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2 authors:
Uli Sauerland
Petra B Schumacher
University of Cologne
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Prepublication version. The final version appeared as: Sauerland, Uli &
Petra Schumacher. 2016. Pragmatics: Theory and experiment growing
together. Linguistische Berichte 245. pp. 3-24.
Abstract
Pragmatics is already an established subfield of linguistics and the Gricean
distinction between literal and speakers meaning is one of the foundations
of modern linguistic theory.
Introduction
The distinction we have in mind is the one known as the competence-performance distinction
from the work of Chomsky (1965).
capability and its utilization are found in physically or cognitively handicapped and
non-handicapped individuals alike and across all linguistic capabilities (for example,
phonetic misperceptions, mispronunciations, morphosyntactic speech errors, lexical
retrieval problems, and syntactic parsing limitations). But the distinction between
linguistic capacity and its utilization is particularly pronounced when it comes to
conveying meaning. Speakers draw on much more than the linguistic capabilities
when they choose an utterance as they intend to convey a meaning. Listeners
are subtly attuned to the many factors speakers draw upon and therefore are
frequently successful at uncovering the meaning the speaker intended to convey. As a
consequence of this, the meaning of an utterance can be left unspecified by the lexical
content of it and its structure to a large degree, even without a specific prior discourse.
For instance, the sentence in (1) could be uttered out of the blue with many different
intentions: A parent hosting a party could utter the sentence to announce that it is
time to serve the cake. But a Mafia boss could utter the same words to issue a threat
to someone. Or a robber could use the sentence to warn an accomplice that the police
have gotten to the scene.
(1)
distinction corresponds to that between linguistic capability and its utilization: The
linguistic capability derives the literal meaning of an utterance, while the general
principles of utilization derive how speakers and listeners use the literal meaning for
communication.
Gricean pragmatics is one of the foundations of modern linguistic theory as some
version of it underpins all work on the semantics of language and work dependent
on semantic assumptions. Nevertheless, we claim that progress in pragmatics has
been slow compared to other subfields of linguistics over the last four decades. Over
many years, pragmatic theory hasnt substantially advanced beyond the promising
ideas and concepts of Grices work of the 1950s and 60s, while other subfields of
linguistics have advanced enormously at the same time. Problems that other subfields
of linguistics could not resolve have even been assigned to the pragmatic wastebasket. Two quantifiable pieces of evidence for the lack of progress are the following:
For one, many linguistics departments have opened new positions for semantics over
the last forty years, but positions for pragmatics are much rarer. Secondly, textbooks
from the 1980s such as Dowty et al. (1981), Lass (1984), Haegeman and Wekker
(1985), Radford (1986) are not in use anymore in other fields of linguistics. But
in pragmatics, Levinsons (1983) textbook has reached its 23rd printing in 2013. We
dont think this is because Gricean pragmatics represents a more advanced theory
than its theoretical contemporaries in syntax, phonology, and semantics. In fact,
there is evidence that Gricean pragmatics leaves much to be said: Many fundamental
theoretical problems in pragmatics have remained ill-understood. Consider only a
brief selection: the nature of pragmatic scales (Horn 1972, Matsumoto 1995, Fox
and Katzir 2011), the treatment of disjunction (Simons 1998, Sauerland 2004), the
factors trigging the presuppositional status of aspects of meaning (Gazdar 1979,
Heim 1983, Abrusn 2011, Romoli 2014), the status of numberals (Horn 1972, 1992,
Krifka 2000, Breheny 2008, Huang et al. 2013, Kennedy 2013, Spector 2013), and
3
Grice to formulate some widely accepted general pragmatic principles. But in many
cases in pragmatics, further progress requires experimental methods because they
are more sensitive than informal observations and can test hypotheses that are too
fine-grained for observation alone. Pragmatics differs in this respect from other
areas such as syntax and semantics, where observation based research has already
enabled researchers to formulate sophisticated, precise theories. These two obstacles
couldnt be overcome because they are interconnected without precise hypotheses,
sensitive verification methods alone do not help, and without sensitive verification
methods, precise hypotheses had no appeal. In our view, it has now become possible
to overcome the two obstacles that held back pragmatic theory and this direction is
represented by Experimental Pragmatics.
Experimental Pragmatics
The field of Experimental Pragmatics has emerged within the last decade.
It
2.1
Pragmatic Theory
The first starting point of the project is Grices theory of meaning. What does a person
do when she ascribes meaning to a sentence as she hears or reads it? Most current
scientific work on this question assumes the notion of meaning that the philosopher
Grice proposed in an essay in 1957 and developed in a 1967 lecture series (published
as Grice 1989). Grice argues that two notions of meaning should be distinguished.
One is the Speakers Meaning a reconstruction of the intentions of the speaker when
making that utterance. The other is the Sentence Meaning a semantic representation
the grammar assigns to a sentence. For example, when a happy father utters to his
wife The boys have arrived (cf. (1) above) his intent may be to alert her to the
fact that their sons will soon arrive home. But a robber, a Mafiosi, or a policeman
uttering the same sentence can easily imagined to have a completely different intent.
The example shows that different utterances with the same sentence meaning can
carry different speaker-specific meanings.
In Grices model, a speaker with a certain intention selects a sentence on the basis
of its sentence meaning and the context. Based on their knowledge of the sentence
meaning and the context, the addressees then attempt to reconstruct the intention of
the speaker. Grices model obviously applies not just to language, but to all forms
of communication. The case of language, however, is the most interesting case
because the grammar of sentence meanings offers an infinite array of possibilities
to the speaker. Research in pragmatics since Grice has focused on the problem
of meaning the connection of speakers intention and sentence meaning to yield
the speakers meaning. This was a natural step: Though pragmatics was originally
conceived of as the study of all language use, virtually any aspect of language
use involves a voluntary, intentional choice by the speaker, and thereby carries a
speakers meaning with it. Most research in Experimental Pragmatics adopts the
6
2.2
The second starting point of the experimental pragmatic endeavor is the modern
theory of grammar. For the assignment of sentence meaning, research in pragmatics
relies on other subfields of linguistics. Especially research in semantics has yielded
a number of suitable, interesting models for sentence meaning that connect up to
research in pragmatics. Other subfields of linguistics, such as syntax and phonology
concern the structure and pronunciation of sentences but their effect on interpretation
is often also captured via the semantic representation. The most widely accepted
research program in semantics is truth-conditional semantics, which builds on
mathematical model theory and originates from work of Montague (1974[1970]).
This line of work assumes that truth conditions are a core aspect of sentence meaning.
The approach is suited in particular for declarative sentences (like You left.), though
perhaps less so for questions (Who left?), imperatives (Leave!) and other sentence
types where truth isnt directly at issue. But for declarative sentences, the truth
conditions of a sentence indeed play an important role for pragmatics specifically,
part of the speakers intentions is in many cases to notify or convince another person
of the truth of their statement. Research in semantics has been very successful over
the last twenty years.
While semantics and pragmatics have initially developed separately, this has
changed in recent years. This change has led to journals such as Semantics and
7
Pragmatics and the same researchers being active in both areas. In Germany in
particular the Semantiknetzwerk grant (DFG SA 925/2) led by Sauerland from 2004
to 2008 has supported this development. Also, formal notions in use in semantics
have been adopted in pragmatics to make more precise the important intuitions of
Grice and other pragmaticists. Finally and perhaps most importantly, the semanticspragmatics borderline has itself become the target of debate in several domains like
implicatures and speech-acts. These debates have been initiated by semanticists in
part to apply semantic models to pragmatic data. Overall the influence of semantics
on pragmatics has led to more complete and more precise models of meaning
that make it easier to derive testable predictions. Nevertheless progress has been
difficult since pragmatics addresses a much broader domain than semantics. This
broader scope of pragmatics has two consequences: 1) Semantic models must be
extended to capture pragmatic phenomena, and 2) verifying the new more finegrained predictions requires a new methodological basis.
2.3
Experimental Methods
The third and final starting point for Experimental Pragmatics is the application of
experimental methods to investigate sentence use. Research in pragmatics has to
date relied primarily on the observation of native speaker intuitions. But while many
questions can be decided using observation alone, many current questions require
more sensitive methods. Two reasons explain that experimental research hasnt
been influential in pragmatics in the past: 1) Only few researchers could access
certain experimental methods because of lack of interdisciplinary collaboration or
training. 2) The developments in both experimental paradigms and pragmatic theory,
especially as mathematical models from semantics gained influence, made it difficult
for researchers engaged in the experimental approach to follow both developments
8
Experimental Pragmatics.
Exemplary Results
3.1
Scalar Implicatures
Grices concept of implicature has been highly influential. The technical term
Implicature that Grice introduced is now even found in some mainstream dictionaries
such as the Oxford English dictionary.2 But even though the concept has been
proposed in the 1967 (Grice 1967), probably the most significant progress in
understanding the concept has been made only with the advent of Experimental
Pragmatics in the last 15 years. The most active line of research has concerned scalar
implicatures. In fact, research on scalar implicatures has in a sense driven the rise of
Experimental Pragmatics.
Consider the two most frequently studied triggers of a scalar implicature, the
words or and some. Grices concept of implicature rests on the assumption that
cooperative speakers want to be truthful and informative. Both or and some arent
fully informative though as the two examples in (1) from (Sauerland 2004, 367)
show: (1-a) leaves it open which of the two options Kai actually had, and (1-b)
leaves it open what happened with the other peas.
(1)
a.
2
10
b.
accept sentences such as Some elephants have trunks and Some giraffes have long
necks as valid. But as Noveck also reports, adults only allow the more informative
sentences with all instead of some, and mostly reject the underinformative sentences
with some. Based on this experiment and a second one on the modal might, Noveck
(2001) claims that children generally lack scalar implicatures, while they understand
the basic literal meaning. This strongly supports the division of meaning into these
two components that goes back to Grice.
Novecks results have been replicated successfully in a large number of
experiments using different methodologies, with a variety of different test
populations, and also a number of different scalar items. Importantly, any effort to
reduce the difficulty of the task for the children has still reliably replicated Novecks
effect, though often in a younger age group. For instance, Chierchia et al. (2001)
report that 5 year olds lack a scalar implicature of disjunction or using a truth value
judgment task. Papafragou and Musolino (2003) report data from 5 year old Greek
speaking children also using a truth value judgment task and report that children lack
scalar implicatures with some and also with the verb start. Other works since then
confirm that some implicatures are absent with children are by Guasti et al. (2005),
Bagassi et al. (2009), Foppolo et al. (2012), Huang and Snedeker (2009), Katsos
and Bishop (2011), Barner et al. (2011), Ozturk and Papafragou (2014), Yatsushiro
(2008), Stiller et al. (2015), Tieu et al. (2014, 2015), Hochstein et al. (2014), Singh
et al. (2015) and others. Moreover, work on other subject populations has shown
that they too seem to find some scalar implicatures more difficult than the logical
meaning. Specifically, this has been found for language impaired children (Katsos
et al. 2011), adults under time-pressure (Bott and Noveck 2004, Chevallier et al.
2008) or subject to an additional cognitive demand (De Neys and Schaeken 2007,
Dieussaert et al. 2011), and second language learners (Slabakova 2010, Davidson
and Mayberry 2014). Still more evidence in favor of division of meaning into
12
semantic and pragmatic components has come from online measures such as eventrelated brain potential data (Noveck and Posada 2003, Politzer-Ahles et al. 2013,
Politzer-Ahles and Gwilliams 2015) and eye-tracking measures (Breheny et al. 2006,
Huang and Snedeker 2011) (though Grodner et al. 2010). Overall, the experimental
literature has confirmed pragmatic theory in this domain. Substantial advances have
also been made in terms of methodology, for instance with Katsos and Bishop (2011)
identifying shortcomings of binary choice tasks.
One of the most interesting findings emerging now though, goes beyond mere
confirmation of existing theory by experiments, but instead leads to back-and-forth
between theory and experiment. In this regard, at least two types of implicatures
pattern with the semantic meaning in some psycholinguistic tests. These two cases
are numerals and free-choice implicatures. Numerals such as two are generally
interpreted as exactly two, although an at least two interpretation is also available
in some cases (Spector 2013, Breheny 2008, Kennedy 2013, and others). One
theoretical account of these data is the following (Horn 1972, Spector 2013),
where two is an example of a numeral: In the semantics, two has an at least two
interpretation, but because the more informative alternative (at least) three exists too,
two also has an implicature of not more than two. But the not more than n implicature
of the numeral n behaves differently from other implicatures: In language acquisition,
Papafragou and Musolino (2003), Hurewitz et al. (2006), Huang et al. (2013) and
others found that children as young as two interpret two as exactly two. The other type
of implicature that children seem to routinely draw are free choice inferences (Tieu
et al. 2015). Free choice inferences arise, for example, with disjunction embedded
under an existential modal (Kamp 1973, Fox 2007, Kratzer and Shimoyama 2014,
and others). Logically, (2) is compatible with a situation where Jack is only allowed
to have either sushi or pasta this is shown by the fact that (2) is compatible with the
13
continuation but I dont know which of the two. But pragmatically (2) is enriched to
the interpretation that Jack is allowed to have sushi and also allowed to have pasta.
(2)
14
2004). And the lexical relation of two to three must be easy to learn and access since
numerals are usually learned as sequences. Additional support for the second type
of explanation may come from at least five further observations: 1) If children are
aware of the lexical alternative, their performance with scalar implicatures improves
(Gualmini et al. 2001). 2) Children differ from adults in interpreting only some where
the not all inference isnt an implicature, but draws on the same lexical alternative
relation (Barner et al. 2011). 3) Children seem to draw exhaustive inferences (or ad
hoc implicatures) correctly (Stiller et al. 2015), and 4) the prediction that children
should interpret disjunction conjunctively seems to be borne out (Singh et al. 2015).
5) Disjunction morphemes with a conjunctive implicatures seem to exist at least in
Warlpiri (Bowler 2015) and Sauerland et al. (2015), Sudo (2014).
A second prediction of Grices account is that only full utterances should have
implicatures: Are there embedded implicatures? This prediction has been debated in
the theoretical literature pretty much since Grices work (Cohen 1971, Horn 1985,
Levinson 2000, and others). Initially, Grices prediction here is called into question
by examples like (3) where negation applies to the implicature of like.
(3)
Around here we dont like coffee we love it. (Horn 1985, p. 139)
However, examples like (3) also have a peculiar intonation and have been taken by
Horn and others to rely on special properties of negation. At the same time, always
adding implicatures to the semantic meaning in the scope of other operators would
make the wrong predictions for examples like (4) as Sauerland (2004) discusses. If
here some of the peas is interpreted as some but not all of the peas and furthermore
or as exclusive disjunction, (4) would be predicted to be acceptable in case Kai had
both the broccoli and all of the peas.
(4)
So, the issue of how to account for seemingly embedded implicatures as in (3)
has remained unresolved for many decades. Once experimental methods and also
more sophisticated accounts of how and when to integrate implicatures with the
semantic meaning below the utterance level became available (Chierchia 2004,
2006), this raised the expectation that soon decisive data on the phenomenon
would become available. Experimental work has indeed made some contributions
(Geurts and Pouscoulous 2009, Clifton and Dube 2010, Chemla and Spector 2011,
2014, Cummins et al. 2012), but the most significant progress in this area so
far relied on data that can be ascertained without the use of formal experiments.
Specifically, Chierchia et al. (2009) show that data like (5) that Gazdar (1979)
regarded as exceptions to Hurfords constraint on disjunction receive a natural
account if embedded implicatures are possible.
(5)
a.
(global)
b.
(intermediate)
16
c.
(local)
Either she must read at least three of the books or she must read at least four
of them.
In sum, the evidence at present supports the view that implicatures can be computed
at local and intermediate points of the semantic composition, not only at the
utterance level as Grices pragmatic theory predicts. Experimental pragmatics played
only a supporting role in the research on this question so far, but in the process
several methodological issues have been better understood, specifically relating to
ambiguity detection and typicality. Ambiguity detection is needed, for example,
to distinguish the global and local implicature interpretations of (8). Geurts and
Pouscoulous (2009) assumed that evidence for the ambiguity would need to come for
subjects judging (8) false in situation where (8-a) is true and (8-b) false. However,
independently Gualmini et al. (2008) and Meyer and Sauerland (2009) argued for
a preference to judge ambiguous sentences true when any of their readings is true.
For this and other reasons, the experimental data of Geurts and Pouscoulous (2009)
fails to resolve the debate concerning local implicatures (Sauerland 2010, Chemla
and Spector 2011, Gotzner and Benz 2014) (pace Geurts and van Tiel 2013), but
advanced the field methodologically.
(8)
local: Every boy likes some and not all of the books.
Typicality also plays a role in judgments of felicity (Sassoon 2013). van Tiel (2013),
Geurts and van Tiel (2013), van Tiel (2014) point out that typicality is relevant
to experimental work concerning embedded implicatures, especially for studies
that rely on graded judgments such as the work of Chemla and Spector (2011).
Specifically, van Tiel (2013) proposes that quantified noun phrases generally are
related to a typicality profile. For example (9), a situation where John read 5 out
of 10 books is more typical than one where he read 3 out of 10 or 9 out of 10.
(9)
Van Tiels work raises several interesting questions as Cummins (2014) and Chemla
and Spector (2014) discuss. At this point, it is clear that typicality is an important
additional factor to consider in pragmatic models for experimental tests.
In sum, this section showed how Experimental Pragmatics has helped to
confirm and disconfirm respectively two central predictions of pragmatic theory.
Experimental work mostly confirmed the prediction that implicatures are a separate
component of meaning from the literal meaning, and this work has let to fruitful
back-and-forth between theory and experiment concerning the internal mechanisms
of implicature generation, specifically the hypothesis that access to lexical scales is
effortful component that must be learned. The prediction that implicatures are only
generated globally at the full sentence level, however, has been mostly disconfirmed.
The discussion of this prediction is instructive in that early experimental work
has primarily shown that additional factors concerning ambiguity resolution and
typicality had to be taken into consideration, and at this point the stronger evidence
doesnt come from formal experiments, but data that can be judged reliably by adult
speakers. In the next section, we present a second case study of Experimental
18
Pragmatics.
3.2
Metonymy
Differences in speaker meaning are also described for lexical pragmatics, a branch
of pragmatics that is concerned with context-dependent uses of lexical expressions.
The expression Dickens may for instance be used for the person as in Dickens visited
the United States in 1842 or for his work in Tim wants to read Dickens. The meaning
of university ranges from a place of education, a period of education, a building to
an institution or a person working there (The university called), etc. These discrete
interpretations have been discussed in the context of polysemy (semantically related
meanings) or metonymy (derived meanings) and have been distinguished from socalled homonymy (semantically unrelated meanings, such as (bat denoting an animal
or a club). Crucially, while a speaker could utter something more explicit like
(10-a), she may opt for the short version (10-b) in an attempt to satisfy the pragmatic
principle of brevity (Grice 1989).
(10)
a.
b.
19
Needham.
Other derivations evoked processing demands. Differences were e.g. reported for
mass-count alternations (Frisson and Frazier 2005). So-called portioning (turning
a mass noun into a count noun) revealed processing costs (longer fixations) for the
derived meaning; grinding (turning a count noun into a mass) also engendered a
processing burden for the derived forms reflected in even later enhanced eye tracking
measures, which may suggest that the grinding operation exerts additional conceptual
effort, while portioning is readily available for the cognitive system. Overall, these
eye tracking data point towards an intricate cognitive architecture and indicate that
meaning alternations and metonymic operations are not uniform. Experimental
findings like this call for an amelioration of linguistic theory. The relation between
the different meaning extensions seems to differ along a continuum, with some
derived meanings being available as straightforwardly as the underived meanings
and others requiring additional processing effort. We return to possible explanations
of these differences further below.
This view of subtle distinctions between meaning alternations can be further
refined when we turn to another time-sensitive method, the recording of eventrelated brain potentials (ERPs). Electrophysiological measures capture the electrical
activity of neurons related to cognitive, sensory or motor processes. In language
research, they are time-locked to a cognitive event (e.g., the onset of a critical
word). ERP profiles can be described with respect to the magnitude and polarity
of their amplitudes, their time-course and topographical distribution. This allows
us to tease apart discrete processes triggered by a critical word. Experiments on
metonymy identified two distinct profiles: one group of expressions that did not
21
show a processing difference between derived and underived meanings, and another
group that registered processing costs for the derived meaning. The former included
content-for-container alternation (putting down the beer meaning the beer bottle
or beer glass vs. drinking the beer, (Schumacher 2013)) as well as producer-forproduct metonymy (Schumacher and Weiland-Breckle 2015). In turn, processing
demands were observed for container-for-content metonymy (drinking the goblet
referring to the content of the goblet, Schumacher (2013)) or property-for-person
(ham sandwich in (11) referring to the ham sandwich eater, Schumacher (2014)).
These processing costs were reflected by a positive-going ERP amplitude peaking
around 600 ms after the onset of the critical expression. In light of other findings
from ERP research, this Late Positivity has been associated with the shift to the
intended meaning, which brings about a reconceptualization and results in updating
of the underlying representation (see Schumacher (2013) for further information on
reconceptualization and updating). In the cases where the processing of derived
and underived meanings did not differ, it is claimed that the lexical representation
made available the two extensions. Note that ERP investigations of homonyms relative to unambiguous words (Hagoort and Brown 1994) or polysemous words
(Klepousniotou et al. 2012) registered a different ERP effect, a negative deflection
peaking around 400 ms after homonym-onset (N400), indicating that the underlying
mechanisms in homonymy and metonymy differ from each other.
(11)
The experimental approach has thus provided important insights for a formal
characterization of meaning alternations. It revealed that words and their usages
split in different classes, with some intended meanings being as easily understood
as their core meaning, and others evoking processing costs relative to the underived
22
Conclusion
Pragmatics until recently has been an area of linguistic theory where progress
has lagged behind other subfields.
24
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