modality and mood

OUP UNCORRECTED PROOF – FIRSTPROOFS, Mon Mar 07 2016, NEWGEN

T h e Ox f o r d H a n d b o o k o f

M ODA L I T Y A N D M O OD

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The Oxford Handbook of

MODALITY AND MOOD Edited by

JAN NUYTS and

JOHAN VAN DER AUWERA

1


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3 Great Clarendon Street, Oxford, ox2 6dp, United Kingdom Oxford University Press is a department of the University of Oxford. It furthers the University’s objective of excellence in research, scholarship, nd education by publishing worldwide. Oxford is a registered trade mark of Oxford University Press in the UK and in certain other countries

© editorial matter and organization Jan Nuyts and Johan van der Auwera 2016 © the chapters their several contributors 2016 The moral rights of the author[s]‌have been asserted First Edition published in 2016 Impression: 1 All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, without the prior permission in writing of Oxford University Press, or as expressly permitted by law, by licence or under terms agreed with the appropriate reprographics rights organization. Enquiries concerning reproduction outside the scope of the above should be sent to the Rights Department, Oxford University Press, at the address above You must not circulate this work in any other form and you must impose this same condition on any acquirer Published in the United States of America by Oxford University Press 198 Madison Avenue, New York, NY 10016, United States of America British Library Cataloguing in Publication Data Data available Library of Congress Control Number: to come ISBN 978–0–19–959143–5 Printed and bound by CPI Group (UK) Ltd, Croydon, cr0 4yy Links to third party websites are provided by Oxford in good faith and for information only. Oxford disclaims any responsibility for the materials contained in any third party website referenced in this work.


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Contents

The Contributors

1. Surveying Modality and Mood: An Introduction Jan Nuyts 2. The History of Modality and Mood Johan van der Auwera and Alfonso Zamorano Aguilar

ix

1 9

PA RT I T H E SE M A N T IC S OF M ODA L I T Y A N D M O OD 3. Analyses of the Modal Meanings Jan Nuyts 4. Interactions between Modality and Other Semantic Categories Mario Squartini 5. Analyses of the Semantics of Mood Irina Nikolaeva

31 50 68

PA RT I I T H E E X P R E S SION OF M ODA L I T Y A N D M O OD 6. The Expression of Non-Epistemic Modal Categories Heiko Narrog 7. The Expression of Epistemic Modality Kasper Boye 8. Sentence Types Alexandra Y. Aikhenvald 9. The Linguistic Marking of (Ir)Realis and Subjunctive Caterina Mauri and Andrea Sansò


89 117 141 166

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vi Contents

10. The Linguistic Interaction of Mood with Modality and Other Categories 196 Andrej L. Malchukov and Viktor S. Xrakovskij

PA RT I I I SK E TC H E S OF M ODA L I T Y A N D M O OD SYS T E M S

AQ: Please note that the author name of chapter 12 has been used in two different forms. Hence , please confirm whether we need to follow “Zygmunt Frajzyngier” or “Zygmunt Frayzyngier” throughout.

11. Modality and Mood in Iroquoian Marianne Mithun 12. Modality and Mood in Chadic Zygmunt Frayzyngier 13. Modality and Mood in Sinitic Hilary Chappell and Alain Peyraube 14. Modality and Mood in Oceanic Frantisek Lichtenberk 15. Modality and Mood in Standard Average European Daniël Van Olmen and Johan van der Auwera

223 258 296 330 362

PA RT I V W I DE R P E R SP E C T I V E S ON M ODA L I T Y A N D M O OD 16. The Diachrony of Modality and Mood Debra Ziegeler 17. Areality in Modality and Mood Björn Hansen and Umberto Ansaldo 18. Modality and Mood in First Language Acquisition Maya Hickmann and Dominique Bassano 19. Modality and Mood in American Sign Language Barbara Shaffer and Terry Janzen

387 406 430 448

PA RT V T H E OR E T IC A L A P P ROAC H E S 20. Modality and Mood in Formal Syntactic Approaches Katrin Axel-Tober and Remus Gergel 21. Modality and Mood in Functional Linguistic Approaches Karin Aijmer


473 495

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Contents vii

22. Modality and Mood in Cognitive Linguistics and Construction Grammars 514 Ronny Boogaart and Egbert Fortuin 23. Modality and Mood in Formal Semantics 535 Magdalena Kaufmann and Stefan Kaufmann References Person index Languages index Subject index


663 00 00 00

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The Contributors

Alexandra Y. Aikhenvald is Distinguished Professor, Australian Laureate Fellow, and Director of the Language and Culture Research Centre at James Cook University. She is a major authority on languages of the Arawak family, from northern Amazonia, and has written grammars of Bare (1995) and Warekena (1998), plus A Grammar of Tariana, from Northwest Amazonia (CUP, 2003), in addition to essays on various typological and areal features of South American languages. Her other major publications include Evidentiality (OUP, 2004), Imperatives and Commands (OUP, 2010), Languages of the Amazon (OUP, 2012), and The Art of Grammar (OUP, 2014). Karin Aijmer is Professor Emerita in English Linguistics at the University of Gothenburg, Sweden. Her research interests focus on pragmatics, discourse analysis, modality, corpus linguistics, and contrastive analysis. Her publications include Conversational Routines in English: Convention and Creativity (1996), English Discourse Particles: Evidence from a Corpus (2002), The Semantic Field of Modal Certainty: A Study of Adverbs in English (with co-author) (2007), Pragmatics: An Advanced Resource Book for Students (with co- author) (2012), and Understanding Pragmatic Markers: A Variational Pragmatic Analysis (2013). She is co-editor of Pragmatics of Society (2011) and of A Handbook of Corpus Pragmatics (2014). Umberto Ansaldo is Professor of Linguistics at the University of Hong Kong. His interests include the study of East and Southeast Asian languages, contact linguistics, grammaticalization, and creolization theory. He is the author of Contact Languages: Ecology and Evolution in Asia (CUP, 2009), co-author of Languages in Contact (CUP, 2016), and is currently working on a book on simplicity and complexity in isolating tonal languages. Johan van der Auwera is Professor of General and English Linguistics at the University of Antwerp, Belgium. His student and postdoc days were spent in Antwerp, Berkeley, Stockholm, Hannover, and Nijmegen and visiting appointments took him to Paris, Princeton, Gothenburg, Hong Kong, Kyoto, and Bangkok. His current research focuses on grammatical semantics and typology (including areal typology and dialectology), with special reference to mood, modality, negation, indefinites, and impersonals. He is the editor in chief of the journal Linguistics. Katrin Axel-Tober (PhD 2005) is Professor of German Linguistics at the University of Tübingen, Germany. Her research focuses on the synchronic and diachronic syntax of German. She has published the books Studies on Old High German Syntax: Left Sentence Periphery, Verb Placement and Verb-Second (Benjamins, 2007) and (Nicht-)kanonische


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x the Contributors Nebensätze im Deutschen: Synchrone und diachrone Aspekte (Walter de Gruyter, 2012) as well as several articles on sentence structure, complementizers, null subjects, and modal verbs. Dominique Bassano is Research Director at the Centre National de la Recherche Scientifique in the laboratory ‘Structures Formelles du Langage’ (University of Paris 8). Her work is concerned with first language acquisition in children, focusing in particular on early development. She is interested in lexical development and the emergence of grammar, adopting a functionalist approach to language acquisition and using cross- linguistic comparisons as well as developmental dynamic system perspectives. Ronny Boogaart is Assistant Professor at the Leiden University Centre for Linguistics (LUCL) of the University of Leiden, The Netherlands. His PhD research, conducted at the Free University in Amsterdam, dealt with the role of tense and aspect in discourse (Aspect and Temporal Ordering: A Contrastive Analysis of Dutch and English, 1999). His focus of attention, both then and now, is on the interplay of semantics and pragmatics in discourse interpretation. Taking a ‘constructionist’ view on grammar, he is currently concerned mainly with modal and conditional constructions. His publications include earlier handbook contributions on tense and aspect (with Theo Janssen, Oxford Handbook of Cognitive Linguistics) and on aspect and Aktionsart (Handbook of Morphology). He is editor in chief of the journal Nederlandse Taalkunde/Dutch Linguistics. Kasper Boye (PhD 2006) is Associate Professor in the Department of Scandinavian Studies and Linguistics, University of Copenhagen. He focuses on functional and cognitive linguistics, and his research interests include modality, grammaticalization, and complementation. His publications include Language Usage and Language Structure (edited with Elisabeth Engberg-Pedersen; De Gruyter, 2010) and Epistemic Meaning: A Cross-Linguistic and Functional-Cognitive Study (De Gruyter, 2012). Hilary Chappell is currently Chair Professor in Linguistic Typology of East Asian Languages at the École des Hautes Études en Sciences Sociales (EHESS) in Paris, an appointment she took up in 2005. Since the 1990s, she has been engaged in opening up the new domain in Chinese linguistics of typology and the comparative grammatical description of Sinitic languages (or ‘Chinese dialects’), with the aim of gauging the extent of their diversity. More recently, she has also begun research on the diachronic syntax of Southern Min (Hokkien) with Alain Peyraube, using a corpus of late sixteenth and early seventeenth century materials compiled by Spanish missionaries. Egbert Fortuin is Associate Professor of Russian Linguistics at Leiden University, the Netherlands. His research focuses on the domain of semantics, pragmatics and syntax, with special reference to the Slavic languages. He has worked on various topics such as the imperative, modal constructions, degree expressions, verbal aspect, and word order. Zygmunt Frajzyngier is Professor of Linguistics at the University of Colorado in Boulder. His main interests and areas in which he published books and scholarly papers


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the Contributors xi include: foundations of syntax and semantics in cross-linguistic perspective; typological explanations in grammar; grammaticalization; Chadic and Afroasiatic linguistics, and descriptive grammars and dictionaries of Chadic languages. He is the author, co- author and editor of 23 books, and over 110 papers. His work has been recognized by several international awards, visiting professorships, and numerous invitations for lectures. Frajzyngier has been continually publishing in the field of grammaticalization for 30 years. Remus Gergel earned his doctorate from the University of Tübingen, Germany, with work on the interaction of modality and ellipsis (Mouton de Gruyter, 2009). He has conducted work as a Research Fellow at the English Department in Tübingen and at the collaborative research centers 441 and 833 (both in Tübingen), as a Post-Doc Researcher at the University of Pennsylvania, USA, as a Temporary Professor at the University of Göttingen, Germany, and as Full Professor at the University of Graz, Austria. His current research includes issues of semantic change, modality, degree constructions, decomposition, contrastive studies, grammatical interfaces, and focus. Björn Hansen is Professor of Slavonic Linguistics at the University of Regensburg, Germany. His research interests are lexical semantics, syntax, and language contact. He has worked on the semantics and syntax of modal constructions from a typological perspective, with special reference to the Slavonic languages (Russian, Polish, and Serbian/Croatian). Together with Ferdinand de Haan he edited the book Modals in the Languages of Europe (Mouton, 2009). Maya Hickmann is Research Director at the Centre National pour la Recherche Scientifique (CNRS) and is presently co- Director of the Laboratoire Structures Formelles du Langage (CNRS & University of Paris 8). She studies language acquisition within a cross-linguistic perspective, particularly the role of structural and functional determinants, the impact of typological and cognitive constraints, and the relationship between language and cognition. She is Chief Editor of the journal LIA (John Benjamins) dedicated to language acquisition. Terry Janzen is Professor and Department Head in the Department of Linguistics, University of Manitoba, Canada. He has research interests in cognitive and functional aspects of ASL discourse structure, in particular on information structure and complex verb constructions that include perspective-taking. He also researches grammaticalization in signed languages and intersubjectivity in language use, especially in interpreted interactions. Magdalena Kaufmann is Assistant Professor in the Department of Linguistics at the University of Connecticut. She graduated from the University of Frankfurt with a doctoral dissertation on imperative clauses (published in Springer’s SLAP series, 2012) and has since been working on various aspects of clause types and their relation to modality as well as various semantic and pragmatic aspects of attitude ascriptions. Stefan Kaufmann is Associate Professor of Linguistics at the University of Connecticut. He works on various topics in semantics and pragmatics, including conditionals and


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xii the Contributors modality, tense and aspect, discourse particles, and probabilistic approaches in natural language semantics and pragmatics. He also has active research interests in computational linguistics, especially in the extraction of semantic information from large text corpora. †Frantisek

Lichtenberk was Associate Professor of Linguistics at the University of Auckland until his death in 2015. His research focused on Oceanic languages (descriptive, historical-comparative, and typological) and he carried out fieldwork in Papua New Guinea and the Solomon Islands. His publications include A Grammar of Manam, A Dictionary of Toqabaqita (Solomon Islands), and A Grammar of Toqabaqita. Andrej L. Malchukov is a Senior Researcher at the St Petersburg Institute for Linguistic Research (Russian Academy of Sciences) and is currently affiliated to the University of Mainz. Apart from descriptive work on Siberian (in particular, Tungusic) languages, his main research interests lie in the domain of language typology. He has published extensively on issues of morphosyntactic typology; in particular, he is the co-editor of The Oxford Handbook of Case (with Andrew Spencer; OUP, 2009), Studies in Ditransitive Constructions: a Comparative Handbook (with Bernard Comrie and Martin Haspelmath; Mouton de Gruyter, 2010), Competing Motivations in Grammar and Usage (with Brian MacWhinney and Edith Moravcsik; OUP, 2014), and Valency Classes in the World’s Languages (with Bernard Comrie; 2 vols., Mouton de Gruyter, 2015). Caterina Mauri is Assistant Professor at the University of Pavia. She received the Joseph Greenberg Award in 2009 for the best PhD thesis in linguistic typology, an area which remains at the centre of her research interests. She mainly works on connectives, modality, and the construction of categories in discourse. Besides typology, she is also interested in semantic change and grammaticalization processes, and in the cross-linguistic coding of pragmatic phenomena. Her publications include Coordination Relations in Europe and Beyond (Mouton de Gruyter, 2008) and several papers in international journals such as Linguistics, Studies in Language, Journal of Pragmatics, and Language Sciences. Marianne Mithun is Professor of Linguistics at the University of California, Santa Barbara. Her research interests include morphology, syntax, discourse, and their interaction; contact; language change; typology; documentation; languages indigenous to North America, particularly Mohawk, Cayuga, and Tuscarora (Iroquoian), Central Pomo, Central Alaskan Yup’ik, Navajo, Barbareño Chumash, and Lakhota; and Kapampangan, Selayarese, and Waray (Austronesian). Heiko Narrog is Associate Professor at the Graduate School of International Cultural Studies of Tohoku University. He holds two PhDs in Linguistics in Germany and Japan, and his publications include Modality in Japanese: The Layered Structure of the Clause and Hierarchies of Functional Categories (Benjamins, 2009), Modality, Subjectivity, and Semantic Change: A Cross-Linguistic Perspective (OUP, 2012), and The Oxford Handbook of Grammaticalization (OUP, 2011) and The Oxford Handbook of Linguistic Analysis (2nd edn; OUP, 2015), both co-edited with Bernd Heine.


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the Contributors xiii Irina Nikolaeva is Professor of Linguistics at SOAS (University of London). She has studied in Moscow and San Diego and received a PhD in Linguistics from the University of Leiden in 1998. Her interests lie in the field of linguistic typology, lexicalist theories of grammar, and documentation and description of endangered languages. She has published several books on Uralic, Altaic, and Palaeosiberian languages based on extensive fieldwork, as well as works on syntax, semantics, information structure, and historical- comparative linguistics. Jan Nuyts (PhD 1988) is Professor in the Linguistics Department of the University of Antwerp, Belgium. His main research interests are in cognitive-functional semantics and syntax. His focus of attention is on the analysis of modality and related semantic categories and their linguistic expression, and its implications for our understanding of the cognitive structure of language and the relations between language and conceptualization/thought. This also explains his long-standing concern with Cognitive Linguistics and its relations to Functional Linguistics. His publications include the books Aspects of a Cognitive-Pragmatic Theory of Language (Benjamins, 1992) and Epistemic Modality, Language and Conceptualization: A Cognitive-Pragmatic Perspective (Benjamins, 2001). Alain Peyraube is currently Directeur de Recherche Emerite at the Centre National de la Recherche Scientifique (CNRS, Paris, France) and Chair Professor of Chinese Linguistics at the École des Hautes Études en Sciences Sociales (EHESS). His main research interests concern Chinese diachronic syntax and semantics, typology of East Asian languages, and the origin and evolution of languages. His most recent research has examined the mechanisms and the motivations of syntactic and semantic change in Chinese from the period of the first recorded inscriptions (fourteenth century bc) to the modern period (eighteenth century). Andrea Sansò (PhD, University of Pavia, 2002) is Professor of Linguistics at the University of Insubria (Como, Italy). His main research interests are in language typology and historical linguistics, with special focus on voice constructions (passives, impersonals, antipassives) across languages and in diachrony. He has guest-edited a special issue of Language Sciences on the cross-linguistic relevance of the notion of (ir) realis together with Caterina Mauri (2012). Barbara Shaffer is Associate Professor in the Department of Linguistics, Signed Language Interpreting Program at the University of New Mexico. Dr Shaffer’s research interests include the grammaticalization of signed languages, modality and mood in signed language, evidentiality and stance markers in ASL, intersubjectivity in discourse, and intersubjectivity in interpreted interactions. Mario Squartini (PhD, Scuola Normale Superiore, Pisa, 1995) is Professor of Linguistics at the University of Turin. His research interests concentrate on grammatical marking of tense, aspect, and modality, especially focusing on complex semantic boundaries (aspect and Aktionsart, epistemic modality and evidentiality, evidentiality and mirativity). He wrote a book on aspectual matters, Verbal Periphrases in Romance: Aspect, Actionality


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xiv the Contributors and Grammaticalization (Mouton de Gruyter, 1998). As to evidentiality, he published articles in Studies in Language, Lingua, and Linguistics and edited a special issue of the Italian Journal of Linguistics (Evidentiality between Lexicon and Grammar, 2007). Daniël Van Olmen is Lecturer in Linguistics at Lancaster University. His doctoral dissertation at the University of Antwerp was a functional, corpus-based analysis of the imperative in English and Dutch. His current research interests include tense, mood, modality, impersonal pronouns, pragmatic markers, and grammaticalization. Viktor S. Xrakovskij is a Chair of the Department of Linguistic Typology at the Institute for Linguistic Research in St Petersburg (Russian Academy of Sciences) and a leader of St Petersburg Typology Group. He is the author of over 250 academic contributions dealing with various aspects of linguistic typology, as well as with Russian studies and Arabic/Semitic studies. He has edited volumes on the typology of diathesis, reflexives, iteratives and verbal plurality, imperatives, conditionals, concessive constructions, and relative tense constructions. Many of his more recent typological volumes are also available in English translations (at Lincom), including the Typology of Iterative Constructions (1997), Typology of Imperative Constructions (2001), Typology of Conditional Constructions (2005), and Typology of Concessive Constructions (2012). Alfonso Zamorano Aguilar is Professor of General Linguistics at the University of Córdoba, Spain. His student and postdoc days were spent at the University of Massachusetts Amherst and at UNAM/Colegio de México, and visiting appointments took him to Montevideo, Berlin, Leipzig, Sofia, Santiago de Chile, Buenos Aires, and Forlì. His current research focuses on the history, historiography, and epistemology of linguistics. Debra Ziegeler is Professor of English Linguistics at the Université Sorbonne Nouvelle Paris 3. General areas of her research interest include the cognitive semantics and grammaticalization of modality, Gricean pragmatics, and construction-based approaches, though she has also been repeatedly compelled to return to the study of counterfactual modality and proximative adverbs for over 15 years. Publications include the books Hypothetical Modality: Grammaticalisation in an L2 Dialect (Benjamins, 2000), Interfaces with English Aspect (Benjamins, 2006) and just released, Converging Grammars: Constructions in Singapore English (Mouton, 2015).

† Frantisek Lichtenberk (1945–2015) In the course of the preparation of this volume for print, we received the unexpected and tragic news that Frank Lichtenberk, author of Chapter 14, has passed away. It is with great sadness that we publish his contribution to this volume knowing it is one of his very last scientific articles.


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