Analyzing

meaning
An introduction to semantics and
pragmatics

Paul R. Kroeger

language
Textbooks in Language Sciences 5 science
press
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Analyzing
meaning
An introduction to semantics and
pragmatics

Paul R. Kroeger

language
science
press
Paul R. Kroeger. 2018. Analyzing meaning: An introduction to semantics and
pragmatics (Textbooks in Language Sciences 5). Berlin: Language Science Press.
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Contents
Preface xi

Abbreviations xiii

I Foundational concepts 1

1 The meaning of meaning 3

1.1 Semantics and pragmatics . . . . . . . . . . . . . . . . . . . . . 3
1.2 Three “levels” of meaning . . . . . . . . . . . . . . . . . . . . . . 5
1.3 Relation between form and meaning . . . . . . . . . . . . . . . . 6
1.4 What does mean mean? . . . . . . . . . . . . . . . . . . . . . . . 7
1.5 Saying, meaning, and doing . . . . . . . . . . . . . . . . . . . . 9
1.6 “More lies ahead” (a roadmap) . . . . . . . . . . . . . . . . . . . 11

2 Referring, denoting, and expressing 15

2.1 Talking about the world . . . . . . . . . . . . . . . . . . . . . . . 15
2.2 Denotational semantics vs. cognitive semantics . . . . . . . . . 16
2.3 Types of referring expressions . . . . . . . . . . . . . . . . . . . 17
2.4 Sense vs. denotation . . . . . . . . . . . . . . . . . . . . . . . . . 21
2.5 Ambiguity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
2.6 Expressive meaning: Ouch and oops . . . . . . . . . . . . . . . . 25
2.6.1 Independence . . . . . . . . . . . . . . . . . . . . . . . . 26
2.6.2 Nondisplaceability . . . . . . . . . . . . . . . . . . . . . 26
2.6.3 Immunity . . . . . . . . . . . . . . . . . . . . . . . . . . 26
2.6.4 Scalability and repeatability . . . . . . . . . . . . . . . . 27
2.6.5 Descriptive ineffability . . . . . . . . . . . . . . . . . . . 27
2.6.6 Case study: Expressive uses of diminutives . . . . . . . . 29
2.7 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30

3 Truth and inference 35

3.1 Truth as a guide to sentence meaning . . . . . . . . . . . . . . . 35
Contents

3.2 Analytic sentences, synthetic sentences, and contradictions . . . 36

3.3 Meaning relations between propositions . . . . . . . . . . . . . 37
3.4 Presupposition . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
3.4.1 How to identify a presupposition . . . . . . . . . . . . . 41
3.4.2 Accommodation: a repair strategy . . . . . . . . . . . . 44
3.4.3 Pragmatic vs. semantic aspects of presupposition . . . . 45
3.5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47

4 The logic of truth 53

4.1 What logic can do for you . . . . . . . . . . . . . . . . . . . . . 53
4.2 Valid patterns of inference . . . . . . . . . . . . . . . . . . . . . 55
4.3 Propositional logic . . . . . . . . . . . . . . . . . . . . . . . . . . 58
4.3.1 Propositional operators . . . . . . . . . . . . . . . . . . 58
4.3.2 Meaning relations and rules of inference . . . . . . . . . 62
4.4 Predicate logic . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
4.4.1 Quantifiers (an introduction) . . . . . . . . . . . . . . . 68
4.4.2 Scope ambiguities . . . . . . . . . . . . . . . . . . . . . . 72
4.5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72

II Word meanings 77

5 Word senses 79
5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
5.2 Word meanings as construals of external reality . . . . . . . . . 79
5.3 Lexical ambiguity . . . . . . . . . . . . . . . . . . . . . . . . . . 80
5.3.1 Ambiguity, vagueness, and indeterminacy . . . . . . . . 80
5.3.2 Distinguishing ambiguity from vagueness and indeter-
minacy . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
5.3.3 Polysemy vs. homonymy . . . . . . . . . . . . . . . . . . 89
5.3.4 One sense at a time . . . . . . . . . . . . . . . . . . . . . 92
5.3.5 Disambiguation in context . . . . . . . . . . . . . . . . . 94
5.4 Context-dependent extensions of meaning . . . . . . . . . . . . 97
5.4.1 Figurative senses . . . . . . . . . . . . . . . . . . . . . . 98
5.4.2 How figurative senses become established . . . . . . . . 99
5.5 “Facets” of meaning . . . . . . . . . . . . . . . . . . . . . . . . . 100
5.6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102

iv
 Contents

6 Lexical sense relations 107

6.1 Meaning relations between words . . . . . . . . . . . . . . . . . 107
6.2 Identifying sense relations . . . . . . . . . . . . . . . . . . . . . 107
6.2.1 Synonyms . . . . . . . . . . . . . . . . . . . . . . . . . . 108
6.2.2 Antonyms . . . . . . . . . . . . . . . . . . . . . . . . . . 109
6.2.3 Hyponymy and taxonomy . . . . . . . . . . . . . . . . . 113
6.2.4 Meronymy . . . . . . . . . . . . . . . . . . . . . . . . . . 115
6.3 Defining words in terms of sense relations . . . . . . . . . . . . 115
6.4 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117

7 Components of lexical meaning 119

7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
7.2 Lexical entailments . . . . . . . . . . . . . . . . . . . . . . . . . 120
7.3 Selectional restrictions . . . . . . . . . . . . . . . . . . . . . . . 121
7.4 Componential analysis . . . . . . . . . . . . . . . . . . . . . . . 124
7.5 Verb meanings . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
7.6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131

III Implicature 137

8 Grice’s theory of Implicature 139

8.1 Sometimes we mean more than we say . . . . . . . . . . . . . . 139
8.2 Conversational implicatures . . . . . . . . . . . . . . . . . . . . 140
8.3 Grice’s Maxims of Conversation . . . . . . . . . . . . . . . . . . 141
8.4 Types of implicatures . . . . . . . . . . . . . . . . . . . . . . . . 146
8.4.1 Generalized Conversational Implicature . . . . . . . . . 146
8.4.2 Conventional Implicature . . . . . . . . . . . . . . . . . 148
8.5 Distinguishing features of conversational implicatures . . . . . 149
8.6 How to tell one kind of inference from another . . . . . . . . . . 151
8.7 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 156

9 Pragmatic inference after Grice 161

9.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
9.2 Meanings of English words vs. logical operators . . . . . . . . . 161
9.2.1 On the ambiguity of and . . . . . . . . . . . . . . . . . . 164
9.2.2 On the ambiguity of or . . . . . . . . . . . . . . . . . . . 165
9.3 Explicatures: bridging the gap between what is said vs. what is
implicated . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 167

v
Contents

9.4 Implicatures and the semantics/pragmatics boundary . . . . . . 170

9.4.1 Why numeral words are special . . . . . . . . . . . . . . 172
9.5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175

10 Indirect Speech Acts 179

10.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179
10.2 Performatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . 180
10.3 Indirect speech acts . . . . . . . . . . . . . . . . . . . . . . . . . 185
10.4 Indirect speech acts across languages . . . . . . . . . . . . . . . 191
10.5 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 192

11 Conventional implicature and use-conditional meaning 197

11.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
11.2 Distinguishing truth-conditional vs. use-conditional meaning . 198
11.2.1 Diagnostic properties of conventional implicatures . . . 198
11.2.2 Speaker-oriented adverbs . . . . . . . . . . . . . . . . . 200
11.3 Japanese honorifics . . . . . . . . . . . . . . . . . . . . . . . . . 204
11.4 Korean speech style markers . . . . . . . . . . . . . . . . . . . . 206
11.5 Other ways of marking politeness . . . . . . . . . . . . . . . . . 208
11.6 Discourse particles in German . . . . . . . . . . . . . . . . . . . 209
11.7 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212

IV Compositional semantics 215

12 How meanings are composed 217

12.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
12.2 Two simple examples . . . . . . . . . . . . . . . . . . . . . . . . 218
12.3 Frege on compositionality and substitutivity . . . . . . . . . . . 220
12.4 Propositional attitudes . . . . . . . . . . . . . . . . . . . . . . . 223
12.5 De dicto vs. de re ambiguity . . . . . . . . . . . . . . . . . . . . . 225
12.6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 226

13 Modeling compositionality 229

13.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229
13.2 Why a model might be useful . . . . . . . . . . . . . . . . . . . 230
13.3 Basic concepts in set theory . . . . . . . . . . . . . . . . . . . . 232
13.3.1 Relations and functions . . . . . . . . . . . . . . . . . . 234
13.3.2 Operations and relations on sets . . . . . . . . . . . . . 236

vi
 Contents

13.4 Truth relative to a model . . . . . . . . . . . . . . . . . . . . . . 240

13.5 Rules of interpretation . . . . . . . . . . . . . . . . . . . . . . . 242
13.6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 246

14 Quantifiers 253
14.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 253
14.2 Quantifiers as relations between sets . . . . . . . . . . . . . . . 254
14.3 Quantifiers in logical form . . . . . . . . . . . . . . . . . . . . . 257
14.4 Two types of quantifiers . . . . . . . . . . . . . . . . . . . . . . 261
14.5 Scope ambiguities . . . . . . . . . . . . . . . . . . . . . . . . . . 264
14.6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267

15 Intensional contexts 273

15.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 273
15.2 When substitutivity fails . . . . . . . . . . . . . . . . . . . . . . 274
15.3 Non-intersective adjectives . . . . . . . . . . . . . . . . . . . . . 275
15.4 Other intensional contexts . . . . . . . . . . . . . . . . . . . . . 281
15.5 Subjunctive mood as a marker of intensionality . . . . . . . . . 285
15.6 Defining functions via lambda abstraction . . . . . . . . . . . . 287
15.7 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 289

V Modals, conditionals, and causation 291

16 Modality 293
16.1 Possibility and necessity . . . . . . . . . . . . . . . . . . . . . . 293
16.2 The range of modal meanings: strength vs. type of modality . . 294
16.2.1 Are modals polysemous? . . . . . . . . . . . . . . . . . . 295
16.3 Modality as quantification over possible worlds . . . . . . . . . 298
16.3.1 A simple quantificational analysis . . . . . . . . . . . . . 299
16.3.2 Kratzer’s analysis . . . . . . . . . . . . . . . . . . . . . . 302
16.4 Cross-linguistic variation . . . . . . . . . . . . . . . . . . . . . . 305
16.5 On the nature of epistemic modality . . . . . . . . . . . . . . . . 307
16.6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 312

17 Evidentiality 317
17.1 Markers that indicate the speaker’s source of information . . . . 317
17.2 Some common types of evidential systems . . . . . . . . . . . . 317
17.3 Evidentiality and epistemic modality . . . . . . . . . . . . . . . 320

vii
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17.4 Distinguishing evidentiality from tense and modality . . . . . . 321

17.5 Two types of evidentials . . . . . . . . . . . . . . . . . . . . . . 323
17.6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327

18 Because 329
18.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329
18.2 Because as a two-place operator . . . . . . . . . . . . . . . . . . 330
18.3 Use-conditional because . . . . . . . . . . . . . . . . . . . . . . . 332
18.4 Structural issues: co-ordination vs. subordination . . . . . . . . 335
18.5 Two words for ‘because’ in German . . . . . . . . . . . . . . . . 338
18.6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 342

19 Conditionals 347
19.1 Conditionals and modals . . . . . . . . . . . . . . . . . . . . . . 347
19.2 Four uses of if . . . . . . . . . . . . . . . . . . . . . . . . . . . . 349
19.3 Degrees of hypotheticality . . . . . . . . . . . . . . . . . . . . . 352
19.4 English if vs. material implication . . . . . . . . . . . . . . . . . 357
19.5 If as a restrictor . . . . . . . . . . . . . . . . . . . . . . . . . . . 359
19.6 Counterfactual conditionals . . . . . . . . . . . . . . . . . . . . 362
19.7 Speech Act conditionals . . . . . . . . . . . . . . . . . . . . . . . 366
19.8 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 372

VI Tense & aspect 377

20 Aspect and Aktionsart 379

20.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 379
20.2 Situation type (Aktionsart) . . . . . . . . . . . . . . . . . . . . . 380
20.3 Time of speaking, time of situation, and “topic time” . . . . . . . 386
20.4 Grammatical Aspect (= “viewpoint aspect”) . . . . . . . . . . . . 388
20.4.1 Typology of grammatical aspect . . . . . . . . . . . . . . 390
20.4.2 Imperfective aspect in Mandarin Chinese . . . . . . . . 391
20.4.3 Perfect and prospective aspects . . . . . . . . . . . . . . 393
20.4.4 Minor aspect categories . . . . . . . . . . . . . . . . . . 394
20.5 Interactions between situation type (Aktionsart) and grammati-
cal aspect . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 394
20.6 Aspectual sensitivity and coercion effects . . . . . . . . . . . . . 397
20.7 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400

viii
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21 Tense 405
21.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 405
21.2 Tense relates Topic Time to the Time of Utterance . . . . . . . . 406
21.3 Case study: English simple present tense . . . . . . . . . . . . . 408
21.4 Relative tense . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
21.4.1 Complex (“absolute-relative”) tense marking . . . . . . . 415
21.4.2 Sequence of tenses in indirect speech . . . . . . . . . . . 416
21.5 Temporal Remoteness markers (“metrical tense”) . . . . . . . . . 420
21.6 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 423

22 Varieties of the Perfect 427

22.1 Introduction: perfect vs. perfective . . . . . . . . . . . . . . . 427
22.2 Uses of the perfect . . . . . . . . . . . . . . . . . . . . . . . . . . 428
22.3 Tense vs. aspect uses of English have + participle . . . . . . . . 430
22.3.1 The present perfect puzzle . . . . . . . . . . . . . . . . . 430
22.3.2 Distinguishing perfect aspect vs. relative tense . . . . . 432
22.4 Arguments for polysemous aspectual senses of the English Perfect 434
22.5 Case study: Perfect aspect in Baraïn (Chadic) . . . . . . . . . . . 437
22.6 Case study: Experiential -guo in Mandarin . . . . . . . . . . . . 439
22.7 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 446

References 453

Index 475
Name index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 475
Language index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 481

ix
Preface
This book provides an introduction to the study of meaning in human language,
from a linguistic perspective. It covers a fairly broad range of topics, includ-
ing lexical semantics, compositional semantics, and pragmatics. The approach
is largely descriptive and non-formal, although some basic logical notation is
introduced.
The book is written at level which should be appropriate for advanced under-
graduate or beginning graduate students. It presupposes some previous course-
work in linguistics, including at least a full semester of morpho-syntax and some
familiarity with phonological concepts and terminology. It does not presuppose
any previous background in formal logic or set theory.
Semantics and pragmatics are both enormous fields, and an introduction to
either can easily fill an entire semester (and typically does); so it is no easy matter
to give a reasonable introduction to both fields in a single course. However, I
believe there are good reasons to teach them together.
In order to cover such a broad range of topics in relatively little space, I have
not been able to provide as much depth as I would have liked in any of them. As
the title indicates, this book is truly an introduction: it attempts to provide stu-
dents with a solid foundation which will prepare them to take more advanced and
specialized courses in semantics and/or pragmatics. It is also intended as a refer-
ence for fieldworkers doing primary research on under-documented languages,
to help them write grammatical descriptions that deal carefully and clearly with
semantic issues. (This has been a weak point in many descriptive grammars.)
At several points I have also pointed out the relevance of the material being dis-
cussed to practical applications such as translation and lexicography, but due to
limitations of space this is not a major focus of attention.
The book is organized into six Units: (I) Foundational concepts; (II) Word mean-
ings; (III) Implicature (including indirect speech acts); (IV) Compositional seman-
tics; (V) Modals, conditionals, and causation; (VI) Tense & aspect. The sequence
of chapters is important; in general, each chapter draws fairly heavily on pre-
ceding chapters. The book is intended to be teachable in a typical one-semester
course module. However, if the instructor needs to reduce the amount of material
Preface

to be covered, it would be possible to skip Chapters 6 (Lexical sense relations),

15 (Intensional contexts), 17 (Evidentiality), and/or 22 (Varieties of the perfect)
without seriously affecting the students’ comprehension of the other chapters.
Alternatively, one might skip the entire last section, on tense & aspect.
Most of the chapters (after the first) include exercises which are labeled as
being for “Discussion” or “Homework”, depending on how I have used them in
my own teaching. (Of course other instructors are free to use them in any way
that seems best to them.) A few chapters have only “Discussion exercises”, and
two (Chapters 15 and 17) have no exercises at all in the current version of the
book. Additional exercises for many of the topics covered here can be found in
Saeed (2009) and Kearns (2000).
The book is available for collaborative reading on the PaperHive platform
at https://paperhive.org/documents/remote?type=langsci&id=144. Suggestions
which will help to improve any aspect of the book will be most welcome. Soli
Deo Gloria.

References
Kearns, Kate. 2000. Semantics (Modern Linguistics series). New York: St. Martin’s
Press.
Saeed, John. 2009. Semantics. 3rd edn. Chichester, UK: Wiley-Blackwell.

xii
Abbreviations

Abbreviations
acc accusative inan inanimate
aux auxiliary ind indicative
comp complementizer ipfv imperfective
cond conditional lnk linker
conject conjecture loc locative
cont continuous m masculine
contr contrast nec necessity
cop copula neg negative
cos Change of State nom nominative
dat dative npst non-past
decl declarative obj object
deic deictic pejor pejorative
dem demonstrative pfv perfective
deon deontic pl plural
det determiner pol polite
dim diminutive poss possessive
dir direct evidence potent potentive
emph emphatic pred predicative
epis epistemic prf perfect
erg ergative prob probability
excl exclusive prog progressive
exclam exclamation prtcl particle
exis existential ps passé simple (French)
exper experiential aspect pst past
f feminine ptcp participle
frus frustrative q question
fut future rel relativizer
gen genitive sbjv subjunctive
hon honorific sg singular
imp imperative; stat stative
impf imparfait (French) subj subject
int intimate speech tr transitive
intr intransitive

xiv
 Unit I

Foundational concepts
1 The meaning of meaning
1.1 Semantics and pragmatics
The American author Mark Twain is said to have described a certain person as “a
good man in the worst sense of the word.” The humor of this remark lies partly
in the unexpected use of the word good, with something close to the opposite
of its normal meaning: Twain seems to be implying that this man is puritanical,
self-righteous, judgmental, or perhaps hypocritical. Nevertheless, despite using
the word in this unfamiliar way, Twain still manages to communicate at least the
general nature of his intended message.
Twain’s witticism is a slightly extreme example of something that speakers
do on a regular basis: using old words with new meanings. It is interesting to
compare this example with the following famous conversation from Through the
Looking Glass, by Lewis Carroll:

(1) [Humpty Dumpty speaking] “There’s glory for you!”

“I don’t know what you mean by ‘glory’,” Alice said.
Humpty Dumpty smiled contemptuously. “Of course you don’t — till I
tell you. I meant ‘there’s a nice knock-down argument for you!’ ”
“But ‘glory’ doesn’t mean ‘a nice knock-down argument’,” Alice objected.
“When I use a word,” Humpty Dumpty said, in rather a scornful tone, “it
means just what I choose it to mean — neither more nor less.”
“The question is,” said Alice, “whether you can make words mean so
many different things.”
“The question is,” said Humpty Dumpty, “which is to be master — that’s
all.”

Superficially, Humpty Dumpty’s comment seems similar to Mark Twain’s:

both speakers use a particular word in a previously unknown way. The results,
however, are strikingly different: Mark Twain successfully communicates (at
least part of) his intended meaning, whereas Humpty Dumpty fails to communi-
cate; throughout the ensuing conversation, Alice has to ask repeatedly what he
means.
1 The meaning of meaning

Humpty Dumpty’s claim to be the “master” of his words — to be able to use

words with whatever meaning he chooses to assign them — is funny because it
is absurd. If people really talked that way, communication would be impossible.
Perhaps the most important fact about word meanings is that they must be shared
by the speech community: speakers of a given language must agree, at least most
of the time, about what each word means.
Yet, while it is true that words must have agreed-upon meanings, Twain’s
remark illustrates how word meanings can be stretched or extended in various
novel ways, without loss of comprehension on the part of the hearer. The contrast
between Mark Twain’s successful communication and Humpty Dumpty’s failure
to communicate suggests that the conventions for extending meanings must also
be shared by the speech community. In other words, there seem to be rules even
for bending the rules. In this book we will be interested both in the rules for
“normal” communication, and in the rules for bending the rules.
The term semantics is often defined as the study of meaning. It might be more
accurate to define it as the study of the relationship between linguistic form and
meaning. This relationship is clearly rule-governed, just as other aspects of lin-
guistic structure are. For example, no one believes that speakers memorize ev-
ery possible sentence of a language; this cannot be the case, because new and
unique sentences are produced every day, and are understood by people hearing
them for the first time. Rather, language learners acquire a vocabulary (lexicon),
together with a set of rules for combining vocabulary items into well-formed
sentences (syntax). The same logic forces us to recognize that language learners
must acquire not only the meanings of vocabulary items, but also a set of rules
for interpreting the expressions that are formed when vocabulary items are com-
bined. All of these components must be shared by the speech community in order
for linguistic communication to be possible. When we study semantics, we are
trying to understand this shared system of rules that allows hearers to correctly
interpret what speakers intend to communicate.
The study of meaning in human language is often partitioned into two ma-
jor divisions, and in this context the term semantics is used to refer to one of
these divisions. In this narrower sense, semantics is concerned with the inherent
meaning of words and sentences as linguistic expressions, in and of themselves,
while pragmatics is concerned with those aspects of meaning that depend on
or derive from the way in which the words and sentences are used. In the above-
mentioned quote attributed to Mark Twain, the basic or “default” meaning of
good (the sense most likely to be listed in a dictionary) would be its semantic
content. The negative meaning which Twain manages to convey is the result of
pragmatic inferences triggered by the peculiar way in which he uses the word.

4
 1.2 Three “levels” of meaning

The distinction between semantics and pragmatics is useful and important, but
as we will see in Chapter 9, the exact dividing line between the two is not easy
to draw and continues to be a matter of considerable discussion and controversy.
Because semantics and pragmatics interact in so many complex ways, there are
good reasons to study them together, and both will be of interest to us in this
book.

1.2 Three “levels” of meaning

In this book we will be interested in the meanings of three different types of
linguistic units:

1. word meaning

2. sentence meaning

3. utterance meaning (also referred to as “speaker meaning”)

The first two units (words and sentences) are hopefully already familiar to the
reader. In order to understand the third level, “utterance meaning”, we need to
distinguish between sentences vs. utterances. A sentence is a linguistic expres-
sion, a well-formed string of words, while an utterance is a speech event by a
particular speaker in a specific context. When a speaker uses a sentence in a
specific context, he produces an utterance. As hinted in the preceding section,
the term sentence meaning refers to the semantic content of the sentence: the
meaning which derives from the words themselves, regardless of context.1 The
term utterance meaning refers to the semantic content plus any pragmatic
meaning created by the specific way in which the sentence gets used. Cruse
(2000: 27) defines utterance meaning as “the totality of what the speaker intends
to convey by making an utterance.”
Kroeger (2005: 1) cites the following example of a simple question in Teochew
(a Southern Min dialect of Chinese), whose interpretation depends heavily on
context.

(2) a. Lɯ chyaʔ pa bɔy?

you eat full not.yet
‘Have you already eaten?’ (tones not indicated)
1 Aswe will see, this is an oversimplification, because certain aspects of sentence meaning do
depend on context; see Chapter 9, §3 for discussion.

5
1 The meaning of meaning

The literal meaning (i.e., sentence meaning) of the question is, “Have you al-
ready eaten or not?”, which sounds like a request for information. But its most
common use is as a greeting. The normal way for one friend to greet another is
to ask this question. (The expected reply is: “I have eaten,” even if this is not in
fact true.) In this context, the utterance meaning is roughly equivalent to that of
the English expressions hello or How do you do? In other contexts, however, the
question could be used as a real request for information. For example, if a doc-
tor wants to administer a certain medicine which cannot be taken on an empty
stomach, he might well ask the patient “Have you eaten yet?” In this situation
the sentence meaning and the utterance meaning would be essentially the same.

1.3 Relation between form and meaning

For most words, the relation between the form (i.e., phonetic shape) of the word
and its meaning is arbitrary. This is not always the case. Onomatopoetic words
are words whose forms are intended to be imitations of the sounds which they
refer to, e.g. ding-dong for the sound of a bell, or buzz for the sound of a housefly.
But even in these cases, the phonetic shape of the word (if it is truly a part of
the vocabulary of the language) is partly conventional. The sound a dog makes
is represented by the English word bow-wow, the Balinese word kong-kong, the
Armenian word haf-haf, and the Korean words mung-mung or wang-wang.2 This
cross-linguistic variation is presumably not motivated by differences in the way
dogs actually bark in different parts of the world. On the other hand, as these ex-
amples indicate, there is a strong tendency for the corresponding words in most
languages to use labial, velar, or labio-velar consonants and low back vowels.3
Clearly this is no accident, and reflects the non-arbitrary nature of the form-
meaning relation in such words. The situation with “normal” words is quite
different, e.g. the word for ‘dog’: Armenian shun, Balinese cicin, Korean gae,
Tagalog aso, etc. No common phonological pattern is to be found here.
The relation between the form of a sentence (or other multi-word expression)
and its meaning is generally not arbitrary, but compositional. This term means
that the meaning of the expression is predictable from the meanings of the words
it contains and the way they are combined. To give a very simple example, sup-
pose we know that the word yellow can be used to describe a certain class of

2 http://www.psychologytoday.com/blog/canine-corner/201211/how-dogs-bark-in-different-
languages (accessed 2018-01-22)
3 Labial
consonants such as /b, m/; velar consonants such as /g, ng/; or labio-velar consonants
such as /w/. Low back vowels include /a, o/.

6
 1.4 What does mean mean?

objects (those that are yellow in color) and that the word submarine can be used
to refer to objects of another sort (those that belong to the class of submarines).
This knowledge, together with a knowledge of English syntax, allows us to infer
that when the Beatles sang about living in a yellow submarine they were referring
to an object that belonged to both classes, i.e., something that was both yellow
and a submarine.
This principle of compositionality is of fundamental importance to almost
every topic in semantics, and we will return to it often. But once again, there
are exceptions to the general rule. The most common class of exceptions are
idioms, such as kick the bucket for ‘die’ or X’s goose is cooked for ‘X is in serious
trouble’. Idiomatic phrases are by definition non-compositional: the meaning of
the phrase is not predictable from the meanings of the individual words. The
meaning of the whole phrase must be learned as a unit.
The relation between utterance meaning and the form of the utterance is nei-
ther arbitrary nor, strictly speaking, compositional. Utterance meanings are
derivable (or “calculable”) from the sentence meaning and the context of the ut-
terance by various pragmatic principles that we will discuss in later chapters.
However, it is not always fully predictable; sometimes more than one interpre-
tation may be possible for a given utterance in a particular situation.

1.4 What does mean mean?

When someone defines semantics as “the study of meaning”, or pragmatics as
“the study of meanings derived from usage”, they are defining one English word
in terms of other English words. This practice has been used for thousands of
years, and works fairly well in daily life. But if our goal as linguists is to provide
a rigorous or scientific account of the relationship between form and meaning,
there are obvious dangers in using this strategy. To begin with, there is the dan-
ger of circularity: a definition can only be successful if the words used in the
definition are themselves well-defined. In the cases under discussion, we would
need to ask: What is the meaning of meaning? What does mean mean?
One way to escape from this circularity is to translate expressions in the ob-
ject language into a well-defined metalanguage. If we use English to describe
the linguistic structure of Swahili, Swahili is the object language and English is
the metalanguage. However, both Swahili and English are natural human lan-
guages which need to be analyzed, and both exhibit vagueness, ambiguities, and
other features which make them less than ideal as a semantic metalanguage.

7
1 The meaning of meaning

Many linguists adopt some variety of formal logic as a semantic metalanguage,

and later chapters in this book provide a brief introduction to such an approach.
Much of the time, however, we will be discussing the meaning of English expres-
sions using English as the metalanguage. For this reason it becomes crucial to
distinguish (object language) expressions we are trying to analyze from the (met-
alanguage) words we are using to describe our analysis. When we write “What is
the meaning of meaning?” or “What does mean mean?”, we use italics to identify
object language expressions. These italicized words are said to be mentioned,
i.e., referred to as objects of study, in contrast to the metalanguage words which
are used in their normal sense, and are written in plain font.
Let us return to the question raised above, “What do we mean by meaning?”
This is a difficult problem in philosophy, which has been debated for centuries,
and which we cannot hope to resolve here; but a few basic observations will be
helpful. We can start by noting that our interests in this book, and the primary
concerns of linguistic semantics, are for the most part limited to the kinds of
meaning that people intend to communicate via language. We will not attempt
to investigate the meanings of “body language”, manner of dress, facial expres-
sions, gestures, etc., although these can often convey a great deal of information.
(In sign languages, of course, facial expressions and gestures do have linguistic
meaning.) And we will not address the kinds of information that a hearer may
acquire by listening to a speaker, which the speaker does not intend to commu-
nicate.
For example, if I know how your voice normally sounds, I may be able to de-
duce from hearing you speak that you have laryngitis, or that you are drunk.
These are examples of what the philosopher Paul Grice called “natural mean-
ing”, rather than linguistic meaning. Just as smoke “means” fire, and a rainbow
“means” rain, a rasping whisper “means” laryngitis. Levinson (1983: 15) uses the
example of a detective questioning a suspect to illustrate another type of unin-
tended communication. The suspect may say something which is inconsistent
with the physical evidence, and this may allow the detective to deduce that the
suspect is guilty, but his guilt is not part of what the suspect intends to com-
municate. Inferences of this type will not be a central focus of interest in this
book.
An approach which has proven useful for the linguistic analysis of meaning
is to focus on how speakers use language to talk about the world. This approach
was hinted at in our discussion of the phrase yellow submarine. Knowing the
meaning of words like yellow or submarine allows us to identify the class of
objects in a particular situation, or universe of discourse, which those words can

8
 1.5 Saying, meaning, and doing

be used to refer to. Similarly, knowing the meaning of a sentence will allow us
to determine whether that sentence is true in a particular situation or universe
of discourse.
Technically, sentences like It is raining are neither true nor false. Only an
utterance of a certain kind (namely, a statement) can have a truth value. When
a speaker utters this sentence at a particular time and place, we can look out
the window and determine whether or not the speaker is telling the truth. The
statement is true if its meaning corresponds to the situation being described: is
it raining at that time and place? This approach is sometimes referred to as the
correspondence theory of truth.
We might say that the meaning of a (declarative) sentence is the knowledge or
information which allows speakers and hearers to determine whether it is true
in a particular context. If we know the meaning of a sentence, the principle of
compositionality places an important constraint on the meanings of the words
which the sentence contains: the meaning of individual words (and phrases) must
be suitable to compositionally determine the correct meaning for the sentence
as a whole. Certain types of words (e.g., if, and, or but) do not “refer” to things
in the world; the meanings of such words can only be defined in terms of their
contribution to sentence meanings.

1.5 Saying, meaning, and doing

The Teochew question in (2) illustrates how a single sentence can be used to
express two or more different utterance meanings, depending on the context. In
one context the sentence is used to greet someone, while in another context the
same sentence is used to request information. So this example demonstrates that
a single sentence can be used to perform two or more different speech acts, i.e.,
things that people do by speaking.
In order to fully understand a given utterance, the addressee (= hearer) must
try to answer three fundamental questions:

1. What did the speaker say? i.e., what is the semantic content of the sen-
tence? (The philosopher Paul Grice used the term “What is said” as a way
of referring to semantic content or sentence meaning.)

2. What did the speaker intend to communicate? (Grice used the term im-
plicature for intended but unspoken meaning, i.e., aspects of utterance
meaning which are not part of the sentence meaning.)

9
1 The meaning of meaning

3. What is the speaker trying to do? i.e., what speech act is being performed?

In this book we attempt to lay a foundation for investigating these three ques-
tions about meaning. We will return to the analysis of speech acts in Chapter 10;
but for a brief example of why this is an important facet of the study of meaning,
consider the word please in examples (3a–b).

(3) a. Please pass me the salt.

b. Can you please pass me the salt?

What does please mean? It does not seem to have any real semantic content,
i.e., does not contribute to the sentence meaning; but it makes an important con-
tribution to the utterance meaning, in fact, two important contributions. First,
it identifies the speech act which is performed by the utterances in which it oc-
curs, indicating that they are reqests. The word please does not occur naturally
in other kinds of speech acts. Second, this word is a marker of politeness; so it
indicates something about the manner in which the speech act is performed, in-
cluding the kind of social relationship which the speaker wishes to maintain with
the hearer. So we see that we cannot understand the meaning of please without
referring to the speech act being performed.
The claim that the word please does not contribute to sentence meaning is
supported by the observation that misusing the word does not affect the truth
of a sentence. We said that it normally occurs only in requests. If we insert the
word into other kinds of speech acts, e.g. It seems to be raining, please, the result
is odd; but if the basic statement is true, adding please does not make it false.
Rather, the use of please in this context is simply inappropriate (unless there is
some contextual factor which makes it possible to interpret the sentence as a
request).
The examples in (3) also illustrate an important aspect of how form and mean-
ing are related with respect to speech acts. We will refer to the utterance in (3a)
as a direct request, because the grammatical form (imperative) matches the in-
tended speech act (request); so the utterance meaning is essentially the same as
the sentence meaning. We will refer to the utterance in (3b) as an indirect re-
quest, because the grammatical form (interrogative) does not match the intended
speech act (request); the utterance meaning must be understood by pragmatic in-
ference.

10
 1.6 “More lies ahead” (a roadmap)

1.6 “More lies ahead” (a roadmap)

As you have seen from the table of contents, the chapters of this book are orga-
nized into six units. In the first four units we introduce some of the basic tools,
concepts, and terminology which are commonly used for analyzing and describ-
ing linguistic meaning. In the last two units we use these tools to explore the
meanings of several specific classes of words and grammatical markers: modals,
tense markers, if, because, etc.
The rest of this first unit is devoted to exploring two of the foundational con-
cepts for understanding how we talk about the world: reference and truth. Chap-
ter 2 deals with reference and the relationship between reference and meaning.
Just as a proper name can be used to refer to a specific individual, other kinds of
noun phrase can be used to refer to people, things, groups, etc. in the world. The
actual reference of a word or phrase depends on the context in which it is used;
the meaning of the word determines what things it can be used to refer to in any
given context.
Chapter 3 deals with truth, and also with certain kinds of inference. We say
that a statement is true if its meaning corresponds to the situation under discus-
sion. Sometimes the meanings of two statements are related in such a way that
the truth of one will give us reason to believe that the other is also true. For
example, if I know that the statement in (4a) is true, then I can be quite certain
that the statement in (4b) is also true, because of the way in which the meanings
of the two sentences are related. A different kind of meaning relation gives us
reason to believe that if a person says (4c), he must believe that the statement
in (4a) is true. These two types of meaning-based inference, which we will call
entailment and presupposition respectively, are of fundamental importance to
most of the topics discussed in this book.

(4) a. John killed the wasp.

b. The wasp died.
c. John is proud that he killed the wasp.

Chapter 4 introduces some basic logical notation that is widely used in seman-
tics, and discusses certain patterns of inference based on truth values and logical
structure.
Unit II focuses on word meanings, starting with the observation that a single
word can have more than one meaning. One of the standard ways of demonstrat-
ing this fact is by observing the ambiguity of sentences like the famous headline
in (5). Many of the issues we discuss in Unit II with respect to “content words”

11
1 The meaning of meaning

(nouns, verbs, adjectives, etc.), such as ambiguity, vagueness, idiomatic uses, co-
occurrence restrictions, etc., will turn out to be relevant in our later discussions
of various kinds of “function words” and grammatical morphemes as well.

(5) Headline: Reagan wins on budget, but more lies ahead.

Unit III deals with a pattern of pragmatic inference known as conversational

implicature: meaning which is intended by the speaker to be understood by the
hearer, but is not part of the literal sentence meaning. Many people consider
the identification of this type of inference, by the philosopher Paul Grice in the
1960s, to be the “birth-date” of pragmatics as a distinct field of study. It is another
foundational concept that we will refer to in many of the subsequent chapters.
Chapter 10 discusses a class of conversational implicatures that has received a
great deal of attention, namely indirect speech acts. As illustrated above in ex-
ample (3b), an indirect speech act involves a sentence whose literal meaning
seems to perform one kind of speech act (asking a question: Can you pass me
the salt?) used in a way which implicates a different speech act (request: Please
pass me the salt). Chapter 11 discusses various types of expressions (e.g. sentence
adverbs like frankly, fortunately, etc., honorifics and politeness markers, and cer-
tain types of “discourse particles”) whose meanings seem to contribute to the
appropriateness of an utterance, rather than to the truth of a proposition. Some
such meanings were referred to by Grice as a different kind of implicature.
Unit IV addresses the issue of compositionality: how the meanings of phrases
and sentences can be predicted based on the meanings of the words they con-
tain and the way those words are arranged (syntactic structure). It provides a
brief introduction to some basic concepts in set theory, and shows how these
concepts can be used to express the truth conditions of sentences. One topic
of special interest is the interpretation of “quantified” noun phrases such as ev-
ery person, some animal, or no student, using set theory to state the meanings of
such phrases. In Unit V we will use this analysis of quantifiers to provide a way
of understanding the meanings of modals (e.g. may, must, should) and if clauses.
Unit VI presents a framework for analyzing the meanings of tense and aspect
markers. Tense and aspect both deal with time reference, but in different ways.
As we will see, the use and interpretation of these markers often depends heavily
on the type of situation being described.
Each of these topics individually has been the subject of countless books and
papers, and we cannot hope to give a complete account of any of them. This
book is intended as a broad introduction to the field as a whole, a stepping stone
which will help prepare you to read more specialized books and papers in areas
that interest you.

12
 1.6 “More lies ahead” (a roadmap)

Further reading

For helpful discussions of the distinction between semantics vs. pragmat-

ics, see Levinson (1983: ch. 1) and Birner (2012/2013: §1.2). Levinson (1983:
ch. 1) also provides a helpful discussion of Grice’s distinction between
“natural meaning” vs. linguistic meaning.

13
2 Referring, denoting, and expressing
2.1 Talking about the world
In this chapter and the next we will think about how speakers use language to talk
about the world. Referring to a particular individual, e.g. by using expressions
such as Abraham Lincoln or my father, is one important way in which we talk
about the world. Another important way is to describe situations in the world,
i.e., to claim that a certain state of affairs exists. These claims are judged to be
true if our description matches the actual state of the world, and false otherwise.
For example, if I were to say It is raining at a time and place where no rain is
falling, I would be making a false statement.
We will focus on truth in the next chapter, but in this chapter our primary focus
is on issues relating to reference. We begin in §2.2 with a very brief description
of two ways of studying linguistic meaning. One of these looks primarily at how
a speaker’s words are related to the thoughts or concepts he is trying to express.
The other approach looks primarily at how a speaker’s words are related to the
situation in the world that he is trying to describe. This second approach will be
assumed in most of this book.
In §2.3 we will think about what it means to “refer” to things in the world,
and discuss various kinds of expressions that speakers can use to refer to things.
In §2.4 we will see that we cannot account for meaning, or even reference, by
looking only at reference. To preview that discussion, we might begin with the
observation that people talk about the “meaning” of words in two different ways,
as illustrated in (1). In (1a), the word meant is used to specify the reference of a
phrase when it was used on a particular occasion, whereas in (1b-c), the word
means is used to specify the kind of meaning that we might look up in a dictio-
nary.

(1) a. When Jones said that he was meeting “a close friend” for dinner, he
meant his lawyer.
b. Salamat means ‘thank you’ in Tagalog.
c. Usufruct means ‘the right of one individual to use and enjoy the
property of another.’1
1 http://legal-dictionary.thefreedictionary.com/usufruct
2 Referring, denoting, and expressing

We will introduce the term sense for the kind of meaning illustrated in (1b-c),
the kind of meaning that we might look up in a dictionary. One crucial difference
between sense and reference is that reference depends on the specific context in
which a word or phrase is used, whereas sense does not depend on context in
this way.
In §2.5 we discuss various types of ambiguity, that is, ways in which a word,
phrase or sentence can have more than one sense. The existence of ambiguity is
an important fact about all human languages, and accounting for ambiguity is
an important goal in semantic analysis.
In §2.6 we discuss a kind of meaning that does not seem to involve either
reference to the world, or objective claims about the world. Expressive meaning
(e.g. the meanings of words like ouch and oops) reflects the speaker’s feelings
or attitudes at the time of speaking. We will list a number of ways in which
expressive meaning is different from “normal” descriptive meaning.

2.2 Denotational semantics vs. cognitive semantics

Let us begin by discussing the relationships between a speaker’s words, the sit-
uation in the world, and the thoughts or concepts associated with those words.
These relationships are indicated in the figure in (2), which is a version of a dia-
gram that is sometimes referred to as the Semiotic Triangle.

(2) (one version of) the Semiotic Triangle

Mind

Language World

Semiotics is the study of the relationship between signs and their meanings.
In this book we are interested in the relationship between forms and meanings
in certain kinds of symbolic systems, namely human languages. The diagram is
a way of illustrating how speakers use language to describe things, events, and
situations in the world. As we will see when we begin to look at word meanings,
what speakers actually describe is a particular construal of, or way of think-
ing about, the situation. Now the speaker’s linguistic description rarely if ever
includes everything that the speaker knows or believes about the situation, and

16
 2.3 Types of referring expressions

what the speaker believes about the situation may not match the actual state of
the world. Thus there is no one-to-one correspondence between the speaker’s
mental representation and either the actual situation in the world or the linguis-
tic expressions used to describe that situation. However, there are strong links
or associations connecting each of these domains with the others.
The basic approach we adopt in this book focuses on the link between lin-
guistic expressions and the world. This approach is often referred to as deno-
tational semantics. (We will discuss what denotation means in §2.4 below.)
An important alternative approach, cognitive semantics, focuses on the link
between linguistic expressions and mental representations. Of course, both ap-
proaches recognize that all three corners of the Semiotic Triangle are involved in
any act of linguistic communication. One motivation for adopting a denotational
approach comes from the fact that it is very hard to find direct evidence about
what is really going on in a speaker’s mind. A second motivation is the fact that
this approach has proven to be quite successful at accounting for composition-
ality (how meanings of complex expressions, e.g. sentences, are related to the
meanings of their parts).
The two foundational concepts for denotational semantics, i.e. for talking
about how linguistic expressions are related to the world, are truth and ref-
erence. As we mentioned in Chapter 1, we will say that a sentence is true if
it corresponds to the actual situation in the world which it is intended to de-
scribe. It turns out that native speakers are fairly good at judging whether a
given sentence would be true in a particular situation; such judgments provide
an important source of evidence for all semantic analysis. Truth will be the focus
of attention in Chapter 3. In the next several sections of this chapter we focus on
issues relating to reference.

2.3 Types of referring expressions

Philosophers have found it hard to agree on a precise definition for reference, but
intuitively we are talking about the speaker’s use of words to “point to” some-
thing in the world; that is, to direct the hearer’s attention to something, or to
enable the hearer to identify something. Suppose we are told that Brazilians
used to “refer to” Pelé as o rei ‘the king’.2 This means that speakers used the
phrase o rei to direct their hearers’ attention to a particular individual, namely
the most famous soccer player of the 20th century. Similarly, we might read that
2 Ofcourse, Pelé rose to fame long after Brazil became a republic, so there was no king ruling
the country at that time.

17
2 Referring, denoting, and expressing

amyotrophic lateral sclerosis (ALS) is often “referred to” as Lou Gehrig’s Disease,
in honor of the famous American baseball player who died of this disease. This
means that people use the phrase Lou Gehrig’s Disease to direct their hearers’
attention to that particular disease.
A referring expression is an expression (normally some kind of noun phrase)
which a speaker uses to refer to something. The identity of the referent is deter-
mined in different ways for different kinds of referring expressions. A proper
name like King Henry VIII, Abraham Lincoln, or Mao Zedong, always refers to the
same individual. (In saying this, of course, we are ignoring various complicating
factors, such as the fact that two people may have the same name. We will fo-
cus for the moment on the most common or basic way of using proper names,
namely in contexts where they have a single unambiguous referent.) For this rea-
son, they are sometimes referred to as rigid designators. “Natural kind” terms,
e.g. names of species (camel, octopus, durian) or substances (gold, salt, methane),
are similar. When they are used to refer to the species as a whole, or the sub-
stance in general, rather than any specific instance, these terms are also rigid
designators: their referent does not depend on the context in which they are
used. Some examples of this usage are presented in (3).

(3) a. The octopus has eight tentacles and is quite intelligent.

b. Camels can travel long distances without drinking.
c. Methane is lighter than air and highly flammable.

For most other referring expressions, reference does depend on the context of
use. deictic elements (sometimes called indexicals) are words which refer to
something in the speech situation itself. For example, the pronoun I refers to the
current speaker, while you refers to the current addressee. Here typically refers
to the place of the speech event, while now typically refers to the time of the
speech event.
Third person pronouns can be used with deictic reference, e.g. “Who is he?”
(while pointing); but more often are used anaphorically. An anaphoric element
is one whose reference depends on the reference of another NP within the same
discourse. (This other NP is called the antecedent.) The pronoun he in sentence
(4) is used anaphorically, taking George as its antecedent.

(4) Susan refuses to marry Georgei because hei smokes.

Pronouns can be used with quantifier phrases, like the pronoun his in sen-
tence (5a); but in this context, the pronoun does not actually refer to any specific

18
 2.3 Types of referring expressions

individual. So in this context, the pronoun is not a referring expression.3 For

the same reason, quantifier phrases are not referring expressions, as illustrated
in (5b). (The symbol “#” in (5b) indicates that the sentence is grammatical but
unacceptable on semantic or pragmatic grounds.)

(5) a. [Every boy]i should respect hisi mother.

b. [Every American male]i loves football; #hei watched three games last
weekend.

Some additional examples that illustrate why quantified noun phrases cannot
be treated as referring expressions are presented in (6–8). As example (6a) illus-
trates, reflexive pronouns are normally interpreted as having the same reference
as their antecedent; but this principle does not hold when the antecedent is a
quantified noun phrase (6b).

(6) a. John trusts himself is equivalent to: John trusts John.

b. Everyone trusts himself is not equivalent to: Everyone trusts everyone.

As we discuss in Chapter 3, a sentence of the form X is Estonian and X is not

Estonian is a contradiction; it can never be true, whether X refers to an individual
as in (7b) or a group of individuals as in (7c). However, when X is replaced by
certain quantified noun phrases, e.g. those beginning with some or many, the
sentence could be true. This shows that these quantified noun phrases cannot be
interpreted as referring to either individuals or groups of individuals.4

(7) a. #X is Estonian and X is not Estonian.

b. #John is Estonian and John is not Estonian.
c. #My parents are Estonian and my parents are not Estonian.
d. Some/many people are Estonian and some/many people are not
Estonian.

As a final example, the contrast in (8) suggests that neither every student nor
all students can be interpreted as referring to the set of all students, e.g. at a
particular school. There is much more to be said about quantifiers. We will give
a brief introduction to this topic in Chapter 3, and discuss them in more detail in
Chapter 14.
3 Pronouns used in this way are functioning as “bound variables”, as described in Chapter 4.
4 Peters & Westerståhl (2006: 49–52) present a mathematical proof showing that quantified noun
phrases cannot be interpreted as referring to sets of individuals.

19
2 Referring, denoting, and expressing

(8) a. The student body outnumbers the faculty.

b. #Every student outnumbers the faculty.
c. #All students outnumbers the faculty.

Common noun phrases may or may not refer to anything. Definite noun
phrases (sometimes called definite descriptions) like those in (9) are normally
used in contexts where the hearer is able to identify a unique referent. But def-
inite descriptions can also be used generically, without referring to any specific
individual, like the italicized phrases in (10).

(9) a. this book

b. the sixteenth President of the United States
c. my eldest brother

(10) Life’s battles don’t always go

To the stronger or faster man,
But sooner or later the man who wins
Is the one who thinks he can.5

Indefinite descriptions may be used to refer to a specific individual, like the

object NP in (11a); or they may be non-specific, like the object NP in (11b). Specific
indefinites are referring expressions, while non-specific indefinites are not.

(11) a. My sister has just married a cowboy.

b. My sister would never marry a cowboy.
c. My sister wants to marry a cowboy.

In some contexts, like (11c), an indefinite NP may be ambiguous between a spe-

cific vs. a non-specific interpretation. Under the specific interpretation, (11c) says
that my sister wants to marry a particular individual, who happens to be a cow-
boy. Under the non-specific interpretation, (11c) says that my sister would like
the man she marries to be a cowboy, but doesn’t have any particular individual
in mind yet. We will discuss this kind of ambiguity in more detail in Chapter 12.

5 From the poem “Thinking” by Walter D. Wintle, first published 1905(?). This poem is widely
copied and often mis-attributed. Authors wrongly credited with the poem include Napoleon
Hill, C.W. Longenecker, and the great American football coach Vince Lombardi.

20
 2.4 Sense vs. denotation

2.4 Sense vs. denotation

In §2.1 we noted that when people talk about what a word or phrase “means”,
they may have in mind either its dictionary definition or its referent in a par-
ticular context. The German logician Gottlob Frege (1848–1925) was one of the
first people to demonstrate the importance of making this distinction. He used
the German term Sinn (English sense) for those aspects of meaning which do
not depend on the context of use, the kind of meaning we might look up in a
dictionary.
Frege used the term Bedeutung (English denotation)6 for the other sort of
meaning, which does depend on the context. The denotation of a referring ex-
pression, such as a proper name or definite NP, will normally be its referent. The
denotation of a content word (e.g. an adjective, verb, or common noun) is the
set of all the things in the current universe of discourse which the word could
be used to describe. For example, the denotation of yellow is the set of all yellow
things, the denotation of tree is the set of all trees, the denotation of the intran-
sitive verb snore is the set of all creatures that snore, etc. Frege proposed that
the denotation of a sentence is its truth value. We will discuss his reasons for
making this proposal in Chapter 12; in this section we focus on the denotations
of words and phrases.
We have said that denotations are context-dependent. This is not so easy to
see in the case of proper names, because they always refer to the same individual.
Other referring expressions, however, will refer to different individuals or enti-
ties in different contexts. For example, the definite NP the Prime Minister can
normally be used to identify a specific individual. Which particular individual
is referred to, however, depends on the time and place. The denotation of this
phrase in Singapore in 1975 would have been Lee Kuan Yew; in England in 1975
it would have been Harold Wilson; and in England in 1989 it would have been
Margaret Thatcher. Similarly, the denotation of phrases like my favorite color or
your father will depend on the identity of the speaker and/or addressee.
The denotation of a content word depends on the situation or universe of dis-
course in which it is used. In our world, the denotation set of talks will include
most people, certain mechanical devices (computers, GPS systems, etc.) and (per-
haps) some parrots. In Wonderland, as described by Lewis Carroll, it will include
playing cards, chess pieces, at least one white rabbit, at least one cat, a dodo bird,
etc. In Narnia, as described by C.S. Lewis, it will include beavers, badgers, wolves,
some trees, etc.

6 The term Bedeutungis often translated into English as reference, but this can lead to confusion
when dealing with non-referring expressions which nevertheless do have a denotation.

21
2 Referring, denoting, and expressing

For each situation, the sense determines a denotation set, and knowing the
sense of the word allows speakers to identify the members of this set. When
Alice first hears the white rabbit talking, she may be surprised. However, her
response would not be, “What is that rabbit doing?” or “Has the meaning of talk
changed?” but rather “How can that rabbit be talking?” It is not the language
that has changed, but the world. Sense is a fact about the language, denotation
is a fact about the world or situation under discussion.
Two expressions that have different senses may still have the same denotation
in a particular situation. For example, the phrases the largest land mammal and
the African bush elephant refer to the same organism in our present world (early
in the 21st century). But in a fictional universe of discourse (e.g., the movie King
Kong), or in an earlier time period of our own world (e.g., 30 million BC, when
the gigantic Paraceratherium —estimated weight about 20,000 kg— walked the
earth), these two phrases could have different denotations. If two expressions
can have different denotations in any context, they do not have the same sense.
Such examples demonstrate that two expressions which have different senses
may have the same denotation in certain situations. However, two expressions
that have the same sense (i.e., synonymous expressions) must always have the
same denotation in any possible situation. For example, the phrases my mother-
in-law and the mother of my spouse seem to be perfect synonyms (i.e., identical in
sense). If this is true, then it will be impossible to find any situation where they
would refer to different individuals when spoken by the same (monogamous)
speaker under exactly the same conditions.
So, while we have said that we will adopt a primarily “denotational” approach
to semantics, this does not mean that we are only interested in denotations, or
that we believe that denotation is all there is to meaning. If meaning was just
denotation, then phrases like those in (12), which have no referent in our world
at the present time, would all either mean the same thing, or be meaningless. But
clearly they are not meaningless, and they do not all mean the same thing; they
simply fail to refer.
(12) a. the present King of France
b. the largest prime number
c. the diamond as big as the Ritz
d. the unicorn in the garden
Frege’s distinction allows us to see that non-referring expressions like those in
(12) may not have a referent, but they do have a sense, and that sense is derived
in a predictable way by the normal rules of the language.

22
 2.5 Ambiguity

2.5 Ambiguity
It is possible for a single word to have more than one sense. For example, the
word hand can refer to the body part at the end of our arms; the pointer on the
dial of a clock; a bunch of bananas; the group of cards held by a single player in
a card game; or a hired worker. Words that have two or more senses are said to
be ambiguous (more precisely, polysemous; see Chapter 5).
A deictic expression such as my father will refer to different individuals when
spoken by different speakers, but this does not make it ambiguous. As empha-
sized above, the fact that a word or phrase can have different denotations in dif-
ferent contexts does not mean that it has multiple senses, and it is important to
distinguish these two cases. We will discuss the basis for making this distinction
in Chapter 5.
If a phrase or sentence contains an ambiguous word, the phrase or sentence
will normally be ambiguous as well, as illustrated in (13).

(13) lexical ambiguity

a. A boiled egg is hard to beat.
b. The farmer allows walkers to cross the field for free, but the bull
charges.
c. I just turned 51, but I have a nice new organ which I enjoy
tremendously.7

An ambiguous sentence is one that has more than one sense, or “reading”. A
sentence which has only a single sense may have different truth values in dif-
ferent contexts, but will always have one consistent truth value in any specific
context. With an ambiguous sentence, however, there must be at least one con-
ceivable context in which the two senses would have different truth values. For
example, one reading of (13b) would be true at the same time that the other read-
ing is false if there is a bull in the field which is aggressive but not financially
sophisticated.
In addition to lexical ambiguity of the kind illustrated in (13), there are various
other ways in which a sentence can be ambiguous. One of these is referred to
as structural ambiguity, illustrated in (14a–d). In such cases, the two senses
(or readings) arise because the grammar of the language can assign two different
structures to the same string of words, even though none of those words is itself
ambiguous. The two different structures for (14d) are shown by the bracketing in
(14e), which corresponds to the expected reading, and (14f) which corresponds
to the Groucho Marx reading. Of course, some sentences involve both structural
and lexical ambiguity, as is the case in (14c).
7 From e-mail newsletter, 2011.
23
2 Referring, denoting, and expressing

(14) structural ambiguity8

a. Two cars were reported stolen by the Groveton police yesterday.
b. The license fee for altered dogs with a certificate will be $3 and for
pets owned by senior citizens who have not been altered the fee will
be $1.50.
c. For sale: mixing bowl set designed to please a cook with round
bottom for efficient beating.
d. One morning I shot an elephant in my pajamas. How he got into my
pajamas I’ll never know.9
e. One morning I [shot an elephant] [in my pajamas].
f. One morning I shot [an elephant in my pajamas].

Structural ambiguity shows us something important about meaning, namely

that meanings are not assigned to strings of phonological material but to syntac-
tic objects.10 In other words, syntactic structure makes a crucial contribution to
the meaning of an expression. The two readings for (14d) involve the same string
of words but not the same syntactic object.
A third type of ambiguity which we will mention here is referential am-
biguity. (We will discuss additional types of ambiguity in later chapters.) It is
fairly common to hear people using pronouns in a way that permits more than
one possible antecedent, e.g. Adams wrote frequently to Jefferson while he was in
Paris. The pronoun he in this sentence has ambiguous reference; it could refer
either to John Adams or to Thomas Jefferson. It is also possible for other types
of NP to have ambiguous reference. For example, if I am teaching a class of 14
students, and I say to the Dean My student has won a Rhodes scholarship, there
are multiple possible referents for the subject NP.
A famous example of referential ambiguity occurs in a prophecy from the or-
acle at Delphi, in ancient Greece. The Lydian king Croesus asked the oracle
whether he should fight against the Persians. The oracle’s reply was that if Croe-
sus made war on the Persians, he would destroy a mighty empire. Croesus took
this to be a positive answer and attacked the Persians, who were led by Cyrus the
Great. The Lydians were defeated and Croesus was captured; the empire which
Croesus destroyed turned out to be his own.

8 These examples are taken from Pinker (1994: 102). The first three are said to be actual newspaper
examples.
9 Groucho Marx, in the movie Animal Crackers.
10 Kennedy (2011: 514).

24
 2.6 Expressive meaning: Ouch and oops

2.6 Expressive meaning: Ouch and oops

Words like ouch and oops, often referred to as expressives, present an interesting
challenge to the “denotational” approach outlined above. They convey a certain
kind of meaning, yet they neither refer to things in the world, nor help to deter-
mine the conditions under which a sentence would be true. In fact, it is hard to
claim that they even form part of a sentence; they seem to stand on their own,
as one-word utterances. The kind of meaning that such words convey is called
expressive meaning, which Lyons (1995: 44) defines as “the kind of meaning
by virtue of which speakers express, rather than describe, their beliefs, attitudes
and feelings.” Expressive meaning is different from descriptive meaning (also
called propositional meaning or truth- conditional meaning), the “normal”
type of meaning which determines reference and truth values. If someone says
I just felt a sudden sharp pain, he is describing what he feels; but when he says
Ouch!, he is expressing that feeling.
Words like ouch and oops carry only expressive meaning, and seem to be
unique in other ways as well. They may not necessarily be intended to com-
municate. If I hurt myself when I am working alone, I will very likely say ouch
(or some other expressive with similar meaning) even though there is no one
present to hear me. Such expressions seem almost like involuntary reactions,
although the specific forms are learned as part of a particular language. But it
is important to be aware of the distinction between expressive vs. descriptive
meaning, because many “normal” words carry both types of meaning at once.
For example, the word garrulous means essentially the same thing as talkative,
but carries additional information about the speaker’s negative attitude towards
this behavior.11 There are many other pairs of words which seem to convey the
same descriptive meaning but differ in terms of their expressive meaning: father
vs. dad; woman vs. broad; horse vs. nag; alcohol vs. booze; etc. In each case
either member of the pair could be used to refer to the same kinds of things in
the world; the speaker’s choice of which term to use indicates varying degrees
of intimacy, respect, appreciation or approval, formality, etc.
The remainder of this section discusses some of the properties which distin-
guish expressive meaning from descriptive meaning.12 These properties can be
used as diagnostics when we are unsure which type of meaning we are dealing
with.

11 Barker (2002).
12 Much of this discussion is based on Cruse (1986; 2000) and Potts (2007c).

25
2 Referring, denoting, and expressing

2.6.1 Independence
Expressive meaning is independent of descriptive meaning in the sense that ex-
pressive meaning does not affect the denotation of a noun phrase or the truth
value of a sentence. For example, the addressee might agree with the descriptive
meaning of (15) without sharing the speaker’s negative attitude indicated by the
expressive term jerk. Similarly, the addressee in (16) might agree with the de-
scriptive content of the sentence without sharing the speaker’s negative attitude
indicated by the pejorative suffix -aco.

(15) That jerk Peterson is the only real economist on this committee.

(16) Los vecinos tienen un pajarr-aco como mascota. [Spanish]

the neighbors have a bird-pejor as pet
Descriptive: The neighbors have a pet bird.
Expressive: The speaker has a negative attitude towards the bird.13

2.6.2 Nondisplaceability
Hockett (1958; 1960) used the term Displacement to refer to the fact that speak-
ers can use human languages to describe events and situations which are sepa-
rated in space and time from the speech event itself. Hockett listed this ability as
one of the distinctive properties of human language, one which distinguishes it,
for example, from most types of animal communication.
Cruse (1986: 272) notes that this capacity for displacement holds only for de-
scriptive meaning, and not for expressive meaning. A person can describe his
own feelings in the past or future, e.g. Last month I felt a sharp pain in my chest,
or I will probably feel a lot of pain when the dentist drills my tooth tomorrow; or
the feelings of other people, e.g. She was in a lot of pain. But when a person says
Ouch!, it must normally express pain that is felt by the speaker at the moment of
speaking.

2.6.3 Immunity
Descriptive meaning can be negated (17a), questioned (17b), or challenged (17c).
Expressive meaning is “immune” to all of these things, as illustrated in (18). As we
will see in later chapters, negation, questioning, and challenging are three of the
standard tests for identifying truth-conditional meaning. The fact that expressive

13 Fortin (2011).

26
 2.6 Expressive meaning: Ouch and oops

meaning cannot be negated, questioned, or challenged shows that it is not part

of the truth-conditional meaning of the sentence.

(17) a. I am not feeling any pain.

b. Are you feeling any pain?
c. patient: I just felt a sudden sharp pain.
dentist: That’s a lie — I gave you a double dose of Novocain.
(Cruse 1986: 271)

(18) a. *Not ouch.

b. *Ouch? (can only be interpreted as an elliptical form of the question:
Did you say “Ouch”?)
c. patient: Ouch!
dentist: #That’s a lie.

2.6.4 Scalability and repeatability

Expressive meaning can be intensified through repetition (as seen in line g of
Table 2.1 below), or by the use of intonational features such as pitch, length or
loudness. Descriptive meaning is generally expressible in discrete units which
correspond to the lexical semantic content of individual words. Repetition of
descriptive meaning tends to produce redundancy, though we should note that
a number of languages do use reduplication to encode plural number, repeated
actions, etc.

2.6.5 Descriptive ineffability

“Effability” means ‘expressibility’. The effability hypothesis claims that “Each
proposition can be expressed by some sentence in any natural language”;14 or in
other words, “Whatever can be meant can be said.”15
Potts (2007c) uses the phrase “descriptive ineffability” to indicate that expres-
sive meaning often cannot be adequately stated in terms of descriptive meaning.
A paraphrase based on descriptive meaning (e.g. young dog for puppy) is often
interchangeable with the original expression, as illustrated in (19). Whenever
(19a) is true, (19b) must be true as well, and vice versa. Moreover, this substitu-
tion is equally possible in questions, commands, negated sentences, etc. This is

14 Katz (1978: 209).

15 Searle (1969: 18); see also Katz (1972: 18–24); Carston (2002: 33).

27
2 Referring, denoting, and expressing

not the case with expressives, even where a descriptive paraphrase is possible,
as illustrated in (17–18) above.
(19) a. Yesterday my son brought home a puppy.
b. Yesterday my son brought home a young dog.
For many expressives there is no descriptive paraphrase available, and speak-
ers often find it difficult to explain the meaning of the expressive form in de-
scriptive terms. For example, most dictionaries do not attempt to paraphrase the
meaning of oops, but rather “define” it by describing the contexts in which it is
normally used:
(20) a. “used typically to express mild apology, surprise, or dismay”16
b. “an exclamation of surprise or of apology as when someone drops
something or makes a mistake”17
This limited expressibility correlates with limited translatability. The descrip-
tive meaning conveyed by a sentence in one language is generally expressible in
other languages as well. (Whether this is always the case, as predicted by strong
forms of the Effability Hypothesis, is a controversial issue.) However, it is of-
ten difficult to find an adequate translation equivalent for expressive meaning.
One well known example is the ancient Aramaic term of contempt raka, which
appears in the Greek text of Matthew 5:22 (and in many English translations), pre-
sumably because there was no adequate translation equivalent in Koine Greek.
(Some of the English equivalents which have been suggested include: good-for-
nothing, rascal, empty head, stupid, ignorant.) In 393 AD, St. Augustine offered
the following explanation:
Hence the view is more probable which I heard from a certain Hebrew
whom I had asked about it; for he said that the word does not mean any-
thing, but merely expresses the emotion of an angry mind. Grammarians
call those particles of speech which express an affection of an agitated mind
interjections; as when it is said by one who is grieved, ‘Alas,’ or by one
who is angry, ‘Hah.’ And these words in all languages are proper names,
and are not easily translated into another language; and this cause certainly
compelled alike the Greek and the Latin translators to put the word itself,
inasmuch as they could find no way of translating it.”18
16 http://www.merriam-webster.com
17 Collins English Dictionary – Complete and Unabridged, ©HarperCollins Publishers 1991, 1994,
1998, 2000, 2003.
18 On the Sermon on the Mount, Book I, ch. 9, §23; http://www.newadvent.org/fathers/16011.htm

28
 2.6 Expressive meaning: Ouch and oops

Whether or not Augustine was correct in his view that raka was a pure expres-
sive, he provides an excellent description of this class of words and the difficulty
of translating them from one language to another. This quote also demonstrates
that the challenges posed by expressives have been recognized for a very long
time.
A similar translation problem helped to create an international incident in
1993 when the Malaysian Prime Minister, Dr. Mahathir Mohamad, declined an
invitation to attend the first Asia-Pacific Economic Cooperation (APEC) sum-
mit. Australian Prime Minister Paul Keating, when asked for a comment, replied:
“APEC is bigger than all of us; Australia, the US and Malaysia and Dr Mahathir
and any other recalcitrants.” Bilateral relations were severely strained, and both
Malaysian government policies and Malaysian public opinion towards Australia
were negatively affected for a long period of time. A significant factor in this
reaction was the fact that the word recalcitrant was translated in the Malaysian
press by the Malay idiom keras kepala, literally ‘hard headed’. The two expres-
sions have a similar range of descriptive meaning (‘stubborn, obstinate, defiant
of authority’), but the Malay idiom carries expressive meaning which makes the
sense of insult and disrespect much stronger than in the English original. Keras
kepala would be appropriate in scolding a child or subordinate, but not in refer-
ring to a head-of-government.

2.6.6 Case study: Expressive uses of diminutives

Diminutives are grammatical markers whose primary or literal meaning is to
indicate small size; but diminutives often have secondary uses as well, and often
these involve expressive content. Anna Wierzbicka (1985) describes one common
use of diminutives in Polish as follows:

In Polish, warm hospitality is expressed as much by the use of diminutives

as it is by the ‘hectoring’ style of offers and suggestions. Characteristi-
cally, the food items offered to the guest are often referred to by the host
by their diminutive names. Thus… one might say in Polish: Wei jeszcze
Sledzika! Koniecznie! ‘Take some more dear-little-herring (dim). You must!’
The diminutive praises the quality of the food and minimizes the quantity
pushed onto the guest’s plate. The speaker insinuates: “Don’t resist! It is
a small thing I’m asking you to do — and a good thing!”. The target of the
praise is in fact vague: the praise seems to embrace the food, the guest, and
the action of the guest desired by the host. The diminutive and the impera-
tive work hand in hand in the cordial, solicitous attempt to get the guest to
eat more.

29
2 Referring, denoting, and expressing

Markers of expressive meaning often have several possible meanings, which

depend heavily on context, and this is true for the Spanish diminutive suffixes
as illustrated in Table 2.1. Notice that the same diminutive suffix can have nearly
opposite meanings (deprecation vs. appreciation; exactness vs. approximation;
attenuation vs. intensification) in different contexts (and, in some cases, different
dialects). These examples also illustrate the “scalability” of expressive meaning,
the fact that it can be intensified through repetition, as in chiqu-it-it-o.

2.7 Conclusion
In this chapter we started with the observation that speakers use language to
talk about the world, for example by referring to things or describing states of
affairs. We introduced the distinction between sense and denotation, which is
of fundamental importance in all that follows. Knowing the sense of a word
is what makes it possible for speakers of a language to identify the denotation
of that word in a particular context of use. In a similar way, as we discuss in
Chapter 3, knowing the sense of a sentence is what makes it possible for speakers
of a language to judge whether or not that sentence is true in a particular context
of use. The issue of ambiguity (a single word, phrase, or sentence with more than
one sense) is one that we will return to often in the chapters that follow. Finally,
we demonstrated a number of ways in which this kind of descriptive meaning
(talking about the world) is different from expressive meaning (expressing the
speaker’s emotions or attitudes). In the rest of this book, we will focus primarily
on descriptive meaning rather than expressive meaning; but it is important to
remember that both “dimensions” of meaning are involved in many (if not most)
utterances.

30
 2.7 Conclusion

Table 2.1: The expressive uses of Spanish diminutive suffixes. (Data

from Fortin 2011.)

a. Deprecation
mujer-zuela ‘disreputable woman’ + disdain/mockery
woman-dim
b. Appreciation
niñ-ito ‘boy’ + endearment/affection
boy-dim
c. Hypocorism (nick-name, pet name)
Carol-ita ‘Carol’ + endearment
Carol-dim
d. Exactness
igual-ito ‘exactly the same’
the.same-dim
e. Approximation
floj-illo ‘kind of lazy, lazy-ish’
lazy-dim
f. Attenuation
ahor-ita ‘soon, in a little while’
now-dim (Caribbean Spanish)
g. Intensification
ahor-ita ‘immediately, right now’
now-dim ( Latin American Spanish)
chiqu-it-o ‘very small’
small-dim-masc
chiqu-it-it-o ‘very, very small/teeny-weeny’
small-dim-dim-masc
chiqu-it-it-…-it-o ‘very, very, …, very, small’
small-dim-dim-…-dim-masc

31
2 Referring, denoting, and expressing

Further reading

Birner (2012/2013: Ch. 4) provides a helpful overview of reference and

various related issues. Abbott (2010: Ch. 2) provides a good summary of
early work by Frege and other philosophers on the distinction between
sense and denotation; later chapters provide in-depth discussions of vari-
ous types of referring expressions. For additional discussion of expressive
meaning see Cruse (1986; 2000), Potts (2007a), and Kratzer (1999).

Discussion exercises
A: Sense vs. denotation. Which of the following pairs of expressions
have the same sense? Which have the same denotation? Explain your
answer.
a. cordates (=‘animals with hearts’) renates (= ‘animals with kidneys’)
b. animals with gills and scales fish
c. your first-born son your oldest male offspring
d. Ronald Reagan the Governor of California
e. my oldest sister your Aunt Betty
f. my pupils the students that I teach
g. the man who invented the phonograph the man who invented the light-bulb

Model answer for (a)

In our world at the present time, all species that have hearts also have kidneys;
so these two words have the same denotation in our world at the present time.
They do not have the same sense, however, because we can imagine a world
in which some species had hearts without kidneys, or kidneys without hearts;
so the two words do not have the same denotation in all possible situations.

32
 2.7 Conclusion

B: Referring expressions. Which of the following NPs are being used to

refer to something?

a. I never promised you a rose garden.

b. St. Benedict, the father of Western monasticism, planted a rose gar-

den at his early monastery in Subiaco near Rome.a

c. My sister wants to marry a policeman.

d. My sister married a policeman.

e. Leibniz searched for the solution to the equation.

f. Leibniz discovered the solution to the equation.

g. No cat likes being bathed.

h. All musicians are temperamental.

a http://www.scu.edu/stclaregarden/ethno/medievalgardens.cfm

Homework exercises

A: Idiomatic meaning. Try to find one phrasal idiom (an idiom consist-
ing of two or more words) in a language other than English; give a word-
for-word translation and explain its idiomatic meaning.

B: Expressive meaning. Try to find a word in a language other than En-

glish which has purely expressive meaning, like oops and ouch; and explain
how it is used.

33
2 Referring, denoting, and expressing

C: Referring expressions. For each of the following sentences, state

whether or not the nominal expression in italics is being used to refer.
a. Abraham Lincoln was very close to his step-mother.

Model answer
The phrase his step-mother is used to refer to a specific person,
namely Sarah Bush Lincoln, so it does refer

b. I’m so hungry I could eat a horse.

c. Senate Majority Leader Curt Bramble, R-Provo, was back in the hos-
pital this weekend after getting kicked by a horse.a

d. Police searched the house for 6 hours but found no drugs.

e. Edward hopes that his on-line match-making service will help him
find the girl of his dreams.

f. Susan married the first man who proposed to her.

g. Every city has pollution problems.

a Provo, UT Daily Herald Jan. 29, 2007.

34
3 Truth and inference
3.1 Truth as a guide to sentence meaning
Any speaker of English will “understand” the simple sentence in (1), i.e., will
know what it “means”. But what kind of knowledge does this involve? Can our
hypothetical speaker tell us, for example, whether the sentence is true?

(1) King Henry VIII snores.

It turns out that a sentence by itself is neither true nor false: its truth value can
only be determined relative to a specific situation (or state of affairs, or universe
of discourse). In the real world at the time that I am writing this chapter (early
in the 21st century), the sentence is clearly false, because Henry VIII died in 1547
AD. The sentence may well have been true in, say, 1525 AD; but most speakers
of English probably do not know whether or not it was in fact true, because we
do not have total knowledge of the state of the world at that time.
So knowing the meaning of a sentence does not necessarily mean that we
know whether or not it is true in a particular situation; but it does mean that
we know the kinds of situations in which the sentence would be true. Sentence
(1) will be true in any universe of discourse in which the individual named King
Henry VIII has the property of snoring. We will adopt the common view of sen-
tence meanings expressed in (2):

(2) “To know the meaning of a [declarative] sentence is to know what the
world would have to be like for the sentence to be true.” (Dowty et al.
1981: 4)

The meaning of a simple declarative sentence is called a proposition. A propo-

sition is a claim about the world which may (in general) be true in some situations
and false in others. Some scholars hold that a sentence, as a grammatical entity,
cannot have a truth value. Speakers speak truly when they use a sentence to per-
form a certain type of speech act, namely a statement (making a claim about the
world), provided that the meaning (i.e., the sense) of the sentence corresponds
to the situation about which the claim is being made. Under this view, when we
3 Truth and inference

speak of sentences as being true or false we are using a common but imprecise
manner of speaking. It is the proposition expressed by the sentence, rather than
the sentence itself, which can be true or false.
In §3.2 we will look at various types of propositions: some which must always
be true, some which can never be true, and some (the “normal” case) which may
be either true or false depending on the situation. In §3.3 we examine some
important truth relations that can exist between pairs of propositions, of which
perhaps the most important is the entailment relation. Entailment is a type
of inference. We say that proposition p “entails” proposition q if p being true
makes it certain that q is true as well. Finally, in §3.4, we introduce another
type of inference known as a presupposition. Presupposition is a complex and
controversial topic, but one which will be important in later chapters.

3.2 Analytic sentences, synthetic sentences, and

contradictions
We have said that knowing the meaning of a sentence allows us to determine the
kinds of situations in which the proposition which it expresses would be true. In
other words, the meaning of a sentence determines its truth conditions. Some
propositions have the interesting property of being true under all circumstances;
there are no situations in which such a proposition would be false. We refer to
sentences which express such propositions as analytic sentences, or tautolo-
gies. Some examples are given in (3):

(3) a. Today is the first day of the rest of your life.1

b. Que será será. ‘What will be, will be.’
c. Is this bill all that I want? Far from it. Is it all that it can be? Far from
it. But when history calls, history calls.2

Because analytic sentences are always true, they are not very informative. The
speaker who commits himself to the truth of such a sentence is making no claim
at all about the state of the world, because the truth of the sentence depends only
on the meaning of the words. But in that case, why would anyone bother to say
such a thing? It is important to note that the use of tautologies is not restricted to
1 Attributed
to Charles Dederich (1913–1997), founder of the Synanon drug rehabilitation pro-
gram and religious movement.
2 Sen. Olympia Snowe explaining her vote in favor of the Baucus health care reform bill, Oct.
2009.

36
 3.3 Meaning relations between propositions

politicians and pop psychology gurus, who may have professional motivations
to make risk-free statements which sound profound. In fact, all of us probably
say such things more frequently than we realize. We say them because they do
in fact have communicative value; but this value cannot come from the semantic
(or truth conditional) content of the utterance. The communicative value of these
utterances comes entirely from the pragmatic inferences which they trigger. We
will talk in more detail in Chapter 8 about how these pragmatic inferences arise.
The opposite situation is also possible, i.e. propositions which are false in every
imaginable situation. An example is given in (4). Propositions of this type are said
to be contradictions. Once again, a speaker who utters a sentence of this type
is not making a truth conditional claim about the state of the world, since there
are no conditions under which the sentence can be true. The communicative
value of the utterance must be derived by pragmatic inference.

(4) And a woman who held a babe against her bosom said, “Speak to us of
children.”And he said: “Your children are not your children. They are
the sons and daughters of Life’s longing for itself…”3

Propositions which are neither contradictions nor analytic are said to be syn-
thetic. These propositions may be true in some situations and false in others,
so determining their truth value requires not only understanding their meaning
but also knowing something about the current state of the world or the situation
under discussion. Most of the (declarative) sentences that speakers produce in
everyday speech are of this type.
We would expect an adequate analysis of sentence meanings to provide an
explanation for why certain sentences are analytic, and why certain others are
contradictions. So one criterion for evaluating the relative merits of a possible
semantic analysis is to ask how successful it is in this regard.

3.3 Meaning relations between propositions

Consider the pair of sentences in (5). The meanings of these two sentences are
related in an important way. Specifically, in any situation for which (5a) is true,
(5b) must be true as well; and in any situation for which (5b) is false, (5a) must
also be false. Moreover, this relationship follows directly from the meanings of
the two sentences, and does not depend on the situation or context in which they
are used.
3 From “On Children”, in The Prophet (Kahlil Gibran, 1923).

37
3 Truth and inference

(5) a. Edward VIII has abdicated the throne in order to marry Wallis
Simpson.
b. Edward VIII is no longer the King.

This kind of relationship is known as entailment; sentence (5a) entails sen-

tence (5b), or more precisely, the proposition expressed by (5a) entails the propo-
sition expressed by (5b). The defining properties of entailment are those men-
tioned in the previous paragraph. We can say that proposition p entails proposi-
tion q just in case the following three things are true:4

(a) whenever p is true, it is logically necessary that q must also be true;

(b) whenever q is false, it is logically necessary that p must also be false;

(c) these relations follow directly from the meanings of p and q, and do not
depend on the context of the utterance.

This definition gives us some ways to test for entailments. Intuitively it seems
clear that the proposition expressed by (6a) entails the proposition expressed
by (6b). We can confirm this intuition by observing that asserting (6a) while
denying (6b) leads to a contradiction (6c). Similarly, it would be highly unnatural
to assert (6a) while expressing doubt about (6b), as illustrated in (6d). It would be
unnaturally redundant to assert (6a) and then state (6b) as a separate assertion;
this is illustrated in (6e).

(6) a. I broke your Ming dynasty jar.

b. Your Ming dynasty jar broke.
c. #I broke your Ming dynasty jar, but the jar didn’t break.
d. #I broke your Ming dynasty jar, but I’m not sure whether the jar
broke.
e. #I broke your Ming dynasty jar, and the jar broke.

Now consider the pair of sentences in (7). Intuitively it seems that (7a) entails
(7b); whenever (7a) is true, (7b) must also be true, and whenever (7b) is false,
(7a) must also be false. But notice that (7b) also entails (7a). The propositions
expressed by these two sentences mutually entail each other, as demonstrated in
(7c–d). Two sentences which mutually entail each other are said to be synony-
mous, or paraphrases of each other. This means that the propositions expressed
4 Cruse (2000: 29).

38
 3.3 Meaning relations between propositions

by the two sentences have the same truth conditions, and therefore must have
the same truth value (either both true or both false) in any imaginable situation.

(7) a. Hong Kong is warmer than Beijing (in December).

b. Beijing is cooler than Hong Kong (in December).
c. #Hong Kong is warmer than Beijing, but Beijing is not cooler than
Hong Kong.
d. #Beijing is cooler than Hong Kong, but Hong Kong is not warmer
than Beijing.

A pair of propositions which cannot both be true are said to be inconsistent

or incompatible. Two distinct types of incompatibility have traditionally been
recognized. Propositions which must have opposite truth values in every circum-
stance are said to be contradictory. For example, any proposition p must have
the opposite truth value from its negation (not p) in all circumstances. Thus the
pair of sentences in (8) are contradictory; whenever the first is true, the second
must be false, and vice versa.

(8) a. Ringo Starr is my grandfather.

b. Ringo Starr is not my grandfather.

On the other hand, it is possible for two propositions to be inconsistent with-

out being contradictory. This would mean that they cannot both be true, but they
could both be false in a particular context. We refer to such pairs as contrary
propositions. An example is provided in (9a–b). These two sentences cannot both
be true, so (9c) is a contradiction. However, they could both be false in a given
situation, so (9d) is not a contradiction.”

(9) a. Al is taller than Bill.

b. Bill is taller than Al.
c. #Al is taller than Bill and Bill is taller than Al.
d. Al is no taller than Bill and Bill is no taller than Al.

Finally, two sentences are said to be independent when they are neither in-
compatible nor synonymous, and when neither of them entails the other. If two
sentences are independent, there is no truth value dependency between the two
propositions; knowing the truth value of one will not provide enough informa-
tion to know the truth value of the other.

39
3 Truth and inference

These meaning relations (incompatibility, synonymy, and entailment) provide

additional benchmarks for evaluating a possible semantic analysis: how success-
ful is it in predicting or explaining which pairs of sentences will be synonymous,
which pairs will be incompatible, etc.?

3.4 Presupposition
In the previous section we discussed how the meaning of one sentence can entail
the meaning of another sentence. Entailment is a very strong kind of inference.
If we are sure that p is true, and we know that p entails q, then we can be equally
sure that q is true. In this section we examine another kind of inference, that is,
another type of meaning relation in which the utterance of one sentence seems to
imply the truth of some other sentence. This type of inference, which is known as
a presupposition, is extremely common in daily speech; it has been intensively
studied but remains controversial and somewhat mysterious.
As a first approximation, let us define presupposition as information which is
linguistically encoded as being part of the common ground at the time of utter-
ance. The term common ground refers to everything that both the speaker and
hearer know or believe, and know that they have in common. This would include
knowledge about the world, such as the fact that (in our world) there is only one
sun and one moon; knowledge that is observable in the speech situation, such
as what the speaker is wearing or carrying; or facts that have been mentioned
earlier in that same conversation (or discourse).
Speakers can choose to indicate, by the use of certain words or grammatical
constructions, that a certain piece of information is part of the common ground.
Consider the following example:

(10) “Take some more tea,” the March Hare said to Alice, very earnestly.
“I’ve had nothing yet,” Alice replied in an offended tone, “so I can’t take
more.”5

By using the word more (in the sense which seems most likely in this context,
i.e. as a synonym for additional) the March Hare implies that Alice has already
had some tea, and that this knowledge is part of their common ground at that
point in the conversation. The word or grammatical construction which indi-
cates the presence of a presupposition is called a trigger; so in this case we
can say that more “triggers” the presupposition that she has already had some
tea. However, in this example the “presupposed” material is not in fact part of
5 Lewis Carroll, Alice’s Adventures in Wonderland, Chapter 7: “A Mad Tea-Party”

40
 3.4 Presupposition

the common ground, because Alice has not yet had any tea. This is a case of
presupposition failure, which we might define as an inappropriate use of a
presupposition trigger to signal a presupposition which is not in fact part of the
common ground at the time of utterance. Notice that Alice is offended — not
only by the impoliteness of her hosts in not offering her tea in the first place, but
also by the inappropriate use of the word more.

3.4.1 How to identify a presupposition

There is an important difference between entailment and presupposition with
regard to how the nature of the speech act being performed affects the inference.
If p entails q, then any speaker who states that p is true (e.g. I broke your jar)
is committed to believing that q (e.g. your jar broke) is also true. However, a
speaker who asks whether p is true (Did I break your jar?) or denies that p is true
(I didn’t break your jar) makes no commitment concerning the truth value of q. In
contrast, if p presupposes q, then the inference holds whether the speaker asserts,
denies, or asks whether p is true. Notice that all of the three sentences in (11)
imply that the vice president has falsified his dental records. (This presupposition
is triggered by the word regret.)

(11) a. The vice president regrets that he falsified his dental records.
b. The vice president doesn’t regret that he falsified his dental records.
c. Does the vice president regret that he falsified his dental records?

In most cases, if a positive declarative sentence like (12a) triggers a certain pre-
supposition, that presupposition will also be triggered by a “family” of related
sentences (sentences based on the same propositional content) which includes
negative assertions, questions, if -clauses and certain modalities.6 For example,
(12a) presupposes that Susan has been dating an Albanian monk; this presuppo-
sition is triggered by the word stop. All of the other sentences in (12) trigger this
same presupposition, as predicted.

(12) a. Susan has stopped dating that Albanian monk.

b. Susan has not stopped dating that Albanian monk.
c. Has Susan stopped dating that Albanian monk?
d. If Susan has stopped dating that Albanian monk, I might introduce
her to my cousin.
e. Susan may have stopped dating that Albanian monk.
6 Cherchia & McConnell-Ginet (1990).

41
3 Truth and inference

In addition to the presupposition mentioned above, (12a) also entails that Susan
is not currently dating the Albanian monk; but this entailment is not shared by
any of the other sentences in (12). This contrast shows us that presuppositions
are preserved under negation, questioning, etc. while entailments are not.7
The “family of sentences” test is one of the most commonly used methods for
distinguishing entailments from presuppositions. To offer another example, the
statement The neighbor’s dog killed my cat presupposes that the speaker owned
a cat, and entails that the cat is dead. If the statement is negated (The neighbor’s
dog didn’t kill my cat) or questioned (Did the neighbor’s dog kill my cat?), the
presupposition still holds but entailment does not.
Von Fintel & Matthewson (2008) describe another test for identifying presup-
positions. They point out that if a presupposition is triggered which is not in
fact part of the common ground, the hearer can appropriately object by saying
something like, “Wait a minute, I didn’t know that!” This kind of challenge is not
appropriate for information that is simply asserted, since speakers do not usually
assert something which they believe that the hearer already knows:

A presupposition which is not in the common ground at the time of utter-

ance can be challenged by ‘Hey, wait a minute!’ (or other similar responses).
In contrast, an assertion which is not in the common ground cannot be chal-
lenged in this way. This is shown in [13]… The ‘Hey, wait a minute!’ test is
the best way we know of to test for presuppositions in a fieldwork context.
(von Fintel & Matthewson 2008)

(13) A: The mathematician who proved Goldbach’s Conjecture is a woman.

B1 : Hey, wait a minute. I had no idea that someone proved Goldbach’s
Conjecture.
B2 : #Hey, wait a minute. I had no idea that that was a woman.

A fairly large number of presupposition triggers have been identified in En-

glish; a partial listing is presented below. For many of these it seems that transla-
tion equivalents in a number of other languages may trigger similar presupposi-
tions, but so far there has been relatively little detailed study of presuppositions
in languages other than English.8
7A more technical way of expressing this is to say that presuppositions project through the
operators illustrated in (12), while entailments do not.
8 Exceptions to this generalization include Levinson & Annamalai (1992), Matthewson (2006),
and Tonhauser et al. (2013).

42
 3.4 Presupposition

a. Definite descriptions: the use of a definite singular noun phrase, such as

Bertrand Russell’s famous example the King of France, presupposes that
there is a uniquely identifiable individual in the situation under discussion
that fits that description. Similarly, the use of a possessive phrase (e.g. my
cat) presupposes the existence of the possessee (in this case, the existence
of a cat belonging to the speaker).

b. Factive predicates (e.g. regret, aware, realize, know, be sorry that) are predi-
cates that presuppose the truth of their complement clauses, as illustrated
in (11) above.9

c. Implicative predicates: manage to presupposes try; forget to presupposes

intend to; etc.

d. Aspectual predicates: stop and continue both presuppose that the event un-
der discussion has been going on for some time, as illustrated in (12) above;
resume presupposes that the event was going on but then stopped for some
period of time; begin presupposes that the event was not occurring before.

e. Temporal clauses (14a–b) and restrictive relative clauses (14c) presuppose

the truth of their subordinate clauses, while counterfactuals (14d) presup-
pose that their antecedent (if ) clauses are false (see Chapter 19). Compar-
isons like (14e) presuppose that the relevant statement holds true for the
object of comparison.

(14) a. Before I moved to Texas, I had never attended a rodeo.

(presupposes that the speaker moved to Texas)
b. While his wife was in the hospital, John worked a full 40 hour week.
(presupposes that John’s wife was in the hospital)
c. “I’m looking for the man who killed my father.”10
(presupposes that some man killed the speaker’s father)
d. If you had not written that letter, I would not have to fire you.
(presupposes that the hearer did write that letter)
e. Jimmy isn’t as unpredictably gauche as Billy.11
(presupposes that Billy is unpredictably gauche)

9 Kiparsky & Kiparsky (1970).

10 Maddie Ross in the movie True Grit.
11 Levinson (1983: 183).

43
3 Truth and inference

The tests mentioned above seem to work for all of these types, but in other
respects it seems that different kinds of presupposition have slightly different
properties. This is one of the major challenges in analyzing presuppositions. We
return in Chapter 8 to the issue of how to distinguish between different kinds of
inference.

3.4.2 Accommodation: a repair strategy

Recall that we defined presuppositions as “information which is linguistically
encoded as being part of the common ground at the time of utterance.” We cru-
cially did not require that implied information actually be part of the common
ground in order to count as a presupposition. We have already seen one outcome
that may result from the use of presupposition triggers which do not accurately
reflect the common ground at the time of utterance, namely presupposition fail-
ure (10 above). Another example of presupposition failure is provided in (15),
taken from the 1939 movie The Wizard of Oz:

(15) Glinda: Are you a good witch or a bad witch?

Dorothy: Who, me? I’m not a witch at all. I’m Dorothy Gale, from
Kansas.
Glinda: Well, is that the witch?
Dorothy: Who, Toto? Toto’s my dog.
Glinda: Well, I’m a little muddled. The Munchkins called me because
a new witch has just dropped a house on the Wicked Witch
of the East. And there’s the house, and here you are and
that’s all that’s left of the Wicked Witch of the East. What
the Munchkins want to know is, are you a good witch or a
bad witch?

Glinda’s first question presupposes that one of the two specified alternatives
(good witch vs. bad witch) is true of Dorothy, and both of these would entail
that Dorothy is a witch. Dorothy rejects this presupposition quite vigorously.
Glinda’s second question (Is that the witch?), and in particular her use of the
definite article, presupposes that there is a uniquely identifiable witch in the
context of the conversation. The fact that these false inferences are triggered by
questions is a strong hint that they are presuppositions rather than entailments.
Glinda’s questions in this passage trigger presuppositions which Dorothy con-
tests, because these inferences are not part of the common ground. However,
presupposition failure is not the only possible outcome with such inferences.

44
 3.4 Presupposition

Another possibility is that the hearer, confronted with a mismatch between a

presupposition trigger and the current common ground, may choose to accept
the presupposition as if it were part of the common ground; in effect, to add it to
the common ground. This is most likely to happen if the presupposed informa-
tion is uncontroversial and consistent with all information that is already part of
the common ground; something that the hearer would immediately accept if the
speaker asserted it. For example, suppose I notice that you have not slept well
and you explain by saying My cat got stuck on the roof last night; and suppose
that I did not previously know you had a cat. Technically the presupposition
triggered by the possessive phrase my cat is not part of the common ground, but
I am very unlikely to object or to consider your statement in any way inappro-
priate. Instead, I will add to my model of the common ground the fact that you
own a cat. This process is called accommodation.
It is not uncommon for speakers to encode new information as a presupposi-
tion, expecting it to be accommodated by the hearer. For this reason, definitions
which state that presuppositions “must be mutually known or assumed by the
speaker and addressee for the utterance to be considered appropriate in context”
are misleading.12 This fact has long been recognized in discussions of presuppo-
sition, as the following quotes illustrate:

I am asked by someone who I have just met, “Are you going to lunch?” I
reply, “No, I’ve got to pick up my sister.” Here I seem to presuppose that
I have a sister even though I do not assume that the speaker knows this.
(Stalnaker 1974: 202).

It is quite natural to say to somebody… “My aunt’s cousin went to that

concert,” when one knows perfectly well that the person one is talking to is
very likely not even to know that one had an aunt, let alone know that one’s
aunt had a cousin. So the supposition must be not that it is common knowl-
edge but rather that it is non-controversial, in the sense that it is something
that you would expect the hearer to take from you (if he does not already
know). (Grice 1981: 190)

3.4.3 Pragmatic vs. semantic aspects of presupposition

Thus far we have treated presupposition primarily as a pragmatic issue. We de-
fined it in terms of the common ground between a specific speaker and hearer at
a particular moment, a pragmatic concept since it depends heavily on the context
12 See for example http://en.wikipedia.org/wiki/Presupposition.

45
3 Truth and inference

of the utterance and the identity of the speech act participants. Presupposition
failure, where accommodation is not possible, causes the utterance to be prag-
matically inappropriate or infelicitous.13 In contrast, we defined entailment in
purely semantic terms: an entailment relation between two propositions must
follow directly from the meanings of the propositions, and does not depend on
the context of the utterance.
It turns out that presuppositions can have semantic effects as well. We have
said that knowing the meaning (i.e. semantic content) of a sentence allows us to
determine its truth value in any given situation. Now suppose a speaker utters
(16a) in our modern world, where there is no King of France; or (16b) in a context
where the individual John has no children; or (16c) in a context where John’s wife
had not been in the hospital. Under those circumstances, the sentences would
clearly not be true; but would we want to say that they are false? If they were
false, then their denials should be true; but the negative statements in (17), if read
with normal intonation, would be just as “un-true” as their positive counterparts
in the contexts we have just described.

(16) a. The present King of France is bald.14

b. John’s children are very well-behaved.
c. While his wife was in the hospital, John worked a full 40 hour week.

(17) a. The present King of France is not bald.

b. John’s children are not very well-behaved.
c. While his wife was in the hospital, John did not work a full 40 hour
week.

We have already noted that the presupposition failure triggered by such state-
ments makes them pragmatically inappropriate; but examples like (16–17) show
that, at least in some cases, presupposition failure can also make it difficult to
assign the sentence a truth value. Some of the earliest discussions of presupposi-
tions defined them in purely semantic, truth-conditional terms:15 “One sentence
presupposes another just in case the latter must be true in order that the former
have a truth value at all.”16
13 We will give a more precise explanation of the term infelicitous in Chapter 10, as part of our
discussion of speech acts.
14 Adapted from Russell (1905).
15 e.g. Frege (1892); Strawson (1950; 1952).
16 Stalnaker (1973: 447), summarizing the positions of Strawson and Frege. Stalnaker himself
argued for a pragmatic analysis.

46
 3.5 Conclusion

Under this definition, presupposition failure results in a truth-value “gap”, or

indeterminacy. But there are other cases where presupposition failure does not
seem to have this effect. For example, if (18a) were spoken in a context where the
vice president had not falsified his dental records, or (18b) in a context where Su-
san had never dated an Albanian monk, these sentences would be pragmatically
inappropriate because of the presupposition failure. But it also seems reasonable
to say they are false (the vice president can’t regret something he never did; Susan
can’t stop doing something she never did), and that their negative counterparts
in (19) have at least one reading (or sense) which is true.

(18) a. The vice president regrets that he falsified his dental records.
b. Susan has stopped dating that Albanian monk.

(19) a. The vice president doesn’t regret that he falsified his dental records.
b. Susan has not stopped dating that Albanian monk.

However, there are various complications concerning the way negation gets
interpreted in examples like (19). For example, intonation can affect the interpre-
tation of the sentence. We will return to this issue in Chapter 8.

3.5 Conclusion
The principle that the meaning of a sentence determines its truth conditions (i.e.,
the kinds of situations in which the proposition it expresses would be true) is the
foundation for most of what we talk about in this book, including word meanings.
A proposition is judged to be true if it corresponds to the situation about which
a claim is made.
A major goal of semantic analysis is to explain how a sentence gets its meaning,
that is, why a given form has the particular meaning that it does. In this chapter
we have mentioned a few benchmarks for success, things that we would expect
an adequate analysis of sentence meanings to provide for us. These benchmarks
include explaining why certain sentences are analytic (always true) or contradic-
tions (never true); and predicting which pairs of sentences will be synonymous
(always having the same truth value in every possible situation), incompatible
(cannot both be true), etc.
In this chapter we have introduced two very important types of inference,
entailment and presupposition, which we will refer to in many future chapters.
Entailment is strictly a semantic relation, whereas presupposition has to do with
pragmatic issues such as managing the common ground and appropriateness

47
3 Truth and inference

of use. However, we have suggested that presupposition failure can sometimes

block the assignment of truth values as well.

Further reading

Good basic introductions to the study of logic are presented in Allwood

et al. (1977: ch. 3) and Gamut (1991a: ch. 1). The literature dealing with pre-
supposition is enormous. Helpful overviews of the subject are presented
in Levinson (1983: ch. 4), Geurts & Beaver (2011), Zimmermann & Sterne-
feld (2013: ch. 9), and Birner (2012/2013: ch. 5). Potts (2015) also provides a
good summary, including a comparison of presuppositions with conven-
tional implicatures (which we will discuss in chapters 8 and 11). Von Fintel
& Matthewson (2008: §4.1) discuss cross-linguistic issues.

Discussion exercises
A: Classifying propositions. State whether the propositions expressed
by the following sentences are analytic, synthetic, or contradictions:

1. My sister is a happily married bachelor.

2. Even numbers are divisible by two.
3. All dogs are brown.
4. All dogs are animals.
5. The earth revolves around the sun.
6. The sun does not shine at night.
7. CO2 becomes a solid when it boils.

48
 3.5 Conclusion

B: Relationships between propositions. Identify the relationship between

the following pairs of propositions (entailment, paraphrase, contrary,
contradictory, independent):

(1) a. John killed the wasp.

b. The wasp died.

(2) a. John killed the wasp.

b. The wasp did not die.

(3) a. The wasp is alive.

b. The wasp is dead.

(4) a. The wasp is no longer alive.

b. The wasp is dead.

(5) a. Fido is a dog.

b. Fido is a cat.

(6) a. Fido is a dog.

b. Fido has four legs.

C: Presuppositions. Identify the presuppositions and presupposition

triggers in the following examples:

1. John’s children are very well-behaved.

2. Susan has become a vegan.
3. Bill forgot to call his uncle.
4. After he won the lottery, John had to get an unlisted phone number.
5. George is sorry that he broke your Ming dynasty jar.

D: Presuppositions vs. entailments. Show how you could use the nega-
tion and/or question tests to decide whether the (a) sentence entails or
presupposes the (b) sentence. Evaluate the two sentences if spoken by the
same speaker at the same time and place.a

(1) a. Dave knows that Jim crashed the car.

49
3 Truth and inference

b. Jim crashed the car.

Model answer
The statement Dave knows that Jim crashed the car, its negation Dave
doesn’t know that Jim crashed the car, and the corresponding question
Does Dave know that Jim crashed the car? all lead the hearer to infer
that Jim crashed the car. This suggests that the inference is a presup-
position.

(2) a. Zaire is bigger than Alaska.

b. Alaska is smaller than Zaire.

(3) a. The minister blames her secretary for leaking the memo to the
press.
b. The memo was leaked to the press.

(4) a. Everyone passed the examination.

b. No one failed the examination.

(5) a. Mr. Singleton has resumed his habit of drinking stout.

b. Mr. Singleton had a habit of drinking stout.

a Adapted from Saeed (2009: 114, ex. 4.8)

50
 3.5 Conclusion

Homework exercises

A: Classifying propositions. Classify the following sentences as ana-

lytic, synthetic, or contradictions.
1. If it rains, we’ll get wet.
Model answer:
Sentence 1. is synthetic, since we can imagine some contexts in which the
sentence will be true, and other contexts in which it will be false (e.g., if I carry
an umbrella).

2. If that snake is not dead then it is alive.

3. Shanghai is the capital of China.
4. My brother is an only child.
5. Abraham Lincoln was the 16th president of the United States.

B: Relationships between propositions. Identify the relationship between

the following pairs of propositions (entailment, paraphrase, contrary,
contradictory, independent):

(1) a. Michael is my advisor.

b. I am Michael’s advisee.

(2) a. Stewball was a race horse.

b. Stewball was a mammal.

(3) a. Elvis died of cardiac arrhythmia.

b. Elvis is alive.

C: Identifying entailments. For each pair of sentences, decide whether

sentence (a) entails sentence (b). The two sentences should be evaluated
as if spoken by the same speaker at the same time and place; so, for exam-
ple, repeated names and definite NPs refer to the same individuals.

(1) a. Olivia passed her driving test.

b. Olivia didn’t fail her driving test.

51
3 Truth and inference

Model answer:
If a is true, b must be true; if b is false, a must be false; this follows from
the meanings of the sentences, and does not depend on context. So a
entails b.

(2) a. Fido is a dog.

b. Fido has four legs.

(3) a. That boy is my son.

b. I am that boy’s parent.

(4) a. Not all of our students will graduate.

b. Some of our students will graduate.

D: Presuppositions vs. entailments. Show how you could use the nega-
tion test to decide whether the (a) sentence entails or presupposes the (b)
sentence. Again, evaluate the two sentences as being spoken by the same
speaker at the same time and place.

(1) a. The boss realized that Jim was lying.

b. Jim was lying.
Model answer:
Both The boss realized that Jim was lying and The boss didn’t realize that
Jim was lying lead the hearer to infer that Jim was lying. This suggests
that the inference is a presupposition.

(2) a. Singapore is south of Kuala Lumpur.

b. Kuala Lumpur is north of Singapore.

(3) a. I am sorry that Arthur was fired.

b. Arthur was fired.

(4) a. Nobody is perfect.

b. Everybody is imperfect.

(5) a. Leif Erikson returned to Greenland.

b. Leif Erikson had previously visited Greenland.

52
4 The logic of truth
LOGIC, n. The art of thinking and reasoning in strict accordance
with the limitations and incapacities of the human misunderstanding.
The basic of logic is the syllogism, consisting of a major and a minor
premise and a conclusion — thus:

Major Premise: Sixty men can do a piece of work sixty times as

quickly as one man.
Minor Premise: One man can dig a posthole in sixty seconds;
therefore,
Conclusion: Sixty men can dig a posthole in one second.
This may be called the syllogism arithmetical, in which, by combin-
ing logic and mathematics, we obtain a double certainty and are twice
blessed.
[entry from The Devil’s Dictionary by Ambrose Bierce 1911]

4.1 What logic can do for you

In Chapter 1 we mentioned that semanticists often use formal logic as a meta-
language for representing the meanings of sentences and other expressions in
human languages. For the most part, this book emphasizes prose description
more than formalization; we will use the logical notation a fair bit in Unit IV but
only sporadically in other sections of the book. Nevertheless, it will be helpful
for you to become familiar with this notation, not only for the purposes of this
book but also to help you read other books and articles about semantics.
In this chapter we will introduce some of the basic symbols and rules of infer-
ence for standard logic. Before we begin, it will probably be helpful to address
a question which many readers may already be asking themselves, and which
others are likely to ask before we get too far into the discussion: why are we
doing this? How does translating English (or Samoan or Marathi) sentences into
logical formulae help us to understand their meaning?
Representing the complexities of natural language using formal logic is no
trivial task, but here are some of the reasons why many scholars have found the
effort required in adopting this approach worthwhile. First, every human lan-
4 The logic of truth

guage is characterized by ambiguity, vagueness, figures of speech, etc. These fea-

tures can actually be an advantage for communicative purposes, but they make it
difficult to provide precise and unambiguous descriptions of word and sentence
meanings in English (or Samoan or Marathi). Using formal logic as a metalan-
guage avoids most of these problems.
Second, we stated in Chapter 3 that one way of measuring the success or ade-
quacy of a semantic analysis is to see whether it can explain or predict various
meaning relations between sentences, such as entailment, paraphrase, or incom-
patibility. Logic is the science of inference. If the meanings of two sentences can
be stated as logical formulae, logic provides very precise rules and methods for
determining whether one follows as a logical consequence of the other (entail-
ment), whether each follows as a logical consequence of the other (paraphrase),
or whether the two are logically inconsistent, i.e. they cannot both be true (in-
compatibility).
Third, it is often useful to test a hypothesis about the meaning of a sentence
by expressing it in logical form, and then using the rules of logical inference to
see what the implications would be. For example, suppose our analysis predicts
that a certain sentence should mean p, and suppose we can show that if a per-
son believes p, he is logically committed to believing q. Now suppose that native
speakers of the language feel that there would be no inconsistency in asserting
the sentence in question but denying q. This mismatch between logical inference
and speaker intuition may give us reason to think that p is not the correct mean-
ing of the sentence after all. We will see examples of this kind of reasoning in
future chapters.
Fourth, formal logic has proven to be a very powerful tool for modeling com-
positionality, i.e., for explaining how the meanings of sentences can be predicted
from the meanings of the words they contain and the syntactic structure used to
combine those words. As we noted in Chapter 1, this is one of the fundamental
goals of semantic analysis. We will get a glimpse of how this can be done in
Unit IV.
Finally, formal logic is a recursive system. This means that a relatively small
number of symbols and rules can be used to form an unlimited number of dif-
ferent formulae. Any adequate metalanguage for describing the meanings of
sentences in a human language must have this property, because (as we noted
in Chapter 1) there is in principle no limit to the number of distinct meaningful
sentences that can be produced in any human language.
To illustrate the recursive nature of the system, let us introduce the logical
negation operator ¬ ‘not’. The negation operator combines with a single proposi-

54
 4.2 Valid patterns of inference

tion to form a new proposition. So, for example, if we let p represent the proposi-
tion ‘It is raining,’ then ¬p (read ‘not p’) would represent the proposition ‘It is not
raining.’ This proposition in turn can again combine with the negation operator
to form a new proposition ¬(¬p) ‘It is not the case that it is not raining.’ There is
in principle no limit to the number of formulae that can be produced in this way,
though in practice sheer boredom would probably be a limiting factor.
We begin in §4.2 with a brief discussion of inference and some of the ways
in which logic can help us distinguish valid from invalid patterns of inference.
§4.3 deals with propositional logic, which specifies ways of combining simple
propositions to form complex propositions. An important fact about this part of
the logical system is that the inferences of propositional logic depend only on the
truth values of the propositions involved, and not on their meanings. §4.4 deals
with predicate logic, which provides a way to take into account the meanings of
individual content words and to state inferences which arise due to the meanings
of quantifier words such as all, some, none, etc.

4.2 Valid patterns of inference

If someone says to us, Either Joe is crazy or he is lying, and he is not crazy, and we
believe the speaker to be truthful and well-informed, we will naturally conclude
that Joe is lying. This is an example of inference: knowing that one fact or set
of facts is true gives us an adequate basis for concluding that some other fact is
also true.
Logic is the science of inference. One important goal of logic is to provide a
systematic account for the kinds of reasoning or inference that we intuitively
know to be correct, like the example mentioned in the previous paragraph. In
thinking about such examples it is helpful to lay out each of the premises (the
facts which form the basis for the inference) and the conclusion (the fact which
is inferred) as shown in (1). For longer and more complex chains of inference,
the same format can be used to lay out each step in the reasoning and thereby
provide a proof that the conclusion is true.

(1) Premise 1: Either Joe is crazy or he is lying.

Premise 2: Joe is not crazy.
Conclusion: Therefore, Joe is lying.

As we will see, the kind of inference illustrated in (1) does not depend on the
meanings of the “content words” (nouns, verbs, adjectives, etc.) but only on the

55
4 The logic of truth

meaning of the logical words, in this case or and not. Propositional logic, the
topic of §4.3, deals with patterns of this type. Some other kinds of reasoning that
we intuitively recognize as being correct are illustrated in (2):

(2) a. Premise 1: All men are mortal.

Premise 2: Socrates is a man.
Conclusion: Therefore, Socrates is mortal.

b. Premise 1: Arthur is a lawyer.

Premise 2: Arthur is honest.
Conclusion: Therefore, some (= at least one) lawyer is honest.

The kinds of inference illustrated in (2) are clearly valid, and have been stud-
ied and discussed for over 2000 years. But these patterns cannot be explained
using propositional logic alone. Once again, these inferences do not depend on
the meanings of the “content words” (mortal, lawyer, honest, etc.). In these ex-
amples the inferences follow from the meaning of the qantifiers all and some.
Predicate logic, the topic of §4.4, provides a way of dealing with such cases.
Now consider the inference in (3):

(3) Premise: John killed the wasp.

Conclusion: Therefore, the wasp died.

This inference is not determined by the meanings of logical words or quanti-

fiers, but only by the meanings of the verbs kill and die. Neither propositional
logic nor predicate logic actually addresses this kind of inference. Logic deals
with general patterns or forms of reasoning, rather that the meanings of indi-
vidual words. However, predicate logic provides a notation for representing the
meanings of the content words within each proposition, and thus gives us a way
of expressing lexical entailments (e.g., kill entails die; see Chapter 6).
It is important to remember that a valid form of inference does not (by itself)
guarantee a true conclusion. For example, the inferences in (4) both make use of
a valid pattern discussed in §4.3.2, which is called Modus Tollens ‘method of
rejecting/denying’:

(4) a. Premise 1: If dolphins are fish, they are cold-blooded.

Premise 2: Dolphins are not cold-blooded.
Conclusion: Dolphins are not fish.

56
 4.2 Valid patterns of inference

b. Premise 1: If salmon are fish, they are cold-blooded.

Premise 2: Salmon are not cold-blooded.
Conclusion: Salmon are not fish.

Even though both of these examples employ the same logic, the results are
different: (4a) leads to a true conclusion while (4b) leads to a false conclusion.
Obviously this difference is closely related to the premises which are used in
each case: (4b) starts from a false premise, namely Salmon are not cold-blooded.
Valid reasoning guarantees a true conclusion if the premises are true, but if one
or more of the premises is false there is no guarantee.
Example (4b) shows that a false conclusion does not necessarily mean that the
reasoning is invalid. Conversely, a true conclusion does not necessarily mean
that the reasoning is valid. The examples in (5) both make use of an invalid form
of reasoning called ‘denying the antecedent.’ This is in fact a common fallacy,
i.e., an invalid pattern of inference which people nevertheless often try to use to
support an argument. Now, the conclusion in (5a) is true, but the truth of this
statement (Crocodiles are not warm-blooded) does not show that the reasoning is
valid. It is simply a coincidence that in our world, crocodiles happen to be cold-
blooded. It is easy to imagine a slightly different sort of world which is much
like our own except that crocodiles and other reptiles are warm-blooded. In that
context, the same reasoning would lead to a false conclusion. This shows that
the conclusion is not a necessary truth in all contexts for which the premises are
true.

(5) a. Premise 1: If crocodiles are mammals, they are warm-blooded.

Premise 1: Crocodiles are not mammals.
Conclusion: Crocodiles are not warm-blooded.

b. Premise 1: If bats are birds, then they have wings.

Premise 1: Bats are not birds.
Conclusion: Bats do not have wings.

Another way of showing that this pattern of inference is invalid is to change

the content words while preserving the same logical structure, as illustrated in
(5b). In this example the conclusion is false even though both premises are true,
showing that the logical structure of the inference is invalid.
We have said that one important goal of logic is to provide a systematic ac-
count for the kinds of reasoning or inference that we intuitively know to be

57
4 The logic of truth

correct. In addition, logic can help us move beyond our intuitions in at least two
important ways. First, it provides a way of analyzing very complex arguments,
for which our intuitions do not give reliable judgements. Second, our intuitive
reasoning may sometimes be based on patterns of inference which are not in fact
valid. Logic provides an objective method for distinguishing valid from invalid
patterns of inference, and a way of proving which patterns belong to each of
these types. We now procede to survey the basic notation and concepts used in
the two primary branches of logic, beginning with propositional logic.

4.3 Propositional logic

4.3.1 Propositional operators
In §4.1 we introduced the logical negation operator “¬”. (An alternate symbol for
this is the tilde, “~”; so in logical notation, ‘not p’ can be written as either ¬p or
~p.) Logical negation is referred to as a “one-place” operator, because it combines
with a single proposition to form a new proposition. The other basic operators
of propositional logic are referred to as “two-place” operators, because they are
used to combine two propositions to form a new complex proposition. The basic
two-place operators include ∧ ‘and’, ∨ ‘or’, and the material implication oper-
ator → (generally read as ‘if…then…’). If p and q are well-formed propositions,
then the formulae p∧q ‘p and q’, p∨q ‘p or q’, and p→q ‘if p, (then) q’ are also
well-formed propositions. (The p and q in these formulae are variables which
represent propositions.)
A word of caution is in order here. In reading logical formulae we use English
words like not, and, or, and if to pronounce the logical operators, for convenience;
but we cannot assume that the meanings of these English words are identical to
the meanings of the corresponding operators. This turns out to be an interesting
and somewhat controversial question, and we will return to it in chapters 9 and
19. For the purposes of this chapter, as a way to introduce the logical notation
itself, we will use the English words as simple translation equivalents for the
logical operators; but the reader should bear in mind that there is more to be
said about this issue, and we will say some of it in later chapters.
These four operators determine the “syntax” of the complex propositions that
they are used to create. They specify, for example, that ¬p and p∧q are valid
formulae but p¬ and pq∧ are not. These operators also determine certain aspects
of the meaning of these complex propositions, specifically their truth values. For
example, if we are told that proposition p is true in a given situation, we can

58
 4.3 Propositional logic

be very sure that its negation (¬p) is false in that situation. Conversely, if p is
false in a given situation, we know that its negation (¬p) must be true in that
situation. We do not need to know what p actually means in order to make these
predictions; all we need to know is its truth value.
The other operators also specify the truth values of the complex propositions
that they form based only on the truth values of the individual propositions that
they combine with. For this reason, the meanings of these operators (i.e., their
contribution to the meaning of a proposition) can be fully specified in terms of
truth values. When we have said that p and ¬p must have opposite truth values
in any possible situation, we have provided a definition of the negation operator;
nothing needs to be known about the specific meaning of p. One common way
of representing this kind of definition is through the use of a truth table, like
that in (6). This table says that whenever p is true (T), not p must be false (F); and
whenever p is false, not p must be true.

(6)
p ¬p

T F
F T

In the same way, the operator ∧ ‘and’ can be defined by the truth table in (7).
This table says that p∧q (which is also sometimes written p&q) is true just in case
both p and q are true, and false in all other situations.

(7)
p q p∧q

T T T
T F F
F T F
F F F

Again, the truth value of the complex proposition does not depend on the
meaning of the simpler propositions it contains, but only on their truth values
and the meaning of ∧. Nevertheless, we can assign arbitrary meanings to the
variables in order to illustrate the function of the operator. Suppose for example
that p represents the proposition ‘It is raining,’ and q represents the proposition
‘The north wind is blowing.’ The formula p∧q would then represent the proposi-
tion ‘It is raining and the north wind is blowing.’ The truth table in (7) predicts
that this proposition will only be true if, at the time of speaking, there is a north

59
4 The logic of truth

wind accompanied by rain; it will be false if the weather is different in either

of these respects. This prediction seems to match our intuitions as speakers of
English. We can see this by imagining someone saying to us, It is raining and
the north wind is blowing. We would consider the speaker to have spoken truth-
fully just in case there was a north wind accompanied by rain, and falsely if the
circumstances were otherwise.
The operator ∨ ‘or’ is defined by the truth table in (8). This table says that p∨q
is true whenever either p is true or q is true; it is only false when both p and q
are false. Notice that this or of standard logic is the inclusive or, corresponding
to the English phrase and/or, because it includes the case where both p and q are
true. Suppose, for example, that p represents the proposition ‘It is raining,’ and
q represents the proposition ‘It is snowing.’ Imagine a meteorologist looking at
a radar display and, based on what he sees there, saying: ‘It is raining or it is
snowing.’ This statement would be true if it was raining at the time of speaking,
or if it was snowing, or if both things were happening at the same time. (This
last possibility is rare but not impossible.)

(8)
p q p∨q

T T T
T F T
F T T
F F F

In spoken English we often use the word or to mean ‘either … or … but not
both’. For example, this is normally the usage that we intend when we ask,
“Would you like white wine or red?” Table (9) shows how we would define this
exclusive “sense” of or, abbreviated here as XOR. The table says that p XOR q
will be true whenever either p or q is true, but not both; it is false whenever p
and q have the same truth value. (We will return in Chapter 9 to the question of
whether we should consider the English word or to have two distinct senses.)

(9)
p q p XOR q

T T F
T F T
F T T
F F F

60
 4.3 Propositional logic

The material implication operator (→) is defined by the truth table in (10).
(The formula p→q can be read as if p (then) q, p only if q, or q if p.) The truth
table says that p→q is defined to be false just in case p is true but q is false; it is
true in all other situations.

(10)
p q p→q

T T T
T F F
F T T
F F T

In order to get an intuitive sense of what this definition means, suppose that a
mother says to her children, If it rains this afternoon, I will take you to a movie. Un-
der what circumstances would the mother be considered to have spoken falsely?
In applying the truth table we let p represent it rains this afternoon and q repre-
sent I will take you to a movie. Now suppose that it does not rain. In that case p
is false, and whether the family goes to a movie or not, no one would accuse the
mother of lying or breaking her promise; and this is what the truth table predicts.
If it does rain, then p is true; and if the mother takes her children to a movie, she
has spoken the truth. Only if it rains but she does not take her children to a movie
would her statement be considered false. Again, this is just what the truth table
predicts. (It turns out that the material implication operator of standard logic
does not always correspond to our intuitions about English if, and we will have
much more to say about this in Chapter 19.)
For convenience we will introduce one additional operator here, which is re-
ferred to as the biconditional operator (↔). The formula p↔q (read as ‘p if and
only if q’) is a short-hand or abbreviation for: (p→q) ∧ (q→p). The biconditional
operator is defined by the truth table in (11):

(11)
p q p ↔q

T T T
T F F
F T F
F F T

This table says that p↔q is true just in case p and q have the same truth value.
Suppose the mother in our previous example had said I will take you to a movie

61
4 The logic of truth

if and only if it rains this afternoon. If it did not rain but she took her children
to a movie anyway, the truth table says that she would have spoken falsely. This
prediction seems linguistically correct, although her children would very likely
have forgiven her in this case.
Having introduced the basic operators of propositional logic, let us see how
they can be used to identify certain kinds of tautologies and contradictions, and
to account for certain kinds of meaning relations between propositions (entail-
ment, paraphrase, and incompatibility), namely those that are the result of logical
structure alone.

4.3.2 Meaning relations and rules of inference

In addition to using truth tables to define logical operators, we can also use them
to evaluate more complex logical formulae. To begin with a very simple example,
the formula p∨(¬p) represents the logical structure of sentences like Either you
will graduate or you will not graduate. Sentences of this type are clearly tautolo-
gies, and we can show why using a truth table. We start by putting the basic
proposition (p) at the top of the left column and the formula that we want to
prove (p∨(¬p)) at the top of the last (right-most) right column, as shown in (12a).
We can also fill in all the possible truth values for p in the left column.

(12) a.
p p∨(¬p)

T
F

The proposition we are trying to prove (p∨(¬p)) is an or statement; that is, the
highest operator is ∨. The two propositions conjoined by ∨ are p and ¬p. We
already have a column for the truth values of p, so the next step is to create a
column for the corresponding truth values of ¬p, as shown in (12b).

(12) b.
p ¬p p∨(¬p)

T F
F T

The final step in the proof is to calculate the possible truth values of the propo-
sition p∨(¬p), using the truth table in (8) which defines the ∨ operator. The result
is shown in (12c).

62
 4.3 Propositional logic

(12) c.
p ¬p p∨(¬p)

T F T
F T T

Notice that both cells in the right-most column contain T. This means that the
formula is always true, under any circumstances; in other words, it is a tautology.
The truth of this tautology does not depend in any way on the meaning of p, but
only on the definitions of the logical operators ∨ and ¬. Propositions which are
necessarily true just because of their logical structure (regardless of the meanings
of words they contain) are sometimes said to be “logically true”.
Suppose we change the or in the previous example to and. This would produce
the formula p∧(¬p), which corresponds to the logical structure of sentences like
You will graduate and you will not graduate. It is hard to imagine any context
where such a sentence could be true, and using the truth table in (13) we can
show why this is impossible. Sentences of this type are contradictions; they are
never true, under any possible circumstance, as reflected in the fact that both
cells in the right-most column contain F.

(13)
p ¬p p∧(¬p)

T F F
F T F

Now let us consider a slightly more complex example: ((p∨q) ∧ (¬p)) → q. To

construct a truth table which will allow us to evaluate this formula, we begin
by putting the basic propositions p and q in the left-hand columns (1&2). We
put the complete formula that we want to prove in the far right column (6). We
introduce a new column for each constituent part of the complete formula and
calculate truth values for each cell, building from left to right, as seen in (14).
First, columns 1 & 2 are used to construct column 3, based on the truth table
for ∨. Next, column 4 is calculated from column 1. Columns 3 & 4 are used to
construct column 5, based on the truth table for ∧. Finally, columns 2 & 5 are
used to construct column 6, based on the truth table for →.

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4 The logic of truth

(14)
1 2 3 4 5 6
p q p∨q ¬p (p∨q)∧¬p ((p∨q)∧¬p) → q

T T T F F T
T F T F F T
F T T T T T
F F F T F T

Notice that every cell in the right-most column contains T. This means that the
formula is always true, under any circumstances; in other words, it is a tautology.
Furthermore, the truth of this tautology does not depend in any way on the
meanings of p and q, but only on the definitions of the logical operators. This
tautology predicts that whenever a proposition of the form ((p∨q) ∧ (¬p)) is true,
the proposition q must also be true. For example, it explains why the sentence
cited at the beginning of §4.2 (Either Joe is crazy or he is lying, and he is not crazy)
must entail Joe is lying. A similar entailment relation will hold for any other pair
of sentences that have the same logical structure.
As mentioned above, it is helpful to check the predictions of the logical formal-
ism against our intuition as speakers by “translating” the formulae into English
or some other human language (i.e., replacing the variables p and q with sen-
tences that express propositions). We noted at the beginning of §4.2 that when
we hear the sentence Either Joe is crazy or he is lying, and he is not crazy, we
seem to reach the conclusion Joe is lying automatically and without effort. It
takes a bit more effort to process a formula like ((p∨q) ∧ (¬p)), but the table
in (14) shows that the logical implication of this formula matches our intuition
about the corresponding sentence.
Now consider the biconditional formula (p∨q) ↔ ¬((¬p) ∧ (¬q)). Using the
procedure outlined above, we can construct the truth table in (15). First, columns
1 & 2 are used to construct column 3, based on the truth table for ∨. Next, columns
4 & 5 are used to construct column 6, based on the truth table for ∧. Column 7 is
calculated from column 6, and finally columns 3 & 7 are used to construct column
8, based on the truth table for ↔.

64
 4.3 Propositional logic

(15)
p q p ∨q ¬p ¬q (¬p)∧(¬q) ¬((¬p)∧(¬q)) (p∨q) ↔ ¬((¬p) ∧ (¬q))

T T T F F F T T
T F T F T F T T
F T T T F F T T
F F F T T T F T

Once again we see that every cell in the right-most column contains T, which
means that this formula must always be true, purely because of its logical form.
The biconditional operator in this formula expresses mutual entailment, that is,
a paraphrase relation. This formula explains why the sentence Either he is crazy
or he is lying must always have the same truth value as It is not the case that he
is both not crazy and not lying. The first sentence is a paraphrase of the second,
simply because of the logical structures involved.
As we noted in an earlier chapter, tautologies are not very informative be-
cause they make no claim about the world. But for that very reason, these logical
tautologies can be extremely useful because they define logically valid rules of
inference. A few tautologies are so famous as rules of inference that they are
given Latin names. One of these is called Modus Ponens ‘method of positing/
affirming’, also called ‘affirming the antecedent’: ((p→q) ∧ p) → q. The proof of
this tautology is presented in (16).

(16)
p q p→q (p→q) ∧ p ((p→q) ∧ p) → q

T T T T T
T F F F T
F T T F T
F F T F T

Modus Ponens defines one of the valid ways of deriving an inference from a
conditional statement. It says that if we know that p→q is true, and in addition
we know or assume that p is true, it is valid to infer that q is true. An illustration
of this pattern of inference is presented as a syllogism in (17).

(17) Premise 1: If John is Estonian, he will like this book. (p→q)

Premise 2: John is Estonian. (p)
Conclusion: He will like this book. (q)

65
4 The logic of truth

As we noted in §4.2, Modus Ponens guarantees a valid inference but does

not guarantee a true conclusion. The conclusion will only be as reliable as the
premises that we begin with. Suppose in this example it turns out that John is
Estonian but hates the book. This does not disprove the rule of Modus Ponens;
rather, it shows that the first premise is false, by providing a counter-example.
Another valid rule for deriving an inference from a conditional statement is
Modus Tollens ‘method of rejecting/denying’, also called ‘denying the conse-
quent’: ((p→q) ∧ ¬q) → ¬p. This rule was illustrated in example (4a) above,
repeated here as (18). It says that if we know that p→q is true, and in addition
we know or assume that q is false, it is valid to infer that p is also false.

(18) Premise 1: If dolphins are fish, they are cold-blooded. (p→q)

Premise 2: Dolphins are not cold-blooded. (¬q)
Conclusion: Dolphins are not fish. (¬p)

The tautology which we proved in (14) is known as the Disjunctive Syllogism:

((p∨q) ∧ (¬p)) → q. Another example which illustrates this pattern of inference
is provided in (19).

(19) Premise 1: Dolphins are either fish or mammals. (p∨q)

Premise 2: Dolphins are not fish. (¬p)
Conclusion: Dolphins are mammals. (q)

Finally, the tautology known as the Hypothetical Syllogism is given in (20).

(20) ((p→q) ∧ (q→r)) → (p→r)

Premise 1: If Mickey is a rodent, he is a mammal. (p→q)
Premise 2: If Mickey is a mammal, he is warm-blooded. (q→r)
Conclusion: If Mickey is a rodent, he is warm-blooded. (p→r)

The propositional logic outlined in this section is an important part of the

logical metalanguage for semantic analysis, but it is not sufficient on its own
because it is concerned only with truth values. We need a way to go beyond p and
q, to represent the actual meanings of the basic propositions we are dealing with.
Predicate logic gives us a way to include information about word meanings in
logical expressions.

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 4.4 Predicate logic

4.4 Predicate logic

Consider the simple sentences in (21):

(21) a. John is hungry.

b. Mary snores.
c. John loves Mary.
d. Mary slapped John.

Each of these sentences describes a property, event or relationship. The ele-

ment of meaning which determines what kind of property, event or relationship
is being described is called the predicate. The words hungry, snores, loves, and
slapped express the predicates in these examples. The individuals of whom the
property or relationship is claimed to be true (John and Mary in these examples)
are referred to as arguments. As we can see from example (21), different predi-
cates require different numbers of arguments: hungry and snore require just one,
love and slap require two. When a predicate is asserted to be true of the right
number of arguments, the result is a well-formed proposition, i.e., a claim about
the world which can (in principle) be assigned a truth value, T or F.
In our logical notation we will write predicates in capital letters (to distin-
guish them from normal English words) and without inflectional morphology.
We follow the common practice of using lower case initials to represent proper
names. For predicates which require two arguments, the agent or experiencer is
normally listed first. So the simple sentence John is hungry would be translated
into the logical metalanguage as HUNGRY(j), while the sentence John loves Mary
would be translated LOVE(j,m). Some additional examples are shown in (22).

(22) a. Henry VIII snores. SNORE(h)

b. Socrates is a man. MAN(s)
c. Napoleon is near Paris. NEAR(n,p)
d. Abraham Lincoln admired ADMIRE(a,v)
Queen Victoria.
e. Jocasta is Oedipus’ mother. MOTHER_OF(j,o)
f. Abraham Lincoln was tall TALL(a) ∧ HOMELY(a)
and homely.
g. Abraham Lincoln was a tall TALL(a) ∧ MAN(a)
man.
h. Joe is neither honest nor ¬ (HONEST(j) ∨ COMPETENT(j))
competent.

67
4 The logic of truth

As these examples illustrate, semantic predicates can be expressed grammati-

cally as verbs, adjectives, common nouns, or even prepositions. They can appear
as part of the VP, or as modifiers within NP as in (22g).1
We have seen examples of one-place and two-place predicates; there are also
predicates which take three arguments, e.g. give, show, offer, send, etc. Some pred-
icates, including verbs like say, think, believe, want, etc., can take propositions as
arguments:

(23) a. Henry thinks that Anne is beautiful. THINK(h, BEAUTIFUL(a))

b. Susan wants to marry Ringo. WANT(s, MARRY(s,r))

4.4.1 Quantifiers (an introduction)

All the predicates in examples (21–23) have proper names as arguments. Of
course we need to be able to represent other kinds of arguments as well. We
will discuss this issue in more detail in later chapters, but as a brief introduction
let us consider the subject NPs in (24):

(24) a. All students are weary.

b. Some men snore.
c. No crocodile is warm-blooded.

The italicized phrases in (24) are examples of “quantified” NPs; they contain
a special kind of determiner known as a qantifier. Sentence (24a) makes a
universal generalization. It says that if you select anything within the universe
of discourse that happens to be a student, that thing will also be weary. Notice
that the phrase all students does not refer to any specific individual, or set of
individuals; that is why we said in Chapter 2 that quantified NPs are generally
not referring expressions. Rather, the phrase seems to express a kind of inference:
if a given thing is a student, then it will also have the property expressed in the
remainder of the sentence.
Sentence (24b) makes an existential claim. It says that there exists at least one
thing within the universe of discourse that is both a man and snores. Actually,
this sentence says that there must be at least two such things, but that is not part
of the meaning of some; it follows from the fact that the noun men is plural. (We
can show this by comparing (25a) with (25b).) Some simply means that there
exists something within the universe of discourse that has both of the named

1 VP = verb phrase, that is, the verb plus its non-subject arguments. NP = noun phrase.

68
 4.4 Predicate logic

properties (e.g., being a man and snoring). Sentence (24c) is a negative existen-
tial statement. It says that there does not exist anything within the universe of
discourse that is both a crocodile and warm-blooded.

(25) a. Some guy in the back row was snoring. (at least one)
b. Some guys in the back row were snoring. (at least two)

Standard predicate logic makes use of two quantifier symbols: the Universal
Quantifier ∀ and the Existential Quantifier ∃. As the mathematical examples in
(26) illustrate, these quantifier symbols must introduce a variable, and this vari-
able is said to be bound by the quantifier. The letters x, y or z are normally used
as variables that represent individuals. (We can read “∀x” as ‘for all individuals
x’, and “∃x” as ‘there exists one or more individuals x’.)

(26) a. Universal Quantifier:

∀x[x+x = 2x]
b. Existential Quantifier:
∃y[y+4 = y/3]

Quantifier words must be interpreted relative to the current universe of dis-

course, that is, the set of individuals currently available for discussion. For ex-
ample, in order to decide whether sentences like All students are female or No
student is wealthy are true, we need to know what the currently relevant uni-
verse of discourse is. If we are discussing a secondary school for economically
disadvantaged girls, both statements would be true. In other contexts, either or
both of these statements might be false.
In the same way, variables bound by one of the logical quantifier symbols are
assumed to be members of the currently relevant universal set, i.e., the set of
all elements currently available for consideration.2 In mathematical contexts, the
universal set is often a particular class of numbers, e.g. the integers or the real
numbers. In order to evaluate a proposition involving quantifier symbols, like
those in (26), the universal set must be specified or assumed from context.
Variables bound by a quantifier do not refer to a specific individual or entity,
but rather allow for the arbitrary selection of any individual or entity within the
universal set. Once a particular value is assigned to a given variable, the same
assignment is understood to hold for all occurrences of that variable within the
scope of the quantifier (the material inside the square brackets). So for example,
if we assume that the universal set in (26) is the set of all real numbers, (26a) can
2 The concept of universal set is discussed further in Chapter 13.

69
4 The logic of truth

be interpreted as follows: “Choose any real number. If you add that number to
itself, the sum will be equal to that number multiplied by two.” The equation in
(26b) can be interpreted as follows: “There exists some real number which, when
added to four, will be equal to the quotient of that same number divided by three.”
The value of an unbound (or “free”) variable, that is, one which is not intro-
duced by a quantifier or which occurs outside the scope of its quantifier, is not
defined. The variables in (27) are not bound, and as a result the equations in
which they occur are neither true nor false; they do not make any claim about
the world, until some value is assigned to each variable. (In contrast, both of the
equations in (26), where the variables are bound, can be shown to be true.) Of
course, it is fairly easy to solve the equations in (27), that is, to find the values
that must be assigned to each variable in order to make the equations true. But
until some value is assigned, no truth value can be determined for the equations.

(27) a. x–7 = 4x
b. y + 2z = 51

The same applies to variables which occur within logical formulae. A propo-
sition that contains unbound variables is called an open proposition. Such a
proposition cannot be assigned a truth value, unless some mechanism is pro-
vided for assigning values to the unbound variables.
The universal and existential quantifier symbols allow us to translate the sen-
tences in (24) into logical notation, as shown in (28). (We will ignore for the
moment the difference in interpretation between singular vs. plural nouns with
some.)

(28) a. Universal Quantifier: All students are weary.

∀x[STUDENT(x) → WEARY(x)]
b. Existential Quantifier: Some men snore.
∃x[MAN(x) ∧ SNORE(x)]
c. Negative Existential: No crocodile is warm-blooded.
¬∃x[CROCODILE(x) ∧ WARM-BLOODED(x)]

Notice that all is translated differently from some or no. The universal quan-
tifier is paired with material implication (→), while the existential quantifier
introduces an and statement. We will discuss the reason for this difference in
more detail in Unit IV, but the fundamental issue is that we want our logical
translation to have the same interpretation as the English sentence it is meant to
represent. We might interpret the formula in (28a) roughly as follows: “Choose

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 4.4 Predicate logic

something within the universe of discourse. We will temporarily call that thing
‘x’. Is x a student? If so, then x will also be weary.” This long-winded paraphrase
seems to describe the same state of affairs as the original sentence All students
are weary. However, if we replace → with ∧, we get the formula in (29), which
means something very different.
(29) ∀x[STUDENT(x) ∧ WEARY(x)]
‘Everything in the universe of discourse is a student and is weary.’
So far we have only considered quantifier phrases which occur as subject NPs,
but of course they can occur in other syntactic positions as well. When we trans-
late a sentence containing a quantified NP into logical notation, the quantifier al-
ways comes at the beginning of the proposition which it takes scope over, even
when the quantified NP is functioning as direct object, oblique argument, etc.
Some examples are presented in (30). Note that indefinite NPs are often trans-
lated as existential quantifiers, as illustrated in (30b–c).
(30) a. John loves all girls.
∀x[GIRL(x) → LOVE(j,x)]
b. Susan has married a cowboy.
∃x[COWBOY(x) ∧ MARRY(s,x)]
c. Ringo lives in a yellow submarine.
∃x[YELLOW(x) ∧ SUBMARINE(x) ∧ LIVE_IN(r,x)]
The patterns of inference observed in example (2) above illustrate two basic
principles that govern the use of quantifiers. The first principle, which is called
universal instantiation, states that anything which is true of all members of
a particular class is true of any specific member of that class. This is the principle
which licenses the inference shown in (2a), repeated here as (31a). The second
principle, which is called existential generalization, licenses the inference
shown in (2b), repeated here as (31b).
(31) a. All men are mortal. ∀x[MAN(x) → MORTAL(x)]
Socrates is a man. MAN(s)
Therefore, Socrates is mortal. MORTAL(s)

b. Arthur is a lawyer. LAWYER(a)

Arthur is honest. HONEST(a)
Therefore, some (= at least one) ∃x[LAWYER(x) ∧ HONEST(x)]
lawyer is honest.

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4 The logic of truth

4.4.2 Scope ambiguities

When a quantifier combines with another quantifier, with negation, or with vari-
ous other elements (to be discussed in Chapter 14), it can give rise to ambiguities
of scope. In (32a) for example, one of the quantifiers must appear within the
scope of the other, so there are two possible readings for the sentence.

(32) a. Some man loves every woman.

i. ∃x[MAN(x) ∧ (∀y[WOMAN(y) → LOVE(x,y)])]
ii. ∀y[WOMAN(y) → (∃x[MAN(x) ∧ LOVE(x,y)])]
b. All that glitters is not gold.
i. ∀x[GLITTER(x) → ¬GOLD(x)]
ii. ¬∀x[GLITTER(x) → GOLD(x)]

The quantifier that appears farthest to the left in the formula gets a wide scope
interpretation, meaning that it takes logical priority; the one which is embedded
within the scope of the first quantifier gets a narrow scope interpretation. So
the first reading for (32a) says that there exists some specific man who loves
every woman. The second reading for (32a) says that for any woman you choose
within the universe of discourse, there exists some man who loves her. Try to
provide similar paraphrases for the two readings of (32b). Then try to verify that
these sentences involve real ambiguities by finding contexts for each sentence
where one reading would be true while the other is false.

4.5 Conclusion
In this chapter we mentioned some of the motivations for using formal logic
as a semantic metalanguage. We discussed the notion of valid inference, and
showed that valid patterns of reasoning guarantee a true conclusion only when
the premises are true. We then showed how propositional logic accounts for
certain kinds of inferences, namely those which are determined by the mean-
ings of the logical operators ‘and’, ‘or’, ‘not’, and ‘if’. In this way propositional
logic helps to explain certain kinds of tautology and contradiction, as well as cer-
tain types of meaning relations between sentences (entailment, paraphrase, etc.),
namely those which arise due to the logical structure of the sentences involved.
Finally we gave a brief introduction to predicate logic, which allows us to repre-
sent the meanings of the propositions, and an even brief introduction to the use
of quantifiers, which will be the topic of Chapter 14.

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 4.5 Conclusion

Our emphasis in this chapter was on translating sentences of English (or some
other object language) into logical notation. In Unit IV we will discuss how we
can give an interpretation for these propositions in terms of set theory, and how
this helps us understand the compositional nature of sentence meanings.

Further reading

Good, brief introductions to propositional and predicate logic are provided

in Allwood et al. (1977: chapters 4–5) and Kearns (2000: chapter 2). More
detailed introductions are provided in J. N. Martin (1987) and Gamut (1991a).a

a L.T. F. Gamut is a collective pen-name for the Dutch logicians Johan van Benthem,
Jeroen Groenendijk, Dick de Jongh, Martin Stokhof and Henk Verkuyl.

Discussion exercises
A. Create a truth table to prove each of the following tautologies:
a. Law of Double Negation: ¬(¬p) ↔ p

b. Law of Contradiction: ¬(p ∧ ¬p)

c. Modus Tollens: [(p → q) ∧ ¬q] → ¬p

B. Construct syllogisms, using English sentences, to illustrate each of

the following patterns of inference:

a. Modus Ponens: [(p → q) ∧ p] → q

b. Modus Tollens: [(p → q) ∧ ¬q] → ¬p

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4 The logic of truth

c. Hypothetical Syllogism: [(p → q) ∧ (q → r)] → (p → r)

d. Disjunctive Syllogism: [(p ∨ q) ∧ ¬p] → q

C. Translate the following sentences into logical notation:

a. All unicorns are herbivores.

b. No philosophers admire Nietzsche.

c. Some green apples are edible.

d. Bill feeds all stray cats.

Homework exercises

A. Using truth tables. Arthur has been selected to be a juror in a case

which has generated a lot of local publicity. He is asked to promise not
to read the newspaper or watch television until the trial is finished. There
are two different ways in which he can make this commitment:

(1) a. I will not read the newspaper or watch television until the trial
is finished.
b. I will not read the newspaper and I will not watch television
until the trial is finished.

Construct truth tables for these two sentences to show why they are
logically equivalent. You may omit the adverbial clause (until the trial is
finished) from your table. (Hint: Let p stand for I will read the newspaper
and q stand for I will watch television. Assume the following translation
for sentence (a): ¬(p ∨ q). Construct a truth table for this proposition, and

74
 4.5 Conclusion

a second truth table for sentence (b). If the right-most column of the two
tables is identical, that means that the two propositions must have the
same truth value under any circumstances.)

(1′) a. p q p∨q ¬(p ∨ q)

b. p q

B. Translate the following sentences into logical notation:

a. All famous linguists quote Chomsky.

b. David tutors some struggling students.

c. No president was Buddhist or Hindu.

d. Alice and Betty married Charlie and David, respectively.

75
 Unit II

Word meanings
5 Word senses
5.1 Introduction
In Chapter 2 we introduced the important distinction between sense and deno-
tation. We noted that a single word may have more than one sense, a situation
referred to as lexical ambiguity. We also noted that two expressions which
have different senses may have the same denotation in some particular context,
but two expressions which have the same sense must have the same denotation
in every imaginable context. So what if a single word can be used to refer to
several different kinds of things? Does that mean it has several different senses?
The answer is, sometimes yes and sometimes no. This chapter is designed to help
you answer this kind of question for specific cases.
We begin in §5.2 with the observation that a speaker often has a variety of
ways to refer to a particular thing. The various expressions which the speaker
may use reflect different construals, or ways of thinking about the thing. In
§5.3 we discuss several diagnostic tests that can be used to distinguish true lex-
ical ambiguity from other similar patterns, such as vagueness and underspecifi-
cation. We then distinguish two different types of lexical ambiguity, polysemy
vs. homonymy, recognizing that making this distinction is not always easy; and
we discuss the role of context in enabling hearers to choose the intended sense
of ambiguous word forms.
In §5.4 we discuss some ways in which new senses of words can be created,
including coercion and figures of speech. In §5.5 we apply the principles devel-
oped in §5.3 to a certain pattern of variable denotation, illustrated by words like
book, which can be used to name either a physical object or the text or discourse
that it contains.

5.2 Word meanings as construals of external reality

Words give us a way to describe the world. However, our linguistic descriptions
are never complete. In choosing a word to describe a particular thing or event, we
choose to express certain bits of information and leave many others unexpressed.
5 Word senses

For example, suppose that I am holding a rag in my right hand and moving it back
and forth across the surface of a table. If you ask me what I am doing, I might
reply with either (1a) or (1b).

(1) a. I am wiping the table.

b. I am cleaning the table.
c. I wiped/⁇cleaned the table but it is no cleaner than before.
d. I cleaned/#wiped the table without touching it.

In this situation, both (1a) and (1b) would be true descriptions of the event, but
they do not mean the same thing. By choosing the word clean, I would be specify-
ing a certain change in the state of the table, but leaving the manner unspecified.
By choosing the word wipe, I would be specifying a certain manner, but not as-
serting anything about a change of state. The different entailments associated
with these two verbs can be demonstrated using examples like (1c–d).
To take a second example, suppose that you have a large quartz crystal on
your desk, which you use as a paperweight. If I want to look more closely at
this object, I could ask for it by saying: May I look at your paperweight?; or by
saying: May I look at that quartz crystal? Clearly the words paperweight and
quartz crystal do not mean the same thing; but in this context they can have
the same referent. The lexical meaning of each word includes features which are
true of this referent, but neither word encodes all of the properties of the referent.
The choice of which word to use reflects the speaker’s construal of (or way of
thinking about) the object, and commits the speaker to certain beliefs but not
others concerning the nature of the object.
In analyzing word meanings, we are trying to account for linguistically coded
information, rather than all the encyclopedic knowledge (or knowledge about
the world) which may be associated with a particular word. For example, the
fact that a quartz crystal sinks in water is a fact about the world, but probably
not a linguistic property of the word quartz. But we need to be aware that this
distinction between linguistic knowledge vs. knowledge about the world is often
difficult to make.

5.3 Lexical ambiguity

5.3.1 Ambiguity, vagueness, and indeterminacy
In Chapter 2 we discussed cases of lexical ambiguity like those in (2). These
sentences are ambiguous because they contain a word-form which has more than

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 5.3 Lexical ambiguity

one sense, and as a result can be used to refer to very different kinds of things.
For example, we can use the word case to refer to a kind of container or to a legal
proceeding; lies can be a noun referring to false statements or a verb specifying
the posture or location of something. These words have a variety of referents
because they have multiple senses, i.e., they are ambiguous. And as we noted in
Chapter 2, the truth value of each of these sentences in a particular context will
depend on which sense of the ambiguous word is chosen.

(2) a. The farmer allows walkers to cross the field for free, but the bull
charges.
b. Headline: Drunk gets nine months in violin case.
c. Headline: Reagan wins on budget, but more lies ahead.

However, there are other kinds of variable reference as well, ways in which a
word can be used to refer to different sorts of things even though it may have
only a single sense. For example, I can use the word cousin to refer to a child
of my parent’s sibling, but the person referred to may be either male or female.
Similarly, the word kick means to hit something with one’s foot, but does not
specify whether the left or right foot is used.1 We will say that the word cousin is
indeterminate with respect to gender, and that the word kick is indeterminate
with respect to which foot is used.2 We will argue that such examples are not
instances of lexical ambiguity: neither of these cases requires us to posit two
distinct senses for a single word form. Our basis for making this claim will be
discussed in §5.3.2 below.
Another kind of variable reference is observed with words like tall or bald.
How tall does a person have to be to be called “tall”? How much hair can a
person lose without being considered “bald”? Context is a factor; a young man
who is considered tall among the members of his gymnastics club might not
be considered tall if he tries out for a professional basketball team. But even if
we restrict our discussion to professional basketball players, there is no specific
height (e.g. two meters) above which a player is considered tall and below which
he is not considered tall. We say that such words are vague, meaning that the
limits of their possible denotations cannot be precisely defined.3
1 Lakoff (1970).
2 We follow Kennedy (2011) in using the term indeterminacy; as he points out, some other
authors have used the term generality instead. Gillon (1990) makes a distinction between the
two terms, using generality for superordinate terms.
3 A number of authors (Ruth M. Kempson 1977, Lakoff 1970, Tuggy 1993) have used the term
vagueness as a cover term which includes generality or indeterminacy as a sub-type.

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5 Word senses

Kennedy (2011) mentions three distinguishing characteristics of vagueness.

First, context-dependent truth conditions: we have already seen that a single
individual may be truly said to be tall in one context (a gymnastics club) but not
tall in another (a professional basketball team). This is not the case with indeter-
minacy; if a certain person is my cousin in one context, he or she will normally
be my cousin in other contexts as well.
Second, vague predicates have borderline cases. Most people would probably
agree that a bottle of wine costing two dollars is cheap, while one that costs five
hundred dollars is expensive. But what about a bottle that costs fifty dollars?
Most people would probably agree that Einstein was a genius, and that certain
other individuals are clearly not. But there are extremely bright people about
whom we might disagree when asked whether the term genius can be applied
to them; or we might simply say “I’m not sure”. Such borderline cases do not
typically arise with indeterminacy; we do not usually disagree about whether a
certain person is or is not our cousin.
Gillon (1990) provides another example:

Vagueness is well exemplified by such words as city. Though a definite

answer does exist as to whether or not it applies to Montreal [1991 pop-
ulation: 1,016,376 within the city limits] or to Kingsville (Ontario) [1991
population: 5,716]; nonetheless, no definite answer exists as to whether or
not it applies to Red Deer (Alberta) [1991 population: 58,145] or Moose Jaw
(Saskatchewan) [1991 population: 33,593]. Nor is the lack of an answer here
due to ignorance (at least if one is familiar with the geography of Western
Canada): no amount of knowledge about Red Deer or Moose Jaw will settle
whether or not city applies. Any case in which further knowledge will settle
whether or not the expression applies is simply not a case evincing the ex-
pression’s vagueness; rather it evinces the ignorance of its user… Vagueness
is not alleviated by the growth of knowledge, ignorance is.

Third, vague predicates give rise to “little-by-little” paradoxes.4 For example,

Ringo Starr was clearly not bald in 1964; in fact, the Beatles’ famous haircut was
an important part of their image during that era. Now if in 1964 Ringo had al-
lowed you to pluck out one of his hairs as a souvenir, he would still not have
been bald. It seems reasonable to assume that a man who is not bald can always
lose one hair without becoming bald. But if Ringo had given permission for ev-
ery person in Europe to pluck out one of his hairs, he would have become bald
4 The technical term is the sorites
paradox, also known as the paradox of the heap, the fallacy of
the beard, the continuum fallacy, etc.

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 5.3 Lexical ambiguity

long before every fan was satisfied. But it would be impossible to say which spe-
cific hair it was whose loss caused him to become bald, because bald is a vague
predicate.
Another property which may distinguish vagueness from indeterminacy is
the degree to which these properties are preserved in translation. Indeterminacy
tends to be language-specific. There are many interesting and well-known cases
where pairs of translation equivalents differ with respect to their degree of speci-
ficity. For example, Malay has no exact equivalent for the English words brother
and sister. The language uses three terms for siblings: abang ‘older brother’,
kakak ‘older sister’, and adek ‘younger sibling’. The term adek is indeterminate
with respect to gender, while the English words brother and sister are indetermi-
nate with respect to relative age.
Mandarin has several different and more specific words which would all be
translated by the English word uncle: 伯伯 (bóbo) ‘father’s elder brother’; 叔叔
(shūshu) ‘father’s younger brother’; 姑丈 (gūzhàng) ‘father’s sister’s husband’;
舅舅 (jiùjiu) ‘mother’s brother’; 姨丈 (yízhàng) ‘mother’s sister’s husband’.5 Thus
the English word uncle is indeterminate with respect to various factors that are
lexically distinguished in Mandarin.
The English word carry is indeterminate with respect to manner, but many
other languages use different words for specific ways of carrying. Tzeltal, a
Mayan language spoken in the State of Chiapas (Mexico), is reported to have
twenty-five words for ‘carry’:6

(3) 1. cuch ‘carry on one’s back’

2. q’uech ‘carry on one’s shoulder’
3. pach ‘carry on one’s head’
4. cajnuc’tay ‘carry over one’s shoulder’
5. lats’ ‘carry under one’s arm’
6. chup ‘carry in one’s pocket’
7. tom ‘carry in a bundle’
8. pet ‘carry in one’s arms’
9. nol ‘carry in one’s palm’
10. jelup’in ‘carry across one’s shoulder’
11. nop’ ‘carry in one’s fist’
12. lat’ ‘carry on a plate’
13. lip’ ‘carry by the corner’

5 http://www.omniglot.com/language/kinship/chinese.htm
6 http://www-01.sil.org/mexico/museo/3di-Carry.htm

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5 Word senses

14. chuy ‘carry in a bag’

15. lup ‘carry in a spoon’
16. cats’ ‘carry between one’s teeth’
17. tuch ‘carry upright’
18. toy ‘carry holding up high’
19. lic ‘carry dangling from the hand’
20. bal ‘carry rolled up (like a map)’
21. ch’et ‘carry coiled up (like a rope)’
22. chech ‘carry by both sides’
23. lut’ ‘carry with tongs’
24. yom ‘carry several things together’
25. pich’ ‘carry by the neck’

In contrast, words which are vague in English tend to have translation equiva-
lents in other languages which are also vague. This is because vagueness is asso-
ciated with certain semantic classes of words, notably with scalar adjectives like
big, tall, expensive, etc. Vagueness is a particularly interesting and challenging
problem for semantic analysis, and we will discuss it again in later chapters.

5.3.2 Distinguishing ambiguity from vagueness and indeterminacy

The Spanish word llave can be used to refer to things which would be called key,
faucet or wrench/spanner in English.7 How do we figure out whether llave has
multiple senses (i.e. is ambiguous), or whether it has a single sense that is vague
or indeterminate? A number of linguistic tests have been proposed which can
help us to make this decision.
The most common tests are based on the principle that distinct senses of an
ambiguous word are antagonistic.8 This means that two senses of the word
cannot both apply simultaneously. Sentences which seem to require two senses
for a single use of a particular word, like those in (4), are called puns.

(4) a. The hunter went home with five bucks in his pocket.
b. The batteries were given out free of charge.
c. I didn’t like my beard at first. Then it grew on me.
d. When she saw her first strands of gray hair, she thought she’d dye.
e. When the chair in the Philosophy Department became vacant,
the Appointment Committee sat on it for six months.9
7 Jonatan Cordova (p.c.) informs me that the word can also be used to mean ‘lock’ in wrestling.
8 Cruse (1986: 61).
9 Cruse (2000: 108).

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 5.3 Lexical ambiguity

Sentence (4d) illustrates a problem with English spelling, namely that words
which are pronounced the same can be spelled differently (dye vs. die). Because
linguistic analysis normally focuses on spoken rather than written language, we
consider such word-forms to be ambiguous; we will discuss this issue further in
the following section.
A clash or incompatibility of senses for a single word in sentences containing
a co-ordinate structure, like those in (5), is often referred to using the Greek term
zeugma (pronounced [ˈzuɡmə]).

(5) a. Mary and her visa expired on the same day.10

b. He carried a strobe light and the responsibility for the lives of his
men.11
c. On his fishing trip, he caught three trout and a cold.12

The odd or humorous nature of sentences like those in (4) and (5) provides
evidence that two distinct senses are involved; that is, evidence for a real lexical
ambiguity. Another widely used test for antagonism between two senses is the
identity test.13 This test makes use of the fact that certain kinds of ellipsis
require parallel interpretations for the deleted material and its antecedent. We
will illustrate the test first with an instance of structural ambiguity:14

(6) a. The fish is ready to eat.

b. The fish is ready to eat, and so is the chicken.
c. The fish is ready to eat, but the chicken is not.
d. #The potatoes are ready to eat, but the children are not.

Sentence (6a) is structurally ambiguous: the fish can be interpreted as either

the agent or the patient of eat. Both of the clauses in example (6b) are ambiguous
in the same way. This predicts that there should be four logically possible inter-
pretations of this sentence; but in fact only two are acceptable to most English
speakers. If the fish is interpreted as an agent, then the chicken must be inter-
preted as an agent; if the fish is interpreted as a patient, then the chicken must be
interpreted as a patient. The parallelism constraint rules out readings where the
fish is the eater while the chicken is eaten, or vice versa. The same holds true for
10 Adapted from Cruse (1986: 61).
11 Tim O’Brien, The Things They Carried, via grammar.about.com.
12 http://dictionary.reference.com/browse/zeugma
13 Lakoff (1970); Zwicky & Sadock (1975).
14 Examples adapted from Kennedy (2011: 512).

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5 Word senses

example (6c). Sentence (6d) is odd because the nouns used strongly favor differ-
ent interpretations for the two clauses: the potatoes must be the patient, while
the children must be the agent, violating the parallelism constraint.
Example (7) illustrates the use of the identity test with an apparent case of
lexical ambiguity: duck can refer to an action (lowering the head or upper body)
or to a water fowl. (In fact, this is a fairly obvious case of lexical ambiguity since
the two uses have different parts of speech, which is not normally possible with
vagueness or indeterminacy. Our purpose here is to validate the test, showing
that it gives the expected results in the clear cases, and thus provides a reasonable
source of evidence for deciding the less obvious cases.)
Sentence (7a) is ambiguous, because the two senses of duck generate two dif-
ferent readings, and one of these readings could be true while the other was
false in a particular situation. The same potential ambiguity applies to both of
the clauses in (7b), so again we would predict that four interpretations should be
logically possible; but in fact only two are acceptable. Sentence (7b) can mean
either that John and Bill both saw her perform a certain action or that they both
saw a water fowl belonging to her. The fact that the parallelism constraint blocks
the “crossed” readings provides evidence that these two different interpretations
of duck are truly distinct senses, i.e. that duck is in fact lexically ambiguous.

(7) a. John saw her duck.

b. John saw her duck, and so did Bill.

Contrast this with the examples in (8). The word cousin in the first clause of
(8a) refers to a male person, while the implicit reference to cousin in the second
clause of (8a) refers to a female person. This difference of reference does not
violate the parallelism constraint, because the two uses of cousin are not distinct
senses, even though they would be translated by different words in a language
like Italian. The identity test indicates that cousin is not lexically ambiguous, but
merely unspecified for gender.

(8) a. John is my cousin, and so is Mary.

b. John carried a briefcase, and Bill a backpack.
c. That three-year old is quite tall, but then so is his father.

Similarly, the word carry in the first clause of (8b) probably describes a differ-
ent action from the implicit reference to carry in the second clause. The sentence
allows an interpretation under which John carried the briefcase by holding it at
his side with one hand, while Bill carried the backpack on his back; in fact, this

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 5.3 Lexical ambiguity

would be the most likely interpretation in most contexts. The fact that this in-
terpretation is not blocked by the parallelism constraint indicates that carry is
not lexically ambiguous, but merely unspecified (i.e., indeterminate) for manner.
The two uses of carry would be translated by different words in a language like
Tzeltal, but they are not distinct senses.
The actual height described by the word tall in the first clause of (8c) is pre-
sumably much less than the height described by the implicit reference to tall in
the second clause. The fact that this interpretation is acceptable indicates that
tall is not lexically ambiguous, but merely vague.
Example (9) shows how we might use the identity test to investigate the ambi-
guity of the Spanish word llave mentioned above. These sentences could appro-
priately be used if both Pedro and Juan bought, broke or found the same kind of
thing, whether keys, faucets, or wrenches. But the sentences cannot naturally
describe a situation where different objects are involved, e.g. if Pedro bought
a key but Juan bought a wrench, etc.15 This fact provides evidence that llave is
truly ambiguous and not merely indeterminate or vague.
(9) a. Pedro compró/rompió una llave y también Juan.
Pedro bought/broke a key/etc. and also Juan
‘Pedro bought/broke a key/faucet/wrench, and so did Juan.’
b. Pedro encontró una llave al igual que Juan.
Pedro found a key/etc. to.the same that Juan
‘Pedro found a key/faucet/wrench, just like Juan did.’
Another test which is sometimes used is the sense relations test: distinct
senses will have different sets of synonyms, antonyms, etc. (see discussion of
sense relations in Chapter 6). For example, the word light has two distinct senses;
one is the opposite of heavy, the other is the opposite of dark. However, Cruse
(1986: 56–57) warns that this test is not always reliable, because contextual fea-
tures may restrict the range of possible synonyms or antonyms for a particular
use of a word which is merely vague or indeterminate.
Another kind of evidence for lexical ambiguity is provided by the test of
contradiction.16 If a sentence of the form X but not X can be true (i.e., not
a contradiction), then expression X must be ambiguous. For example, the fact
that the statement in (10) is not felt to be a contradiction provides good evidence
for the claim that the two uses of child represented here (‘offspring’ vs. ‘pre-
adolescent human’) are truly distinct senses.
15 Jonatan Cordova, Steve and Monica Parker (p.c.).
16 Quine (1960); Zwicky & Sadock (1975); Kennedy (2011).

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5 Word senses

(10) (Aged mother discussing her grown sons and daughters)

They are not children any more, but they are still my children.

This is an excellent test in some ways, because the essential property of am-
biguity is that the two senses must have different truth conditions, and this test
involves asserting one reading while simultaneously denying the other. In many
cases, however, it can be difficult to find contexts in which such sentences sound
truly natural. A few attempts at creating such examples are presented in (11).
The fact that such sentences are even possible provides strong evidence that the
relevant words have two distinct senses.

(11) a. Criminal mastermind planning to stage a traffic accident in order to

cheat the insurance company: After the crash, you lie down behind the
bus and tell the police you were thrown out of the bus through a window.
Unwilling accomplice: I’ll lie there, but I won’t lie.
b. Foreman: I told you to collect a sample of uranium ore from the pit and
row it across the river to be tested.
Miner: I have the ore but I don’t have the oar.
c. Rancher (speaking on the telephone): I’ve lost my expensive fountain
pen; I think I may have dropped it while we were inspecting the sheep.
Can you check the sheep pen to see if it is there?
Hired hand: I am looking at the pen, but I don’t see a pen.

An equivalent way of describing this test is to say that if there exists some
state of affairs or context in which a sentence can be both truly affirmed and
truly denied, then the sentence must be ambiguous.17 An example showing how
this test might be applied to two uses of the word drink (alcoholic beverage vs.
any beverage) is quoted in (12):

(12) a. Ferrell has a drink each night before going to bed.

b. “Imagine… this state of affairs: Ferrell has a medical problem which
requires that he consume no alcoholic beverages but that he have a
glass of water each night before going to bed. One person knows only
that he does not consume alcoholic beverages; another knows only
that he has a glass of water each night at bedtime. The latter person

17 Adapted from Gillon (1990: 407).

88
 5.3 Lexical ambiguity

can truly affirm the sentence in (12a)… But the former person can
truly deny it.” (Gillon 1990: 407)

Gillon points out that this is a very useful test because “generality and inde-
terminacy do not permit a sentence to be both truly affirmed and truly denied”
(1990: 410). Sentences like those in (13) can only be interpreted as contradictions;
they require some kind of pragmatic inference in order to make sense.18

(13) a. # She is my cousin and she is not my cousin.

b. # I am carrying the bag and I am not carrying the bag.
c. # This creature is a vertebrate and it is not a vertebrate.

5.3.3 Polysemy vs. homonymy

Two types of lexical ambiguity are traditionally distinguished: polysemy (one
word with multiple senses) vs. homonymy (different words that happen to sound
the same). Both cases involve an ambiguous word form; the difference lies in how
the information is organized in the speaker’s mental lexicon.
Of course, it is not easy to determine how information is stored in the mental
lexicon. This is not something that native speakers are consciously aware of, so
asking them directly whether two senses are “the same word” or not is generally
not a reliable procedure. The basic criterion for making this distinction is that
in cases of polysemy, the two senses are felt to be “related” in some way; there
is “an intelligible connection of some sort” between the two senses.19 In cases
of homonymy, the two senses are unrelated; that is, the semantic relationship
between the two senses is similar to that between any two words selected at
random.
It is difficult to draw a clear boundary between these two types of ambigu-
ity, and some authors reject the distinction entirely. However, many ambiguous
words clearly belong to one type or the other, and the distinction is a useful one.
We will adopt a prototype approach, suggesting some properties that are proto-
typical of polysemy vs. homonymy while recognizing there will be cases which
are very difficult to classify.

18 The word vertebrate is more “general”, in Gillon’s terms, than words like fish or dog. We will
discuss this kind of sense relation in the next chapter.
19 Cruse (2000: 109).

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5 Word senses

Some general guidelines for distinguishing polysemy vs. homonymy:

a. Two senses of a polysemous word generally share at least one salient fea-
ture or component of meaning, whereas this is not in general true for
homonyms.20 For example, the sense of foot that denotes a unit of length
(‘12 inches’) shares with the body-part sense the same approximate size.
The sense of foot that means ‘base’ (as in foot of a tree/mountain) shares
with the body-part sense the same position or location relative to the object
of which it is a part. These common features suggest that foot is polyse-
mous. In contrast, the two senses of row (pull the oars vs. things arranged
in a line) seem to have nothing in common, suggesting that row is homony-
mous.

b. If one sense seems to be a figurative extension of the other (see discussion

of figurative senses below), the word is probably polysemous. For example,
the sense of run in This road runs from Rangoon to Mandalay is arguably
based on a metonymy between the act of running and the path traversed
by the runner, suggesting that this is a case of polysemy.

c. Beekman & Callow (1974) suggest that, for polysemous words, one sense
can often be identified as the primary sense, with other senses being clas-
sified as secondary or figurative. The primary sense will typically be the
one most likely to be chosen if you ask a native speaker to illustrate how
the word X is used in a sentence, or if you ask a bilingual speaker what
the word X means (i.e., ask for a translation equivalent). For homonymous
words, neither sense is likely to be “primary” in this way.21

d. Etymology (historical source) is used as a criterion in most dictionaries, but

it is not a reliable basis for synchronic linguistic analysis. (Speakers may or
may not know where certain words come from historically, and their ideas
about such questions are often mistaken.) However, there is often a corre-
lation between etymology and the criteria listed above, because figurative
extension is a common factor in semantic change over time, as discussed
in §5.4. English spelling may give a clue about etymology, but again is not
directly relevant to synchronic linguistic analysis, which normally focuses
on spoken language.

20 Beekman & Callow (1974) suggest that all the senses of a polysemous word will share at least
one component of meaning, but this claim is certainly too strong.
21 A similar point is made by Fillmore & Atkins (2000: 100).

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 5.3 Lexical ambiguity

Point (d) is a specific application of a more general principle in the study of lex-
ical meaning: word meanings may change over time, and the historical meaning
of a word may be quite different from its modern meaning. It is important to base
our analysis of the current meanings of words on synchronic (i.e., contempora-
neous) evidence, unless we are specifically studying the diachronic (historical)
developments. Lyons (1977: 244) expresses this principle as follows:

A particular manifestation of the failure to respect the distinction of the

diachronic and the synchronic in semantics … is what might be called the
etymological fallacy: the common belief that the meaning of words can
be determined by investigating their origins. The etymology of a lexeme is,
in principle, synchronically irrelevant.

As an example, Lyons points out that it would be silly to claim that the “real”
meaning of the word curious in Modern English is ‘careful’, even though that was
the meaning of the Latin word from which it is derived.
A number of authors have distinguished between regular or systematic poly-
semy vs. non-systematic polysemy. Systematic polysemy involves senses which
are related in recurring or predictable ways. For example, many verbs naming a
change of state (break, melt, split, etc.) have two senses, one transitive (Vtr ) and
the other intransitive (Vintr ), with Vtr meaning roughly ‘cause to Vintr ’. Simi-
larly, many nouns that refer to things used as instruments (hammer, saw, paddle,
whip, brush, comb, rake, shovel, plow, sandpaper, anchor, tape, chain, telephone,
etc.) can also be used as verbs meaning roughly ‘to use the instrument to act on
an appropriate object.‘ (A single sense can have only a single part of speech, so
the verbal and nominal uses of such words must represent distinct senses.)
The kinds of regularities involved in systematic polysemy are similar to pat-
terns which are associated with derivational morphology in some languages.22
This means that the systematic relationships between senses can be stated in the
form of rules. Some authors have suggested that only the base or core meaning
needs to be included in the lexicon, because the secondary senses can be derived
by rule.23 But even in the case of systematic polysemy, secondary senses need
to be listed because not every extended sense which the rules would license ac-
tually occurs in the language. For example, there are no verbal uses for some
instrumental nouns, e.g. scalpel, yardstick, hatchet, pliers, tweezers, etc. For oth-
ers, verbal uses are possible only for non-standard uses of the instrument or
non-literal senses:
22 See Apresjan (1974), Aronoff & Fudeman (2011: ch. 5).
23 For example, Pustejovsky (1995).

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5 Word senses

(14) a. Australian Prime Minister Kevin Rudd has axed the carbon tax.
b. Alaska Airlines axed the flights as a precaution.
c. ?*John axed the tree.

Traditionally it has been assumed that all the senses of a polysemous word will
be listed within a single lexical entry, while homonyms will occur in separate
lexical entries. Most dictionaries adopt a format that reflects this organization of
the lexicon. The format is illustrated in the partial dictionary listing for the word
form lean presented in (15).24 The verbal and adjectival uses of lean are treated as
homonyms, each with its own lexical entry. Each of the homonyms is analyzed
as being polysemous, with the various senses listed inside the appropriate entry.

(15) lean1 (V): 1. to incline, deviate, or bend from a vertical position; 2. to cast
one’s weight to one side for support; 3. to rely on for support or
inspiration; 4. to incline in opinion, taste, or desire (e.g., leaning toward a
career in chemistry).

lean2 (Adj): 1. lacking or deficient in flesh; 2. containing little or no fat

(lean meat); 3. lacking richness, sufficiency, or productiveness (lean
profits, the lean years); 4. deficient in an essential or important quality or
ingredient, e.g. (a) of ore: containing little valuable mineral; (b) of fuel
mixtures: low in combustible component.

This is not the only way in which a lexicon could be organized, but we will
not explore the various alternatives here. The crucial point is that polysemous
senses are “related” while homonymous senses are not.

5.3.4 One sense at a time

When a lexically ambiguous word is used, the context normally makes it clear
which of the senses is intended. As Cruse (1986: 53) points out, a speaker gener-
ally intends the hearer to be able to identify the single intended sense based on
context:

[A] context normally also acts in such a way as to cause a single sense,
from among those associated with any ambiguous word form, to become
operative. When a sentence is uttered, it is rarely the utterer’s intention that
24 Adapted from the Merriam-Webster Online Dictionary (http://www.merriam-webster.com/
dictionary/lean).

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 5.3 Lexical ambiguity

it should be interpreted in two (or more) different ways simultaneously…

This means that, for the vast majority of utterances, hearers are expected to
identify specific intended senses for every ambiguous word form that they
contain.

Cruse (1986: 54) cites the sentence in (16), which contains five lexically am-
biguous words. (Note that the intended sense of burn in this sentence, ‘a small
stream’, is characteristic of Scottish English.)

(16) Several rare ferns grow on the steep banks of the burn where it runs into
the lake.

Cruse writes,

In such cases, there will occur a kind of mutual negotiation between the
various options [so as to determine which sense for each word produces a
coherent meaning for the sentence as a whole]… It is highly unlikely that
any reader of this sentence will interpret rare in the sense of ‘undercooked’
(as in rare steak), or steep in the sense of ‘unjustifiably high’ (as in steep
charges)… or run in the sense of ‘progress by advancing each foot alternately
never having both feet on the ground simultaneously’, etc.

A very interesting use of this principle occurs in the short story “Xingu”, by
Edith Wharton (1916). In the following passage, Mrs. Roby is describing some-
thing to the members of her ladies’ club, which they believe (and which she
allows them to believe) to be a deep, philosophical book. After the discussion is
over, however, the other members discover that she was actually describing a
river in Brazil. The words which are italicized below are ambiguous; all of them
must be interpreted with one sense in a discussion of a philosophical work, but
another sense in a discussion of a river.

(17) “Of course,” Mrs. Roby admitted, “the difficulty is that one must give up
so much time to it. It’s very long.”
“I can’t imagine,” said Miss Van Vluyck tartly, “grudging the time given to
such a subject.”
“And deep in places,” Mrs. Roby pursued; (so then it was a book!) “And it
isn’t easy to skip.”
“I never skip,” said Mrs. Plinth dogmatically.
“Ah, it’s dangerous to, in Xingu. Even at the start there are places where
one can’t. One must just wade through.”

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5 Word senses

“I should hardly call it wading ,” said Mrs. Ballinger sarcastically.

Mrs. Roby sent her a look of interest. “Ah — you always found it went
swimmingly?”
Mrs. Ballinger hesitated. “Of course there are difficult passages,” she
conceded modestly.
“Yes; some are not at all clear — even,” Mrs. Roby added, “if one is familiar
with the original.25 ”
“As I suppose you are?” Osric Dane interposed, suddenly fixing her with
a look of challenge.
Mrs. Roby met it by a deprecating smile. “Oh, it’s really not difficult up to
a certain point; though some of the branches are very little known, and
it’s almost impossible to get at the source.”

Mrs. Roby’s motives seem to be noble — she is rescuing the ladies of the club
from further humiliation by an arrogant visiting celebrity, Mrs. Osric Dane (a
popular author). But when the other members discover the deception, they are
so provoked that they demand Mrs. Roby’s resignation.
Cotterell & Turner (1989: 175) point out the implications of the “one sense at a
time” principle for exegetical work:

The context of the utterance usually singles out … the one sense, which is
intended, from amongst the various senses of which the word is potentially
capable… When an interpreter tells us his author could be using such-and-
such a word with sense a, or he could be using it with sense b, and then
sits on the fence claiming perhaps the author means both, we should not
too easily be discouraged from the suspicion that the interpreter is simply
fudging the exegesis.

Sometimes, of course, the speaker does intend both senses to be available to

the hearer; but this is normally intended as some kind of play on words, e.g. a
pun. The humor in a pun (for those people who enjoy them) lies precisely in the
fact that this is not the way language is normally used.

5.3.5 Disambiguation in context

Word meanings are clarified or restricted by their context of use in several differ-
ent ways. If a word is indeterminate with respect to a certain feature, the feature
can be specified by linguistic or pragmatic context. For example, the word nurse
25 Apparently a play upon an archaic sense of original meaning ‘source’ or ‘origin’.

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 5.3 Lexical ambiguity

is indeterminate with respect to gender; but if I say The nurse who checked my
blood pressure was pregnant, the context makes it clear that the nurse I am refer-
ring to is female.
We noted in the preceding section that the context of use generally makes it
clear which sense of a lexically ambiguous word is intended. This is not to say
that misunderstandings never arise, but in a large majority of cases hearers filter
out unintended senses automatically and unconsciously. It is important to rec-
ognize that knowledge about the world plays an important role in making this
disambiguation possible. For example, a slogan on the package of Wasa crisp-
bread proudly announces, Baked since 1919. There is a potential ambiguity in the
aspect of the past participle here. It is our knowledge about the world (and specif-
ically about how long breads and crackers can safely be left in the oven), rather
than any feature of the linguistic context, which enables us to correctly select
the habitual, rather than the durative, reading. The process is automatic; most
people who see the slogan are probably not even aware of the ambiguity.
Because knowledge about the world plays such an important role, disambigua-
tion will be more difficult with translated material, or in other situations where
the content is culturally unfamiliar to the reader/hearer. But in most monocul-
tural settings, Ravin & Leacock’s (2000) assessment seems fair:

Polysemy is rarely a problem for communication among people. We are

so adept at using contextual cues that we select the appropriate senses of
words effortlessly and unconsciously… Although rarely a problem in lan-
guage use, except as a source of humour and puns, polysemy poses a prob-
lem for semantic theory and in semantic applications, such as translation
or lexicography.

If lexical ambiguity is not (usually) a problem for human speakers, it is a sig-

nificant problem for computers. Much of the recent work on polysemy has been
carried out within the field of computational linguistics. Because computational
work typically deals with written language, more attention has been paid to
homographs (words which are spelled the same) than to homophones (words
which are pronounced the same), in contrast to traditional linguistics which has
been more concerned with spoken language. Because of English spelling incon-
sistencies, the two cases do not always coincide; Ravin & Leacock cite the exam-
ple of bass [bæs] ‘fish species’ vs. bass [bej s] ‘voice or instrument with lowest
range’, homographs which are not homophones.
As Ravin & Leacock note, lexical ambiguity poses a problem for translation.
The problem arises because distinct senses of a given word-form are unlikely to

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have the same translation equivalent in another language. Lexical ambiguity can
cause problems for translation in at least two ways: either the wrong sense may
be chosen for a word which is ambiguous in the source language, or the nearest
translation equivalent for some word in the source language may be ambiguous
in the target language. In the latter case, the translated version may be ambiguous
in a way that the original version was not.
A striking example of the former type occurred in the English text of a bilin-
gual menu in a Chinese restaurant, which offered ‘deep-fried enema’ rather than
‘deep-fried sausage’. The Chinese name of the dish is zhá guànchang (炸灌腸).
The last two characters in the name refer to a kind of sausage made of wheat flour
stuffed into hog casings; but they also have another sense, namely ‘enema’. The
translator (whether human or machine) chose the wrong sense for this context.26
Much medieval and renaissance art, most famously the sculptural masterpiece
by Michelangelo, depicts Moses with horns coming out of his forehead. This
practice was based on the Latin Vulgate translation of a passage in Exodus which
describes Moses’ appearance when he came down from Mt. Sinai.27 The Hebrew
text uses the verb qaran to describe his face. This verb is derived from the noun
qeren meaning ‘horn’, and in some contexts it can mean ‘having horns’;28 but
most translators, both ancient and modern, have agreed that in this context it has
another sense, namely ‘shining, radiant’ or ‘emitting rays’. St. Jerome, however,
translated qaran with the Latin adjective cornuta ‘horned’.29
As noted above, a translation equivalent which is ambiguous in the target
language can create ambiguity in the translated version that is not present in the
original. For example, the French word apprivoiser ‘to tame’ plays a major role
in the book Le Petit Prince ‘The Little Prince’ by Antoine de Saint-Exupéry. In
most (if not all) Portuguese versions this word is translated as cativar, which can
mean ‘tame’ but can also mean ‘catch’, ‘capture’, ‘enslave’, ‘captivate’, ‘enthrall’,
‘charm’, etc. This means that the translation is potentially ambiguous in a way
that the original is not. The first occurrence of the word is spoken by a fox, who
26 http://languagelog.ldc.upenn.edu/nll/?p=2236
27 Exodus 34:29–35.
28 Psalm 69:31.
29 There is some disagreement as to whether St. Jerome simply made a mistake, or whether
he viewed the reference to horns as a live metaphor and chose to preserve the image in his
translation. The latter view seems more likely since he was very familiar with the rendering of
the Septuagint, which uses the word ’glorified’. The first artistic depiction of a horned Moses
appeared roughly 700 years after Jerome’s translation, which might be taken as an indication
that the metaphorical sense was in fact understood by readers of the Vulgate at first, but was
lost over time. (see Ruth Mellinkoff. 1970. The Horned Moses in Medieval Art and Thought
(California Studies in the History of Art, 14). University of California Press.)

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 5.4 Context-dependent extensions of meaning

explains to the little prince what the word means; so in that context the intended
sense is clear. However, the word occurs frequently in the book, and many of
the later occurrences might be difficult for readers to disambiguate on the basis
of the immediate context alone.
It is not surprising that homonymy should pose a problem for translation, be-
cause homonymy is an accidental similarity of form; there is no reason to expect
the two senses to be associated with a single form in another language. If we do
happen to find a pair of homonyms in some other language which are good trans-
lation equivalents for a pair of English homonyms, we regard it as a remarkable
coincidence. But even with polysemy, where the senses are related in some way,
we cannot in general expect that the different senses can be translated using the
same word in the target language. Beekman & Callow (1974: 103) state:

Whether multiple senses of a word arise from a shared [component] of

meaning or from relations which associate the senses [i.e. figurative ex-
tensions—PK], the cluster of senses symbolized by a single word is always
specific to the language under study.

Perhaps Beekman & Callow overstate the unlikelihood that a single word in
the target language can carry some or all of the senses of a polysemous word
in the source language. Since there is an intelligible relationship between poly-
semous senses, it is certainly possible for the same relationship to be found in
more than one language; but often this turns out not to be the case, which is why
polysemy can be a source of problems for translators.

5.4 Context-dependent extensions of meaning

Cruse (1986; 2000) distinguishes between established vs. non-established
senses. An established sense is one that is permanently stored in the speaker’s
mental lexicon, one which is always available; these are the senses that would
normally be listed in a dictionary. A lexically ambiguous word is one that has
two or more established senses.
We have seen how context determines a choice between existing (i.e., estab-
lished) senses of lexically ambiguous words. But context can also force the hearer
to “invent” a new, non-established sense for a word. When Mark Twain described
a certain person as “a good man in the worst sense of the word,” his hearers were
forced to interpret the word good with something close to the opposite of its nor-
mal meaning (e.g., puritanical, self-righteous, or judgmental). Clearly this “sense”

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5 Word senses

of the word good is not permanently stored in the hearer’s mental lexicon, and
we would not expect to see it listed in a dictionary entry for good. It exists only
on the occasion of its use in this specific context.
A general term for the process by which context creates non-established senses
is coercion.30 Coercion provides a mechanism for extending the range of mean-
ings of a given word. It is motivated by the assumption that the speaker intends
to communicate something intelligible, relevant to current purposes, etc. If none
of the established senses of a word allow for a coherent or intelligible sentence
meaning, the hearer tries to create an extended meaning for one or more words
that makes sense in the current speech context.
Coerced meanings are not stored in the lexicon, but are calculated as needed
from the established or default meaning of the word plus contextual factors;
so there is generally some identifiable relationship between the basic and ex-
tended senses. Several common patterns of extended meaning were identified
and named by ancient Greek philosophers; these are often referred to as tropes,
or “figures of speech”.

5.4.1 Figurative senses

Some of the best-known figures of speech are listed in (18):

(18) Some well-known tropes

Metaphor: Traditionally defined as a figure of speech in which an
implied comparison is made between two unlike things; but see
comments below.
Hyperbole: A figure of speech in which exaggeration is used for
emphasis or effect; an extravagant statement. (e.g., I have eaten more
salt than you have eaten rice. — Chinese saying implying seniority in
age and wisdom)
Euphemism: Substitution of an inoffensive term (such as passed away)
for one considered offensively explicit (died).
Metonymy: A figure of speech in which one word or phrase is
substituted for another with which it is closely associated (such as
crown for monarch).
Synecdoche (/sɪˈnɛk də ki/): A figure of speech in which a part is used to
represent the whole, the whole for a part, the specific for the

30 This term was coined by Moens & Steedman (1988).

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 5.4 Context-dependent extensions of meaning

general, the general for the specific, or the material for the thing
made from it. Considered by some to be a form of metonymy.
Litotes: A figure of speech consisting of an understatement in which an
affirmative is expressed by negating its opposite (e.g. not bad to
mean ‘good’).
Irony: A figure of speech in which the intended meaning of the
expression is the opposite of its literal meaning.

The question of how metaphors work has generated an enormous body of

literature, and remains a topic of controversy. For our present purposes, it is
enough to recognize all of these figures of speech as patterns of reasoning that
will allow a hearer to provide an extended sense when all available established
senses fail to produce an acceptable interpretation of the speaker’s utterance.

5.4.2 How figurative senses become established

As mentioned above, figurative senses are not stored in the speaker/hearer’s men-
tal lexicon; rather, they are calculated as needed, when required by the context of
use. However, some figurative senses become popular, and after frequent repeti-
tion they lose the sense of freshness or novelty associated with their original use;
we call such expressions “clichés”. At this stage they are remembered, rather than
calculated, but are perhaps not stored in the lexicon in the same way as “normal”
lexical items; they are still felt to be figurative rather than established senses.
Probable examples of this type include: fishing for compliments, sowing seeds of
doubt, at the end of the day, burning the candle at both ends, boots on the ground,
lash out, …
At some point, these frequently used figurative senses may become lexicalized,
and begin to function as established senses. For example, the original sense of
grasp is ‘to hold in the hand’; but a new sense has developed from a metaphorical
use of the word to mean ‘understand’. Similar examples include freeze ‘become
ice’ > ‘remain motionless’; broadcast ‘plant (seeds) by scattering widely’ > ‘trans-
mit via radio or television’; and, more recently, the use of hawk and dove to
refer to advocates of war and advocates of peace, respectively. Once this stage
is reached, the hearer does not have to calculate the speaker’s intended meaning
based on specific contextual or cultural factors; the intended meaning is simply
selected from among the established senses already available, as with normal
cases of lexical ambiguity.
When established senses develop out of metaphors they are referred to as con-
ventional metaphors, in contrast to “novel” or “creative” metaphors which are

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newly created. Conventional metaphors are sometimes referred to as “dead” or

“frozen” metaphors, phrases which are themselves conventional metaphors ex-
pressing the intuition that the meaning of such expressions is static rather than
dynamic.
Finally, in some cases the original “literal” sense of a word may fall out of use,
leaving what was originally a figurative sense as the only sense of that word.
This seems to be happening with the compound noun night owl, which origi-
nally referred to a type of bird. Many current dictionaries (including the massive
Random House Unabridged) now list only the conventional metaphor sense, i.e.,
a person who habitually stays out late at night.
This discussion shows how figurative senses may lead to polysemy.31 Earlier
we noted that translation equivalents in different languages are unlikely to share
the same range of polysemous senses. For example, the closest translation equiv-
alent for grasp in Malay is pĕgang; but this verb never carries the sense of ‘un-
derstand’. Novel (i.e., creative) metaphors can sometimes survive and be inter-
pretable when translated into a different language, because the general patterns
of meaning extension listed in (18), if they are not universal, are at least used
across a wide range of languages. Conventional (i.e., “frozen”) metaphors, how-
ever, are much less likely to work in translation, because the specific contextual
features which motivated the creative use of the metaphor need no longer be
present.

5.5 “Facets” of meaning

The sentences in (19–22) show examples of different uses which are possible for
certain classes of words. These different uses are often cited as cases of system-
atic polysemy, i.e., distinct senses related by a productive rule of some kind.32
However, Cruse (2000; 2004) argues that they are best analyzed as “facets” of a
single sense, by which he means “fully discrete but non-antagonistic readings of
a word”.33

(19) book (Cruse 2004):

a. My chemistry book makes a great doorstop. [physical object]

31 Apresjan (1974: 16) makes the interesting observation that semantic extensions based on
metonymy frequently lead to systematic polysemy, which he refers to as “regular polysemy”.
Polysemy based on metaphorical extension is typically non-systematic.
32 See for example Pustejovsky (1995), Nunberg & Zaenen (1992).
33 Cruse (2000: 116).

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 5.5 “Facets” of meaning

b. My chemistry book is well-organized but a bit dull.

[information content]

(20) bank (Cruse 2000: 116; similar examples include school, university, etc.):
a. The bank in the High Street was blown up last night. [premises]
b. That used to be the friendliest bank in town. [personnel]
c. This bank was founded in 1575. [institution]

(21) Britain (Cruse 2000: 117; Croft & Cruse 2004: 117):
a. Britain lies under one metre of snow. [land mass]
b. Britain today is mourning the death of the Royal corgi. [populace]
c. Britain has declared war on San Marino. [political entity]

(22) chicken, duck, etc. (Croft & Cruse 2004: 117):

a. My neighbor’s chickens are noisy and smelly. [animal]
b. This chicken is tender and delicious. [meat]

Cruse describes facets as “distinguishable components of a global whole”.34

The word book, for example, names a complex concept which includes both the
physical object (the tome) and the information which it contains (the text). In
the most typical uses of the word, it is used to refer to both the object and its
information content simultaneously. In contexts like those seen in (19), however,
the word can be used to refer to just one facet or the other (text or tome).
Cruse’s strongest argument against the systematic polysemy analysis is the
fact that these facets are non-antagonistic; they do not give rise to zeugma effects,
as illustrated in (23). In this they are unlike normal polysemous senses, which are
antagonistic. Under the systematic polysemy analysis we might derive the senses
illustrated in (19–22) by a kind of metonymy, similar to that illustrated in (24).35
However, as the examples in (25) demonstrate, figurative senses are antagonistic
with their literal counterparts. This suggests that facets are not figurative senses.

(23) a. This is a very interesting book, but it is awfully heavy to carry

around.36
b. My religion forbids me to eat or wear rabbit.37
34 Croft& Cruse (2004: 116).
35 Nunberg (1979; 1995).
36 Cruse (2004).
37 Nunberg & Zaenen (1992).

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5 Word senses

(24) a. I’m parked out back.

b. The ham sandwich at table seven left without paying.
c. Yeats is widely read although he has been dead for over 50 years.
d. Yeats is widely read, even though most of it is now out of print.

(25) a. # The ham sandwich at table seven was stale and left without paying.
b. # The White House needs a coat of paint but refuses to ask Congress
for the money.

We cannot pursue a detailed discussion of these issues here. It may be that

some of the examples in question are best treated in one way, and some in the
other. The different uses of animal names illustrated in (22), for example, creature
vs. meat, seem like good candidates for systematic polysemy, because they differ
in grammatical properties (mass vs. count nouns). But the non-antagonism of
the other cases seems to be a problem for the systematic polysemy analysis.

5.6 Conclusion
In this chapter we described several ways of identifying lexical ambiguity, based
on two basic facts. First, distinct senses of a single word are “antagonistic”, and as
a result only one sense is available at a time in normal usage. The incompatibility
of distinct senses can be observed in puns, in zeugma effects, and in the identity
requirements under ellipsis. Second, true ambiguity involves a difference in truth
conditions; so sentences which contain an ambiguous word can sometimes be
truly asserted under one sense of that word and denied under the other sense, in
the same context. Neither of these facts applies to vagueness or indeterminacy.
Lexical ambiguity is actually quite common, but only rarely causes confusion
between speaker and hearer. The hearer is normally able to identify the intended
sense for an ambiguous word based on the context in which it is used. Where
none of the established senses lead to a sensible interpretation in a given context,
new senses can be triggered by coercion. In Chapter 8 we will discuss some of the
pragmatic principles which guide the hearer in working out the intended sense.

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 5.6 Conclusion

Further reading

Kennedy (2011) provides an excellent overview of lexical ambiguity, inde-

terminacy, and vagueness. These issues are also addressed in Gillon (1990).
Cruse (1986: ch. 3) and (2000, ch. 6) discusses many of the issues cov-
ered in this chapter, including tests for lexical ambiguity, “antagonistic”
senses, polysemy vs. homonymy, and contextual modification of mean-
ing. Aronoff & Fudeman (2011: ch. 5) introduce some ways of describing
systematic polysemy in terms of zero-derivation.

Discussion exercises
A: State whether the italicized words illustrate ambiguity, vagueness, or
indeterminacy:
1. She spends her afternoons filing correspondence and her fingernails.
2. He spends his afternoons washing clothes and dishes.
3. He was a big baby, even though both of his parents are small.
4. The weather wasn’t very bright, but then neither was our tour guide.
5. Mr. Smith smokes expensive cigars but drives a cheap car.
6. That boy couldn’t carry a tune in a bucket.

B: In each of the following examples, state which word is ambiguous as

demonstrated by the antagonism or zeugma effect. Is it an instance of
polysemy or homonymy?

1. “You are free to execute your laws, and your citizens, as you see fit.”a
2. “… and covered themselves with dust and glory.”b
3. Arthur declined my invitation, and Susan a Latin pronoun.
4. Susan can’t bear children.

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5. The batteries were given out free of charge.

6. My astrologer wants to marry a star.

C: Figurative senses. Identify the type of figure illustrated by the itali-

cized words in the following passages:

1. Fear is the lock and laughter the key to your heart.c

2. The White House is concerned about terrorism.
3. She has six hungry mouths to feed.
4. That joke is as old as the hills.
5. It’s not the prettiest quarter I’ve ever seen, Mr. Liddell.d
6. as pleasant and relaxed as a coiled rattlesnakee
7. Headline: Korean “comfort women” get controversial apology, com-
pensation from Japanese governmentf

D: Semantic shift. Identify the figures of speech that provided the source
for the following historical shifts in word meaning:

1. bead (< ‘prayer’)

2. pastor
3. drumstick (for ‘turkey leg’)
4. glossa (Greek) ‘tongue; language’
5. pioneer (< Old French peon(ier) ‘foot-soldier’; cognate: pawn)

a StarTrek: The Next Generation, via grammar.about.com

b Mark Twain, The Adventures of Tom Sawyer
c Crosby, Stills & Nash – “Suite: Judy Blue Eyes”
d Sam Mussabini in Chariots of Fire.
e Kurt Vonnegut in Breakfast of Champions
f news.com.au, December 30, 2015

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 5.6 Conclusion

Homework exercises

A: Lexical ambiguity. Do the uses of strike in the following two sen-

tences represent distinct senses (lexical ambiguity), or just indeterminacy?
Provide linguistic evidence to support your answer.

a. The California Gold Rush began when James Marshall struck gold at
Sutter’s Mill.

b. Balaam struck his donkey three times before it turned and spoke to
him.

B: Dictionary entries. Without looking at any published dictionary, draft

a dictionary entry for mean. Include the use of mean as a noun, as an ad-
jective, and at least three senses of mean as a verb.

C: Polysemy etc.a How would you describe the relationship between

the readings of the italicized words in the following pairs of examples?
You may choose from among the following options: polysemy, homonymy,
vagueness, indeterminacy, figurative use. If none of these terms seem
appropriate, describe the sense relation in prose.

(1) a. Mary ordered an omelette.

b. The omelette at table 6 wants his coffee now.

(2) a. They led the prisoner away.

b. They led him to believe that he would be freed.

(3) a. King George III was not very intelligent and could not read
until he was eleven.
b. The squid is actually quite intelligent, for an invertebrate.

(4) a. My cousin married an actress.

b. My cousin married a policeman.

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(5) a. Could you loan me your pen? Mine is out of ink.

b. The goats escaped from their pen and ate up my artichokes.

(6) a. Wittgenstein’s Philosophical Investigations is too deep for me.

b. This river is too deep for my Land Rover to ford.

a Adapted from Cruse (2000).

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6 Lexical sense relations
6.1 Meaning relations between words
A traditional way of investigating the meaning of a word is to study the relation-
ships between its meaning and the meanings of other words: which words have
the same meaning, opposite meanings, etc. Strictly speaking these relations hold
between specific senses, rather than between words; that is why we refer to them
as sense relations. For example, one sense of mad is a synonym of angry, while
another sense is a synonym of crazy.
In §6.2 we discuss the most familiar classes of sense relations: synonymy, sev-
eral types of antonymy, hyponymy, and meronymy. We will try to define each
of these relations in terms of relations between sentence meanings, since it is eas-
ier for speakers to make reliable judgments about sentences than about words
in isolation. Where possible we will mention some types of linguistic evidence
that can be used as diagnostics to help identify each relation. In §6.3 we mention
some of the standard ways of defining words in terms of their sense relations.
This is the approach most commonly used in traditional dictionaries.

6.2 Identifying sense relations

Let’s begin by thinking about what kinds of meaning relations are likely to be
worth studying. If we are interested in the meaning of the word big, it seems
natural to look at its meaning relations with words like large, small, enormous,
etc. But comparing big with words like multilingual or extradite seems unlikely
to be very enlightening. The range of useful comparisons seems to be limited by
some concept of semantic similarity or comparability.
Syntactic relationships are also relevant. The kinds of meaning relations men-
tioned above (same meaning, opposite meaning, etc.) hold between words which
are mutually substitutable, i.e., which can occur in the same syntactic environ-
ments, as illustrated in (1a). These relations are referred to as paradigmatic
sense relations. We might also want to investigate relations which hold between
words which can occur in construction with each other, as illustrated in (1b). (In
6 Lexical sense relations

this example we see that big can modify some head nouns but not others.) These
relations are referred to as syntagmatic relations.

(1) a. Look at that big/large/small/enormous/?#discontinuous/*snore

mosquito!
b. Look at that big mosquito/elephant/?#surname/#color/*discontinuous/
*snore!

We will consider some syntagmatic relations in Chapter 7, when we discuss

selectional restrictions. In this chapter we will be primarily concerned with
paradigmatic relations.

6.2.1 Synonyms
We often speak of synonyms as being words that “mean the same thing”. As
a more rigorous definition, we will say that two words are synonymous (for
a specific sense of each word) if substituting one word for the other does not
change the meaning of a sentence. For example, we can change sentence (2a)
into sentence (2b) by replacing frightened with scared. The two sentences are
semantically equivalent (each entails the other). This shows that frightened is a
synonym of scared.

(2) a. John frightened the children.

b. John scared the children.

“Perfect” synonymy is extremely rare, and some linguists would say that it
never occurs. Even for senses that are truly equivalent in meaning, there are often
collocational differences as illustrated in (3–4). Replacing bucket with pail in (3a)
does not change meaning; but in (3b), the idiomatic meaning that is possible
with bucket is not available with pail. Replacing big with large does not change
meaning in most contexts, as illustrated in (4a); but when used as a modifier for
certain kinship terms, the two words are no longer equivalent (big becomes a
synonym of elder), as illustrated in (4b).

(3) a. John filled the bucket/pail.

b. John kicked the bucket/⁇pail.

(4) a. Susan lives in a big/large house.

b. Susan lives with her big/large sister.1
1 Adapted from Saeed (2009: 66).

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 6.2 Identifying sense relations

6.2.2 Antonyms
Antonyms are commonly defined as words with “opposite” meaning; but what
do we mean by “opposite”? We clearly do not mean ‘as different as possible’.
As noted above, the meaning of big is totally different from the meanings of
multilingual or extradite, but neither of these words is an antonym of big. When
we say that big is the opposite of small, or that dead is the opposite of alive, we
mean first that the two terms can have similar collocations. It is odd to call an
inanimate object dead, in the primary, literal sense of the word, because it is not
the kind of thing that could ever be alive. Second, we mean that the two terms
express a value of the same property or attribute. Big and small both express
degrees of size, while dead and alive both express degrees of vitality. So two
words which are antonyms actually share most of their components of meaning,
and differ only with respect to the value of one particular feature.
The term antonym actually covers several different sense relations. Some
pairs of antonyms express opposite ends of a particular scale, like big and small.
We refer to such pairs as scalar or gradable antonyms. Other pairs, like dead
and alive, express discrete values rather than points on a scale, and name the
only possible values for the relevant attribute. We refer to such pairs as simple
or complementary antonyms. Several other types of antonyms are commonly
recognized as well. We begin with simple antonyms.

6.2.2.1 Complementary pairs (simple antonyms)

“All men are created equal. Some, it appears, are created a little more equal than
others.” [Ambrose Bierce, In The San Francisco Wasp magazine, September 16, 1882]

Complementary pairs such as open/shut, alive/dead, male/female, on/off, etc.

exhaust the range of possibilities, for things that they can collocate with. There
is (normally) no middle ground; a person is either alive or dead, a switch is ei-
ther on or off, etc. The defining property of simple antonyms is that replacing
one member of the pair with the other, as in (5), produces sentences which are
contradictory. As discussed in Chapter 3, this means that the two sentences
must have opposite truth values in every circumstance; one of them must be
true and the other false in all possible situations where these words can be used
appropriately.

(5) a. The switch is on.

b. The switch is off.
c. ⁇The switch is neither on nor off.

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6 Lexical sense relations

If two sentences are contradictory, then one or the other must always be true.
This means that simple antonyms allow for no middle ground, as indicated in
(5c). The negation of one entails the truth of the other, as illustrated in (6).

(6) a. ⁇The post office is not open today, but it is not closed either.
b. ⁇Your headlights are not off, but they are not on either.

A significant challenge in identifying simple antonyms is the fact that they

are easily coerced into acting like gradable antonyms.2 For example, equal and
unequal are simple antonyms; the humor in the quote by Ambrose Bierce at
the beginning of this section arises from the way he uses equal as if it were
gradable. In a similar vein, zombies are often described as being undead, implying
that they are not dead but not really alive either. However, the gradable use of
simple antonyms is typically possible only in certain figurative or semi-idiomatic
expressions. The gradable uses in (7) seem natural, but those in (8) are not. The
sentences in (9) illustrate further contrasts. For true gradable antonyms, like
those discussed in the following section, all of these patterns would generally be
fully acceptable, not odd or humorous.

(7) a. half-dead, half-closed, half-open

b. more dead than alive
c. deader than a door nail

(8) a. ?half-alive
b. #a little too dead
c. #not dead enough
d. #How dead is that mosquito?
e. #This mosquito is deader than that one.

(9) a. I feel fully/very/⁇slightly alive.

b. This town/#mosquito seems very/slightly dead.

6.2.2.2 Gradable (scalar) antonyms

A defining property of gradable (or scalar) antonyms is that replacing one mem-
ber of such a pair with the other produces sentences which are contrary, as il-
lustrated in (10a–b). As discussed in Chapter 3, contrary sentences are sentences
which cannot both be true, though they may both be false (10c).
2 Cann (2011: 463).

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 6.2 Identifying sense relations

(10) a. My youngest son-in-law is extremely diligent.

b. My youngest son-in-law is extremely lazy.
c. My youngest son-in-law is neither extremely diligent nor extremely
lazy.

Note, however, that not all pairs of words which satisfy this criterion would
normally be called “antonyms”. The two sentences in (11) cannot both be true
(when referring to the same thing), which shows that turnip and platypus are in-
compatibles; but they are not antonyms. So our definition of gradable antonyms
needs to include the fact that, as mentioned above, they name opposite ends of
a single scale and therefore belong to the same semantic domain.

(11) a. This thing is a turnip.

b. This thing is a platypus.

The following diagnostic properties can help us to identify scalar antonyms,

and in particular to distinguish them from simple antonyms:3

a. Scalar antonyms typically have corresponding intermediate terms, e.g.

warm, tepid, cool which name points somewhere between hot and cold on
the temperature scale.

b. Scalar antonyms name values which are relative rather than absolute.
For example, a small elephant will probably be much bigger than a big
mosquito, and the temperature range we would call hot for a bath or a cup
of coffee would be very cold for a blast furnace.

c. As discussed in Chapter 5, scalar antonyms are often vague.

d. Comparative forms of scalar antonyms are completely natural (hotter,

colder, etc.), whereas they are normally much less natural with comple-
mentary antonyms, as illustrated in (8e) above.

e. The comparative forms of scalar antonyms form a converse pair (see be-
low).4 For example, A is longer than B ↔ B is shorter than A.

f. One member of a pair of scalar antonyms often has privileged status, or is

felt to be more basic, as illustrated in (12).

3 Adapted from Saeed (2009: 67); Cruse (1986: 204ff.).

4 Cruse (1986: 232).

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6 Lexical sense relations

(12) a. How old/⁇young are you?

b. How tall/⁇short are you?
c. How deep/⁇shallow is the water?

6.2.2.3 Converse pairs

Converse pairs involve words that name an asymmetric relation between two
entities, e.g. parent-child, above-below, employer-employee.5 The relation must be
asymmetric or there would be no pair; symmetric relations like equal or resemble
are (in a sense) their own converses. The two members of a converse pair express
the same basic relation, with the positions of the two arguments reversed. If we
replace one member of a converse pair with the other, and also reverse the order
of the arguments, as in (13–14), we produce sentences which are semantically
equivalent (paraphrases).

(13) a. Michael is my advisor.

b. I am Michael’s advisee.

(14) OWN(x,y) ↔ BELONG_TO(y,x)

ABOVE(x,y) ↔ BELOW(y,x)
PARENT_OF(x,y) ↔ CHILD_OF(y,x)

6.2.2.4 Reverse pairs

Two words (normally verbs) are called reverses if they “denote motion or change
in opposite directions… [I]n addition… they should differ only in respect of direc-
tionality” (Cruse 1986: 226). Examples include push/pull, come/go, fill/empty, heat/
cool, strengthen/weaken, etc. Cruse notes that some pairs of this type (but not all)
allow an interesting use of again, as illustrated in (15). In these sentences, again
does not mean that the action named by the second verb is repeated (repetitive
reading), but rather that the situation is restored to its original state (restitutive
reading).

(15) a. The nurse heated the instruments to sterilize them, and then cooled
them again.
b. George filled the tank with water, and then emptied it again.

5 Cruse (1986: 231) refers to such pairs as relational opposites.

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 6.2 Identifying sense relations

6.2.3 Hyponymy and taxonomy

When two words stand in a generic-specific relationship, we refer to the more
specific term (e.g. moose) as the hyponym and to the more generic term (e.g.
mammal) as the superordinate or hyperonym. A generic-specific relationship
can be defined by saying that a simple positive non-quantified statement involv-
ing the hyponym will entail the same statement involving the superordinate, as
illustrated in (16). (In each example, the hyponym and superordinate term are set
in boldface.) We need to specify that the statement is positive, because negation
reverses the direction of the entailments (17).

(16) a. Seabiscuit was a stallion entails: Seabiscuit was a horse.

b. Fred stole my bicycle entails: Fred took my bicycle.
c. John assassinated the Mayor entails: John killed the Mayor.
d. Arthur looks like a squirrel entails: Arthur looks like a rodent.
e. This pot is made of copper entails: This pot is made of metal.

(17) a. Seabiscuit was not a horse entails: Seabiscuit was not a stallion.
b. John did not kill the Mayor entails: John did not assassinate the
Mayor.
c. This pot is not made of metal entails: This pot is not made of copper.

Taxonomy is a special type of hyponymy, a classifying relation. Cruse (1986:

137) suggests the following diagnostic: X is a taxonym of Y if it is natural to say
An X is a kind/type of Y. Examples of taxonomy are presented in (18a–b), while
the examples in (18c–d) show that other hyponyms are not fully natural in this
pattern. (The word taxonymy is also used to refer to a generic-specific hierarchy,
or system of classification.)

(18) a. A beagle is a kind of dog.

b. Gold is a type of metal.
c. ?A stallion is a kind of horse.
d. ⁇Sunday is a kind of day of the week.

Taxonomic sisters are taxonyms which share the same superordinate term,
such as squirrel and mouse which are both hyponyms of rodent.6 Taxonomic

6 More general labels for hyponyms of the same superordinate term, whether or not they are
part of a taxonomy, include hyponymic sisters and cohyponyms.

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6 Lexical sense relations

sisters must be incompatible, in the sense defined above; for example, a single
animal cannot be both a squirrel and a mouse. But that property alone does not
distinguish taxonomy from other types of hyponymy. Taxonomic sisters occur
naturally in sentences like the following:

(19) a. A beagle is a kind of dog, and so is a Great Dane.

b. Gold is a type of metal, and copper is another type of metal.

Cruse notes that taxonomy often involves terms that name natural kinds
(e.g., names of species, substances, etc.). Natural kind terms cannot easily be
paraphrased by a superordinate term plus modifier, as many other words can
(see §3 below):

(20) a. “Stallion” means a male horse.

b. “Sunday” means the first day of the week.
c. ⁇“Beagle” means a dog.
d. ⁇“Gold” means a metal.
e. ⁇“Dog” means a animal.

We must remember that semantic analysis is concerned with properties of the

object language, rather than scientific knowledge. The taxonomies revealed by
linguistic evidence may not always match standard scientific classifications. For
example, the authoritative Kamus Dewan (a Malay dictionary published by the
national language bureau in Kuala Lumpur) gives the following definition for
labah-labah ‘spider’:

(21) labah-labah: sejenis serangga yang berkaki lapan

‘spider: a kind of insect that has eight legs’

This definition provides evidence that in Malay, labah-labah ‘spider’ is a tax-

onym of serangga ‘insect’, even though standard zoological classifications do not
classify spiders as insects. (Thought question: does this mean that serangga is
not an accurate translation equivalent for the English word insect?)
Similar examples can be found in many different languages. For example, in
Tuvaluan (a Polynesian language), the words for ‘turtle’ and ‘dolphin/whale’ are
taxonyms of ika ‘fish’.7 The fact that turtles, dolphins and whales are not zoo-
logically classified as fish is irrelevant to our analysis of the lexical structure of
Tuvaluan.
7 Finegan (1999: 192).

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 6.3 Defining words in terms of sense relations

6.2.4 Meronymy
A meronymy is a pair of words expressing a part-whole relationship. The word
naming the part is called the meronym. For example, hand, brain and eye are all
meronyms of body; door, roof and kitchen are all meronyms of house; etc.
Once again, it is important to remember that when we study patterns of mero-
nymy, we are studying the structure of the lexicon, i.e., relations between words
and not between the things named by the words. One linguistic test for identify-
ing meronymy is the naturalness of sentences like the following: The parts of an
X include the Y, the Z, … (Cruse 1986: 161).
A meronym is a name for a part, and not merely a piece, of a larger whole.
Human languages have many words that name parts of things, but few words
that name pieces. Cruse (1986: 158–159) lists three differences between parts and
pieces. First, a part has autonomous identity: many shops sell automobile parts
which have never been structurally integrated into an actual car. A piece of a car,
on the other hand, must have come from a complete car. (Few shops sell pieces
of automobile.) Second, the boundaries of a part are motivated by some kind of
natural boundary or discontinuity — potential for separation or motion relative
to neighboring parts, joints (e.g. in the body), difference in material, narrowing
of connection to the whole, etc. The boundaries of a piece are arbitrary. Third,
a part typically has a definite function relative to the whole, whereas this is not
true for pieces.

6.3 Defining words in terms of sense relations

Traditional ways of defining words depend heavily on the use of sense relations;
hyponymy has played an especially important role. The classical form of a defini-
tion, going back at least to Aristotle (384–322 BC), is a kind of phrasal synonym;
that is, a phrase which is mutually substitutable with the word being defined
(same syntactic distribution) and equivalent or nearly equivalent in meaning.
The standard way of creating a definition is to start with the nearest superor-
dinate term for the word being defined (traditionally called the genus proximum),
and then add one or more modifiers (traditionally called the differentia specifica)
which will unambiguously distinguish this word from its hyponymic sisters. So,
for example, we might define ewe as ‘an adult female sheep’; sheep is the superor-
dinate term, while adult and female are modifiers which distinguish ewes from
other kinds of sheep.

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6 Lexical sense relations

This structure can be further illustrated with the following well-known defini-
tion by Samuel Johnson (1709–1784), himself a famous lexicographer. It actually
consists of two parallel definitions; the superordinate term in the first is writer,
and in the second drudge. The remainder of each definition provides the modi-
fiers which distinguish lexicographers from other kinds of writers or drudges.

(22) Lexicographer: A writer of dictionaries; a harmless drudge that busies

himself in tracing the [origin], and detailing the signification of words.

Some additional examples are presented in (23). In each definition the super-
ordinate term is bolded while the distinguishing modifiers are placed in square
brackets.

(23) a. fir (N): a kind of tree [with evergreen needles].8

b. rectangle (N): a [right-angled] quadrilateral.9
c. clean (Adj): free [from dirt].10

However, as a number of authors have pointed out, many words cannot easily
be defined in this way. In such cases, one common alternative is to define a word
by using synonyms (24a–b) or antonyms (24c–d).

(24) a. grumpy: moodily cross; surly.11

b. sad: affected with or expressive of grief or unhappiness.12
c. free: not controlled by obligation or the will of another;
not bound, fastened, or attached.13
d. pure: not mixed or adulterated with any other substance or material.14

Another common type of definition is the extensional definition. This defi-

nition spells out the denotation of the word rather than its sense as in a normal
definition. This type is illustrated in (25).

(25) Definitions from Merriam-Webster on-line dictionary:

8 Hartmann & James (1998: 62).

9 Svensén (2009: 219).
10 Svensén (2009: 219).
11 http://www.merriam-webster.com/dictionary/
12 http://www.merriam-webster.com/dictionary/
13 http://www.thefreedictionary.com/free
14 http://oxforddictionaries.com/us/definition/american_english/pure

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 6.4 Conclusion

a. New England: the NE United States comprising the states of Maine,

New Hampshire, Vermont, Massachusetts, Rhode Island, &
Connecticut
b. cat: any of a family (Felidae) of carnivorous, usually solitary and
nocturnal, mammals (as the domestic cat, lion, tiger, leopard, jaguar,
cougar, wildcat, lynx, and cheetah)

Some newer dictionaries, notably the COBUILD dictionary, make use of full
sentence definitions rather than phrasal synonyms, as illustrated in (26).

(26) confidential: Information that is confidential is meant to be kept secret or

private.15

6.4 Conclusion
In this chapter we have mentioned only the most commonly used sense rela-
tions (some authors have found it helpful to refer to dozens of others). We have
illustrated various diagnostic tests for identifying sense relations, many of them
involving entailment or other meaning relations between sentences. Studying
these sense relations provides a useful tool for probing the meaning of a word,
and for constructing dictionary definitions of words.

Further reading

Cruse (1986: chapters 4–12) offers a detailed discussion of each of the

sense relations mentioned in this chapter. Cann (2011) provides a helpful
overview of the subject.

15 COBUILD dictionary, 3rd edition (2001); cited in Rundell (2006).

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6 Lexical sense relations

Discussion exercises
Identify the meaning relations for the following pairs of words, and pro-
vide linguistic evidence that supports your identification:
a. sharp dull e. hyponym hyperonym
b. finite infinite f. silver metal
c. two too g. insert extract
d. arm leg

Homework exercises

Antonyms.a Below is a list of incompatible pairs. (i) Classify each pair

into one of the following types of relation: simple antonyms, gradable
antonyms, reverses, converses, or taxonomic sisters. (ii) For each pair,
provide at least one type of linguistic evidence (e.g. example sentences)
that supports your decision, and where possible mention other types of
evidence that would lend additional support.

a. legal illegal e. lend to borrow from

b. fat thin f. lucky unlucky
c. raise lower g. married unmarried
d. wine beer
a Adapted from Saeed (2009: 82), ex. 3.4.

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7 Components of lexical meaning
7.1 Introduction
The traditional model of writing definitions for words, which we discussed in
Chapter 6, seems to assume that word meanings can (in many cases) be broken
down into smaller elements of meaning.1 For example, we defined ewe as ‘an
adult female sheep’, which seems to suggest that the meanings of the words sheep,
adult, and female are included in the meaning of ewe.2 In fact, if the phrase ‘adult
female sheep’ is really a synonym for ewe, one might say that the meaning of ewe
is simply the combination of the meanings of sheep, adult, and female. Another
way to express this intuition is to say that the meanings of sheep, adult, and
female are components of the meaning of ewe.
In this chapter we introduce some basic ideas about how to identify and repre-
sent a word’s components of meaning. Most components of meaning can be
viewed as entailments or presuppositions which the word contributes to the
meaning of a sentence in which it occurs. We discuss lexical entailments in §7.2
and selectional restrictions in §7.3. Selectional restrictions are constraints on
word combinations which rule out collocations such as #Assassinate that cock-
roach! or #This cabbage is nervous, and we will treat them as a type of presuppo-
sition.
In §7.4 we summarize one influential approach to word meanings, in which
components of meaning were represented as binary distinctive features. We will
briefly discuss the advantages and limitations of this approach, which is no longer
widely used. In §7.5 we introduce some of the foundational work on the meanings
of verbs.

1 Engelberg (2011: 126).

2 Svensén (2009: 218), in his Handbook of Lexicography, identifies such intensional definitions
as “the classic type of definition”. He explicitly defines intension (i.e. sense) in terms of com-
ponents of meaning: “The term intension denotes the content of the concept, which can
be defined as the combination of the distinctive features comprised by the concept.” Svensén
seems to have in mind the representation of components of word meaning as binary distinctive
features, the approach discussed in §7.4 below.
7 Components of lexical meaning

Our study of the components of word meanings will primarily be based on

evidence from sentence meanings, for reasons discussed in earlier chapters. We
focus here on descriptive meaning. Of course, words can also convey various
kinds of expressive (or affective) meaning, signaling varying degrees of po-
liteness, intimacy, formality, vulgarity, speaker’s attitudes, etc., but we will not
attempt to deal with these issues in the current chapter.

7.2 Lexical entailments

When people talk about the meaning of one word (e.g. sheep) being “part of”,
or “contained in”, the meaning of some other word (e.g. ewe), they are gener-
ally describing a lexical entailment. Strictly speaking, of course, entailment is a
meaning relation between propositions or sentences, not words. When we speak
of “lexical entailments”, we mean that the meaning relation between two words
creates an entailment relation between sentences that contain those words. This
is illustrated in (1–4). In each pair of sentences, the (a) sentence entails the (b)
sentence because the meaning of the italicized word in the (b) sentence is part
of, or is contained in, the meaning of the italicized word in the (a) sentence. We
can say that ewe lexically entails sheep, assassinate lexically entails kill, etc.

(1) a. John assassinated the Mayor.

b. John killed the Mayor.

(2) a. John is a bachelor.

b. John is unmarried.

(3) a. John stole my bicycle.

b. John took my bicycle.

(4) a. Fido is a dog.

b. Fido is an animal.

These intuitive judgments about lexical entailments can be supported by ad-

ditional linguistic evidence. Speakers of English feel sentences like (5), which
explicitly describe the entailment relation, to be natural. Sentences like (6), how-
ever, which seem to cast doubt on the entailment relation, are unnatural or inco-
herent:3

3 Examples from Cruse (1986: 14).

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 7.3 Selectional restrictions

(5) a. It can’t possibly be a dog and not an animal.

b. It’s a dog and therefore it’s an animal.
c. If it’s not an animal, then it follows that it’s not a dog.

(6) a. #It’s not an animal, but it’s just possible that it’s a dog.
b. #It’s a dog, so it might be an animal.

Cruse (1986: 12) mentions several additional tests for entailments which can
be applied here, including the following:

(7) Denying the entailed component leads to contradiction:

a. #John killed the Mayor but the Mayor did not die.
b. #It’s a dog but it’s not an animal.
c. #John is a bachelor but he is happily married.
d. #The child fell upwards.

(8) Asserting the entailed component leads to unnatural redundancy (or

pleonasm):
a. #It’s a dog and it’s an animal.
b. ⁇Kick it with one of your feet. (Cruse 1986: 12)
c. ⁇He was murdered illegally. (Cruse 1986: 12)

7.3 Selectional restrictions

In addition to lexical entailments, another important aspect of word meanings
has to do with constraints on specific word combinations. These constraints are
referred to as selectional restrictions. The sentences in (9) all seem quite odd,
not really acceptable except as a kind of joke, because they violate selectional
restrictions.

(9) a. #This sausage doesn’t appreciate Mozart.

b. #John drank his sandwich and took a big bite out of his coffee.
c. #Susan folded/perforated/caramelized her reputation.
d. #Your exam results are sleeping.
e. #The square root of oatmeal is Houston.
f. My Feet Are Smiling (title of guitarist Leo Kottke’s sixth album)

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7 Components of lexical meaning

g. “They’ve a temper, some of them — particularly verbs: they’re the

proudest…” [Humpty Dumpty, in Through the Looking Glass]

As we noted in (7), denying an entailment leads to a contradiction. In contrast,

violations of selectional restrictions like those in (9) lead to dissonance rather
than contradiction.4 Chomsky (1965: 95) proposed that selectional restrictions
were triggered by syntactic properties of words, but McCawley, Lakoff and other
authors have argued that they derive from word meanings. If they were purely
syntactic, they should hold even in contexts like those in (10). The fact that these
sentences are acceptable suggests that the constraints are semantic rather than
syntactic in nature.

(10) a. He’s become irrational – he thinks his exam results are sleeping.
b. You can’t say that John drank his sandwich.

The lexical entailments of words which occur in questions or negated state-

ments can often be denied without contradiction, as illustrated in (11). Selectional
restrictions, in contrast, hold even in questions, negative statements, and other
non-assertive environments (12). This suggests that they are a special type of
presupposition, and we will assume that this is the case.5

(11) a. John didn’t kill the Mayor; the Mayor is not even dead.
b. Is that a dog, or even an animal?
c. John is not a bachelor, he is happily married.
d. The snowflake did not fall, it floated upwards.

(12) a. #Did John drink his sandwich?

b. #John didn’t drink his sandwich; maybe he doesn’t like liverwurst.
c. #Are your exam results sleeping?
d. #My feet aren’t smiling.

Selectional restrictions are part of the meanings of specific words; that is, they
are linguistic in nature, rather than simply facts about the world. Cruse (1986: 21)
points out that hearers typically express astonishment or disbelief on hearing a
4 Such violations are sometimes called “category mistakes”, or “sortal errors”, especially in philo-
sophical literature.
5 The idea that selectional restrictions can be treated as lexical presuppositions was apparently
first proposed by Fillmore, but was first published by McCawley (1968).

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 7.3 Selectional restrictions

statement that is improbable, given what we know about the world (13–14). This
is quite different from hearers’ reactions to violations of selectional restrictions
like those in (9). Those sentences are linguistically unacceptable, and hearers are
more likely to respond, “You can’t say that.”

(13) A: Our kitten drank a bottle of claret.

B: No! Really? (Cruse 1986: 21)

(14) a. A: I know an old woman who swallowed a goat/cow/bulldozer.

B: That’s impossible!
b. #I know an old woman who swallowed a participle/prime number.

It is fairly common for words with the same basic entailments to differ with
respect to their selectional restrictions. German has two words corresponding
to the English word eat: essen for people and fressen for animals. (One might
use fressen to insult or tease someone — basically saying they eat like an animal.)
In a Kimaragang6 version of the Christmas story, the translator used the word
paalansayad to render the phrase which is expressed in the King James Bible as
great with child. This word correctly expresses the idea that Mary was in a very
advanced stage of pregnancy when she arrived in Bethlehem; but another term
had to be found when someone pointed out that paalansayad is normally used
only for water buffalo and certain other kinds of livestock.
It is sometimes helpful to distinguish selectional restrictions (a type of presup-
position triggered by specific words, as discussed above) from collocational
restrictions.7 Collocational restrictions are conventionalized patterns of com-
bining two or more words. They reflect common ways of speaking, or “normal”
usage, within the speech community. Some examples of collocational restrictions
are presented in (15).

(15) a. John died/passed away/kicked the bucket.

b. My prize rose bush died/#passed away/#kicked the bucket.
c. When we’re feeling under the weather, most of us welcome
a big/#large hug.

6 An Austronesian language of northern Borneo.

7 We follow the terminology of Cruse (1986: 107, 279–280) here. Not everyone makes this dis-
tinction. In some work on translation principles, e.g. Beekman & Callow (1974), a violation of
either type is referred to as a collocational clash.

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7 Components of lexical meaning

d. He is (stark) raving mad/#crazy.8

e. dirty/#unclean joke
f. unclean/#dirty spirit

Violations of a collocational restriction are felt to be odd or unnatural, but

they can typically be repaired by replacing one of the words with a synonym,
suggesting that collocational restrictions are not, strictly speaking, due to lexical
meaning per se.

7.4 Componential analysis

Many different theories have been proposed for representing components of lex-
ical meaning. All of them aim to develop a formal representation of meaning
components which will allow us to account for semantic properties of words,
such as their sense relations, and perhaps some syntactic properties as well.
One very influential approach during the middle of the 20th century was to
treat word meanings as bundles of distinctive semantic features, in much the
same way that phonemes are defined in terms of distinctive phonetic/phonologi-
cal features.9 This approach is sometimes referred to as componential analysis
of meaning. Some of the motivation for this approach can be seen in the follow-
ing famous example from Hjelmslev (1953[1943]). The example makes it clear
that the feature of gender is an aspect of meaning that distinguishes many pairs
of lexical items within certain semantic domains. If we were to ignore this fact
and just treat each word’s meaning as an atom (i.e., an unanalyzable unit), we
would be missing a significant generalization.

(16)
horse human child sheep
“he” stallion man boy ram
“she” mare woman girl ewe

Features like gender and adulthood are binary, and so lend themselves to rep-
resentation in either tree or matrix format, as illustrated in (17). Notice that in
addition to the values + and –, features may be unspecified (represented by ⌀ in
the matrix). For example, the word foal is unspecified for gender, and the word
horse is unspecified for both age and gender.
8 Jim Roberts, p.c.
9 One early example of this approach is found in Nida (1951).

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 7.4 Componential analysis

(17) Binary feature analysis for horse terms:

horse
[+A] [-A]
[adult] [male]
horse ⌀ ⌀ ⁇ foal
[+M] [−M] [+M] [−M]
stallion + +
mare + –
stallion mare colt filly
foal – ⌀
colt – +
filly – –

(18) Binary feature analysis for human terms:

[adult] [male]
man1 /human ⌀ ⌀
man2 + +
woman + –
child – ⌀
boy – +
girl – –

Componential analysis provides neat explanations for some sense relations.

Synonymous senses can be represented as pairs that share all the same compo-
nents of meaning. Complementary pairs are perfectly modeled by binary fea-
tures: the two elements differ only in the polarity for one feature, e.g. [+/– alive],
[+/– awake], [+/– possible], [+/– legal], etc. The semantic components of a hyper-
onym (e.g. child [+human, –adult]) are a proper subset of the semantic compo-
nents of its hyponyms (e.g. boy [+human, –adult, +male]); girl [+human, –adult,
–male])). In other words, each hyponym contains all the semantic components
of the hyperonym plus at least one more; and these “extra” components are the
ones that distinguish the meanings of taxonomic sisters. Reverse pairs might be
treated in a way somewhat similar to complementary pairs; they differ in pre-
cisely one component of meaning, typically a direction, with the dimension and
manner of motion and the reference point held steady.
On the other hand, it is not so easy to define gradable antonyms, converse
pairs, or meronyms in this way. Moreover, while many of the benefits of this kind

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7 Components of lexical meaning

of componential analysis are shared by other approaches, a number of problems

have been pointed out which are specific to the binary feature approach.10
First, there are many lexical distinctions which do not seem to be easily ex-
pressible in terms of binary features, at least not in any plausible way. Species
names, for example, are a well-known challenge to this approach. What features
distinguish members of the cat family (lion, tiger, leopard, jaguar, cougar, wild-
cat, lynx, cheetah, etc.) from each other? Similar issues arise with color terms,
types of metal, etc. In order to deal with such cases, it seems that the number of
features would need to be almost as great as the number of lexical items.
Second, it is not clear how to use simple binary features to represent the mean-
ings of two-place predicates, such as recognize, offend, mother (of), etc. The word
recognize entails a change of state in the first argument, while the word offend
entails a change of state in the second argument. A simple feature matrix like
those above cannot specify which argument a particular feature applies to.
Third, some word meanings cannot be adequately represented as an unordered
bundle of features, whether binary or not. For example, many studies have been
done concerning the semantic components of kinship terms in various languages.
This is one domain in which the components need to be ordered or structured
in some way; ‘mother’s brother’s spouse’ (one sense of aunt in English) would
probably not, in most languages, be called by the same term as ‘spouse’s mother’s
brother’ (no English term available). Verb meanings also seem to require struc-
tured components. For example, ‘want to cause to die’ (part of the meaning of
murderous) is quite different from ‘cause to want to die’ (similar to one sense of
mortify).
Fourth, we need to ask how many features would be needed to describe the
entire lexicon of a single language? Binary feature analysis can be very efficient
within certain restricted semantic domains, but when we try to compare a wider
range of words, it is not clear that the inventory of features could be much smaller
than the lexicon itself.

7.5 Verb meanings

Much of the recent research on lexical semantics has focused on verb meanings.
One reason for this special interest in verbs is the fact that verb meanings have
a direct influence on syntactic structure, and so syntactic evidence can be used
to supplement traditional semantic methods.

10 The following discussion is based on Engelberg (2011: 129–130); Lyons (1977: 317ff.).

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 7.5 Verb meanings

A classic paper by Charles Fillmore (1970) distinguishes two classes of transi-

tive verbs in English: “surface contact” verbs (e.g., hit, slap, strike, bump, stroke)
vs. “change of state” verbs (e.g., break, bend, fold, shatter, crack). Fillmore shows
that the members of each class share certain syntactic and semantic properties
which distinguish them from members of the other class. He further argues that
the correlation between these syntactic and semantic properties supports a view
of lexical semantics under which the meaning of a verb is made up of two kinds
of elements: (a) systematic components of meaning that are shared by an en-
tire class; and (b) idiosyncratic components that are specific to the individual
root. Only the former are assumed to have syntactic effects. This basic insight
has been foundational for a large body of subsequent work in the area of verbal
semantics.
Fillmore begins by using syntactic criteria to distinguish the two classes, which
we will refer to for convenience as the hit class vs. the break class. Subsequent
research has identified additional criteria for making this distinction. One of
the best-known tests is the causative-inchoative alternation.11 Break verbs
generally exhibit systematic polysemy between a transitive and an intransitive
sense. The intransitive sense has an inchoative (change of state) meaning while
the transitive sense has a causative meaning (19). As illustrated in (20), hit verbs
do not permit this alternation, and often lack intransitive senses altogether.

(19) a. John broke the window (with a rock).

b. The window broke.

(20) a. John hit the tree (with a stick).

b. * The tree hit.

Additional tests include “body-part possessor ascension” (21–22),12 the cona-

tive alternation (23–24),13 and the middle alternation (25).14 Each of these tests
demonstrates a difference between the two classes in terms of the potential syn-
tactic functions (subject, direct object, oblique argument, or unexpressed) of the
agent and patient.

(21) a. I {hit/slapped/struck} his leg.

b. I {hit/slapped/struck} him on the leg.
11 Fillmore (1970: 122–123).
12 Fillmore (1970: 126).
13 Guerssel et al. (1985); Levin (1993).
14 Fillmore (1977); Hale & Keyser (1987); Levin (1993).

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7 Components of lexical meaning

(22) a. I {broke/bent/shattered} his leg.

b. * I {broke/bent/shattered} him on the leg.

(23) a. Mary hit the piñata.

b. Mary hit at the piñata.
c. I slapped the mosquito.
d. I slapped at the mosquito.

(24) a. Mary broke the piñata.

b. * Mary broke at the piñata.
c. I cracked the mirror.
d. * I cracked at the mirror.

(25) a. This glass breaks easily.

b. * This fence hits easily.

These various syntactic tests (and others not mentioned here) show a high de-
gree of convergence; that is, the class of break verbs identified by any one test
matches very closely the class of break verbs identified by the other tests. This
convergence strongly supports the claim that the members of each class share
certain properties in common. Fillmore (1970: 125) suggests that these shared
properties are semantic components: “change of state” in the case of the break
verbs and “surface contact” in the case of the hit verbs. Crucially, he provides
independent semantic evidence for this claim, specifically evidence that break
verbs do but hit verbs do not entail a change of state (26).15 Sentence (26a) is lin-
guistically acceptable, although surprising based on our knowledge of the world,
while (26b) is a contradiction. Example (27) presents similar evidence for the
entailment of “surface contact” in the case of the hit verbs.

(26) a. I hit the window with a hammer; it didn’t faze the window,
but the hammer shattered.
b. * I broke the window with a hammer; it didn’t faze the window,
but the hammer shattered.

(27) a. * I hit the window without touching it.

b. I broke the window without touching it.

15 Fillmore (1970: 125).

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 7.5 Verb meanings

Without this kind of direct semantic evidence, there is a great danger of falling
into circular reasoning, e.g.: break verbs permit the causative-inchoative alter-
nation because they contain the component “change of state”, and we know
they contain the component “change of state” because they permit the causative-
inchoative alternation. As many linguists have learned to our sorrow, it is all too
easy to fall into this kind of trap.
While break verbs (e.g., break, bend, fold, shatter, crack) all share the “change
of state” component, they do not all mean the same thing. Each of these verbs
has aspects of meaning which distinguish it from all the other members of the
class, such as the specific nature of the change and selectional restrictions on the
object/patient. Fillmore (1970: 131) suggests that only the shared component of
meaning has syntactic consequences; the idiosyncratic aspects of meaning that
distinguish one break verb from another do not affect the grammatical realization
of arguments.
Levin (1993) builds on and extends Fillmore’s study of verb classes in English.
In her introduction she compares the break and hit verbs with two additional
classes, touch verbs (touch, pat, stroke, tickle, etc.) and cut verbs (cut, hack, saw,
scratch, slash, etc.). Using just three of the diagnostic tests discussed above, she
shows that each of these classes has a distinctive pattern of syntactic behavior,
as summarized in (28). The examples in (29–31) illustrate the behavior of touch
verbs and cut verbs.16

(28) English transitive verb classes17

touch verbs hit verbs cut verbs break verbs
body-part yes yes yes no
possessor
ascension
conative no yes yes no
alternation
middle no no yes yes

(29) body-part possessor ascension:

a. I touched Bill’s shoulder.
b. I touched Bill on the shoulder.
16 Examples adapted from Levin (1993: 6–7).
17 Levin (1993: 8)

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7 Components of lexical meaning

c. I cut Bill’s arm.

d. I cut Bill on the arm.
(30) conative alternation:
a. Terry touched the cat.
b. * Terry touched at the cat.
c. Margaret cut the rope.
d. Margaret cut at the rope.
(31) middle:
a. The bread cuts easily.
b. * Cats touch easily.
Levin proposes the following explanation for these observations. Body-part
possessor ascension is possible only for verb classes which share the surface
contact component of meaning. The conative alternation is possible only for
verb classes whose meanings include both contact and motion. The middle con-
struction is possible only for transitive verb classes whose meanings include a
caused change of state. The four classes pattern differently with respect to these
tests because each of the four has a distinctive set of meaning components, as
summarized in (32).
(32) Shared components of meaning18
touch verbs contact
hit verbs motion, contact
cut verbs motion, contact, change
break verbs change
These verb classes have been found to be grammatically relevant in other lan-
guages as well. Levin (2015) cites the following examples: DeLancey (1995; 2000)
on Lhasa Tibetan; Guerssel et al. (1985) on Berber, Warlpiri, and Winnebago;
Kroeger (2010) on Kimaragang Dusun; Vogel (2005) on Jarawara.
In the remainder of her book, Levin (1993) identifies 192 classes of English
verbs, using 79 diagnostic patterns of diathesis alternations (changes in the way
that arguments are expressed syntactically). She shows that these verb classes
are supported by a very impressive body of evidence. However, she states that
establishing these classes is only a means to an end; the real goal is to understand
meaning components:
18 Adapted from Saeed (2009: 268).

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 7.6 Conclusion

[T]here is a sense in which the notion of verb class is an artificial construct.

Verb classes arise because a set of verbs with one or more shared meaning
components show similar behavior… The important theoretical construct is
the notion of meaning component, not the notion of verb class.19

Like Fillmore, Levin argues that not all meaning components are grammat-
ically relevant, but only those which define class membership. The aspects of
meaning that distinguish one verb from another within the same class (e.g. punch
vs. slap) are idiosyncratic, and do not affect syntactic behavior. Evidence from
diathesis alternations can help us determine the systematic, class-defining mean-
ing components, but will not provide an analysis for the idiosyncratic aspects of
the meaning of a particular verb.
As noted above, verb meanings cannot be represented as an unordered bun-
dle of components, but must be structured in some way. One popular method,
referred to as lexical decomposition, is illustrated in (33). This formula was
proposed by Rappaport Hovav & Levin (1998: 109) as a partial representation of
the systematic components of meaning for verbs like break. In this formula, x
represents the agent and y the patient. The idiosyncratic aspects of meaning for
a particular verb root would be associated with the state predicate (e.g. broken,
split, etc.).

(33) [[x ACT] CAUSE [BECOME [y <state> ]]]

7.6 Conclusion
The idea that verb meanings may consist of two distinct parts, a systematic, class-
defining part vs. an idiosyncratic, verb-specific part, is similar to proposals that
have been made for content words in general. Fillmore (1970: 131) notes that a
very similar idea is found in the general theory of word meaning proposed by
Katz & Fodor (1963). These authors suggest that word meanings are made up of
systematic components of meaning, which they refer to as semantic markers,
plus an idiosyncratic residue which they refer to as the distinguisher.
This proposal is controversial, but there do seem to be some good reasons
to distinguish systematic vs. idiosyncratic aspects of meaning. As we have seen,
Fillmore and Levin demonstrate that certain rules of syntax are sensitive to some
components of meaning but not others, and that the grammatically relevant com-
ponents are shared by whole classes of verbs. Additional motivation for making
19 Levin (1993: 9–10).

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7 Components of lexical meaning

this distinction comes from the existence of systematic polysemy. It seems logical
to expect that rules of systematic polysemy must be stated in terms of systematic
aspects of meaning.
However, there is no general consensus as to what the systematic aspects of
meaning are, or how they should be represented.20 Some scholars even deny
that components of meaning exist, arguing that word meanings are atoms, in
the sense defined in §7.4.21 Under this “atomic” view of word meanings, lexical
entailments might be expressed in the form of meaning postulates like the
following:

(34) ∀x[STALLION(x) → MALE(x)]

∀x[BACHELOR(x) → ¬MARRIED(x)]

Many scholars do believe that word meanings are built up in some way from
smaller elements of meaning. However, a great deal of work remains to be done
in determining what those smaller elements are, and how they are combined.

Further reading

Engelberg (2011) provides a good overview of the various approaches to

and controversies about lexical decomposition and componential analysis.
Lyons (1977: 317ff.) discusses some of the problems with the binary feature
approach to componential analysis. The first chapter of Levin (1993) gives
a very good introduction to the Fillmore-type analysis of verb classes and
what they can tell us about verb meanings, and Levin (2015) presents an
updated cross-linguistic survey of the topic.

20 For one influential proposal, see Pustejovsky (1995).

21 E.g. Fodor (1975) and subsequent work.

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 7.6 Conclusion

Discussion exercises
A. Componential analysis of meaning. Construct a table of semantic
components, represented as binary features, for each of the following sets
of words:
1. bachelor, spinster, widow, widower, husband, wife, boy, girl
2. walk, run, march, limp, stroll
3. cup, glass, mug, tumbler, chalice, goblet, stein

B. Locative-alternation (“spray-load”) verbs.a Based on the following

examples, fill in the table below to show which verbs allow the goal or
location argument to be expressed as direct object and which verbs allow
the displaced theme argument to be expressed as direct object. Try to for-
mulate an analysis in terms of meaning components to account for the
patterns you find in the data.

(1) a. Jack sprayed paint on the wall.

b. Jack sprayed the wall with paint.

(2) a. Bill loaded the cart with apples.

b. Bill loaded the apples onto the cart.

(3) a. William filled his mug with guava juice.

b. * William filled guava juice into his mug.

(4) a. *William poured his mug with guava juice.

b. William poured guava juice into his mug.

(5) a. Ailbhe pushed the bicycle into the shed.

b. #Ailbhe pushed the shed with the bicycle. [different meaning]

(6) a. Harvey pulled me onto the stage.

b. #Harvey pulled the stage with me. [different meaning]

(7) a. Libby coated the chicken with oil.

b. ?*Libby coated the oil onto the chicken.

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7 Components of lexical meaning

(8) a. Mike covered the ceiling with paint.

b. * Mike covered the paint onto the ceiling.

Verb Theme = object Location = object

fill no yes
load
spray
cover
coat
pour
push
pull

a Adapted from Saeed (2009), ch. 9.

Homework exercises

Causative/ inchoative alternation.a Rappaport Hovav & Levin (1998:

102–105) propose a semantic explanation for why some change of state
verbs participate in the causative/ inchoative alternation (John broke
the window vs. the window broke), while others do not. They suggest that
verbs which name events that must involve an animate, intentional and
volitional agent never appear in the intransitive form. This hypothesis
predicts that only (but not necessarily all) verbs which allow an inanimate
force as subject should participate in the alternation, as illustrated in (a–b).
Your tasks: (i) construct examples like those in (a–b) to test this prediction

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 7.6 Conclusion

for the following verbs, and explain what your examples show us about
the hypothesis: melt, write, shrink, destroy; (ii) Use Levin & Rappaport Ho-
vav’s hypothesis to explain the contrasts in sentences (c–d).
a. A terrorist/*tornado assassinated the governor.
*The governor assassinated.

b. The storm broke all the windows in my office.

All the windows in my office broke.

c. The sky/*table cleared.

d. Paul’s window/*contract/*promise broke.

a Adapted from Saeed (2009: 298), ex. 9.3.

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 Unit III

Implicature
8 Grice’s theory of Implicature
8.1 Sometimes we mean more than we say
The story in (1) concerns a ship’s captain and his first mate (second in command):
(1) The Story of the Mate and the Captain (Meibauer 2005, adapted from
Posner 1980)
A captain and his mate have a long-term quarrel. The mate drinks
more rum than is good for him, and the captain is determined not to
tolerate this behaviour any longer. When the mate is drunk again,
the captain writes in the logbook: “Today, 11th October, the mate is
drunk.” When the mate reads this entry during his next watch, he
gets angry. Then, after a short moment of reflection, he writes in the
logbook: “Today, 14th October, the captain is not drunk.”
The mate’s log entry communicates something bad and false (namely that the
captain is frequently or habitually drunk) by saying something good and true
(the captain is not drunk today). It provides a striking example of how widely
sentence meaning (the semantic content of the sentence) may differ from ut-
terance meaning. Recall that we defined utterance meaning as “the totality
of what the speaker intends to convey by making an utterance;”1 so utterance
meaning includes the semantic content plus any pragmatic meaning created by
the use of the sentence in a specific context.
In this chapter and the next we will explore the question of how this kind of
context-dependent meaning arises. Our discussion in this chapter will focus pri-
marily on the ground-breaking work on this topic by the philosopher H. Paul
Grice. Grice referred to the kind of inference illustrated in (1) as a conversa-
tional implicature, and suggested that such inferences arise when there is a
real or apparent violation of our shared default expectations about how conver-
sations work.
In §8.2 we introduce the concept of conversational implicature, and in §8.3 we
summarize the default expectations about conversation which Grice proposed
1 Cruse (2000: 27).
8 Grice’s theory of Implicature

as a way of explaining these implicatures. In §8.4 we distinguish two different

types of conversational implicature, and mention briefly a different kind of in-
ference which Grice referred to as conventional implicature. In §8.5–§8.6
we discuss various diagnostic properties of conversational implicatures, and talk
about how to distinguish conversational implicatures from entailments and pre-
suppositions.

8.2 Conversational implicatures

Let us begin by considering the simple conversation in (2):
(2) Arthur: Can you tell me where the post office is?
Bill: I’m a stranger here myself.
As a reply to Arthur’s request for directions, Bill’s statement is clearly in-
tended to mean ‘No, I cannot.’ But the sentence meaning, or semantic content, of
Bill’s statement does not contain or entail this intended meaning. The statement
conveys the intended meaning only in response to that specific question. In a
different kind of context, such as the one in (3), it could be intended to convey a
very different meaning: willingness to engage in conversation on a wider range
of topics, or at least sympathy for Arthur’s situation.
(3) Arthur: I’ve just moved to this town, and so far I’m finding it pretty
tedious; I haven’t met a single person who is willing to talk about
anything except next week’s local elections.
Bill: I’m a stranger here myself.
When the same sentence is used in two different contexts, these are two dis-
tinct utterances which may have different utterance meanings. But since the
sentence meaning is identical, the difference in utterance meaning must be due
to pragmatic inferences induced by the different contexts. As mentioned above,
Grice referred to the kind of pragmatic inference illustrated in these examples
as conversational implicature. Examples (2–3) illustrate the following char-
acteristics of conversational implicatures:
1. The implicature is different from the literal sentence meaning; in Grice’s
terms, what is implicated is different from “what is said”.
2. Nevertheless, the speaker intends for the hearer to understand both the
sentence meaning and the implicature; and for the hearer to be aware that
the speaker intends this.

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 8.3 Grice’s Maxims of Conversation

3. Conversational implicatures are context-dependent, as discussed above.

4. Conversational implicatures are often unmistakable, but they are not “in-
evitable”, i.e. they are not logically necessary. In the context of (2), for ex-
ample, Bill’s statement is clearly intended as a negative reply; but it would
not be logically inconsistent for Bill to continue as in (4). In Grice’s terms
we say that conversational implicatures are defeasible, meaning that they
can be cancelled or blocked when additional information is provided.

(4) Arthur: Can you tell me where the post office is?
Bill: I’m a stranger here myself; but it happens that I have just come from
the post office, so I think I can help you.

Conversational implicatures are not something strange and exotic; they turn
out to be extremely common in everyday language use. Once we become aware
of them, we begin to find them everywhere. They are an indispensable part of
the system we use to communicate with each other.

8.3 Grice’s Maxims of Conversation

The connection between what is said and what is implicated, taking context into
account, cannot be arbitrary. It must be rule-governed to a significant degree,
otherwise the speaker could not expect the hearer to reliably understand the
intended meaning.
Grice was not only the first scholar to describe the characteristic features of
implicatures, but also the first to propose a systematic explanation for how they
work. Grice’s lecture series at Harvard University in 1967, where he laid out his
analysis of implicatures, triggered an explosion of interest in and research about
this topic. It is sometimes cited as the birth date of Pragmatics as a separate field
of study. Of course a number of authors have proposed revisions and expansions
to Grice’s model, and we look briefly at some of these in the next chapter; but his
model remains the starting point for much current work and is the model that
we will focus on in this chapter.
Grice’s fundamental insight was that conversation is a cooperative activity.
In order to carry on an intelligible conversation, each party must assume that
the other is trying to participate in a meaningful way. This is true even if the
speakers involved are debating or quarreling; they are still trying to carry on a
conversation. Grice proposed that there are certain default assumptions about

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8 Grice’s theory of Implicature

how conversation works. He stated these in the form of a general Cooperative

Principle (5) and several specific sub-principles which he labeled “maxims” (6):

(5) The Cooperative Principle (Grice 1975: 45)

Make your conversational contribution such as is required, at the stage at
which it occurs, by the accepted purpose or direction of the talk exchange
in which you are engaged.

(6) The Maxims of Conversation (Grice 1975: 45–46)

QUALITY: Try to make your contribution one that is true.
1. Do not say what you believe to be false.
2. Do not say that for which you lack adequate evidence.
QUANTITY:
1. Make your contribution as informative as is required (for the
current purposes of the exchange).
2. Do not make your contribution more informative than is required.
RELATION (or RELEVANCE): Be relevant.
MANNER: Be perspicuous.
1. Avoid obscurity of expression.
2. Avoid ambiguity.
3. Be brief (avoid unnecessary prolixity).
4. Be orderly.

It is important to remember that Grice did not propose the Cooperative Prin-
ciple as a code of conduct, which speakers have a moral obligation to obey. A
speaker may communicate either by obeying the maxims or by breaking them,
as long as the hearer is able to recognize which strategy is being employed. The
Cooperative Principle is a kind of background assumption: what is necessary in
order to make rational conversation possible is not for the speaker to follow the
principle slavishly, but for speaker and hearer to share a common awareness that
it exists.
We might draw an analogy with radio waves. Radio signals start with a “car-
rier wave” having a specific, constant frequency and amplitude. The informative
part of the signal, e.g. the audio frequency wave that represents the music, news
report, or football match being broadcast, is superimposed as variation in the
frequency (for FM) or amplitude (for AM) of the carrier wave. The complex wave
form which results is transmitted to receivers, where the intended signal is recov-
ered by “subtracting” the carrier wave. In order for the correct signal to be recov-
ered, the receiver must know the frequency and amplitude of the carrier wave.

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 8.3 Grice’s Maxims of Conversation

Furthermore, the receiver must assume that variations from this base frequency
and amplitude are intended to be meaningful, and are not merely interference
due to lightning, sunspots, or the neighbors’ electrical gadgets.
The analogue of the wave form for pragmatic inferences is the sentence mean-
ing, i.e. the literal semantic content of the utterance. The Cooperative Principle
and maxims specify the default frequency and amplitude of the carrier wave.
When a speaker appears to violate one of the maxims, a pragmatic inference is
created; but this is only possible if the hearer assumes that the speaker is actually
being cooperative, and thus the apparent violations are intended to be meaning-
ful.
For example, Bill’s reply to Arthur’s request for directions to the post office in
(2) appears to violate the maxim of relevance. Arthur might interpret the reply
as follows: “Bill’s statement that he is a stranger here has nothing to do with the
location of the post office. Bill seems to be violating the maxim of relevance, but
I assume that he is trying to participate in a rational conversation; so he must
actually be observing the conversational maxims, or at least the Cooperative
Principle. I know that strangers in a town typically do not know where most
things are located. I believe that Bill knows this as well, and would expect me
to understand that his being a stranger makes it unlikely that he can provide
the information I am requesting. If his reply is intended to mean ‘No, I cannot,’
then it is actually relevant and there is no violation. So in order to maintain the
assumption that Bill is observing the Cooperative Principle, I must assume that
this is what he intends to communicate.”
Of course, the sentence meaning is not just a means to trigger implicatures; it
is itself part of the meaning which is being communicated. Utterance meaning is
composed of the sentence meaning plus any pragmatic inference created by the
specific context of use. Grice’s model is intended to explain the pragmatic part
of the meaning. In example (2), the answer to Arthur’s literal yes-no question
is conveyed by pragmatic inference, while the sentence meaning explains the
reason for this answer, and so is felt to be more polite than a blunt “No” would
be.
Grice described several specific patterns of reasoning which commonly give
rise to conversational implicatures. First, there are cases in which there is an
apparent violation, but no maxim is actually violated. Our analysis of example
(2) was of this type. Bill’s statement I am a stranger here myself was an apparent
violation of the maxim of relevance, but the implicature that it triggered actually
was relevant; so there was no real violation. Two of Grice’s classic examples
of this type are shown in (7–8). In both cases the second speaker’s reply is an

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8 Grice’s theory of Implicature

apparent violation of the maxim of relevance, but it triggers an implicature that

is relevant (You can buy petrol there in (7), Maybe he has a girlfriend in New York
in (8)).2

(7) A: I am out of petrol [=gasoline].

B: There is a garage [=service station] around the corner.

(8) A: Smith doesn’t seem to have a girlfriend these days.

B: He has been paying a lot of visits to New York lately.

Second, Grice noted cases in which an apparent violation of one maxim is the
result of conflict with another maxim. He illustrates this type with the example
in (9).

(9) A: Where does C live?

B: Somewhere in the South of France.

B’s reply here seems to violate the maxim of quantity, specifically the first sub-
maxim, since it is not as informative as would be appropriate in this context. A is
expected to be able to infer that B cannot be more informative without violating
the maxim of quality (second sub-maxim) by saying something for which he
lacks adequate evidence. So the intended implicature is, “I do not know exactly
where C lives.”
Third, Grice described cases in which one of the maxims is “flouted”, by which
he meant a deliberate and obvious violation, intended to be recognized as such.
Two of his examples of this type are presented in (10–11).

(10) A professor is writing a letter of reference for a student who is applying

for a job as a philosophy teacher:
“Dear Sir, Mr. X’s command of English is excellent, and his attendance at
tutorials has been regular. Yours, etc.”3

(11) Review of a vocal recital:

“Miss X produced a series of sounds that corresponded closely with the
score of Home sweet home.”4

The professor’s letter in (10) flouts the maxims of quantity and relevance, since
it contains none of the information that would be expected in an academic letter
2 Examples (7–9) come from Grice (1975: 51).
3 Grice (1975: 52).
4 Grice (1975: 55).

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 8.3 Grice’s Maxims of Conversation

of reference. The review in (11) flouts the maxim of manner, since there would
have been a shorter and clearer way of describing the event, namely “Miss X
sang Home sweet home.”
As we noted in an earlier chapter, speakers sometimes utter sentences which
are tautologies or contradictions. In such cases, the communicative value of the
utterance comes primarily from the pragmatic inferences which are triggered;
the semantic (i.e. truth conditional) content of the sentence contributes little or
nothing. Grice observes that tautologies like those in (12) can be seen as flouting
the maxim of quantity, since their semantic content is uninformative. Metaphors,
irony, and other figures of speech like those in (13) can be seen as flouting the
maxim of quality, since their literal semantic content is clearly untrue and in-
tended to be recognized as such.

(12) a. War is war.

b. Boys will be boys.

(13) a. You are the cream in my coffee.

b. Queen Victoria was made of iron. (Levinson 1983: 110)
c. A fine friend he turned out to be!

Von Fintel & Matthewson (2008) consider the question of whether Grice’s Co-
operative Principle and maxims hold for all languages. Of course, differences in
culture, lexical distinctions, etc. will lead to differences in the specific implica-
tures which arise, since these are calculated in light of everything in the com-
mon ground between speaker and hearer.5 They note a single proposed counter
example to Grice’s model, from Malagasy (Keenan 1974); but they endorse the re-
sponse of Prince (1982), who points out that the speakers in Keenan’s examples
actually do obey Grice’s principles, given their cultural values and assumptions.
Their conclusion echoes that of Green (1990: 419):

[I]t would astonish me to find a culture in which Grice’s maxims were not
routinely observed, and required for the interpretation of communicative
intentions, and all other things being equal, routinely exploited to create
implicature.

5 See for example Matsumoto (1995).

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8 Grice’s theory of Implicature

8.4 Types of implicatures

8.4.1 Generalized Conversational Implicature
Grice distinguished two different types of conversational implicatures. He re-
ferred to examples like those we have considered up to this point as particu-
larized conversational implicatures, meaning that the intended inference
depends on particular features of the specific context of the utterance. The sec-
ond type he referred to as generalized conversational implicatures. This
type of inference does not depend on particular features of the context, but is
instead typically associated with the kind of proposition being expressed. Some
examples are shown in (14).

(14) a. She gave him the key and he opened the door.
Implicature: She gave him the key and then he opened the door.
b. The water is warm.
Implicature: The water is not hot.
c. It is possible that we are related.
Implicature: It is not necessarily true that we are related.
d. Some of the boys went to the rugby match.
Implicature: Not all of the boys went to the rugby match.
e. John has most of the documents.
Implicature: John does not have all of the documents.
f. That man is either Martha’s brother or her boyfriend.
Implicature: The speaker does not know whether the man is
Martha’s brother or boyfriend.

Generalized conversational implicatures are motivated by the same set of max-

ims discussed above, but they typically do not involve a violation of the max-
ims. Rather, the implicature arises precisely because the hearer assumes that the
speaker is obeying the maxims; if the implicated meaning were not true, then
there would be a violation. In (14a) for example, assuming that the semantic con-
tent of English and is simply logical and (∧), the implicated sequential meaning
(‘and then’) is motivated by the maxim of manner (sub-maxim: Be orderly). If
the actual order of events was not the one indicated by the sequential order of
the conjoined clauses, the speaker would have violated this maxim; therefore,
unless there is evidence to the contrary, the hearer will assume that the sequen-
tial meaning is intended. (We will return in the next chapter to the question of
whether this is an adequate analysis of the meaning of English and.)

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 8.4 Types of implicatures

A widely discussed type of generalized conversational implicature involves

non-maximal degree modifiers, that is, words which refer to intermediate points
on a scale. (Implicatures of this type are often referred to as scalar implica-
tures.) The word warm in (14b), for example, belongs to a set of words which
identify various points on a scale of temperature: frigid, cold, cool, lukewarm,
warm, hot, burning/sizzling/scalding, etc. The choice of the word warm implicates
‘not hot’ by the maxim of quantity. If the speaker knew that the water was hot
but only said that it was warm, he would not have been as informative as would
be appropriate in most contexts; a hearer stepping into a full bath tub, for exam-
ple, would be justified in complaining if the water turned out to be painfully hot
and not just warm. This inference does not depend on particular features of the
context, but is normally triggered by any use of the word warm unless something
in the context prevents it from arising. The same reasoning applies to possible in
(14c), some in (14d), and most in (14e).
The maxim of quantity also motivates the implicature in (14f), since if the
speaker knew which alternative was correct but only made an or statement, he
would not have been as informative as would be appropriate in most contexts.
Again, this inference would normally be triggered by any similar use of the word
or unless something in the context prevents it from arising.
The indefinite article can trigger generalized conversational implicatures con-
cerning the possessor of the indefinite NP, with different implicatures depending
on whether the head noun is alienable as in (15a–b) or inalienable as in (15c–d).6
How to account for this difference is somewhat puzzling.

(15) a. I walked into a house.

Implicature: The house was not my house.
b. Arthur is meeting a woman tonight.
Implicature: The woman is not Arthur’s wife or close relative.
c. I broke a finger yesterday.
Implicature: The finger was my finger.
d. Lady Glossop: How would you ever support a wife, Mr. Wooster?
Bertie: Well, it depends on whose wife it was. I would’ve said a
gentle pressure beneath the left elbow when crossing a busy street
normally fills the bill.
[Jeeves and Wooster, Season 1, Episode 1; ITV1]

6 Exx. (15a–b) are adapted from Grice (1975: 56).

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8 Grice’s theory of Implicature

8.4.2 Conventional Implicature

Grice identified another type of inference which he called conventional impli-
catures; but he said very little about them, and never developed a full-blown
analysis. In contrast to conversational implicatures, which are context-sensitive
and motivated by the conversational maxims, conventional implicatures are part
of the conventional meaning of a word or construction. This means that they are
not context-dependent or pragmatically explainable, and must be learned on a
word-by-word basis. However, unlike the kinds of lexical entailments that we
discussed in Chapter 6, conventional implicatures do not contribute to the truth
conditions of a sentence, and for this reason have sometimes been regarded as
involving pragmatic rather than semantic content.
Grice illustrated the concept of conventional implicature using the conjunc-
tion therefore. He suggested that this word does not affect the truth value of a
sentence; the claim of a causal relationship is only conventionally implicated and
not entailed:

If I say (smugly), He is an Englishman; he is, therefore, brave, I have certainly

committed myself, by virtue of the meaning of my words, to its being the
case that his being brave is a consequence of (follows from) his being an
Englishman. But while I have said that he is an Englishman, and said that
he is brave, I do not want to say that I have said (in the favored sense [i.e.
as part of the truth-conditional semantic content—PK]) that it follows from
his being an Englishman that he is brave, though I have certainly indicated,
and so implicated, that this is so. I do not want to say that my utterance of
this sentence would be, strictly speaking, false should the consequence in
question fail to hold. (Grice 1975: 44)

Frege had earlier expressed very similar views concerning words like still and
but, though he never used the term “conventional implicature”. He pointed out
that the truth-conditional meaning of but is identical to that of and. The dif-
ference between the two is that but indicates a contrast or counter-expectation.
But this is only conventionally implicated, in Grice’s terms; if there is in fact no
contrast between the two conjuncts, that does not make the sentence false.

With the sentence Alfred has still not come one really says ‘Alfred has not
come’ and, at the same time, hints that his arrival is expected, but it is only
hinted. It cannot be said that, since Alfred’s arrival is not expected, the
sense of the sentence is therefore false… The word but differs from and in

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 8.5 Distinguishing features of conversational implicatures

that with it one intimates that what follows is in contrast with what would
be expected from what preceded it. Such suggestions in speech make no
difference to the thought [i.e. the propositional content—PK]. [Frege 1918–
1919/1956]

A few more examples of conventional implicatures (CI) are given in (16):

(16) a. I was in Paris last spring too.7

CI: some other specific/contextually salient person was in Paris last
spring.
b. Even Bart passed the test.8
CI: Bart was among the least likely to pass the test.

Conventional implicatures turn out to have very similar properties to certain

kinds of presuppositions, and there has been extensive debate over the question
of whether it is possible or desirable to distinguish conventional implicatures
from presuppositions. We will have more to say about conventional implicatures
in Chapter 11.

8.5 Distinguishing features of conversational implicatures

Grice’s analysis of conversational implicatures implies that they will have certain
properties which allow us to distinguish them from other kinds of inference. We
have already mentioned the most important of these, namely the fact that they
are defeasible. This term means that the inference can be cancelled by adding
an additional premise. For example, conversational implicatures can be explicitly
negated or denied without giving rise to anomaly or contradiction, as illustrated
in (17). This makes them quite different from entailments, as seen in (18).

(17) a. Dear Sir, Mr. X’s command of English is excellent, and his attendance
at tutorials has been regular. And, needless to say, he is highly
competent in philosophy. Yours, etc.
b. He has been paying a lot of visits to New York lately, but I don’t think
he has a girlfriend there, either.
c. John has most of the documents; in fact, he has all of them.

7 Barbara Partee, 2009 lecture notes; http://people.umass.edu/partee/MGU_2009/materials/

MGU098_2up.pdf
8 Potts (2007b).

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8 Grice’s theory of Implicature

(18) John killed the wasp (#but the wasp did not die).

A closely related property is that conversational implicatures are suspend-

able:9 the speaker may explicitly choose not to commit to the truth or falsehood
of the inference, without giving rise to anomaly or contradiction. This is illus-
trated in (19a). Again, the opposite is true for entailments, as seen in (19b).

(19) a. The water must be warm by now, if not boiling.

b. # The water must be warm by now, if not cold.

Conversational implicatures are calculable, that is, capable of being worked

out on the basis of (i) the literal meaning of the utterance, (ii) the Cooperative
Principle and its maxims, (iii) the context of the utterance, (iv) background knowl-
edge, and (v) the assumption that (i)–(iv) are available to both participants of the
exchange and that they are both aware of this. However, conversational implica-
tures are also indeterminate: sometimes multiple interpretations are possible
for a given utterance in a particular context.
Because conversational implicatures are not part of the conventional mean-
ing of the linguistic expression, and because they are triggered by the semantic
content of what is said rather than its linguistic form, replacing words with syn-
onyms, or a sentence with its paraphrase as in (20), will generally not change the
conversational implicatures that are generated, assuming the context is identical.
Grice used the somewhat obscure term nondetachable to identify this property.
He explicitly notes that implicatures involving the maxim of Manner are excep-
tions to this generalization, since in those cases it is precisely the speaker’s choice
of linguistic form which triggers the implicature.10

(20) A: Smith doesn’t seem to have a girlfriend these days.

B1: He has been paying a lot of visits to New York lately.
B2: He travels to New York quite frequently, I have noticed.

Sadock (1978: 294) noted another useful diagnostic property, namely that con-
versational implicatures are reinforceable. He used this term to mean that the
implicature can be overtly stated without creating a sense of anomalous redun-
dancy (21a–b). This is another respect in which conversational implicatures differ
from entailments (21c).

9 Horn (1972); Sadock (1978).

10 Grice (1975: 58).

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 8.6 How to tell one kind of inference from another

(21) a. John is a capable fellow, but I wouldn’t call him a genius.

b. Some of the boys went to the soccer match, but not all.
c. ?*Some of the boys went to the soccer match, but not none.

8.6 How to tell one kind of inference from another

The table in Table 8.1 summarizes some of the characteristic properties of entail-
ments, conversational implicatures, and presuppositions.11 In this section we will
work through some examples showing how we can use these properties as diag-
nostic tools to help us determine which kind of inference we are dealing with in
any particular example.
Two general comments need to be kept in mind. First, before we begin apply-
ing these tests, it is important to ask whether there is in fact a linguistic inference
to be tested. The question is this: if a speaker whom we believe to be truthful and
well-informed says p, would this utterance in and of itself give us reason to be-
lieve q? If so, we can apply the tests to determine the nature of the inference
from p to q. But if not, applying the tests will only cause confusion. For exam-
ple, if our truthful and well-informed speaker says My bank manager has just
been murdered, it seems reasonable to assume that the bank will soon be hiring
a new manager.12 However, this expectation is based on our knowledge of how
the world works, and not the meaning of the sentence itself; there is no linguis-
tic inference involved. If the bank owners decided to leave the position unfilled,
or even to close that branch office entirely, it would not render the speaker’s
statement false or misleading.
Second, any one test may give unreliable results in a particular example, be-
cause so many complex factors contribute to the meaning of an utterance. For
this reason, it is important to use several tests whenever possible, and choose
the analysis that best explains the full range of available data. Presuppositions
are especially tricky, partly because they are not a uniform class; different sorts
seem to behave differently in certain respects. Some specific issues regarding
presuppositions are discussed below.
Let us begin with some simple examples. If our truthful and well-informed
speaker makes the statement in (22), we would certainly infer that the wasp is
dead. We can test to see whether this inference is cancellable/defeasible, as in
(22a); the result is a contradiction. We can test to see whether the inference can

11 Thanks to Seth Johnston for suggesting this type of summary table.

12 This example comes from Saeed (2009: 54).

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8 Grice’s theory of Implicature

Table 8.1: Criteria for distinguishing Conversational Implicature from

entailment and presupposition

Entailment Conversational Presupposition

Implicature
a. Cancellable/ no yes sometimesa
defeasible
b. Suspendable no yes sometimes
c. Reinforceable no yes no
d. Preserved no no yes
under negation
and questioning

a Some presuppositions seem to be cancellable, but only if the clause containing the trigger is
negated. Presuppositions triggered by positive statements are generally not cancellable.

be suspended, as in (22b); the result is quite unnatural. We can test to see whether
the inference is reinforceable, as in (22c); the result is unnaturally redundant.

(22) stated: John killed the wasp.

inferred: The wasp died.
a. # John killed the wasp, but the wasp did not die.
b. # John killed the wasp, but I’m not sure whether the wasp died.
c. ?# John killed the wasp, and the wasp died.
d. Did John kill the wasp?
e. John did not kill the wasp (and the wasp did not die).

In applying the final test, we are asking whether the same inference is created
by a family of related sentences, which includes negation and questioning of the
original statement. Clearly if someone asks the question in (22d), that would not
give us any reason to believe that the wasp died. Similarly, the negative statement
in (22e) gives us no reason to believe that the wasp died. We can demonstrate this
by showing that it would not be a contradiction to assert, in the same sentence,
that the wasp did not die; note the contrast with (22a), which is a contradiction.
We have seen that all four tests in this example produce negative results. This
pattern matches the profile of entailment; so we conclude that John killed the
wasp entails The wasp died.

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 8.6 How to tell one kind of inference from another

Now let us apply the tests to Grice’s example (23); specifically we will be test-
ing the inference that arises from B’s reply, There is a garage around the corner.
The sentences in (23a–c) show that this inference is defeasible (additional in-
formation can block the inference from arising), suspendable, and reinforceable.
Neither the question in (23d) nor the negative statement in (23e) would give A
any reason to believe that he could buy petrol around the corner. (The phrase
any more could be added in (23e) to make the negative statement sound a bit
more natural. In applying these tests, it is important to give the test every oppor-
tunity to succeed. Since naturalness is an important criterion for success, it is
often helpful to adjust the test sentences as needed to make them more natural,
provided the key elements of meaning are not lost or distorted.)

(23) A: I am out of petrol.

B: There is a garage around the corner.
inferred: You can buy petrol there.
a. There is a garage around the corner, but they aren’t selling petrol
today.
b. There is a garage around the corner, but I’m not sure whether they
sell petrol.
c. There is a garage around the corner, and you can buy petrol there.
d. Is there a garage around the corner?
e. There is no garage around the corner (any more).

In this example the first three tests produce positive results, while the last
one (the “family of sentences” test) is negative. This pattern matches the profile
of conversational implicature; so we conclude that There is a garage around the
corner (when spoken in the context of A’s statement) conversationally implicates
You can buy petrol there. Of course, we already knew this, based on our previous
discussion. What we are doing here is illustrating and validating the tests by
showing how they work with relatively simple cases where we think we know
the answer. This gives us a basis for expecting that the tests will work for more
complex cases as well.
Finally consider the inference shown in (24). The sentences in (24a–c) show
that this inference is not defeasible (24a) or reinforceable (24c), but it is suspend-
able (24b). Both the question in (24d) and the negative statement in (24e) seem
to imply that John used to chew betel nut. These results match the profile of a
presupposition, as expected (stopped chewing presupposes used to chew).

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8 Grice’s theory of Implicature

(24) stated: John has stopped chewing betel nut.

inferred: John used to chew betel nut.
a. # John has stopped chewing betel nut, and in fact he has never
chewed it.
b. John has stopped chewing betel nut, if he (ever/really) did chew it.
c. ?# John has stopped chewing betel nut, and he used to chew it.
d. Has John stopped chewing betel nut?
e. John has not stopped chewing betel nut.

Recall that we mentioned in Chapter 3 another test which is useful for iden-
tifying presuppositions, the “Hey, wait a minute” test.13 If a speaker’s utterance
presupposes something that is not in fact part of the common ground, it is quite
appropriate for the hearer to object in the way shown in (25a). However, it is not
appropriate for the hearer to object in this way just because the main point of
the assertion is not in fact part of the common ground (25b). In fact, it would be
unnatural for the speaker to assert something that is already part of the common
ground.

(25) statement: John has stopped chewing betel nut.

a. response 1: Hey, wait a minute, I didn’t know that John used to chew
betel nut!
b. response 2: # Hey, wait a minute, I didn’t know that John has stopped
chewing betel nut!

We mentioned above that it is important to use several tests whenever possi-

ble, because any one test may run into unexpected complications in a particular
context. For example, our discussion in §4.1 would lead us to believe that the
word most should trigger the generalized conversational implicature not all. The
examples in (26) are largely consistent with this prediction. They indicate that
the inference is defeasible (26a), suspendable (26b), and reinforceable (26c). How-
ever, the “family of sentences” tests produce inconsistent results. The question
in (26d) fails to trigger the inference, as expected, but the negative statement in
(26e) seems to entail (not just implicate) that not all of the boys went to the soccer
match.

(26) stated: Most of the boys went to the soccer match.

inferred: Not all of the boys went to the soccer match.
13 Von Fintel (2004).

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 8.6 How to tell one kind of inference from another

a. Most of the boys went to the soccer match; in fact, I think all of them
went.
b. Most of the boys went to the soccer match, if not all of them.
c. Most of the boys went to the soccer match, but not all of them.
d. Did most of the boys go to the soccer match?
e. Most of the boys didn’t go to the soccer match.
f. If most of the boys went to the soccer match, dinner will probably be
late this evening.

As mentioned in Chapter 4, combining clausal negation with quantified noun

phrases often creates ambiguity; we see here that it can introduce other com-
plexities as well. This is a situation where preservation under negation is not a
reliable indicator. However, other members of the “family of sentences”, includ-
ing the question (26d) and conditional clause (26f), can be used, and show that
the inference is not preserved. So the overall pattern of results confirms that this
is a conversational implicature.
The table in Table 8.1 indicates that presuppositions are normally preserved
under negation, and this is the first (and often the only) test that many people
use for identifying presuppositions. But as we have seen, negating a sentence can
introduce new complications. In discussing the presupposition in (24) we noted
that the negative statement (24e), repeated here as (27a), seems to imply that
John used to chew betel nut. This is true if the sentence is read with neutral into-
nation; but if it is read with what Jespersen (1933) calls “the peculiar intonation
indicative of contradiction”, indicated in (27b), it becomes possible to explicitly
deny the presupposition without contradiction or anomaly. This is an instance
of presupposition-cancelling negation.

(27) a. John hasn’t stopped chewing betel nut.

b. John hasn’t stopped chewing betel nut, he never did chew it.

Horn (1985; 1989) argues that cases of presupposition-cancelling negation like

(27b) involve a special kind of negation which he refers to as metalinguistic
negation. Metalinguistic negation is typically used to contradict something that
the addressee has just said, implied, or implicitly accepted.14 The negated clause
is generally spoken with the special intonation pattern mentioned above, and is
typically followed by a correction or “rectification” as in (27b).

14 Karttunen & Peters (1979: 46–47).

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8 Grice’s theory of Implicature

Some additional examples of metalinguistic negation are presented in (28).

These examples show clearly that metalinguistic negation is different from nor-
mal, logical negation which is used to deny the truth of a proposition. If the
negation used in these examples was simply negating the propositional content,
the sentences would be contradictions, because horrible entails bad, all entails
most, etc. Horn claims that what is negated in such examples is not the propo-
sitional content but the conversational implicature: asserting bad implicates not
horrible; asserting most implicates not all. Metalinguistic negation is used to
reject the statements in the first clause as being inappropriate or “infelicitous”,
because they are not strong enough.

(28) a. That [1983] wasn’t a bad year, it was horrible.15

b. I’m not hungry, I’m starving.
c. Most of the boys didn’t go to the soccer match, all of them went.

For our present purposes what we need to remember is that, in testing to see
whether an inference is preserved under negation (one of the “family of sen-
tences” tests), we must be careful to use normal, logical negation rather than
metalinguistic negation.

8.7 Conclusion
Conversational implicatures are the paradigm example of a pragmatic inference:
meaning derived not from the words themselves but from the way those words
are used in a particular context. They are an indispensable part of our every-
day communication. In order for a hearer to correctly interpret the part of the
speaker’s intended meaning which is not encoded by the words themselves, these
implicatures must be derived in a systematic way, based on principles which are
known to both speaker and hearer. Grice proposed a fairly simple account of
these principles, starting with some basic assumptions about the nature of con-
versation as a cooperative activity. Some later modifications to Grice’s theory
will be mentioned in Chapter 9.

15 A quote from the famous baseball player Reggie Jackson, cited in Horn (1989: 382).

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 8.7 Conclusion

Further reading

Levinson (1983: ch. 3) and Birner (2012/2013: ch. 2) present good intro-
ductions to Grice’s treatment of conversational implicature. Grice’s most
famous papers (e.g. 1975; 1978; 1981) are also quite readable. (References
to more recent work on conversational implicature will be provided in the
next chapter.)

Discussion exercises
A. Identifying types of inference. For each of the examples in (1–4), de-
termine whether the inference triggered by the statement is (A) a par-
ticularized conversational implicature, (B) a generalized conver-
sational implicature, (C) a presupposition, (D) an entailment, or (E)
none of these.
(1) stated: My mother is the mayor of Waxahachie.
inferred: The mayor of Waxahachie is a woman.

(2) stated: That man is either Martha’s brother or her boyfriend.

inferred: The speaker does not know whether the man is
Martha’s brother or boyfriend.

(3) stated: My great-grandfather was arrested this morning for drag

racing.
inferred: I have a great-grandfather.

(4) stated: That’s a great joke – Ham, Shem and Japheth couldn’t stop
laughing when they heard it from Noah.
inferred: The joke has lost some of its freshness.

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8 Grice’s theory of Implicature

For each of the sentences in (5), determine what inference is most likely
to be triggered by the statement, and what kind of inference it is, using
the same five options as above.

(5) a. I didn’t realize that they are husband and wife.

b. Charles continues to wear a cabbage on his head.
c. It is possible that we are related.
d. Who stole my durian smoothie?
e. Q: Who is that guy over there?
A: That is the male offspring of my parents.a
f. Arthur is almost as unscrupulous as Susan.

(6) What kind of inference is involved in the following joke?

Q: How many months have 28 days?
A: All of them.

a Kearns (2000).

Homework exercises

A. Conversational implicature. For each pair of sentences, (i) identify

the likely implicature carried by B’s reply; (ii) state which maxim is most
important in triggering the implicature, and (iii) explain how the implica-
ture is derived.a

(1) A: Are you coming out for a pint tonight?

B: My in-laws are coming over for dinner.

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 8.7 Conclusion

Model answer:
The most likely implicature here is that B is unable to go out with A. It is
triggered by the maxims of quantity and relevance: the literal meaning of B’s
reply does not provide the information requested (yes or no), and does not
seem to be relevant. By assuming that B intends to communicate that he is
obligated to eat with his in-laws, A can interpret B’s statement as being both
appropriately informative and relevant.

(2) A: Who is that couple?

B: That is my mother and her husband.
(3) A: Did you enjoy having your sister and her family come to visit?
B: The children were perfect angels. We didn’t really want that
antique table anyway, and I’m sure the cat likes to have its tail
pulled.
(4) A: Jones has just taken a second mortgage on his house.
B: I think I saw him at the casino last weekend.
(5) A: Did you make us a reservation for dinner tonight?
B: I meant to.

B. Presupposition, Entailment, Implicature.b What is the relation (if

any) between each statement and the bracketed statements which follow?
Pick one of the following four answers: Presupposition; Entailment; Con-
versational Implicature; no inference.

(6) John is allegedly a good player.

[John is a good player.]

(7) Oscar and Jenny are middle-aged.

[Jenny is middle-aged.]

(8) Maria is an Italian radiologist.

a. [Some Italian is a radiologist.]
b. [Maria is Italian.]

(9) Not everyone will get the correct answer.

[Someone will get the correct answer.]

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8 Grice’s theory of Implicature

(10) Pete installed new cabinets after Hans painted the walls.
[Hans painted the walls.]

(11) Dempsey and Tunney fought in Philadelphia in September (1926).

[Dempsey and Tunney fought each other.]

(12) John believes that pigs do not have wings.

[Pigs do not have wings.]

(13) John realizes that pigs do not have wings.

[Pigs do not have wings.]

(14) Don is at home or at work.

a. [Don is at home.]
b. [I don’t know whether Don is at home or at work.]

(15) My older brother called.

[I have an older brother.]

(16) Max has quit jogging, at least until his ankle heals.
a. [Max does not jog now.]
b. [Max used to jog.]

a adapted from Saeed (2009: 226, ex. 7.6).

b Adapted from MIT course notes.

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9.1 Introduction
Grice’s work on implicatures triggered an explosion of interest in pragmatics. In
the subsequent decades, a wide variety of applications, extensions, and modifi-
cations of Grice’s theory have been proposed.
One focus of the theoretical discussion has been the apparent redundancy in
the set of maxims and sub-maxims proposed by Grice. Many pragmaticists have
argued that the same work can be done with fewer maxims.1 In the extreme case,
proponents of Relevance Theory have argued that only the Principle of Relevance
is needed.
Rather than focusing on such theoretical issues directly, in this chapter we will
discuss some of the analytical questions that have been of central importance in
the development of pragmatics after Grice. In §9.2 we return to the question
raised in Chapter 4 concerning the degree to which the English words and, or,
and if have the same meanings as the corresponding logical operators. Grice
himself suggested that some apparently distinct “senses” of these words could
be analyzed as generalized conversational implicatures. §9.3 discusses a type
of pragmatic “enrichment” that seems to be required in order to determine the
truth-conditional meaning of a sentence. §9.4 discusses how the relatively clean
and simple distinction between semantics vs. pragmatics which we have been
assuming up to now is challenged by recent work on implicatures.

9.2 Meanings of English words vs. logical operators

As we hinted in Chapter 4, the logical operators ∧ ‘and’, ∨ ‘or’, and → ‘if…
then’ seem to have a different and often narrower range of meaning than the
corresponding English words. A number of authors have claimed that the English
words are ambiguous, with the logical operators corresponding to just one of the
possible senses. Grice argued that each of the English words actually has only a
single sense, which is more or less the same as the meaning of the corresponding
1 See Birner (2012/2013: ch. 3) for a good summary of the competing positions on this issue.
9 Pragmatic inference after Grice

logical operator, and that the different interpretations arise through pragmatic
inferences. Before we examine these claims in more detail, we will first illustrate
the variable interpretations of the English words, in order to show why such
questions arise in the first place.
Let us begin with and.2 The truth table in Chapter 4 makes it clear that logical
∧ is commutative; that is, p∧q is equivalent to q∧p. This is also true for some
uses of English and, such as (1). In other cases, however, such as (2–4), reversing
the order of the clauses produces a very different interpretation.

(1) a. The Chinese invented the folding umbrella and the Egyptians
invented the sailboat.
b. The Egyptians invented the sailboat and the Chinese invented the
folding umbrella.

(2) a. She gave him the key and he opened the door.
b. He opened the door and she gave him the key.

(3) a. The Lone Ranger jumped onto his horse and rode into the sunset.3
b. ?The Lone Ranger rode into the sunset and jumped onto his horse.

(4) a. The janitor left the door open and the prisoner escaped.
b. ?The prisoner escaped and the janitor left the door open.

It has often been noted that when and conjoins clauses which describe specific
events, as (2–3), there is a very strong tendency to interpret it as meaning ‘and
then’, i.e., to assume a sequential interpretation. When the second event seems
to depend on or follow from the first, as in (4a), there is a tendency to assume
a causal interpretation, ‘and therefore’. The question to be addressed is, do such
examples prove that English and is ambiguous, having two or three (or more)
distinct senses?
We stated in Chapter 4 that the ∨ of standard logic is the “inclusive or”, corre-
sponding to the English and/or. We also noted that the English word or is often
used in the “exclusive” sense (XOR), meaning ‘either … or … but not both’. Actu-
ally either interpretation is possible, depending on the context, as illustrated in
(5). (The reader should determine which of these examples contains an or that
2 We focus here on the use of and to conjoin two clauses (or VPs), since this is closest to the
function of logical ∧. We will not be concerned with coordination of other categories in this
chapter.
3 Ruth. M. Kempson (1975: 56), cited in Gazdar (1979).

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 9.2 Meanings of English words vs. logical operators

would most naturally be interpreted with the exclusive reading, and which with
the inclusive reading.) Does this variable interpretation mean that English or is
ambiguous?

(5) a. Every year the Foundation awards a scholarship to a student of

Swedish or Norwegian ancestry.
b. You can take the bus or the train and still arrive by 5 o’clock.
c. If the site is in a particularly sensitive area, or there are safety
considerations, we can refuse planning permission.4
d. Stop or I’ll shoot!5

Finally let us briefly consider the meaning of material implication (→) com-
pared with English if. If these two meant the same thing, then according to the
truth table for material implication in Chapter 4, all but one of the sentences in
(6) should be true. (The reader can refer to the truth table to determine which
of these sentences is predicted to be false.) However, most English speakers find
all of these sentences very odd; many speakers are unwilling to call any of them
true.

(6) a. If Socrates was a woman then 1 + 1 = 3.6

b. If 2 is odd then 2 is even.6
c. If a triangle has three sides then the moon is made of green cheese.
d. If the Chinese invented gunpowder then Martin Luther was German.

Similarly, analyzing English if as material implication in (7) would predict

some unlikely inferences, based on the rule of modus tollens.

(7) a. If you’re hungry, there’s some pizza in the fridge.

(predicted inference: #If there’s no pizza in the fridge, then you’re not
hungry.)
b. If you really want to know, I think that dress is incredibly ugly.
(predicted inference: #If I don’t think that dress is ugly, then you
don’t really want to know.)

Part of the oddness of the “true” sentences in (6) relates to the fact that material
implication is defined strictly in terms of truth values; there does not have to
4 Saeed (2009: 113).
5 Saeed (2009: 113).
6 http://en.wikipedia.org/wiki/Material_conditional

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9 Pragmatic inference after Grice

be any connection between the meanings of the two propositions. English if,
on the other hand, is normally used only where the two propositions do have
some sensible connection. Whether this preference can be explained purely in
pragmatic terms is an interesting issue, as is the question of how many senses we
need to recognize for English if and whether any of these senses are equivalent
to →. We will return to these questions in Chapter 19. In the present chapter we
focus on the meanings of and and or.

9.2.1 On the ambiguity of and

In Chapter 8 we mentioned that the sequential (‘and then’) use of English and can
be analyzed as a generalized conversational implicature motivated by the maxim
of manner, under the assumption that its semantic content is simply logical and
(∧). An alternative analysis, as mentioned above, involves the claim that English
and is polysemous, with logical and (∧) and sequential ‘and then’ as two distinct
senses. Clearly both uses of and are possible, given the appropriate context; ex-
ample (8a) (like (1a) above) is an instance of the logical and use, while (8b) (like
(1b-c) above) is most naturally interpreted as involving the sequential ‘and then’
use. The question is whether we are dealing with semantic ambiguity (two dis-
tinct senses) or pragmatic inference (one sense plus a potential conversational
implicature). How can we decide between these two analyses?

(8) a. Hitler was Austrian and Stalin was Georgian.

b. They got married and had a baby.

Horn (2004) mentions several arguments against the lexical ambiguity analysis
for and:

i. The same two uses of and are found in most if not all languages. Under the
semantic ambiguity analysis, the corresponding conjunction in (almost?)
every language would just happen to be ambiguous in the same way as in
English.

ii. No natural language contains a conjunction shmand that would be ambigu-

ous between “and also” and “and earlier” readings so that They had a baby
shmand they got married would be interpreted either atemporally (logical
and) or as “They had a baby and, before that, they got married.”

iii. Not only temporal but causal asymmetry (‘and therefore’, illustrated in
(1d)) would need to be treated as a distinct sense. And a variety of other

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 9.2 Meanings of English words vs. logical operators

uses (involving “stronger” or more specific uses of the conjunction) arise

in different contexts of utterance. How many senses are we prepared to
recognize?
iv. The same “ambiguity” exhibited by and arises when two clauses describing
related events are simply juxtaposed (They had a baby. They got married.).
This suggests that the sequential interpretation is not in fact contributed
by the conjunction and.
v. The sequential ‘and then’ interpretation is defeasible, as illustrated in (9).
This strongly suggests that we are dealing with conversational implicature
rather than semantic ambiguity.
(9) They got married and had a baby, but not necessarily in that order.
Taken together, these arguments seem quite persuasive. They demonstrate
that English and is not polysemous; its semantic content is logical and (∧). The
sequential ‘and then’ use can be analyzed as a generalized conversational impli-
cature.

9.2.2 On the ambiguity of or

As noted in Chapter 4, similar questions arise with respect to the meaning(s)
of or. The English word or can be used in either the inclusive sense (∨) or the
exclusive sense (XOR). The inclusive reading is most likely in (10a–b), while the
exclusive reading is most likely in (10c–d).
(10) a. Mary has a son or daughter.7
b. We would like to hire a sales manager who speaks Chinese or Korean.
c. I can’t decide whether to order fried noodles or pizza.
d. Stop or I’ll shoot!8
Barbara Partee points out that examples like (11) are sometimes cited as sen-
tences where only the exclusive reading of or is possible; but in fact, such ex-
amples do not distinguish the two senses. These are cases where our knowledge
of the world makes it clear that both alternatives cannot possibly be true. She
says that such cases involve “intrinsically mutually exclusive alternatives”. Be-
cause we know that p∧q cannot be true in such examples, p∨q and pXORq are
indistinguishable; if one is true, the other must be true as well.
7 Barbara Partee, 2004 lecture notes. http://people.umass.edu/partee/RGGU_2004/RGGU047.pdf
8 Saeed (2009: 113).

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9 Pragmatic inference after Grice

(11) a. Mary is in Prague or she is in Stuttgart.9

b. Christmas falls on a Friday or Saturday this year.

Grice (1978) argues that English or, like and, is not polysemous. Rather, its
semantic content is inclusive or (∨), and the exclusive reading arises through a
conversational implicature motivated by the maxim of quantity.
In fact, using or can trigger more than one implicature. If a speaker says p or q
but actually knows that p is true, or that q is true, he is not being as informative
as required or expected. So the statement p or q triggers the implicature that
the speaker does not know p to be true or q to be true. By the same reasoning, it
triggers the implicature that the speaker does not know either p or q individually
to be false. Now if p and q are both true, and the speaker knows it, it would be
more informative (and thus expected) for the speaker to say p and q. If he instead
says p or q, he is violating the maxim of quantity. Thus the statement p or q also
triggers the implicature that the speaker is not in a position to assert p and q.
So in contexts where the speaker might reasonably be expected to know if p
and q were true, the statement p or q will trigger the implicature that p and q is
not true, which produces the exclusive reading. When nothing can be assumed
about the speaker’s knowledge, it is harder to see how to derive the exclusive
reading from Gricean principles; several different explanations have been pro-
posed. But another reason for thinking that the exclusive reading arises through
a conversational implicature is that it is defeasible, e.g. I will order either fried
noodles or pizza; in fact I might get both.
Gazdar (1979: 81–82) presents another argument against analyzing English or
as being polysemous. If or is ambiguous between an inclusive and an exclusive
sense, then when sentences containing or are negated, the result should also
be ambiguous, with senses corresponding to ¬(p∨q) vs. ¬(pXORq). The crucial
difference is that ¬(pXORq) will be true and ¬(p∨q) false if p∧q is true. (The
reader should consult the truth tables in Chapter 4 to see why this is the case.)
For example, if or were ambiguous, sentence (12a) should allow a reading which
is true if Mary has both a son and a daughter, and (12b) should allow a reading
under which I would allow my daughter to marry a man who both smokes and
drinks. However, for most English speakers these readings of (12a–b) are not
possible, at least when the sentences are read with normal intonation

(12) a. Mary doesn’t have a son or daughter.10

b. The man who marries my daughter must not smoke or drink.

9 Barbara Partee, 2004 lecture notes. http://people.umass.edu/partee/RGGU_2004/RGGU047.pdf

10 Barbara Partee, 2004 lecture notes. http://people.umass.edu/partee/RGGU_2004/RGGU047.pdf

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 9.3 Explicatures: bridging the gap between what is said vs. what is implicated

Grice (1978: 47), in the context of discussing the meaning of or, proposed a prin-
ciple which he called Modified Occam’s Razor: “Senses are not to be multiplied
beyond necessity.” This principle would lead us to favor an analysis of words like
and and or as having only a single sense, with additional uses being derived by
pragmatic inference, unless there is clear evidence in favor of polysemy.

9.3 Explicatures: bridging the gap between what is said vs.

what is implicated
Grice’s model seems to assume that the speaker meaning (total meaning that the
speaker intends to communicate) is the sum of the sentence meaning (“what is
said”, i.e., the meaning linguistically encoded by the words themselves) plus im-
plicatures. Moreover, implicatures were assumed not to affect the truth value of
the proposition expressed by the sentence; truth values were assumed to depend
only on sentence meaning.11
In many cases, however, the meaning linguistically encoded by the words
themselves does not amount to a complete proposition, and so cannot be evalu-
ated as being either true or false. Grice recognized that the proposition expressed
by a sentence like (13a) is not complete, and its truth value cannot be determined,
until the referents of pronouns and deictic elements are specified. Most authors
also assume that any potential ambiguities in the linguistic form (like the syn-
tactic and lexical ambiguities in 13b) must be resolved before the propositional
content and truth conditions of the sentence can be determined.

(13) a. She visited me here yesterday.

b. Old men and women gathered at the bank.

Determining reference and disambiguation both depend on context, and so

involve a limited kind of pragmatic reasoning. However, it turns out that there
are many cases in which more significant pragmatic inferences are required in
order to determine the propositional content of the sentence. Kent Bach (1994)
identifies two sorts of cases where this is needed: “Filling in is needed if the
sentence is semantically under-determinate, and fleshing out will be needed if
the speaker cannot plausibly be supposed to mean just what the sentence means.”
The first type, which Bach refers to as semantic under-determination, in-
volves sentences which fail to express a complete proposition (something capable
11 Of course, the implicatures themselves also have propositional content, which may be true or
false/misleading even if the literal sentence meaning is true.

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9 Pragmatic inference after Grice

of being true or false), even after the referents of pronouns and deictic elements
have been determined and ambiguities resolved; some examples are presented in
(14).12

(14) a. Steel isn’t strong enough.

b. Strom is too old.
c. The princess is late.
d. Tipper is ready.

In these cases a process of completion (or “filling in” the missing information)
is required to produce a complete proposition. This involves adding information
to the propositional meaning which is unexpressed but implicit in the original
sentence, as indicated in (15). The hearer must be able to provide this information
from context and/or knowledge of the world. The truth values of these sentences
can only be determined after the implicit constituent is added to the overtly ex-
pressed meaning.

(15) a. Steel isn’t strong enough [to stop this kind of anti-tank missile].
b. Strom is too old [to be an effective senator].
c. The princess is late [for the party].
d. Tipper is ready [to dance].

The under-determination of the sentences in (14) is not due to syntactic dele-

tion or ellipsis; they are semantically incomplete, but not syntactically incom-
plete. The examples in (16–17) show that the potential for occurring in such con-
structions may be lexically specific, and that close synonyms may differ in this
respect.

(16) a. The king has arrived [at the palace].

b. * The king has reached.

(17) a. Al has finished [speaking].

b. * Al has completed.

The second type of sentence that Bach discusses involves those in which “there
is already a complete proposition, something capable of being true or false (as-
suming linguistically unspecified references have been assigned and any ambi-
guities have been resolved), albeit not the one that is being communicated by the
12 Examples (14–19) are adapted from K. Bach (1994).

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 9.3 Explicatures: bridging the gap between what is said vs. what is implicated

speaker.” For example, imagine that a mother says (18a) to her young son who is
crying loudly because he cut his finger.
(18) a. You’re not going to die.
b. You’re not going to die [from this cut].
Clearly she does not intend to promise immortality, although that is what
the literal meaning of her words seems to say. In order to determine the in-
tended propositional content of the sentence, the meaning has to be expanded
(or “fleshed out”) as shown in (18b). Once again, the hearer must be able to pro-
vide this additional information from context and/or knowledge of the world. A
more complex kind of pragmatic reasoning is required here than would be in-
volved in assigning referents to deictic elements or resolving lexical ambiguities.
Further examples are provided in (19), illustrating how identical sentence struc-
tures can be expanded differently on the basis of knowledge about the world.
(19) a. I have eaten breakfast [today].
b. I have eaten caviar [before].
c. I have nothing to wear [nothing appropriate for a specific event].
d. I have nothing to repair [nothing at all].
Bach uses the term impliciture to refer to the kinds of inference illustrated in
this section. The choice of this label is not ideal, because the words impliciture
and implicature look so much alike. A very similar concept is discussed within
Relevance Theory under the label explicature,13 expressing the idea that the
overtly expressed content of the sentence needs to be explicated in order to arrive
at the full sentence meaning intended by the speaker. In the discussion that
follows we will adopt the term explicature.14
K. Bach (1994: 11) describes the difference between “impliciture” (=explicature)
and implicature as follows:

Although both impliciture and implicature go beyond what is explicit in

the utterance, they do so in different ways. An implicatum is completely
separate from what is said and is inferred from it (more precisely, from the
saying of it). What is said is one proposition and what is communicated
in addition to that is a conceptually independent proposition, a proposition
with perhaps no constituents in common with what is said…
13 Sperber & Wilson (1986); Carston (1988).
14 We are ignoring for now the relatively minor differences between Bach’s notion of impliciture
and the Relevance Theory notion of explicature; see K. Bach (2010) for discussion.

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9 Pragmatic inference after Grice

In contrast, implicitures are built up from the explicit content of the utter-
ance by conceptual strengthening … which yields what would have been
made fully explicit if the appropriate lexical material had been included in
the utterance. Implicitures are, as the name suggests, implicit in what is
said, whereas implicatures are implied by (the saying of) what is said.

In other words, implicatures are distinct from sentence meaning. They are
communicated in addition to the sentence meaning and have independent truth
values. A true statement could trigger a false implicature, or vice versa. Explica-
tures are quite different. The truth value of the sentence cannot be determined
until the explicatures are added to the literal meanings of the words.
Since explicatures involve pragmatic reasoning, we must recognize the fact
that pragmatic inferences can affect truth-conditional content. Further evidence
that supports this same conclusion is discussed in the following section.

9.4 Implicatures and the semantics/pragmatics boundary

In Chapter 1 we defined the semantic content of an expression as the meaning
that is associated with the words themselves, independent of context. We de-
fined pragmatic meaning as the meaning which arises from the context of the
utterance. We have implicitly assumed that the truth conditions of a sentence
depend only on the “semantic content” or sentence meaning, and not on prag-
matic meaning. Many authors have made the same assumption, using the term
“truth conditional meaning” as a synonym for “sentence meaning”. However,
our discussion of explicatures has demonstrated that this view is too simplistic.
Additional challenges to this simplistic view arise from research on implicatures.
As already discussed in Chapter 8, the conventional implicatures associated
with words like but or therefore are part of the conventional meaning of these
words, and not context-dependent; they would be part of the relevant dictionary
definitions and must be learned on a word-by-word basis. Nevertheless, both
Frege and Grice argued that these conventional implicatures do not contribute
to the truth conditions of a sentence. So conventional meaning is not always
truth-conditional. We will discuss this issue in more detail in Chapter 11.
The opposite situation has been argued to hold in the case of generalized con-
versational implicatures. In §9.2 above we presented compelling evidence which
shows that the sequential ‘and then’ use of and is not due to lexical ambiguity
(polysemy), but must be a pragmatic inference. It is often cited as a paradigm
example of generalized conversational implicature. However, as noted by Levin-

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 9.4 Implicatures and the semantics/pragmatics boundary

son (1995; 2000) among others, this inference does affect the truth conditions of
the sentence in examples like (20–21). Sentence (20a) could be judged to be true
in the same context where (20b) is judged to be false. This difference can only
be due to the sequential interpretation of and; if and means only ∧, then the
two sentences are logically equivalent. Similarly, if and means only ∧, then (21)
should be a contradiction; the fact that it is not can only be due to the sequential
interpretation of and.
(20) a. If the old king has died of a heart attack and a republic has been
declared, then Tom will be quite content.15
b. If a republic has been declared and the old king has died of a heart
attack, then Tom will be quite content.16
(21) If he had three beers and drove home, he broke the law; but if he drove
home and had three beers, he did not break the law.
Such examples have been extensively debated, and a variety of analyses have
been proposed. For example, proponents of Relevance Theory argue that the
sequential ‘and then’ use of and is an explicature: a pragmatic inference that
contributes to truth conditions.17 A similar analysis is proposed for most if not all
of the inferences that Grice and the “neo-Griceans” have identified as generalized
conversational implicatures: within Relevance Theory they are generally treated
as explicatures.
This controversy is too complex to address in any detail here, but we might
make one observation in passing. At the beginning of Chapter 8 we provided
an example (the story of the captain and his mate) of how we can use a true
statement to implicate something false. That example involved a particularized
conversational implicature, but it is possible to do the same thing with gener-
alized conversational implicatures as well. The following example involves a
scalar implicature. It is taken from a news story about how Picasso’s famous
mural “Guernica” was returned to Spain after Franco’s death. The phrase Not all
of them in this context implicates not none (that is, ‘I have some of them’) by the
maxim of Quantity, because none is a stronger (more informative) term than not
all.
(22) To demonstrate that the Spanish Government had in fact paid Picasso to
paint the mural in 1937 for the Paris International Exhibition, Mr.
15 Cohen (1971: 58).
16 Gazdar (1979: 69).
17 Carston (1988; 2004).

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9 Pragmatic inference after Grice

Fernandez Quintanilla had to secure documents in the archives of the late

Luis Araquistain, Spain’s Ambassador to France at the time. But
Araquistain’s son, poor and opportunistic, demanded $2 million for the
archives, which Mr. Fernandez Quintanilla rejected as outrageous. He
managed, however, to obtain from the son photocopies of the pertinent
documents, which in 1979 he presented to Roland Dumas [Picasso’s
lawyer]…
“This changes everything,” a startled Mr. Dumas told the Spanish envoy
when he showed him the photocopies of the Araquistain documents.
“You of course have the originals?” the lawyer asked casually. “Not all of
them,” replied Mr. Fernandez Quintanilla, not lying but not telling the
truth, either.
[The New York Times, November 2, 1981; cited in Horn (1992)]
Mr. Fernandez Quintanilla was not lying, because the literal sentence meaning
of his statement was true. But he was not exactly telling the truth either, because
his statement triggered (and was clearly intended to trigger) an implicature that
was false; in fact he had none of the originals.
Such examples show that generalized conversational implicatures can be used
to communicate false information, even when the literal meaning of the sentence
is true. It would be hard to account for this fact if these generalized conversa-
tional implicatures are considered to be explicatures, because explicatures do not
have a truth value that is independent of the truth value of the literal sentence
meaning. Rather, explicatures represent inferences that are needed in order to
determine the truth value of the sentence.

9.4.1 Why numeral words are special

Scalar implicatures have received an enormous amount of attention in the recent
pragmatics literature. Many early discussions of scalar implicatures relied heav-
ily on examples involving cardinal numbers, which seem to form a natural scale
(1, 2, 3, …). However, various authors have pointed out that numbers behave
differently from other scalar terms.
Horn (2004) uses examples (23–25) to bring out this difference. On the scale
<none, some, many, all>, all is a stronger (more informative) term than many.
Therefore, by the maxim of quantity, A’s use of many in (23) entails ‘(at least)
many’ and implicates ‘not all’.18 B’s reply states that the implicature does not
18 Many is used here in its proportional sense; see Chapter 14 for discussion.

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 9.4 Implicatures and the semantics/pragmatics boundary

in fact hold in the current situation; but this does not render the propositional
content of the sentence false. That is why it would be unnatural for B to begin
the reply with No, as in B1. The acceptability of reply B2 follows from the fact
that implicatures are defeasible.

(23) A: Did many of the guests leave?

B1: ?No, all of them.
B2: Yes, (in fact) all of them.

If numerals behaved in the same way as other scalars, we would expect A’s use
of two in (24) to entail ‘at least two’ and implicate ‘not more than two’. However,
if B actually does have more than two children, it seems to be more natural here
for B to reply with No rather than Yes. This indicates that B is rejecting the literal
propositional content of the question, not an implicature.

(24) A: Do you have two children?

B1: No, three.
B2: ?Yes, (in fact) three.

Such examples suggest that numerals like two allow two distinct readings: an
‘at least 2’ reading vs. an ‘exactly 2’ reading, and that neither of these is derived as
an implicature from the other. A’s question in (24) is most naturally interpreted
as involving the ‘exactly’ reading. However, there are certain contexts (such as
discussing a government subsidy that is available for families with two or more
children) in which the ‘at least’ reading would be preferred, and in such contexts
reply B2 would be more natural.
Example (25a) is acceptable under the ‘exactly 3’ reading of the numeral, under
which not three is judged to be true whether the actual number is more than three
or less than three. The fact that (25b) is unacceptable shows that the word like
does not have an ‘exactly (or merely) like’ reading. Based on the scale <hate,
dislike, neutral, like, love/adore>, using the word like entails ‘at least like (=have
positive feelings)’ and implicates ‘not more than like (not love/adore)’. Sentence
(25b) attempts to negate the both the entailment and the implicature at the same
time, and the result is unacceptable.19

(25) a. Neither of us has three kids — she has two and I have four.
b. # Neither of us liked the movie — she adored it and I hated it.
19 Ofcourse, as pointed out at the end of Chapter 8, given the right context and using a special
marked intonation it is sometimes possible to negate the implicature alone, as in: “She didn’t
líke the movie — she adóred it.”

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9 Pragmatic inference after Grice

Horn (1992) notes several other properties which set numerals apart from other
scalar terms, and which demonstrate the two distinct readings for numerals:

1. Mathematical statements do not allow “at least” readings (26a). Also, round
numbers are more likely to allow “at least” readings than very precise num-
bers (26b–c).

(26) a. * 2 + 2 = 3 (should be true under “at least 3” reading)

b. I have $200 in my bank account, if not more.
c. I have $201.37 in my bank account, #if not more.

2. Numerical scales are potentially reversible depending on the context (27–

28); this kind of reversal is not possible with other scalar terms (29).

(27) a. That bowler is capable of breaking 100 (he might even score
150).
b. That golfer is capable of breaking 100 (he might even score 90).

(28) a. You can survive on 2000 calories per day (or more).
b. You can lose weight on 2000 calories per day (or less).

(29) a. He ate some of your mangoes, if not all/*none of them.

b. This classroom is always warm, if not hot/*cool.

3. The “at least” interpretation is only possible with the distributive reading
of numerals, not the collective reading (30); this is not the case with other
scalar quantifiers (31).

(30) a. Four salesmen have called me today, if not more.

b. Four students carried this sofa upstairs for me, #if not more.

(31) a. Most of the students have long hair, perhaps all of them.
b. Most of the students surrounded the stadium, perhaps all of
them.

4. The “at least” interpretation is disfavored when a numeral is the focus of a

question (32), but this is not the case with other scalar quantifiers (33):

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 9.5 Conclusion

(32) Q: Do you have two children?

A1: No, three.
A2: ?Yes, in fact three.

(33) Q: Are many of your friends linguists?

A1: ⁇No, all of them.
A2: Yes, in fact all of them.

It is important to bear in mind that sentences like (34) can have different truth
values depending on which reading of the numeral is chosen:
(34) If Mrs. Smith has three children, there will be enough seatbelts for the
whole family to ride together.
One possible analysis might be to treat the alternation between the ‘at least
n’ vs. ‘exactly n’ readings as a kind of systematic polysemy. However, it seems
that most pragmaticists prefer to treat numeral words as being underspecified
or indeterminate between the two, with the intended reading in a given context
being supplied by explicature.20

9.5 Conclusion
The large body of work exploring the implications of Grice’s theory has forced us
to recognize that Grice’s relatively simple view of the boundary between seman-
tics and pragmatics is not tenable. Early work in pragmatics often assumed that
pragmatic inferences did not affect the truth-conditional content of an utterance,
apart from the limited amount of contextual information needed for disambigua-
tion of ambiguous forms, assignment of referents to pronouns, etc. Under this
view, truth-conditional content is almost the same thing as conventional mean-
ing.
In this chapter we have discussed various ways in which pragmatic inferences
do contribute to truth-conditional content. We have seen that some (at least) gen-
eralized conversational implicatures affect truth-conditions, and we have seen
that other types of pragmatic inferences, which we refer to as explicatures, are
needed in order to determine the truth value of a sentence. In Chapter 11 we
discuss the opposite kind of challenge, namely cases where conventional mean-
ing (semantic content) does not contribute to the truth-conditional meaning of
a sentence. But first, in Chapter 10, we discuss a special type of conversational
implicature known as an indirect speech act.
20 See for example Horn (1992) and Carston (1998).

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9 Pragmatic inference after Grice

Further reading

Birner (2012/2013: ch. 3) presents a good overview of the issues discussed

here, including a very helpful comparison of Relevance Theory with the
“neo-Gricean” approaches of Levinson and Horn. Horn (2004) and Carston
(2004) provide helpful surveys of recent work on implicature, Horn from
a neo-Gricean perspective and Carston from a Relevance Theory perspec-
tive. K. Bach (2010) discusses the differences between his notion of “implic-
iture” and the Relevance Theory notion of explicature. Geurts (2011) pro-
vides a good introduction to, and a detailed analysis of, scalar and quantity
implicatures.

Discussion exercises
A. Explicature. Identify the explicatures which would be necessary in
order to evaluate the truth value for each of the following examples:a

1. He arrived at the bank too early.

2. All students must pass phonetics.

3. No-one goes there anymore.

4. To buy a house in London you need money.

5. [Max: How was the party? Did it go well?]

Amy: There wasn’t enough drink and everyone left early.

B. Pragmatics in the lexicon. Horn (1972) observes that many languages

have lexical items which express positive universal quantification (all, ev-
ery, everyone, everything, always, both, etc.) and the corresponding nega-

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 9.5 Conclusion

tive concepts (no, none, nothing, no one, never, neither, etc.). In each case,
the positive term can be paraphrased in terms of the corresponding neg-
ative, and vice versa. For example, Everything is negotiable can be para-
phrased as Nothing is non-negotiable. However, most languages seem to
lack negative counterparts to the existential quantifiers (some, someone,
sometimes, etc.). In order to paraphrase an existential statement like Some-
thing is negotiable, we have to use a quantifying phrase, rather than a sin-
gle word, as in Not everything is non-negotiable.
Try to formulate a pragmatic explanation for this lexical asymmetry, i.e.,
the fact that few if any languages have lexical items that mean not every-
thing, not everyone, not always, not both, etc. (Hint: think about the kinds
of implicatures that might be triggered by the various classes of quantify-
ing words.)
a Examples (3-5) are taken from Carston & Hall (2012).

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10 Indirect Speech Acts
10.1 Introduction
Deborah Tannen (1981) recounts the following experience as a visitor to Greece:

While I was staying with a family on the island of Crete, no matter how
early I awoke, my hostess managed to have a plate of scrambled eggs wait-
ing on the table for me by the time I was up and dressed; and at dinner every
evening, dessert included a pile of purple seeded grapes. Now I don’t happen
to like seeded grapes or eggs scrambled, but I had to eat them both because
they had been set out—at great inconvenience to my hosts—especially for
me. It turned out that I was getting eggs scrambled because I had asked,
while watching my hostess in the kitchen, whether she ever prepared eggs
by beating them, and I was getting grapes out of season because I had asked
at dinner one evening how come I hadn’t seen grapes since I had arrived in
Greece. My hosts had taken these careless questions as hints—that is, indi-
rect expressions of my desires. In fact, I had not intended to hint anything,
but had merely been trying to be friendly, to make conversation.

Tannen’s hosts believed that she was trying to communicate more than the
literal meaning of her words, that is, that she was trying to implicate something
without saying it directly. Moreover, the implicature which they (mistakenly)
understood had the effect of doing more than the literal meaning of her words
would do. Her utterances, taken literally, were simply questions, i.e., requests
for information. Her hosts interpreted these utterances as implicated requests
to provide her with scrambled eggs and grapes. In other words, Tannen’s hosts
interpreted these utterances as indirect speech acts.
A speech act is an action that speakers perform by speaking: offering thanks,
greetings, invitations, making requests, giving orders, etc. A direct speech act
is one that is accomplished by the literal meaning of the words that are spoken.
An indirect speech act is one that is accomplished by implicature.
Tannen (1981) states that “misunderstandings like these are commonplace be-
tween members of what appear to (but may not necessarily) be the same culture.
10 Indirect Speech Acts

However, such mix ups are especially characteristic of cross-cultural communi-

cation.”1 For this reason, indirect speech acts are a major focus of research in the
areas of applied linguistics and second language acquisition. They also constitute
a potential challenge for translation.
We begin this chapter in §10.2 with a summary of J.L. Austin’s theory of speech
acts, another foundational contribution to the field of pragmatics. Austin begins
by identifying and analyzing a previously unrecognized class of utterances which
he calls performatives. He then generalizes his account of performatives to
apply to all speech acts.
In §10.3 we summarize Searle’s theory of indirect speech acts. Searle builds
on Austin’s theory, with certain modifications, and goes on to propose answers
to two fundamental questions: How do hearers recognize indirect speech acts
(i.e., how do they know that the intended speech act is not the one expressed by
the literal meaning of the words spoken), and having done so, how do they cor-
rectly identify the intended speech act? (Both of these issues tend to be difficult
for even advanced language learners.) An important part of Searle’s answer to
these questions is the recognition that indirect speech acts are a special type of
conversational implicature.
In §10.4 we touch briefly on some cross-linguistic issues, including the ques-
tion of whether Searle’s theory provides an adequate account for indirect speech
acts in all languages.

10.2 Performatives
In Chapter 3 we cited the definition of sentence meaning repeated here in (1):
(1) “To know the meaning of a [declarative] sentence is to know what the
world would have to be like for the sentence to be true.”2
Perhaps you wondered, gentle reader, how we might define the meaning of a
non-declarative sentence, such as a question or a command? It must be possible
for someone to know the meaning of a question without knowing what the world
would have to be like for the question to be true —a question is not the sort
of thing which can be true, but clearly this does not mean that questions are
meaningless.
The semantic analysis of questions and commands is an interesting and chal-
lenging area of research, but one that we will not attempt to address in the
1 See also Tannen (1975; 1986).
2 Dowty et al. (1981: 4).

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 10.2 Performatives

present book. Even if we restrict our attention to declarative sentences, how-

ever, we find some for which the definition in (1) does not seem to be directly
applicable. J.L. Austin, in a 1955 series of lectures at Harvard University (pub-
lished as Austin 1962), called attention to a class of declarative sentences which
cannot be assigned a truth value, because they do not make any claim about the
state of the world. Some examples are presented in (2–3).3
Austin’s examples:

(2) a. ‘I do’ (sc. take this woman to be my lawful wedded wife) — as uttered
in the course of the marriage ceremony.
b. ‘I name this ship the Queen Elizabeth’ — as uttered when smashing
the bottle against the stem.
c. ‘I bet you sixpence it will rain tomorrow.’

(3) Further examples:

a. I hereby sentence you to 10 years in prison.
b. I now pronounce you man and wife.
c. I declare this meeting adjourned.
d. By virtue of the authority vested in me by the State of XX, and
through the Board of Governors of the University of XX, I do hereby
confer upon each of you the degree for which you have qualified,
with all the rights, privileges and responsibilities appertaining.

Austin pointed out that when someone says I now pronounce you man and wife
or I hereby declare this meeting adjourned, the speaker is not describing some-
thing, but doing something. The speaker is not making a claim about the world,
but rather changing the world. For this reason, it doesn’t make sense to ask
whether these statements are true or false. It does, however, make sense to ask
whether the person’s action was successful or appropriate. Was the speaker li-
censed to perform a marriage ceremony at that time and place, or empowered
to pass sentence in a court of law? Were all the necessary procedures followed
completely and correctly? etc.
Austin called this special class of declarative sentences performatives. He
argued that we need to recognize performatives as a new class of speech acts
(things that people can do by speaking), in addition to the commonly recognized
speech acts such as statements, questions, and commands. Austin refers to the
3 Much of the discussion in this section is based on Austin (1961), which is the transcript of an
unscripted radio address he delivered on the BBC in 1956.

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10 Indirect Speech Acts

act which the speaker intends to perform by speaking as the illocutionary

force of the utterance.4
As noted above, it does not make sense to try to describe truth conditions for
performatives. Instead, Austin says, we need to identify the conditions under
which the performative speech act will be felicitous, i.e. successful, valid, and
appropriate. He identifies the following kinds of Felicity Conditions:

(4) Felicity Conditions (Austin 1962: 14–15):

(A.1) There must exist an accepted conventional procedure having a
certain conventional effect, that procedure to include the uttering of
certain words by certain persons in certain circumstances, and
further,
(A.2) the particular persons and circumstances in a given case must be
appropriate for the invocations of the particular procedure invoked.
(B.1) The procedure must be executed by all participants both correctly
and
(B.2) completely.
(C.1) Where, as often, the procedure is designed for use by persons
having certain thoughts or feelings, or for the inauguration of
certain consequential conduct on the part of any participant, then a
person participating in and so invoking the procedure must in fact
have those thoughts or feelings, and the participants must intend so
to conduct themselves, and further
(C.2) must actually so conduct themselves subsequently.5

Austin referred to violations of conditions A–B as misfires; if these conditions

are not fulfilled, then the intended acts are not successfully performed or are in-
valid. For example, if a person who is not licensed to perform a marriage cere-
mony says I now pronounce you man and wife, the couple being addressed does
not become legally married as a result of this utterance. Violations of C Austin
called abuses. If this condition is violated, the speech act is still performed and
would be considered valid, but it is done insincerely or inappropriately. For exam-
ple, if someone says I promise to return this book by Sunday, but has no intention

4 Austin distinguished illocutionary act, the act which the speaker intends to perform “in
speaking”, from locutionary act (the act of speaking) and perlocutionary act (the actual
result achieved “by speaking” the utterance).
5 I have replaced Austin’s “gamma” (Γ) with “C”, for convenience.

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 10.2 Performatives

of doing so, the utterance still counts as a promise; but it is an insincere promise,
a promise which the speaker intends to break.
Performatives can be distinguished from normal declarative sentences by the
following special features:

(5) Properties of explicit performatives:

• They always occur in indicative mood and simple present tense,
with a non-habitual interpretation. As we will see in Chapter 20,
the simple present form of an event-type verb in English typically
requires a habitual interpretation; but this is not the case for the
examples in (2–3).
• They frequently contain a performative verb, i.e. a verb which can
be used either to describe or to perform the intended speech act (e.g.
sentence, declare, confer, invite, request, order, accuse, etc.).
• Performative clauses normally occur in active voice with a first
person subject, as in (2–3), but passive voice with second or third
person subject is possible with certain verbs; see examples in (6).
• Performatives can optionally be modified by the performative
adverb hereby; this adverb cannot be used with non-performative
statements.

(6) a. Passengers are requested not to talk to the driver while the bus is
moving.
b. You are hereby sentenced to 10 years in prison.
c. Permission is hereby granted to use this software for non-commercial
purposes.
d. Richard Smith is hereby promoted to the rank of Lieutenant Colonel.

Austin refers to performative sentences which exhibit the features listed in (5)
as explicit performatives. He notes that explicit performatives can often be
paraphrased using sentences which lack some or all of these features. For ex-
ample, the performative I hereby order you to shut the door is more commonly
expressed using a simple imperative, Shut the door! Similarly, the performative
I hereby invite you to join me for dinner would be more politely and naturally
expressed using a question, Would you like to join me for dinner? Since the same
speech act can be performed with either expression, it would seem odd to clas-
sify one as a performative but not the other. We will refer to utterances which
function as paraphrases of explicit performatives but lack the features listed in
(5) as implicit performatives.

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10 Indirect Speech Acts

Conversely, it turns out that most speech acts can be paraphrased using an
explicit performative. For example, the question Is it raining? can be paraphrased
as a performative: I hereby ask you whether it is raining. In the same way, simple
statements can be paraphrased I hereby inform you that…, and commands can be
paraphrased I hereby order/command you to…. Once again, if the same speech
act can be performed with either expression, it seems odd to classify one as a
performative but not the other. These observations lead us to the conclusion that
virtually all utterances should be analyzed as performatives, whether explicit or
not.
But if all utterances are to be analyzed as performatives, then the label per-
formative doesn’t seem to be very useful; what have we gained? In fact we
have gained several important insights into the meaning of sentential utterances.
First, in addition to their propositional content, all such utterances have an illo-
cutionary force, which is an important aspect of their meaning. In the case of
explicit performatives, we can identify the illocutionary force by simply looking
at the performative verb; but with implicit performatives, as discussed below, the
illocutionary force depends partly on the context of the utterance.
Second, all utterances have Felicity Conditions. Certain speech acts (namely
statements) also have truth conditions; but Felicity Conditions are something
that needs to be analyzed for all speech acts, including statements. As discussed
in the following section, in order to explain how indirect speech acts work, we
need to identify the Felicity Conditions for the intended act.
The concept of Felicity Conditions is useful in other contexts as well. For ex-
ample, it would be very odd for someone to say The cat is on the mat, but I do not
believe that it is.6 Austin suggests that this statement is not a logical contradic-
tion but rather a violation of the Felicity Conditions for statements. One of the
Felicity Conditions would be that a person should not make a statement which
he knows or believes to be false (essentially equivalent to Grice’s maxim of Qual-
ity). It is just as outrageous to make a statement and then explicitly deny that
you believe it, as it is to make a promise and then explicitly deny that you intend
to carry it out (I promise that I shall be there, but I haven’t the least intention of
being there). We might refer to such an utterance as a pragmatic contradiction.
A similar situation would arise if someone were to say All of John’s children
are bald, when in fact he knew perfectly well that John had no children. Austin
says that the problem with this statement is the same as with a man who offers
to sell a piece of land that does not belong to him. If a transaction were made
under these circumstances, it would not be legally valid; the sale would be null
6 This is an example of Moore’s paradox.

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 10.3 Indirect speech acts

and void. Austin says that the statement All of John’s children are bald would
similarly be “void for lack of reference” if John has no children. So Austin may
have been the first to suggest that presupposition failure is a pragmatic issue (an
infelicity), and not purely semantic.

10.3 Indirect speech acts

The Nigerian professor Ozidi Bariki describes a conversation in which he said to
a friend:

“I love your left hand.” (The friend had a cup of tea in his hand). The friend,
in reaction to my utterance, transferred the cup to his right hand. That
prompted me to say: “I love your right hand”. My friend smiled, recognized
my desire for tea and told his sister, “My friend wants tea”… My friend’s
utterance addressed to his sister in reaction to mine was a representative,
i.e. a simple statement: “my friend wants a tea”. The girl rightly interpreted
the context of the representative to mean a directive. In other words, her
brother (my friend) was ordering her to prepare some tea. (Bariki 2008)

This brief dialogue contains two examples of indirect speech acts. In both cases,
the utterance has the form of a simple statement, but is actually intended to per-
form a different kind of act: request in the first case and command in the second.
The second statement, “My friend wants tea,” was immediately and automati-
cally interpreted correctly by the addressee. (In African culture, when an older
brother makes such a statement to his younger sister, there is only one possible
interpretation.) The first statement, however, failed to communicate. Only after
the second attempt was the addressee able to work out the intended meaning,
not automatically at all, but as if he was trying to solve a riddle.
Bariki uses this example to illustrate the role that context plays in enabling the
hearer to identify the intended speech act. But it also shows us that context alone
is not enough. In the context of the first utterance, there was a natural association
between what was said (your left hand) and what was intended (a cup of tea); the
addressee was holding a cup of tea in his left hand. In spite of this, the addressee
was unable to figure out what the speaker meant. The contrast between this failed
attempt at communication and the immediately understood statement My friend
wants tea, suggests that there are certain principles and conventions which need
to be followed in order to make the illocutionary force of an utterance clear to
the hearer.

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10 Indirect Speech Acts

We might define an indirect speech act (following Searle 1975) as an utter-

ance in which one illocutionary act (the primary act) is intentionally performed
by means of the performance of another act (the literal act). In other words,
it is an utterance whose form does not reflect the intended illocutionary force.
My friend wants tea is a simple declarative sentence, the form which is normally
used for making statements. In the context above, however, it was correctly in-
terpreted as a command. So the literal act was a statement, but the primary act
was a command.
Most if not all languages have grammatical and/or phonological means of dis-
tinguishing at least three basic types of sentences: statements, questions, and
commands. The default expectation is that declarative sentences will express
statements, interrogative sentences will express questions, and imperative sen-
tences will express commands. When these expectations are met, we have a
direct speech act because the grammatical form matches the intended illocu-
tionary force. Explicit performatives are also direct speech acts.
An indirect speech act will normally be expressed as a declarative, interrog-
ative, or imperative sentence; so the literal act will normally be a statement,
question, or command. One of the best-known types of indirect speech act is
the Rhetorical Question, which involves an interrogative sentence but is not in-
tended to be a genuine request for information.
Why is the statement I love your left hand not likely to work as an indirect
request for tea? Searle (1969; 1975) proposes that in order for an indirect speech
act to be successful, the literal act should normally be related to the Felicity
Conditions of the intended or primary act in certain specific ways. Searle re-
stated Austin’s Felicity Conditions under four headings: preparatory condi-
tions (background circumstances and knowledge about the speaker, hearer, and/
or situation which must be true in order for the speech act to be felicitous); sin-
cerity conditions (necessary psychological states of speaker and/or hearer);
propositional content (the kind of situation or event described by the under-
lying proposition); essential condition (the essence of the speech act; what
the act “counts as”). These four categories are illustrated in Table 10.1 using the
speech acts of promising and requesting.
Generally speaking, speakers perform an indirect speech act by stating or ask-
ing about one of the Felicity Conditions (apart from the essential condition). The
examples in (7) show some sentences that could be used as indirect requests for
tea. Sentences (7a–b) ask about the preparatory condition for a request, namely
the hearer’s ability to perform the action. Sentences (7c–d) state the sincerity
condition for a request, namely that the speaker wants the hearer to perform

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 10.3 Indirect speech acts

the action. Sentences (7e–f) ask about the propositional content of the request,
namely the future act by the hearer.

(7) a. Do you have any tea?

b. Could you possibly give me some tea?
c. I would like you to give me some tea.
d. I would really appreciate a cup of tea.
e. Will you give me some tea?
f. Are you going to give me some tea?

All of these sentences could be understood as requests for tea, if spoken in the
right context, but they are clearly not all equivalent: (7b) is a more polite way of
asking than (7a); (7d) is a polite request, whereas (7c) sounds more demanding;
(7e) is a polite request, whereas (7f) sounds impatient and even rude.
Not every possible strategy is actually available for a given speech act. For
example, asking about the sincerity condition for a request is generally quite
unnatural: #Do I want you to give me some tea? This is because speakers do not
normally ask other people about their own mental or emotional states. So that
specific strategy cannot be used to form an indirect request.

Table 10.1: Felicity Conditions for promises and requests

(Adapted from Searle 1969; 1975; S = speaker; H = hearer; A = action)

promise request
preparatory (i) S is able to perform A H is able to perform A
conditions (ii) H wants S to perform A,
and S believes that H wants
S to perform A
(iii) it is not obvious that S
will perform A
sincerity S intends to perform A S wants H to perform A
condition
propositional predicates a future act by S predicates a future act by H
content
essential counts as an under- taking counts as an attempt by S
condition by S to do A to get H to do A

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10 Indirect Speech Acts

We almost automatically interpret examples like (7b) and (7e) as requests. This
tendency is so strong that it may be hard to recognize them as indirect speech
acts. The crucial point is that their grammatical form is that of a question, not a
request. However, some very close paraphrases of these sentences, such as those
in (8), would probably not be understood as requests in most contexts.

(8) a. Do you currently have the ability to provide me with tea?

b. Do you anticipate giving me a cup of tea in the near future?

We can see the difference quite clearly if we try to add the word please to
each sentence. As we noted in Chapter 1, please is a marker of politeness which
is restricted to occurring only in requests; it does not occur naturally in other
kinds of speech acts. It is possible, and in most cases fairly natural, to add please
to any of the sentences in (7), even to those which do not sound very polite on
their own. However, this is not possible for the sentences in (8). This difference
provides good evidence for saying that the sentences in (8) are not naturally
interpretable as indirect requests.

(9) a. Could you possibly give me some tea, please?

b. Will you give me some tea, please?
c. I would like you to give me some tea, please.
d. Are you going to give me some tea (?please)?
e. Do you currently have the ability to provide me with tea (#please)?
f. Do you anticipate giving me a cup of tea in the near future (#please)?

The contrast between the acceptability of (7b) and (7e) as requests vs. the unac-
ceptability of their close paraphrases in (8) suggests that the form of the sentence,
as well as its semantic content, helps to determine whether an indirect speech act
will be successful or not. We will return to this issue below, but first we need to
think about a more fundamental question: How does the hearer recognize an in-
direct speech act? In other words, how does he know that the primary (intended)
illocutionary force of the utterance is not the same as the literal force suggested
by the form of the sentence?
Searle suggests that the key to solving this problem comes from Grice’s Co-
operative Principle. If someone asks the person sitting next to him at a dinner
Can you pass me the salt?, we might expect the addressee to be puzzled. Only un-
der the most unusual circumstances would this question be relevant to the cur-
rent topic of conversation. Only under the most unusual circumstances would
the answer to this question be informative, since few people who can sit up at

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 10.3 Indirect speech acts

a dinner table are physically unable to lift a salt shaker. In most contexts, the
addressee could only believe the speaker to be obeying the Co-operative Princi-
ple if the question is not meant as a simple request for information, i.e., if the
intended illocutionary force is something other than a question.
Having recognized this question as an indirect speech act, how does the ad-
dressee figure out what the intended illocutionary force is? Searle’s solution is
essentially the Gricean method of calculating implicatures, enriched by an under-
standing of the Felicity Conditions for the intended speech act. Searle (1975) sug-
gests that the addressee might reason as follows: “This question is not relevant
to the current topic of conversation, and the speaker cannot be in doubt about
my ability to pass the salt. I believe him to be cooperating in the conversation,
so there must be another point to the question. I know that a preparatory condi-
tion for making a request is the belief that the addressee is able to perform the
requested action. I know that people often use salt at dinner, sharing a common
salt shaker which they pass back and forth as requested. Since he has mentioned
a preparatory condition for requesting me to perform this action, I conclude that
this request is what he means to communicate.”
So it is important that we understand indirect speech acts as a kind of con-
versational implicature. However, they are different in certain respects from the
implicatures that Grice discussed. For example, Grice stated that implicatures are
“non-detachable”, meaning that semantically equivalent sentences should trigger
the same implicatures in the same context. However, as we noted above, this is
not always true with indirect speech acts. In the current example, Searle points
out that the question Are you able to pass me the salt?, although a close para-
phrase of Can you pass me the salt?, is much less likely to be interpreted as a
request (#Are you able to please pass me the salt?). How can we account for this?
Searle argues that, while the meaning of the indirect speech act is calculable
or explainable in Gricean terms, the forms of indirect speech acts are partly con-
ventionalized. Searle refers to these as “conventions of usage”, in contrast to
normal idioms like kick the bucket (for ‘die’) which we might call conventions of
meaning or sense.
Conventionalized speech acts are different from normal idioms in several im-
portant ways. First, the meanings of normal idioms are not calculable or pre-
dictable from their literal meanings. The phrase kick the bucket contains no words
which have any component of meaning relating to death.
Second, when an indirect speech act is performed, both the literal and primary
acts are understood to be part of what is meant. In Searle’s terms, the primary act
is performed “by way of” performing the literal act. We can see this because, as

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illustrated in (10), the hearer could appropriately reply to the primary act alone
(A1), the literal act alone (A2), or to both acts together (A3). Moreover, in report-
ing indirect speech acts, it is possible (and in fact quite common) to use matrix
verbs which refer to the literal act rather than the primary act, as illustrated in
(11–12).
(10) Q: Can you (please) tell me the time?
A1: It’s almost 5:30.
A2: No, I’m sorry, I can’t; my watch has stopped.
A3: Yes, it’s 5:30.
(11) a. Will you (please) pass me the salt?
b. He asked me whether I would pass him the salt.
(12) a. I want you to leave now (please).
b. He told me that he wanted me to leave.
In this way indirect speech acts are quite similar to other conversational impli-
catures, in that both the sentence meaning and the pragmatic inference are part
of what is communicated. They are very different from normal idioms, which al-
low either the idiomatic meaning (the normal interpretation), or the literal mean-
ing (under unusual circumstances), but never both together. The two senses of
a normal idiom are antagonistic, as we can see by the fact that some people use
them to form (admittedly bad) puns:
(13) Old milkmaids never die — they just kick the bucket.7
Birner (2012/2013: 196) points out that under Searle’s view, indirect speech
acts are similar to generalized conversational implicatures. In both cases the im-
plicature is part of the default interpretation of the utterance; it will arise unless
it is blocked by specific features in the context, or is explicitly negated, etc. We
have to work pretty hard to create a context in which the question Can you pass
the salt? would not be interpreted as a request, but it can be done.8
Searle states that politeness is one of the primary reasons for using an indirect
speech act. Notice that all of the sentences in (7), except perhaps (7f), sound
more polite than the simple imperative: Give me some tea! He suggests that this
motivation may help to explain why certain forms tend to be conventionalized
for particular purposes.
7 Richard Lederer (1988) Get Thee to a Punnery. Wyrick & Company.
8 Searle(1975: 69) suggests that a doctor might ask such a question to check on the progress of
a patient with an injured arm.

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 10.4 Indirect speech acts across languages

10.4 Indirect speech acts across languages

Searle states that his analysis of indirect speech acts as conventions of usage
helps to explain why the intended illocutionary force is sometimes preserved in
translation, and sometimes not. (This again is very different from the idiomatic
meanings of normal idioms, which generally do not survive in translation.) He
points out that literal translations of a question like Can you help me? would be
understood as requests in French and German, but not in Czech. The reason that
the intended force is sometimes preserved in translation is that indirect speech
acts are calculable. They are motivated by Gricean principles which are widely
believed to apply to all languages, subject to a certain amount of cultural varia-
tion. The reason that the intended force is not always preserved in translation
is that indirect speech acts are partly conventionalized, and different languages
may choose to conventionalize different specific forms.
It is often difficult for non-native speakers to recognize and correctly interpret
indirect speech acts in a second language. Wierzbicka (1985: 175), for example,
states: “Poles learning English must be taught the potential ambiguity of would
you– sentences, or why don’t you– sentences, just as they must be taught the
polysemy of the word bank.” This has been a major area of research in second
language acquisition studies, and most scholars agree that this is a significant
challenge even for advanced learners of another language.
There is less agreement concerning whether the same basic principles govern
the formation of indirect speech acts in all languages. Numerous studies have
pointed out cross-linguistic differences in the use of specific linguistic features,
preferred or conventionalized patterns for specific speech acts, cultural variation
in ways of showing politeness, contexts where direct vs. indirect speech acts are
preferred, etc.
Wierzbicka (1985) argues that Searle’s analysis of indirect speech acts is not
universally applicable, but reflects an Anglo-centric bias. She points out for ex-
ample that English seems to be unusual in its strong tendency to avoid the use
of the imperative verb form. The strategy of expressing indirect commands via
questions is so strongly preferred that it is no longer a marker of politeness; it
is frequently used (at least in Australian English) in impolite speech laced with
profanity, obscenity, or other expressives indicating anger, contempt, etc. Kalisz
(1992) agrees with many of Wierzbicka’s specific observations concerning differ-
ences between English and Polish, but argues that Searle’s basic claims about the
nature of indirect speech acts are not disproven by these differences.
It is certainly true that there is a wide range of variation across languages in
terms of what counts as an apology, promise, etc., and in the specific features

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that distinguish appropriate from inappropriate ways for performing a partic-

ular speech act. For example, Olshtain & Cohen (1989) recount the following
incidents to illustrate differences in acceptable apologies between English and
Israeli Hebrew:

One morning, Mrs G., a native speaker of English now living in Israel, was
doing her daily shopping at the local supermarket. As she was pushing her
shopping cart she unintentionally bumped into Mr Y., a native Israeli. Her
natural reaction was to say “I’m sorry” (in Hebrew). Mr Y. turned to her
and said, “Lady, you could at least apologize”. On another occasion the very
same Mr Y. arrived late for a meeting conducted by Mr W. (a native speaker
of English) in English. As he walked into the room he said “The bus was
late”, and sat down. Mr W. obviously annoyed, muttered to himself “These
Israelis, why don’t they ever apologize!” [Olshtain & Cohen 1989: 53]

In a similar vein, Egner (2002) shows that in many African cultures, a promise
only counts as a binding commitment when it is repeated. Clearly there are
many significant differences across languages in the conventional features of
speech acts; but this does not necessarily mean that the underlying system which
makes it possible to recognize and interpret indirect speech acts is fundamentally
different.
Searle’s key insights are that indirect speech acts are a type of conversational
implicature, and that the felicity conditions for the intended act play a crucial
role in the interpretation of these implicatures. Given our current state of knowl-
edge, it seems likely that these basic principles do in fact hold across languages.
But like most cross-linguistic generalizations in semantics and pragmatics, this
hypothesis needs to be tested across a wider range of languages.

10.5 Conclusion
A speech act is an action that speakers perform by speaking. Languages typically
have grammatical ways of distinguishing sentence types (moods) corresponding
to at least three basic speech acts: statements, commands, and questions. When
the speaker’s intended speech act (or illocutionary force) corresponds to the
sentence type that is chosen, a direct speech act is performed. In addition, the
declarative sentence type is generally used for a special class of direct speech acts
which we call explicit performatives. When the speaker’s intended speech
act does not correspond to the sentence type that is chosen, an indirect speech

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act is performed. Indirect speech acts are conversational implicatures, and their
interpretation can be explained in Gricean terms; but in addition, they are often
partly conventionalized.
All speech acts are subject to felicity conditions, that is, conditions that must
be fulfilled in order for the speech act to be felicitous (i.e., valid and appropriate).
Successful indirect speech acts typically involve literal sentence meanings which
state or query the felicity conditions for the primary (i.e., intended) speech act.

Further reading

Birner (2012/2013: ch.6) presents a useful overview of the issues addressed

in this chapter. Austin (1961), based on a radio address he delivered on
the BBC, provides a readable, non-technical introduction to his theory of
performatives. Searle (1975) provides a concise summary of his theory of
indirect speech acts. Brown & Levinson (1978) is the foundational study of
sociolinguistic and pragmatic aspects of politeness across languages. The
volumes edited by Blum-Kulka et al. (1989) and Gass & Neu (2006) con-
tain studies on indirect speech acts in cross-cultural and second language
communication.

Discussion exercises
A. Identifying indirect speech acts. Identify both the literal and primary
act in each of the following indirect speech acts (square brackets are used
to provide [context]):
1. [S1: My motorcycle is out of the shop; let’s go for another ride.]
S2: Do you think I’m crazy?

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10 Indirect Speech Acts

2. [senior citizen dialing the police:]

I’m alone in the house and someone is trying to break down my door.

3. [S1: I’m really sorry for bumping into your car.]

S2: Don’t give it another thought.

B. Indirect speech act strategies. Assume that the felicity conditions for
offers are essentially the same as for promises. (The main difference is
that an offer does not count as a commitment on the part of the speaker
unless and until the addressee accepts it.) Try to make up one example of
a sentence that would work as an indirect offer for each of the following
strategies:

1. by querying the preparatory conditions of the direct offer;

2. by stating the preparatory conditions of the direct offer;

3. by stating the propositional content of the direct offer;

4. by stating the sincerity condition of the direct offer.

Homework exercises

A. Performatives.a State whether the following utterances would be nat-

urally interpreted as explicit performatives, and explain the evidence which
supports your conclusion.
1. I acknowledge you as my legal heir.
Model answer
I hereby acknowledge you as my legal heir is quite natural. The verb is simple
present tense, referring to a single event with no habitual meaning. It is active
indicative with first person singular subject. Therefore this utterance is an
explicit performative.

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 10.5 Conclusion

2. Smith acknowledges you as his legal heir.

3. I request the court to reconsider my petition.

4. I’m promising Mabel to take her to a movie next week.

5. I promised Mabel to take her to a movie next week.

6. I expect that you will arrive on time from now on.

7. You are advised that anything you say may be used as evidence
against you.

B. Indirect speech acts (1). For each of the following indirect speech acts,
identify both the literal and primary act.

1. [young woman to man who has just proposed to her]

I hope that we can always remain friends.
Model answer

literal act = statement; primary act = refusal.

2. [housewife to next-door neighbor]

Can you spare a cup of sugar?

3. [flight attendant to passenger who is standing in the aisle]

The captain has turned on the “fasten seatbelt” sign.

4. [host to friend who has just arrived for a visit]

How would you like a cup of coffee?

5. [office manager to colleague who has invited him to go out for lunch]
Look at that pile of papers in my inbox!

6. [addressing neighbor who has a broken arm]

I will mow your lawn for you this month.

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10 Indirect Speech Acts

C. Indirect speech acts (2). Based on felicity conditions for requests, and
using your own examples, try to form one indirect request for each of the
following strategies.

1. by querying the preparatory condition of the direct request

Model answer
preparatory condition = Hearer is able to perform action.
Possible ISAs using this strategy:
Can you give me a ride to church tomorrow?
Would you be able to give me a ride to church tomorrow?

2. by stating the preparatory condition of the direct request;

3. by querying the propositional content of the direct request;

4. by stating the sincerity condition of the direct request.

a Sections A-C are modeled after Saeed (2009: 251–253).

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11 Conventional implicature and
use-conditional meaning
11.1 Introduction
In Chapter 8 we mentioned the somewhat mysterious concept of conventional
implicature. This term was coined by Grice, but he commented only briefly on
what he meant by it. The most widely cited example of an expression that carries
a conventional implicature is the word but. Grice used the example in (1a), based
on a cliché of the Victorian era:
(1) a. She is poor but she is honest.
b. She is poor and she is honest. [Grice 1961: 127]
Grice argued that a speaker who says (1a) only asserts (1b). The word but
provides an additional element of meaning, indicating that the speaker believes
there to be a contrast between poverty and honesty. This extra element of mean-
ing (implied contrast or counter-expectation) is the conventional implicature. It
is said to be conventional because it is an inherent part of the meaning of but, and
is not derived from the context of use. Grice called it an “implicature” because
he, like Frege before him, felt that if this additional element of meaning is false
but (1b) is true, we would not say that the person who says (1a) is making a false
statement. In other words, the conventional implicature does not contribute to
the truth conditions of the statement.1
Nevertheless, someone might object to (1a) as in (2), claiming that the word
but has been misused. The core of this objection would not be the truth of the
statement in (1a) but the appropriateness of the conjunction that was chosen.
(2) What do you mean “but”? There is no conflict between poverty and
honesty!
Recent work by Christopher Potts and others has tried to clarify the nature
of conventional implicature, and has greatly extended the range of expressions
1 Recall similar comments by Frege regarding but, which were quoted in Chapter 8.
11 Conventional implicature and use-conditional meaning

which are included under this label. In this chapter we will look at some of these
expression types.
A core property of conventional implicatures is that they do not change the
conditions under which the sentence will be true, but rather the conditions under
which the sentence can be appropriately used. For this reason, some authors have
made a distinction between truth-conditional meaning vs. use-conditional
meaning.2 The truth-conditional meaning that is asserted in (1a) would be equiv-
alent to the meaning of (1b), while the implied contrast between poor vs. honest
comes from the use-conditional meaning of but. The term “use-conditional mean-
ing” seems to cover essentially the same range of phenomena as “conventional
implicature”, and we will treat these terms as synonyms.3
We begin in §11.2 with a discussion of the definition and diagnostic proper-
ties of conventional implicatures, as described by Potts. We illustrate this dis-
cussion using certain types of adverbs in English which seem to contribute use-
conditional meaning rather than truth-conditional meaning. In the rest of the
chapter we look at some use-conditional expressions in other languages: hon-
orifics in Japanese (§11.3), politeness markers in Korean (§11.4), honorific pro-
nouns and other polite register lexical choices (§11.5), and discourse particles in
German (§11.6).

11.2 Distinguishing truth-conditional vs. use-conditional

meaning
11.2.1 Diagnostic properties of conventional implicatures
A passage from Grice’s comments on conventional implicatures was quoted in
Chapter 8, which included the following discussion of the meaning of therefore:

If I say (smugly), He is an Englishman; he is, therefore, brave, I have certainly

committed myself, by virtue of the meaning of my words, to its being the
case that his being brave is a consequence of (follows from) his being an
Englishman… I do not want to say that my utterance of this sentence would
be, strictly speaking, false should the consequence in question fail to hold.
(Grice 1975: 44)

Based on Grice’s comments, Potts formulates a definition of conventional im-

plicatures that includes the following points: (i) conventional implicatures are
2 Gutzmann (2015), Recanati (2004).
3 In this we follow the usage of Gutzmann (2015).

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 11.2 Distinguishing truth-conditional vs. use-conditional meaning

(normally) beliefs of the speaker (“I have certainly committed myself”), and so
in a sense “speaker-oriented”; (ii) they are part of the intrinsic, conventional
meaning of a given expression or construction (“by virtue of the meaning of
my words”), and so are not cancellable; (iii) they do not contribute to the truth-
conditional content which is the main point of the assertion.4
Potts uses the term at-issue content to refer to the main point of an utterance:
the core information that is asserted in a statement or queried in a question. So in
Grice’s example, the at-issue content of the assertion is He is English and brave.
The conventional implicature contributed by therefore is that a causal relation-
ship exists between two situations (in this case, between being an Englishman
and being brave).
The definition outlined above leads us to expect that conventional implicatures
will have certain properties that allow us to distinguish them from other kinds
of meaning. Potts suggests that conventional implicatures are:5
conventional, i.e., semantic in nature rather than pragmatic (as we defined
those terms in Chapter 9). They must be learned as part of the meaning of a given
word or construction, and cannot be calculated from context.
secondary: not part of the at-issue content, but rather used to provide sup-
porting content, contextual information, editorial comments, evaluation, etc.
independent: separate from and logically independent of the at-issue content.
“scopeless”: since conventional implicatures are not part of the at-issue con-
tent, they are typically not altered by negation, interrogative mood, etc. Often
they take scope over the whole sentence even when embedded in subordinate
clauses.
not presupposed:6 not assumed to be shared by the addressee, in contrast to
presuppositions. So, for example, while the addressee might challenge a conven-
tional implicature, as illustrated in (2) above, the “Hey, wait a minute” response
seems less natural (3d).
Many of these properties are similar to the properties of expressive meaning
that we listed in Chapter 2. This is no accident, since expressives provide a clear
example of use-conditional meaning. The expressive term jerk in example (3a)
reflects a negative attitude toward Peterson, and this negative attitude is a belief
of the speaker. The negative attitude is not calculated from the context, but comes
directly from the conventional meaning of the word jerk. It is not part of the
at-issue content of the sentence, so a hearer who does not share this negative

4 Potts (2005; 2012); see also Horn (1997: 39).

5 Potts (2015); a similar list is presented for expressives in Potts (2007c).
6 Potts uses the term “Backgrounded” for this concept.

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11 Conventional implicature and use-conditional meaning

attitude would not judge (3a) to be a false statement. The negative attitude is still
expressed if the sentence is negated or questioned (3b–c).

(3) a. That jerk Peterson is the only economist on this committee.

b. That jerk Peterson isn’t the only economist on this committee.
c. Is that jerk Peterson the only economist on this committee?
d. #Hey, wait a minute! I didn’t know that Peterson was a jerk!

Potts lists a wide variety of other expression types that illustrate these prop-
erties, including non-restrictive relative clauses and other kinds of parenthetical
comments. In the remainder of this section we will focus on certain types of
adverbs which seem to express use-conditional meanings.

11.2.2 Speaker-oriented adverbs

In this section we will discuss two classes of English adverbs. Evaluative ad-
verbs (e.g. (un)fortunately, oddly, sadly, surprisingly, inexplicably) provide in-
formation about the speaker’s attitude toward the proposition being expressed.
Speech act adverbials (e.g. frankly, honestly, seriously, confidentially) provide
information about the manner in which the speaker is making the current state-
ment. We will use the term speaker-oriented adverbs as a generic term that
includes both of these classes.7
There are several reasons for thinking that speaker-oriented adverbs do not
contribute to the truth-conditional content of the sentence. The adverbs in (4),
for example, seem to contradict the asserted proposition: one cannot tell a lie
frankly; the faculty are unlikely to make their demand confidentially; and the
mayor, it seems, was not curious enough. Yet these sentences are not contra-
dictions, precisely because these adverbs are not understood as contributing to
the at-issue propositional content of the sentence. Rather, they provide informa-
tion about the manner in which the speech act is being performed (4a–b) or the
speaker’s attitude toward the proposition expressed (4c).

(4) a. Frankly, your cousin is a habitual liar.

b. Confidentially, the faculty are planning to demand that the provost
resign.
c. Curiously the mayor never asked where all the money came from.
7 The label evaluative adverbs comes from Ernst (2009). Ernst uses the term speaker-
oriented adverbs as to include not only evaluative adverbs and speech act adverbials, but
also modal adverbs like probably. Potts (2005) uses the term speaker-oriented adverbs to
refer to the class that I call evaluative adverbs.

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 11.2 Distinguishing truth-conditional vs. use-conditional meaning

Because they do not contribute to the proposition that is being asserted, it

would be inappropriate to challenge the truth of a statement based on the content
expressed by these adverbs (5–6). The hearer may express disagreement with the
adverbial content by saying something like: I agree that p, but I do not consider
that curious/fortunate/etc. But this would not be grounds for calling the original
statement false.

(5) A: Curiously/fortunately the mayor never asked where all the money
came from.
B: That’s not true; he asked me just last week.
B’: #That’s not true; he never asked, but there is nothing curious/
fortunate about that.

(6) A: Frankly/confidentially, Jones is not the best-qualified candidate for this

job.
B: That’s not true; he is the only candidate who holds a relevant degree.
B’: #That’s not true; he is not qualified, but you are not speaking frankly/
confidentially.

Further evidence for the claim that these speaker-oriented adverbs are not
part of the propositional content being asserted comes from their behavior under
negation and questioning. When a sentence containing an evaluative or speech
act adverbial is negated or questioned, the adverb itself cannot be interpreted as
part of what is being negated or questioned. For example, (7a) cannot mean ‘It
is not fortunate that the best team won’ but only ‘It is fortunate that the best
team did not win.’ Example (7b) cannot mean ‘Was it unfortunate that he lost
the vision in that eye?’ but only ‘Did he lose the vision in that eye? If so, it was
unfortunate.’ Speech act adverbials in questions like (7c) are not part of what is
being questioned, but generally describe the manner in which the speaker wants
the addressee to answer the question. As such examples show, evaluative and
speech act adverbials are not interpreted as being under the scope of sentence
negation or interrogative mood.

(7) a. … the best team fortunately didn’t win on this occasion.8

b. Was it ok or did he unfortunately lose the vision in that eye?9

8 http://sportwitness.ning.com/forum/topics/nextgen
9 https://www.inspire.com/groups/preemie/discussion/rop-after-2-ops-scarring-is-pulling-
the-retina-away/

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11 Conventional implicature and use-conditional meaning

c. Is he, frankly, combative enough? (referring to a potential

presidential candidate)10

These claims about speaker-oriented adverbs apply only to their use as sen-
tence adverbs, where the speaker uses them to describe his own manner of speak-
ing or attitude toward the current speech act. Sentence adverbs occur most freely
in sentence initial position, as in (8a) and (9a); but other positions are also possi-
ble (normally with the adverb set off from the rest of the sentence by pauses) as
illustrated in (8b–d) and (9b–d).

(8) a. Curiously, the mayor never asked where all the money came from.
b. The mayor, curiously, never asked where all the money came from.
c. The mayor never asked, curiously, where all the money came from.
d. The mayor never asked where all the money came from, curiously.

(9) a. Frankly/confidentially, Jones is not the best-qualified candidate for

this job.
b. Jones, confidentially, is not the best-qualified candidate for this job.
c. Jones is not, frankly, the best-qualified candidate for this job.
d. Jones is not the best-qualified candidate for this job, frankly.

A number of speech act adverbials also have a second use as manner adverbs,
typically occurring within the VP as in (10A). In this use they describe the manner
of the agent of a reported speech act. When these forms are used as manner
adverbs, they do contribute to the “at issue” content of the sentence. We can
see that this is so because the truth of an assertion can be challenged if such an
adverb is misused, as in (10B).

(10) A: Jones told the committee frankly/confidentially about his criminal

record.
B: That’s not true; he told them, but he did not speak frankly/
confidentially.

Moreover, these manner adverbs are part of the propositional content which
can be negated (11b) and questioned (12b). This contrasts with the behavior of
the same forms used as sentence adverbs, which are not interpreted as being
included under negation (11a) or questioning (12a).

10 www.wbur.org/2011/12/21/romney-nh-6

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 11.2 Distinguishing truth-conditional vs. use-conditional meaning

(11) a. Jones did not, confidentially, inform the committee about his criminal
record.
b. Jones did not inform the committee confidentially about his criminal
record; he told them in a public hearing.

(12) a. Confidentially, did Jones tell the committee about this?

b. Did Jones tell you this confidentially, or can we inform the other
members of the committee?

A number of the evaluative adverbs are morphologically related to an adjec-

tive that takes a propositional argument. In simple sentences, the adverbial and
adjectival forms of a given root can be used to paraphrase each other, as seen in
(13–15).

(13) a. Fortunately, Jones doesn’t realize how valuable this parchment is.
b. It is fortunate that Jones doesn’t realize how valuable this parchment
is.

(14) a. Curiously the mayor never asked where all the money came from.
b. It is curious that the mayor never asked where all the money came
from.

(15) a. Oddly, Jones never got that parchment appraised before he put it up
for auction.
b. It is odd that Jones never got that parchment appraised before he put
it up for auction.

However, evaluative adjectives, in contrast to the corresponding evaluative

adverbs, do contribute to the at-issue content of the utterance. They can provide
grounds for challenging the truth of a statement, as in (16), and they are part of
the propositional content which can be negated (17) or questioned (18).

(16) A: It is curious/fortunate that the mayor never asked where all the money
came from.
B: That’s not true; the fact that he never asked is {not curious at all/most
unfortunate}.

(17) It is not odd that Jones asked for an appraisal before he bought that
parchment; it seems natural under the circumstances.

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11 Conventional implicature and use-conditional meaning

(18) A: Was it odd that Jones did not ask for an appraisal?
B. No, I think it was fairly natural under the circumstances.

To summarize, we have argued that evaluative adverbs and speech act adver-
bials in English contribute use-conditional rather than truth-conditional mean-
ing to the utterances in which they occur. We argued this on the grounds that
they are independent of and secondary to the “at issue” propositional content of
the utterance, they cannot be negated or questioned, and they do not affect the
truth value of a statement. But clearly the meaning that these adverbs contribute
is conventional: it has to be learned, rather than being calculated from the con-
text of use. Moreover, they are not presupposed, that is, they are not treated as
if they were already part of the common ground.

11.3 Japanese honorifics

Honorifics are grammatical markers that speakers use to show respect or defer-
ence to someone whom they consider to be higher in social status than them-
selves. Japanese has two major types of honorifics. One type is used to show
respect toward someone referred to in the sentence, with different forms used
for subjects vs. non-subjects. We will refer to this type as argument honorifics
. The other type is used to show respect to the addressee, and so are considered
to be a mark of polite speech. This type is often referred to as “performative
honorifics”, because they indicate something about the context of the current
speech event, specifically the relationship between speaker and addressee. We
will instead refer to this second type as addressee honorifics.11
The use of an argument honorific to indicate the speaker’s respect for a person
referred to in the sentence is illustrated in (19a), which shows respect for the
referent of the subject NP (Prof. Sasaki). The use of an addressee honorific to
indicate the speaker’s respect for the addressee is illustrated in (19b).

(19) a. Sasaki sensei=wa watasi=ni koo o-hanasi.ni.nat-ta.

Sasaki teacher=top 1sg=dat this.way speak.hon-past
‘Prof. Sasaki told me this way.’ [Harada 1976: 501]

11 Theterm argument honorifics is adapted from Potts (2005), who referred to this type as
“argument-oriented honorifics”. Harada (1976), one of the first detailed discussions of these
issues in English, refers to this type as “propositional honorifics”. Harada was the original
source of the term “performative honorifics” for those which show respect to the addressee, a
terminology which is now widely adopted.

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 11.3 Japanese honorifics

b. Watasi=wa sono hito=ni koo hanasi-masi-ta.

1sg=top that man=dat this.way speak-hon-past
‘I told him (=that man) this way.’ (polite speech) [Harada 1976: 502]

Argument honorifics are only allowed in sentences that refer to someone so-
cially superior to the speaker; sentence (20a) is unacceptable, because no such
person is referred to. But addressee honorifics are not subject to this constraint
(20b).

(20) a. *Ame=ga o-huri.ni.nat-ta.

rain=nom fall.hon-past
(intended: ‘It rained.’) [Harada 1976: 502]
b. Ame=ga huri-masi-ta.
rain=nom fall-hon-past
‘It rained.’ (polite speech) [Harada 1976: 502]

In the remainder of this section we will focus primarily on addressee honorifics.

Potts (2005) analyzes addressee honorifics as conventional implicature triggers,
specifically as a kind of expressive. This means that addressee honorifics do not
contribute to the truth-conditional at-issue content of the sentence. The truth
conditions of (20b) would not be changed if the honorific marker were deleted.
Misuse of the honorific (e.g. for referring to someone socially inferior), or drop-
ping the honorific when it is expected, would not make the statement false, only
rude and/or inappropriate.12
As we would predict under Pott’s proposal, the honorific meaning cannot be
part of the propositional content that is negated or questioned. (21a–b) are felt
to be just as polite as (20b); the element of respect is neither negated in (21a) nor
questioned in (21b).

(21) a. Ame=ga huri-mas-en desi-ta.

rain=nom fall-hon-neg cop-past
‘It didn’t rain.’ (polite speech)
b. Ame=wa huri-masi-ta-ka?
rain=top fall-hon-past-q
‘Did it rain?’ (polite speech)

12 Thanksto Eric Shin Doi for very helpful discussion of these issues, and for providing the
examples in (21).

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11 Conventional implicature and use-conditional meaning

We have seen that addressee honorifics express beliefs or attitudes of the

speaker. They are independent of and secondary to the at-issue propositional
content of the utterance. They cannot be negated or questioned, and do not
affect the truth value of a statement. Thus they clearly fit Potts’ definition of
conventional implicatures.

11.4 Korean speech style markers

Korean also has the same two types of honorifics as Japanese, argument hon-
orifics vs. addressee honorifics.13 As part of the addressee honorific system,
Korean distinguishes grammatically six levels of politeness, often referred to as
speech styles: formal, semiformal, polite, familiar, intimate, and plain.14 A sev-
enth level, “super-polite”, was used for addressing kings and queens; it is now
considered archaic, and is used mostly in prayers. The choice of speech style
marking depends on “(i) the relationship between speaker and addressee (e.g., in-
timacy, politeness), and (ii) the formality of the situation”.15 The uses of these
styles, as described by Pak (2008: 120), are summarized in Table 11.1.
Speech style is marked grammatically by a verbal suffix referred to as the “sen-
tence ender”. Since Korean is an SOV language, the main clause verb typically
occurs at the end of the sentence and hosts the sentence ender. The sentence
ender is actually a portmanteau suffix which encodes three distinct grammatical
features: (a) speech style (i.e. politeness); (b) “special mood” (not discussed here);
and (c) sentence type (i.e. speech act; this corresponds to the major mood cat-
egory in other languages).16 Korean has an unusually rich inventory of speech
act markers. The exact number is a topic of controversy; Sohn (1999) lists four
major sentence types (declarative, interrogative, imperative, and “propositive”
or hortative); plus several minor types including admonitive (warning), promis-
sive, exclamatory, and apperceptive (new or currently perceived information?).
Combinations of four of the speech styles with two sentence types (declarative
and imperative) are illustrated in Table 11.2; the sentence enders are italicized.17
Like Japanese honorifics, the Korean speech style markers contribute informa-
tion about the current speech act, specifically the relationship between speaker
and hearer, rather than contributing to the at-issue propositional content of the

13 Kim & Sells (2007)

14 S.E. Martin (1992), Pak (2008), Sohn (1999)
15 Pak et al. (2013)
16 Sohn (1999), Pak (2008).
17 These examples are taken from Pak et al. (2013).

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 11.4 Korean speech style markers

Table 11.1: Use of Korean speech styles following Pak (2008: 120)

Speech styles Contexts of use

Formal used for speaking to someone to whom deference is due
(e.g., ones superior or employer, a professor, a high official,
etc.); or on formal occasions such as oral news reports and
public lectures
Semiformal could be used by a husband speaking to his wife, or by a
younger superior speaking to an older subordinate;
gradually disappearing from daily usage
Polite used by adults for speaking to adults who are not close
friends or family members; to address a socially equal or
superior person; or by children speaking to adults in a
polite way
Familiar mostly used by male adults, for speaking to male adult
friends, an adolescent, or a son-in-law
Intimate
used for talking to family members or close friends
(“half-talk”)
Plain used by adults for speaking to children or younger
siblings, and by children among themselves; also used in
written texts and newspapers

utterance. Use of the wrong speech style marker in a particular situation would
not cause a statement to be considered false, but would be felt to be inappro-
priate. A speaker who committed such an error would probably be corrected
quickly and emphatically. Moreover, the information contributed by the speech
style markers cannot be negated or questioned. The negative statement in (22b)
and the question in (22c) are felt to be just as polite as the corresponding positive
statement in (22a), and would be appropriate in the same range of situations.18

18 Thanks to Shin-Ja Hwang for very helpful discussion of these issues.

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11 Conventional implicature and use-conditional meaning

Table 11.2: Declaratives and imperatives in Korean

Declarative Imperative
Chayk=ul ilk-ess-supnita. Chayk=ul ilk-usipsio.
Formal book=acc read-past-decl.form book=acc read-imp.form
‘I read the book.’ ‘Please read the book!’
Chayk=ul ilk-ess-eyo. Chayk=ul ilk-useyyo.
Polite book=acc read-past-decl.pol book=acc read-imp.pol
‘I read the book.’ ‘Please read the book.’
Chayk=ul ilk-ess-e. Chayk=ul ilk-e.
Intimate book=acc read-past-decl.int book=acc read-imp.int
‘I read the book.’ ‘Read the book!’
Chayk=ul ilk-ess-ta. Chayk=ul ilk-ela.
Plain book=acc read-past-decl book=acc read-imp
‘I read the book.’ ‘Read the book’

(22) a. Pi=ka w-ayo.

rain=nom come-decl.pol
‘It is raining.’ (polite)
b. Pi=ka an-w-ayo.
rain=nom neg-come-decl.pol
‘It is not raining.’ (polite)
c. Pi=ka w-ayo?
rain=nom come-decl.pol
‘Is it raining?’ (polite) [Sohn 1999: 269–270]

11.5 Other ways of marking politeness

Honorific markers and speech style markers like those discussed in the previous
two sections have no descriptive content, but only a use-conditional, utterance
modifying function. However, there are words in many languages which express
both normal descriptive content plus a use-conditional function as a marker of
politeness.

208
 11.6 Discourse particles in German

One of the most common ways across languages of showing respect or polite-
ness to the addressee is by distinguishing polite vs. familiar forms of the second
person pronoun, e.g. vous vs. tu in French, Sie vs. du in German, etc. Malay has a
very complex system of first and second person pronouns. The neutral first per-
son singular form is saya; aku is considered more intimate, for use with friends
and family members. Beta is the first person singular form used by royalty, and
patik is the first person singular form used by commoners when addressing roy-
alty. There is no native Malay second person singular pronoun which is truly
neutral; kamu, awak, and engkau are all felt to be informal or intimate to varying
degrees. The term anda was invented as part of the standardization of Malaysian
as a national language to fill this gap, but is rarely used in conversational speech.
Second person pronouns tend to be avoided when addressing royalty or other
highly respected people, by using titles, kin terms, etc. instead.
Lexical substitution as a means of honorification is not limited to pronouns.
Balinese and Javanese are famous for their speech levels, or registers. In these
languages, two or more forms are available for thousands of lexical items, e.g. Ba-
linese makita (high) vs. edot (low) ‘want’; sanganan (high) vs. jaja (low) ‘cake’.19
The choice of which form to use is determined by the relative social status, caste,
etc. of the speaker and addressee. Korean and Japanese also have suppletive
forms for some words, e.g. Korean pap (plain) vs. cinci (polite) ‘cooked rice,
meal’. The primary meaning contributed by words of this sort is to the truth-
conditional content of the sentence; their use-conditional politeness function is
in a sense secondary.

11.6 Discourse particles in German

German and Dutch are well-known for their large inventories of discourse parti-
cles. These particles have been intensively studied, but their meanings are diffi-
cult to define or paraphrase. Those that occur in the “middlefield” (i.e., between
the V2/Aux position and the position of clause-final verbs) have traditionally
been referred to as Modalpartikeln ‘modal particles’ in German, although they
do not express modality in the standard sense of that term.20 Some examples
and a description from Zimmermann (2011: 2013) are presented in (23).

(23) a. Max ist ja auf See.

b. Max ist doch auf See.
19 Arka (2005).
20 Palmer (1986: 45–46).

209
11 Conventional implicature and use-conditional meaning

c. Max ist wohl auf See.

‘Max is prtcl at sea.’
The sentences in (23a–c) do not differ in propositional content: they
all have the same truth-conditions… A difference in the choice of
the particle (ja, doch, wohl) leads to a difference in felicity
conditions, however, such that each sentence will be appropriate in
a different context. As a first approximation, (23a) indicates that the
speaker takes the hearer to be aware of the fact that Max is at sea. In
contrast, (23b) signals that the speaker takes the hearer not to be
aware of this fact at the time of utterance. (23c), finally, indicates a
degree of speaker uncertainty concerning the truth of the
proposition expressed. In each case, the discourse particle does not
contribute to the descriptive, or propositional, content of the
utterance, but to its expressive content.

Most of the German modal particles are homophonous with a stressed variant
belonging to one of the standard parts of speech. For example, stressed ja means
‘yes’ and stressed wohl means ‘probably’. However, when used as particles these
words are unstressed and take on a variety of meanings, many of which are diffi-
cult to paraphrase or translate. Some of the variant meanings of ja and doch are
illustrated in (24–25).

(24) a. Die Malerei war ja schon immer sein Hobby.

‘<As you know>, painting has always been his hobby.’
b. Dein Mantel ist ja ganz schmutzig.
‘<Hey> your coat is all dirty.’ (not previously known to hearer)
c. Fritz hat ja noch gar nicht bezahlt.
‘<Hey> Fred has not paid yet.’ (newly discovered by speaker) 21

(25) a. A: Maria kommt mit. ‘Maria is coming with me.’

B: Sie ist doch verreist. ‘She has left, <hasn’t she>?’
b. Das ist doch der Hans! Was macht der hier?
‘That’s Hans over there <surprise>! What is he doing here?’
c. Ich war doch letztes Jahr schon dort.
‘<Did you forget?> I was here last year.’22
21 Examples
from König 1991; König et al. 1990; Waltereit 2001.
22 Examplesfrom Karagjosova (2000); Grosz (2010); http://en.wikipedia.org/wiki/German_
modal_particle.

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 11.6 Discourse particles in German

In the passage quoted above, Zimmermann (2011) states that these particles
contribute to the expressive content of the utterance rather than its descriptive,
or at-issue, content; they affect the felicity conditions of the utterance, but not
its truth-conditions. So, for example, all of the sentences in (23) would be true
if Max is in fact at sea at the time of speaking. Using the wrong particle would
make the utterance infelicitous, but not false. Other authors have reached similar
conclusions. Waltereit (2001) states:

[Modal particles] modify the preparatory conditions, as they evoke a speech

situation in which the desired preparatory conditions are fulfilled… Prepara-
tory conditions describe the way the speech act fits into the social relation
of speaker and addressee, and they describe how their respective interests
are concerned by the act.23

Karagjosova (2000) states that “[modal particles] indicate if and how incoming
information in dialogue is processed by the interlocutors in terms of its consis-
tency with the information or beliefs the interlocutors already have.” For ex-
ample, modal particles may indicate whether a proposition has succeeded in be-
coming grounded, i.e., part of the shared assumptions (common ground) of the
speaker and hearer. She continues:

[T]he meaning of [modal particles] seems not to be part of the proposition

indeed and thus not part of the truth conditions of the sentence they occur
in. … [W]e conclude that doch does not contribute to the sentence meaning
but to the utterance meaning and represents thus semantically an utterance
modifier rather than a sentence modifier.

The hypothesis that German modal particles function as utterance modifiers,

and do not contribute to truth-conditional content, is supported by the fact that
they cannot be negated, as seen in (26). Moreover, they cannot be questioned
and cannot function as the answer to a question.24

(26) Hein ist ja nicht zuhause.

‘As you know, Hein is not at home.’ [Gutzmann 2015, sec. 7.2.2.2]
(cannot mean: ‘You do not know that Hein is not at home.’)

23 cf.
Searle (1969).
24 Thispoint is mentioned in most descriptions of the German modal particles, including Bross
(2012) and Gutzmann (2015).

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11 Conventional implicature and use-conditional meaning

11.7 Conclusion
In this chapter we have looked at several types of expressions in various lan-
guages that seem to contribute “use-conditional” rather than truth-conditional
meanings. The characteristic properties of such expressions are those identified
by Potts in his work on conventional implicatures. They tend to be speaker-
oriented; independent of and secondary to the at-issue, truth-conditional con-
tent of the utterance; excluded from negation and questioning; and not assumed
to be part of common ground.
We noted that speech act adverbials in English (e.g. frankly, confidentially)
can function either as sentence adverbs with use-conditional meanings, or as
manner adverbs with truth-conditional meanings. In future chapters we will see
that similar ambiguities arise with certain conjunctions, notably because (Chap-
ter 18) and if (Chapter 19). We will argue that, at least for because, such am-
biguities need not be treated as polysemy (distinct senses), but can be seen as
a kind of pragmatic ambiguity: a single sense that can function on two levels,
modifying the sentence meaning or the utterance meaning. In the first case, it
contributes truth-conditional meaning, while in the second case it contributes
use-conditional meaning.

Further reading

Potts (2007a,b) and (2012) provide concise introductions to his analysis of

conventional implicatures. Potts (2007c) focuses more specifically on ex-
pressives. Scheffler (2013) applies this analysis to sentence adverbs in En-
glish and German. Gutzmann (2015) presents an introduction to the idea
of use-conditional meaning in chapter 2, and an analysis of the German
“modal particles” in chapter 7.

212
 11.7 Conclusion

Discussion exercises
A. Use the kinds of evidence discussed in this chapter to determine
whether the italicized expressions in the following examples contribute
truth-conditional or use-conditional meaning:
1. Sir Richard Whittington, a medieval cloth merchant, served four terms
as Lord Mayor of London.

2. Wilma probably loves sauerkraut.

3. Fred loves sauerkraut too.

4. Mrs. Natasha Griggs, who served six years as MP for Darwin, is a

cancer survivor.

5. Baxter reportedly supported Suharto.

213
 Unit IV

Compositional semantics
12 How meanings are composed
12.1 Introduction
One of the central goals of semantics is to explain how meanings of sentences
are related to the meanings of their parts. In Chapter 3 we discussed the simple
sentence in (1), and how the meaning of the sentence determines the conditions
under which it would be true.

(1) King Henry VIII snores.

Let us now consider the question of how the meaning of this sentence is com-
posed from the meanings of its parts. What are the parts, and what kinds of mean-
ings do they express? Any syntactic description of the sentence will recognize
two immediate constituents: the subject NP King Henry VIII and the intransitive
verb (or VP) snores. These two phrases express different kinds of meaning. The
subject NP is a referring expression, specifically a proper name, which refers to
an individual in the world. The intransitive VP expresses a property which may
be true of some individuals but not of others in a given situation. The result of
combining them, i.e. the meaning of the sentence as a whole, is a proposition
(or claim about the world) which may be true in some situations and false in oth-
ers. Sentence (1) expresses an assertion that the individual named by the subject
NP (King Henry VIII) has the property named by the VP (he snores). This pattern
for combining NP meanings with VP meanings is seen in many, perhaps most,
simple declarative sentences.
The same basic principle holds not just for sentences but for any expression
(apart from idioms) consisting of more than one word: the meaning of the whole
is composed, or built up, in a predictable way from the meanings of the parts. This
is what makes it possible for us to understand newly-created sentences. One way
of expressing this principle is the following:

(2) Principle of Compositionality:

the meaning of a complex expression is determined by the meanings of
its constituent expressions and the way in which they are combined.
12 How meanings are composed

Many semanticists adopt as a working hypothesis a stronger version of this

principle, which says (roughly speaking) that there must be a one-to-one corre-
spondence between the syntactic rules that build constituents and the semantic
rules that provide interpretations for those constituents. Adopting this stronger
version of the principle places significant constraints on the way these rules get
written.1 In Chapter 13 we will see a few very simple examples of how syntactic
and semantic rules can be correlated.
In this chapter we lay a foundation for discussing compositionality in the more
general sense expressed in (2). We are trying to understand what is involved in
the claim that the meanings of phrases and sentences are predictable based on
the meanings of their constituents and the manner in which those constituents
get combined.
We begin in §12.2 by describing two very simple examples of compositional
meaning: first, the combination of a subject NP with a VP to form a simple clause
(Henry snores); and second, the combination of a modifying adjective with a com-
mon noun (yellow submarine). In Chapter 13 we will formulate rules to account
for these patterns, among others.
In §12.3 we provide some historical context for the study of compositionality
by sketching out some ideas from the German logician Gottlob Frege (1848–1925).
We will summarize Frege’s arguments for the claim that denotations, as well as
senses, must be compositional. But Frege also pointed out that there are some
contexts where the denotation of a complex expression is not fully predictable
from the denotations of its constituents. We discuss one such context in §12.4,
namely complement clauses of verbs like think, believe, want, etc. In §12.5 we
discuss a particular type of ambiguity which can arise in such contexts.

12.2 Two simple examples

Let us return now to the question of how the meaning of the simple sentence
in (1) is composed from the meanings of its parts. As we noted, the sentence
contains two immediate constituents: the subject NP King Henry VIII and the
intransitive verb (or VP) snores. The NP King Henry VIII is a proper name, a “rigid
designator”, and so always refers to the same individual; its denotation does not
depend on the situation. The intransitive VP snores expresses a property which
may be true of a particular individual at one time or in one situation, but not
in other times or situations; so its denotation does depend on the situation in

1 Partee (1995: 322).

218
 12.2 Two simple examples

which it is used. We will refer to the set of all things which snore in the current
universe of discourse as the denotation set of the predicate snores. The result of
combining the subject NP with the intransitive VP is a sentence whose meaning
is a proposition, and this proposition will be true if and only if the individual
named King Henry VIII is a member of the denotation set of snores; i.e., if the
king has the property of snoring in the time and situation being described.
This same basic rule of interpretation works for a great many simple declara-
tive sentences: the proposition expressed by the sentence as a whole will be true
if and only if the referent of the subject NP is a member of the denotation set of
the VP. Of course there are many other cases for which this simple rule is not
adequate; but in the present book we will touch on these only briefly.
The Principle of Compositionality also applies to complex expressions which
are smaller than a sentence, including noun phrases. Even though these phrasal
expressions do not have truth values, they do have denotations which are deter-
mined compositionally. In Chapter 1 we briefly discussed the compositionality of
the phrase yellow submarine. Suppose we refer to the denotation set of the word
yellow (i.e., the set of all yellow things in our universe of discourse) as Y, and
the denotation set of the word submarine (i.e., the set of all submarines in our
universe of discourse) as S. The meaning of the phrase yellow submarine is pre-
dictable from the meaning of its individual words and the way they are combined.
Knowing the rules of English allows speakers to predict that the denotation set
of the phrase will be the set of all things which belong both to Y and to S; in other
words, the set of all things in our universe of discourse which are both yellow
and submarines.
As these simple examples illustrate, our analysis of denotations and truth val-
ues will be stated in terms of set membership and relations between sets. For
this reason we will introduce some basic terms and concepts from set theory at
the beginning of Chapter 13. These elements of set theory will also be crucial
for analyzing the meanings of quantifiers (words and phrases such as everyone,
some people, most countries, etc.). Quantifiers (the focus of Chapter 14) are an
interesting and important topic of study in their own right, but they are also im-
portant because certain other kinds of expressions can actually be analyzed as
quantifiers (see Chapter 16, for example).
But before we proceed with a more detailed discussion of these issues, it will
be helpful to review some of Frege’s insights.

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12 How meanings are composed

12.3 Frege on compositionality and substitutivity

Many of the foundational concepts in truth-conditional semantics come from
the work of Gottlob Frege, whose distinction between Sense and Denotation we
discussed in Chapter 2. The Principle of Compositionality in (2) is often referred
to as “Frege’s principle”. Frege himself never expressed the principle in these
words, and there is some disagreement as to whether he actually believed it.2
But there are passages in several of his works that seem to imply or assume that
sentence meanings are compositional in this sense, including the following:

It is astonishing what language accomplishes. With a few syllables it ex-

presses a countless number of thoughts [=propositions], and even for a
thought grasped for the first time by a human it provides a clothing in
which it can be recognized by another to whom it is entirely new. This
would not be possible if we could not distinguish parts in the thought that
correspond to parts of the sentence, so that the construction of the sentence
can be taken to mirror the construction of the thought… The question now
arises how the construction of the thought proceeds, and by what means
the parts are put together so that the whole is something more than the
isolated parts.3

In this passage Frege argues for the compositionality of “thoughts”, i.e. propo-
sitions; but the same kind of reasoning requires that the meaning of smaller ex-
pressions (e.g. noun phrases) be compositional as well. And in many cases, not
only senses but also denotations are compositional. One way of seeing this in-
volves substituting one expression for another which is co-referential, i.e., has
the same denotation in that particular context.
In our world, the expressions Abraham Lincoln and the 16th president of the
United States refer to the same individual. For this reason, if we replace one of
these expressions with the other as illustrated in (3–4), the denotation of the
larger phrase is not affected.

(3) a. the wife of Abraham Lincoln

b. the wife of the 16th president of the United States
2 Specifically, there is debate as to whether Frege believed that compositionality holds for senses,
as well as denotations (Gamut 1991b: 12). Pelletier (2001), for example, argues that he did
not. A number of modern scholars have argued against the Principle of Compositionality; see
Goldberg (2015) for a summary.
3 Frege (1923–1926), “Logische Untersuchungen. Dritter Teil: Gedankengefüge”, quoted in Heim
& Kratzer (1998: 2).

220
 12.3 Frege on compositionality and substitutivity

(4) a. the man who killed Abraham Lincoln

b. the man who killed the 16th president of the United States

Both of the NPs in (3) refer to Mary Todd Lincoln; both of the NPs in (4) refer
to John Wilkes Booth. This is what we expect if the denotation of the larger
phrase is compositional, i.e., predictable from the denotations of its constituent
parts: replacing one of those parts with another part having the same denotation
does not affect the denotation of the whole. (This principle is referred to as the
principle of substitutivity.)
A second way of observing the compositionality of denotations arises when
non-referring expressions occur as constituents of a larger expression. In a world
where there is no such person as Superman, i.e., a world in which this name lacks
a denotation, phrases which contain the name Superman (like those in (5)) will
also lack a denotation, i.e. will fail to refer.

(5) a. the mother of Superman

b. the man who Superman rescued

These observations support the claim that the denotation of a complex expres-
sion is (often) predictable from the denotations of its constituent parts. Since
sentences are formed from constituent parts (words and phrases) which have de-
notations, this suggests that the denotations of sentences might also be compo-
sitional. In his classic paper Über Sinn und Bedeutung ‘On sense and denotation’,
Frege (1892) argued that this is true; but he recognized that it may seem odd (at
least at first) to suggest that sentences have denotations as well as senses. Sen-
tences are not “referring expressions” in the normal sense of that term, so what
could their denotation be?
Frege considered the possibility that the denotation of a sentence is the propo-
sition that it expresses. But this hypothesis leads to unexpected results when
we substitute one co-referential expression for another. Samuel Clemens was
an American author who wrote under the pen name Mark Twain; so these two
names both refer to the same individual. Since the two names have the same
denotation, we expect that replacing one name with the other, as illustrated in
(6), will not affect the denotation of the sentence as a whole.

(6) a. The Prince and the Pauper was written by Mark Twain.
b. The Prince and the Pauper was written by Samuel Clemens.

Of course, the resulting sentences must have the same truth value; it happens
that both are true. However, a person who speaks English but does not know

221
12 How meanings are composed

very much about American literature could, without inconsistency, believe (6a)
without believing (6b). For Frege, if a rational speaker can simultaneously believe
one sentence to be true while believing another to be false, the two sentences
cannot express the same proposition.
Examples like (7) lead to the same conclusion. Abraham Lincoln was the 16th
president of the United States, so replacing the phrase Abraham Lincoln with the
phrase the 16th president of the United States should not change the denotation
of the sentence as a whole. But the facts of history could have been different:
Abraham Lincoln might have died in infancy, or lost the election in 1860, etc.
Under those conditions, sentence (7b) might well be true while sentence (7a) is
false. This again is evidence that the two sentences do not express the same
proposition, since a single proposition cannot be simultaneously true and false
in any single situation.
(7) a. Abraham Lincoln ended slavery in America.
b. The 16th president of the United States ended slavery in America.
Frege concludes that the denotation of a (declarative) sentence is not the propo-
sition which it expresses, but rather its truth value. Frege identifies the proposi-
tion expressed by a sentence as its sense.
There are clear parallels between the truth value of a sentence and the deno-
tation of a noun phrase. First, neither can be determined in isolation, but only
in relation to a specific situation or universe of discourse. Second, both may
have different values in different situations. Third, both are preserved under
substitution of co-referring expressions. This was illustrated for noun phrases
in (3–4), and for sentences in (6–7). Finally, we noted that NPs which contain
non-referring expressions as constituents, like those in (5), will also fail to re-
fer, i.e., will lack a denotation. In the same way, Frege argued that sentences
which contain non-referring expressions will lack a truth value. He states that
sentences like those in (8) are neither true nor false; they cannot be evaluated,
because their subject NPs fail to refer. These parallels provide strong motivation
for considering the denotation of a sentence to be its truth value.
(8) a. Superman rescued the Governor’s daughter.
b. The largest even number is divisible by 7.
However, certain types of sentences, such as those in (9), contain a non-refer-
ring expression but nevertheless do seem to have a truth value. Even in a world
where there is no Santa Claus and no fountain of youth, it would be possible to de-
termine whether these sentences are true or false. Sentences of this type are said

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 12.4 Propositional attitudes

to be referentially opaqe, meaning that their denotation is not predictable

from the denotations of their constituent parts. In these specific examples, the
opacity is due to special properties of verbs like believe and hope. (We will discuss
other types of opacity in Chapter 15.)

(9) a. The Governor still believes in Santa Claus.

b. Ponce de León hoped to find the fountain of youth.

12.4 Propositional attitudes

Believe and hope belong to a broad class of verbs which are often referred to
as propositional attitude verbs, because they take a propositional argument
(expressed as a complement clause) and denote the mental state or attitude of
an experiencer toward this proposition. Other verbs in this class include think,
expect, want, know, etc. As we have just mentioned, the complement clauses of
these verbs are referentially opaque. Some further examples of sentences involv-
ing such verbs are presented in (10).

(10) a. John believes [that the airplane was invented by an Irishman].

b. Henry wants [to marry a Catholic].
c. Mary knows [that Abraham Lincoln ended slavery in America].

Frege pointed out that when we substitute one co-referential expression for an-
other in the complement clause of a propositional attitude verb, the truth value
of the sentence as a whole can be affected. For example, since Mark Twain and
Samuel Clemens refer to the same individual, the principle of substitutivity pre-
dicts that the positive statement in (11a) and its corresponding negative statement
in (11b) should have opposite truth values. However, it is clearly possible for both
sentences to be true at the same time (and for the same person named Mary). By
the same token, the principle of substitutivity predicts that (11c) and (11d) should
have the same truth value. However, it is hard to imagine a person of normal
intelligence of whom (11d) could be true.

(11) a. Mary knows [that The Prince and the Pauper was written by Mark
Twain].
b. Mary does not know [that The Prince and the Pauper was written by
Samuel Clemens].
c. Mary does not know [that Samuel Clemens is Mark Twain].
d. ?#Mary does not know [that Samuel Clemens is Samuel Clemens].

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12 How meanings are composed

As mentioned above, this property of propositional attitude verbs is called

referential opacity; the complements of propositional attitude verbs are an
example of an opaqe context, that is, a context where denotation does not ap-
pear to be compositional, because the principle of substitutivity fails. Frege used
the following pair of examples to further illustrate referential opacity. Both of
the complement clauses in (12) are true statements, but only the first is something
that Copernicus actually believed (he believed that the planetary orbits were cir-
cles). Since the denotation of a declarative clause is its truth value, and since the
two complement clauses have the same truth value if considered on their own,
the principle of substitutivity would predict that sentences (12a) and (12b) as a
whole should have the same denotation, i.e., the same truth value. But in fact
(12a) is true while (12b) is false.
(12) a. Copernicus believed [that the earth revolves around the sun].
b. Copernicus believed [that the planetary orbits are ellipses].
Propositional attitude verbs pose a significant problem for the principle of
Compositionality. Frege’s solution was to propose that the denotation of a clause
or NP “shifts” in opaque contexts, so that in these contexts they refer to their
customary sense, rather than to their normal denotation. For example, the de-
notation of the complement clauses in (12), because they occur in an opaque
context, is not their truth value but the proposition they express (their custom-
ary sense). This shift explains why NPs or clauses with different senses are not
freely substitutable in these contexts, even though they may seem to have the
same denotation.
Frege’s proposal is analogous in some ways to the referential “shift” which
occurs in contexts where a word or phrase is mentioned, as in (13b), rather than
used, as in (13a). In such contexts, the quoted word or phrase refers only to itself.
Substitutivity fails when referring expressions are mentioned, as illustrated in
(13c–d). Even though both names refer to the same individual when used in the
normal way, these two sentences are not equivalent: (13c) is true, but (13d) is
false.
(13) a. Maria is a pretty girl.
b. Maria is a pretty name.
c. Samuel Clemens adopted the pen name Mark Twain.
d. Mark Twain adopted the pen name Samuel Clemens.
We can now understand why sentences like those in (14), which contain a non-
referring expression, nevertheless can have a truth value. Hope and want are

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 12.5 De dicto vs. de re ambiguity

propositional attitude verbs. Thus the denotation of their complement clauses is

not their truth value but the propositions they express. The denotation (i.e., truth
value) of the sentence as a whole can be derived compositionally, because all the
constituents have well-defined denotations.
(14) a. Ponce de León hoped to find the fountain of youth.
b. James Thurber wanted to see a unicorn.

12.5 De dicto vs. de re ambiguity

Another interesting property of opaque contexts, including the complements of
propositional attitude verbs, is that definite NPs occurring in such contexts can
sometimes receive two different interpretations. They can either be used to refer
to a specific individual, as in (15a), or they can be used to identify a type of
individual, or property of individuals, as in (15b).
(15) a. I hope to meet with the Prime Minister next year, (after he retires
from office).
b. I hope to meet with the Prime Minister next year; (we’ll have to wait
for the October election before we know who that will be).
The former reading, which refers to a specific individual, is known as the de re
(‘about the thing’) interpretation. The latter reading, in which the NP identifies
a property of individuals, is known as the de dicto (‘about the word’ or ‘about
what is said’) interpretation. The same kind of ambiguity is illustrated in (16).
(16) a. I wanted my husband to be a Catholic, (but he said he was too old to
convert).
b. I wanted my husband to be a Catholic, (but I ended up marrying a
Sikh).
Under the de re interpretation, the definite NP denotes a particular individual:
the person who is serving as Prime Minister at the time of speaking in (15a), and
the individual who is married to the speaker at the time of speaking in (16a).
Under the de dicto interpretation, the semantic contribution of the definite NP is
not what it refers to but its sense: a property (e.g. the property of being Prime
Minister, or the property of being married to the speaker) rather than a specific
individual. This “shift” from denotation to sense in opaque contexts is similar to
the facts about complement clauses discussed in the previous section. A similar
type of ambiguity is observed with indefinite NPs, as illustrated in (17).

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12 How meanings are composed

(17) a. The opposition party wants to nominate a retired movie star for
President.
b. The Dean believes that I am collaborating with a famous linguist.

With indefinites, the two readings are often referred to as specific vs. non-
specific; but we can apply the terms de dicto vs. de re to these cases as well.4
Under the specific (de re) reading, the phrase a retired movie star in (17a) refers to
a particular individual, e.g. Ronald Reagan or Joseph Estrada (former president of
the Philippines); so under this reading sentence (17a) means that the opposition
party has a specific candidate in mind, who happens to be a retired actor (whether
the party leaders realize this or not). Under the non-specific (de dicto) reading, the
phrase refers to a property or type, rather than a specific individual. Under this
reading sentence (17a) means that the opposition party does not have a specific
candidate in mind, but knows what kind of person they want; and being a retired
actor is one of the qualifications they are looking for.
These de dicto–de re ambiguities involve true semantic ambiguity, as seen by
the fact that the two readings have different truth conditions. For example, sup-
pose I am collaborating with Noam Chomsky on a book of political essays. The
Dean knows about this collaboration, but knows Chomsky only through his po-
litical writings, and does not realize that he is also a famous linguist. In this
situation, sentence (17b) will be true under the de re reading but false under the
de dicto reading.
As we will see in our discussion of quantifiers (Chapter 14), de dicto–de re
ambiguities can often be explained or analyzed as instances of scope ambiguity.
However, the specific vs. non-specific ambiguity of indefinite NPs is found even
in contexts where no scope effects are involved.5

12.6 Conclusion
The passage from Frege quoted at the beginning of §12.3 describes the astonishing
power of human language: “[E]ven for a thought grasped for the first time by a
human it provides a clothing in which it can be recognized by another to whom
it is entirely new.” It is this productivity, the ability to communicate novel ideas,
that we seek to understand when we try to account for the compositionality of
sentence meanings.

4 We follow von Heusinger (2011) in using the terms this way.

5 Fodor & Sag (1982).

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 12.6 Conclusion

In the next two chapters we offer a very brief introduction to a widely-used

method for modeling how meanings of complex expressions are composed from
the meanings of their constituent parts. Building on Frege’s intuition (discussed
in §12.3 above) that the denotation of a sentence is its truth value, we describe a
method for composing denotations of words and phrases to derive the truth con-
ditions of the proposition expressed by a sentence. Then in Chapter 15 we discuss
additional contexts where, as with the propositional attitude verbs discussed in
§12.4 above, a purely denotational treatment is inadequate.

Further reading

Abbott (2010: §2.1.) provides a good summary of Frege’s famous paper on

sense and denotation. Goldberg (2015) and Pagin & Westerståhl (2010)
discuss some of the challenges to the Principle of Compositionality. Zalta
(2011) provides an overview of Frege’s life and work.

Discussion exercises
A. Discuss the validity of the following inference (assuming that (a) and
(b) are true):
a. Oedipus wants to marry Jocasta.

b. Jocasta is Oedipus’ mother.

c. Therefore, Oedipus wants to marry his mother.

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13 Modeling compositionality
13.1 Introduction
We have said that one of the most important goals of semantic theory is to un-
derstand the compositional nature of meaning, i.e., the knowledge which allows
speakers to correctly predict how word meanings will combine in complex ex-
pressions. One way of exploring this topic is to construct formal rule systems
which model the abilities of speakers in this respect.
Just as syntacticians try to construct rule systems which replicate the judg-
ments of native speakers about the grammaticality of sentences, semanticists try
to construct rule systems which replicate the ability of speakers to identify the
denotation of an expression in a particular context of use, and in particular, to
determine the truth values of sentences in a given context. A crucial step in
this kind of analysis is to describe the situation under discussion in very explicit
terms, so that predictions about denotations can be easily checked. The explicit
description of a situation is called a model, so this general approach to semantics
is often referred to as Model Theory.1
This chapter provides a very brief introduction to the Model Theory approach
to the study of compositionality. This approach, which has proven to be remark-
ably productive, involves stating rules of semantic interpretation for the con-
stituents that are formed by productive syntactic processes. We mentioned two
such processes in Chapter 12: the combination of subject NP with VP, and the
combination of modifying adjective with head noun. In this chapter we will
provide a bit more detail about how we might formulate the rules of semantic
interpretation for these and other constituents.
Our goal in this chapter is not to provide detailed explanation of the Model
Theory approach, but merely to give a glimpse of how it works and some sense
of what the goals are. This will provide helpful context for our discussion in
future chapters of topics such as quantifiers, modality, tense, etc.
1 A model can also be defined an interpretation under which a given sentence or set of sentences
is true (Hodges 2013). But by spelling out the denotations of the basic expressions used in the
sentence(s) under discussion, the model also specifies the relevant facts about a particular
situation.
13 Modeling compositionality

§13.2 provides a brief description of the rationale behind this approach. In §13.3
we introduce some basic terms and concepts for describing sets and relations be-
tween sets, because our rules of interpretation will be stated in terms of set rela-
tions. §13.4 introduces the formal notation that is used for specifying a model, in
the sense defined above, and §13.5 gives some examples of how rules of semantic
interpretation might be stated for several types of syntactic constituents. The
overarching goal of all these steps is to account for the ability of native speakers
to determine whether the proposition expressed by a given sentence is true or
false in some particular context. This, you will recall, has been our benchmark
for the analysis of sentence meanings.

13.2 Why a model might be useful

Language is a very complex system. In earlier chapters we have studied a variety
of factors that affect how hearers will interpret the meanings of sentences: lexi-
cal ambiguity, vagueness, figurative and other coerced senses, implicatures and
other pragmatic inferences, knowledge about the world, etc. In order to make
progress in understanding how compositionality works, the Model Theory ap-
proach attempts to isolate the rules for combining word meanings from these
other complicating factors. This same basic strategy is adopted in many other
fields of research as well. For example, if medical researchers are investigating
genetic factors which may contribute to heart disease or diabetes, they will do
everything possible to control for other contributing factors such as diet, age,
exercise, lifestyle, environmental factors, etc. The specification of a test situation
in terms of an explicit model, as illustrated below, within which the rule system
can be tested, is a way of controlling for lexical ambiguity, vagueness, incomplete
knowledge about the world, etc.
A model must specify two things: first, the set of all individual entities in the
situation; and second, the denotations of the basic vocabulary items of the lan-
guage, at least those that occur in the expressions being analyzed. This would in-
clude words which function as predicates (verbs, adjectives, and common nouns),
and proper names, but not non-denoting words like not, and, if, etc. Our semantic
analysis can then be stated in terms of rules of interpretation, which will specify
the denotation of complex expressions formed by combining these vocabulary
items according to the syntactic rules of the language.
As a preliminary example, imagine a very simple situation which contains just
three individuals: King Henry VIII, Anne Boleyn, and Thomas More. Our model
of this situation would include the listing of these individuals, plus the deno-

230
 13.2 Why a model might be useful

tation sets for the content words available for use. Let us begin with a limited
vocabulary consisting of just three proper names (Henry, Anne, and Thomas) plus
three predicate words: snore, man, and woman. The denotation set for man would
include Henry VIII and Thomas More. The denotation set for woman would in-
clude just Anne Boleyn. Let’s assume that King Henry VIII is the only person in
this situation who snores; then he would be the only member of the denotation
set for snore. The denotation of the proper name Thomas would be the individual
Thomas More, etc.
In Chapter 12 we stated a rule of interpretation for simple sentences: the propo-
sition expressed by a (declarative) sentence will be true if and only if the referent
of the subject NP is a member of the denotation set of the VP. We can use this
rule to evaluate sentence (1a) relative to the situation described by the model we
have just constructed. The rule says that the sentence will be true if and only if
the individual named Henry (i.e., King Henry VIII) is a member of the denotation
set of snore. Since this is true in our model, the sentence is true relative to this
model. The same rule of interpretation allows us to determine that sentence (1b)
is false relative to this model. In Chapter 14 we will discuss additional rules that
will allow us to evaluate (1c), which is false relative to this model, and (1d), which
is true relative to this model.
(1) a. Henry snores.
b. Anne snores.
c. All men snore.
d. No women snore.
Notice that this approach seeks to provide an account for compositional mean-
ing, but not for the meanings (i.e., senses) of individual content words. In other
words, Model Theory does not try to represent the process by which speakers
of English determine that King Henry VIII would be referred to as a man and
Anne Boleyn would be referred to as a woman, etc. We simply start with a model
which specifies the denotation sets for content words. In adopting this approach,
we are not denying the important role that word senses play in our use of lan-
guage, or treating word meanings as a trivial issue that can be taken for granted.
In fact, accounting for word meanings is a very complex and difficult undertak-
ing, as our earlier discussions of the issue have demonstrated. Rather, the Model
Theory approach assumes that it is possible to make progress in understanding
compositionality without solving all of the difficult questions surrounding word
meanings; and this strategy has proven to be extremely successful and produc-
tive.

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13 Modeling compositionality

As we have already hinted, the rules of interpretation which we formulate will

be stated in terms of set membership and relations between sets. For that reason,
before we proceed with our discussion of compositionality, we need to introduce
some of the basic terminology and notation used for speaking about sets.

13.3 Basic concepts in set theory

A set (in the mathematical sense) is a clearly-defined collection of things. We use
braces, or “curly brackets”, to represent sets. So, for example, the denotation set
of the word man in the simple model described above could be written as shown
in (2a). This is a set which contains two elements, or members, both of which are
men. If we focus on denotation sets of content words, the members of a set will
normally all be the same kind of thing, as in (2a). For sets in general, however,
this does not have to be the case. The set defined in (2b) contains four members
which are very different from each other; but this is still a well-defined set.

(2) a. {King Henry VIII, Thomas More}

√
b. {Orwell’s novel 1984, Noam Chomsky, 2, Sally McConnell-Ginet’s
breakfast muffin on 4-Sept-1988}2

The identity of a set is defined by its membership. If two sets have the same
members, they are in fact the same set. When we list the members of a set, the
order in which the members are listed is irrelevant; so all of the orderings shown
in (3) describe the same set:

(3) {a,b,c} = {b,a,c} = {c,a,b} = {a,b,c,b,a}, etc.

We use the Greek letter epsilon to indicate that a certain element belongs to
a given set. The formula “x ∈ B” can be read as: “x is a member (or element) of
set B”. This would be true, for example, if B = {x,y,z}; but false if B = {w,y,z}. The
formula “x < B” means that x is not a member of set B.
It is possible for a set to have an infinite number of members. Examples of such
sets include the set of all integers; the set of all rational numbers (i.e., quotients
of integers); the set of all finite strings of letters of the Roman alphabet; the set
of all finite strings of words found in the Oxford English Dictionary; and the set
of all real numbers. (The membership of this last set turns out to be a higher
order of infinity than that of the other sets just mentioned; but that topic will
not concern us here.)
2 This example is taken from Cherchia & McConnell-Ginet (1990: 431).

232
 13.3 Basic concepts in set theory

It is possible for a set to have no members. In fact, there is exactly one set
of this kind, and it is called the empty set (often symbolized as “∅”). The fact
that there can be only one empty set follows from the principle that a set is
defined by its membership. (If there were two sets, A and B, both of which had
no members, then they would contain exactly the same members; and so by the
principle stated above, they would be the same set.)
A set is distinct from any of its members. A set containing just one element is a
different thing from the element itself. For example, the set consisting of a single
individual, e.g. {Paul Kroeger}, is not the same thing as the individual himself.
{Paul Kroeger} is an abstract concept, but Paul Kroeger is (at the time of writing)
a living, breathing human being. To take another example, the empty set is not
the same as nothing; it is a set that contains nothing. And the set containing the
empty set is not itself empty; it has exactly one member, namely the empty set:

(4) {∅} ≠ ∅

The cardinality of a set is the number of members or elements which belong

to that set. For example, the cardinality of the set {a,b,c} is 3, because it has three
members. We use the symbol |B| to refer to the cardinality of set B; so |{a,b,c}| =
3. Some further examples are given below:

(5) |{a,b,c,d,f}| = 5
|∅| = 0
|{∅}| = 1

In order for a given collection of things to be a well-defined set, it must be

possible to determine precisely what is and is not a member of the set. For exam-
ple, the phrase the set of all sets that do not contain themselves does not identify a
well-defined set. This is because its membership cannot be precisely determined.
In fact, the proposed definition of the set gives rise to a paradox. Suppose that
such a set exists. Does this set contain itself? If so, then it is not a “set that does
not contain itself” and so should not be a member of the set. But if it is not a
member of the set, then it does not contain itself, and so it must belong to the
set.3
The membership of a set can be specified either by listing its members, as in (2–
3), or by stating a rule of membership (e.g., the set of all female British monarchs,
3 Thispuzzle is a version of “Russell’s paradox”, which Bertrand Russell discovered in 1901 and
described in a letter to Frege on June 16, 1902. Apparently it had also been noticed by Ernst
Zermelo a few years earlier. It posed a major challenge to Frege’s work on the foundations of
mathematics.

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13 Modeling compositionality

the set of all months whose name includes the letter “r”, the set of all integers, etc.). A
general notation for defining the membership of a set is illustrated in (6), which
is one way of describing the set of all even numbers (we will call this set E):
‘the set of all numbers which are divisible by 2’. In this notation, the variable is
assumed to be an element of the currently relevant universal set, or universe
of discourse.4 The colon in this notation stands for ‘such that’. (Some authors
use a vertical bar | instead of the colon.) If we assume that the currently relevant
universal set is the set of all real numbers, then the set description in (6) can be
read as: ‘the set of all real numbers x such that x/2 is an integer.’
x
(6) E = {x: 2
is an integer}

13.3.1 Relations and functions

Up to this point all of our examples have involved sets of individuals: numbers,
letters, people, etc. But we can also define sets of couples (or triples, quadruples,
etc.) of individuals. For example, the set of all married couples who crossed the
Atlantic ocean on the Mayflower in the autumn of 1620 is a well defined set. This
set contained 18 members, and each member of the set was a pair of people: {Isaac
& Mary Allerton, William & Dorothy Bradford, William & Mary Brewster, Myles
& Rose Standish, Edward & Elizabeth Winslow, …}. Since the set is defined as a
set of pairs, William Bradford (the first governor of the Plymouth Bay colony)
was not himself a member of this set; but he was a member of a pair that did
belong to the set.
In this example, the members of each pair can be distinguished by the title
“Mr.” vs. “Mrs.”, no matter which one is mentioned first; but this is not always the
case. As we will see, it is often useful to define sets of pairs of things in which
the members of each pair are distinguished by specifying the order in which
they occur. We refer to such pairs as ordered pairs, using the notation ⟨x,y⟩ to
represent the pair which consists of x followed by y. Unlike sets, two ordered
pairs may have the same members but still be distinct, if those members occur in
different orders. So ⟨x,y⟩ and ⟨y,x⟩ are two distinct ordered pairs, but {x,y} and
{y,x} are two different ways of representing the same set.
A set of ordered pairs is called a relation. The domain of the relation is the
set of all the first elements of each pair and its range is the set of all the second
elements. So, referring to the two sets defined in (7), the domain of A is the
set {a,c,f}, while the range of A is the set {3,4,6,7}. The domain of B is the set
{2,3,4,5,6,7}, while the range of B is the set {2,3,4,7}.
4 See Chapter 4.

234
 13.3 Basic concepts in set theory

(7) A = {⟨a,3⟩, ⟨f,4⟩, ⟨c,6⟩, ⟨a,7⟩}

B = {⟨2,3⟩, ⟨3,2⟩, ⟨4,7⟩, ⟨5,2⟩, ⟨6,7⟩, ⟨7,4⟩}

A set of ordered pairs defines a mapping, or correspondence, from the domain

onto the range. The mappings defined by sets A and B are shown in (8):

(8) a. Set A
a 3
7
c 6
f 4

b. Set B
2 3
3 2
4 7
5
6
7 4

A function is a relation (= a set of ordered pairs) in which each element of

the domain is mapped to a single, unique value in the range. The relation which
corresponds to set A above is not a function, because A contains two distinct
ordered pairs which have the same first element (⟨a,3⟩ and ⟨a,7⟩). The relation
which corresponds to set B is a function, even though B contains distinct ordered
pairs which have the same second element (⟨3,2⟩ and ⟨5,2⟩; ⟨4,7⟩ and ⟨6,7⟩). What
matters is that each member of the domain occurs in just one ordered pair.
The function B is defined in (7) by listing all the ordered pairs which belong to it.
Another way of defining this same function is shown in (9). The first member of
each ordered pair is called an argument of the function, while the second mem-
ber of each ordered pair is called a value. The information in (9) is equivalent to
that in (8b), showing how the function maps each argument onto a unique value.
The format in (9) is more convenient for stating the value which corresponds to
a single argument, when we do not need to list the entire set.

(9) B(2) = 3
B(3) = 2
B(4) = 7
B(5) = 2

235
13 Modeling compositionality

B(6) = 7
B(7) = 4

The membership of any set S can be expressed as a function which maps the
elements of S onto the set {1,0}. In this context, 1 represents “True” and 0 repre-
sents “False”. Functions of this kind are called the characteristic functions
(or, sometimes, “membership functions”). For example, the characteristic func-
tion of set C (members of the Beatles, as specified in 10a), is the function f1 as
defined in (11a). The characteristic function of set D (numbers between 10 and 20,
as specified in 10b) is the function f2 as defined in (11b). (The abbreviation “iff”
stands for “if and only if”.)

(10) a. C = {John, Paul, George, Ringo}

b. D = {x: 10 < x < 20}

(11) a. f1 (John) = 1
f1 (Paul) = 1
f1 (George) = 1
f1 (Ringo) = 1
in all other cases, f1 (x) = 0
b. f2 (x) = 1 iff 10 < x < 20
in all other cases, f2 (x) = 0

13.3.2 Operations and relations on sets

When we use set concepts and terminology as a tool for interpreting sentences,
we will often want to say something about the relationship between two sets, or
to combine two or more sets in certain ways to define a new set. In order for
this to be possible, we must assume that the elements of each of the sets under
discussion are drawn from the same universal set. This universal set is referred
to as U.
A very important relation which may hold between two sets is the subset
relation, also referred to as set inclusion. We say that set A is a subset of set
B (written “A⊆B”) if A is included in B; that is, if all the elements which are
members of A are also members of B. We can illustrate this situation using the
sets defined in (12). The universal set U is assumed to be the set of all integers
between 1 and 10. By comparing the elements in set A with those in set B, we
see that all the elements which are members of A are also members of B; so in
this context, “A⊆B” is a true proposition. However, “B⊆A” would be false in

236
 13.3 Basic concepts in set theory

this context, because there are some members of B which are not members of A,
namely 2, 5, and 7.

(12) U = {1,2,3,4,5,6,7,8,9,10}
A = {3,4,6}
B = {2,3,4,5,6,7}

Figure 13.1 illustrates the subset relation in the form of a diagram, where each
oval represents one of the sets.5 Additional examples in standard set notation are
provided in (13).

B A

A⊆B
Figure 13.1: Set inclusion (the subset relation)

(13) a. {a,b,c} ⊆ {a,b,c,d,f}

b. {a,b,c} ⊈ {c,d,f}
c. {a,b,c} ⊆ {a,b,c}
d. ∀S (where S is a set), ∅ ⊆ S

Every set is a subset of itself, because all the elements which are members of
set A are by definition members of set A. For this reason, the proposition “A⊆A”
will be true whenever A is a well-defined set, as illustrated in (13c). If we want
to specify that set A is a subset of set B, but that the two sets are not equal, we
can write “A⊂B”. This symbol means that set A is a proper subset of set B. The
proposition “A⊂A” will be false for any set A.
Since the elements of every set must be members of the current universal set
U, “A⊆U” must always be true. If “U⊆A” is true, than it must be the case that
A=U.
The intersection of two sets, written “A∩B”, is defined as the set consisting
of all elements which are both members of A and members of B. We can illustrate
this situation using the sets defined in (14). By comparing the elements in set A
with those in set B, we see that the two sets share only the following elements
in common: 3, 4, and 6; so A∩B = {3,4,6}.
5 This way of representing sets is called a Venn diagram.

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13 Modeling compositionality

(14) U = {1,2,3,4,5,6,7,8,9,10}
A = {2,3,4,6}
B = {3,4,5,6,7,8}

Figure 13.2 illustrates set intersection in the form of a diagram: the ovals rep-
resent two sets, labeled A and B, while the shaded portion which is included in
both ovals represents the intersection of the two sets (A∩B). Another example in
standard set notation is provided in (15).

A B

A∩B

Figure 13.2: : Set intersection

(15) {a,b,c} ∩ {c,d,f} = {c}

The union of two sets, written “A∪B”, is the set consisting of all elements
which are either members of A or members of B. Returning to the sets defined in
(14), the union of the two sets is formed by combining all the elements from both,
which yields the following result: A∪B = {2,3,4,5,6,7,8}. Figure 13.3 illustrates
this in the form of a diagram, and another example in standard set notation is
provided in (16).

A B

A∪B

Figure 13.3: Set union

(16) {a,b,c} ∪ {c,d,f} = {a,b,c,d,f}

The complement of set A, written as A or A′, is defined as the set which con-
tains all the elements of U that are not elements of A. Some simple examples are

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 13.3 Basic concepts in set theory

shown in (17). Here, the only elements of U which are not in A are 1 and 5, so A
= {1,5}. Similarly, the elements of U which are not in B are 1, 2, 5, and 6; so B =
{1,2,5,6}.

(17) U = {1,2,3,4,5,6}
A = {2,3,4,6}
A = {1,5}
B = {3,4}
B = {1,2,5,6}

This basic notion of complement set involves complements relative to the uni-
versal set U. It is often useful to refer to the complement of one set relative to
some other set. The complement of A relative to B, written “B–A”, is the set con-
sisting of all elements which are members of B but not members of A.6 Another
way of expressing this definition is the following: B–A = B∩A. Figure 13.4 illus-
trates this in the form of a diagram, and several examples in standard set notation
are provided in (18).

A B

B–A

Figure 13.4: Set complementation

(18) {a,b,c} – {b,c} = {a}

{a,b,c,d,f} – {a,b,c,j,k,p} = {d,f}
A–∅=A
∅–A=∅
U–A=A

To summarize, we have defined three basic operations on sets (intersection,

union, and complement or “difference”), and one relation between sets, namely

6 This operation is sometimes referred to as “set subtraction.”

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13 Modeling compositionality

inclusion (the subset relation). The three operations provide ways of combin-
ing two existing sets to define a new set. It is important to note that “A∩B”,
“A∪B”, and “B–A” are names of sets; but “A⊆B” is a proposition, a claim about
the membership of the two sets, which could be true or false.
More precise definitions of set intersection, union, complementation, and in-
clusion (the subset relation) are provided in (19). These definitions will help us
to understand, for example, why the interpretation of an “and” statement fre-
quently involves the intersection of two sets while the interpretation of an “or”
statement frequently involves the union of two sets.

(19) ∀x [x ∈ (A∩B) ↔ ((x∈A) ∧ (x∈B))] [intersection]

∀x [x ∈ (A∪B) ↔ ((x∈A) ∨ (x∈B))] [union]
∀x [x ∈ (A–B) ↔ ((x∈A) ∧ (x<B))] [complement]
(A ⊆ B) ↔ ∀x [(x∈A) → (x∈B)] [subset]

13.4 Truth relative to a model

We have noted several times that denotations, including the denotations of re-
ferring expressions and truth values of sentences, can only be evaluated relative
to a particular situation of use. In order to develop and test a set of interpretive
rules, which can correctly predict the denotation of a particular expression in
any given situation, it is important to provide very explicit descriptions for the
test situations. As stated above, this kind of description of a situation is called a
model, and must include two types of information: (i) the domain, i.e., the set
of all individual entities in the situation; and (ii) the denotation sets for the basic
vocabulary items in the expressions being analyzed.
As a first illustration of how the system works, let us return to our simple
situation containing just three individuals: King Henry VIII, Anne Boleyn, and
Thomas More. Our model of this situation, which we might call Model 1, would
provide the information listed in (20). We often use the name “U” as a convenient
way to refer to the domain (the “universal set” of individuals). The notation JxK
represents the denotation (or “semantic value”) of x within the current model.
This notation can be used either for object language expressions or for logical
formulae; so, for example, JSNOREK names the same set as JsnoresK. By conven-
tion we use small letters for logical “constants”, e.g. proper names, and capital
letters for predicates.

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 13.4 Truth relative to a model

(20) Model 1
i. the set of individuals U = { King Henry VIII, Anne Boleyn, Thomas
More }
ii. denotations:
JMANK = {King Henry VIII, Thomas More}
JWOMANK = {Anne Boleyn}
JSNOREK = {King Henry VIII}
JaK = Anne Boleyn
JhK = King Henry VIII
JtK = Thomas More

The denotation sets encode information about the current state of the world.
For example, this model indicates that King Henry VIII is the only person in
the current situation who snores. We can use the defined vocabulary items to
build simple declarative sentences about the individuals in this situation, and
then try to provide interpretations for each sentence in terms of set membership,
as illustrated in Table 13.1. These interpretations express the truth conditions for
each sentence. We can use them to evaluate the truth of each sentence relative
to Model 1. For example, the sentence in Table 13.1a, Thomas More is a man, will
be true in any situation where the individual Thomas More is a member of the
denotation set of the word man. Since this is the case in Model 1, the sentence is
true relative to this model.
Table 13.1: Sentence interpretation examples

English sentence logical form interpretation truth value

a. Thomas More is a MAN(t) Thomas More ∈JMANK T
man.
b. Anne Boleyn is a man MAN(a) ∨ WOMAN(a) Anne Boleyn ∈ (JMANK∪JWOMANK ) T
or a woman.
c. Henry VIII is a man MAN(h) ∧ SNORE(h) Henry VIII ∈ (JMANK∩JSNOREK ) T
who snores.
d. All men snore. ∀x[MAN(x) → SNORE(x)] JMANK⊆JSNOREK F
e. No women snore. ¬∃x[WOMAN(x) ∧ SNORE(x)] JWOMANK∩JSNOREK = ∅ T

The interpretations in Table 13.1b–e can be derived from the corresponding

logical forms, based on the definitions of intersection, union, and subset pro-
vided in (19). For example, the or statement in Table 19b constitutes a claim that
a certain individual (Anne Boleyn) is a member of the union of two sets, be-

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13 Modeling compositionality

cause the definition of A∪B involves an or statement. Once the truth conditions
are stated in terms of set relations, we can determine the truth values for each
sentence by inspecting the membership of the denotation sets specified in the
model. The statement in (Table 13.1b) is true relative to Model 1 because the in-
dividual Anne Boleyn is a member of the set JWOMANK , and thus a member of
JMANK∪JWOMANK .

13.5 Rules of interpretation

Stating the truth conditions for individual sentences like those in Table 13.1 is a
useful first step, but does not yet replicate what speakers can do in their produc-
tive use of the language. Ultimately our goal is to provide general rules of inter-
pretation which will predict the correct truth conditions for sentences based on
their syntactic structure. As a further step toward this goal, let us return to the
sentence in (21a), which we have already discussed several times.

(21) a. King Henry VIII snores.

b. Anne Boleyn snores.

We have already stated an informal rule of interpretation for simple sentences:

the proposition expressed by a (declarative) sentence will be true if and only if
the referent of the subject NP is a member of the denotation set of the VP. We
can now restate this rule in a slightly more formal manner. We will assume that
the basic syntactic structure of the clause is [NP VP]. The semantic rule we wish
to state operates in parallel with the syntactic rule which licenses this structure,
as suggested in (22). (Recall that the semantic value, i.e. the denotation, of a
sentence is its truth value.)

(22) syntax: S → NPsubj VP

semantics: The semantic value of a sentence is ‘true’ if the semantic
value of the subject is a member of the set which is the semantic value of
the VP, and ‘false’ otherwise;
JSK = ‘true’ iff JNPsub j K∈JVPK

Applying this rule to the sentence in (21a), we get the formula in (23). This for-
mula says that the sentence will be true just in case King Henry VIII is a member
of the denotation set of snores. Since this is true in our model, the sentence is true
relative to this model. The same rule of interpretation allows us to determine that
sentence (21b) is false relative to this model.

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 13.5 Rules of interpretation

(23) JKing Henry VIII snoresK = ‘true’ iff JKing Henry VIIIK∈JsnoresK

The statement in (23) can be expressed in logical notation as in (24a). This for-
mula is a specific instance of the general rule for evaluating the truth of propo-
sitions involving a one-place predicate. This general rule, shown in (24b), states
that the proposition P(α) is true if and only if the entity denoted by α is an ele-
ment of the denotation set of P.

(24) a. JSNORE(h)K = ‘true’ iff JhK∈JSNOREK

b. if α refers to an entity and P is a one-place predicate,
then JP(α)K = ‘true’ iff JαK∈JPK

Let us now add a few more vocabulary items to our simple model, calling the
new version Model 1ʹ. This revised model presumably reflects the early period of
the marriage, ca. 1532–1533 AD, when Henry and Anne were happy and in love.
Note also that Thomas More had fallen out of favor with the king around this
time.

(25) Model 1ʹ
i. the set of individuals U = {King Henry VIII, Anne Boleyn, Thomas
More}
ii. denotations:
JMANK = {King Henry VIII, Thomas More}
JWOMANK = {Anne Boleyn}
JSNOREK = {King Henry VIII}
JHAPPYK = {King Henry VIII, Anne Boleyn}
JLOVEK = { ⟨King Henry VIII, Anne Boleyn⟩, ⟨Anne Boleyn, King
Henry VIII⟩ }
JANGRY_ATK = { ⟨King Henry VIII, Thomas More⟩ }
JaK = Anne Boleyn
JhK = King Henry VIII
JtK = Thomas More

Model 1ʹ includes some two-place (i.e, transitive) predicates, and should allow
us to evaluate simple transitive sentences like those in (26). The denotation set
of a transitive predicate like LOVE or ANGRY_AT is not a set of individuals, but

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13 Modeling compositionality

a set of ordered pairs. Sentence (26a) expresses the proposition stated by the
logical formula in (27a). The truth conditions for this proposition are stated in
terms of set membership in (27b): the proposition will be true if and only if the
ordered pair ⟨King Henry VIII, Anne Boleyn⟩ is a member of the denotation set
of LOVE. Since this is true in Model 1ʹ, sentence (26a) is true with respect to this
model. The formula in (27b) is an instance of the general pattern stated in (27c).

(26) a. King Henry VIII loves Anne Boleyn.

b. King Henry VIII is angry at Thomas More.

(27) a. LOVE(h,a)
b. JLOVE(h,a)K = ‘true’ iff ⟨JhK, JaK⟩∈JLOVEK
c. if α, β refer to entities and P is a two-place predicate,
then JP(α,β)K = ‘true’ iff ⟨JαK, JβK⟩∈JPK

So far we have been dealing with the meanings of complete sentences all at
once. This is possible only for the very simple kinds of sentences discussed thus
far, but more importantly, it misses the point of the exercise. If we hope to ac-
count for the compositional nature of sentence meaning, modeling speakers’ and
hearers’ ability to interpret novel sentences, we need to pay attention to syntac-
tic structure. The sentences in (26) share the same basic syntactic structure as
those in (21), namely [NP VP]. This suggests that the rule of interpretation stated
in (22) should apply to the sentences in (26) as well.
The main syntactic difference between the sentences in (26) and those in (21)
is the structure of VP: transitive in (26), intransitive in (21). In order to apply
rule (22) to the sentences in (26), we need another rule which will provide the
semantic value of a transitive VP. Intuitively, rule (22) says that the proposition
expressed by a (declarative) sentence will be true if and only if the referent of the
subject NP is a member of the denotation set of the VP. So we need to say that
sentence (26a) will be true if and only if King Henry VIII belongs to a certain
set. What is the relevant set? It would be the set of all individuals that love
Anne Boleyn. This set will be the denotation set of the VP loves Anne Boleyn. The
standard notation for defining such a set is shown in (28a), which says that the
denotation set of this VP will be the set of all individuals x such that the ordered
pair ⟨x, Anne Boleyn⟩ is an element of the denotation set of the transitive verb
love.

(28) a. Jloves Anne BoleynK = {x: ⟨x, Anne Boleyn⟩∈JLOVEK }

244
 13.5 Rules of interpretation

b. syntax: VP → Vtrans NPobj

semantics: The semantic value of a VP containing a transitive verb
meaning P together with an object NP meaning α is the set of all
individuals x for which P(x,α) is true;
JVPK = {x: ⟨x, JNPob j K⟩∈JVt r ans K }

The general rule for deriving denotation sets of transitive VPs is stated in (28b).
The denotation sets formed by this rule are sets of individuals, so it makes sense
to ask whether the referent of a subject NP is a member of one of these denotation
sets. In other words, the denotation sets formed by rule (28b) are the right kind
of sets to function as VP denotations in rule (22). So this approach allows us to
model the stepwise derivation of sentence denotations. The rule of interpretation
stated in (22) applies to both transitive and intransitive sentences. In the case of
transitive sentences, rule (28b) “feeds”, or provides the input to, rule (22).
Rule (22) can also be applied to intransitive sentences with non-verbal pred-
icates like those in (29), provided we can determine the denotation set of the
VP.

(29) a. King Henry VIII is happy.

b. King Henry VIII is a man.
c. King Henry VIII is a happy man.

We can assume that the semantic contribution of the copular verb is is essen-
tially nil (apart from tense, which we are ignoring for the moment). That means
that the denotation set of the VP is happy will be identical to JHAPPYK , which is
a set of individuals. For now we will also assume that the semantic contribution
of the indefinite article in a predicate NP is nil.7 So the denotation set of the VP
is a man will be identical to JMANK , which is also a set of individuals. In general,
the denotation sets of common nouns and many adjectives are of the same type
as the denotation sets of intransitive verbs; this is observable in the denotations
assigned in (25). So no extra work is needed to interpret sentences (29a–b), using
rule (22).
Sentence (29c) is more complex, because the predicate NP contains a modify-
ing adjective as well as the head noun. As with transitive verbs, we can determine
the denotation set of the VP (in this case, is a happy man) by asking what set the
sentence asserts that Henry VIII belongs to? Here the relevant set is the set of
happy men, i.e., the set of all individuals who are both happy and men.

7 This assumption applies only to predicate NPs, and not to indefinite NPs in argument positions.

245
13 Modeling compositionality

The combination of word meanings in happy man follows the same pattern
we have already discussed in connection with the phrase yellow submarine. The
proposition asserted in (29c) might be represented by the formula in (30a). The
truth conditions for this proposition are stated in terms of set membership in
(30b). (Recall the definition of intersection given in (19).) The general rule for
interpreting modifying adjectives is stated in (30c); we use the category label Nʹ
for the constituent formed by A+N. Ignoring once again any possible semantic
contribution of the copula and the indefinite article, the denotation set of the VP
is a happy man is simply JHAPPYK∩JMANK. This is a set of individuals, and so
rule (22) will apply correctly to sentence (29c) as well.

(30) a. HAPPY(h) ∧ MAN(h)

b. JHAPPY(h) ∧ MAN(h)K = ‘true’ iff JhK∈(JHAPPYK∩JMANK)
c. syntax: Nʹ → A N
semantics: The semantic value of an Nʹ constituent containing a
modifying adjective and a head noun is the intersection of the
semantic values of the adjective and noun;
JA NK = JAK∩JNK

13.6 Conclusion
In this chapter we have worked through a compositional analysis for the mean-
ings of simple sentences like those in (4), (26), and (29). We have developed a rule
of semantic interpretation for simple clauses of the form [NP VP] (see rule 22), a
similar rule for transitive VPs (rule 28b), and a rule for adjective modifiers (30c).
We have shown how these rules can be applied in a stepwise fashion to derive
the truth-conditions of a simple sentence from the denotations of the words that
it contains and the manner in which those words are combined syntactically.
In discussing the meanings of quantifiers, conditionals, tense markers etc. in
later chapters we will focus more on understanding the phenomena than on for-
malizing the rule system, but we will still draw heavily on the concepts intro-
duced in this chapter. Moreover, an important assumption in everything that
follows is that our description of the meanings of these elements must be com-
patible with the kind of compositional analysis illustrated in this chapter.

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 13.6 Conclusion

Further reading

Good brief introductions to set theory are provided in Allwood et al. (1977:
ch. 2), J. N. Martin (1987: ch. 2), Coppock (2016: ch. 2); and McCawley
(1981a: ch. 5). Readable introductory textbooks include Halmos (1960) and
Enderton (1977). Formal introductions to truth-conditional semantics are
provided in Dowty et al. (1981) and Heim & Kratzer (1998). An informal dis-
cussion of this approach is presented in E. Bach (1989). A brief introduction
to Model Theory is provided by Hodges (2013). Standard textbooks for this
topic include Chang & Keisler (1990) and Hodges (1997).

Discussion exercises
A. Set theory Fill in the following tables:

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13 Modeling compositionality

Set A Set B A∩B

a. the set of all the set of all the set of all
mammals animals that lay monotremesa
eggs
b. {p,q,s,t} {q,t,w,x}
c. the set of all odd the set of all even
numbers numbers
d. the set containing the set of all people
all members of the with 2-syllable first
Beatles names
e. the set of all the set of all
Hollywood stars governors of
California (past and
present)

Set A Set B A∪B

a. the set of all the the set of all the the set of the
books of the Old books of the New canonical books of
Testament Testament the Bible
b. {p,q,s,t} {q,t,w,x}
c. the set of all odd the set of all even
numbers numbers
d. the set of all the set of all
members of the members of the
British House of British House of
Lords Commons
e. the set of all female the set of all female
British monarchs French monarchsb

248
 13.6 Conclusion

Set A Set B A–B

a. nations that have nations that have {Brazil, Spain} (as of
won at least one won a FIFA World Dec. 2016)
FIFA World Cup Cup title playing in
title their own homeland
b. {p,q,s,t} {q,t,w,x}
c. the set of all the set of all even
integers numbers
d. the set of all the set of all renates
cordates
e. the set of all French the set of all female
monarchs French monarchs

Set A Set B A⊆B?

a. the set of all the set of all
monotremes mammals
b. {p,q,s,t} {q,t,w,x}
c. the set of all odd the set of all
numbers integers
d. the set of all the set of all renates
cordates
e. the set of all the set of all SVO
Indo-European languages
languages

B. Model theory
(1) Sketch a picture of the situation defined by the following model:
a. the set of individuals U = {Able, Baker, Charlie, Doug, Echo,
Fred, Geronimo}
b. denotation assignments:
JFISHK = {Able, Baker, Charlie, Doug}

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13 Modeling compositionality

JSUBMARINEK = {Echo}
JSEAHORSEK = {Fred, Geronimo}
JREDK = {Able, Baker, Fred}
JGREENK = {Charlie, Geronimo}
JBLUEK = {Doug, Echo}
JSWIMK = {Able, Baker, Charlie, Doug, Fred, Geronimo}
JOCTOPUSK = ∅
JFOLLOWK = {⟨Able, Echo⟩, ⟨Doug, Able⟩, ⟨Doug,
Echo⟩, ⟨Charlie, Fred⟩}
JaK = Able
JbK = Baker
JcK = Charlie
JdK = Doug
JeK = Echo
JfK = Fred
JgK = Geronimo

250
 13.6 Conclusion

(2) Complete the following table by providing logical formulae and

set-theoretic interpretations for sentences (e–i), and evaluate the
truth value of each sentence relative to the model provided above.

English logical form set interpretation

sentence
a. Geronimo is a SEAHORSE(g) Geronimo ∈JSEAHORSEK T
seahorse.
b. Doug is a blue BLUE(d) ∧ FISH(d) Doug ∈ (JBLUEK∩JFISHK ) T
fish.
c. Charlie is red RED(c) ∨ GREEN(c) Charlie ∈ (JREDK∪JGREENK ) T
or green.
d. All fish are ∀x[FISH(x) → RED(x)] JFISHK⊆JREDK F
red.
e. Echo swims.
f. All fish swim.
g. No submarine
is red.
h. Some seahorse
is green.
i. Two fish are
red.

(3) Draw annotated tree diagrams for the following sentences

showing how their truth conditions would be derived
compositionally from our rules of interpretation:
a. Henry snores.
b. Henry loves Jane.
c. Henry is a happy man.

a Platypus plus four species of echidna

b Note: there were no female French monarchs.

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13 Modeling compositionality

Homework exercises

A: Assume that the following individuals are included in our universe of

discourse:

JbK = Mrs. Bennet

JcK = Mr. Collins
JdK = Mr. Darcy
JeK = Elizabeth (Bennet)
JlK = Lydia (Bennet)
JwK = Mr. Wickham

For each of the following logical formulae, provide an English transla-

tion and an interpretation stated in terms of set notation. Then create a
model under which sentences (2–3) will be false, and the rest (including 1)
will be true.a

1. LOVE(d,e)
Model answer
English translation: ‘Mr. Darcy loves/loved Elizabeth.’
truth conditions: ⟨Darcy, Elizabeth⟩∈JLOVEK

2. REJECT(e,c)
3. ∀x [(MAN(x) ∧ WEALTHY(x)) → ADMIRE(b,x)]
4. ∃x [MAN(x) ∧ WEALTHY(x) ∧ ADMIRE(b,x)]
5. ¬∃x [WOMAN(x) ∧ LOVE(x,c)]
6. DECEIVE(w,l) ∧ RESCUE(d,l)
7. ∀x [WOMAN(x) → CHARM(w,x)] ∧∀y [MAN(y) → ANGER(w,y)]

a Patterned loosely after Saeed (2009: 350).

252
14 Quantifiers
14.1 Introduction
As we noted in Chapter 13, sentences like those in (1a–c) seem to require some
modifications to the simple rules of interpretation we have developed thus far:

(1) a. All men snore.

b. No women snore.
c. Some man snores.

Most of the sentences that we discussed in that chapter had proper names for
arguments. We analyzed those sentences as asserting that a specific individual
(the referent of the subject NP) is a member of a particular set (the denotation set
of the VP). The sentences in (1a–c) present a new challenge because the subject
NPs are quantified noun phrases, and do not refer to specific individuals.
Quantifier words like all, some, and no have been intensively studied by se-
manticists, and the present chapter summarizes some of this research. In §14.2
we present evidence for the somewhat surprising claim that quantifier words ex-
press a relationship between two sets. This insight, which we will argue follows
from the general principle of compositionality, provides the critical foundation
for all that follows. In §14.3 we show why the standard predicate logic nota-
tion that we introduced in Chapter 4 cannot express the meanings of certain
kinds of quantifiers. We then introduce a different format, called the restricted
qantifier notation, which overcomes this problem. In §14.4 we discuss two
classes of quantifier words, cardinal qantifiers vs. proportional qanti-
fiers, which differ in both semantic properties and syntactic distribution. §14.5
discusses an important property of quantifiers which was mentioned briefly in
Chapter 4, namely their potential for ambiguous scope relations with other quan-
tifiers (or various other types of expressions) occurring within the same sentence.
14 Quantifiers

14.2 Quantifiers as relations between sets

Let us begin by asking what claim sentence (1a) makes about the world. Under
what circumstances will it be true? Intuitively, it will be true in any situation
in which all of the individuals that are men have the property of snoring; that
is, when every member of the denotation set JMANK is also a member of the
denotation set JSNOREK. But this is equivalent to saying that JMANK is a subset
of JSNOREK, as indicated in (19) of Chapter 13 (page 240).
Now let us think about how this meaning is composed. We have said that the
sentence All men snore expresses an assertion that the set of all men is a subset
of the set of entities that snore. This interpretation is expressed in the formula
in (2). Clearly the semantic contribution of men is JMANK, and the semantic
contribution of snore is JSNOREK. That means that the semantic contribution of
all can only be the subset relation itself.

(2) JAll men snoreK = true ↔ JMANK ⊆ JSNOREK

Now it may seem odd to suggest that all really means ‘subset’, but that is
what the principle of compositionality seems to lead us to. The subset relation is
a relation between two sets. More abstractly, we can think of the determiner all
as naming a relation between two sets, in this case the set of all men and the set
of all individuals that snore.
Now let us consider sentence (1b), No women snore. Under what circumstances
will this sentence be true? Intuitively, it will be true in any situation in which
no individual who is a woman has the property of snoring; that is, when no indi-
vidual is a member both of the denotation set JWOMANK and of the denotation
set JSNOREK. But this is equivalent to saying that the intersection of JWOMANK
with JSNOREK is empty, as indicated in (19) of Chapter 13 (page 240). This in-
terpretation is expressed in the formula in (3). By the same reasoning that we
used above, the principle of compositionality leads us to the conclusion that the
determiner no means ‘empty intersection’. Once again, this is a relation between
two sets.

(3) JNo woman snoresK = true ↔ (JWOMANK ∩ JSNOREK = ⌀)

Sentence (1c), Some man snores, will be true in any situation in which at least
one individual who is a man has the property of snoring. This is equivalent to
saying that the intersection of JMANK with JSNOREK is non-empty, as indicated
in (4). The principle of compositionality leads us to the conclusion that the deter-
miner some means ‘non-empty intersection’.

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 14.2 Quantifiers as relations between sets

(4) JSome man snoresK = true ↔ (JMANK ∩ JSNOREK ≠ ⌀)

The key insight which has helped semanticists understand the meaning con-
tributions of quantifier words like all, some, and no, is that these words name
relations between two sets. The table in (5) lists these and several other quan-
tifying determiners, showing their interpretations stated as a relation between
two sets. In these examples the two sets are JSTUDENTK (the set of all students),
which for convenience we will refer to as S, and JBRILLIANTK (the set of all
brilliant individuals) which for convenience we will refer to as B.

(5) a. All students are brilliant. S ⊆B

b. No students are brilliant. S ∩B = ⌀
c. Some students are brilliant. |S ∩ B|≥2
d. A/Some student is brilliant. S ∩ B , ⌀; or: |S ∩ B| ≥ 1
e. |S ∩ B| = 41
Four students are brilliant.
f. |S ∩ B| > |S − B|; or: |S ∩ B| > ½|S |
Most students are brilliant.
g. Few students are brilliant.|S ∩ B| < some contextually defined
number
h. Both students are brilliant. S ⊆ B ∧ |S | = 2

Notice that we have distinguished plural vs. singular uses of some by stating
that plural some (ex. 5c) indicates an intersection with cardinality of two or more.
The interpretation suggested in (h) indicates that the meaning of both includes
the subset relation and the assertion that the cardinality of the first set equals
two. This amounts to saying that both means ‘all two of them’. Strictly speak-
ing, it might be more accurate to treat the information about cardinality as a
presupposition, because that part of the meaning is preserved in questions (Are
both students brilliant?), conditionals (If both students are brilliant, then …), etc.
However, we will not pursue that issue here.
All of the examples in (5) involve relations between two sets. We might refer to
quantifiers of this type as two-place quantifiers. Three-place quantifiers are also
possible, i.e., quantifiers that express relations among three sets. Some examples
are provided in (6).

(6) a. Half as many guests attended as were invited.

| JGUESTK ∩ JATTENDK | = ½| JGUESTK ∩ JINVITEK |
1 Recallfrom Chapter 9 that numerals seem to allow two different interpretations. In light of
that discussion, this sentence could mean either |S ∩ B| = 4 or |S ∩ B| ≥ 4 depending on context.
For the purposes of this chapter we will ignore the ‘at least’ reading.

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14 Quantifiers

b. In every Australian election from 1967 to 1998, more men than

women voted for the Labor party.
| JMANK ∩ {x: <x,l> ∈ JVOTE_FORK }| > | JWOMANK ∩ {x: <x,l> ∈
JVOTE_FORK }|

The kinds of meanings expressed by quantifying determiners can also be ex-

pressed by adverbs. D. Lewis (1975) refers to adverbs like always, sometimes,
never, etc. as “unselective quantifiers”, because they can quantify over various
kinds of things. The examples in (7) show these adverbs quantifying over times:
always means ‘at all times’, never means ‘at no time’, etc. The examples in (8)
show these same adverbs quantifying over individual entities. If usually in (8b)
were interpreted as quantifying over times, it would imply that the color of a
dog’s eyes might change from one moment to the next. If sometimes in (8c) were
interpreted as quantifying over times, it would imply that the sulfur content of
a lump of coal might change from one moment to the next.

(7) Quantifying over times:

a. In his campaigns Napoleon always relied upon surprise and speed.2
b. Churchill usually took a nap after lunch.
c. De Gaulle sometimes scolded his aide-de-camp (= Chief of Staff).
d. George Washington never told a lie.

(8) Quantifying over individual entities:

a. A triangle always has three sides. (= ‘All triangles have three sides.’)
b. Dogs usually have brown eyes. (= ‘Most dogs have brown eyes.’)
c. Bituminous coal sometimes contains more than one percent sulfur by
weight. (= ‘Some bituminous coal contains more than one percent
sulfur by weight.’)
d. A rectangle never has five corners. (= ‘No rectangles have five
corners.’)

In a number of languages, including English, quantifying determiners like all

can optionally occur in adverbial positions, as illustrated in (9). This alternation
is often referred to as qantifier float:

2 http://www.usafa.edu/df/dfh/docs/Harmon28.pdf

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 14.3 Quantifiers in logical form

(9) a. All the children will go to the party.

b. The children will all go to the party.

Not all languages make use of quantifying determiners; adverbial quantifiers

seem to be more common cross-linguistically. Other strategies for expressing
quantifier meanings are attested as well: quantificational verb roots, verbal af-
fixes, particles, etc. For some languages it has been claimed that the syntac-
tic means available for expressing quantification limits the range of quantifier
meanings which can be expressed.3 Most of the examples in our discussion be-
low involve English quantifying determiners, and these have been the focus of a
vast amount of study. However, we should not forget that other quantification
strategies are also common.

14.3 Quantifiers in logical form

Our analysis of all as denoting a subset relation, no as meaning ‘empty intersec-
tion’, and some as meaning ‘non-empty intersection’, is reflected in the logical
forms we proposed in Chapter 4 for sentences involving these words. These log-
ical forms are repeated here in (10).

(10) a. All men snore. ∀x[MAN(x) → SNORE(x)]

b. No women snore. ¬∃x[WOMAN(x) ∧ SNORE(x)]
c. Some man snores. ∃x[MAN(x) ∧ SNORE(x)]

Now we are in a position to understand why these forms work as translations

of the English quantifier words. The use of material implication (→) in (10a)
follows from the definition of the subset relation which we presented in Chap-
ter 13, repeated here in (11a). The use of logical ∧ ‘and’ in (10b–c) follows from
the definition of set intersection presented in Chapter 13, repeated here in (11b).
(11) a. (A ⊆ B) ↔ ∀x[(x∈A) → (x∈B)] [subset]
(JMAN K ⊆J SNORE K ) ↔ ∀x[(x∈J MANK ) → (x∈J SNORE K )]
b. ∀x[x ∈ (A∩B) ↔ ((x∈A) ∧ (x∈B))] [intersection]
(JMANK ∩ JSNOREK ≠ ⌀) ↔ ∃x[(x∈J MAN K ) ∧ (x∈J SNORE K )]

Many other quantifier meanings can also be expressed using the basic predi-
cate logic notation. For example, the NP four men could be translated as shown
in (12):
3 Baker (1995); Bittner (1995); Koenig & Michelson (2010).

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14 Quantifiers

(12) Four men snore.

∃w∃x∃y∃z[w≠x≠y≠z ∧ MAN(w) ∧ MAN(x) ∧ MAN(y) ∧ MAN(z) ∧
SNORE(w) ∧ SNORE(x) ∧ SNORE(y) ∧ SNORE(z)]

As we can see even in this simple example, the standard predicate logic nota-
tion is a somewhat clumsy tool for this task. Moreover, it turns out that there are
some quantifier meanings which cannot be expressed at all using the predicate
logic we have introduced thus far. For example, the interpretation for most sug-
gested in (5f) is that the cardinality of the intersection of the two sets is greater
than half of the cardinality of the first set. The basic problem here is that the
logical predicates we have been using thus far represent properties of individual
entities. This type of logic is called first-order logic. However, the cardinality
of a set is not a property of any individual, but rather a property of the set as a
whole. What we would need in order to express quantifier meanings like most
is some version of second-order logic, which deals with properties of sets of
individuals.
For example, we could define the denotation set of a NP like most men to be
the set of all properties which are true of most men. The sentence Most men snore
would be true just in case the property of snoring is a member of Jmost menK.4
However, the mathematical formalism of this approach is more complex than we
can handle in the present book. Rather than trying to work out all the technical
details, we will proceed from here on with a more descriptive approach.
One convenient way of expressing propositions which contain quantifier mean-
ings like most is called the restricted qantifier notation. This notation con-
sists of three parts: the quantifier operator, the restriction, and the nuclear scope.
In example (13a), the operator is most; the restriction is the open proposition
“STUDENT(x)”; and the nuclear scope is the open proposition “BRILLIANT(x)”.
This same format can be used for other quantifiers as well, as illustrated in (13b–
c).

(13) a. Most students are brilliant. [most x: STUDENT(x)] BRILLIANT(x)

(operator = “most”; restriction = “STUDENT(x)”;
scope = “BRILLIANT(x)”)
b. No women snore. [no x: WOMAN(x)] SNORE(x)
c. All brave men are lonely. [all x: MAN(x) ∧ BRAVE(x)] LONELY(x)
4 This analysis, under which quantified NPs denote sets of sets, is called the Generalized Quan-
tifier approach. The meanings of the quantified NPs themselves are referred to as Generalized
Quantifiers, which leads to a certain amount of ambiguity in the use of the word quantifier.
Sometimes it is used to refer to the whole NP, and sometimes just to the quantifying determiner.

258
 14.3 Quantifiers in logical form

In contrast to the standard logical notation, using this restricted quantifier

notation allows us to adopt a uniform procedure for interpreting sentences which
contain quantifying determiners:

• the quantifying determiner itself specifies the operator;

• the remainder of the NP which contains the quantifying determiner spec-

ifies the material in the restriction;

• the rest of the sentence specifies the material in the nuclear scope.

For example, the quantifying determiner in (13c) is all; this determines the
operator. The remainder of the NP which contains the quantifying determiner
is brave men; this specifies the material in the restriction (MAN(x) ∧ BRAVE(x)).
The rest of the sentence (are lonely) specifies the material in the nuclear scope
(LONELY(x)). Some additional examples are provided in (14).

(14) a. Most men who snore are libertarians.

[most x: MAN(x) ∧ SNORE(x)] LIBERTARIAN(x)
b. Few strict Baptists drink or smoke.
[few x: BAPTIST(x) ∧ STRICT(x)] DRINK(x) ∨ SMOKE(x)

Of course, translations in this format do not tell us what the quantifying de-
terminers actually mean; the meaning of each quantifier needs to be defined
separately, as illustrated in (15):

(15) a. [all x: P(x)] Q(x) ↔ JPK ⊆ JQK

b. [no x: P(x)] Q(x) ↔ JPK ∩ JQK = ⌀
c. [four x: P(x)] Q(x) ↔ | JPK ∩ JQK | = 4
d. [most x: P(x)] Q(x) ↔ | JPK ∩ JQK | > ½ | JPK |

As these definitions show, a quantifying determiner names a relation between

two sets: one defined by the predicate(s) in the restriction (represented by P
in the formulae in 15), and the other defined by the predicate(s) in the scope
(represented by Q). Interpretations for the examples in (13) are shown in (16).
Use these examples to study how the content of the restriction and scope of the
logical form in restricted quantifier notation get inserted into the set theoretic
interpretation.

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14 Quantifiers

(16) a. Most students are brilliant.

[most x: STUDENT(x)] BRILLIANT(x)
| JSTUDENTK ∩ JBRILLIANTK | > ½ | JSTUDENTK |
b. No women snore.
[no x: WOMAN(x)] SNORE(x)
JWOMANK ∩ JSNOREK = ⌀
c. All brave men are lonely.
[all x: MAN(x) ∧ BRAVE(x)] LONELY(x)
(JMANK ∩ JBRAVEK ) ⊆ JLONELYK

This same procedure applies whether the quantified NP is a subject, object, or

oblique argument. Some examples of quantified object NPs are given in (17).

(17) a. John loves all pretty girls.

[all x: GIRL(x) ∧ PRETTY(x)] LOVE(j,x)
(JGIRLK ∩ JPRETTYK ) ⊆ {x: <j,x> ∈ JLOVEK }
b. Susan has married a cowboy who teases her.
[an x: COWBOY(x) ∧ TEASE(x,s)] MARRY(s,x)
(JCOWBOYK ∩ {x: <x,s> ∈ JTEASEK ) ∩ {y: <s,y> ∈ JMARRYK } ≠ ⌀

At least for the moment, we will provisionally treat the articles the and a(n) as
quantifying determiners. We will discuss the definite article below in §14.4. For
now we will treat the indefinite article as an existential quantifier, as illustrated
in (17b). (Note that this applies to indefinite articles occurring in argument NPs,
not predicate NPs. We suggested in Chapter 13 that indefinite articles occurring
in predicate NPs typically do not contribute any independent meaning.)
Compound words such as someone, everyone, no one, something, nothing, any-
thing, everywhere, etc. include a quantifier root plus another root that restricts
the quantification to a general class (people, things, places, etc.). It is often help-
ful to include this “classifier” meaning as a predicate within the restriction of the
quantifier, as illustrated in (18).

(18) a. Everyone loves Snoopy. [all x: PERSON(x)] LOVE(x,s)

b. Columbus discovered something. [some x: THING(x)] DISCOVER(c,x)
c. Nowhere on Earth is safe. [no x: PLACE(x) ∧ ON(x,e)] SAFE(x)

260
 14.4 Two types of quantifiers

14.4 Two types of quantifiers

Quantifier determiners like all, every, and most, are referred to as proportional
qantifiers because they express the idea that a certain proportion of one class
is included in some other class. Certain complex determiners like four out of
(every) five are also proportional quantifiers. Quantifier determiners like no, some,
four, and several, in contrast, are referred to as cardinal qantifiers because
they provide information about the cardinality of the intersection of two sets.5
Several is vague; for most speakers it probably indicates a set containing more
than two members, but not too much more (less than ten? less than seven?).
Nevertheless, it clearly expresses cardinality rather than proportion.
The determiners many and few are ambiguous between a cardinal sense and
a proportional sense. Sentence (19a) can be interpreted in a way which is not
a contradiction, even though the student body at Cal Tech is a tiny fraction of
the total population of America. However, this interpretation must involve the
proportional senses of many and few; the cardinal senses would give rise to a
contradiction. Sentence (19b) can only be interpreted as involving the cardinal
senses of many and few, since the sentence does not invoke any specific set of
problems or solutions from which a certain proportion could be specified.

(19) a. Few people in America have an IQ over 145, but many students at Cal
Tech are in that range.
b. Today we are facing many problems, but we have few solutions.

Both the cardinal and proportional senses of many and few are vague, and
this can make it tricky to distinguish the two senses in some contexts. Cardinal
many probably means more than several, but how much more? Generally speak-
ing, proportional many should probably be more than half, and proportional few
should probably be less than half; but how much more, or how much less? And
in certain contexts, even this tendency need not hold. In a country where 80%
of the citizens normally come out to vote, we might say Few people bothered to
vote this year if the turnout dropped below 60%. In a city where less than 20% of
the citizens normally bother to vote in local elections, we might say Many people
came to vote this year if the turnout reached 40%. So, like other vague expressions,
the meanings of many and few are partly dependent on context.

5 Proportional quantifiers are sometimes referred to as strong qantifiers, and cardinal quan-
tifiers are sometimes referred to as weak qantifiers.

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14 Quantifiers

Relationships expressed by cardinal quantifiers are generally symmetric, as

illustrated in the examples in (20–23):6

(20) a. No honest men are lawyers. (a entails b)

b. No lawyers are honest men.

(21) a. Three senators are Vietnam War veterans. (a entails b)

b. Three Vietnam War veterans are senators.

(22) a. Some drug dealers are federal employees. (a entails b)

b. Some federal employees are drug dealers.

(23) a. Several Indo-European languages are verb-initial. (a entails b)

b. Several verb-initial languages are Indo-European.

Relationships expressed by proportional quantifiers, in contrast, are not sym-

metric, as illustrated in the examples in (24–26):

(24) a. All brave men are lonely. (a does not entail b)

b. All lonely men are brave.

(25) a. Most Popes are Italian. (a does not entail b)

b. Most Italians are Popes.

(26) a. Few people are Zoroastrians. (a does not entail b,

in proportional sense of few)
b. Few Zoroastrians are people.

There are several distributional differences which distinguish these two classes
of determiners. The best known of these has to do with existential constructions.
Only cardinal quantifiers can occur as the “pivot” in the existential there con-
struction; proportional quantifiers are ungrammatical in this environment.7 (It
is important to distinguish the existential there from several other constructions
involving there. Sentences like (27b–c) might be grammatical with the locative
there, or with the list there as in There’s John, there’s Bill, there’s all our cousins…;
but these other uses are irrelevant to the present discussion.)

6 Thissymmetry follows from the fact that cardinal quantifiers generally have meanings of the
form |A∩B|=n; and the intersection function is commutative (A ∩ B = B ∩ A).
7 Milsark (1977).

262
 14.4 Two types of quantifiers

(27) a. There are several/some/no/many/six unicorns in the garden.

b. * There are all/most unicorns in the garden.
c. * There is every unicorn in the garden.

This contrast may be related to the fact that proportional quantifiers seem
to presuppose the existence of a contextually relevant and identifiable set.8 In
order for sentence (28a) to be a sensible statement, a special context is required
which specifies the relevant set of people. For example, we might be discussing
a town where most people are Baptist. Similarly, if sentence (28b) is intended to
be a sensible statement, a special context is required to specify the relevant set
of students. For example, we might be discussing graduation requirements for
a particular linguistics program. This “discourse familiarity” of the restriction
set is required by proportional quantifiers, but not by cardinal quantifiers. The
sentences in (29) do not require any specific context in order to be acceptable.
(Of course context could be relevant in determining what the vague quantifier
many means.)

(28) a. Most people attend the Baptist church.

b. All students are required to pass phonetics.

(29) a. Many people attend the Baptist church.

b. Six hundred students got grants from the National Science
Foundation this year.
c. No aircraft are allowed to fly over the White House.

Discourse familiarity is of course one type of definiteness. We suggested above

that the indefinite article a(n) could be analyzed as an existential quantifier,
roughly synonymous with singular some. Under this analysis, a(n) would be
a cardinal quantifier, because it specifies a non-empty intersection. Similarly,
one way of analyzing the definite article the is to treat it as a special universal
quantifier, meaning something like ‘all of them’ with plural nouns and ‘all one
of them’ with singular nouns. Since all is a proportional quantifier, this analy-
sis predicts that the should also function as a proportional quantifier. The use
of the seems to trigger a presupposition that the individual or group named by
the NP in which it occurs is uniquely identifiable in the context of the utterance.

8 Barwise & Cooper (1981) suggest that asserting existence is a tautology for most proportional
quantifier phrases, vacuously true if the reference set is empty and necessarily true if it is not
empty. It is a contradiction for proportional quantifiers like neither.

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14 Quantifiers

This presupposition might be seen as following from the general requirement of

discourse familiarity for the restriction set of a proportional quantifier.9
This analysis of the articles gets some support from the observation that a(n)
can, but the cannot, occur with existential there. This is exactly what we would
expect if a(n) is a cardinal quantifier while the is a proportional quantifier.
(30) There is a/*the unicorn in the garden. (under existential reading)

14.5 Scope ambiguities

As noted in Chapter 4, when a quantifier combines with another quantifier, nega-
tion, or certain other kinds of elements, it can give rise to ambiguities of scope.
For example, the sentence I did not find many valuable books allows for two read-
ings, as shown in (31). The first reading could be paraphrased as ‘there were many
valuable books which I did not find’. The second reading could be paraphrased
as ‘there were not many valuable books which I found.’ The difference in the two
readings depends on the scope of negation: it takes scope over the quantified NP
in reading (b), but not in reading (a).
(31) I did not find many valuable books.
a. [many x: BOOK(x) ∧ VALUABLE(x)] ¬FIND(speaker,x)
b. ¬[many x: BOOK(x) ∧ VALUABLE(x)] FIND(speaker,x)
This is a real semantic ambiguity because the two readings have different truth
conditions. For example, suppose that a library contains 10,000 books, of which
600 are considered valuable. One day the library catches fire. The next day the li-
brarian goes in to search for the surviving books, and finds 300 which are consid-
ered valuable. In this context, 300 books could plausibly be described as “many”,
in which case the first reading would be true while the second reading would be
false.
In Chapter 4 we noted that the proverb All that glitters is not gold actually has
two possible readings. Once again the ambiguity arises from the interaction be-
tween the quantifier and clausal negation: either may occur within the scope of
the other, as shown in (32). However, many English speakers are not aware of
any ambiguity in this proverb. The mock syllogism in (33) has been proposed as
an example of fallacious reasoning. In fact, the reasoning is sound under one pos-
sible reading of the proverb (the (a) reading), but not under the intended reading
of the proverb (the (b) reading).
9 Kearns (2000).

264
 14.5 Scope ambiguities

(32) All that glitters is not gold.

a. [all x: GLITTER(x)] ¬GOLD(x)
b. ¬[all x: GLITTER(x)] GOLD(x)

(33) All that glitters is not gold.

This rock glitters.
Therefore, this rock is not gold.10

Part of the reason that speakers do not feel the proverb to be ambiguous is that
only one reading is consistent with what we know about the world. However, it
also seems to be the case that the (b) reading is generally preferred in sentences
of this type. On the other hand, naturally occurring examples of the (a) reading
can be found as well, such as those listed in (34). (In each case the context makes
it clear that the intended reading gives widest scope to the quantifier; so (34c)
for example is intended to mean that no person is perfect.)

(34) a. All social features are not working.

b. All external storage devices are not being detected as drives.
c. Every person is not perfect.

Example (35) illustrates how ambiguity can (and frequently does) arise from
the interaction between the two quantifiers: either may occur within the scope
of the other. The (a) reading says that there are many individual linguists who
have read every paper by Chomsky. The (b) reading says that for any given paper
by Chomsky there are many individual linguists who have read it. It would be
possible for the (b) reading to be true while the (a) reading is false under the same
circumstances.

(35) Many linguists have read every paper by Chomsky.

a. [many x: LINGUIST(x)] ([every y: PAPER(y) ∧ BY(y,c)] READ(x,y))
b. [every y: PAPER(y) ∧ BY(y,c)] ([many x: LINGUIST(x)] READ(x,y))

A similar example is presented in (36). The (a) reading says that every student
in some contextually-determined set, e.g. all those enrolled in a certain course,
knows two languages; but each student could know a different pair of languages.
The (b) reading says that there is some specific pair of languages, e.g. Urdu and
Swahili, which every student in the relevant set knows. (Another example of this
type was mentioned in Chapter 4, ex. 28a.)
10 http://www.fallacyfiles.org/scopefal.html

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14 Quantifiers

(36) Every student knows two languages.

a. [every x: STUDENT(x)] ([two y: LANGUAGE(y)] KNOW(x, y))
b. [two y: LANGUAGE(y)] ([every x: STUDENT(x)] KNOW(x, y))

Scope ambiguities can also arise when a quantifier combines with a modal
auxiliary, as illustrated in (37–40). (The symbol ♢ stands for ‘possibly true’ and
the symbol □ stands for ‘necessarily true’.) As we will see in Chapter 16, many
modals appear to be lexically ambiguous, but that is not the source of the am-
biguity in these examples. As with negation, the modal operator can either be
interpreted within the scope of the quantifier (the (a) readings), or it can take
scope over the quantifier (the (b) readings). Try to paraphrase the two readings
for each of these sentences.

(37) Every student might fail the course.11

(38) ∀x[STUDENT(x) → ♢ FAIL(x)]
(39) ♢ ∀x[STUDENT(x) → FAIL(x)]

(40) Some sanctions must be imposed.

(41) ∃x[SANCTION(x) ∧ □ BE-IMPOSED(x)]
(42) □ ∃x[SANCTION(x) ∧ BE-IMPOSED(x)]

We will mention just one more possible source of scope ambiguity, namely the
interaction between a quantifier and a propositional attitude verb. Consider the
example in (43):

(43) John thinks that he has visited every state.

a. [all x: STATE(x)] (THINK(j, VISIT(j,x)))
b. THINK(j, [all x: STATE(x)] VISIT(j,x))

The (a) reading could be true and the (b) reading false if John has no idea how
many states there are in the United States, but for each of the 50 states, when
you ask him whether he has visited that specific state, he answers “I think so.”
The (b) reading could be true and the (a) reading false if John believes that there
are only 48 states and knows that he has visited all of them, and he knows that
he has not visited Alaska or Hawaii but doesn’t believe that they are states.

11 Abbott (2010: 48).

266
 14.6 Conclusion

It is possible to analyze many cases of de dicto-de re ambiguity (Chapter 12) as

scope ambiguities involving propositional attitude verbs, if we treat the indefi-
nite article as an existential quantifier. An example is presented in (44). The (a)
reading says that there is some specific individual who is a cowboy, and Susan
wants to marry this individual. This is the de re reading. It could be true even if
Susan does not realize that her prospective husband is a cowboy. The (b) reading
says that whoever Susan marries, she wants him to be a cowboy. This is the de
dicto reading. It could be true even if Susan does not yet have a specific individual
in mind.

(44) Susan wants to marry a cowboy.

a. ∃x[COWBOY(x) ∧ WANT(s, MARRY(s,x))]
b. WANT(s, ∃x[COWBOY(x) ∧ MARRY(s,x)])

Based on this analysis, the de re reading is often referred to as the “wide scope”
reading, meaning that the existential quantifier takes scope over the proposi-
tional attitude verb. The de dicto reading is often referred to as the “narrow scope”
reading, meaning that the quantifier occurs within the scope of the propositional
attitude verb.12

14.6 Conclusion
We have argued that the meaning contribution of a quantifier, whether expressed
by a determiner, adverb, or some other category, is best understood as a relation-
ship between two sets. We introduced a new format for logical formulae involv-
ing quantification, the restricted quantifier notation, which is flexible enough to
handle all sorts of quantifiers. This notation also makes it possible to state rules
of semantic interpretation which treat quantifiers in a more uniform way, al-
though we did not spell out the technical details of how we might do this. A very
important step in the interpretation of a quantifier is determining its scope, and
we discussed several contexts in which scope interactions can create ambiguous
sentences.
These concepts will be important in later chapters, especially in Chapter 16
where we discuss modality. As discussed in that chapter, a very influential anal-
ysis of modality is based on the claim that modal expressions like may, must,
could, etc. are really a special type of quantifier.
12 Some scholars argue that de dicto-de re ambiguity cannot always be reduced to scope relations;
see for example Fodor & Sag (1982).

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14 Quantifiers

Further reading

Kearns (2000: ch. 4) provides a clear and helpful introduction to quantifi-

cation. A brief overview of this very large topic is provided in Gutierrez-
Rexach (2013), a longer overview in Szabolcsi (2015). D. Lewis (1975) is the
classic work on quantifying adverbs. Barwise & Cooper (1981) is one of the
foundational works on Generalized Quantifiers, and a detailed discussion
is presented in Peters & Westerståhl (2006).

Discussion exercises
A. Restricted quantifier notation. Express the following sentences in
restricted quantifier notation, and provide an interpretation in terms of
set relations:
1. Every Roman is patriotic.
Model answer
[every x: ROMAN(x)] PATRIOTIC(x)
JROMANK⊆JPATRIOTICK

2. Some wealthy Romans are patriotic.

3. Both Romans are patriotic.

4. Caesar loves all Romans who obey him.

5. Most loyal Romans love Caesar.

B. Scope Ambiguities. Use logical notation to express the two readings

for the following sentences, and state which reading seems most likely to
be intended, if you can tell.

268
 14.6 Conclusion

1. Some man loves every woman.

2. Many theologians do not understand this doctrine.

3. This doctrine is not understood by many theologians.

4. Two-thirds of the members did not vote for the amendment.

5. You can fool some of the people all of the time. [Note: for now you
may ignore the modal can.]

6. A woman gives birth in the United States every five minutes.

7. He tries to read Plato’s Republic every year.a

a Marilyn Quayle, on the reading habits of her husband; Wall Street Journal, January 20,
1993.

Homework exercises

Exercise A: Translate the following sentences into predicate logic, us-

ing the standard [not restricted] format for the existential and universal
quantifiers, ∃ and ∀. If any sentence allows two interpretations, provide
the logical formulae for both readings.

1. Solomon answered every riddle.

Model answer

∀x[RIDDLE(x) → ANSWER(s,x)]

2. All ambitious politicians visit Paris.

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14 Quantifiers

3. Someone betrayed Caesar.

4. All critical systems are not working.

5. No German general supported Stalin.

6. Not every German general supported Hitler.

7. Some people believe every wild rumor.

8. Socrates inspires all sincere scholars who read Plato.

Exercise B: Translate the sentences below into logical formulae, using

restricted quantifier notation.a

1. Arthur eats everything that Susan cooks.

Model answer

[Every x: THING(x) ∧ COOK(s,x)] EAT(a,x)

2. Boris mistrusts most reports from Brussels.

[hint: treat from as a two-place predicate]

3. Few who know him like Arthur.

4. William sold Betsy every arrowhead that he found.

5. Twenty-one movies were directed and produced by Alfred Hitch-

cock.

6. Most travelers entering or leaving Australia visit Sydney.

7. No onei remembers every promise hei makes.

8. Some officials who boycotted both meetings were sacked by Reagan.

9. Jane Austen and E. M. Forster wrote six novels each.

10. Rachel met and interviewed several famous musicians.

11. Most children will not play if they are sad.

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 14.6 Conclusion

Exercise C: The bolded phrases in the sentences below can be analyzed

as quantifiers. State the truth conditions for these sentences in terms of
set relations.

1. More than twenty senators are guilty.

Model answer

| JSENATORK ∩ JGUILTYK | > 20

2. Between six and twelve generals are loyal.

3. Both sisters are champions.

4. The twelve apostles were Jewish.

5. Just two of the seven guides are bilingual.

6. Neither candidate is honest.

7. Fewer than five crewmen are sober.

The discontinuous determiners in the next examples express three-

place quantifier meanings:

8. More men than women snore.

9. Exactly as many Americans are lawyers as are prisoners.b

10. Fewer wrestlers than boxers are famous.

a Ex.
B-C are patterned after Kearns (2000: 89–90).
b Actually
the figures are only approximately equal, but there are clearly too many of
both.

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15 Intensional contexts
15.1 Introduction
In Chapter 12 we discussed the apparent failure of compositionality in the com-
plement clauses of propositional attitude verbs (believe, expect, want, etc.). This
apparent failure is observable in several ways. First, the principle of substitutiv-
ity does not seem to hold in these complement clauses: replacing one NP with
another that has the same referent can change the truth value of the proposition
expressed by the sentence as a whole. For example, even if sentences (1a–b) are
assumed to be true, we cannot apply the principle of substitutivity to conclude
that (1c) must be true as well.

(1) a. Charles Dickens was the author of Oliver Twist.

b. George Cruikshank claimed to be the author of Oliver Twist.1
c. George Cruikshank claimed to be Charles Dickens.

Second, as illustrated in Chapter 12, a sentence which contains a propositional

attitude verb may have a truth value even if the complement clause contains a NP
which lacks a denotation. A third special property of these complement clauses
is that NPs occurring within them may exhibit the de re vs. de dicto ambiguity.
These three properties are characteristic of opaqe contexts, i.e., contexts in
which the denotation of a complex expression cannot be composed or predicted
just by looking at the denotations of its constituents; we must look at senses as
well. In recent work these contexts are often referred to as intensional contexts,
for reasons that will be explained in §15.2.
In this chapter we discuss several types of intensional contexts. §15.2 reviews
our earlier discussion of propositional attitude verbs, and explains the term in-
tension. §15.3 discusses certain types of adjectives whose composition with the
noun they modify cannot be modeled as simple set intersection. These adjectives
are often referred to as intensional adjectives. §15.4 briefly discusses some
1 Actually,
George Cruikshank only claimed that “the original ideas and characters… emanated
from me.” (http://www.bl.uk/collection-items/george-cruikshanks-claims-of-plagiarism-
against-charles-Dickens )
15 Intensional contexts

other intensional contexts involving tense, modality, counterfactuals, and “inten-

sional verbs” such as want and seek. §15.5 provides some examples of languages
in which the subjunctive mood is used as a grammatical marker of intensional-
ity. §15.6 briefly discusses the lambda operator, which is used to define functions,
and how it can be used to represent intensions as functions.

15.2 When substitutivity fails

In Chapter 12 we used the following examples to illustrate the apparent failure
of the law of substitutivity in the complement clauses of propositional attitude
verbs:

(2) a. Mary believes [that The Prince and the Pauper was written by Mark
Twain].
b. Mary does not believe [that The Prince and the Pauper was written by
Samuel Clemens].

Normally we can replace one word or phrase in a sentence by another word

or phrase that has the same denotation, without affecting the truth value of the
sentence as a whole. So, since the names Mark Twain and Samuel Clemens refer
to the same individual, we would expect the two sentences in (2) to be contra-
dictory. But this is not the case; it would be possible for both sentences to be
true at the same time and for the same person named Mary, without any logical
inconsistency. Since the denotation of the sentence is its truth value, such exam-
ples seem to challenge the Principle of Compositionality, at least as it applies to
denotations.
As you will recall, Frege’s solution to this apparent failure of compositionality
was to suggest that the denotation of the complement clauses of these verbs
is not their truth value when evaluated as independent clauses, but rather the
propositions which they express. Essentially, Frege was pointing out that the
speaker in (2) is not making a claim about the authorship of the book, but about
Mary’s current beliefs. The truth value of the sentence as a whole depends not
on who the actual author was, but only on what propositions Mary believes.
The denotation of a sentence is its truth value, while the proposition which
it expresses is its sense. A technical synonym for sense is the term intension.
Frege showed that sentences which contain propositional attitude verbs are in
fact compositional, but we can only calculate their denotation based on the inten-
sion (sense) of the complement clause. Thus these sentences are an example of

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 15.3 Non-intersective adjectives

an intensional context, that is, a context where the denotation of a complex

expression depends on the sense (intension) of one or more of its constituents.
Another special property of propositional attitude verbs discussed in Chap-
ter 12 is the potential for de dicto vs. de re ambiguity, illustrated in (3). The
speaker in (3a), for example, may be expressing either a desire to meet the indi-
vidual who is the Prime Minister at the moment of speaking (de re), or a desire
to meet the individual who will be serving in that role at the specified time (de
dicto).

(3) a. I hope to meet with the Prime Minister next year.

b. I think that your husband is a lucky man.
(de re: because I saw him winning at the casino last night.)
(de dicto: any man who is married to you would be considered
fortunate.)

Under the de re reading, the noun phrase gets its normal denotation in the
relevant context, referring to the specific individual who is the Prime Minister at
the moment of speaking (3a), or who is married to the addressee at the moment of
speaking (3b). Under the de dicto reading, the denotation of the noun phrase is the
property which corresponds to its sense: the property of being Prime Minister in
(3a), the property of being married to the addressee in (3b). So under the de dicto
reading, the truth value of the whole proposition depends on the sense, rather
than the denotation, of a particular constituent.
In the next section we look at certain kinds of adjectives which pose a similar
challenge to compositionality.

15.3 Non-intersective adjectives

Our paradigm example of an adjective modifier has been the word yellow. As
we have discussed a number of times, the phrase yellow submarine is composi-
tional in a very straightforward way: its denotation set will be the intersection
of the denotation sets JyellowK and JsubmarineK . This intersection corresponds
to the set of all things in our universe of discourse which are both yellow and
submarines.
Adjectives that behave like yellow are referred to as intersective adjectives,
because they obey the rule of interpretation formulated in Chapter 13: JAdj NK
= JAdjK ∩ JNK. Some examples of noun phrases involving other intersective ad-
jectives are presented in (4).

275
15 Intensional contexts

(4) a. Otacilio is a Brazilian poet.

b. Marilyn was a blonde actress.
c. Arnold is a carnivorous biped.

Now the definition of intersection guarantees that if one of the sentences in

(4) is true, then the individual named by the subject NP must be a member of
both the denotation set of the head noun and the denotation set of the adjective
modifier. This means that the inference in (5) will be valid.

(5) Arnold is a carnivorous biped.

Arnold is a mammal.
Therefore, Arnold is a carnivorous mammal.

However, there are other adjectives for which this pattern of inference will
not be valid. Consider for example the syllogism in (6). It would be possible for
a rational speaker of English to believe the two premises but not believe the con-
clusion, without being logically inconsistent. A similar example from The Wizard
of Oz is presented in (7). Such examples force us to conclude that adjectives like
typical are not intersective.2

(6) Bill Clinton is a typical politician.

Bill Clinton is a Baptist.
⁇Therefore, Bill Clinton is a typical Baptist. [not valid]

(7) a. Dorothy: Oh — you’re a very bad man!

Wizard: Oh, no, my dear. I — I’m a very good man. I’m just a
very bad Wizard.
b. Oz is a bad Wizard.
Oz is a man.
⁇Therefore, Oz is a bad man. [not valid]

Barbara Partee (1995) suggested the following illustration: imagine a situation

in which all surgeons are also violinists. For example, suppose that a certain hos-
pital wanted to put on a benefit concert, and all the staff members were assigned
to play instruments according to their specialties: all the surgeons would play the

2 This is also true for bad

in the sense Oz intended in the phrase bad Wizard; but bad is a tricky
word, and the various senses probably do not all belong to the same semantic type. Of course
the polysemy is also part of the problem with the invalid inference in (7).

276
 15.3 Non-intersective adjectives

violin, anesthesiologists the cello, nurses would play woodwinds, administrative

staff the brass instruments, etc. Within this universe of discourse, the words
surgeon and violinist have the same denotation sets; in other words, JsurgeonK
= JviolinistK . However, the phrases skillful surgeon and skillful violinist do not
necessarily have the same denotation sets, as seen by the failure of the following
inference:

(8) Francis is a skillful surgeon.

Francis is a violinist.
⁇Therefore, Francis is a skillful violinist. [not valid]

This example provides another instance in which two expressions having the
same denotation (surgeon and violinist) are not mutually substitutable, keeping
the truth conditions constant. Yet the meanings of phrases like typical politician
and skillful surgeon are still compositional, because if we know what each word
means we will be able to predict the meanings of the phrases. The trick is that
with adjectives like these, as with propositional attitude verbs, we need to com-
bine senses rather than denotations.
We have seen that the meanings of adjectives like typical and skillful do not
combine with meanings of the nouns they modify as the simple intersection of
the two denotation sets. In other words, the rule of interpretation JAdj NK = JAdjK
∩ JNK does not hold for these adjectives. However, the following constraint on
the denotation of the phrases does hold: JAdj NK ⊆ JNK . In other words, the
denotation set of the phrase will be a subset of the denotation set of the head
noun. This means that anyone who is a typical politician must be a politician;
and anyone who is a skillful surgeon must be a surgeon. Adjectives that satisfy
this constraint are referred to as subsective adjectives.3
Subsective adjectives are intensional in the sense defined in §15.2: they com-
bine with the senses, rather than the denotations, of the nouns they modify. One
way of representing this is suggested in the following informal definition of skill-
ful:

(9) skillful combines with a common noun (N) to form a phrase which
denotes a set of individuals. Any given individual within the universe of
discourse will belong to the set of all “skillful Ns” just in case that

3 Ofcourse, all intersective adjectives are subsective as well; but since the term “intersective”
makes a stronger claim, saying that a certain adjective is subsective will trigger an implicature
that it is not intersective, by the maxim of Quantity.

277
15 Intensional contexts

individual belongs to the set of all Ns and is extremely good at the

activity named by N.
[selectional restriction: skillful combines with nouns that denote the
actor of a volitional activity.]
Certain types of adjectives turn out to be neither intersective nor subsective.
Some examples are presented in (10).
(10) a. former Member of Parliament
b. alleged terrorist
The adjective former is not subsective because a former Member of Parliament
is no longer a Member of Parliament; so any person who can be referred to as a
“former Member of Parliament” will not belong to the denotation set of Member
of Parliament. This also proves that former is not intersective. Moreover, it is not
clear that the adjective former even has a denotation set; how could we identify
the set of all “former” things? Similarly, an alleged terrorist may or may not
actually be a terrorist; we can’t be sure whether or not such a person will belong
to the denotation set of terrorist. This means that alleged is not subsective. And
once again, the adjective by itself doesn’t seem to have a denotation set; it would
have to be the set of all “alleged” things, whatever that might mean. So alleged
cannot be intersective either.
How do we calculate the denotation of phrases like those in (10)? Although
they cannot be defined as a simple intersection, the phrases are still composi-
tional; knowing what each word means allows us to predict the meanings of the
phrases. The trick is that with adjectives like these, as with propositional atti-
tude verbs, we need to combine senses rather than denotations. In other words,
these adjectives are intensional: they combine with the senses of the nouns they
modify. Informal definitions of former and alleged are suggested in (11):
(11) a. former combines with a common noun (N) to form a phrase which
denotes a set of individuals. Any given individual within the universe
of discourse will belong to the set of all “former Ns” just in case that
individual has belonged to the set of all Ns at some time in the past,
but no longer does.
b. alleged combines with a common noun (N) to form a phrase which
denotes a set of individuals. Any given individual (x) within the
universe of discourse will belong to the set of all “alleged Ns” just in
case there is some other individual who claims that x belongs to the
set of all Ns.

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 15.3 Non-intersective adjectives

The adjective former has the interesting property that a “former N” cannot be
a member of the denotation set JNK. In other words, denotation sets of phrases
containing the word former are subject to the following constraint: JAdj NK ∩
JNK = ⌀. Adjectives that satisfy this constraint are referred to as privative ad-
jectives. Other privative adjectives include: counterfeit, spurious, imaginary, fic-
titious, fake, would-be, wannabe, past, fabricated (in one sense). Some prefixes
have similar semantics, e.g. ex-, pseudo-, non-.
As we have seen, the adjective alleged is not subsective; but it is not privative
either, because an alleged terrorist may or may not belong to the denotation set
of terrorist. We can refer to this type of adjectives as non-subsective. Other
non-subsective adjectives include: potential, possible, arguable, likely, predicted,
putative, questionable.
At first glance, many common adjectives like big, old, etc. seem to be inten-
sional as well. Partee (1995) discusses the invalid inference in (12), which seems
to indicate that adjectives like tall are non-intersective. The crucial point is that
a height which is considered tall for a 14-year-old boy would probably not be
considered tall for an adult who plays on a basketball team. This variability in
the standard of tallness could lead us to conclude that tall does not define a de-
notation set on its own but combines with the sense of the head noun that it
modifies, in much the same way as typical and skillful.

(12) Win is a tall 14-year-old.

Win is a basketball player.
⁇Therefore, Win is a tall basketball player. [not valid]

However, Siegel (1976) argues that words like tall, old, etc. are in fact inter-
sective; but they are also context-dependent and vague. The boundaries of their
denotation sets are determined by context, including (but not limited to) the spe-
cific head noun which they modify. Once the boundary is determined, then the
denotation set of the adjective can be identified, and the denotation set of the NP
can be defined by simple intersection.
One piece of evidence supporting this analysis is the fact that a variety of
contextual factors may contribute to determining the boundaries, and not just the
meaning of the head noun. Partee notes that the standard of tallness which would
apply in (13a) is probably much shorter than the standard which would apply in
(13b), even though the same head noun is being modified in both examples.

(13) a. My two-year-old son built a really tall snowman yesterday.

b. The fraternity brothers built a really tall snowman last weekend.

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15 Intensional contexts

She adds (1995: 331):

Further evidence that there is a difference between truly non-intersective

subsective adjectives like skillful and intersective but vague and context-
dependent adjectives like tall was noted by Siegel (1976): the former oc-
cur with as-phrases, as in skillful as a surgeon, whereas the latter take for-
phrases to indicate comparison class: tall for an East coast mountain.

Bolinger (1967) noted that some adjectives are ambiguous between an intersec-
tive and a (non-intersective) subsective sense; examples are presented in (14–16).4
The fact that the (b) sentences can have a non-contradictory interpretation shows
that this is a true lexical ambiguity; contrast #Arnold is a carnivorous biped, but
he is not carnivorous.

(14) a. Marya is a beautiful dancer. (Siegel 1976)

intersective: Marya is beautiful and a dancer.
subsective: Marya dances beautifully.
b. Marya is not beautiful, but she is a beautiful dancer.

(15) a. Floyd is an old friend.

intersective: Floyd is old and a friend.
subsective: Floyd has been a friend for a long time.
b. Floyd is an old friend, but he is not old.

(16) a. He is a poor liar. (cf. Bolinger 1967)

intersective: Floyd is poor and a liar.
subsective: Floyd is not skillful in telling lies.
b. He is a poor liar, but he is not poor.

Thus far we have only considered adjectives which occur as modifiers within
a noun phrase; but many adjectives can also function as clausal predicates, as
illustrated in (17). In order to be used as a predicate in this way, the adjective must
have a denotation set. Since all intersective adjectives must have a denotation set,
they can generally (with a few idiosyncratic exceptions) be used as predicates, as
seen in (18).

(17) John is happy/sick/rich/Australian.

4 Examples adapted from Morzycki (2015: ch. 2). The adjective bad mentioned above is probably
also ambiguous in this way.

280
 15.4 Other intensional contexts

(18) a. Otacilio is a Brazilian poet; therefore he is Brazilian.

b. Marilyn was a blonde actress; therefore she was blonde.
c. Arnold is a carnivorous biped; therefore he is carnivorous.

When an adjective which is ambiguous between an intersective and a subsec-

tive sense is used as a predicate, generally speaking only the intersective sense is
available (19). So, for example, (19c) is most naturally interpreted as a pun which
makes a somewhat cynical commentary on the way of the world.

(19) a. # Marya is a beautiful dancer; therefore she is beautiful.

b. # Floyd is an old friend; therefore he is old.
c. He is a poor liar; therefore he is poor.

We have already noted that the adjectives former and alleged don’t seem to
have a denotation set. As predicted, these adjectives cannot be used as pred-
icates, and the same is true for many other non-subsective adjectives as well
(20a). However, given the right context, some non-subsective adjectives can be
used as predicates (20b, c). In such cases it appears that information from the
context must be used in order to construct the relevant denotation set. In addi-
tion, cases like (20c) may require a kind of coercion to create a new sense of the
word money, one which refers to things that look like money. As Partee points
out, similar issues arise with phrases like stone lion and chocolate bunny.

(20) a. * That terrorist is former/alleged/potential/…

b. His illness is imaginary.
c. This money is counterfeit.

The main conclusion to be drawn from this brief introduction to the semantics
of adjectives is that compositionality cannot always be demonstrated by looking
only at denotations. All of the adjectives that we have discussed turned out to be
compositional in their semantic contributions; but we have seen several classes of
adjectives whose semantic contributions cannot be defined in terms of simple set
intersection. These adjectives are said to be intensional, because their meanings
must combine with the sense (intension) of the head nouns being modified.

15.4 Other intensional contexts

As discussed above, intensional contexts are contexts where the denotation of
an expression (e.g., the truth value of a sentence) cannot be determined from

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15 Intensional contexts

the denotations of its constituent parts. In addition to those we have already

mentioned, namely propositional attitude verbs and non-intersective adjectives,
a number of other linguistic features are known to create such contexts as well.
These include tense, modality, and counterfactuals. We will discuss these topics
in more detail in later chapters; here we focus only on issues of compositionality.
To begin with, let us contrast the intensional behavior of modality (markers of
possibility and necessity) with the behavior of a non-intensional operator, nega-
tion. Modals are similar to negation in certain ways: both combine with a single
proposition to create a new proposition. The crucial difference is this: in order
to determine the truth value of a negated proposition, we only need to know the
truth value of the original proposition. For example, both of the sentences in (21),
if spoken in 2006, would have been false. For that reason, we can be sure that
both of the negated sentences in (22), if spoken in 2006, would have been true.

(21) (spoken in 2006)

a. Barack Obama is the first black President of the United States. [F]
b. Nelson Mandela is the first black President of the United States. [F]

(22) (spoken in 2006)

a. Barack Obama is not the first black President of the United States. [T]
b. Nelson Mandela is not the first black President of the United States.
[T]

But with modal operators like might, could, must, etc., it is not enough to know
the truth value of the original proposition; we need to evaluate its meaning, in
combination with that of the modal operator. Even though both of the sentences
in (21) had the same truth value in 2006, the addition of the modal in (23) creates
sentences which would have had different truth values at that time.

(23) (spoken in 2006)

a. Barack Obama could be the first black President of the United States.
[T]
b. Nelson Mandela could be the first black President of the United States.
[F]

Tense is another operator which combines with a single proposition to create

a new proposition. As with modality, knowing the truth value of the original

282
 15.4 Other intensional contexts

proposition does not allow us to determine the truth value of the tensed proposi-
tion. Both of the present tense sentences in (24a–b), spoken in 2014, are false; but
the corresponding past tense sentences in (24c–d) have different truth values.
(24) (spoken in 2014)
a. Hillary Clinton is the Secretary of State. [F]
b. Lady Gaga is the Secretary of State. [F]
c. Hillary Clinton was/has been the Secretary of State. [T]
d. Lady Gaga was/has been the Secretary of State. [F]
Similarly, knowing that the present tense sentence in (25a) is true does not
allow us to determine the truth value of the corresponding future tense sentence
(25b).
(25) a. Henry is Anne’s husband. [assume T]
b. In five years, Henry will (still) be Anne’s husband. [?]
As we have seen, one of the standard diagnostics for intensional contexts is
the failure of substitutivity: in intensional contexts, substituting one expression
with another that has the same denotation may affect the truth value of the sen-
tence as a whole. The examples in (26) illustrate again the failure of substitutivity
in the complement clause of a propositional attitude verb. They refer to an En-
glishman named James Brooke who, through a combination of military success
and diplomacy, made himself the king (or Rajah) of Sarawak, comprising most of
northwestern Borneo. During the years 1842 to 1868, the phrases James Brooke
and the White Rajah of Borneo referred to the same individual. Suppose that
sentence (26a) was spoken in 1850, perhaps by one of Brooke’s old mates from
the Bengal Army. Even if (26a) was true at the time of speaking, sentence (26b)
spoken at that same time by the same speaker would certainly have been false.
(26) (spoken in 1850)
a. I do not believe that James Brooke is the White Rajah of Borneo.
b. I do not believe that James Brooke is James Brooke.
The examples in (27) illustrate the failure of substitutivity in a counterfactual
statement. Sentence (27a) is something that a rational person might believe; at
least it is a claim which could be debated. Sentence (27b) is derived from (27a)
by substituting one NP (the first black President of the United States) with another
(Barack Obama) that has the same denotation. Clearly sentence (27b) is not some-
thing that a rational person could believe.

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15 Intensional contexts

(27) a. Martin Luther King might have become the first black President of
the United States.
b. Martin Luther King might have become Barack Obama.

The examples in (28) also illustrate the failure of substitutivity in a counterfac-

tual; but instead of replacing one NP with another, this time we replace one
clause with another. The two consequent clauses are based on propositions
which have the same truth value in our world: both would be false if expressed
as independent assertions. But replacing one clause with the other changes the
truth value of the sentence as a whole: (28a) is clearly true, while (28b) is almost
certainly false.

(28) a. If Beethoven had died in childhood, we would never have heard his
magnificent symphonies.
b. If Beethoven had died in childhood, Columbus would never have
discovered America.

Another class of verbs which create intensional contexts are the so-called in-
tensional verbs. Prototypical examples of this type are the verbs of searching
and desiring. These verbs license de dicto vs. de re ambiguities in their direct
objects, as illustrated in (29). Sentence (29a) could mean that the speaker is look-
ing for a specific dog (de re), perhaps because it got lost or ran away; or it could
mean that the speaker wants to acquire a dog that fits that description but does
not have a specific dog in mind (de dicto). Sentence (29b) could mean that John
happens to be interested in the same type of work as the addressee (de re); or
that John wants to be doing whatever the addressee is doing (de dicto).

(29) a. I’m looking for a black cocker spaniel.

b. John wants the same job as you.

The direct objects of such verbs are referentially opaque, meaning that substi-
tution of a coreferential NP can affect the truth value of a sentence. Suppose that
Lois Lane is looking for Superman, and that she does not know that Clark Kent is
really Superman. Under these circumstances, sentence (30a) would be true, but
(30b) would (arguably) be false.5

(30) a. Lois Lane is looking for Superman.

b. Lois Lane is looking for Clark Kent.
5 This
example comes from Forbes (2013). Forbes points out that not all semanticists share this
judgement about (30b).

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 15.5 Subjunctive mood as a marker of intensionality

Furthermore, if the direct objects of intensional verbs fail to refer in a particu-

lar situation, it may still be possible to assign a truth value to the sentence. Both
sentences in (31) could be true even though in each case the denotation set of the
direct object is empty. All of these properties are characteristic of intensional
contexts.

(31) a. Arthur is looking for the fountain of youth.

b. John wants a unicorn for Christmas.

15.5 Subjunctive mood as a marker of intensionality

In some languages, intensional contexts may require special grammatical mark-
ing. A number of European languages (among others) use subjunctive mood for
this purpose. Let us note from the very beginning that the distribution of the
subjunctive is a very complex topic, and that there can be significant differences
in this regard even between closely related dialects.6 It is very unlikely that all
uses of subjunctive mood in any particular language can be explained on the ba-
sis of intensionality alone. But it is clear that intensionality is one of the factors
which determine the use of the subjunctive.
Consider the Spanish sentences in (32), which are discussed by Partee (2008).7
Partee states that neither sentence is ambiguous in the way that the English trans-
lations are. The relative clause in indicative mood (32a) can only refer to a specific
individual, whereas the relative clause in subjunctive mood (32b) can only have
a non-specific interpretation.

(32) a. María busca a un profesor que enseñ-a griego.

Maria looks.for to a professor who teaches-ind Greek.
‘Maria is looking for a professor who teaches Greek.’ [de re]
b. María busca (a) un profesor que enseñ-e griego.
Maria looks.for to a professor who teaches-sbjv Greek.
‘Maria is looking for a professor who teaches Greek.’ [de dicto]

A similar pattern is found in relative clauses in modern Greek. The marker for
subjunctive mood in modern Greek is the particle na. Giannakidou (2011) says
that the indicative relative clause in (33a) can only refer to a specific individual,

6 See for example Marques (2004).

7 This contrast is also discussed by Quine (1956) and a number of subsequent authors.

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15 Intensional contexts

whereas the subjunctive relative clause in (33b) can only have a non-specific
interpretation.

(33) a. Theloume na proslavoume mia gramatea [pu gnorizi kala

want.1pl sbjv hire.1pl a secretary rel know.3sg good
japonezika.]
Japanese
‘We want to hire a secretary that has good knowledge of Japanese.’
(Her name is Jane Smith.) [de re]
b. Theloume na proslavoume mia gramatea [pu na gnorizi kala
want.1pl sbjv hire.1pl a secretary rel sbjv know.3sg good
japonezika.]
Japanese
‘We want to hire a secretary that has good knowledge of Japanese.’
(But it is hard to find one, and we are not sure if we will be
successful.) [de dicto]

Giannakidou states that because of this restriction, a definite NP cannot con-

tain a subjunctive relative clause (34). Also, the object of a verb of creation
with future time reference cannot contain an indicative relative clause, because
it refers to something that does not exist at the time of speaking (34).

(34) I Roxani theli na pandrefti {enan/*ton} andra [pu na exi

the R. want.3sg sbjv marry.3sg {a/*the} man rel sbjv have
pola lefta].
much money
‘Roxanne wants to marry a/*the man who has a lot of money.’

(35) Prepi na grapso mia ergasia [pu *(na)8 ine pano apo 15 selidhes.]
must.3sg sbjv write.1sg an essay rel sbjv is more than 15 pages

‘I have to write an essay longer than 15 pages.’

The pattern that emerges from these and other examples is that subjunctive
mood is used when the noun phrase containing the relative clause refers to a
property rather than to a specific individual.

8 This
notation indicates that the subjunctive marker is obligatory; that is, the sentence is un-
grammatical without the subjunctive marker.

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 15.6 Defining functions via lambda abstraction

15.6 Defining functions via lambda abstraction

In our brief discussion of compositionality in Chapters 13–14 we focused primar-
ily on denotations, and expressed the truth conditions of sentences in terms of
set membership. So, for example, the denotation of a predicate like yellow or
snore, in a particular context or universe of discourse, is the set of individuals
within that context which are yellow, or which snore. The sentence Henry snores
will be true in any model in which the individual named Henry belongs to the
denotation set of snore.
We noted in Chapter 13 that the membership of a set can always be expressed
as a function, namely its characteristic function. So it is possible to restate the
truth conditions of sentences, and to show how these truth conditions are de-
rived compositionally, in terms of functions rather than set membership. The
two approaches (sets vs. functions) are essentially equivalent, but for a number
of constructions the functional representation provides a simpler, more general,
and more convenient way of stating the rules of interpretation.
We will not explore this approach in any detail in the present book, but it will
be useful for the reader to be aware of a notation for defining functions that is
very widely used in formal semantics. In the standard function-argument format
that we learn in secondary school, functions generally have names. For example,
the two functions defined in (36) are named “f1 ” and “f2 ”. In this kind of definition,
the function takes a bound variable (x) as argument and expresses the value as
a formula which contains the bound variable. When the function is applied to
a real argument, we calculate the value by substituting that argument for the
bound variable in the formula. So for example, f1 (13)= 13–4 = 9.

(36) Named functions:

f1 (x) = x – 4 f1 (13) = 9
2
f2 (x) = 3x + 1 f2 (3) = 28

Another way of defining functions, using the Greek letter lambda (λ), is il-
lustrated in (37). These two functions are identical to f1 and f2 , but written in a
different format. Once again, when the function is applied to an argument, we
calculate the value by substituting that argument for the bound variable which
is introduced by the λ. However, in this format the functions have no names.
Functions defined using λ are sometimes described as “anonymous functions”.

(37) Anonymous functions:

[λx. x – 4] [λx. x – 4](13) = 9
[λx. 3x + 1] [λx. 3x2 + 1](3) = 28
2

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15 Intensional contexts

We can also think of lambda (λ) as an operator which changes propositions

into predicates by replacing some element of the proposition with an appropri-
ate bound variable. For example, from the proposition Caesar loves Brutus we
can derive “[λy. Caesar loves y]” by replacing the object NP with the variable y.
This formula represents a predicate which corresponds to the property of being
loved by Caesar. Alternatively, we can derive “[λx. x loves Brutus]” by replacing
the subject NP with the variable x. This formula represents a predicate which
corresponds to the property of being someone who loves Brutus.
This process is referred to as lambda abstraction. Once again, when we
apply these derived predicates to an argument, as illustrated in (38), the result is
calculated by replacing the bound variable with the argument. (The argument in
the first example is b, representing Brutus; in the second example the argument is
c, representing Caesar; and in the third example the argument is a, representing
Marc Antony.)

(38) [λy. LOVE(c,y)](b) = LOVE(c,b) ‘Caesar loves Brutus’

[λx. LOVE(x,b)](c) = LOVE(c,b) ‘Caesar loves Brutus’
[λx. LOVE(x,c) ∧ HATE(x,b)](a) = LOVE(a,c) ∧ HATE(a,b)
‘Antony loves Caesar and hates Brutus’

Predicates derived by lambda abstraction can be interpreted as characteristic

functions of the corresponding denotation set, as described in Chapter 13:

(39) [λy. LOVE(c,y)](n) = 1 iff Caesar loves n

0 otherwise
[λx. LOVE(x,b)](n) = 1 iff n loves Brutus
0 otherwise
[λx. LOVE(x,c)∧ HATE(x,b)](n) = 1 iff n loves Caesar and hates Brutus
0 otherwise

This means that the semantic value of an intransitive predicate like snore can
be represented as a function which takes a single argument: [λx. SNORE(x)].
The semantic value of the sentence Henry snores can be derived by applying this
function to the semantic value of the subject NP, as shown in (40):

(40) [λx. SNORE(x)](h) = SNORE(h)

= 1 iff Henry snores
0 otherwise

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 15.7 Conclusion

The semantic value of a transitive predicate like love can be represented as a

function which takes two arguments: [λy. [λx. LOVE(x,y)]]. In calculating the
truth conditions for a sentence like Caesar loves Brutus, the function named by
the verb is applied first to the semantic value of the object NP, as shown in (41a),
to derive the semantic value of the VP. The function named by the VP is then
applied to the semantic value of the subject NP, as shown in (41b), to derive the
semantic value of the sentence as a whole.

(41) a. [λy. [λx. LOVE(x,y)]](b) = [λx. LOVE(x,b)]

‘is someone who loves Brutus’
b. [λx. LOVE(x,b)](c) = LOVE(c,b) ‘Caesar loves Brutus’

In formal semantics, intensions (senses) are often defined as functions from

possible worlds to denotations. (Roughly speaking, a “possible world” is any
way the universe might conceivably be without changing the structure of the
language being investigated.) The intuition behind this analysis is that, as dis-
cussed in Chapter 2, it is knowing the meaning (sense) of a word like yellow or
speak that allows us to identify the set of all yellow things or speaking things in
any particular context. So we can think of the senses of these words as a map-
ping, or function, from each possible world to the expression’s denotation in that
world.
Using the lambda abstraction operator, we might represent the intension of
speak as: “[λw. [λx. SPEAK(x) in w]]”. In the same way, the intension of yellow
could be represented as: “[λw. [λx. YELLOW(x) in w]]”. The w in these formulae
is a variable over the domain of possible worlds. These functions take a possible
world as their argument, and return as a value the set of all yellow things (or
speaking things) in that world.

15.7 Conclusion
In chapters 13 and 14 we worked through some simple examples showing how
the truth value of a sentence uttered at a particular time and situation can be
calculated based on the denotations of the constituent parts of the sentence at
that same time and situation. In this chapter we discussed a variety of linguistic
features which make this calculation more complex. For many of these opaque
(or intensional) contexts, we can only calculate the truth value of a sentence in
a given situation if we know what the denotation of a constituent would be in

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15 Intensional contexts

some other situation.9 For example, statements in the past or future tense, like
examples (24–25), require knowledge about denotations at some time other than
the time of speaking. Statements of possibility (23) and counterfactuals (27–28)
require judgments about ways that the world might have been, i.e., other possible
situations or “possible worlds”. Some of the non-intersective adjectives, such as
former and potential, have similar effects.
As we stated in Chapter 2, it is knowing the sense of an expression that allows
speakers to identify the denotation of that expression in various situations. What
all the phenomena discussed in this chapter have in common is that the denota-
tion of some complex expression (e.g., the truth value of a sentence) cannot be
compositionally determined from the denotations of its parts alone; we have to
refer to senses as well.

Further reading

Kearns (2011: ch. 7) presents a good overview of referential opacity, and

Zimmermann & Sternefeld (2013: ch. 8) provide a good introduction to the
analysis of intensions as functions on possible worlds. Van Benthem (1988)
and Gamut (1991b) provide more detailed discussions of intensional logic
and its applications. Partee (1995) discusses non-intersective adjectives
(among other issues) in relation to compositionality. For an introduction to
lambda abstraction, see Coppock (2016: 93ff.); Kearns (2011: 62–75); Heim
& Kratzer (1998: 34ff.).

9 Cf. Cherchia & McConnell-Ginet (1990: 204–208).

290
 Unit V

Modals, conditionals, and

causation
16 Modality
16.1 Possibility and necessity
Kai von Fintel (2006: 20) defines Modality as “a category of linguistic meaning
having to do with the expression of possibility and necessity.” Most if not all lan-
guages have lexical means for expressing these concepts, e.g. It is possible that…
or It is necessary that…, but in this chapter we will focus our attention on the
kinds of modality which can be expressed grammatically, e.g. by verbal affixa-
tion, particles, or auxiliary verbs. In English, modality is expressed primarily by
modal auxiliaries: may, might, must, should, could, ought to, etc. (The phrase
have to is often included in discussions of the English modals because it is a close
synonym of must; but it does not have the unique syntactic distribution of a true
auxiliary verb in English, and the syntactic differences sometimes have semantic
consequences.)
In §16.2 we outline the range of modal meanings along two basic dimensions.
The first of these is strength, or degree of certainty (e.g., must is said to be
“stronger” than might). The second dimension is the type of certainty or lack
of certainty which is being expressed, e.g. certainty of knowledge, requirement
by an authority, etc. We will see that in many languages the same modal forms
can be used for two or more different types of modality. We will see some ev-
idence suggesting that such forms are polysemous, but also some reasons for
challenging this assumption.
In §16.3 we outline a very influential analysis of modal operators as quantifiers,
and show how this accounts for some of the puzzling observations discussed
in §16.2. In §16.4 we discuss some of the variation across languages in terms
of how modal meanings are packaged, and show how the quantifier analysis
can account for these differences. In §16.5 we focus on one important type of
modality, referred to as epistemic modality, which expresses degree of certainty
in light of what the speaker knows. Some authors have claimed that epistemic
modality is not part of the propositional content of the utterance; we review
several kinds of evidence that support the opposite conclusion.
16 Modality

16.2 The range of modal meanings: strength vs. type of

modality
As we noted in Chapter 14, modality can be thought of as an operator that com-
bines with a basic proposition (p) to form a new proposition (It is possible that p
or It is necessarily the case that p). The range of meanings expressible by gram-
matical markers of modality varies along two basic semantic dimensions.1 First,
some markers are “stronger” than others. For example, the statement in (1a) ex-
presses a stronger commitment on the part of the speaker to the truth of the
base proposition (Arthur is home by now) than (1b), and (1b) expresses a stronger
commitment than (1c).

(1) a. Arthur must/has to be home by now.

b. Arthur should be home by now.
c. Arthur might be home by now.

Second, it turns out that the concepts of “possibility” and “necessity”, which
are used to define modality, each include a variety of sub-types. In other words,
there are several different ways in which a proposition may be possibly true or
necessarily true. The two which have been discussed most extensively, epistemic
vs. deontic modality, are illustrated in (2–3).

(2) a. John didn’t show up for work. He must be sick.

[spoken by co-worker; Epistemic]
b. John didn’t show up for work. He must be fired.
[spoken by boss; Deontic]

(3) a. The older students may leave school early (unless the teachers watch
them carefully).
b. The older students may leave school early (if they inform the
headmaster first).

Epistemic modality indicates possibility and necessity relative to the speaker’s

knowledge of the situation, i.e., whether the proposition is possibly or necessar-
ily true in light of available evidence. Deontic modality indicates possibility and
necessity relative to some authoritative person or code of conduct which is rele-
vant to the current situation, i.e., whether the truth of the proposition is required

1 Hacquard (2011).

294
 16.2 The range of modal meanings: strength vs. type of modality

or permitted by the relevant authority. Examples (2a) and (3a) illustrate the epis-
temic sub-type, under which He must be sick means ‘Based on the available evi-
dence, I am forced to conclude that he is sick;’ and The older students may leave
school early means ‘Based on my knowledge of the current situation, I do not
know of anything which would prevent the older students from leaving school
early.’ Examples (2b) and (3b) illustrate the deontic sub-type, under which He
must be fired means ‘Someone in authority requires that he be fired;’ and The
older students may leave school early means ‘The older students have permission
from an appropriate authority to leave school early.’
The strength of modality (possibility vs. necessity) is often referred to as the
modal “force”, and the type of modality (e.g. epistemic vs. deontic) is often re-
ferred to as the modal “flavor”.

16.2.1 Are modals polysemous?

Examples (2–3) also illustrate another important fact about modals: in English,
as in many other languages, a single form may be used to express more than one
type of modality. As these examples show, both must and may have two distinct
uses, which are often referred to as distinct senses: epistemic vs. deontic. In fact,
speakers can create puns which play on these distinct senses. One such example
is found in the following passage from “The Schartz-Metterklume Method” (1911),
a short story by the British author H. H. Munro (writing under the pen-name
“Saki”). In this story, a young Englishwoman, Lady Carlotta, is accidentally left
behind on a country railway platform when she gets out to stretch her legs. She is
mistaken for a new governess who is due to arrive that day to teach the children
of a local family:

Before she [Lady Carlotta] had time to think what her next move might be
she was confronted by an imposingly attired lady, who seemed to be taking
a prolonged mental inventory of her clothes and looks. “You must be Miss
Hope, the governess I’ve come to meet,” said the apparition, in a tone that
admitted of very little argument. “Very well, if I must I must,” said Lady
Carlotta to herself with dangerous meekness.

“Dangerous meekness” sounds like a contradiction in terms, but in this case

it is the literal truth; Lady Carlotta’s novel teaching methods turn the whole
household upside down.
As discussed in Chapter 5, this kind of antagonism between the epistemic vs.
deontic senses of must strongly suggests that the word is polysemous. Similar ar-

295
16 Modality

guments could be made for may, should, etc. This apparent polysemy of the gram-
matical markers of modality is one of the central issues that a semantic analysis
needs to address. But in spite of the strong evidence for distinct senses (lexi-
cal ambiguity), there is other evidence which might lead us to question whether
these variant readings really involve polysemy or not.
First, as we noted in Chapter 5, distinct senses of a given word-form are un-
likely to have the same translation equivalent in another language. However, this
is just what we find with the English modals: the various uses of words like must
and may do have the same translation equivalent in a number of other languages.
This fact is especially striking because these words are not restricted to just two
readings, epistemic vs. deontic; several other types of modality are commonly
identified, which can be expressed using the same modal auxiliaries. Example (4)
illustrates some of the uses of the modal have to; a similar range of uses can be
demonstrated for must, may, etc. (We return to the differences among these spe-
cific types in §16.3 below. As discussed below, the term root modality is often
used as a cover term for the non-epistemic types.)
(4) [adapted from von Fintel 2006]
a. It has to be raining. [after observing people coming inside with wet
umbrellas; epistemic modality]
b. Visitors have to leave by six pm. [hospital regulations; deontic]
c. John has to work hard if he wants to retire at age 50. [to attain
desires; bouletic]2
d. I have to sneeze. [given the current state of one’s nose; dynamic]3
e. To get home in time, you have to take a taxi. [in order to achieve the
stated purpose; teleological]
Hacquard (2007) points out that the same range of uses occurs with modal
auxiliaries in French as well:
It is a robust cross-linguistic generalization that the same modal words are
used to express various types of modality. The following French examples
2 Example (4c) is adapted from Hacquard (2011). Von Fintel (2006) offers the following definition:
“Bouletic modality, sometimes boulomaic modality, concerns what is possible or necessary,
given a person’s desires.”
3 Von Fintel uses the term circumstantial modality for what I have called dynamic modality.
Huddleston & Pullum (2002: 178) define dynamic modality as being “concerned with properties
and dispositions of persons, etc., referred to in the clause, especially by the subject NP.” The
most common examples of dynamic modality are expressions of ability with the modal can.
The term circumstantial modality has a more general usage, as discussed below.

296
 16.2 The range of modal meanings: strength vs. type of modality

illustrate. The modal in (5a) receives an epistemic interpretation (having

to do with what is known, what the available evidence is), while those in
(5b–d) receive a ‘root’ or ‘circumstantial’ interpretation (having to do with
particular circumstances of the base world): (5b) is a case of deontic modal-
ity (having to do with permissions/obligations), (5c) an ability and (5d) a
goal-oriented modality (having to do with possibilities/necessities given a
particular goal of the subject).

(5) a. Il est 18 heures. Anne n’est pas au bureau. Elle peut/doit être
chez elle.
‘It’s 6:00pm. Anne is not in the office. She may/must be at home.’
b. Le père de Anne lui impose un régime très strict. Elle peut/doit
manger du brocoli.
‘Anne’s father imposes on her a strict diet. She can/must eat
broccoli.’
c. Anne est très forte. Elle peut soulever cette table.
‘Anne is very strong. She can lift this table.’
d. Anne doit être à Paris à 17 heures. Elle peut/doit prendre le train
pour aller à P.
‘Anne must be in Paris at 5pm. She can/must take the train to go
to P.’

It is somewhat unusual for the same pattern of polysemy to exist for a partic-
ular word in two languages. What we see in the case of modals is something far
more surprising: multiple word forms from the same semantic domain, each of
which having multiple readings translatable by a single form in not just one but
many other languages. Normal polysemy does not work this way.
A second striking fact about the modal auxiliaries in English is that the ranking
discussed above in terms of “strength” seems to hold across the various readings
or uses of these modals. Linguistic evidence for this ranking comes from exam-
ples like those in (6–7).4 These examples involve the deontic readings; similar
evidence can be given for the epistemic readings, as illustrated in (8–9).

(6) a. You should/ought to call your mother, but of course you don’t have to.
b. #You have to call your mother, but of course you shouldn’t.

4 Examples from von Fintel (2006).

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16 Modality

(7) a. I should go to confession, but I’m not going to.

b. #I must go to confession, but I’m not going to.

(8) a. Arthur should be home by now, but he doesn’t have to be.

b. #Arthur must/has to be home by now, but he shouldn’t be.
(bad on epistemic reading)
c. Arthur might be home by now, but he doesn’t have to be.
d. #Arthur must/has to be home by now, but he might not be.
(bad on epistemic reading)

(9) a. #Arthur must/has to be home by now, but I consider it unlikely.

(bad on epistemic reading)
b. #Arthur should be home by now, but I consider it unlikely.
(bad on epistemic reading)
c. Arthur might be home by now, but I consider it unlikely.

Evidence of this kind would lead us to define the following hierarchies for
epistemic and deontic modality. What is striking, of course, is that the two hier-
archies are identical. Again, this is not the type of pattern we expect to find with
“normal” polysemy.

(10) a. Epistemic modal strength hierarchy:

[necessity] [possibility]
must/have to > should/ought to > may/might/could
b. Deontic modal strength hierarchy:
[obligation] [permission]
must/have to > should/ought to > may/might/could

The challenge for a semantic analysis is to define the meanings of the modal
auxiliaries in a way that can explain these unique and surprising properties. In
the next section we will describe a very influential analysis which goes a long
way toward achieving this goal.

16.3 Modality as quantification over possible worlds

Angelika Kratzer (1981; 1991) proposed that the English modals are not in fact
polysemous. On the contrary, she suggested that English (like a number of other
languages) has only one set of modal operators, which are underspecified (inde-
terminate) regarding the type of modality (epistemic, deontic, etc.). The strength

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 16.3 Modality as quantification over possible worlds

of the modal is lexically determined, with the individual modals functioning se-
mantically as a kind of quantifier that quantifies over situations. The specific
type of modality depends on the range of situations which is permitted by the
context. This section offers a brief and informal introduction to her approach.

16.3.1 A simple quantificational analysis

Kratzer’s analysis builds on a long tradition of earlier work that treats a modal
auxiliary as a kind of quantifier which quantifies over possible worlds. (We can
think of possible worlds as possible situations or states of affairs; in other words,
“ways that things might be”.) A marker of necessity functions as a universal
quantifier: it indicates that the basic proposition is true in all possible states of
affairs. A marker of possibility functions as an existential quantifier: it indicates
that there is at least one state of affairs in which the basic proposition is true.
In Chapter 14 we introduced two symbols from modal logic: ♢ = ‘it is possi-
ble that’; and □ = ‘it is necessarily the case that’. The use of these symbols is
illustrated in the logical forms for two simple modal statements in (11).

(11) a. Arthur must be at home. logical form: □ AT_HOME(a)

b. Arthur may be at home. logical form: ♢ AT_HOME(a)

The possible worlds analysis claims that the logical forms in (11), which make
use of the modal operators, express the same meaning as those in (12), which
are stated in terms of the standard logical quantifiers. The w in (12) is a variable
which stands for a possible world or state of affairs. So under this analysis, Arthur
must be home means that the proposition Arthur is home is true in all possible
worlds, while Arthur might be home means that the proposition Arthur is home
is true in at least one possible world.

(12) a. Arthur must be at home. meaning: ∀w[AT_HOME(a) in w]

b. Arthur may be at home. meaning: ∃w[AT_HOME(a) in w]

As we noted in §16.2, words like must and may allow both epistemic and de-
ontic readings (among others). These different types (or “flavors”) of modality
can be represented by different restrictions on the quantification, i.e., different
limits on the kinds of possible worlds that the quantified variable (w) can refer
to. Epistemic readings arise when w can range over all “epistemically accessible”
worlds, i.e., situations which are consistent with what the speaker knows about
the actual situation. Deontic readings arise when w can range over all “perfect

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16 Modality

obedience” worlds, i.e., situations in which the requirements of the relevant au-
thority are obeyed. This analysis is illustrated in (13–14), using the restricted
quantifier notation.
(13) Arthur must be at home.
a. Epistemic: [all w: w is consistent with what I know about the actual
world] AT_HOME(a) in w
b. Deontic: [all w: w is consistent with what the relevant authority
requires] AT_HOME(a) in w
(14) Arthur may be at home.
a. Epistemic: [some w: w is consistent with what I know about the
actual world] AT_HOME(a) in w
b. Deontic: [some w: w is consistent with what the relevant authority
requires] AT_HOME(a) in w
The unrestricted quantifications in (12) express logical possibility or necessity:
a claim that proposition p is true in at least one imaginable situation, or in ev-
ery imaginable situation. Such statements are said to involve alethic modality.
As von Fintel (2006) points out, “It is in fact hard to find convincing examples
of alethic modality in natural language.” An example of logical (or alethic) pos-
sibility might be the statement, “I might never have been born.” It is possible
for me to imagine states of affairs in which I would not exist (my father might
have been killed in the war, my mother might have chosen to attend a differ-
ent school, etc.); but none of these states of affairs are epistemically possible,
because they are inconsistent with what I know about the real world. Examples
of logical (alethic) necessity are probably limited to tautologies, analytically true
statements, etc.; it is hard to find any other type of statement which must be true
in every imaginable situation.
Analyzing modals as quantifiers accounts for a number of interesting facts.
For example, the simple tautologies of modal logic stated in (15) show how either
of the two modal operators can be defined in terms of the other. (15a) states that
saying p is possibly true is equivalent to saying it is not necessarily the case that p
is false. (15b) states that saying p is necessarily true is equivalent to saying it is not
possible that p is false. It turns out that the two basic quantifiers of standard logic
can be defined in terms of each other in exactly the same way, as shown by the
tautologies in (16). This remarkable parallelism is predicted immediately if we
analyze necessity in terms of universal quantification and possibility in terms of
existential quantification.

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 16.3 Modality as quantification over possible worlds

(15) a. (♢ p) ↔ ¬(□ ¬p)

b. (□ p) ↔ ¬(♢ ¬p)
(16) a. ∃x[P(x)] ↔ ¬(∀x[¬P(x)])
b. ∀x[P(x)] ↔ ¬(∃x[¬P(x)])
We noted in Chapter 14 that combining quantifiers and modals in the same
sentence often leads to scope ambiguities. The examples in (17–18) are repeated
from Chapter 14. The quantificational analysis again predicts this fact: if modals
are really quantifiers, then the ambiguities in (17–18) arise as expected from the
interaction of two quantifiers.
(17) Every student might fail the course.5
a. ∀x[STUDENT(x) → ♢ FAIL(x)]
b. ♢ ∀x[STUDENT(x) → FAIL(x)]
(18) Some sanctions must be imposed.
a. ∃x[SANCTION(x) ∧ □ BE-IMPOSED(x)]
b. □ ∃x[SANCTION(x) ∧ BE-IMPOSED(x)]
While this analysis works well in many respects, Kratzer points out that it
makes the wrong predictions in certain cases. For example, suppose that Arthur
has robbed a bank, and that robbing banks is against the law. Intuitively, we
would say that sentence (19a) is true in this situation. However, the analysis
shown in (19b) actually predicts the opposite, because in all possible worlds con-
sistent with what the law requires, no one robs banks. In particular, Arthur does
not rob a bank (or commit any other crime) in those worlds, and so would not
go to prison. Similarly, the analysis predicts that both (20a) and (20b) should be
true, because the antecedent will be false in all possible worlds consistent with
what the law requires. (Recall from Chapter 4 that p→q is always considered to
be true when p is false.)
(19) a. Arthur must go to prison. [Deontic]
b. [all w: w is consistent with what the law requires]
GO_TO_PRISON(a) in w

(20) a. If Arthur has robbed a bank, he must go to prison.

b. If Arthur has robbed a bank, he must not go to prison.

5 Abbott (2010: 48).

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16 Modality

To take another example, suppose that when a serious crime is committed, the
law allows the government to confiscate the house, car, and other assets of the
guilty party to compensate the victim; but that the government is not allowed
to confiscate the assets of anyone who does not commit a crime. If Arthur is
convicted of a serious crime, the judge may truthfully say the sentence in (21a).
But once again, the analysis in (21b) predicts that this statement should be false,
since there is no possible world consistent with what the law requires in which
Arthur commits a crime, so no such world in which his assets may be confiscated.

(21) a. The state may confiscate Arthur’s assets. [Deontic]

b. [some w: w is consistent with what the law requires]
the state confiscates Arthur’s assets in w

The problem with examples of this type is that we begin with an actual situa-
tion that is not consistent with what the law requires. The correct interpretation
of the modal reflects the assumption that what happens next, in response to this
non-ideal situation, should be as close to the ideal required by law as possible.

16.3.2 Kratzer’s analysis

Kratzer addresses this problem by arguing that restrictions on the sets of possible
worlds available for modal quantifiers must be stated in two components. The
first, which she calls the modal base, specifies the class of worlds which are
eligible for consideration, i.e., worlds that are accessible. The second component,
which she calls the ordering source, specifies a ranking among the accessible
worlds. It identifies the “best”, or highest-ranking, world or worlds among those
that are accessible. The modal’s domain of quantification contains just these
optimal (highest-ranking) accessible worlds.
Let us see how this approach would apply to example (19a). Deontic modality
involves a circumstantial modal base, i.e., one that picks out worlds in which
certain relevant circumstances of the actual world hold true. In this case, one of
the relevant circumstances of the actual world is the fact that Arthur has robbed
a bank. The relevant ordering source in this example is what the law requires:
the optimal worlds will be those in which the law is obeyed as completely as
possible, given the circumstances. An informal rendering of the interpretation
of this sentence is presented in (22b). The first clause in the restriction represents
the modal base, and the second clause in the restriction represents the ordering
source.

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 16.3 Modality as quantification over possible worlds

(22) a. Arthur must go to prison. [Deontic]

b. [all w: (the relevant circumstances of the actual world are also true in
w) and (the law is obeyed as completely as possible in w)]
GO_TO_PRISON(a) in w

Epistemic modals require a different kind of modal base and ordering source.
The fundamental difference between the two types of modality is summarized by
Hacquard (2011: 1494) as follows:

Circumstantial [= root; PRK] modality looks at the material conditions which

cause or allow an event to happen; epistemic modality looks at the knowledge
state of the speaker to see if an event is compatible with various sources of
information available.

The epistemic modal base, which would be relevant for epistemic modals like
that in (23a), picks out worlds consistent with what is known about the actual
world, i.e., consistent with the available evidence. Epistemic modals frequently
invoke a stereotypical ordering source: the optimal worlds are those in which
the normal, expected course of events is followed as closely as possible, given the
known facts. An informal rendering of the interpretation of (23a) is presented in
(23b).

(23) a. Arthur must be at home. (=13a) [Epistemic]

b. [all w: (w is consistent with the available evidence) and (the normal
course of events is followed as closely as possible in w)]
AT_HOME(a) in w

This rendering of the meaning of epistemic must is more accurate than the
analysis suggested in (13a) for the same example. That earlier analysis would
lead us to predict that Arthur must be at home entails Arthur is at home, since
the actual world is one of the worlds that are consistent with what the speaker
knows about the actual world. But this prediction is clearly wrong; saying Arthur
is at home makes a more definite claim than Arthur must be at home. By using
must in this context, the speaker is implying: “I do not have direct knowledge,
but based on the evidence I can’t imagine a realistic situation in which Arthur
is not at home.” The use of the stereotypical ordering source in (23b) helps to
account for this inferential character of epistemic must. It helps us understand

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why statements of epistemic necessity are usually better paraphrased with the
adverb evidently than with necessarily.6
Another important part of Kratzer’s proposal is the claim that the modal aux-
iliaries in languages like English and French are not in fact polysemous. Kratzer
suggests that the lexical entry for words like must and may specifies only the
strength of modality (i.e., the choice of quantifier operator), and that they are
indeterminate as to the type or “flavor” of modality (epistemic vs. deontic, etc.).
The type of modality depends on the choice of modal base and ordering source,
which are determined by context (linguistic or general).
Part of the evidence for this claim is the observation that type of modality can
be overtly specified by adverbial phrases or other elements in the sentence, as
seen in (24).7 Notice that these adverbial phrases do not feel redundant, as they
probably would if the modal auxiliary specified a particular type of modality as a
lexical entailment. For sentences where there is no explicit indication of type of
modality, the intended type will be inferred based on the context of the utterance.

(24) a. Epistemic:
(In view of the available evidence,) John must/may be the murderer.
b. Deontic:
(In view of his parents’ orders,) John may watch TV, but he must go
to bed at 8pm.
c. Ability:
(In view of his physical abilities,) John can lift 200 lbs.
d. Teleological:
(In view of his goal to get a PhD,) John must write a dissertation.
e. Bouletic:
(In view of his desire to retire at age 50,) John should work hard now.

While Kratzer’s analysis provides an elegant explanation for the unusual pat-
tern of polysemy which we discussed in §16.2, this explanation cannot be applied
to all grammatical markers of modality. In the next section we discuss examples
of modals for which type of modality seems to be lexically specified.

6 Kratzer states that another advantage of her theory is that it provides a better way to deal with
“graded modality” i.e. intermediate-strength modals of “weak necessity” like ought or should,
as well as phrases such as very likely or barely possible. We will not discuss graded modality
in this chapter.
7 From Hacquard (2011).

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 16.4 Cross-linguistic variation

16.4 Cross-linguistic variation

In §16.2 we noted that it is common for a single modal form to be used for sev-
eral different types of modality; but there are also many languages where this
does not occur. Even in English, not all modals allow both epistemic and deontic
uses. Might is used almost exclusively for epistemic possibility, at least in main
clauses.8 Can is used almost exclusively for root modalities, although the negated
forms cannot and can’t do allow epistemic uses. What these examples show is
that it is possible, even in English, for both strength and type of modality to be
lexically specified.
Matthewson (2010) shows that in St’át’imcets (Lillooet Salish), clitic modality
markers are lexically specified for the type of modality, with strength of modality
determined by context; see examples in (25). In this regard, St’át’imcets is the
mirror image of English.

(25) a. wá7=k’a s-t’al l=ti=tsítcw-s=a s=Philomena

be=epis stat-stop in=det=house-3sg.poss=exis nom=Philomena
‘Philomena must/might be in her house.’ [only epistemic]
b. lán=lhkacw=ka áts’x-en ti=kwtámts-sw=a
already=2sg.subj=deon see-dir det=husband-2sg.poss=exis
‘You must/can/may see your husband now.’ [only deontic]

The St’át’imcets data might be analyzed roughly along the lines suggested in
(26): the modal markers =k’a and =ka are both defined in terms of a quantifier
which is underspecified for strength, but they lexically specify different types (or
flavors) of modality:

(26) a. Epistemic =k’a:

‘Philomena must/might be in her house.’ (25a)
[all/some w: (w is consistent with the available evidence) and (the
normal course of events is followed as closely as possible)]
AT_HOME(p) in w
b. Deontic =ka:
‘You must/can/may see your husband now.’ (25b)

8 Inindirect speech-type complements, might can function as the past tense form of may, e.g.
Mary said that I might visit her. In such contexts the deontic reading is possible. (See Chapter 20
for a discussion of the “sequence of tenses” in indirect speech complements.)

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16 Modality

[all/some w: (the relevant circumstances of the actual world are also

true in w) and (the requirements of the relevant authority are
satisfied as completely as possible in w)] hearer sees husband in w

This contrast between St’át’imcets and English provides additional support for
the conclusion that either strength or type of modality, or both, may be lexically
specified. It is possible for both patterns to be found within a single language. The
Malay modal mesti ‘must’ has both epistemic and deontic uses, like its English
equivalent. The Malay modal mungkin ‘probably, possibly’ has only epistemic
uses, but the strength of commitment is context-dependent, much like the clitic
modality markers in St’át’imcets.
Van der Auwera & Ammann 2013 report on a study of modal marking in 207
languages, focusing on the question of whether a single modal form can be used
to express both epistemic and deontic modality. They report that this is possible
in just under half (102) of the languages in their sample: in 105 of the languages,
all of the modal markers are lexically specified as either epistemic or deontic/
root, with no ambiguity possible. Only 36 of the languages in the sample are like
English and French, with markers of both possibility (may) and necessity (must)
which are ambiguous between epistemic and deontic readings. In the remaining
66 languages there is a modal marker for one degree of strength, either possibility
‘may’ or necessity ‘must’, which is ambiguous between epistemic and deontic
readings; but not for the other degree of strength.
The 36 languages which have ambiguous markers for both possibility and ne-
cessity are mostly spoken in Europe, and most of them express modality using
auxiliary verbs; but neither of these tendencies is absolute. West Greenlandic (Es-
kimo) is a non-European member of this group which expresses modality with
verbal suffixes. The suffix -ssa ‘must’ has a deontic/root necessity reading in (27a)
and an epistemic necessity reading in (27b). The suffix -sinnaa ‘can’ has a root
possibility reading in (28a) and an epistemic possibility reading in (28b).

(27) West Greenlandic9

a. Inna-jaa-ssa-atit.
go.to.bed-early-nec-ind.2sg
‘You must go to bed early.’ [deontic]
b. Københavni-mii-ssa-aq.
Copenhagen-be.in-nec-ind.3sg
‘She must be in Copenhagen.’ [epistemic]
9 Examples from Fortescue (1984: 292–294, p.c.); cited in van der Auwera & Ammann 2013

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 16.5 On the nature of epistemic modality

(28) Timmi-sinnaa-vuq.
fly-can-ind.3sg
‘It can fly.’ [root]
(29) Nuum-mut aalla-reer-sinnaa-galuar-poq …
Nuuk-allative leave-already-can-however-3sg.ind
‘He may well have left for Nuuk already, but…’ [epistemic]

Most of the research on modality to this point has focused on languages of the
European type. There is no obvious reason why modal markers in other types of
language should not also be analyzed as quantifiers over possible worlds, since
(as we have seen) lexical entries for modal markers can specify strength, type of
modality, or both. However, this is a hypothesis which should probably be held
lightly, pending more detailed investigation of the less-studied languages.

16.5 On the nature of epistemic modality

As mentioned in our discussion of types of modality in §16.1, the most basic
distinction is between epistemic modality and all the other types. Hacquard
(2011: 1486) observes that “epistemics deal with possibilities that follow from the
speaker’s knowledge, whereas roots deal with possibilities that follow from the
circumstances surrounding the main event and its participants.”
Epistemic modality is often said to be “speaker-oriented”,10 because it encodes
possibility or necessity in light of the speaker’s knowledge. Non-epistemic modal
marking reflects some facet of the circumstances surrounding the described sit-
uation or event, such as the requirements of an authoritative person or code
(deontic), or the agent’s abilities (dynamic), goals (teleological), or desires
(bouletic).11 Van der Auwera & Ammann (2013) use the term situational as
a cover term for the non-epistemic types, which seems like a very appropriate
choice; but the term root is firmly established in linguistic usage.
Epistemic modality also differs from root modality in its interaction with time
reference. Epistemic modality in the present time tends to be restricted (at least in
English) to states (30a) and imperfective events, either progressive (30c) or habit-
ual (31a). Deontic modality occurs freely with both states and events, but tends
to be future oriented; deontic readings are often impossible with past events
10 Bybee et al. (1994).
11 Theseexamples illustrate the most commonly recognized types of modality; but as von Fintel
(2006) observes, “In the descriptive literature on modality, there is taxonomic exuberance far
beyond these basic distinctions.”

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(31c, 32c). Epistemic necessity (must) is typically impossible with future events
(31b), which is not surprising because speakers generally do not have certain
knowledge of the future. Epistemic possibility (may), however, is fine with fu-
ture events (32b).

(30) a. Henry must be in Brussels this week. [epistemic or deontic]

b. Henry must write a book this year. [future; only deontic]
c. Henry must be writing a book this year. [present; only epistemic]

(31) a. Mary must attend Prof. Lewis’s lecture every week.

[epistemic or deontic]
b. Mary must attend Prof. Lewis’s lecture tomorrow. [only deontic]
c. Mary must have attended Prof. Lewis’s lecture yesterday.
[only epistemic]

(32) a. Mary may attend Prof. Lewis’s lecture every week.

[epistemic or deontic]
b. Mary may attend Prof. Lewis’s lecture tomorrow.
[epistemic or deontic]
c. Mary may have attended Prof. Lewis’s lecture yesterday.
[only epistemic]

When the modal itself is inflected for past tense, e.g. had to in (33), either
reading is possible; but the scope of the tense feature is different in the two read-
ings.12

(33) Jones had to be in the office when his manager arrived.

[epistemic or deontic]

Under the deontic reading, tense takes scope over the modality: the obligation
for the agent to behave in a certain way is part of the situation being described
as holding true at some time in the past, prior to the time of speaking. Under
the epistemic reading, the modality is outside the scope of the past tense: the
speaker’s knowledge now (at the time of speaking) leads him to conclude that a
certain situation held true at some time in the past. As von Fintel (2006) points
out, the interactions between modality and tense-aspect are complex and poorly
understood, and we will not pursue these issues further here.

12 Have to is used here because true modal auxiliaries in English cannot be inflected for tense.

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 16.5 On the nature of epistemic modality

Papafragou (2006: 1688) describes another kind of difference which has been
claimed to exist between epistemic vs. “root” modality:

It is often claimed in the linguistics literature that epistemic modality, un-

like other kinds of modality, does not contribute to the truth conditions of
the utterance. Relatedly, several commentators argue that epistemic modal-
ity expresses a comment on the proposition expressed by the rest of the
utterance… The intuition underlying this view is that epistemic modality in
natural language marks the degree and/or source of the speaker’s commit-
ment to the embedded proposition.

However, some of the standard tests for propositional content indicate that
this is not the case: both types of modality can be part of the proposition and
contribute to its truth conditions. We will mention three tests which provide ev-
idence that epistemic modality does not just express a comment on or attitude
toward the proposition, but is actually a part of the proposition itself. First, epis-
temic modality is part of what can be felicitously challenged, as illustrated in
(34).13

(34) A: Jones is the only person who stood to gain from the old man’s death;
he must be the murderer.
B: That’s not true; he could be the murderer, but he doesn’t have to be.

In this mini-conversation, speaker B explicitly denies the truth of A’s state-

ment, but only challenges its modality. In other words, B denies □p without
denying p. In this respect epistemic modals are quite different from the speaker-
oriented adverbs which we discussed in Chapter 11. Those adverbs cannot felici-
tously be challenged in the same way, because (as we argued) they are not a part
of the proposition being asserted.
Second, epistemic modality can be the focus of a yes-no question, as illus-
trated in (35–36). In these questions the information requested concerns the ad-
dressee’s degree of certainty, not just the identity of the murderer. The wrong
choice of modal can trigger the answer “No”, as in (35), showing that modality
contributes to the truth conditions of the sentence. In contrast, when an inap-
propriate speaker-oriented adverb is added to a yes-no question, it will not cause
the answer to change from “Yes” to “No” (37).

(35) A: Must Jones be the murderer?

B: Yes, he must/#is. or: No, but I think it is very likely.
13 Cf. Papafragou (2006: 1698).

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(36) A: Might Jones be the murderer?

B: Yes, he might/#is. or: No, that is impossible.

(37) A: Was Jones unfortunately arrested for embezzling?

B: Yes/#No; he was arrested for embezzling, but that is not unfortunate.

Third, epistemic modality can be negated by normal clausal negation, although

this point is frequently denied. It is true that some English modals exhibit differ-
ences in this regard between their epistemic vs. deontic uses. With may, for
example, negation takes scope over the modal in the deontic reading, but not in
the epistemic reading (38). The modal must, on the other hand, takes scope over
negation in both of these readings (39).

(38) Smith may not be the candidate. [epistemic: possible that not p]
[deontic: not permitted that p]

(39) Smith must not be the candidate. [epistemic: evident that not p]
[deontic: required that not p]

However, while most English modals (including must and may, as we have
just seen) take scope over negation in the epistemic reading, there are a few
counter-examples, as illustrated in (40–41).14

(40) Smith cannot be the candidate. [epistemic: not possible that p]

(41) Jones doesn’t have to be the murderer. [epistemic: not necessary that p]

Examples like these show that even in English, epistemic modality can some-
times be negated by normal clausal negation. Moreover, German müssen ‘must’
takes opposite scope from English must in both epistemic and deontic readings
(42).

(42) a. Er muss nicht zu hause bleiben.

he must not at home remain
‘He doesn’t have to stay home.’
[deontic: not required that p; von Fintel (2006)]

14 The same scope holds for the “root” readings of these examples as well.

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 16.5 On the nature of epistemic modality

b. Er muss nicht zu Hause geblieben sein. Er kann auch weggegangen

he must not at home remained be he can also away.gone
sein.
be
‘It doesn’t have to be the case that he stayed home (or: He didn’t
necessarily stay home). He may also have gone away.’
[epistemic: not necessary that p; Susi Wurmbrand, p.c.]

Idris (1980) states that the Malay modal mesti ‘must’ interacts with negation
much like its English equivalent, in particular, that negation cannot take scope
over the epistemic use of the modal. Now auxiliary scope in Malay correlates
closely with word order. When the modal precedes and takes scope over the
clausal negator tidak ‘not’, as in (43a), both the epistemic and the deontic read-
ings are possible. When the order is reversed, as in (43b), Idris states that only
the deontic reading is possible.

(43) a. Dia mesti tidak belajar.

3sg must neg study
‘He must not study.’ [epistemic: evident that not p]
(i.e., ‘I am certain that he does not study.’)
‘He is obliged not to study.’ [deontic: required that not p]
b. Dia tidak mesti belajar.
3sg neg must study
‘He is not obliged to study.’ [deontic: not required that p]

A number of authors have cited these examples in support of the claim that
epistemic modality always takes scope over clausal negation.15 However, corpus
examples like those in (44) show that the epistemic use of mesti is in fact possible
within the scope of clausal negation.

(44) a. Inflasi tidak mesti ber-punca dari pemerintah…

inflation neg must mid-source from government
‘Inflation does not have to have the government as its source…’
(… it can arise due to other reasons as well)
[epistemic: not necessary that p]16

15 See for example de Haan (1997); Drubig (2001).

16 http://wargamarhaen.blogspot.com/2011/09/jangan-dok-rasa-pilihanraya-lambat-lagi.html

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b. Hiburan itu tidak mesti mem-bahagia-kan, tapi kebahagiaan

entertainment that neg must bless/make.happy but happiness
itu sudah pasti meng-hibur-kan.
that already certain comfort/entertain
‘Entertainment does not necessarily bring happiness, but happiness
will definitely bring comfort.’ [epistemic: not necessary that p]17

So we have seen evidence that epistemic modality can be negated by normal

clausal negation in Malay, in German, and even in English. Once again, this is
not true of evaluative or speech act adverbials: they are never interpreted within
the scope of clausal negation, as we demonstrated in Chapter 11. Taken together,
the three types of evidence we have reviewed here provide strong support for
the conclusion that epistemic modality is a part of the propositional content of
the utterance and contributes to the truth conditions.

16.6 Conclusion
In this chapter we have sketched out an analysis which treats modals as quanti-
fiers over possible worlds. This analysis helps to explain why modals are similar
to quantifiers in certain ways, for example, in the scope ambiguities that arise
when they are combined with other quantifiers.
The analysis also helps to explain the unusually systematic pattern of “poly-
semy” observed in the English modals, as well as the fact that this same pattern
shows up in many other languages as well. This is not how polysemy usually
works. Under Kratzer’s analysis, the English modals are not in fact polysemous,
but rather indeterminate for type of modality. The strength of the modal (nec-
essary vs. possible) is lexically entailed, but the type of modality (epistemic vs.
deontic etc.) is determined by context.
Modals in French and many other languages work in much the same way as the
English modals; but this is certainly not the case for all languages, perhaps not
even for a majority of them. However, the quantificational analysis can account
for these other languages as well. Strength of modality is represented in the
quantifier operator, while type of modality is represented in the restriction on
the class of possible worlds. Either or both of these can be lexically specified in
particular languages, or for specific forms in any language.
Epistemic modality is different in certain ways from all the other types (known
collectively as root modality). Some authors have claimed that epistemic modal-
ity is not part of the propositional content of the utterance. We argued that this
17 http://skbbs-tfauzi.zoom-a.com/katahikmat.html

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 16.6 Conclusion

is wrong, based on the fact that epistemic modality can be questioned and chal-
lenged, and (at least in some languages) can be negated as well. We return to
these issues in the next chapter, where we discuss the difference between mark-
ers of epistemic modality vs. markers of evidentiality (source of information).

Further reading

Von Fintel 2006 and Hacquard (2011) provide very useful overviews of the
semantic analysis of modality, as well as references to much recent work
on this subject. Hacquard in particular provides a good introduction to
Kratzer’s treatment of modals. Matthewson (2016) presents an introduc-
tion and overview with frequent references to Salish and other languages
whose modals are quite different from those of English. De Haan 2006
presents a helpful typological study of modality. A brief introduction to
modal logic can be found in Garson (2016); recent textbooks on the subject
include Blackburn et al. (2008) and van Benthem (2010).

Discussion exercises
A: Deontic vs. epistemic modality. Identify the type of modality in the
following statements:

1. You must leave tomorrow.

2. You must have offended the Prime Minister very seriously.

3. You must be very patient.

4. You must use a Mac.

5. You must be using a Mac.

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B: Ambiguous type of modality. Use the restricted quantifier notation

to express two possible types of modality (deontic vs. epistemic) for the
following sentences:

1. Arnold must trust you. (assume “h” = hearer)

Model answer
Epistemic: [all w: (w is consistent with the available evidence) ∧ (the normal
course of events is followed as closely as possible in w)] TRUST(a,h) in w
Deontic: [all w: (the relevant circumstances of the actual world are also true
in w) ∧ (the relevant authority’s requirements are satisfied as completely as
possible in w)] TRUST(a,h) in w

2. You may annoy Mr. Roosevelt.

3. You must be very patient.

C: Scope ambiguities. Use the restricted quantifier notation to express

the two possible scope relations for the indicated reading of the following
sentences:

1. No terrorist must enter the White House. [deontic]

Model answer

a. [all w: (the relevant circumstances of the actual world are also true in
w) ∧ (the relevant authority’s requirements are satisfied as completely
as possible in w)] ([no x: TERRORIST(x)] ENTER(x,wh) in w)

b. [no x: TERRORIST(x)] ([all w: (the relevant circumstances of the ac-

tual world are also true in w) ∧ (the relevant authority’s requirements
are satisfied as completely as possible in w)] ENTER(x,wh) in w)

2. Many prisoners must be released. [deontic]

3. Every candidate could be disqualified. [epistemic]

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 16.6 Conclusion

Homework exercises

A: Epistemic vs. deontic modality. For each of the sentences below, de-
scribe two contexts: one where the modal would most likely have an epis-
temic reading, the other where the modal would most likely have a deontic
reading:
1. Arnold must not recognize me.

2. Henry ought to be in his office by now.

3. Baxter may support Suharto.

4. George should be working late tonight.

5. You have to know how to drive.

B: Restricted quantifier representation. Use the restricted quantifier no-

tation to express two types of modality (epistemic vs. deontic) for the fol-
lowing sentences. For convenience, you may use the abbreviation “sp” to
refer to the speaker and “h” to refer to the hearer.

1. You must exercise regularly.

2. I should be on time this evening.

3. Rick may not remain in Casablanca.

C: Scope ambiguities.
(1) Use the restricted quantifier notation to express the deontic
reading of the two indicated interpretations for the following
sentence:
No professors must be fired.
a. ¬∃x[PROFESSOR(x) ∧ □ FIRED(x)]
b. □ ¬∃x[PROFESSOR(x) ∧ FIRED(x)]

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16 Modality

(2) Use the restricted quantifier notation to express the two possible
scope interpretations for the epistemic reading of the following
sentences:
a. Every student could graduate.
b. Some of the suspects must be guilty.

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17 Evidentiality
17.1 Markers that indicate the speaker’s source of
information
The Tagalog particle daw ~ raw is used to indicate that the speaker heard the
information being communicated from someone else, as illustrated in example
(1). ‘Hearsay’ markers like this are one of the most common types of evidential
marker among the world’s languages.
(1) Mabuti raw ang=ani.
good hearsay nom=harvest
‘They say that the harvest is good.’ [Schachter & Otanes 1972: 423]
The term evidential refers to a grammatical marker which indicates the speak-
er’s source of information. Evidentials have often been treated as a type of epis-
temic modality, but in this chapter we will argue that the two categories are dis-
tinct. We begin in §17.2 with a brief survey of some common types of evidential
systems found across languages. In §17.3 we present a more careful definition
of the term evidential and discuss the distinction between evidentiality and
epistemic modality. In §17.4 we discuss some of the ways in which we can distin-
guish evidentiality from other categories, such as tense or modality, which may
tend to correlate with evidentiality. §17.5 reviews a proposed distinction between
two types of evidential marking. In some languages evidential markers seem to
function as illocutionary (speech act) modifiers, while in other languages eviden-
tial markers seem to contribute to the propositional content of the utterance. In
terms of the distinction we made in Chapter 11, the former type can be identi-
fied as contributing use-conditional meaning, while the latter can be identified
as contributing truth-conditional meaning.

17.2 Some common types of evidential systems

As mentioned in the previous section, hearsay markers are one of the most com-
mon types of evidential marker cross-linguistically. Another common type of
17 Evidentiality

evidential marking is seen in languages like Cherokee, which distinguish direct

from indirect knowledge. Evidentiality in Cherokee is signaled by a contrast
between two different past tense forms.1 Cherokee speakers use the direct form
-ʌʔi to express what they have experienced personally, e.g. something they have
seen, heard, smelled, felt, etc. They use the indirect form -eʔi to express what
they have heard from someone else; or what they have inferred based on observ-
able evidence (e.g., seeing puddles one might say ‘It rained-indirect’); or what
they have assumed based on prior knowledge.
Many languages which have evidential systems make only a two-way distinc-
tion, e.g. between direct vs. indirect knowledge, or between hearsay/reported
information vs. other sources. However, more complex systems are not uncom-
mon. Huallaga Quechua has three contrastive evidential categories, marked by
clitic particles which (in the default pattern) attach to the verb:2 =mi marks “di-
rect” knowledge (e.g. eye-witness or personal experience); =shi marks hearsay;
and =chi marks conjecture and/or inference.3 The following sentences provide
a minimal contrast illustrating the use of these particles. Each of the sentences
contains the same basic propositional content (You also hit me); the choice of
particle indicates how the speaker came to believe this proposition.

(2) Huallaga Quechua evidentials (Weber 1989: 421)

a. Qam-pis maqa-ma-shka-nki =mi.
you-also hit-1.obj-prf-2.subj =direct
‘You also hit me (I saw and/or felt it).’
b. Qam-pis maqa-ma-shka-nki =shi.
you-also hit-1.obj-prf-2.subj =hearsay
‘(Someone told me that) you also hit me (I was drunk and can’t
remember).’
c. Qam-pis maqa-ma-shka-nki =chi.
you-also hit-1.obj-prf-2.subj =conject
‘(I infer that) you also hit me.’
(I was attacked by a group of people, and I believe you were one of
them).

1 Pulte(1985); Pulte uses the terms “experienced past” vs. “nonexperienced past”.
2 Ifany single constituent in the sentence gets narrow focus, the evidential clitic follows the
focused constituent. If not, the clitic occupies its default position after the verb.
3 Weber (1989).

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 17.2 Some common types of evidential systems

A few languages are reported to have five or even six grammatically distin-
guished evidential categories. A widely cited example of a five-category system
is Tuyuca, a Tucanoan language of Colombia. Evidentiality in Tuyuca is marked
by portmanteau suffixes which indicate tense and subject agreement, as well as
evidential category, and these suffixes are obligatory in every finite clause in the
language.4 The use of these five evidential categories is illustrated by the minimal
contrasts in (3).
(3) Tuyuca evidential system (Barnes 1984)
a. díiga apé -wi
soccer play -visual
‘He played soccer.’ (I saw him play.)
b. díiga apé -ti
soccer play -nonvisual
‘He played soccer.’ (I heard the game and him, but I didn’t see it or
him.)
c. díiga apé -yi
soccer play -inference
‘He played soccer.’ (I have seen evidence that he played: his
distinctive shoe print on the playing field. But I did not see him play.)
d. díiga apé -yigi
soccer play -hearsay
‘He played soccer.’ (I obtained the information from someone else.)
e. díiga apé -hĩyi
soccer play -assumed
‘He played soccer.’ (It is reasonable to assume that he did.)
The visual category (3a) is used for states or events which the speaker actually
sees, for actions performed by the speaker, and for “timeless” knowledge which
is shared by the community. The nonvisual category (3b) is used for informa-
tion which the speaker perceived directly by some sense other than seeing; that
is, by hearing, smell, touch, or taste. The inference category (3c), which Barnes
labels “apparent”, is used for conclusions which the speaker draws based on di-
rect evidence. The hearsay category (3d), which Barnes labels “secondhand”, is
used for information which the speaker has heard from someone else. The as-
sumed category (3e) is used for information which the speaker assumes based on
background knowledge about the situation.
4 Barnes (1984).

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17 Evidentiality

17.3 Evidentiality and epistemic modality

Having examined some examples of the kinds of distinctions that are typically
found in evidential systems, let us think about what kind of meaning these gram-
matical markers express. Aikhenvald (2004: 3), in her very important book on
this topic, defines evidentiality as follows:

Evidentiality is a linguistic category whose primary meaning is source of

information… [T]his covers the way in which information was acquired,
without necessarily relating to the degree of speaker’s certainty concerning
the statement or whether it is true or not… To be considered as an evidential,
a morpheme has to have ‘source of information’ as its core meaning; that
is, the unmarked, or default interpretation.

There are several important points to be noted in this definition. First, evi-
dentiality is a grammatical category.5 All languages have lexical means for ex-
pressing source of information (I was told that p; I infer that p; apparently; it is
said; etc.), but the term evidential is normally restricted to grammatical mor-
phemes (affixes, particles, etc.). Second, an evidential marker must have source
of information as its core meaning. This is significant because evidentiality of-
ten correlates with other semantic features, such as degree of certainty. Such a
correlation is not surprising, since a speaker will naturally feel more certain of
things he has seen with his own eyes than things he learned by hearsay. (We
return below to the question of how we can know which factor represents the
marker’s “core meaning”.)
It is not unusual for evidential meanings to arise as secondary functions of
markers of modality, tense, etc. For example, the German modal verb sollen
‘should’ has a secondary usage as a hearsay marker, as illustrated in (4). This
form is often cited in discussions of evidentiality; but under Aikhenvald’s strict
definition of the term, it would not be classified as an evidential, because its pri-
mary function is to mark modality.6

(4) Kim soll einen neuen Job angeboten bekommen haben.

Kim should a new job offered get have
‘Kim has supposedly been offered a new job.’ [von Fintel 2006]
5 cf. Aikhenvald (2004: 1).
6 Aikhenvald (2004: 1) estimates that about a quarter of the world’s languages have grammatical
markers of evidentiality. In contrast, de Haan (2013) indicates that evidentiality markers are
present in 57% of the WALS sample (237 out of 418 languages). But this figure is based on a
broader definition of the term: de Haan includes cases like German sollen, where a modal or
some other grammatical marker has a secondary evidential function.

320
 17.4 Distinguishing evidentiality from tense and modality

A third claim implicit in Aikhenvald’s definition is that evidentiality is distinct

from epistemic modality. She states this explicitly a bit later:

Evidentials may acquire secondary meanings — of reliability, probability

and possibility (known as epistemic extensions), but they do not have to…
Evidentiality is a category in its own right, and not a subcategory of any
modality… That evidentials may have semantic extensions related to prob-
ability and speaker’s evaluation of trustworthiness of information does not
make evidentiality a kind of modality. [Aikhenvald 2004: 7–8]

Epistemic modality of course is the linguistic category whose primary function

is to indicate the speaker’s degree of certainty concerning the proposition that
is being expressed. As we have just noted, there is a close correlation between
source of information and degree of certainty, and a number of authors have
classified evidentiality as a kind of modality.7 But Aikhenvald maintains that the
two categories need to be distinguished.
Of course, the question of whether evidentiality is a type of epistemic modality
depends in part on how one defines modality; but this is not just a terminological
issue. We argued in Chapter 16 that modal markers, including epistemic modals,
contribute to the propositional content of an utterance. There is good evidence
that evidential markers in a number of languages do not contribute to proposi-
tional content but function as illocutionary modifiers, and so must be distinct
from epistemic modality. But before we review some of this evidence, it will be
helpful to think about how we go about identifying a marker’s “primary func-
tion”.

17.4 Distinguishing evidentiality from tense and modality

It is not always easy to distinguish empirically between evidential markers and
epistemic modals. Tense and aspect markers can also be a problem, because they
too can have secondary evidential functions or associations. Perfect aspect in
particular often carries an indirect evidential connotation, and indirect evidence
markers frequently develop out of perfect aspect markers.8 For example, in Ira-
nian Azerbaijani (closely related to Turkish) the suffix -miş is polysemous be-
tween an older perfect sense and a more recent evidential sense.9 We can see

7 Palmer (1986), Frawley (1992), Matthewson et al. (2007), Izvorski (1997).

8 Izvorski(1997); Bybee et al. (1994).
9 Lee (2008).

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17 Evidentiality

that the two senses are distinct in the modern language, because they can co-
occur in the same word as seen in (5).

(5) zefer qazan-miş-miş-am

victory win-prf-indirect-1sg
‘reportedly I have won’ [Noah Lee, p.c.]

So then, when we encounter a grammatical marker which seems to indicate

source of information in at least some contexts, but has other functions as well,
how can we decide what to call it? In other words, how do we determine its
“primary function”? The key is to search for contexts where the expected cor-
relation does not hold, so that the two possible analyses would make different
predictions.
David Weber (1989: 421ff.) compares his analysis of the Huallaga Quechua ev-
idential clitics with an alternative analysis which treats them as validational
markers, that is, indicators of the speaker’s degree of commitment to the truth
of the proposition being expressed. The choice between these two analyses is
not immediately obvious, because there is a correlation between source of infor-
mation and speaker’s degree of commitment. As we have noted, a speaker is
likely to be more certain of knowledge gained through direct experience than
of knowledge gained through hearsay or inference. In many contexts the direct
evidential =mi (which is optional) can be used to indicate certainty; and hearers
may sometimes interpret the hearsay evidential =shi as indicating uncertainty
on the part of the speaker.
However, when there is a conflict between source of information and degree
of commitment, it is source of information that determines the choice of clitic.
For example, if someone were to say ‘My mother’s grandfather’s name was John,’
the direct evidential =mi would be extremely unnatural, no matter how firmly
the speaker believes what he is saying. The hearsay evidential =shi must be used
instead, because it is very unlikely in that culture for the speaker to have actually
met his great-grandfather. Similarly, in describing cultural practices which the
speaker firmly believes but has not personally experienced (e.g., ‘Having chewed
coca, their strength comes to them’), the hearsay evidential is strongly preferred.
The general principle is that when we are trying to identify the meaning of a
certain form, and there are two or more semantic factors that seem to correlate
with the presence of that form, we need to find or create situations in which only
one of those factors is possible and test whether the form would appear in such
situations.

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 17.5 Two types of evidentials

17.5 Two types of evidentials

In §17.3 we mentioned that evidential markers in some languages do not con-
tribute to propositional content but function as illocutionary modifiers. One of
the best documented examples of this type is Cuzco Quechua as described by
Martina Faller.10 Faller analyzes the evidential enclitics in Cuzco Quechua as
“illocutionary modifiers which add to or modify the sincerity conditions of the
act they apply to.” She notes that “they do not contribute to the main proposi-
tion expressed, can never occur in the scope of propositional operators such as
negation, and can only occur in illocutionary force bearing environments.”11
We present here some of her evidence for saying that the evidential enclitics
do not contribute to the propositional content of the utterance, focusing on the
Reportative clitic =si. First, the evidential is always interpreted as being outside
the scope of negation. In example (6), the contribution of the Reportative evi-
dential (‘speaker was told that p’) cannot be interpreted as part of what is being
negated; so (ii) is not a possible interpretation for this sentence.

(6) Ines-qa mana=s qaynunchaw ñaña-n-ta-chu watuku-rqa-n.

Inés-top not=report yesterday sister-3-acc-neg visit-past1 -3
propositional content = ‘Inés didn’t visit her sister yesterday.’
evidential meaning: (i) speaker was told that Inés did not visit her sister
yesterday
not: (ii) # speaker was not told that Inés visited her sister yesterday
[Faller 2002, §6.3.1]

Second, the contribution of the Reportative evidential is not part of what can
be challenged. If a speaker makes the statement in (7a), a hearer might challenge
the truth of the statement based on the facts being reported, as in (7b); but it
would be infelicitous to challenge the truth of the statement based on source of
information, as in (7c). (This test is sometimes called the assent/dissent diag-
nostic.12 ) In other words, the contribution of the evidential does not seem to be
part of what makes the statement true or false.

(7) a. Ines-qa qaynunchay ñaña-n-ta=s watuku-sqa.

Inés-top yesterday sister-acc=report visit-past2
propositional content = ‘Inés visited her sister yesterday.’
10 Faller(2002; 2003; 2006), inter alia.
11 Faller
(2002: v).
12 Papafragou (2006).

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17 Evidentiality

evidential meaning: speaker was told that Inés visited her sister
yesterday
b. Mana=n chiqaq-chu. Manta-n-ta-lla=n watuku-rqa-n.
not=direct true-neg mother-3-acc-limit=direct visit-past1 -3
‘That’s not true. She only visited her mother.’
c. Mana=n chiqaq-chu. #Mana=n chay-ta willa-rqa-sunki-chu.
not=direct true-neg not=direct this-acc tell-past1 -3S.2O-neg
‘That’s not true. #You were not told this.’ [Faller 2002, §5.3.3]

Third, Faller’s statement that the evidential enclitics “can only occur in illo-
cutionary force bearing environments” means that they are restricted to main
clauses or clauses which express an independent speech act. This is a characteris-
tic feature of many illocutionary modifiers. In particular, conditional clauses are
typically not the kind of environment where illocutionary modifiers can occur.13
Faller states that evidential enclitics cannot occur within conditional clauses, as
illustrated in (8).

(8) Mana(*=si) para-sha-n-chu chayqa ri-sun-chis.

not=report rain-prog-3-neg then go-1.fut-pl
‘If it is not raining we will go.’ [Faller 2003, ex. 8]

The German auxiliary sollen ‘should’, when used as a reportative or hearsay

marker, behaves quite differently. For example, it is possible for sollen to occur
within a conditional clause, as illustrated in (9).

(9) F.C.B.F.A.N.: Bei uns soll es heute schneien‼

‘It is said (=predicted) to snow near us today.’
FAHRBACH: Also wenn es bei dir schneien soll, dann schneit es bei mir
auch.
‘If it said to snow near you, then it will snow near me as well.’14

The assent/dissent diagnostic reveals another difference. German Reportative

sollen, like the Quechua Reportative evidential, allows the hearer to challenge
the basic propositional content of the sentence. But in addition, it is possible to
13 Ernst (2009), Haegeman (2010).
14 http://www.kc-forum.com/archive/index.php/t-45696, cited in Faller (2006). A reviewer points
out that this is not a typical hypothetical conditional, but what we will call in Chapter 19 a
reality conditional, which has somewhat specialized functions. It is not clear whether the
reportative use of sollen is possible within hypothetical conditionals.

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 17.5 Two types of evidentials

challenge the truth of a statement with sollen based on the source of information,
as illustrated in (10).15 This is impossible with the Quechua Reportative. Both of
these differences are consistent with the hypothesis that German Reportative
sollen is part of the propositional content of the utterance.
(10) A: Laut Polizei soll die Gärtnerin die Juwelen gestohlen haben.
‘According to the police, the gardener is said to have stolen the jewels.’

B: Nein, das stimmt nicht. Das ist die Presse, die das behauptet.
‘No, that’s not true. It is the press who is claiming this.’ (Faller 2006)
A number of languages have evidentials which behave much like those of
Cuzco Quechua. However, there are other languages in which evidentials seem
to contribute to the propositional content of the utterance, like German Reporta-
tive sollen. Murray (2010) suggests that we need to recognize two different types
of evidential, which we will refer to as illocutionary evidentials and propo-
sitional evidentials.16 Illocutionary evidentials function as illocutionary oper-
ators; examples are found in Quechua, Kalaallisut, and Cheyenne. Propositional
evidentials are part of the propositional content of the utterance; examples are
found in German, Turkish, Bulgarian, St’át’imcets (Lillooet Salish), and Japanese.
These two types of evidentials share a number of properties in common, but
Murray identifies several tests that distinguish the two classes. For example, illo-
cutionary evidentials cannot be embedded within a conditional clause (8), while
this is possible for propositional evidentials (9). Second, a speaker who makes
a statement using a hearsay or reportative evidential of the illocutionary type
is not committed to believing that the propositional content of the utterance is
possibly true. So it is not a contradiction, nor is it infelicitous, for a speaker to
assert something as hearsay and then deny that he believes it, as illustrated in
(11).
(11) a. Para-sha-n=si, ichaqa mana crei-ni-chu.
rain-prog-3=report but not believe-1-neg
‘It is raining (someone says), but I don’t believe it.’
[Cuzco Quechua; Faller (2002: 194)]
b. É-hoo’kȯhó-nėse naa oha ná-sáa-oné’séomátséstó-he-⌀.
3-rain-report.inan.sg and contr 1-neg-believeINAN -modANIM -dir
‘It’s raining, they say, but I don’t believe it.’
[Cheyenne; Murray 2010: 58]
15 Faller (2006).
16 Murray uses the terms illocutionary evidentials vs. epistemic evidentials.

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17 Evidentiality

A hearsay or reportative evidential of the propositional type, however, com-

mits the speaker to believing that it is at least possible for the expressed propo-
sition to be true. For this reason, the St’át’imcets example in (12) is infelicitous.

(12) (Context: You had done some work for a company and they said they put
your pay, $200, in your bank account; but actually, they didn’t pay you at
all.)
*Um’-en-tsal-itás ku7 i án’was-a xetspqíqen’kst táola,
give-dir-1sg.obj-3pl.erg report det.pl two-det hundred dollar
t’u7 aoz kw s-7um’-en-tsál-itas ku stam’.
but neg det nom-give-dir-1sg.obj-3pl.erg det what
‘They gave me $200 [I was told], but they didn’t give me anything.’
[Matthewson et al. 2007]

Third, illocutionary evidentials are always speaker-oriented. This means that

they indicate the source of information of the speaker, and cannot be used to
indicate the source of information of some other participant. This is illustrated
in the Quechua example in (13).

(13) Pilar-qa yacha-sha-n Marya-q

Pilar-top know-prog-3 Marya-gen
hamu-sqa-n-ta{-n/-s/-chá}.
come-past.ptcp-3-acc{-dir/-report/-conject}
propositional content = ‘Pilar knows that Marya came.’
evidential meaning: (i) speaker has direct/reportative/conjectural
evidence that Pilar knows that Marya came.
not: (ii) #Pilar has direct/reportative/conjectural evidence that Marya
came. [Faller 2002, ex. 184]

Propositional evidentials, in contrast, can be used to indicate the source of

information of some participant other than the speaker. In the St’át’imcets ex-
ample in (14), for example, the reportative evidential is interpreted as marking
Lémya7’s source of information. It indicates that Lémya7’s statement was based
on hearsay evidence. The speaker in (14) already had direct evidence for this
information before hearing it from Lémya7.

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 17.6 Conclusion

(14) Tsut s-Lémya7 kw sqwemémn’ek ku7 s-Mary, t’u7

say nom-name det pregnant report nom-name but
plán-lhkan ti7 zwát-en — áts’x-en-lhkan s-Mary áta7
already-1sg.subj dem know-dir — see-dir-1sg.subj nom-name deic
tecwp-álhcw-a inátcwas.
buy-place-det yesterday
‘Lémya7 said that [she was told that] Mary is pregnant, but I already
knew that — I had seen Mary at the store yesterday.’17

A fourth difference demonstrated by Murray is that markers of tense or modal-

ity never take semantic scope over illocutionary evidential markers, whereas this
is possible with propositional evidentials.18
There seems to be a strong tendency for illocutionary evidential markers to
be “true evidentials” in Aikhenvald’s sense, i.e., grammatical morphemes whose
primary function is to mark source of information; and for propositional evi-
dentials to be evidential uses/senses of morphemes whose primary function is
something else: perfect aspect in Turkish and Bulgarian; modality in German
and St’át’imcets. In terms of the distinction we made in Chapter 11, illocution-
ary evidentials seem to contribute use-conditional meaning, while propositional
evidentials seem to contribute truth-conditional meaning.

17.6 Conclusion
We have suggested that a single type of meaning (source of information) can
be contributed on two different levels or dimensions: truth-conditional vs. use-
conditional. In Chapter 18 we will argue that a similar pattern is observable with
adverbial reason clauses. The conjunction because expresses a causal relationship,
but this causal relationship may either be asserted as part of the truth-conditional
propositional content of the sentence, or may function as a kind of illocutionary
modifier.
There is much more to be said about evidentials, but we cannot pursue the topic
further here. In addition to the semantic issues introduced (all too briefly) above,
the use of grammatical evidential markers interacts in interesting ways with dis-
course genre, world-view, first and second language acquisition, language con-
tact, and translation, to name just a few.

17 Matthewson et al. (2007).

18 See Murray (2010: §3.4.2) for examples.

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17 Evidentiality

Further reading

Aikhenvald (2004) is the primary source for typological and descriptive

details about the meanings and functions of evidential markers, and for
discussion of the other issues mentioned in the last sentence of this chapter.
De Haan (2012) provides a useful overview of the subject, while de Haan
(1999; 2005) discusses the relationship between evidentiality and epistemic
modality.

328
18 Because
18.1 Introduction
In this chapter we explore the meaning of the conjunction because by asking
what contribution it makes to the meaning of a sentence. Because is used to
connect two propositions, so its contribution to the meaning of the sentence will
be found in the semantic relationship between those two propositions.
We begin in §18.2 by comparing reason clauses introduced by because with
time clauses introduced by when. Time clauses function as adverbial modifiers,
but we will argue that because has a different function: it combines two proposi-
tions into a new proposition which asserts that a causal relationship exists. An
important piece of evidence for this analysis comes from certain scope ambigui-
ties which arise in because clauses but not in time clauses.
Conjunctions are often polysemous,1 and various authors have noted that be-
cause can be used in more than one way. We examine the various uses of because
in §18.3, but we will argue that because is not polysemous. Rather, it has just
one sense which can be used in different domains, or dimensions, of meaning:
truth-conditional vs. use-conditional. The term pragmatic ambiguity has been
proposed to describe such cases, and this term seems appropriate based on the
evidence presented below.
In §18.4 we will see that the various uses of because correlate with different syn-
tactic structures. We will propose diagnostic tests for distinguishing co-ordinate
from subordinate because clauses. We argue that all of the semantic functions of
because are possible in the co-ordinate structure, but only one function is possi-
ble in the subordinate structure. In §18.5 we show that a similar situation holds in
German, where the difference between co-ordinate and subordinate structures
is clearly marked.

1 Aikhenvald (2009).
18 Because

18.2 Because as a two-place operator

Adverbial clauses occur in complex sentences, in which two (or more) proposi-
tions are combined to produce a single complex proposition. However, not all
adverbial clauses have the same semantic properties. The examples in (1–2) illus-
trate some of the differences between time clauses and reason clauses:

(1) a. Prince Harry wore his medals when he visited the Pope.
b. Prince Harry didn’t wear his medals when he visited the Pope.
c. Did Prince Harry wear his medals when he visited the Pope?

(2) a. Arthur married Susan because she is rich.

b. Arthur didn’t marry Susan because she is rich.
c. Did Arthur marry Susan because she is rich?

All three sentences in (1) imply that Harry visited the Pope. As we noted in
Chapter 3, time clauses trigger a presupposition that the proposition they con-
tain is true. Reason clauses do not trigger this kind of presupposition. While
sentence (2a) implies that Susan is rich, sentences (2b–c) do not carry this in-
ference. Sentence (2b) could be spoken appropriately by a person who does not
believe that Susan is rich, and sentence (2c) could be spoken appropriately by a
person who does not know whether Susan is rich.
So q because p does not presuppose that p is true; but it entails that both p and
q are true. This entailment is demonstrated in (3).

(3) a. George VI became King of England because Edward VIII abdicated;

#but George did not become king.
b. George VI became King of England because Edward VIII abdicated;
#but Edward did not abdicate.

A second difference between time clauses and reason clauses involves the ef-
fect of negation. The negative statement in (2b) is ambiguous. It can either mean
‘Arthur didn’t marry Susan, and his reason for not marrying her was because
she is rich;’ or ‘Arthur did marry Susan, but his reason for marrying her was not
because she is rich.’ No such ambiguity arises in sentence (1b).
The time clause in (1a) functions as a modifier; it makes the proposition ex-
pressed in the main clause more specific or precise, by restricting its time refer-
ence. Because clauses seem to have a different kind of semantic function. John-
ston (1994) argues that because is best analyzed as an operator CAUSE, which

330
 18.2 Because as a two-place operator

combines two propositions into a single proposition by asserting a causal rela-

tionship between the two.2 We might define this operator as shown in (4):

(4) CAUSE(p,q) is true iff p is true, q is true, and p being true causes q to be
true.

For example, if p and q are descriptions of events in the past, CAUSE(p,q) would
mean that p happening caused q to happen. A truth table for CAUSE would look
very much like the truth table for and; but there is a crucial additional element
of meaning that would not show up in the truth table, namely the causal rela-
tionship between the two propositions.3
This analysis provides an immediate explanation for the ambiguity of sentence
(2b) in terms of the scope of negation:

(5) Arthur didn’t marry Susan because she is rich.

a. ¬CAUSE(RICH(s), MARRY(a,s))
b. CAUSE(RICH(s), ¬MARRY(a,s))

If this approach is on the right track, we would expect to find other kinds of
scope ambiguities involving because clauses as well. This prediction turns out
to be correct: in sentences of the form p because q, if the first clause contains a
scope-bearing expression such as a quantifier, modal, or propositional attitude
verb, that expression may be interpreted as taking scope either over the entire
sentence or just over its immediate clause. Some examples are provided in (6–7).

(6) Few people admired Churchill because he joined the Amalgamated Union of
Building Trade Workers.
a. CAUSE(JOIN(c,aubtw), [few x: person(x)] ADMIRE(x,c))
b. [few x: person(x)] CAUSE(JOIN(c,aubtw), ADMIRE(x,c))

(7) I believed that you love me because I am gullible.

a. BELIEVE(s, CAUSE(GULLIBLE(s), LOVE(h,s))
b. CAUSE(GULLIBLE(s), BELIEVE(s, LOVE(h,s)))
[s = speaker; h = hearer]
2 This operator is probably different from the causal operator involved in morphological
causatives, which is often thought of as a relation between an individual and an event/situation.
3 The definition of causality is a long-standing problem in philosophy, which we will not address
here. One way to think about it makes use of a counter-factual (see Chapter 19): CAUSE(p,q)
means that if p had not happened, q would not have happened either.

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18 Because

One reading for sentence (6), which is clearly false in our world, is that only
a few people admired Churchill, and the reason for this was that he joined the
AUBTW. The other reading for sentence (6), very likely true in our world, is that
only a few people’s admiration of Churchill was motivated by his joining of the
AUBTW; but many others may have admired him for other reasons. (The reader
should work out the two readings for sentence (7).)

18.3 Use-conditional because

Now let us consider the apparent polysemy of because. Sweetser (1990: 76–78)
suggests that because (and a number of other conjunctions) can be used in three
different ways:

Conjunction may be interpreted as applying in one of (at least) three do-

mains [where] the choice of a “correct” interpretation depends not on form,
but on a pragmatically motivated choice between viewing the conjoined
clauses as representing content units, logical entities, or speech acts. [p. 78]

(8) a. John came back because he loved her. [content domain]

b. John loved her, because he came back. [epistemic domain]
c. What are you doing tonight, because there’s a good movie on.
[speech act domain]

The content domain has to do with “real-world causality”; in (8a), John’s love
causes him to return. The epistemic domain (8b) has to do with the speaker’s
grounds for making the assertion expressed in the main clause: the content of the
because clause (he came back) provides evidence for believing the assertion (John
loved her) to be true. Sweetser explains the speech act domain (8c) as follows:

[T]he because clause gives the cause of the speech act embodied by the main
clause. The reading is something like ‘I ask what you are doing tonight
because I want to suggest that we go see this good movie.’ [1990: 77]

Sweetser denies that the three uses above involve different senses of because.
Rather, she argues that because has a single sense which can operate on three
different levels, or domains, of meaning. She describes this situation, taking a
term from Horn (1985), as a case of pragmatic ambiguity; in other words, an
ambiguity of usage rather than an ambiguity of sense.

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 18.3 Use-conditional because

This seems like a very plausible suggestion; but any such proposal needs to
account for the fact that the various uses of because are distinguished by a num-
ber of real differences, both semantic and structural. The most obvious of these
is the presence of pause, or “comma intonation”, between the two clauses. The
pause is optional with content domain uses of because, as in (9a), but obligatory
with other uses. If the pause is omitted in (9b–c), the sentences can only be in-
terpreted as expressing real-world causality, even though this interpretation is
somewhat bizarre. (With the pause, (9b) illustrates an epistemic use while (9c)
illustrates a speech act use.)
(9) a. Mary scolded her husband (,) because he forgot their anniversary.
b. Arnold must have sold his Jaguar #(,) because I saw him driving a
1995 minivan.
c. Are you hungry #(,) because there is some pizza in the fridge?
Several of the tests that we used in previous chapters to distinguish truth-
conditional propositional content from use-conditional meaning also distinguish
the content domain use from the other uses of because: questionability, capacity
for being negated, and capacity for being embedded within conditional clauses.
Let us look first at the interpretation of yes-no questions. When content domain
uses of because occur as part of a yes-no question, the causal relationship itself is
part of what is being questioned, as in (10a). With other uses, however, the causal
relationship is not questioned; the scope of the interrogative force is restricted to
the main clause, as in (10b, epistemic) and (10c, speech act). If we try to interpret
(10b–c) as questioning the causal relationship (the reading which is required if
we omit the pause), we get rather bizarre content domain interpretations.
(10) a. Did Mary scold her husband because he forgot their anniversary?
b. Did Arnold sell his Jaguar, because I just saw him driving a 1995
minivan?
c. Are you going out tonight, because I would like to come and visit
you?
We find a similar difference regarding the scope of negation. As noted in §18.2,
when a sentence containing a because clause is negated, the negation can be inter-
preted as taking scope over the whole sentence including the causal relationship.
But this is only possible with content domain uses of because, like (11a). With
epistemic (11b) or speech act (11c) uses, negation only takes scope over the main
clause. Once again, attempting to interpret negation with widest scope in (11b–c)
results in bizarre readings involving real-world causality.

333
18 Because

(11) a. Arthur didn’t marry Susan because she is rich.

b. You couldn’t have failed phonetics, because you graduated.
c. Mary is not home, because I assume that you really came to see her.

Similarly, content domain uses of because can be embedded within conditional

clauses, as seen in (12a); but this is impossible with epistemic (12b) or speech act
(12c) uses:

(12) a. If Mary scolded her husband because he forgot their anniversary,

they will be back on speaking terms in a few days.
b. ⁇ If Arnold sold his Jaguar because I just saw him driving a 1995
minivan, he is likely to regret it.
c. ⁇ If you are hungry because there is some pizza in the fridge, please
help yourself.

Looking back at the differences we have listed so far, we see that in each case
the content domain use of because behaves differently from the other two uses,
while the epistemic and speech act uses always seem to behave in the same way.
In other words, the evidence we have considered up to this point provides solid
grounds for distinguishing two uses of because, but not for distinguishing the
epistemic and speech act uses.
The evidence we have considered thus far suggests that content domain uses
of because contribute to truth-conditional propositional content, while epistemic
and speech act uses of because contribute use-conditional meaning. In light of
this evidence, we will adopt Sweetser’s suggestion that because has a single sense,
treating the different uses as a case of pragmatic ambiguity. However, we will
posit just two (rather than three) relevant domains (or dimensions) of meaning:
truth-conditional vs. use-conditional.4
In use-conditional functions of because, the conjunction expresses a causal
relationship between the proposition expressed by the because clause and the
speech act expressed in the main clause, as illustrated in (13b–c).

(13) a. John came back because he loved her. [truth-conditional]

CAUSE(LOVE(j,m), COME_BACK(j))
b. John loved her, because he came back. [use-conditional]
CAUSE(COME_BACK(j), I assert that LOVE(j,m))
4 A number of other authors have made a similar two-way distinction for because clauses, with
use-conditional because clauses treated as a type of speech act adverbial; see for example Schef-
fler (2008; 2013) and Thompson et al. (2007).

334
 18.4 Structural issues: co-ordination vs. subordination

c. What are you doing tonight, because there’s a good movie on.
[use-conditional]
CAUSE(there’s a good movie on, I ask you what you are doing
tonight)

The nature of the causal relationship in use-conditional functions is often

closely related to the felicity conditions for the particular speech act involved.
One of the felicity conditions for making an assertion is that the speaker should
have adequate grounds for believing that the assertion is true. Sweetser’s epis-
temic because clauses, like the one in (13b), provide evidence which forms all or
part of the grounds for the assertion expressed in the main clause.
Sweetser’s speech act because clauses often explain the speaker’s reason for
performing the speech act or why it is felicitous in that specific context. The
because clause in (13c) explains why the speaker is asking the question, and so
provides guidance for the hearer as to what kind of answer will be relevant to
the speaker’s purpose.
Two clauses which are joined by use-conditional because behave in some ways
like separate speech acts. As illustrated in examples (8c), (9c), and (10b–c) above,
a main clause that is followed by a use-conditional because clause can contain a
question, even when the because clause itself is an assertion. It is also possible
for the main clause to contain a command in this context, as illustrated in (14).5

(14) a. Give me the tickets, because I know that you will forget them
somewhere.
b. Take my sandwich, because I know that you have not eaten anything
today.

Such examples show that a use-conditional because clause and its main clause
can have separate illocutionary forces, and so can constitute distinct speech acts.

18.4 Structural issues: co-ordination vs. subordination

An additional difference between truth-conditional vs. use-conditional because
clauses is that only the truth-conditional type can be fronted, as illustrated in
(15). Sentences (15b–c) would most naturally be interpreted as use-conditional
examples if the because clause followed the main clause. But when the because

5 The fact that the because clauses in these examples start with I know that … blocks any potential
interpretion as “content domain” because clauses.

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18 Because

clause is fronted they can only be interpreted as expressing real-world causality,

even though this interpretation is somewhat bizarre.

(15) a. Because it’s raining, we can’t go to the beach.

[truth-conditional]
b. ⁇ Because I saw Arnold driving a 1995 minivan, he sold his Jaguar.
[*use-conditional]
c. ⁇ Because I assume that you came to see her, Mary hasn’t come
home yet. [*use-conditional]

Haspelmath (1995) points out that subordinate clauses can often be fronted, but
this is typically impossible for co-ordinate clauses. The examples in (16–18) show
that a variety of subordinate clauses in English can be fronted. The examples in
(19–20) show that this same pattern of fronting is not possible with co-ordinate
clauses (though of course it would be possible to reverse the order of the clauses
leaving the conjunction in place between them). In light of this observation, the
fact that use-conditional because clauses cannot be fronted suggests that they
may actually be co-ordinate clauses rather than subordinate clauses.

(16) a. George will give you a ride when you are ready.
b. When you are ready, George will give you a ride.

(17) a. Paul will sing you a song if you ask him nicely.
b. If you ask him nicely, Paul will sing you a song.

(18) a. Ringo draped towels over his snare drum in order to deaden the
sound.
b. In order to deaden the sound, Ringo draped towels over his snare
drum.

(19) a. George played the sitar and John sang a solo.

b. * And John sang a solo, George played the sitar.

(20) a. Paul asked for tea but the waiter brought coffee.
b. * But the waiter brought coffee, Paul asked for tea.

As we noted above, a pause (comma intonation) is optional before truth-condi-

tional because clauses but obligatory before use-conditional because clauses. (We
focus here on the situation where the because clause follows the main clause,

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 18.4 Structural issues: co-ordination vs. subordination

since pause is always obligatory when the because clause is fronted.) We can
explain this observation if we assume that a pause in this context is an indicator
of co-ordinate structure, and that use-conditional functions of because are only
possible in co-ordinate structures. Truth-conditional interpretations of because
are possible in either co-ordinate or subordinate structures, i.e., with or without a
pause. Only the truth-conditional interpretation is possible in subordinate struc-
tures (where there is no pause), even when this interpretation is pragmatically
unlikely or bizarre (see 9b-c).
Additional support for the hypothesis that a pause is a marker of co-ordination
comes from the fact that the scope ambiguities discussed in §18.2 disappear when
a pause is inserted between the two clauses. The examples in (21) are not ambigu-
ous, whereas the corresponding examples with no pause are (see 2b, 6, and 7). It
is not surprising that an operator in a matrix clause can take scope over a sub-
ordinate clause; it would be much less common for an operator in one half of a
co-ordinate structure to take scope over the other half.

(21) a. Arthur didn’t marry Susan, because she is rich.

b. Few people admired Churchill, because he joined the trade union.
c. I believed that you love me, because I am gullible.

Interrogative force exhibits similar scope effects: example (22) shows that
when a pause is present, the causal relationship cannot be part of what is being
questioned. And example (23) shows that a co-ordinate because clause cannot be
embedded within a conditional clause.6

(22) Did Mary scold her husband, because he forgot their anniversary? (can
only be understood as reason for asking, not as reason for scolding)

(23) #If Mary scolded her husband, because he forgot their anniversary, they
will be back on speaking terms in a few days.

In the previous section we used negation, questioning, and embedding within

if clauses to argue that Sweetser’s “epistemic” and “speech act” because clauses
contribute use-conditional rather than truth-conditional meaning. But if those
uses of because are only possible in co-ordinate structures, one might wonder
whether perhaps the different behavior of negation, questioning and embedding
is due to purely structural factors, and is therefore not semantically relevant?
6 Thebecause clause set off by pauses in (23) cannot be interpreted as part of the conditional
clause. It could only be interpreted as a parenthetical comment, which in this context produces
a very incoherent sentence meaning.

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18 Because

However, there is at least one test that can be applied to co-ordinate structures,
and this test confirms the semantic distinction we argued for in the previous
section. This is the challengeability test: the truth of a statement can typically
only be challenged on the basis of truth-conditional propositional content. As
the following examples show, the truth of a statement which contains a content
because clause can be appropriately challenged based on the causal relationship
itself, even when the co-ordinate structure is used as in (24). With epistemic and
speech act because clauses, however, the truth of the statement can be challenged
based on the content of the main clause, but not based on the causal relationship
or the content of the because clause (25–26).
(24) A: Mary is leaving her husband, because he refuses to look for a job.
B: That is not true; Mary is leaving her husband because he drinks too
much.
(25) A: Mary is at home, because her car is in the driveway.
B1: That is not true. She is not home; she went out on her bicycle.
B2: #That is not true; you know that Mary is home because you just
talked with her.
(26) A: There is some pizza in the fridge, because you must be starving.
B1: That is not true; we ate the pizza last night.
B2: #That is not true; you told me about the pizza because want to get rid
of it.
To summarize, we have proposed that adverbial clauses introduced by because
can occur in two different structural configurations, co-ordinate or subordinate.
Co-ordinate because clauses must be separated from the main clause by a pause
(comma intonation), but this pause is not allowed before subordinate because
clauses (when they follow the main clause). The co-ordinate structure allows
either truth-conditional or use-conditional interpretations of because, but only
the truth-conditional use is possible in the subordinate structure. Subordinate
because clauses can occur within the scope of clausal negation and interrogative
force, and can be embedded within conditional clauses; but none of these things
is possible with co-ordinate because clauses.

18.5 Two words for ‘because’ in German

The situation in German is very similar, but the distinction between co-ordinate
and subordinate structures is much easier to recognize in German than in En-

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 18.5 Two words for ‘because’ in German

glish.7 German has two different words which are translated as ‘because’. Both
of these words can be used to describe real-world causality, as illustrated in (27–
28). In each case, the a and b sentences have the same English translation.

(27) a. Ich habe den Bus verpasst, weil ich spät dran war.
1sg aux the.acc bus missed because 1sg late there was
‘I missed the bus because I got there late.’
b. Ich habe den Bus verpasst, denn ich war spät dran. (same meaning)8

(28) a. Die Straße ist ganz naß, weil es geregnet hat.

the.nom street is all wet because it rained aux
‘The street is wet because it rained.’
b. Die Straße ist ganz naß, denn es hat geregnet. (same meaning)9

However, in other contexts the two words are not interchangeable. Only denn
can be used to translate use-conditional functions of because. This includes both
Sweetser’s “epistemic” use, as in (29), and her “speech act” use, as in (30). Weil
cannot be used in such sentences.

(29) a. Es hat geregnet, denn die Straße ist ganz naß.

it has rained because the.nom street is all wet
‘It was raining, because the street is wet.’
b. *Es hat geregnet, weil die Straße ganz naß ist.

(30) a. Ist vom Mittag noch etwas übrig? Denn ich habe schon
is from midday still anything left.over because 1sg have already
wieder Hunger.
again hunger
‘Is there anything left over from lunch? Because I’m already hungry
again.’
b. ⁇ Ist vom Mittag noch etwas übrig? Weil ich schon wieder Hunger
habe.

There are structural differences between the two conjunctions as well: weil is
a subordinating conjunction, whereas denn is a co-ordinating conjunction. The
difference between subordination and co-ordination in German is clearly visible
7 The material in this section is based almost entirely on the work of Tatjana Scheffler (2005;
2008), and all examples that are not otherwise attributed come from these works.
8 http://answers.yahoo.com
9 Scheffler (2008: §3.1)

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18 Because

due to differences in word order. In German main clauses, the auxiliary verb
(or tensed main verb if there is no auxiliary) occupies the second position in the
clause, as illustrated in (31a). In subordinate clauses, however, the auxiliary or
tensed main verb occupies the final position in the clause, as illustrated in (31b).10

(31) a. Ich habe zwei Hunde gekauft.

1sg.nom have two dogs bought.ptcp
‘I have bought two dogs.’
b. Sie sagt, daß er dieses Buch gelesen hätte.
3sg.f.nom says that 3sg.m.nom this.acc book read have.sbjv
‘She says that he has read this book.’

Looking back at examples (27–28), we can see that the tensed verbs war ‘was’
and hat ‘has’ occur in second position following denn but in final position fol-
lowing weil. This contrast provides a clear indication that weil clauses are sub-
ordinate while denn clauses are co-ordinate. Further evidence that weil clauses
are subordinate while denn clauses are co-ordinate comes from their syntactic
behavior. First, weil clauses can be fronted but denn clauses cannot, as shown
in (32). Second, weil clauses can stand alone as the answer to a why-question
like that in (33), whereas denn clauses cannot. This is one of the classic tests for
syntactic constituency. The contrast in (33) suggests that weil combines with the
clause that it introduces to form a complete syntactic constituent, whereas denn
does not. This is what we would expect if weil is a subordinating conjunction
and denn is a co-ordinating conjunction.11

(32) a. Weil es geregnet hat, ist die Straße naß.

‘Because it rained, the street is wet.’
b. *Denn es hat geregnet, ist die Straße naß.

(33) a. Warum ist die Katze gesprungen?

why aux the.nom cat jumped
— Weil sie eine Maus sah.
— because she a mouse saw
‘Why did the cat jump? — Because it saw a mouse.’
b. —*Denn sie sah eine Maus.

10 This is true for subordinate clauses which are introduced by a conjunction or complementizer.
Where there is no conjunction or complementizer at the beginning of the subordinate clause,
the auxiliary or tensed main verb occupies the second position.
11 Notice that the tensed verb sah ‘saw’ occupies the final position in (33a).

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 18.5 Two words for ‘because’ in German

In our earlier discussion we demonstrated that subordinate because clauses

in English can be negated, questioned, or embedded within conditional clauses;
whereas none of these things is possible with co-ordinate because clauses. Inter-
estingly, a very similar pattern emerges in German. As illustrated in (34), weil
clauses can be interpreted within the scope of main clause negation, whereas
denn clauses cannot.
(34) a. Paul ist nicht zu spät gekommen, weil er den Bus verpaßt
Paul aux neg too late come because he the.acc bus missed
hat. [Sondern er hatte noch zu tun.]
aux rather he had still to do
‘Paul wasn’t late because he missed the bus. [But rather, because he
still had work to do.]’
b. #Paul ist nicht zu spät gekommen, denn er hat den Bus verpaßt.
[Sondern er hatte noch zu tun.]
Similarly, weil clauses in questions can be interpreted as part of what is being
questioned, that is, within the scope of the interrogative force (35a). Denn clauses
cannot be interpreted in this way, as shown in (35b).
(35) a. Wer kam zu spät, weil er den Bus verpaßt hat?
who came too late because he the bus missed has
‘Who was late because he missed the bus?’
b. ⁇ Wer kam zu spät, denn er hat den Bus verpaßt?
Denn clauses cannot be embedded within a subordinate clause, whereas this is
possible with weil clauses. Example (36) illustrates this contrast in a complement
clause, and (37) in a conditional clause.
(36) a. Ich glaube nicht, daß Peter nach Hause geht, weil er
1sg believe neg comp Peter to home goes because he
Kopfschmerzen hat.
headache has
‘I don’t believe that Peter is going home because he has a headache.’
b. #Ich glaube nicht, daß Peter nach Hause geht, denn er hat
Kopfschmerzen.
(37) a. Wenn Peter zu spät kam, weil er den Bus verpaßt hat, war es seine
eigene Schuld.
‘If Peter was late because he missed the bus, it was his own fault.’

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18 Because

b. #Wenn Peter zu spät kam, denn er hat den Bus verpaßt, war es seine
eigene Schuld.
Scheffler (2008) points out that denn clauses are normally unacceptable if the
content of the because-clause is evident or has been previously mentioned. This
explains why only weil is possible in the mini-conversation in (38). This interest-
ing observation suggests that denn clauses, because of their coordinate structure,
count as independent assertions. As we noted in Chapter 3, in our discussion of
entailments, asserting a fact which is already part of the common ground typi-
cally creates an unnatural redundancy.
(38) a. Es hat heute sehr geregnet.
it has today very rained
Ja, die ganze Straße steht unter Wasser, weil es geregnet hat.
yes the whole street stands under water because it rained has
‘It rained a lot today.’
‘Yes, the whole street is submerged under water because it rained.’

b. Es hat heute sehr geregnet.

#Ja, die ganze Straße steht unter Wasser, denn es hat geregnet.
A number of other languages also have two words for ‘because’, including
Modern Greek, Dutch, and French.12

18.6 Conclusion
We have identified two basic uses of because in English: truth-conditional vs.
use-conditional. These two uses can be distinguished using familiar tests for
truth-conditional propositional content. First, truth-conditional because clauses
can be part of what is negated or questioned when the sentence as a whole is
negated or questioned, but this is not the case with use-conditional because. Sec-
ond, truth-conditional because clauses can be embedded within if clauses, but
use-conditional because clauses cannot. Third, the truth of a statement can be
appropriately challenged based on the causal relationship expressed in a truth-
conditional because clause, but not on that expressed in a use-conditional because
clause.
We have also identified two different structural configurations in which be-
cause may occur: co-ordinate vs. subordinate. Diagnostics for distinguishing
12 Pit (2003); Kitis (2006).

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 18.6 Conclusion

these two structures include the following: (i) Subordinate because clauses can be
fronted, but co-ordinate because clauses cannot. (ii) Co-ordinate because clauses
must be separated from the main clause by a pause (comma intonation), but this
pause is not allowed before subordinate because clauses. (iii) Scope ambiguities
involving negation, quantifiers, modals, or propositional attitude verbs are pos-
sible with subordinate because clauses, but not with co-ordinate because clauses.
We proposed the following structural constraint on the interpretation of be-
cause: the truth-conditional use of because may occur in either a subordinate
or a co-ordinate clause, but the use-conditional interpretation is possible only
in the co-ordinate structure. This same constraint holds in German as well, but
in German the two structures are introduced by different conjunctions: weil for
subordinate reason clauses, and denn for co-ordinate reason clauses.

Further reading

Sæbø (1991) and (2011: §3.3) provide a good overview of the semantics of
causal connectives like because, and a comparison with other types of ad-
verbial connectives. D. Lewis (1973a) and (2000) lay out two different ver-
sions of his counterfactual analysis of causation. Scheffler (2013: ch. 4)
provides a detailed discussion of the syntax and semantics of the two Ger-
man conjunctions meaning ‘because’.

Discussion exercises
A: Explain the scopal ambiguity of the following sentences, and state
the two readings in logical notation:

1. Arthur didn’t marry Susan because she is rich.

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18 Because

Model answer

a. ¬CAUSE(RICH(s), MARRY(a,s))
b. CAUSE(RICH(s), ¬MARRY(a,s))

2. Mrs. Thatcher will not win because she is a woman.

(spoken in 1979)

3. Tourists rarely visit Delhi because the food is so spicy.

4. I doubt that Peter is happy because he was fired.

B: Show how you could use some of the tests discussed in this chapter
to determine whether the because clauses in the following examples
contribute truth-conditional or use-conditional meaning:

1. Arthur works for the State Department, because he has a STATE.GOV

e-mail address.

2. Oil prices are rising, because OPEC has agreed to cut production.

Homework exercises
In §18.2 we proposed the following analysis for the scopal ambiguity of
sentence (2b): Arthur didn’t marry Susan because she is rich.

i. ¬CAUSE(RICH(s), MARRY(a,s))

ii. CAUSE(RICH(s), ¬MARRY(a,s))

Provide a similar analysis showing the two possible readings for each
of the following sentences. If you wish, you may write out the clauses in

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 18.6 Conclusion

prose rather than using formal logic notation, e.g.: ¬CAUSE(Susan is rich,
Arthur marry Susan).

1. Steve Jobs didn’t start Apple because he loved technology.a

2. Arnold must have sold his Jaguar because I saw him driving a mini-
van.

3. Few Texans voted for Romney because he is a Mormon.

4. Susan believes that A.G. Bell was rich because he invented the tele-
phone.

a https://www.fastcompany.com/3001441/do-steve-jobs-did-dont-follow-your-passion

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19 Conditionals
Exactly what conditionals mean and how they come to mean what
they mean is one of the oldest problems in natural language seman-
tics. According to Sextus Empiricus, the Alexandrian poet Callimachus
reported that the Greek philosophers’ debate about the semantics of the
little word if had gotten out of hand: ‘Even the crows on the roof-tops
are cawing about which conditionals are true’. (von Fintel 2011).

19.1 Conditionals and modals

A conditional sentence is a bi-clausal structure of the form if p (then) q. The
conjunction if seems to indicate that a certain kind of relationship holds between
the meanings of the two clauses. However, as the passage quoted above demon-
strates, the exact nature of this relationship has been a topic of controversy for
thousands of years.
An intuitive description of the construction, suggested by the term condi-
tional, is that the if clause describes some condition under which the then
clause is claimed to be true. For example, the conditional sentence in (1) claims
that the proposition you are my second cousin is true under a certain condition,
namely that Atatürk was your great-grandfather.

(1) If Atatürk was your great-grandfather, then you are my second cousin.

Much recent work on the meaning of conditional constructions builds on the

similarities between conditionals and modals. The analysis of modality that we
sketched in Chapter 16 treats modal operators as quantifiers over possible worlds:
modals of necessity are universal quantifiers, while modals of possibility are exis-
tential quantifiers. The difference between epistemic vs. deontic or other types of
modality is the result of restricting this quantification to specific kinds of worlds.
For example, we analyzed epistemic must as meaning something like, “In all
worlds which are consistent with what I know about the actual world, and in
which the normal course of events is followed…”
Conditionals can also be analyzed in terms of possible worlds. One way of
evaluating the truth of a conditional statement like (1) is to adopt the following
19 Conditionals

procedure:1 Add the content of the if clause to what is currently known about
the actual world. Under those circumstances, would the then clause be true? We
might suggest the following paraphrase for sentence (1): “In all possible worlds
which are consistent with what I know about the actual world, and in which
the normal course of events is followed, and in which Atatürk was your great-
grandfather, you are my second cousin.”
An adequate analysis needs to provide not only a reasonable paraphrase but
also an explanation for how this meaning is derived compositionally, addressing
questions like the following: What do the individual meanings of the two clauses
contribute to the meaning of the sentence as a whole? What does if mean? These
questions lead to some very complex issues, to which this chapter can provide
only a brief introduction.
It will be easier to talk about conditional sentences if we introduce some stan-
dard terminology for referring to the parts of such sentences. We refer to the if
clause as the antecedent (also known as the protasis); and to the then clause as
the conseqent (or apodosis). The names antecedent and consequent reflect the
most basic ordering of these clauses (if p, q), not only in English but (apparently)
in all languages.2 But in many languages the opposite order (q if p) is possible as
well. Regardless of which comes first in any particular sentence, the antecedent
names the condition under which the consequent is claimed to be true.
One factor that makes the analysis of conditional sentences so challenging is
that the conditional structure can be used for a variety of different functions, not
only in English but in many other languages as well. We introduce the most
common of these in §19.2. In §19.3 we focus on “standard” conditionals, i.e. those
in which neither the antecedent nor the consequent is asserted or presupposed
to be true. In many languages these conditionals may be marked by tense, mood,
or other grammatical indicators to show the speaker’s degree of confidence as to
how likely the antecedent is to be true.
In §19.4 we will return to the question raised in Chapter 9 as to whether the
meaning of English if can be adequately represented or defined in terms of the
material implication operator (→) of propositional logic. We will see that, for a
number of reasons, this does not seem to be possible. (Of course, that does not
mean that the material implication operator is useless for doing natural language
semantics; it is an indispensible part of the logical metalanguage. It just means
that material implication does not provide a simple translation equivalent for
English if.)
1 This is a version of the “Ramsey Test” from Stalnaker (1968).
2 Greenberg (1963: 84–85); Comrie (1986: 83).

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 19.2 Four uses of if

We go on in §19.5 to discuss one very influential approach to defining the mean-

ing of if, which takes it to be a marker of restriction for modals or other types of
quantifiers. §19.6 discusses some of the special challenges posed by counterfac-
tual conditionals, in which the antecedent is presupposed to be false. Finally, in
§19.7 we argue for a distinction between truth-conditional vs. speech act condi-
tionals, and provide some evidence for the claim that speech act conditionals are
not part of the propositional content that is being asserted, questioned, etc.

19.2 Four uses of if

In this section we introduce the most commonly discussed functions of the con-
ditional construction. As noted above, the standard conditional, illustrated in
(2), does not commit the speaker to believing either the antecedent or the con-
sequent to be true, but does seem to commit the speaker to believing that some
type of relation exists (often a causal relationship) between the two propositions.
Most authors take this to be the most basic usage of if.

(2) standard conditionals

a. If it does not rain, we will eat outside.
b. If the TV Guide is correct, there is a good documentary on PBS
tonight.
c. There are biscuits on the sideboard if Bill has not moved them.
d. If you take another step, I’ll knock you down.
e. If Mary’s husband forgets their anniversary (again!), she will never
forgive him.
f. If you see George, you should invite him to the party.

The sentences in (3) are examples of relevance conditionals, also known as

“biscuit conditionals” because of the famous example listed here as (3a). When
the consequent is a statement, as in (3a–d), the relevance conditional seems to
commit the speaker to believing the consequent to be true, regardless of whether
the antecedent is true or not.3

(3) relevance conditionals (a.k.a. “biscuit conditionals”):

a. There are biscuits on the sideboard if you want them. (Austin 1956)

3 This claim has been challenged by some authors.

349
19 Conditionals

b. PBS will broadcast Die Walküre tonight, if you like Wagner.4

c. If I may say so, you do not look well.
d. He’s not the sharpest knife in the drawer, if you know what I mean.
e. If you went to the office party, how did Susan look?

The replies in (4–5) illustrate factual conditionals.5 Factual conditionals

carry the presupposition that someone other than the speaker (often the ad-
dressee) believes or has said that the proposition expressed by the antecedent
is true.

(4) A. This book that I was assigned to read is really stupid.

B. I haven’t read it, but if it is that stupid you shouldn’t bother with it.

(5) A. My boyfriend Joe is really smart.

B. Oh yeah? If he’s so smart why isn’t he rich?

The final type that we will mention is the concessive conditional, illustrated
in (6). (Small caps are used here to indicate intonation peak.) A speaker who uses
a concessive conditional asserts that the consequent is true no matter what, re-
gardless of whether the antecedent is true or false. This is made explicit when, as
is often the case, the antecedent is preceded by even if. Notice that the most basic
order for concessive conditionals seems to be the opposite of that for standard
conditionals, i.e., the consequent comes first. In order for the antecedent to be
stated first, it must be marked by even, focal stress, or some other special marker.

(6) Concessive Conditionals

a. I wouldn’t marry you if you were the last man on earth.
b. (Even) if the bridge were standing I wouldn’t cross. (Bennett 1982)
c. I’m going to finish this project (even) if it kills me.

We need to distinguish concessive conditional clauses from concessive adver-

bial clauses,6 which can be marked with various conjunctions including if. Some
examples of concessive adverbial clauses are presented in (7), and examples of
concessive adverbial clauses with if in (8).7 This kind of concessive construction
4 Bennett (2003).
5 These examples are adapted from Bhatt & Pancheva (2006: 671).
6 Thompson et al. (2007).
7 The examples in (8) come from LanguageLog: http://itre.cis.upenn.edu/~myl/languagelog/
archives/000408.html

350
 19.2 Four uses of if

commits the speaker to believing that both the antecedent and the consequent
are true.

(7) a. Even though the bridge is still standing, I won’t cross it.
b. Although she loves him, she does not plan to marry him.
c. While no one has seen Bigfoot, few people here doubt its existence.

(8) a. It’s all perfectly normal — if troublesome to varying degrees.

b. Virtual colon dissection is promising, if flawed.
c. It was fair and balanced if perhaps a little old.
d. Today hashing is a global, if little known, pursuit.
e. If Eskimos have dozens of words for snow, Germans have as many for
bureaucracy. [The Economist, October 11th, 2003, p. 56, col. 2]
f. If Mozart was a life-long admirer of J. C. Bach, his views on Clementi
were disparaging, to put it mildly.
[OED, citing 1969 Listener 24 Apr. 585/1]

The contrast in truth commitments mentioned above is illustrated in (9). The

standard conditional in (9a) does not imply that the speaker believes either the
antecedent or the consequent to be true, so denying the consequent does not lead
to contradiction or anomaly. The concessive conditional in (9b) and the relevance
conditional in (9c) both imply that the speaker believes the consequent to be
true, regardless of the truth of the antecedent; so denying the consequent is a
contradiction, as indicated by the #.

(9) a. I wouldn’t marry Bill if he were a starving linguist; but as things

stand I might end up marrying him (since he is a dentist).
[standard conditional]
b. I wouldn’t marry Bill if he were the last man on earth; #but I
suppose I might end up marrying him. [concessive conditional]
c. If you really want to know, I would never marry Bill; #but I suppose I
might end up marrying him. [relevance conditional]

In the long history of the study of conditionals and their meanings, a variety
of additional functions and gradations have been identified and named (often
with multiple competing names for the same function, as we have already seen
in the case of “relevance” or “biscuit” conditionals). §19.7 below provides some
evidence for making a distinction between truth-conditional vs. speech act uses

351
19 Conditionals

of the conditional form. This is of course the same distinction that we were led
to in the previous chapter in our discussion of causation. We will argue that the
standard conditionals in (2) involve a truth-conditional usage, whereas the rele-
vance conditionals in (3) involve a speech act usage. The factual and concessive
conditionals in (4–6) are harder to classify.

19.3 Degrees of hypotheticality

One widely discussed property of standard conditionals is that they can be used
to express varying degrees of hypotheticality,8 reflecting the speaker’s judgment
as to how likely it is that the antecedent is actually true. In languages where verbs
are inflected for tense and/or mood, verbal morphology is often used to signal
these distinctions. However, other kinds of marking are also found, as illustrated
below; and in some languages this distinction is not grammatically marked at all,
but is determined entirely by contextual clues.
As a number of authors have noted, there is a cross-linguistic tendency for
the antecedent to be interpreted as more hypothetical (less certain) when it is
stated in the past tense than in present tense. However, tense marking also serves
to indicate the actual time frame of the described event. (See Chapter 21 for a
detailed discussion of tense marking.) For this reason, there is generally no one-
to-one correlation between tense and degree of hypotheticality. Some English
examples are presented in (10–12).

(10) a. If Bill is your uncle, then you must know his daughter Margaret.
b. If David was your thesis advisor, then he knows your work pretty
well.
c. If Susan wins the election, she will become the mayor of Des Moines.
d. Results have not yet been announced, but if Susan won the election,
the current mayor will have to find a new job.
e. “It would make it more important if that be the case,” he [Ralph
Nader] said yesterday.9

In the indicative mood, either present or past tense can be used when the
speaker has reason to believe that the antecedent is true, as illustrated in (10a–
b). Such examples are sometimes referred to as reality conditionals.10 These
8 Seefor example Comrie (1986); Thompson et al. (2007).
9 New York Daily News, 5 February 2007; cited in Gomes (2008).
10 Thompson et al. (2007).

352
 19.3 Degrees of hypotheticality

same two verb forms can also be used in hypothetical conditionals, those in
which the speaker simply doesn’t know whether the antecedent is true or not,
as illustrated in (10c–d). In these examples, the tense marking of the verb in the
antecedent functions in the normal way, to indicate the location in time of the
situation described by that clause. The subjunctive mood can be used for hypo-
thetical conditionals as well, as illustrated in (10e). However, it is not always
easy to recognize the subjunctive in English. The past indicative and past sub-
junctive are distinguished in Modern English only for the verb to be, as illustrated
in (11a).11
Counterfactual conditionals, which normally presuppose that the speaker
believes the antecedent to be false, tend to be expressed in the subjunctive as
seen in (11–12). Example (11a) demonstrates the preference for the subjunctive
over the past indicative in counterfactual conditionals, although many speakers
will use or at least accept the past indicative in casual speech.

(11) a. If I were/?was you, I would apply for a different job.

b. If I had been your thesis advisor, you would have been lucky to finish
at all.

(12) “Sir, if you were my husband, I would poison your drink.”

“Madam, if you were my wife, I would drink it.”
(Exchange between Lady Astor and Winston Churchill)

Comrie (1986) argues that the degrees of hypotheticality associated with con-
ditionals are not limited to three discrete categories, but rather form a continuum
from most certain (reality conditionals) to most doubtful (counterfactuals). The
examples in (13) lend some support to this claim, at least for English. All three
of these examples can be interpreted as hypothetical conditionals referring to a
present situation, i.e., the state of the world at the time of speaking; none of them
requires that the speaker know whether the antecedent is true or not. However,
the past indicative in (13b) seems more doubtful than the present indicative in
(13a), and the subjunctive mood in (13c) seems more doubtful than the indica-
tive mood in (13b).12 In the same way, both (14a) and (14b) can be interpreted
as hypothetical conditionals, but (14b) expresses more doubt than (14a). Notice
11 The present subjunctive is identical to the bare infinitive form. It is archaic in conditionals,
though still used occasionally in formal registers as in (10e), but preserved in other uses, in-
cluding optatives (God bless you; long live the King).
12 Without any additional context, the subjunctive conditional in (13c) would most likely be in-
terpreted as a counterfactual; but given the right context, the hypothetical reading is certainly
possible as well.

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19 Conditionals

that in (14b), the tense marking of the antecedent does not reflect the time of the
described situation, but is used to mark a high degree of hypotheticality.

(13) a. If Alice is a spy, she probably carries a gun.

b. If Alice was a spy, she would probably carry a gun.
c. If Alice were a spy, she would probably carry a gun.

(14) a. If Arthur still loves her, he will catch the first train home.
b. If Arthur still loved her, he would catch the first train home.

These examples show that, in English conditional clauses, tense and mood
morphology have partly overlapping functions. Both past tense and subjunctive
mood can serve to make the antecedent seem less likely. Similar patterns are
found in other languages as well.
The use of tense and mood in Portuguese conditionals is illustrated in (15).13
Example (15a) is what we have called a reality conditional, (15b) is a hypothetical
conditional, and (15c) is a counterfactual conditional. Notice that the difference
between the hypothetical and counterfactual conditionals is formally a differ-
ence in tense inflection, rather than mood, on the antecedent verb. Notice too
the “conditional mood” form of the verb in the consequent of (15c). A number of
Romance languages have such forms, which occur in the consequent of counter-
factual conditionals and typically have several other uses as well (e.g. “future in
the past” tense; see Chapter 21).

(15) a. Se ela é italiana, ela é européia.

if she is Italian she is European
‘If/since she is Italian she is European.’ (I know that she is Italian.)
b. Se ela for italiana, ela é européia.
if she be.3sg.fut.sbjv Italian she is European
‘If she be Italian she is European.’ (I do not know whether she is
Italian or not.)
c. Se ela fosse italiana, ela seria européia.
if she be.3sg.ipfv.sbjv Italian she would.be.cond European
‘If she were Italian she would be European.’ (I know that she is not
Italian.)

13 Examples from Gomes (2008).

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 19.3 Degrees of hypotheticality

In Russian counterfactual conditionals, both the antecedent and consequent

appear in the subjunctive-conditional mood (16b), in contrast to the indicative
mood used in hypothetical conditionals (16a):14

(16) a. Esli ja pribudu na vokzal, menja posadjat v tjur’mu.

if I arrive.ind at station me put.ind in prison
‘If I arrive at the station, they will throw me in prison.’
b. Esli by ja pribyl na vokzal, menja by posadili v tjur’mu.
if cond I arrive.cond at station me cond put.cond in prison
‘If I had shown up at the station, they would have thrown me in
prison.’

The contrast between hypothetical vs. counterfactual conditionals can also

be marked in other ways. Irish has two distinct words for ‘if’: dá is used in
counterfactual conditionals (17a), while má is used in hypothetical conditionals
(17b).15 A similar situation is reported in Welsh and some varieties of Arabic.

(17) a. Dá leanfadh sé dá chúrsa, bheadh deireadh leis.

if follow.cond he of.his course be.cond end with.him
‘If he had persisted in his course, he’d have been finished.’
b. Má leanann tú de do chúrsa, beidh aithreachas ort.
if follow.pres you of your course be.fut regret on.you
‘If you persist in your (present) course, you’ll be sorry.’

In Tolkapaya (also known as Western Yavapai), a Yuman language of North

America, counterfactuals are distinguished from other kinds of conditionals by
the suffix –th attaching to the auxiliary of the consequent clause (Hardy & Gor-
don 1980). In other (non-conditional) contexts, this suffix is used to mark “non-
factual” propositions, including “failed attempts, unfulfilled desires, descriptions
of a state that formerly obtained but which no longer does, and situations where
the realization of one event precludes that of another” (Hardy & Gordon 1980:
191).
A very similar case is found in Kimaragang Dusun, spoken in northeastern
Borneo (Kroeger 2017). The frustrative particle dara appears in main clauses
which express failed attempts, unfulfilled desires or intentions, former states

14 These examples are from Chung & Timberlake (1985: 251), who use the term irrealis mood
for what I have called the subjunctive-conditional mood.
15 McCloskey (2001).

355
19 Conditionals

that no longer obtain, and things done in vain. This same particle appears in
the consequent clause of counterfactual conditionals, as seen in (18), distinguish-
ing counterfactuals from other types of conditionals like those in (19). Notice that
non-past tense is used in the consequent of a counterfactual even if the situation
which failed to materialize would have been prior to the time of speaking, as in
(18b).

(18) a. Ong noguring no koniab ino, atanaman

if plowed.potent.pst already yesterday that planted.potent.npst
no do paray benoy dara.
already acc rice today frus
‘If that (field) had been plowed yesterday, it could have been planted
with rice today.’
b. Amu dara agamit i kambing ong konoko
neg frus caught.potent.npst nom goat if not
ginipit sid susut.
trapped.pst loc below
‘The goat could not have been caught if we hadn’t trapped it under
the house.’

(19) a. Ong amu nu ibaray ino siin dino, mangan tekaw posutay.
if neg you pay that money that aux I.you cane
‘If you don’t pay that money I’ll cane you.’
b. Kaanak=i’ dati yalo dilo’ ong sumambat do=duktur.
able.to.bear.child=emph prob 3sg that if meet acc=doctor
‘She could probably have children if she goes to the doctor.’

Some languages do not mark the degree of hypotheticality at all, at least not in
their most common conditional sentence patterns. In these languages, a single
sentence can be ambiguous between the reality, hypothetical, and counterfac-
tual conditional readings; the intended meaning must be determined from con-
text. For example, the Japanese sentence in (20) could be interpreted either as a
hypothetical conditional (expressing the hope of a father whose son is missing
in action), or as a counterfactual conditional (expressing the sorrow of a father
whose son has been killed). Comrie (1986) mentions Mandarin and Indonesian
as examples of other languages where a similar ambiguity is normal.

356
 19.4 English if vs. material implication

(20) Musuko=ga ikite i-tara, ii noni naa!

son=nom alive be-if good though exclam
‘If my son is alive, I’ll be so happy.’
or: ‘If my son were alive, I would be so happy.’16

To sum up, counterfactual conditionals get distinctive marking in many lan-

guages, but not in all languages. Now let us return to the fundamental question
raised in §19.1: what does if mean?

19.4 English if vs. material implication

In Chapter 9 we presented evidence in support of Grice’s analysis of the En-
glish words and and or. Grice suggested that the lexical semantic content of
these words is actually equivalent to their logical counterparts (∧ and ∨), and
that apparent differences in meaning are best understood as conversational im-
plicatures. This approach seems to work fairly well for those two words; could
a similar approach work for English if ? Grice argued that it could, specifically
proposing that the lexical semantic content of English if is equivalent to the
material implication operator (→). However, there are a number of reasons to
believe that this approach will not work for if.
First, if if really means material implication, then the truth table for material
implication predicts that the sentences in (21) should all be true. (Recall that
p→q is only false when p is true and q is false.) However, this does not match
our intuitions about these sentences; most English speakers are very reluctant to
call any of them true.

(21) a. If Socrates was a woman then 1 + 1 = 3.17

b. If the Amazon flows through Paris then triangles have three sides.
c. If the Chinese invented gunpowder then Martin Luther was German.

What makes these sentences seem so odd is that there is no relationship be-
tween the antecedent and consequent. Whatever if means, it seems to require
that some such relationship be present. Grice argued that this inference of re-
lationship between antecedent and consequent is only a conversational impli-
cature. Several other authors have also proposed that the semantic content of
if is simply material implication, and that the apparent differences between the
16 Akatsuka (1985: 627).
17 http://en.wikipedia.org/wiki/Material_conditional

357
19 Conditionals

two are pragmatic rather than semantic in nature. Other authors have tried to
account for the requirement of relationship between antecedent and consequent
by suggesting that if p then q expresses the claim that p→q is true in all possible
worlds, i.e., under any imaginable circumstances.18 But any attempt to derive the
meaning of if from material implication must deal with a number of problems.
As discussed in Chapter 4, the meaning of the material implication operator
is entirely defined by its truth table. We need to know the truth values for both
p and q (but nothing else) before we can determine the truth value for p→q. But
this does not match our judgments about the truth of English conditionals. It
would be entirely possible for a competent native speaker to believe that sentence
(22) is true without knowing whether either of the two clauses alone expresses a
true proposition. What is being asserted in (22) is not a specific combination of
truth values, but a relationship between the meanings of the clauses.19

(22) If this test result is accurate, your son has TB.

This point is further demonstrated by the fact that, in addition to statements,

questions and commands may also appear as the consequent clause of a condi-
tional, as illustrated in (23). This is significant because questions and commands
cannot be assigned a truth value.

(23) a. If you are offered a fellowship, will you accept it?

b. If you want to pass phonetics, memorize the IPA chart!

Finally, as we will argue in more detail below, the antecedent in a speech act
conditional like (24) does not specify conditions under which the consequent is
true, but rather conditions under which the speech act performed by the conse-
quent may be felicitous.20

(24) a. If you have a pen, may I please borrow it?

b. If you want my advice, don’t invite George to the party!
c. If I may say so, you do not look well.
18 C. I. Lewis (1918), cited in von Fintel (2011).
19 The material in this paragraph and the next are based on observations made by Podlesskaya
(2001).
20 In order to account for such examples under the assumption that if is equivalent to the material
implication operator, we could interpret them as conditional speech acts; so (24c) would have
an interpretation something like: “If I am permitted to say so, then I hereby assert that you
do not look well.” But in fact someone who says (24c) seems to be asserting the consequent
unconditionally; it is only the felicity of the assertion that is conditional.

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 19.5 If as a restrictor

Even if we focus only on truth values, the logical properties of → make pre-
dictions which do not seem to hold true for English if. For example, it is easy
to show (from the truth table for →) that ¬(p→q) logically entails p. So if the
semantic value of if is material implication, anyone who believes that (25a) is
false is committed to believing that (25b) is true. However, it does not seem to
be logically inconsistent for a speaker to believe both statements to be false.

(25) a. If I win the National Lottery, I will be happy for the rest of my life.
b. I will win the National Lottery.

Counterfactuals raise a number of special problems for the material implica-

tion analysis. We will mention here just one famous example, shown in (26).21 It
is easy to show that p→q logically implies (p∧r) → q. So if the semantic value of
if is material implication, anyone who believes that (26a) is true should be com-
mitted to believing that (26b) is true. However, it does not seem to be logically
inconsistent for a speaker to believe the first statement to be true while believing
the second to be false.

(26) a. If kangaroos had no tails, they would topple over.

b. If kangaroos had no tails and they used crutches, they would topple
over.

Many other similar examples have been pointed out, and various solutions
have been proposed.22 As we noted in §19.1 above, even if material implication
is not logically equivalent to English if, that does not mean that it is irrelevant
to natural language semantics. It will always be an important part of the logical
metalanguage that semanticists use. But in view of the many significant differ-
ences between material implication and English if, it seems reasonable to look
for some other way of capturing the meaning of if.

19.5 If as a restrictor
A radically different approach to defining the meaning of if was proposed by
Kratzer (1986), based on a suggestion by D. Lewis (1975). As we mentioned in
Chapter 14, Lewis analyzes adverbs like always, sometimes, usually, never, etc. as
“unselective quantifiers”, because they can quantify over various kinds of things.

21 This example comes from D. Lewis (1973b).

22 See Von Fintel (2011) for a good summary; see also Gazdar (1979: 83–87); Bennett (2003: ch2–3).

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19 Conditionals

He points out that conditional clauses can be used to specify the situations, enti-
ties, or units of time which are being quantified over, as illustrated in (27). How-
ever, it is difficult to say exactly what the if means in such examples.

(27) a. If it is sunny, we always/usually/rarely/sometimes/never play soccer.23

always: ∀d [SUNNY(d) → (we play soccer on d)]
sometimes: ∃d [SUNNY(d) ∧ (we play soccer on d)]
usually: ⁇?
b. If a man wins the lottery, he always/usually/rarely/sometimes/never
dies happy.
always: ∀x [(MAN(x) ∧ WIN(x,lottery)) → DIE_HAPPY(x)]
sometimes: ∃x [MAN(x) ∧ WIN(x,lottery) ∧ DIE_HAPPY(x)]
usually: ⁇?

Example (27a) is a standard conditional whose antecedent expresses the propo-

sition SUNNY(d), using d as a variable for days. The adverbs always, sometimes,
etc, specify the quantifier part of the meaning. The word if seems to name the
relation between the antecedent and the consequent; but with always this rela-
tion is expressed by →, with sometimes the relation is expressed by ∧, and with
adverbs like usually and rarely there is no way to express the relation in standard
logical form. A similar problem arises in (27b). What these examples show is that
we cannot identify any consistent contribution of the word if to the meaning of
the sentence in this construction.
Using the restricted quantifier notation allows us to give a uniform analysis
for such sentences, regardless of which adverb is used. As shown in (28), the an-
tecedent of the conditional clause contributes material to the restriction on the
quantifier, and the consequent specifies the material in the scope of the quantifier.
But notice that there is no element of meaning in these expressions correspond-
ing to the word if. Lewis concludes that in this construction, if “has no meaning
apart from the adverb it restricts.”

(28) If a man wins the lottery, he always/usually/rarely/sometimes/never dies

happy.
always: [all x: MAN(x) ∧ WIN(x,lottery)] DIE_HAPPY(x)
sometimes: [some x: MAN(x) ∧ WIN(x,lottery)] DIE_HAPPY(x)
usually: [most x: MAN(x) ∧ WIN(x,lottery)] DIE_HAPPY(x)
rarely: [few x: MAN(x) ∧ WIN(x,lottery)] DIE_HAPPY(x)
never: [no x: MAN(x) ∧ WIN(x,lottery)] DIE_HAPPY(x)
23 D. Lewis (1975).

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 19.5 If as a restrictor

Kratzer (1986) proposed that Lewis’s analysis could be extended to all indica-
tive (i.e., non-counterfactual) standard conditionals. If the conditional sentence
contains a quantifier-like element in the consequent, the word if serves only as
a grammatical marker introducing material that contributes to the restriction on
the quantifier. This is illustrated in (29) for normal quantifier phrases, and in (30)
for epistemic and deontic modality.
(29) a. Every student will succeed if he works hard.
[all x: STUDENT(x) ∧ WORK_HARD(x)] SUCCEED(x)
b. No student will succeed if he goofs off.
[no x: STUDENT(x) ∧ GOOF_OFF(x)] SUCCEED(x)
(30) a. If John did not come to work, he must be sick. [epistemic necessity]
[all w: (w is consistent with what I know about the actual world) ∧
(the normal course of events is followed as closely as possible in w) ∧
(John did not come to work in w)] SICK(j) in w
b. If John did not come to work, he must be fired. [deontic necessity]
[all w: (the relevant circumstances of the actual world are also true in
w) ∧ (the relevant authority’s requirements are satisfied as
completely as possible in w) ∧ (John did not come to work in w)]
FIRED(j) in w
Kratzer suggests that when a conditional sentence does not contain an overt
quantifier-like element, the presence of if leads the hearer to assume a default
quantifier. In some contexts, this default element would be epistemic necessity,
as in (31a). In other contexts, the default element could be generic frequency, as
in (31b).24
(31) a. If John left at noon, he’s home by now. [implied: epistemic necessity]
[all w: (w is consistent with what I know about the actual world) ∧
(the normal course of events is followed as closely as possible in w) ∧
(John left at noon in w)] HOME(j) in w (by time of speaking)
b. If John leaves work on time, he has dinner with his family.
[implied: generic frequency]
[all d: (d is a day) ∧ (John leaves work on time in d)] John has dinner
with his family in d
24 Examples from Von Fintel (2011). As we will see in Chapter 21, the English simple present
tense has special properties which explain the generic frequency interpretation of examples
like (31b).

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19 Conditionals

Kratzer (1986: 11) summarizes her proposal as follows:

The history of the conditional is the story of a syntactic mistake. There
is no two-place if … then connective in the logical forms for natural lan-
guages. If -clauses are devices for restricting the domains of various opera-
tors. Whenever there is no explicit operator, we have to posit one.
Her point is that the conditional meaning, the sense of relationship between
antecedent and consequent, is not encoded by the word if. Rather, it comes from
the structure of the quantification itself. The function of if is to mark certain
material (the antecedent) as belonging to the restriction rather than the scope of
the quantifier.
The proposal that if “does not carry any distinctive conditional meaning”25
may get some support from the observation that conditional readings can arise
in sentences where two clauses are simply juxtaposed without any marker at all,
as seen in (32–33).
(32) Examples of juxtaposed conditionals from LanguageLog:26
a. “Listen,” Renda said, “we get to a phone we’re out of the country before
morning.”
b. “He could have been a little rusty early on, and then the inning he
gave up four runs I think he kind of lost his composure a little bit,”
Orioles manager Sam Perlozzo said. “He just did a little damage
control in that situation, we’re OK.”27
(33) INIGO: We’re really in a terrible rush.
MIRACLE MAX: Don’t rush me, sonny.
You rush a miracle man, you get rotten miracles.28

19.6 Counterfactual conditionals

The Lewis-Kratzer proposal provides a great deal of help in understanding how
the meaning of a conditional sentence is compositionally derived. However, de-
termining the right meanings for certain types of conditionals is still a signif-
icant challenge.29 Counterfactuals are an especially challenging case. Consider
25 Von Fintel (2011).
26 http://itre.cis.upenn.edu/~myl/languagelog/archives/004521.html
27 AP Recap of Toronto-Baltimore game of May 22, 2007; David Ginsburg, AP Sports Writer.
28 From the 1987 movie The Princess Bride.
29 This section draws heavily on von Fintel (2012).

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 19.6 Counterfactual conditionals

the contrast between the hypothetical conditional in (34a) and the counterfactual
conditional in (34b).30

(34) a. If Shakespeare did not write Hamlet, someone else did.

b. If Shakespeare had not written Hamlet, someone else would have.31

Most English speakers would probably agree that the hypothetical conditional
in (34a) is true, but would probably judge the counterfactual conditional in (34b)
to be false. This contrast suggests that some different rule of interpretation must
apply to counterfactual conditionals. We have said that a counterfactual condi-
tional presupposes that the antecedent is false; but this by itself is not sufficient
to cause sentence (34b) as a whole to be regarded as false. Notice that even a
speaker who believes the antecedent in (34a) to be false, i.e., who believes that
Shakespeare did write Hamlet, would probably judge the sentence as a whole to
be true.
Ideally we would like to apply the same analysis of if to both types of con-
ditionals, but this would make it hard to explain why the two sentences in (34),
which are structurally very similar have different truth conditions. What makes
the counterfactual conditional in (34b) so odd is that it seems to imply that there
is (or was) something about our world which made the writing of Hamlet in-
evitable. The hypothetical conditional in (34a) carries no such inference. How
can we account for this difference?
In the preceding section we sketched out a procedure for interpreting condi-
tionals that do not contain an overt quantifier. In many contexts, an epistemic
necessity modal has to be assumed in order to arrive at the intended interpreta-
tion. The truth conditions of the sentence are calculated by adding the content
of the antecedent to what is known about the actual world in order to derive the
appropriate restriction on the set of possible worlds. This procedure yields an
interpretation something like (35) for the hypothetical conditional in (34a). Intu-
itively, this feels like a reasonable interpretation. Part of what we know about
the world is that plays do not grow on trees, so if a play such as Hamlet exists
(another part of what we know about the actual world), then someone must have
written it.

30 Counterfactual and hypothetical conditionals are often referred to as “subjunctive” and “in-
dicative” conditionals, respectively; but as we noted in §19.3, there is not always a perfect
correlation between verb morphology and the degree of hypotheticality.
31 These examples come from Morton (2004).

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19 Conditionals

(35) [all w: (w is consistent with the available evidence) ∧ (the normal course
of events is followed as closely as possible in w) ∧ (Shakespeare did not
write Hamlet in w)] someone else wrote Hamlet in w

With the counterfactual conditional in (34b), the process is more complex. We

cannot simply add the content of the antecedent to what is known about the
actual world, because the antecedent is assumed to be false in the actual world.
One approach is to quantify over those possible worlds in which the antecedent is
true, but which are otherwise as similar as possible to the actual world. Roughly
speaking, (34b) could be paraphrased as follows: “For all worlds w in which
Shakespeare did not write Hamlet, but which are otherwise as similar as pos-
sible to the actual world in the relevant ways: someone else wrote Hamlet in w.”
Of course, the success of such an analysis depends on how one determines the
relevant points of similarity that need to be considered.
This general approach can help explain why the counterfactual conditionals in
(26a–b), repeated here as (36a–b), have different truth conditions. Sentence (36a)
restricts the domain of quantification to worlds which are as similar as possible to
the actual world, aside from the stipulation that kangaroos have no tails. In these
worlds presumably kangaroos do not use crutches, since that would constitute
an extra unforced difference as compared to the actual world. Sentence (36b)
however adds the additional stipulation that kangaroos do use crutches in all the
relevant worlds. For this reason, kangaroos would be more likely to topple over
in the worlds relevant to evaluating (36a) than in those relevant to evaluating
(36b).

(36) a. If kangaroos had no tails, they would topple over.

b. If kangaroos had no tails and they used crutches, they would topple
over.

Now the phrase “as similar as possible” is admittedly vague, and it is reasonable
to wonder whether using this criterion to restrict the domain of quantification
will be very helpful in determining the meaning of a sentence. However, some
authors have argued that the vagueness and context-dependence of the term are
in fact good things, because counterfactuals themselves are somewhat vague, and
the correct interpretation depends heavily on context.32 Consider the following
examples from Quine (1960: 221):

(37) a. If Caesar were in command, he would use the atom bomb.

32 D. Lewis (1973b: 91ff); von Fintel (2012).

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 19.6 Counterfactual conditionals

b. If Caesar were in command, he would use catapults.

A given feature of the real world may be given more or less priority in deter-
mining relative closeness between two worlds depending on various contextual
factors, including the purposes of the speaker. In (37a), for example, Caesar’s
ruthless nature may outrank his historical setting, but in (37b) the technological
resources of his era are given higher priority. The speaker’s purpose plays an
important role in determining which ordering source should be applied in each
case. Quine (1960: 221) expresses this principle in the following words:

The subjunctive [= counterfactual; PK] conditional depends, like indirect

quotation and more so, on a dramatic projection: we feign belief in the
antecedent and see how convincing we then find the consequent. What
traits of the real world to suppose preserved in the feigned world of the
contrary-to-fact antecedent can only be guessed from a sympathetic sense
of the fabulist’s likely purpose in spinning his fable.

The pair of sentences in (34) above is quite similar to the famous pair in (38).
Once again, the hypothetical conditional in (38a) seems to be true, while most
people would probably judge the counterfactual conditional in (38b) to be false.
However, the historical facts in this case are still somewhat controversial and
poorly understood, which makes it difficult to decide which points of comparison
would be relevant for determining the “most similar” possible worlds.
(38) a. If Oswald didn’t kill Kennedy, someone else did.
b. If Oswald hadn’t killed Kennedy, someone else would have.33
Consider instead the counterfactual conditional in (39). While not everyone
would consider this sentence to be true, it at least makes a claim that a historian
could consider as a serious hypothesis:
(39) If John Wilkes Booth hadn’t killed Abraham Lincoln, someone else would
have.
What claim does (39) make? Based on our discussion above, this sentence
could be paraphrased roughly as follows: “For all worlds w in which Booth did
not kill Lincoln, but which are otherwise as similar as possible to the actual world
in the relevant ways: someone else killed Lincoln in w.” In this context, relevant
points of similarity to the real world on April 14, 1865 (the night when Lincoln
was shot) might include the following:
33 These examples come from Adams (1970).

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19 Conditionals

• The on-going civil war: Gen. Lee’s army had surrendered in Virginia on
April 9, 1865 but fighting continued for a few more months to the south
and west;

• The location of the capital city, Washington DC, on the border between
a Confederate state (Virginia) and a nominally Union state (Maryland)
where many residents (including Booth) were pro-slavery and sympathetic
to the Confederacy;

• The lax provisions in place for protecting the President during that era;

• The anger aroused among supporters of slavery by Abraham Lincoln’s

speech of April 11, 1865, in which he announced his intention to extend
voting rights to at least some African-Americans, including those who had
fought for the Union.

By asserting that Lincoln’s assassination would take place in any world which
shares these properties (and perhaps others) with the real world, sentence (39)
seems to imply that the assassination was inevitable.
There is much more to be said about counterfactuals, but further discussion
would be beyond the scope of the present book. We turn now to another use of
the conditional sentence pattern, which we will argue contributes use-condition-
al rather than truth-conditional meaning.

19.7 Speech Act conditionals

Relevance conditionals are often referred to as speech act conditionals, and
in this section we try to understand why this label is appropriate. Let us begin
by considering how a relevance conditional is used. As we noted in §19.2, rel-
evance conditionals like those in (40) commit the speaker to believing that the
consequent is true; and this raises the question of why a speaker who believes q
would choose to say if p then q rather than just q?

(40) a. If you are hungry, there’s some pizza in the fridge.

b. If you need anything, my name is Arnold.
c. I am planning to watch Brazil vs. Argentina tonight, if you are
interested.
d. You look like you need to sit down, if you don’t mind my saying so.

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 19.7 Speech Act conditionals

One important function of the if clause in such cases is to prevent unintended

implicatures from arising and/or guide the hearer toward the intended implica-
ture.34 If the speaker in (40a) simply announces There’s some pizza in the fridge,
in a context where the topic of conversation is something other than left-over
food, the comment will seem irrelevant. This could lead the hearer, who assumes
that the speaker is observing the Maxim of Relevance (see Chapter 8), to seek an
implicature which renders the statement relevant. But the context may not be
adequate for the hearer to succeed in this attempt. (Was I supposed to clean the
fridge? Is this fridge only supposed to be used for bio-medical supplies?) The con-
ditional clause functions first as a relevance hedge, warning the hearer that the
statement which follows may not be relevant if certain conditions do not hold.
The conditional clause also serves to guide the hearer toward the intended impli-
cature: in this example, the statement There’s some pizza in the fridge is intended
as an indirect speech act, specifically an offer or invitation to have something to
eat.
Similarly, the if clause in (40b) helps the hearer to correctly interpret the as-
sertion in the consequent as an offer to be of service, rather than (for example)
an initiation of mutual introductions. The if clause in (40c) helps the hearer to
correctly interpret the consequent as an invitation to watch a soccer match.
The term relevance conditional reflects what is perhaps the most common
function of the if clause in this construction, namely to specify the conditions
under which the assertion in the consequent will be relevant. Now relevance is
one of the felicity conditions for making an assertion; so the conditional clause
is used by the speaker to avoid making an infelicitous assertion. The if clause in
(49d) (if you don’t mind my saying so) functions as a politeness hedge, rather than
a relevance hedge; but the basic function is again to avoid making an infelicitous
assertion.
An important feature of relevance conditionals is that the consequent need
not be an assertion at all; other speech acts are possible as well. The examples
below show that the consequent of a relevance conditional may be a command
(41a) or a question (41b–c).

(41) a. If you want my advice, ask her to marry you right away.
b. If you have heard from Michael recently, how is he doing?
c. What did you do with that left-over pizza, if you don’t mind my
asking?

34 DeRose & Grandy (1999); Franke (2007).

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19 Conditionals

Once again, the if clause in such examples refers to the felicity conditions
for performing the speech act expressed by the consequent. One of the felic-
ity conditions for asking a question is that the speaker believes that the hearer
has access to the information being requested. The if clause in (41b) specifies a
condition under which it is reasonable to expect that the addressee will know
something about Michael’s current situation. The if clauses in (41a, c) seem to
address the preparatory conditions for commands and questions, respectively,
which include the relationship between speaker and hearer, and the degree to
which the speaker feels free to advise or ask the hearer on a particular topic.
In view of the fact that this construction can be used to hedge a variety of
felicity conditions, and not just relevance, the more general term speech act
conditionals seems quite appropriate. This label also suggests that these con-
ditional clauses may function as speech act modifiers, similar to the speech act
adverbials we discussed in Chapter 11. This hypothesis is supported by the fact
that the conditional relation between the two clauses can be questioned with
standard conditionals, but not with speech act conditionals.
There is an important difference between relevance conditionals that contain
questions, like that in (42b), vs. “questions about conditionals”, illustrated in
(42a).35

(42) a. Q: If you inherit, will you invest?

A: Yes, if I inherit, I will invest.
b. Q: If you saw John, did you talk to him?
A: Yes, I talked to him.
A: #Yes, if I saw John, I talked to him.

In questions about conditionals (i.e., a standard conditional within an inter-

rogative sentence), the conditional meaning is part of what is being questioned.
Therefore it is natural and appropriate to include the conditional clause in the an-
swer, as seen in (42a). In a speech act conditional that contains a question, how-
ever, the conditional meaning is not part of what is being questioned. Rather, the
if clause specifies a condition under which it would be appropriate or felicitous
to ask the question. Therefore it is not appropriate to include the conditional
clause in the answer, as in (42b), except perhaps as a somewhat annoying joke.
This contrast suggests that speech act conditionals function as illocutionary mod-
ifiers, rather than as part of the at-issue propositional content of the sentence.
Several syntactic differences have been noted between speech act conditionals

35 This point is made by van der Auwera (1986), which is also the source of the examples in (42).

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 19.7 Speech Act conditionals

and standard conditionals.36 First, speech act conditionals can only be embedded
in the complements of indirect speech verbs, and not under propositional attitude
verbs (43). Both kinds of embedding are possible for standard conditionals (44).

(43) a. John said that if you are thirsty there is beer in the fridge.
b. * John believes that if you are thirsty there is beer in the fridge.

(44) a. John said that if he drinks too much wine he gets dizzy.
b. John believes that if he drinks too much wine he gets dizzy.

Second, standard conditionals allow the consequent to be introduced with the

pro-form then (45), but speech act conditionals do not (46).

(45) a. If it does not rain, then we will eat outside.

b. If I see him again, then I will invite him.

(46) a. #If I may be honest, then you are not looking good.
b. #If you want to know, then 4 isn’t a prime number.
c. #If you are thirsty, then there is beer in the fridge.

Third, the word order in Dutch and German seems to indicate that standard
conditionals occupy a different structural position from speech act condition-
als. As we mentioned in Chapter 18, Dutch and German are “verb-second” (V2)
languages. This means that in main clauses (or, more generally, clauses not intro-
duced by a complementizer), the inflected verb or auxiliary must immediately fol-
low the first constituent of the clause. As the Dutch examples in (47–48) show,37
standard conditionals occupy the clause-initial position, causing the inflected
verb to immediately follow the conditional clause. However, this is not the case
with speech act conditionals. The fact that the main clause subject in (48) must
precede the verb indicates that the conditional clause is not a constituent of the
main clause at all; it attaches to some higher node in the sentence.

(47) a. [Als Jan weg-gaat] ga ik ook weg.

if John away-goes go I also away
‘If John goes away, I will go away too.’ [standard conditional]
b. *[Als Jan weggaat] ik ga ook weg.

36 Bhatt & Pancheva (2006).

37 Examples (47–48) are originally from Iatridou (1991: ch. 2).

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19 Conditionals

(48) a. [Als je het wil weten] 4 is geen priem getal.

if you it want know 4 is no prime number
‘If you want to know, 4 is not a prime number.’
[speech act conditional]
b. *[Als je het wil weten] is 4 geen priem getal.

The minimal pair in (49) shows how word order can disambiguate standard
conditionals vs. speech act conditionals in German.38 The main clause verb in
(49a) immediately follows the conditional clause, forcing it to be interpreted as a
standard conditional: I will stay home only if you need me. In contrast, the main
clause verb in (49b) follows its subject NP, forcing it to be interpreted as a speech
act conditional: I’ll be at home all day and you can reach me there if you need me.
Again, the word order facts indicate that the standard conditional is embedded
within the main clause, whereas the speech act conditional is not.

(49) a. [Wenn Du mich brauchst], bleibe ich den ganzen Tag zu Hause.
if you me need stay I the whole day at house
‘[If you need me], (only then) I will stay at home all day.’
[standard conditional]
b. [Wenn Du mich brauchst], ich bleibe den ganzen Tag zu Hause.
if you me need I stay the whole day at house
‘[If you need me], I’ll be at home all day (anyway).’
[speech act conditional]

A final difference that we will mention here concerns the potential for pro-
nouns to function as bound variables. A pronoun which occurs in the antecedent
clause of a standard conditional can be interpreted as being bound by a quanti-
fier phrase that occurs in the consequent clause. This was seen in example (29)
above, repeated here as (50). However, this interpretation is not available in
speech act conditionals, as illustrated in (51). This contrast provides additional
evidence that the antecedent clause of a standard conditional is more tightly inte-
grated into the syntax of the main clause than the antecedent clause of a speech
act conditional.39

(50) a. [Every student]i will succeed if hei works hard.

b. [No student]i will succeed if hei goofs off.
38 The examples in (49) are from Scheffler (2013: 102).
39 See Ebert et al. (2008) for similar examples in German.

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 19.7 Speech Act conditionals

(51) a. #[Every student]i should study trigonometry, if hei wants my

opinion.
b. #[No student]i gave a very impressive speech, if hei doesn’t mind my
saying so.

Concessive conditionals share some of these properties with relevance condi-

tionals. For example, the concessive meaning is lost when the consequent con-
tains then (52a), or when the conditional is embedded in the complement of a
propositional attitude verb (52b). But the semantic function of concessive condi-
tionals seems quite different from that of relevance conditionals.

(52) a. #If you were the last man on earth, then I would not marry you.
b. #Mary believes that if John were the last man on earth, she would not
marry him.

Some of the similarities between concessive conditionals and relevance condi-

tionals seem to be related to the fact that in both types, the speaker asserts that
the consequent is true, without condition. This limits the kinds of inferences
that can be triggered. For example, standard conditionals of the form if p then q
typically create a generalized conversational implicature: p if and only if q. This
implicature can be explained in terms of the maxim of Quantity. If the speaker
was in a position to assert that q was true, whether or not p was true, then the
most informative way to communicate this fact would be to simply say q. Saying
if p then q is less informative, and so gives the hearer reason to infer that the
speaker is not in a position to assert that q is true (53a). However, this implicature
is not triggered by relevance or concessive conditionals (53b–c).

(53) a. If you take another step, I’ll knock you down.

(implicature: If you do not take another step, I will not knock you
down.)
b. If you are hungry, there is some pizza in the fridge.
(does not implicate: If you are not hungry, there is no pizza in the
fridge.)
c. I wouldn’t marry you if you were the last man on earth.
(does not implicate: I would marry you if you were not the last man
on earth.)

We mentioned a related fact in Chapter 9, namely that the rule of modus tollens
(denying the consequent) does not hold for all uses of the English word if. We can

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now see that the rule works for standard conditionals (54a), but not for relevance
or concessive conditionals (54b–c).
(54) a. Mother said that if her meeting was cancelled, she would come home;
but she’s not home, so I guess her meeting was not cancelled.
b. Mother says that if we are hungry, there’s some pizza in the fridge;
but there’s no pizza in the fridge, #so I guess we are not hungry.
c. I wouldn’t marry that man (even) if he became a millionaire; #so if I
end up marrying him, you will know that he did not become a
millionaire.
It seems natural to ask whether the analysis we outlined in §19.5 for standard
conditionals can be extended to account for speech act conditionals as well. In
Chapter 18 we analyzed the contrast between truth-conditional vs. speech act
uses of because as a case of pragmatic ambiguity: a single sense used in two dif-
ferent ways. In the truth-conditional use (55a), because indicates a causal relation
between two propositions. In the speech act use, because indicates a causal re-
lation between the truth of a proposition and the performance of a speech act.
We might paraphrase (55b) as meaning something like: ‘Because I would like to
come and visit you, I hereby ask you whether you are going out tonight.’
(55) a. Mary scolded her husband because he forgot their anniversary again.
b. Are you going out tonight, because I would like to come and visit you.
A somewhat parallel approach to speech act conditionals is possible. Our dis-
cussion at the beginning of this section suggests that the antecedent of a speech
act conditional specifies a condition under which the speech act performed in
the consequent will be felicitous, whereas the antecedent in standard condition-
als specifies a condition under which the proposition expressed in the consequent
will be true.

19.8 Conclusion
We began with the intuition that in a conditional sentence if p (then) q, the if
clause describes some condition under which the then clause will be true. We
noted that modals have a somewhat similar function, in that modal operators (in
particular, modal markers of necessity) specify sets of possible worlds in which
the basic proposition will be true. In Chapter 16 we analyzed modals as quanti-
fiers over possible worlds, and it seems plausible that a similar approach might
work for conditionals as well.

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 19.8 Conclusion

A quantificational analysis of conditionals is further supported by the obser-

vation that, when the consequent clause in a conditional sentence contains a
quantifier-type expression (e.g. all, usually, should, etc.), the word if seems to
have no independent meaning. Rather, the antecedent of the conditional is added
to the restriction of the quantifier, as illustrated in (27–30) above. When there is
no overt quantifier in the consequent, the meaning of the conditional sentence
can generally be well paraphrased in terms of epistemic necessity or (given the
appropriate tense marking on the consequent’s verb) generic frequency.
This kind of quantificational analysis for conditionals seems to work well for
hypothetical conditionals, but other uses of the conditional form present addi-
tional challenges. In the case of counterfactuals, some more elaborate means
seems to be required to restrict the set of relevant possible worlds. In the case
of speech act conditionals, the issue does not seem to be the truth of the conse-
quent but the felicity or appropriateness of the associated speech act. Whether
all the various uses of if can be unified under a single sense remains an open and
much-discussed question.

Further reading

Von Fintel (2011) provides a good introduction to the study of condition-

als, including a summary of much recent work on the topic. Comrie (1986)
offers a useful typological study of the construction. Kratzer (1986) pro-
vides a very clear and readable argument for her restrictor analysis. Kearns
(2000: 61–64) provides a brief and helpful introduction to the analysis of
counterfactual conditionals, and von Fintel (2012) provides an excellent
overview of the topic. Bhatt & Pancheva (2006) discuss the syntactic struc-
ture of conditionals and how the structure relates to the meaning. They
also present a good discussion of the various uses of if.

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19 Conditionals

Discussion exercises
A: Types of conditionals. Identify the type of conditional expressed in
each of the following sentences. Use one of the following labels: standard,
relevance, concessive, or factual; and for standard conditionals, add
one of the following: reality, hypothetical, counterfactual.
1. I wouldn’t eat that stew if you paid me.

2. If you place your order now, I will include the batteries for free.

3. If you have no money, where did you get all this electronic equip-
ment?

4. If wishes were horses, beggars would ride.

5. I just told you that I have a meeting with a client this evening. And
if I have a meeting with a client, there is no way I can go to the game
with you.

6. If you like seafood, there is a great restaurant down by the harbor.

7. If you had waited for me, I would have married you.

8. I’ll show you the agenda if you promise not to tell anyone.

B: Restrictor analysis. Use the restricted quantifier notation to express

the interpretation of the following sentences, omitting the words in paren-
theses:

1. Few boxers are famous if they lose.

2. Subtitles are often funny if they are mistranslated.

3. John must pass Greek if he drops Hebrew.

4. If the Bishop was preaching, we used to be late (for Sunday dinner).

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 19.8 Conclusion

Homework exercises

A: Types of conditionals. Show how you could use some of the tests
discussed in Chapter 19 to determine whether the conditional clauses in
the following examples conditional are standard conditionals or speech
act conditionals.
(1) If you want my advice, I will do some research and send you an
e-mail.

(2) If you want my advice, Arnold is not the right man for you.

B: Restrictor analysis.
(3) Use the restricted quantifier notation to express the interpretation
of the following sentences:
a. Most students are happy if they pass.
b. If the light is on, Arthur must be at home.
c. If it rains, I drive to work.

(4) Use the restricted quantifier notation to express the two possible
interpretations for the following sentence:
d. Arthur may not visit Betty if she insults him.

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 Unit VI

Tense & aspect

20 Aspect and Aktionsart
20.1 Introduction
In this final unit of the book we look at the meanings of grammatical morphemes
that mark tense and aspect. Tense and aspect markers both contribute informa-
tion about the time of the event or situation being described. Broadly speaking,
tense markers tell us something about the situation’s location in time, as illus-
trated in (1), while aspect markers tell us something about the situation’s distri-
bution over time, as illustrated in (2).

(1) Lithuanian tense marking (Chung & Timberlake 1985: 204)

a. dirb-au
work-1sg.past
‘I worked/ was working’
b. dirb-u
work-1sg.present
‘I work/ am working’
c. dirb-s-iu
work-future-1sg
‘I will work/ will be working’

(2) Aspect marking in English

a. When I got home from the hospital, my wife wrote a letter to my
doctor.
b. When I got home from the hospital, my wife was writing a letter to
my doctor.

As we will see, many of the same issues that we encountered in our study of
word meanings are also relevant to the study of tense and aspect markers: dis-
tinguishing entailments from selectional restrictions and other presuppositions;
implicature and coercion as sources of new meanings; potential for polysemy
and idiomatic senses; etc.
20 Aspect and Aktionsart

This chapter focuses on aspect, while the next chapter looks at tense. We begin
in §20.2 with a discussion of situation type, sometimes referred to as situation
aspect or Aktionsart (German for ‘action type’). It turns out that situation type,
e.g. the difference between events vs. states, can have a significant effect on the
interpretation of both tense and aspect markers.
In §20.3 we introduce the notion of Topic Time, the time under discussion,
which will play an important role in our approach to both tense and aspect. §20.4
discusses grammatical aspect, exploring the kinds of aspectual meaning that are
most commonly distinguished by grammatical markers across languages. §20.5
and §20.6 explore some of the ways that situation type (Aktionsart) and gram-
matical aspect interact with each other.

20.2 Situation type (Aktionsart)

Before we think about the kinds of meanings that tense and aspect markers can
express, we need to think first about the kinds of situations that speakers may
want to describe. We can divide all situations into two basic classes, states vs.
events. (This is why we speak of “situation type” rather than “event type”; we
need a term that includes states as well as events.1 ) Informally we might define
events as situations in which something “happens”, and states as situations in
which nothing happens.
Roughly speaking, if you take a video of a state it will look like a snapshot,
because nothing changes; but if you take a video of an event, it will not look
like a snapshot, because something will change. In more precise terms we might
define a state as a situation which is homogeneous over time: it is construed as
being the same at every instant within the time span being described. Examples
of sentences which describe stative situations include: this tea is cold; my puppy
is playful; George is my brother. Of course, to say that a state is a situation in
which nothing changes does not mean that these situations will never change.
Tea can be re-heated, puppies grow up, etc. It simply means that such changes
are not part of the situation currently being described.
Conversely, we can define an event as a situation which is not homogeneous
over time, i.e., a situation which involves some kind of change. In more technical
terminology, events are said to be dynamic, or internally complex. Examples of
sentences which describe eventive situations include: my tea got cold; my puppy
is playing; George hit my brother; Susan will write a letter.

1 Some authors use the terms eventuality or actionality instead of situation.

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 20.2 Situation type (Aktionsart)

In classifying situations into various types, we are interested in those distinc-

tions which are linguistically relevant, so it is important to have linguistic evi-
dence to support the distinctions that we make.2 A number of tests have been
identified which distinguish states from events. For example, only sentences
which describe eventive situations can be used appropriately to answer the ques-
tion What happened? 3 Applying this test leads us to conclude that sentences
(3a–d) describe eventive situations while sentences (3e–h) describe stative situa-
tions.

(3) What happened was that…

a. Mary kissed the bishop.
b. the sun set.
c. Peter sang Cantonese folk songs.
d. the grapes rotted on the vine.
e. * Sally was Irish.
f. * the grapes were rotten.
g. * William had three older brothers.
h. * George loved sauerkraut.

A second test is that only eventive situations can be naturally described using
the progressive (be V-ing) form of the verb, although with some states the pro-
gressive can be used to coerce a marked interpretation. This test indicates that
sentences (4a–c) describe eventive situations while sentences (4d–g) describe sta-
tive situations. Sentences (4h-i) involve situations which, based on other evi-
dence, we would classify as stative. Here the progressive is acceptable only with
a special, coerced interpretation: (4h) is interpreted to mean that this situation is
temporary and not likely to last long, while (4i) is interpreted to mean that Arthur
is behaving in a certain way (an eventive interpretation). In some contexts, (4e)
might be acceptable with a coerced interpretation like that of (4i).

(4) a. Mary is kissing the bishop.

b. The sun is setting.
c. Peter is singing Cantonese folk songs.
d. * This room is being too warm.
e. * Sally is being Irish.
2 It turns out that situation type plays an important role in syntax as well as semantics.
3 Jackendoff (1976: 100, 1983: 179).

381
20 Aspect and Aktionsart

f. * William is having a headache.

g. * George is loving sauerkraut.
h. George is loving all the attention he is getting this week.
i. Arthur is being himself.

A third test is that in English, eventive situations described in the simple

present tense take on a habitual interpretation, whereas no such interpreta-
tion arises with states in the simple present tense. For example, (5c) means that
Peter is in the habit of singing Cantonese folk songs; he does it on a regular basis.
In contrast, (5e) does not mean that William gets headaches frequently or on a
regular basis; it is simply a statement about the present time (=time of speak-
ing). This test indicates that sentences (5a–c) describe eventive situations while
sentences (5d–e) describe stative situations.

(5) a. Mary kisses the bishop (every Saturday).

b. The sun sets in the west.
c. Peter sings Cantonese folk songs.
d. This room is too warm.
e. William has a headache.

Some authors have cited certain tests as evidence for distinguishing state vs.
event, which in fact are tests for agentive/volitional vs. non-agentive/non-voli-
tional situations. For example, only agentive/volitional situations can normally
be expressed in the imperative; be modified by agent-oriented adverbials (e.g. de-
liberately); or appear as complements of Control predicates (try, persuade, forbid,
etc.). It turns out that most states are non-agentive, but not all non-agentive pred-
icates are states (e.g. die, melt, fall, bleed, etc.). Moreover, some stative predicates
can occur in imperatives or control complements (Be careful! He is trying to be
good. I persuaded her to be less formal.), indicating that these states are at least
potentially volitional. It is important to use the right tests for the right question.
A second important distinction is between telic vs. atelic events. A telic
event is one that has a natural endpoint. Examples include dying, arriving, eating
a sandwich, crossing a river, and building a house. In each case, it is easy to know
when the event is over: the patient is dead, the sandwich is gone, the house is
built, etc.
Many telic events (e.g. build, destroy, die, etc.) involve some kind of change
of state in a particular argument, generally the patient or theme. This argument
“measures out” the event, in the sense that once the result state is achieved, the

382
 20.2 Situation type (Aktionsart)

event is over.4 Some telic events are measured out by an argument that does not
undergo any change of state, e.g. read a novel: when the novel is half read, the
event is half over, but the novel does not necessarily change in any way. Other
telic events are measured out or delimited by something which is not normally
expressed as an argument at all, e.g. run five miles, fly to Paris, drive from Calgary
to Vancouver, etc. Motion events like these are measured out by the path which
is traversed; the progress of the theme along the path reflects the progress of
the event. As Dowty (1991) points out, with many such predicates the path can
optionally be expressed as a syntactic argument: swim the English channel, ford
the river, hike the Annapurna Circuit, drive the Trans-Amazonian Highway, etc.
Atelic events are those which do not have a natural endpoint. Examples in-
clude singing, walking, bleeding, shivering, looking at a picture, carrying a suit-
case, etc. There is no natural part of these events which constitutes their end
point. They can continue indefinitely, until the actor decides to stop or some-
thing else intervenes to end the event. Atelic events do not involve a specified
change of state, and no argument “measures them out”.
Dowty (1979) identifies several tests which distinguish telic vs. atelic events.
The two most widely used are illustrated in (6–7). A description of an atelic
event can naturally be modified by time phrases expressing duration, as in (6);
this is unnatural with telic events. In contrast, a description of a telic event can
naturally be modified by time phrases expressing a temporal boundary, as in (7);
this is unnatural with atelic events.

(6) For ten minutes Peter…

a. sang in Cantonese.
b. chased his pet iguana.
c. stared at the man sitting next to him.
d. * broke three teeth.
e. * recognized the man sitting next to him.
f. * found his pet iguana.

(7) In ten minutes Peter…

a. ⁇ sang in Cantonese. (could only mean, ‘In ten minutes Peter began
to sing…’)
4 The term “measures out” comes from Tenny (1987). Dowty (1991) uses the term “incremental
theme” for arguments that “measure out” the event in gradual/incremental stages, so that the
state of the incremental theme directly reflects the progress of the event.

383
20 Aspect and Aktionsart

b. * chased his pet iguana.

c. * stared at the man sitting next to him.
d. broke three teeth.
e. recognized the man sitting next to him.
f. found his pet iguana.

Situation Aspect is sometimes referred to as “lexical aspect”, because certain

verbs tend to be associated with particular situation types. For example, die and
break are inherently telic, whereas chase and stare are fundamentally atelic. How-
ever, in many sentences the whole VP (and sometimes the whole clause) helps to
determine the situation type which is being described. For example, with many
transitive verbs the telicity of the event depends on whether or not the object
NP is quantified or specified in some way: eat ice cream is atelic, but eat a pint
of ice cream is telic; sing folk songs is atelic, but sing “The Skye boat song” is telic.
Similarly, as noted above, the telicity of motion events may depend on whether
or not the path is delimited in some way: walk is atelic, but walk to the beach is
telic.
Based on the two distinctions we have discussed thus far, we can make the
following classification of situation types:

(8) Types of situations/eventualities

Event State

Telic (bounded) Atelic (unbounded)

A third distinction which will be important is that between durative vs. punc-
tiliar (=instantaneous) situations. Durative situations are those which extend
over a time interval (singing, dancing, reading poetry, climbing a mountain),
while punctiliar situations are those which are construed as happening in an
instant (recognizing someone, reaching the finish line, snapping your fingers, a
window breaking). One test that can help in making this distinction is that punc-
tiliar situations described in the progressive (He is tapping on the door/blinking
his eyes/etc.) normally require an iterative interpretation (something that hap-
pens repeatedly, over and over). This is not the case with durative situations (He
is reading your poem/climbing the mountain/etc.).

384
 20.2 Situation type (Aktionsart)

Five major situation types are commonly recognized, and these can be distin-
guished using the three features discussed above as shown in Table 20.2.5 Activ-
ities are atelic events such as dance, sing, carry a sword, hold a sign, etc. Achieve-
ments are telic events (normally involving a change of state) which are construed
as being instantaneous: break, die, recognize, arrive, find, etc. Accomplishments
are durative telic events, meaning that they require some period of time in order
to reach their end-point. Accomplishments often involve a process of some kind
which results in a change of state. Examples include eat a pint of ice cream, build
a house, run to the beach, clear a table, etc. Semelfactives are instantaneous events
which do not involve any change of state: blink, wink, tap, snap, clap, click, etc.
Although they are punctiliar, they are considered to be atelic because they do
not involve a change of state and nothing measures them out.
Table 20.1: Aktionsart (situation types) (C. Smith 1997: 3)

Situations Static Durative Telic

State + + –a
Activity – + –
Accomplishment – + +
Achievement – – +
Semelfactive – – –

a Smithleaves the telicity of states unspecified, because it is not contrastive; here I follow Van
Valin & LaPolla (1997: 93) in specifying states as atelic.

For some purposes it is helpful to make a further distinction between two kinds
of states: stage-level (temporary) vs. individual-level (permanent).6 We will refer
to these situation types often in our discussion of the meanings of tense and
aspect markers. But first we begin that discussion by identifying three “cardinal
points” for time reference: the time of speaking, the time of situation, and “topic
time”.

5 The first four of these types are well known from the work of Dowty (1979) and Vendler (1957).
The Semelfactive class was added by C. Smith (1997), based on Comrie (1976: 42).
6 Carlson
(1977), Kratzer (1995).

385
20 Aspect and Aktionsart

20.3 Time of speaking, time of situation, and “topic time”

Tense markers are often described as “locating” a situation in time, as seen in the
following widely-cited definitions of tense (9):

(9) a. “Tense is grammaticalised expression of location in time… [T]enses

locate situations either at the same time as the present moment…, or
prior to the present moment, or subsequent to the present moment.”
(Comrie 1985: 9, 14)
b. “Tense refers to the grammatical expression of the time of the
situation described in the proposition, relative to some other time.”
(Bybee 1992: 144)

These definitions state that tense markers specify the time of a situation rela-
tive to some other time, generally the “present moment” (= the time of speaking).
However, as Klein (1994) points out, examples like the following seem to pose a
problem for the claim that tense “locates situations in time”:

(10) a. I took a cab back to the hotel. The cab driver was Latvian.7
b. They found John in the bathtub. He was dead.8
c. Tuesday morning we ate leftovers from Chili’s for breakfast and
checked out of the Little America Hotel… The Grand Canyon was
enormous. We walked along the rim taking pictures amazed at how
beautiful and massive the canyon is.9

If the past tense in the italicized portions of these examples indicates that the
described situation is located prior to the time of speaking, does that mean that
the cab driver was no longer Latvian at the time of speaking, or that John was
no longer dead at the time of speaking, or that the Grand Canyon was no longer
enormous at the time of speaking? In light of examples like these, Klein suggests
that tense actually locates or restricts the speaker’s assertion, rather than lo-
cating the situation itself. That is, tense indicates the location of the time period
about which the speaker is making a claim.
Klein uses the term Topic Time to refer to the time period about which the
speaker is making a claim, or in his words, “the time span to which the speaker’s
claim on this occasion is confined” (1994:4). This choice of terminology builds on
7 Michaelis (2006).
8 Klein (1994: 22).
9 http://scottnmegan.blogspot.com/2009/04/arizona-part-2.html

386
 20.3 Time of speaking, time of situation, and “topic time”

the widely used definition of “Topic” as “what we are talking about.” So Topic
Time is the time span that we are talking about. Klein distinguishes Topic Time
(TT) from the two other significant times mentioned above: TSit, the time of the
event or situation which is being described; and TU, the Time of Utterance (=time
of speaking).10
The Topic Time can be specified by time adverbs like yesterday or next year,
or by temporal adverbial clauses as seen in example (2) above (When I got home
from the hospital). It can also be determined by the context. For example, in
a narrative sequence like that in (10c), the Topic Time is partly determined by
the clause’s position in the sequence. Event-type verbs in the simple past tense
move the Topic Time forward, whereas stative predicates in the simple past tense
inherit the Topic Time from the previous main-line event. The italicized portion
of that example makes an assertion only about the Topic Time at that stage of
the narrative; no assertion is made about the Time of Utterance.
Klein (1994: 4) describes an imaginary mini-dialogue between a judge and a
witness in a courtroom. He points out that the second sentence of the witness’s
reply cannot be felicitously expressed in the present tense, even though the book
in question is presumably still in Russian at the time of speaking. That is because
the judge’s question establishes a specific topic time (when you looked into the
room) prior to the time of the current speech event, and any felicitous reply must
be relevant to the same topic time.
(11) Judge: What did you notice when you looked into the room?
Witness: There was a book on the table. It was/#is in Russian.11
Klein assumes that the values of TSit and TT are time intervals, rather than
simple points in time, whereas TU can be treated as a point. Using these three
concepts, Klein defines tense and aspect as follows:
(12) a. Tense indicates a temporal relation between TT and TU;
b. Aspect indicates a temporal relation between TT and TSit.
We can illustrate Klein’s definition of aspect using the examples in (2), re-
peated here as (13). As noted above, the temporal adverbial clause in these exam-
ples (When I got home from the hospital) specifies the location of Topic Time. The
duration of Topic Time in this case seems to be somewhat vague and context-
dependent, influenced partly by our knowledge of how long it takes to write a
10 As we will discuss in Chapter 21, Klein’s framework is based on a proposal by Reichenbach
(1947: §51).
11 Klein 1994: 4.

387
20 Aspect and Aktionsart

letter. The use of perfective aspect in (13a) indicates that the writing of the letter
occurred completely within Topic Time. Under the most natural interpretation,
the writing began after the speaker arrived home, and was completed shortly
thereafter. The use of imperfective aspect in (13b) indicates that the writing of
the letter extended beyond the limits of Topic Time. Under the most natural in-
terpretation, the writing began before the speaker arrived home, and may not
even be completed at the time of speaking.12

(13) a. When I got home from the hospital, my wife wrote a letter to my
doctor.
b. When I got home from the hospital, my wife was writing a letter to
my doctor.

We will discuss Klein’s definition of tense in Chapter 21. In the remainder of

this chapter we focus on aspect.

20.4 Grammatical Aspect (= “viewpoint aspect”)

Situation type (Aktionsart) is an inherent property of the situation itself. Gram-
matical aspect is a feature of the speaker’s description of the situation, i.e., a part
of the claim that is being made about the situation under discussion. Grammati-
cal aspect is sometimes referred to as viewpoint aspect, reflecting the intuition
that grammatical aspect markers indicate something about the way the speaker
chooses to view or describe the situation, rather than some property of the situ-
ation itself.
This intuition is reflected in some widely cited definitions of aspect. Comrie
(1976: 3), for example, says: “Aspects are different ways of viewing the internal
temporal constituency of a situation.” C. Smith (1997: 2–3) states: “Aspectual
viewpoints present situations with a particular perspective or focus, rather like
the focus of a camera lens. Viewpoint gives a full or partial view of the situation
talked about.” Using Smith’s metaphor of the camera lens, we could describe
perfective aspect as a wide angle view: the situation fits inside the time frame
of the speaker’s perspective. The imperfective is like a zoom or close-up view,
focusing on just a part of the situation being described, with the situation as a
whole extending beyond the boundaries of the speaker’s perspective.
Both of these definitions are helpful, but they may tend to obscure a very im-
portant point about the nature of grammatical aspect, namely that grammatical
12 The terms perfective and imperfective will be defined more carefully in §20.4 below.

388
 20.4 Grammatical Aspect (= “viewpoint aspect”)

aspect markers contribute to the truth conditions of the sentence. For example,
sentences (14a–b) differ only in their aspect. Both are marked for past tense, but
(14b) is marked for imperfective aspect while (14a) involves perfective aspect.
If spoken in the year 2010, (14b) would (reportedly) be true while (14a) would
be false, due to the intervention of a neighboring country. So different aspect
markers represent different claims about the world.

(14) a. The Syrians built a nuclear weapon with North Korean technology.
b. The Syrians were building a nuclear weapon with North Korean
technology.

Klein’s definition of aspect, which was mentioned in the previous section,

reflects this insight by relating the time structure of the situation not to the
speaker’s perspective, but to the time about which a claim is being asserted (Topic
Time): aspect indicates a temporal relation between TT and TSit. As a first ap-
proximation, we can define perfective aspect as indicating that the situation
time fits inside Topic Time (TSit ⊆ TT); and imperfective aspect as indicating
that Topic Time fits completely inside situation time (TT ⊂ TSit). These are ob-
jective claims about the relationship between two time intervals, which can be
evaluated as being true or false in a particular situation.
To take another example, the temporal adverbial clause in (15a–b) establishes
the topic time for the main clause in each sentence. The imperfective form of the
main clause in (15a) indicates that the topic time is completely contained within
the situation time. In other words, the boundaries (and in particular the end
point) of TSit, the “digging a tunnel” event, extend beyond the boundaries of TT,
the time during which the guards were at the Christmas party. For this reason,
the imperfective description of the event in (15a) may be true even if the tunnel
was never completed. In contrast, the perfective form of the main clause in (15b)
indicates that the situation time is contained within the topic time. This means
that the entire “digging a tunnel” event took place within the time span of the
guards attending the party.

(15) a. While the guards were at the Christmas party, the prisoners were
digging a tunnel under the fence (but they never finished it).
b. While the guards were at the Christmas party, the prisoners dug a
tunnel under the fence (#but they never finished it).

Digging a tunnel is a telic situation, specifically an accomplishment; so its

endpoint, or culmination, is an integral part of the event. For this reason, the

389
20 Aspect and Aktionsart

perfective description of the event in (15b) would not be true if the tunnel was
not completed. This example illustrates how an imperfective description of an
event may be true in a situation in which a perfective description of that same
event would be false. The diagrams in (16) represent the relative locations of the
Time of Utterance, Topic Time (time during which the guards were at the party),
and Situation Time (prisoners digging a tunnel) for examples (15a–b).
(16) a.
[ TT ] + [15a; imperfective aspect]
…===TSit===… TU
b.
[ TT ] + [15b; perfective aspect]
|=TSit=| TU

20.4.1 Typology of grammatical aspect

Comrie (1976) classifies the most commonly marked aspectual categories in the
following hierarchy, which starts with the contrast between perfective vs. im-
perfective.

(17) aspects

imperfective perfective

continuous habitual

non-progressive progressive

In many languages, including English, perfective is the default or unmarked

way of describing an event in the past. It simply asserts that the event happened.
Notice that we illustrated the perfective in examples (14–15) using the simple
past tense; the lack of overt aspect marking indicates perfective aspect. How-
ever, aspect is distinct from tense. Many languages distinguish perfective vs.
imperfective in the future (e.g. will eat vs. will be eating) as well as the past.
Different kinds of imperfective meaning are grammatically distinguished in
some languages. Habitual aspect describes a recurring event or on-going state
which is a characteristic property of a certain period of time.13 Imperfective as-
13 Comrie (1976: 27–28).

390
 20.4 Grammatical Aspect (= “viewpoint aspect”)

pect which is not habitual is typically called either continuous or progressive.

The difference between these two categories lies in their selectional restrictions,
rather than in their entailments. The term progressive is generally applied to
non-habitual imperfective markers that are used only for describing events, and
not for states. Comrie uses the term continuous for non-habitual imperfective
aspect markers that are not restricted in this way, but can be used for both states
and events. In some languages, however, the term continuous is applied to
aspect markers that are used primarily for states.
English does not have a general imperfective aspect marker. The be + V-ing
form illustrated in (18a) is specifically progressive in meaning. Habitual meaning
can be expressed using the simple present tense as in (18b), or (for habituals in
the past) with the auxiliary used to as in (18c).

(18) a. Mary is playing tennis.

b. Mary plays tennis.
c. Mary used to play tennis.

Spanish does have a general imperfective form as well as a more specific pro-
gressive. The imperfective form is ambiguous between habitual vs. continuous
meaning, as illustrated in (19b).14

(19) a. Juan llegó. ‘Juan arrived.’ [perfective]

b. Juan llegaba. ‘Juan was arriving/used to arrive.’ [imperfective]
c. Juan estaba llegando. ‘Juan was arriving.’ [progressive]

20.4.2 Imperfective aspect in Mandarin Chinese

The Mandarin imperfective aspect markers zài ‘progressive’ and –zhe ‘continu-
ous’ are often cited as a paradigm example of Comrie’s distinction between con-
tinuous and progressive aspects. The most important difference between the two
morphemes lies in the types of situations that each one can modify. Zài occurs
only with events (20a); it cannot be used to mark states (20b). In main clauses, -
zhe is used primarily for states (21a–b), and is generally unacceptable with events
(21c), though there appears to be some dialect variation in this regard.15
14 Comrie 1976: 25.
15 Seefor example Klein et al. (2000: 738), ex. 10. Also, Li & Thompson (1981) state that the
combination of –zhe plus final particle ne has a distinct sense and can be used with events.
Unless otherwise indicated, the examples in (20)-(23) come from Li & Thompson (1981: 220–
222).

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20 Aspect and Aktionsart

(20) a. Zhāngsān zài tiào.

Zhangsan prog jump
‘Zhangsan is jumping.’
b. *Wo zài xǐhuān Měiguó.
1sg prog like America
(intended: ‘I am liking America.’) 16

(21) a. Chēzi zài wàimian tíng-zhe.

car at outside remain-cont
‘The car is parked outside.’
b. Tā zài chuáng-shàng tǎng-zhe.
3sg at bed-on lie-cont
‘He is lying on the bed.’
c. *Zhāngsān tiào-zhe.
Zhangsan jump-cont
(intended: ‘Zhangsan is jumping.’)

Some verbs allow both a stative and an eventive sense. For example, chuān can
mean either ‘wear’ or ‘put on’; ná can mean either ‘hold’ or ‘pick up’. In such
cases, zài selects the eventive reading and –zhe the stative.

(22) a. Tā zài chuān pí-xié.

3sg prog wear leather-shoe
‘He is putting on leather shoes.’
b. Tā chuān-zhe pí-xié.
3sg wear-cont leather-shoe
‘He is wearing leather shoes.’

(23) a. Tā zài ná bàozhǐ.

3sg prog hold newspaper
‘He is picking up a/the newspaper.’
b. Tā ná-zhe bàozhǐ.
3sg hold-cont newspaper
‘He is holding a/the newspaper.’

16 Sun (2008: 90).

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 20.4 Grammatical Aspect (= “viewpoint aspect”)

Yeh (1993) and a number of subsequent authors have noted that only individual-
level (temporary) states can be marked with –zhe; it is generally incompatible
with stage-level (permanent) states.17
(24) *Tā cōnghuì-zhe.
3sg intelligent-cont
(for: ‘He is intelligent.’)
Although these examples have all been translated in the present tense, present
time reference is not part of the meaning of either marker, as illustrated by the
past time reference in (25).
(25) Nǐ dāngshí mí-zhe Mǎkèsī, Ēngésī Lièníng.
2sg then fascinate-cont Marx Engels Lenin
‘At that time you were fascinated by Marx, Engels and Lenin.’
So far we have considered only main clause uses of these markers. In adver-
bial clauses like those in (26), –zhe occurs freely with both stative and eventive
predicates.18 As C. Smith (1997: 275) notes, -zhe is grammatically obligatory in
this context; it cannot be replaced by zai. This illustrates an important general
point: the function of a tense or aspect marker in subordinate clauses may be
quite different from its function in main clauses. When we are trying to deter-
mine the semantic properties of a morpheme, it may be necessary to treat these
two uses separately.
(26) a. Tā kū-zhe pǎo huí jiā qù le.
3sg cry-cont run return house go cos
‘He ran home crying.’
b. Xiǎo gǒu yáo-zhe wěiba pǎo le.
small dog shake-cont tail run cos
‘The little dog ran away wagging its tail.’

20.4.3 Perfect and prospective aspects

Using Klein’s terminology, we can define perfect (or retrospective) aspect as
indicating that the situation time is prior to Topic Time (TSit < TT); and prospec-
tive aspect as indicating that the situation time is later than Topic Time (TT <
17 The examples in (24)-(25) come from C. Smith (1997: 274). In addition to non-occurrence with
with stage-level states, there also seem to be a number of idiosyncratic lexical restrictions
concerning which stative predicates can combine with –zhe.
18 The examples in (26) come from Li & Thompson (1981: 223).

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20 Aspect and Aktionsart

TSit). The perfect in English is marked by the auxiliary have + past participle,
e.g. has eaten, has arrived, etc. Comrie (1976: 64) suggests that the going to V
construction (e.g., the ship is going to sail) is a way of expressing the prospective
aspect in English. Other ways to express this meaning include the ship is about
to sail and the ship is on the point of sailing.
The terms perfect and perfective are often confused, even by some linguists,
but it is important to be clear about the distinction. We will discuss the perfect
in some detail in Chapter 22.

20.4.4 Minor aspect categories

A number of languages have aspect markers which refer to the “phase” of the
situation being described. For example, some languages have an inceptive as-
pect, which indicates that the beginning of the situation falls within the topic
time. Such markers often get translated as begin to X. (The term inchoative
is sometimes used for this meaning, but more commonly this term is restricted
to changes of state or entering a state, e.g. to become fat, get old, get rich, etc.)
Some languages have a terminative or completive aspect, which indicates that
the end of the situation falls within the topic time. continuative aspect would
mean continue to X, or keep on X-ing.
iterative (or repetitive) aspect is used to refer to events which occur repeat-
edly. Such forms are often translated into English using phrases like over and
over, more and more, here and there, etc. Distributive aspect might be consid-
ered a sub-type of iterative; it indicates that an action is done by or to members
of a group, one after another.19

20.5 Interactions between situation type (Aktionsart)

and grammatical aspect
The definitions we have adopted predict that certain grammatical aspects will
not be available for certain situation types. For example, the definition of imper-
fective aspect as indicating that TT ⊂ TSit implies that a situation expressed in
the imperfective cannot be strictly punctiliar; the situation time must have some
duration. A semelfactive event is construed as being instantaneous; it has no
duration. For this reason, when a semelfactive event is described in the imper-
fective (e.g., he was tapping on the window), it cannot be interpreted as referring

19 http://www-01.sil.org/linguistics/GlossaryOflinguisticTerms/WhatIsDistributiveAspect.htm

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 20.5 Interactions between situation type (Aktionsart) and grammatical aspect

to a single instance, but must receive an iterative (= repetitive) interpretation.

Similarly, an instantaneous change of state cannot be described in the imper-
fective (e.g. ⁇He was recognizing his old classmate) without some very unusual
context. With other changes of state, the use of the imperfective (e.g., he was
dying) may shift the reference from the change itself to the process leading up
to the change. This kind of shift can be seen as a type of coercion.
The same constraint applies to semelfactives in Mandarin. In Chinese as in
English, a semelfactive event described in the imperfective cannot be interpreted
as referring to a single instance, but must receive an iterative interpretation (27).
As we would predict, this is possible only with the progressive zai, and not with
the continuous –zhe.

(27) Zhāngsān zài qiāo mén.

Zhangsan prog knock door
‘Zhangsan is knocking on the door.’ (C. Smith 1997: 272)

Similarly, the definition of perfective aspect as indicating that TSit ⊆ TT makes

predictions about the kinds of situations that can appropriately be expressed in
the perfective. When a state is described in the perfective aspect, what is as-
serted is that the state was true during the topic time, as discussed above. When
an event is described in perfective aspect, what is being asserted is that the whole
event took place within the topic time. For activities, which do not have an inher-
ent endpoint, perfective descriptions in the past can be interpreted as bounded
events, as in (28a): ‘I played tennis for a while.’ Alternatively, as illustrated in
(28b), they can get a habitual interpretation, which has properties similar to a
state.

(28) a. I played tennis yesterday.

b. I played tennis when I was in high school.

For telic events, and in particular for accomplishments, the end-point or cul-
mination is an intrinsic part of the event; so a perfective description of that event
should be false if the culmination is not in fact attained. This prediction holds true
for English, as illustrated in example (15b) above, and for many other languages.
However, a number of languages have been identified in which this culmination
is only an implicature, rather than an entailment, for accomplishments expressed
in the perfective. In Tagalog, for example, it is not a contradiction to say: ‘I re-
moved the stain, but I ran out of soap, so I couldn’t remove it.’20 Other languages
20 Dell (1983: 186).

395
20 Aspect and Aktionsart

in which such “non-culminating accomplishments” are possible include Hindi,

Mandarin, Thai, several Tibeto-Burman languages, various Philippine-type lan-
guages, and at least two Salish languages.21
The exact conditions under which “non-culminating accomplishments” can oc-
cur vary from one language to another, but the existence of such cases might sug-
gest that we need to modify our definition of perfective in some way. Another
alternative that we might consider starts with the recognition that accomplish-
ments are composed of two “phases”: the first phase is a process or activity which
leads to the second phase, a change of state.22 In building a house, for example,
the first phase would be doing the work of building and the second phase would
be the coming into existence of a completed house. We might account for the
difference between languages like English vs. languages like Chinese or Tagalog
by recognizing that for languages of the latter type, there are certain conditions
under which a VP that normally describes an accomplishment can be used to
refer to just the first phase of the event, i.e. a process or activity.
This two-phase analysis also gives us a way of thinking about a puzzling fact
concerning accomplishment predicates in English, which Dowty (1979) refers to
as the “imperfective paradox”. Building on Vendler’s (1957) discussion of these
facts, Dowty points out that with state and activity predicates a statement in
the imperfective (29a, 30a) entails the corresponding statement in the perfective
(29b, 30b). With accomplishment predicates, however, this entailment does not
hold (31–32).
(29) a. Arnold was wearing a wig.
b. Arnold wore a wig. [a entails b]
(30) a. George was speaking Etruscan.
b. George spoke Etruscan. [a entails b]
(31) a. Felix was writing a letter.
b. Felix wrote a letter. [a does not entail b]
(32) a. Sarah was running to the library.
b. Sarah ran to the library. [a does not entail b]
Dowty goes on to ask: Given the fact that accomplishments always have a nat-
ural end-point, how can the imperfective description of the event be considered
21 References: Hindi (Singh 1991; 1998), Mandarin (Soh & Kuo 2005; Koenig & Chief 2008), Thai
(Koenig & Muansuwan 2000), Salish (Bar-el et al. 2005), Tibeto-Burman (Larin Adams, p.c.).
22 Klein et al. (2000).

396
 20.6 Aspectual sensitivity and coercion effects

true if that end-point was never achieved?23 It seems that English, like Chinese
and Tagalog, allows a shift in meaning so that a VP which normally describes
an accomplishment can be used to refer to just the first phase of the event. In
English, however, this shift seems to be possible only in the imperfective.

20.6 Aspectual sensitivity and coercion effects

A predicate which normally describes one type of situation can sometimes be
coerced into a different situation type (Aktionsart) by contextual factors. De
Swart (1998: 360) describes this process as follows:

Typically, coercion is triggered if there is a conflict between the aspectual

character [i.e., Aktionsart—PK] of the eventuality description and the as-
pectual constraints of some other element in the context. The felicity of an
aspectual reinterpretation is strongly dependent on linguistic context and
knowledge of the world.

In example (33a), for example, a basically stative predicate (know the answer)
is coerced into a change-of-state (achievement) interpretation by the adverb sud-
denly, which emphasizes the starting point of the state.24

(33) a. Suddenly I knew the answer.

b. I read The Lord of the Rings for a few minutes.
c. John played the sonata for about eight hours.
d. For months, the train arrived late.

Examples (33b–c) both involve predicates which normally describe telic events
(read The Lord of the Rings and play the sonata), specifically accomplishments. In
23 Dowty’s solution was to propose that the progressive encodes not only aspect but also modal-
ity, that is, quantification over a certain class of possible worlds. He designated the relevant
class of possible worlds inertia worlds, which he defined as follows: an inertia world is a
possible world which is exactly like the actual world under discussion up to and including the
topic time, “and in which the future course of events after this time develops in ways most
compatible with the past course of events” (Dowty 1979: 148). In other words, inertia worlds
are possible worlds in which the expected outcomes from a given situation are actually real-
ized. Dowty then proposed a new definition of the progressive which says that John was X-ing
will be true when asserted about a time interval I just in case (i) there is some longer time
interval Iʹ which contains I and extends beyond the end-point of I; and (ii) John X-ed is true in
all inertia worlds when asserted about time interval Iʹ.
24 The examples in (33) are adapted from de Swart (1998: 359).

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20 Aspect and Aktionsart

both cases an activity reading is coerced by an adverbial PP which specifies the

duration of the event. In (33b) the time span that is specified (a few minutes)
is much too short for the entire event of reading The Lord of the Rings to be
accomplished. As a result, we interpret the statement to mean that the speaker
carried out a certain activity, namely reading portions of The Lord of the Rings,
for a few minutes. In (33c) the time span that is specified (for about eight hours)
is much longer than it would normally take to play a sonata. The most natural
interpretation is that John played the sonata over and over again for about eight
hours. This iterative interpretation describes an activity, because it has no natural
endpoint.
Example (33d) involves a predicate (arrive) which is both telic and instanta-
neous, i.e., an achievement. The instantaneous nature of the basic meaning con-
flicts with the long duration specified by the adverbial phrase (for months), which
results in a habitual interpretation: the train always or usually arrived late when-
ever it ran during those months. As mentioned above, habitual situations can be
considered to be a type of state.
De Swart (1998) points out that coercion effects are often triggered by a kind
of selectional restriction that is associated with some tense and aspect markers.
In Sections 20.2 and 20.4.2 above we discussed examples of grammatical mor-
phemes (the progressive aspect markers in English and Mandarin) which can
normally be used only for describing events, and not for states. Similar restric-
tions are found in a number of other languages as well: certain tense or aspect
markers may select for specific situation types (Aktionsart). De Swart (1998)
refers to selectional restrictions of this kind as aspectual sensitivity.
In §20.2 we illustrated the principle that stative predicates cannot normally be
expressed in the progressive with examples like those in (34a–c). However, we
noted there that some such examples might be acceptable with a coerced inter-
pretation in certain contexts. The progressive in (34d), for example, suggests that
the described state is temporary and likely to last only a short time. The progres-
sive form of (34e) seems to coerce a basically stative proposition, which would
be a tautology in the simple present (he is himself ), into an eventive (activity)
interpretation, roughly ‘acting in a way typical of him’.

(34) a. * This room is being too warm.

b. * I am knowing the answer.
c. * George is loving sauerkraut.
d. George is loving all the attention he is getting this week.
e. Arthur is being himself.

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 20.6 Aspectual sensitivity and coercion effects

De Swart discusses two past tense forms in French: the passé simple vs. the
imparfait. She suggests that they differ primarily in terms of their aspectual sensi-
tivity: the passé simple occurs only with bounded situations, while the imparfait
occurs only with unbounded situations. The normal way of expressing a state
that was true in the past is with the imparfait, as in (35a), because states are not
naturally bounded. When the passé simple is used for stative predicates, as in
(35b), the sentence must receive a bounded interpretation through some kind of
coercion effect. Depending on context, it could be bounded either by referring
to the beginning of the state (ingressive/inchoative reading), or by describing a
state that held true only for a limited period of time.
(35) a. Anne était triste.
Anne was(imp) sad.
‘Anne was sad.’
b. Anne fut triste.
Anne was(ps) sad.
‘Anne became sad.’ or: ‘Anne was sad for a while.’
The use of the passé simple in the second sentence of (36a) causes the normally
stative predicate to be interpreted as an event (change of state) which takes place
subsequent to the previous event in the narrative. The use of the imparfait in
(36b) is interpreted as describing a state which overlaps the event described in
the preceding sentence.
(36) a. Georges annonça sa résignation. Anne fut triste.
George announced his resignation. Anne was(ps) sad.
‘George announced his resignation. Anne became sad (as a result).’
b. Georges annonça sa résignation. Anne était triste
George announced his resignation. Anne was(imp) sad.
‘George announced his resignation. Anne was sad (during that time).’
A similar contrast is illustrated in (37). The use of the passé simple in the second
clause of (37a) causes ‘cross the street’ to be interpreted as a bounded event (an ac-
complishment) which takes place subsequent to the event in the previous clause.
The use of the imparfait in (37b) is interpreted as describing an unbounded event
(an activity) which overlaps with the event described in the previous clause.
(37) a. Quand elle vit Georges, Anne traversa la rue.
when she saw George Anne crossed(ps) the street
‘When/after she saw George, Anne crossed the street.’

399
20 Aspect and Aktionsart

b. Quand elle vit Georges, Anne traversait la rue.

when she saw George Anne crossed(imp) the street
‘When she saw George, Anne was crossing the street.’

The adverbial phrase ‘for two hours’ in (38) imposes bounds on an activity
(playing the piano) which would otherwise be unbounded. In this context, the
most natural description of a past event would use the passé simple, as in (38a). De
Swart states that the use of the imparfait in (38b) cannot describe a single event of
Anne playing the piano for two hours, but could receive a habitual interpretation:
whenever she played the piano, she used to play for two hours.

(38) a. Anne joua du piano pendant deux heures.

Anne played(ps) the piano for two hours
‘Anne played the piano for two hours.’
b. Anne jouait du piano pendant deux heures.
Anne played(imp) the piano for two hours
‘Anne used to play the piano for two hours.’

We will see more examples of coercion effects arising from aspectual sensitiv-
ity in the next two chapters.

20.7 Conclusion
Aktionsart (situation aspect) is a way of classifying situations (events and states)
on the basis of their temporal contour, that is, the shape of their “run time”. A
state is a situation which is homogeneous over time (nothing changes within the
time span being described), while an event involves some kind of change. The
primary features which are used to distinguish different classes of events are
duration and telicity (boundedness).
Grammatical aspect (or “viewpoint aspect”) is a choice that the speaker makes
in describing a situation, part of the claim that is being made about the situation.
It is expressed by grammatical morphemes which indicate the relation between
the run time of the situation and the “Topic Time”, or time about which a claim
is being made. The most basic distinction is between perfective aspect, which
indicates that the situation time is contained within Topic Time, vs. imperfective
aspect, which indicates that the situation time extends beyond the boundaries of
Topic Time.

400
 20.7 Conclusion

Some tense and aspect markers impose selectional restrictions on the types
of situations which they can be used to describe. De Swart (1998) refers to se-
lectional restrictions of this kind as aspectual sensitivity. When the expected
temporal contour of the described situation clashes with the aspectual sensitivity
of the tense or aspect marker that is used in the description, or with some other
element of the clause (e.g. an adverbial phrase), a new interpretation may be co-
erced that involves a different aktionsart. This type of coercion is an important
factor in explaining how the basic meanings (established sense(s)) of tense and
aspect markers can account for their observed range of uses.

Further reading

Comrie (1976) is still an excellent resource on the typology of grammati-

cal aspect. C. Smith (1997) is another foundational work on grammatical
(or “viewpoint”) aspect and aktionsart (situation aspect). Binnick (2006)
provides a helpful overview of these topics, and Klein (2009) provides a
helpful introduction to his theory of tense and aspect. Dowty (1979) pro-
vides an very good description of the aktionsart categories and summarizes
a number of useful tests for identifying and distinguishing them.

Discussion exercises

A: Identify the most likely situation type (aktionsart) for the following
predicates (options: state, activity, achievement, accomplishment,
semelfactive):a
1. swim
2. be happy
3. wake up

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20 Aspect and Aktionsart

4. snap your fingers

5. compose a sonnet
6. swim the English channel
7. drink coffee
8. drink two cups of coffee
9. expire (e.g., visa, passport, etc.)
10. own (e.g., John owns a parrot)
a Patterned after Kearns (2000: 225).

Homework exercises

A: Some English verbs are polysemous between a stative sense and a dy-
namic (eventive) sense. Show how the progressive aspect can be used to
distinguish these two senses for each of the following five verbs: weigh,
extend, surround, smell, apply (e.g. that law doesn’t apply vs. apply
for a job).a

Model answer: have

1. Stative: She has/#is having four grown children.

2. Dynamic: She is having a baby.

B: Show how you would use time adverbials (e.g. for an hour vs. in an
hour) to determine whether each of the following situations is telic or
atelic:

1. Walter laughed.
2. Susan realized her mistake.
3. Horace played piano sonatas.
4. Horace played Beethoven’s Pathétique sonata.
5. Martha resented George’s comment.

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 20.7 Conclusion

C: Describe the coercion effects in the following examples:

1. As I walked through his door, I was instantly aware of the quiet

strength of mind Buzz possesses.b
2. William recited the Iliad for a few minutes.
3. John knocked on the door for ten minutes.
4. The children of Atuler village in Sichuan have for many years been
climbing up a sheer 800 meter cliff on rattan ladders in order to
attend school.

a Adapted from Saeed (2009: 147).

b http://www.vvoice.org/?module=displaystory&story_id=3725&format=html

403
21 Tense
21.1 Introduction
As we discussed in Chapter 20, tense markers are frequently described as locating
a situation in time relative to the time of speaking (or some other reference time).
However, we argued (following Klein and others) that tense actually indicates the
location of the topic time (the time span which is currently under discussion),
rather than the time of the situation itself. In this chapter we explore the kinds
of meanings that can be expressed by tense markers.
In §21.2 we will compare Klein’s theory of tense with some other well-known
approaches. In §21.3 we discuss in some detail the simple present tense in English.
This turns out to be a useful case study, because it illustrates how a wide range
of uses can be explained in terms of a single basic sense plus coercion effects
triggered by selectional restrictions, etc.
§21.4 discusses the difference between absolute tense, which defines past,
present, or future relative to the time of speaking, from relative tense, in which
the reference point for tense marking is some time other than the time of speak-
ing. Some languages also have complex tense forms, which combine absolute
with relative time reference. In sentence (1), for example, the first clause specifies
a topic time (3:15 pm) that is in the past relative to the time of speaking. That time
becomes the reference point for the tense marking in the second clause, which
specifies a new topic time (3:00 pm) that is in the past relative to this reference
point. The form had left is an example of a complex tense, namely “past-in-the-
past”.

(1) I managed to get to the station at 3:15 pm, but the train had left promptly
at 3:00.

Most languages that have grammatical tense markers distinguish only relative
order: past is before the time of speaking, future is after the time of speaking.
Some, however, make finer distinctions. §21.5 briefly illustrates some of these
metrical tense systems, in which various degrees of past or future time are
grammatically distinguished.
21 Tense

21.2 Tense relates Topic Time to the Time of Utterance

In Chapter 20 we quoted the following standard definitions of tense:

(2) a. “Tense is grammaticalised expression of location in time… [T]enses

locate situations either at the same time as the present moment…, or
prior to the present moment, or subsequent to the present moment.”
(Comrie 1985: 9, 14)
b. “Tense refers to the grammatical expression of the time of the
situation described in the proposition, relative to some other time.”
(Bybee 1992: 144)

An important feature of these definitions is that they are restricted to “gram-

matical(ized) expressions” of location in time. Every language has a variety of
content words which can be used to specify the time of an event. These may
include NPs (last year, that week, the next day), PPs (in the morning, after the
election), temporal adverbs (soon, later, then), adverbial clauses (While Hitler was
in Vienna, …), etc. But not all languages have tense markers. The traditional use
of the term tense in linguistics has been restricted to grammatical morphemes:
inflectional affixes, auxiliary verbs, particles, etc.
One way to represent the “location” of a situation in time is to define logical
operators (e.g. past and future) which will add tense information to a basic
proposition. These tense operators can be defined as existential quantifiers over
times, as suggested in (3).1 This definition says that past(p) will be true at the
time of speaking just in case there was some time prior to the time of speaking
when p was true; and similarly for future(p). (The letter t stands for ‘time’, and
“<” in this context means ‘prior to’. TU represents the time of speaking; this is
typically the time for which the truth value of a statement is evaluated.)

(3) past(p) is true at TU iff ∃t [t < TU ∧ (p is true at time t)]

future(p) is true at TU iff ∃t [TU < t ∧ (p is true at time t)]

This system works fairly well in many cases, but Partee (1973) points out that
it leads to problems with examples like (4):

(4) Wife to husband, as they drive away from their house: “I didn’t turn off
the stove.”

1 A. N. Prior (1957); Arthur N. Prior (1967).

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 21.2 Tense relates Topic Time to the Time of Utterance

If the positive statement I turned off the stove is interpreted as shown in (5a),
there are two possible ways of interpreting the corresponding negative state-
ment, depending on the scope of negation, as shown in (5b). The first reading
means that the speaker has never in her life turned off the stove, while the second
reading means that there was at least one moment in her life when the speaker
was not turning off the stove. Clearly neither of these captures the intended
meaning.

(5) a. I turned off the stove.

∃t [t < TU ∧ (TURN_OFF(speaker, stove) is true at t)]
b. I didn’t turn off the stove.
¬∃t [t < TU ∧ (TURN_OFF(speaker, stove) is true at t)]
or: ∃t [t < TU ∧ (¬TURN_OFF(speaker, stove) is true at t)]

In Chapter 20 we introduced Klein’s analysis of tense, which crucially defines

tense as indicating the location of Topic Time rather than the location in time of
the situation itself. Under Klein’s analysis, the past tense in (4) I didn’t turn off the
stove indicates that Topic Time is prior to the Time of Utterance. The Topic Time
is determined by the context; in this situation, it would be the time immediately
before leaving the house. The speaker is asserting that at that particular time, she
didn’t turn off the stove. No assertion is made about other times. This analysis
provides the correct interpretation.
To review, Klein defines tense and aspect as shown in (6), where TT = Topic
Time (the time period about which the speaker is making a claim); TU = Time
of Utterance (i.e., time of speaking); and TSit = the time of the event or situation
which is being described.

(6) a. Tense indicates a temporal relation between TT and TU;

b. Aspect indicates a temporal relation between TT and TSit.

So, for example, past tense can be defined as a grammatical marker which
indicates that TT is prior to TU. Future tense can be defined as indicating that TU
is prior to TT. Present tense might be defined as indicating that TU is contained
within TT.
Klein’s framework is based on the very influential work of Reichenbach (1947).
Reichenbach defined tense categories in terms of three cardinal points in time:
speech time (S), the time of the utterance; event time (E), the time of the event
or situation which is being described; and reference time (R). S and E corre-
spond to Klein’s TU and TSit, respectively. Reichenbach’s “reference time” can
be seen as analogous to Klein’s TT, although there is some disagreement as to

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what Reichenbach actually meant by this term. In the discussion that follows
we will use Klein’s terminology, but Reichenbach’s terms (E, S, and R) are also
widely used, and it will be helpful to be aware of these as well.
Because tense is (normally) marked relative to the time of the speech event,
tense markers are considered to be deictic elements. It is helpful to remember
that tense markers normally do not fully specify the location of the topic time;
rather, they impose constraints on that location, such as TT < TU (for past tense).
More specific time reference can be achieved by using temporal adverbs, adver-
bial clauses, etc.
Klein’s definition of tense as marking a temporal relation between TT and TU
provides us with a foundation for analyzing the semantic content of specific tense
markers. However, as Comrie (1985: 26–29, 54–55) points out, tense markers can
be associated with other kinds of meaning as well, including presuppositions, im-
plicatures, idiomatic uses, and polysemous senses. These factors often combine
to create a complex range of possible uses even for tense markers whose basic
semantic content is relatively simple. We can illustrate some of the challenges
involved in analyzing tense systems by looking at the simple present tense in
English.

21.3 Case study: English simple present tense

The simple present tense in English is notoriously puzzling, as Langacker (2001)
observes:

[T]he English present is notorious for the descriptive problems it poses.

Some would even refer to it as “the so-called present tense in English”, so
called because a characterization in terms of present time seems hopelessly
unworkable. On the one hand, it typically cannot be used for events oc-
curring at the time of speaking. To describe what I am doing right now, I
cannot felicitously use sentence [7a], with the simple present, but have to
resort to the progressive, as in [7b]. On the other hand, many uses of the
so-called present do not refer to present time at all, but to the future [8a],
to the past [8b], or to transcendent situations where time seems irrelevant
[8c]. It appears, in fact, that the present tense can be used for anything but
the present time.

(7) a. * I write this paper right now.

b. I am writing this paper right now.

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 21.3 Case study: English simple present tense

(8) a. My brother leaves for China next month.

b. I’m eating dinner last night when the phone rings. I answer it but
there’s no response. Then I hear this buzzing sound.
c. The area of a circle equals pi times the square of its radius.

The concept of aspectual sensitivity (the potential for tense forms to select
specific situation types or Aktionsart), which we introduced in Chapter 20, can
help us to explain at least some of these puzzles.2 Suppose that the basic meaning
of the English simple present tense is, in fact, present tense: it indicates that TU
is contained within TT. In addition, suppose that the simple present imposes a
selectional restriction on the described situation: only states may be described
using this form of the verb. This would immediately explain why eventive (non-
stative) situations that are happening at the time of speaking cannot normally be
expressed in the simple present but require the progressive, as illustrated in (7).
What happens when an event-type predicate is expressed in the simple pres-
ent? Eventive predicates in the progressive can be interpreted as referring to
specific events occurring at the time of speaking, as seen in (9a) and (10a), but
this interpretation is not available for the simple present because of the aspectual
sensitivity described in the preceding paragraph. For this reason, an event-type
predicate in the simple present frequently gets a habitual interpretation, as seen
in examples (9b) and (10b).3

(9) a. Mary is playing tennis.

b. Mary plays tennis.

(10) a. Sam is feeding the cat.

b. Sam feeds the cat.

As discussed in Chapter 20, habitual aspect describes a recurring event or on-

going state which is a characteristic property of a certain period of time.4 Ex-
amples (9b) and (10b) describe not what Mary and Sam are doing at the time of
speaking, but characteristic properties of Mary and Sam; thus these sentences
actually refer to states, not events. This is an example of coercion: since the
aspectual sensitivity of the simple present blocks the normal eventive sense of
these predicates, they take on a stative meaning in this context. The fact that
the habitual readings encode states rather than events can be seen in the fact
2 Much of the discussion in this section is based on Michaelis (2006).
3 Examples (9b) and (10b) are taken from C. Smith (1997: 185).
4 Comrie (1976: 27–28).

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21 Tense

that (9b) and (10b) cannot be appropriately used to answer the question, “What
is happening?”
A very similar use of the simple present is for gnomic (or universal) statements,
like those in (11); see also (8c). Again, even though the verbs used in (11) are
eventive, these sentences do not refer to specific events but to general properties.

(11) a. Pandas eat bamboo shoots.

b. Water boils at 100℃.
c. Work expands to fill the time available.
d. Absolute power corrupts absolutely.

As Langacker illustrated in (8a), the simple present can also be used to refer
to events in the future. Additional examples are provided in (12). This “futurate
present” usage presents two puzzles. First, we need to explain the shift in time
reference. Second, we would like to account for the apparent violation of the
aspectual restriction noted above: the simple present can be used to refer to spe-
cific events in the future, whereas this is normally impossible for events in the
present.

(12) a. The Foreign Minister flies to Paris on Tuesday (but you could see him
on Monday).
b. Brazil hosts the World Cup next year.
c. This offer ends at midnight tonight, and will not be repeated.

Comrie (1976: 47) notes that “there is a heavy constraint on the use of the
present tense with future reference, namely that the situation referred to must
be one that is scheduled.” He illustrates this constraint with the examples in (13).
Comrie notes that (13b) would only be acceptable if God is talking, or if humans
develop new technology that allows them to schedule rain.

(13) a. The train departs at five o’clock tomorrow morning.

b. ?#It rains tomorrow.

Note also that the future interpretation of the simple present is not available
within the scope of a conditional or temporal adverbial clause, as seen in (14b),
since these seem to block the inference that the event is independently scheduled.

(14) a. If/When you touch me, I will scream.

(main clause refers to specific event)

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 21.4 Relative tense

b. If/When you touch me, I scream.

(only gnomic/universal interpretation is possible)

We might explain these facts by suggesting that the futurate present is not a
description of a future event, but rather an assertion that a particular event is
“on the schedule” at the moment of speaking. It describes a state, specifically
a property of events: the property of being scheduled. This represents another
pattern of coercion. The habitual reading discussed above is unavailable because
of the adverbial expressions which specify a definite future time. The scheduled
future reading allows these sentences to be interpreted in a way which does not
violate the aspectual sensitivity of the simple present.
There are other eventive uses of the simple present, however, which are not so
easy to explain. The “historical present” illustrated in (8b) seems to be allowed
primarily in a specific genre of discourse, namely informal narrative. This usage
seems to involve a shift in the deictic reference point, from the current time
of speaking to the time line of the narrative. We need to recognize that such
shifts are possible in order to deal with examples like (15), which should be a
contradiction but is often heard on telephone answering machines.

(15) I’m not here right now.

In this example the identity of the speaker and location of the speech event
are interpreted in the normal way, but the hearer is expected to interpret the
deictic right now as referring to the time when the recording is played, the time
of hearing, rather than the original time of speaking. More study is needed to
understand why this shift should license an apparent violation of the aspectual
restrictions discussed above.
Other eventive uses of the simple present include explicit performatives, play-
by-play reports by sportscasters, stage directions in the scripts of plays, etc.5 For
now, we will simply consider these to be idiosyncratic exceptions to the general
rule; that is, idiomatic uses of the simple present form.

21.4 Relative tense

As noted in the definitions we cited from Comrie and Bybee, tense systems typ-
ically specify location in time relative to the time of the current utterance (TU).
This type of tense marking is called absolute tense. For certain tense markers,

5 See Klein (2009) for a discussion of other special uses of the present.

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21 Tense

however, some other reference point is used, which must be determined by the
context. This type of tense marking is called relative tense. Because absolute
tense marking is anchored to the time of the current utterance, absolute tenses
are deictic elements; relative tenses might be considered anaphoric rather than
deictic. A Brazilian Portuguese example is presented in (16a).6

(16) a. Quando você chegar, eu já saí.

when 2sg arrive.fut.sbjv 1sg already leave.past
‘When you arrive, I will already have left.’ [Brazilian Portuguese]
b. *When you arrive, I already left.

The simple past tense form saí ‘left’ would normally have past reference, but
in this context it gets a relative tense interpretation, indicating that the event
described in the main clause is located in the past relative to the time of the event
described in the adverbial clause. So in this context a verb marked for past tense
can refer to an event which is actually in the future relative to the time of the
speech event (TU). As demonstrated in (16b), the literal English translation of this
sentence is ungrammatical, because the simple past tense in English normally
does not allow this kind of relative tense interpretation.
We will refer to the contextually determined reference point of a relative tense
marker as the perspective time (PT).7 Absolute tense constrains the relationship
between TT and TU, while relative tense constrains the relationship between TT
and PT. In example (16a), the adverbial clause (‘When you arrive’) establishes the
perspective time, which is understood to be in the future relative to the time of
speaking. The past tense on the main verb saí ‘left’ gets a relative tense interpre-
tation in this context, indicating that the topic time (i.e., the time about which
an assertion is being made) is in the past relative to the perspective time.
The most likely interpretation for ex. (16a) is diagrammed in (17). Relative past
tense imposes the constraint that TT < PT, but does not specify whether TT is
before or after TU. The fact that TT is later than TU is a pragmatic inference; if the
speaker had already left before the time of speaking, it would be more natural
and informative to simply say ‘I have already left.’ (The relationship between

6 Comrie (1985: 31). A reviewer notes that the Persian translation for this example would use
exactly the same tenses as the Portuguese. Note that the Portuguese future subjunctive is
homophonous with the infinitive paradigm for most verbs, including chegar; but the paradigms
are distinct for certain irregular verbs, including ter ‘have’, haver ‘have’, ser ‘be’, estar ‘be’,
querer ‘want’, trazer ‘bring’, ver ‘see’, vir ‘come’ (Jeff Shrum, p.c.).
7 This terminology follows Kiparsky (2002) and Bohnemeyer (2014).

412
 21.4 Relative tense

TT and TSit is determined by the perfective aspect of the simple past form, as
discussed in Chapter 20.)

TU [ TT ] PT
(17)
| TSit: my departure | [ your arrival ]

In Imbabura Quechua, main clause verbs have absolute tense reference.8 Most
subordinate verbs use a distinct set of tense affixes which get a relative tense
interpretation.9 In the following examples, the subordinate verb ‘live’ is marked
for relative past, present or future tense according to whether it refers to a situa-
tion which existed before, during or after the situation named by the main verb,
which determines the perspective time. Since the main verb is marked for past
tense, the actual time referred to by the subordinate verb may have been before
the time of the utterance even when it is marked for ‘future’ tense, as in (18c):

(18) Imbabura Quechua (Peru; Cole 1982: 143)

a. [Marya Agatu-pi kawsa-j]-ta kri-rka-ni.
Mary Agato-in live-pres-acc believe-past-1subj
‘I believed that Mary was living (at that time) in Agato.’
b. [Marya Agatu-pi kawsa-shka]-ta kri-rka-ni.
Mary Agato-in live-past-acc believe-past-1subj
‘I believed that Mary had lived (at some previous time) in Agato.’
c. [Marya Agatu-pi kawsa-na]-ta kri-rka-ni.
Mary Agato-in live-fut-acc believe-past-1subj
‘I believed that Mary would (some day) live in Agato.’

Relative past tense is sometimes referred to as anterior tense, relative future

as posterior tense, and relative present as simultaneous tense. Relative tense is
most common in subordinate clauses, but is also found in main clauses in some
languages (e.g., classical Arabic). Comrie (1985) points out that participles in
many languages, including English and Latin, get a relative tense interpretation.
Example (19) illustrates the simultaneous meaning of the English present partici-
ple (flying). Example (10) illustrates the posterior meaning of the Latin future
participle: the event of crossing the river is described for a topic time which is in
the future relative to the perspective time defined by the main clause (the time

8 Cole (1982), Comrie (1985: 61).

9 Verbs in relative clauses use the main-clause tense markers with absolute tense reference.

413
21 Tense

when he failed to send over the provisions). Example (21) illustrates the ante-
rior meaning of the Latin past participle: the event of delaying is described for
a topic time which is in the past relative to the perspective time defined by the
main clause (the time when he orders them to give the signal).10

(19) a. Last week passengers flying with Qantas were given free tickets.
b. Next week passengers flying with Qantas will be given free tickets.

(20) Trāiectūrus Rhēnum commeātum nōn trānsmīsit.

cross-fut.ptcp Rhine provisions neg send.over-past.pfv.3sg
‘Being about to cross the Rhine, he did not send over the provisions.’11

(21) Paululum commorātus, sīgna canere iubet.

little.bit delay-pst.ptcp signal.pl to.sound order-pres.3sg
‘Having delayed a little while, he orders them to give the signal.’

The English be going to construction is sometimes identified as marking poste-

rior tense. It can express future time relative to a perspective time in the past, as
in (22a), creating a “future in the past” meaning. It can express future time rela-
tive to some generic or habitual perspective time, which may be past or present
relative to the time of speaking, as illustrated in (22b–c).

(22) a. I was just going to tell you when you first came in, only you began
about Castle Richmond.12
b. John keeps saying that he is going to visit Paris some day.
c. Dibber always did tell me Pat was going to study to be a doctor.13
d. John is going to visit you very soon.

Comrie (1985) points out that if a relative tense is used in contexts where the
perspective time is equivalent to the time of speaking, then its meaning is equiv-
alent to the corresponding absolute tense. For example, the interpretation of the
10 Example (21) comes from Sallust, Catilina 59; cited in Allen & Greenough (1903: §496). The
past participle in Latin, as in English, normally has a passive meaning; but the verb meaning
‘delay’ in Latin is a deponent verb, meaning that passive morphology does not create a passive
meaning.
11 Suetonius; cited in Comrie (1985: 61).
12 Anthony Trollope (1860), Castle Richmond; cited at: http://grammar.about.com/od/fh/g/Future-
In-The-Past.htm
13 John Fante, “Horselaugh on Dibber Lannon”; cited at: http://grammar.about.com/od/fh/g/
Future-In-The-Past.htm

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 21.4 Relative tense

posterior tense in (22d) is equivalent to a simple future tense. English does not
have a fully natural way of indicating “future in the future”. Comrie states that
the closest equivalent would make use of the about to construction, which marks
immediate future: he will be about to X.

21.4.1 Complex (“absolute-relative”) tense marking

The perspective time (PT) for relative tense markers like those discussed above is
not grammatically specified but is determined by contextual features. However,
Comrie points out that some languages do have tense forms which grammatically
specify both the location of PT (relative to TU) and the location of TT (relative
to PT). Comrie refers to such cases as “absolute-relative” tense marking; we will
use the term complex tense.
The English Pluperfect construction (I had eaten) can be used to express “past
in the past”, as illustrated in (23). In example (23a), the event of Sam reaching
the base camp is asserted to be true at a topic time which is in the past relative
to a perspective time in the past, which is defined by the preceding clause (the
time when the speaker arrived there). In example (23b), the event of Einstein
publishing a paper (in 1905) is asserted to be true at a topic time which is in the
past relative to a perspective time in the past, i.e. the time at which he won the
Nobel prize (1922).
(23) a. I reached the base camp Tuesday afternoon; Sam had arrived the
previous evening.
b. Einstein was awarded the Nobel prize in 1922, for a paper that he had
published in 1905.
Similarly, the Future Perfect construction (I will have eaten) can be used to
express “past in the future”. In example (24a), the event of Sam reaching the
base camp is asserted to be true at a topic time which is in the past relative
to a perspective time in the future (the time when the speaker arrives there).
Another complex tense, “future in the past”, is illustrated in (24b). This sentence
asserts that the event of Einstein winning the Nobel prize (1922) was in the future
relative to a perspective time in the past, i.e. the year in which he published four
ground-breaking papers (1905).
(24) a. I expect to reach the base camp on Tuesday afternoon; Sam will have
arrived the previous evening.
b. Einstein published four ground-breaking papers in 1905, including
the one for which he would win the Nobel prize in 1922.

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21 Tense

The relative positions of TT, PT and TU for the italicized verbs in examples
(23b), (24a), and (24b) are shown in the diagrams in (25).

(25) a. [ TT: 1905 ] PT TU “past in the past” (23b)

| TSit | (1922) (now)

b. TU [ TT: Mon. eve. ] PT “past in the future” (23a)

(now) | TSit | (Tues. pm)
c. PT [ TT: 1922 ] TU “future in the past” (23b)
(1905) | TSit | (now)

As we will see in Chapter 22, the Pluperfect and Future Perfect forms are am-
biguous. In addition to the complex tense readings illustrated in (23–24), they
can also be used to indicate perfect aspect. In this chapter we consider only their
tense functions.14
Comrie (1985) points out that cross-linguistically, most forms which express
complex tense meanings are morphologically complex; that is, they involve com-
binations of two or more morphemes, like the English Pluperfect and Future
Perfect constructions. However, occasional exceptions to this generalization do
exist, e.g. the mono-morphemic pluperfect –ara in literary Portuguese.

21.4.2 Sequence of tenses in indirect speech

The difference between direct vs. indirect speech is that direct speech purports to
be an exact quotation of the speaker’s words, as in (26a), whereas indirect speech
does not (26b).15

(26) a. Yesterday Arthur told me, “I will meet you here again tomorrow.”
[direct]
b. Yesterday Arthur told me that he would meet me there again today.
[indirect]

One of the most important differences between the two forms is seen in the
use of the deictic elements. Deictics within the direct quote (26a) are anchored
14 As discussed in Chapter 22, the temporal adverbs used here ensure that only the complex tense
readings are available.
15 Most languages probably make a distinction between direct vs. indirect speech, but in some
languages the difference is quite subtle. A number of languages are reported to have an inter-
mediate form, “semi-direct speech”, in which some but not all of the deictic elements (especially
pronouns and/or agreement markers) shift their reference point.

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 21.4 Relative tense

to the perspective of the original speaker (Arthur) and the time and place of the
original speech event: I = Arthur; you = the addressee in the original speech
event, who is also the speaker in the current, reporting event; here = place of the
original speech event; tomorrow = the day following the original speech event;
etc. Deictics within the indirect quote (26b) are anchored to the perspective of
the speaker in the current, reporting event (= the addressee in the original speech
event), and the time and place of the current speech event. So I shifts to he; you
shifts to me; here shifts to there; tomorrow shifts to today, etc.
Notice that the tense of the verb also shifts: will meet in the direct quote (26a)
becomes would meet in the indirect quote (26b). Since (absolute) tense is a deictic
category, anchored to the time of speaking, this is hardly surprising. It would be
natural to assume that this shift in tenses follows automatically from the shift
in deictic reference point. This may in fact be the case in some languages, but
in English and a number of other languages, the behavior of tense in indirect
speech is more complex. (The same issues often arise in other types of finite
complements, e.g. complements of verbs of thinking and knowing, in addition
to verbs of saying.)
Comrie (1985) presents an interesting contrast between the use of tense in in-
direct speech in English vs. Russian. In Russian, the tense of the verb in indirect
speech is identical to the tense in direct speech, i.e., the tense that was used by
the original speaker in the original speech act. However, all of the other deictic
elements shift to the perspective of the current speaker, just as they do in En-
glish. An example is presented in (27), reporting a speech act by John at some
unspecified time in the past:16

(27) a. Džon skazal: “Ja ujdu zavtra.”

John said 1sg will.leave tomorrow
John said, “I will leave tomorrow.” [direct]
b. Džon skazal, čto on ujdet na sledujuščij den.
John said comp 3sg will.leave on next day
John said that he would leave (lit: will leave) on the following day.
[indirect]

In other words, verbs in Russian indirect speech complements (and other finite
complements) get relative tense marking: the reference point is not the current
time of speaking, but the time of the reported speech event (or, more generally,
the topic time of the main clause). English verbs behave differently in this regard.
16 Data from Comrie (1985: 109). The non-past tense used in these examples would be interpreted
with future reference in this context.

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21 Tense

For example, in (26b) and the English translation of (27b), where the original
speaker used a simple future tense (will leave), the form used in indirect speech
is the complex “future in the past” tense (would leave). As noted above, this is
what we would expect to happen due to the shift in the deictic reference point,
from the time of the original speech event to the time of the current, reporting
speech event. However, there are other contexts where this shift by itself cannot
account for the English tense forms.
The examples in (28) suggest that the form of the complement verb depends
on the tense of the matrix (main clause) verb. Assume that John’s actual words in
both (28a) and (28b) use the present progressive form (I am studying). When the
matrix verb occurs in the future tense, as in (28b), English seems to follow the
same pattern as Russian: the tense of the complement verb in indirect speech is
identical to the tense that would have been used by the original speaker. However,
when the matrix verb occurs in the past tense, this is not always true: in (28a), for
example, we see the past progressive form (was studying) instead of the present
progressive (is studying).

(28) a. Yesterday I asked John what he was doing, and he said that he was/*is
studying.
b. If I ask him the same thing tomorrow, he will say that he is/*will be
studying.

Some additional examples illustrating this contrast are presented below. One
general pattern that emerges is that, when the complement clause contains an
auxiliary verb, that auxiliary retains its original tense form if the matrix verb
occurs in the future (b, b, b). However, if the matrix verb occurs in the past,
the auxiliary is normally “back-shifted”, i.e., replaced by the corresponding past
tense form, as seen in (a, a, b).17

(29) a. Yesterday I invited John to go out for pizza, but he said that he had/
*has just eaten.
b. If you invite him for pizza tomorrow, he will say that he has/
will have just eaten.

(30) (spoken in 1998):

a. In 2008 Ebenezer will say, “I will get tenure in 2011.”
b. In 2008 Ebenezer will say that he will get tenure in 2011.
17 Many of the examples in the remainder of this section are adapted from Declerck (1991).

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 21.4 Relative tense

(31) (spoken in 1998):

a. In 1987 Ebenezer said, “I will get tenure in 1992.”
b. In 1987 Ebenezer said that he would/*will get tenure in 1992.

When the original, reported utterance contains a verb in the simple past tense,
the original tense form is again retained if the matrix verb occurs in the future
(32). This can result in a past tense form being used to describe an event which
is in the future relative to the current time of speaking, as in (32b). Back-shifting
of a simple past form is often optional when the matrix verb occurs in the past,
as in (33).

(32) (spoken in 1998):

a. In 2008 Ebenezer will say, “I got tenure in 2004.”
b. In 2008 Ebenezer will say that he got/*will get tenure in 2004.

(33) (spoken in 1998):

a. In 1987 Ebenezer said, “I got tenure in 1982.”
b. In 1987 Ebenezer said that he got/had gotten tenure in 1982.

There are certain other contexts where back-shifting appears to be optional

as well. For example, if the matrix verb occurs in the past and the complement
clause describes a situation which is still true at the current time of speaking,
either past or present can often be used for the complement verb in place of the
present tense used by the original speaker (34). However, even in this context
back-shifting is sometimes obligatory, as illustrated in (35).

(34) a. Yesterday the mayor revealed that he is/was terminally ill.

b. Last week John told me that he likes/liked you.
c. The ancient Babylonians did not know that the earth circles/circled
the sun.

(35) a. I knew you liked/*like her.

b. This is John’s wife.
— Yes, I thought he was/*is married.

The set of rules which determine the tense forms in indirect speech comple-
ments is traditionally referred to as the “sequence of tenses.” A full discussion of
the sequence of tenses in English is beyond the scope of this chapter. Scholars

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21 Tense

disagree as to whether the sequence of tenses in English can be explained on

semantic grounds. Some (e.g. Comrie 1985) argue that the rules are purely gram-
matical, and cannot be predicted from the semantic content of the tense forms.
Others (e.g. Declerck 1991) argue that a semantic analysis is possible, though the
rules would need to be fairly complex.
Our purpose in this section has been to show that verb forms in indirect speech
complements may require special treatment: these verbs may not exhibit the
same kind of relative tense marking found in other kinds of subordinate clauses
within the same language, and the normal shift in deictic reference point may
not explain the usage of the tenses. Finally, this is an area where even closely
related languages can exhibit significant differences from each other.

21.5 Temporal Remoteness markers (“metrical tense”)

Among languages in which tense is marked morphologically, the most common
tense systems involve a two-way distinction: either past vs. non-past or future
vs. non-future.18 A three-way morphological distinction, like the Lithuanian past
vs. present vs. future paradigm mentioned in Chapter 20 (and repeated here as
36) is actually somewhat unusual.

(36) Lithuanian tense marking (Chung & Timberlake 1985: 204)

a. dirb-au
work-1sg.past
‘I worked/ was working’
b. dirb-u
work-1sg.present
‘I work/ am working’
c. dirb-s-iu
work-future-1sg
‘I will work/ will be working’

However, a number of languages have verbal affixes which distinguish more

than one degree of past and/or future time reference, e.g. ‘immediate past’ vs.
‘near past’ vs. ‘distant past’. Such systems are especially well-known among the
Bantu languages. Example (37) presents a paradigm from the Bantu language

18 Chung & Timberlake (1985).

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 21.5 Temporal Remoteness markers (“metrical tense”)

ChiBemba, which has (in addition to the present tense, not shown here) a sym-
metric set of four past and four future time markers.

(37) ChiBemba (Bantu)19

a. remote past
ba-àlí-bomb-ele
‘they worked (before yesterday)’
b. removed past
ba-àlíí-bomba
‘they worked (yesterday)’
c. near past
ba-àcí-bomba
‘they worked (today)’
d. immediate past
ba-á-bomba
‘they worked (within the last 3 hours)’
e. immediate future
ba-áláá-bomba
‘they’ll work (within the next 3 hours)’
f. near future ba-léé -bomba
‘they’ll work (later today)’
g. removed future ba-kà-bomba
‘they’ll work (tomorrow)’
h. remote future
ba-ká -bomba
‘they’ll work (after tomorrow)’

A slightly less complex system is found in Grebo (Niger-Kordofanian), as illus-

trated in (38):

(38) Grebo (Niger-Kordofanian)20

a. remote past
ne du-da bla
‘I pounded rice (before yesterday)’
19 Chung & Timberlake (1985: 208), based on Givón (1972).
20 Frawley (1992: 365–367); based on Innes (1966).

421
21 Tense

b. yesterday past
ne du-də bla
‘I pounded rice (yesterday)’
c. today (past or future)
ne du-e bla
‘I pounded/will pound rice (today)’
d. tomorrow future
ne du-a bla
‘I will pound rice (tomorrow)’
e. remote future
ne du-də2 bla
‘I will pound rice (after tomorrow)’

These systems are sometimes referred to as “metrical tense” or “graded tense”

systems. However, some recent research has argued that at least in some lan-
guages, these markers indicate the location of the situation time (TSit), rather
than the topic time (TT), relative to the time of speaking.21 If this is true, then
these markers would not fit Klein’s definition of tense. The widely-used label
Temporal Remoteness is general enough to include this type as well.
As examples (37–38) illustrate, Temporal Remoteness systems frequently make
distinctions such as ‘today’ vs. ‘yesterday’, ‘yesterday’ vs. ‘before yesterday’, etc.
In such systems, the “today” category is sometimes referred to as Hodiernal,
and the “yesterday past” category is sometimes referred to as Hesternal, based
on the Latin words for ‘today’ and ‘yesterday’. In some languages, temporal
remoteness is measured in other units of time, e.g. months or years; and in some,
there can be a shift in the choice of unit depending on which unit would be
contextually most relevant. Some languages make other kinds of distinctions,
e.g. between remembered past vs. non-remembered past.22
The ChiBemba and Grebo systems illustrated above are both symmetrical, with
equal numbers of past and future categories. It is also fairly common for a lan-
guage with Temporal Remoteness markers to make more distinctions in the past
than in the future. Nurse (2008) reports that in his sample of 210 Bantu languages,
about half have only a single future category, whereas 80% have more than one
degree of past time marking.
When languages do have multiple contrastive future markers, it is not un-
common for one or more to take on secondary meanings relating to degree of

21 Cable (2013); LaCross (2016).

22 Botne (2012).

422
 21.6 Conclusion

certainty (remote future marking less certainty). Such secondary meanings are
also associated with past time markers in some languages, with remoteness indi-
cating reduced certainty.23

21.6 Conclusion
We have adopted Klein’s definition of (absolute) tense as indicating a temporal re-
lation between TT and TU, and aspect as indicating a temporal relation between
TT and TSit. We assume further that relative tense indicates a temporal relation
between TT and some perspective time (PT), which is determined by context. It
is important to remember that the observed uses of tense-aspect markers do not
depend only on the semantic content of these morphemes. When we seek to ana-
lyze the meanings of these markers, we need to consider the following additional
factors as well:

• aspectual sensitivity (restriction to specific aktionsart/situation types);

• potential for different semantic functions in different situation types;
• coercion effects;
• potential for different uses in main vs. subordinate clauses;
• presuppositions triggered by the marker;
• implicatures which may add extra meaning;
• potential polysemy and/or idiomatic senses.

Several of these points were illustrated in our discussion of the simple present
tense in English.

Further reading

Comrie (1985: ch. 1) provides a good introduction to the study of tense,

and (in §1.8) a good discussion of the importance of distinguishing mean-

23 Botne (2012); Nurse (2008).

423
21 Tense

ing from usage, for tense markers in particular. Michaelis (2006) is another
helpful introduction, focusing primarily on English. Botne (2012) summa-
rizes what we know about “metrical tense” systems.

Discussion exercises
A: Draw time-line diagrams and provide an appropriate label for the
italicized verb in the following sentences:

Model answer
I managed to get to the station at 3:15 pm, but the train had left promptly at 3:00.

[ TT: 3:00 ] PT TU “past in the past”

| TSit | (3:15)

1. When I got home from the hospital, my wife wrote a letter to my

doctor.

2. When I got home from the hospital, my wife was writing a letter to
my doctor.

3. I fled from the Khmer Rouge in 1976; my brother would escape two
years later.

4. I can get to the station by 5:00 pm, but the train will have departed
at 3:00 pm.

5. This morning the President rescinded an executive order that he had

issued just 12 hours earlier.

424
 21.6 Conclusion

Homework exercises

A: Draw time-line diagrams for the clauses which contain the italicized
verb forms, and name the tense/aspect expressed by those forms:

Model answer
Einstein published four ground-breaking papers in 1905, including the one for which
he would win the Nobel prize in 1922.
PT [ TT: 1922 ] TU “future in the past”
(1905) | TSit | (2016)

1. When I got back from my trip, a family of stray cats were living in
my garage.

2. The new President will move into the White House on Jan. 20th ; the
previous President and his family will have vacated the premises on
Jan. 19th .

3. Kipling was sent back to England at the age of five; he would return
to India eleven years later to work as a journalist.

4. The road to Fort Driant began for the United States Third Army
when it landed on Utah Beach at 3 pm on August 5, 1944. The Third
Army had been activated four days earlier in England under the com-
mand of Lt. Gen. George S. Patton Jr.a
a http://warfarehistorynetwork.com/daily/wwii/general-george-s-pattons-lost-battle/

425
22 Varieties of the Perfect
22.1 Introduction: perfect vs. perfective
The terms perfect and perfective are often confused, or used interchangeably,
but there is an important difference between them. The contrast between the
perfect (e.g. have eaten) and perfective (ate) in English is illustrated in the exam-
ples in (1). In some contexts there seems to be very little difference in meaning
between the two, as illustrated in (1a–b). In other contexts, however, the two are
not interchangeable (1c–e). For example, the perfect cannot be used with certain
kinds of time adverbials which are fine with the perfective (1c–d). We will discuss
this very interesting restriction in §22.3.

(1) a. I just ate a whole pizza.

b. I have just eaten a whole pizza.
c. Last night I ate/#have eaten a whole pizza.
d. When I was a small boy, I broke/#have broken my leg.
e. Gutenberg discovered/#has discovered the art of printing.1

Notice that the English perfect can be combined with imperfective (specifi-
cally progressive) aspect, as in (2). This shows clearly that perfect and perfective
are distinct categories, because perfective and imperfective are incompatible and
could not co-occur in the same clause.

(2) a. I have been standing in this line for the past four hours.
b. Smith has been paying a lot of visits to New York lately. (Grice 1975)
c. Nixon has been writing an autobiography.

There is a large measure of agreement about the basic meaning of the perfec-
tive. As stated in Chapter 20, it is an aspectual category which refers to an entire
event as a whole, or as completely contained within Topic Time. In contrast, the
meaning of the perfect has been and remains a highly contentious issue.
1 McCoard (1978).
22 Varieties of the Perfect

We will begin our discussion in §22.2 by illustrating four or five well-known

uses or readings of the perfect. Whether or not all of these uses can be explained
in terms of a single core meaning remains one of the issues in the controversy. In
§22.3 we examine a much-discussed puzzle concerning the co-occurrence of time
adverbials with the English present perfect. In §22.4 we will review some of the
properties of the various readings which have been cited as evidence supporting
the claim that the English present perfect form is in fact polysemous. In §22.5–
§22.6 we examine the properties of perfect markers in two non-Indo-European
languages.

22.2 Uses of the perfect

McCawley (1971), Comrie (1976), and others identify four major uses, or seman-
tic functions, of the present perfect in English: (i) experiential (or existential)
perfect, illustrated in (3); (ii) perfect of persistent situation (also known as the
universal reading), illustrated in (4); (iii) perfect of continuing result, illus-
trated in (5); (iv) perfect of recent past (the “hot news” reading), illustrated in
(6). Similar uses are found in a number of other languages.

(3) Experiential (or Existential) reading

a. Have you ever tasted fresh durian?
b. I have climbed Mt. Fuji twice in the past six months.

(4) Perfect of persistent situation (Universal perfect)

a. He has lived in Canberra since 1975.
b. I have been waiting for three days.

(5) Perfect of continuing result

a. I have lost my glasses, so I can’t read this telegram.
b. The governor has fainted; don’t let the press know until he regains
consciousness.

(6) Recent past (or “hot news”) reading

a. A group of former city employees has just abducted the Mayor.
b. The American president has announced new trade sanctions against
the Vatican.

428
 22.2 Uses of the perfect

Kiparsky (2002) mentions a fifth use of the perfect, attested in languages such
as Swahili, Sanskrit, and ancient Greek, which he calls the Stative Present. In
these languages, the perfect form can be used to refer to events, as in English;
but it can also be used to refer to the state that results from an event. Some
Swahili examples are provided in (7).2

(7) Swahili (Ashton 1944)

Root Perfect form
-fika ‘arrive’ a-me-fika ‘he has arrived’
-iva ‘ripen’ ki-me-iva ‘it is ripe’
-choka ‘get tired’ a-me-choka ‘he is tired’
-simama ‘stand up’ a-me-simama ‘he is standing’
-sikia ‘hear, feel’ a-me-sikia ‘he understands’

We will focus our discussion on the four uses illustrated in (3–6). Comrie (1976)
and others have attempted to unify these four readings under a single definition
in terms of “current relevance”. Comrie says that the perfect is used to express a
past event which is relevant to the present situation. That is, it signals that some
event in the past has produced a state of affairs which continues to be true and
significant at the present moment.
Other authors have suggested that what the various uses of the perfect share
is reference to an indefinite past time. Klein (1992; 1994) for example, building
on the analysis of Reichenbach (1947), suggests that the perfect indicates that
Time of Situation precedes Topic Time. A number of other authors have adopted
some version of Reichenbach’s analysis as well, often arguing that the different
readings arise through various pragmatic inferences.
A very influential proposal by McCoard (1978) argues that the meaning of the
perfect locates the described event within the “Extended Now”, an interval of
time which begins in the past and includes the utterance time.

The intuitive idea of the Extended Now is that we typically count a longer
stretch of time than the momentary “now” as the present for conversa-
tional purposes. Its exact duration is contextually determined, since what
we count as “the present” in this sense may vary depending on the conver-
sational topic. (Portner 2003)

2 Kiparsky notes that this reading is available in English only with a single verb: I’ve got (=I
have) five dollars in my pocket (cf. Jespersen 1931: 47). Comrie treats the Stative Present as a
sub-type of his “perfect of result”.

429
22 Varieties of the Perfect

Some authors, however, including McCawley (1971; 1981b), Michaelis (1994;

1998), and Kiparsky (2002), have argued that the English perfect is polysemous,
and that at least some of the readings listed above must be recognized as fully
distinct senses. We will discuss some of the evidence which supports this claim
in §22.4.

22.3 Tense vs. aspect uses of English have + participle

22.3.1 The present perfect puzzle
As illustrated in (1c–d), the English present perfect cannot normally co-occur
with adverbial phrases which name the time in the past when the event occurred;
further evidence is provided in (8b).

(8) a. George left for Paris yesterday/last week.

b. George has left for Paris (*yesterday/*last week).

This constraint may seem puzzling, since the use of the present perfect clearly
indicates that the described event took place in the past. Klein’s definition of
perfect aspect as indicating that Time of Situation precedes Topic Time may offer
at least a partial explanation.3
In English, the perfect can be combined with the various tenses to create the
present perfect, past perfect, and future perfect forms: the present perfect com-
bines present tense with perfect aspect, and so forth. Recall that tense indicates
the position of Topic Time relative to the Time of Utterance; so in the present
perfect, the Topic Time equals or includes the Time of Utterance. This helps to
explain the “current relevance” constraint on the use of the present perfect: if
the Topic Time is now, then in using the perfect to describe an event or situa-
tion in the past, we are actually “talking about” or making an assertion about the
present moment.
Time adverbials like those in (1) and (8) generally modify the Topic Time. In
the present perfect, the Topic Time is “now”; so time adverbials which locate the
Topic Time in the past will be incompatible with the present perfect. The present
perfect is, however, compatible with time adverbials which include the present
moment, as illustrated in (9).

(9) a. I have now built hospitals on five continents.

b. I have interviewed ten students today/*yesterday.
c. I have built five hospitals this year/*last year.

3 See Klein (1992) for a detailed discussion of this topic.

430
 22.3 Tense vs. aspect uses of English have + participle

The use of the perfect aspect constrains the Time of Situation by indicating that
it precedes Topic Time, but it does not provide a precise location in time for the
Time of Situation. The result is an “indefinite past” interpretation, which stands
in contrast to the simple past form of the verb. The simple past tense indicates
that Topic Time precedes the Time of Utterance (past tense) and contains the
Time of Situation (perfective aspect). Topic Time must be identifiable by the
hearer, and so will generally be specified, with whatever degree of precision is
required, by some combination of adverbial phrases, contextual clues, etc.
Comrie (1976: 55) points out that past time adverbials actually can be used with
the present perfect form of the verb in certain contexts, such as in non-finite
clauses (10a–c), or in the presence of a modal auxiliary (10d–f).

(10) a. Having eaten a whole pizza last night, I skipped breakfast this
morning.
b. Einstein’s having visited Princeton in 1921 eventually led to his
permanent appointment there.
c. Charlie Chaplin was believed to have been born on April 16, 1889.
d. I should not have eaten a whole pizza last night.
e. Einstein must have visited Princeton in 1921.
f. Charlie Chaplin may have been born on April 16, 1889.

McCawley (1971: 101) observes that these environments have something in

common: in these contexts past tense cannot be morphologically expressed by
the normal past tense suffix -ed. This suggests that the perfect form (have + V-en)
may have a different function in such contexts, namely as a marker of past time,
i.e., an “allomorph” of past tense.
The acceptability of the time adverbials in (10) shows that the italicized verbs
in these sentences do not have the interpretation normally associated with the
present perfect form. But of course, it is also possible for a true perfect to occur
with modals or in non-finite clauses, as illustrated in (11). So in these contexts the
perfect form is ambiguous: it may either mark past tense, as in (10), or perfect
aspect, as in (11). The two uses are distinguished by the interpretation of the time
adverbials: if the time adverbs specify the time of the situation itself, as in (10),
we are dealing with past tense.

431
22 Varieties of the Perfect

(11) a. Having lived in Tokyo since 1965, I know the city fairly well.
b. Arthur was believed to have climbed Mt. Fuji four times.
c. Einstein must have visited Princeton several times before he
emigrated to America.

The same ambiguity can be observed in the past perfect and future perfect
as well. The examples in (12) involve true perfect aspect. The time adverbials
shown in boldface in these examples refer to Topic Time, which precedes the
time of speaking in the past perfect (12a) and follows the time of speaking in
the future perfect (12b). In both cases, perfect aspect indicates that the Situation
Time (the time when Mt. Fuji is climbed) occurs before Topic Time.

(12) a. In 1987, when I first met Arthur, he had (already) climbed Mt. Fuji
four times.
b. Next Christmas, when you come to see me, I will have climbed Mt.
Fuji four times.

The examples in (13) illustrate the use of the perfect form as a tense marker. In
these examples the time adverbials shown in boldface refer to the time when the
event actually took place. The perfect form is used to locate the situation prior
to some perspective time which is different from the time of speaking. The result
is a compound tense, as discussed in Chapter 21: “past in the past” in (13a), “past
in the future” in (13b).

(13) a. Einstein was awarded the Nobel prize in 1922, for a paper that he had
published in 1905.
b. I will reach Tokyo at 6:00 pm, but George will have arrived at noon.

22.3.2 Distinguishing perfect aspect vs. relative tense

There is a long tradition of regarding the aspectual vs. complex tense uses of the
past perfect and future perfect forms as instances of polysemy.4 However, some
authors disagree with this view. Klein (1994) for example argues that both the
“perfect in the past” (12a) and the “past in the past” (13a) interpretations of the plu-
perfect (= past perfect) form can be assigned to a single basic sense: TSit<TT<TU.
He states, “The notion of relative tense is not necessary to account for the Plu-
perfect nor for the Future Perfect” (1994: 131).

4 Jespersen (1924); Comrie (1976).

432
 22.3 Tense vs. aspect uses of English have + participle

Bohnemeyer (2014) argues that perfect aspect does need to be distinguished

from anterior (relative past) tense. The empirical basis for this claim is that some
languages (e.g. Kalaallisut (=West Greenlandic) and Yucatec Maya) have a per-
fect aspect that cannot be used to express anterior tense, while other languages
(e.g. Japanese, Kituba, and Korean) have anterior tenses that cannot be used to
express perfect aspect. The critical diagnostic that Bohnemeyer uses is the inter-
pretation of time adverbials. Time adverbials can be used with the perfect aspect
in Kalaallisut and Yucatec Maya to specify a topic time before which the event
had occurred, as illustrated in (14), but not to specify the time of the event itself,
as in (15). The opposite pattern holds for the anterior tense forms in Japanese,
Kituba, and Korean: these are compatible with time adverbials that specify the
time of the event itself, as in (15), but not with time adverbials that specify a topic
time before which the event had occurred, as in (14).

(14) perfect aspect:

a. In 1912, when Theodore Roosevelt challenged William Howard Taft
for the Republican nomination, both men had been elected President
of the United States. Taft was now an unpopular incumbent,
Roosevelt his beloved predecessor.
b. When you see me again next Christmas, I will have graduated from
law school.

(15) anterior tense:

a. Arthur’s theft of government documents was discovered on May 21st ,
but he had left the country on April 16th .
b. I expect to reach the base camp on Tuesday afternoon; Sam will have
arrived the previous evening.

The crucial difference between perfect aspect vs. anterior (= relative past) tense
is this: With relative past tense the time of the described situation can be speci-
fied precisely, as seen in (15), because TSit must overlap with Topic Time. With
perfect aspect, however, the time of the described situation is generally not spec-
ified precisely; all we know is that TSit must be sometime prior to Topic Time,
as illustrated in (14).

433
22 Varieties of the Perfect

22.4 Arguments for polysemous aspectual senses of the

English Perfect
As noted above, McCawley (1971; 1981b), Michaelis (1994; 1998), and Kiparsky
(2002) have argued that the various aspectual uses of the English perfect are in
fact distinct polysemous senses. In this section we discuss some of the evidence
that has been proposed in support of this hypothesis.
McCawley observed that the existential reading presupposes that a similar
event could happen again, i.e., is currently possible. “In particular, the referents
of the NP arguments must exist at [the time of speaking], and the event must be
of a repeatable type” (Kiparsky 2002). The examples in (16b–c) are odd because
the subject NPs are no longer alive at the time of speaking. Example (17) is odd
because the described event clearly cannot happen again.

(16) a. I have never tasted fresh durian.

b. #Julius Caesar has never tasted fresh durian.
c. #Einstein has visited Princeton. (spoken after he died)5

(17) #Fred has been born in Paris.6

Leech (1971: 33) notes that the perfect form in (18a) would be appropriate if the
Gauguin exhibition is still running, so the addressee could still attend. Once the
exhibit has closed for good, however, only (18b) would be felicitous. McCawley
(1971: 107) points out that other circumstances could also make (18a) infelicitous,
for example if the addressee has “recently suffered an injury which will keep him
in the hospital until long after the exhibition closes.”

(18) a. Have you visited the Gauguin exhibition?

b. Did you visit the Gauguin exhibition?

The examples in (16a–b) and (18a) show that the “current possibility” require-
ment is a presupposition, because it applies even to negative statements and ques-
tions. They also give us reason to believe that this presupposition is better stated
in terms of current possibility than repeatability, since neither sentence assumes
that the event has happened in the past.
Jespersen (1931: 66–67) notes that the choice between perfect and perfective
can be significant because of this presupposition: “The difference between the
5 Example (16c) is from Chomsky (1970).
6 Kiparsky (2002).

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 22.4 Arguments for polysemous aspectual senses of the English Perfect

reference to a dead man and to one still living is seen in the following quotation
[19] which must have been written between 1859, when Macaulay died, and 1881,
when Carlyle died (note also Mr. before the latter name).”7

(19) Macaulay did not impress the very soul of English feeling as Mr. Carlyle,
for example, has done. [attributed to McCarthy]

Kiparsky points out that the presupposition of current possibility does not
attach to the recent past (or “hot news”) reading, as illustrated in (20). He cites
this contrast as evidence that the existential and “hot news” readings are in fact
distinct senses.

(20) a. Fred has just eaten the last doughnut.8

b. Einstein has just died.

A second argument is based on the observation that the various readings listed
above do not all have the same truth conditions. Kiparsky notes that sentence
(21) is ambiguous between the existential vs. universal (or persistent situation)
readings, and that these two readings have different truth conditions. The univer-
sal reading asserts that at all times from 1977 to the present, the speaker was in
Hyderabad; it is false if there were any times within that period at which he was
elsewhere. The existential reading asserts only that there was at least one time
between 1977 and the present moment at which the speaker was in Hyderabad.
We could easily construct a context in which the existential reading is true and
the universal reading false. This suggests that we are dealing with true semantic
ambiguity, rather than mere vagueness or generality.

(21) I have been in Hyderabad since 1977.

Third, the various readings have different translation equivalents in other lan-
guages. Kiparsky notes that some languages which have a perfect, e.g. German
7 Jespersen also points out that topicality can affect the use of the perfect: “Thus we may say:
Newton has explained the movements of the moon (i.e. in a way that is still known or thought to
be correct, while Newton explained the movements of the moon from the attraction of the earth
would imply that the explanation has since been given up). On the other hand, we must use
the preterit in Newton believed in an omnipotent God, because we are not thinking of any effect
his belief may have on the present age” (Jespersen 1931: 66). The “effect on the present age”
is relevant because the Topic Time of the present perfect is the time of speaking. Topicality
also seems to be responsible for the contrast which Chomsky (1970) noted between Einstein
has visited Princeton, which seems to imply that Einstein is still alive, vs. Princeton has been
visited by Einstein, which can still be felicitous after Einstein’s death.
8 Kiparsky (2002).

435
22 Varieties of the Perfect

and modern Greek, would use the simple present tense rather than the perfect to
express the universal reading.9 In addition, some languages (e.g. Hungarian and
Najdi Arabic) have a distinct form which expresses only the existential/experi-
ential perfect. Mandarin seems to be another such language; see §22.6 below.
A fourth type of evidence is seen in the following play on words (often at-
tributed to Groucho Marx, but probably first spoken by someone else) which
seems to demonstrate an antagonism between the (expected) “hot news” sense
and the (unexpected) existential sense of the perfect:

(22) I’ve had a perfectly wonderful evening, but this wasn’t it.

Authors supporting the polysemy of the perfect have also pointed out that the
various readings have different aspectual requirements. The universal reading, in
contrast to all other uses of the perfect, is possible only with atelic situations. This
would include states or activities (23a–b), coerced states such as habituals (23c),
and accomplishments expressed in the imperfective (thus involving an atelic as-
sertion, 23d). Telic situations like those in (24) cannot normally be expressed in
the universal perfect. In contrast, the perfect of continuing result illustrated in
(5) is possible only with telic events (achievements or accomplishments).

(23) a. I have loved Charlie Chaplin ever since I saw Modern Times.
b. Fred has carried the food pack for the past 3 hours, and needs a rest.
c. I have attended All Saints Cathedral since 1983.
d. I’ve been writing a history of Nepal for the past six years, and
haven’t had time to work on anything else.

(24) a. #Fred has arrived at the summit for the past 3 hours.
b. #I have written a history of Nepal for the past six years.

This correlation between situation type and “sense” of the perfect is clearly an
important fact which any analysis needs to account for; but by itself it does not
necessarily prove that the perfect is polysemous. We have already seen several
cases where a single sense of a tense or aspect marker gives rise to different
interpretations with different situation types (Aktionsart), so this is a possibility
that we should consider with the perfect as well. Here we leave our discussion
of the English perfect, in order to examine the uses of the perfect in two other
languages.

9 See also Comrie (1976), Klein (2009).

436
 22.5 Case study: Perfect aspect in Baraïn (Chadic)

22.5 Case study: Perfect aspect in Baraïn (Chadic)

Baraïn is an East Chadic (Afroasiatic) language spoken by about 6,000 people in
the Republic of Chad. Lovestrand (2012) discusses the contrast between perfect
vs. perfective in Baraïn. He shows that the perfect form of the verb can be used
for four of the five common uses of the perfect discussed above, specifically all
but the experiential perfect. Examples of the four possible uses are presented in
(25).
(25) a. Resultative:
kà gūsē ándì
kà gūs- -ē ándì
Sbj:3.m go.out prf Andi
‘He has left Andi (and has not returned).’
b. Universal:
kà súlē máŋgò wàlèɟì kúr
kà súl- -ē móŋgò wālō -ɟì kúr
Sbj:3.m sit prf Mongo year poss:3.m ten
‘He has lived in Mongo for ten years (and lives there now).’
c. Recent past:
kà kólē sòndé kāj
kà kól- -ē sòndé kājē
Sbj:3.m go prf now here
‘He has just left this moment.’
d. Present state:
rámà ātːē màlpì
rámà ǎtː- -ē màlpì
Rama remain prf Melfi
‘Rama has stayed in Melfi (and is there now).’
French: Il est resté à Melfi.
Lovestrand states that “what is labeled the ‘existential’ or ‘experiential’ perfect
is not expressed with the Perfect, but instead with the Perfective marker.” An
example is presented in (26).
(26) kì kólá ātːá ānːáŋ ɲɟàménà
kiˋ kól- -à ātːá ānːáŋ ɲɟamena
Sbj:2.s go pfv time how.many N’Djamena
‘How many times have you been to N’Djamena?’

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22 Varieties of the Perfect

The perfect in Baraïn, in all four of its uses, entails that the situation is still
true or the result state still holds at the time of speaking. Semelfactives, which
do not have a result state, cannot be expressed in the perfect:

(27) a. kà ásːá tā ātːá pańiŋ́

kà ásː- -à tā ātːá pańiŋ́
Sbj:3.m cough pfv prtcl time one
‘He coughed once.’
b. #kà asːe ātːá pańiŋ́
kà ásː- -ē ātːá pańiŋ́
Sbj:3.m cough prf time one

The requirement that the result state still hold true at the time of speaking is
illustrated in (28a). If the same event is described in the perfective, as in (28b), it
implies that the result state is no longer true.

(28) a. kà kólá wò kà láawē

kà kól- -à wò kà láaw- -ē
Sbj:3.m go pfv and S:3.m return prf
‘He left but he has returned (and is still here).’
b. kà kólá wò kà láawá tā
kà kól- -à wò kà láaw- -à tā
Sbj:3.m go pfv and S:3.m return pfv prtcl
‘He left and he returned (but he is not here now).’

Events which result in a permanent change of state, like those in (29a) and
(30a), must normally be expressed in the perfect. If these events are described in
the perfective, as in (29b) and (30b), it implies that some extraordinary event has
taken place to undo the result state of the described event.

(29) a. átːù tōklē

átːá -ɟù tǒkl- -ē
arm poss:1sg remove prf
‘My arm was removed.’
b. átːù tòklá tā
átːá -ɟù tǒkl- -à tā
arm poss:1sg remove pfv prtcl
‘My arm was removed once (but somebody reattached it).’

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 22.6 Case study: Experiential -guo in Mandarin

(30) a. kà mótē
kà mót- -ē
Sbj:3.m die prf
‘He died.’
b. ?kà mótá
kà mót- -à
Sbj:3.m die pfv
‘He was dead (but is miraculously no longer dead).’

The inference illustrated in (29–30), by which the perfective signals that the re-
sult state is no longer true, seems to be an implicature triggered by the speaker’s
choice not to use the perfect, where that would be possible. This inference does
not arise in all contexts. For example, verbs describing main-line events in a
narrative sequence can occur in the perfective without any implication that the
result state is no longer true. In contrast, the requirement that the result state of
an event in the perfect hold true at the time of speaking is an entailment which
cannot be cancelled, as demonstrated in (31b).

(31) a. kà mótá tā wò kà ɲīrē

kà mót- -à tā wò kà ɲīr -ē
Sbj:3.m die pfv prtcl and Sbj:3.m resurrect prf
‘He died, but he has been resurrected.’
b. #kà mótē wò kà ɲīrē
kà mót- -ē wò kà ɲīr -ē
Sbj:3.m die prf and Sbj:3.m resurrect prf
(intended: ‘He has died, but he has been resurrected.’)

22.6 Case study: Experiential -guo in Mandarin

In our discussion of the English perfect we noted that some languages have a per-
fect marker which expresses only the existential/experiential sense. Mandarin is
one such language. The meaning of the verbal suffix -guo is in some ways the
polar opposite of the meaning of the perfect marker in Baraïn. While the perfect
in Baraïn can express all of the standard perfect readings except the experiential,
-guo expresses only the experiential perfect. While the perfect in Baraïn requires
that the result state of the event still holds true at the time of speaking, -guo
requires that the result state no longer holds true at the time of speaking.

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22 Varieties of the Perfect

The meaning of Mandarin -guo is similar in many ways to the existential/ex-

periential perfect in English; but there are important differences as well. Chao
(1968) refers to the suffix -guo as a marker of “indefinite past aspect”. Li & Thomp-
son (1981: 226) identify -guo as a marker of “experiential aspect”, stating that it
indicates that the situation has been experienced at least once, at some indefinite
time in the past.10 They provide the following minimal pair illustrating the con-
trast between the perfective (32a), in which the described event occurs within
Topic Time, vs. the experiential (32b), in which the described event occurs at
some arbitrary time prior to Topic Time.11

(32) a. Nǐ kànjian-le wǒ=de yǎnjìng ma?

2sg see-pfv 1sg=poss glasses q
‘Did you see my glasses?’ (recently; I’m looking for them)
b. Nǐ kànjian-guo wǒ=de yǎnjìng ma?
2sg see-exper 1sg=poss glasses q
‘Have you ever seen my glasses?’

Wu (2009) states: “an eventuality presented by -guo is temporally independent

of others in the same discourse.” This constraint follows from the fact that nor-
mally -guo has indefinite time reference, and so does not establish a new Topic
Time to which other clauses or sentences can refer. As a result, clauses marked
with -guo are not interpreted as a narrative sequence of events. Iljic (1990: 308)
provides the following contrast between the two verbal suffixes –le and -guo,
showing that a series of clauses marked with –le is interpreted as a chronologi-
cal sequence, while the same series of clauses marked with -guo is interpreted as
a mere inventory of activities.

(33) a. Qùnián wǒ zuò-le mǎimài, xué-le jìsuànjī, shàng-le

last.year 1sg do-pfv business study-pfv computer go-pfv
yèdàxué.
evening.university
‘Last year I did some business, (then) studied computers, (then)
attended evening university.’ (chronological perspective)
10 Some authors take the term “experiential aspect” quite literally, assuming that an animate expe-
riencer must be involved. For example, Xiao & McEnery (2004: 144) write: “The distinguishing
feature of -guo is that it conveys a mentally experienced situation.” C. Smith (1997: 267) states
that “sentences with-guo ascribe to an experiencer the property of having participated in the
situation.” However, -guo can also be used in clauses which contain no animate arguments.
11 Examples from Ma (1977: 19); Li & Thompson (1981: 227).

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 22.6 Case study: Experiential -guo in Mandarin

b. Qùnián wǒ zuò-guo mǎimài, xué-guo jìsuànjī, shàng-guo

last.year 1sg do-exper business study-exper computer go-exper
yèdàxué.
evening.university
‘Last year I did some business, (and) studied computers, (and)
attended evening university.’ (inventory perspective)

Examples like (34) are sometimes cited as counter-examples to the generaliza-

tion that -guo marks indefinite time in the past. The speaker in this sentence is
clearly not just claiming to have eaten food at some time in the past, but rather
is stating that he has finished eating the most recently scheduled meal.

(34) Wǒ chī-guò fàn le.

1sg eat-finish rice cos12
‘I have already eaten.’ (Ma 1977)

Chao (1968: 251), Comrie (1976: 59) and Xiao & McEnery (2004: 139ff.) state that
the -guò in such examples is not the aspectual suffix but a verb root occurring as
the second member of a compound verb. Both of these forms are derived from
the verb guò ‘to pass by’, and both are written with the same Chinese character.
However, the aspectual suffix can be distinguished from the compound verb by
phonological and morphological evidence. Phonologically, the aspectual suffix
is always toneless (i.e., takes neutral tone) whereas the compound verb takes an
optional 4th tone, as marked in (34).13 Morphologically, the compound verb -guò
can be followed by the perfective suffix -le, whereas the aspectual suffix -guo
cannot. Chu (1998: 39–40) shows that temporal adverbial clauses like the first
clause of (35) are another context where the compound verb -guò rather than the
aspectual suffix -guo is used. Some authors introduce unnecessary complexity
into the discussion of aspectual -guo by failing to make this distinction.

(35) Nǐ míngtian kàn-guò jiù zhīdao le.

2sg tomorrow see-finish then know cos
‘After you see it tomorrow, you will know.’ (G.-t. Chen 1979)

Many authors have noted an interesting semantic restriction on the use of the
aspectual suffix -guo: as first observed by Chao (1968:439; cf. Yeh 1996), there
12 The abbreviation cos stands for ‘change-of-state’, the label used by Soh (2009) for the sentence-
final particle which indicates that a situation is currently true but was not true in the past. Li
& Thompson (1981: 238ff.) use the label ”Currently Relevant State” for this particle.
13 Comrie states that this 4th tone is optional but is usually pronounced.

441
22 Varieties of the Perfect

must be a “discontinuity” between Situation Time and Topic Time. If the de-
scribed event produces a result state, the result state must be over before Topic
Time, as seen in (36a). We might represent this discontinuity as follows: TSit ∩
TT = ⌀ (here we assume that the result state is included in TSit). Some authors
(e.g. Iljic 1990, Yeh 1996) have suggested that this discontinuity effect is merely an
“inference”; but examples (37a) and (38a) seem to indicate that the requirement
is an entailment and not just an implicature.14

(36) a. Wǒ shuāi-duàn-guo tuǐ.

1sg fall-break-exper leg
‘I have broken my leg (before).’ (It has healed since.)
b. Wǒ shuāi-duàn-le tuǐ.
1sg fall-break-pfv leg
‘I broke my leg.’ (It may be still in a cast.)

(37) a. Tā qùnián dào Zhōngguó qù-guo, (#xiànzai hái zài nàr ne).
3sg last.year to China go-exper now still at there prtcl
‘He has been to China sometime last year (#and is still there now).’
b. Tā qùnián dào Zhōngguó qù-le, (xiànzai hái zài nàr ne).
3sg last.year to China go-pfv now still at there prtcl
‘He went to China last year (and is still there now).’

(38) a. Tā ài-guo Huáng Xiǎojie, (#xiànzai hái ài-zhe tā ne).

3sg love-exper Huang Miss now still love-cont there prtcl
‘He once loved Miss Huang (#and he still loves her now).’
b. Tā ài Huáng Xiǎojie le, (xiànzai hái ài-zhe tā ne).
3sg love Huang Miss cos now still love-cont there prtcl
‘He has fallen in love with Miss Huang (and he still loves her now).’

Interestingly, this discontinuity requirement is (partially?) dependent on the

definiteness of the affected argument.15 When the patient is definite, as in (39a),
the use of -guo indicates that the result state no longer obtains; but when the
patient is indefinite, as in (39b), there is no such implication/entailment.16

14 Examples (36)–(38) come from Ma (1977: 18, 25) and Chao (1968).
15 Lin(2007); Wu (2008); C.-c. Chen (2009).
16 Examples from C.-c. Chen (2009); cf. Lin (2007).

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 22.6 Case study: Experiential -guo in Mandarin

(39) a. Lǐsì nòng-huài-guo zhè bù bǐjìxíng-diànnǎo.

Lisi make-broken-exper this CL laptop
‘Lisi has broken this laptop before.’
(strongly implies that the laptop has been fixed at the time of speech)
b. Lǐsì nòng-huài-guo yī bù bǐjìxíng-diànnǎo.
Lisi make-broken-exper one CL laptop
‘Lisi has broken a laptop before.’
(no commitment as to whether the laptop has been fixed or not)

A number of authors17 have claimed that the situation marked by -guo must be
repeatable. If it is an event, there must be a possibility for the same kind of event
to happen again. This is a well-known property of the experiential (or existential)
perfect in English, and its applicability to -guo is supported by examples like
(40), from Ma (1977: 15). However, this claim has been challenged by number
of other authors.18 Consider the contrast in (41). Neither being old nor young
are states that are repeatable for a single individual. The contrast between the
two sentences seems best explained in terms of the discontinuity requirement:
a person who is no longer young can still be alive, but not a person who is no
longer old.

(40) * Tā sǐ-guo.
3sg die-exper
(intended: ‘He has died before.’)

(41) a. Nǐ yě niánqīng-guo.
you also young-exper
‘You also have been young before.’
b. *Nǐ yě lǎo-guo.
you also old-exper
‘You have also been old before.’

It appears that all of the data which has been proposed in support of the re-
peatability hypothesis can equally well be explained in terms of the discontinuity
requirement. Support for the idea that discontinuity, rather than repeatability, is
the operative factor comes from the observation that “repeatability” effects are
sensitive to definiteness in exactly the same way as demonstrated above for the
17 Ma (1977); Li & Thompson (1981: 230); Yeh (1996); C. Smith (1997: 268).
18 G.-t. Chen (1979), Iljic (1990), Xiao & McEnery (2004: 147–148), Pan & Lee (2004), Lin (2007).

443
22 Varieties of the Perfect

discontinuity requirement; this is illustrated in (42).19 The fact that it is possi-

ble to use -guo when talking about the actions of dead people, as in (42b), gives
further support to the claim that there is no repeatability requirement in Man-
darin. Such examples are normally quite unnatural in the English experiential/
existential perfect.

(42) a. * Columbus fāxiàn-guo měizhōu.

Columbus discover-exper America
(intended: ‘Columbus has discovered America before.’)
b. Columbus fāxiàn-guo yī gè xiǎo dǎo.
Columbus discover-exper one CL small island
‘Columbus has discovered a small island before.’

It is useful to compare the semantic effect of the aspectual suffix -guo in various
situation types (Aktionsart). With stative predicates, -guo indicates that the state
no longer exists (43).20 Therefore, permanent states cannot normally be marked
with -guo (44).21

(43) a. Zhāng Xiǎojie guòqù pàng-guo.

Zhang Miss in.past fat-exper
‘Miss Zhang has been fat.’ (implying she is not fat now)
b. Měiguo níuròu yě guì-guo.
America beef also expensive-exper
‘Beef America has also been expensive (in the past but not now).’
c. Tā zài Zhōngguó zhù-guo sān nián.
3sg at China live-exper three year
‘He has lived in China for three years before (but does not live there
now).’

(44) * Dāngdì nóngmín zhīdào-guo nà gèzhā yǒudú.

local farmer know-exper that chrome.dreg poisonous
(intended: ‘Local farmers knew that those chrome dregs were
poisonous.’)

19 Examples from Yeh (1996: 153, 163)

20 Examples from Ma (1977: 20, 23)
21 Example (44) comes from Xiao & McEnery (2004: 149).

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 22.6 Case study: Experiential -guo in Mandarin

With atelic events such as activities (45) and non-culminating accomplish-

ments (46), the suffix -guo has the same interpretation as the perfective suffix
–le, indicating that the event has terminated.22

(45) Lǐsì dǎ-guo wǎngqiú.

Lisi play-exper tennis
‘Lisi has played tennis before.’

(46) a. # Wǒ xiě-guo gěi Wáng de xìn, hái zài xiě.

1sg write-guo to wang lnk letter, still prog write
‘I wrote Wang’s letter and am still writing it.’
b. Wǒ xiě-guo gěi Wáng de xìn, kěshì méi xiě-wán.
1sg write-guo to wang lnk letter, but not write-finish
‘I wrote Wang’s letter but didn’t finish it.’

In light of what we have said above, we would predict that the aspectual suffix
-guo cannot occur with telic predicates whose result state is permanent, because
this would mean that discontinuity with Topic time is impossible. This prediction
turns out to be true when the patient (or affected argument) is definite. However,
as noted above, the discontinuity requirement does not apply when the patient
is indefinite; so the aspectual suffix -guo is possible in such contexts.
The examples in (47a–b) contain a Result Compound Verb (RCV), which means
that the culmination of the event is entailed. As predicted, -guo is not allowed
when the object NP is definite (47a), but is possible when the object NP is indef-
inite (47b). However, (47c) contains the simple root ‘kill’ with no RCV, and so
the culmination of the event would normally be implicated but not entailed. In
this example, -guo functions as an explicit indicator that the result state was not
achieved.23

(47) a. * Tā shā-sǐ-guo nèi-ge rén.

3sg kill-die-exper that-class person
(intended: ‘He has killed that person.’)
b. Tā shā-sǐ-guo sān-ge rén.
3sg kill-die-exper three-class person
‘He has killed three people.’

22 Examples from C. Smith (1997: 267).

23 The examples in (47) come from Ma (1977: 23).

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22 Varieties of the Perfect

c. Tā shā-guo nèi-ge rén.

3sg kill-exper that-class person
‘He tried (at least once) to kill that person (without success).’

A similar pattern is seen in (48). The aspectual suffix -guo can occur with the
predicate ‘die’ only when the patient is indefinite (48c). In (48d), which Chu
(1998) and Xiao & McEnery (2004) describe as a figurative use of the word ‘die’,
-guo functions as an indicator that the result state was not achieved.

(48) a. * Tā sǐ-guo.
3sg die-exper
(intended: ‘He has died before.’) (Ma 1977: 15)
b. Tā sǐ-le.
3sg die-pfv
‘He died.’ (Ma 1977: 15)
c. Yǒu rén zài zhè tiáo hé lǐ yān-sǐ-guo.
have person at this CL river in drown-die-exper
‘Someone has drowned in this river (before).’ (Yeh 1996: 163)
d. Wǒ sǐ-guo hǎojǐ cì.
1sg die-exper quite.a.few time
‘I almost died quite a few times.’ (Chu 1998: 41)

Huang & Davis (1989: 151) point out that -guo can also be used to indicate
partial affectedness of a definite object, another way in which the culmination
of the event might not be achieved:

(49) a. Gǒu gāngcái chī-le nǐ de píngguǒ.

dog just.now eat-pfv you poss apple
‘The dog just ate your apple.’
b. Gǒu gāngcái chī-guo nǐ de píngguǒ.
dog just.now eat-exper you poss apple
‘The dog just took a bite of your apple.’

22.7 Conclusion
We have discussed a number of different uses of the perfect in various languages.
What all of these various uses have in common is the fact that (all or part of)

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 22.7 Conclusion

the Situation Time precedes Topic Time. As mentioned at the beginning of this
chapter, this is the component of meaning which Klein (1992) identifies as the
defining feature of perfect aspect.

Further reading

Comrie (1976: ch. 3) is a foundational work, and still a good place to start.
Portner (2011) and Ritz (2012) provide good overviews of the empirical chal-
lenges and competing analyses for the perfect.

Discussion exercises
A. Identify the sub-type (i.e., the semantic function: Experiential, Uni-
versal, Result, or “hot news”) of the present perfect forms in the fol-
lowing examples:
1. Russia has just accused the American curling team of doping.

2. Rupert has visited Brazil three times.

3. Horace has been playing that same sonata since four o’clock.

4. The Prime Minister has resigned; it happened several weeks ago, but
we still don’t know who the next Prime Minister will be.

5. Martha has known about George’s false teeth for several years.

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22 Varieties of the Perfect

Homework exercises

Based on the examples provided below, describe the Tok Pisin Tense-
Aspect system and suggest an appropriate label for each of the five ital-
icized grammatical markers (e.g. subjunctive mood, iterative aspect, etc.).
These markers are glossed simply as ‘aux’. Some of these forms can also
be used as independent verbs, but you should consider those meanings
(shown in the section headings) to be distinct senses. Base your descrip-
tion on the ‘aux’ functions only. You can ignore the somewhat mysterious
“predicate marker” i.a

A. bin
1. Bung i bin stat long Mande na bai pinis long Fraide.
meeting pred aux start at Monday and aux end at Friday
‘The meeting began on Monday and will finish on Friday, April 22.’

2. Asde/#Tumora mi bin lukim tumbuna bilong mi.

yesterday/#tomorrow 1sg aux see grandparent poss 1sg
‘Yesterday/#tomorrow I saw my grandparent.’

3. Wanem taim sik i bin kamap nupela?

what time illness pred aux appear new
‘When did the illness first appear?’

4. Ol tumbuna i no bin wari long dispela.

pl ancestor pred not aux worry about this
‘The ancestors did not worry about this.’

5. Ol i bin slip long haus bilong mi.

3pl pred aux sleep at house poss 1sg
‘They were sleeping in(side) my house.’

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 22.7 Conclusion

B. bai

6. Long wanem taim bai yu go?

at what time aux 2sg go
‘At what time will you go?’

7. Tumora/#Asde bai mi askim em.

tomorrow/#yesterday aux 1sg ask 3sg
‘Tomorrow/#yesterday I will ask him/her.’

8. Ating apinun bai mi traim pilai ping-pong namba.wan taim.

maybe afternoon aux 1sg try play ping-pong first time.’
‘Maybe this afternoon I will try to play ping-pong for the first time.’

9. Sapos yu kaikai planti pinat bai yu kamap strong olsem

if 2sg eat much peanut aux 2sg become strong like
phantom.
phantom
‘If you eat many peanuts, you will become strong like the
Phantom.’

C. save (short form: sa) [main verb sense: ‘know’]

10. Mipela i no save kaikai bulmakau.

1pl.excl pred neg aux eat cow
‘We don’t (customarily) eat beef.’

11. Mi save wokabaut go wok.

1sg aux walk go work
‘I always walk to work.’

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22 Varieties of the Perfect

12. Long nait mi slip na ol natnat i save kam long

at night 1sg sleep, and pl mosquitoes pred aux come to
haus bilong mi.
house poss 1sg
‘At night I sleep, and then the mosquitoes come into my house.’

13. Mipla stap lo(ng) skul, ol ami ol sa pait wantem ol

1pl.excl be in school, pl soldier 3pl aux fight with pl
man ia.
man here
‘When we were in school, the soldiers used to fight with the men
(rebels).’ [East New Britain dialect]

D. stap [main verb sense: ‘be, stay, remain’]

14. Ol i kaikai i stap.

3pl pred eat pred aux
‘They are/were eating.’

15. Ol lapun meri i subim ka i go i stap.

pl old woman pred push car pred go pred aux
‘The old women are/were pushing a car.’

16. Dua i op nating i stap.

door pred open just pred aux
‘The door was just open like that…’

17. Em i tisa i stap yet.

3sg pred teacher pred aux still
‘He is still a teacher.’

18. Hamas de pikinini i sik i stap?

how.many day child pred sick pred aux
‘How many days has the child been sick?’

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 22.7 Conclusion

19. Taim em i kam i lukim Dogare i sindaun tanim

time 3sg pred come pred see (name) pred sit roll
smok i stap.
smoke pred aux
‘When he came he saw Dogare sitting down rolling a cigarette.’

20. Bai sampela ol i toktok i stap na ol i no harim

aux some 3pl pred talk pred aux and 3pl pred not listen
gut tok bilong yu.
well talk poss 2sg
‘Some of them will be talking and not listen well to your speech.’

E. pinis [main verb sense: ‘finish, stop, complete’]

21. Mipela i wokim sampela haus pinis.

1pl.excl pred build some house aux
‘We [excl.] have built some houses.’

22. Gavman i putim pinis planti didiman.

government pred place aux many agricultural.officer
‘The government has appointed many agricultural officers.’

23. Dok i dai pinis.

dog pred die aux
‘The dog has died/is dead.’

24. Mi lapun pinis.

1sg old.person aux
‘I am already old.’ Or: ‘I have grown old.’

25. a. Ol i bikpela pinis.

3pl pred big aux
‘They have become big/are grown-ups (now).’

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22 Varieties of the Perfect

b. *Ol i liklik pinis.

3pl pred small aux
(intended: ‘They are already small’ or ‘they were small once.’)

26. Pen i stap longpela taim pinis, o, nau tasol em i kamap?

pain pred exist long time aux or now only 3sg pred become
‘Has the pain been there for a long time, or has it just started?

27. Em i kamap meija pinis taim mipela i harim dispela

3sg pred become major aux time 1pl.excl pred hear this
stori hia.
story here
‘He had become a major by the time we [excl.] heard this story.’

28. a. Esra i sanap long dispela ples.

Esra pred stand at this place
‘Ezra stood on this platform (while reading the Law).’
[Neh. 8:4]
b. Man i sanap pinis.
man pred stand aux
‘The man has stood up (and is standing now).’

29. a. Wanpela diwai i sanap namel tru.

one tree pred stand middle very
‘One tree stood right in the middle (of the Garden).’ [Gen. 3:3]
b. #Diwai i sanap pinis.
tree pred stand aux
‘The tree has stood up (and is standing now).’

a Most of the examples in this exercise come from Verhaar (1985). Other data sources
include: Dutton (1973); Wohlgemuth (1999); Holm (2000); Sebba (1997); G. Smith (2002);
Joyce Wood and Liisa Berghäll (p.c.).

452
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HSK.pdf.
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An essential guide to the composition of meaning. Berlin: DeGryter Mouton.
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Kimball (ed.), Syntax and semantics, vol. 4, 1–36. New York: Academic Press.

474
Name index

Abbott, Barbara, 32, 227, 266, 301 Blackburn, P., 313

Adams, Ernest W., 365 Blum-Kulka, S., 193
Aikhenvald, Alexandra Y., 320, 321, Bolinger, Dwight, 280
328, 329 Botne, Robert, 422–424
Akatsuka, Noriko, 357 Bross, Fabian, 211
Allen, J. H., 414 Brown, Penelope, 193
Allwood, Jens, 48, 73, 247 Bybee, Joan, 307, 321, 386, 406
Ammann, Andreas, 306, 307
Annamalai, E., 42 Cable, Seth, 422
Apresjan, Jurij, 91, 100 Callow, John, 90, 97, 123
Arka, I. Wayan, 209 Cann, Ronnie, 110, 117
Aronoff, Mark, 91, 103 Carlson, Greg, 385
Ashton, E. O., 429 Carston, Robyn, 27, 169, 171, 175–177
Atkins, Beryl T., 90 Chang, Chen Chung, 247
Austin, J. L., 181, 182, 193, 349 Chao, Yuen-Ren, 440–442
Chen, Chien-chou, 442
Bach, Emmon, 247 Chen, Gwang-tsai, 441, 443
Bach, Kent, 168, 169, 176 Cherchia, Gennaro, 41, 232, 290
Baker, Mark C, 257 Chief, Liancheng, 396
Bar-el, Leora, 396 Chomsky, Noam, 122, 434, 435
Bariki, Ozidi, 185 Chu, Chauncey, 441, 446
Barker, Chris, 25 Chung, Sandra, 355, 379, 420, 421
Barnes, Janet, 319 Cohen, Andrew, 192
Barwise, Jon, 263, 268 Cohen, L. Jonathan, 171
Beaver, David, 48 Cole, Peter, 413
Beekman, John, 90, 97, 123 Comrie, Bernard, 348, 352, 353, 356,
Bennett, Jonathan, 350, 359 373, 385, 386, 388, 390, 391,
Bhatt, Rajesh, 350, 369, 373 394, 401, 406, 408–410, 412–
Binnick, Robert I., 401 414, 416, 417, 420, 423, 428,
Birner, Betty J., 13, 32, 48, 157, 161, 429, 431, 432, 436, 441, 447
176, 190, 193 Cooper, Robin, 263, 268
Bittner, Maria, 257 Coppock, Elizabeth, 247, 290
Name index

Cotterell, Peter, 94 Gazdar, Gerald, 162, 166, 171, 359

Croft, William, 101 Geurts, Bart, 48, 176
Cruse, D. Alan, 5, 25–27, 32, 38, 84, Giannakidou, Anastasia, 285
85, 87, 89, 92, 93, 97, 100, Gillon, Brendan, 81, 82, 88, 89, 103
101, 103, 106, 111–113, 115, Goldberg, Adele E, 220, 227
117, 120–123, 139 Gomes, Gilberto, 352, 354
Gordon, Lynn, 355
Davis, Philip W., 446 Grandy, Richard E., 367
De Haan, Ferdinand, 311, 320, 328 Green, Georgia, 145
De Swart, Henriette, 397, 398, 401 Greenberg, Joseph H, 348
Declerck, Renaat, 418, 420 Greenough, J. B., 414
DeLancey, Scott, 130 Grice, H. Paul, 45, 142, 144, 147, 148,
DeRose, Keith, 367 150, 166, 167, 197, 198, 427
Dowty, David, 35, 180, 247, 383, 385, Grosz, Patrick, 210
396, 397, 401 Guerssel, Mohamed, 127, 130
Drubig, Hans B., 311 Gutierrez-Rexach, Javier, 268
Dutton, Thomas E., 452 Gutzmann, Daniel, 198, 211, 212
Ebert, Christian, 370 Hacquard, Valentine, 294, 296, 303,
Egner, Inge, 192 304, 307, 313
Enderton, Herbert B., 247 Haegeman, Liliane, 324
Engelberg, Stefan, 119, 126, 132 Hale, Kenneth L., 127
Ernst, Thomas, 200, 324 Hall, Alison, 177
Halmos, Paul, 247
Faller, Martina, 323–326
Harada, Shin-Ichi, 204, 205
Fillmore, Charles, 90, 127–129, 131
Hardy, Heather K., 355
Finegan, Edward, 114
Hartmann, R. R. K., 116
Fodor, Janet, 226, 267
Haspelmath, Martin, 336
Fodor, Jerry A., 131, 132
Heim, Irene, 220, 247, 290
Fortescue, Michael, 306
Hjelmslev, Louis, 124
Fortin, Antonio, 26, 31
Hockett, Charles F., 26
Franke, Michael, 367
Hodges, Wilfrid, 229, 247
Frawley, William, 321, 421
Holm, John, 452
Frege, Gottlob, 46, 149, 221
Horn, Laurence, 150, 155, 156, 164,
Fudeman, Kirsten, 91, 103
172, 174–176, 199, 332
Gamut, L. T. F., 48, 73, 220, 290 Huang, Lillian Mei-Jin, 446
Garson, James, 313 Huddleston, Rodney, 296
Gass, Susan, 193
Iatridou, Sabine, 369

476
 Name index

Idris, Abdul Aziz, 311 Langacker, Ronald W., 408

Iljic, Robert, 440, 442, 443 LaPolla, Randy J., 385
Innes, Gordon, 421 Leacock, Claudia, 95
Izvorski, Roumyana, 321 Lee, P., 443
Lee, Sooman Noah, 321
James, Gregory, 116 Leech, Geoffrey N., 434
Jespersen, Otto, 155, 429, 432, 434, Levin, Beth, 127, 129–132, 134
435 Levinson, Stephen C., 8, 13, 42, 43,
Johnston, Michael, 330 48, 145, 157, 170, 171, 193
Lewis, Clarence I., 358
Kalisz, Roman, 191
Lewis, David, 256, 268, 343, 359, 360,
Karagjosova, Elena, 210, 211
364
Karttunen, Lauri, 155
Li, Charles, 391, 393, 440, 441, 443
Katz, Jerrold J., 27, 131
Lin, Jo-Wang, 442, 443
Kearns, Kate, xii, 73, 264, 268, 271,
Lovestrand, Joseph, 437
290, 373, 402
Lyons, John, 25, 91, 126, 132
Keenan, Elinor O., 145
Keisler, H. Jerome, 247 Ma, Jing Sheng, 440–446
Kempson, Ruth M., 81 Marques, Rui, 285
Kempson, Ruth. M., 162 Martin, John N., 73, 247
Kennedy, Christopher, 24, 81, 82, 85, Martin, Samuel E., 206
87, 103 Matsumoto, Yo, 145
Keyser, Samuel J., 127 Matthewson, Lisa, 42, 48, 145, 305,
Kim, Jong-Bok, 206 313, 321, 326, 327
Kiparsky, Carol, 43 McCawley, James D., 122, 247, 428,
Kiparsky, Paul, 43, 412, 429, 430, 434, 430, 431, 434
435 McCloskey, James, 355
Kitis, Eliza, 342 McCoard, Robert W., 427, 429
Klein, Wolfgang, 386, 387, 391, 396, McConnell-Ginet, Sally, 41, 232, 290
401, 411, 429, 430, 432, 436, McEnery, Tony, 440, 441, 443, 444,
447 446
Koenig, Jean-Pierre, 257, 396 Michaelis, Laura A., 386, 409, 424,
Kratzer, Angelika, 32, 220, 247, 290, 430, 434
298, 359, 361, 362, 373, 385 Michelson, Karin, 257
Kroeger, Paul, 5, 130, 355 Milsark, Gary L., 262
Kuo, Jenny Yi-Chun, 396 Moens, Marc, 98
Morton, Adam, 363
LaCross, Lisa, 422
Morzycki, Marcin, 280
Lakoff, George, 81, 85
Muansuwan, N., 396

477
Name index

Murray, Sarah E., 325, 327 Ritz, Marie-Eve, 447

Rundell, Michael, 117
Neu, Joyce, 193 Russell, Bertrand, 46
Nida, Eugene, 124
Nunberg, Geoffrey, 100, 101 Sadock, Jerry, 85, 87, 150
Nurse, Derek, 422, 423 Saeed, John, xii, 50, 108, 111, 118, 130,
134, 135, 151, 160, 163, 165,
Olshtain, Elite, 192 196, 252, 403
Otanes, Fe T., 317 Sag, Ivan, 226, 267
Schachter, Paul, 317
Pagin, Peter, 227
Scheffler, Tatjana, 212, 334, 339, 342,
Pak, Miok, 206, 207
343, 370
Palmer, F. R, 209, 321
Searle, John, 27, 186, 187, 189, 190,
Pan, H., 443
193, 211
Pancheva, Roumyana, 350, 369, 373
Sebba, Mark, 452
Papafragou, Anna, 309, 323
Sells, Peter, 206
Partee, Barbara Hall, 218, 276, 279,
Siegel, Muffy, 279, 280
285, 290, 406
Singh, Mona, 396
Pelletier, Francis, 220
Smith, Carlota, 385, 388, 393, 395,
Peters, Stanley, 19, 155, 268
401, 409, 440, 443, 445
Pinker, Steven, 24
Smith, Geoff, 452
Pit, Mirna, 342
Soh, Hooi Ling, 396
Podlesskaya, Vera, 358
Soh, Hooi-Ling, 441
Portner, Paul, 429, 447
Sohn, Ho-Min, 206, 208
Posner, Roland, 139
Sperber, Dan, 169
Potts, Christopher, 25, 27, 32, 48, 149,
Stalnaker, Robert, 45, 46, 348
199, 200, 204, 205, 212
Steedman, Mark, 98
Prince, Ellen F., 145
Sternefeld, Wolfgang, 48, 290
Prior, A. N., 406
Strawson, Peter, 46
Prior, Arthur N., 406
Sun, Chen-Chen, 392
Pullum, Geoffrey K., 296
Sweetser, Eve, 332
Pulte, William, 318
Szabolcsi, Anna, 268
Pustejovsky, James, 91, 100, 132
Tannen, Deborah, 179, 180
Quine, Willard van Orman, 87, 285,
Tenny, Carol, 383
364, 365
Thompson, Sandra A., 334, 350, 352,
Rappaport Hovav, Malka, 131, 134 391, 393, 440, 441, 443
Ravin, Yael, 95 Timberlake, Alan, 355, 379, 420, 421
Reichenbach, Hans, 387, 407, 429 Tonhauser, Judith, 42

478
 Name index

Tuggy, David, 81
Turner, Max, 94

Van Benthem, Johan, 290, 313

Van der Auwera, Johan, 306, 307,
368
Van Valin, Robert D., 385
Vendler, Zeno, 385, 396
Verhaar, John W. M., 452
Vogel, Alan R, 130
Von Fintel, Kai, 42, 48, 145, 154, 293,
296, 297, 300, 307, 308, 310,
320, 347, 358, 359, 361, 362,
364, 373
Von Heusinger, Klaus, 226

Waltereit, Richard, 210, 211

Weber, David J., 318, 322
Wierzbicka, Anna, 29, 191
Wilson, Deirdre, 169
Wohlgemuth, Jan, 452
Wu, Jiun-Shiung, 440, 442

Xiao, Richard, 440, 441, 443, 444, 446

Yeh, Meng, 393, 441–444, 446

Zaenen, Annie, 100, 101

Zalta, Edward N., 227
Zimmermann, Malte, 209, 211
Zimmermann, Thomas, 48, 290
Zwicky, Arnold, 85, 87

479
Language index

Arabic, 355, 413, 436 Indonesian, 356

Aramaic, 28 see also Malay
Armenian, 6 Irish, 355
Australian English, 191
Azerbaijani, 321 Japanese, 204, 206, 209, 325, 356, 433
Jarawara, 130
Balinese, 6, 209 Javanese, 209
Baraïn, 437–439
Berber, 130 Kalaallisut, 325, 433
Bulgarian, 325, 327 see also West Greenlandic
Kimaragang, 123, 130, 355
Cherokee, 318 Kituba, 433
Cheyenne, 325 Korean, 6, 206, 209, 433
ChiBemba, 421, 422
Chinese, 5, 96, 98, 395–397, 441 Latin, 28, 96, 413, 414, 41410 , 422
see also Mandarin Lithuanian, 379, 420
Czech, 191
Malay, 29, 83, 100, 114, 209, 306, 311,
Dutch, 209, 342, 369 312
see also Indonesian
French, 96, 191, 209, 296, 304, 306, Mandarin, 83, 356, 391, 395, 396,
312, 342, 399 39621 , 398, 436, 439, 440,
444
German, 123, 191, 209–211, 21124 , 212,
see also Chinese
310, 312, 320, 3206 , 324, 325,
327, 329, 338–341, 343, 369, Persian, 4126
370, 37039 , 435 Polish, 29, 191
Grebo, 421, 422 Portuguese, 96, 354, 416
Greek, 28, 285, 342, 429, 436 Brazilian, 412
Hebrew, 96, 192 Quechua, 318, 322–326, 413
Hindi, 396, 39621
Hungarian, 436 Russian, 355, 417, 418
Language index

Sanskrit, 429
Spanish, 26, 30, 31, 84, 87, 285, 391
St’át’imcets, 305, 306, 325–327
Swahili, 429

Tagalog, 6, 15, 317, 395–397

Teochew, 5, 9
Thai, 396
Tibetan, 130
Tok Pisin, 448
Tolkapaya, 355
Turkish, 325, 327
Tuvaluan, 114
Tuyuca, 319
Tzeltal, 83, 87

Warlpiri, 130
Welsh, 355
West Greenlandic, 306, 433
see also Kalaallisut
Winnebago, 130

Yucatec Maya, 433

482
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Analyzing meaning
This book provides an introduction to the study of meaning in human lan-
guage, from a linguistic perspective. It covers a fairly broad range of top-
ics, including lexical semantics, compositional semantics, and pragmatics.
The chapters are organized into six units: (1) Foundational concepts; (2)
Word meanings; (3) Implicature (including indirect speech acts); (4) Com-
positional semantics; (5) Modals, conditionals, and causation; (6) Tense &
aspect.
Most of the chapters include exercises which can be used for class discus-
sion and/or homework assignments, and each chapter contains references
for additional reading on the topics covered.
As the title indicates, this book is truly an INTRODUCTION: it provides
a solid foundation which will prepare students to take more advanced and
specialized courses in semantics and/or pragmatics. It is also intended as a
reference for fieldworkers doing primary research on under-documented
languages, to help them write grammatical descriptions that deal carefully
and clearly with semantic issues. The approach adopted here is largely de-
scriptive and non-formal (or, in some places, semi-formal), although some
basic logical notation is introduced. The book is written at level which
should be appropriate for advanced undergraduate or beginning graduate
students. It presupposes some previous coursework in linguistics, but does
not presuppose any background in formal logic or set theory.

ISBN 978-3-96110-034-7

9 783961 100347