an assumed majority of monosyllabic reconstructed word stems/roots in the
Proto-Indo-European
Proto-Indo-European (PIE) is the reconstructed common ancestor of the Indo-European language family. No direct record of Proto-Indo-European exists; its proposed features have been derived by linguistic reconstruction from documented Indo-Euro ...
hypothesis), a difference mostly initiated by the German linguist
W. Humboldt, putting
Sino-Tibetan languages in a sharp contrast to the other languages in the world in typology.
Obligatorification
Obligatorification occurs when the use of linguistic structures becomes increasingly more obligatory in the process of grammaticalization. Lehmann describes it as a reduction in transparadigmatic variability, by which he means that "the freedom of the language user with regard to the paradigm as a whole" is reduced. Examples of obligatoriness can be found in the category of number, which can be obligatory in some languages or in specific contexts, in the development of articles, and in the development of
personal pronouns of some languages. Some linguists, like Heine and Kuteva, stress the fact that even though obligatorification can be seen as an important process, it is not necessary for grammaticalization to take place, and it also occurs in other types of language change.
Although these 'parameters of grammaticalization' are often linked to the theory, linguists such as
Bybee et al. (1994) have acknowledged that independently, they are not essential to grammaticalization. In addition, most are not limited to grammaticalization but can be applied in the wider context of language change. Critics of the theory of grammaticalization have used these difficulties to claim that grammaticalization has no independent status of its own, that all processes involved can be described separately from the theory of grammaticalization. Janda, for example, wrote that "given that even writers on grammaticalization themselves freely acknowledge the involvement of several distinct processes in the larger set of phenomena, it is hard to avoid the conclusion that the notion of grammaticalization, too, tends to represent an epiphenomenal telescoping. That is, it may involve certain typical "path(way)s", but the latter seem to be built out of separate stepping-stones which can often be seen in isolation and whose individual outlines are always distinctly recognizable".
Clines of grammaticality – cycles of categorial downgrading
In the process of grammaticalization, an uninflected lexical word (or content word) is transformed into a grammar word (or
function word). The process by which the word leaves its
word class and enters another is not sudden, but occurs by a gradual series of individual shifts. The overlapping stages of grammaticalization form a chain, generally called a
cline. These shifts generally follow similar patterns in different languages. Linguists do not agree on the precise definition of a cline or on its exact characteristics in given instances. It is believed that the stages on the cline do not always have a fixed position, but vary. However, Hopper and
Traugott's famous pattern for the cline of grammaticalization illustrates the various stages of the form:
:
content word →
grammatical word →
clitic
In morphology and syntax, a clitic ( , backformed from Greek "leaning" or "enclitic"Crystal, David. ''A First Dictionary of Linguistics and Phonetics''. Boulder, CO: Westview, 1980. Print.) is a morpheme that has syntactic characteristics of a ...
→
inflectional affix
In linguistics, an affix is a morpheme that is attached to a word stem to form a new word or word form. The main two categories are Morphological derivation, derivational and inflectional affixes. Derivational affixes, such as ''un-'', ''-ation' ...
This particular cline is called "the cline of grammaticality" or the "cycle of categorial downgrading", and it is a common one. In this cline every item to the right represents a more
grammatical and less
lexical form than the one to its left.
Examples developing a future tense
It is very common for full verbs to become
auxiliaries and eventually inflexional endings.
An example of this phenomenon can be seen in the change from the
Old English
Old English ( or , or ), or Anglo-Saxon, is the earliest recorded form of the English language, spoken in England and southern and eastern Scotland in the Early Middle Ages. It developed from the languages brought to Great Britain by Anglo-S ...
(OE)
verb
A verb is a word that generally conveys an action (''bring'', ''read'', ''walk'', ''run'', ''learn''), an occurrence (''happen'', ''become''), or a state of being (''be'', ''exist'', ''stand''). In the usual description of English, the basic f ...
('to want/to wish') to an auxiliary verb signifying intention in
Middle English
Middle English (abbreviated to ME) is a form of the English language that was spoken after the Norman Conquest of 1066, until the late 15th century. The English language underwent distinct variations and developments following the Old English pe ...
(ME). In
Present-Day English (PDE), this form is even shortened to 'll and no longer necessarily implies intention, but often is simply a mark of future tense (see
shall and will
''Shall'' and ''will'' are two of the English modal verbs. They have various uses, including the expression of propositions about the future, in what is usually referred to as the future tense of English.
Historically, prescriptive grammar ...
). The PDE verb 'will' can thus be said to have less lexical meaning than its preceding form in OE.
* Content word:
Old English
Old English ( or , or ), or Anglo-Saxon, is the earliest recorded form of the English language, spoken in England and southern and eastern Scotland in the Early Middle Ages. It developed from the languages brought to Great Britain by Anglo-S ...
(to want/to wish)
* Grammatical word:
Middle English
Middle English (abbreviated to ME) is a form of the English language that was spoken after the Norman Conquest of 1066, until the late 15th century. The English language underwent distinct variations and developments following the Old English pe ...
and
Modern English
Modern English, sometimes called New English (NE) or present-day English (PDE) as opposed to Middle and Old English, is the form of the English language that has been spoken since the Great Vowel Shift in England
England is a Count ...
will, e.g. "I will go to the market"; auxiliary expressing intention, lacking many features of
English verbs such as an inflected past tense, in Modern English usage. The use of "would" as the past tense of "will", though more common in Middle English, has become archaic, demonstrating the ongoing loss of lexical content.
**
Modern English
Modern English, sometimes called New English (NE) or present-day English (PDE) as opposed to Middle and Old English, is the form of the English language that has been spoken since the Great Vowel Shift in England
England is a Count ...
will, e.g. "I will see you later"; auxiliary expressing futurity but not necessarily intention (similar in meaning to "I am gonna see you later")
* Clitic:
Modern English
Modern English, sometimes called New English (NE) or present-day English (PDE) as opposed to Middle and Old English, is the form of the English language that has been spoken since the Great Vowel Shift in England
England is a Count ...
'll, e.g. "My friends'll be there this evening." This clitic form phonologically adapts to its surroundings and cannot receive
stress unlike the uncontracted form.
* Inflectional suffix: This has not occurred in English, but hypothetically, ''will'' could become further grammaticalized to the point that it forms an inflexional affix indicating future tense.
The final stage of grammaticalization has happened in many languages. For example, in
Serbo-Croatian
Serbo-Croatian ( / ), also known as Bosnian-Croatian-Montenegrin-Serbian (BCMS), is a South Slavic language and the primary language of Serbia, Croatia, Bosnia and Herzegovina, and Montenegro. It is a pluricentric language with four mutually i ...
, the
Old Church Slavonic
Old Church Slavonic or Old Slavonic ( ) is the first Slavic languages, Slavic literary language and the oldest extant written Slavonic language attested in literary sources. It belongs to the South Slavic languages, South Slavic subgroup of the ...
verb ("to want/to wish") has gone from a content word ( "s/he wants to walk") to an auxiliary verb in phonetically reduced form (''on/ona'' "s/he will walk") to a clitic (), and finally to a fused inflection ( "s/he will walk").
Compare the
German verb ''
wollen'' which has partially undergone a similar path of grammaticalization, and note the simultaneous existence of the non-grammaticalized Modern English verb ''to will'' (e.g. "He willed himself to continue along the steep path.") or in Serbo-Croatian ( = I want that I walk).
In Latin the original future tense forms (e.g. ) were dropped when they became phonetically too close to the imperfect forms (). Instead, a phrase like (literally, 'I have got to sing') acquired the sense of futurity (cf. I have to sing). Finally it became the true future tense in almost all Romance languages and the auxiliary became a full-fledged inflection (cf.
Spanish '','' '','' ,
French '','' '','' ,
Italian '','' '','' , 'I will sing', 'you will sing', 's/he will sing'). In some verbs the process went further and produced irregular forms—cf. Spanish ''
haré'' (instead of , 'I'll do') and ''
tendré'' (not , 'I'll have'; the loss of ''e'' followed by epenthesis of ''d'' is especially common)—and even regular forms (in Italian, the change of the ''a'' in the stem ' to ''e'' in has affected the whole class of conjugation type I verbs).
Japanese compound verbs
An illustrative example of this cline is in the orthography of Japanese
compound verbs. Many Japanese words are formed by connecting two verbs, as in , and in Japanese orthography lexical items are generally written with
kanji
are logographic Chinese characters, adapted from Chinese family of scripts, Chinese script, used in the writing of Japanese language, Japanese. They were made a major part of the Japanese writing system during the time of Old Japanese and are ...
(here and ), while grammatical items are written with
hiragana
is a Japanese language, Japanese syllabary, part of the Japanese writing system, along with ''katakana'' as well as ''kanji''.
It is a phonetic lettering system. The word ''hiragana'' means "common" or "plain" kana (originally also "easy", ...
(as in the connecting ). Compound verbs are thus generally written with a kanji for each constituent verb, but some suffixes have become grammaticalized, and are written in hiragana, such as , from , as in .
Historical linguistics
In ''Grammaticalization'' (2003) Hopper and
Traugott state that the cline of grammaticalization has both diachronic and synchronic implications. Diachronically (i.e. looking at changes over time), clines represent a natural path along which forms or words change over time. However, synchronically (i.e. looking at a single point in time), clines can be seen as an arrangement of forms along imaginary lines, with at one end a 'fuller' or lexical form and at the other a more 'reduced' or grammatical form. What Hopper and Traugott mean is that from a diachronic or historical point of view, changes of word forms is seen as a natural process, whereas synchronically, this process can be seen as inevitable instead of historical.
The studying and documentation of recurrent
clines enable linguists to form general laws of grammaticalization and language change in general. It plays an important role in the reconstruction of older states of a language. Moreover, the documenting of changes can help to reveal the lines along which a language is likely to develop in the future.
Unidirectionality hypothesis
The
unidirectionality hypothesis is the idea that grammaticalization, the development of
lexical elements into
grammatical ones, or less grammatical into more grammatical, is the preferred direction of linguistic change and that a grammatical item is much less likely to move backwards rather than forwards on Hopper &
Traugott's cline of grammaticalization.
[
]
In the words of
Bernd Heine
Bernd Heine (born 25 May 1939) is a German linguist and specialist in African studies.
From 1978 to 2004 Heine held the chair for African Studies at the University of Cologne, Germany, now being a Professor Emeritus. His main focal points in res ...
, "grammaticalization is a unidirectional process, that is, it leads from less grammatical to more grammatical forms and constructions". That is one of the strongest claims about grammaticalization, and is often cited as one of its basic principles. In addition, unidirectionality refers to a general developmental orientation which all (or the large majority) of the cases of grammaticalization have in common, and which can be paraphrased in abstract, general terms, independent of any specific case.
The idea of unidirectionality is an important one when trying to predict language change through grammaticalization (and for making the claim that grammaticalization can be predicted).
Lessau notes that "unidirectionality in itself is a predictive assertion in that it selects the general type of possible development (it predicts the direction of any given incipient case)," and unidirectionality also rules out an entire range of development types that do not follow this principle, hereby limiting the amount of possible paths of development.
Counterexamples (degrammaticalization)
Although unidirectionality is a key element of grammaticalization, exceptions exist. Indeed, the possibility of counterexamples, coupled with their rarity, is given as evidence for the general operating principle of unidirectionality. According to
Lyle Campbell, however, advocates often minimize the counterexamples or redefine them as not being part of the grammaticalization cline. He gives the example of
Hopper and
Traugott (1993), who treat some putative counterexamples as cases of lexicalization in which a grammatical form is incorporated into a lexical item but does not itself become a lexical item. An example is the phrase ''to up the ante,'' which incorporates the preposition ''up'' (a function word) in a verb (a content word) but without ''up'' becoming a verb outside of this lexical item. Since it is the entire phrase ''to up the ante'' that is the verb, Hopper and Traugott argue that the word ''up'' itself cannot be said to have degrammaticalized, a view that is challenged to some extent by parallel usages such as ''to up the bid'', ''to up the payment'', ''to up the deductions'', ''to up the medication'', by the fact that in all cases ''the'' can be replaced by a possessive (my, your, her, Bill's, etc.), and by further extensions still: ''he upped his game'' 'he improved his performance'.
Examples that are not confined to a specific lexical item are less common. One is the English
genitive -'s, which, in
Old English
Old English ( or , or ), or Anglo-Saxon, is the earliest recorded form of the English language, spoken in England and southern and eastern Scotland in the Early Middle Ages. It developed from the languages brought to Great Britain by Anglo-S ...
, was a suffix but, in Modern English, is a clitic. As Jespersen (1894) put it,
Traugott cites a counterexample from function to content word proposed by
Kate Burridge (1998): the development in
Pennsylvania German of the auxiliary of the preterite subjunctive
modal 'would' (from 'wanted') into a full verb 'to wish, to desire'.
In comparison to various instances of grammaticalization, there are relatively few counterexamples to the unidirectionality hypothesis, and they often seem to require special circumstances to occur. One is found in the development of
Irish Gaelic with the origin of the first-person-plural pronoun (a function word) from the inflectional suffix ''-mid'' (as in 'we are') because of a reanalysis based on the verb-pronoun order of the other persons of the verb. Another well-known example is the degrammaticalization of the
North Saami abessive ('without') case suffix -''haga'' to the postposition 'without' and further to a preposition and a free-standing adverb. Moreover, the morphologically analogous derivational suffix -''naga'' 'stained with' (e.g., 'stained with coffee', 'stained with oil') – itself based on the
essive
In grammar, the essive case, or similaris case, ( abbreviated ) is a grammatical case.O'Grady, William, John Archibald, Mark Aronoff, and Janie Rees-Miller. "Morphology: The Analysis of Word Structure." Contemporary Linguistics: An Introduction. 6 ...
case marker *-''na'' – has degrammaticalized into an independent noun 'stain'.
Views on grammaticalization
Linguists have come up with different interpretation of the term 'grammaticalization', and there are many alternatives to the definition given in the introduction. The following will be a non-exhaustive list of authors who have written about the subject with their individual approaches to the nature of the term 'grammaticalization'.
*
Antoine Meillet (1912): "" ("While the analogy can renew the detail of the forms, but often leaves untouched the overall plan of the grammatical system, the 'grammaticalization' of certain words creates new forms, introduces categories for which there was no linguistical expression, and transforms the whole of the system.")
*
Jerzy Kurylowicz (1965): His "classical" definition is probably the one most often referred to: "Grammaticalization consists in the increase of the range of a
morpheme
A morpheme is any of the smallest meaningful constituents within a linguistic expression and particularly within a word. Many words are themselves standalone morphemes, while other words contain multiple morphemes; in linguistic terminology, this ...
advancing from a lexical to a grammatical or from a less grammatical to a more grammatical status, e.g. from a derivative formant to an inflectional one".
Since then, the study of grammaticalization has become broader, and linguists have extended the term into various directions.
* Christian Lehmann (1982): Writer of ''Thoughts on Grammaticalization'' and ''New Reflections on Grammaticalization and Lexicalization'', wrote that "Grammaticalization is a process leading from
lexeme
A lexeme () is a unit of lexical meaning that underlies a set of words that are related through inflection. It is a basic abstract unit of meaning, a unit of morphological analysis in linguistics that roughly corresponds to a set of forms ta ...
s to
grammatical formatives. A number of
semantic
Semantics is the study of linguistic Meaning (philosophy), meaning. It examines what meaning is, how words get their meaning, and how the meaning of a complex expression depends on its parts. Part of this process involves the distinction betwee ...
,
syntactic and
phonological processes interact in the grammaticalization of morphemes and of whole constructions. A sign is grammaticalized to the extent that it is devoid of concrete
lexical meaning and takes part in obligatory grammatical rules".
*
Paul Hopper (1991): Hopper defined the five 'principles' by which you can detect grammaticalization while it is taking place: "layering", the development of additional expressions for a function; "divergence" (also called "split" by other theorists), in which a form develops a grammatical sense in addition to its lexical sense; "specialization", reducing the scope of lexical meaning until only grammatical function remains; "persistence", traces of lexical meaning in a grammaticalized form; and "de-categorialization", the loss of a form's
morphosyntactic
In linguistics, morphology is the study of words, including the principles by which they are formed, and how they relate to one another within a language. Most approaches to morphology investigate the structure of words in terms of morphemes, wh ...
properties.
*
František Lichtenberk (1991): In his article on "The Gradualness of Grammaticalization", he defined grammaticalization as "a historical process, a kind of change that has certain consequences for the morphosyntactic categories of a language and thus for the grammar of the language.
*
James A. Matisoff (1991): Matisoff used the term '
metaphor
A metaphor is a figure of speech that, for rhetorical effect, directly refers to one thing by mentioning another. It may provide, or obscure, clarity or identify hidden similarities between two different ideas. Metaphors are usually meant to cr ...
' to describe grammaticalization when he wrote: "Grammatization may also be viewed as a subtype of metaphor (etymologically "carrying beyond"), our most general term for a meaning shift.
..Grammaticalization is a metaphorical shift toward the abstract, "metaphor" being defined as an originally conscious or voluntary shift in a word's meaning because of some perceived similarity.
*
Elizabeth Traugott &
Bernd Heine
Bernd Heine (born 25 May 1939) is a German linguist and specialist in African studies.
From 1978 to 2004 Heine held the chair for African Studies at the University of Cologne, Germany, now being a Professor Emeritus. His main focal points in res ...
(1991): Together, they edited a two-volume collection of papers from a 1988 conference organized by Talmy Givón under the title ''Approaches to Grammaticaliztion''. They defined grammaticalization as "a linguistic process, both through time and synchronically, of organization of categories and of
coding. The study of grammaticalization therefore highlights the tension between relatively unconstrained lexical expression and more constrained morphosyntactic coding, and points to relative indeterminacy in language and to the basic non-discreteness of categories".
*
Olga Fischer &
Anette Rosenbach (2000): In the introduction of their book ''Pathways of Change'', a summary is given of recent approaches to grammaticalization. "The term 'grammaticalization' is today used in various ways. In a fairly loose sense, 'grammaticalized' often simply refers to the fact that a form or construction has become fixed and obligatory. (...) In a stricter sense, however, (...) the notion of 'grammaticalization' is first and foremost a
diachronic process with certain typical mechanisms."
*
Lyle Campbell lists proposed counterexamples in his article "What's wrong with grammaticalization?". In the same issue of ''
Language Sciences,'' Richard D. Janda cites over 70 works critical of the unidirectionality hypothesis in his article "Beyond 'pathways' and 'unidirectionality'".
* The first monograph on degrammaticalization and its relation to grammaticalization was published in 2009 by Muriel Norde.
[Norde 2009.]
References
Sources
*
Aitchison, Jean. Language Change, Progress or Decay? Cambridge: Cambridge University Press, 2001.
*
Burridge, Kate. 1998. "From modal auxiliary to lexical verb: The curious case of Pennsylvania German wotte". In Richard M. Hogg & Linda Bergen eds., ''Historical Linguistics'' 1995. Amsterdam: Benjamins.
*
Bybee, Joan, Revere Perkins, & William Pagliuca. The Evolution of Grammar: Tense, Aspect and Modality in the Languages of the World. Chicago: University of Chicago Press, 1993.
*
Campbell, Lyle, & Alice C. Harris. Historical syntax in cross-linguistic perspective. Cambridge: Cambridge University Press, 1995.
*
Chen, Wei-Heng. Correlation between Syllable & Meaning and between Phonology & Lexicalization, Grammaticalization,Subjectification: Towards a Theory on Morpho-Phonology from Facts of Northern Yu Chinese Dialects. Beijing Language and Culture University Press,2011
*
Fischer, Olga, & Anette Rosenbach. "Introduction". In Olga Fischer, Anette Rosenbach & Dieter Stein, eds. ''Pathways of Change: Grammaticalization in English'', 2000.
*
Givon, Talmy. "Historical syntax and synchronic morphology: an archaeologist's field trip", ''Papers from the Regional Meetings of the Chicago Linguistic Societv'', 1971, 7, 394-415.
* Haiman, John "From V /2 to Subject Clitics: Evidence from Northern Italian" pp 135–158 Approaches to grammaticalization: Focus on theoretical and methodological issues edited by Elizabeth Closs Traugott, Bernd Heine. John Benjamins Publishing 1991.
*
Heine, Bernd. Auxiliaries: ''Cognitive Forces and Grammaticalization''. Oxford: Oxford University Press, 1993.
*
Heine, Bernd and Tania Kuteva. ''The Genesis of Grammar''. Oxford: Oxford University Press, 2007.
*
Heine, Bernd and Tania Kuteva. ''World lexicon of grammaticalization''. Cambridge: Cambridge University Press, 2002.
*
Hopper, Paul J. "On some principles of grammaticalization". In Elizabeth Closs Traugott and Bernd Heine, eds. Approaches to Grammaticalization, Vol. I. Amsterdam: John Benjamins, 1991. pp. 17–36.
* Hopper, Paul J. and Elizabeth Traugott. ''Grammaticalization''. Cambridge: Cambridge University Press, 2003.
* Kurylowicz, Jerzy. "The evolution of grammatical categories". Esquisses linguistiques. Munich: Wilhelm Fink Verlag, 1965. pp. 38–54.
* Lehmann, Christian. Thoughts on Grammaticalization. A programmatic Sketch. Vol. I. Arbeiten des Kölner Universalien-Projekts, Nr. 48. Köln, 1982.
* Lehmann, Christian. Thoughts on Grammaticalization. Vol. 2. (revised edition). (Arbeitspapiere des Seminars für Sprachwissenschaft der Universität Erfurt, No. 9. Erfurt, 2002.
* Lessau, Donald A. ''A Dictionary of Grammaticalization''. Bochum: Brockmeyer, 1994.
* Lichtenberk, F. "On the Gradualness of Grammaticalization." In Elizabeth Closs Traugott and Bernd Heine, eds. Approaches to Grammaticalization, Vol. 1. Amsterdam: John Benjamins, 1991. pp. 37–80.
* Matisoff, J., 1991. "Areal and universal dimensions of grammaticalization in Lahu". In: Traugott, E.C. and Heine, B., Editors, 1991. ''Approaches to Grammaticalization vol. II'', Benjamins, Amsterdam, pp. 383–454.
*
Meillet, Antoine. 1912. "L'évolution des formes grammaticales." ''
Scientia: rivista internazionale di sintesi scientifica'', vol. 12, p. 384-400
p. 387: "
..la « grammaticalisation » de certains mots crée des formes neuves, introduit des catégories qui n'avaient pas d'expression linguistique, transforme l'ensemble du système." (The article was republished in: Meillet, Antoine. 1921. ''Linguistique historique et linguistique générale''. Paris: Champion, p. 130-148; last reprint: Geneva: Slatkine, 198
English translation, "The Evolution of Grammatical Forms", by John E. Joseph, in James McElvenny, ed. ''The Limits of Structuralism: Forgotten Texts in the History of Modern Linguistics'', Oxford: Oxford University Press, 2023, pp. 123–138]
* Norde, Muriel. ''Degrammaticalization''. Oxford: Oxford University Press, 1994.
*
John Reighard, Reighard, John. "Contraintes sur le changement syntaxique", ''Cahiers de linguistique de l'Université du Québec'', 1978, 8, 407-36.
* Traugott, Elizabeth Closs and
Bernd Heine
Bernd Heine (born 25 May 1939) is a German linguist and specialist in African studies.
From 1978 to 2004 Heine held the chair for African Studies at the University of Cologne, Germany, now being a Professor Emeritus. His main focal points in res ...
, eds. Approaches to grammaticalization. Typological studies in language, 19. Amsterdam: John Benjamins, 1991.
* Traugott, Elizabeth Closs. "Legitimate counterexamples to unidirectionality". Paper presented at Freiburg University, October 17, 2001
*
Wittmann, Henri. "Les réactions en chaîne en morphologie diachronique." Actes du Colloque de la Société internationale de linguistique fonctionnelle 10.285-92. Québec: Presses de l'Université Laval.
* Ylikoski, Jussi
"Degrammaticalization in North Saami: Development of adpositions, adverbs and a free lexical noun from inflectional and derivational suffixes" ''Finnisch-Ugrische Mitteilungen'' 40, 113–173.
From Language Sciences Volume 23, March (2001):
*
Campbell, Lyle. "What's wrong with grammaticalization?" Language Sciences 2001: 113-161.
* Joseph, Brian D. "Is there such a thing as 'grammaticalization?'" Language Sciences 2001: 163-186.
* Janda, Richard D. "Beyond 'pathways' and 'unidirectionality': on the discontinuity of language transmission and the counterability of grammaticalization". Language Sciences 2001: 265-340.
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Historical linguistics
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