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Linglib.Theories.Pragmatics.NeoGricean.Core.StructuralAlternatives

Structurally-Defined Alternatives #

@cite{katzir-2007}

Katzir, R. (2007). Structurally-defined alternatives. Linguistics and Philosophy, 30(6), 669–690.

Scalar alternatives are not stipulated via Horn scales but generated structurally. The alternatives to a sentence φ are all parse trees obtainable from φ by three operations — deletion, contraction, and substitution — using items from the substitution source L(φ).

Key Definitions #

The Symmetry Problem #

The naïve conversational principle says: don't assert φ if there is a stronger alternative φ'. The symmetry problem (Kroch 1972; von Fintel & Heim class notes; see p. 673) is that for any stronger φ', there exists a symmetric alternative φ'' = φ ∧ ¬φ' which is also stronger, licensing the opposite inference.

Katzir's solution: restrict alternatives to those obtainable by structural operations. For φ = "John ate some of the cake":

Connection to Linglib #

Syntactic categories for parse tree nodes. Terminal categories (Det, N, V, ...) label leaves; phrasal categories (NP, VP, S, ...) label internal nodes.

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      Parse tree with syntactic category labels. Leaves carry a word of type W; internal nodes carry a list of children. This is the structure that Katzir's operations act on.

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        Structural equality for parse trees.

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          All subtrees including self (pre-order).

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            Whether a category appears anywhere in the tree.

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              def NeoGricean.StructuralAlternatives.ParseTree.leafSubst {W : Type} [BEq W] (target replacement : W) (c : SynCat) :

              Substitute all leaves of category c carrying word target with replacement. This is the most common structural operation: replacing one scalar item with another of the same category.

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                  The substitution source for φ (def 41, final version): the union of the lexicon of the language with the set of all subtrees of φ. The revised definition (adding subtrees) is needed to handle Matsumoto's examples (§5) where a complex sub-constituent of φ serves as a substitution source for a simpler constituent elsewhere in φ.

                  The initial definition (def 18) used only the lexicon; def 41 adds subtrees of φ to derive the inference in examples like: "It was warm yesterday, and it is a little bit more than warm today" where "a little bit more than warm" (a subtree of φ) substitutes for "warm" in the left conjunct.

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                    One structural operation on parse trees (p. 678). StructOp source φ ψ means ψ is obtained from φ by one application of deletion, contraction, or substitution with items from source.

                    The three operations:

                    • Deletion: remove a subtree (a child from a node)
                    • Contraction: remove an edge and identify endpoints (replace a node with one of its same-category children)
                    • Substitution: replace any constituent with a same-category item from the substitution source L(φ)
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                      Structural complexity ordering (def 19): ψ ≲ φ iff φ can be transformed into ψ by a finite chain of structural operations using items from source.

                      Formally: the reflexive-transitive closure of StructOp source.

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                        Equal complexity (def 19): φ ∼ ψ iff φ ≲ ψ ∧ ψ ≲ φ.

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                          Strictly less complex (def 19): ψ < φ iff ψ ≲ φ ∧ ¬(φ ≲ ψ).

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                            Structural alternatives (def 20): A_str(φ) := {ψ : ψ ≲ φ}, where ≲ uses L(φ) = lexicon ∪ subtrees(φ).

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                              φ is always a structural alternative to itself (reflexivity of ≲).

                              Vocabulary for the worked examples.

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                                  Minimal lexicon: terminal items available for substitution.

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                                    φ = "John ate some cake" (simplified parse tree).

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                                      φ' = "John ate all cake" — the scalar alternative.

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                                        φ' is a structural alternative to φ: substitute Det leaf "some" with "all" from the lexicon (both Det, same category).

                                        This is the paper's ex. (25): φ = "John ate some of the cake", φ' = "John ate all of the cake". Since "all" and "some" are both in the lexicon and both Det, substitution yields φ' ∼ φ, so φ' ∈ A_str(φ).

                                        Equal complexity: "some" ↔ "all" by mutual substitution (same number of operations in each direction). φ' ∼ φ in the sense of def 19: both φ ≲ φ' and φ' ≲ φ hold (each obtained from the other by one leaf substitution).

                                        φ'' = "John ate some but not all cake" — the symmetric alternative that the naïve principle cannot exclude.

                                        Under the naïve principle, φ'' is stronger than φ (⟦φ''⟧ ⊂ ⟦φ⟧) and should block assertion of φ. But it licenses the inference that John ate ALL of the cake — the opposite of the correct implicature. Katzir's structural approach excludes φ'' because it requires ConjP and NegP structure not derivable from L(φ).

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                                          No item in L(someSentence) contains ConjP: the lexicon consists of terminal leaves (which have no internal structure) and the subtrees of φ are {S[...], N(john), VP[...], V(ate), Det(some), N(cake)} — none contain ConjP.

                                          theorem NeoGricean.StructuralAlternatives.category_preservation {W : Type} (source : List (ParseTree W)) (c : SynCat) (φ ψ : ParseTree W) (h_source : ssource, ParseTree.containsCat c s = false) (h_φ : ParseTree.containsCat c φ = false) (h_reach : atMostAsComplex source ψ φ) :

                                          Key invariant: structural operations preserve absence of a category when that category does not appear in the substitution source.

                                          If no item in source contains category c, and tree φ does not contain c, then no tree reachable from φ by structural operations contains c. This is because:

                                          • Substitution can only introduce material from source (which lacks c)
                                          • Deletion removes material (can't introduce c)
                                          • Contraction promotes a subtree (which also lacks c by hypothesis)

                                          Proof by induction on ReflTransGen, reducing to the single-step structOp_preserves_no_cat which case-splits on the four StructOp constructors.

                                          The symmetric alternative φ'' is NOT a structural alternative to φ.

                                          Proof sketch: L(φ) contains no item with category ConjP (source_lacks_conjp), and φ itself lacks ConjP (some_lacks_conjp), so by category_preservation every tree in A_str(φ) lacks ConjP. But φ'' contains ConjP (symmetric_has_conjp) — contradiction.

                                          This is the paper's central result: structure alone excludes the symmetric alternative, solving the symmetry problem without lexical stipulation of which alternatives are "good."

                                          φ = "John ate the apple or the pear" (ex. 26a).

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                                            φ' = "John ate the apple and the pear" (ex. 26b). Obtained by substituting Conj "or" with "and".

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                                              The left disjunct "John ate the apple" is an alternative to the disjunction — obtainable by deletion of the right disjunct and the conjunction.

                                              This derives the effect of Sauerland's L operator (which returns the left argument of a binary connective) from structural operations alone, without stipulating L as a primitive. The paper (p. 683) notes that L and R are "somewhat stipulative" and that structural alternatives derive the same predictions.

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                                                The right disjunct is also an alternative (Sauerland's R operator).

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                                                  "A tall man" parse tree (ex. 29a).

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                                                    "A man" — obtained by deleting the Adj modifier (ex. 29b).

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                                                      Deletion produces a simpler alternative: "a man" ∈ A_str("a tall man").

                                                      Under the structural approach, any modifier can be deleted to produce an alternative. Since the modified NP entails the bare NP ("a tall man came" → "a man came"), the bare NP is a stronger alternative in upward-entailing contexts, triggering no implicature. In DE contexts, entailment reverses and deletion alternatives generate inferences (§4.3, exx. 30–32).

                                                      theorem NeoGricean.StructuralAlternatives.horn_alternatives_are_structural {W : Type} [BEq W] (lex : List (ParseTree W)) (φ : ParseTree W) (α β : W) (c : SynCat) (_h_α_in_lex : ParseTree.leaf c α lex) (_h_β_in_lex : ParseTree.leaf c β lex) :

                                                      Horn scale alternatives are a special case of structural alternatives.

                                                      If two words α and β are on the same Horn scale (and therefore have the same syntactic category), then for any sentence tree φ containing α, the tree φ[β/α] obtained by leaf substitution is a structural alternative to φ. This is because:

                                                      1. β is in the lexicon (hence in L(φ))
                                                      2. β has the same category as α
                                                      3. Leaf substitution is a sequence of StructOp.subst steps (one per occurrence of α)

                                                      This means the scale-based approach to alternatives (listing Horn sets like ⟨some, most, all⟩) is not wrong — it is subsumed by the structural approach. Everything a Horn scale generates, structural operations generate too. But structural operations also generate alternatives that scales miss: deletion alternatives in DE contexts (§4.3), and sub-constituent alternatives for disjunction (§4.2).

                                                      TODO: Proof by induction on the tree structure, applying StructOp.subst at each matching leaf via StructOp.inChild.

                                                      def NeoGricean.StructuralAlternatives.violatesConversationalPrinciple {W World : Type} (lex : List (ParseTree W)) (meaning : ParseTree WWorldBool) (φ : ParseTree W) (weaklyAssertable : ParseTree WBool) :

                                                      The neo-Gricean conversational principle with structural alternatives (def 21): do not assert φ if there is another sentence φ' ∈ A_str(φ) such that ⟦φ'⟧ ⊂ ⟦φ⟧ and φ' is weakly assertable.

                                                      This replaces the naïve principle (which considers ALL stronger alternatives) with one restricted to structurally-defined alternatives. The restriction solves the symmetry problem: φ'' = φ ∧ ¬φ' is excluded from A_str(φ) because it requires more structure than φ provides.

                                                      The at-least-as-good-as relation (def 23, p. 680) combines structural complexity (≲) with semantic entailment (⊆). This is the same relation formalized in KatzirSingh2015.lean as atLeastAsGood, where complexity is an abstract ℕ parameter — the structural complexity defined here gives that parameter its intended content.

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                                                        def NeoGricean.StructuralAlternatives.atLeastAsGoodAs {W World : Type} (lex : List (ParseTree W)) (meaning : ParseTree WWorldBool) (φ ψ : ParseTree W) :

                                                        At-least-as-good-as relation (def 23, p. 680): φ ≲ ψ iff φ ≲_struct ψ ∧ ⟦φ⟧ ⊆ ⟦ψ⟧.

                                                        This combines structural complexity (from def 19) with semantic entailment. It is the relation that @cite{katzir-singh-2015} use as the basis for the Answer Condition in KatzirSingh2015.lean, where it appears as Scenario.atLeastAsGood.

                                                        The key insight: in KatzirSingh2015.lean, complexity is an abstract parameter. Here, structural complexity gives that parameter its intended content — the number of structural operations needed.

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