Abstract The theme of this thesis is The Cognitive Study of the Modal Auxiliaries. Modal auxiliaries have root senses and epistemic senses. Much linguistic work seems to treat English modal auxiliaries as cases of homonym. But this is a misunderstanding. There is a close relationship between root-modals and epistemic-modals. This thesis deal with ten modal auxiliaries which are will, would, shall, should, can, could, may, might, must and ought, and need and four quasi-modals which are have to, be going to, be able to and be bound to. This thesis deals with the meanings and usage of these modal auxiliaries first. And then, this compares root-modals with epistemic-modals in terms of the tense, the scope of negative and the passivization. There are some grammatical differences between root-modals and epistemic modals. Modal auxiliaries can express two difference tenses in simple sentence. Perfect form can follow epistemic-modals but can t follow root- modals. And the scope of negative is different between them. There are two cases. One is modal negation, the other is verb phrase negation. Root-modals can receive both negations, but epistemic-modals can receive only verb phrase negation. And there is a difference in the passivisation. In the sentence which contains epistemic-modals, there is no difference of meaning between the active voice and the passive voice. But, there is i
difference in the sentence which contains root-modals. In the last chapter, root-modals and epistemic-modals are related by the terms of cognitive linguistic. In this chapter, Talmy s analysis is referred. It is an analysis of root-modals in terms of force dynamics, that is in terms of our linguistic treatment of forces and barriers in general. For example, the meaning of root may is an absent potential barrier in the sociophysical world. And Sweetser applied this analysis to epistemic-modals. For example, the meaning of epistemic may is that there is no barrier to the speaker s process of reasoning from the available premises to the conclusion expressed in the sentence qualified by may. It was explained by this analysis that epistemic-modals were extended from root-modals across metaphorical mappings. This thesis agrees with this Sweetser s analysis. ii
Abstract... i... iii 0.... 1 1... 2 2... 3 2 1... 3 will... 3 shall... 4 can... 5 may... 7 must... 8 should... 9 could... 10 might... 10 would... 10 ought to...11 need... 12 2 2... 12 have to... 12 be going to... 14 be able to... 15 be bound to... 15 3... 16 4... 17 5... 18 6... 20 7 1994... 23 8.... 30... 31 iii
0. (root) (epistemic) (1996) must, should, ought, may, might, can, could, would, will, shall, need have to, be going to, be able to, be bound to (1996) need need will, shall can, may (1) a. He will help you. b. He shall help you. (2) a. You may smoke here. b. You can smoke here. (1) will, shall (2) 1
1 (a) (can t, mustn t) (b) Do (Can I?, must I?) (c) ( Code ) (John can swim and so can Bill) (d) (Ann COULD solve the problem) (e) 3 (*cans, *musts) (f) (non-finite) (*to can, *musting) (g) (*may will) 1996 5 must, should, ought, may, might, can, could, would, will, shall 10 NICE (Huddleston1976:333) 1 NICE Negation, Inversion, Code, Emphasis (Palmer1979) 2 be, have, do (cf. 1996) 1Huddleston,R.(1976): Some Theoretical Issues in the Description of the English verb 2Palmer,F.R.(1979): Modality and the English modals 2
2 2 1 will will (cf. 1996 1989) (1) I will see you tomorrow. (2) Bill will help you. (3) I wíll never do such a thing again. (1) see will (Leech,1971:78) 1 (4) Janet, why wíll you keep making jokes about Aunt Betty? (ibid) (5) He wíll have his own way. 1989 190 1989 189 (6) You will do as I say, at once. (ibid) we (cf. 1989) (7) We ll start early, John. (ibid) 3
would sometimes, often, occasionally (cf. 1989) (8) He ll often say something and then forget what it was he said. (ibid:190) (9) In fine weather, she will often sit in the sun for hours. (10) Boys will be boys. 1989 191 (11) Occasionally the machine will go with go wrong without any apparent cause. 1989 187 (12) It will be snowing in Boston now. (13) You will feel better after this medicine. shall will will shall will (cf. 1999) (14) You shall have my answer tomorrow. (15) I shall go, rain or shine. 4
(16) He shall have whatever supplies he needs. 1989 196 (17) I shall be glad to see you. (18) We shall be enjoying ourselves in Guam next week. can 1999 82 (19) I can speak English. (20) Can you play tennis? (21) Can I come in? (21) could could be able to, be capable of, succeed in 1996 117 (22) I ran as fast as I could, and was able to/ *could catch the thief. (ibid) (23) My teacher could speak eleven languages. (ibid) (24) I used to watch out for shoplifters and could usually catch them in the act. (ibid) 5
1989 173 can (25) This car can hold five persons. (ibid) can (cf. 1997) (26) You can wait in my room if you like. (ibid) (27) If you won t behave, you can get out. (ibid) can could (cf. 1999) (28) Accidents can happen. (29) Mary can be very unpleasant at times. (30) a. A friend can betray you. 1983 116 b. A friend may betray you. (ibid) can a b (cf. 1983) 6
may May I? (cf. 1989) (31) You may go now. (32) Jonny may stay up late. can may(i give you permission) can(you have permission) can may May I? Can I? May I? (cf. 1986) (33) a. May I smoke here? (Do you allow me to smoke here?) Yes, you may. b. Can I smoke here? (Is it allowed to smoke here?) Yes, you can. a b can can may (cf. 1996) (34) a. Accidents can happen to anybody. (ibid:116) b. An accident may happen if you ignore the traffic lights. (ibid) 7
must (35) You must do as I say. (36) I must go at once. (35) (36) must must (petulant irony) 1989 181 (37) Múst you be so fanny all the time? (ibid:182) (38) If you múst smoke, use an ash-tray. (ibid) (cf. 1999) (39) He must be the man I saw last night. (40) You must be ill, you look pale. 8
(41) He must be honest. 1983 9 (42) She must want picking-up sometimes! (ibid) (43) little boys must grow tall (ibid) must be (42) want (43) may (ibid) should shall shall 1999 ought to should ought to (cf. 1989) (44) You should go and see her some time. (45) It s a good movie. You should see it. ought to (46) The bus should be coming soon. (47) My husband should be home by now. 9
could can (48) I could cut her throat! 1994 541 (49) I don t think I could manage without her help. (ibid) (48) (49) could (50) I could come tomorrow. might could (cf. 1996) (51) The report might be true. 1997 209 (52) That might not be the best way to arrange those flowers. (ibid) would will I should think that It would be reasonable to conclude that (53) Oh, how long would that be? Two years. 1984 62 (54) I think it would be Turner as well. (ibid:63) 10
ought to should ought should 1999 83 (55) You ought to help your mother. (56) You ought not to visit such a place after dark. must 1989 186 (57) You must tell the police. (ibid) (58) You ought to tell the police. (ibid) (57) (58) (ibid) should should 1999 84 (59) He ought to know that. (60) The weather ought to be fine tomorrow. must have to ought to should 1999 84 (61) a. Our candidate ought to win the election. b.? Our candidate ought to lose the election. c. Roses should grow well in this soil. d.? Roses should grow badly in this soil. 11
must (62) a. Our guests must be home by now. (= I m certain they are home now.) 1986 177 b. Our guests ought to be home by now. (= There s a reason to think they are home by now, but ) (ibid) (62a) (62b) (ibid) need need (cf.swan,1980:399) 2 (63) Need I do the washing-up? I m in a hurry. 1989 199 (64) Do you need to get a visa if you go to Mexico? (ibid) 2 2 have to must have to you must have to (65) a. have to go home now. 12
b. I must go home now. (66) a. You have to save money to buy a house. (This is the general rule.) b. You must save money to buy a house. (I m telling you.) (ibid) 1999 86 must (cf. 1983) (67) a. I have to help you. (ibid) b.i must help you. (ibid) have to 1983 18 must (cf. 1999) must must have to (cf. 1989) (68) a. Tom has to be telling a lie. 1999 87 cf. Tom must be telling a lie. (ibid) b. They had to have arrived here yesterday. (ibid) a cf. (ibid) 13
be going to 1999 87 (69) I m going to play tennis this afternoon. (70) We re going to spend our holidays in Hawaii this year. will to to ~ will (cf. 1994) (71) I was going to write the letter last night. (ibid) (72) You were going to send me a copy. (ibid) (73) He was going to come and help us tomorrow. (ibid) (73) (cf. 1994) (74) That novel is going to be a best-seller. (ibid:569) (75) His lecture is going to be a boring one. You may be true. (ibid) 14
be able to be able to can can be able to 1997 233 (76) He is able to speak English. (77) I ll be able to see you next year. be bound to be bound to (78) Are you bound to stay at the office so late? 1986 178 (79) If we ask to have the goods on approval, we are not bound buy them. (ibid) must (80) a. John s bound to be in his office. 1984 58 b. John must be in his office. (ibid:59) a John b John John (cf. 1984) 1Leech, G. N. (1971): Meaning and the English Verb 2Swan, M. (1980): Practical English Usage 15
3 2 1984 338 (1) a. John knows the answer. (ibid) b. John came yesterday. (ibid) (2) a. John will know the answer. (ibid) b. John may come tomorrow. (ibid) (1) (2) John John 2 (cf. 1984) (cf. 1999) (3) He will have been there yesterday. (ibid:77) (4) He may have been there yesterday. (ibid) (5) He cannot have been there yesterday. (ibid) (6) He must have been there yesterday. (ibid) 16
4 1989 218 (cf. 1989) (1) a. It may not be true. 1989 219 (= It is possible [that it is not true].) b. His story can t be true. (ibid) (= It is certain [that his story is not true].) c. That shouldn t be hard. (ibid) (= It is reasonable to conclude [that that is not hard].) d. He won t have received my letter yet. (ibid) (= I predict [that he hasn t received my letter yet].) must, ought to, should will, shall need (cf. 1989) (2) a. You can t go today. 1989 220 (= You are not permitted [to go today].) b. You can nót go today. (ibid) (= You are permitted [not to go today].) 17
(3) a. You may not stay here. (ibid) (= I don t permit you [to stay here].) b. You may nót stay here. (ibid) (= I permit you [not to stay here].) (b) not (4) a. You mustn t smoke in here. (ibid) (= I oblige you [not to smoke in here].) b. You ought not to/should not desert her. (ibid) (= I advise you [not to desert her].) (5) a. He wón t do what he s told. (ibid) (= He insists on [not doing what he s told].) b. You shall not/shan t escape my revenge! (ibid) (= I will see [that you don t escape my revenge].) (6) a. You mustn t go now. (ibid:221) (= You are obliged [not to go now].) b. You needn t go now. (ibid) (= You are not obliged [to go now].) 5 (cf. 1989 1984) 18
(1) a. John may have seen Mary. (= Mary may have been seen by John.) b. John will love Mary. (= Mary will be loved by John.) c. John can t have loved Mary. (= Mary can t have been loved by John.) will may, can must (cf. 1977) (1) John won t meet Mary. 1984 349 (? Mary won t be met by John.) (2) John may see Mary. (ibid) (? Mary may be seen by John.) (3) John can visit Mary. (ibid) (? Mary can be visited by John.) (4) John must kiss Mary. (ibid) (? Mary must be kissed by John.) shall can, may (cf. 1984) (5) John shall meet Mary. 1989 222 (= Mary shall be met by John.) (6) We can/may say that time is money. (ibid:223) (= It can/may be said that time is money.) 1984 350 can/may 19
(7) Parents can visit children at any time. 1984 349 (= Children can be visited by parents at any time.) (8) Anyone may borrow this book. (ibid:350) (= This book may be borrowed by anyone.) 6 Sweetser(1990) 2 Talmy(1988) 1 (force dynamics) Sweetser(1990) 2 (cf. 1997) (1) a. John may go. (Sweetser1990:61) b. John is not barred by (my or some other) authority from going. (ibid) (2) a. John may be there. (ibid) b. I am not barred by my premises from the conclusion that he is there. (ibid) (1a) may Talmy (1b) John Sweetser (2a) may (2b) John 20
(cf. 1997) may 1 Sweetser(1990:60) 1 (Sweetser1990:60) ( ) may ( ) may may 1997 191 may (3) a. You must come home by ten. (Mom said so.) (Sweetser1990:61) b. The direct force (of Mom s authority) compels you to come home by ten. (ibid) (4) a. You must have been home last night. (ibid) b. The available (direct) evidence compels me to the conclusion that you were home. (ibid) (5) a. I can lift fifty pounds. (ibid:62) b. Some potentiality enables me to lift 50 lbs. (ibid) (6) a. You can t have lifted fifty pounds. (ibid) b. Some set of premises dis-enables me from concluding that you lifted 50 lbs. (ibid) (7) a. You ought to go. (ibid) b. Certain forces (of mental obligation) influence you towards going. (ibid) (8) a. That ought to be the right answer. (ibid) 21
b. The available set of premises (mental obligation of forces) influence me to conclude that that is the right answer. (ibid) (9) a. He has to be home by ten. (ibid) b. Some force of authority compels him to be home by ten. (ibid) (10) a. He has to be a New Yorker, with that accent. (ibid) b. The available premises, including his accent, compel me to conclude that he s from New York. (ibid) (11) a. He needs to go to the grocery store. (ibid) b. Some internal forces (e.g. wanting to eat tonight) compel him to go to the store. (ibid) (12) a. No, he needn t be a New Yorker he could just have lived there a long time, or imitate accents well. (ibid) b. The available premises do not force me to conclude that he s a New Yorker they could also lead to other conclusions. (ibid) may (b) (cf. 1997) 1Talmy, Leonard (1988): Force Dynamics in Language and Cognition 2Sweetser, Eve E. (1990): From Etymology to Pragmatics: Metaphorical and Cultural Aspects of Semantic Structure. Cambridge: Cambridge University Press 22
7 1994 (1994) (1) a. He came dancing with us. 1994 232 b. *He Ø dancing with us. (ibid) c. *He to come dancing with us. (ibid) (2) a. I dislike being driven along a motorway. (ibid) b. *I dislike being drove along a motorway. (ibid) (3) He seems to be supposed to have been invited to speak to the public. (ibid) (4) a. I may be away from home tomorrow. 1994 233 b. *I be away from home tomorrow. (5) a. He must have taken a wrong turning. (ibid) b. *He have taken a wring turning. (ibid) (4a) (5a) may, must be, have (4b) (5b) am, has (6) a. *I should can use two modals in a row if they are verbs. (Jackendoff 1 :1972) b. *I want to may leave the room. (ibid) 23
c. *I dislike musting use modals in gerunds. (ibid) (6) (1994) be be Øbe, to be, being, been is, am, are, was, were to is aming (1994) be be am is are we they you I am/was, he/she is/was, we/you/they are, we/you/they were (1994) love loved break broke (1994) 24
(7) a. I can use a typewriter perfectly now. 1994 239 b. I can see you tomorrow afternoon. (ibid) (8) a. She could read Latin when she was ten. (ibid) b. He told me that he could help us. (ibid) (9) a. He can t be working at that time! (ibid) b. Who can that be at the door? (ibid) (10) a. This could be your big chance. (ibid) b. It could rain later on this evening. (ibid) (7) can (7b) (7b) tomorrow afternoon see can can can (7a) now can (8) (7) can could (8a) when she was ten could (8b) (9) (10) S (10b) later on this evening could rain 25
Will will will (11) a. He won t help me today. 1994 240 b. He wouldn t help me yesterday. (ibid) c. I ve invited him but he won t come. (ibid) (12) a. I said, I will help him. (ibid:242) b. I said that I would help him. (ibid) (13) a. An Englishman will usually show you the way in the street. (ibid) b. Danny will sit and look at the sea for hours. (ibid) c. Danny would sit there for hours watching TV. (ibid) (11) will, would today yesterday (12) (12a) will (12b) will would (13) will, would (13a) (13b) Danny (13c) would Danny will (1994:243) will 26
(14) a. He will be sixty in April. 1994 243 b. Tomorrow s weather will be cold and cloudy. (ibid) c. We shall know the result next week (because it will be in the papers). (ibid:244) (15) a. The procession will be passing our house in about five minutes. (ibid) b. I ll be writing to you about that soon. (ibid) c. By the end of this month, I shall have been learning English for ten years. (ibid) S will shall (1994:246) (16) a. The concert will now begin at 8:30. 1994 246 b. Now we will have no money at the end of the month. (ibid) c. Now we shan t know the result until Monday. (ibid) now will shall begin, have, know will shall now will shall (17) a. He will be in Paris at the moment. 1994 247 b. She won t have heard the news. (ibid) c. You will all have heard the news last night. (ibid) (18) a. This seat would be mine, would it? (ibid) b. She would be about fifty now, I suppose. (ibid) 27
c. That happened a long time ago I d have been about twenty at the time. (ibid) will, would will would can, could will would (a),(b) (c) will would (1994:248) will will will will will will (19) a. John {may/must} leave tomorrow. 1994 249 b. It {may/must} be that John will leave tomorrow. (ibid) (20) a. John is {likely/expected} to come this evening. (ibid) b. It is {likely/expected} that John will come this evening. (ibid) (a) (b) (b) will will likelihood chance predict anticipate (21) a. The economic experts predicted that inflation would decrease. 1994 250 b.?*the economics experts predicted that inflation had decreased. (ibid) 28
(21b) will will (22) a. If it will amuse you, I will tell you a joke. 1994 251 b. I will tell you a joke, if it will amuse you for me to do so. (ibid) (22) will if will I - predict/i think it likely (that) it is predicted/likely (that) (23) a. {I predict/i think it likely} that it will amuse you. 1994 251 b. {It is predicted/likely} that it will amuse you. (ibid) (cf. 1994) 1Jackendoff, R. (1972):Semantic Interpretation in Generative Grammar. MIT Press, Cambridge, MA. 29
8. 10 need 4 will, shall can, may must, should, ought to 3 4 5 Talmy Sweetser 1994 will 30
1986 4 1995 3 1998 1997 1984 9 4 1989 7 1983 5 1966 2 5 1999 1997 4 1994 1966 14 SHALL WILL 15 1996 1998 4 A. Palacas 1970 THE PLACE OF MODAL VERBS IN THE GRAMMAR OF ENGLISH WITH SPECIAL EMPHASIS ON CAN, MAY, AND MUST. UNIVERSITTY MICROFILMS F. R. Palmer 1979 Modality and the English Modals 1984 Jennifer Coates 1983 The Semantics of the Modal Auxiliaries 2 1996 Renaat Declerck 1991 A Comprehensive Descriptive Grammar 1994 Sweetser, Eve E. 1990 From Etymology to Pragmatics: Metaphorical and Cultural Aspects of Semantic Structure. Cambridge: Cambridge University Press 31