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Jakob Maché
How Epistemic Modifiers Emerge
Trends in Linguistics
Studies and Monographs

Editors
Chiara Gianollo
Daniël Van Olmen

Editorial Board
Walter Bisang
Tine Breban
Volker Gast
Hans Henrich Hock
Karen Lahousse
Natalia Levshina
Caterina Mauri
Heiko Narrog
Salvador Pons
Niina Ning Zhang
Amir Zeldes

Editor responsible for this volume

Volker Gast

Volume 292
Jakob Maché

How Epistemic
Modifiers Emerge
ISBN 978-3-11-040056-4
e-ISBN (PDF) 978-3-11-041102-7
e-ISBN (EPUB) 978-3-11-041112-6
ISSN 1861-4302

Library of Congress Control Number: 2018963772

Bibliographic information published by the Deutsche Nationalbibliothek

The Deutsche Nationalbibliothek lists this publication in the Deutsche Nationalbibliografie;
detailed bibliographic data are available on the Internet at http://dnb.dnb.de.

© 2019 Walter de Gruyter GmbH, Berlin/Boston

Printing and binding: CPI books GmbH, Leck

www.degruyter.com
|
For Susanne Benesch
⁕ 22th July 1898, Vilnius
† Spring 1940, Ravensbrück

But your seed has prospered . . .

Acknowledgements
The present book is a revised, updated and refined version of my dissertation,
which was defended at the Freie Universität Berlin on 28th June 2013. A lot of
people contributed in direct an indirect ways.
First of all, I would like to thank the Austrian and the German tax payers,
without whose help it would have been impossible to pursue an extensive investig-
ation such as the one presented here. The earlier parts of this work were funded by
the Österreichische Akademie der Wissenschaften (Austrian Academy of Science),
which supported me with a DOC grant from May 2005 to April 2007. The rest is the
result of my research carried out at the Freie Universität Berlin from October 2007
to the Winter 2013. There are a couple of people who provided me with crucial sup-
port and to whom I am deeply indebted. First of all, I would like to thank Werner
Abraham, who opened many doors to me that would have been remained closed
otherwise, and Stefan Müller for being so trusting when he employed me as his
research and teaching assistant. Further important facilitators are Ulrich Dressler
and Richard Schrodt.
Aside from that, there are a lot of other people who contributed to the present
study by giving fruitful hints or criticism. Among the most important partners
are my colleagues Tanyushichka Ackermann, Katrin Axel, Felix Bildhauer, Rui
Chaves, Philippa Cook, Katarina Colomo, Hamida Demirdache, Kristin M. Eide,
Serge Doitchinov, Markus Egg, Veronika Ehrich, Peter Eisenberg, Ophira Gamliel,
Volker Gast, Remus Gergel, Jane Grimshaw, Nele Hartung, Roland Hinterhölzl,
Anke Holler, Katalin Horváth, Łukasz Jędrzejowski, Olga Kellert, Ekkehard König,
Zhanna Lipenkova, Claudia Maienborn, Amalia Mendes, Mingya Liu, Svetlana Pet-
rova, José Pinto de Lima, Kilu von Prince, Uli Reich, Marga Reis, Eva-Maria Rem-
berger, Roland Schäfer, Oliver Schallert, Mathias Schenner, Cosima Scholz, Horst
Simon, Augustin Speyer, Hubert Truckenbrodt, Evdokia “the one and only” Val-
cheva, Heinz Vater, Rita Veloso, Hedde Zeijlstra, Chris Zimmer. I am particularly
indebted to Fé.mi Adéwo.lé from the O.báfé.mi Awóló.wò. University Ilé-Ifè. for shar-
ing with me his unique expertise on modal verbs in Yorùbá.
Furthermore, I am grateful for the comments and hints given by Anasta-
sios Tsangalidis, Hardarik Blühdorn, Jonathan Ginzburg, Joachim Jacobs and
Horst Lohenstein and possibly many more. Finally, I would like thank Konstantin
Krasuchin for the fruitful discussions.
Moreover, I would like to thank those native speakers of English who helped
me with the multiple proof-readings of this 530 pages long monster. In particular,
Erica Haas, Philippa Cook, Kevin Ryan and Natalie Adams. Yet, above all, I am
grateful to Volker Gast, the editor of this series, who over many months and years

https://doi.org/10.1515/9783110411027-201
VI | Acknowledgements

invested so much time to personally proof-read the whole manuscript for another
time. In addition, Till Kulawik deserves special thanks for helping me with ana-
lysing the data from Latin.
Apart from that, there are a couple of people who helped me to bring vari-
ous research visits to fruition. At this point I would like to thank Elisabeth Leiss
and Christiane Wanzeck for supporting me on my visit at the Ludwig-Maximilians-
Universität München in September 2005, Marga Reis for hosting me at the Sonder-
forschungsbereich 441 Linguistische Datenstrukturen at the Universität Tübingen
in the years 2005/2006, Amalia Mendes and Ana Maria Martins for my stay at the
Centro de Linguística da Universidade de Lisboa in 2006, and Hamida Demirdache
for my stay at the Laboratoire Linguistique de Nantes at the Université de Nantes
in May 2007.
I am particularly indebted to Viola Auermann, who supported me in many
difficult situations and who enabled me to deliver this thesis on time.
Finally, I owe Nita Little, Nancy Stark Smith and Steve Paxton a great debt of
gratitude for their revolutionary inventions. And last but not least, I am grateful
to the Estádio do Luz for providing me with divine insights from 2007. And to my
bicycle, which carried me through Berlin every day, altogether more than 40.000
kilometres.
Contents
Acknowledgements | V

List of Tables | XI

Abbreviations | XIII

2 Modal verbs: A class struggle | 8

2.3.4 George O. Curme | 265

2.3.5 Braune, Paul and Behaghel: The decline of the semantic
motivation | 266
2.3.6 Gunnar Bech (1949) | 268
2.3.7 The Duden grammar | 270
2.3.8 Summary | 273

3 The nature of epistemic modality | 280

4 Twenty-one commandments for epistemic modality | 334

4.1 No infinitives | 338
4.2 No past participle | 342
4.3 No past tense | 348
Contents | IX

4.4 Excluded from the scope of a counterfactual operator | 355

4.5 Excluded from nominalisations | 357
4.6 No verbless directional phrase complements | 360
4.7 No VP-anaphora | 361
4.8 No separation in wh-clefts | 364
4.9 May not bear sentence accent | 368
4.10 Excluded from the scope of negation | 372
4.11 Excluded from polarity questions | 380
4.12 Excluded from wh-questions | 389
4.13 Excluded from imperatives | 395
4.14 Excluded from optatives | 396
4.15 Excluded from complement clauses | 398
4.16 Excluded from event-related causal clauses | 415
4.17 Excluded from the antecedent of an event-related
conditional | 425
4.18 Excluded from temporal clauses | 433
4.19 Excluded from restrictive relative clauses | 441
4.20 Excluded from the scope of a quantifier | 444
4.21 No assent/dissent | 459
4.22 Objective and subjective epistemic modality: A
reassessment | 460
4.22.1 Lyon’s original motivation | 461
4.22.2 Further advancements in the study of ‘objective’ epistemic
modality | 466
4.22.3 The role of public evidence | 469
4.22.4 Objective epistemic modal verbs do not constitute a consistent
class | 470
4.22.5 ‘Objective’ modal verbs that are practical possibility or
quantificational modal verbs | 475
4.22.6 ‘Objective’ epistemic modal verbs that are ‘subjective’ | 476
4.22.7 Conclusions | 478
4.23 Summary | 480

5 Reportative and evidential modal operators | 484

5.1.6 Questions | 495

6 Anchoring the deictic centre | 517

7 On black magic: A diachronic explanation | 540

7.1 Epistemic modal verbs in Early New High German | 541
7.2 The Rule of Accommodation as a driving force of language
change | 548
7.3 Summary | 549

8 Summary | 551

Primary sources | 555

References | 559

Author index | 577

Subject index | 583

List of Tables
Tab. 2.1 Preterite present origin of wissen — the Old High German paradigm | 10
Tab. 2.2 Modal verbs and preterite present morphology | 12
Tab. 2.3 Most frequent verbs in spoken German, according to Ruoff (1981), based on a
corpus study comprising 500,000 word form tokens | 36
Tab. 2.4 Frequency of auxiliaries among all word form tokens, according to Kaeding
(1897), based on a corpus study comprising 10,910,777 word form tokens | 37
Tab. 2.5 Complement types of potential modal verbs | 254
Tab. 2.6 Different extensions of the term Modalverb accros the centuries | 274
Tab. 2.7 Features relevant for a definition of the class Modalverb | 279

Tab. 4.1 Epistemic modal verbs in non-canonical enviroments | 474

Tab. 4.2 Anchoring of epistemic modal operators in embedded contexts | 481

Tab. 7.1 Circumstantial modal verbs with stative complements – in Schmid’s Neuwe
Welt (1567) | 545

https://doi.org/10.1515/9783110411027-203
Abbreviations
The abbreviations employed in the glossed examples correspond to those found
in the Leipzig Glossing Rules.¹ Additional tags used in the glossed examples are
listed below:

caus causative
comp comparative
cor correlate
dim diminutive
ger gerundive
intn intensifier
part particle
ppp(ge) past participle with ge-prefix
ppp(ipp) past participle with infinitivus pro participio-morphology
sup superlative
vpan VP anaphora

1 The Leipzig Glossing Rules can be found at the following web site (last access 18th August, 2018):
http://www.eva.mpg.de/lingua/resources/glossing-rules.php

https://doi.org/10.1515/9783110411027-204
1 Introduction
1.1 Aims

The primary aim of this investigation is to provide an analysis of the development

of epistemic modal verbs in German. As Abraham (2002: 24) and Mortelmans,
Boye and Auwera (2009) have illustrated, German has a particularly rich system
of modal verbs, with a much richer morphology than is found in English. As has
been shown by numerous investigations, such as Traugott (1989: 35), Öhlschläger
(1989: 133), Sweetser (1990), Bybee, Perkins and Pagliuca (1994: 195), Fritz (1997),
Diewald (1999) and Axel (2001: 45), the epistemic modal verbs of German de-
veloped diachronically from circumstantial modal verbs. However, the details of
this development are not entirely clear, and figuring them out is no trivial matter.
In order to tackle this issue, a couple of related questions have to be addressed
beforehand.
The first question that arises concerns the nature of the so-called modal verbs:
How can these verbs be characterised? Is there a way to delimit them from other
verbs? As will be shown, the availability of an epistemic interpretation plays an es-
sential role for the classification of modal verbs. This raises another issue that has
to be addressed regarding the nature of epistemic modality: How does epistemic
modality differ from circumstantial modality? Are there environments in which
epistemic modal verbs are used while their circumstantial counterparts are un-
grammatical? Are there configurations in which epistemic modal verbs cannot oc-
cur while circumstantial modal verbs can? How can the distributional differences
between epistemic modal verbs and circumstantial modal verbs be accounted for
(if there are any)? Once it is clear what the precise nature of epistemic modality
is, it will be possible to address the major question: What circumstances triggered
the development of epistemic modal verbs?
Summing up, the present investigation intends to provide answers to the fol-
lowing central questions:
1. What is the nature of modal verbs?
2. What is the nature of epistemic modifiers?
3. What triggered the development of epistemic modal verbs?

1.2 Method

The use of modal verbs is one of the most extensively investigated phenomena in
German. Accordingly, the number of descriptions and analyses is vast. However,

https://doi.org/10.1515/9783110411027-001
2 | 1 Introduction

most of these accounts date from a period when no comprehensive electronic cor-
pora were available. As a consequence, the large majority of previous investiga-
tions are based on very small sets of empirical data. Frequently, the data was ob-
tained through introspection, a method which is not considered reliable anymore
in contemporary linguistics. Moreover, a lot of analyses are based on scarce au-
thentic data. Very often, the decisive examples on which the relevant theories are
based involve configurations which are somewhere in the twilight zone of gram-
maticality and, thus, difficult to evaluate. In approaches that are supported by
introspective data, such configurations are often judged as ungrammatical in the
case of doubt. Yet, it often turns out that such allegedly ungrammatical configur-
ations indeed exist if sufficiently large collections of texts are considered.
Summing up, there are countless analyses of modal verbs in German that are
most often based on introspective rather than on authentic data. In most cases,
the grammaticality judgements of the decisive examples are fairly contested. Ac-
cordingly, their status as evidence in support of theoretical analyses is not always
obvious.
It is in this spirit that the present investigation provides selected data taken
from the German Reference Corpus (Deutsches Referenzkorpus – DeReKo) com-
posed and hosted by the Institut für Deutsche Sprache (IDS). At the time of invest-
igation, i.e. during the years 2010–2012, it encompassed about 2 billion of word
form tokens. A major contribution of this book is a systematic and thorough de-
scription of all potential modal verbs in German, which is well grounded on au-
thentic data. Furthermore, all of the case studies will deliver a critical summary
of the previous discussion on the respective verbs and refer to the most important
approaches that have been published in the last century. In this way, the present
investigation aims to provide an overview of previous accounts as well as a sound
empirical foundation for future studies, rather than contributing another analysis
that lacks the support of authentic data. This strategy may not appear very presti-
gious; however, the less spectacular way is often the more successful one.
As has been noted above, this study has a diachronic focus. Diachronic stud-
ies involve a comparison of at least two historically distinct stages of a language.
In the present study, the first stage concerns the time before the so-called modal
verbs had acquired their epistemic interpretations, and the second stage covers
the period after the modal verbs had developed their epistemic interpretations. As-
suming that the latter stage corresponds to the situation in present-day German,
one stage can already be clearly identified. As Fritz (1991: 29), Fritz (1997: 9, 95)
and Müller (2001) illustrate, the number of uses of epistemic modal verbs attested
in documents significantly increases for texts from the 16th century. Correspond-
ingly, it appears to be likely that the 16th century plays an important role in the
development of epistemic modal verbs.
1.3 Theoretical considerations | 3

In order to arrive at reliable results, any diachronic investigation needs to

collect as much information about the respective stages to be contrasted as pos-
sible. In the present case, there is a bias between the two stages to be investigated.
For present-day German, native competence can still be accessed. In contrast, no
speaker with native competence for Early New High German or Middle High Ger-
man can be found anymore. For this reason, it appears to be most natural to gain
as much information as possible about the language stage that can still be ac-
cessed. In order to entirely understand the nature of a diachronic change, it is
necessary to know at least one stage in every detail. Yet, there was no satisfactory
description of the potential modal verbs in German that was based on authen-
tic data at the time when this investigation was started. It appeared necessary to
establish such a description before a reliable diachronic comparison could be un-
dertaken. A similar approach is taken by Krämer (2005: 1).
Moreover, the diachronic developments of a linguistic item are often reflected
in the synchronic situation of a language. Ambiguous words often involve two or
more variants that have arisen in different periods and that co-exist in the syn-
chronic state. As Diewald (1999: 4) pointed out, that is exactly what applies to the
ambiguity of modal verbs in German. Most modal verbs are ambiguous between
transitive, circumstantial and epistemic uses and all of them have developed in dif-
ferent periods: The transitive was the source for the circumstantial patterns and
the circumstantial patterns in turn constituted the basis for the epistemic uses.
As the diachronic development of epistemic modal verbs is partially reflected in
the synchronic state, we can learn a lot by investigating data from present day
German. Accordingly, the investigation outlined here focusses on synchronic data
and takes into account data from earlier periods whenever this provides relevant
insights. In addition to that, grammars from the 17th and 18th centuries have been
investigated to deepen the knowledge of the nature of the potential modal verbs
in earlier stages.
Finally, it will be argued that the German term Modalverb is misleading and
inconsistent. In order to discover the source of these inconsistencies, the history of
the term will be meticulously investigated across grammars from the 17th century
up until the most recent decades.

1.3 Theoretical considerations

Any theory is a model of reality. A theoretical model is the more successful the
more it resembles reality. In linguistic theories, a particular language L is gener-
ally considered as the set of all grammatical sentences that can theoretically be
uttered in this language. A perfect theoretical description of that language L yields
4 | 1 Introduction

the set that contains all those sentences that are judged as grammatical by the
speakers of that language, and none that are judged as ungrammatical. As easy
as it sounds, the way to the perfect description quickly turns out to be barred by
uncountable dangerous obstacles paved with insidious traps – and sometimes,
fallacious notions will mislead the eager scholar.
In accordance with these prerequisites, the present investigation attempts to
formulate a theory that captures as many uses of the so-called modal verbs in Ger-
man as possible. It aims to cover of all the uses of the different (so-called) modal
verbs that have hitherto been discussed in the literature and that can be found in
corpora.
In some of the more recent accounts, e.g. in usage-based theories, the gram-
maticality of a linguistic structure is occasionally related to its frequency in
corpora. As these theories sometimes conclude, patterns that do not occur fre-
quently are grammatical to a lesser extent, or not grammatical at all, and as
a consequence, such uses can be neglected. Yet, frequency is not everything.
Among rare linguistic structures, there are some that are regarded as deviant by
the majority of the speakers of that language, but there are also instances that
are considered as fully grammatical. In the latter case, the low frequency of a
structure must obviously be due to some reason other than a failure to produce
utterances of the relevant types.

1.4 Results in a nutshell

Based on the three questions formulated in Section 1.1, the investigation of the
corpus data has yielded the following results. As will be shown in Chapter 2, the
term modal verb as used traditionally is not consistent. First of all, no character-
istic could be found that separates the six traditional modal verbs, können ‘can’,
müssen ‘must’, wollen ‘want’, dürfen ‘be allowed to’, sollen ‘shall’ and mögen ‘may’
from the remaining verbs in German. Furthermore, each of these verbs has turned
out to behave in a very idiosyncratic manner. This illustrates that the traditional
six modal verbs do not form a natural class, even if they exhibit some degree of un-
deniable kinship. The term modal verb as used traditionally suggests that its class
members are characterised by two properties: They exhibit a morphological anom-
aly, and they fulfil the same function in grammar. Yet, the set of verbs with mor-
phological anomalies and the set of verbs that denote a necessity or possibility are
not co-extensive. Accordingly, the most efficient solution is to refrain from using
the traditional term modal verb, and to restrict the focus to the epistemic patterns.
In doing so, the extension of the class becomes larger, as it also includes verbs that
1.4 Results in a nutshell | 5

are not traditionally considered as modal verbs, e.g. werden ‘will, fut.aux’ and
brauchen ‘need’. A similar approach has been taken by Reis (2001: 308, 2005).
As it turns out, the epistemic uses of the verbs considered here constitute a
natural class of verbs in German in formal and functional respects: They select
bare infinitive complements and they can encode epistemic modality. It is reason-
able to assume that these two properties are closely related to each other. As can
be seen, the ‘ideal’ epistemic modal verb in German selects bare infinitive com-
plements, and any verb that is about to acquire an epistemic interpretation has
to lose its infinitive particle zu first. If the availability of an epistemic interpreta-
tion becomes the decisive property, the extension of the class has to be adapted.
The class of epistemic modal verbs thus encompasses the following items: kann,
könnte, muss, müsste, sollte, dürfte, mag, braucht nicht, and wird ‘will’. Due to the
high number of idiosyncrasies that these verbs exhibit in their non-epistemic pat-
terns, an analysis that is capable of capturing all these fine-grained differences is
needed. It requires a lexicon that can differentiate between all the syntactic dif-
ferences that the different potential modal verbs exhibit. For such an endeavour,
a lexicalist account such as Head-Driven Phrase Structure Grammar seems to be
the most promising one.
As the availability of epistemic modality plays a crucial role in the classific-
ation of the verbs investigated here, it becomes necessary to understand its pre-
cise nature. As will be shown, there are characteristic contrasts between epistemic
modal verbs and their circumstantial counterparts. Chapter 3 focusses on the en-
vironments in which only epistemic modal verbs are grammatical whereas their
circumstantial cognates are ruled out. It will be pointed out that circumstantial
modal verbs are event modifiers and, as a consequence, they are restricted to the
selection of predicates that can be interpreted as events. By contrast, epistemic
modal verbs can also embed predications about an identified subject referent,
headed by a predicate denoting a state that cannot be altered, or that refers to
an event in the past. Accordingly, they have to be considered as propositional or
speech act modifiers.
Chapter 4 is dedicated to the contexts from which epistemic modal verbs are
excluded while their circumstantial counterparts are fully grammatical. These
non-canonical environments for epistemic modal verbs play an important role in
their characterisation. In the present study, the twenty-one most important envir-
onments will be thoroughly checked against corpus data. As will be shown, more
than half of them are fallacious, as they are attested with epistemic modal verbs.
There are only eight environments in which epistemic modal verbs could not be
found: (i) They do not occur with verbless directional phrase complements, (ii)
they cannot be separated from their infinitive complements in wh-clefts, (iii) they
do not undergo nominalisation, (iv) they are exempt from adverbial infinitives
6 | 1 Introduction

and, finally, they cannot be embedded under (v) circumstantial modal verbs, (vi)
predicates of desire, (vii) imperative operators or (viii) optative operators. This
conclusion is very similar to the one reached by Eide (2005: 9) for Norwegian. As
the contexts (iv)–(viii) contribute some sort of circumstantial modal operator, the
majority of the non-canonical environments can be accounted for in terms of inter-
vention. Epistemic modal operators cannot occur in the scope of circumstantial
modal operators. Furthermore, the corpus study has revealed that the assumption
of a distinct ‘objective’ epistemic interpretation, as proposed by Lyons (1977: 799),
is misleading.
In Chapter 5, it will be shown that reportative uses of wollen and sollen differ
substantially from epistemic modal verbs. More specifically, they are more flex-
ible with respect to the contexts in which they can occur. Unlike epistemic modal
verbs, they are attested in nominalisations, adverbial infinitives, optatives and
embedded under the future auxiliary werden. Furthermore, it will be pointed out
that they obtain a different interpretation whenever they are embedded under a
past operator. By contrast, it turns out that the so-called evidential verbs scheinen,
drohen, versprechen and verheißen belong to a different type of pattern.
In Chapter 6, it will be demonstrated how the behaviour of epistemic modal
verbs and reportative modal verbs in non-canonical environments can be ana-
lysed. The analysis is based on a couple of assumptions. The most basic assump-
tion is that epistemic operators contribute a variable for the deictic centre. In or-
der to be interpreted, this variable needs to be locally bound by an appropriate
attitude holder. In the canonical case for epistemic modal verbs, the variable is
identified with the most salient referent of the speech act, usually the speaker.
While in the case of epistemic modal verbs the variable is only instantiated at the
speech act level, the variable is anchored in a very local configuration with report-
ative modal verbs: it is bound to an argument of the modal verb itself. As there
are operators which fail to embed linguistic structures containing unbound vari-
ables for the deictic centres, such as circumstantial modal operators, epistemic
modal verbs cannot occur in the scope of such operators, since their variable for
the deictic centre is left unspecified. By contrast, reportative modal verbs are ac-
ceptable in such environments. This explains why reportative modal verbs can oc-
cur embedded in configurations in the scope of certain modal operators such as
adverbial infinitives or optatives, whereas epistemic modal verbs are banned from
such environments. According to this, epistemic modal verbs can be regarded as
elements of the category ‘verb’, as their incompatibility with non-canonical envir-
onments results from the status of the variable which they introduce. Moreover,
it will be demonstrated that approaches in the tradition of Cinque (1999), which
analyse modal verbs as functional categories, face serious challenges when in-
tending to account for the data presented here. It appears that only lexicalist ac-
1.4 Results in a nutshell | 7

counts such as HPSG are capable of providing an analysis that is empirically well
supported.
Finally, the insights from the investigation of the epistemic modal verbs in
contemporary language use put us in a position to reconstruct a scenario of how
these modifiers came into existence. Chapter 7 is dedicated to the grammatical-
isation of epistemic modal verbs. As has been observed by Abraham (1991), Abra-
ham (2001) and Abraham (2005) as well as Leiss (2002), among the earliest uses
of epistemic modal verbs there are many that select stative or other imperfective
predicates. This can be related to the findings of Chapter 3, where it is shown that
circumstantial modal verbs are event modifiers, which are restricted to the modi-
fication of predications that involve (Davidsonian) event arguments. Following
Maienborn (2003: 106), Kimean state predicates, such as the copula in German,
do not contribute an event argument. Yet, in Old and Middle High German in-
stances of circumstantial modal verbs can already be found that embed the copula
sein. This situation is unexpected if circumstantial modal verbs are indeed restric-
ted to the selection of predicates that involve an event argument. But as Maien-
born (2003: 178, 193) argues, there are two pragmatic repair mechanisms which
can render an event argument to a predicate that would otherwise lack such an
argument: The temporariness effect, and the agentivity effect. Likewise, Kratzer
(1981: 61) argues that there are pragmatic mechanisms of coercion and accommod-
ation that can adapt complements not fulfilling the selectional restriction. As she
remarks, this mechanism “is black magic, but it works in many cases”.
However, this mechanism is not always easy to detect, especially for L1
learners. In the course of history, there was one generation of L1 learners who
were no longer able to decode this repair mechanism. Rather, they reinterpreted
the utterance in a more economic way. Since epistemic modal verbs are not re-
stricted to predicates that provide an event argument, they do not require the
temporariness effect or the agentivity effect to apply. As circumstantial possib-
ility verbs and epistemic possibility verbs sometimes obtain almost the same
communicative effect, this scenario of reinterpretation seems very likely.
These results indicate that the grammaticalisation of epistemic modal verbs
is, in essence, a change from event modification to clausal modification, and a
process which leaves the original category of the grammaticalised element unaf-
fected.
2 Modal verbs: A class struggle
Modal verb is probably one of the most common terms in the contemporary de-
scription of German grammar, and it is used as if it had always been around. All
of the major grammars of German employ this expression, cf. Engel (1996: 463),
Zifonun (1997: 1253), Eisenberg (2004: 90), Helbig and Buscha (2001: 114) and Eis-
enberg et al. (2005). But what exactly does it mean? What is the benefit of using
this term? The most common answer would be that this word refers to a group of
six particular verbs, which, according to many, constitute a “relatively closed sys-
tem” and are “part of a grammatical system of rules”, see Buscha, Heinrich and
Zoch (1971: 7):

(1) können, müssen, wollen, dürfen, sollen, mögen

can must want may shall like
And indeed, this corresponds exactly to what is taught in most schools in coun-
tries where German is spoken as a native language, and occasionally in institu-
tions where it is taught as a second language.¹ As this answer is not very precise,
further questions arise. What is the particularity of these six verbs? How do they
differ from the remaining set of verbs? What makes them so special? Following the
traditional view of Vernaleken (1861: 94), Bauer (1850: 102 §166), Curme (1922: 317),
Helbig and Buscha (2001) argue that being of preterite present origin, they exhibit
a particular morphology, and that they select a bare infinitive and express mod-
ality. Accordingly, they constitute a relatively closed group. Furthermore, Helbig
and Buscha (2001: 115) point out that modal verbs in German withstand passivisa-
tion, and their past participle is always realised with infinitive morphology (IPP-
effect, Ersatzinfinitiv). In a similar vein, Griesbach and Schulz (1976: 34) highlight
that modal verbs lack imperative morphology. Summing up, in these approaches
modal verbs are characterised by morphological anomalies (preterite present ori-
gin, lack of an imperative, lack of a passive, IPP-effect), by the selection of a bare
infinitive, and by their ability to express modality. Buscha, Heinrich and Zoch
(1971) suggest a whole range of further criteria, but they are rather intuitive and
do not withstand closer scrutiny. There are a couple of influential studies that are
led by these assumptions, in particular that there is a class of modal verbs con-
sisting of these six verbal lexemes. Among others, Bech (1949) and Bech (1951)
and Diewald (1999) tried to provide a comprehensive description of the class of
elements listed in (1).

1 As Eva Valcheva (pers. commun.) reports, the very same concept of modal verb is taught in
schools in Bulgaria as well.

https://doi.org/10.1515/9783110411027-002
2.1 Traditional criteria | 9

In the next sections, the criteria suggested by Bech and Diewald will be care-
fully reviewed. None of them will prove to be reliable enough to justify the assump-
tion of a homogeneous class containing the six items können, müssen, wollen, dür-
fen, sollen and mögen. Finally, I will arrvive at the conclusion that the term modal
verb, as it is most often employed in research on German grammar, is misleading.

2.1 Traditional criteria

As discussed above, there is some evidence that the six verbs in (1) constitute a
separate class of verbs. What follows is a collection of the phenomena adduced
by different proponents of the traditional perspective. This does not mean that
all traditionalists agree about the exact number of characteristics of modal verbs.
Curme (1922: 317), for instance, only briefly refers to the morphological anomaly of
these verbs that is mainly due to their preterite present origin. Other authors, such
as Helbig and Buscha (2001) and Griesbach and Schulz (1976), mention further
morphological features and, in addition, syntactic peculiarities. It is not always
the case that each author was aware of the explanatory power of other potential
criteria. The most promising of these potential characteristics will be discussed in
the upcoming sections.

2.1.1 Morphological criteria

There are two morphological anomalies that can be found among the six tradi-
tional modal verbs: an inflectional pattern which is typical of preterite presents
and the infinitivus pro participio (IPP-effect). Finally, the lack of an independent
imperative form will be discussed. Some authors, e.g. Redder (1984: 305), argue
that all of these three features are related to the preterite present origin of the
verbs under analysis.

2.1.1.1 Preterite present origins

According to Helbig and Buscha (2001: 29), one of the essential properties of the
six traditional modal verbs is their preterite present origin. As pointed out by
Grimm (1822: 851, 1053), preterite presents are preterite forms of strong verbs that
were reinterpreted as independent verbs. Roughly speaking, the accomplishment
of an event in the past was reanalysed as a resultative state in present. The case
of wissen (‘know’) has been intensively investigated, as is illustrated in Table 2.1.
According to Meid (1971: 18), its development originates from an early period of
10 | 2 Modal verbs: A class struggle

Tab. 2.1: Preterite present origin of wissen — the Old High German paradigm

present past present past present

infinitive rı̄t-an (wı̄zz-an) wizzan
1st pers. sg. rı̄t-u reit-ø (wı̄zz-u) (weiz-ø) ⇒ weiz-ø
2nd pers. sg. rı̄t-ist reit-ist (wı̄zz-ist) (weist) ⇒ weist
3rd pers. sg. rı̄t-it reit-ø (wı̄zz-it) (weiz-ø) ⇒ weiz-ø
1st pers. pl. rı̄t-emēs rit-umēs (wı̄zz-emēs) (wizz-umēs) ⇒ wizz-umēs
2nd pers. pl. rı̄t-et rit-ut (wı̄zz-et) (wizz-ut) ⇒ wizz-ut
3rd pers. pl. rı̄t-ent rit-un (wı̄zz-ent) (wizz-un) ⇒ wizz-un
meaning ‘ride’ ‘rode’ ‘see’ ‘saw’ ‘know’

Indo-European. Rix (2001: 606) assumes an Indo-European root *ueid ‘see’ with
̑ ̑
its corresponding preterite stems *uóida ‘I saw’ and *uid- ‘We saw’. Already in the
̑ ̑ ̑
Indo-European period, the preterite stems developed an independent meaning.
Whereas in the original sense they referred to a seeing event in the past, they refer
to a knowing state in the present in its reinterpreted form. Birkmann (1987: 351)
illustrates this evolution from Proto-Germanic up to Modern German:

(2) New High German weiß < Old High German weiz < West Germanic *weit <
Proto Germanic *wait < Indo-European *uóida ‘I know’ ⇐ ‘I saw’
̑ ̑
(3) New High German wissen < Old High German wizzum < West Germanic
*witum < Proto Germanic *witum < Indo-European *uid- ‘We know’ ⇐ ‘We
̑
saw’

During this process the form wissen maintained its preterite morphology of a
strong verb. This becomes visible as soon as it is compared with a preterite form
of a verb belonging to the same class of ablaut, as reiten (‘ride’), for instance.
And indeed, following Birkmann (1987: 135) and Braune and Reiffenstein (2004),
wissen inflected for present tense behaves exactly as reiten in its preterite use, as
is illustrated for Old High German in Table 2.1. Even if Pokorny (1959: 1126) ad-
duces a verb wı̄zzan ‘look out, observe’ for Old High German, this does not mean
that the process of reinterpretation only took place in that period. Effectively, the
emancipation of the new meaning of wizzan already took place in Indo-European
times. The reason why wı̄zzan is nevertheless included in Table 2.1 is only for
ease of illustration. It only demonstrates what the original stem *ueid would have
̑ ̑
looked like in Old High German. In essence, these patterns remain the same for
New High German.
There are three characteristics that are particular to preterite presents: (i) the
1st and the 3rd person singular remain without suffix in present tense. A similar
observation was made by Claius (1578: 96), who noticed that there are nine verbs
2.1 Traditional criteria | 11

that lack suffixes in the 1st and 3rd person singular, which makes them to appear
monosyllabic: können, mögen, woellen, sollen, wissen, taugen ‘to be good for sth’,
thuerren ‘dare’, düerfen and müssen. (ii) They involve a vowel alternation between
the present tense indicative stems in singular and plural, and (iii) they exhibit
a further vowel alternation between the stem of the present tense and the past
tense. As for the six verbs listed in (1), it turns out that indeed almost all of them
are of preterite present origin. As, among others, Braune and Reiffenstein (2004)
illustrate, können, müssen, dürfen, sollen and mögen can be derived from preter-
ite stems of other verbs. Based on the observations about the Gothic counterpart
viljan ‘want’, Grimm (1822: 853) illustrates that wollen originates in a subjunctive
of the past form of a volitional verb. A similar analysis of the development of Ger-
man wollen was suggested by Braune (1886: 259). However, in the course of his-
tory, wollen assimilated its morphological properties according to the paradigm
of preterite presents, as illustrated by Braune and Reiffenstein (2004).
The different origin of wollen is partly reflected in its deviating inflectional
pattern. It does not involve a vowel alternation between the preterite stem and the
infinitive. Therefore criterion (iii) for preterite present is not met, as indicated in
Table 2.2. Upon closer inspection, however, it turns out that the genuine preter-
ite present sollen even fails to fulfil two of the characteristics particular to preter-
ite presents. It involves no vowel alternation at all; correspondingly, criteria (ii)
and (iii) are not met. In a similar fashion, muozan lacked the vowel alternation
between the indicative forms in singular and plural in Old High German, violat-
ing criterion (ii), as illustrated by Birkmann (1987: 129).
Finally, the status of criterion (iii) is unclear, as it does not uniquely apply to
preterite present verbs, but can be found with many more verbs. More specifically,
the vowel alternation between the infinitive and the past tense stem is a charac-
teristic that affects most of the irregular verbs as well. As illustrated by Eisenberg
et al. (2005: 491–502), there are more than 190 irregular verbs that display a vowel
alternation between the present stem and the past stem.
As a consequence, preterite present morphology cannot be regarded as a suit-
able property to unify the traditional six modal verbs in a homogeneous class. A
definition of the modal verbs based on the preterite present morphology faces a
further challenge, since it incorrectly includes wissen, which is apparently the old-
est among the preterite presents and, unlike sollen, has preserved all of the relev-
ant features of preterite presents.
Typically, authors who suggest a definition of modal verbs which is based on
their preterite present origins, Curme (1922: 317), acknowledge at some later point
that wollen has, in fact, a different origin and only assimilated over the course of
time. In this respect, German behaves differently from English, where the class
of preterite presents coincided with a group of verbs with ‘modal’ meanings, as
12 | 2 Modal verbs: A class struggle

Tab. 2.2: Modal verbs and preterite present morphology

1st and 3rd p. present vowel change vowel change

tense without suffix
1st /3rd p. sg. 1st –3rd p. sg 1– 3rd p. pl. infinitive past tense
können kann-ø kann können können konnte
müssen muß-ø muß müssen müssen mußte
mögen mag-ø mag mögen mögen mochte
dürfen darf-ø darf dürfen dürfen durfte
wollen will-ø will wollen wollen wollte
sollen soll-ø soll sollen sollen sollte
wissen weiß-ø weiß wissen wissen wußte

Lightfoot (1979: 102) has pointed out. All of the other preterite presents vanished.
This in turn triggered a radical process of syntactic change with the result that
all of the preterite presents were reanalysed as auxiliaries. Lightfoot (1979: 98)
stresses that preterite presents in Old English sculan, willan, magan, cunnan and
motan exhibited all features that are typical of a canonical verb. In the 16th cen-
tury, however, they suddenly lost these features and were reanalysed as functional
elements. To sum up, preterite present morphology cannot be employed as class
defining property to separate the six traditional modal verbs from the remaining
verbal elements: wollen is not a preterite present and there is a further preterite
present, wissen, which is usually not considered as a modal verb.

2.1.1.2 The IPP-effect: The Ersatzinfinitiv

A further criterion that is invoked in traditional definitions is the Ersatzinfinitiv
or infinitivus pro participio (IPP-effect), as in Helbig and Buscha (2001: 115). Verbs
such as dürfen will usually be realised with infinitive morphology whenever they
are embedded by the perfect auxiliary haben ‘have’. As opposed to the canonical
type of verb, the ge-participle is not available in this environment for the six tradi-
tional modal verbs.² This holds true at least in Standard German, while some West-
ern German dialects do not exhibit the IPP-effect and employ the ge-participle in
corresponding contexts.³

2 The status of the IPP is fairly contested. Some scholars, e.g. Hinterhölzl (2009: 198), argue
that it is a genuine infinitive, others argue that it is a hidden participle. A detailed discussion
is provided in Hinterhölzl (2009: 197–198). As it fulfils a similar role as the common ge-participle,
it will be glossed as: ppp(ipp). However, this should not be taken to imply that the IPP has really
substantially the same function as a ge-participle.
3 In some varieties, the acceptability of ge-participles increases when the bare infinitive appears
separated from the modal verb. However, as the following sentences were taken from a show of
2.1 Traditional criteria | 13

(4) Das hättest du nicht sagen dürfen / *gedurft

that had you neg say-inf may-ppp(ipp) may-ppp(ge)
‘You shouldn’t have said that.’

The relation to the present preterite history of these verbs is obvious. Being former
preterite tense forms of some other verbs, the traditional six modal verbs were
lacking a full inflectional paradigm. Therefore, it became necessary to develop a
past participle of their own. But as already explicitly pointed out by Kurrelmeyer
(1910: 167), the IPP-effect is not a genuine innovation of modal auxiliary verbs: The
first of the traditional modal verbs that can be found with the IPP-effect is müezen
in the 15th century, and the last one is sollen, which is only recorded from the 16th
century onwards. Some other verbs exhibit the IPP-effect much earlier: tun ‘do’
(1259), helfen ‘help’ (1263), hoeren ‘hear’ (13th century), heizen ‘command’ (1277),
lazen ‘let’ (13th century), sehen ‘see’ (14th century), machen (1475). In a similar vein,
Hinterhölzl (2009: 202) argues that the IPP-effect originally emerged with heißen,
lâzen, tun and hoeren and only spread to the preterite presents over the course of
time. This is also confirmed by Ebert et al. (1993: 413–414), who show that müssen
already occurred with the IPP-effect in the 13th century, whereas the remaining
traditional modal verbs wollen, mögen and können only acquired it in the course
of the 15th century, or even later, such as sollen and dürfen.
As already mentioned above, it seems plausible that preterite present verbs
and other verbs with defective paradigms, such as wollen, seek to complete their
morphological inventory. The remaining preterite presents, which are not part
of the traditional six modal verbs, are also found with the IPP-effect, at least
in earlier stages of German. Kurrelmeyer (1910: 164) gives an example for türren
‘dare’ with an infinitive complement displaying the IPP-effect from the year 1375.
Moreover, there are numerous occurrences of wissen with a zu-infinitive from the
17th century that display an interpretation which refers to a mental ability read-

the comedian Karl Valentin, conclusions concerning linguistic theories should be handled with
care.

(1) Wollen hätte ich schon gedurft...

want-inf had I though may-ppp(ge)
‘It was okay for me to want it.’
DeReKo: M09/AUG.63846 Mannheimer Morgen, 15.08. 2009.
(2) Wollen hätten wir schon mögen, aber trauen haben wir uns nicht gedurft.
want-inf had we though like-ppp(ipp) but dare-inf had we us neg may-ppp(ge)
‘To want it was appealing, but we were not permitted to dare it.’
DeReKo: NUN08/JUL.00977 Nürnberger Nachrichten, 09.07. 2008.
14 | 2 Modal verbs: A class struggle

ing exhibit the IPP-effect, as illustrated in examples (5)–(12). This was already
pointed out in the 17th century by Bödiker (1698: 109; see Section 2.3 for more
details), as well as Grimm (1837: 168), Sanders (1908: 428), Alban (1992: 6), Ebert
et al. (1993: 413) and Maché and Abraham (2011: 256). In contrast to the remaining
preterite presents, wissen is persistently used with an infinitive with zu.

(5) der Arzt Asclepiades hat durch den beweglichen Wollaut

the physician Asclepiades has by the moving euphony
der lieblich=zusammenklingenden Seiten/ die abweichende
the-gen lovely.harmonic chords the deviating
Vernunft abzuhalten wissen/⁴
reason detain-inf know-ppp(ipp)
‘The physician Asclepiades knew how to use the moving euphony of harmonic chords
to prevent distraction of thought.’

(6) liesz mein buechlin, so wirstu sehen, das der luegengeist nicht
read my book so will.you see that the lye.spirit neg
hat wissen zu antworten⁵
has know-ppp(ipp) zu answer-inf
‘Read my book and you will see that the lying spirit was not able to answer.’

(7) Agricola: Ich hab nichts darinn wissen zuo meiden

Agricola I have nothing there.in know-ppp(ipp) zu avoid-inf
oder außzelassen.⁶
or zu.ignore-inf
‘Agricola: I could not have avoided or ignored any of them.’

(8) Er hat sich wissen ò gewust in seine Gnade

he has ana know-ppp(ipp) or[Italian] know-ppp(ge) in his mery
einzuschleichen⁷
zu.-inf
‘He made himself endear to him.’

(9) Sie hat nicht wissen ò gewust zu hüten⁸

She has neg know-ppp(ipp) or[Italian] know-ppp(ge) zu watch-inf
‘She couldn’t watch (it).’

4 Schottelius, Ausführliche Arbeit von der Teutschen HaubtSprache (1663), p. 67.

5 Martin Luther 26, 613 W, [as cited in Grimm DWB].
6 Johannes Cochläus, Ein heimlich Gespraech von der Tragedia Johannis Hussen, Actus tertii
scena unica, (1538), B 3a.
7 Matthias Kramer, Das herrlich-Grosse Teutsch-Italiänische Dictionarium (1702), p. 1368.
8 Matthias Kramer, Das herrlich-Grosse Teutsch-Italiänische Dictionarium, (1702), p. 1368.
2.1 Traditional criteria | 15

(10) er hat es nicht auszurichten wissen⁹

He has it neg transmit.zu-inf know-ppp(ipp)
‘He could not transmit it.’

(11) Sie hätten damit nichts wissen anzufangen¹⁰

they had with.it nothing know-ppp(ipp) start.zu-inf
‘They did not know what to do with it.’

(12) Hat Rom sein siebenbergigt Haupt sonst nirgends hin zulegen
Has Rome its seven.hilled head apart nowhere par lay-inf
wissen¹¹
know-ppp(ipp)
‘Rome did not have any other place for its head made of seven hills to lay.’

Yet, there are instances of wissen which do not carry the infinitive particle zu and
which govern a bare infinitive complement. This behavior may be caused by the
conjunction with a more prototypical modal verb, wollen, which is restricted to the
subcategorization of bare infinitive complements. But the fact that wissen occurs
conjoined with woellen sharing the same infinitival complement illustrates how
close these verbs are syntactically speaking.

(13) Das Ebreisch wort Moed / habē wir nicht anders

the Hebrew word Moed have-1.P.Pl we neg differently
wissen noch woellen deudschen¹²
know-ppp(ipp) nor want-ppp(ipp) germanise-inf
‘We were not able nor did we want to translate the Hebrew word Moed in a different
way.’

Interestingly, most of the occurrences of wissen collected here are in the scope
of negation. This is reminiscent of the negative polar behaviour of other modal
verbs such as the raising pattern of wollen, the emotive use of mögen and earlier
uses of dürfen and brauchen, as is illustrated in Sections 2.2.3, 2.2.4, 2.2.7 and 2.2.9.
Moreover, these examples exhibit a word order that contradicts the patterns typ-
ical of coherence/clause union (2-1 or 1-3-2). Only in example (10) given by Grimm
(1837: 168), does the subcategorised infinitive complement immediately precede
wissen. As Grimm (1837: 168) notices, the IPP-effect with wissen can be frequently
observed in the vernacular. Nevertheless, he regards this use as false, since the

9 As discussed in Grimm IV, 168.

10 Hebel, [as cited in Sanders (1908), p. 428].
11 Daniel Casper von Lohenstein, Ibrahim Bassa, (1653), [as cited in Schoetensack 1856, 298].
12 Martin Luther, Biblia, Mose, Das Ander Buch, XXVII, footnote a, p. 53 (1533).
16 | 2 Modal verbs: A class struggle

IPP-effect is a property that is restricted to verbs that sub-categorise bare infinit-

ive complements. Instead, he recommends employing the ge-participle gewußt in
these contexts.
As demonstrated by Maché and Abraham (2011: 269), there are at least two
properties that make verbs with non-finite complements susceptible to the IPP-
effect: a defective paradigm, as in the case of preterite presents and wollen, and
raising infinitives, such as the subject-to-object raising (AcI) verbs lassen ‘let’,
hören ‘hear’, sehen ‘see’ and fühlen; ‘feel’ and the subject-to-subject raising verbs,
pflegen ‘used to’ and düncken ‘seem’, which both exhibited the IPP-effect during
the Early New High German period. A third relevant property is the selection of
bare infinitive complements. Returning to the modal verbs, it becomes clear why
they are such prominent exponents of verbs with the IPP-effect: They carry all of
those properties. They exhibit raising patterns (as will be shown in more detail in
Section 2.2), a defective paradigm, and finally, they select bare infinitive comple-
ments. This explains why they are susceptible to this morphological anomaly to
such a great extent.
At this point, it also becomes clear that the traditional six modal verbs did not
grammaticalise as a block; rather, each verb had its own development and each
development had its own pace. This in turn demonstrates that the extension of the
group of verbs with auxiliary-like behaviour differed with respect to the particular
period. As will be shown in Section 2.1.2.1, each of the traditional six modal verbs
developed the ability to select bare infinitive complements at an individual point
of time. If there were periods during which the traditional modal verbs did not
constitute a homogeneous class, one may have to reassess the empirical evidence
in order to find out whether there is a period at all in which these six verbs form
a class of this type. Even if the six traditional modal verbs acquired the IPP-effect
before they developed a ge-participle of their own, as Ebert et al. (1993: 414) shows,
it turns out that, from a diachronic perspective, the IPP-effect is not a property
which is restricted to the six traditional modal verbs.¹³

13 Kurrelmeyer (1910: 165) discusses a somewhat controversial example from a charter from the
year 1332, which is taken to be a ge-less past participle:

(1) Swelhie fraw niht gehorsam hat getan oder tun wolt
which.ever lady neg obedience has do-ppp(ge) or do-inf may-ppp(?)
‘Whatever lady that refused to obey or wanted to do so.’

Arguably, wolt could also be analysed as preterite 3rd person singular form. Yet, Schallert (2014:
Sect. 4.1, 2014: 187–188) and Fleischer and Schallert (2011: 184) have pointed out that the par-
ticiple forms of preterite-presents were occasionally realised as weak participle lacking the ge-
prefix, which are commonly refered to as ‘truncated participles’.
2.1 Traditional criteria | 17

Shifting to a synchronic view, the situation is no different. Apart from the six
traditional modal verbs, there is at least one further verb that obligatorily exhib-
its the IPP-effect whenever it is embedded by the perfect auxiliary haben: The
causative use of lassen ‘let’, as has been pointed out by Schmid (2000: 328). Once
more, the ge-participle is not available, as in example (14). Therefore, beginning
with Becker (1841: 219), lassen has sometimes been counted among the traditional
class of modal verbs.

(14) Sie hat ihren Mann umbringen lassen / *gelassen

She has her husband kill-inf let-ppp(ipp) let-ppp(ge)
‘She let him be killed.’

Note that lassen also has a permissive use (‘to tolerate’) and a relinquative one (‘to
leave something behind, let go’), as argued by Maché and Abraham (2011: 260).
According to Aldenhoff (1962: 204), the causative and the permissive use always
exhibit the IPP-effect, whereas the relinquative use is optionally realised as the ge-
participle. Some speakers, however, also accept ge-participles of permissive las-
sen. Finally, the remarkable case of brauchen ‘need’ has to be mentioned, which,
in contemporary standard German, always exhibits the IPP-effect. Again, the ge-
participle is ungrammatical:

(15) a. Aber Flavio Cotti hätte nicht zu kommen

But Flavio Cotti have-sbjv.pst neg to come-inf
brauchen.¹⁴
need-ppp(ipp)
‘But it wouldn’t have been necessary for Flavio Cotti to come’
b. * Aber Flavio Cotti hätte nicht zu kommen gebraucht.

Being very close to the traditional modal müssen in semantic respect, brauchen,
too, seems to have assimilated to its counterpart in morphological respects. Most
importantly, this concerns the development of the IPP-morphology. It was already
observed by Grimm (1837: 168, 949) that brauchen occasionally exhibits the IPP-
effectr, as is shown in his own example (16).¹⁵

14 DeReKo: E98/JUN.15388 Zürcher Tagesanzeiger, 19/06/1998.

15 As will be shown in Section 2.2.9 in more detail, in some regions, brauchen is even subject to
further processes of assimilation. According to André Meinunger (pers. commun.), this morpho-
logical assimilation of brauchen towards the “modal” morphology is even more developed in the
region around Wuppertal, where speaker omit the t-suffix of the 3rd person indicative singular,
as in the sentence Er brauch-ø nicht kommen ‘He need-ø not come’. Similar observations about
brauchen have been already made by Wurzel (1984: 117 & 149), Birkmann (1987: 5) and Girnth
(2000: 115) and Beringer (s.a.). In this respect, brauchen is reminiscent of need in Modern Eng-
18 | 2 Modal verbs: A class struggle

(16) das hätte ich nicht zu tun brauchen (gebraucht)

that have-sbjv.pst I neg to do-inf need-ppp(ipp) need-ppp(ge)
‘I wouldn’t have had to do it.’

Even if he acknowledges that this pattern is frequent in colloquial speech, Grimm

is reluctant to consider it as fully grammatical. According to him, the IPP-effect
only occurs with bare infinitives. In contrast, brauchen sub-categorises for a zu-
infinitive. For this reason, he refers to the correct alternative, the ge-participle, in
brackets. As Sanders (1908: 101) demonstrates, brauchen with an infinitive com-
plement could instead be realised as a ge-participle up to the 19th century:

(17) er hätte nur die Regungen der eigenen Brust zu

he have-sbjv.pst only the emotions the-gen own chest to
besingen gebraucht¹⁶
sing need-ppp(ipp)
‘He only needed to sing about the emotions in his chest.’

In opposition to Grimm (1837), Sanders (1908: 101) considers brauchen with the
IPP-effect as grammatical. Moreover, he argues that the infinitival particle zu can
occasionally be dropped, which is remarkable since Sanders takes a rather norm-
ative perspective. The optionality of the zu-particle will be dealt with in Section
2.2.9.4.
Apart from causative lassen and brauchen with an infinitive, there is a large
group of verbs that optionally permit the IPP-effect: Following Schmid (2000: 330)
in particular, this concerns the AcI verbs (object-to-object raising, exceptional
case marking) sehen ‘see’, hören ‘hear’, fühlen ‘feel’, and benefactive verbs such
as helfen ‘help’, lernen ‘learn’ and lehren ‘teach’. Aldenhoff (1962) and Sanders
(1908: 222) provide an extensive discussion of this issue.
In a less systematic way, Heyse (1822: 413) has already observed that the IPP
occurs with a whole range of verbs: dürfen, heißen, helfen, hören, können, las-
sen, mögen, müssen, sollen, sehen, wollen, lehren and lernen. Yet, Heyse (1822: 414)
argues that this use is a severe violation of the logical principles (‘grober Ver-
stoß gegen die Logik’). Accordingly, he suggests to better use the ge-participles
of these verbs, even if they take infinitive complements. Likewise, Schoetensack
(1856: 298) has pointed out that the IPP has been observed with a similar group of
verbs: hören, heißen, sehen, helfen, lassen, sollen, wollen, mögen, dürfen, müssen,
wissen, können, fühlen, lehren and lernen.

lish, which lacks an s-suffix if it is used with an infinitive complement, as has been described by
Sweet (1891: 425).
16 Heine 2, 307, as cited in Sanders (1908: 101).
2.1 Traditional criteria | 19

As demonstrated above, the IPP-effect is not a property that is restricted to

the traditional six modal verbs. Hence, it is not suitable as class defining property.
For the sake of completeness, note that some grammarians indeed suggest that
the IPP-effect is the essential criterion for auxiliary-hood, acknowledging that the
extension of such a class does not exactly correspond to the six traditional modal
verbs. The first person who discussed the IPP-effect was Ölinger (1574: 151). As he
observes, the five verbs woellen, sollen, doerffen, koennen and moegen do not em-
ploy a ge-participle, but rather an infinitive, whenever they are embedded under
a perfect tense auxiliary. Bödiker (1698: 109), in turn, argues that, because of their
morphological anomaly, these five verbs together with muessen and wissen consti-
tute an auxiliary-like class. In a similar vein, Sanders (1908: 222) argues that there
are a number of auxiliaries in German characterised by the IPP-effectand encom-
passing the following items: d"urfen ‘may’, heißen ‘command’, helfen ‘help’, hören
‘hear’, können ‘can’, lassen ‘let’, lehren ‘teach’, lernen ‘learn’, machen ‘make’, mö-
gen ‘like’, müssen ‘must’, sehen ‘see’, sollen ‘shall’, wollen ‘want’ and occasionally
brauchen ‘need’, pflegen ‘used to’, suchen ‘seek’, rare empfinden ‘feel’, erblicken
‘see’, finden ‘find’, fühlen ‘feel’, schauen ‘look’, wissen ‘know’, and zeigen ‘show’.
In any case, the IPP-effectis not a property that justifies a modal verb class
in the traditional extension, neither from a synchronic nor from a diachronic per-
spective. Nevertheless, it has proven to be a powerful criterion since there are only
two more verbs apart from the traditional six modal verbs that obligatorily exhibit
the IPP-effect: (the causative use of) lassen and brauchen.

2.1.1.3 Imperative
Some authors, e.g. Welke (1965: 14), Eisenberg (2004: 91) and Erb (2001: 97), argue
that the six traditional modal verbs are further characterised by their inability to
form imperatives. This perspective has already been taken by Claius (1578: 103),
who claimed that those verbs today referred to as preterite presents, with the
exception of wissen, do not have an imperative. In a similar fashion, Adelung
(1801: 1608) argues that wollen does not form an imperative. It is not evident
whether these observations indeed hold, since at least two hundred years later
the imperative of wollen is documented, as is illustrated by the dialogue below
taken from Goethe’s Faust (cf. 18). Some authors, such as Voß, use the imperative
even when wollen occurs with infinitive complement (cf. 19).¹⁷

17 Johann Wolfgang von Goethe, Faust - der Tragödie erster Teil, V 4543, (1808).
20 | 2 Modal verbs: A class struggle

(18) a. MARGARETE: [...] Du gehst nun fort? Oh Heinrich, könnt ich

you go par away oh Heinrich could I
mit!
with
b. FAUST: Du kannst! So wolle nur! Die Tür steht offen!
you can so want-imp just the door stands open
(19) Woll’ auch diesen verzeihn! – Für uns nicht brauchst du zu
want also them forgive-inf for us neg need you to
beten!¹⁸
pray-inf
‘Forgive them, too – You do not need to pray for us.’

As already pointed out by Zifonun (1997: 1254), Hetland and Vater (2008: 99) and
Vater (2010: 108) wollen has an imperative. Admittedly, this form is only available
when wollen is used without an infinitive complement. It is important to keep in
mind that even if the imperative usage of wollen is rather rare, it is much more
acceptable than the imperative usage of other modals. This illustrates that there
is a substantial difference between wollen on the one hand and the remaining
traditional modal verbs on the other hand. In a similar vein, Hetland and Vater
(2008: 97) observe that each modal behaves differently in a morpho-syntactic
manner. The markedness of the imperative with the traditional six modal verbs
might be also related to the defective nature of their paradigm. Likewise, the
imperative of the last remaining preterite present, apart from the modal verbs,
wissen, is equally marked as the one of wollen, at least in Contemporary German.
As already pointed out by Claius (1578: 103), the lack of imperative forms is a cri-
terion that holds for most preterite presents, including verbs that do not belong
to the modal verb class in its traditional extension, such as thar ‘dare’ and taug
‘suit’. Accordingly, this criterion does not justify treating the six traditional modal
verbs as a homogeneous class, either.

2.1.2 Syntactic criteria

The most important syntactic criterion that is invoked for the separation of the
six traditional modal verbs from the remaining elements of the verbal category
concerns the category of the complement.

18 Verwandlungen, Third book – Pentheus, I, 192.104, translated by Johann Heinrich Voß, Berlin:
Friedrich Vieweg der Ältere (1798).
2.1 Traditional criteria | 21

2.1.2.1 The sub-categorisation of bare infinitive complements

As Welke (1965: 11 & 22) and Griesbach and Schulz (1960: 41 & 65) argue, an essen-
tial characteristic of the traditional six modal auxiliaries is the selection of bare
infinitive complements. But as Welke (1965) acknowledges, there are many more
verbs in Contemporary German that sub-categorise bare infinitive complements.
Following Maché and Abraham (2011: 236), at least ten different groups of predic-
ates come into consideration. On the one hand, there are verbs that take bare in-
finitive complements but never zu-infinitives (cf. 20):¹⁹ the ‘do-support auxiliary’
(cf. 20a), the future auxiliary (cf. 20b), the subjunctive auxiliary (cf. 20c), the tradi-
tional modal verbs (cf. 20d), subject-to-object raising (AcI) verbs (cf. 20e), verbs of
motion (cf. 20f), verbs of caused motion (cf. 20g), and durative verbs (cf. 20h).²⁰ On
the other hand, there are verbs for which both types of realisation of the non-finite
complements can be found: bare infinitives and zu-infinitives, see (21). Above all,
this concerns benefactive verbs (cf. 21a and 21b). The latter is a somewhat remark-
able case because the realisation of the complement type is governed by the re-
gister. Whereas zu-infinitive prevails in written standard language, the bare infin-
itive is almost restricted to spoken language.

(20) a. tun ‘do’

b. wird fut.aux
c. würde sbjv.aux
d. können, müssen, wollen, dürfen, sollen, mögen, (möchte/n)
e. sehen ‘see’, hören ‘hear’, fühlen ‘feel’, finden ‘find’, spüren ‘feel’, lassen
‘let’, heißen ‘command’, machen ‘make’, haben ‘have’
f. kommen ‘come’, gehen ‘go’, fahren ‘ride’
g. schicken ‘send’, senden ‘send’
h. bleiben ‘stay’, sein ‘be’
(21) a. brauchen
b. lernen, helfen, lehren

This classification does not entirely correspond to the one of Askedal (1989: 5). He
suggests that zu-infinitives occurring with the verbs of motion in example (20f)

19 Of course, some of the verbs below, such as sein ‘be’ or haben ‘to have’ can be found with the
zu-infinitive or other types of non-finite complements, but in these instances they will exhibit a
different semantic interpretation.
20 As has been pointed out by Langer (2001: 63), the auxiliary tun in German has a whole range
of functions: It can bear the past or subjunctive of the past morpheme and it is used to obtain
particular configurations of information structure such as V-topicalisation.
22 | 2 Modal verbs: A class struggle

and verbs of caused motion in example (20g) have to be considered as their com-
plements. Yet, he admits that the option of containing the zu-infinitive in example
(22b) is only rarely used and is hardly found in verbal complex configurations (“ob-
ligatorily coherent” in the terms of Bech (1955)), where the infinitive complement
has to precede the finite verb, as in example (22a).

(22) a. obwohl sie jede Woche zum Priester [beichten ging]

though she every week to.the priest confess-inf went
‘Although she went to the priest to attend her confession every week.’
b. obwohl sie jede Woche zum Priester [ging] [zu beichten]
though she every week to.the priest went zu confess-inf
‘Although she went to the priest each week in order to attend her confession.’

Therefore, it does not seem plausible that the two types of infinitives have the
same status. And there are more arguments against the hypothesis considered by
Askedal (1989). Whereas the goal PP zum Priester ‘to the priest’ can be omitted
in the first example without any ado, the omission of the goal PP is subject to
many more restrictions in the second example, indicating that the bare infinitive
may only function as a goal argument. Moreover, the first pattern only entails the
realisation of the event expressed by the infinitive in the examples above. Whereas
the bare infinitive typically encodes the goal of the movement, the zu-infinitive
rather indicates its purpose. Accordingly, the latter could easily be identified as
reduced forms of adverbial um-zu-infinitives, which express the purpose of the
event described in the main clause, as discussed by Eisenberg (1992, 2004: 351).
This illustrates, once again, that bare infinitive complements are found with
a considerable number of verbs in Contemporary German. However, focusing on
verbs where the infinitival subject is co-referential with the matrix subject, Welke
(1965: 11 & 22) and Zifonun (1997: 1253-4) argue that most verbs of this class are re-
stricted to a small group of types of infinitives. In particular, Welke mentions verbs
of motion, such as kommen and gehen, and the durative verb bleiben, which is re-
stricted to the selection of stative predicates. According to them, the only group of
verbs which does not exhibit selectional restrictions with respect to the infinitive
of this type encompasses the six traditional modal verbs. Furthermore, there are
two more verbs that behave accordingly, but Welke (1965: 11) explicitly excludes
both of them from his definition: The auxiliary tun for not belonging to the stand-
ard variety, and werden for the lack of past forms. As he acknowledges himself,
his approach is somewhat arbitrary. Note that Welke’s observation above is not
quite correct, as even the six traditional modal verbs fail to embed certain types
of stative predicates (individual level predicates) in their non-epistemic variant,
as will be shown in more detail in Section 3.2. Moreover, Engel (1996: 476) argues
that tun and bleiben do not belong to the class of modal verbs since they use -t in
2.1 Traditional criteria | 23

third person singular, and as opposed to modals they never embed an infinitive
perfect (* Er tut geschlafen haben ‘He does have slept’).
As it turns out, the sub-categorisation of bare infinitive complements is not
a property that is unique to the six traditional modal verbs. As a consequence, it
cannot serve to justify a syntactically homogeneous modal verb class in the tra-
ditional extension. Nevertheless, it proves to be a powerful criterion that almost
manages to separate the six traditional modals from the remaining verbs in Ger-
man. This will be illustrated in Section 2.1.4.
Assuming that the selection of a bare infinitive complement is the main char-
acteristic of modal auxiliary-hood, the situation is once again different in earlier
stages in German. As pointed out by Demske (2001: 76), most verbs that take non-
finite complements in Old High German are not restricted to a particular type of
infinitive. Without that, the interpretation is affected and they may either take bare
infinitive complements or zu-infinitives. As Demske (2001: 74) stresses, a small
group of verbs is only recorded with bare infinitive complements and never with
zu-infinitives: The preterite presents kunnan ‘be mentally able to’, durfan ‘need’,
scolan ‘shall’, mugan ‘can’, muoz ‘to have space’, gitar ‘dare’ and the verb wellen
‘want’, the perception verbs hôren ‘hear’ and sehan ‘see’, causative verbs lâzan
‘let’, heizan ‘command’ and gituon ‘do, make somebody do something’, and finally
the raising verbs scînan ‘seem’ and thunken ‘seem’.²¹
Birkmann (1987) takes a different perspective on the situation in Old High Ger-
man. In contrast to Demske (2001), his study is restricted to preterite present verbs.
According to his investigation of the Isidor (late 9th century) and a couple of smal-
ler texts, skulan, *muozan, eigan ’have’, magan, kunnan can be considered as aux-
iliaries since they occur with bare infinitive complements; kunnan is additionally
used as a main verb. In contrast, Birkmann (1987: 161) argues that wizzan and thur-
fan lack a use as an auxiliary and only occur as main verbs. Since Demske (2001)
does not give precise examples for most of the preterite presents she discusses, it
is not entirely clear how to cope with the minor contradictions between her obser-
vations and the ones made by Birkmann (1987). In any case, Birkmann (1987: 144)
demonstrates that kunnan was not frequently used until Notker in the early 11th
century, and that the situation for thurfan is similar.
Diewald (1999: 297) only considers sculan, mugan and wellen to be sufficiently
grammaticalised in Old High German. Accordingly, she argues that these are the
only modal verbs in that particular period. She explicitly excludes thurfan and
kunnan since she has only found occurrences with nominal complements in her in-

21 As Birkmann (1987: 155) demonstrates, the entire paradigm of the verb muozan cannot be
found in Old High German. For this reason, only the finite form is mentions here.
24 | 2 Modal verbs: A class struggle

vestigation, but none with an infinitive. Moreover, Diewald (1999: 299) does not re-
gard muozan as a modal verb because it does not exhibit a ‘modal semantics’, even
though it is attested with infinitival complements. As she argues, the meaning of
muozan from that time is to be paraphrased as ‘to have space to do something’.
Her approach, however, is controversial. First of all, it is not clear why Diewald
(1999: 299) treats kunnan in Old High German as a main verb, as she explicitly
refers to Birkmann (1987), who demonstrates that kunnan also occurs with an in-
finitive in that very period. Moreover, her notion of ‘modal semantics’ is rather
intuitive and not well defined. In any case, Birkmann (1987: 144) and Diewald
(1999: 299) agree that können and dürfen with an infinitive complement are rare
until the end of the Middle High German period.
As has been seen, even from a diachronic perspective, the selection of bare in-
finitives is not a feature that distinguishes the six traditional modal verbs from the
remaining verbs. Rather, some members of the traditional group, such as thurfan
and kunnan, are hardly observed with an infinitive for the Old High German period.
Moreover, Birkmann (1987: 144) and Demske (2001: 74) demonstrate that there are
also additional verbs in that period that obligatorily select bare infinitives, such
as the preterite presents eigan ‘have to’ and gitar ‘dare’, subject-to-subject raising
verbs and subject-to-object raising verbs.
As in Contemporary German, the number of verbs that are sub-categorised
for bare infinitives is fairly restricted in Old High German. The two stages differ
significantly with respect to the particular verbs that belong to this pattern. But in
none of the periods investigated so far does the group of verbs which select bare
infinitives correspond exactly to the traditional six modal verbs. Moreover, it turns
out that each of the traditional modals acquired the ability to select bare infinit-
ives at a different historical period. As already shown in Section 2.1.1.2, each verb
has its own development and each development its own pace. Correspondingly,
there is no logical necessity for the class of modal verbs in German to encompass
those six members that it encompasses. In fact, the opposite is true, as there is a
significant amount of evidence that there might never have been a discrete class
of modal verbs, but rather, a loose compound that is in constant change. In a sim-
ilar spirit, Wurzel (1984: 149) argues that, from the outset, there were two different
classes: preterite presents, and verbs that select bare infinitives with modal mean-
ings. Crucially, those classes partially overlapped. Over the course of history, the
two classes became increasingly congruent: The non-modal preterite presents lost
their anomaly and the non-preterite presents with modal meanings such as wollen
and brauchen assimilated to the preterite present morphology.
Summing up, the ability to select bare infinitive complements is not restric-
ted to the six traditional modal verbs, neither synchronically nor diachronically.
In Contemporary German, at least two verbs behave in a comparable way with re-
2.1 Traditional criteria | 25

spect to sub-categorisation, werden and brauchen in the spoken language. Both

of them select bare infinitive complements. Since this property is restricted to the
six traditional modal verbs and a small group of verbs apart from them, it appears
to be suitable as a class defining property.
In this case, however, it would be necessary to reassess the extension of the
class, as will be discussed in Section 2.1.4.

2.1.2.2 Subject-to-subject raising

Recently, another syntactic property has attracted much attention in the discus-
sion about the characteristics of modal verbs in German. Öhlschläger (1989) and
Wurmbrand (1999) and Wurmbrand (2001) argue that modal verbs in German are
subject-to-subject raising verbs throughout – with the exception of wollen, and
the ability interpretation of können (as well as möchte, which is analysed by both
authors as an independent lexical item). These are verbs that lack a subject argu-
ment of their own and raise their subject from the embedded infinitive.
Wurmbrand (2001: 187) subsumes all modal verbs with raising patterns under
the proper syntactic category Mod0 . In their epistemic interpretation, they are gen-
erated as a higher category in Aux0 . However, there are subject-to-subject raising
verbs apart from the six traditional modal verbs, such as scheinen ‘seem’, drohen
‘threaten’, versprechen ‘promise’, and pflegen ‘be wont to’. Wurmbrand (2001: 205)
argues that all of them can be analysed as epistemic modal verbs. As will be shown
in Section 2.2, these four raising verbs differ from epistemic modal verbs in crucial
respects and therefore need to be treated separately.
In a recent study, Gergel and Hartmann (2009: 327) suggest in a radical man-
ner that even the apparent control verb wollen needs to be considered as a raising
verb. Since their Generalized Raising Hypothesis is based upon some non-trivial
and theory immanent assumptions such as raising into theta positions, the discus-
sion will be suspended here and resumed in the case studies of control an raising
verbs in Section 2.2. Crucially, a notion of modal verbs that is based on raising will
not obtain a class extension corresponding to the six traditional items.

2.1.3 Semantic criteria

Finally, and most notably, most modal verb definitions also involve a semantic
dimension. This is not surprising since the term modal already refers to a semantic
phenomenon. But as this definition does not concern the material form of a sign
but its immaterial function, there is not so much consensus on what the essential
26 | 2 Modal verbs: A class struggle

semantic criterion is for modal verbs. In the upcoming sections, the most plausible
criteria will be briefly reviewed.

2.1.3.1 Modality
Like many others, Helbig and Buscha (2001: 44) assume that the traditional six
modal verbs are characterised by the fact that they express a modality. Accord-
ing to them, a modality can be realised as an ability, a possibility, a necessity, a
wish or the attitude of the speaker. Even if these notions intuitively share some
common properties, it is not a trivial matter to identify them. All of these expres-
sions locate the event or state denoted by the verb in some idealised worlds that
are distinct from our world. Therefore, a modalised event need not be realised in
the actual real world. Portner (2009: 1) suggests a similar definition: ‘Modality is
the linguistic phenomenon whereby grammar allows one to say things about, or
on the basis of, situations which need not be real’. But as already pointed out by
Welke (1965: 19), such an attempt of a semantic definition that is based on the ex-
pression of a modality fails, even if one only considers the five types of modality
enlisted by Helbig and Buscha (2001). Many more verbs can be found that express
one of these modalities, notably brauchen ‘need’, vermögen ‘be able to’, haben +
zu-infinitive ‘have to’, sein + zu-infinitive ‘is to’.
Moreover, the concept of modality advocated by Helbig and Buscha (2001)
is not systematic. As shown by Palmer (1986: 2), the notion of modality is rather
vague and leaves a number of possible definitions open. First of all, it needs to
be distinguished from the notion of mood. Whereas the term mood traditionally
refers to an inflectional category, modality is typically marked by (modal) verbs,
by particles and clitics Palmer (1986: 22). As Lyons (1977: 452) suggests, modality
concerns the ‘opinion and the attitude’ of the speaker. In any case, modality cov-
ers much more phenomena than those taken into consideration by Helbig and
Buscha (2001). A more systematic theory of modality would also have to consider
verbal concepts as “try to”, “plan to”, “intend to”, “be inclined to”, “contemplate
doing something”, “dare to” and many more. A corresponding concept of modal-
ity would concern an even larger number of verbs. A more elaborate but still rather
extensional definition of modality is proposed by Portner (2009: 4), according to
whom several subtypes have to be assumed that in turn involve a broad range of
additional items to be considered:
1. sentential modality: modal auxiliaries, modal adverbs, generics, habituals,
individual level predicates, tense and aspect, conditionals, covert modality
2. sub-sentential modality: modal adjectives, propositional attitude verbs, ver-
bal mood, infinitives, dependent modals, negative polarity items
2.1 Traditional criteria | 27

3. discourse modality: evidentiality, clause types, performativity of sentential

modals, modality in discourse semantics

Finally, the major use of one of the six traditional modal verbs in Contemporary
German is not captured by Helbig and Buscha’s conception: mögen in its prevail-
ing use denotes affection.
No matter what concept of modality one adopts, it would never constitute a
homogeneous class that only comprises the six traditional modal verbs. Numer-
ous approaches assume that the six traditional modal verbs differ from all of the re-
maining verbs in that these verbs, and only these verbs, express modality. The un-
derlying concept of modality that these approaches rely on is an arbitrary enumer-
ation of subtypes of modality. Accordingly, their concept of modality is not system-
atic. This holds true even for the most systematic attempt to establish a unified se-
mantic analysis of the six traditional modal verbs, made by Bech (1949: 38). Being
the first one who attributed the term Modalverb to the six verbs können, müssen,
wollen, dürfen, sollen and mögen, he tries to collect all of the possible readings
they occur with. In a second step he groups them into three subclasses: volitional
(wollen, sollen, dürfen), emotives (mögen) and causal modals (können, müssen).
They are further specified by means of two oppositions. The first one divides act-
ive modals (such as müssen) from passive ones (such as können). This roughly cor-
responds to the partition into necessity versus possibility modals, as proposed by
Kratzer (1978) and Kratzer (1981). The second one determines whether the source
of volition (or emotion) is located within the grammatical subject or subject ex-
ternal. Bech’s approach is inductive. He assumes a class of modal verbs consisting
of six items. He then tries to extract all of the semantic properties they have in com-
mon. As illustrated above, the outcome is somehow biased. However, it remains
unclear why Bech (1949) chose exactly these six verbs. It should not be surprising
to see that Bech’s choice was arbitrary. As already indicated by Welke (1965: 19),
a definition of a class of modal verbs with the traditional extension based on se-
mantic grounds fails.
The fact that authors often presuppose some concept of modal meaning
without giving a clear definition, such as Fritz (1997: 13) and Diewald (1999: 299),
deserves closer attention. It is not surprising that such a vaguely defined concept
causes so much confusion. Johnen (2003: 11) reports that based on a similar se-
mantic definition of about 230 different verbs are considered to be modal verbs in
Portuguese, whereas two of them only carry auxiliary-like properties.
Apart from the work by Kratzer (1978), Kratzer (1981) and Kratzer (1991), there
is hardly any other attempt that tries to explicitly define modal verbs. Following
the tradition of modal logic, she adopts a possible world semantics. More pre-
cisely, Kratzer (1981, 1991: 649) demonstrates that each modal verb can be iden-
28 | 2 Modal verbs: A class struggle

tified by means of three dimensions: (i) the modal force is typically either instan-
tiated as universal quantification over possible worlds (necessity) or existential
quantification over possible worlds (possibility), (ii) the modal base governs the
composition of the set of worlds over which the modal verb quantifies: circum-
stantial modal verbs operate on worlds which describe the circumstances of the
external world, epistemic modal verbs quantify over worlds which describe an
epistemic state, (iii) the ordering source which introduces an ethical or volitional
ideals according to which the set of possible worlds in the modal base are ordered.
The main advantage of this theory is that elements that allow for different
modal interpretations can be treated as uniform lexical entries which have a com-
mon and stable modal force, but which are specified for more than one modal base
or ordering source. For this reason, Kratzer’s account will serve as the reference
frame work for the study presented here.
Since Kratzer’s approach implies a much broader concept of modality that
applies to many more items than the traditional six modal verbs, she does not
conform to the class of modal verbs in its traditional extension. Despite its pop-
ularity, Kratzer’s theory has remained incomplete since the early 1980s and has
not undergone any substantial revisions.
In strict contrast to Kratzer (1978, 1981, 1991), a new approach developed by
Lassiter (2011) is based on the assumption that modal operators in general do
not involve quantification over possible worlds. Based on data from modal com-
paratives (ϕ is at least as likely as ψ; it is better to trespass than it is to murder)
and degree modification (ϕ it is 90% certain; I want very much to travel to Cuba),
Lassiter (2011: 51–63,141–150) argues that modal operators denote measure func-
tions on propositions. In his approach, modal operators introduce a scale propos-
itions, which are ordered with respect to their probabilities (epistemic) or subject-
ive or moral preferences which are weighted according to their probabilities. For
instance, a necessity modal introduces a very high threshold value on this scale,
which values all propositions as false that are not in the top most region of the
scale.
In essence, Lassiter’s work is a critique on Kratzer’s concept of the ordering
source, which he consequently replaces by a couple of different measurement
functions. Even if Lassiter’s analysis correctly points out a whole range of diffi-
culties for Kratzer’s theory fragment with respect to modal comparison and de-
gree modification, Lassiter’s approach makes problematic predictions regarding
modal auxiliaries.
Firstly, it has to be highlighted at this point that Lassiter’s analysis is primarily
based on modal adjectives, rather than modal verbs. As Lassiter (2011: 89–93, 144)
acknowledges, there is no empirical evidence that the English epistemic modal
auxiliaries must, should, might and their deontic counterparts must and may de-
2.1 Traditional criteria | 29

note scales. Rather, the opposite is the case, as they neither participate in modal
comparision, nor can they be the target of degree modifiers. Furthermore, Lassiter
(2011: 132) notices that epistemic modal auxiliaries are upward monotonic, which
he considers as a main characteristic for a quantifier. Yet, he concludes for mere
theory internal reasons that auxiliaries have to denote scales rather than quanti-
fication over possible worlds, though he admits that a quantificational approach
for modal auxiliaries in English is not totally excluded.
Secondly, Lassiter (2011: iii-iv, 66–69, 154–164) assumes that epistemic and
deontic modal operators involve substantially different types of scales and mech-
anisms of interpretation. Whereas the former denote ratio scales, the latter denote
interval scales which are probability weighted. Accordingly, Lassiter (2011: 99) ac-
knowledges that deontic modals and their epistemic counterparts operate on
fairly different domains, and as a consequence, a uniform analysis for ambiguous
modal verbs appears hard to maintain. This is an unwelcome side effect.
As long as there is no compelling evidence that modal auxiliaries are inter-
preted relative to scales, a quantificational approach appears to be preferable for
modal auxiliaries and verbs.

2.1.3.2 The expression of the possibility or necessity of the embedded

predicate denotation
Becker (1836: 176 §91–§93, 1841: 219) is one of the first grammarians who investig-
ated auxiliary-like verbs in German that exhibit the IPP from a semantic perspect-
ive. As he observes, verbs like können, müssen, wollen, dürfen, sollen, mögen and
also lassen have lost their lexical meaning and only denote an abstract semantic
relation:²²

aber sie drücken in ihrer jetzigen Bedeutung nicht mehr den Begriff eines Prädikates
aus, sondern bezeichnen nur Beziehungsverhältnisse, nämlich die Möglichkeit und Noth-
wendigkeit der prädizirten Thätigkeit, die wir oben als Modusverhältnisse des Prädikates
bezeichnet haben (§. 59) z.B. „Er kann tanzen” „Er muß husten”; sie werden daher Hülfsver-
ben des Modus genannt.

The extent to which Becker’s (1836, 1841) approach anticipates the spirit of mod-
ern modal logic analyses, such as the one suggested by Kratzer (1978) and Kratzer
(1981), deserves closer attention. The basic concepts are necessity and possibility.

22 “[...] but, in their contemporary usage, they no longer express the notion of a predicate, but
merely denote relations, namely the possibility and the necessity of the predicated activity, which
we called the mood of the predicate above (§ 59), e.g. “He can dance”, “He must cough”; they are
therefore called auxiliaries of mood.” [own translation]
30 | 2 Modal verbs: A class struggle

Much like Kratzer’s modal base, Becker (1841: 221) suggests three types of specific-
ations. Accordingly, necessity or possibility can be specified as real, moral or lo-
gical, whereas the last type corresponds to epistemic modality. Becker (1841) is
one of the first grammarians who observes this type of modality.
Becker (1841) is not only the first one who attempts to give a general semantic
description of these seven items that is based on the concept of necessity and
possibility, but also the first who adopts the term Modus ‘mood’ to denominate
these seven auxiliary-like verbs. It is fairly likely that Becker (1841) is even the
origin of the contemporary concept of the modal verb class. It is only a small step
from his original term Huelfsverben des Modus ‘auxiliaries of mood’ to Modalverb,
as it is used by Bech (1949).
Even if Becker (1841) is on the right track, some amendments still have to
be made. He proposes a very clear definition of modality in terms of necessity
and possibility; yet, it remains mysterious how the volitional use wollen and the
emotive use mögen fit into this picture. Moreover, his definition also applies to a
whole range of other verbs.

2.1.3.3 The availability of an epistemic interpretation

The most viable semantic criterion that can be invoked to justify the establishment
of an independent class of modal verbs is the availability of an epistemic inter-
pretation. It took a fairly long time in grammatical research until the peculiarity
of these readings was acknowledged. Probably, the first one to consider epistemic
readings as a general property of modal verbs is Becker (1841: 221), who briefly
discusses the so-called logical possibility and necessity readings for kann, dürfte,
muß, will, soll and mag.

(23) Er kann (dürfte, muß, soll) schon angekommen sein.

he can might must shall already arrived-ppp be-inf
‘He could/might/must/is said to have already arrived’

(24) Man will ihn gesehen haben.

one wants him see-ppp have-inf
‘Somebody claims to have seen him’

In contrast to a moral or real possibility, kann in example (23) denotes a logical

possibility. This latter type expresses that, in view of what he knows, the speaker
considers it possible that the propositional content of the modified clause holds.
As Becker (1836: 180) already argues, the logical modal verbs differ with respect
to subtleties in their interpretation: kann refers to a possibility; dürfte to a prob-
ability; mögen always has a concessive resonance; muss refers to a logical neces-
sity evaluated by the speaker; wollen expresses a logical necessity assessed by the
2.1 Traditional criteria | 31

subject referent and sollen expresses a logical necessity evaluated by another ref-
erent. For a couple of decades, until the beginning of the 20th century, epistemic
readings did not attract too much attention. At best they are mentioned, but their
particular status remains veiled. As one among few, Curme (1922: 319) enumer-
ates the epistemic interpretation for each of the six traditional modal verbs, but
he does not pay any further attention to them, just as Bech (1949) does not. Most
grammars, such as Vernaleken (1861), however, go as far as to ignore the epistemic
interpretation completely.
Only in the early 1960s did Griesbach and Schulz (1960: 65) acknowledge the
availability of an epistemic reading as an essential characteristic of the six tradi-
tional modal verbs. They are the first who systematically describe this type of mod-
ality for modal verbs in German. In their opinion, modal verbs are characterised
by the availability of two different interpretations: an objective (non-epistemic,
root) one, and a subjective (epistemic) one. Their position has frequently been
adopted, e.g. by Öhlschläger (1989: 132), Engel (1996: 463), Diewald (1999: 1) and
Reis (2001: 287). In more recent research this property has been referred to as poly-
functionality. In a less explicit way, Erb (2001: 74) also makes use of this concept.
As Westmoreland (1998: 12) and Ziegeler (2006: 90) point out, epistemic mod-
ifiers are subject to a particular condition. Since they label the modified proposi-
tion as a mere assumption of the speaker, it follows that the epistemically modi-
fied proposition is not part of the speaker’s knowledge.
Accordingly, whenever a speaker utters an epistemically modified proposition
epistemic (p) such as the examples in example (23), he signals to the hearer that
p is not part of his knowledge. It would cause quite some confusion if the speaker
were to resume the discourse saying “. . . since I know that p is the case”. Canonic-
ally, the speaker would not know that p is false either. Likewise, he could not con-
tinue uttering “. . . although I know that p is not the case”, at least if he uses an epi-
stemic modal verb which is inflected for the indicative. Similar observations have
been made by Erb (2001: 161), Krämer (2005: 60, 133), Fintel and Gillies (2010: 353),
Kratzer (2011, 2012: 99) and Martin (2011: Sect. 3.1), and a detailed discussion is
given in Section 6. To a lesser extent, a similar position is defended by Papafragou
(2006: 1693). In the remainder of this study, it will be demonstrated that the relev-
ant referent does not always have to be the speaker, e.g. in embedded clauses or
in information seeking questions. Accordingly, this condition will be formulated
with respect to a more abstract expression. In his Lectures on Deixis in the early
1970s, Charles Fillmore introduced the concept of a deictic centre (in the reprinted
version: Fillmore (1997: 98)), which was subsequently developed in more detail by
Levinson (1983: 64). The deictic centre is a referent who is identical to the speaker
in the most prototypical context, but it can be instantiated by a referent other than
the speaker of the actual utterance. A similar concept had already been suggested
32 | 2 Modal verbs: A class struggle

by Bühler (1934: 102). According to his terminology, this referent is called Origio,
and as Abraham (2011: xxxv) points out it can also be used to describe epistemic
modality.
As will be shown in the Chapter 4, it is much more appropriate to formulate
the condition for epistemic operators with respect to deictic centres rather than
with respect to the actual speaker. For the sake of simplicity, this condition will
be referred to as ‘Condition on Deictic Centres (CoDeC)’ here:

(25) Condition on Deictic Centres (CoDeC)

The use of an epistemic operator indicates that the embedded proposition
is not part of the deictic centre’s knowledge.

Indeed, epistemicity turns out to be a property that does not apply to a lot of verbs
in German. Apart from the traditional six modal verbs, only five more verbs come
into consideration: brauchen ‘need’ (cf. Takahaši (1984: 21), Engel (1996), Aske-
dal (1997a: 62)), werden (Vater (1975), Engel (1996), Enç (1996), Erb (2001: 176)),
scheinen (Askedal (1998: 61), Wurmbrand (2001: 205)), drohen and versprechen
(Askedal (1997b), Wurmbrand (2001: 205)). In some rare cases, even lassen exhib-
its an epistemic reading, as pointed out by Reis (2001: 308).
It is a matter of debate to what extent these items really belong to the same
class as the six traditional modal verbs. First of all, there is no agreement as
to whether all of these items indeed involve epistemic semantics. Öhlschläger
(1989: 8) denies that brauchen allows for an epistemic interpretation, and Reis
(2005b) argues that drohen and versprechen should be considered as aspectual
verbs rather than epistemic modal verbs. Secondly, some authors assume that the
class defining property for modality is poly-functionality. Therefore, they reject all
verbal items that do not involve both types of modality. According to Öhlschläger
(1989: 8), brauchen cannot be regarded as a modal verb since it lacks an epistemic
reading, whereas werden has to be excluded because of the absence of a circum-
stantial interpretation. Since the question which of these items indeed involve
epistemic modality requires a thorough investigation of empirical data, it will be
postponed until Section 2.2, where each verb will be individually reviewed with
respect to the CoDeC.
Even if the availability of an epistemic interpretation appears to be a power-
ful criterion, it does not apply equally to all of the six traditional items. Firstly, the
canonical non-circumstantial uses of wollen ‘claim to’ and sollen ‘is said to’ differ
from genuine epistemic modals. While the latter refer to a conclusion that is drawn
by the speaker, the former express a claim by the subject referent (in the case
of wollen) or some non-specified source (sollen). As Reis (2001: 294) points out,
these instances of wollen and sollen are acceptable to a greater degree as non-finite
forms than epistemic modals are. This might be due to the fact that they involve
2.1 Traditional criteria | 33

more argument structure than their epistemic counterparts: wollen is a control

verb and has a subject argument of its own, and sollen contains some unspecified
covert argument. Hence, there are plenty of reasons to treat these latter readings
separately from epistemic modality. This type of approach is furthermore suppor-
ted by the observation that they might violate the CoDeC. Because they are always
related to some claim, they will be referred to as reportative in the remainder of this
study. Secondly, dürfen can never be interpreted epistemically unless it is inflec-
ted for past subjunctive (dürfte). As will be shown in Section 2.2.5, deontic dürfen
and epistemic dürfte differ with respect to the modal force they carry: deontic dür-
fen is a prototypical possibility modal verb, epistemic dürfte appears to express a
stronger modal force than that. Therefore, dürfte should be considered as an inde-
pendent lexical item. Thirdly, most contemporary researchers treat möchte as an
independent lexical item as well, such as Öhlschläger (1989: 7), Kiss (1995: 162),
Fritz (1997: 103), Diewald (1999: 144), Axel (2001: 40) and Wurmbrand (2001: 183).
Since none of them provides evidence that it is used with an epistemic interpreta-
tion, strictly speaking, it cannot be considered as a modal verb.
Regardless of these discrepancies, the availability of an epistemic interpret-
ation turned out to be the most promising property to define a class. If the class
of modal verbs is defined based upon epistemicity, only a small group of verbs
comes under consideration. In the upcoming Section 2.2, all of these potentially
epistemic verbs will be carefully reviewed with respect to the CoDeC. However,
this approach will not result in a modal class with its traditional extension.

2.1.4 Conclusions

As has been shown, the six traditional modal verbs do not form a class that
can empirically be justified. All of the criteria that come into consideration fail.
This includes morphological criteria (preterite present paradigm, obligatory IPP),
syntactic criteria (sub-categorisation of bare infinitives), and semantic criteria
(availability of an epistemic interpretation). Therefore, a number of authors have
already conceded that the class of modal verbs in its traditional extension is
arbitrary and not well defined, such as Welke (1965: 12), Birkmann (1987: 5),
Öhlschläger (1989: 7) and Fritz (1997: 14).
Thus, it becomes clear why different authors assume classes of modal verbs
with diverging extensions. Some of these classes that have been a basis for influ-
ential theories are presented below:
– Ehlich and Rehbein (1972: 318) modal verbs in German: müssen, können, dür-
fen, sollen, wollen, möchte, nicht brauchen, werden – without mögen
34 | 2 Modal verbs: A class struggle

– Kratzer (1981: 40) modal auxiliaries in German: muss, kann, darf, soll, wird,
mag, müßte, könnte, dürfte, sollte, würde, möchte – without wollen
– Kratzer (1991: 650) some modals: muss, kann, soll, wird, dürfte
– Fritz (1991: 46): epistemic modals in Contemporary German: dürfte, kann,
könnte, mag, muss, müßte, soll, will, wird
– Wurmbrand (2001: 137) modal auxiliares in German: dürfen, dürfte, können,
möchte, müssen, sollen, wollen – without mögen
– Erb (2001: 75) modal verbs in German: können, müssen, dürfen, sollen, wollen,
mögen, werden

These authors are not always explicit as to why they exclude some of the verbs
that are traditionally considered as modal verbs.
Since the traditional class of modal verbs cannot be empirically justified, one
could argue for a mere extensional definition. This would be plausible if the six
relevant verbs invariably involved auxiliary-like properties across the periods of
German. But as it turns out, during the Old High German period, each of these
verbs was grammaticalised to a different extent. Birkmann (1987) and Diewald
(1999) agree that sollen, wollen and mögen were already highly frequent as gram-
maticalised verbs with infinitive complements and modal semantics in Old High
German. In contrast, the remaining traditional modals können and müssen can
hardly be found in such an auxiliary-like use in this period, or not at all, in the
case of dürfen. As illustrated by Birkmann (1987), dürfen only started to select in-
finitive complements during the late Middle High German period. Apart from that,
he points out that there is one more grammaticalised preterite present in Old High
German that occurs with modal meaning: eigan ‘have’. As Wurzel (1984) shows, it
appears that most of the preterite presents in Old High German involve too much
lexical content in order to be considered as modal auxiliaries. This seems to con-
tradict the position advocated by Fritz (1997: 13), who claims that all of the six
traditional modal verbs already exhibited modal semantics in Old High German.
But as was already discussed in Section 2.1.3.1, many authors use a rather fuzzy
concept of modality. The two diverging positions thus do not need to be a contra-
dictory at all.
This again demonstrates that the six traditional modal verbs did not become
what they are as a chunk, but rather each verb had its own individual develop-
ment, at its own pace. Meanwhile, some modals got lost (such as eigan) or are
likely to get lost (such as mögen), but there are also new members in the group,
such as möchten, which has already developed a full paradigm, at least in spoken
language, as shown by Vater (2010).
The process of grammaticalisation turns out to be even more complex. When
focusing on an individual verb, it is not obvious that it acquired all features of
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R. subdepal´lens Pk.—sub, de and palleo, to be pale. Pileus
fleshy, at first convex and striate on the margin, then expanded or
centrally depressed and tuberculate-striate on the margin, viscid,
blood-red or purplish red, mottled with yellowish spots, becoming
paler or almost white with age, often irregular. Flesh fragile, white,
becoming cinereous with age, reddish under the cuticle, taste mild.
Lamellæ broad, subdistant, adnate, white or whitish, the
interspaces venose. Stem stout, solid but spongy within,
persistently white.
Spores white, globose, rough, 8µ broad.
Pileus 3–6 in. broad. Stem 1.5–3 in. long, 6–12 lines thick.
Under a hickory tree. Trexlertown, Pa. June. W. Herbst.
Closely related to Russula depallens, from which it differs in having
the margin of the pileus striate at first and more strongly so when
mature, also in the pileus being spotted at first, the gills more
distant, the stem persistently white and the spores white. Bull.
Torrey Bot. Club. Vol. 23, No. 10. October, 1896.
I do not doubt its edibility. See R. depallens.

R. ochrophyl´la Pk.—ochra, a yellow earth; phyllon, a leaf. Pileus

2–4 in. broad, firm, convex becoming nearly plane or slightly
depressed in the center, even or rarely very slightly striate on the
margin when old, purple or dark purplish red. Flesh white, purplish
under the adnate cuticle, taste mild. Gills entire, a few of them
forked at the base, subdistant, adnate, at first yellowish, becoming
bright ochraceous buff when mature, dusted by the spores, the
interspaces somewhat venose. Stem equal or nearly so, solid or
spongy within, reddish or rosy tinted, paler than the pileus. Spores
bright ochraceous buff, globose-verruculose, 10µ broad.
The ochery-gilled Russula is a large fine species, but not a common
one. It differs but little in color and size from the European pungent
Russula, Russula drimeia, but it is easily distinguished from it by its
mild taste.
The cap is dry, convex or a little depressed in the center, purple or
purplish red, the white flesh purplish under the cuticle, which,
however, is not easily separable.
The gills are nearly all entire, extending from the stem to the margin
of the cap. They are therefore much closer together near the stem
than at the margin. They are at first yellowish, but a bright
ochraceous buff when mature. They are then dusted by the similarly
colored spores.
The stem is stout, nearly cylindric, firm but spongy in the center and
colored like the cap, but generally a little paler. There is a variety in
which the stem is white and the cap deep red. In other respects it is
like the typical form. Its name is Russula ochrophylla albipes.
The ochery-gilled Russula grows in groups under trees, especially
oak trees, and should be sought in July and August. Peck, 51st Rep.
N.Y. State Bot.
West Virginia, Pennsylvania, July to September, McIlvaine.
Edible. Peck, 50th Rep. N.Y. State Bot.
Ri’gidæ.
R. lac’tea Fr.—lac, milk. Pileus 2 in. broad, at the first milk-white,
then tan-white, throughout compactly fleshy, bell-shaped, then
convex, often excentric, without a pellicle, always dry, at the first
even, then slightly cracked when dry, margin straight, thin, obtuse,
even. Flesh compact, white. Stem 1½-2 in. long, 1½ in. thick,
solid, very compact, but at length spongy-soft within, equal, even,
always white. Gills free, very broad, thick, distant, rigid, forked,
white. Fries.
Spores subglobose, echinulate, 7–9µ Massee.
Closely allied to R. albella Pk. from which it differs in its shorter
stem, and pileus cracking into areolæ, and gills not being entire.
In mixed woods, in patches, not common.
Botanic creek, West Philadelphia, Pa., patches, McIlvaine, 1887.
Edible and of good flavor. Macadam.
Raw, it has a raw, rather unpleasant taste and odor, a little like some
acorns. But its firm, thick flesh, meaty gills and stem, and good
flavor when well cooked, rank it equal to any.
R. albel’la Pk.—whitish. Pileus 2–3 in. broad, thin, fragile, dry,
plane or slightly depressed in the center, even or obscurely striate on
the margin, commonly white, sometimes tinged with pink or rosy-
red, especially on the margin. Flesh white, taste mild. Lamellæ
entire, white, becoming dusted by the spores. Stem 1–2 in. long, 3–
4 lines thick, equal, solid or spongy within, white.
Spores white, globose, 7.6µ broad.
Dry soil of frondose woods. Port Jefferson. July.
Closely allied to R. lactea, but differing in its fragile texture, entire
lamellæ, more slender stem, and in the pileus not cracking into
areas. Peck, 50th Rep. N.Y. State Bot.
R. vires’cens Fr.—viresco, to be green. (Plate XLIV, fig. 6, p. 184.)
Pileus green, compactly fleshy, globose then expanded, at length
depressed, often unequal, always dry, not furnished with a pellicle,
wherefore the flocculose cuticle is broken up into patches or warts,
margin straight, obtuse, even. Flesh white, not very compact. Stem
solid, internally spongy, firm, somewhat rivulose, white. Gills free,
somewhat crowded, sometimes equal, sometimes forked, with a few
shorter ones intermixed, white. Fries.
Taste mild; good, raw.
Spores scarcely echinulate, almost globular, 6µ W.G.S. Spores 8–
10µ Massee; 6–7.6µ Peck.
Cap round when young, very hard, then convex or becoming dished,
sometimes repand. It is without a separable skin, covered with
various sized areas of mouldy looking patches which are at times
distinctly cracked. The color varies from a bright bluish-green to
grayish-green, such shades remind one of mouldy cheese or the
shades of Roquefort; again the color may vary in shades of light
leather brown, occasionally the caps are almost white, opaque in
each shade of color. Flesh crisp, brittle, thick, white, mild, good raw.
Gills and stem as described.
R. virescens is common in the United States but not generally
plentiful. It is a solitary grower, usually but few are found in a patch.
Striking in appearance when its green colors are present, and always
clean looking and inviting. It sometimes attains the size of 5 in.
across. It is a hot weather Russula and rarely appears before the
latter part of June, then after rains.
To eat, it should be in a healthy, fresh condition. All Russulæ impart
a stale flavor if any part of gills or cap is wilting, drying or decaying.
It requires forty minutes' slow stewing, or it can be dressed raw as a
salad. Roasted or fried crisp in a hot buttered pan it is at its best. It
should be well salted.

R. lep´ida Fr.—lepidus, neat, elegant. Pileus 3 in. broad, blood-

red-rose, becoming pale, whitish especially at the disk, somewhat
equally fleshy, convex then expanded, scarcely depressed, obtuse,
opaque, unpolished, with a silky appearance, at length often cracked
scaly, margin spreading, obtuse, without striæ. Stem as much as 3
in. long, often 1 in. thick, even, white or rose-color. Gills rounded
behind, rather thick, somewhat crowded, often forked, connected by
veins, white, often red at the edge.
Taste mild; wholly compact and firm, but the flesh is cheesy, not
somewhat clotted. The gills are often red at the edge, chiefly toward
the margin, on account of the margin of the pileus being continuous
with the gills. Fries.
Spores 8–10×6–8µ Syll.
Frequent. July to October, in mixed woods.
A common and variable species in size and color, but the cap is
always some shade of rose-red or lake. The flesh is compact and
cheesy. The gills sometimes edged with pink as they near the
margin. Taste mild.
The crisp flesh of R. lepida requires forty minutes' slow stewing, if
stewed. It yields a delicate pink shade to the dish. Roasted or
cooked in a hot buttered pan it is excellent.

R. ru´bra Fr.—ruber, red. Pileus unicolorous, a cinnabar-vermilion,

but becoming pale (tan) when old, disk commonly darker, compact,
hard but fragile, convex, then flattened, here and there depressed,
absolutely dry, without a pellicle, but becoming polished-even, often
sinuously cracked when old, margin spreading, obtuse, even, always
persistent. Flesh white, reddish under the cuticle. Stem 2–3 in.
long, about 1 in. thick, solid, even, varying white and red. Gills
obtusely adnate, somewhat crowded, whitish, then yellowish, with
dimidiate and forked ones intermixed.
Very acrid, very hard and rigid, most distinct from all the others of
this group in the pileus becoming polished-even, although without a
pellicle, in the flesh being somewhat clotted, and in the very acrid
taste. Gills often red at the edge. Fries.
Spores whitish, Fries; spheroid, 8–10µ K.
Krapp says he has experienced grave inconveniences from eating it.
European authorities mark “poisonous.”
I do not hesitate to cook it either by itself or with other Russulæ and
serve it at my table. It is easier cooked than R. virescens and others
of the crisp species, and has equal flavor.
R. Linnæ´i Fr.—in honor of Linnæus. Pileus 3–4 in. broad,
unicolorous, dark purple, blood-red or bright rose, opaque, not
becoming pale, everywhere fleshy, rigid, plano-depressed,
sometimes spread upward, even, smooth, dry, without a separable
pellicle, margin spreading, obtuse, without striæ. Flesh thick,
spongy-compact, white. Stem 1½ in. and more long, 1 in. and more
thick, stout, firm, but spongy-soft within, somewhat ventricose,
obsoletely reticulated with fibers, intensely blood-red. Gills adnate,
somewhat decurrent, rather thick, not crowded, broad (more than ½
in.), fragile, sparingly connected by veins, white, becoming yellow
when dry, with a few dimidiate ones intermixed, somewhat
anastomosing behind. Fries.
Spores wholly white, Fries; ellipsoid, spheroid, echinulate, 11µ Q.;
9–11×8–9µ Massee.
West Virginia, 1881–1885. West Philadelphia, Pa., on Bartram’s
Botanic creek. McIlvaine.
R. Linnæi is one of our handsomest and best Russulæ. European
authors state its habit to be exactly that of R. emetica, but though I
have known it intimately for many years I have not been struck with
this in the American plant. Its large size, its more or less red stem
never entirely white, at times hollow, cavernous, its less solid flesh,
habit of growing in troops, sometimes parts of rings, flourishing best
where the leaf mat is heaviest, loving the leaf drift in fence-corners,
are well marked distinctions.
When young there is no better Russula. As it ages the stem becomes
soft, spongy and should be thrown away. The caps, only, eaten.

R. oliva´cea Fr.—oliva, an olive; olivaceus, the color of an olive.

Pileus 2–4 in. across, dingy-purple then olivaceous or wholly
brownish-olivaceous, fleshy, convexo-flattened and depressed,
slightly silky and squamulose, margin spreading, even. Flesh white,
becoming somewhat yellow. Stem firm, ventricose, rose-color to
pallid, spongy-stuffed within. Gills adnexed, wide, yellow, with
shorter and forked ones intermixed.
Mild. Near to R. rubra, but certainly distinct in the stem being
definitely spongy, in the pileus being unpolished, and in the gills
being soft and brightly colored; corresponding with R. alutacea.
Fries.
Spores light yellow, Fries; spheroid, punctate, 10µ Q.; globose,
minutely granulate, yellow, 9–10µ diameter Massee.
Mt. Gretna, Pa., 1897–1898.
Pileus 2–4 in. across, 2–3 in. long, ½-⅓ in. thick.
The caps are equally good with R. alutacea. They must be fresh, and
similarly cooked.

R. fla´vida Frost—yellow. (Plate XLIV, fig. 3, p. 184.) Pileus fleshy,

convex, slightly depressed, unpolished, bright yellow. Gills white,
adnate, turning cinereous. Stem yellow, solid, white at the extreme
apex. Frost Ms.
Pileus fleshy, convex, slightly depressed in the center, not polished,
yellow, the margin at first even, then slightly striate-tuberculate.
Gills nearly entire, venose-connected, white, then cinereous or
yellowish. Stem firm, solid, yellow, sometimes white at the top.
Spores yellow, subglobose, 6.5–7.6µ in diameter. Flesh white, taste
mild.
Plant 2–3 in. high. Pileus 2–3 in. broad. Stem 4–6 lines thick.
Frost Mss.
Ground in woods. Sandlake. August. Peck, 32d Rep. N.Y. State Bot.
R. flavida is showy, solitary and in patches. The stem when young
and solid is equally good with the cap. Cooks in twenty-five minutes
and is of good flavor.

Heterophyl´læ.

R. ves´ca Fr.—vesco, to feed. Pileus red-flesh-color, disk darker,

fleshy, slightly firm, plano-depressed, slightly wrinkled with veins,
with a viscid pellicle, margin at length spreading. Flesh cheesy, firm,
shining white. Stem solid, compact, externally rigid, reticulated and
wrinkled in a peculiar manner, often attenuated at the base, shining
white. Gills adnate, crowded, thin, shining white, with many
unequal and forked ones intermixed, but scarcely connected by
veins.
Of middle stature. Taste mild, pleasant. Fries.
Spores globose, echinulate, white, 9–10µ diameter. Massee.
In mixed woods. Common. August to frost.
R. vesca is frequent in woods or margins, and under trees in the
open. It is especially fond of growing in the grass under lone
chestnut trees. The caps seldom exceed 2-½ in. across.
It is one of the best.

R. cyanoxan´tha (Schaeff.) Fr. Gr—blue; Gr—yellow. (From the

colors.) (Plate XLIV, fig. 1, p. 184.) Pileus 2–3 in. and more broad,
lilac or purplish then olivaceous-green, disk commonly becoming
pale often yellowish, margin commonly becoming azure-blue or livid
purple, compact, convex then plane, then depressed or
infundibuliform, sometimes even, sometimes wrinkled or streaked,
viscous, margin deflexed then expanded, remotely and slightly
striate. Flesh firm, cheesy, white, commonly reddish beneath the
separable pellicle. Stem 2–3 in. long, as much as 1 in. thick,
spongy-stuffed, but firm, often cavernous within when old, equal,
smooth, even, shining white. Gills rounded behind, connected by
veins, not much crowded, broad, forked with shorter ones
intermixed, shining white.
Allied to R. vesca in its mild, pleasant taste and in other respects,
but constantly different in the color of the pileus, which is very
variable, whereas in R. vesca it is unchangeable. The peculiar
combination of colors in the pileus, though very variable, always
readily distinguishes it. Fries.
Spores 8–9µ, cystidia numerous, pointed, Massee; 8–10×6–8µ
Sacc.
In mixed woods. Common. August to October.
Pronounced one of the best esculent species by all authorities.

R. heterophyl´la Fr. Gr—differing; Gr—a leaf. (Gills differing in

length.) Pileus very variable in color, but never becoming reddish or
purple, fleshy, firm, convexo-plane then depressed, even, polished,
the very thin pellicle disappearing, margin thin, even or densely but
slightly striate. Flesh white. Stem solid, firm, somewhat equal,
even, shining white. Gills reaching the stem in an attenuated form,
very narrow, very crowded, forked and dimidiate, shining white.
Taste always mild, as in R. cyanoxantha, from which it differs in its
smaller stature, in the pileus being thinner, even, never reddish or
purplish, with a thin closely adnate pellicle, in the stem being firm
and solid, and in the gills being thin, very narrow, very crowded, etc.
The apex of the stem is occasionally dilated in the form of a cup, so
that the gills appear remote. Fries.
Spores echinulate, 5×7µ W.G.S.; 7–8µ diameter Massee.
Common. Woods. July to November.
Edible, of a sweet nutty flavor. Stevenson.
R. heterophylla is very common. Its smooth, even pileus, colored in
some dingy shade of green, distinguishes it. It is much infested by
grubs. Specimens for the table should be young and fresh. Wilted
specimens are unpleasant.
R. fœ´tens Fr.—fœtens, stinking. Pileus 4–5 in. and more broad,
dingy yellow, often becoming pale, thinly fleshy, at first bullate, then
expanded and depressed, covered with a pellicle which is adnate,
not separable, and viscid in wet weather, margin broadly
membranaceous, at the first bent inward with ribs which are at
length tubercular. Flesh thin, rigid-fragile, pallid. Stem 2 in. and
more long, ½-1 in. thick, stout, stuffed then hollow, whitish. Gills
adnexed, crowded, connected by veins, with very many dimidiate
and forked ones intermixed, whitish, at the first exuding watery
drops.
Fetid. Taste acrid. Very rigid, most distinct from all others in its very
heavy empyreumatic odor. In very dry weather the odor is often
obsolete. The margin is more broadly membranaceous and hence
marked with longer furrows than in any other species. It differs from
all the preceding ones in the gills at the first exuding watery drops.
The gills become obsoletely light yellow, and dingy when bruised.
Fries.
Pileus fleshy, with a wide thin margin, hemispherical or convex,
then expanded or depressed, viscid when moist, widely striate-
tuberculate on the margin, dull pale yellow or straw color. Lamellæ
rather broad, close, venose-connected, some of them forked,
whitish. Stipe nearly cylindrical, whitish, hollow. Spores white.
Plant sometimes cespitose.
Height 2–4 in.; breadth of pileus 2–3 in. Stipe 4–6 lines thick.
Pine woods. West Albany. October.
Taste mild at first, then slightly disagreeable. Peck, 23d Rep. N.Y.
State Bot.
Spores minute, echinulate, almost globular, 8µ W.G.S.; 8–10µ
Massee.
In woods. Common. July to October.
Var. granula´ta has the pileus rough with small granular scales. Peck,
Rep. 39.
A very coarse and easily recognized species. Reckoned poisonous,
though eaten by slugs. W.G.S.
The verdict is against it. Both smell and taste are usually unpleasant.
Cooked it retains its flavor, more closely resembling wild cherry bark
than anything else. On two occasions I ate enough to convince me
that it was not poisonous.
R. el´egans Bresad.—elegans, pretty. Mild at first, becoming acrid
with age. Pileus 2–3 in. across. Flesh rather thick; convex then
depressed; margin tuberculose and striate when old, viscid, bright
rosy flesh-color, soon ochraceous at the circumference, everywhere
densely granulated. Gills adnexed or slightly rounded, narrow
behind, very much crowded, equal, rarely forked, whitish, becoming
either entirely or here and there ochraceous-orange. Stem 1½-2 in.
long, 5–7 lines thick, a little thickened at the base, rather rugulose,
white, base ochraceous. Flesh white, turning ochraceous and acrid
when old.
Spores 8–10µ diameter Massee.
Allied to R. vesca. Known by the bright rose-colored, densely
granular pileus and tuberculose margin. When old the pileus is
almost entirely ochraceous. Massee.
Frequent in the West Virginia forests, 1881–1885. Chester county,
Pa., 1887–1890. In mixed woods. July to September. McIlvaine.
It differs from R. vesca in its cap being minutely granulated instead
of streaked, and in becoming acrid with age.
The caps are of good quality, needing to be well cooked.

Fra´giles.

* Gills and spores white.

R. eme´tica Fr.—an emetic. (Plate XLIV, fig. 2, p. 184.) Pileus 3–4

in. broad, at first rosy then blood-color, tawny when old, sometimes
becoming yellow and at length (in moist places) white, at first bell-
shaped then flattened or depressed, polished, margin at length
furrowed and tubercular. Flesh white, reddish under the separable
pellicle. Stem spongy-stuffed, stout, elastic when young, fragile
when older, even, white or reddish. Gills somewhat free, broad,
somewhat distant, shining white.
Handsome, regular, moderately firm, but fragile when full grown,
taste very acrid. Fries.
Spores shining white, Fries; spheroid, echinulate, 8–10µ K.; 7µ
W.G.S.
Maryland, Miss Banning; New York, Peck, Rep. 22; Indiana, Illinois,
H.I. Miller.
Said to act as its name implies as an emetic. Certainly poisonous.
Stevenson.
Krapp says he has himself experienced rare inconveniences from
eating it. Preferred to others in Indiana and Illinois. H.I. Miller, 1898.
The varying reports upon R. emetica are quoted above. In 1881, in
the West Virginia mountains, I began testing this Russula and soon
found that it was harmless. At least twenty persons ate it in quantity,
during its season, for four years. Yet, in my many published articles,
I continued, out of regard for the opinions of others and in excess of
caution, to warn against all bitter and peppery fungi. But from that
time until the present I have eaten it, and I have made special effort
to establish its innocence by getting numbers of my friendly helpers
to eat it.
It was suggested by one of its prosecutors that perhaps I was
mistaking another fungus for it. In October, 1898, I sent to Professor
Peck a lot of the Russula I was eating. He wrote: “It seems to be R.
emetica as you state. It certainly is hot enough for it.”

R. pectina´ta Fr.—pecten, a comb. Pileus 3 in. broad, at first

gluey, toast-brown, then dry, becoming pale, tan, with the disk
always darker, fleshy, rigid, convex then flattened and depressed or
concavo-infundibuliform (basin-shaped); margin thin, pectinato-
sulcate (deeply ribbed), here and there irregularly shaped. Flesh
white, light yellowish under the pellicle, which is not easily
separable. Stem curt, 3 in. long, ¾–1 in. thick, rigid, spongy-
stuffed, longitudinally slightly striate, shining white, often attenuated
at the base. Gills attenuato-free behind, broader toward the margin,
somewhat crowded, equal, simple, white.
Odor weak, but nauseous, approaching that of R. fœtens. Fries.
Spores 8–9µ diameter Massee.
New York, Peck, 43d Rep. West Virginia, Pennsylvania, New Jersey.
Common in woods, grassy, mossy places. July to frost. McIlvaine.
Named from the furrows of the margin being like the teeth of a
comb.
Both the appearance and smell of this Russula will detect it. The
peculiar comb-like furrows of its margin, viscid or varnished-looking
cap, and strong but more spicy smell than cherry-bark are
noticeable.
It is edible, but so strong in flavor that a piece of one will spoil a
dish if cooked with other kinds.

R. ochroleu´ca Fr. Gr—pale yellow; Gr—white. Pileus yellow,

becoming pale, fleshy, flattened or depressed, polished, with an
adnate pellicle, the spreading margin becoming even. Stem spongy,
stuffed, firm, slightly reticulato-wrinkled, white, becoming cinereous.
Gills rounded behind, united, broad, somewhat equal, white
becoming pale.
Odor obsolete, but pleasant. The pileus is never reddish. It agrees
wholly with R. emetica in structure and stature, as well as in the
acrid taste; it differs however in the stem being slightly recticulato-
wrinkled, white becoming cinereous, in the adnate pellicle of the
pileus, in the margin remaining for a long time even (remotely
striate, but not tubercular, only when old), and in the gills being
rounded behind and becoming pale. The color of the pileus is
constant. The gills remain free and do not exude drops. Fries.
Cap 2–4 in. across. Stem 2–3 in. long, up to ¾ in. thick.
Spores papillose, 7µ W.G.S., 8×9µ Massee.
Frequent in woods. July to October.
Not as common as R. emetica, yet frequently found, usually solitary,
at times gregarious. It is quite peppery, but loses pepperiness in
cooking. Myself and others have frequently eaten it.

R. ci´trina Gillet—citrina, citron colored. Mild. Pileus 2–3 in.

across, slightly fleshy at the disk, margin thin; convex then more or
less expanded and slightly depressed, rather viscid when moist,
smooth, slightly wrinkled at the margin when old, bright lemon-
yellow, color usually uniform, sometimes paler at the margin,
occasionally with a greenish tint, center of pileus at length becoming
pale-ochraceous; pellicle separable. Gills slightly decurrent, broadest
a short distance from the margin, and gradually becoming narrower
towards the base, forked at the base and also sometimes near the
middle, white, 1½ lines deep at broadest part. Stem 2–3 in. long,
about 4 lines thick, equal or slightly narrowed at the base, slightly
wrinkled, straight or very slightly waved, solid.
Spores subglobose, echinulate, 8µ diameter.
In woods.
Known by the clear lemon-yellow or citron-colored pileus and the
persistently white gills and stem. The taste is mild at first, but
becomes slightly acrid if kept in the mouth for a short time. Massee.
R. citrina can hardly be classed among the acrid species. The taste is
slightly of cherry-bark and disappears in cooking. It is usually found
in patches which contain ten to twenty individuals. It is a species of
fair quality.

R. fra´gilis Fr.—fragile. Pileus 1–1½ in. broad, rarely more, flesh-

color, changing color, very thin, fleshy only at the disk, at the first
convex and often umbonate, then plane and depressed, pellicle thin,
becoming pale, slightly viscid in wet weather; margin very thin,
tuberculoso-striate. Stem 1½-2 in. long, spongy within, soon
hollow, often slightly striate, white. Gills slightly adnexed, very thin,
crowded, broad, ventricose, all equal, shining white. Fries.
Very acrid. Smaller and more fragile than the rest of the group,
directly changing color. The color is variable, often opaque, typically
flesh-color, when changed in color white externally and internally,
often with reddish spots. Among varieties of color is to be noted a
livid flesh-colored form, with the disk becoming fuscous.
It is not easy to define it from fragile forms of R. emetica, but the
gills are much more crowded, thinner, and often slightly eroded at
the edge, ventricose; the pileus thinner and more lax, etc.
Stevenson.
Var. nivea Fr.—nivea, snowy. Whole plant white.
Spores minutely echinulate 8–10×8µ Massee.
Though one of the peppery kind, I have not, after fifteen years of
eating it, had reason to question its edibility. The caps are not
meaty, but what there is of them is good.

R. puncta´ta Gillet—punctata, dotted. Mild. Pileus 1½-2½ in.

across. Flesh thin, white, reddish under the cuticle; convex then
flattened, viscid, rosy, disk darkest, punctate with dark reddish point-
like warts, pale when old; margin striate. Gills slightly adnexed, 2
lines broad, white then yellowish, edge often reddish. Stem about 1
in. long, 4–5 lines thick, attenuated and whitish at the base,
remainder colored like the pileus, stuffed.
Spores 8–9µ diameter Massee.
Among grass.
Edible. Boston Myc. Club Bull. 1896.

** Gills and spores white then yellowish or bright lemon.

R. in´tegra Fr.—integer, entire, whole. Pileus 4–5 in. across,
typically red, changing color, fleshy, campanulato-convex then
expanded and depressed, fragile when full-grown, with a gluey
pellicle, at length furrowed and somewhat tubercular at the margin.
Flesh white, sometimes yellowish above. Stem at first short,
conical, then club-shaped or ventricose, as much as 3 in. long, up to
1 in. thick, spongy-stuffed, commonly stout, even, shining white.
Gills somewhat free, very broad, up to ¾ in., equal or bifid at the
stem, somewhat distant, connected by veins, pallid-white, at length
light yellow, somewhat powdered yellow with the spores.
Taste mild, often astringent. The most changeable of all species,
especially in the color of the pileus which is typically red, but at the
same time inclining to azure-blue, bay-brown, olivaceous, etc.
Sometimes the gills are sterile and remain white. Fries.
Spores ellipsoid-spheroid or spheroid echinulate, globose, rough, 8–
9µ C.B.P.; 9–10µ diameter, pale ochraceous. Massee.
It is difficult to separate R. integra from R. alutacea. The spores
usually show upon the gills as pale dull yellow powder. It is of equal
excellence.

R. decolo´rans Fr.—de and coloro, to color. Pileus 3–5 in. broad,

color various, at first orange-red, then light yellow and becoming
pale, fleshy, spherical then expanded and depressed, remarkably
regular, viscid when moist, thin and at length striate at the margin.
Flesh white, but becoming somewhat cinereous when broken, and
more or less variegated with black spots when old. Stem elongated,
3–5 in., cylindrical, solid, but spongy within, often wrinkled-striate,
white then becoming cinereous especially within. Gills adnexed,
often in pairs, thin, crowded, fragile, white then yellowish.
Taste mild. Colors changeable according to a fixed rule, but not
variable. The gills are not ochraceous-pulverulent as in R. integra,
nor shining and pure yellow as in R. aurata, etc. Fries.
Spores yellow, 8.3µ Morgan.
New York, Peck, 23d Rep. Angora, West Philadelphia, Pa., 1897, in
mixed woods. August to October. McIlvaine.
Esculent and of good quality. Morgan.
Meals of it make one regret its scarcity.

R. basifurca´ta Pk.—forked near stem. Pileus 2–3 in. broad, firm,

convex, umbilicate, becoming somewhat funnel form, glabrous,
slightly viscid when moist, the thin pellicle scarcely separable except
on the margin, dingy-white, sometimes tinged with yellow or
reddish-yellow, the margin nearly even. Lamellæ rather close,
narrowed toward the base, adnate or slightly emarginate, many of
them forked near the base, a few short ones intermingled, white
becoming yellowish. Stem 8–12 lines long, 5–6 lines thick, firm,
solid, becoming spongy within, white.
Spores elliptical, pale yellow, uninucleate or shining, 9×6.5µ. Flesh
white, taste mild, then bitterish.
Dry hard ground in paths and wood roads. Canoga, N.Y. July.
This species closely resembles pale forms of R. furcata, from which it
is separated by the absence of any silky micor and by the yellowish
color and elliptical shape of the spores and by the yellowish hue of
the lamellæ. Peck, 38th Rep. N.Y. State Bot.
Mt. Gretna, Pa., September, 1898, to frost. Gravelly ground. Solitary.
Gills adnate. Identified as his species by Professor Peck.
The slight bitterish taste disappears in cooking. It is edible and of
fair quality.

R. aura´ta Fr.—aurum, gold. Pileus 2–3 in. broad, varying lemon-

yellow, orange and red, disk darker, fleshy, rigid, brittle however,
hemispherical then plane, disk not depressed, pellicle thin, adnate,
viscid in wet weather, margin even, and slightly striate only when
old, but sometimes wrinkled. Flesh lemon-yellow under the pellicle,
white below. Stem 2–3 in. long, solid, firm, but spongy within,
cylindrical, obsoletely striate, white or lemon-yellow. Gills rounded
free, connected by veins, broad, equal, shining, never pulverulent,
whitish inclining to light yellow, but vivid lemon-yellow at the edge.
Fries.
West Virginia, 1881–1885; Pennsylvania, 1887–1898. In woods
under pines. July to October. McIlvaine.
Pileus sometimes depressed in center, very viscid when wet.
A troop of this Russula upon brown wood mat is a pretty sight. Its
rich and brightly-colored cap attracts the eye from a distance. The
yellow edge of its gills is the distinctive mark of the species.
The smell is pleasant, the taste slightly of cherry bark.
Cooked it is one of the best Russulæ.

R. atropurpu´rea Pk.—atre, black; purpureus, purple. Dark purple

Russula. Pileus 3–4 in. broad, at first convex, then centrally
depressed, glabrous, dark purple, blackish in the center, the margin
even or slightly striate. Flesh white, grayish or grayish-purple under
the separable pellicle, taste mild, odor of the drying plant fetid, very
unpleasant. Lamellæ nearly equal, subdistant, sometimes forked
near the stem, at first white, then yellowish, becoming brownish
where bruised. Stem 2–3 in. long, 5–8 lines thick, equal, glabrous,
spongy within, white, brownish where bruised. Spores subglobose,
minutely rough, pale ochraceous with a salmon tint, 8–10µ.
Open woods. Gansevoort. July.
In color this species resembles R. variata, but in other respects it is
very different. It is very distinct in the peculiar color of its spores,
and in the brownish hue assumed by wounds. Peck, 41st Rep. N.Y.
State Bot.
West Philadelphia, Pa. July, 1897. Open woods. Solitary. Philadelphia
Myc. Center.
Many were eaten and enjoyed. Only fresh plants are acceptable, and
they should be cooked as soon as gathered. Even in wilting they
become unpleasant.

*** Gills and spores ochraceous.

R. aluta´cea Fr.—aluta, tanned leather. Pileus 2–4 in. broad,

commonly bright blood-color or red, even black-purple, but
becoming pale, especially at the disk, fleshy, bell-shaped then
convex, flattened and somewhat umbilicate, even, with a remarkably
sticky pellicle, margin thin, at length striate, tubercular. Flesh snow-
white. Stem 2 in. long, solid, stout, equal, even, white, most
frequently variegated-reddish, even purple. Gills at first free, thick,
very broad, connected by veins, all equal, somewhat distant, at first
pallid light yellow, then bright ochraceous, not pulverulent.
It is distinguished from R. integra by its gills not being pulverulent.
Fries.
Spores yellow 7–9µ Massee; 11–14×8–10µ Sacc., Syll.
July to frost. McIlvaine.
R. alutacea is easily recognized among Russulæ by its mild taste and
broad yellow gills. In young specimens one sometimes has to look at
the gills at an angle to detect the yellow. It is quite common but a
solitary grower. It is everywhere eaten as a favorite. Only fresh
plants yield a good flavor. When the stem is soft, it should be thrown
away.

R. puella´ris Fr. (Plate XLIV, fig. 7, p. 184.) Mild. Pileus 1–1½ in.
across, flesh almost membranaceous except the disk; conico-convex
then expanded, at first rather gibbous, then slightly depressed,
scarcely viscid, color peculiar, purplish-livid then yellowish, disk
always darker and brownish; tuberculosely striate, often to the
middle. Gills adnate but very much narrowed behind, thin, crowded,
white then pale-yellow, not shining nor powdered with the spores.
Stem 1–1½ in. long, 2–4 lines thick, equal, soft, fragile, wrinkled
under a lens, white or yellowish; stuffed, soon hollow; taste mild.
Spores subglobose, pale-yellow, echinulate, 10×8–9µ Massee.
In woods.
Among the most frequent and readily recognized of species,
occurring in troops. Always small, thin, taste mild. Allied to R. nitida,
but more slender; color paler, and not shining. Fries.
Distinguished from R. nitida and R. nauseosa by the absence of
smell. Massee.
Var. inten´sior Cke. Nearly the same size as the typical form; pileus
deep purple, nearly black at the disk.
The stem has a tendency to become thickened at the base, and
turns yellowish when touched.
Var. rose´ipes Sec., given by Massee, has been retained as a distinct
species by Professor Peck, Rep. 51, and is described in place. R.
pusilla Pk., 50th Rep., is closely allied to it.
West Virginia, Pennsylvania, New Jersey, North Carolina. Common in
woods and under trees in short grass. July to September. McIlvaine.
This little Russula is ubiquitous. It does not amount to much when
other fungi are plenty, because of its very thin cap, but it thrives in
all sorts of summer weather. When its companions are scarce or
parched R. puellaris is gladly gathered by the mycophagist, its
numbers making up for its lightness and lack of flavor.

R. pusil´la Pk.—little. Pileus very thin, nearly plane or slightly and

umbilicately depressed in the center, glabrous, slightly striate on the
margin, red, sometimes a little darker in the center, the thin pellicle
separable. Flesh white, taste mild. Lamellæ broad for the size of
the plant, subventricose, subdistant, adnate or slightly rounded
behind, white, becoming yellowish-ochraceous in drying. Stem
short, soft, solid or spongy within, white.
Spores faintly tinged with yellow, 7.6µ broad.
Pileus scarcely 1 in. broad. Stem 6–12 lines long, 2–3 lines thick.
Bare ground in thin woods. Port Jefferson. July.
The coloring matter of the pileus may be rubbed upon paper and
produce on it red stains if the surface is previously moistened with
water or dilute alcohol. This is one of the smallest Russulas known to
me. The pileus was less than an inch broad and the stem less than
an inch long in all the specimens seen by me. The species is closely
allied to R. puellaris, and especially resembles the variety intensior in
color. It differs in its smaller size, even or but slightly striate margin,
broad lamellæ and in the stem or flesh not becoming yellowish
spotted where touched. Peck, 50th Rep. N.Y. State Bot.
West Virginia, 1881–1885. Pennsylvania, 1896–1897. July to
September. McIlvaine.
It makes up in quality what it lacks in quantity.

R. rose´ipes (Secr.) Bres.—rosa, a rose; pes, a foot. (Plate XLIV,

fig. 5, p. 184.) Pileus 1–2 in. broad, convex becoming nearly plane
or slightly depressed, at first viscid, soon dry, becoming slightly
striate on the thin margin, rosy-red variously modified by pink
orange or ochraceous hues, sometimes becoming paler with age,
taste mild. Gills moderately close, nearly entire, rounded behind and
slightly adnexed, ventricose, whitish becoming yellow. Stem 1½-3
in. long, 3–4 lines thick, slightly tapering upward, stuffed or
somewhat cavernous, white tinged with red.
Spores yellow, globose or subglobose.
The plants grow in woods of pine and hemlock and have been
collected in July and August. The flesh is tender and agreeable in
flavor. Peck, 51st Rep. N.Y. State Bot.
Spores globose, minutely echinulate, pale ochraceous, 8–10µ
diameter Massee.
R. roseipes is common in West Virginia under hemlocks and spruces.
At Mt. Gretna, Pa., it grew sparingly under pines. It is excellent.

R. Ma´riæ Pk. Pileus fleshy, convex, subumbilicate, at length

expanded and centrally depressed, minutely pulverulent, bright pink-
red (crimson lake), the disk a little darker, margin even. Lamellæ
rather close, reaching the stem, some of them forked, venose-
connected, white, then yellowish. Stem equal, solid, colored like the
pileus except the extremities which are usually white. Spores
globose, nearly smooth, 7.6µ in diameter; flesh of the pileus white,
red under the cuticle, taste mild.
Plant 2 in. high. Pileus 1.5–2 in. broad. Stem 3–6 lines thick. Dry
ground in woods. Catskill mountains. July.
The minute colored granules, which give the pileus a soft pruinose
appearance, are easily rubbed off on paper, and water put upon the
fresh specimens is colored by them. Peck, 24th Rep. N.Y. State Bot.
New York, Peck, 24th and 50th Rep.; West Virginia, 1882–1885; Mt.
Gretna, Pa., solitary in mixed woods. July to September. 1897–1898.
McIlvaine.
It is on a par with most Russulæ.

R. ochra´cea Fr.—ochra, a yellow earth. Mild. Pileus about 3 in.

across. Flesh rather thick at the center, becoming thin toward the
margin, pale ochraceous, soft; convex then expanded and
depressed, margin coarsely striate, pellicle thin, viscid, ochraceous
with a tinge of yellow, disk usually becoming darker. Gills slightly
adnexed, broad, scarcely crowded, ochraceous. Stem about 1½ in.
long, 5–7 lines thick, slightly wrinkled longitudinally, ochraceous,
stuffed, soft.
Spores globose, echinulate, ochraceous, 10–12µ diameter.
In pine and mixed woods.
The mild taste and ochraceous color of every part, including the
flesh, separate the present from every other species.
Commonly confounded with Russula fellea, but known at once by its
mild taste. Agreeing most nearly with R. lutea in color, but differing
in the softer flesh, which becomes ochraceous upward; sulcate
margin of the pileus, and broader, less crowded gills. Pileus
persistently ochraceous, disk usually darker. Stem sometimes
yellow, sometimes white. Fries.
North Carolina, borders of woods, Curtis; California, Harkness and
Moore.
Fries says that the flavor is mild, but Roze places it in the list of
suspected species, although he notes it as not acrid; it may be
inferred that he considers the flavor unpleasant. Macadam.
“Like chicken,” not common. Boston Myc. Club Bull. 1896.

R. lu´tea (Huds.) Fr.—luteus, yellow. Pileus 1–2 in. broad, yellow,

at length becoming pale, and occasionally wholly white, thinly fleshy,
soon convexo-plane or plano-depressed, sticky when moist, even or
when old obsoletely striate at the margin. Flesh white. Stem ½ in.
long, 3–4 lines thick, stuffed then hollow, soft, fragile, equal, even,
white, never reddish. Gills somewhat free, connected by veins,
crowded, narrow, all equal, ochraceous-egg-yellow.
Always small, very regular, taste mild. When young the pileus is
always of a beautiful yellow. Fries.
Spores yellow, echinulate, 8µ W.G.S.; globose, rough, 6–7µ C.B.P.;
8–10×7–8µ Massee.
Allied to R. vitellina, but differs in having the margin of the cap even,
and but little odor.
The plant I have so referred has the gills at first white and the stem
yellow like the pileus; it may be a new species. In beech woods,
Morgan; West Virginia, Pennsylvania, New Jersey, in mixed woods,
often under beeches, August to November, McIlvaine.
The plants I have found have white gills when young (few species
have not), but rapidly become yellow. The stem is usually white
when young, and sometimes remains so, but often becomes more or
less yellow.
It is a pretty species. The flavor is not as strong as in some species,
but is delicate.

R. nauseo´sa Fr. Pileus variable in color, typically purplish at the

disk, then livid, but becoming pale and often whitish, laxly fleshy,
thin, at first plano-gibbous, then depressed, viscid in wet weather,
furrowed and somewhat tubercular at the somewhat
membranaceous margin. Flesh soft, white. Stem short, about 1 in.
long, 4 lines thick, spongy-stuffed, slightly striate, white. Gills
adnexed, ventricose, somewhat distant, here and there with a few
shorter ones intermixed, light yellow then dingy ochraceous.
The taste is mild, but also nauseous, as the odor often is. The habit
is that of R. nitida, of the same color of pileus, but differing in the
color of the gills. Fries.
Cap about 2 in. across. Stem 1–2 in. long, ¼-½ in. thick.
Spores dingy yellow, 8–9µ diameter. Massee.
North Carolina and Pennsylvania, Schweinitz; West Virginia,
Pennsylvania, New Jersey, in pine and mixed woods. August to
October. McIlvaine.
The odor and taste of R. nauseosa are misnamed, therefore the
plant. They are heavy at times, when the plant is wet or old, as is
the case with R. fœtens, but they are always of cherry bark. Both
odor and taste disappear in cooking. The species is as good as any
Russula of its texture.
R. vitelli´na Fr.—vitellus, yolk of egg. Pileus 1 in. broad, uni-
colorous, light yellow then wholly pallid, somewhat membranaceous,
at length tuberculoso-striate, somewhat dry, disk very small, slightly
fleshy. Stem thin, scarcely exceeding 1 in. long, 2 lines thick, equal.
Gills separating-free, equal, distant, rather thick, connected by
veins, saffron-yellow.
Pretty, very fragile, strong-smelling, mild. Fries.
Spores 7–8µ diameter Massee.
West Virginia, New Jersey, Pennsylvania, August to October. In pine
and mixed woods, July to October. Not common in number.
This pretty species has a cherry-bark taste and smell like R. fœtens,
though not so offensively heavy. It is not poisonous. A small piece of
it will affect a whole dish of other Russulæ.

R. chamæleonti´na Fr.—changing color like a chamæleon. Pileus

1–2 in. broad, thinly fleshy, soon flattened, sometimes oblique with a
thin, separable, viscid pellicle, which is at first flesh-color, then
presently changing color, becoming yellow at the disk and at length
wholly yellow, margin even, then slightly striate. Stem as much as 3
in. long, but thin, somewhat hollow, slightly striate, white. Gills
more or less adnexed, thin, crowded, equal, narrow, somewhat
forked, light-yellow-ochraceous.
Mild, inodorous, very fragile. Pileus rosy blood-red, purplish lilac,
etc. Sometimes even at the first yellowish at the disk. Fries.
Spores globose, ochraceous, 7–8µ diameter Massee.
In pine and in mixed woods. August to October. McIlvaine.
The change in color of the cap which gives name to this species is
not remarkable. Most species of Russulæ are sensitive to light. An
otherwise highly colored cap will be almost white when a leaf
adheres to it. If in youth it grows under dense shade it will be very
much lighter than if where light is generous, and will remain so. If in
growing it thrusts itself out of shadow, its color will change and it
will deepen. The apparent rarity of R. chamæleontina I think due to
the close observation necessary to detect its changes in color, which,
as I have found it, are by no means constant. It is quite plentiful in
the pines of southern New Jersey, and at Mt. Gretna, Pa., it is
frequently found.
It is a good esculent species.

CANTHAREL´LUS Adans.

Gr—a vase, a cup.

Hymenophore continuous with the stem, descending unchanged into

the trama. Gills thick, fleshy, waxy, fold-like, somewhat branched,
obtuse at the edge. Spores white. Fleshy, putrescent fungi, without
a veil. Fries.
In Cantharellus the gills—vein-like and
generally thick with an obtuse edge—are
entirely different from those of all the
preceding genera. In those they are thin,
and distinct from the pileus and from each
other. In Hygrophorus the gills are
frequently thick, but the edge is always
Cantharellus Cibarius. sharp. The species of Craterellus are funnel-
shaped, resembling some of those in
Cantharellus, but are distinguished by their
lack of evident gills.
Monograph New York Species of Cantharellus, Peck, Bull. 1887.
The members of this genus are few, but they are choice. Of them is
the Cantharellus cibarius, of which Trattinik quaintly says: “Not only
this same fungus never did any one harm, but might even restore
the dead.”
The writer first made its acquaintance when among the West
Virginia mountains in 1881. The golden patches of single and
clustered cibarius, fragrant as ripened apricots, tufting the short
grass or mossy ground under beeches, oaks and like-growing trees,
through which the sunlight filtered generously, were so tempting,
that he determined there must be luxury, even in death, from such
toadstools.
Experiments made by the writer in West Virginia where the species
grows luxuriantly and is of much higher flavor than any he has found
elsewhere, prove that it is easy to transplant within congenial
habitats, either by the mycelium or spores. Nature, there, resorts to
washing masses of leaves containing the propagating parts of the
fungus along the depressions of the water-sheds, and it is found
growing plentifully where the wind has drifted forest leaves against
trees, brush, and fence-corners.
Grouped by F.D. Briscoe—Studies by C. McIlvaine.
Plate XLVI.

Fig. Page. Fig. Page.

1. Cantharellus floccosus, 218 4. Cantharellus cibarius, 215
2. Morchella esculenta, 542 5. Cantharellus brevipes, 219
3. Craterellus cantharellus, 508

Other species of the genus do not, as a rule, grow so plentifully,

neither are they of equal excellence, but several of them are equal
to any other species. Suspicion has been thrown upon C.
aurantiacus. There is such a marked difference between the
excellence of the genus in West Virginia and other localities, that it is
possible C. aurantiacus may be noxious elsewhere, but the writer
has not found it so; and it would be an astonishing contradiction of
Nature’s ways if it was.
Stevenson says: “It (C. cibarius) must have four hours slow cooking.”
The writer has found thirty minutes to be sufficient; and it will fry in
butter as quickly as any other fungus.

ANALYSIS OF TRIBES.

Mesopus (mesos, middle; pous, a foot). Page 215.

Stem central.

* Stem solid.
** Stem tubular.

Pleuropus (pleura, the side; pous, a foot).

Stem lateral.

Resupinatus (resupinatus, lying on the back).

Stem absent.

All the species known to be edible belong to Mesopus.

Me´sopus.

* Stem solid.

C. ciba´rius Fr.—cibaria, food. (Plate XLVI, fig. 4, p. 214. Plate

XLVII.) Pileus fleshy, obconic, smooth, egg-yellow, slightly
depressed. Gills thick, distant, more or less branching and
anastomosing, concolorous. Stem firm, solid, often tapering
downward, concolorous. Flesh white.
Height 2–4 in., breadth of pileus 2–3 in. Stem 3–6 lines thick.
In open woods and grassy places. Common. July and August.
Edible. The smell of apricots is not always clearly perceptible in
American specimens. Peck, Monograph New York Species of
Cantharellus, Rep. 23.
Spores 6×8µ W.G.S.; 7.6×5µ Morgan; spheroid-ellipsoid, 8–9×5–6µ
K.; 11µ Q.
Reported from the Atlantic to the Pacific and from Columbia river to
Louisiana. June to September.
Wherever grown C. cibarius is one of the best. In European
countries it is highly rated, and is expensive. Its mode of growth
varies with its plentifulness. In the West Virginia mountains large
patches of it closely cover the ground. Clusters weighing ½ pound
are frequent.
(Plate XLVII.) When shredded, or cut across the fibers, slow
cooking for half an hour is sufficient, if the
plants are fresh. If gathered for some hours,
they should be soaked for a time.

C. mi´nor Pk. Pileus fleshy, thin, convex

then expanded and depressed, egg-yellow.
Gills very narrow, distant, sparingly
branched, yellowish. Stem slender,
subflexuous, equal, smooth, hollow or stuffed,
concolorous.
Cantharellus cibarius. Height 1–2 in., breadth of pileus 6–12 lines.
In open woods. July. Peck, 23d Rep. N.Y.
State Bot.
Spores 6.4–7.6×4–5µ Peck.
West Virginia, New York, Pennsylvania. McIlvaine.
Grows in the West Virginia mountains, along with C. cibarius, and
separate from it. It is more tender than C. cibarius, and not equal in
flavor to those found there. I usually cooked them together and thus
got quantity well flavored.

C. auranti´acus Fr.—orange-yellow. (Plate CXXXVI, fig. 4, p. 508.)

Pileus fleshy, obconic, nearly plane above, smooth or minutely
tomentose, dull orange with the disk usually brownish, the margin
decurved and sometimes yellowish. Gills narrow, close, repeatedly
forked, orange, sometimes yellowish. Stem inequal, generally
tapering upward, colored like the pileus. Flesh yellowish, taste mild.
Height 2–3 in., breadth of Pileus 1–3 in. Stem 2–4 lines thick.
Ground and very rotten logs in woods or in fields. Common. Peck,
23d Rep. N.Y. State Bot.
Spores 6.4–7.6×4–5µ Peck, 10×5µ Massee.
Var. pallidus Pk. Pileus and gills pale yellow or whitish yellow.
Stevenson says of the English species, “Unpleasant, reckoned
poisonous.” The writer’s acquaintance with C. aurantiacus has been
principally confined to West Virginia. There its taste is mild, scent
but little, flavor not distinguishable from eastern C. Cibarius. There it
is perfectly safe and wholesome; neither have the writer and his
friends any reason for condemning it.

C. umbona´tus Fr.—having an umbo. Pileus 1 in. and more broad,

ashy-blackish, slightly fleshy, convex when young, umbonate, at
length depressed, even, dry, flocculoso-silky on the surface, shining
brightly especially under a lens. Flesh soft, white, often becoming
red when wounded. Stem 3 in. long, about 4 lines thick, stuffed,
equal, elastic, villous at the base, ash-colored, but paler than the
pileus. Gills decurrent, thin, tense and straight, crowded, repeatedly
divided by pairs, shining-white.
Odor and taste scarcely notable. Gregarious. Among the taller
mosses the stem is longer. Often overlooked from its habit being
that of an agaric. It varies with the pileus squamulose and blackish.
In woods. April to August. Fries.
The rather prominent gills of this small species are likely to confuse
those not familiar with its variance from the genuine type. Reddish
tinge to flesh not noticed in the American species. The writer has
gathered it in several states and enjoyed it for many years.
C. rosel´lus Pk.—rosy. Pileus thin, funnel-
(Plate XLVIII.) shaped, regular, glabrous, pale pinkish-red.
Flesh white. Gills narrow, close,
dichotomous, deeply decurrent, whitish,
tinged with pink. Stem equal, slender, solid,
subglabrous, often flexuous, colored like the
pileus. Spores minute, broadly elliptical,
3.5×2.5µ.
Pileus 4–8 lines broad. Stem about 1 in.
long, scarcely 1 line thick.
Mossy ground in groves of balsam. North
Elba. September. This small species belongs
Cantharellus rosellus.
Natural size.
to the section Agaricoides, and is apparently
closely allied to C. albidus, from which its
smaller size and different color distinguish it.
The pileus is sometimes deeply umbilicate. Peck, 42d Rep. N.Y. State
Bot.
Frequent in pine woods of New Jersey, near Haddonfield, where the
plant is sturdier than described. Though small it grows gregarious
and in troops from which appetizing quantities can be gathered.
It makes a pretty dish of pinkish hue and one of rare excellence.

C. lutes´cens Bull.—yellowish. (Plate CXXXVI, fig. 9, p. 508.)

Pileus thin, fleshy, convex, umbilicate, brownish-floccose, yellowish.
Gills very distant, sparingly branched, arcuate-decurrent, pale
ochraceous. Stem slender, slightly tapering downward, smooth,
shining, bright orange-tinted yellow, stuffed or hollow.
Height 2–3 in., breadth of Pileus 8–15 lines.
Mossy ground in woods. Catskill and Adirondack mountains, also
Sandlake. August to October.
This is regarded by some as a variety of A. tubæformis. Peck, 23d
Rep. N.Y. State Bot.
In mixed and scrub-pine woods near Haddonfield, N.J.; mixed woods
Angora and Kingsessing, Philadelphia.
Perhaps constancy to C. cibarius has influenced the writer in favor of
members of its family, and accounts for the gusto in “Fine” set
opposite his notes to the present species. Nevertheless such is his
opinion.

** Stem tubular.

C. flocco´sus Schw.—woolly. (Plate XLVI, fig. 1, p. 214.) Pileus

fleshy, elongated funnel-form or trumpet shape, floccose-squamose,
ochraceous-yellow. Gills vein-like, close, much anastomosing above,
long decurrent and subparallel below, concolorous. Stem very short,
thick, rarely deeply rooting.
Height 2–4 in., breadth of Pileus at the top 1–3 in.
Woods and their borders. Not rare. Utica, Johnson. Albany and
Sandlake. July and August. Peck, 23d Rep. N.Y. State Bot.
Spores 12.5–15×7.6µ Peck.
New York, Peck, Rep. 23; Maine, Mrs. Stella F. Fairbanks; West
Virginia, McIlvaine.
A beautiful species of good quality.
C. bre´vipes Pk.—brevis, short; pes, a
foot. (Plate XLVI, fig. 5, p. 214.) Pileus (Plate XLIX.)
fleshy, obconic, glabrous, alutaceous or
dingy cream-color, the thin margin erect,
often irregular and lobed, tinged with lilac in
the young plant; folds numerous, nearly
straight on the margin, abundantly
anastomosing below, pale umber tinged
with lilac. Stem short, tomentose-
pubescent, ash-colored, solid, often tapering
downward. Spores yellowish, oblong-
elliptical, uninucleate, 10–12µ×5µ.
Plant 3–4 in. high. Pileus 2–3 in. broad.
Stem 4–6 lines thick. Cantharellus brevipes.
Small plant, two-thirds
Woods. Ballston, Saratoga county. July. natural size.
This interesting species is related to the C.
floccosus, both by its short stem and its abundantly anastomosing
folds. The two species should be separated from the others and
constitute a distinct section. The flesh in C. brevipes is soft and
whitish, and the folds are generally thinner than in C. floccosus.
Peck, 23d Rep. N.Y. State Bot.
Plentiful in West Virginia mountains in 1884, growing in patches.
Found in mixed woods near Cheltenham, Pa., and at Springton, Pa.,
1887.
In West Virginia it is prolific and rivals the C. cibarius in excellence.
The flesh is softer, not so fibrous, and cooks more readily.
In that locality there is a marked difference between C. brevipes and
C. floccosus. The latter is much longer, and markedly resembles the
large end of a gold lined cornet. Like the C. cibarius it is not of as
good quality in eastern states.
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