Problems for the cross-linguistic approaches to the subjunctive

In general, the cases of subjunctive distribution that have posed most problems for the semantic analyses of this mood category are those where subjunctive complements appear in factive-type semantic environments, typically when they are introduced under factive-emotive predicates (as in (50a) below) or under cognitive-type verbs (as in (50b)). Such complements are problematic, first of all, for the truth-commitment approaches to mood selection (described earlier on in 1.4.2) because, in addition to denoting factive, realis-type propositions, they also presuppose a strong truth commitment, both on the part of the subject and on the part of the speaker, towards the proposition denoted by the subjunctive complement. We can observe this thanks to the semantic awkwardness of the examples below, where the propositions denoted by these factive subjunctives are contradicted:

(50) a. # Elle regrette qu’ il soit parti, mais il n’ est pas parti. (French) she regrets that he hasSUBJ left, but he neg. has not left

‘She regrets that he left, but he didn’t leave.’

b. # Elle comprend qu’ il ne veuille pas le faire, mais il veut le faire.

she understands that he neg. wantSUBJ not it doINF, but he wants it doINF ‘She understands that he does not want to do it, but he wants to do it.’

As a result, the matrix predicates in (50) can only be described as veridical (in fact, as strongly veridical, in the sense of Giannakidou (1998)) and hence they would be expected to introduce the indicative mood in the embedded clause, which is contrary to facts.

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The data of the type exemplified in (50) are also problematic for the situational-semantics approach to the subjunctive mood put forward in Portner (1997), because they contradict the most important semantic distinction that Portner established between indicative and subjunctive clauses in terms of their propositional content, i.e. the distinction between indicative-related persistent propositions and subjunctive-related nonpersistent propositions.

The fact that subjunctive complements such as those in (50) entail a strong truth-commitment on the part of the speaker/subject means that they should be subsumed under Portner’s definition of persistent propositions (i.e. propositions containing whole worlds), given that only persistent propositions can be associated with a truth value. Therefore, the indicative vs.

subjunctive distribution across languages does not always fall along the lines of the semantic distinction between persistent and nonpersistent propositions, contrary to the expectations implied by Portner’s situational-semantics approach.

The data such as those in (50) also contradict one more specific claim that Portner made on the basis of his study of mood distributions in Italian (Italian being the primary focus of Portner’s analysis of the subjunctive), which was related to the default vs. marked mood distinction that he established between the indicative and the subjunctive. In this context, Portner argued that indicative constitutes a marked mood in Italian because it can only be used in clauses which are semantically factive, whereas subjunctive is a default mood because it is not associated with any such specific semantic requirement. The only restriction on the use of the subjunctive is to be employed “whenever the indicative is inappropriate” (Portner, 1997:

197). Given that the indicative is only appropriate in factive contexts, this therefore implies that subjunctive should not appear in such semantics environments. Yet, not only does the subjunctive appear in factive-type clauses in the French examples we observed in (50), but it also does so in Italian, as we can see in the example below:

(51) Gianni rimpiange che sia partita.

John regrets that hasSUBJ left-fem.

‘John regrets that she left.’

(Giorgi, 2009: 1841)

Therefore, the default-mood approach to the subjunctive as it was outlined in Portner (1997) is faced with problems when confronted with subjunctive distribution data such as those in (50-51). The default-selection analysis of the subjunctive that I am defending here, however, does

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not face such problems, because it only applies to Subj1-type complementation, whereas complements such as those in (50-51) were subsumed under the Subj2 label (see 1.2.1.1).

Finally, we can also note some problems related to subjunctive distribution when it comes to the world-semantics approach outlined in Farkas (1992b), although they do not involve the same type of complements as those we observed so far. Even though complements selected by verbs such as factive emotives clearly do not correspond to Farkas’ definition of the subjunctive in terms of intensional world anchoring, the author had a way of circumventing this problem. As I already noted earlier on in 1.4.3.1, Farkas claimed that subjunctive complements of this type differ from their intensional counterparts in that they are selected through an arbitrary mood feature, which explains why they exhibit variability with the indicative mood, as shown in (52):

(52) Marie regrette que Paul est / soit parti. (French) Mary regrets that Paul isIND /isSUBJ left

‘Mary regrets that Paul left.’

(Farkas, 1992b: 71)

On the basis of this type of data, Farkas made a larger prediction stating that all cases of subjunctive distribution that are not predictable on semantic grounds (i.e. that do not correspond to the definition of the intensional subjunctive) should exhibit the same type of variability as the one we observed in (52). This prediction can be maintained in light of the Romance non-intensional subjunctive complements that we observed so far, but it faces problems if we look at some other languages in this context.

In fact, we do not even have to move our focus away from Romance languages to notice that Farkas’ prediction does not apply to all cases of subjunctive distribution. If we look, for instance, at a Balkan Romance language such as Romanian, we will be able to observe the type of subjunctive complements that differ both from intensional subjunctives in that their selection is not predictable on semantic grounds, as well as from factive-type subjunctives such as the one in (52) in that they do not exhibit variability with other mood categories. This is the case, for instance, with Romanian subjunctive complements selected by verbs such as aspectuals, such as the one in (53). ²⁸

28 Subjunctives in Romanian, similarly as in Slavic, are not marked verbally but through a separate item situated on the left periphery of the clause, as we can observe from the gloss below the example in (53). Once again, I will

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(53) Ion incepe sa scrie. (Romanian)

John begins SUBJ write3.sg.

‘John begins to write.’

This type of complements denote entirely realis propositions, grounded in the actual world of the speaker, so the use of subjunctive in such cases cannot be predicted on semantic grounds, given that the complements in question do not involve intensional world-anchoring in the sense of Farkas (1992b). However, as we can observe through the ungrammaticality resulting from the insertion of the indicative mood marker in the embedded clause in (54b), the use of subjunctive in such cases is actually obligatory.

(54) a. Ion incepe sa scrie. (Romanian)

John begins SUBJ write3.sg.

b. * Ion incepe ca scrie.

John begins IND write3.sg.

This type of subjunctive complementation thus cannot be accounted for under the semantic approach put forward in Farkas (1992b).

Therefore, even a cursory glance at some of the more problematic aspects related to the cross-linguistic distribution of the subjunctive mood was enough to reveal that most of the influential semantic analyses that were proposed in order to account for the nature of the subjunctive are not able to cover the full range of its distribution. These are some of the reasons why I consider that a purely semantic approach to the subjunctive cannot provide a comprehensive analysis of this mood category. As a result, in the following chapters of this dissertation, I will put forward a more integrative approach that takes into account both the syntactic and the semantic properties associated with subjunctive complements, as well as the way in which these two types of properties may influence each other through the LF interface.

The problematic aspects of subjunctive distribution that I will be primarily concerned with are those related to complements of the type exemplified in (53), because they are relevant in the context of Slavic as well (in fact we already observed some Slavic equivalents of the Romanian example in (53) earlier on in (21-22)), whereas factive-type subjunctives, such as those in

abstract away from the issue of subjunctive marking for the moment, and only focus on the distributional problems related to this mood.

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52), will be dealt with more briefly, towards the end of the dissertation in Chapter 6, because they involve Subj2-type complements that are not productive in Slavic.

At this point, I have introduced the theoretical perspectives that will be most relevant for my analysis, outlined the overall minimalist conceptual framework that I will be using, as well as explained some of the problematic aspects related to the study of the subjunctive that I will be concerned with in the remaining parts of this dissertation. As a result, I can now move on to my main subject, i.e. Slavic subjunctive. In the following chapter, I will approach the subjunctive mood in Slavic languages from a more global perspective, focusing primarily on the more typical cases of subjunctive complementation. The first part of the chapter (2.1-2.2), which will consist of a comparative analysis between the Slavic and the Romance subjunctive, will show that Slavic subjunctives share the bulk of the underlying clausal properties exhibited by their Romance counterparts, which will allow me to claim that, despite the lack of dedicated subjunctive verbal morphology, subjunctive should nonetheless be analyzed as a separate clausal mood category in Slavic as well. The observations that I will make in this context will then be used in the second part of the chapter (2.3-2.4) as the basis for a more precise formalization of the subjunctive CP clause type. The latter will then serve as the groundwork for a more in-depth analysis of different subjunctive complements in various Slavic languages that will be studied in Chapters 3 and 4.

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CHAPTER 2

SLAVIC SUBJUNCTIVE AS A CLAUSAL MOOD: INDICATIVE VS.

SUBJUNCTIVE CLAUSE TYPES

As I already briefly explained at the very beginning of the dissertation, the subjunctive mood in Slavic languages is a challenging subject because, in addition to presenting some of the more general theoretical difficulties related to the study of the subjunctive from a cross-linguistic perspective, it also presents some more specific problems, stemming primarily from the fact that the morpho-syntactic marking for the subjunctive in Slavic is not as clearly evident as it is, for instance, in Romance languages that we looked at in the introductory chapter. Observe, for instance, the Slavic examples in (55), involving embedded complements selected by desiderative verbs.

(55) a. Ja hochu, chtoby Ivan prishel. (Russian) I want that John come

b. Chce, zeby Jan przyszedl. (Polish)

want1.sg. that John come

‘I want John to come.’

Even though desiderative predicates such as those in (55) are most widely associated with the subjunctive mood from a cross-linguistic perspective, the verb forms that appear in the embedded complements in the Slavic examples above cannot be seen as dedicated subjunctive markers, because the same type of verb form can also be observed in a number of other syntactic contexts in these languages. In fact, on a morphological level, such verb forms are marked for past tense, and are thus most typically used in simple matrix clauses with a past tense interpretation, such as those in (56) below:

(56) a. Ivan prishel vchera. (Russian)

b. Jan przyszedl wczoraj. (Polish)

‘John came yesterday.’

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Hence there is no way to overtly distinguish between the typical contexts of indicative use in (56) (i.e. simple matrix assertions) and the typical contexts of subjunctive use in (55) (i.e.

intensional complements selected by desiderative predicates) by simply looking at verbal morphology. Nevertheless, once we focus on some other clausal properties related to complements such as those in (55), we will see that they can be clearly distinguished from indicatives across Slavic languages through other means. In order to demonstrate this, I will compare the typical cases of subjunctive complementation that we observed earlier on in Romance with their clausal equivalents in Slavic.

2.1 Subjunctive complements in Romance and Slavic: Surface morphology

As we know by now, subjunctive complements in Romance languages such as French or Spanish are distinguished from indicatives by means of a separate verb form:

(57) a. Je pense que Jean vient. (French) I think that John comesIND

‘I think that John is coming.’

b. Je veux que Jean vienne.

I want that John comeSUBJ

‘I want John to come.’

(58) a. Pienso que viene Juan. (Spanish) think1.sg. that comesIND John

b. Quiero que venga Juan.

want1.sg. that comeSUBJ John

This is not only the case in Romance, because similar types of subjunctive verb forms can also be observed in a wide array of other languages, including German, Hungarian, Icelandic and many others, which is why subjunctive marking is often seen as synonymous with distinctive verbal morphology (a view which I will oppose here). Let us now study in more detail how subjunctive-type clauses can be distinguished from indicatives in Slavic languages.

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If we look at the embedded complements introduced under the Slavic equivalents of the Romance predicates in (57-58), we can immediately notice some obvious morphological differences between such complements in Slavic as well:²⁹

(59) a. Ja dumaju, chto Ivan prishel. (Russian) I think that John came

‘I think that John came.’

b. Ja hochu, chtoby Ivan prishel.

I want that John come

‘I want John to come.’

(60) a. Mysle, ze Jan przyszedl. (Polish)

think1.sg. that John came b. Chce, zeby Jan przyszedl.

want1.sg. that John come

(61) a. Mislja, che Ivan dojde. (Bulgarian) think1.sg. that John came

b. Iskam da dojde Ivan.

want1.sg. that come John

We can see the overt morphological contrasts between indicative and subjunctive-type complements in (59-61) marked out in bold above, which are consistent across a wide array of Slavic languages: regardless of whether we have an Eastern Slavic language such as Russian, Western one such as Polish, or Southern one such as Bulgarian, the most important morphological distinction between indicative and subjunctive-type complements is expressed through complementizer-like elements situated on the left periphery of the clause (i.e. chto vs.

chtoby, ze vs. zeby and che vs. da, respectively).³⁰ On the other hand, the verb forms appearing

29 Whenever I introduce Slavic examples throughout the remainder of this dissertation, I will use a relatively simple transcription, based on the English alphabet, in order to facilitate the reading for non-native speakers. I will thus ignore any special characters or diacritics that can be observed in written Slavic. As I already explained in 1.3, the exact pronunciation of these clauses and all other strictly PF-related concerns are less relevant when it comes to the study of the essential properties of the subjunctive mood as such, so I will simplify that part of the discussion as much as possible.

30 Some Slavic languages that I will study later on, specifically Serbian and Croatian, constitute a bit of an exception here. This is because they introduce both indicative and subjunctive complements with apparently the

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in these complements do not allow us to observe any type of contrast with regards to indicative vs. subjunctive verbal morphology, which once again confirms that these Slavic languages do not contain dedicated subjunctive verb forms.

The latter observation makes it more difficult to incorporate Slavic subjunctive-type complements into any type of cross-linguistic theoretical framework related to the subjunctive, because, as I already said, this mood tends to be seen as synonymous with distinctive verbal morphology. Nevertheless, some of the more in-depth studies of the subjunctive that were proposed in recent theoretical literature (a few of which I will introduce here later on as well) showed us that subjunctive complements across languages are not only characterized by distinctive verbal morphology but also by a series of additional formal and semantic clausal properties, which distinguish them from other types of clauses, especially those associated with the indicative mood. These types of properties will be the main focus of my analysis in the remaining parts of this chapter.

2.2 Subjunctives vs. indicatives in Romance and Slavic: Distinct clausal properties

In the previous section, we noticed that, despite the lack of dedicated subjunctive verbal morphology in Slavic, one can nonetheless observe systematic morphological differences between the Slavic counterparts of Romance indicative and subjunctive complements as well.

As we saw in (59-61), the most prominent morphological contrast between these two types of complements in Slavic is situated on the left periphery of the clause, which features distinct complementizer-like items that are used to introduce indicative and subjunctive-type complements into the structure. This would immediately suggest a possible analysis of such complements in terms of separate clause types: when viewed through the prism of classical selection theory, briefly outlined in 1.3, the data in (59-61) would seem to indicate that we have two groups of verbs with distinct lexical properties, which motivate them to select two distinct types of CP-clausal complements. The argument that I will put forward throughout the remainder of this chapter will demonstrate that this is indeed the case.

same type of left-periphery item: the complementizer da. Nevertheless, once I focus on Serbian/Croatian more closely (later on in 3.1.4), I will show that the indicative-related da and the subjunctive-related da actually constitute two separate lexical items in these languages as well.

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Note, first of all, that the contrast we observed between indicative and subjunctive complements in (59-61) can be seen as reminiscent of the one that was noted earlier on in 1.3 between declarative and interrogative complements in English. The English examples that were introduced in that context (reproduced below) showed that predicates can have specific selectional requirements when it comes to clausal complementation, which need to be respected in order to avoid ungrammaticality.

(62) a. John thinks that Mary will come.

b. * John thinks if Mary will come.

(63) a. * John wonders that Mary will come.

b. John wonders if Mary will come.

One can make a similar observation when it comes to subjunctive-type complementation in Slavic as well, because if the left-periphery items we observed in Slavic subjunctives in (59-61) were switched with those used in indicatives, the result would be ungrammatical, as we can see in (64-66) below:

(64) * Ja hochu, chto Ivan prishel. (Russian) I want thatIND John come

(65) * Chce, ze Jan przyszedl. (Polish) want1.sg. thatIND John come

(66) * Iskam che dojde Ivan. (Bulgarian)

want1.sg. thatIND come John

This is, therefore, the first indication that Slavic subjunctive-type complements such as those exemplified earlier on in (59-61) can be seen as corresponding to a separate clause type, introduced under a CP projection that is different from the one used in indicatives.

In fact, the observations we just made in relation to Slavic subjunctives make it easier to analyze such complements through the prism of local selection by the matrix predicate than is the case with their Romance counterparts, because Slavic subjunctive markers were shown

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to be related to the left periphery of the clause, which means that they appear in a local configuration with respect to the selecting predicate. Romance subjunctive marking, on the other hand, appears on the embedded verb, which is more distant from the selecting verb in the matrix clause, with at least the complementizer and the embedded subject usually intervening between the two. Nevertheless, some authors (Giorgi, 2009; Giorgi&Pianesi, 1997 a.o.) have suggested that subjunctive and indicative complements in Romance can be analyzed as introduced through different types of complementizers as well, which are morphologically indistinguishable on the surface but which exhibit some distinct syntactic properties.³¹ The theoretical account that I will propose in this chapter will go in the same direction, because I will analyze both Romance and Slavic subjunctives as constituting distinct clausal mood

to be related to the left periphery of the clause, which means that they appear in a local configuration with respect to the selecting predicate. Romance subjunctive marking, on the other hand, appears on the embedded verb, which is more distant from the selecting verb in the matrix clause, with at least the complementizer and the embedded subject usually intervening between the two. Nevertheless, some authors (Giorgi, 2009; Giorgi&Pianesi, 1997 a.o.) have suggested that subjunctive and indicative complements in Romance can be analyzed as introduced through different types of complementizers as well, which are morphologically indistinguishable on the surface but which exhibit some distinct syntactic properties.³¹ The theoretical account that I will propose in this chapter will go in the same direction, because I will analyze both Romance and Slavic subjunctives as constituting distinct clausal mood

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