Pragmatic Presupposition and Old Information in the Use of the Subjunctive Mood in Spanish

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American Association of Teachers of Spanish and Portuguese is collaborating with JSTOR to digitize, preserve and extend access to Hispania. http://www.jstor.org Pragmatic Presupposition and Old Information in the Use of the Subjunctive Mood in Spanish Author(s): Errapel Mejías-Bikandi Source: Hispania, Vol. 81, No. 4 (Dec., 1998), pp. 941-948 Published by: American Association of Teachers of Spanish and Portuguese Stable URL: http://www.jstor.org/stable/345807 Accessed: 13-07-2015 15:21 UTC Your use of the JSTOR archive indicates your acceptance of the Terms & Conditions of Use, available at http://www.jstor.org/page/ info/about/policies/terms.jsp JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide range of content in a trusted digital archive. We use information technology and tools to increase productivity and facilitate new forms of scholarship. For more information about JSTOR, please contact [email protected]. This content downloaded from 129.93.16.3 on Mon, 13 Jul 2015 15:21:46 UTC All use subject to JSTOR Terms and Conditions

Transcript of Pragmatic Presupposition and Old Information in the Use of the Subjunctive Mood in Spanish

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Pragmatic Presupposition and Old Information in the Use of the Subjunctive Mood in Spanish Author(s): Errapel Mejías-Bikandi Source: Hispania, Vol. 81, No. 4 (Dec., 1998), pp. 941-948Published by: American Association of Teachers of Spanish and PortugueseStable URL: http://www.jstor.org/stable/345807Accessed: 13-07-2015 15:21 UTC

Your use of the JSTOR archive indicates your acceptance of the Terms & Conditions of Use, available at http://www.jstor.org/page/ info/about/policies/terms.jsp

JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide range of content in a trusted digital archive. We use information technology and tools to increase productivity and facilitate new forms of scholarship. For more information about JSTOR, please contact [email protected].

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THEORETICAL LINGUISTICS

Prepared by John Lipski

Pragmatic Presupposition and Old Information in the Use of the Subjunctive Mood in Spanish

Errapel Mejias-Bikandi University of Nebraska-Lincoln

Abstract: Independent evidence favors pragmatic characterizations of the distribution of mood in complement clauses in Spanish. Examination of the behavior of different types of complements in two different grammati- cal constructions supports the argument that the differences in behavior are the result of the different prag- matic status of the complement. Empirical evidence supports the hypothesis that complements which repre- sent old information appear in the subjunctive mood. The notion of old information serves to revise standard explanations of the use of mood in some negated complements and to explain some uses of the subjunctive mood that have been rarely discussed in the literature.

Key Words: subjunctive, mood, pragmatic presupposition, old information, negation, theoretical linguistics

The general goal of this article is to bring forward, once more, the role of pragmatics in the explanation of the

use of the indicative and the subjunctive mood in Spanish complements. Since the seminal work by Terrell and Hooper (1974) and Terrell (1976), who attempted to give a semantic generalization of the distribution of mood in Spanish complements in terms of a semantic notion of assertion, numerous studies have emphasized the role of prag- matic notions such as relevance and old/ new information in the selection of mood in Spanish complements (Lunn 1989; Lavandera 1983; Klein 1975). Guitart (1991) shows the relevance of the notion of prag- matic (or speaker) presupposition to distin- guish between mental act matrices such as notar or darse cuenta de and comment ma- trices such as lamentar. These two types of matrices were problematic for Terrell and Hooper's analysis because the complement is semantically presupposed in both cases and, consequently, cannot be asserted. Still, the distribution of mood in both types of complements is different. More recently, Mejias-Bikandi (1994) proposed a prag- matic notion of assertion, as opposed to a semantically defined notion of assertion used by Terrell and Hooper, to explain the use of the indicative mood in complement

clauses. The idea of pragmatic assertion was based on the notion of speaker's inten- tion, and was used, again, to differentiate between the complement of mental act ma- trices and the complement of comment matrices. However, the notion of speaker's intention is rather vague, which in turn cre- ates the danger that any explanation of the distribution of mood based on such notion becomes circular. This article builds on, complements, and extends these pragmatic approaches to the study of mood.

The article has two specific purposes. First, it provides independent evidence for the claim that complements of comment matrices are pragmatically presupposed, whereas complements of mental act matri- ces are not. This is done by identifying two grammatical phenomena with respect to which complements of comment matrices and complements of mental act matrices behave differently. An explanation of the different behavior of these two types of complements will be offered that will be based on the claim that the complement of comment predicates is pragmatically pre- supposed whereas the complement of men- tal act predicates is not. Second, I will use the notion of old information (in relation to the notion of pragmatic presupposition) to propose a reanalysis of the use of the sub-

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942 HISPANIA 81 DECEMBER 1998

junctive mood in the complement clause of some negated matrices and also to account for the use of the subjunctive mood in complements of matrices whose subject contains a quantificational expression such as poco/a/s or the adverb sdlo, a phenom- enon that has not been much discussed in the literature.

1. As pointed out above, Guitart (1991) and Mejias-Bikandi (1994) examine the distribu- tion of mood in complements of mental act predicates (darse cuenta de que, saber, notar) and comment predicates (lamentar, alegrarse de). The problem discussed is that both types of complements are logically presupposed and consequently cannot be asserted, but the indicative is used in one type of complement (mental act) and the subjunctive in the other (comment). This is illustrated in sentences (1) and (2):

(1) Lamento que Pedro haya perdido el trabajo.

(2) He notado que Teresa ya no me llama. Guitart proposes that the complement of

comment predicates is pragmatically pre- supposed, whereas the complement of men- tal act predicates is not. Along similar lines, Mejias-Bikandi proposes that the relevant notion to understand the use of mood in these two types of clauses is the notion of speaker's intention. The claim is that with mental act predicates, the intention of the speaker is to indicate that the information expressed by the complement is true for the matrix subject, whereas with comment predicates, the speaker's intention is to in- dicate the subject's reaction towards the information expressed by the complement. In this section, I will examine two different grammatical constructions with respect to which complements of mental act matrices behave differently from complements of comment matrices. The differential behav- ior will be shown to follow from the fact that one type of complement is pragmatically presupposed whereas the other is not. The two grammatical phenomena are: (i) the possibility for an indefinite to establish a dis- course referent, and (ii) the distribution of the intensifier tan/tanto/a. The explanation

will provide independent evidence for the claim that the pragmatic status of both types of complements is different, and, in so do- ing, it will give empirical content to analy- ses of mood based on notions such as prag- matic presupposition.

1.1. An indefinite phrase generally estab- lishes a discourse referent (in the sense of Karttunen 1971). That is, it introduces a new entity in the discourse that may be re- ferred to later by a pronoun or a definite phrase. A trivial example would be:

(3) Una mujer, entr6 en la tienda. (Ella) se acerc al mostrador An interesting difference between the complements of mental act predicates and the complements of comment predicates is that an indefinite phrase within the comple- ment of a mental act predicate may intro- duce a discourse referent, whereas an indefinite phrase within the complement of a comment predicate may not. Thus, the contrasts:

(4) Me he dado cuenta de que conoces a un amigo mior (El) se llama Josd.

(5) ??Lamento que conozcas a un amigo mior. (El) se llama Jose.

(6) Se que conoces a un amigo mior (El) se llama Jose.

(7) ??Me alegro de que conozcas a un amigo mio,. (El) se llama Jose. Whereas (4) and (6) are perfectly natural discourses, (5) and (7) are somewhat awk- ward. The indefinite within the complement of a comment predicate, as in (5) and (7), does not seem to be able to establish a new discourse referent. In other words, if the matrix is a mental act predicate, its comple- ment may introduce a new discourse refer- ent. If the matrix is a comment predicate, its complement may not introduce a new discourse referent. Before offering an expla- nation for this different behavior, let us ex- amine the second phenomenon under con- sideration: the distribution of the intensifier tan/tanto/a/s.

1.2. The particle tan/tanto/a/s in Spanish may appear in some cases unaccompanied by a comparative phrase, as an intensifier:

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THE USE OF THE SUBJUNCTIVE MOOD IN SPANISH 943

(8)iPedro es tan alto! (9) XPor qud es tan alto Pedro?

However, this use of tan is not possible in a simple declarative affirmative sentence:1

(10) Pedro es muy/??tan alto. Now, this intensifier cannot appear in the declarative complements of mental act predicates:

(11) Me he dado cuenta de que sabes muy/ ??tan poco.

(12) Se que sabes muy/??tan poco. However, and interestingly, this particle appears naturally in the declarative comple- ment of comment predicates:

(13) Lamento que sepas tan poco. (14) Me alegro de que sepas tanto.

As before, we have established a correlation between the type of predicate and a gram- matical phenomenon, in this case the distri- bution of the intensifier tan. The next sec- tion will provide an explanation of the pre- viously discussed data based on the notions of pragmatic presupposition and old infor- mation.

1.3. I will first use a formal (and problem- atic) definition of pragmatic presupposition based on the notion of mutual or shared knowledge,2 which will provide a principled basis to differentiate the pragmatic status of the complements in (1) and (2). However, I will subsequently relate this notion to (and replace it by) a notion of old information based on the idea of Assumed Familiarity (term borrowed from Prince 1981). This weaker definition will be useful in discuss- ing the complement of negated matrices.

1.3.1. An utterance A pragmatically pre- supposes a proposition P iff (if and only if) in order for A to be appropriate P must be- long to the mutual knowledge of speaker and hearer. A proposition P belongs to the mutual knowledge of speaker and hearer iff (if an only if) the speaker knows that P, and the speaker knows that the hearer knows that P, and the speaker knows that the hearer knows that the speaker knows that P (and so on). With this definition in mind, it is easy to see that the complement of com- ment predicates is pragmatically presup-

posed, whereas the complement of mental act predicates is not. That is, for an utter- ance such as (1) to be appropriate, the speaker must assume not only that the hearer knows that Peter has lost his job, but also that the hearer knows that the speaker knows that Peter has lost his job. On the other hand, an utterance such as (2) would be appropriate in a situation in which, for instance, the hearer doesn't know that Teresa doesn't call the speaker anymore. Then, the proposition expressed by the complement in (1) is pragmatically presup- posed, whereas the proposition expressed by the complement in (2) is not.

1.3.2. There is an intuitively obvious rela- tion between the notion of pragmatic pre- supposition and the notion of old informa- tion. Here I am interested in the notion of old information as applied to information expressed by a complement clause. A complement represents old information when the speaker assumes familiarity with the information expressed by the comple- ment. To assume familiarity is to assume that the information has been entertained or discussed previously by the hearer. We can use this definition to distinguish be- tween two types of matrices. When the use of a matrix is appropriate only when the speaker assumes familiarity with the infor- mation expressed by the complement, then the matrix introduces old information. The complement in (1) thus represents old in- formation, since the speaker must assume familiarity with the information expressed by the complement, and the matrix is a matrix that introduces old information, since the use of a predicate such as lamentar is appropriate only if the speaker assumes that the hearer is familiar with the information expressed by the complement. On the other hand, (2) may be uttered in a context in which the hearer is not assumed to be familiar with the information ex- pressed by the complement. Consequently, notar is not a matrix that introduces old in- formation.3 Now, we can propose the follow- ing distinction: comment matrices intro- duce old information, mental act matrices

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944 HISPANIA 81 DECEMBER 1998

do not. This claim will be given independent support in the following section.

1.4. How does one explain the differential behavior of the complement in both types of predicates with respect to the two gram- matical constructions described in sections 1.1 and 1.2? The first phenomenon to be considered is the inability for an indefinite to introduce a new discourse referent. A new discourse referent can be considered new information in an obvious sense. But then there is an inconsistency in trying to introduce new information within a comple- ment that represents old information. We can propose a principle that states that an indefinite cannot introduce a new discourse referent if it appears in a complement that represents old information. This principle is intuitively correct and explains the awk- wardness of sentences such as (5) and (7). This clash does not arise in the complement of mental act predicates, since they do not introduce old information.

Considering now the second phenom- enon, the intensifier tan is anaphoric in na- ture, that is, it makes necessary reference to some degree of the property described by the adjective that is assumed to have been discussed or entertained previously by speaker and/or hearer, as in the negative sentence (15):

(15) Pedro no es tan alto. In this case, the use of tan is natural, but in order for this sentence to be appropriate, it must be uttered in a situation in which Peter's height has been previously dis- cussed. We can say, then, that the intensi- fier tan may appear in complements that represent old information, and it may not appear in complements that do not repre- sent old information. This principle on the distribution of the intensifier tan explains sentences (11) through (14).

The discussion above has established an explicit and testable distinction between comment predicates and mental act predi- cates. Such tests give empirical content to claims about the difference in the pragmatic status and information value of comple- ments of mental act and comment predi-

cates, difference that can be used to explain the distribution of mood on both types of predicates: complements that represent old information appear in the subjunctive.4

2. Turning now to the problem of negated matrices, it has been standardly claimed that negation may change the type of a predicate, from one that indicates certainty to one that indicates uncertainty, and thus, negation generally triggers the use of the subjunctive. For example, negating an as- sertive matrix such as es seguro que, creates a doubt matrix such as no es seguro que. As a doubt matrix, no es seguro que triggers the use of the subjunctive. However, such an account runs into difficulties with matrices such as dudo que. Negating that matrix should change it from being a doubt matrix to being an assertive matrix, a matrix that indicates certainty, and the prediction is that the mood of the complement clause should change from subjunctive to indica- tive. However, this is not the case:'

(16) No dudo que hiciera un buen traba-

jo. I assume the classical claim that negation

is related to the notion of presupposition and thus argue that negated matrices may fall under the same category as comment matrices and that the use of the subjunctive mood in the complement may be explained by claiming that the complement of negated matrices represents old information.

2.1. The relation between negation and some notion of presupposition has been widely discussed in the literature (Horn 1989). As an example of such discussion, consider Giv6n's (1979) claim that "nega- tives in general are uttered in a context where the corresponding affirmative has been discussed, or else where the speaker assumes the hearer's bias toward or belief in-and thus familiarity with-the corre- sponding affirmative" (139). Thus, an utter- ance such as:

(17) Peter is not tall. would be rather strange, unless I assume that my interlocutor has previously dis- cussed or entertained some idea about

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THE USE OF THE SUBJUNCTIVE MOOD IN SPANISH 945

Peter's height. A similar claim can be made regarding

the complement of negated matrices. Sen- tence (16) above is appropriate only in a context in which I assume that the hearer entertains or has discussed the idea that Mary did a good job. Thus, we may say that a complement of a negated matrix repre- sents old information.

This conclusion is reinforced by the be- havior of the complement of negated matri- ces with respect to the two constructions discussed in section 1. The complement of a negated matrix therefore cannot establish a discourse referent and the intensifier tan may appear in the complement of a negated matrix:

(18) ??No dudo que conozcas a un amigo mio,. (El2 se llama Jose.

(19) No dudo que tenga tanto dinero. Consequently, the use of the subjunctive in the complements of (16), (18), and (19) can be explained by appealing to the notion of old information, rather than by appealing to notions such as assertion or doubt.

3. A phenomenon not often discussed in the literature is the use of the subjunctive in the complement of some matrices when the matrix subject contains a determiner of the type poco/a/s or the adverb sdlo, illus- trated in sentences (20) and (21):6

(20) Pocos trabajadores creen que haya que ir a la huelga.

(21) S61lo Pedro cree que haya que ir a la huelga. First of all, this use of the subjunctive mood is difficult to explain by appealing to the standard notion of certainty/uncertainty. Contrast, for instance, sentences (20) and (21) with (22) and (23) below, where the verb of the complement must appear in the indicative mood:

(22) Pedro cree que hay que ir a la huel- ga.

(23) Algunos trabajadores creen que hay que ir a la huelga. Creer has been considered an assertive matrix (Terrell and Hooper 1974), and as such, it requires the use of the indicative in the complement (as opposed to no creer,

which has been considered a doubt matrix). However, why is creer not an assertive ma- trix in (20) and (21)? In both the speaker is indicating that the complement is true for the matrix subject, as in (22) and (23).

Secondly, the complements of (20) and (21) behave like complements that repre- sent old information with respect to the possibility of introducing a new discourse referent and the distribution of the intensi- fier tan/tanto/a/s:

(24) Poca gente cree que trabajes tanto. (25) ??Pocos estudiantes creen que conoz-

cas a un amigo mioi.

(El) se llama Jose. (26) S61o Maria cree que trabajes tanto. (27) ??Sdlo Maria cree que conozcas a un

amigo mio..

(E,2 se llama Jose.

Assuming that the analysis proposed in section 1 for these two phenomena is correct, the complement of both (20) and (21) represents old information. This in turn explains the use of the subjunctive. This claim is, moreover, intuitively correct. It is possible to imagine a context in which a speaker utters (22) and the hearer had not assumed or entertained or discussed the idea that there existed the possibility that the workers would go on strike. However, such a context is more difficult to imagine for the case of (21), that is, an utterance of (21) would only be appropriate in a context in which the possibility of workers going on strike had been previously discussed or entertained.

To summarize, in the preceding sections the discussion has been restricted to the use of mood in sentential complements of a verb. Specifically, the problem was how to distinguish between complements of men- tal act matrices and complements of com- ment matrices. A distinction had been pro- posed before in terms of the notions of prag- matic assertion and pragmatic presupposi- tion. I have provided independent evidence in favor of the claim that complements of comment matrices are pragmatically pre- supposed and, consequently, represent old information, whereas complements of men- tal act matrices are not pragmatically pre- supposed. This gives empirical content to

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946 HISPANIA 81 DECEMBER 1998

the hypothesis that the indicative mood is used to (pragmatically) assert a comple- ment. The notion of pragmatic presupposi- tion/old information then serves to reana- lyze the use of the subjunctive mood in complements of negated matrices. A new explanation of the use of mood in these types of complements is proposed that avoids the empirical difficulties that the standard explanation faced. The next sec- tion briefly discusses how the notion of old information and the tests devised to identify when a clause represents old information can be used to explain uses of the indicative and the subjunctive mood in other types of subordinate clauses.

4. This section addresses two specific is- sues: first, can the analysis be extended to account for the use of mood in other types of subordinate clauses, and, second, can the analysis explain the use of the indicative mood in some complements that may also appear in the subjunctive mood? The dis- cussion will suggest ways in which these questions may be answered, rather than provide a detailed analysis of mood in dif- ferent types of subordinates, which would be beyond the scope of this article.

4.1. The subjunctive mood may be used in adjective clauses, adverbial clauses, clauses that are complements of nouns, and clauses that are complements of adjectives. In gen- eral, there is high degree of correlation be- tween the use of the subjunctive mood and whether the information is presented as a fact or not. However, some uses of the sub- junctive mood that have been traditionally held as problematic can now be easily ex- plained within the analysis proposed. Con- sider, for example, the use of the subjunc- tive in sentences that are complements of the noun hecho, as in (28):

(28) El hecho de que legaras tarde significa que no te importo. Notice that the subordinate clause in (28) describes what is regarded by speaker and hearer as a fact. However, the subordinate verb may appear in the subjunctive mood. Notice that this type of complement repre-

sents old information according to the tests devised in the previous sections:

(29) El hecho de que llegaras tan tarde significa que no te importo.

(30) ??El hecho de que conocieras a un amigo mio, me hizo cambiar mi opinidn de ti. (El) se llama Jose. Consequently, the use of the subjunctive mood in the subordinate clause in (28) can be explained by claiming that the clause represents old information, and the claim can be independently motivated.

4.2. As is well known, there are some complement clauses that may appear in ei- ther the subjunctive or the indicative mood. For example, the complement of some com- ment matrices may appear in the indicative, as (31) shows, and the complement in (28) may also appear in the indicative, as in (32):

(31) Me alegra que estudias tanto. (32) El hecho de que llegaste tarde

significa que no te importo. It was claimed above that the indicative mood is used to pragmatically assert the information expressed by the complement and that complements that represent old information are not pragmatically asserted. Since it was argued that the complements in (31) and (32) represent old information, how can the indicative mood in these sen- tences be explained?

Refining the analysis assumed so far is in order. Complements that represent old information are not typically pragmatically asserted and may appear in the subjunctive mood. In a particular discourse situation, a speaker may choose to foreground the in- formation conveyed by a pragmatically pre- supposed complement, if s/he regards that information as relevant. In such a case, the complement will appear in the indicative mood. A systematic study of the discourse use of the indicative and the subjunctive in discourse (as carried out, among others, by Lavandera 1983 or Lunn 1989) seems to support this claim. The claim makes in turn the following prediction: only complements that are pragmatically presupposed may appear on some occasions in the indicative mood (complements of comment matrices,

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THE USE OF THE SUBJUNCTIVE MOOD IN SPANISH 947

complements of some negated matrices, complements of the noun hecho), whereas complements that are not pragmatically asserted because they are not presented as a fact for the speaker or subject may never appear in the indicative mood (comple- ments of doubt, imperative matrices).

5. As mentioned in the introduction, prag- matic notions such as relevance, pragmatic presupposition, and pragmatic assertion have been used before to explain the distri- bution of mood in sentential complements in Spanish. I have sought independent ways of testing whether a complement is prag- matically presupposed or not to support the claim that complement of comment matri- ces are pragmatically presupposed and to use the notion of pragmatic presupposition/ old information to reanalyze the use of mood in complements of negated matrices. The evidence is in favor of the following conditions regarding the distribution of mood in subordinate clauses that are complements of a verb in Spanish: (i) ma- trices whose complement represents old information trigger the use of the subjunc- tive in the complement, (ii) complements that refer to information that is not pre- sented as true (for the speaker or the ma- trix subject) appear in the subjunctive, (iii) information that is pragmatically asserted appears in the indicative. Assuming that we pragmatically assert what is presented as new information and as true (for the speaker or the matrix subject), then it can be claimed that the indicative mood is used to (pragmatically) assert a complement. The article also shows that logico/seman- tic notions such as truth or falsity and logi- cal presupposition are less relevant than discourse/pragmatic notions for the under- standing of the use of the subjunctive mood in sentential complements in Spanish.

From a theoretical standpoint, the pro- posed analysis has some important conse- quences. Some of the properties discussed, such as the possibility for an indefinite to establish a discourse referent (or, in formal terms, the possibility for an existential quantifier to bind a variable outside its

scope), have sometimes been discussed and analyzed by focusing on the study of logical properties of specific expressions such as negation, or the universal quantifier (for instance, Barwise 1987; Groenendijk and Stokhof 1991). The evidence here pre- sented suggests, on the other hand, that this phenomenon is better understood in terms of discourse/pragmatic properties of the expressions involved.

* NOTES

1 Again, the use of tan in (10) would be acceptable if (10) was uttered with a special intonation, an into- nation that would make it an exclamative sentence.

2Among others, Schiffer (1972), Stalnaker (1974), Gazdar (1979) discuss the notion of pragmatic presup- position and mutual knowledge.

3To be sure, it can be used in cases when the speaker assumes familiarity with the information ex- pressed by the complement, but this is not necessar- ily the case. In other words, assumed familiarity is not a necessary condition for the appropriate use of men- tal act predicates.

4The tests that have been devised can be used to make explicit the distinction between some types of assertive predicates and some types of comment predicates. Sometimes this distinction is not intu- itively obvious. However, assertive predicates should pattern along the lines of mental act predicates. Thus, consider the contrast:

(i) Es obvio que estais ??tan/muy cansado. (ii) Es inevitable que estes tan cansado. (iii) Es indudable que estais ??tan/muy cansado. 5This is certainly true in Castilian Spanish. The

indicative can also be used in this matrix, as in other negated matrixes, although the more natural form would be the subjunctive. Section 4 discusses the use of the indicative mood in these sentences.

6These sentences are grammatical, at least for speakers of Castilian Spanish, if pronounced with a particular intonation, with the matrix subject in focus.

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