UNIT 9

DESCRIPTIVE GRAMMAR

Modal auxiliaries and related verbs /1-43:

General characteristics of modal auxiliaries
Uses of modals to express ability
Uses of modals to express permission and prohibition
Uses of modals to express certainty and possibility
Uses of modals to express deduction
Uses of modals for offers, requests, suggestions
Expressing wishes with 'wish', 'if only', etc.

General characteristics of modal verbs

  1. Which verbs are modal auxiliaries and what do they do?

    Verbs like can and may are called modal auxiliaries, though we often refer to them simply as modal verbs or modals. We frequently use modals when we are concerned with our relationship with someone else. We may, for example, ask for permission to do something; grant permission to someone; give or receive advice; make or respond to requests and offers, etc. We can express different levels of politeness both by the forms we choose and the way we say things. The bluntest command (You must see a doctor), with a certain kind of stress, might be more kindly and persuasive than the most complicated utterance (I think it might possibly be advisable for you to see a doctor).

    Modals sharing the same grammatical characteristics are:
    can - could
    may - might
    will - would
    shall - should
    must - -
    ought to - -

    Verbs which share some of the grammatical characteristics of modals are: need, dare, used to .
    By comparison, need to and dare to are full verbs.

    Modals have two major functions which can be defined as primary and secondary.

  2. Primary function of modal verbs

    In their primary function, modal verbs closely reflect the meanings often given first in most dictionaries, so that:

  3. Secondary function of modal verbs

    In their secondary function, nine of the modal auxiliaries (not shall) can be used to express the degree of certainty/uncertainty a speaker feels about a possibility. They can be arranged on a scale from the greatest uncertainty (might) to the greatest certainty (must). The order of modals between might and must is not fixed absolutely. It varies according to situation. For example, one arrangement might be:
    < might > very uncertain
    < may >
    < could > |
    < canY > |

    You < should > be right. |
    < ought to > have been right. |
    < would > V
    < will >
    < must > almost certain

    You are right. certain

    Can requires qualification to be used in this way :
    He can hardly be right.
    Do you think he can be right?
    I don't think he can be right.

  4. Primary and secondary functions of 'must' compared

    This example of must shows that it is 'defective':
    1. In its primary function it requires another full verb (have to) to make up its 'missing parts'. (In the same way can, for example, in its primary function requires the full verb be able to to make up its missing parts.)
    2. In its secondary function must has only two basic forms: a form which relates to the present and a form which relates to the perfect or past
      primary (inescapable obligation) secondary (certainty)
      infinitive: to have to leave -
      -ing form: having to leave -
      present They must leave. They must be right.
      future: They must leave tomorrow. -
      perfect: They have had to leave. >
      past: They had to leave. > They must have been right.
      past perfect: They had had to leave. >
      future perfect: They will have had to leave. -
      'conditional': They would have had to leave. -

  5. Some ways in which modals resemble 'be', 'have', 'do'

    Structurally, modal auxiliaries resemble the auxiliaries be, have and do in some ways and differ completely from them in others.

    1. The negative
      The negative is formed (as it is for be, have and do) by the addition of not after the modal. In informal spoken English not is often reduced to the unemphatic n't:

      be (is) not (is)n't
      have (have) not (have)n't
      do (do) not (do)n't

      can cannot can't
      could could not couldn't
      may may not mayn't
      might might not mightn't
      will will not won't
      would would not wouldn't
      shall shall not shan't
      should should not shouldn't
      must must not mustn't
      ought to ought not to oughtn't to
      need need not needn't
      dare dare not daren't

      The full form cannot is written as one word.
      Mayn't is rare, but does occur. For used not and usedn't .

    2. Questions
      Yes/No questions are formed as for be, have and do. We begin with the modal, followed by the subject and then the predicate:
      May we leave early?
      In question-word questions, the question-word precedes the modal:
      When may we leave?
      With Yes/No questions, the modal used in the answer is normally the same as the one used in the question :
      Can you come and see me tomorrow? - Yes, I can./No, I can't.
      Modals also behave like be, have and do in tag questions :
      You can do it, can't you?

    3. Negative questions
      As with be, have and do, the full form of negative questions with modals requires not after the subject (Can you not help me?). This is formal and rare. Contracted forms are normally used:
      Can't you help me?
      Shouldn't (you)_? is usually preferred to Oughtn't (you) to_? perhaps because the latter is more difficult to pronounce.
      Negative questions with Used? on the above patterns are rare .

  6. Some ways in which modals differ from 'be', 'have', 'do'

    1. 'Defective verbs'
      Modals are sometimes called defective verbs because they lack forms ordinary full verbs have . For example:
      1. Modals cannot be used as infinitives (compare to be, to have, to do). If ever we need an infinitive, we have to use another verb: If you want to apply for this job, you have to be able to type at least 60 words a minute. (Not *to* before can or can alone)
      2. We do not use a to-infinitive after modals (compare be to, have to). Only the bare infinitive can be used after modals (except ought, which is always followed by to):
        You must/mustn't phone him this evening. (Not *to phone*)
      3. Modals have no -ing form (compare being, having, doing). Instead of -ing, we have to use another verb or verb-phrase:
        I couldn't go/I wasn't able to go home by bus, so I took a taxi.
        (= Not being able to go_)
      4. Modals have no -(e)s in the 3rd person singular (compare is, has, does):
        The boss can see you now. (No -s on the end of can)
      5. Each modal has a basic meaning of its own. By comparison, as auxiliaries, be/have/do have only a grammatical function .

    2. Contracted forms
      Unlike be and have (but not do), modals in the affirmative do not have contracted forms, except for will and would . In speech, can, could and shall are 'contracted' by means of unemphatic pronunciation:
      I, (etc.) can , I, (etc.) could , I/We shall

    3. One modal at a time
      Only one modal can be used in a single verb phrase:
      We may call the doctor. >
      > but not may and must together.
      We must call the doctor. >

      If we wish to combine the two ideas in the above sentences, we have to find a suitable paraphrase:
      It may be necessary (for us) to call a doctor.

      By comparison, we can use e.g. be and have together:
      It has been necessary to call a doctor.

  7. Form of modal auxiliaries compared with future tenses

    Each of the modals fits into four patterns for future tense forms:
    I will see simple future
    I will be seeing future progressive
    I will have seen future perfect simple
    I will have been seeing future perfect progressive
    active passive
    modal + (bare infinitive): I may see I may be seen
    modal + be + present participle: I may be seeing -
    modal + have + past participle: I may have seen I may have been seen
    modal + have been + present participle: I may have been seeing -
    #9

  8. Forms and uses of modals compared with verb tenses

    The labels we use to describe the verb tenses (e.g. present, progressive, past, perfect) cannot easily be applied to modals.

    1. 'Present'
      All modals can refer to the immediate present or the future, therefore 'present' is not always a reliable label:
      I can/may (etc.) phone now. I can/may (etc.) phone tomorrow.

    2. 'Progressive'
      There is no progressive form for modals.But we can put the verb that follows a modal into the progressive form:
      Meg is phoning her fianc_. (present progressive)
      Meg may be phoning her fianc_. (modal + be + verb-ing)
      Meg may have been phoning her fianc_. (modal + have been + -ing)

      It is the phoning that is or was in progress, not 'may'.

    3. 'Past'
      Would, could, might and should can be said to be past in form, but this usually has little to do with their use and meaning. They can be called 'past' when used in indirect speech :
      He says you can/will/may leave early. (present)
      He said you could/would/might leave early. (past)

      Might can have a past reference in historical narrative:
      In the 14th century a peasant might have the right to graze pigs on common land.
      However, might usually expresses more uncertainty than may:
      I might see you tomorrow.
      is less certain than:
      I may see you tomorrow.

      Could sometimes expresses ability in the past :
      He could (or was able to) swim five miles when he was a boy.
      but could is not possible in:
      I managed to/was able to finish the job yesterday.
      However, couldn't and wasn't able to are usually interchangeable:
      I couldn't/wasn't able to finish the job yesterday.
      The other main use of could, as a more polite alternative to can in requests, has nothing to do with time:
      Could you help me please?

      Would expresses the past in :
      When we were young we would spend our holidays in Brighton.
      Otherwise, would and should have special uses

      Must can express past time only in indirect speech ; otherwise it has to be replaced by have to, etc. :
      He told us we must wait (or we had to wait) until we were called.
      She asked her boss if she must work (or had to work) overtime.

    4. 'Perfect' and 'past'
      Forms with modal + have + past participle or with modal + have been + progressive are not necessarily the equivalent of the present perfect. The modal refers to the present, while have + past participle refers to the past. So, depending on context,
      You must have seen him can mean:
      I assume (now) you have seen him. (i.e. before now; equivalent to the present perfect)
      I assume (now) you saw him. (i.e. then; equivalent to the past)
      I assume (now) you had seen him. (i.e. before then; equivalent to the past perfect)

  9. Modal + verb and modal + 'be/have been' + progressive

    Two observations need to be made here:
    1. Modal + be/have been + progressive is not always possible in the primary function. For example:
      He can't leave yet. (= it's not possible for him to leave yet) is quite different from the secondary function:
      He can't be leaving yet. (= I don't think he is)
      But compare the primary and secondary functions of must in:
      primary: You must be working when the inspector comes in.
      (i.e. it is necessary (for you) to be working.)
      secondary: You must be joking!
      (i.e. I'm almost certain you are joking.)

    2. Occasionally, in the primary function, a modal + be + progressive has a 'softening effect' similar to the use of the future progressive . So:
      We must/may/should (etc.) be leaving soon.
      is more polite and tentative than:
      We must/may/should (etc.) leave soon.

    Uses of modals, etc. to express ability

  10. Form of modals and related verbs expressing ability

    can/could
    Can/could express ability, which may be natural or learned:
    present reference I/You/He (etc.) can/can't hear music.
    past or perfect reference I/You/He (etc.) could/couldn't play chess.
    I/You/He (etc.) could have/couldn't have danced all night.
    future reference None. We use will be able to .

    Verbs and verb phrases related in meaning to can (ability):
    be (un)able to: I am (not) able/I am unable to attend the meeting.
    be (in)capable of: He is (not) capable/He is incapable of doing the job.
    manage to: We managed/didn't manage to persuade him to accept.
    succeed in: They'll succeed/won't succeed in getting what they want.
    #9

  11. 'Can' = ability: the present

    1. 'Can' + verb (natural ability)
      Natural ability can be expressed as follows:
      Can you run 1500 metres in 5 minutes?
      (= Are you able to run? Are you capable of running?)
      I can/cannot/can't run 1500 metres in 5 minutes.

      Can and am/is/are able to are generally interchangeable to describe natural ability, though able to is less common:
      Billy is only 9 months old and he can already stand up.
      Billy is only 9 months old and he is already able to stand up.

      However, am/is/are able to would be unusual when we are commenting on something that is happening at the time of speaking:
      Look! I can stand on my hands!

    2. 'Can' + verb (learned ability or 'know-how')
      Learned ability can be expressed as follows:
      Can you drive a car?
      (= Do you know how to? Have you learnt how to?)
      I can/cannot/can't drive a car.
      Verbs such as drive, play, speak, understand indicate skills or learned abilities. Can, and to a lesser extent, am/is/are able to, often combine with such verbs and may generally be used in the same way as the simple present tense:
      I can/can't play chess. (= I play/don't play chess.)

  12. 'Could/couldn't' = ability: the past

    1. Past ability (natural and learned) expressed with 'could'
      Could, couldn't or was/were (not) able to can describe natural and learned ability in the past, not related to any specific event:
      Jim could/couldn't run very fast when he was a boy.
      Barbara could/couldn't sing very well when she was younger.
      Jim was able to/was unable to run fast when he was a boy.
      We also often use used to be able to to describe past abilities:
      I used to be able to hold my breath for one minute under water.
      Could and was (or would be) able to occur after reporting verbs:
      He said he could see me next week.

      For 'unreal past' could (= was/were able to) after if .

    2. The past: 'could' + verb: achievement after effort
      Could and was/were able to can be interchangeable when we refer to the acquisition of a skill after effort:
      I tried again and found I could swim/was able to swim.

    3. Specific achievement in the past
      Could cannot normally be used when we are describing the successful completion of a specific action; was/were able to, managed to or succeeded in + -ing must be used instead:
      < were able to rescue >
      In the end they < managed to rescue > the cat on the roof.
      < succeeded in rescuing >

      If an action was not successfully completed, we may use couldn't;
      They tried for hours, but they couldn't rescue the cat.
      (or weren't able to, didn't manage to, etc.)

      Could can be used when we are asking about a specific action (as opposed to describing it):
      Could they rescue the cat on the roof? (= did they manage to?)
      - No, they couldn't. It was too difficult.
      However, an affirmative response requires an alternative to could:
      - Yes, they managed to. (Not *could*)

  13. 'Can/could' + verbs of perception

    Verbs of perception , like see, hear, smell, rarely occur in the progressive. Can, and to a lesser extent, am/is/are able to, combine with such verbs to indicate that we can see, hear, etc. something happening at the moment of speaking. In such cases can has a grammatical function equivalent to the simple present in statements and to do/does in questions and negatives:
    I can smell something burning. (= I smell something burning.)
    I can't see anyone. (= I don't see anyone.)

    Could can be used in place of the simple past in the same way:
    I listened carefully, but couldn't hear anything.
    (= I listened carefully, but didn't hear anything.)
    Can/could can be used with verbs suggesting 'understanding':
    I can/can't understand why he decided to retire at 50.
    I could/couldn't understand why he had decided to retire at 50.
    Can't/couldn't cannot be replaced by the simple present or simple past when conveying the idea 'beyond (my) control' (impossible):
    I can't (couldn't) imagine what it would be like to live in a hot climate. (Not *I don't/I didn't imagine*)

  14. 'Could' and 'would be able to'

    We can use could as an 'unreal past' in the sense of 'would be able to'. When we do this, an if-clause is sometimes implied:
    I'm sure you could get into university (if you applied).
    Could + never has the sense of 'would never be able to':
    I could never put up with such inefficiency if I were running an office. (i.e. I would never be able to)
    Could is often used to express surprise, anger, etc. in the present:
    I could eat my hat! I could slap your face!

  15. 'Could have' and 'would have been able to'

    We do not use can/can't have + past participle to express ability or capacity. We use them for possibility or conjecture (He can't have told you anything I don't already know)
    However, in conditional sentences and implied conditionals we may use could have + past participle (in place of would have been able to) to refer to ability or capacity that was not used owing to personal failure or lack of opportunity :
    If it hadn't been for the freezing wind and blinding snow, the rescue party could have reached the injured man before nightfall.
    For could have (= had been able to) in conditions .

  16. Ability in tenses other than present and past

    If we need to express ability in other tense combinations (e.g. the future or the present perfect), then the appropriate forms of be able to, manage to or succeed in must be used:
    I'll be able to pass my driving test after I've had a few lessons.
    I've been trying to contact him, but I haven't managed to.
    Can, referring to ability, skill, or perception, is usable in clauses after if and when to refer to the future:
    If you can pass (or are able to pass) your driving test at the first attempt, I'll be very surprised.

  17. Expressing ability with 'can' and 'could' in the passive

    Passive constructions with can and could, indicating ability, are possible where the sense allows:
    This car can only be driven by a midget.
    The lecture couldn't be understood by anyone present.
    The injured men could have been reached if heavy equipment had been available during the rescue operation.

  18. 'Can/could' = capability/possibility

    Can + be + adjective or noun has the effect of 'is sometimes' or 'is often' and refers to capability or possibility. It can be replaced by be capable of + -ing, but not by am/is/are able to:
    It can be quite cold in Cairo in January.
    (= it is sometimes - or often - quite cold.)
    He can be very naughty. (or 'a very naughty boy')
    (When used for people, the effect is generally negative, even when the adjective is favourable: She can look quite attractive when she wants to - which implies she doesn't usually look attractive.)

    Could has the same effect in the past:
    It could be quite cold in Cairo in January when I lived there.
    (= It was sometimes - or often - quite cold.)
    He could be very naughty when he was a little boy.
    Could can also have a future reference in this kind of context:
    It could be quite cold when you get to Cairo.

    Uses of modals, etc. to express permission and prohibition

  19. Form of modals and related verbs: permission/prohibition

    can/could/may/might :

    Can I stay out late? > You (etc.) can/can't/mustn't stay out late.
    Could I stay out late? >

    May I stay out late? > You (etc.) may/may not/mayn't/mustn't stay out late.
    Might I stay out late? >

    can/could (= be free to)
    present or future reference
    I can see him now/tomorrow.
    I could see him now/tomorrow.

    Verbs and verb phrases related in meaning to can/could/may/might/mustn't.
    (not) be allowed to: You're (not) allowed to stay out late.
    (not) be permitted to: You're (not) permitted to stay out late.
    be forbidden to: You're forbidden to stay out late.
    be prohibited: Smoking is (strictly) prohibited.
    be not to: You're not to smoke.
    negative imperative: Don't smoke!

  20. Asking for permission/responding: 'can/could/may/might'

    Requests for permission can be graded on a 'hesitancy scale', ranging from a blunt request to an extremely hesitant one. Requests for permission can refer to the present or future. The basic forms are:
    Can >
    Could > I borrow your umbrella (please)?
    May >
    Might >

    1. Can is the commonest and most informal:
      Can I borrow your umbrella (please)?
      A few (old-fashioned) native speakers still hold that can is the equivalent of am/is/are able to and therefore may must be used instead. The idea of e.g. asking for a favour is less strong in can than in could/may/might.
    2. Could is more 'hesitant' and polite than can. We often use it when we are not sure permission will be granted:
      Could I borrow your umbrella (please)?
    3. May is more formal, polite and 'respectful' than can and could:
      May I borrow your umbrella (please)?
    4. Might is the most hesitant, polite and 'respectful' and is rather less common than the other three:
      Might I borrow your umbrella (please)?

    In practice, can, could and may are often interchangeable in 'neutral' requests.

    Common responses with modals are: e.g.
    - affirmative: Of course you can/may. (Not *could*/*might*)
    - negative: No, you can't/may not. Not *could not*/*might not*)

    Numerous non-modal responses are possible ranging from the polite Of course (affirmative), I'm afraid not, I'd rather you didn't (negative), to blunt refusal like Certainly not. A polite refusal is usually accompanied by some kind of explanation (I'm afraid you can't because_).

    Permission to ask an indiscreet question may be requested with the formulas if I may ask and (more tentative) if I might ask:
    How much did you pay for this house if I may/might ask?

  21. Asking for permission with 'can't' and 'couldn't'

    Can't and couldn't are often used in place of can and could when we are pressing for an affirmative answer:
    Can't >
    > I stay out till midnight (please)?
    Couldn't >

    May I not_? is old-fashioned.
    Mayn't I_? is unlikely.
    Might I not_? is rare, but all these forms occur in formal style.

  22. Very polite requests: 'can/could/may/might'

    There are numerous variations on straightforward request forms to express degrees of politeness. Possibly is commonly added to make requests more polite. Requests may be hesitant:
    Can/Could I (possibly) >
    Do you think I could/might > use your phone?
    I wonder if I could/might >

    Or they may be over-cautious or obsequious:
    Might I (possibly) be allowed to_?

  23. Granting and refusing permission

    Permission can be granted or refused as follows:
    < can (not) > (not *could*)
    You < > watch TV for as long as you like.
    < may (not) > (not *might*)

    You may/may not carries the authority of the speaker and is the equivalent of 'I (personally) give you permission'. You can/cannot is more general and does not necessarily imply personal permission. Permission issuing from some other authority can be granted or withheld more emphatically with be allowed to, be permitted to, and be forbidden to, as follows:
    You can/cannot > or You're allowed to/not allowed to >
    You can/cannot > or You're permitted to/not permitted to > smoke here.
    You mustn't > or You're forbidden to >

    Granting/refusing permission is not confined to 1st and 2nd persons:

    < can/can't >
    Johnny/Frankie < > stay up late.
    < may/may not/mustn't >

    This can be extended to:
    - rule-making e.g. for games: Each player may choose five cards.
    - other contexts: Candidates may not attempt more than three questions.

    Permission may also be given by a speaker with shall in the 2nd and 3rd persons (formal and literary):
    You shall do as you please. (i.e. You have my permission to.)
    He shall do as he pleases. (i.e. He has my permission to.)

    Permission may also be denied with shan't in BrE only
    If you don't behave yourself, you shan't go out/be allowed out.
    If he doesn't behave himself, he shan't go out/be allowed out.

    Numerous alternative forms are available to express anything from mild refusal (I'd rather you didn't if you don't mind) to strong prohibition (I forbid you to_). Formal and strong statements with non-modal forms are often found in public notices :
    Thank you for not smoking. (i.e. please don't)
    Passengers are requested to remain seated till the aircraft stops.
    Trespassing is strictly forbidden.

  24. Permission/prohibition in other tenses

    The gaps in the 'defective' verbs may and must can be filled with the verb phrases be allowed to and the more formal be permitted to. Examples of other tenses:
    present perfect: Mrs James is in hospital and hasn't been allowed
    to have any visitors.
    past: We were allowed to stay up till 11 last night.

    Could can only express past 'permission in general' :
    When we were children we could watch (or were allowed to watch) TV whenever we wanted to.

  25. Conditional sentences with 'could' and 'could have'

    Could may imply 'would be allowed to':
    I could have an extra week's holiday if I asked for it.

    Could have + past participle can be used in place of would have been allowed to to show that permission was given but not used:
    You could have had an extra week's holiday. You asked for it.
    I said you could have it, but you didn't take it.

  26. 'Can/could' = 'am/is/are free to': present or future

    'Being free to' is often linked to the idea of 'having permission'. Can, in the sense of 'am/is/are free to', can be used to refer to the present or the future:
    I can see him now. (= I am free to)
    I can see him tomorrow. (= I am/will be free to)
    Could expresses exactly the same idea, but is less definite:
    I could see him now. (= I am free to)
    I could see him tomorrow. (= I am/will be free to)

    Compare can/could (= ability) which cannot be used to refer to the future

    Uses of modals, etc. to express certainty and possibility

  27. Certainty, possibility and deduction

    If we are certain of our facts, we can make statements with be or any full verb :
    Jane is (or works) at home. (a certain fact)
    If we are referring to possibility, we can use combinations of may, might or could + verb:
    Jane may/might/could be (or work) at home. (a possibility)

    We may draw a distinction between the expression of possibility in this way (which allows for speculation and guessing) and deduction based on evidence. Deduction , often expressed with must be and can't be, suggests near-certainty:
    Jane's light is on. She must be at home. She can't be out.

  28. Forms of tenses (certainty) versus modals (possibility)

    certain possible/less than certain
    (expressed by verb tenses) (expressed by may, might and could)
    He is at home. He may/might/could be at home (now).
    He will be at home tomorrow. He may/might/could be at home tomorrow.
    He was at home yesterday. He may/might/could have been at home yesterday.
    He leaves at 9. He may/might/could leave at 9.
    He will leave tomorrow. He may/might/could leave tomorrow.
    He has left. He may/might/could have left.
    He left last night He may/might/could have left last night.
    He will have left by 9. He may/might/could have left by 9.
    He is working today. He may/might/could be working today.
    He will be working today. He may/might/could be working today.
    He was working today. He may/might/could have been working today.
    He has been working all day. He may/might/could have been working all day.
    He will have been working all day. He may/might/could have been working all day.

  29. Notes on modal forms expressing possibility
    1. Should be and ought to be to express possibility
      In addition to the above examples, we can also express possibility with should be and ought to be:
      John should be/ought to be at home.
      John should be working/ought to be working.
      John should have left/ought to have left by tomorrow. etc.
      However, because should and ought to also express obligation they can be ambiguous, so are not used as much as may/might/could to express possibility. For example, He should have arrived (ought to have arrived) yesterday could mean 'I think he probably has arrived' or 'He failed in his duty to arrive yesterday'.
    2. Questions about possibility
      When we are asking about possibility, we may use Might_?, Could_? and sometimes Can_? and rarely May_?. (We do not normally use should and ought to in affirmative questions about possibility because of the risk of confusion with obligation):
      Might/Could/Can this be true?
      Might/Could he know the answer?
      Might/Could/Can he still be working? (or be still working)
      Might/Could he be leaving soon?
      Might/Could/Can he have been waiting long?
      Might/Could he have left by tomorrow?

    3. Can is not always possible in questions like these, probably because of the risk of confusion with can = ability . However, in questions like Can this be true?, can often indicates disbelief. Can is possible in some indirect questions:
      I wonder where he can have left the key?
    4. Negative questions about possibility
      Negative questions about possibility can be asked with Mightn't and Couldn't. May not (Not *Mayn't*) can sometimes be used, as can Shouldn't and Oughtn't to:
      Mightn't he be at home now? etc.
      Couldn't he know the answer? etc.
    5. Negative possibility
      Negative possibility is expressed with may not, mightn't, can't and couldn't, but not usually with shouldn't and oughtn't to:
      He may not be (or have been) here. etc.
      He may not be (or have been) working late. etc.
      Can't + be often suggests disbelief:
      What you're saying can't be true! I can hardly believe it!
      Can may be used in negative indirect questions:
      I don't think he can have left home yet.
      or in semi-negatives: He can hardly be at home yet. It's only 6.

  30. Modals on a scale of certainty

    Degrees of certainty can be expressed on a scale:
    He is at home. (= it's a certain fact: non-modal be)
    He could be at home. (= doubtful possibility)
    He should be at home. (= doubtful possibility)
    He ought to be at home. (= doubtful possibility)
    He may be at home. (= it's possible, but uncertain)
    He might be at home. (= less certain than may)

    He isn't at home. (= it's a certain fact)
    He can't be at home. (= it's nearly certain)
    He couldn't be at home. (= more 'tentative' than can't)
    He may not be at home. (= possible, but uncertain)
    He mightn't be at home. (= less certain than may not)

    In speech, the element of doubt is increased with heavy stress:
    He 'could be at home (i.e. but I very much doubt it).
    Particular stress is also used in exclamations:
    It 'can't be true! You 'can't 'mean it! You 'must be mistaken!

  31. Certain and uncertain responses to questions

    Yes/No answers to questions can reflect varying degrees of certainty felt by the speaker. For example, a 'certain' question may elicit an 'uncertain' answer:
    Does he like ice-cream? (direct question)
    - Yes, he does. No, he doesn't. ('certain' response)
    - He might (do). He may (do). He could (do). (possibility)
    - He mightn't. He may not. (uncertainty)

    Similarly, an 'uncertain' question may elicit a 'certain' answer:
    Can he still be working? (disbelief)
    Mightn't he be working? (possibility)
    - Yes, he is. No, he isn't. ('certain' response)7
    - He might (be). He may (be). (possibility)
    - He may not be. I don't think he can be. (possibility)
    - He can't be. He couldn't be. (disbelief)

    Of course, any other answer, not necessarily involving the use of a modal verb, may be available, depending on circumstances:
    - I don't know. I'm not sure. I don't think so. etc.

    Be and have been are normally used in answers to questions with be:
    Is he ill? - He may be.
    Was he ill? - He may have been.

    Do often replaces other verbs:
    Will you catch an early train? - I may do.
    Has he received my message? - He could have/could have done.

    Uses of modals to express deduction

  32. Examples of modal forms for deduction

    must and can't

    present reference:
    Certainty expressed by verb tenses:
    He is here. He lives here. He is leaving.
    He isn't here. He doesn't live here. He isn't leaving.

    Deduction expressed by must be and can't be:
    He must be here. He must live here. He must be leaving.
    He can't be here. He can't live here. He can't be leaving.

    perfect and past reference:
    Certainty expressed by verb tenses:
    He was here. He has left/He left early. He has been/was working late.

    Deduction expressed by must have been and can't/couldn't have been:
    He must have been here. He must have left early. He must have been working late.
    He can't have been here. He can't have left early. He can't have been working late.
    He couldn't have been here. He couldn't have left early. He couldn't have been working late.

  33. Expressing deduction with 'must be' and 'can't be', etc.

    The distinction between possibility (often based on speculation) and deduction (based on evidence) has already been drawn. The strongest and commonest forms to express deduction are must and can't. For teaching and learning purposes, it is necessary to establish the following clearly:
    1. can't be (Not *mustn't be*) is the negative of must be.
    2. can't have been (Not *mustn't have been*) is the negative of must have been.

    Have to/have got to be (affirmative) can express deduction in AmE:
    This has to be/has got to be the most stupid film I have ever seen.

    Compare deduction :
    He can't be thirsty. He must be hungry.
    He can't have been thirsty. He must have been hungry.

    with inescapable obligation in:
    He mustn't be careless. He must be careful.
    He didn't have to be at the dentist's. He had to be at the doctor's.

    We also use may/might/could and should/ought to for making deductions (as well as for expressing possibility); and, when we are almost certain of our evidence, we may use will and won't:
    That will be Roland. I can hear him at the door.
    That will have been Roland. He said he'd be back at 7.
    That won't be Roland. I'm not expecting him yet.
    That won't have been Roland. I'm not expecting him till 7.

    Again , it is possible to give varying responses to a question:
    Is Roland in his room?
    - Yes, he is. No, he isn't. (certainty)
    - Yes, he must be. I heard him come in. (deduction)
    - No, he won't be. He had to go out. (near-certainty)
    - No, he can't be. There's no light in his room. (deduction)

    Uses of modals for offers, requests, suggestions

  34. General information about offers, requests and suggestions

    Modal verbs are used extensively for 'language acts' or functions such as offering, asking for things, expressing preferences. Fine shades of meaning are conveyed not only by the words themselves, but particularly by stress, intonation, and gesture. (Note that we can also make suggestions, etc. with non-modal forms, e.g. Have a drink, Let's go to the zoo). In this section, offers, requests, etc. are considered from six points of view under two headings:

    1. Things and substances
      1. Offering things and substances + appropriate responses.
      2. Requests for things and substances + appropriate responses.

    2. Actions
      1. Making suggestions, inviting actions + appropriate responses.
      2. Requesting others to do things for you + appropriate responses.
      3. Offering to do things for others + appropriate responses.
      4. Suggestions that include the speaker.

  35. Things and substances: offers with modals

    1. Typical offers inviting Yes/No responses
      Can/Could I offer you >
      Will/Won't you have > a sandwich/some coffee?
      Would/Wouldn't you like >

    2. Typical responses
      There are many non-modal forms (Yes please, No thank you, etc.) and a few modal ones:
      Yes, I'd like one/some please. Yes, I'd love one/some please.

      However, we don't usually repeat the modal when we refuse an offer. A reply like No, I won't in answer to Will you have_? could sound rude

    3. Typical offers with 'What'
      What will you have? What would you like to have?
      What would you prefer? What would you rather have?

  36. Things and substances: requests with modals

    1. Typical requests inviting Yes/No responses
      Can/Could/May/Might I have a sandwich/some coffee (please)?

    2. Typical responses
      Of course you can/may. (Not *could/might* )
      No, you can't/may not (I'm afraid).
      (These answers with modals would be likely where e.g. a parent is addressing a child. Adult responses would be e.g. Certainly or I'm afraid there isn't any, etc.)

  37. Actions: suggestions/invitations with modals

    1. Typical suggestions inviting Yes/No responses
      Will you/Won't you >
      Would you/Wouldn't you like to > come for a walk (with me)?

    2. Typical responses
      (Yes,) I'd like to. I'd love to.
      (No,) I'd prefer not to, thank you.
      Note that to must follow like, love etc. Negative responses like No, I won't are not appropriate .

    3. Typical inquiry with 'What' to invite suggestions
      What would you like to do?

  38. Actions: using modals to ask someone to do something

    1. Typical requests inviting Yes/No responses
      Will you_?, Would you_? in these requests refer to willingness. Can you_?, Could you_? refer to ability.
      Will you (please) >
      Can/Could you (please) >
      Would you (please) > open the window (for me)?
      Would you like to >

      Would you mind opening the window (for me)?

      Will/Would you sounds even more polite with the addition of kindly, and can/could with the addition of possibly :
      Will/Would you kindly_? Can/Could you possibly_?

      We cannot use May you_? in requests for help.

    2. Typical responses
      Yes, of course (I will). No, I'm afraid I can't (at the moment).

  39. Actions: using modals to offer to do things for others

    1. Typical offers to do things
      Offers beginning Shall I_? Shall we_? are very common:
      Can I/Could I/Shall I open the window (for you)?
      Would you like me to open the window (for you)?
      That's the phone. I'll get it for you, (shall I)?
      What shall/can I do for you?

      And note very polite offers with may in: e.g.
      May I take your coat?

    2. Typical responses
      The usual responses are Yes please, No thank you, or tag responses like Can/Could/Would you? - that's very kind, but not Yes, you can/No, you can't, which could sound rude.

  40. Actions: suggestions that include the speaker

    1. Typical suggestions inviting Yes/No responses
      Shall we go for a swim? We can/could/might go for a swim.

    2. Typical responses
      Yes, let's, (shall we)?
      No, I'd rather we didn't./No, I'd rather not.

    3. Typical inquiries with 'What'
      What shall/can/could we do this afternoon?

    Expressing wishes with 'wish', 'if only', etc.

  41. The expression of wishes

    The verb wish can be followed by to and can be used like want to in formal style to express an immediate desire:
    I wish to (or want to) apply for a visa.
    In addition, we can express hypothetical wishes and desires with:
    - the verb wish: often for something that might happen.
    - the phrase if only: often to express longing or regret.
    - the phrases it's (high) time and it's about time to express future wishes and impatience that a course of action is overdue.

    After wish, if only, it's (high) time, it's about time, we use:
    - the past tense to refer to present time.
    - the past perfect tense to refer to past time.
    - would and could to make general wishes or refer to the future. In other words, we 'go one tense back' .

    Though wish and if only are often used interchangeably, if only expresses more strongly the idea that the situation wished for does not exist, whereas wish is used for something that might happen. Details follow.

  42. The verb 'wish' and the phrase 'if only'

    1. Present reference: 'wish/if only' with 'be' + complement
      After wish and if only we may use:
      - the simple past of be:
      I wish/if only Tessa was here now.
      - the subjunctive of be, i.e. were after all persons.
      This is formal and has the effect of making a wish more doubtful:
      I wish/if only Tessa were here now.
      Wish and if only can also be followed by the past progressive:
      I wish/If only the sun was (or were) shining at this moment.
      Compare hope + simple present or future for an immediate 'wish':
      I hope he is on time. I hope he won't be late. (Not *I wish*)

    2. Present reference: 'wish/if only' + verbs other than 'be'
      I wish/If only I knew the answer to your question.
      I wish/If only I didn't have to work for a living.
      If only (but not wish) will also combine with the simple present:
      If only he gets this job, it will make a great deal of difference.
      Here, if only functions like if in Type 1 conditionals and that is why the present (which has a future reference) can be used.

    3. Past reference with 'wish' and 'if only'
      - be + complement: I wish/If only I had been here yesterday.
      - verbs other than be: I wish/If only you had let me know earlier.
      I wish/If only we had been travelling
      I yesterday when the weather was fine.

      In sentences like the above, if only particularly expresses regret:
      If only I had been here yesterday. The accident would never have happened.
      Compare:
      I wish I had been here yesterday. You all seem to have had such a good time, (a simple wish, not the expression of regret)

    4. 'Would' and 'could' after 'wish' and 'if only'
      I wish you would/wouldn't often functions like a polite imperative. Because the wish can easily be fulfilled, if only is less likely:
      I wish you would be quiet.
      I wish you wouldn't make so much noise.

      We must use could and not would after I and We:
      I wish I could be you.
      If only we could be together.
      I wish I could swim. I wish I could have been with you.

      Would expresses willingness; could expresses ability:
      I wish he would come tomorrow. (i.e. I don't know if he wants to)
      I wish he could come tomorrow. (i.e. I'm sure he can't)
      I wish Tessa could have come to my party. (i.e. she wasn't able to)

      Wishes expressed with would at the beginning of a sentence have either become obsolete (Would that it were true!) or have become fossilized idioms (Would to God I knew! Would to God I had known!)

    5. The position of 'only' after 'if'
      Only can be separated from if and can be placed:
      - after be: If he was/were only here now!
      - before the past participle: If I had only known!
      - after the modal: If you would only try harder!

      Though the separation of only from if is common in exclamations (as above), it is also possible in longer sentences:
      If more people were only prepared to be as generous as you are, many children's lives would be saved. (If only more people_)

    6. The use of 'wish' and 'if only' in short responses
      Short responses can be made with wish and if only:
      It would be nice if Tessa was/were/could be here now!
      - I wish/If only she was!/she were!/she could be!
      You should have come with us. - I wish/If only I had!
      I can help you with that box. - I wish/If only you would!

  43. 'It's (high) time' and 'It's about time'

    These expressions are used with the past tense or the subjunctive to refer to the present and future:
    It's (high) time he was (or were) taught a lesson.
    It's about time he learnt to look after himself.
    (= the time has come)

    Could (but not would) is sometimes possible:
    Isn't it about time our baby could walk?

    Negatives are not used after it's (high) time and it's about time
    Short responses are possible with these expressions:
    I still haven't thanked Aunt Lucy for her present.
    - It's time you did. (you're taking too long over it)

    Compare the use of it's time in:
    We've enjoyed the evening, but it's time (for us) to go.
    (i.e. the time has now arrived for us to go)
    We've enjoyed the evening, but it's time we went.
    (i.e. we should probably have left before this)

 

STUDY GUIDE

Modals: should, ought to, will, would, used to, may, might, can, could

Reference: EG: 28, 29, 30, 33, 34; PEG: 12, 15, 22; PEGE: 6-9, 23.

  1. Complete these sentences with should/ought to + infinitive (or a passive form) or should/ought to have + past participle using one of these verbs. In which one is ought to not possible?

    Check, include, keep, listen, meet, plan, receive, refrigerate, stay

    1. You ... my reply by now.
    2. his medicine ... in a cool place. (from a medicine bottle label)
    3. Here is someone you really ... .
    4. If you are feeling ill, I ... at home today, if I were you.
    5. To have got a better mark, you ... your answers more thoroughly.
    6. According to the label, the jam ... after opening.
    7. I think you ... to him. He knew what he was talking about.
    8. The results were completely wrong. As a scientist she ... the experiment more carefully.
    9. The information you send ... details of courses taken at university. (from a job application)

  2. In which sentences can you put should or must and in which can you put only must?

    1. A timetable ... be set for withdrawing the army.
    2. Les isn't home yet. He ... have been held up at work.
    3. 'I wonder how old Mike is?' 'Well, he went to school with my mother, so he ... be well over 50.'
    4. If you smell gas, you ... phone the emergency number.
    5. You ... try to visit Nepal - it's a beautiful country.
    6. 'I only live a couple of minutes from the town centre.' 'It ... be handy having shops nearby.

  3. Correct the sentences if necessary

    1. I had to work late on Friday, so my mother would pick up Sue from school.
    2. Mary wouldn't sing for me, even though I often asked her to.
    3. The moment I asked Steve, he would agree to lend me the car for the day.
    4. When I phoned, the receptionist wouldn't let me have an apointment with Dr Johnson before next week.
    5. At the interview they wouldn't tell me how much travelling was involved in the job.
    6. Yesterday he would make me sandwiches and would bring me a cup of coffee.

  4. Complete these sentences with will, would or used to. If more than one answer is possible, write them both

    1. Around 2 o'clock every night, Sue ... talking in her sleep. It' very annoying. (start)
    2. As soon as he woke up he ... things ready for breakfast. (get)
    3. He ... work in 1963 as an assistant to the managing director. (begin)
    4. After I read about the place in a magazine, I ... to visit Madagascar myself. (want)
    5. When I was younger I ... hours just kicking a ball around the garden. (spend)
    6. Even when it's freezing cold, some people ... just jeans and a T-shirt. (wear)
    7. The country now known as Myanmar ... called Burma. (be)
    8. I ... going to pop concerts when I was a teenager. (like)

  5. Where necesary, suggest a correction for these sentences

    1. I think I saw her go out, so shemightn't be at home.
    2. It mightn't be true. There must be some mistake.
    3. It's snowing heavily in Scotland so it can take Hugh a long time to get here.
    4. If we don't get to the market soon they can't have any flowers left. They will all have been sold.
    5. If you are free at the moment, we may have job for you.
    6. May you be given the job permanently?
    7. I thought they were on holiday - but I can be wrong, of course.
    8. I might go out later if the weather improves.
    9. Children may enter only when accompanied by an adult.
    10. 'I've had this birthday card, but it doesn't say who sent it.' 'May it be from Ron?'

 

READING COMPREHENSION

Word meanings from context

1. Use the context of the paragraphs to determine the meanings of the highlighted words.

We walked slowly down the trail with great trepidation. No one who had gone this way had ever been heard from again. Had they simply found a better place to settle on this dark planet? We doubted that.

  1. Which word is a synonym of "trepidation"?
      1. movement
      2. worry
      3. enjoyment
      4. laughter

Only an hour or so had passed before a tremendous roar shook the ground. At that very moment, a strange grey creature materialized before our eyes. It resembled a lizard in shape. It was about ten feet high at the shoulders and at least fifty feet long.

  1. What did the creature do?
    1. It whipped its tail back and forth.
    2. It stamped its feet.
    3. It showed its sharp teeth.
    4. It appeared.

Kathy was looking for a strong but light material to use for making her water jugs. Unfortunately, she chose noodelite. It proved to too porous to hold jelly.

  1. A porous material _____.
    1. is good for holding things that you pour
    2. protects you in pouring rain
    3. allows liquids to flow through it
    4. is necessary for making bowling balls

We have rather lofty expectations for you, son. You will attend college. You will become rich and famous. You will be elected president of the United States before you turn forty.

  1. Which word is a synonym of "lofty"?
    1. high
    2. shaky
    3. small
    4. lowly

2. Use the context of the selections to choose the correct meanings of the underlined words.

  1. Ashlee was not happy with her friend Samantha. "I've been waiting here for an hour!" she growled into her cell phone. "You'd better hie yourself over here," she continued, "or we'll leave without you.
    1. hurry, or hasten
    2. stroll, or walk slowly
    3. float above the trees
    4. greet in an unfriendly manner

  2. When Beth and Donna were fighting over a boy who didn't like either one of them, Shana stepped in as a mediator. She sat them both in a corner and kept them talking to each other. Finally, Shana's efforts resulted in her two friends making up.
    1. troublemaker
    2. peacemaker
    3. witness
    4. competitor

  3. No one suspected that Jerry was a spy. On the surface he behaved like any normal citizen. When his covert activity was discovered and announced to the world, we were all shocked.
    1. friendly
    2. helpful
    3. loud
    4. hidden

  4. The workers stood in front of the factory and wondered what to do next. The doors were locked and the windows were boarded up. They doubted that they would even collect their final pay checks now that the company was insolvent.
    1. broke, or out of money
    2. hiring new workers
    3. changing a name
    4. making too much money

- key to Unit 9 -

 

LITERATURE

19th century English Literature: Introduction

I. THE ROMANTIC AGE

Extending from about 1789 until 1837, the romantic age stressed emotion over reason. One objective of the French Revolution (1789-1799) was to destroy an older tradition that had come to seem artificial, and to assert the liberty, spirit, and heartfelt unity of the human race. To many writers of the romantic age this objective seemed equally appropriate in the field of English letters. In addition, the romantic age in English literature was characterized by the subordination of reason to intuition and passion, the cult of nature much as the word is now understood and not as Pope understood it, the primacy of the individual will over social norms of behavior, the preference for the illusion of immediate experience as opposed to generalized and typical experience, and the interest in what is distant in time and place.

A. The Romantic Poets

The first important expression of romanticism was in the Lyrical Ballads (1798) of William Wordsworth) and Samuel Taylor Coleridge, young men who were aroused to creative activity by the French Revolution; later they became disillusioned with what followed it. The poems of Wordsworth in this volume treat ordinary subjects with a new freshness that imparts a certain radiance to them. On the other hand, Coleridge's main contribution, "The Rime of the Ancient Mariner," masterfully creates an illusion of reality in relating strange, exotic, or obviously unreal events. These two directions characterize most of the later works of the two poets.

For Wordsworth the great theme remained the world of simple, natural things, in the countryside or among people. He reproduced this world with so close and understanding an eye as to add a hitherto unperceived glory to it. His representation of human nature is similarly simple but revealing. It is at its best, as in "Tintern Abbey" or "Ode on Intimations of Immortality," when he speaks of the mystical kinship between quiet nature and the human soul and of the spiritual refreshment yielded by humanity's sympathetic contact with the rest of God's creation. Not only is the immediacy of experience in the poetry of Wordsworth opposed to neoclassical notions, but also his poetic style constitutes a rejection of the immediate poetic past. Wordsworth condemned the idea of a specifically poetic language, such as that of neoclassical poetry, and he strove instead for what he considered the more powerful effects of ordinary, everyday language. Coleridge's natural bent, on the other hand, was toward the strange, the exotic, and the mysterious. Unlike Wordsworth, he wrote few poems, and these during a very brief period. In such poems as "Kubla Khan" and "Christabel," the beauties and horrors of the far distant in time or place are evoked in a style that is neither neoclassical nor simple in Wordsworth's fashion, but that, instead, recalls the splendor and extravagance of the Elizabethans. At the same time Coleridge achieved an immediacy of sensation that suggests the natural although hidden affinity between him and Wordsworth, and their common rejection of the 18th-century spirit in poetry.

Another poet who found delight in the far distant in time was Sir Walter Scott, who, after evincing an early interest in the ancient ballads of his native Scotland, wrote a series of narrative poems glorifying the active virtues of the simple, vigorous life and culture of his land in the Middle Ages, before it had been affected by modern civilization. In such of these poems as The Lady of the Lake (1810) he employed a style of little originality. His work, however, was the more popular among his immediate contemporaries for that very reason, long before the full stature of Wordsworth's more impressive poetry was recognized. Some of Scott's Waverley novels, a series of historical works, have given him a more permanent reputation as a writer of prose.

A second generation of romantic poets remained revolutionary in some sense throughout their poetic careers, unlike Coleridge, Wordsworth, and Scott. George Gordon, Lord Byron, is one of the exemplars of a personality in tragic revolt against society. As in his stormy personal life, so also in such poems as Childe Harold's Pilgrimage (1812) and Don Juan (1819-1824), this generous but egotistical aristocrat revealed with uneven pathos or with striking irony and cynicism the vagrant feelings and actions of great souls caught in a petty world. Byron's satirical spirit and strong sense of social realism kept him apart from other English romantics; unlike the rest, he proclaimed, for example, a high regard for Pope, whom he sometimes imitated.

The other great poet-revolutionary of the time, Percy Bysshe Shelley, seems much closer to the grandly serious spirit of the other romantics. His most thoughtful poetry expresses his two main ideas, that the external tyranny of rulers, customs, or superstitions is the main enemy, and that inherent human goodness will, sooner or later, eliminate evil from the world and usher in an eternal reign of transcendant love. It is, perhaps, in Prometheus Unbound (1820) that these ideas are most completely expressed, although Shelley's more obvious poetic qualities-the natural correspondence of metrical structure to mood, the power of shaping effective abstractions, and his ethereal idealism-can be studied in a whole range of poems, from "Ode to the West Wind" and "To a Skylark" to the elegy "Adonais," written for John Keats, the youngest of the great romantics.

More than that of any of the other romantics, Keats's poetry is a response to sensuous impressions. He found neither the time nor the inclination to elaborate a complete moral or social philosophy in his poetry. In such poems as "The Eve of St. Agnes","Ode on a Grecian Urn," and "Ode to a Nightingale," all written about 1819, he showed an unrivaled awareness of immediate sensation and an unequaled ability to reproduce it. Between 1818 and 1821, during the last few years of his short life, this spiritually robust, active, and wonderfully receptive writer produced all his poetry. His work had a more profound influence than that of any other romantic in widening the sensuous realm of poetry for the Victorians later in the century.

B. Romantic Prose

Certain romantic prose parallels the poetry of the period in a number of ways. The evolution of fundamentally new critical principles in literature is the main achievement of Coleridge's Biographia literaria (1817), but like Charles Lamb (Specimens of English Dramatic Poets, 1808) and William Hazlitt (Characters of Shakespeare's Plays, 1817), Coleridge also wrote a large amount of practical criticism, much of which helped to elevate the reputations of Renaissance dramatists and poets neglected in the 18th century. Lamb is famous also for his occasional essays, the Essays of Elia (1823, 1833). An influential romantic experiment in the achievement of a rich poetic quality in prose is the phantasmagoric, impassioned autobiography of Thomas De Quincey, Confessions of an English Opium-Eater (1821).

II. THE VICTORIAN ERA

The Victorian era, from the coronation of Queen Victoria in 1837 until her death in 1901, was an era of several unsettling social developments that forced writers more than ever before to take positions on the immediate issues animating the rest of society. Thus, although romantic forms of expression in poetry and prose continued to dominate English literature throughout much of the century, the attention of many writers was directed, sometimes passionately, to such issues as the growth of English democracy, the education of the masses, the progress of industrial enterprise and the consequent rise of a materialistic philosophy, and the plight of the newly industrialized worker. In addition, the unsettling of religious belief by new advances in science, particularly the theory of evolution and the historical study of the Bible, drew other writers away from the immemorial subjects of literature into considerations of problems of faith and truth.

A. Nonfiction

The historian Thomas Babington Macaulay, in his History of England (5 volumes, 1848-1861) and even more in his Critical and Historical Essays (1843), expressed the complacency of the English middle classes over their new prosperity and growing political power. The clarity and balance of Macaulay's style, which reflects his practical familiarity with parliamentary debate, stands in contrast to the sensitivity and beauty of the prose of John Henry Newman. Newman's main effort, unlike Macaulay's, was to draw people away from the materialism and skepticism of the age back to a purified Christian faith. His most famous work, Apologia pro vita sua (Apology for His Life, 1864), describes with psychological subtlety and charm the basis of his religious opinions and the reasons for his change from the Anglican to the Roman Catholic church.

Similarly alienated by the materialism and commercialism of the period, Thomas Carlyle, another of the great Victorians, advanced a heroic philosophy of work, courage, and the cultivation of the godlike in human beings, by means of which life might recover its true worth and nobility. This view, borrowed in part from German idealist philosophy, Carlyle expressed in a vehement, idiosyncratic style in such works as Sartor resartus (The Tailor Retailored, 1833-1834) and On Heroes, Hero-Worship, and the Heroic in History (1841).

Other answers to social problems were presented by two fine Victorian prose writers of a different stamp. The social criticism of the art critic John Ruskin looked to the curing of the ills of industrial society and capitalism as the only path to beauty and vitality in the national life. The escape from social problems into aesthetic hedonism was the contribution of the Oxford scholar Walter Pater.

B. Poetry

The three notable poets of the Victorian Age became similarly absorbed in social issues. Beginning as a poet of pure romantic escapism, Alfred, Lord Tennyson, soon moved on to problems of religious faith, social change, and political power, as in "Locksley Hall," the elegy In Memoriam (1850), and Idylls of the King (1859-1885). All the characteristic moods of his poetry, from brooding splendor to lyrical sweetness, are expressed with smooth technical mastery. His style, as well as his peculiarly English conservatism, stands in some contrast to the intellectuality and bracing harshness of the poetry of Robert Browning. Browning's most important short poems are collected in Dramatic Romances and Lyrics (1841-1846) and Men and Women (1855). Matthew Arnold, the third of these mid-Victorian poets, stands apart from them as a more subtle and balanced thinker; his literary criticism (Essays in Criticism, 1865, 1888) is the most remarkable written in Victorian times. His poetry displays a sorrowful, disillusioned pessimism over the human plight in rapidly changing times (for example, "Dover Beach," 1867), a pessimism countered, however, by a strong sense of duty. Among a number of lesser poets, Algernon Charles Swinburne showed an escapist aestheticism, somewhat similar to Pater's, in sensuous verse rich in verbal music but somewhat diffuse and pallid in its expression of emotion. The poet Dante Gabriel Rossetti and the poet, artist, and socialist reformer William Morris were associated with the Pre-Raphaelite movement, the adherents of which hoped to inaugurate a new period of honest craft and spiritual truth in property and painting. Despite the otherworldly or archaic character of their romantic poetry, Morris, at least, found a social purpose in his designs for household objects, which profoundly influenced contemporary taste.

C. The Victorian Novel

The novel gradually became the dominant form in literature during the Victorian Age. A fairly constant accompaniment of this development was the yielding of romanticism to literary realism, the accurate observation of individual problems and social relationships. The close observation of a restricted social milieu in the novels of Jane Austen early in the century (Pride and Prejudice, 1813; Emma, 1816) had been a harbinger of what was to come. The romantic historical novels of Sir Walter Scott, about the same time (Ivanhoe, 1819), typified, however, the spirit against which the realists later were to react. It was only in the Victorian novelists Charles Dickens and William Makepeace Thackeray that the new spirit of realism came to the fore. Dickens's novels of contemporary life (Oliver Twist, 1838; David Copperfield, 1849-1850; Great Expectations, 1861; Our Mutual Friend, 1865) exhibit an astonishing ability to create living characters; his graphic exposures of social evils and his powers of caricature and humor have won him a vast readership. Thackeray, on the other hand, indulged less in the sentimentality sometimes found in Dickens's works. He was also capable of greater subtlety of characterization, as his Vanity Fair (1847-1848) shows. Nevertheless, the restriction of concern in Thackeray's novels to middle- and upper-class life, and his lesser creative power, render him second to Dickens in many readers' minds.

Other important figures in the mainstream of the Victorian novel were notable for a variety of reasons. Anthony Trollope was distinguished for his gently ironic surveys of English ecclesiastical and political circles; Emily Brontë, for her penetrating study of passionate character; George Eliot, for her responsible idealism; George Meredith, for a sophisticated, detached, and ironical view of human nature; and Thomas Hardy, for a profoundly pessimistic sense of human subjection to fate and circumstance.

A second and younger group of novelists, many of whom continued their important work into the 20th century, displayed two new tendencies. Robert Louis Stevenson, Rudyard Kipling, and Joseph Conrad tried in various ways to restore the spirit of romance to the novel, in part by a choice of exotic locale, in part by articulating their themes through plots of adventure and action. Kipling attained fame also for his verse and for his mastery of the single, concentrated effect in the short story. Another tendency, in a sense an intensification of realism, was common to Arnold Bennett, John Galsworthy, and H. G. Wells. These novelists attempted to represent the life of their time with great accuracy and in a critical, partly propagandistic spirit. Wells's novels, for example, often seem to be sociological investigations of the ills of modern civilization rather than self-contained stories.

D. 19th-Century Drama

The same spirit of social criticism inspired the plays of the Irish-born George Bernard Shaw, who did more than anyone else to awaken the drama from its 19th-century somnolence. In a series of powerful plays that made use of the latest economic and sociological theories, he exposed with enormous satirical skill the sickness and fatuities of individuals and societies in England and the rest of the modern world. Man and Superman (1903), Androcles and the Lion (1913), Heartbreak House (1919), and Back to Methuselah (1921) are notable among his works. His final prescription for a cure, a philosophy of creative evolution by which human beings should in time surpass the biological limit of species, showed him going beyond the limits of sociological realism into visionary writing.

 

BRITISH HISTORY

The Industrial Revolution

The most far-reaching, influential transformation of human culture since the advent of agriculture eight or ten thousand years ago, was the industrial revolution of eighteenth century Europe. The consequences of this revolution would change irrevocably human labor, consumption, family structure, social structure, and even the very soul and thoughts of the individual. This revolution involved more than technology; to be sure, there had been industrial "revolutions" throughout European history and non-European history. In Europe, for instance, the twelfth and thirteenth centuries saw an explosion of technological knowledge and a consequent change in production and labor. However, the industrial revolution was more than technology-impressive as this technology was. What drove the industrial revolution were profound social changes, as Europe moved from a primarily agricultural and rural economy to a capitalist and urban economy, from a household, family-based economy to an industry-based economy. This required rethinking social obligations and the structure of the family; the abandonment of the family economy, for instance, was the most dramatic change to the structure of the family that Europe had ever undergone-and we're still struggling with these changes.

In 1750, the European economy was overwhelmingly an agricultural economy. The land was owned largely by wealthy and frequently aristocratic landowners; they leased the land to tenant farmers who paid for the land in real goods that they grew or produced. Most non-agricultural goods were produced by individual families that specialized in one set of skills: wagon-wheel manufacture, for instance. Most capitalist activity focused on mercantile activity rather than production; there was, however, a growing manufacturing industry growing up around the logic of mercantilism.

The European economy, though, had become a global economy. In our efforts to try to explain why the Industrial Revolution took place, the globalization of the European economy is a compelling explanation. European trade and manufacture stretched to every continent except Antarctica; this vast increase in the market for European goods in part drove the conversion to an industrial, manufacturing economy. Why other nations didn't initially join this revolution is in part explained by the monopolistic control that the Europeans exerted over the global economy. World trade was about making Europeans wealthy, not about enriching the colonies or non-Western countries.

Another reason given for the Industrial Revolution is the substantial increase in the population of Europe; this is such an old chestnut of historians that we don't question it. Population growth, however, is a mysterious affair to explain; it most often occurs when standards of production rise. So whether the Industrial Revolution was started off by a rise in population, or whether the Industrial Revolution started a rise in population is hard to guess. It's clear, though, that the transition to an industrial, manufacturing economy required more people to labor at this manufacture. While the logic of a national economy founded centrally on the family economy and family production is more or less a subsistence economy-most production is oriented around keeping the family alive, the logic of a manufacturing economy is a surplus economy. In a manufacturing economy, a person's productive labor needs to produce more than they need to keep life going. This surplus production is what produces profits for the owners of the manufacture. This surplus economy not only makes population growth possible, it makes it desirable.

While it's hard to pinpoint a beginning to the Industrial Revolution, historians generally agree that it basically originated in England, both in a series of technological and social innovations. Historians propose a number of reasons. Among the most compelling is the exponential increase in food production following the enclosure laws of the eighteenth century; Parliament passed a series of laws that permitted lands that had been held in common by tenant farmers to be enclosed into large, private farms worked by a much smaller labor force. While this drove peasants off the land, it also increased agricultural production and increased the urban population of England, since the only place displaced peasants had to go were the cities. The English Parliament, unlike the monarchies of Europe, was firmly under the control of the merchant and capitalist classes, so the eighteenth century saw a veritable army of legislation that favored mercantile and capitalist interests.

Because of the strong role of Parliament in English government and the incredible influence of capitalists and mercantilists, social values had also been steadily shifting in England. In continental Europe, the aristocracy represented the fullest embodiment of social values. They believed that they were born with higher virtues than the common people, who, because of their birth would never attain these virtues to the same level. They also believed that the pursuit of money was a characteristic of common people; the mercantile and capitalist revolutions throughout Europe, in England, was achieved by the non-aristocratic classes-it was a middle-class or bourgeois revolution.

The diminished role of the aristocracy in English government and society, however, allowed for a steady shift in values; the values of the mercantile and capitalist classes slowly became the norm-the most important of these values was the pursuit of wealth. Adam Smith's The Wealth of Nations proposed that the only legitimate goal of national government and human activity is the steady increase in the overall wealth of the nation. This is not an idea that would have flown two hundred years earlier.

Mercantilism had thrived in England in ways that it hadn't on the continent. In particular, the English had no internal tariffs or duties on commerce, which wasn't true of any of the continental European states. Moving goods around in continental Europe was an expensive affair as you had to pay taxes and duties every hundred miles or so; moving goods around in England was cheap, and profits soared. In addition, England had come to monopolize overseas trade. Every time England fought a war in the eighteenth century it always acquired new overseas territory. It completely monopolized trade with the North American colonies-in fact, one-half of all British exports went to America in the 1780's-but it also began to control the South American and, most importantly, the Indian trade. All this trade produced the largest merchant marine in the world as well as a navy to protect this merchant marine fleet. Like Periclean Athens, England shot to the forefront of the new capitalist economy primarily through its navy.

The technological innovations followed these social and economic changes. The first major technological innovation was the cotton gin. Cotton is a plant grown in America and India; it was a small industry through much of the seventeenth century but exploded in the middle of the eighteenth. Most cotton was produced in British colonies; because it was a labor-intensive agriculture, it fueled the traffic in African slaves to the colonies-the cotton shroud that fell over the history of Africa. The first innovation in cotton manufacture was the fly-shuttle, which greatly speeded up the process of weaving cotton threads into cloth. That wasn't enough, though, for cotton had to be stretched out or spun into threads to begin with; this process was done slowly, one thread at a time, by a machine called a spinning wheel. This slow process was mechanized by James Hargreaves, a carpenter, in what is usually pointed to as one of the typological major technological innovations of the Industrial Age: the "spinning jenny." Patented in 1767, the spinning jenny was a series of simple machines rather than a single machine, and it spun sixteen threads of cotton simultaneously. These two qualities: multiple machines in a single machine as well as a machine that was designed not just to speed up work, but to do the work of several laborers simultaneously, was the hallmark of all subsequent technological innovations. In 1793, the American, Eli Whitney, invented the cotton gin which mechanized the separating of seeds from cotton fibers. These innovations made cotton incredibly cheap and infinitely expandable; since cotton clothing was tougher than wool, the manufacture of cotton clothing shot through the roof. By the end of the eighteenth century, the manufacture of thread and cloth was slowly moving out of the family economy and into large factory mills, though this transition would not be fully realized until the middle of the nineteenth century.

While the spinning jenny is frequently pointed to as the first, major technological innovation of the industrial revolution, the invention that really drove the revolution in the eighteenth century was invented several decades earlier: the steam engine. Along with the growth in the cotton industry, the steel industry began to grow by leaps and bounds. This was largely due to a quirk in English geography: England sits on vast quantities of coal, a carbon based mineral derived from ancient life forms. Coal burns better and more efficiently than wood and, if you have lots of coal, is infinitely cheaper. The English figured out that they could substitute coal for wood in the melting of metals, including iron, and blissfully went about tearing coal from the ground while manufacturers in Europe looked on jealously.

Mining coal, however, was not an easy task. As you drew more and more coal out of the ground, you had to mine deeper and deeper. The deeper the mine, the more it fills with water. In 1712, Thomas Newcomen built a simple steam engine that pumped water from the mines. It was a single piston engine, and so it used vast amounts of energy. Because of its inefficiency, nobody could think of any use for it besides pumping water.

Until a Scotsman named James Watt added a separate cooling chamber to the machine in 1763; this cooling chamber condensed the steam so the cylinder itself didn't have to be cooled. Patented in 1769, Watt's steam engine had the efficiency to be applied to all kinds of industries. He was not, however, good at doing busines and it was only when he had teamed up with the businessman, Matthew Boulton, that the steam engine began to change the face of English manufacture. By 1800, Watt and Boulton sold 289 of these new engines; by the middle of the next century, the steam engine replaced water as the major source of motive power in England and Europe. The changes that the steam engine wrought, however, is a story for another day.

And it is here, with 289 steam engines pumping and steaming around England that we'll leave the story of the Industrial Revolution-half-completed, you might say. The nineteenth century saw the exporting of the Industrial Revolution to Europe in the decades after 1830, and the explosion of factory-based, technology driven manufacture. The Age of Absolutism and the waning years of the Enlightenment saw Europe just beginning a new phase in its history, one that would irreperably severe it from the traditions and certainties of the past.

Richard Hooker

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