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Philosophy of Language
Philosophy of Language: a Contemporary Introduction introduces the student to the main issues and theories in twentieth and twenty - first - century phi- losophy of language, focusing specifically on linguistic phenomena. Topics are structured in four parts in the book. Part I, Reference and Referring, includes topics such as Russell 's Theory of Descriptions, Donnellan's distinction, problems of anaphora, the description theory of proper names , Searle 's cluster theory, and the causal­historical theory. Part II, Theories of Meaning , surveys the competing theories of linguistic mean - ing and compares their various advantages and liabilities. Part III, Pragmatics and Speech Acts , introduces the basic concepts of linguistic pragmatics, includes a detailed discussion of the problem of indirect force and surveys approaches to metaphor. Part IV, new to this edition , examines the four theories of metaphor. Features of Philosophy of Language include : · new chapters on Frege and puzzles, inferentialism, illocutionary theories of meaning, and relevance theory · chapter overviews and summaries · clear supportive examples · study questions · annotated further reading · glossary Praise for the First Edition: "This exceptional text fulfils two essential criteria of a good introduc- tory textbook in the philosophy of language: it covers a broad range of topics well, all of which are the basis of current active research, and does so in an accurate manner accessible to undergraduate students ." Mike Harnish, University of Arizona
". . . an excellent textbook for teaching. The examples throughout are delightful and students will love them ." Edwin Mares, Victoria University of Wellington
William G. Lycan is William Rand Kenan Professor of Philosophy at the University of North Carolina. He is the author of over 150 articles as well as seven books . Routledge Contemporary Introductions to Philosophy Series Editor : Paul K. Moser Loyola University of Chicago
This innovative, well-structured series is for students who have already done an introductory course in philosophy. Each book introduces a core general subject in contemporary philosophy and offers students an accessible but substantial transition from introductory to higher -level college work in that subject. The series is accessible to non- specialists and each book clearly motivates and expounds the problems and positions introduced. An orientating chapter briefly introduces its topic and reminds readers of any crucial material they need to have retained from a typical introductory course. Considerable attention is given to explaining the central philosophical problems of a subject and the main competing solutions and arguments for those solutions. The primary aim is to educate students in the main problems, positions and arguments of contemporary philosophy rather than to convince students of a single position .
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Second Edition
William G. Lycan First published 2000 by Routledge
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Library of Congress Cataloging in Publication Data Lycan, William G. Philosophy of language: a contemporary introduction/William G. Lycan. ­ 2nd ed. p. cm. ­ (Routledge contemporary introductions to philosophy) Includes bibliographical references and index. 1. Language and languages ­ Philosophy. I. Title. P106.L886 2008 401­dc22 2007038223 ISBN 0-203-93000-2 Master e-book ISBN
ISBN10: 0-415-95751-6 (hbk) ISBN10: 0-415-95752-4 (pbk) ISBN10: 0-203-93000-2 (ebk)
ISBN13: 978-0-415-95751-9 (hbk) ISBN13: 978-0-415-95752-6 (pbk) ISBN13: 978-0-203-93000-7 (ebk) Contents
Preface ix Acknowledgements xi Acknowledgements for the Second Edition xii
1 Introduction: meaning and reference 1 Overview 1 Meaning and understanding 1 The Referential Theory 3 Summary 6 Questions 6 Further reading 6
Part I: Reference and referring
2 Definite descriptions 9 Overview 9 Singular terms 10 Russell's Theory of Descriptions 12 Objections to Russell's theory 19 Summary 29 Questions 30 Further reading 30
3 Proper names: the Description Theory 31 Overview 31 Frege and the puzzles 31 Opening objections 36 Searle's Cluster Theory 38 Kripke's critique 39 Summary 43 Questions 43 Further reading 44 vi Contents
4 Proper names: Direct Reference and the Causal­Historical Theory 45 Overview 45 Possible worlds 46 Rigidity and proper names 47 Direct Reference 49 The Causal­Historical Theory 53 Problems for the Causal­Historical Theory 55 Natural-kind terms and " Twin Earth" 58 Summary 60 Questions 61 Further reading 61
Part II: Theories of meaning 63
5 Traditional theories of meaning 65 Overview 65 The Proposition Theory 68 Summary 74 Questions 74 Further reading 74
6 "Use" theories 76 Overview 76 "Use" in a roughly Wittgensteinian sense 77 Objections and some replies 79 Inferentialism 83 Summary 84 Questions 85 Further reading 85
7 Psychological theories: Grice 's program 86 Overview 86 Grice's basic idea 86 Speaker-meaning 88 Sentence meaning 92 Summary 96 Questions 96 Further reading 97
8 Verificationism 98 Overview 98 The theory and its motivation 98 Some objections 100 Contents vii
The big one 105 Summary 108 Questions 108 Further reading 108
9 Truth - Condition Theories: Davidson's program 109 Overview 109 Truth conditions 109 Truth-defining natural languages 114 Objections to the Davidsonian version 117 Summary 123 Questions 124 Further reading 125
10 Truth-Condition Theories: possible worlds and intensional semantics 126 Overview 126 Truth conditions reconceived 126 Advantages over Davidson's view 129 Remaining objections 131 Summary 133 Questions 133 Further reading 133
Part III: Pragmatics and speech acts 135
11 Semantic pragmatics 137 Overview 137 Semantic pragmatics vs. pragmatic pragmatics 138 The problem of deixis 139 The work of semantic pragmatics 141 Summary 143 Questions 143 Further reading 143
12 Speech acts and illocutionary force 144 Overview 144 Performatives 144 Infelicities and constitutive rules 149 Cohen 's problem 151 Illocutionary theories of meaning 153 Summary 154 Questions 154 Further reading 155 viii Contents
13 Implicative relations 156 Overview 156 Conveyed meanings and invited inferences 157 Conversational implicature 158 Presupposition and conventional implicature 163 Relevance Theory 166 Indirect force 168 Summary 170 Questions 171 Further reading 171
Part IV: The dark side 173
14 Metaphor 175 Overview 175 A philosophical bias 175 The issues, and two simple theories 176 Davidson's causal theory 177 The Naive Simile Theory 179 The Figurative Simile Theory 180 The Pragmatic Theory 183 Metaphor as analogical 187 Summary 189 Questions 190 Further reading 190
Notes 191 Glossary 201 Bibliography 205 Index 217 Preface
As its title slyly suggests, this book is an introduction to the main issues in contemporary philosophy of language. Philosophy of language has been much in vogue since early in the twentieth century, but only since the 1960s have the issues begun to appear in high resolution. One crucial development in the past forty years is the attention of philoso- phers of language to formal grammar or syntax as articulated by theoretical linguists. I personally believe that such attention is vital to success in phi- losophizing about language, and in my own work I pay as much of it as I am able . With regret, however , I have not made that a theme of this book. Under severe space limitations, I could not expend as many pages as would be needed to explain the basics of formal syntax, without having to omit presentation of some philosophical issues I consider essential to competence in the field . Since around 1980, some philosophers of language have taken a turn toward the philosophy of mind, and some have engaged in metaphysical exploration of the relation or lack thereof between language and reality . These adversions have captured many philosophers' interest , and some fine textbooks have focused on one or both (for example, Blackburn 1984; Devitt and Sterelny 1987). But I have chosen otherwise. Whatever the merits of those sorts of work, I have not found that either helps us sufficiently to understand spe- cifically linguistic mechanisms or the core issues of philosophy of language itself. This book will concentrate on those mechanisms and issues. (Readers who wish to press on into metaphysics or philosophy of mind should consult, respectively, Michael J. Loux's Metaphysics and John Heil's Philosophy of Mind, both in the Routledge Contemporary Introductions series.) Many of my chapters and sections will take the form of presenting data pertinent to a linguistic phenomenon , expounding someone 's theory of that phenomenon, and then listing and assessing objections to that theory. I emphasize here , because I will not always have the space to do so in the text, that in each case what I will summarize for the reader will be only the opening moves made by the various theorists and their opponents and objectors. In particular , I doubt that any of the objections to any of the theories is fatal ; champions of theories are remarkably good at avoiding or refuting objec- tions. The real theorizing begins where this book leaves off. x Preface
I have used some notation of formal logic , specifically the predicate calcu- lus, for those who are familiar with it and will find points made clearer by it. But in each case I have also explained the meaning in English . Many of the writings to be discussed in this book can be found in the following anthologies: T. Olshewsky (ed.), Problems in the Philosophy of Language (Austin, TX: Holt, Rinehart and Winston , 1969); J. F. Rosenberg and C. Travis (eds.) Readings in the Philosophy of Language (Englewood Cliffs, NJ: Prentice-Hall, 1971 ); D. Davidson and G. Harman (eds.), The Logic of Grammar (Encino, CA: Dickenson, 1975); R. M. Harnish (ed.) Basic Topics in the Philosophy of Language (Englewood Cliffs, NJ: Prentice-Hall, 1994); A. Martinich (ed.) The Philosophy of Language, 5th edn. ( Oxford : Oxford University Press, 2006), and earlier editions as well; P. Ludlow (ed.) Readings in the Philosophy of Language ( Cambridge , MA: Bradford Books/ MIT Press, 1997); A. Nye (ed.), Philosophy of Language: The Big Questions (Oxford: Basil Blackwell, 1998); M. Baghramian (ed.), Modern Philosophy of Language (New York: Counterpoint Press, 1999). Acknowledgements
I thank my editor, Moira Taylor, for her bracing encouragement and ( espe - cially) for her patience. The latter was severely tried. Mike Harnish, Greg McCulloch, and Ed Mares each very kindly read an early draft and supplied me with many thoughtful comments and suggestions. I believe the book is much improved as a result , and I am most grateful . Peter Alward and Laura Morgan produced much of the early draft by transcribing many hours of lectures from very bad audio recordings. I thank them warmly and I hope that each of them will soon make a full recovery . Sean McKeever's months of editorial help and advice have been invaluable. (He suffered through some transcribing as well.) Thanks especially to Sean for suggesting some needed cuts, and for organizing the bibliography. The last few chapters of this book were completed during my tenure as a Fellow of the National Humanities Center , in 1998­99. I thank the Center and its wonderful staff for their generous support . For additional funding I am indebted to the National Endowment for the Humanities (#RA­20169­ 95). Acknowledgements for the Second Edition
Thanks to editor Kate Ahl for her patient help, and to Meg Wallace for a good deal of research as well as editing and indexing. Thanks also to many readers of the first edition, who have offered comments and suggestions from around the world. I am especially grateful to Mike Harnish ( again !), Patrick Greenough, and Mark Phelan, who gave me very detailed comments that have led to many improvements, including the correction of some errors. Many of the comments I have received urged me to add a chapter or section on this or that additional topic. Those were good ideas , but space limitations forbade my adopting more than a handful of them; my apologies. 1 Introduction: meaning and reference
Overview That certain kinds of marks and noises have meanings, and that we human beings grasp those meanings without even thinking about it, are very strik- ing facts. A philosophical theory of meaning should explain what it is for a string of marks or noises to be meaningful and, more particularly , what it is in virtue of which the string has the distinctive meaning it does. The theory should also explain how it is possible for human beings to produce and to understand meaningful utterances and to do that so effortlessly. A widespread idea about meaning is that words and more complex lin- guistic expressions have their meanings by standing for things in the world. Though commonsensical and at first attractive, this Referential Theory of meaning is fairly easily shown to be inadequate. For one thing , comparatively few words do actually stand for things in the world. For another , if all words were like proper names, serving just to pick out individual things, we would not be able to form grammatical sentences in the first place .
Meaning and understanding Not many people know that, in 1931 , Adolf Hitler made a visit to the United States , in the course of which he did some sightseeing, had a brief affair with a lady named Maxine in Keokuk, Iowa, tried peyote (which caused him to hal- lucinate hordes of frogs and toads wearing little boots and singing the Horst Wessel Lied ), infiltrated a munitions plant near Detroit , met secretly with Vice - President Curtis regarding sealskin futures, and invented the electric can opener. There is a good reason why not many people know all that: none of it is true. But the remarkable thing is that just now, as you read through my opening sentence--let us call it sentence (1)--you understood it perfectly, whether or not you were ready to accept it, and you did so without the slight- est conscious effort. Remarkable, I said. It probably does not strike you as remarkable or sur- prising, even now that you have noticed it. You are entirely used to reading words and sentences and understanding them at sight , and you find it nearly 2 Philosophy of Language
as natural as breathing or eating or walking . But how did you understand sentence (1)? Not by having seen it before ; I am certain that never in the history of the universe has anyone ever written or uttered that particular sentence, until I did. Nor did you understand (1) by having seen a very similar sentence, since I doubt that anyone has ever produced a sentence even remotely similar to (1). You may say that you understood (1) because you speak English and (1) is an English sentence. That is true so far as it goes , but it only pushes the mystery to arm's length . How is it that you are able to "speak English," given that speaking English involves being able to produce and understand, not only elementary expressions like "I'm thirsty," "Shut up," and "More gravy," but novel sentences as complex as (1)? That ability is truly amazing , and much harder to explain than how you breathe or how you eat or how you walk , each of which abilities is already well understood by physiologists. One clue is fairly obvious upon reflection: (1) is a string of words, English words, that you understand individually. So it seems that you understand (1) because you understand the words that occur in (1) and you understand something about how they are strung together. As we shall see, that is an important fact , but for now it is only suggestive. So far we have been talking about a human ability, to produce and under- stand speech. But consider linguistic expressions themselves, as objects of study in their own right.
(2) w gfjsdkhj jiobfglglf ud
(3) It's dangerous to splash gasoline around your living room .
(4) Good of off primly the a the the why.
(1)­(4) are all strings of marks (or of noises, if uttered aloud). But they differ dramatically from each other: (1) and (3) are meaningful sentences, while (2) and (4) are gibberish. (4) differs from (2) in containing individually meaningful English words, but the words are not linked together in such a way as to make a sentence, and collectively they do not mean anything at all. Certain sequences of noises or marks, then, have a feature that is both scarce in nature and urgently in need of explanation: that of meaning some- thing. And each of those strings has the more specific property of meaning something in particular. For example, (3) means that it is dangerous to splash gasoline around your living room. So our philosophical study of language begins with the following data.
· Some strings of marks or noises are meaningful sentences. · Each meaningful sentence has parts that are themselves meaningful. · Each meaningful sentence means something in particular. Introduction: meaning and reference 3
· Competent speakers of a language are able to understand many of that language's sentences, without effort and almost instantaneously; they also produce sentences, in the same way.
And these data all need explaining. In virtue of what is any sequence of marks or noises meaningful? In virtue of what does such a string mean what it dis- tinctively does? And how, again, are human beings able to understand and produce appropriate meaningful speech?
The Referential Theory There is an attractive and commonsensical explanation of all the foregoing facts--so attractive that most of us think of it by the time we are ten or eleven years old. The idea is that linguistic expressions have the meanings they do because they stand for things; what they mean is what they stand for. On this view, words are like labels; they are symbols that represent , designate, name, denote or refer to items in the world: the name "Adolf Hitler " denotes (the person ) Hitler; the noun "dog" refers to dogs , as do the French "chien" and the German "Hund." The sentence "The cat sat on the mat" represents some cat's sitting on some mat, presumably in virtue of "The cat" designating that cat, "the mat" designating the mat in question, and "sat on" denoting (if you like) the relation of sitting on. Sentences thus mirror the states of affairs they describe , and that is how they get to mean those things. For the most part, of course, words are arbitrarily associated with the things they refer to; some- one simply decided that Hitler was to be called "Adolf," and the inscription or sound "dog" could have been used to mean anything. This Referential Theory of Linguistic Meaning would explain the sig- nificance of all expressions in terms of their having been conventionally associated with things or states of affairs in the world, and it would explain a human being's understanding a sentence in terms of that person's knowing what the sentence's component words refer to. It is a natural and appealing view. Indeed it may seem obviously correct , at least so far as it goes. And one would have a hard time denying that reference or naming is our cleanest-cut and most familiar relation between a word and the world. Yet, when exam - ined, the Referential Theory very soon runs into serious objections.
Objection 1 Not every word does name or denote any actual object . First, there are the names of nonexistent items like Pegasus or the Easter Bunny. "Pegasus" does not denote anything, because there is in reality no winged horse for it to denote. (We shall discuss such names at some length in chapter 3.) Or consider pronouns of quantification, as in:
(5) I saw nobody . 4 Philosophy of Language
It would be a tired joke to take "nobody" as a name and respond , "You must have very good eyesight, then." ( Lewis Carroll: "Who did you pass on the road ?" . . . "Nobody" . . . " . . . So of course nobody walks slower than you."1 And e. e. cummings' poem "anyone lived in a pretty how town"2 makes little sense to the reader until s/he figures out that cummings is perversely using expressions like "anyone" and "noone" as names of individual persons.) Second, consider a simple subject­predicate sentence:
(6) Ralph is fat.
Though "Ralph" may name a person, what does "fat" name or denote? Not an individual. Certainly it does not name Ralph, but describes or character - izes him (fairly or no). We might suggest that "fat" denotes something abstract ; for example, it and other adjectives might be said to refer to qualities (or "properties," "attri- butes," "features," " characteristics ," and the like) of things. "Fat" might be said to name fatness in the abstract, or as Plato would have called it, The Fat Itself. Perhaps what (6) says is that Ralph has or exemplifies or is an instance of the quality fatness. On that interpretation , "is fat" would mean "has fat- ness ." But then, if we try to think of subject­predicate meaning as a matter of concatenating the name of a property with the name of an individual using the copula "is," we would need a second abstract entity for the "is" to stand for, say the relation of "having," as in the individual's having the property. But that would in turn make (6) mean something like, "Ralph bears the hav- ing relation to fatness," and so we would need a third abstract entity to relate the new "bears" relation to the original individual, relation and property, and so on--and on, and on, forever and ever. (The infinite regress here was pointed out by Bradley 1930: 17­18.) Third, there are words that grammatically are nouns but do not, intui- tively, name either individual things or kinds of things--not even nonexistent "things" or abstract items such as qualities. Quine (1960) gives the examples of "sake," "behalf," and "dint." One sometimes does something for someone else 's sake or on that person's behalf, but not as if a sake or a behalf were a kind of object the beneficiary led around on a leash. Or one achieves some- thing by dint of hard work; but a dint is not a thing or kind of thing. (I have never been sure what a " whit " or a "cahoot" is.) Despite being nouns, words like these surely do not have their meanings by referring to particular kinds of objects. They seem to have meaning only by dint of occurring in longer constructions. By themselves they barely can be said to mean anything at all, though they are words, and meaningful words at that. Fourth , many parts of speech other than nouns do not even seem to refer to things of any sort or in any way at all: "very," "of," "and," "the," "a," "yes," and, for that matter, "hey" and " alas ." Yet of course such words are meaningful and occur in sentences that any competent speaker of English understands. Introduction: meaning and reference 5
(Not everyone is convinced that the Referential Theory is so decisively refuted, even in regard to that last group of the most clearly nonreferential words there are. In fact, Richard Montague (1960) set out to construct a very sophisticated, highly technical theory in which even words like those are assigned referents of a highly abstract sort, and do have a meaning, at least in part, by referring to what they supposedly refer to. We shall say more of Montague's system in chapter 10.)
Objection 2 According to the Referential Theory, a sentence is a list of names. But a mere list of names does not say anything.
(7) Fred Martha Irving Phyllis
cannot be used to assert anything, even if Martha or Irving is an abstract entity rather than a physical object. One might suppose that if the name of an individual is concatenated with the name of a quality, as in
(8) Ralph fatness
the resulting string would have normal subject­predicate meaning, say that Ralph is fat. (Early in his career , Bertrand Russell suggested that, by writing down a list of names for the right sorts of things in the right order , one would form the collective name of a state of affairs.) But in fact (8) is ungrammatical. For it to take on normal subject­predicate meaning, a verb would have to be inserted:
(9) Ralph {has/exemplifies} fatness
which would launch Bradley's regress again.
Objection 3 As we shall see and discuss in the next two chapters, there are specific lin- guistic phenomena that seem to show that there is more to meaning than reference. In particular, coreferring terms are often not synonymous; that is, two terms can share their referent but differ in meaning--"Joseph Ratzinger" and "the Pope," for example. It looks as though we should conclude that there must be at least one way of being a meaningful expression other than by naming something, pos- sibly even for some expressions that do name things. There are a number of theories of meaning that surpass the Referential Theory, even though each theory faces difficulties of its own. We shall look at some of the theories and their besetting difficulties in Part II. But first, in the next three chapters, we shall look further into the nature of naming, referring, and the like, in part 6 Philosophy of Language
because, despite the failings of the Referential Theory of Meaning, refer- ence remains important in its own right, and in part because a discussion of reference will help us introduce some concepts that will be needed in the assessment of theories of meaning.
Summary · Some strings of marks or noises are meaningful sentences. · It is an amazing fact that any normal person can instantly grasp the meaning of even a very long and novel sentence. · Each meaningful sentence has parts that are themselves meaningful. · Though initially attractive, the Referential Theory of Meaning faces several compelling objections.
Questions 1 Can you think of any further objections to the Referential Theory as stated here? 2 Are objections 1 and 2 entirely fair, or are there plausible replies that the referential theorist might make?
Further reading · Probably the most persistent critic of the Referential Theory is Wittgenstein (1953: Part I). A more systematic Wittgensteinian attack is found in Waismann (1965a: ch. 8). · Arguments of the sort lying behind objection 3 are found in Frege (1892/1952a) and (1892/1952b). · Bradley's regress is further discussed by Wolterstorff (1970: ch. 4) and by Loux (1998: ch. 1). Part I Reference and referring 2 Definite descriptions
Overview Even if the Referential Theory of Meaning does not hold for all words, one might think it would apply at least to singular terms (terms that purport to refer to single individuals, such as proper names, pronouns, and definite descriptions). But Gottlob Frege and Bertrand Russell argued powerfully that definite descriptions, at least, do not mean what they mean in virtue of denoting what they denote. Rather, he contended, a sentence containing a definite description, such as "The woman who lives there is a biochemist," has subject­predicate form only superficially, and is really --logically--a trio of generalizations: it is equivalent to "At least one woman lives there, and at most one woman lives there, and whoever lives there is a biochemist." Russell argues for this analysis both directly and by showing that it affords solutions to each of four vexing logical puzzles: the Problem of Apparent Reference to Nonexistents, the Problem of Negative Existentials, Frege's Puzzle about Identity , and the Problem of Substitutivity. A variety of objections have been raised against Russell's Theory of Descriptions. P. F. Strawson pointed out that it is at odds with our usual linguistic habits : though a sentence having "the present King of France " as its subject presupposes that there is at least one King of France, it is not false for lack of a King; rather, it cannot be used to make a proper statement at all, and so it has no truth- value . And Russell's theory ignores the fact that most descriptions are context - bound , and denote uniquely only within a circum - scribed local setting ("Bring me the book on the table"). Strawson argues more generally that Russell treats sentences and their logical properties in too abstract and disembodied a fashion , forgetting how they are actually used by flesh-and- blood people in concrete conversational practice . Keith Donnellan notes that, even if Russell is right about some uses of descriptions, he has ignored a common sort of case in which a description is used "referentially," merely to indicate a particular person or thing, regard- less of that referent's attributes. Finally , there are further uses of descriptions, called "anaphoric" uses, which may defy Russellian treatment. 10 Reference and referring
Singular terms In English or any other natural language, the paradigmatic referring devices are singular terms, expressions that purport to denote or designate particular individual people, places , or other objects (as opposed to general terms such as "dog" or "brown" that can apply to more than one thing). Singular terms include proper names (" Jane ," "Winston Churchill ," "Djakarta," "7," 3:17 p.m."), definite descriptions ("the Queen of England ," "the cat on the mat," "the last department meeting but one"), singular personal pronouns ("you," "she"), demonstrative pronouns ("this," "that"), and a few others . Even if the Referential Theory of Meaning is not true across the board , one might reasonably expect it to be true of singular terms. But Gottlob Frege (1892/1952a, 1892/1952b) and, following him, Bertrand Russell (1905/1956, 1918/1956, 1919/1971) showed definitively that it is not true of definite descriptions, and raised serious doubts whether it is true of other ordinary singular terms either. Frege and Russell set forth four puzzles about singular terms, the first three of which go back to objections raised in chapter 1 against the Referential Theory of meaning.
The Problem of Apparent Reference to Nonexistents Consider:
(1) James Moriarty is bald .
(Professor Moriarty is Sherlock Holmes ' arch -enemy, described most fully in Conan Doyle 's story "The Final Problem."1) The following set of state- ments is inconsistent (that is, on pain of logical contradiction, the statements cannot all be true):
J1 (1) is meaningful (significant, not meaningless). J2 (1) is a subject­predicate sentence. J3 A meaningful subject­predicate sentence is meaningful (only) in virtue of its picking out some individual thing and ascribing some property to that thing. J4 (1)'s subject term fails to pick out or denote anything that exists. J5 If (1) is meaningful only in virtue of picking out a thing and ascribing a property to that thing (J1, J2, J3), and if (1)'s subject term fails to pick out anything that exists (J4), then either (1) is not meaningful after all (contrary to J1) or (1) picks out a thing that does not exist . But: J6 There is no such thing as a "nonexistent thing."
The rub is that every one of J1­J6 seems true. Definite descriptions 11
The Problem of Negative Existentials This is a special case of the foregoing puzzle but, as we shall see, an aggra- vated one. Consider:
(2) Pegasus never existed.
(2) seems to be true and seems to be about Bellerophon's steed, Pegasus. But if (2) is true, (2) cannot be about Pegasus, for there is no such entity for it to be about. Likewise, if (2) is about Pegasus, then (2) is false, for Pegasus must then in some sense exist. It is worth noting a previous solution to the Problems of Apparent Reference to Nonexistents and Negative Existentials, rejected by Frege and later even more vehemently so by Russell. J1 is uncontroversial; J2 seems obvious; J4 is just a fact; and J5 is trivially true. Alexius Meinong ( 1904 /1960) had boldly leapt to deny J6, insisting à la St. Anselm that any possible object of thought --even a self- contradictory one--has being of a sort even though only a few such things are so lucky as to exist in reality as well. Moriarty has being of that sort and can be referred to, even though--fortunately for England and the world--he lacks the property of existing. 2 With that otherwise unexplained distinction in hand , Meinong could deal handily with negative existentials in particular. Such a sentence says, of an entity that (of course) has being, that that entity lacks existence. Secretariat, Seabiscuit and Smarty Jones were horses that existed but lacked wings ; Pegasus had wings but failed to exist. It happens. Less implausibly, Frege himself dealt with Apparent Reference to Nonexistents by rejecting J3: He posited abstract entities that he called "senses" and argued that a singular term is meaningful in virtue of having one of those over and above its referent--or in the case of a nonreferring singular term, instead of a referent. That is, since the singular term expresses a sense, it is meaningful whether or not it actually refers. Frege's solutions to Negative Existentials and the other two problems will be briefly surveyed in the next chapter.
Frege's Puzzle about Identity An identity statement such as
(3) Mark Twain is Samuel Langhorne Clemens
contains two singular terms, both of which (if the statement is true) pick out or denote the same person or thing. It seems, then, that what the state- ment says is simply that that person is identical with that person, that that person is identical with herself . If so, then the statement is trivial; (3) says no more than "Mark Twain is Mark Twain." Yet (3) seems nontrivial, in each 12 Reference and referring
of two ways : first, (3) is informative, in that someone might learn something new upon reading (3) (either something about Twain's actual identity or that Clemens was the famous author); second, (3) is contingent, as philosophers say--the fact (3) states is one that need not have held ; reality could have been otherwise. So it seems that at least one of the singular terms figuring in (3) must have and contribute some kind of meaning over and above its referent.
The Problem of Substitutivity The function of a singular term is to pick out an individual thing and intro - duce that thing into discourse . Even if one stops short of the entire Referential Theory of Meaning, one might think it is in virtue of that denoting role that singular terms are meaningful at all. Therefore , we would expect that any two singular terms that denote one and the same thing would be semantically equivalent: we could take any sentence containing one of the terms and sub- stitute the other of the two for the first term, without changing the meaning or at least without changing the truth-value of the sentence. But consider:
(4) Albert believes that Samuel Langhorne Clemens was less than 5 feet tall .
and suppose (4) is true. Now, Albert is unaware that Clemens wrote nov- els and stories under the pen name "Twain." We cannot substitute the term "Mark Twain" for "Samuel Langhorne Clemens" in (4) without chang - ing (4)'s truth-value; the result is a false sentence, since (we may suppose) Albert has seen a photo of Twain and believes that he was of normal height. In W. V. Quine's (1960) terminology, the sentential position occupied by the name in (4) is referentially opaque --"opaque" for short--as opposed to referentially transparent ("opaque" means just that substituting a different singular term into that position may change the truth-value of the containing sentence). What causes the opacity is the "believes that" construction , since the sentence "Samuel Langhorne Clemens was less than 5 feet tall," standing alone , is transparent: If Clemens was less than 5 feet tall, then so of course was Twain, "they" being the very same person.
Russell's Theory of Descriptions Russell initially posed the four puzzles in terms of definite descriptions rather than proper names, because he was interested in the logic of the word "the." ("It may be thought excessive to devote two chapters [of his Introduction to Mathematical Philosophy] to one word, but to the philosophical mathemati- cian it is a word of very great importance : like Browning's grammarian with the enclitic , I would give the doctrine of this word if I were `dead from the waist down' and not merely in a prison "3 (1919/1971: 167).) Definite descriptions 13
Not too surprisingly, Russell argued on the basis of the puzzles that definite descriptions do have and contribute meanings that go beyond their referents alone. His Theory of Descriptions, as it has since been called and capitalized , takes the form of a contextual definition of the word "the" as it occurs in typical definite descriptions. That is, rather than defining the word explicitly (how would you go about completing the formula , "The = def . . . "?), Russell offers a recipe for paraphrasing standard types of whole sentence containing "the," in such a way as to exhibit the role of "the" indirectly, and to reveal what he called the sentences' "logical forms ." (He does not here treat plural uses of "the," or the generic use as in "The whale is a mammal." Notice that definite descriptions can be formed without use of "the," for example by way of possessives, as in "my brother " or " Doris ' egg salad sandwich ," though perhaps we might paraphrase those along the lines of "the brother of me.") Here is Russell's contextual definition of "the." Let us take a paradigmatic sentence, of the form "The F is G."
(5) The author of Waverley was Scotch.4
(5) appears to be a simple subject­predicate sentence, referring to an individual (Sir Walter Scott ) and predicating something (Scottishness) of him. But appearances are deceiving, Russell says. Notice that the ostensible singular term, "The author of Waverley," consists of our troublesome word "the" pasted onto the front of a predicative expression, and notice too that the meaning of that expression figures crucially in our ability to recognize or pick out the expression's referent; to find the referent we have to look for someone who did write Waverley. Russell suggests that "the" abbreviates a more complex construction involving what logicians and linguists call quanti- fiers, words that quantify general terms ("all teenagers ," "some bananas," "six geese a-laying," "most police officers," "no light bulbs," and the like). Indeed, he thinks that (5) as a whole abbreviates a conjunction of three quantified general statements, none of which makes reference to Scott in particular:
(5a) At least one person authored Waverley.
(5b) At most one person authored Waverley.
(5c) Whoever authored Waverley was Scotch.
Each of (5a)­(5c) is intuitively necessary for the truth of (5). If the author of Waverley was Scotch, then there was such an author; if there were more than one author, "the" should not have been used; and if the author was Scotch it follows trivially that whoever did the authoring was. And (5a)­(5c) taken together certainly seem sufficient for the truth of (5). So we seem to have a set of individually necessary and jointly sufficient conditions for (5); that in itself is a powerful argument for Russell's analysis. 14 Reference and referring
In standard logical notation: Let W represent the predicate " . . . authored Waverley" and S represent " . . . was Scotch." Then Russell's three conditions are:
(a) (x)Wx
(b) (x)(Wx (y) (Wy y = x))
(c) (x)(Wx Sx)
(a)­(c) are conjointly equivalent to
(d) (x)(Wx & ((y) (Wy y = x) & Sx))
Russell's position is that (d) correctly expresses the logical form of (5), as distinct from (5)'s superficial grammatical form. We have already encountered an example of this distinction, in chapter 1, illustrated by the sentence "I saw nobody." Superficially, that sentence has the same form as "I saw Martha"-- Subject+Transitive Verb+Object. Yet the two differ sharply in their logical properties. "I saw Martha" entails that I saw someone, while "I saw nobody" entails precisely the opposite; it is equivalent to "It's not the case that I saw anyone" and to "There is no one that I saw." Though someone just beginning to learn English might take it as one, "nobody" is not really a singular term, but a quantifier. In logical notation, letting A represent "saw" and i represent "I," "I saw nobody" is expressed as ~(x)Aix or, equivalently, (x)~Aix and the explicit inference rules governing this formal notation explain the logical behavior of the English sentence thus translated into it. So too, Russell maintained, the apparent singular term in (5), "The author of Waverley," is not really (that is, at the level of logical form) a singular term at all, but a convenient (if misleading) abbreviation of the more complicated quantificational structure displayed in (a)­(c). As he puts it, the apparent singular term "disappears on analysis." Our puzzles have arisen in fact from applying principles about singular reference to expressions that are not really singular terms at all but only masquerade as such. Let us now go through the four puzzles and exhibit Russell's solutions one by one.
Apparent Reference to Nonexistents Russell put the Problem of Apparent Reference to Nonexistents in terms of (6):
(6) The present King of France is bald. Definite descriptions 15
We turn, then, to the inconsistent set of statements corresponding to J1­J6 above, replacing "(1)" with "(6)" and relettering the statements with "K" instead of "J." (Thus, statement K1 is "(6) is meaningful (significant, not meaningless)," K2 is "(6) is a subject­predicate sentence," and so on.) Now, let us paraphrase (6) according to the foregoing method :
At least one person is presently King of France [more perspicuously, presently kings France], and at most one person is presently King of France, and whoever is presently King of France is bald.
No problem. The first of the foregoing three conjuncts is simply false, since no one kings France at present; so (6) itself comes out false on Russell's analysis. When we first stated the puzzle, it looked as though one had to reject either J3/K3 or (outrageously) J6/K6, since J2 seemed as obvious as the other undeniable J statements. But now Russell ingeniously denies statement K2, "(6) is a subject­predicate sentence," since he denies that "The present King of France" is "really" a singular term. Of course (6) has subject­predicate form in the superficial grammatical way. But notice again that our three conjuncts are all general statements and that none mentions any specific individual corresponding to the alleged King; "the King" figures nowhere in logical form as a subject. (Alternatively and less dramatically, we could keep K2, understanding it as alluding to superficial grammatical form, and reject K3 on the grounds that a superficially subject­predicate sentence can be meaningful without picking out any particular individual because it abbreviates a trio of purely general statements.)
Negative Existentials Let us apply Russell's analysis to (7):
(7) The present King of France does not exist.
Now, there is a Russellian paraphrase of (7) that leaves (7) just as anomalous as it seems to the naive hearer. That is the paraphrase that takes "exist" to be an ordinary predicate like "was Scotch" or "is bald," and takes "not" to modify or apply to that predicate:
At least one person is presently King of France, and 16 Reference and referring
at most one person is presently King of France, and whoever is presently King of France does not exist.
The anomaly is that the first conjunct asserts the existence of a present King, while the third conjunct denies it. No wonder (7) sounds peculiar to us. To make sense of (7), we must understand "not", not as modifying the verb "exist", but as applying to the rest of (7) as a whole, thus:
Not: (The present King of France exists). [That is, it is false that: the present King of France exists],
which is obviously what would be meant by someone who uttered (7) seriously. Then we apply Russell's pattern of analysis inside the "not," as follows.
Not: (At least one person is presently King of France, and at most one person is presently King of France, and whoever is presently King of France exists).
In symbols:
~(x) (Kx & ((y) (Ky y = x) & Ex))
where "E" represents "exists." (Actually, "exists" is itself treated as a quanti- fier in logical theory, and so the conjunct Ex ought properly to be replaced by (z) (z = x), which is redundant .) The intuitive content of (7) is just, "No one is uniquely King of France," or "No one uniquely kings France," and Russell's paraphrase has the virtue of being precisely equivalent to that. Nowhere in Russell's analysis do we pick out an individual and say of that individual that he does not exist, so the Problem of Negative Existentials vanishes, at least for the case of definite descriptions. In this preferred understanding of (7), the description occurs in what Russell called "secondary" position; that is, we have construed its underlying quantifiers "at least," "at most," and "whoever" as falling inside the "not." The previous, dispreferred paraphrase gave the description "primary" posi - tion , placing it first in the logical order with the "not" inside and governed by it. A meaning distinction of this kind is called a scope distinction: in more contemporary terminology, the secondary reading is that on which the quan - tifiers take " narrow " scope, falling inside the scope of "not"; on the primary reading the quantifiers are outside the scope of "not," and "not" is in their scope. Definite descriptions 17
Frege's Puzzle An example featuring a definite description:
(8) The present Queen of England is [one and the same individual as] Elizabeth Windsor .
(8)'s left -hand term is a definite description, so let us paraphrase it away in Russell's manner:
At least one person is presently Queen of England [presently queens England], and at most one person is presently Queen of England, and whoever is presently Queen of England is [one and the same as] Elizabeth Windsor.
In symbols:
(x) (Qx & ((y) (Qy y = x) & x = e)).
Now we see easily why our original identity statement is nontrivial. Of course we learn something when we hear Russell's paraphrase, something substantive about Elizabeth and the present Queen both. And of course the identity statement is contingent, since someone else might have been Queen (there might even have been no Queen at all), Elizabeth might have run away from home and formed a rock band rather than be crowned, or whatever. The Theory of Descriptions seems to give a correct account of the identity state- ment's intuitive content. Note that on Russell's view the statement is only superficially an identity statement; really it is a predication and attributes a complex relational property to Elizabeth. That leaves us with the problem of how a real identity statement could manage to be both true and informative, more of which in chapter 3.
Substitutivity Let us return to Albert. He has been reading philosophy, and:
(9) Albert believes that the author of Nothing and Beingness is a profound thinker. 18 Reference and referring
Now, Albert is unaware that the author of Nothing and Beingness moonlights by writing cheap , disgusting pornography. We cannot substitute the term "the author of Sizzling Veterinarians" for "the author of Nothing and Beingness" in (9) without changing (9)'s truth-value; the result is a false sentence, since Albert believes that the author of Sizzling Veterinarians is a drooling moron . (I am afraid this reveals that Albert has read Sizzling Veterinarians.) The position occupied by the definite description in (9) is opaque. In (9), the definite description occurs as part of what Albert believes, so we shall start our Russellian paraphrase with "Albert believes" and then apply Russell's pattern of analysis, giving the description secondary occurrence or narrow scope:
Albert believes the following:
(At least one person authored Nothing and Beingness, and at most one person authored Nothing and Beingness, and whoever authored Nothing and Beingness is a profound thinker).
This is a pretty good account of what Albert believes.5 And now it is obvi- ous why we may not substitute "the author of Sizzling Veterinarians" into (9), for the corresponding analysis of the resulting sentence would come out:
Albert believes the following:
(At least one person authored Sizzling Veterinarians, and at most one person authored Sizzling Veterinarians, and whoever authored Sizzling Veterinarians is a profound thinker).
Since this attributes an entirely different belief to Albert, it is no wonder that it is false even though (9) is true. (Of course, at the level of logical form we have not made a substitution at all, for the singular terms have "disap- peared on analysis" and are no longer there to be substituted.) The four puzzles made it clear that definite descriptions do not hook onto the world by directly naming and nothing else.6 But we needed a positive theory of how they do hook onto it. Russell has provided one very well moti - vated theory. Notice that even though definite descriptions are not assigned referents in the way that names are, and even though they are not "really" Definite descriptions 19
singular terms at all, they still purport to have single individuals that answer to them; when a description does in fact have the corresponding individual that it purports to have--that is, when there does exist a unique so-and-so-- I shall speak of the description's semantic denotatum or semantic referent. But the "hook" between a definite description and its semantic referent is (on Russell's view) far less direct than is the hook between a simple name and its bearer.
Objections to Russell's theory Impressive as Russell's achievement is, a number of objections have been brought against the Theory of Descriptions, chiefly by Strawson (1950). Before we take those up, I note an important criticism that might be made at just this point, though Russell quickly moved to forestall it. When I set out the four puzzles with which we began, I called them puz- zles "about singular terms." I have since expounded each of them by using examples featuring definite descriptions, and wielded Russell's Theory of Descriptions against them. But they are indeed puzzles about singular terms across the board, not just descriptions. We have already used proper names to make apparent reference to nonexistents, and we could even use pronouns ("you," said by Scrooge to Marley's ghost); Frege's Puzzle and Substitutivity of course arise for proper names. These seem to be exactly the same problems as those that Russell has stated in terms of descriptions. It looks as though Russell has simply missed the boat , because he has given a theory that by its nature applies only to one very special subclass of singular terms, while any adequate solution to the puzzles ought to generalize. Russell's solution to this problem was if anything even more ingenious than the Theory of Descriptions itself. In brief, it was to invoke another distinction between surface appearance and underlying logical reality, and claim that what we ordinarily call proper names are not really proper names at all, but rather they are abbreviations for definite descriptions. But I shall postpone examination of that thesis until the next chapter. Strawson's critique was radical and searching. Indeed, Russell and Strawson were respectively figureheads for two very different approaches to the study of language (and to a lesser degree for two great rival systems of twentieth-century philosophy), though we shall not go into that until chapter 6. To set the stage for Strawson's objections, I shall merely note that whereas Russell thought in terms of sentences taken in the abstract as objects in themselves, and their logical properties in particular, Strawson emphasized how the sentences are used and reacted to by human beings in concrete con- versational situations. Russell's most famous article (1905/1956) was called "On Denoting," and in it denoting was taken to be a relation between an expression, considered in abstraction, and the thing that is the expression's referent or denotatum. Strawson's title was "On Referring," which he meant ironically, because he thought of referring not as an abstract relation between 20 Reference and referring
an expression and a thing but as an act done by a person at a time on an occasion. This way of looking at things gave Strawson quite a new slant on the four problems. Strawson holds that expressions do not refer at all; people refer, using expressions for that purpose . This is reminiscent of the (U.S.) National Rifle Association 's slogan , " Guns don't kill people, people kill people." Certainly there is an obvious sense in which Strawson is right. To use an example of his, if I write down, "This is a fine red one," "This" does not refer to anything-- and no determinate statement has been made--until I do something to make it refer. An expression will come to refer only if I use it in a suitably well- engineered context, so that it does refer to a particular thing or person. But that is a matter of the expression being used, and when I do use it, it is I that am doing the work, not the expression.
Objection 1 According to Russell, sentence (6) ("The present King of France is bald") is false owing to the lack of any such King. Strawson points out that that ver- dict is implausible. Suppose someone comes out and asserts (6). Would that person's hearers react by saying "That's false" or "I disagree"? Surely not. Rather, Strawson maintains, the speaker has produced an only ostensibly referring expression that has misfired; the speaker has simply failed to refer to anything and so has failed to make a complete statement. The speaker's utterance is certainly defective, but not in the same way that "The present Queen of England has no children " is defective. It is not incorrect but abor - tive; it does not even get a chance to be false. Since no proper statement has been made in the first place, it follows that nothing either true or false has been said. A hearer would either just not comprehend or would say "Back up" and question the utterance's presupposition ("I'm not following you; France doesn't have a king").7 Strawson therefore solves the Problem of Apparent Reference to Nonexistents by denying K3: (6) is meaningful, in that it has a legitimate use in the language and could be used to say true or false things if the world (or the French) were more cooperative, but not because it succeeds in picking out any individual thing. Russell thought of a meaningful sentence as a sentence that has a meaning, or, as he put it, a sentence that expresses a proposition. A sentence's logical form, on his view, is really that of the proposition the sentence expresses. But propositions by their nature are either true or false. Strawson eschews talk of "propositions," and denies that sentences are the kind of things that can be true or false at all. What bears the properties truth and falsity are rather the statements made when speakers succeed in saying something, and not every act of uttering does succeed in that way, for not every meaningful sentence is always used to make a statement. Definite descriptions 21
Russellians have a standard reply to objection 1, but it depends on some notions that I shall not develop until chapter 13, so I shall postpone it until then.
Objection 2 Strawson further criticizes the claim, which he attributes to Russell, that "part of what [a speaker] would be asserting [in uttering (6)] would be that there at present existed one and only one king of France" (1950: 330). That claim too is implausible, for although the speaker presupposes that there is one and only one king, that is certainly not part of what the speaker asserts. But that is a misunderstanding: Russell had made no such claim. He said nothing at all about acts of asserting. Perhaps Strawson is assuming on Russell's behalf that whatever is logically implied by a sentence is necessarily asserted by a speaker who utters that sentence. But the latter principle is false: if I say "Fat Tommy can't run or climb a tree," I do not assert that Tommy is fat, even though my sentence logically implies that he is; if I say "Tommy is five feet seven inches tall," I do not assert that Tommy is either greater than two miles or less than eighteen miles tall.
Objection 3 Strawson points out that many descriptions are context-bound. He offers the example of:
(10) The table is covered with books.
Presumably the subject term is a definite description, used in a standard way rather than in any different or unusual way. But if we apply Russell's analysis we get "At least one thing is a table and at most one thing is a table and any thing that is a table is covered with books"--which by way of its second conjunct entails that there is at most one table, in the entire universe. That cannot be shrugged off. However unwillingly, Russell is going to have to take some notice of the context of utterance. He has several options. After all, Strawson has no monopoly on the fact that when someone says "The table," we hearers generally know which table is meant, because something in the context has made it salient . It may be the only table in sight, or the only one in the room, or the one we have just been talking about. Russell may say that there is ellipsis here; that in the context, "The table" is short for a more elaborate description that is uniquely satisfied. (As we shall see in the next chapter, Russell was no enemy of ellipsis hypotheses.) The ellipsis view has some disturbing implications. Russell thinks of logi- cal form as objectively real--that sentences really do have the logical forms 22 Reference and referring
he posits. So if "The table" is elliptical, there has got to be a determinate answer to the question, "What material is ellipsized?" And the answer will matter because, depending upon which candidate you pick, (10) will turn out to say something completely different. If we say that "The table" means the table in this room, then we have introduced the concept "room," and construed (10) as being literally about a room, indeed as having the predicate "room" hidden in its underlying logical structure. Perhaps a better approach would be an appeal to restricted quantification (as in Lycan 1984 and Neale 1990). Often we say things like "Everyone likes her," meaning, not every person in the universe, but everyone in a certain contextually indicated social circle . Or "Nobody goes to that restaurant any more," which is unlikely to mean that no human being at all goes there; it would more commonly mean, no one of our sort (whatever sort that is).8 What logicians call the domains over which quantifiers range need not be universal , but are often particular classes roughly presupposed in the context. In fact (you can check this for yourself), practically all quantification that occurs in English is restricted quantification: "I'll eat anything on pizza ," "There's no beer," and even "I wouldn't trade this car for anything in the world." Of course the usual Russellian analysis starts with a quantifier: "At least one thing is a table . . . ." Let us simply regard that quantifier as restricted in the appropriate way. The same restriction will apply to the "at most one thing," and so we lose the unwanted implication that there is at most one table in the universe; (10) will now imply only that there is at most one table of the contextually indicated sort, which is fine. The appeal to restricted quantification differs from the ellipsis hypothesis, in that it does not require that explicit conceptual material be clandestinely mentioned in (10). The quantifier restriction is more like a silent demonstra- tive pronoun : "At most one table of that sort," where the context fixes the reference of "that." So we seem to have solved the table problem on Russell's behalf. But there are more aggravated problem cases . Consider (11):
(11) If a bishop meets another bishop, the bishop blesses the other bishop. (Heim 1990)
For further examples, see Reimer (1992), Stanley and Szabó (2000), Ludlow and Segal (2004) and Lepore (2004). Also, there is still a general problem of how quantifiers get restricted in context, what determines the exact restricted domains (which are almost always vague to boot ), and how on earth hearers identify the right domains as quickly and as effortlessly as they do. But we have that general problem anyway; it poses no special objection to Russell's Theory of Descriptions. I pause to offer a partial rebuttal of Strawson's notion that people rather than expressions refer. Recall the National Rifle Association's slogan, "Guns don't kill people, people kill people." An appropriate response is, "Yes, but Definite descriptions 23
they kill them much more easily and efficiently using guns," and there is a perfectly good sense in which the gun did kill the victim. So too there is at least a secondary sense in which expressions do refer. There is nothing at all wrong with saying that, in a particular context, the expression "The table" refers to the salient piece of furniture. Moreover , we have already introduced the notion of the "semantic referent" of a description: in context, remember , a description's semantic referent is whatever object (if any) in fact uniquely satisfies the description. Notice that Russell too has an objection to talking about the referent of a description. He wants to insist that descriptions are not really referring expressions at all; a sentence containing one abbreviates a mass of quantifi- cational material that is entirely general and not about anyone in particular. But my notion of a semantic referent applies equally against Russell on this point. There is at least that secondary sense in which a description can have a referent. And it is perfectly harmless for a Russellian to grant that defi- nite descriptions do refer, so long as s/he remembers that they do not do it directly, in the way we may have thought proper names do. I turn to an objection made by Keith Donnellan (1966).
Objection 4 Donnellan noticed cases in which we do seem to use definite descriptions as if they are just tags or names, solely to refer to individuals. And in such cases the Russellian analysis does not capture what seems to be said when the relevant sentences are uttered. Though Donnellan intended his article modestly as an adjudication of the Russell­Strawson dispute, his insight has wider application , and I shall expound it in its own terms.
Donnellan's distinction
Donnellan called attention to what he called the referential use, as opposed to the attributive use, of a definite description. The most obvious type of ref- erential use is when a description has grown capital letters and is really used as a title. A classic example is "The Holy Roman Empire ," whose referent, as Voltaire observed , was neither holy, nor Roman, nor an empire. Or "The Grateful Dead," which is the name of a rock band; sentences containing that title do not mean that at least one thing is grateful and dead and . . . Russell might fairly retort that, as the capital letters show, those titles are not being used as descriptions at all, but (of course) as fused titles. "The Swan " is the name of a piece of instrumental music by Saint-Saëns, and sentences containing that title are about music, not about water fowl . But Donnellan shows that there are less formal cases in which we use descriptions solely to focus on a particular individual regardless of that person or thing's attributes. 24 Reference and referring
For contrast , here is a standard Russellian example. We come across the hideously murdered body of Smith, and I assert
(12) Smith's murderer is insane
meaning that whoever committed this terrible crime is insane. Donnellan has no quarrel with Russell here; this is what he calls the attributive use of the description. But suppose instead that we have not seen the body and have no other direct knowledge of the matter; Jones has been arrested and charged with the crime and we are attending his trial . The prosecution's case is excellent, and we are privately presuming that Jones is guilty; also, he is rolling his eyes and drooling in a homicidal manner. Here too I say to you (12), "Smith's murderer is insane." In the context I am only using the description "Smith's murderer" to refer to the person we are looking at, the defendant, regardless of what attributes he has. Moreover, what I said is true if and only if the defendant is insane, regardless of his having committed the murder . This is what Donnellan calls the referential use. Donnellan's objection to the Theory of Descriptions is just that the theory overlooks the referential use; Russell writes as if all descriptions were used attributively. But, against Strawson, Donnellan complains that equally he did not see the attributive use, that Strawson writes as if all descriptions were used referentially, in a context, to draw somebody's attention to a particular person, place or thing. Thus both Strawson and Russell were mistaken in thinking that definite descriptions always work in one way, because there is an ambiguity acknowledged by neither. Donnellan does not take a position as to what kind of ambiguity it is; in particular he does not try to decide whether the sentence (12) itself has two different meanings explaining the description's evidently distinct "uses." Donnellan gives several informal characterizations of the new referential use: "A speaker who uses a definite description referentially in an asser - tion . . . uses the description to enable his audience to pick out whom or what he is talking about" (p. 285). The description does not "occur essentially," but is "merely one tool for doing a certain job-- calling attention to a person or thing--and in general any other device for doing the same job, another description or a name, would do as well" (ibid.). "[W]e expect and intend our audience to realize whom we have in mind . . . and, most importantly, to know that it is this person about whom we are going to say something" (pp. 285­6). This all sounds straightforwardly correct, for the "Smith's murderer" case.9 However, Donnellan goes on to add a further characterization: in the attributive use of "The ø is Y," "if nothing is the ø then nothing has been said to be Y," whereas in the referential case "the fact that nothing is the ø does not have this consequence" (p. 287). He takes this point from Linsky (1963), who offers the example of someone (perhaps at a party ) who observes a woman and her male companion and says, "Her husband is kind to her." Definite descriptions 25
Donnellan and Linsky agree that, even if the woman is in fact unmarried, it is the companion that is referred to, and that what is said is that that person is kind to her regardless of his not actually being her husband. On this view, the real referent differs from what I have been calling the semantic referent, there being no semantic referent in Linsky's example. Or suppose that in the Smith case, against all the evidence , Jones is inno- cent; Smith committed suicide and there is no murderer. (Or perhaps Smith is not even dead, but has been languishing in a state of deep suspended ani- mation.) Intuitively, Donnellan maintains, that does not change what I said. And what I said is true if and only if Jones is insane, regardless of there being no murderer. Donnellan gives the further example of a party guest seeing an interesting -looking person sipping from a martini glass ; the guest asks, "Who is the man drinking a martini?" In fact the glass holds only water, but, Donnellan maintains, the guest's question is about the interesting-looking man, and not about (say) Dino , off in the billiard room, who is in fact the one and only man at the party drinking a martini. Examples like these, sometimes called "near- miss " cases, are disputed. Following Grice (1957) and flouting Strawson, Kripke (1979a) distinguishes between what a linguistic expression itself means or refers to and what a speaker means or refers to in using the expression. For example, taken liter- ally, the sentence "Albert's an elegant fellow" means that Albert is an elegant fellow, but a speaker might use it sarcastically to point out that Albert is a revolting slob. (We shall say much more of disparities between speaker- meaning and literal expression meaning in chapters 7 and 13.) So too, I may say "Smith's murderer," which phrase taken literally means whoever mur- dered Smith, and ( myself ) honestly mean Jones on the stand and accurately be taken to mean Jones. Linsky's speaker himself means the lady's companion, but the expression "Her husband" according to the rules of English means whoever (if anyone) is married to her; Donnellan's party guest obviously means the interesting-looking man, though the phrase "the man drinking a martini" literally means whatever man is in fact drinking a martini. Speakers in "near-miss" cases do mean what Donnellan says they mean, and mean true things, but (as with "Albert's an elegant fellow") they do those things by uttering sentences that are in fact false. Let us define speaker-reference a little more formally, to contrast with semantic reference. The speaker- or utterer's referent of a description on an occasion of its use is the object, if any, to which the speaker who used the description intended to call to the attention of her/his audience. (The speaker-referent is the object that the utterer means to be talking about.) Fortunately, communication goes by speaker-meaning and speaker-refer- ence: if I (speaker-)mean Jones when I say "Smith's murderer" and you take me to mean Jones and understand me to have said that Jones is insane, then you have understood me correctly and communication has succeeded; it does not matter that the sentence I uttered was according to its literal meaning untrue, any more than it matters that "Albert's an elegant fellow" is literally false. 26 Reference and referring
Thus, according to Kripke, Donnellan has failed to show that a sentence containing a definite description can be true even if nothing (or something extraneous) is the description's semantic referent. Even if Kripke is right about the near-miss examples, it is important to hold on to some version of Donnellan's distinction. The distinction is amply illustrated by the original "Smith's murderer" example and others, even if Donnellan is wrong about the meanings and truth- values of the near-miss sentences. Donnellan's paper raises the question of specifying the circum- stances under which one succeeds in referring, by using a description, to the person or thing one intends to refer to, and he has shown that this does not always go by semantic referent. Further, the distinction unmistakably mat- ters to the truth-value of sentences that embed descriptions within clauses of certain kinds. Suppose I were to say:
(13) I know that's right because I heard it from the town doctor .
You might have to ask me, "You mean because she's a doctor and this is a medical matter, or do you mean because you heard it from her and she's also an authority on true crime?" (13)'s truth-value may depend on whether "the town doctor" is used attributively or referentially. Or consider:
(14) I wish that her husband weren't her husband.
The most natural reading of (14) is to take the first occurrence of the description referentially but the second attributively; what the speaker wishes is that the man in question were not married to the woman in question. But (14) has several other readings, depending on which way the descriptions are taken, even though they are fairly silly. In light of Kripke's distinction between speaker- or utterer's referent and semantic referent, one might be tempted simply to write off Donnellan's issue as verbal, and maintain that the Theory of Descriptions is still correct as an account of the truth-values of sentences taken literally, while Donnellan is often right about speaker-referent and speaker-meaning. But the ambiguity of sentences like (13) and (14) still seems to elude Russell's analysis.10 Also, even if one is persuaded by Kripke and has discounted the near-miss examples, it remains controversial whether, for the referential case, the actual referent is always the speaker-referent. Notice that this question presupposes a third notion, that of "actual" referent, that is conceptually distinct from the other two. What is meant seems to be that the actual referent is the object about which the speaker actually succeeded in making a statement ( asking a question, issuing a command, and so on), it being left open whether this tracks the literal semantic interpretation of the sentence uttered. (Of course, if the Theory of Descriptions is correct, either the actual referent is always the semantic referent or, since according to Russell definite descriptions do not really refer at all, there is no actual referent.) Definite descriptions 27
MacKay (1968) argues that in some cases, even if one misspeaks, one's actual referent may be the semantic referent rather than the speaker-referent. Suppose there are a rock and a book on the table, and, wanting you to bring me the book, I fumblemouth and say, "Bring me the rock on the table," using "the rock" referentially and speaker-referring to the book, I have still asked you to bring me the rock, and you would not be complying if you brought me the book instead. Or suppose I say to you, "I bet you $5 that the glorious winner [of a big auto race ] is over forty years of age." I am using "the glorious winner" referentially, thinking of Dale Earnhart, completely confident that he has the race won, and I have him very much in mind, clear mental image and all. But, although he crossed the finish line first, Earnhart does not in fact win; by a little-known technicality he comes in second to Fat Freddy Phreak, who has got loose again and entered the race at the last minute. Fat Freddy is only twenty-two. I owe you $5. MacKay makes the general point that a speaker's intentions may be arbi- trarily crazy . Suppose I have formed the insane belief that Keith Donnellan is the illegitimate son of Santa Claus and Margaret Thatcher . Using the descrip- tion referentially, I say "Mrs Thatcher's Christmas bastard wrote a classic article on descriptions." If you know enough about my weird beliefs , you will pick out the right individual and understand what I meant, but no one could correctly describe me as having said that Keith Donnellan wrote the classic paper. It should be questioned whether there is any rightfully separate notion of an "actual referent." The concept of a semantic referent is clear, and the theory of communication requires that of a speaker-referent, but perhaps the idea of an "actual referent" is just a confusion of the two based on our failure to see the difference between literal sentence semantics and the theory of communication. Then we would have to explain away the fact of our having intuitions about "actual referents" in cases like some of the foregoing. Kripke takes roughly that line, making use of an idea of Grice's that we shall discuss in chapter 13.
Anaphora One final objection to the Theory of Descriptions must be mentioned. As we have noted, Russell deals only with what he considers the central use of "the," and exempts the theory from having to explain plural uses or the generic use. One may think that a theory of definite descriptions ought not to be pam- pered thus forever. But in any case Russell does not mention anaphoric uses, and it has certainly been wondered why the theory should not be required to cover those, since unlike plural and generic uses, anaphoric descriptions are ostensibly singular referring expressions. In general, an anaphoric expression inherits its meaning from another expression, its antecedent, usually though not always occurring earlier in the sentence or in a previous sentence. For example, in 28 Reference and referring
(15) The man who lived around the corner was eccentric. He used to snack on turtle heads
"he" refers back to the man who lived around the corner. Geach (1962) called such a term a "pronoun of laziness" and suggested that it merely abbreviates a boilerplate repetition of the antecedent phrase, so that (15)'s second clause is precisely equivalent to "The man who lived around the corner used to snack on turtle heads." Geach's suggestion is only one among several theories of anaphoric pronouns, but the general idea is that the pronoun has the referent that it does only in virtue of its relation to the antecedent phrase. If Geach is right, then (15) poses no problem for the Theory of Descriptions; its second clause would be analyzed in the usual manner and that analysis seems at least as correct as other central Russellian paraphrases. But, as Evans (1977) points out, a parallel treatment fails when the antecedent is a quanti- fier phrase or an indefinite description:
(16) Just one turtle came down the street . It was running as if it were being pursued by a maniac.
(17)A rabbit appeared in our yard after dinner . It seemed unconcerned.
(16)'s second clause is not equivalent to "Just one turtle was running as if it were being pursued . . . ," because the latter might be false even when (16) is true (our own pet turtle, in the dining room with us, may have been running as well). (17)'s second clause is not equivalent to "A rabbit seemed uncon- cerned," for that paraphrase misses the fact that the original "It" referred to the particular rabbit that appeared in the yard. Russell may fairly rejoin that what he offered was a theory of definite descriptions, and neither (16) nor (17) contains a definite description. But if the "It"s in (16) and (17) are not pronouns of laziness, why should we think that "He" in (15) is one? Also, definite descriptions can themselves be anaphors:
(18) Just one turtle came down the street. The turtle was running as if it were being pursued by a maniac.
(19) A rabbit appeared in our yard after dinner. The rabbit seemed unconcerned.
It is plausible enough to take "The turtle" in (18) as abbreviating "The turtle that came down the street," in which case (18) does not threaten Russell's analysis. But the same will not do for (19): if we try to suppose that "The rabbit" abbreviates "The rabbit that appeared in our yard after dinner," then by the usual uniqueness clause, (19) would entail that at most one rabbit Definite descriptions 29
appeared in the yard, and--notice--(19) itself does not entail that, but (since its opening phrase is only "A rabbit") is logically consistent with more than one rabbit's having appeared in the yard. True, a speaker who utters (19) does somehow suggest that there was just one. But notice that it would not be contradictory to utter (19) and then add, "In fact, there were several rabbits, and none of them looked very worried." Neale (1990) has tried to accommodate anaphora within a conservative Russellian theory; Heim (1990), Kamp and Reyle (1993) and others have argued that a broader semantic format is required. But I shall leave the topic at this point.
A few further issues have arisen in recent years. For example, it has been questioned whether the use of a definite description does really entail even contextual uniqueness (see Szabó 2000, 2003; Abbott 2003). More generally, the relations between definite and indefinite descriptions have come under scrutiny (Szabó 2000 again; Ludlow and Segal 2004.) Plural descriptions have been investigated by Sharvy (1980), Neale (1990) and Brogaard (2007) among others.
Summary · Singular terms refer to individual objects in the world. But to suppose that that is all they do leads to logical puzzles. · Russell argued that sentences containing definite descriptions should be analyzed as triples of general statements. · Russell defended this Theory of Descriptions both directly and by appeal to its affording solutions to the four logical puzzles. · Strawson argues that Russell views sentences and their logical proper- ties too abstractly and ignores their standard conversational uses by real people in real life. · In particular, Russell misses the fact that sentences containing non- denoting descriptions are not regarded as false, but lack truth-value altogether on account of presupposition failure. Also, Russell ignores context-bound descriptions. · Donnellan calls attention to the referential use of descriptions, also ignored by Russell, and tries, not altogether successfully, to distin- guish it from the attributive use. · It is not obvious that Russell's theory can accommodate all the ana- phoric uses of descriptions.
Questions 1 Given (for the sake of argument) that the Theory of Descriptions is otherwise plausible, are you convinced by Russell's solutions to the four puzzles? 30 Reference and referring
2 Is Strawson's critique more persuasive than I have granted ? Develop it a bit further against Russell. 3 To what extent does the theory correctly predict and explain the entire use of "the" in English? 4 What do you make of Donnellan's distinction? Can it be rendered more precise? Try to refine the intuitive contrast with which Donnellan begins. 5 Dispute or defend any of Donnellan's interesting intuitive judgements about "actual referents" in particular hypothetical speech situations. Then comment on the significance, for Donnellan's program, of your own position on such a case. 6 Donnellan regards his article as a contribution to the Russell­Strawson dispute. But he does not say much in the article about the four puzzles with which that whole issue began. Does his theory, as you construe it, solve any or all of the four puzzles? 7 Can you help Russell extend his theory to cover our examples of ana- phora? Are there other anaphoric examples that create further problems for him?
Further reading · Kaplan (1972) is an excellent detailed exposition of the Theory of Descriptions. See also Cartwright (1987) and Neale (1990). The jour - nal Mind published an entire special issue (Vol. 144, October 2005) in honor of "On Denoting"'s one-hundredth birthday. · Russell (1957) replied to Strawson's critique. · Linsky (1967) surveys the Russell­Strawson dispute well. · Despite Russell's contempt for it, Meinong's view has been stoutly defended by Routley et al. (1980) and by Parsons (1980). · Donnellan (1968) replied to MacKay. Donnellan (1979) is a more extended treatment and also takes up questions of anaphora. · Taylor (1998: ch. 2) offers a fuller but still accessible survey of ana- phoric phenomena. · Ostertag (1998) contains many important papers on definite descrip- tions, as does Bezuidenhout and Reimer (2004). See also Ludlow (2007), a fine survey article. 3 Proper names: the Description Theory
Overview Russell seems to have refuted the Referential Theory of Meaning for definite descriptions, by showing that descriptions are not genuinely singular terms. Perhaps that is not so surprising, since descriptions are complex expressions in that they have independently meaningful parts. But one might naturally continue to think that ordinary proper names are genuinely singular terms. Yet the four puzzles--about nonexistents, negative existentials, and the rest--arise just as insistently for proper names as they did for descriptions. Frege offered solutions to the puzzles by proposing that a name has a sense in addition to its referent, the sense being a "way of presenting" the term's referent. But he said far too little about what "senses" are and how they actu- ally work. Russell solved this problem by arguing, fairly persuasively, that ordinary proper names are really disguised definite descriptions. This hypothesis allowed him to solve the four puzzles for proper names by extending his Theory of Descriptions to them. Yet Russell's claim that proper names are semantically equivalent to descriptions faces serious objections: for example, that it is hard to find a specific description to which a given name is equivalent, and that people for whom the same name expresses different descriptions would be talking past each other when they tried to discuss the same person or thing. John Searle proposed a looser, "cluster" description theory of proper names that avoids the initial objections to Russell's view. But Saul Kripke and others have amassed further objections that apply as much to Searle's looser theory as to Russell's.
Frege and the puzzles We may have agreed with Russell that the Referential Theory of Meaning is false of descriptions because descriptions are not really (logically) singular terms, but we may continue to hold the Referential Theory for proper names themselves. Surely names are just names; they have their meanings simply by designating the particular things they designate, and introducing those designata into discourse. (Let us call such an expression a Millian name, since 32 Reference and referring
John Stuart Mill (1843/1973) seemed to defend the view that proper names are merely labels for individual persons or objects and contribute no more than those individuals themselves to the meanings of sentences in which they occur.) But recall our initial objection to Russell's Theory of Descriptions: that, although it was motivated entirely by the four puzzles, the puzzles are not at all specific to definite descriptions, because they arose just as insis- tently--not to mention first--for proper names as well. Frege preceded Russell in offering solutions to the puzzles. We have already seen what he said about Apparent Reference to Nonexistents:
(1) James Moriarty is bald
is meaningful because the name "James Moriarty" has a "sense" over and above its putative referent, even if there is in fact no referent. In fact, nothing is referred to or denoted by the name, but the sense is "expressed" by it. For Frege, the "sense" was, roughly, a particular "way of presenting" the term's putative referent. Though itself an abstract entity rather than a men- tal or psychological one, the sense reflects a person's conception or way of thinking of the referent. Frege sometimes expressed senses in the form of definite descriptions; for example, the sense of the name "Aristotle" might be "Plato's disciple and the teacher of Alexander the Great," or "the Stagirite teacher of Alexander" (Frege 1892/1952b: 58n). A sense determines a unique referent, but multiple senses may determine the same referent. Let us now see how Frege attacked the other three puzzles.
Negative Existentials
(2) Pegasus never existed.
As before, (2) seems to be true and seems to be about Pegasus, but if (2) is true, (2) cannot be about Pegasus . . . . Notice that there is a worse complication here than is raised by the Problem of Apparent Reference to Nonexistents alone: whereas (1) is meaningful despite the nonexistence of James Moriarty, (2) is not only meaningful despite Pegasus' nonexistence but actually and importantly true. The idea of senses as particular modes of presentation affords Frege at least an impressionistic solution to the Problem of Negative Existentials (though whether this was actually his view and how it might be made precise are unclear): (2) can be taken to mean roughly that the sense of "Pegasus," the conception of a winged horse ridden by Bellerophon, fails to find a referent-- not even a "nonexistent" one. Nothing in reality answers to that sense.1 The reason this idea is not straightforward is that for Frege a name only "expresses" and does not denote its own sense. So (2) is not literally about the sense of "Pegasus," and does not out-and-out say of that sense that it lacks a Proper names: the Description Theory 33
referent, even though the latter is one thing we philosophers know when we know that (2) is true.
Frege's Puzzle
(3) Mark Twain is Samuel Langhorne Clemens
contains two proper names, both of which pick out or denote the same per- son or thing, and so--if the names are Millian--should be trivially true. Yet as before, (3) seems both informative and contingent. (A fictional example is "Superman is Clark Kent"; according to Mr. Jerry Siegel's comic-book saga , dilettante millionaires spent time and money trying to discover Superman's secret identity.) On Frege's view, although the two names in (3) pick out a common refer- ent, they "present" that individual in different ways; they have importantly different senses. And what he calls " cognitive significance" goes with sense, rather than with reference. This is what he writes:
When we found `a = a' and `a = b' to have different cognitive values, the explanation is that for the purpose of knowledge, the sense of the sentence, viz., the thought expressed by it, is no less relevant than its reference . . . If now a = b, then indeed the reference of `b' is the same as that of `a,' and hence the truth-value of `a = b' is the same as that of `a = a.' In spite of this, the sense of `b' may differ from that of `a', and thereby the thought expressed in `a = b' differs from that of `a = a.' In that case the two sentences do not have the same cognitive value. (1892/1952b: 78).
(But we are not told how it is that "a = b" can be contingent.)
(4) Albert believes that Samuel Langhorne Clemens was less than 5 feet tall.
But substituting "Mark Twain" for "Samuel Langhorne Clemens" in (4) produces a falsehood; as in the previous chapter, the singular-term position governed by "believes that" is referentially opaque. If the names were Millian, and contributed nothing to meaning besides the introduction of their refer- ents into discourse, the substitution should make no difference at all and the position would be transparent. Here Frege makes an ingenious move . The problem, we recall, was that the opacity was induced by the "believes that" construction, since what fol- lows it is not itself opaque. Since belief is a cognitive matter, Frege supposed 34 Reference and referring
that what determine a belief sentence's truth-value are the senses rather than merely the referents of the expressions that follow the belief operator . He therefore suggests that what the operator does is to shift the reference of the name in particular: Inside "believes that," the name refers not, as usually, to Clemens/Twain the person, but to its own sense. That is why the result of substituting "Mark Twain" into (4) has a different truth-value: In the belief context, "Mark Twain" refers to its sense, a different one from that of "Samuel Langhorne Clemens." Thus Frege's distinction between reference and "sense" enables him to address each of the puzzles. And his solutions sound right, so far as they go: Names contribute meaning of some sort over and above their referents, and that is what makes the differences where we see differences, of course. But the solutions sound right, I suspect, because of their schematic nature. Frege calls the added meaning "sense," but says little more about it (likewise about "expressing" as opposed to denoting, "cognitive significance," and the like). In particular, he does not say what sort of meaning it is or what positive contribution it makes. This has an air of labeling rather than solving the problem. (But we shall consider a much more substantive and testable implementation of Frege's view in chapter 10.) Perhaps we could pick up on Frege's further hint that names can have the senses of descriptions. That is just what Russell did, and it led him to a very rich approach to the puzzles. 2
Russell's Name Claim Russell's response is both brilliant and strongly defended. He turns around and offers a new thesis, which I will call the Name Claim. The claim is that everyday proper names are not really names, at least not genuine Millian names. They look like names and they sound like names when we say them out loud , but they are not names at the level of logical form, where expres- sions' logical properties are laid bare. In fact, Russell maintains, they are equivalent to definite descriptions. Indeed he says they "abbreviate" descrip- tions, and he seems to mean that fairly literally. Thus Russell introduces a second semantic appearance­reality distinction; just as definite descriptions are singular terms only in the sense of surface grammar, the same--more surprisingly--is true of ordinary proper names themselves. Here, of course, the difference is more dramatic. If you look at a definite description without referentialist bias, you can see that it has got some conceptual structure to it, in the form of independently meaningful words occurring in it that seem to contribute to its own overall meaning. So it is not too big a surprise to be told that underlying the misleadingly simple appearance of the word "the," there is quantificational material. But now we are told the same about a kind of expression that looks conceptually simple. If the Name Claim is true, then Russell's solution to the four puzzles does generalize after all--because we just replace the names by the definite Proper names: the Description Theory 35
descriptions they express and then proceed as in chapter 2; the Russellian solutions apply just as before (whether or not we think they are good ones in the first place). Thus names do have what Frege thought of as "senses," that can differ despite sameness of referent, but Russell gives an analysis of these rather than taking them as primitive items of some abstract sort. It is important to see that the Name Claim is entirely independent of the Theory of Descriptions itself. (People often use the phrase "Russell's theory of descriptions" as lumping together a number of different things Russell believed, including the Name Claim.) But one might accept either doctrine while rejecting the other: some theorists hold the Theory of Descriptions as a theory of definite descriptions themselves, while rejecting the Name Claim entirely; less commonly, one could embrace the Name Claim but hold a theory of descriptions different from Russell's. In support of the Theory of Descriptions, Russell gave a direct argument; then he touted the theory's power in solving puzzles. He makes a similar explanatory case for the Name Claim, in that the claim lends his theory of proper names the same power to solve puzzles--puzzles that looked consider- ably nastier for names than they did for descriptions. But he also gives at least one direct argument, and a second is easily extracted from his writings. First, recall Russell's direct defense of his theory of definite descriptions: He maintains that a sentence containing a definite description does intui- tively entail each of the three clauses that make up his analysis of it, and the three clauses jointly entail the sentence. He now argues that the same is true of sentences containing proper names. Take one of the toughest cases of all, a negative existential. (2) ("Pegasus never existed") is actually true. What, then, could it mean? It does not pick out an existing thing and assert falsely that the thing is nonexistent; nor does it pick out a Meinongian entity and deny existence of it. It merely assures us that in fact there was no such winged horse. Similarly , "Sherlock Holmes never existed" means that there never actually was a legendary English detec- tive who lived at 221B Baker Street and so on. This is very plausible. The second direct argument (never given explicitly so far as I know) calls attention to a kind of clarificatory question. Suppose you hear someone using a name, say "Lili Boulanger," and you do not know who the speaker is talking about. You ask who that is. The speaker replies, "Oh, the first woman ever to have won the Prix de Rome, in 1913, with her cantata Faust et Hélène"; and that is a proper answer. You asked because, so to speak, you did not under- stand the name you heard. In order to come to understand it, you had to ask a "who" question, and the answer had to be a description. (Merely giving a second proper name of Boulanger would not have done the trick , unless you had previously associated that name with a description.) Or we could use "who" questions as a kind of testing , which might be called the " spot -check test." Suppose you used the name "Wilfrid Sellars," and I whip around and say "Who's that?" All you can reply, all that comes out, is "Um, the famous philosopher at Pittsburgh who wrote those really 36 Reference and referring
dense books" or the like. In general, when asked "Who [or what] do you mean?" after one has just used a name, one immediately and instinctively comes up with a description, as an explanation of what one meant. John Searle (1958) made a similar appeal to learning and teaching: how do you teach a new proper name to a child , and how do you learn the referent of a particular name from someone else? In the first case, you produce one or more descriptions; in the latter, you elicit them. These are very robust phenomena; so the Name Claim is not just a des- perate lunge made in order to solve the proper-name versions of the four puzzles. Russell speaks aggressively of names' "abbreviating" descriptions, as if they were merely short for the descriptions as "the U.S.A." is short for "the United States of America." That is too strong . All Russell actually needs for his analytical purposes is the weaker contention that names are somehow equivalent in meaning to descriptions (let us call that weaker thesis the Description Theory of proper names). Yet even the less ambitious Description Theory has since come in for severe criticism.
Opening objections Objection 1 Searle (1958) complained that, if proper names are equivalent to descrip- tions, then for each name there must be some particular description that it is equivalent to. For example, if I unreflectively muse ,
(5) Wilfrid Sellars was an honest man,
what am I saying, given that I know a fair number of individuating facts about Sellars? Searle tries out a couple of candidate description types, and finds them wanting. We might suppose that "Wilfrid Sellars" is for me equivalent to "The one and only thing x such that x is F and x is G and . . . ," where F, G, and the rest are all the predicates that I would apply (or believe truly appli- cable) to the man in question. But this would have the nasty consequence that (5) as I use it entails
(6) There is at least one philosopher with whom I had a fairly violent argument in George Pappas' living room in 1979
--and (5) surely does not entail (6), for me or for anyone else. Now, the spot-check test ought to supply a more local answer for each use of a name, and as we have seen, it is plausible to think that a speaker can normally cough up a fairly specific description when prodded. But it is unclear that this is always because the description was one the speaker Proper names: the Description Theory 37
already had determinately in mind. If you ask me, "Who is Sellars?," I might make any of a number of answers that come to mind, depending on what sort of information I think you may want about him. It hardly follows that the answer I do produce is the precise description that my use of "Sellars" antecedently expressed. Notice: The complaint is not merely that it would be hard to find out which description a speaker "had in mind" in uttering some name. The stronger thesis is that at least in many cases there is no single determinate descrip- tion that the speaker "has in mind," either consciously or subconsciously. I see little reason (independent of the semantical puzzles) for thinking that there is a fact of the matter as to whether "Wilfrid Sellars" is used as equivalent to "The author of `Philosophy and the Scientific Image of Man'," or "Pittsburgh's most famous philosopher," or "The inventor of the `Theory' theory of mental terms," or "The man on whose paper I had to comment at the Tenth Chapel Hill Colloquium in 1976," not forgetting "The visiting philosopher with whom I had a fairly violent argument in George Pappas' living room in 1979." I need have had none of these in particular (even tacitly) in mind when I unreflectively uttered (5).
Objection 2 Undeniably, different people know different things about other people. In some cases X's knowledge about Z and Y's knowledge about Z may not even overlap. Assuming that the descriptions with which names are supposed to be synonymous are in speakers' minds as revealed by the spot-check test, it follows from the Name Claim that the same name will have (many) different senses for different people; every name is multiply and unfathomably ambigu- ous. For, if names are equivalent to definite descriptions, they are equivalent to different definite descriptions in different people's mouths, and for that matter to different descriptions in the same person's mouth at different times , both because one's knowledge keeps fluctuating and because what is psycho - logically prominent about one person for another keeps fluctuating too. And things get worse. Suppose that I am thinking of Wilfrid Sellars as "the author of `Philosophy and the Scientific Image of Man'," and suppose you are thinking of Sellars as "Pittsburgh's most famous philosopher." Then we would be curiously unable to disagree about Sellars. If I were to say, "Sellars used to tie his shoes with one hand," and you said "That's ridiculous , Sellars did no such thing," we would (on Russell's view) not be contradicting one another. For the sentence I had uttered would be a generalization:
(7) One and only one person wrote "Philosophy and the Scientific Image of Man", and whoever wrote "Philosophy and the Scientific Image of Man" used to tie his shoes with one hand
while yours would be just a different generalization: 38 Reference and referring
(8) One and only one person was a philosopher more famous than any other in Pittsburgh, and whoever was a philosopher more famous than any other in Pittsburgh did no such thing as tie his shoes with one hand.
And the two statements would be entirely compatible from a logical point of view. What looked like a spirited dispute, verging on fistfight, is no real dispute at all; we are merely talking past each another. But that seems quite wrong. 3
Searle's Cluster Theory In light of these two objections (and several others) to Russell's version of the Description Theory, John Searle offered a looser and more sophisticated variant. He suggested that a name is associated, not with any particular description, but with a vague cluster of descriptions. As he puts it, the force of "This is N," where N is replaced by a proper name, is to assert that a sufficient but so far unspecified number of "standard identifying statements" associ- ated with the name are true of the object demonstrated by "this"; that is, the name refers to whatever object satisfies a sufficient but vague and unspecified number (SBVAUN) of the descriptions generally associated with it. (Searle adds the metaphysical claim that to be the person N is to have a SBVAUN of the relevant properties.) The vagueness is important; Searle says it is precisely what distinguishes names from descriptions, and in fact is why we have and use names as opposed to descriptions. Notice that, if the Name Claim were correct, then proper names' only function would be to save breath or ink; they would be just shorthand. Searle insists that, rather than being equivalent to a single description, a name functions as a "peg . . . on which to hang descriptions" (1958: 172), and that is what enables us to get a linguistic handle on the world in the first place. We would need to make some refinements. For example, if one is a Searlean it seems natural to require that a "sufficient number" be at least over half --otherwise two obviously distinct individuals could both be the name's referent. Also, we would surely want to say that some of a person's identifying properties are more important than others in determining his or her identity; some way of weighting the identifying descriptions is involved. This Cluster Theory allows Searle to avoid the two objections we have raised for Russell's view. Objection 1 is mooted because Searle has aban- doned the commitment that for each name there must be some one particular description that it expresses. The name is tied semantically just to a loose cluster of descriptions. Objection 2 is blunted (Searle believes) by the fact that different people can have different subclusters of descriptive material in mind, yet each have a SBVAUN of identifying descriptions and thereby suc- ceed in referring to the same individual.4 Proper names: the Description Theory 39
Thus Searle tried to mitigate the opening objections to Russell's theory by offering his looser cluster version of the description approach. This version seems to qualify as a sensible middle way between Russell's view and the Millian conception of names apparently discredited by the four puzzles. But, building on some important ideas of Ruth Barcan Marcus (1960, 1961), Saul Kripke (1972/1980) went on to subject Russell's Name Claim and Searle's Cluster Theory together to a more sustained critique. He argued that Searle had not backed far enough away from Russell, for Searle's view inherits problems of much the same kinds; rather, the whole Descriptivist picture of proper names is misguided. The theory of reference has never been the same.
Kripke's critique Objection 3 Suppose that "Richard Nixon " is equivalent to "the winner of the 1968 U.S. Presidential election." And now consider a question about possibil- ity. (Questions about possibility and necessity are called modal questions; more about these in the next chapter.) Could Richard Nixon have lost the 1968 election? The answer seems unequivocally to be "Yes," assuming that "could" here expresses merely theoretical, logical, or metaphysical possibility rather than something about the state of our knowledge. But according to the Description Theory, our question means the same as
(9) Is it possible that: one and only one person won the 1968 election and whoever won the 1968 election lost the 1968 election?
the answer to which is clearly "No." Searle's Cluster Theory may seem to offer an improvement, because it is possible that a person who satisfies a SBVAUN of the description cluster associated with "Richard Nixon" nonetheless does not satisfy the particular description "winner of the 1968 election." But, Kripke points out, human possibility extends further than that: Nixon the individual person might not have done any of the things generally associated with him. He might have apprenticed himself at age twelve to a sandalmaker and gone on to make sandals all his life, never going anywhere near politics or public life at all and never once getting his name in any newspaper . Yet, obviously, it is not possible that a person who satisfies a SBVAUN of the description cluster associated with "Richard Nixon" nonetheless does not satisfy any at all of the descriptions in that cluster. On Searle's view, the character who went into sandalmaking would not have been the referent of "Richard Nixon" and for that matter would not have been Richard Nixon. And that seems wrong. Michael Dummett (1973) has protested that objection 3 is simply invalid as it stands ; at least, it rests on a hidden false assumption. We may infer that our modal question is synonymous with (9) only by assuming that, if "Richard 40 Reference and referring
Nixon" is equivalent to a description at all, it is equivalent to one that has nar- row scope; in the terminology of chapter 2, that is a "secondary" occurrence with respect to "It is possible that." What if the relevant description has wide scope? Then our original question is synonymous, not with (9), but with
(10) One and only one person won the 1968 election, and, concerning whoever won the 1968 election, is it possible that that person lost?
(10) is clumsy; also, there are other, irrelevant disambiguations of our question due to the fact that the interrogative operator itself has scope, so let me make the point more simply using just the indicative versions of the two readings. The sentence
(11) It is possible for Richard Nixon to have lost the 1968 election,
presuming that "Richard Nixon" is equivalent to "the winner of the 1968 election," is ambiguous as between the narrow-scope reading
Possible: (x)(Wx & (y) (Wy y = x) & (z) (Wz ~Wz))
which corresponds to (11) and is false (I have represented "lost" as "did not win"), and the wide-scope reading
(x)(Wx & (y)(Wy y = x) & (z) (Wz Possible: ~Wz))
which presumably is true. Colloquially, (11) means that one and only one per- son won the election and whoever won it is such that s/he could have lost.5 In a similar but more sophisticated move, some philosophers have finessed objection 3 by "rigidifying" the descriptions in terms of which they explicate names: Understand "Richard Nixon," not as "the winner of the 1968 elec- tion," but as "the actual winner of the 1968 election." See the next chapter.
Objection 4 Kripke (1972/1980: 83­7) offers an (utterly fictional!) example regard- ing Gödel's Incompleteness Theorem , a famous metamathematical result. In Kripke's fiction , the theorem was proved in the 1920s by a man named Schmidt , who died mysteriously without publishing it. Kurt Gödel came along, appropriated the manuscript, and scurrilously published it under his own name.6 Now, most people know Gödel, if at all, as the man who proved the Incompleteness Theorem. Yet it seems clear that, when even those who know nothing else about Gödel utter the name "Gödel," they do refer to Gödel rather than to the entirely unknown Schmidt. For example, when they say "Gödel proved the Incompleteness Theorem," they are speaking falsely, however well justified they may be in their belief. Proper names: the Description Theory 41
This objection too goes against Searle's Cluster Theory as well as against the classical Russellian view. Suppose no one in fact proved the Incompleteness Theorem; Schmidt's alleged proof was irreparably flawed , or perhaps there was not even any Schmidt, but "the proof simply materialized by a random scattering of atoms on a piece of paper" (p. 86). Here it is even more obvi- ously true that most people's uses of "Gödel" refer to Gödel rather than to anyone else at all; yet those uses are not even backed by any Searlean cluster.
Objection 5 Consider the sentence
(12) Some people are unaware that Cicero is Tully.
(12) is ostensibly true but, if the Name Claim is correct, (12) is hard to inter - pret, for "there is no single proposition denoted by the `that' clause, that the community of normal English speakers expresses by ` Cicero is Tully'" (Kripke 1979b: 245). Since "Cicero" and "Tully" are equivalent to different descriptions for different people, there is no single fact of which (12) says some people are unaware. Now, if I assert (12), presumably its complement clause expresses what "Cicero is Tully" means in my speech. But since I know that Cicero is Tully, I associate the same set of descriptions (whatever they might be) with both names. Suppose that, like most philosophers, I associate both "Cicero" and "Tully" with "the famous Roman orator who denounced Catiline and who figures in some famous examples of Quine's." Then (12) is equivalent to:
(13) Some people are unaware that one and only one person was a famous Roman . . . [etc.] and one and only one person was a famous Roman . . . [etc.] and whoever was a famous Roman . . . [etc.] was a famous Roman . . . [etc.].
That massively redundant sentence is equivalent to:
(14) Some people are unaware that one and only one person was a famous Roman orator who denounced Catiline and who figures in some famous examples of Quine's.
No doubt (14) is true, but surely it does not express what (12) means, even when (12) is uttered by me. It is far from obvious how Searle might handle objection 5, either. 42 Reference and referring
Objection 6 If the Name Claim is true, then every name is "backed" by a description that applies uniquely to the name's referent. But most people associate "Cicero" only with "a famous Roman orator" or some other indefinite description, and, say, "Richard Feynman" only with "a leading [then] contemporary theo- retical physicist"; yet these people succeed not only in using those names correctly but also in referring to Cicero and to Feynman respectively when they do so. Moreover, two names of the same person, such as "Cicero" and "Tully," may well have the same indefinite description as backing and, when they do, no Russellian theory can explain their continuing failure to substi- tute in belief contexts (Kripke 1972/1980: 80ff., 1979b: 246­7). More generally, it does not take much to succeed in referring to a person. Keith Donnellan (1970) offers an example in which a child who has gone to bed and to sleep is awakened briefly by his parents . They have with them Tom, an old friend of the family who is visiting and wanted just to see the child. The parents say, "This is our friend Tom." Tom says, " Hello , youngster," and the episode is over; the child has only barely woken. In the morning , the child wakes with a vague memory that Tom is a nice man. But the child has no descriptive material at all associated with the name "Tom"; he may not even remember that Tom was the person that he was semi-awake to meet during the night . Yet, Donnellan argues, that does not prevent him from succeeding in referring to Tom; there is a person who is being said to be a nice man, and it is Tom.
Objection 7 Russell emphatically wanted his theory to apply to fictional names such as " Hamlet " and "Sherlock Holmes" and "the free lunch ." If the Name Claim is correct, then, any sentence containing a fictional name in a "primary" or wide-scope position will come out false. For example,
(15) Sherlock Holmes lived at 221B Baker Street
will come out false because it is supposed to be equivalent to
(16) One and only one person was [that is, there exists exactly one person who was] a famous detective who . . . [etc.] and whoever was a famous detective who . . . [etc.] lived at 221B Baker Street,
and (16) is false (there having existed, in fact, no such person). But some fictional sentences, such as (15) itself and " Hamlet was a Dane ," are true sentences, or at any rate not false ones. Russell would not have been much swayed by this argument, since he had no inclination to call it true, as opposed to merely "make-believe-true" or Proper names: the Description Theory 43
"true-in-fiction," that Holmes lives at Baker Street or whatever. (NB: if it were true that Holmes lived in Baker Street, then it would be true of Baker Street, a real place to this day, that it had had Holmes living in it. Also, if such sentences were true just in virtue of someone's having written them in popular books or stories, then it would be equally true that Holmes existed, Hamlet existed, and so on, since people say those things in books and stories too; this point is strangely overlooked.) Yet some people want to insist that fictional sentences are literally truth-valueless rather than false; if you are sympathetic to this, you will want to hold a Kripkean theory of fictional names rather than Russell's (Kripke 1972/1980:156­8). Donnellan (1974) defends such a theory in more detail. Kripke has a further and in a way more fundamental objection to the Description Theory, but it requires a bit of technical apparatus. That appa- ratus is one we will be needing again anyway. I shall develop it in the next chapter.
Summary · The four logical puzzles about reference arise just as insistently for ordinary proper names as they did for definite descriptions. · Frege offered solutions in terms of what he called "senses," but the solutions do not really explain. · In response, Russell extended his Theory of Descriptions by defend- ing the Name Claim. · But the Name Claim faces at least two powerful objections. · Searle offers a looser, "cluster" version of the Description Theory of names, which avoids the initial objections. · But Kripke marshals a host of further objections that apply to Searle's view as trenchantly as they do to Russell's stricter theory.
Questions 1 Are Frege's solutions to the puzzles really solutions, after all? What do they explain, absent the assumption that "senses" take the form of descriptions? 2 Suppose you reject Russell's Name Claim. How might you then solve the four puzzles, in regard to names? 3 Respond on Russell's behalf to one or more of the two opening objec- tions; or come up with a further objection. 4 Does Searle's Cluster Theory really avoid objections 1 and 2, in ways that Russell's stricter version of Descriptivism did not? 5 Can you think of an objection to Searle's theory that does not apply to Russell's original theory? 6 Can Russell rebut any of Kripke's objections
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