A SEMANTIC STUDY OF MODAL AUXILIARY VERBS IN CHINESE

The category of modal verbs (NENG-YUAN verbs) has long been referred to in linguistic works in Chinese. Earlier writings of Wang-Li (1943), Lu Su-Xiang (1947) and Li Jing-Xi (1941) all contain discussions of NENG-YUAN verbs. More recently, linguists following the structuralists' tradition and the generative approach have either explicitly or implicitly stated that the modal verbs in Chinese constitute a special verbal category to be distinguished from other verb types. However, despite much widespread recognition of this category, formal differences between modal verbs and others has been scarce and in most cases based on loose syntactic and/or semantic characteristics. With more recent findings made available by linguists working on language universals, such as Steele (1978), Akmajian, Steele and Wasow (1979), and functional systemic investigation (Halliday 1970, 1979), there are reasons to believe that the category of modal is a semantic category which is universally classified by its semantic characteristics as well as its language dependent syntactic properties.;The discussion begins with a general discussion of the different semantic notions of modality. Linguistic evidence based mainly on the different orientations of the modalized clauses--speaker oriented vs. grammatical subject oriented--is then given to substantiate the argument as to why some notions of modality are considered to be a part of what is called the modal auxiliary meanings, while others are rejected.;Following this, the issue of the modal verbal class in Chinese is addressed. The modal verbs identified by some of the earlier researchers are re-examined under the new semantic criteria set up. The process of identifying the modal verbs in Chinese is carried further by passing the semantically identified elements through a series of syntactic tests to insure that they form part of an auxiliary class which is syntactically distinct from others. Those elements which possess properties prescribed are modal auxiliary verbs in Chinese.;Upon the establishment of the form class, all of the modal elements from the modal auxiliary class are studied in terms of the epistemic and deontic meanings that they express in both negated and non-negated forms. This includes the discussion of epistemic and deontic possibility and necessity as well as the distinctions between the objective and subjective nature of these two types of modalities.;The present dissertation is an attempt to study systematically the semantic properties of the verbal elements included in the modal verb class. To this end, arguments have been made to justify the existence of such a category in Chinese, as well as to examine the modal, non-modal auxiliary and tense meanings the modal elements of Chinese express.;Finally, the future meanings expressed by two of the modals, HUI and YAO, are discussed in conjunction with their possible status as grammatical future tense markers as suggested by Wang (1943) and Lu (1947). This problem is considered by first examining the general notion of futurity and its relations with some modal meanings such as epistemic and deontic possibility. Secondly, the criteria that differentiate tensed languages from non-tensed languages are reviewed. It is then argued that if all of the valid criteria applying to the known tensed languages are applied to the two Chinese modals under consideration, it must be agreed that Chinese is just as tensed as other languages, a position directly contrary to traditional assumptions.