1.1 Properties of both aspectual auxiliaries and modal auxiliaries
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1 Li8 Structure of English Modal auxiliaries Auxiliary = small closed class of verbs that express grammatical meanings frequently expressed in other languages by verbal inflection (tense, aspect, mood, voice). MODAL AUXILIARIES can may will shall must ought need dare NON-MODAL AUXILIARIES be have do (use) 1 DIAGNOSTIC PROPERTIES OF AUXILIARIES (HUDDLESTON & PULLUM 2002: 92 ) 1.1 Properties of both aspectual auxiliaries and modal auxiliaries English auxiliaries (both modal and non-modal) are normally defined by the (languagespecific) NICE properties: Negation Inversion Code Emphasis Negation Auxiliaries take postverbal negation, whereas lexical verbs require do-support: (1) You should not leave the lion unattended. (2) *You don t should leave the lion unattended. (3) *You left not the lion unattended. (4) You didn t leave the lion unattended. Auxiliaries have contracted negated inflectional forms, some of which are irregular (e.g. won t, can t and shan t) and which appear in positions where verb + not is impossible (e.g. Won t you stay? but *Will not you stay?) Subject-auxiliary inversion Inversion of subject and auxiliary is required in a range of environments: yes-no questions, wh-questions (constituent questions), after clause-initial negative constituents, in conditional clauses lacking a complementiser etc. (see also lecture on word order): (5) Have you been away? (6) *Went you away? (7) Did you go away (yes-no questions) Li8 1 DWW
2 (8) Nowhere will you feel more comfortable. (9) *Nowhere found I the answer. (10) Nowhere did I find the answer. (clause-initial negative constituent) Code Auxiliaries may be used elliptically as a kind of code. This is clearest in tag questions: (11) You haven t seen Mary, have you? (12) You can speak French, can t you? (13) *You saw Mary, sawn't you? (14) You saw Mary, didn't you? Emphasis Auxiliaries may bear heavy stress for emphasis, whereas lexical verbs need do-support for this: (15) You don t think I ve done it, but I HAVE. (16) *You don t think I saw it, but I SAW. (17) You don t think I saw it, but I DID Other properties of auxiliaries Auxiliaries tend to precede frequency adverbs (often, usually, always) and modal adverbs (probably, possibly, certainly): (18) I have always drunk pear juice. (19) I always drank pear juice. (20) *I drank always pear juice. Although the reverse order is generally impossible with lexical verbs, auxiliaries permit the reverse order to some extent, particularly with emphatic polarity on the auxiliary: (21) I always HAVE drunk pear juice. 1.2 Properties of modal auxiliaries only No inflection Modals have no nonfinite forms, specifically: no plain infinitive no to-infinitive no present participle no past participle *I will can swim by the summer. *I want to may go the ball. *I remember musting to clear away. *We have musted leave already Instead periphrases are used: (22) I will be able to swim by the summer. (23) I want to be allowed to go to the ball. (24) I remember having to clear away. (25) We have had to leave already. Modals have no distinct third-person singular morphology, but use a single general finite form: I must leave now; She must (not *musts) leave now. Li8 2 DWW
3 1.2.2 Bare complements Modals take a bare plain infinitive as their complement (not a to-infinitive). Only a few lexical verbs (e.g. help, make) can take a bare infinitive as their complement. 2 PROBLEMATIC CASES 2.1 Need Need + bare infinitive is an auxiliary (also a weak negative-polarity verb): (26) She need not / needn t attend the class. (27) Need she attend the class? (cf. *Needs she attend the class?) Need + to-infinitive or direct object is a lexical verb: (28) She doesn t need to attend the class (cf. *She need not to attend the class.) (29) Does she need to attend the class? (cf. *Need she to attend the class?) Need(Aux) and need(v) appear to be two distinct lexical items. 2.2 Dare As with need, dare can be thought of as two distinct lexical items: (30) She dare not / daren t attend the class. (but She didn t dare attend the class is ok.) (31) Dare she attend the class? (cf. *Dares she attend the class?) (32) She didn t dare to attend the class. (33) Did she dare to attend the class? However, there is some blurring of the distinction (see Huddleston & Pullum 2002: ). 2.3 Ought Two atypical properties: takes a to-infinitive complement (We ought to go now.) variability between auxiliary-like and verb-like behaviour: (34) You oughtn't to speak like that. (35) %You didn't ought to speak like that. (36) Ought I to come along too? (37) %Did I ought to come along too? (38) We ought to help, oughtn't we? (39) %We ought to help, didn't we? Huddleston & Pullum regard the latter members of these pairs as nonstandard. 2.4 Use(d) Auxiliary use is now marginal, and, for most speakers, used to is a lexical verb: Li8 3 DWW
4 (40) %I usedn't to go there very often. (41) I didn't use(d) to go there very often. (42) %You used to go every week, usedn't you? (43) You used to go every week, didn't you? 2.5 Have Dynamic have (We had a great time; causative I had my hair cut.) is always a lexical verb: (44) *We hadn t such a great time. (45) We didn t have such a great time. Aspectual have is always an auxiliary: (46) We haven't seen it. (47) *We don't have seen it. Stative have (possessive have: I have a blue car; and obligation have: You have to fill in this form) shows variability, with auxiliary-like behaviour possible in formal and northern varieties of British English: (48) %She hasn t enough money. (49) She doesn t have enough money. (possessive have) (50) %You haven t to leave yet. (51) You don t have to leave yet. (obligation have) (For have got, see next week.) 2.6 Do Do is both a lexical verb and an auxiliary (in do-support environments): (52) *Did you the dishes? (53) Did you do the dishes? (lexical) (54) Did you see the film? (55) *Did you do see the film? (auxiliary) 2.7 Be Be behaves as an auxiliary, even when it is the only verb in the clause (copula be): (56) Are you Sherlock Holmes? (57) *Do you be Sherlock Holmes? Note, however, that there are a few lexical uses of be: (58) Why don't you be more observant? (59) If you don't be quick, you'll lose. 3 SEMANTICS OF THE MODALS (HUDDLESTON & PULLUM 2002: ) 3.1 Kind of modality Dynamic interpretations = properties or dispositions: Li8 4 DWW
5 (60) Lions can be dangerous. dynamic (61) I can see something in the distance. dynamic (62) I can speak French. dynamic (63) You can speak French here if you want. deontic Deontic ( root ) modality = degree of permission / obligation Epistemic modality = degree / source of possibility / probability that the proposition is true (64) You must be on time today. (probably) deontic (65) That must be the postman. epistemic 3.2 Strength of modality Strong necessity must, need Medium should, ought Weak possibility may, can 3.3 Interaction with negation The modals broadly form pairs with respect to the scope of negation: mustn t = Nec ( P) needn t = Nec (P) may not = epistemic Poss ( P) deontic Poss (P) can t = Poss (P) Deontic Poss ( P) is difficult to express:??you may not attend the lecture if you don t want to is marginal. 3.4 Interaction with the perfect Modals always precede the perfect auxiliary have, but both wide and narrow scope of modality are found in the semantics: (66) She must have saved him. I conclude that she has saved him. (wide scope of modal, epistemic) (67) She could have saved him if she d tried. = She had the possibility of saving him. (narrow scope of modal, deontic) Li8 5 DWW
6 Contrast German, which expresses the semantic scope directly: (68) Sie muss ihn gerettet haben. she must.3s him save.past.part have.inf She must have saved him. (69) Sie hätte ihn retten können, wenn sie she have.past.subj.3s him save.inf can.inf if she gewollt hätte. want.past.part have.past.subj.3s She could have saved him, if she wanted. 4 DIALECT VARIATION IN THE USE OF MODALS 4.1 Availability Not all modals are available in all dialects: loss of shall replacement of may by might loss of must in deontic contexts (You must work harder > You've got to work harder) 4.2 Sequences of modals Many varieties of English (Scots, Northeast England, Southern US) allow double modals: (70) She might can get away early. (Scots, Miller 1993) (71) The girls usually make me some but they mustn t could have made any today. (Northumberland, Beal 1993) Also to-infinitives in some varieties: (72) I d like to could do that. (Scots, Miller 1993) READING General reading list for the syntax component at Reading list for modal auxiliaries at > Supervisions > Modal auxiliaries. Li8 6 DWW
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