this PDF file - Brigham Young University

this PDF file - Brigham Young University

A
NEW L 0 0 K
at the SUB J U NeT I V E MOO D in SPA N ISH
Ronald P. Millett
Languages and Linguistics Symposium
March 22-23, 1976
Brigham Young University
Language Research Center
in conjunction with
Linguistics Department
and
Deseret Language and Linguistics Society
8.1
A NEW LOOK at the SUBJUNCTIVE MOOD in SPANISH
Ronald P. Millett
I think that both teachers and students of
Spanish will agree that the correct determination of the subjunctive mood is one of the major
challenges of learning the Spanish language.
During the past year I have become very interested in this problem as it relates to generation
of correct verb forms in our computer programs
of Spanish Synthesis on the COIT1puter-Assisted
Language Translation project. The traditional
distinctions which showed the subjunctive/
indica tive contrasts lacked the gene rality we
needed fo r a compute r program and it was
difficult to determine how these distinctions
could be trig ge red.
During the past couple of years Dr.
Bldon Lytle has been developing a theory of
human information processing which is based
on Junction Gran'lmar. This theory clarified
such intuitive concepts as definite and indefinite
that have previously been so hard to handle in
anything as formalized as computer-assisted
translation. This theory attempts to explain
the information modes triggered in the mind of
the listener by the language code which the
speaker cal'efully formulates to carry his
message to the listener. One of the most
interesting parts of the theory concerns the
assigned or unassigned nature of the ideas which
are to be communicated from the speaker! s
world to that of the listener. Dr. Lytle
observed that many of the subjunctive distinctions in Spanish seemd to be related to this
feature which is sometimes referred to as
specific vs. generic. From Dr. Lytle's
theoretical base, I then attempted to see if
indeed a significant amount of subjw1ctive data
could be explained on the basis of the assigned
or unassigned distinctive feature.
To understand the significance of this
distinctive feature, let us briefly discuss some
of the characteristics of our information processing system. Even as a small calculator
may be "hard-wired" to make a complex
computation such as finding the exponential of
a number, the human mind is apparently hardwired to do an amazing variety of information
processing tasks
We can store vast amounts
of visual, auditory and conceptual data, all interrelated and cross referenced for future recall
and use. As we communicate we constantly
encode information about events, real or
imagi~ary concepts and ideas into language code
in order to transfer information to others. We
also decode a vast amount of data, both linguistic and sensory, that is added to our vast
information network.
8.2
Since language plays such an important
part in this transfer of information we would
expect language to contain not only information
but directions and cues to aid in the correct
processing of that information when it is decoded by the listener. One of the more familiar
examples of these information processing cues
in language is the concept of definite and
indefinite as it relates to noWlS. For example,
if I wanted to communicate an event that happened
to a boy I saw yesterday Wlknown to the person
l!m talking to I might say "1 saw a boy run
the mile yesterday". Because I used the indefinite article, my listener would not send his
processing system into a search for a boy in
his experience that fits the description of running the mile, but rather will allocate a data
space in his system for this new member of
the set of boys and reference the event of
rWlning the mile yesterday as characterizing this
particular member of the set of boys. In Dr.
Lytle! s terminology, this process of allocating
a slot for a new member of a set is called "entry
mode. "
Similarly, if I then wanted to add more
information about this boy to the listener's data,
I would then say something like, "I saw the boy
also run a relay." My use of the definite article
would not trigge r a new boy to be added to the
listener! s set of boys but rather would send him
searching for an already mentioned member of the
set and cross reference the additional iniormation
to the data the listener associates with that boy.
This is called "recovery mode".
The assigned or unassigned nature of information is also important as a cue to the listener
so he can correctly decode an utterance. A noun 0
clause is classified as assigned if the value of the
linguistic variable is fixed and therefore constant.
On the other hand, an unassigned clause or noWl
has no implicit value and is therefore a variable.
We assert that the assigned-unassigned feature
(sometimes referred to as specific vs. generic)
applies to nouns and clauses independent of
whether they are definite or indefinite.
Compare these two sentences.
l.
I saw a book.
2.
I want a book.
The indefinite article is u.sed with the noun
of both sentences. However, only the first sentence refers to a specific book. The second sentence still has the value of the book unresolved or
unnas signed.
The unassigned feature can be extended to
the clause level of processing also. When I say,
"I want John to come" not only is new information entered in the listener's mind associated
with the slot he's given John in his system, but
the information is also marked as not actually
being true or taking place at a specific time.
When dealing with clauses expressing events,
propositions or performances the listener needs
to know whether it is real, potential or contrary to fact. The sentences of Figure 1 show
this contrast. In the first group of sentences
the clauses are all assigned. Each of them is
assigned some time to happen or is or was or
will be true at some time. In the second group
there is a feeling about each subordinate clause
that it hasn't been assigned a time to take' place
or that it is doubtful, wishful thinking or
merely conjecture.
I will now try to examine a portion of the
subjunctive triggering environments in light of
this and other features of information processing. I think that a substantial amount of the
data can be effectively explained using this
feature.
Tengo el deseo de que Juan venga manana.
I have the desire for John to come tomorrow.
(6).
Le inste a que se enterara de la verdad.
I encouraged him to become aware of the truth.
(7).
Cuando llegue, me saludara.
When he comes, he'll greet me.
(8)
Venga 0 no venga. tenemos que salit.
Whether he comes or not. we have to leave.
I will not go into detail on each structure and why
they are so differently represented. However. I
think that we all can get the feeling that the subjunctive in each case reflects that the state of
the information of the clause is unassigned. In
sentence 5 John has not ceme nor is he sure to
come even tomorrow. In 6 the desire that he
become aware of the truth doesn't assign any
specific time when he will become aware. 7 carries doubt or lack of assurance that his arriving
will ever become a fact and 8 never settles the
question as to whether he will or won't come.
which obviously can't both be true at once.
9.
Figure 2 illustrates two of these sentences.
4.
(5).
Contrast these examples with those of Figure 5.
First, let's look at examples where the
subjunctive seems to be a direct reflection of
the unassigned feature on the conceptual level.
3.
Figures 3 and 4 present several more examples
of the unassigned feature.
Quiero que vayas a mexico.
I want you to go to Mexico.
Vino para que su madre tuviera mejor
salud.
He came so his mother would have
better health.
Es indudable que hace frIo.
It is sure (being) cold.
10.
Veo que nieva.
I see that it's snowing.
11.
Dice que come.
He says that he is eating.
In this group we have the speaker simply
reporting to his listener events, propositions or
performances that are happening in one of his
sensory monitors. My senses tell me that it is
At first you may wonder why an example ofthe cold. My visual monitor tells me that it is snow"wishing" verbs with a dependent noun clause is
ing and my audio centers heard the statement that
being discussed at the same time as a dependent
he is eating.
adverbial clause. The reason is that both of
the dependent clauses have much in common.
They both will be marked in the listener's mind
Unassigned Noun
as having no specific time.!. when they will
happen. Certainly it is important to know that
In figure 6 unassigned or generic nouns seem
querer or para are sememes that create a conto trigger the unassigned feature in restrictive
text for an unassigned clause. However, even
relative clause constructions.
more unportant is to be able to recognize that
the information represented in the dependent
12. Necesito un hombre que sepa cocinar.
clause is decoded in a similar manner in the
I need a man that knows how to cook.
listener's mind and that the subjunctive mood
of the verb serves as a cue to the listener that
13. Ponlo donde sea difIcil encontrarlo.
the information in the clause is doubtful, wishPut it where it will be difficult to find.
ful thinking, possible but not yet happened or sure
to happen. In other words, the subjunctive serves
Because they don't modify a noun with a
as a cue to represent the information mode that
specific referent these relative clauses can't be
characterizes the event, proposition, or perforcarrying assigned information. We need a man
mance that is being communicated.
who knows how to cook, but who knows who he is
or exactly for whom that statement is true or
whether it is at all ?
8.3
I
Figure 1
I.
Assigned
1.
He came yesterday.
2.
I know that he came.
3.
He comes every day.
4.
It is raining.
s.
He will come tomorrow.
6.
The lion will eat you Friday.
II.
Unassigned
1.
Say you are sorry!
2.
Whether he come s or no t, . . .
3.
I desire that you come immediately.
4.
I hoped you to be a man of courage.
8.4
Figure 2
(3)
Quiero que vayas a mexico.
I want you to go to Mexico.
SV
P~
~
V
. N
/~
quiero
N
(yo)
*
SV(que) [unassigned]
.~
.vayas a m6xico
(4)
Vino para que su madre tuviera mejor salud.
He came so his mother would have better health.
A
PV
PV
I
*
~N
(el)
pv~
PP
/~
V
Vino
P
para
N
~
N
*
SVCque) [UA]
.6
.
su rna d re tuvlera
mejor salud
8.5
Figure 3
(5)
Tengo e1 deseo de que Juan venga manana.
I have the desire for John to come tomorrow.
SV
~
PV
N
~
(yo)
V
N
tcngo
/"~
=* N
SP-PP
e1 /~/ /~
N
N
deseo
-*
N
P
de
N
/~
N *
6
SV(que) [UA]
Juan venga
""
manana
(6)
Le inste a que se enterara de 1a verdad.
I encouraged him to become aware of the truth.
SV
~
PV
~
A
V
inste
*
N
(yo)
~e
SP
v~
PP
~
P
a
N
~
N
*
SV(que) [FA]
~
se enterara de
1a verdad
8.6
Figure 4
(7)
Cuando llegue, me saludara.
When he comes, he'll greet me.
SV
p~r
./\
PV
/"SA
*
PV
~
V
N
saludara
me
(8)
eel)
~
PA
I
A
~
A * SV[UA]
cuando
~
llegue
Venga 0 no venga, tenemos que salir.
Whether he comes or not, we have to leave.
P0N
~
/
*
PV
I
nosotros
" '___ SA
PV
I
V
V~V
tenemos
que
""
PA
~
I
A
saiir
=*
SV
N~
(whether)~
[UA]SV
~
venga
8.7
&or
SV[UA]
.6
no venga
Figure 5
(9)
Es includable que hace frlo.
It is sure (being) cold.
SV
~
PV
I
V
~
* ~A
I
N
~
N * SV(que)
~~
V
es
hace frIo
A
indudable
(10) Veo que nieva.
I see rtha tit's snowing.
SV
~
PV
N
f
(yo)
V
~
V
veo
*
SV(que)
4
nIeVa
(11) Dice que come.
He says that he is eating.
SV
~
PV
N
(e 1)
\
V
v~v(que)
dice
D..
come
8.8
Figure 6
(12)
Necesito un hombre que sepa cocinar.
I need a man who khows how to cook.
SV
.~
N
PV
/~
V
necesito
(yo)
N
A
N
*-
,
N[UA]
SV[UA]
un~
N -* N
hombre
PV
~
sepa cocinar
(13)
Ponlo donde sea diffcil encontrarlo.
Put it ",here it will be difficult to find.
SV
~[UA]
P~N
py-- "N
(tu)
A
/\
V
pon
*
N
10
/SA~
V
sea
I
A
@
*
PA
/
~
A
N
~
PA
pv/
~
I
V
N [UA]
A
/~
N * Nil
donde
*
PV
SA
*
~
PV
encontrarl0
diffci1
8.9
PV
~~
PA
I
~
A
@
Nil
represent the potential or imaginary information
modes. Often a speaker will code the subjunctive
into a clause that he kno\vs to be real. Example 5
of what we could call affective or subjective
coding of the subjunctive are illustrated in
Figure 9.
Instruction Feature
In Figure 7 we see examples of a feature
closely related to the unassigned feature. This
is the command or instruction feature.
14.
15.
i Venga aca.!
Come here!
18.
Me molesta que Juan este aqul.
It bothers ITle that John is here.
Me dijo que no 10 molestara.
He told me not to bother him.
19.
Me a1egro de que hay an llegado.
I aITl happy that they have arrived.
20.
Es l6gico que haga calor.
It's logical that it be hot.
The instruction feature is a milder form
of a command put in a more polite request
format. A command or instruction is naturally
unassigned. Its execution is only a possibility
later in time, not a reality. The unassigned
feature is coded into the lexical string as the
subjunctive mood verb inflections.
In each of these exaITlples the speaker is
not faithfully ITlarking unassigned clauses with
the subjunctive and assigned clause in the indicative. The subjunctive seems to reflect the
speaker's attitude toward the information or
his defe rence fo r the opinions of othe rs by
expressing his observations as only possibilities.
English has a siITlilar phenoITlenon illustrated in
Figure 9a.
Imaginary Information Mode
Now let's examine some related examples
that also trigger the subjunctive in Figure 8.
16
Si yo fuera rico.
If I were rich . .
17
0 j ala fup. ra un angel
O·that I were an angel
These two examples illustrate the contrary
to fact feature. Like the unassigned clauses we
have been discussing, a contrary to fact clause
has no specific value. This feature actually represents a different information mode, the imaginary
mode. An unassigned clause contains information
that is hoped to become real sometime in the
future, but a contrary to fact clause contains
information that we imagine to he true at the
present while it really isn't. We make no
claims about the information ever possibly being
true and only talk about it in an imaginary present
tense.
It is interesting to note that Spanish normally does not use the subjunctive in if-clauses
except in this imaginary mode even though the
clause does feel unassigned. In Junction
Grammar representation the lexeme ~ is a
1exicalization of a node that is said to modalize
the clause. This modalizer cues unassigned
clauses just as the subjunctive does. Thus
unless we want to put added emphasis on the
unassigned clause the subjunctive is not used
because it provides the same 'cues as the if
modalize r.
21.
I hope he COITles.
(indicative)
22.
I desire that he COITle.
(subjunctive)
The verb hope in 21 uses the indicative
even though it is very siITlilar to the verb desire
in 22 which uses the subjunctive. Hope seems
to represent a psychological tendency to nl.ark
as assigned sOITlething one wishes to be assigned,
even though it isn't. In other words, there is a
"wishful thinking" ITlode which overrides SOITle
subjunctives.
The Spanish sentence 18 seems to be the
reverse of the English exaITlple. The clause is
true and the speaker knows it. However, he
wishes that John were not here and allo\vs this
wishful thinking to override the indicative mode
and code the clause as subjunctive. The subjunctive reflects his desire that the dependent
clause represent ITlerely potential information
even though he knows it to be real.
Affective Coding of the Subjunctive
Sentence 19 represents a different type of
affective coding. Once again, the SUbjunctive
is used in a clause that is assigned. The speaker's
approval of the event seems to trigger this affective
coding of the clause in the subjunctive. It is as if he
is asserting that if it became again only a potential
event that he would gladly see it happen another
time changing from unassigned to assigned. Thus.
both positive and negative attitudes toward an event
or proposition may cause the subjunctive to be coded
even though it does not represent the true information mode.
Perhaps the most interesting occurrance
of the subjunctive is when it does not faithfully
Sentence 20 is an example of the speake r
coding the sentence with deference to the attitude
8.10
Figure 7
(14)
iVenga aca!
Come here!
SV [command]
~
N
I
(us ted)
PV
V
SA
~/~
V
venga
*
V
PA
I
A
aca
(15)
Me dijo que no 10 molestara.
He told me not to bother him.
SV
PV~N
I
(el)
V
~ /.sP~
V
*
PP me
V
V~v(que) P~
dij 0
(a)
/\
~[INS]
no -10 moles tara
8.11
(mi)
Figure 8
(16)
Si yo fuera rico, .
If I were rich, .
,
•,
"'-.....A
~
* c:.V
~
fact)SV * SV
A
(Contrary to
~
si
/
P
(rL-F-S-V-M-o-d-a-ll-'z-e-r~J
t
~o
V~A
I
fuera
A
rico
(17)
Ojal~(que)fuera un angel.
that I were an angel.
a
SV
~
PV
~
V
ojal<'i
N
N
(impersonal)
~
N * SV(que) rCF]
L~
,-
fuera un angel
8.12
Figure 9
/
/
(18)
Me molesta que Juan este aqul.
It bothers me that-John is here.
(19)
Me alegro de que hayan llegado.
I'm happy that they have arrived.
SV
~~
PV
~
A
~e
,( * \r/SP~
alegro
N
(yo)
pp
p
~
de
N
(20)
N
~
*
SV(que)
ha{a~legadO
Es l6gico que haga calor.
It. is logical that it be hot.
Figure 9a
(21)
I hope he comes.
(Indicative)
(22)
I desire that he come.
(Subjunctive)
8.13
of his listener. Even though the event is true.
(it is hot). the speaker codes his opinion of
this fact as a mere possibility. He realizes
that it may not be that logical a fact for his
lis tene rand refle cts this by the use of the
subjunctive.
REFERENCES
Fente GOITlez. Rafael. El Subjunctivo (Madrid:
1972) .
Lytle. Eldon G .• "Operational Modes for Nouns"
Unpublished ALP Linguistic lITlplementation
Guide. BYU (1975).
This affective coding of the subjunctive
is of course the most difficult area to classify
and unde rstand. We do seem to often practice
linguistic prevarication by not faithfully coding
our mental inforITlation for one reason or
another.
"CoITlputing Info rmation Modes",
op. cit .• Section VI. A. 6.
"Classification of English Verbs",
op. cit., Section VI. C.3.
SUnlITlary and Conclusions
Neale-Silva, Eduardo and Dana Nelson.
Lengua Hispanica Moderna (New York: 1967).
In Figure 10 I have tried to sunlITlarize
the ITlajor features that are significant in
stimulating the use of the subjunctive in Spanish.
1. The unassigned or potential inforITlation
ITlode triggers subjunctive on clauses that have
no specific tinle assigned to happen.
2. The inlaginary inforITlation mode
always triggers the subjunctive on purely
inlaginary events or propositions.
3. We afiectively or subjectively trigger
the subjunctive on real infornlation as if it
were only potential, on real information
reflecting the speaker's approval the inforITlahon be coming as signed and on real info rITlation
coded as potential out of respect for the
listene r' s opinions.
Currently. the use of these features to
trigger the correct subjunctive/indicative
contrasts are being inlpleITlented in the Spanish
synthesis prograITls. We express confidence
that a considerable pe rcentage of subjunctive
enviro=ents will be able to be triggered
correctly.
8.14
Figure 10
I.
II.
.
Unassigned or Potential Information Mode
--clause has no time t assigned to happen.
(ie. desires and commands)
Imaginary Information Mode
--purely imaginary event or proposition
III.
Affective Information Coding
A.
Real information coded as if only potential.
B.
Real information coded as potential to
reflect speaker's approval of the information
becoming assigned.
C.
Real information coded as potential out of
respect for listeners' opinions.
8.15