Hofmann (2025): Anaphoric Accessibility with Flat Update #
@cite{hofmann-2025}
Formalizes the core empirical and theoretical contributions of @cite{hofmann-2025}'s unified account of anaphoric accessibility.
Core Claim #
Anaphoric accessibility is governed by veridicality — speaker commitments about discourse referents — not by structural scope. Indefinites under nonveridical operators introduce drefs globally (flat update), and constraints on anaphora emerge from two principles:
- Local contextual entailment: a dref's referent must exist throughout the pronoun's local context.
- Discourse consistency: the speaker's commitment set must remain non-empty after the update.
Phenomena Unified #
The paper provides a single analysis for four previously disparate patterns of anaphora to negated antecedents:
- Double negation (@cite{krahmer-muskens-1995}): "It's not the case that there isn't a bathroom. It's upstairs."
- Bathroom disjunctions (@cite{roberts-1989}): "Either there isn't a bathroom, or it's upstairs."
- Disagreement (@cite{hofmann-2019}): A: "There isn't a bathroom." B: "It's upstairs."
- Modal subordination (@cite{frank-1996}, @cite{roberts-1989}): "There isn't a bathroom. It would be upstairs."
Theoretical Framework #
The analysis is implemented in Intensional CDRT (ICDRT), extending
@cite{muskens-1996}'s Compositional DRT with intensionality and
propositional drefs, following @cite{stone-1999} and
@cite{brasoveanu-2006}'s flat-update approach. Generic ICDRT
infrastructure (assignments, updates, variable updates, dynamic
conditions, predication, veridicality typology, multi-agent discourse
contexts, maximization) lives in Dynamic/Core/Intensional.lean;
this file owns Hofmann's Appendix C compositional fragment and the
empirical applications.
Structure of this file #
- Empirical data (§1): AccessDatum entries with felicity judgments
- Concrete model M₁ (§2): The 4-world model from the paper
- End-to-end derivations (§3): Accessibility derived from ICDRT operators
- Accessibility predictions (§4): The classification, verified against derivations
- Per-datum verification (§5)
- Compositional fragment (§6): Hofmann's Appendix C lexical entries
- Comparison with Bilateral Update Semantics (§7): @cite{hofmann-2025} §5.1.1 — where ICDRT covers cases that bilateral accounts (BUS, @cite{krahmer-muskens-1995}, @cite{elliott-sudo-2025}) cannot.
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Epistemic status of a discourse referent relative to a speaker.
- veridical : DrefStatus
- hypothetical : DrefStatus
- counterfactual : DrefStatus
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- Hofmann2025.instDecidableEqDrefStatus x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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- Hofmann2025.instReprDrefStatus = { reprPrec := Hofmann2025.instReprDrefStatus.repr }
Veridicality of the anaphor's embedding context.
- veridical : AnaphorContext
- nonveridical : AnaphorContext
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- Hofmann2025.instDecidableEqAnaphorContext x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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- Hofmann2025.instReprAnaphorContext = { reprPrec := Hofmann2025.instReprAnaphorContext.repr }
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An empirical datum on anaphoric accessibility.
- label : String
- antecedentSentence : String
- anaphorSentence : String
- antecedentStatus : DrefStatus
- anaphorCtx : AnaphorContext
- felicitous : Bool
- source : String
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- Hofmann2025.instReprAccessDatum = { reprPrec := Hofmann2025.instReprAccessDatum.repr }
(1a): "Mary owns a car. It is red." @cite{hofmann-2025}
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(1b): "Mary doesn't own a car. #It is red." @cite{hofmann-2025}
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(2a)/(42a): Double negation. @cite{krahmer-muskens-1995}
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(2b)/(42b): Bathroom disjunction. @cite{roberts-1989}
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(2c)/(42c): Disagreement. @cite{hofmann-2019}
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(2d)/(42d): Modal subordination. @cite{frank-1996}
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(5a): Negated factive. @cite{karttunen-1976}
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(5b): Negative implicative. @cite{karttunen-1976}
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Model M₁ #
The paper works through all derivations on a concrete model M₁ with four possible worlds and a single bathroom entity b.
w_bu: bathroom exists AND is upstairsw_b: bathroom exists, NOT upstairsw_u: no bathroom, but "upstairs" is true (vacuously; no entity)w_0: no bathroom, "upstairs" is false
Entities: {b} (the bathroom). The universal falsifier ⋆ is modeled
by Entity.star.
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- Hofmann2025.instDecidableEqBWorld x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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- Hofmann2025.instReprBWorld = { reprPrec := Hofmann2025.instReprBWorld.repr }
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- Hofmann2025.instReprBWorld.repr Hofmann2025.BWorld.w_bu prec✝ = Repr.addAppParen (Std.Format.nest (if prec✝ ≥ 1024 then 1 else 2) (Std.Format.text "Hofmann2025.BWorld.w_bu")).group prec✝
- Hofmann2025.instReprBWorld.repr Hofmann2025.BWorld.w_b prec✝ = Repr.addAppParen (Std.Format.nest (if prec✝ ≥ 1024 then 1 else 2) (Std.Format.text "Hofmann2025.BWorld.w_b")).group prec✝
- Hofmann2025.instReprBWorld.repr Hofmann2025.BWorld.w_u prec✝ = Repr.addAppParen (Std.Format.nest (if prec✝ ≥ 1024 then 1 else 2) (Std.Format.text "Hofmann2025.BWorld.w_u")).group prec✝
- Hofmann2025.instReprBWorld.repr Hofmann2025.BWorld.w_0 prec✝ = Repr.addAppParen (Std.Format.nest (if prec✝ ≥ 1024 then 1 else 2) (Std.Format.text "Hofmann2025.BWorld.w_0")).group prec✝
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- Hofmann2025.instDecidableEqBEnt x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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- Hofmann2025.instReprBEnt = { reprPrec := Hofmann2025.instReprBEnt.repr }
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- Hofmann2025.instReprBEnt.repr Hofmann2025.BEnt.b prec✝ = Repr.addAppParen (Std.Format.nest (if prec✝ ≥ 1024 then 1 else 2) (Std.Format.text "Hofmann2025.BEnt.b")).group prec✝
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b is a bathroom in w_bu and w_b.
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b is upstairs in w_bu and w_u.
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- Hofmann2025.p1 = { idx := 0 }
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- Hofmann2025.p2 = { idx := 1 }
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- Hofmann2025.p3 = { idx := 2 }
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- Hofmann2025.p4 = { idx := 3 }
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- Hofmann2025.pDC_S = { idx := 10 }
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- Hofmann2025.pDC_A = { idx := 11 }
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- Hofmann2025.pDC_B = { idx := 12 }
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- Hofmann2025.v1 = { idx := 0 }
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Individual dref assignment for the bathroom model: v₁ maps to b in bathroom worlds (w_bu, w_b), ⋆ elsewhere. All other variables map to ⋆.
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- Hofmann2025.indivBathroom { idx := 0 } Hofmann2025.BWorld.w_bu = Semantics.Dynamic.Core.Entity.some Hofmann2025.BEnt.b
- Hofmann2025.indivBathroom { idx := 0 } Hofmann2025.BWorld.w_b = Semantics.Dynamic.Core.Entity.some Hofmann2025.BEnt.b
- Hofmann2025.indivBathroom x✝¹ x✝ = Semantics.Dynamic.Core.Entity.star
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Derivations from ICDRT operators #
Each derivation constructs the output assignment j from the paper's figures, defines the ICDRT update as a static relation (Definition 17), then proves the accessibility prediction follows from Definition 38: local contextual entailment + discourse consistency.
"There is a bathroom. It is upstairs." (§3.3, Figures 5–6) #
After (19a) + (30):
- φ₁(j) = φ_{DC_S}(j) = {w_bu, w_b}
- φ₃(j) = {w_bu}
- v maps w_bu → b, w_b → b, else ⋆
- v is veridical, discourse consistent, v entailed in φ₃
Output assignment after "There is a bathroom. It is upstairs." (Figure 6)
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The update (19a): [φ₁, φ₁ : v | φ_{DC_S} ∈ φ₁, bathroom_{φ₁}(v)]
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The update (30): [φ₃ | φ_{DC_S} ∈ φ₃, upstairs_{φ₃}(v)]
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v₁ is veridical at j_veridical: exists in all φ_{DC_S}-worlds.
Discourse is consistent at j_veridical.
v₁ is locally entailed in φ₃ at j_veridical.
Veridical anaphor is accessible (Definition 38).
"There isn't a bathroom. #It is upstairs." (§3.4, Figure 7) #
After (19b):
- φ₂(j) = {w_bu, w_b}, φ₁(j) = {w_u, w_0} = φ̄₂
- φ_{DC_S}(j) = {w_u, w_0} ⊆ φ₁
- v maps w_bu → b, w_b → b, else ⋆
- v is counterfactual (⋆ in all DC worlds)
Attempting (30) requires φ₃ ⊆ φ₂ (subset requirement) AND φ_{DC_S} ⊆ φ₃ (DEC). But φ_{DC_S} ∩ φ₂ = ∅ → contradiction.
Output assignment after "There isn't a bathroom" (Figure 7).
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v₁ is counterfactual at j_counterfactual.
φ₁ is the complement of φ₂ at j_counterfactual (NOT condition).
Veridical anaphor fails: no consistent, locally-entailing extension of j_counterfactual with φ₃ exists.
Any j extending j_counterfactual that satisfies both φ_{DC_S} ⊆ φ₃ (DEC) and φ₃ ⊆ φ₂ (subset requirement) must have φ_{DC_S} ⊆ φ₂, but φ_{DC_S} ∩ φ₂ = ∅.
Re-derived as a corollary of the typeclass theorem
Semantics.Dynamic.Context.counterfactual_blocks_veridical: the only
paper-specific work is the disjointness witness h_disjoint. The
ICDRT-specific extension/DEC/subset structure is fully delegated to
the abstract theorem via the HasPropDrefs (ICDRTAssignment BWorld BEnt) PVar BWorld instance.
"It's not the case that there isn't a bathroom." (§4.1, Figure 8) #
DRS (43): DEC_S(NOT(NOT(there is [a bathroom]^v)))
Double complementation: φ₁ ≡ φ̄₂, φ₂ ≡ φ̄₃ ⟹ φ₁ = φ₃. The dref v is introduced relative to φ₃ = φ₁ = {w_bu, w_b}. Since φ_{DC_S} ⊆ φ₁ = φ₃, v is veridical.
Output after double negation (Figure 8).
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φ₁ = φ₃ via double complementation: the key structural result.
NOT conditions hold: φ₁ ≡ φ̄₂ and φ₂ ≡ φ̄₃.
v₁ is veridical after double negation.
Double negation: anaphora accessible.
"Either there isn't a bathroom, or it's upstairs." (§4.2, Figure 9) #
DRS (44): φ₁ ≡ φ₂ ∪ φ₃ (disjunction). The second disjunct φ₃ = {w_bu} is the local context for the pronoun. v exists in φ₃ (v(w_bu) = b ≠ ⋆). Disjunction does NOT require overlap between disjunct propositions, so φ₃ ⊆ φ₄ (bathroom worlds) is compatible with φ₂ (no-bathroom worlds) being disjoint from φ₃.
Output after bathroom disjunction (Figure 9).
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φ₁ = φ₂ ∪ φ₃ (disjunction condition).
φ₂ = φ̄₄ (negation in first disjunct).
Bathroom disjunction: anaphora accessible. v₁ is locally entailed in φ₃ = {w_bu} and discourse is consistent.
A: "There isn't a bathroom." B: "It is upstairs." (§4.3, Figure 10) #
This is the critical case that bilateral accounts (DN-DRT/BUS) CANNOT handle (§5.1.1). ICDRT handles it because different speakers have separate commitment sets.
(47) A's assertion: constrains φ_{DC_A}, introduces v counterfactually. (48) B's assertion: constrains φ_{DC_B}, v is locally entailed in φ₃. Both commitment sets nonempty → discourse consistent despite contradiction.
Output after disagreement (Figure 10).
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v₁ is counterfactual for A.
v₁ is veridical for B.
Both commitment sets are nonempty → discourse is consistent.
Disagreement: anaphora accessible for B. Impossible in bilateral accounts (§5.1.1) — they require a single negation swap, but here A and B have contradictory commitments.
"There isn't a bathroom. Sue believes it's upstairs." (§4.4) #
(51a): DEC_S(NOT(there is [a bathroom]^v)) — v counterfactual for S (51b): DEC_S(Sue believes(it_v is upstairs)) — believe provides nonveridical local context φ₄ for the pronoun.
v is locally entailed in φ₄ ⊆ φ₂ (bathroom-worlds), which need not overlap with φ_{DC_S}. Discourse consistent: φ_{DC_S} ≠ ∅.
Simplification note: The paper's §4.4 uses a richer model M₃ with
8 worlds, entities {b, sue, S, ⋆}, and a believe predicate
(Definition 50). We simplify to the 4-world M₁ model where the
attitude's embedded content φ₄ = {w_bu} is stipulated directly
rather than derived from Sue's doxastic state. This suffices to
verify the accessibility prediction (which depends only on φ₄ ⊆ φ₂
and DC consistency, not on how φ₄ is computed). A faithful M₃ model
would require adding BWSue (8 worlds), a believe relation, and
deriving φ₄ from DOX(sue, φ₃).
Propositional variable for the attitude's embedded content.
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- Hofmann2025.p4_modal = { idx := 4 }
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Output after "There isn't a bathroom. Sue believes it's upstairs."
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v₁ is counterfactual for the speaker.
v₁ is locally entailed in the nonveridical context φ₄.
Modal subordination: anaphora accessible in nonveridical context. The pronoun resolves in Sue's doxastic state, not the speaker's commitment set.
Accessibility generalization (7) #
The paper's core empirical generalization (@cite{hofmann-2025}, (7)):
A dref is accessible iff it is veridical OR the anaphor occurs in a nonveridical context.
This is encoded directly as accessiblePred and verified against each
phenomenon via ICDRT derivations with zero sorry:
- Veridical → accessible:
veridical_anaphor_accessible(§3.1) - Counterfactual + veridical → inaccessible:
counterfactual_veridical_impossible(§3.2) - Double negation → restores veridicality:
double_neg_accessible(§3.3) - Counterfactual + nonveridical → accessible:
bathroom_disj_accessible(§3.4),disagreement_accessible(§3.5),modal_sub_accessible(§3.6)
The accessibility generalization (@cite{hofmann-2025}, (7)): accessible iff veridical OR nonveridical anaphor context.
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- Hofmann2025.accessiblePred Hofmann2025.DrefStatus.veridical ctx = true
- Hofmann2025.accessiblePred Hofmann2025.DrefStatus.hypothetical Hofmann2025.AnaphorContext.nonveridical = true
- Hofmann2025.accessiblePred Hofmann2025.DrefStatus.counterfactual Hofmann2025.AnaphorContext.nonveridical = true
- Hofmann2025.accessiblePred Hofmann2025.DrefStatus.hypothetical Hofmann2025.AnaphorContext.veridical = false
- Hofmann2025.accessiblePred Hofmann2025.DrefStatus.counterfactual Hofmann2025.AnaphorContext.veridical = false
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All 16 data points match the accessibility prediction.
Lexical entries from Appendix C #
Type-driven compositional semantics for ICDRT. Each lexical entry is a
higher-order function over dynamic meta-types; composition is function
application + sequential update. The resulting ICDRTUpdate values lift
to distributive CCPs via Core/Intensional.lean's
toDynProp_isDistributive.
Meta-types (Definition 13) #
| Paper | Lean | Interpretation |
|---|---|---|
| e | IVar | Individual dref name |
| w | PVar | Propositional dref name |
| t | ICDRTUpdate W E | Static update relation |
Compositional types are functions between these: e(wt) = VP type,
wt = sentence type, etc.
VP / predicate type: e(wt) — takes individual dref and local context.
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Sentence / clause type: wt — takes local context, returns update.
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Vacuous VP scope: identity predicate λv.λφ.idUp. Used when a
sentence has no VP beyond the NP (e.g., "there is a bathroom").
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(15) Common noun: bathroom ⟿ λv_e.λφ_w.[bathroom_φ(v)].
A test update: assignment unchanged, but R_φ(v) must hold at the output.
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- Hofmann2025.commonNoun R v φ i j = (i = j ∧ Semantics.Dynamic.Core.dynPred R φ v j)
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(16) Indefinite: a^v ⟿ λP.λP'.λφ.[φ : v]; P(v)(φ); P'(v)(φ).
The biconditional in relVarUp ensures v has a referent exactly in
the φ-worlds, preventing scope leakage.
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- Hofmann2025.indefinite v P P' φ = (fun (i j : Semantics.Dynamic.Core.ICDRTAssignment W E) => Semantics.Dynamic.Core.relVarUp φ v i j) ⨟ P v φ ⨟ P' v φ
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(17) Pronoun: it_v ⟿ λP.λφ.P(v)(φ). The pronoun contributes no
update — it simply passes its index v to the predicate.
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- Hofmann2025.pronoun v P φ = P v φ
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(14) Proper name: Mary ⟿ λP.λφ.[v | v ≡ Mary_e]; P(v)(φ).
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(18a) Sentential negation: NOT^{φ'} ⟿ λSc.λφ.[φ' | φ ≡ φ̄']; max_{φ'}(Sc(φ')).
Static complementation over propositional drefs, NOT bilateral swap — the algebraic content of @cite{hofmann-2025}'s key insight (§5.1.1).
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(18b) Disjunction: OR^{φ',φ''} ⟿ λSc'.λSc''.λφ.[φ',φ'' | φ ≡ φ'⊎φ'']; max_{φ'}(Sc'(φ')); max_{φ''}(Sc''(φ'')).
The disjuncts' local contexts need NOT overlap — this is how bathroom disjunctions enable cross-disjunct anaphora.
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(18c) Conditional: IF^{φ',φ''} ⟿ λSc'.λSc''.λφ.[φ',φ'' | φ ≡ φ̄'⊎φ'']; max_{φ'}(Sc'(φ')); max_{φ''}(Sc''(φ'')).
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(18d) Conjunction: AND^{φ',φ''} ⟿ λSc'.λSc''.λφ. [φ' | φ'⊑φ]; max_{φ'}(Sc'(φ')); [φ'' | φ''⊑φ']; max_{φ''}(Sc''(φ'')).
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(18e) Attitude verb: believed ⟿ λv.λSc.λφ.[φ' | believe_φ(v,φ')]; max_{φ'}(Sc(φ')).
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(19) Declarative assertion: DEC_S^φ ⟿ λSc.[φ | φ_{DC_S}⊑φ]; max_φ(Sc(φ)).
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A common noun is a test: it preserves the assignment.
vacuousScope is a test (identity).
pronoun v P φ is just P v φ — the pronoun is transparent.
Indefinite introduction implies local entailment when restrictor and scope are tests (preserve the assignment). The KEY structural connection between composition and accessibility.
DEC introduces the inclusion condition.
NOT introduces the complement condition on the intermediate assignment.
Double negation restores the original local context via double complementation.
Every compositional derivation lifts to a distributive CCP.
Every compositional derivation factors through fiberDRS.
Sequential composition in the fragment lifts to CCP composition.
"There is a bathroom" — existential with restrictor bathroom and
vacuous scope. a^{v₁}(bathroom)(vacuous) = λφ.[φ:v₁]; [bathroom_φ(v₁)]
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"It is upstairs" — pronoun v₁ with VP predicate upstairs.
it_{v₁}(upstairs) = λφ.[upstairs_φ(v₁)]
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Veridical: "There is a bathroom. It is upstairs."
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Negated: "There isn't a bathroom."
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Double negation: "It's not the case that there isn't a bathroom."
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Bathroom disjunction: "Either there isn't a bathroom, or it's upstairs."
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Disagreement: A: "There isn't a bathroom." B: "It is upstairs." Different speakers have different commitment sets — what bilateral accounts CANNOT handle (§5.1.1).
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Modal subordination: "There isn't a bathroom. Sue believes it's upstairs."
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Every compositional derivation lifts to a distributive CCP.
Sequential composition lifts correctly.
ICDRT vs. BUS: where the multi-agent architecture pays for itself #
@cite{hofmann-2025} §5.1.1 contrasts ICDRT with Bilateral Update Semantics (BUS, @cite{krahmer-muskens-1995}, @cite{elliott-sudo-2025}). BUS uses two update channels (positive/negative) and treats negation as a swap; ICDRT uses propositional drefs and per-speaker commitment sets.
Both solve the bathroom sentence. ICDRT additionally covers disagreement, modal subordination, and the three-way veridical/hypothetical/counterfactual classification — none of which BUS can express, because BUS has a single information state with no per-speaker structure.
| Property | ICDRT | BUS |
|---|---|---|
| Negation | Static complementation | Dimension swap |
| DNE | double_complement_eq | Definitional (rfl) |
| Bathroom | disjunction_enables_anaphora | Swap feeds disjunct |
| Disagreement | Per-speaker DC (DiscContext) | ✗ (single state) |
| Modal subordination | counterfactualIndiv + modal shift | ✗ |
| Veridicality | Three-way | ✗ |
| Truth conditions | dec_complement_counterfactual | ✗ (no DC) |
| State type | ICDRTAssignment | InfoState |
The root cause: BUS is a single-agent system; ICDRT is multi-agent by construction.
ICDRT handles bathroom anaphora via disjunction + local entailment.
If the second disjunct's context grants v a referent, and the anaphor's
context is within it, the pronoun is resolved.
In ICDRT, two speakers can disagree about the same dref:
v is counterfactual for A but veridical for B, simultaneously.
Disagreement is consistent: both speakers can have nonempty commitment sets while disagreeing about whether the bathroom exists.
After A asserts "there isn't a bathroom" and B responds "it is
upstairs", pragMaxDC updates each speaker's commitment set
independently — A's stays excluding bathroom-worlds, B's expands to
include them. The same dref v has different veridicality per speaker.
In ICDRT, a counterfactual dref can still be locally entailed in a
hypothetical context: v maps to ⋆ in DC worlds but has referents in
the modal context's worlds.
The subset requirement is satisfied when the modal context shifts to hypothetical worlds where the antecedent's binding holds.
The three veridicality categories are exhaustive.
ICDRT double negation: complementing twice recovers the original proposition. The static analog of BUS's definitional DNE.
After ICDRT negation, the negated dref is still in the discourse state — it just maps to ⋆ in the speaker's DC worlds. This persistence is what enables disagreement and modal subordination.
ICDRT derives negated existential truth conditions from DEC +
complementation: DC ⊆ assertion and assertion = complement of inner
together imply the inner content is counterfactual relative to the
speaker.