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Grammar, Meaning and Pragmatics
Handbook of Pragmatics Highlights (HoPH)

The ten volumes of Handbook of Pragmatics Highlights focus on the most salient
topics in the field of pragmatics, thus dividing its wide interdisciplinary spectrum
in a transparent and manageable way. Each volume starts with an up-to-date
overview of its field of interest and brings together some 12–20 entries on its most
pertinent aspects.
Since 1995 the Handbook of Pragmatics (HoP) and the HoP Online (in conjunction
with the Bibliography of Pragmatics Online) have provided continuously updated
state-of-the-art information for students and researchers interested in the science
of language in use. Their value as a basic reference tool is now enhanced with the
publication of a topically organized series of paperbacks presenting HoP Highlights.
Whether your interests are predominantly philosophical, cognitive, grammatical,
social, cultural, variational, interactional, or discursive, the HoP Highlights volumes
make sure you always have the most relevant encyclopedic articles at your fingertips.

Editors
Jef Verschueren Jan-Ola Östman
University of Antwerp University of Helsinki

Volume 5
Grammar, Meaning and Pragmatics
Edited by Frank Brisard, Jan-Ola Östman and Jef Verschueren
Grammar, Meaning and Pragmatics

Edited by

Frank Brisard
University of Antwerp

Jan-Ola Östman
University of Helsinki

Jef Verschueren
University of Antwerp

John Benjamins Publishing Company

Amsterdam / Philadelphia
 TM The paper used in this publication meets the minimum requirements of American
8
National Standard for Information Sciences — Permanence of Paper for Printed
Library Materials, ANSI Z39.48-1984.

Cover design: Françoise Berserik

Library of Congress Cataloging-in-Publication Data

Grammar, meaning and pragmatics / edited by Frank Brisard, Jan-Ola Östman, Jef Verschueren.
p. cm. (Handbook of Pragmatics Highlights, issn 1877-654X ; v. 5)
Includes bibliographical references and index.
1. Pragmatics. 2. Grammar, Comparative and general. 3. Semantics. I. Brisard, Frank. II. Östman, Jan-Ola.
III. Verschueren, Jef.
P99.4.P72G72   2009
306.44--dc22 2009021346
isbn 978 90 272 0782 1 (pb; alk. paper)
isbn 978 90 272 8918 6 (EB)

© 2009 – John Benjamins B.V.

No part of this book may be reproduced in any form, by print, photoprint, microfilm, or any other means,
without written permission from the publisher.
John Benjamins Publishing Company • P.O. Box 36224 • 1020 me Amsterdam • The Netherlands
John Benjamins North America • P.O. Box 27519 • Philadelphia PA 19118-0519 • USA
 Table of contents

Preface to the series xi

Acknowledgements xiii

Introduction 1
Frank Brisard
1. Theories of grammar 2
2. Topics in pragmatics 9
3. Naturalizing grammar 12

Constructional analysis 16
Kiki Nikiforidou
1. Construction grammar and pragmatic analysis 16
2. The pragmatics of grammar 17
3. Extending the scope: Conventional
pragmatics and conventional discourse 21
4. Constructions in grammaticalization 26
5. Summary and prospects 28

Control phenomena 33
Benjamin Lyngfelt
1. Introduction 33
2. Complement control – object clauses 35
2.1 Control shift 36
2.2 Other kinds of complement control 37
3. Adjunct control 38
4. Arbitrary control 40
5. Less discussed control patterns 43
5.1 Control in noun phrases and adjective phrases 43
5.2 Indirect control 45
5.3 Some other control relations 46
6. Outlook 47
VI Handbook of Pragmatics Highlights

Definiteness 50
Ritva Laury
1. Definite descriptions and reference 50
2. Definiteness and identifiability 52
3. Choice between types of definite expressions 55
4. Definiteness and grammar 59
5. Definiteness marking 60
6. Development of definiteness 61
7. Conclusion 62

Emergent grammar 66
Marja-Liisa Helasvuo
1. Introduction 66
2. Routinization and the emergence of grammar 67
3. Emergent grammar within linguistics 70

Frame analysis 74
Branca Telles Ribeiro & Susan M. Hoyle
1. Introduction 74
2. What are frames? 74
3. Frame and context in interaction 77
4. Frame and footing 79
5. Framing and nonverbal communication 80
6. Framing in everyday talk 80
7. Framing in play 82
8. Framing and institutional discourse 83
8.1 Framing and education 84
8.2 Framing and medicine 84
9. Perspectives for future research 86

Functional Discourse Grammar: pragmatic aspects 91

Mike Hannay & Kees Hengeveld
1. Introduction 91
2. Outline of the model 91
2.1 FDG and verbal interaction 91
2.2 The architecture of FDG 92
2.3 Levels and layers 94
3. The interpersonal level 95
4. Discourse Acts and the relations between them 96
4.1 Introduction 96
4.2 Rhetorical functions 97
 Table of contents VII

4.3 Illocution 102

5. Subacts and the relations between them 105
5.1 Introduction 105
5.2 Pragmatic functions 106
5.3 Ascription and Reference 111
6. Conclusion 114

Generative semantics 117

James D. McCawley†
1. The history of generative semantics 117
2. Tenets of GS 121
2.1 Against deep structure 121
2.2 Derivational constraints 123
2.3 Context and acceptability 123
2.4 Pragmatics integrated in semantics 123
2.5 The status of logic 124
2.6 ‘Transformations’ 125
2.7 The ‘base’ 126
3. Pragmatics in GS 126

Iconicity 129
Elżbieta Tabakowska
1. Introduction 129
2. History 129
3. Iconicity we live by: The state of the art 133
3.1 Iconicity as interpretation 133
3.2 Principles of iconicity 134
3.3 Types of iconicity 136
3.4 Areas of research 139
4. Perspectives 142

Information structure 146

Jeanette K. Gundel & Thorstein Fretheim
1. Introduction 146
2. What is information structure? 147
2.1 Referential givenness/newness 147
2.2 Relational givenness/newness — Topic-focus structure 148
3. How do languages express information structure? 150
3.1 Information structure and sentence intonation 150
3.2 Information structure and morphosyntax 153
4. The grammar-pragmatics interface 155
VIII Handbook of Pragmatics Highlights

Mental spaces 161

Todd Oakley
1. Meanings are not “in” the words themselves 161
2. What are mental spaces? 162
3. Role and value in reference 165
4. Other features of mental spaces theory 166
4.1 Elements, relations, frames 166
4.2 Space builders 167
5. Spaces and the problems of reference,
ambiguity, and presupposition 168
5.1 Referential opacity 168
5.2 Pragmatic ambiguity 169
5.3 Presupposition and optimization 169
6. Mental spaces and perspective in conditionals,
counterfactuals, and deixis 171
6.1 Conditionals and counterfactuals 171
6.2 Deictic expressions 172
7. Mental spaces and discourse management 174
8. Conclusion 177

Modality 179
Ferenc Kiefer
1. Introduction 179
2. Modality in logic 179
3. Necessity and possibility in linguistics 181
3.1 Epistemic modality 182
3.2 Deontic modality 184
3.3 Some further types of modality 185
3.4 The linguistic tradition 188
4. Evidentials 190
5. A possible synthesis 192
6. Syntactic treatments of modality 194
7. Modality and pragmatics 197
7.1 Two readings of ‘possible’ 197
7.2 The illocutionary meaning of modal verbs 197
7.3 Deontic speech acts 199
7.4 Ability and possibility 200
7.5 Modality and grammaticalization 201
8. Prospects 203
 Table of contents IX

Negation 208
Matti Miestamo
1. Scope of negation 208
2. Markedness of negation 210
3. The expression of negation in the world’s languages 214
4. Negative polarity items 219
5. Negation and scalarity 220
6. Metalinguistic negation 221
7. Negative transport 223
8. Negation in diachrony 224
9. The acquisition of negation 226

Prague school 230

Petr Sgall
1. Historical overview 230
2. Main concepts and fields of research 232
3. Prague functionalism and pragmatics 235

Role and Reference Grammar 239

Robert D. Van Valin, Jr.
1. Introduction 239
2. Historical background 239
3. Central concepts 240
3.1 Clause structure 240
3.2 Semantic structure 242
3.3 Focus structure 245
3.4 Grammatical relations and linking 245
4. Some implications of RRG 247

Semantics vs. pragmatics 250

Ken Turner
1. Fregean beginnings 250
2. From then until now 250
3. Current manoeuvres: (Neo-(Post-))Gricean pragmatics 253
3.1 Relevance Theory 254
3.2 The Least Effort Hypothesis 254
3.3 The Q-, I- and M-Principles Hypothesis 255
3.4 Pragmatic intrusion 257
X Handbook of Pragmatics Highlights

4. Current manoeuvres: (Neo-(Post-))Kaplanean semantics 259

5. Postscript: The logical basis of the semantics-pragmatics interface 263
6. Conclusion 263

Tense and aspect 268

Robert I. Binnick
1. The semantics of markers of tense and/or aspect 268
1.1 Tense 268
1.2 Aspect 268
1.3 Aktionsart 269
1.4 Underspecification and the
pragmatics of tense and aspect 270
2. Discourse functions in MTA choice 272
2.1 Genre 272
2.2 Focalization 272
2.3 Function 274
3. Discourse coherence in the interpretation of MTAs 274
3.1 Discourse coherence 274
3.2 The linguistic level 275
3.3 The intentional level 278
3.4 The attentional level 283

Word order 289

Mirjam Fried
1. Syntactic typology 289
2. Pragmatic functions of word order 290
3. Cognitive correlates of theme/rheme notions 293
4. Word order in grammatical descriptions and linguistic theory 294
5. Diachronic perspective 296
6. Concluding remarks 297

Index 301
 Preface to the series

In 1995, the first installments of the Handbook of Pragmatics (HoP) were published.
The HoP was to be one of the major tools of the International Pragmatics Association
(IPrA) to achieve its goals (i) of disseminating knowledge about pragmatic aspects of
language, (ii) of stimulating various fields of application by making this knowledge
accessible to an interdisciplinary community of scholars approaching the same gen-
eral subject area from different points of view and with different methodologies, and
(iii) of finding, in the process, a significant degree of theoretical coherence.
The HoP approaches pragmatics as the cognitive, social, and cultural science of lan-
guage and communication. Its ambition is to provide a practical and theoretical tool for
achieving coherence in the discipline, for achieving cross-disciplinary intelligibility in
a necessarily diversified field of scholarship. It was therefore designed to provide easy
access for scholars with widely divergent backgrounds but with converging interests in
the use and functioning of language, in the topics, traditions, and methods which,
together, make up the broadly conceived field of pragmatics. As it was also meant to
provide a state-of-the-art report, a flexible publishing format was needed. This is why
the print version took the form of a background manual followed by annual loose-leaf
installments, enabling the creation of a continuously updatable and expandable reference
work. The flexibility of this format vastly increased with the introduction of an online
version, the Handbook of Pragmatics Online (see www.benjamins.com/online).
While the HoP and the HoP-online continue to provide state-of-the-art informa-
tion for students and researchers interested in the science of language use, this new series
of Handbook of Pragmatics Highlights focuses on the most salient topics in the field of
pragmatics, thus dividing its wide interdisciplinary spectrum in a transparent and
manageable way. The series contains a total of ten volumes around the following themes:

– Key notions for pragmatics

– Philosophical perspectives
– Grammar, meaning and pragmatics
– Cognition and pragmatics
– Society and language use
– Culture and language use
– The pragmatics of variation and change
– The pragmatics of interaction
XII Handbook of Pragmatics Highlights

– Discursive pragmatics
– Pragmatics in practice

This topically organized series of paperbacks, each starting with an up-to-date over-
view of its field of interest, each brings together some 12–20 of the most pertinent
HoP entries in its respective field. They are intended to make sure that students and
researchers alike, whether their interests are predominantly philosophical, cognitive,
grammatical, social, cultural, variational, interactional, or discursive, can always have
the most relevant encyclopedic articles at their fingertips. Affordability, topical organi-
zation and selectivity also turn these books into practical teaching tools which can be
used as reading materials for a wide range of pragmatics-related linguistics courses.
With this endeavor, we hope to make a further contribution to the goals underly-
ing the HoP project when it was first conceived in the early 1990s.

 Jan-Ola Östman (University of Helsinki) &

 Jef Verschueren (University of Antwerp)
 Acknowledgements

A project of the HoP type cannot be successfully started, let alone completed, without
the help of dozens, even hundreds of scholars. First of all, there are the authors
themselves, who sometimes had to work under extreme conditions of time pressure.
Further, most members of the IPrA Consultation Board have occasionally, and
some repeatedly, been called upon to review contribu­tions. Innumerable additional
scholars were thanked in the initial versions of handbook entries. All this makes
the Handbook of Pragmatics a truly joint endeavor by the pragmatics community
world-wide. We are greatly indebted to you all.
We do want to specifically mention the important contributions over the years
of three scholars: the co-editors of the Manual and the first eight annual installments,
Jan Blommaert and Chris Bulcaen, were central to the realization of the project, and
so was our editorial collaborator over the last four years, Eline Versluys. Our sincerest
thanks to all of them.
The Handbook of Pragmatics project is being carried out in the framework of the
research program of the IPrA Research Center / Antwerp Center for Pragmatics at the
University of Antwerp. We are indebted to the university for providing an environ-
ment that facilitates and nurtures our work.

 Jan-Ola Östman (University of Helsinki) &

 Jef Verschueren (University of Antwerp)
 Introduction
Meaning and use in grammar

Frank Brisard
University of Antwerp

The topic of this volume is the relationship between the field of grammar, as the study
of the structural features of linguistic objects (sentences, phrases, words), and that of
pragmatics, which broadly speaking studies aspects of language in use (utterances/
speech acts). Since the nature of grammar is held essentially to resolve into issues of
the knowledge of so-called rules of composition (or competence) and, on the other
hand, pragmatics is concerned with characterizing the behavior of language users (as
performance), one of the main challenges in bringing the two disciplines together will
be to investigate the possible links between typically human, rational knowledge and
purposeful, for the larger part culturally acquired behavior. That is, instead of more
or less presuming that such behavior, in a particular context, is always simply deter-
mined by already available knowledge (of what to do/say), we might also consider the
potential influence that repeated patterns of behavior, as initially observed in others,
have on “emerging” knowledge systems, even if they are highly schematic as in the
case of natural language. This would not make language less rational a phenomenon,
at least not in the sense of being less meaningful or motivated. And indeed, if meaning
is what makes people jump (i.e., makes them pay closer attention in the form of an
interpretation and, in certain situations, imitate), then it should come as no surprise
that the key to relating grammar and pragmatics lies in discovering the very subtle and
abstract meanings behind grammatical structures, which have more often than not
been thought to be devoid of any kind of functionality other than formal. So, while
in the not so distant past the encroachment of pragmatics upon grammar was limited
to establishing domains where “rules” did not appear to apply (lexically prompted
“exceptions” in syntax, context-dependent expressions in semantics), we have now
reached a point where certain grammatical theories adopt a fully pragmatic perspec-
tive, usually referred to as “usage-based”. This means that they address the formative
impact of actual instances of language use on the system as a whole, and that meaning
intentions, as a result of them being intertwined with form in any one such instance,
play a crucial role at every level of organization, from the morpheme, over idioms and
formulae, to constructional templates. This is how meaning (purpose), use (behavior),
and linguistic knowledge can be seen as interrelated, and in the remainder of this
2 Frank Brisard

Introduction I will try to sketch some of the historical background against which the
developing relationship between grammar and pragmatics is situated.
Primarily, the volume offers an overview of a number of older and more recent,
generally functionally oriented, models of grammar that, in one way or another,
acknowledge the relevance of pragmatic themes. Each of the contributing authors asks
how this affects the general outlook on language structure of these models, whether
issues of language use inform their very makeup or are merely included as possible
subject matter, and how far the actual integration of pragmatics ultimately goes (is it a
module/layer or is the model truly usage-based?). In these chapters, which will be pre-
sented in Section 1, systematic care has been taken to highlight the relevant problems
and focus on the implications of considering pragmatic phenomena from the point
of view of grammar. Furthermore, a limited number of chapters deal with traditional
topics in the grammatical literature, and specifically those which are called pragmatic
because they either are not strictly concerned with truth (semantics) but rather operate
on it – to some people, this is the definition of modality –, or receive their (truth) value
only from an interaction with context. These will be briefly discussed in Section 2.
Finally, a concluding Section 3 reflects on the apparent naturalization of grammar
that goes together with the increased attention paid to extra-linguistic motivation, and
points out some consequences for the conception of language as a symbolic system.

1. Theories of grammar

Logical Positivism is a major instance of the linguistic turn that has marked 20th-century
philosophy, because it construes the notion of a scientific theory in terms of a set of
sentences, or a language. The structure of this language can be analyzed formally by
concentrating on its logical properties (syntax) or on its relationship with the world of
objects (semantics). Pragmatics, in this picture, tends to be a theoretical wastebasket, as
per Richard Montague’s views on the relation between linguistic meaning and indices
(Montague 1974). Indeed, pragmatics qua contextualized semantics offers little more
than the complement to a logic-based view of semantic content. In this perspective,
the full meaning of a sentence is analyzed as an indexical function from a proposition
to a time, place, and/or “possible world”.1 As such, Logical Positivism has also had a

. If modality is what the speaker does with a proposition, then any propositional modification,
including volitional, emotive, and evaluative ones, comes under this heading and illocution
becomes the only real object of study. Thus, the traditional dividing line between semantics and
pragmatics will be blurred, and most of what one can say about linguistic meaning considered
pragmatic. If, on the other hand, modality is only related to categories of necessity and possibility,
linking the validity of propositions to a set of possible worlds, then there is a clear division of
 Introduction 3

significant impact on linguistic pragmatics (Brisard & Bultinck 2006), if only in managing
to restrict the range of possible pragmatic topics to issues of contextual “enrichment”
for a long time. Alternative conceptions of pragmatics have of course been around for
a while, including a more action-oriented approach that is chiefly inspired by one of
the early semioticians of the past century, Charles Morris. As an associate editor of the
International Encyclopedia of Unified Science, Morris placed an emphasis on the uses
that scientific theories are put to. In this specific (rather Kantian) take on pragmatics,
users of signs, or interpreters, can best be described as actors with an interest in what
they say and do, within science or elsewhere. It constitutes a perspective that can be said
to have given rise to interactionist, ethnomethodological, and otherwise ethnographically
inspired accounts, typically in exchange with such neighboring disciplines as sociology,
anthropology, and psychology (all of this treated elsewhere in the present series).
Nevertheless, in his overview of the current state of affairs in the debate over the
semantics-pragmatics interface, Turner (this volume) goes back to a (post-Fregean)
philosophical formulation of pragmatics as explicating meanings that have not been
directly expressed by the speaker, and thus as enriching a semantics that is itself still
very much based on (first-order) logic. This debate is obviously more relevant to the
study of meaning than it is to that of grammar, but some of the more important problems
investigated in this tradition do touch upon central grammatical concerns, including
the behavior of anaphoric expressions and all kinds of scalar phenomena, for instance
with connectives and quantifiers.
When it comes to syntax, George Lakoff and colleagues like Postal, the late
Jim McCawley, and Ross, but mainly Lakoff (1965) argued, in his dissertation On the
nature of syntactic irregularity, that there were, or had to be, lexically governed rules
(like the raising rules and other transformations), whereby only certain of the seemingly
eligible predicates occur in a particular syntactic pattern. Special new theoretical
devices, such as rule features, had to be invented to deal with them in a generative
grammar, and these were required precisely because the assumption that language
factors neatly into regular and irregular components has turned out just that: an
aprioristic assumption. This, in generativism, led to an inadmissible critique or
extension — whichever way one cares to look at Generative Semantics and what
came out of it —, and ultimately to the well-known schism between the formalist
and functionalist paradigms in linguistics. McCawley (this volume) explains how in
the study of grammar, as a result of the Generative-Semantic experiment, meaning
starts to trickle in at more levels than a sentence’s deep structure, eventually leading

labor between semantic, or lexically and syntactically predictable, meaning and pragmatic issues
of relating linguistic structure to context, i.e., time, location, social setting, and participants’ roles,
as well as the interlocutors’ strategies, plans, goals, and intentions. See Kiefer (this volume).
4 Frank Brisard

to the “interpretivist/lexicalist” reinterpretation we all know has marked Chomskyan

thinking ever since. And while the success of Generative Semantics itself may have
been relatively short-lived, in part due to the unattractiveness of ever more exces-
sively complicated deep-structure representations, other new approaches to syntax
developing in the early 1970s, among which Montague/categorial grammar and
relational grammar, would soon fill in the void. At the same time, and as McCawley
notes too, it was not until the community was already in a period of decline that
generative semanticists came to see meaning as at least partly having to do with not
strictly semantic (i.e., with pragmatic) issues; the small body of literature on the
subject from a GS point of view covers rather traditional and well-delimited topics
like tense meaning and pronoun choice. In a way, we have had to wait until the 1980s
and ‘90s before any of the truly radical insights from Generative Semantics, and
notably its attribution of meaning to grammatical constructs, were actually developed.
This happened especially in the newly emerging movement of cognitive linguistics,
uniting theories that all, in one way or another, adhere to a symbolic conception of
grammar (cf. below).
In the meantime, generativism had also been challenged by other paradigms,
mainly originating in European structuralism. Most of the models involved, explor-
ing both the systemic and goal-oriented nature of language (synchronically and
diachronically) and the interactive features of communication, are called functionalist,
a term that is primarily related to a tradition known as the Prague School, prominent
since the 1930s. It is, of course, quite arbitrary to select only a couple of these models
here, but many of the following paradigms discussed have at least played an important
historical part in the gradual introduction of pragmatics into the study of grammar.
The Prague School, presented in Sgall (this volume), though initially mostly successful
in the domain of phonology, offering a functional description of a language’s sound
patterns as specific subsystems, has had a lasting impact on the analysis of sentence
structure (cf. also Gundel & Fretheim, this volume) as well, which it sees as condi-
tioned by the patterning of sentences in a discourse, i.e., by their use in context. In
systematically distinguishing between form and function, or between grammar and
logic, the Prague Linguistic Circle was clearly influenced by earlier sources, including
Danish functionalism (Hjelmslev’s work on case, but mainly Jespersen) and Polish
and Russian formalism, with Roman Jakobson as a central figure in theory formation.
Mathesius (1929) was the first to come up with the idea of Functional Sentence
Perspective, offering a structural account of the topic-focus articulation. In turn,
this Prague School has inspired later functionalist models, such as Simon Dik’s
Functional Grammar in Amsterdam and the development of cognitive semantics. Its
understanding of language as a set of levels/layers, ordered from meaning intention to
expression (speaker-related) or vice versa (hearer-related), reappears in subsequent
work, among others of the Australian linguist Michael Halliday, who combines a
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