TOPIC 20: AUXILIARY AND MODAL

AUXILIARY VERBS. FORMS AND FUNCTIONS.

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 TOPIC 20: AUXILIARY AND MODAL AUXILIARY

VERBS. FORMS AND FUNCTIONS.

0. INTRODUCTION

1. AUXILIARIES

2. DEFINING CRITERIA

2.1 Primary auxiliaries:

 do, be, have

2.2 Modal auxiliaries:

 CAN/COULD
 MAY/MIGHT
 SHALL/SHOULD
 WILL/WOULD
 MUST

3. THE MEANINGS OF MODAL AUXILIARIES

4. MARGINAL AUXILIARIES

5. CONCLUSION AND TEACHING IMPLICATIONS

6. . BIBLIOGRAPHY AND WEBLIOGRAPHY

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0. INTRODUCTION

Auxiliary verbs are, as their name suggests, ‘helping verbs’. They do not make up a
verb phrase on their own, but must usually be accompanied by a following main verb.
Auxiliary verbs are a small class of words, made up of primary auxiliaries like be and
modal auxiliaries like can.

 Auxiliary verbs. Primary auxiliary verbs are do, have, and be.

- Do helps to form the do- construction: She didn’t write many letters.

- Have helps to form the perfective aspect: She has written only one letter.

- Be helps to form the progressive aspect, as in "She is writing a long letter", and the
passive, as in "The letters were written in two hours".

The modal auxiliaries help to express a variety of meanings, for example future time
and ability, as in:

The letter will reach you tomorrow.

She cannot spell very well.

1. AUXILIARIES

The auxiliary verbs stand apart from the other verbs of the language in one striking
way- their occurrence in the four syntactic structures that we shall call negation,
inversion, code (or pro-form) and emphatic affirmation. These we shall speak of as
‘tests’ of being an auxiliary, but they are not the only defining criteria.

THE FORMS
There are eleven auxiliaries, with twenty-eight forms in all:

FINITE NON FINITE

BE is, are, am, was, were be, being, been

HAVE has, have had have having

DO do, does, did

WILL will, would

SHALL shall, should

CAN can, could

MAY may, might

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MUST must

OUGHT ought

DARE dare

NEED need

Do, will, shall, can, may, must, ought, dare and need are defective form, because they
lack non finite forms.

Only the first three, BE, HAVE and DO, have -s forms. The remainder are all modals;
the absence of an -s form is thus, morphologically, a distinguishing mark of a modal.

Only the first two, BE and HAVE, have non- finite forms. In particular they alone have
infinitives. Even in a modern grammar there is reference to the auxiliary verb ‘to do’ ;
yet the auxiliary verb has no infinitive form (in spite of does go there is no *to do go).

2. DEFINING CRITERIA FOR AUXILIARIES

1.NEGATION

The first test of an auxiliary is whether it is used in negation, that is

to say, whether it occurs with the negative particle not, or more
strictly, whether it has a negative form. Examples of sentences with
auxiliaries used for negation are:

l don’t like it. We aren’t coming.

You can’t do that. He mustn’t ask them.

2. INVERSION

The second test of an auxiliary is whether it can come before the subject in certain types
of sentence, the order being auxiliary, subject and full verb. The most common type of
sentence of this kind is the interrogative. For example:

Is the boy coming? Will they be there?

Have you seen them yet? Ought we to ask them?

In these the auxiliary comes first, before the subject. The verb phrase is discontinuous,
divided by a noun phrase, the subject of the clause. The examples given are all
questions, but the test of an auxiliary is not in terms of question. For in the first place, a
question may be asked without the use of inversion at all, but merely by using the

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appropriate intonation, commonly (though not necessarily) a rising intonation: He’s
coming? They’ll be there?

Secondly, inversion is found in sentences that are not questions, especially with seldom,
hardly, scarcely, never and nowhere, and in certain types of conditional sentence:

Seldom had they seen such a sight.

Hardly had I left the room, when they began talking about me.

Had l known he was coming, I’d have waited.

3. PRO-FORM

The third characteristic of an auxiliary is its use J. R. Firth called ‘code’. There are
sentences in English in which a full verb is later ‘picked up’ by an auxiliary. The
position is very similar to that of a noun being ‘picked up’ by a pronoun. There are
several kinds of sentence in which this feature is found. A type that illustrates it most
clearly is one that contains .... and so.

I can come and so can John. We must go and so must you.

l like it and so do they. We saw them and so did he.

In all of them the only verbal form after... and so is an auxiliary. Where the first part
contains an auxiliary, it is the auxiliary alone that recurs. Where the first part contains
no auxiliary, once again one of the forms of Do is used.

There are other types of sentence in which the auxiliary is used in this way. A common
use is in question and answer:

Can I come'? You Can.

You saw them? l did

It is possible to invent quite a long conversation using only auxiliary verbs. lf the initial
sentence, which contains the main verb, is not heard, all the remainder is unintelligible;
it is, in fact, truly in code. The following example is from Firth:

Do you think he will?

I don’t know. He might.

I suppose he ought to, but perhaps he feels he can' t.

Well, his brothers have. They perhaps think he needn’t.

Perhaps eventually he may. I think he should, and! very much hope he will.

The ‘key to the code’ is join the army.

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4. EMPHATIC AFFIRMATION

Finally, a characteristic of the auxiliaries is their use in emphatic affirmation with the
accent upon the auxiliary. They are used as emphatic affirmation of a doubtful
statement, or as the denial of the negative . In such contexts we should find:

You must see him. I can do it.

We will come. He has finished it.

Once again forms of DO occur. Often these forms would have occurred in the previous
utterance which would be a question or a negation, l do like it being the emphatic
affirmative reply to either Do you like it? or You don’t like it. But this is not necessarily
so; the previous sentence might have been You like it? or Perhaps you like it?

2.a Primary auxiliaries

1. DO as an Auxiliary
We must now collate the uses of DO. It is a special type of auxiliary, in that it is used
only under those conditions where an auxiliary is obligatory. It occurs only, that is to
say, with negation or inversion or as a pro-form or for emphatic affirmation. It is thus
the ‘neutral’ or ‘empty’ auxiliary used only where the grammatical rules of English
require an auxiliary (dummy 'do') :

l don ’t like it. I like it and so does Bill.

Do like it? I do like it.

What does not occur is DO in a sentence such as: * I do like it. (with do unstressed)

Equally DO does not occur where there is already another auxiliary (which is thus
available for negation, etc); *He doesn't can go. *He does be coming.

The only exception is in the imperative where it may occur with BE: Do be reading
when I arrive.

DO-periphrasis is required in the following cases:

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1. In sentences negated by not where the verb is imperative, simple present, or simple
past: Don’t study mathematics today. He doesn't like mathematics He didn’t like
mathematics.

However, there is no DO-periphrasis in non-finite verb phrases:

Not liking *Doing not liking mathematics, he gave it up

Not to go *To do not go would be shameful

2. In questions involving inversion where the verb is in the simple present or past tense:
Did he stay long'? What did he say?

There is no DO- periphrasis:

2.a In positive wh- questions beginning with the

subject:

What happened? Who came first?

2.b in yes- no questions without inversion: He said that?

3. In tag questions and substitute clauses where the verb is simple present or past tense:
He knows how to drive a car, doesn't he?

4. In emphatic or persuasive constructions where the verb is simple present, simple past,
or imperative:

He did say he would be here at nine, didn’t he?

Do sit down!

5. In sentences with inversion caused by certain introductory words such as the negative
adverbs never, hardly, etc when the verb is in the simple present or past tense: Never did
he think that the book would be finished.

2. Have as an Auxiliary
It is found in:

 Negation: He hasn’t any money.

 Affirmation: Have you a light?
 As a pro-form: I have it

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  Emphatic affirmation: He has a lot of money and so has she.

The aspect auxiliary HAVE combines with past participles to form perfective complex
verb phrases, for example, the present perfect: the past perfect, future perfect, etc: I
have already had breakfast. He had left when I arrived

It is also used as an auxiliary verb in the following cases:

a. Obligation or compulsion: You have to be back at ten o’clock.

b. Logical necessity: There has to be a reason for her behaviour

3. Be as an Auxiliary Verb
Be is unique among English verbs in having eight different forms: Be, am, is, are, was,
were, being, been.

It occurs in negation, inversion, as a pro-form and in emphatic affirmation:

She isn’t happy Is he rich

I’m afraid and so she is She is happy

The auxiliary BE has mainly two functions:

1. as ASPECT AUXILIARY: He is looking out of the window

2. as PASSIVE AUXILIARY: The tiger was killed by the hunter

Other functions are:

3. It is also used to express immediate future in two constructions:

a. In the verbal form be going to + infinitive: We care going to sell my car

b. In the periphrasis be about to + infinitive: He is about to find the letter

4. The construction am/is/are + infinitive expressing:

- Ordering or commanding: He is to return to Germany

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- A future happening already determined: They are to be married soon

- Duty and/or responsibility: At what time am I to come back?

5. The construction was/were to + infinitive:

A plan or programme: The meeting was to take place at noon.

A future-in-the-past: A year later he was to be the president.

An unreal condition: If I were to make the decision, I’d dismiss him.

2.b Modal Auxiliaries

The four criteria we have used to define auxiliaries are inversion, negation, emphatic
and the use of pro-forms. However, modal auxiliaries, as
distinct from primary auxiliaries have some morphological and
syntactic characteristics:

a. Modal Auxiliaries are all followed by the bare infinitive,

except with ought and used:

You ought to comb your hair sometime.

He used to read for hours on end.

b. Modal auxiliaries can only occur as the first (finite) element

of the verb phrase but not in non-finite functions, i.e. as infinitives or participles. They
cannot, therefore, combine with each other: *is maying, *will can.

c. Modal auxiliaries are not inflected in the 3rd person singular of the present tense:

You/He may write You like/ He likes to write

d. Both the present and past forms of the modal auxiliaries can be used in the present
tense sequence:

I think he may/might stay now

I think he has to/ *had to stay now

3. THE MEANING OF THE MODAL AUXILIARIES

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So far the modal auxiliaries have been considered only in respect of their syntactic and
morphological properties. We will now make a schematic survey of their chief
meanings.

CAN/COULD

CAN

(1) Ability He can speak English but he can’t write it very well

= be able to He is able to speak English

= be capable of He is capable of speaking English

= know how to He knows how to speak English

(2) Permission Can/may I smoke in here?

=be allowed to Am I allowed to smoke in here?

= be permitted to Am I permitted to smoke in here?

(Can is less formal than may in this sense)

(3) Possibility Anybody can make mistakes

= it is possible that/to The road can be blocked (It’s possible to block the road)

(theoretical possibility; The road may be blocked (‘It is possible that the road is blocked)

may = factual possibility)

COULD

(l) Ability I never could play the banjo

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(2) Permission Could I smoke in here'?

(3) Possibility (theoretical That could be my train or factual, c.f.: might) The road could
be blocked

MAY/MIGHT

MAY

(1) Permission You may borrow my car if you like

= be allowed to

= be permitted to You are not allowed to/ mustn’t borrow my car

In this sense may is more formal than can.

Instead of may not or rare mayn’t, mustn't is often used in the negative to express
prohibition.

(2) Possibility He may never succeed

= it is possible that/to (It is possible that he will never succeed)

May = factual possibility

(c.f.: can = theoretical possibility)

MIGHT

(1) Permission Might I smoke in here?

(2) Possibility What you say might be true

Note

(a] May (= ‘possibility’) is replaced by can in questions, and normally also in negative
sentences.

SHALL/SHOULD

SHALL (volitional use)

(1) Willingness on the part of the speaker in 2nd and 3rd person (‘weak volition’).
Restricted use.

You shall do exactly as you wish

He shall get his money

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 (2) Intention on the part of the speaker, only in 1st person (‘intermediate volition’).
Especially BrE.

We shall let you know our decision

We shall overcome

I shan’t be long

(3) a. Insistence (strong volition). Restricted use.

You shall do as I say

He shall be punished

b. Legal and quasi-legal

The vendor shall maintain the equipment in good repair

Of these three meanings it is only the one of intention (‘intermediate volition’)that is

widely used today. Shall is, on the whole and especially outside Br.E., an infrequent
auxiliary with restricted use compared with should, will and would. It is only in the first
person singular of questions that it cannot be replaced by will:

Shall/*Will I come at once?

In the first person plural, e.g. What shall/ will we drink?

Shall asks for instructions, and will is non-volitional future (especially in AmE). Will I/
we has become increasingly common not only in contexts of non-volitional futurity
(Will I see you later?), but also in sentences expressing helplessness, perplexity, etc:
What will l do? Which will I take? How will I get there?

This usage is predominantly AmE but examples may be found in BrE too. A similar
meaning is also conveyed by BE GOING TO: What are we going
to do?

SHOULD

(1) Obligation and logical necessity (ought to): You should do

as he say. They should be home by now.

(2) "Putative" use after certain expressions, eg.: it is a pity that, I

am surprised that .... : It is odd that you should say this to me. I
am sorry that this should have happened.

(3) Hypothetical use (1st person only and especially BrE) in the
main clause with a conditional sub-clause (=would)

We would/ should love to go broad if we had a chance

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 (4) Tentative condition in conditional clauses: If you should change your mind,
please let us know

WILL/WOULD

WILL

(1) Willingness (‘weak volition’) unstressed, especially 2nd person. Downtoners like
please may be used to soften the tone in requests

He’ll help you if you ask him

Will you have another cup of coffee?

Will you (please, kindly, etc;) open the window?

(2) Intention (intermediate volition’). Usually contracted ’ll; mainly 1st person:

I’ll write as soon as I can

We won’t stay longer than two hours.

(3) Insistence (‘strong volition’= insist on).

He ‘will do it, whatever you say

(‘He insists on doing it.. .‘)

Stressed, hence no 'll contraction. An uncommon meaning. (Cf He ‘shall do it, whatever
you say= ‘I insist on his doing it')

(4) Prediction Of the similar meanings of other expressions for logical necessity and
habitual present. The contracted form ’ll is common

a)Specific prediction:

The game must/ will/ should be finished by now

(b) Timeless prediction:

Oil floats/ will float on water

(c) Habitual prediction:

He’ll (always) talk for hours if you give him the chance

WOULD

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(1) Willingness (weak volition) Would you excuse me?

(2) Insistence (‘strong volition’) It’s your own fault; you would take the baby with you

(3) Characteristic activity: Every morning he would go for a long walk (i.e. it was
customary)

John ‘would make a mess of it (informal= ‘it was typical’)

(4) Hypothetical meaning in main clauses: He would smoke too much if I didn’t stop

him.

(5) Probability: That would be his mother

MUST

(1) Obligation or compulsion in the present tense(= BE OBLIGED TO, HAVE TO);
except in reported speech used in the past in negative

You must be back by 10 o’clock

Yesterday you had to be back by 10 o’clock

Yesterday you said you must/ had to be backby 10

o’clock.

Only had to (not must) is used in the past. In negative

sentences needn’t, don’t have to, not be obliged to are
used (but not must not, mustn’t , which=not be allowed
to).

You don’t have to/ are not obliged to be back by 8

2) (Logical) necessity

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Must is not used in sentences with negative or interrogative meanings can being used
instead. Must can occur in superficially interrogative but answer assuming sentences

There must/ has to be a mistake but: There cannot be a mistake

Mustn’t there be another reason for his behaviour?

OUGHT TO

- Obligation and logical necessity: You ought to start at once. They ought to be here
by now.

4. MARGINAL MODAL AUXILIARIES (SEMI-

AUXILIARIES)

USED TO

A state or habit that existed in the past but has ceased (cf· would, and formerly or once
+ past)

He used to fish for hours

He was formerly/ He used to be/ He was once an excellent golfer

USED always takes the to- infinitives and occurs only in the past tense. It may take DO-
periphrasis.

DARE and NEED can be constructed either as modal auxiliaries (with the bare
infinitive and without any inflected -s form) or as lexical verbs (with the to-infinitive
and with the inflected -s forms)

The modal verb construction is restricted to non-assertive contexts, i.e.mainly negative

and interrogative sentences, whereas the lexical verb construction can always be used
and it is in fact the more common. DARE and NEED are rarer in AmE than in BrE.

He doesn't dare to go. You don ’t need to ask.

Do we dare to come? Do they need to look?

5. CONCLUSION AND TEACHING IMPLICATIONS

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The expression of ability, permission, possibility, willingness, intention, etc is
considered to be a central element in communicative competence and the acquisition of
a second language and subsequently, the development of the Linguistic Competence.
Pupils must have a good knowledge of the different ways to use modals and their
functions according to the syntactic-discursive structures in the blocks of contents
established by RD 1105 and Andalusian D111.

Some of the problems our students may face are the choice of the different modals and
semi-modals. There is also certain confusion in the use of auxiliary verbs and their use
in questions and negations. We should anticipate to this kind of problems and give them
the keys to overcome them. Our current methodology is intended to give a better
account of the relation between form and speech when communicating. Therefore, it is a
fact that students must develop their communicative competence. The use of modals
proves highly frequent in our everyday speech, and consequently, we must encourage
our students to have a good managing of it.

Within a communicative approach to the teaching-learning process of a FL, working

with modals will increase their motivation and improve the development of the skills,
including another transversal skill, “critical thinking”. It will be useful to acquire
vocabulary related to the different types of modals. They can be worked within the
speaking session deeply and throughout the unit in general. The use of role plays,
dialogues, theatrical sketches... can motivate them in this sense. Apart from
developing the student’s linguistic competence, we will be promoting other basic
competences as the social & civic or sense of initiative and entrepreneurship
competences. The mathematical reasoning is also fostered in the sense of finding
strategies to solve communication problems.

However, most of our students find grammar difficult, discouraging and boring. We
should try to change this by presenting them interactive, challenging and funny tasks
according to their level and motivation.

One example could be the elaboration of interactive

infographics using Canva. Students will design different poster
containing different coronavirus prevention rules that all of us
will follow in our classroom/centre. This way, digital
competence will be fostered at the same time that students put
into practice a variety of modals previously seen and learned in
class.

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Apart from different grammar books, students will be proposed a variety of di Webs and
Apps to widen their knowledge about modals while improving their digital skills, as
part of the Digital Transformation in Education (instructions of 31st of July 2020).

5. - BIBLIOGRAPHY AND WEBLIOGRAPHY

- Aarts Bas, Oxford modern English grammar, O.U.P., Oxford, 2011.

- Brown, H. D., Principles of Language Learning and Teaching, Longman, N.Y., 2000.

- Halliday, M.,An Introduction to Functional Grammar, Hodder Arnold, London,

2004.

- Huddleston, R. D. and Pullum, G. K., The Cambridge Grammar of the English

language. Cambridge University Press, Cambridge, 2002 .

- Jespersen, Otto, Essentials of English Grammar, Routledge ed., London, 1987.

- Leech, G. and Svartvik, J., A Communicative Grammar of English, Longman 2003.

- Quereda, L. A Morphosyntactic Study of the English Verb, Universidad de Granada,

1997.

- Quirk, R., A Comprehensive Grammar of the English Language, Longman, Harlow,

1985.

- Scrivener, J. Teaching English Grammar, Macmillan, 2010

- Swan, M., Practical English Usage, OUP, Oxford, 1997

- Zandvoort, RW. , A Handbook of English Grammar, Longman. London 1978

- http://english.lingolia.com/en/grammar: Online grammar

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