1 On Origins of Korean supnita and Japanese desu/masu: Deriving Addressee Honorific Markers from Verbs of Announcements* Alan Hyun-Oak Kim Southern Illinois University at Carbondale 1. Introduction In this study I am concerned with a particular aspect of the theory of grammaticalization--the question of conditions licensing grammaticalization, more specifically, as Traugott and Heine (1991:7) put it, “given that a form A exists, what is its potential for becoming grammaticalized, and how do we know when this is happening?” The present paper is organized in four sections. Following this introduction, in Section 2 I establish a working hypothesis in order to account for grammaticalization involved with honorific verbs of ‘saying/telling.’ In Section 3, I show evidence from Korean and Japanese to support the hypothesis. Section 4 is my conclusion. 2. A Working Hypothesis The hypothesis, with which I work in this paper is as follows: (1) Hypothesis on Sentence-final Polite Markers If a language has verb-final word order, and if it has a system of honorification (as seen in Korean and Japanese), verbs of communication (such as ‘say’, ‘tell’, ‘inform’) tend to undergo grammaticalization along two pathways: (i) shifting the lexical categories; and (ii) shifting in functional categories of the following: (2) A. Changes in Lexical Categories I. Lexical Verb → Auxiliary Verb II. Auxiliary Verb → Grammatical Morpheme B. Changes in Functional Categories I. Subject Honorifics → Non-subject Honorifics II. Non-subject Honorifics → Addressee Honorifics 3. Evidence from earlier Korean and Japanese data 3.1. Standard Modern Korean supni-ta The Korean sentence-final polite marker supni may be separated into two segments: sup * This paper is a revised version of Kim (2006). I am grateful to Kaoru Horie, Kyoung-Sun Hong, Gregory Iverson, Chin-Wu Kim, Hae-Yeon Kim, Hyun-Sook Kim, Joungmin Kim, Young-Key Kim-renaud, Tetsuharu Moriya, Mira Oh, Byung-Soo Park for their valuable comments and encouragement. Dale Kim and Leonel Bender gave me editorial help, which I thank. My deepest gratitude goes to Professor Fernando Torres and the devoted members of his organizing committee of the 15th ICKL on the campus of Universitat autonoma de Guadalajara, Jalisco, Mexico. 2 and ni. We owe the two-part analysis of supni previous studies by two authors, Ogura (1929 and elsewhere) and H. K. Kim (1947 and elsewhere). In his 1929 and 1938 diachronic studies of Hyangga, Ogura isolated two series of morphemes sp (5a) and i (5b) as separate entities, and he suggested that the former may be derived from Old Korean slp, and also that both sp (5a) and i (5b) have developed to the present-day (su)p and ni, respectively. In this conjunction, Ko’s (1944:125) following observation is intriguing. Namely, the form p-ni is found only from the late 19th C. The earlier appearance of sup-ni may be explained naturally from the assumption that sp is ancestral to the modern sup-ni form, which serves as the base of the p-ni form. H. K. Kim notes that the verb sp became the marker of Referent Honorifi-cation, particularly Non-subject Honorification, and further it had lost its original function by resulting in a simple grammatical morpheme of Addressee Honorification incorporated into the second component i. The grammaticali-zation through the categorical conversion is said to take place during the late 15C and the early 16C. More detailed derivational paths of the two morphemes can be seen on Heo’s (1963) chart below. Shilla/Koryo Subject Honorific Referent (DO/IO) Honorific Honorific Addressee Late 15C/Early 16C 賜 → 教(是) 白教(時) 白 音 → → → → → → → sp i → 賜立→ 受勢→ 少時 si zsi 17C si psi sp1 → sp2 → {i, i} → {i, i} → syosyə → syosyə 18C & thereafter → → si apsi/opsi (yeccu-ta/pweop-ta) op/sap/jap (hanaita/haopnai-ta) (e.g. kali-ta/ kapni-ta) → sose Table 2: Historical changes in sp and ŋi (Heo 1963) Heo’s chart above is particularly significant on four points. (i) Three modes of honorification are identified; (ii) The split of sp1 and sp2 around the 17th Century (The subscript is devised by AHK.); and (iii) Making distinction between two subtypes in Addressee Honorification; (iv) Isolating the honorific imperative form sose. Heo’s identification of sp1 and sp2 is critical from the grammaticalization point of view. The process of verb to morpheme is neatly shown in his analysis. The form sp1 maintains the status of a fullfledged verb ‘to tell something to Superior’ up to Modern Korean with the original meaning intact. The second sp2 , on the other hand, reduced its form to that of an auxiliary verb from the 18th century and eventually it turned into the functional polite marker (su)p-ni-ta, the sentence-final function word for Addressee Honorifics. The last item sose, which seems to correspond to Ogura’s so-series (5c), appears exclusively in imperative (‘the speaker’s petition for the superior’s merciful favor’). Thus, (su)p-ni may be said to have undergone stages of I and II of the A category and I and II of the B category as well. 1, 2 3. Evidence from earlier Korean and Japanese data 3.1. Middle Korean slo-ta and Classical Japanese soro 3 Evidence suggests that the present day addressee honorific markers such as Korean (su)pni-ta and Japanese desu/masu, seem to be derived from full-fledged verbs of communication. In Middle Korean texts, there are many occurrences of the non-subject honorific auxiliary sp-ta or its variant slo-ta, ‘convey messages to Superior,’ which is first observed by Ogura (1929). The auxiliary verb sp-ta and its variants are exemplified below, which I borrow from Lee & Im (1983:228). (3) Sinha-i nimgm-l top-sʌpa [sp-ta] sibjects-NOM King-ACC help-HONO-and ‘Ministers assist the king, and ….’ (Seogbosang Jeol 8) (4) Taejung-tul-i…puthyə-ll po-zapae s təni [zp-ta] people-PL-NOM Buddha-ACC looked-at-HONO PAST-then ‘When People looked at Gautama….’ (Seokbosang Jeol 13) (5) Ayu-i…….sejon-s anpu-ll mut-jap-ko [jp-ta] Ayu-NOM Shakamuni’s safety-ACC ask-HONO-and ‘When Ayu asked about Shakamuni’s safety……’ (Seok Jeol 6) Unlike sp-ta, the lexical item slo-ta in (6) below is used as a full-fledged di-transitive verb ‘reports/tells messages to a third party who is superior to the speaker.’ (Quoted from Nam 1997: 936) (6) ms il-l slolila what thing-ACC say-would ‘What should I say?’ (Songgang Gwangdong Byeolgok) (7) k paski sto syəl-un il-ll jsehi slolila that other than again sad thing-ACC in detail tell ‘Tell (your Senior) in detail about all your sad stories.’ (Boguk. Haein. 31) (8) ilhum-l sloti syəngin-ila name-ACC say holy person-be ‘He is called a sage.’ (Weongak sang 2:2) (9) msik-l kchoa tliko slo ti dishes-ACC prepare submit-and said that….. ‘(She) prepared dishes to put them in front of him and said …’ (Oryun1:54) In (9), the noun msik ‘food/dishes’ is Direct Object of the lexical verb slo-ta and Superior as Indirect Object thereof. Recall that Old Korean slp (白 in the Idu transcription) was originally a di-transitive verb with the meaning of yeccwu-ta ‘tell an honoree about something’ or pweop-ta ‘have an audience of Superior.’ Modern Korean salwe-ta/salœ-ta goes back to slp, according to Pyojungugeo Daesajeon ‘Standard Unabbreviated Dictionary’ (1999:3110). Heo (1963) claims that slp underwent two separate paths: (i) it changed to slo-ta and further became salœ-ta with its original meaning intact; and (ii) it turned into an auxiliary verb of Non-Subject Honorification and eventually became a grammatical marker of Addressee Honorification in Korean. As for Classical Japanese polite marker sourou, its usage in letter-writing was extremely 4 popular in Medieval Japan and throughout the Japanese feudal periods up until the turn of the 19th century. The Japanese politeness auxiliary verb sourou is suffixed to the infinitive (the literary negative infinitive) for addressee-oriented honorification. It had established itself as a bound morpheme (or auxiliary) far back in pre-Middle Japanese. Particularly, it became omnipresent in pre-modern Classical Japanese spoken among samurai intellectuals of the Edo period 1. Thus, Old Korean referent (non-subject) honorific verb slp-ta underwent grammaticalization (verb → grammatical bound-morpheme) to become an Addresseeoriented polite marker. Classical Japanese sourou may be contrasted as shown in Table 1 below. CJ sourou MK slo- Phonological shape sibilant/liquid and low vowels sibilant/liquid and low vowels Meaning ‘say’ ‘tell’ say’ ‘tell’ Indirect object referred to Superior to the speaker Superior to the speaker Grammaticalization Processes Lexical Verb → Object Hon → Addressee Hon Lexical Verb → Object Hon → Addressee Hon Table 1: Correspondences between CJ sourou and MK slo-ta It is particularly remarkable that both Old Japanese sourou and earlier Korean slounderwent the three-stage grammaticalization paths in a parallel way, namely, Phase I (Fullfledged lexical verb) → Phase II (Non-subject (object) honorific auxiliary verb) → Phase III (Addressee honorific morphemic marker). On the basis of etymological resemblance and diachronic parallelism in grammaticalization, one might suggest that Classical Japanese sourou and Middle Korean slo-ta (for that matter, Old Korean slp, à la Ogura 1938) shared a genetic ancestor at an earlier time.2 3.2 Classical Japanese mousu One will find the Japanese verb mousu is highly homophonous, and there are three distinct usages. Let us call them mousu1, mousu2, and mousu3, and their functions are: (10) a. mousu1 (Lexical verb ‘to serve Superior,’ ‘to wait on Superior,’) b. mousu2 (Lexical verb ‘to tell Superior,’ ‘to say to Superior,’ ) c. mousu3 (Auxiliary for Referent (IO) Honorifics with loss of the original meaning) Mousu1 is a full-fledged transitive verb having the meaning ‘to serve Superior,’ to attend Superior,’ ‘to accompany Superior’, etc. as seen below. (11) Mifune sasu situo-no tomo-ha kawa-no se mouse. (Man 4081) boat draw servants-TOP river-shallow water inform ‘Boatman, explain to your master that the river is shallow.’ (by Nakanishi 1981) Mousu2 is equivalent to ‘tell’ or ‘say’ in English. The verb expresses Speaker’s deference It is said to be related originally to the noun samurai. Satō (1962) shows the etymological development of sourou as in (13) below. (13) samorapu > saburapu > saurapu > sourou (Satō 1962: 2.138-9 from Martin 1975:1039) 2 Cf. Satō Kiyoshi (1962) for a different analysis. 1 5 toward Superior as Indirect Object (not Superior as Addressee) in a sentence. (12) Sin dainagon-mo hira-ni mausare keri new chief counselor-too sincerely say-PAST ‘The newly appointed Chief Councilor of State also said so.’ [Heike 1] (Kōjien 1981:2183) The third kind (mousu3) is attached to the main verb expressing Speaker’s deference toward a referent Superior, i.e. Indirect Object, and its function is merely that of an auxiliary verb with no specific meaning of ‘saying,’ as shown in the following examples. (13) Sensei-no otaku-wo o-tazune-mousi-ta. teacher-GEN house-ACC visit- HON-PAST ‘I visited my teacher’s home.’ The item mousu3 does not seem to have the meaning of announcement, and we may conjecture it may have derived from either mousu1 or mousu2. The former may have changed to an auxiliary by keeping its semantics of ‘servitude’ intact. The second choice, i.e. mousu2 may have lost the original functions of full verb status as well as the semantics of saying altogether. Of the two, mousu1 would cost less for the subsequent grammaticalization in comparison to mousu2 in terms of the degree of the relevance, which is roughly similar to Yoshida’s (1971) suggestion that the modern masu might have its root in mawosu ‘tells, humbly does.’ Note that the analysis proposed here has a two-stage process, namely, first, from verb to auxiliary, then from the auxiliary to bound morpheme of the polite marker masu. Now let us turn to Korean data corresponding to Japanese maosu. The Korean lexical verb moesi-ta or its variants moysi-ta/mōsi-ta have one meaning ‘to serve Superior,’ but in two different functions, that is, the former as a lexical verb and the latter as an auxiliary verb, as exemplified for the first kind in (14) and for the second in (15) below. (14) K. Ce pang-ey cosang sincwu/wiphay-ka mōsye-ce iss-ta J. Ano heya-ni senzo-(no) ihai-ga matur-are-te aru that room-in ancestor mortuary tablet-NOM enshrine-PAS-be ‘They enshrined their ancestral tablets in that room.’ (15) K. Cal annay-hay mōsi-e-la J. Yoku go-annai mosi-age-yo well guide serve-IMP ‘Give a nice guide (to the guest).’ Functions of these three different mousu are summarized below. (16) Japanese a. mousu1 ~ b. mousu2 ~ c. mousu3 ~ Korean moesi-ta1 moesi-ta3 Functional Category (full verb of servitude to Superior) (full verb of reporting to Superior) (auxiliary verb of servitude to Superior) Two things are noteworthy: first, the resemblance between the Korean and Japanese data is quite remarkable in terms of their phonological shape and semantic/ pragmatic functions (‘to serve Superior’). Second, the Korean counterpart of mousu2 is missing in (16b). Korean speakers use a verb salwe-ta or Older slo-ta in the place of mousu2. One can assume that Japanese mousu2 might have an origin entirely different from mousu1. Namely, mousu2 may be related to Middle Korean malsm or malsam, which corresponds to Japanese o-kotoba ‘word, speech, language or Superior’s message.’ The following seems to support this thought: 6 (i) the phonological resemblance between Old Japanese marasuru and the Middle Korean noun malsam; (ii) a parallelism in a sentence-final idiomatic expression: Korean ~la-nun malssum-i-yeyo and Japanese ~ to iuu koto desu-yo ‘that’s the way it was’: (iii) a parallelism between the sentence-filler na-mosi (‘you know’) in Japanese dialects (Prefectures of Tokushima, Gifu, Gunma etc.) and colloquial Korean la-n-malssum-i-ya. (Cf. a detailed discussion in Kim 2006.) 3.3 Middle Korean op-sose and Old Japanese asobase Pervasive occurrences of the phrase op-sose are found in Middle Korean material, Buddhist narratives in particular. The honorific imperative form op-sose is frequently found in prayers even today. Now let us consider the following: (17) Melli ttena-ka-nun ku-eykey unchong-ul payphwule cwu-si-op-sose. far away leave-ATTR him mercy-ACC provide give-HON-please do ‘Give thy mercy to the person who is going far away.’ In (17), the speaker asks the Lord to give His mercy to a third person (not to the speaker himself) in the sentence. The imperative mood expresses the speaker’s soliciting mercy of the addressee (Lord). (18) Yehowa-ye cwu-uy pun-ulo na-lul kyenchayk-haci ma- op-si- mye lord Your anger-with me rebuke do-not please-and cwu-uy cinno-lo na-lul cingkye-ha-ci ma- op-sose Your hot displeasure-with me chasten-do-not please ‘Lord, do not rebuke me in Your anger, nor chasten me in Your hot displeasure.’ [The Old & New Testament (Psalms 6:7) The King James Version and Korean Revised Hangul Version), Daehan Seongseo Gonghoe. 1985:806] The above is a quotation from the Old Testament. This type of honorification survives only in literary writing and in dialects of a much simpler form. At this point, I would like to invite the reader to consider an honorific format of pre-modern Japanese somewhat similar to Korean archaic op-sose. Many dictionaries define asobas-e as the imperative form of asobas-u, a full-fledged intransitive/transitive honorific verb ‘play,’ ‘go hunting,’ or ‘play musical instruments.’ The item can also be used as an auxiliary verb. For instance, Kōjien (1981:40) gives examples O-tori-asobas-i-ta ‘(He) took it’ and Go-ran asobas-e ‘Please take a look, where o-tor-i is a gerund form prefixed with the honorific marker and go-ran is in the form of Prefix+Noun. According to Tsujimura (1968), the word asobasu is the oldest of the nine honorific expressions in earlier Japanese. Two examples are from premodern Japanese. (19) kotira-he o-hairi-asobase this way-to enter-HON ‘Please come in this way.’ [Sugahara Denju Tenarai-kan 4.] quoted from Shinchō Kokugo Jiten. 36 (20) mohaya kidukai-asobasu-na no longer worry-HONO-don-not ‘Do not worry any more, Sir.’ 7 [Chikamatsu, Koori no sakutan 3] quoted from Iwanami Kogojiten 29. It is particularly noteworthy that many examples are presented in the imperative form, i.e. commanding expression to Superior or petitioning. The auxiliary asobase does precisely the job of‘requesting to Superior’ in Japanese. The petition expressed by asobase is particularly suitable in honorifics. It magnified the Superior’s authority to grant his subordinate’s petition. In (21) below, where Korean si-op-so-se and Japanese asobase are contrasted, the segment ha-si (do+subject honorific marker) is supplemented to the base form as seen in (48a). (21) Korean: Japanese: ha si si a a o p so se o ba so e syo ba soe so ba se [Insertion of low vowel a] [de-palatalization of syo and delabialization of glide oe] Each of the four syllables in the contrasted set is in fairly good correspondence, if we assume two historical processes, namely the a-insertion, the syo-depalatalization, and the oedelabialization, in addition to the adopting the light verb ha ‘do’ suffixed with the honorific si marker. Both are in the format (‘petition honorifics’), which involves the notion of causer and cause discussed above. In the petition honorifics mode, ‘the causer’ is the (humble) speaker, who solicits his superior’s favor, while the party solicited is Superior, ‘the performer,’ who is to grant his subordinate’s petition. Consequently, verb-phrase construction like (21a) and (21b) may involve two sets of honorification, respectively: Non-Subject Honorification (for Superior as the party requested), and Subject Honorification (for Superior as the causee performing the imposed demand.)3 4. Concluding Remarks The notion of grammaticalization is a historic one. The recent revival of the notion has been productive in the investigation of various functional morphemes in individual languages of the world. I demonstrate in this paper that the theory of grammaticalization is indeed instrumental in exploring some aspects of sentence-final politeness markers in languages like Korean and Japanese. In this study, a working hypothesis was introduced: verb-final languages like Korean and Japanese have a grammaticalization process that ‘saying’ verbs may undergo from a fullfledged verb to a functional marker of bound morpheme via a stage of auxiliary verbs. The study demonstrates that the Korean polite marker (su)p-ni-ta may have two components sup and ni which may be traced back to Old Shilla lexical verb slp-ta ‘to let Superior know about x,’ of Referent (In-direct Object) Honorification and i, a bound morpheme of the same Referent Honorification. The original sources of grammaticalization of Japanese polite markers desu and masu are explored. Both forms are seemingly proved to be the end-products of grammaticalization. Other items of Japanese, such as sourou, mousu, asobasu, etc. are originally honorific verbs of communication (to report, to announce, to inform, and the like) are highly susceptible to grammati-calization, as the hypothesis predicts. The syntactic environment (i.e. the sentence-final position of these communication verbs) is by nature found in the sentence-final position in Korean and Japanese, and, as a result, it has relatively more probability of change. Since honorification is viewed as a linguistic ritual or symbolism, 3 This dual nature of the honorification mode involved in the expressions such as one in (48) above has given rise to considerable confusion and discussions in the literature (H. K. Kim 1954 elsewhere; Heo 1954 elsewhere; Cheun 1958; Ahn 1961, 1982; S. N. Lee 1954; S. O. Lee 1973; I. S. Lee 1974, among others.) 8 its stylization, the reason for which might be that such stylization (grammaticalization to bound morphemes in the simpler forms) will make participants exercise rituals in simpler but more effective ways with less cost. Findings also seem to indicate that some Japanese functional markers are found to have their origins unexpectedly in earlier Korean data. REFERENCES Ahn, Byung-Hee. 1961. Juchae gyeomyang-beop-ui jeopmisa -sp-e daehayeo. Jindan Hakpo 22: 105126. Cheun, Jae-Gwan. 1958. Sp-ttawi Kyeong-Yang-sa-ui Sango. 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Alan Hyun-Oak Kim Department of Linguistics, Foreign Languages and Literatures Southern Illinois University at Carbondale Carbondale, Illinois 62901-4521, USA alanhkim@siu.edu http://mypage.siu.edu/alanhkim 1 One often hears expressions like the following in the dialect of Andong, Kyeongpuk Province (the south eastern part of the peninsula.) (6) Pakk-ey pi-ka o nii- te. outside-LOC rain-NOM come- POL-SE ‘It’s raining outside.’ (7) Kwen-sensayng-nim-un caknyen-ey Kwen-professor-TOP unthwe-ha- si-ess- last year-LOC retire-do- nii-te SH-PAST-POL-SE ‘Professor Kim retired last year.’ (8) Sensayngnim-uy pankawun sosik ce-uy pwumo-nim-kkey your wonderful news my parents yeccwu-ess- DAT nii-de inform-PAST POL-SE ‘I told my parents about your wonderful story.’ Here, the morpheme nii in the above examples are regarded as the modern variant of Middle Korean i, which Nam (1997:1155) identifies as nii-ta. The following is a Middle Korean example from Nam (1997:1155). (9) talom epsu i-ta (Nunghay 2:9) difference exist-not POL-SE ‘There is no difference, Sir.’ (10) ani i-ta, Secon-ha (Nunghay 5:21) not-be POL-SE Shakyamuni/Gautama ‘No, it is not, Gautama.’ 10 As we note in Heo’s chart in Table 2, slp-ta was a full-fledged lexical verb having the meaning of ‘tell Superior about something,’ from which Referent Honorific auxiliary verbs sap/op/cap and Addressee Honorific polite marker sup are derived. In contrast, the item i seems to be in existence as an auxiliary verb even as early as in the period of the Shilla kingdom (356935). Therefore, the polite marker i may have gone through grammaticalization of AII and BII but not beyond.