Topic 20: AUXILIARY AND MODAL VERBS: FORMS AND FUNCTIONS OPOS 2010

Andradas, Badia, Garcia, Herrera.

20. AUXILIARY AND MODAL VERBS: FORMS AND FUNCTIONS

OUTLINE

1. Introduction

2. General introduction to auxiliary verbs

2.1. A classification of auxiliary verbs

2.2. Modal vs. primary verbs: main differences.

3. Auxiliary verbs: forms and functions

3.1. Verb to be

3.2. Verb to do

3.3. Verb to have

4. Modal verbs: forms and functions

4.1. Can

4.2. Could

4.3. May

4.4. Might

4.5. Shall

4.6. Should

4.7. Will

4.8. Would

4.9. Must

4.10. Semi-modal verbs

5. Conclusion: appliance to the ESL classroom

6. Bibliography

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1. Introduction

This unit is primarily aimed to examine in English auxiliary and modal verbs in terms of form and
function, basically achieved by means of verbs and other specific structures. It is relevant to mention at
this point that the title of the unit may lead to a misunderstanding, since the category of auxiliary verbs
includes both primary auxiliary verbs and modal auxiliary verbs. Therefore, when talking about auxiliary
verbs both types of verbs will be taken into account.

2. General introduction to auxiliary verbs

The English verb system consists of two main different types of verbs: lexical verbs and auxiliary verbs
(Greenbaum and Quirk, 1973). Lexical verbs carry meaning and can stand on their own. They denote
actions, events, and states, and belong to an open class of words. On the other hand, primary auxiliary
verbs add extra information to the lexical verb and modal verbs express a modality from the speaker
and they are usually followed by a lexical verb.

2.1. A classification of auxiliary verbs

According to Quirk and Greenbaum (1990), there are not only the primary auxiliary verbs and modal
verbs, but there is also another subclassification which includes semi-auxiliaries, modal idioms and
catenative verbs, which are intermediate to auxiliaries and main verbs on expressing modal or aspectual
meaning.

The first subclassification, primary auxiliaries comprise the items, do, have and be, where do differs
from have and be in that it usually co-occurs with lexical verbs only. This means that verb phrases with
do contain only two verb forms, since verb forms cannot have more than one lexical verb (i.e. Do you
believe him?). Moreover, it is used as an auxiliary of periphrasis (i.e. Only then did he realize his position)
and of emphasis (i.e. I did lock the door.) On the other hand, have and be co-occur not only with lexical
verbs but also with modal auxiliaries, always following the latter. In addition, both function as auxiliaries
of aspect. (i.e. He must have been very proud of himself).

The second subclassification, modal verbs, comprises the following items: can, could, may, might, must,
shall, should and will. According to Thomson & Martinet (1986) there are some semi-modal verbs, such
as dare, need, ought (to) and used (to) which can be used both as auxiliaries and as lexical verbs.

Thirdly, semi-auxiliaries are said to be a set of verb idioms which are introduced by one of the primary
verbs have and be, according to Greenbaum and Quirk (1990). This type of verbs has nonfinite forms
(bare infinitive) and consequently can occur in combination with preceding auxiliaries or in sequences.
For instance, “be able to”, “be about to” or “be going to”.

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The fourth subclassification is modal idioms, which are a combination of auxiliary and infinitive or
adverb. Their main characteristic is that none of them have nonfinite forms and as a result, they are
always the first verb in the verb phrase, such as “had better” or “would rather”.

And finally, the catenative verbs, lie auxiliaries, have meanings similar to those for the aspectual and
modal auxiliaries. For instance, “appear to”, “seem to” and “happen to”. Moreover, some catenative
verbs are followed by the nonfinite forms –ing and –ed participles rather than by infinitives, for instance,
“start (working)” or “get (dresses)”.

Despite this classification, in the present unit only the primary auxiliary verbs and the modal verbs will
be analyzed, since they are the most important ones and those who seem to be more difficult to
understand for the students of English as a second language.

2.2. Modal vs. primary verbs: main differences.

The further distinction of modal auxiliary verbs and primary auxiliary verbs show important differences.

Modal auxiliary verbs are always finite (showing tense, mood, aspect and voice), whereas have and be
have finite as well as non-finite forms (an infinitive, an –ing participle or an -ed participle.) Modal verbs
invariably occur as the first element of the verb phrase whereas the primary auxiliaries may occur in
initial but also in middle position. Moreover, in English, modals are mutually exclusive, which means that
they cannot be combined with other auxiliaries.

Finally, it is important to distinguish do from have and be, since it always occurs initially, is invariably
finite, does not generally co-occur with other auxiliaries and it can be used, as it has been explained
before, for periphrasis and emphasis.

3. Primary auxiliary verbs: forms and functions

As it has been stated before, primary auxiliary verbs in English are be, do, and have. These verbs add
extra information to the lexical verb in the verb phrase. For example, auxiliary verb be can be found to
indicate progressive aspect and passive voice; do is to create interrogative sentences, negative
sentences and emphatic structures; and have indicates perfect aspect.

One particular characteristic about primary auxiliary verbs be, do and have is the fact that they can be
used both as auxiliary verbs and as lexical verbs, depending on the context where they may be found.
For instance:

They were playing football all weekend.

How do you say “UFO” in Spanish?

They have been talking to their parents for more than an hour.

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In these examples the verbs do, have and be are used as primary auxiliary verbs, whereas in the
following examples all the verbs are used as lexical verbs.

They were very good players indeed.

I really need to do a lot of homework today.

I would like to have my dinner, please.

3.1. Verb to be

The primary auxiliary verb be can be found in two main occasions: to indicate progressive aspect or to
build a passive voice sentence. In both cases, the verb is followed by a lexical verb and is adapted to the
number of the person speaking.

Regarding the continuous or progressive aspect, it is normally used when the speaker wants to express
the duration of the action or the event rather than the moment when the action happens. It may also
express that something is, was or will be already in progress when something else happens or
happened. Continuous aspect involves the use of the auxiliary be and the –ing form of the lexical verb.

The present continuous (or progressive) is formed with the present tense forms of auxiliary verb be and
the -ing form of the lexical verb, as seen in the previous example. They express an action which is being
carried out at the moment of speaking or to express something which is not usual at the moment of
speaking. For instance: I’m studying for a very important exam. The past continuous uses the past forms
of the verb be (was or were) and the –ing form of the lexical verb and it shows the background of
narration, in contract with the simple form of the verb, which indicates a more concrete point of time.
For example: I was walking down the street one day, when I came across one of my best friends. Finally,
the future continuous makes a reference to a future action in which the speaker wants to state the
duration of the action stated by the simple verb. It is formed with will and shall or the contraction ‘ll plus
the verb be in its base form and the –ing form of the lexical verb. For example: I’ll be working when you
get home.

The verb be can also be used as a part of the passive voice. In this kind of passive construction, the
object of an action becomes the subject of the clause, using the structure subject plus auxiliary verb be
plus the past participle of the lexical verb. It can be done with almost any tense in English, but it is
seldom used with state verbs, such as know and think. We can sometimes identify passive construction
by using agents with prepositions by or with, among other.

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3.2. Verb to do

This primary auxiliary verb is used with the base form of a lexical verb in negative, interrogative and
emphatic structures, and as a substitute for a lexical verb or clause predicate. It can be used in any tense
in English needing an auxiliary verb, present or past, but never in the future, although the present tense
might have a future meaning on certain occasions. It is important to remember that there is a change in
the third person singular of the present simple and thus do becomes does, a fact that a great number of
learners tend to forget. As it can be observed in the following examples, the structure of the sentences
with this verb is always the same.

Negative: I do not (don’t) want to go to the cinema tonight.

Interrogative: Did you go to the cinema last weekend?

Emphatic: I’m telling you! I do believe in ghosts.

Substitute: - I went to see her when she was in the hospital.

- Yes, I did too.

A general confusion among students of English as a Second Language is the fact that auxiliary verb do is
the same as lexical verb do in form, and it sometimes leads to mistakes. In the following example:

What do you do?

The first do functions as a primary auxiliary verb, whereas the second one is the lexical verb.

3.3. Verb to have

The primary auxiliary verb have (or has in the third person singular) is used with the past participle to
indicate perfect aspect. In this case, the perfect aspect deals with the perspective of the speaker on the
relationship between one time frame and an event that takes place in another time frame. That is to
say, depending on whether the speaker wants to state the completeness of the action or not, the
speaker will use a present aspect or a simple tense instead.

There are several types of occasions that indicate the perfect aspect. The first one is the present perfect,
which can indicate the whole period of time from a point in the past till now, for instance, I have lived in
Exeter for two years; or it can express the time change happened between an unspecified point in the
past and now, The flights have changed the time. Secondly, have is also used in the past perfect forms.
In this case, the past perfect simple forms are the same as in the present perfect, but the form had is
used instead. The reference here is also to the past but the connection is not with the present but with
another point of the past. In a way, it can be said that the past perfect forms indicate a past within the
past, for instance: I had done it just before I went to the shop. The third occasion that indicates perfect

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aspect is to be found in the future perfect, which establishes a relationship between the time when we
started an action and a point in the future. In this sense, the future perfect indicates that the speaker is
dealing with a past in the future which has not yet happened. For instance: Yesterday and tomorrow all
together I will have spent more than 1000 Euros. In this case, the speaker is referring to yesterday and
the period up to and including tomorrow, whereas in In four month time, I will have finished my exams,
the speaker is talking about the time between today and a period in the future from now.

4. Modal verbs: forms and functions

In the English language, the most significant expression of modality is by means of modal verbs. There is
also a set of semi-modals verbs, which behave in similar ways to core modal verbs but share some
characteristics with lexical verbs. Modal verbs always go before the lexical verb and thus modify the
attitude of the speaker in the action conveyed by that lexical verb. From a formal point of view, they
correspond to a close category of verbs, because no new items can be included in it. They are rarely
followed by the particle to and their infinitive form is also without this particle. Several exceptions can
be found to this rule, especially in semi-modal verbs, which can take the particle to, for instance, ought
to or have to.

On the other hand, from a syntactical point of view, these verbs always follow the subject in sentences.
However, the use of primary auxiliary verbs is not allowed with modal verbs. Therefore, in questions
there is an inversion of the clause constituents. As with other types of verbs, for the construction of
negative statements, the use of the adverb not is required. (i.e. You should not let him go to the party)

There are a number of modal verbs that are basic and other ones appear to be more complex. Learners
of English as a second language usually find this type of verbs difficult and tend to avoid their use. In this
respect teachers must remember that modal verbs are very frequently used in English and therefore,
they shall encourage students to use them correctly inside and outside the classroom.

A list of modal verbs and the modality they express is as follows:

Modal verb Modality express by verb

CAN Permission, ability, general truth, possibility
COULD Probability, suggestions, permission, criticism, past of can
MAY Permission probability, general truths, concession, good wishes and curses
MIGHT Probability, permission, suggestions, past tense of may
SHALL Predictions and intentions, directives, making offers and seeking advice
SHOULD Desires, possibilities, surprise, suggestions, thanking, conditions
WILL Future time, predictions, habitual events, requests and invitations, directives, disapproval,
responding
WOULD Volition, responding, hedging, requests, past of will, future in the past, habitual actions and
conditionals
MUST Deduction, obligation and invitations, rules and laws, reproaches

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4.1. Can

The speaker uses modal verb can when seeking for permission to do an activity (i.e. Can we go to a
party tomorrow?); giving permission to do something (i.e. You can borrow my pen if you need it.) or
forbidding an action when used in negative form (i.e. You can’t take that toy. It’s your brother’s.) One of
the most common uses of can is to express ability. This is particularly so with verbs of perception and
with mental process verbs (i.e. I can see clearly now the rain is gone. / I can’t understand why you have
to keep on doing that!) Moreover, when the speaker wants to make a statement which is a general
truth, can is used, as in German can be a very difficult language to learn. Finally, the modal verb can, is
also used to indicate logical possibility (i.e. How can Laura be in LA already?)

4.2. Could

Modal verb could is used to assess possibility or weak probability (i.e. We all could be walking on the
Moon in 20 years time.), as well as when the speaker wants to advice someone (i.e. We could go to
London for our school trip.) In the case of asking for permission, could is used when the speaker wants
to sound more formal (i.e. Could I talk to you for a minute?)

Could can also be used (with its perfect aspect) to refer to a disapproval or criticisms of someone or
something (i.e. How could you do that to your friends?) When referring to the past modal verb can in a
given past clause, could can be used (i.e. I could almost hear you.), but when dealing with actions that
are achievements, the use of was/were able to is preferred (i.e. I was able to solve the mistery!).
However, non-achievement can be expressed either by couldn’t or wasn’t/weren’t able to (i.e. Our team
couldn’t/was not able to win the match.)

4.3. May

In English, may is used when the speaker wants to grant, refuse or ask for permission to do a certain
action (i.e. You may go now. / You may not say anything yet. /May I say something?) In the case of
expressing probability, may is only used when the degree of probability is weak, that is to say, when the
speaker is not certain about a particular action (i.e. You may get your free pass if you get lucky.) When
may is used for expressing a general truth, it functions as the formal equivalent of can and it is mainly
used in academic written English (i.e. We may conclude that …) The construction may + well+ a clause
starting with but indicates a meaning of concession (i.e. You may well say that you want to do it, but I
don’t believe you.) Finally, a wish can be expressed with may in formal occasions (i.e. May the Force be
with you.)

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4.4. Might

The most common use of the modal verb might is to express probability. It expresses the same
probability as may but it is more tentative (i.e. I might finally buy that shirt I told you about.) When used
to ask for permission, might is only used in formal occasions (i.e. Might I speak to John, please?). In
sentences that are reported speech, might is used as the past form of may (i.e. He said it might happen
anytime soon.) Finally, when might goes together with “like” or “want”, it expresses a sense of polite
advice or suggestion (i.e. You might want to think about it.)

An important fact to bear in mind is that regarding probability and permission, might is a more indirect
alternative to may.

4.5. Shall

The modal verb shall is a very formal equivalent of will, but it is much less frequent. It can be used to
make predictions or announce intentions with a first person subject (i.e. We shall never forget our
origins). The negative form of shall, which is shall not or shan’t is used for the same purpose, although is
rarely used. It is also rare to use shall for directives, but there are some examples in very formal
occasions (i.e. This door shall be closed). However, the most usual use of shall is to ask for advice (i.e.
What shall I do?) or to suggest something (i.e. Shall we give him our present?).

4.6. Should

The modal verb should can be used to indicate the speaker’s feelings on what he/she thinks should be
right (i.e. I think the government should stop giving money away). It is also frequent to use should in
cases where the speaker wants to state the possibility of one thing to happen (i.e. She should be back
soon). It also can be used to express the speaker’s surprise for some kind of action or even to show a
certain disbelief in a certain unexpected action (i.e. I’m really impressed that she should cope with the
situation that brilliantly). Should also expresses suggestion (i.e. You should stop smoking straight away).
When used in the negative form, shouldn’t, together with have, the speaker can express gratitude for
something he /she receives (i.e. Thank you very much for the present. You really shouldn’t have). Finally,
in formal contexts should is used to indicate a hypothetical conditional action. It appears in the if clause
and it expresses a possibility (i.e. If you should need me, please just call me). On the other hand, subject-
verb inversion with should can occur instead of if also in formal situations (i.e. Should you need further
information, please do not hesitate to contact us).

4.7. Will

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Since English does not have an inflected form of the verb to state the future, a way to express the future
is by using the verb will. (i.e. The general election will take place on January 15th the next year). Modal
verb will is also used to make a prediction when the speaker is not sure or has no certainty (i.e. I think
we will probably go to Ireland for our next holiday). Moreover, it can also be used when the prediction
becomes a deduction about the present situation (i.e. That will be Sam knocking at the door) or even
when the action always happens (i.e. Babies will cry when they’re hungry). Will can also be used to
express habitual events, which refer to usual repeated actions (i.e. On a Friday night we’ll go out and
we’ll spend the night dancing and laughing). When the speaker wants to ask for something or wants to
invite someone, will is also used (i.e. Will you bring me the water, please? / Will you marry me?). The
negative form won’t is used when the speaker wants to sound more polite (i.e. Won’t you take a sit?). In
addition, will is used in a subject-verb inversion to show a strong directive (i.e. Will you stop making that
noise!). When other people or oneself continue doing an annoying action, the disapproval can be
expressed with will (i.e. My students will start talking every time I try to explain something). Finally,
when the speaker wants something to happen with an object or when this object does not respond to
the speaker’s intentions, will can be used to express her/his feelings (i.e. My computer won’t start).

4.8. Would

In past situations, would can be used to express volition (i.e. My brother would always be there for me).
Similar to the case of responding with modal verb will, wouldn’t can be used to express how something
did not respond to the speaker’s intervention in the past (i.e. It was time to leave but my parents
wouldn’t let us go without a last hug). When used with verbs such as “advise”, “imagine” and “think”
the use of would hedges the situation (i.e. The total amount would be 7,000 €, I would think). In
requests, in order to sound more polite than with will, would is used (i.e. Would you bring me the
menu?). In reported speech, would can express the past tense of will (i.e. My sister confirmed she would
pick up the dress herself). Moreover, when the speaker looks forward in time from a point in the past,
that is to say, referring to the future in the past, would is used (i.e. After buying my ticket, I would
continue my journey). Usually used in narrative style, would can occur when describing a past habit, an
action or event which was repeated several times (i.e. When I was a child, I would go to the park every
afternoon). Finally, modal verb would is used with type two conditional sentences (i.e. If I won the
lottery, I would travel around the world) and type three conditional sentences (i.e. If I had studied more,
I would have passed the exam).

4.9. Must

Modal verb must can be used when deducing something from a certain action or words (i.e. It must be
her calling again). It is also used in a context where the speaker wants to convey a strong obligation (i.e.
You must finish your homework by nine o’clock) or to express a polite invitation (i.e. You must come to

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my place to see my new furniture). Must and its negative form must not/ mustn’t indicate laws and
rules to follow or prohibitions (i.e. All passengers must show they ID card arrival gate). Finally, used in
the interrogative form, must expresses a reproach from the speaker (i.e. Why must she always do those
annoying sounds?).

4.10. Semi-modal verbs

Semi-modal verbs share some characteristics of modal verbs and some lexical verbs. They are
sometimes called marginal modal verbs. Dare and need can function both as modal and as lexical verbs,
but not ought to or used to.

The semi-modal dare frequently occurs in negative and interrogative clauses. As a semi-modal, it is
followed by an infinitive without to, like all other modal verbs. On the other hand, the negative form of
this verb can be formed with daren’t or with the primary auxiliary verb do. However, when used as a
lexical verb, dare can be inflected and followed by an infinitive with to.

Examples: Dare you look into my eyes like that? (Semi-modal verb)

I think he’ll finally get it if he dares to make a first statement. (Lexical verb)

The marginal modal verb need can express different types of modality. It indicates lack of obligation in
negative statements, and it has no past equivalent when it functions as a semi-modal verb. If need has
to be used in the past, it becomes a lexical verb and it expresses lack of obligation in the past (i.e. I
didn’t need to go to the bank). On the other hand, it can also be used as a future in the past action.
When the speaker uses needn’t plus have plus past participle, he/she is referring to a past action which
the speaker believes that was unnecessary; although it was done (i.e. They tell me now I needn’t have
stayed at the hotel because John lives there).

The meanings and uses of ought to are the same as with modal verb should. The main difference lies on
the fact that in English the particle to is used after ought, reason why it is called a semi-modal. However,
it is more likely to find should in questions, because ought to is very formal.

The last semi-modal is used to, which is exclusively used in the past tense. It refers to past actions which
were usual but are no longer true (i.e. I used to play tennis when I was younger). The negative form of
this verb can be used not to in formal contexts (i.e. The Prime Minister used not to make mistakes
before the elections) or didn’t use(d) to in more frequent occasions (i.e. We didn’t use(d) to play tennis
when we were young).

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5. Conclusion: appliance to the ESL classroom

The different verbal paradigms dealt with in this unit are so relevant to the learning of a foreign
language since differences between the vocabulary related to modal verbs of the learner’s native
language (L1) and that of the foreign language (L2) may lead to several problems, such as the incorrect
use of verbal tenses, especially because of the syntactic, morphological, and semantic process implied in
these categories.

According to Thomson & Martinet (1986), a European student may find specially troublesome the use of
verbal tenses, and particularly modal and auxiliary verbs, when communicating in English, since the
student first has to know the specific constructions a verb needs or not and, second, which modal verb
to use when certain situations are given depending on the context (possibility, deduction, advice, and so
on) and on top of that how to place adverbs in this type of structures.

In the Catalan curriculum, the use of modal and auxiliary verbs is envisaged from early stages of ESO in
the use of simple modal verbs (can, must, should) to talk about students’ everyday lives or any specific
topic, up to the higher stages of Batxillerat, towards more complex verbal forms, such as modal verbs
plus perfective infinitive for deduction (i.e. He must have gone out), past habits (i.e. He got used to
listening to classical music) and above all, idiomatic expressions in certain modal idioms (i.e. I’d rather
stay with you tonight.)

The correct expression of auxiliary verbs (modal and primary), is currently considered to be a central
element in communicative competence and in the acquisition of a second language, since students must
be able to use and distinguish these forms in their everyday life in many different situations.

Therefore, it is a fact that the student must be able to handle the use of these verbs in order to be
effectively and highly communicative in the classroom and in real life situations. The expression of these
verbal paradigms in form and function proves highly frequent in our everyday speech, and
consequently, we must encourage our students to have a good managing of it.

6. Bibliography

Greenbaum, S. and Quirk, R. (1973) A University Grammar of English. Longman.

Greenbaum, S. and Quirk, R. (1990) A Student’s Grammar of the English Language Longman
Group, UK Limited.

Thomson, A.J. & Martinet, A. V. (1986) A Practical English Grammar. Oxford University Press.

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