Demonstratives As Individual Concepts
Demonstratives As Individual Concepts
Demonstratives As Individual Concepts
1. Introduction
This article attempts to give a unified semantics for the English demonstrative determiners that and this. In particular, it will argue that they
are both definite articles of a certain kind, where definite articles will be
assumed to introduce existence and uniqueness presuppositions in the
manner described by Frege (1893) and Strawson (1950). DPs headed by
demonstrative determiners will be interpreted as individual concepts.
By a unified semantics I mean an account that is capable of handling all the uses to which this and that seem to be put. The classic
theory of Kaplan 1989a can handle only a proper subset of the uses
of these words. As is well-known, Kaplan focused on occurrences of
demonstratives like the one in (1), that is to say on utterances in which
the speaker demonstrates and intends to talk about some perceptually
salient object.
(1) That [gesture at Venus] is a planet.
The resulting doctrine was that demonstratives in these uses are directly referential, where a singular term is directly referential if and
For valuable discussion of this topic I would like to thank Sigrid Beck, Ray
Buchanan, Michael Glanzberg, Irene Heim, Richard Kayne, Lisa Levinson, Stephen
Neale, Bernhard Nickel, Gary Ostertag, Francois Recanati, Stephen Schiffer, Susanna Siegel, Jason Stanley, Peter Staudacher and Anna Szabolcsi. I am particularly
grateful to Daniel B
uring and two anonymous reviewers for Linguistics and Philosophy for detailed and perceptive commentary on a first draft. I should emphasize
that the basic view defended in this article (that bare and complex demonstratives
are individual concepts) is not mine alone. In particular, Irene Heim and I both
argued for it strongly at a 2002 Harvard-MIT seminar on reference and complex
demonstratives organized by Glanzberg and Siegel, apparently having come to the
same conclusion independently; Ray Buchanan came to the same conclusion, again
independently, in a 2002 paper; and the same idea occurred independently to Jason Stanley, who speaks favorably of it in a review of King 2001 (Stanley 2002).
This research was partly funded by the Deutsche Forschungsgemeinschaft as part of
Sonderforschungsbereich 632 (Information Structure).
c 2007 Kluwer Academic Publishers. Printed in the Netherlands.
Paul Elbourne
2. Framework
2.1. Situation Semantics
This paper will use a version of situation semantics (Barwise and Perry
1983). The particular version I will use is based closely on the system in Elbourne 2005b, which I will here summarize for the sake of
convenience.
The system in Elbourne 2005b is based most directly on the work
of Kratzer (1989), Berman (1987), Heim (1990), von Fintel (1994) and
Heim and Kratzer (1998). It is based on the notion of a situation, where,
as in Barwise and Perry 1983, a situation is a part of a possible world.
(The part-of relation is understood reflexively, so that possible worlds
count as big situations.) A situation consists of one or more individuals
having one or more properties or standing in one or more relations at
a particular spatiotemporal location (Barwise and Perry 1983: 7).
Unlike in some versions of situation semantics, lexical items in Elbourne 2005b are not accompanied by situation variables in the syntax. So for the simple sentence Mary laughs we would just have the
(simplified) structure in (4).
(4) [Mary laughs]
For the purposes of this section, I will make the simplifying assumption that proper names are syntactically simplex lexical items whose
denotations are individual concepts of a certain kind, those that map
situations directly to individuals, as it were, without the mediation of
a descriptive condition. (This view will be revised slightly in section
2.2.) So we will have the lexical entry in (5) for Mary.
(5) [[Mary]] = s.Mary
Intransitive verbs will be functions that take individual concepts and
map them to functions from situations to truth values. For example,
we have (6) for laughs.
(6) [[laughs]] = uhs,ei . s. u(s) laughs in s
I follow a notational convention from Heim and Kratzer 1998. For any
expressions M and N and any variable x, let [N/x]M be the result of
substituting N for every free occurrence of x in M , and changing bound
variables to avoid clashes.1 A -term consisting of a and a variable
x and a period followed by a constituent M is a function mapping
1
For the exact definition, see Hindley and Seldin 1986:7, from which the summary
in the text is also taken.
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(24) De dicto
Mary believes that there is an individual x such that x is a
Pope and there are no Popes but x and x is an alien.
(25) De re
There is an individual x such that x is a Pope and there are no
Popes but x and Mary believes that x is an alien.
This result, in fact, is sometimes claimed to be one of the main virtues
of the Russellian theory of descriptions.
Semantic systems based on situations can reproduce this result by
directly manipulating the situations with respect to which certain predicates are evaluated (Bauerle 1983, Heim 1991, Farkas 1997, Heim,
Kratzer and von Fintel 1998, Percus 2000, Elbourne 2005b). The idea
is that we can account for the two readings in question by means of the
following paraphrases, where w0 is the actual world:
(26) De dicto
All worlds w compatible with Marys beliefs in w0 are such that
the Pope in w is an alien in w.
(27) De re
All worlds w compatible with Marys beliefs in w0 are such that
the Pope in w0 is an alien in w.
Imagine that Mary has no particular beliefs about who the Pope is; she
just thinks that the present Pope, whoever he is, is an alien. We could
describe this state of affairs by means of (26). Now imagine that she has
seen a figure dressed in white behaving suspiciously in Vatican City;
the person she saw was in fact the current Pope, Benedict XVI, but
she does not know this; she just forms a belief concerning the person
she saw to the effect that he is an alien. We could describe this state
of affairs by means of (27). But this, of course, is just the distinction
between de dicto and de re readings.
Some theorists have advocated systems in which every predicate
takes a situation variable as its first argument (Heim 1990, Percus 2000,
B
uring 2004). This would allow us to say that the situation variable
associated with the noun Pope in (23) refers to w0 in the case of the
de re reading, and is bound by the propositional attitude verb in the
case of the de dicto reading. See Elbourne 2005b: 100102 for further
details.
It is not necessary to introduce so many situation variables into the
syntax, however, in order to deal with the data at hand. In Elbourne
2005b: 103104, I propose the following theory, which is in a certain respect more economical. We posit one additional operator in the syntax,
which is shown in (28).
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(39) De re:
a. [Mary believes [the Pope s0 is an alien]]
b. The proposition true of world w0 iff all worlds w compatible
with Marys beliefs in w0 are such that the unique x such
that x is the Pope in w0 is an alien in w.
It can be seen that we have produced intuitively adequate renderings
of the de dicto and de re readings of a representative example.
Moreover, there are powerful arguments to the effect that the treatment of de dicto and de re readings just described is actually empirically
superior to the theory that uses scope. See Bauerle 1983 and Elbourne
2005b: 104106 for details.
2.4. Pronouns and Binding
It will be useful at this point to examine the treatment of third-person
pronouns in our fragment, since they will form a useful point of comparison to demonstratives.
2.4.1. Pronouns as definite descriptions
There is a substantial amount of evidence to indicate that pronouns are
interpreted as definite descriptions.5 I will here mention three pieces of
evidence. The first relevant phenomenon is that of donkey anaphora; I
have argued at length elsewhere (Elbourne 2005b) that the approach to
donkey anaphora that treats donkey pronouns as definite descriptions
(Cooper 1979, Heim 1990, Neale 1990, Elbourne 2001a) is the correct
one.
Secondly, there is an argument by Heim (1993) to the effect that
treating pronouns as descriptions helps to explain some otherwise puzzling apparent violations of Chomskys (1981) Binding Theory. (See
also B
uring 2005:156157 for further discussion.) Imagine a scenario in
which two people are looking at a political candidate speaking on a
soapbox. They cannot see the person clearly and are wondering who it
is. They might speak as follows (Heim 1993):
(40) A: Is that Zelda?
B: Shes praising her to the skies. It must be Zelda.
5
To be exact, all of the phenomena I cite here constitute evidence to the effect
that pronouns are sometimes interpreted as definite descriptions; the final step of
concluding that they are always definite descriptions, with referential uses employing
descriptive conditions like identical to John (Elbourne 2001b, 2005b), is made on
the basis of Occams Razor. There seems to be something more than an accidental
homonymy going on here, especially when we look at other languages and see that
their pronouns too seem to be ambiguous, for example, between referential, bound
and donkey anaphoric uses.
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political candidate, and so the common ground does not entail that
she and her end up picking out the same person, given that her refers
to Zelda. Interestingly, it has been argued that some of the difficulties
that small children display with Binding Theory are due not to any
lack of knowledge of the Binding Principles but to a lack of knowledge
of this supplementary principle (Thornton and Wexler 1999).6
The third reason for thinking that pronouns are definite descriptions
is the existence of the cases sometimes called descriptive indexicals
(Nunberg 1993, Recanati 1993, Nunberg 2004, Recanati 2005the term
is Recanatis, but the pioneering work in this area was done by Nunberg). To adapt an example from Recanati 2005, credited to Nunberg,
suppose I point at Benedict XVI and say (43):
(43) He is usually an Italian.
It is obvious that I will interpreted as saying that the Pope is usually
an Italian; I will not be interpreted as saying that Benedict XVI is usually an Italian. Note that we cannot explain this example by claiming
that he has Benedict XVI as its semantic value and that the meaning
The Pope is usually an Italian is derived from this by some kind of
pragmatic process; if that were the case, we would expect an utterance
of (44) to have the same reading:
(44) Benedict XVI is usually an Italian.
The name Benedict XVI will presumably introduce Benedict XVI into
the proposition expressed, on which basis the putative pragmatic process that is supposed to produce the meaning of (43) should surely be
able to operate; but (44) cannot have the meaning of (43), causing a
grave difficulty for any attempt to explain away descriptive indexicals
on the basis of direct reference and pragmatics (Nunberg 1993, 2004).
2.4.2. The theory of Nunberg 1993
My strategy in this section will be to produce a formalization of the theory of Nunberg 1993 in the current version of situation semantics, and
to show that it can account for the three phenomena just introduced,
as well as the referential and bound variable uses of pronouns. Nunberg (1993) claims that the semantics of pronouns and other indexicals
involves the following four elements:
1. A deictic component, which picks out a contextually salient object
called an index, on the basis of which the actual interpretation of
the indexical will be computed.
6
But see Elbourne 2005a and Takahashi et al. 2006 for critical discussion.
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saying that there might have been other, more Darwin-friendly, people
elected to the Board. This last reading, at least, seems to require we
to be synonymous with the definite description the current members of
the Kansas State Board of Education (Nunberg 1993: 1314). Compare
the two readings of (47):
(47) The members of the Board might have been evolutionists.
There is evidence, then, in favor of the contention that we can have
readings equivalent to those of definite descriptions.
Third-person pronouns work similarly to we in Nunbergs (1993)
theory. The differences are that the index can be any salient object,
instead of having to be the speaker, and that the relational component
can fix on any salient relation, within certain limits (Nunberg 1979,
1993). If I point to Benedict XVI and say he, then the index is going to
be Benedict XVI.9 If I mean to refer to Benedict XVI, that is if I wish
Benedict XVI to be the interpretation of the pronoun, the relation in
play is going to be identity. If I wish to contribute to the proposition
expressed a definite description synonymous with the Pope, as in example (43), the relation is going to be something like the relation that
maps people to the offices they hold.
2.4.3. A formalization of Nunberg 1993
I will formalize this theory in a straightforward way, positing items in
the syntax corresponding to the deictic component and the relational
component. The pronoun it, for example, will be as in (48):
(48) [it [R1 i2 ]]
In this structure, i is a variable of type e constituting the deictic component; its value will be the index, in Nunbergs terms. R is a variable
of type he, hse, stii constituting the relational component. These will be
the only types of variable in the current system. The value of R will, of
course, map the value of i to a function of type hse, sti; note that this
is the type of Noun Phrases in the current framework. The pronoun it,
then, will be a definite article (Postal 1966, Stockwell, Schachter and
Partee 1973, Abney 1987, Longobardi 1994, Uriagereka 1995, Elbourne
2001a, 2001b, 2005b, Neale 2005b). Abstracting away from -features,
which would be written into the denotation as presuppositions in complete treatment, perhaps in the manner advocated in Heim and Kratzer
9
We can suppose, with Neale 2005b, that the speakers intentions are ultimately
what determine the index and the relation selected by the relational component, but
that cooperative speakers will not intend to pick out entities whose identities they
think their audience would not be able to work out.
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1998, it and other third-person singular pronouns will mean the same
as the:
(49) [[it]] = fhse,sti .s. xf (s0 .x)(s) = 1
Pronouns with their accompanying variables, then, will be definite
descriptions.
2.4.4. Descriptive Indexicals
Let us return to our descriptive indexical example (43), repeated here
as (50):
(50) He is usually an Italian.
We can now deal with (50) as follows. The pronoun he will take indexed
variables as shown in (51); these variables will be interpreted by means
of the rule in (52).
(51) [he [R1 i2 ]]
(52) Variable Interpretation
For all natural numbers n and assignment functions g, if in is a
variable with subscript n, then
[[in ]]g = g(n)
provided n is in the domain of g; [[in ]]g is undefined otherwise.
The individual variable i will have Benedict XVI as its semantic value.
Suppose the utterance is made in world w0 at time t0 . The relation
variable R would then have as its value the relation in (53):
(53) x.uhs,ei .s.u(s) holds in s the office held in w0 at t0 by x
The word he, as mentioned, will be interpreted as a definite article.
This means that the semantic value of the DP as a whole will be as
follows:
(54) s. x x holds in s the office held in w0 at t0 by Benedict XVI
Since Benedict XVI is, we can assume, the Pope in w0 at t0 , this formula
is equivalent to the following:
(55) s. x x is the Pope in s
The sentence He is an Italian, with the pronoun interpreted in the way
just indicated, will have the semantic value in (56):
(56) s. x x is the Pope in s is an Italian in s
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We can now follow Berman 1987, Heim 1990 and Elbourne 2005b in
supposing that quantificational adverbs like usually quantify over situations. The idea is that usually says that most situations of a certain
kind are members of the set of situations that is the denotation of
the matrix clause. We can further assume that, when no restrictor is
given explicitly by means of an if -clause or when-clause, the restrictor
is tacitly formulated by the speaker and constructed on the fly by the
audience, in their best guess at the speakers intentions. Let us assume
for the present example that the speaker intends to quantify over papal
reigns. The speaker of (43) would be claiming, then, that for most
situations s such that s is a papal reign, the unique Pope in s is an
Italian in s. This seems to be intuitively adequate.
2.4.5. Referential pronouns
Let us now turn to the referential case, in which I point to Benedict
XVI and mean to contribute him, not the property of being Pope, to
the proposition expressed. The variables i and R will have the values in
(57). This gives the value in (58) for the combination of pronoun and
variables.
(57) a. [[i]] = Benedict XVI
b. [[R]] = x.uhs,ei .s.u(s) = x
(58) s. Benedict XVI
We could take it that wishing to talk about the actual index is so
universal and natural that the relation of identity is generally salient
in such cases. There is also, in fact, a certain amount of evidence to
the effect that the language faculty contains a type-shifting procedure
that takes individuals and returns, for each individual, the property
of being identical to it (Partee and Rooth 1983, von Fintel 1993, van
Benthem 1995); in other words, it may well be the case that the function
postulated as the value of R in (57b) is actually a built-in part of the
language faculty and hence always available. See section 3.5 for further
discussion.
2.4.6. Bound pronouns and traces
In order to analyze bound pronouns, we will need to have a theory
about the basics of binding, which I will introduce with an example
that does not use pronouns. Consider (59):
(59) John, Mary likes.
And suppose, as is plausible, that this sentence results from John
moving from object position and leaving a trace. Then the LF of this
example will be approximately as in (60):
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ident(u)/i
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19
1 donkey
2 [[ ]]
(74) s. x x is a donkey in s
In (73), donkey is either an occurrence of the word donkey or the word
donkey itself, whatever it is that the interpretation function works on.
[[ ]] is the normal interpretation function, which, in the case of nouns,
takes individuals (nouns or their occurrences) and maps them to functions of type hse, sti; it is of type he, sesti, then, as required. Since it
is hard-wired into the language faculty, the interpretation function will
always be available for use in resolving anaphora.12
The expression in (74) is also the denotation of it (in a donkey
sentence) in Elbourne 2005b. The rest of the current account of donkey
sentences is identical to the one in this earlier work, then; I will summarize it here briefly for the sake of convenience.13 How does (71) come
to have a covarying reading? The answer is by situation variables being
bound. Situations are viewed as being composed of individuals and of
properties and relations predicated of them; not all of an individuals
properties need enter into a situation of which that individual is a part
(Kratzer 1989). We introduce the notion of a minimal situation of a
certain kind, which, informally, is a situation in which certain specified
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in fact one might call them pronouns that also take Noun Phrases as
arguments.
2.4.8. Some loose ends
But there are a couple of loose ends to tie up. In the remainder of this
section, I will describe the following: an additional mechanism that
might be at work sometimes in what we would normally analyze as referential pronouns; and the reason why the rule of Predicate Abstraction
binds the relation variable and not the individual variable.
An observation underlies the first suggestion just referred to. It involves the traditional notion of anaphora. Let us use the term anaphora
for cases where a pronoun or demonstrative is associated with a linguistic antecedent that plays a semantic role in its interpretation.14 By
this definition, bound variable pronouns and donkey pronouns involve
anaphora on the theory just sketched. In the bound variable case, the
most directly involved antecedent is the -abstractor that binds the pronoun; the DP that moves and creates the -abstractor can also be seen
as the binder or antecedent in an extended sense (Heim and Kratzer
1998). In donkey anaphora, on the current theory, the antecedent would
be the noun donkey that directly provides the interpretation of the donkey pronoun. Traditionally, referential pronouns too have been said to
involve anaphora. In a case like (79), he would be said to be anaphoric
on Bill.
(79) Everyone who has met Billi thinks hei is smart.
It is not certain that such a case involves anaphora, however. It seems
perfectly possible to say that the mention of Bill makes Bill salient,
and that he then just refers directly to Bill, without any further role
for the word Bill. We might say in a case like this that Bill plays a
pragmatic rather than a semantic role in the interpretation of he.
Now for the observation. The observation is that the literature on
the processing of anaphora, using lexical decision tasks, eye-tracking
experiments and other methods, makes an overwhelming case for the
mental representation of the antecedent becoming activated during the
parsing of the anaphoric element (Shillcock 1982, McElree and Beaver
1989, Garnham et al. 1995, Cacciari et al. 1997, Carminati et al. 2002,
van Gompel et al. 2004). For example, processing a pronoun anaphoric
to a DP significantly quickens reaction times on the task of deciding
whether or not an adjective that had appeared in the DP is a word
(McElree and Beaver 1989). The reactivation effect obtains in cases
14
Antecedents need not literally come before the pronouns with which they are
associated. I am not, that is to say, making the traditional distinction between
anaphora and cataphora. A linguistic antecedent is just some item in the syntax.
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So a system that would allow a bindable individual variable combined with a free relation variable encounters empirical difficulties with
some examples of donkey anaphora. The system advocated in this article, however, does better with these examples. The advocated analysis
of donkey anaphora brings it about that we end up with descriptive
material of the type of a Noun Phrase in the donkey pronoun. For (85a)
we arrive at the following paraphrase: for every pair of an individual x
and a minimal situation s0 such that x is a man in s0 and there is an
individual y such that y is a wife of x in s0 (treating a as an existential
quantifier, as is traditional), there is an extended situation s00 in which
x sits next to the unique wife in s00 (i.e. the unique wife in s0 , since the
situations s0 already contain wives and the ones in the situations s00
have to be unique there). For (85b), however, the best we could arrive
at would be the following paraphrase: for every pair of an individual x
and a minimal situation s0 such that x is a married man in s0 , there is an
extended situation s00 in which x sits next to the unique married person
in s00 (i.e. in s0 ). The married men end up sitting next to themselves
then, and also being presupposed to be female.
As for (84), (74), the denotation of a donkey pronoun on the current
theory, repeated here as (86), is also the denotation of the overt definite
description the donkey. The prediction, then, is that the basic donkey
sentence (71) will mean the same as (87) and that (84a) will behave
the same as (88):
(86) s. x x is a donkey in s
(87) Every man who owns a donkey beats the donkey.
(88) In this town, every farmer who owns a donkey beats the donkey,
and the priest beats donkey too.
Both of these predictions are fulfilled. (87) seems to have the same truth
conditions as (71), and (88) lacks a sloppy reading, just like (84a). See
Elbourne 2005b, Chapter 2, for more detailed discussion.
This might seem like a lot of material on pronouns for an article ostensibly about demonstratives. But I hope to show that, once pronouns
are correctly understood, demonstratives are just pronouns provided
with some extra descriptive content in the form of Noun Phrases.17
17
More precisely, demonstratives in English are pronouns with the addition of
NPs and proximal or distal features. But some demonstratives in other languages,
like French ce, do not have proximal or distal features, and are hence plausibly just
pronouns with nouns stuck on them.
25
I follow Kripke 1972 in assuming, at least for the purposes of linguistic analysis,
that entities in the actual world can show up in other possible worlds. On the other
hand, if Lewiss (1968) counterpart theory is correct for semantics, identifying an
agent is ipso facto identifying a world, and we would be able to dispense with the
parameter w.
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but the index that determines the choice of proximal and distal features. Imagine the following scenario. Immediately in front of us is Field
A, and beyond that, at some considerable distance, is Field B. We know
that one donkey is kept in A and another donkey is kept in B, but it so
happens that neither donkey is in its field today. Perhaps they are at
the vet. Nevertheless, despite the total absence of donkeys, I can point
at Fields A and B in turn and say (92):
(92) This donkey [gesture at Field A] is healthier than that
donkey [gesture at Field B].
The choice of this versus that seems to be determined by the fact that
Field A is close to us and Field B is far away. The donkeys themselves
do not come into it; we do not have to have any idea about their
relative distances from us in order for (92) to be felicitous. Field A is
the index, in Nunbergs terminology, that brings to mind the donkey
that resides in it; and likewise Field B for its regular inhabitant. It is
even possible to engineer scenarios where the positions of indexes and
interpretations impose conflicting requirements on proximal and distal
features. In these cases, as Nunberg (1993: 23) says, the index always
wins. In Nunbergs own example, we are to imagine him pointing in
turn at two sample plates in his china shop. The first one is right in
front of him, but the second is across the room. He says the following:
(93) These [gesture at the nearby plate] are over at the warehouse, but those [gesture at the distant plate] I have in
stock here.
As Nunberg says, if he had really been pointing at the referents of
these and those, it would have made more sense to have reversed them
(Nunberg 1993: 24).
For this reason, the demonstrative determiners in (89) and (90) take
the index as a separate argument, and it appears in the final conditions
distal(x, a, t, w) and proximal(x, a, t, w). These are to be read x
is distal with respect to a at t in w and x is proximal with respect
to a at t in w, where distal and proximal boil down to distant and
near. Some work remains to be done on the explication of the terms
distal and proximal. It is evident that what a speaker counts as being
near to them, in the relevant sense, can be influenced by all kinds of
things, including their emotional attitudes to the objects in question
and how recently the objects were mentioned. I will offer occasional
commentary on this question in the discussion of examples below, but
I will not attempt to come up with a comprehensive theory.
Before we leave the subject of proximal and distal features, however,
I would like to comment on one more characteristic of them, which is
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31
0 s
1 Glenn
2 [x.uhs,ei .s.u(s) = x]
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This is the result we needed. If we evaluate this proposition at a situation s in which Glenn is having dinner in a nice restaurant we will
not have to find him crossing the street in s in order to get a verdict
of truth or falsity, since the property of being a man crossing the street
is now relativized to s . The proposition will be true or false at s
according as Glenn is six feet tall or not in s .
The current analysis of canonically referring complex demonstratives is also relevant to the question of whether or not a proposition is
expressed if the object demonstrated does not satisfy the NP descriptive content. For example, is a proposition expressed by the utterance
described in (111)?
(111) That knife [gesture at the speakers fork] is dirty.
Braun (1994), Borg (2000) and Glanzberg and Siegel (2006) have argued that no proposition is expressed in cases like this, while Larson
and Segal (1995: 210213) have argued that a proposition is in fact
expressed. The basic issue, of course, is that in these cases, although
the object demonstrated is misdescribed, we do nevertheless pick up
propositional information quite easily, to the effect that the object
demonstrated has the property contributed by the Verb Phrase. Should
we say that therefore the sentence has a semantic value that is a proposition, in the normal way? Or should we rather say that the sentence
does not have a proposition as a semantic value and we manage to
extract propositional information from the utterance in a different way?
It is a consequence of the view I advocate that a proposition is indeed
expressed in cases like this. But the exact details of what takes place
will depend on whether or not the speaker actually thinks the fork in
the scenario in (111) is a knife. If the speaker does think the fork is
a knife (because the tines are covered by a napkin, say, or because of
some defect of vision), then things are comparatively straightforward.
We might have an LF like (112). The variables i and R would contribute
the property of being identical to a, where a is a name of the fork in
question.
(112) [[[that i1 R2 ] knife] [is dirty]]
This LF, in these circumstances, will produce a proposition that can
be characterized as follows:
(113) The function that:
maps situations s to 1 if there is exactly one appropriately
distal knife identical to a in s and this entity is dirty in s;
maps situations s to 0 if there is exactly one appropriately
distal knife identical to a in s and this entity is not dirty in
s;
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there are uses of that phrases in which they are not accompanied by any demonstration, need not be used to talk about something present in the physical context of utterance, and in which
the speaker has no particular individual in mind as the thing she
intends to talk about by means of the that phrase.
Some examples, based closely on Kings, are the following.
(121) a. (We heard a while ago that exactly one student scored 100
on the exam, but we do not know who it is.) That student
who scored 100 on the exam is a genius.
b. (We heard a few seconds ago that exactly one student scored
100 on the exam, but we do not know who it is.) This student
who scored 100 on the exam is a genius.
In my judgment, and according to the judgments of those I have consulted, both this and that are possible in these cases, and are intuitively
justified with reference to how distant the event of our hearing about
the brilliant student was.
This suggests that in each case we can use the utterance announcing
the existence of the student who scored 100 as the index. To take an
example, the complex demonstrative in (121a) would have the following
form at LF:
(122) [[that i1 R2 ] [student who scored 100 on the exam]]
Let b be a name of the utterance in which we heard about this student.
The utterance b, then, will be the index. R will take on as its value the
function mapping utterances to the property of having ones existence
announced in them. So the two variables jointly contribute the property
of having ones existence announced in b. Assume that (121a) is spoken
in w at t. The semantic value of the complex demonstrative is then the
function from situations s to the unique x such that xs existence is
announced in b in s and x is a student who scored 100 on the exam
in s and b is distal with respect to the speaker in w at t. The whole
utterance will be true of an evaluation situation s , such as a relevant
chunk of the real world, if and only if the semantic value of the complex
demonstrative maps s to an individual, and that individual is a genius
in s . This seems intuitively adequate.
The presence of the deictic and relational components also accounts
straightforwardly for cases of deferred ostension (Quine 1969, Nunberg 1979, 1993). These are traditionally defined as cases in which
the speaker demonstrates one thing in order to refer to another; the
speaker does have an object in mind to which the index and relational
component are supposed to lead the hearer. We have already seen an
example of this in (92) in section 3.1, repeated here as (123):
38
Paul Elbourne
39
40
Paul Elbourne
Aloysius are absent, being attended to by a vet, but we can see Flossy
and Rupert in a farmyard.23 I then say (126):
(126) This donkey [gesture at Flossy] is healthier than that donkey [gesture at Rupert].
As long as it is clear that I am gesturing at Flossy and Rupert, I absolutely cannot mean by this that Esmerelda is healthier than Aloysius.
This is so even if I have just explicitly drawn attention to the necessary
relational component by saying something like You know that Flossy
always shares a field with Esmerelda, and Rupert always shares a field
with Aloysius. I must mean that Flossy is healthier than Rupert, even
though the health of Esmerelda and Aloysius is arguably more salient,
given that they are receiving veterinary care.
I know of only one type of apparent counterexample to the generalization in (125), and the examples in question are in fact exceptions
that prove the rule. Consider (127), a variant of Kaplans (124b):
(127) If Charles and Paul were disguising themselves as each other,
this man [gesture at Paul] would be from Charleston.
Unlike (124b), this has both a true and a false reading. We can account
for the true reading by supposing that the mention of disguise has
made salient what we might think of as the outer shell or appearance of
people. We obtain a true reading, then, by interpreting the index not as
being Paul but as being the outer shell or appearance of Paul, which we
can call a. The complex demonstrative, on the true reading, then means
something like the unique individual x such that x has appearance a
and x is a man and a is near the speaker. Provided that we imagine
the disguises to be good ones, this would indeed pick out Charles in
the counterfactual circumstances introduced by the antecedent. Since
the outer shell or appearance of Paul is not in itself a man, there is no
transgression of the principle in (125).
We can account for Kaplans datum in (124b), then, by pointing out
that the index satisfies the NP descriptive content and hence, by (125),
the relational component has to be identity. But we would ideally like
to go deeper into the matter than this. Why should (125) hold? As
it happens, Nunberg (1979) has already provided a plausible answer.
Using demonstratum for his later term index, and referring function or
RF for the relation between demonstrata and interpretations carried
out partly by the relational component in the current system, he writes
as follows (1979: 160):
23
I stipulate this latter detail in order to prevent the gestures at Flossy and
Rupert in the example being reinterpreted as gestures towards the fields where they
live or the general space that they inhabit.
41
Allow me to borrow the psychologists notion of cue-validity to refer to the probability with which a given referent b can be identified
as being the value of a certain function f at a demonstratum a,
or more generally, to the relative usefulness of a given description
for purposes of identification. All things being equal, we will assume
that given an array of possible RFs which take a demonstratum into
a range of reference, a rational speaker will intend that his hearer
should select that function that has the highest cue-validity for its
referent. In other words, when a demonstratum stands uniquely in
several different relations to several members of a range of reference, and there is no reason for assuming that any one of these
members is a more likely candidate for reference than another, we
will assume that the intended referent is that member which is most
easily identified in terms of its relation to the demonstratum. [. . . ]
[T]he reader may have noticed that we did not define the range of
reference above in such a way as to exclude the possibility that the
demonstratum was itself a member of the range. Thus, if I point
at a hat and say, That is a derby, we would normally understand
the range of possible referents as including the hat itself. And under
these circumstances, the hat itself would be the only thing that I
could actually be referring to, if I am being rational. The general
point is this: when the demonstratum could be the referent, it must
be the referent. [. . . ] [T]his principle follows from the more general
observation about cue-validity that we made above. The identity
is a function too, after all, and it is the only function whose value
is trivially computable for all arguments in all domains. So where
the identity could be the referring function, its cue-validity must be
higher than that of any other possible RF, and it must be chosen.
The identity function that Nunberg had in mind was of course [x.x]. In
the system in the current article, the same effect is achieved by having
the relational component be (128), as in (57) and (99):
(128) x.uhs,ei .s.u(s) = x
This combines with the index and an iota-operator, whether in a pronoun or a demonstrative, to give the index back as the interpretation
or, strictly speaking, the constant function mapping situations to the
index. Exactly the same rationale envisaged by Nunberg in 1979, then,
can apply to the system in the present article. Basically, the kind of
constant function just mentioned is always going to be trivially derivable from any index by means of a trivial and universally available
relational component. (This relational component may even be an inbuilt type-shifting mechanism in the language faculty, as I pointed out
below (57).) This kind of constant function is, in a sense, going to be the
42
Paul Elbourne
easiest thing to arrive at. Since a cooperative speaker will intend that
the interpretation be the one that is most easily identified in terms
of its relation to the demonstratum, this kind of interpretation will
always win out, unless there are obvious reasons to make it impossible,
such as the NP-descriptive content being incompatible with the index.
Note that Nunbergs (1979) reasoning here has very much the flavor
of Relevance Theory (Sperber and Wilson 1986) and could easily be
recast explicitly in terms of that theory.
3.6. Quantifying In
One of the central planks in Kings (2001) argument against a direct
reference account of complex demonstratives is the existence of examples of quantifying in. These examples involve a pronoun in the matrix
of a complex demonstrative being bound by a quantifier phrase outside,
generally producing covarying readings.24 King (2001: 10, 74, 173) gives
the examples in (129); (129a) occurred first in Neale 1993, where it is
attributed to Jamie Tappenden.
(129) a. Every man eagerly looks forward to that day when he retires.
b. Every father dreads that moment when his eldest child leaves
home.
c. Most avid snow skiers remember that first black diamond
run they attempted to ski.
d. Every professor cherishes that publication of his.
In the case of (129d), which might seem awkward in isolation, King
(2001: 74) suggests that we imagine it to be spoken while the speaker
nods in the direction of a screen showing a scene from a film in which
a professor is fondly perusing his finest piece of published work; it is
supposed to mean something like Every professor cherishes his finest
publication.
I think it is evident that the current theory will face no particular
problems with this kind of sentence. In the case of (129d), for example,
we can imagine that the index is the scene towards which the speaker
gestures, which we can call s, and the relational component is something
like has the qualities depicted in. Translating into extensional terms
24
I believe it is possible to have quantifying in without a covarying reading,
however. Suppose that all the boys in a Scout troupe were told to clean the floor
of a cabin were they were staying, but all of them forgot. We could say Every boy
forgot to clean that floor he was supposed to clean. We have quantifying in, but the
floor that was supposed to be cleaned is the same for every boy, and hence there
is no covariation. The deictic and relational components would work as they do in
canonically referring examples in this case.
43
for the sake of simplicity, we obtain the truth conditions in (130) for
(129d):
(130) Every professor x cherishes the unique individual y such that y
is a publication of x and y has the qualities depicted in s and s
is suitably distal.
Since the piece of work in s is depicted as the finest publication of the
professor in question, this is equivalent to saying that every professor
cherishes his finest publication, as desired.
It is notable that the other three examples of quantifying in in King
(2001), (129a)(129c), all involve intensional transitive verbs and all
seem to introduce a presupposition to the effect that the kind of event
or object they talk about (retiring, eldest children leaving home, black
diamond runs skied for the first time) is somehow familiar. I speculate
that the reason for this is as follows. Since we are presented with these
examples out of the blue, as it were, with no scenario provided in which
we are to imagine them being said, the deictic component cannot zero
in on any obvious visual clue, as it does in the case of (129d); and since
we are dealing with covariation, the index cannot be the interpretation,
as it is in the case of referential readings. This leaves the deictic and
relational components with limited room to maneuver, and we hence
settle on something like the concept or idea of retiring, or having ones
eldest child leave home, for the index; the relational component is then
something like exemplified by. The rough truth conditions for (129b),
then, are something like those in (131):
(131) Every father x dreads the unique individual y such that y is a
day when xs eldest child leaves home and y exemplifies the idea
of eldest children leaving home and the idea of eldest children
leaving home is suitably distal.
This explains the feeling we get when we hear examples like (129b)
that the speaker is making reference to a kind of event with which we
are expected to be familiar.
3.7. Bound Demonstratives
As already noted in (94), repeated here as (132), complex demonstratives seem to be able to be bound themselves. Simple ones do too,
although they are perhaps slightly more awkward in bound readings
than complex ones. Witness the following examples.
(132) a. Mary talked to no senator without declaring afterwards that
that senator was the one who would cosponsor her bill.
44
Paul Elbourne
Examples like (134) will presumably have implications for our views on Principle
C of the Binding Theory, since the LF configuration in (135) should be a violation of
this principle. There is a prima facie conflict between (134), which seems to indicate
that Principle C does not apply at LF, and the arguments in Fox 2000 that seem to
indicate that Principle C must apply at LF.
45
1 donkey
2 [[ ]]
(145) s. x x is a donkey in s
Similarly, that in (140) will involve a deictic and a relational component that will be interpreted exactly as in (144). Instead of a regular
NP, it will be associated with a null component contributing a truthconditionally trivial property, as described in section 3.3. The only
semantic difference between (140) and (142), then, is that in (140) the
index, the previous occurrence of the word donkey, will be presupposed
to be distal. It is unclear whether this means that the occurrence of
the word itself is being presupposed to be distant, or whether (perhaps more naturally) the occurrence can be distal because the relevant
46
Paul Elbourne
Note that else in (140) is also functioning as a donkey anaphor. That is, nothing
else means something like nothing other than that donkey. If the hypothesis
behind the current paper is correct, the fact that else can be used as a donkey
anaphor means that it should also be able to be used in all the other ways that
pronouns can be used, since the same machinery is put into service for all these
uses. This seems to be correct. Here, for instance, is an example of else being used
as a descriptive indexical: we see Benedict XVI ordaining a cardinal, gesture towards
him, and say No-one else is allowed to do that. This could mean Only Benedict
XVI, at the moment, is allowed to do that. But it could also mean Only the Pope,
in general, is allowed to do that.
47
48
Paul Elbourne
49
At this point I must raise a question about Kings data. (159) does
not seem ungrammatical to me on the relevant reading, or to any of
several native speakers whom I have asked about it. The same goes
for (155). The judgments I have elicited, then, would tend to make one
suspect that complex demonstratives and definite descriptions were not
quantificational. In the previous and subsequent literature on WCO,
too, it is assumed, as far as I know, that complex demonstratives and
definite descriptions do not cause WCO. Lasnik and Stowell (1991) cite
the following example as involving no WCO violation:
(160) This book I would never ask its author to read, but that book I
would.
We should also note the judgments given on the following example of
Jacobsons (2000: 93):
(161) The man who loves her saw Mary/the woman with red hair/*every
woman with red hair.
Harley (2002: 661) says that (162) involves no WCO violation on the
relevant reading:27
(162) His mother loves the boy that Sue dislikes.
And King himself (2001: 176, note 20) reports judgments on slightly
different examples that are compatible with the ones I have encountered
from informants and in the literature: he reports that (163) and (164)
do not give rise to WCO effects, whereas (165) does.
(163) Someone who liked her asked that woman wearing a red jacket
to the dance.
(164) Someone who liked her asked the woman wearing a red jacket
to the dance.
(165) Someone who liked her asked every woman wearing a red jacket
to the dance.
King does not have an account of why (163) and (164) should be different from (155) and (159). I think the best we can say here, according
full respect to Kings judgments on (155) and (159), is that a confused
27
Harley comments (2002: 661) that proper names and definite descriptions in
object position must not have to undergo QR, for if they did WCO violations would
result. Furthermore, The self-evident reason that they do not undergo QR is that
definite DPs are not, in fact, quantificational, and hence do not need to move to be
appropriately interpreted. As far as I can see, this position is widespread in the
literature on WCO.
50
Paul Elbourne
and
are uniquely
in an object x and x is
The first and last slots are to be filled in by the properties denoted by
the NP and VP respectively; that is thus like other quantifiers, in that
it takes the NP and VP sets and contributes a relation between them.
28
Before leaving this topic, however, we should note that it would be theoretically
rather mysterious if definite descriptions and complex demonstratives were to give
rise to WCO effects. Accounts of WCO assume that the pronoun in question is
syntactically or semantically bound by the relevant DP. As Jacobson (2000: 93)
observes in connection with (161), there is no obvious reason why this should be the
case for the relevant reading of The man who loves her saw the woman with red hair,
even assuming that definite descriptions are quantifier phrases, because the pronoun
her could just be a referential pronoun that referred to the red-headed woman in
question. It would not have to be bound, syntactically or semantically, in order for
the relevant interpretation to be obtained: it could have an index separate from that
on, or bound by, the woman with red hair that just happened to pick out the same
woman. Like reasoning applies to complex demonstratives. See Harley 2002: 661,
footnote 2, for further discussion.
29
See section 3.3 for discussion of his views on unifying bare and complex
demonstratives.
51
For example, T2 deals with the NDNS case (171) as in (172). The
speaker has a descriptive intention, the relevant descriptive condition
being already expressed in the NP; the second slot merely repeats the
first, therefore, in this case.
(171) That hominid who discovered how to start fires was a genius.
(172) Being a hominid who discovered how to start fires and being a
hominid who discovered how to start fires were uniquely jointly
instantiated in an object x and x was a genius.
And here is how T2 handles a case of quantifying in:
(173) Most avid snow skiers remember that first black diamond run
they attempted to ski.
(174) For most avid snow skiers x: first black diamond run x attempted to ski and first black diamond run x attempted to ski
are uniquely jointly instantiated in an object y and y is such
that x remembers y.
T2 can, then, go a long way towards handling cases that are outside
the grasp of the traditional direct reference approaches.
One might ask why the instantiation of properties is limited to being
in the world of the utterance in cases of complex demonstratives used
with perceptual intentions. That is, why are we limited to schemata
like (175), as opposed to (176), especially since the restriction to w, t
does not appear in the cases of descriptive intentions?
52
Paul Elbourne
(175)
(176)
53
and
are uniquely
in an object x and x is
(185)
and
are uniquely
The new variable y, the reviewer suggests, could be assigned the demonstrated object in referential uses and bound in bound uses. In cases of
NDNS and quantifying in, y could be made identical to x, providing a
truth-conditionally trivial property:
(186)
and
are uniquely
54
Paul Elbourne
55
phrase an object in (184) suggests that T2 analyzes complex demonstratives as existential quantifiers of a certain kind. The theory is, then,
very reminiscent of Russells (1905) analysis of the definite article. Now
there are arguments against analyzing definite descriptions as existential quantifiers. If the majority of the judgments on WCO that we
surveyed in section 4.1.2 are to be trusted, the lack of WCO violations
by definite descriptions in object position indicates that they are not
quantifiers at all; but then again, King (2001) disagrees with those
judgments. There is also another argument, made by Heim (1991),
Elbourne (2005b: 109112) and Kripke (2005: 1023), to the effect that
the Russellian theory of definite descriptions predicts that (189) will
have a reading equivalent to (190), which is not the case:
(189) If the ghost in my attic starts to make scary moaning noises, my
boring guests will leave.
(190) If there is exactly one ghost in my attic and it starts to make
scary moaning noises, my boring guests will leave.
(189) can only be read as presupposing that there is exactly one ghost
in my attic, whereas (190) leaves the possibility open. The analogous
criticism of T2 would point out that, on the face of it, T2 predicts that
(191) will have a reading (192), exactly equivalent to (190), and that
this does not seem to be the case.
(191) If that ghost in my attic starts to make scary moaning noises,
my boring guests will leave.
(192) If ghost in my attic and ghost in my attic are uniquely jointly
instantiated in an object x and x starts to make scary moaning
noises, my boring guests will leave.
Neale (2005a: 846) has briefly argued against this objection, but it
is still the focus of ongoing research by people on both sides of the
argument. For current purposes, we should note that these attempted
criticisms of the Russellian theory of definite descriptions transfer over
quite naturally to Kings (2001) theory of complex demonstratives. If
they are ultimately successful in the one area, it is likely that analogous
arguments will be able to be made in the other. The argument is basically the one between the Russellian and Fregean theories of definite
descriptions, and I am not about to resolve it here. See section 2.2
above and, in more detail, Elbourne 2005b: 98112 for my view.
To summarize, Kings (2001) T2 is an elegant theory that deals
with a large amount of the data concerning complex demonstratives.
I hope to have shown, however, that it could profitably be altered in
directions that would assimilate it to the theory defended in the current
56
Paul Elbourne
57
I have changed Robertss NP to DP for the sake of consistency with the rest
of the current article.
32
Unlike (193), which is a quotation, (194) is my summary of the passage in
question, adhering as closely as possible to the format of (193). The footnotes in (194)
give the quotations from Robertss text upon which I have based the corresponding
parts of my summary. Roberts does give a formal version of the presuppositions
of discourse deictic demonstratives in her (58d ) (Roberts 2002: 123). But (58d )
seems to be self-contradictory: g(j) is supposed to fit the descriptive content Desc
of the demonstrative NPi , according to condition (ii), which makes it sound like
the ultimate referent of the demonstrative; but then in condition (iii) the definition
of the function discourse-referent makes it necessary for g(j) to be a linguistic
constituent. So the definition would work only in cases where the speaker is trying
to refer to a linguistic constituent. For this reason, I have not tried to base my
summary directly on (58d ), but on the summary and discussion in the preceding
text, which seems clear.
33
Roberts 2002: 122123: The proximity associated with the pronoun may be
helpful in picking out an antecedent NP, based on its relative proximity in the text
to the time of utterance of the demonstrative [. . . ] That is, we use the proximity
presupposition in the demonstrative to pick out (demonstrate) a maximally salient
NP or other constituent.
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Paul Elbourne
59
The theory advocated in the present article, on the other hand, can avail itself
of the solution to the problem of (195) proposed in Elbourne 2003, 2005b. The
D-type solution proposed in these works makes crucial use of situation semantics
and hence would not generalize to dynamic theories unless they were to introduce
situation semantics in addition to their own dynamic devices, which would surely
be undesirable on grounds of theoretical economy.
60
Paul Elbourne
a) weakly familiar in C,
b) salient in C, and
c) unique in being the most salient discourse referent in C
which is contextually entailed to satisfy the descriptive content suggested by the person, number and gender of P roi .
Given this definition, the analysis of (196) in Roberts 2003: 333 goes
as follows. The two occurrences of a bishop in the antecedent will be
salient to different degrees when we come to find a discourse referent to
be the interpretation of he; we can assume, following work in Centering
theory (Grosz et al. 1995), that the subject is more prominent than the
object. Because of clause (c) in (197), this means that the discourse
referent contributed by the subject of the antecedent must be used for
the interpretation of he in the consequent. It would have to be used
for him, too, but the fact that a reflexive pronoun is not used prevents
this; this syntactic fact overrides clause (c) in (197) in the case of the
object of the consequent, and the discourse referent contributed by the
object of the antecedent has to be used instead. As Roberts herself puts
it (2003: 333), Use of him instead of a reflexive pronoun for the direct
object rules out taking the antecedent clause subject as antecedent
for him as well [. . . ], amounting to an additional implicated domain
restriction in the instantiation of [clause (c) of (197)].
What are we to make of this, and would it be possible to extend
this explanation to help out in the analysis of (195)? Note first that
in order to be able to analyze (195) by these means, the uniqueness
presuppositions currently part of the presuppositions of demonstratives
would have to be removed and the salience presuppositions currently
associated only with pronouns would have to be put in their place. This
would be no small change, therefore, and it might have consequences
for other parts of Robertss theorizing. But suppose, for the sake of
argument, that such a change could be made with no ill effects elsewhere. Would we have a viable analysis of bishop sentences? I believe
we would not, for the following reason. As Roberts acknowledges (2003:
333), the saliency conditions on pronouns would seem to force both
pronouns in (196) to have to be interpreted by the discourse referent of
whichever antecedent is most salient. The use of this discourse referent
for the first pronoun would presumably not make it any less salient,
and it would seem to have to be used for the second pronoun too.
Only Binding Theory intervenes and overrides this preference, in the
analysis as it stands. This predicts, then, that in an example where
Binding Theory did not place any constraints on the interpretation of
the second pronoun, the same discourse referent would have to be used
for the interpretation of both. The prediction is, then, that (198) should
61
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Paul Elbourne
5. Conclusion
I conclude that a theory that sees demonstratives as individual concepts
in a situation semantics is entirely viable. The particular formulation
suggested in this article, which incorporates a version of the indexical
apparatus of Nunberg 1993, may even have some empirical advantages
over current rival theories.
37
An anonymous reviewer points out that Roberts talks about paycheck sentences
in Roberts 2004: 541. There is only a brief mention of paycheck sentences here,
however, and I do not see how what is said would help to overcome the difficulties
just noted.
63
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