Franke (2011): Quantity Implicatures, Exhaustive Interpretation, and Rational Conversation #
This file formalizes [Fra11]'s account of quantity implicatures as rational behaviour in
an interpretation game. The context of an utterance is a signaling game whose states are the
belief-value vectors over the alternatives and whose solution is iterated best response:
level-0 players stick to conventional meaning, level-(k+1) players best-respond to an unbiased
belief in level-k behaviour, and truth is kept ceteris paribus. The light system computes the
reasoning by counting: a level-(k+1) sender in a state picks the message with fewest level-k
interpretations (senderStep), a receiver of a message the state with fewest level-k messages
(receiverStep), surprise messages and uninducible states falling back to the literal level.
The two reasoning chains, from the naive receiver and from the naive sender, run on the paper's
games by decide and reproduce its figures: free choice, simplification of disjunctive
antecedents and the conjunctive base-level reading of plain disjunction are one and the same
game, epistemic games deliver ignorance implicatures, conjunctive alternatives deliver
exclusivity, and priors implement competence lexicographically. The heavy system of Appendix B
is the same dynamics over behavioural strategies, a sender uniform over her optimal messages and
a receiver uniform over the maximum-a-posteriori states (receiverLevel): Theorem 1 identifies
the two systems under flat priors, Theorem 2 reads near-flat priors lexicographically, Lemma 3
and Theorem 3 give convergence through the monotone expected gain, and Theorem 4 reads a fixed
point as a perfect Bayesian equilibrium. Section 10 places level-1 interpretation inside
minimal-models exhaustification ([vanrooij-schulz-2004]; Fact 1), strictly so in the free-choice
game, and Appendix A compares minimal models with [Fox07]'s innocent exclusion on the
substrate of [Spe16].
Implementation notes #
- Belief-value tables (§6.2) build the games: a message is true at a state when the state believes it true, and a base-level state uses only the values true and false.
- Theorem 2's condition (132) is stated with the inequality its proof requires,
Pr(t_min)/Pr(t_max) > (|M|-1)/|M|; the paper prints it reversed. - Fact 2 of Appendix A holds for alternatives monotonically determined by the others, as in the
paper's conjunctive example, and fails as printed for the negation of an alternative
(
not_ltALT_insert_compl). - The paper's example sentences are
Data.Examples.Franke2011.
References #
Interpretation games from belief-value tables #
A base-level game distinguishes the truth-value vectors of the alternatives within the target sentence (eq. (61)); an epistemic game the belief-value vectors (eq. (66)), with three values — believed true, believed false, uncertain (§6.2). A message is true at a state when the state believes it true.
The three belief values of §6.2: believed true (1), believed false
(0), uncertain (u). Base-level states use only the first two.
- yes : BeliefValue
- no : BeliefValue
- unc : BeliefValue
Instances For
Equations
- Franke2011.instDecidableEqBeliefValue x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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- Franke2011.instReprBeliefValue = { reprPrec := Franke2011.instReprBeliefValue.repr }
The interpretation game of a belief-value table: m is true at t iff
t believes m true.
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The number of alternatives a state is undecided about.
Equations
- Franke2011.uncertaintyCount table t = {m : M | table t m = Franke2011.BeliefValue.unc}.card
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The competence assumption (67): the prior strictly decreases in the number of undecided alternatives.
Equations
- Franke2011.CompetencePrior table prior = ∀ (t t' : T), Franke2011.uncertaintyCount table t < Franke2011.uncertaintyCount table t' → prior t' < prior t
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The incompetence assumption (68): the prior strictly increases in the number of undecided alternatives.
Equations
- Franke2011.IncompetencePrior table prior = ∀ (t t' : T), Franke2011.uncertaintyCount table t < Franke2011.uncertaintyCount table t' → prior t < prior t'
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The light system #
Player types are sets of pure strategies, written as correspondences: a
receiver type R : M → Finset T, a sender type S : T → Finset M. Level 0 is
conventional meaning (73). A level-(k+1) sender in t chooses among the
messages that can induce t those with fewest interpretations (76) — the
chance of being understood is 1/|R m|, eq. (129) — and if no message can
induce t she sends any true message; dually for the receiver (77), who
interprets a surprise message literally.
The level-(k+1) sender type from the level-k receiver type (76).
Equations
- Franke2011.senderStep G R t = if {m : M | t ∈ R m} = ∅ then G.trueMessages t else {m : M | t ∈ R m}.argmin fun (m : M) => (R m).card
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The level-(k+1) receiver type from the level-k sender type (77).
Equations
- Franke2011.receiverStep G S m = if {t : T | m ∈ S t} = ∅ then G.trueStates m else {t : T | m ∈ S t}.argmin fun (t : T) => (S t).card
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The chain starting from the naive receiver: receiverChain n is R₂ₙ.
Equations
- Franke2011.receiverChain G 0 = G.trueStates
- Franke2011.receiverChain G n.succ = Franke2011.receiverStep G (Franke2011.senderStep G (Franke2011.receiverChain G n))
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The chain starting from the naive sender: senderChain n is S₂ₙ.
Equations
- Franke2011.senderChain G 0 = G.trueMessages
- Franke2011.senderChain G n.succ = Franke2011.senderStep G (Franke2011.receiverStep G (Franke2011.senderChain G n))
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A sender–receiver pair of types that reproduces itself.
Equations
- Franke2011.IsLightFixedPoint G S R = (Franke2011.senderStep G R = S ∧ Franke2011.receiverStep G S = R)
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Near-flat priors (83): among the light-system interpretations of a non-surprise message, the a priori most likely states.
Equations
- Franke2011.receiverStepPrior G S m = if {t : T | m ∈ S t} = ∅ then G.trueStates m else (Franke2011.receiverStep G S m).argmax G.prior
Instances For
Nominal message costs (§9.2): among the light-system messages for an inducible state, the cheapest.
Equations
- Franke2011.senderStepCost G cost R t = if {m : M | t ∈ R m} = ∅ then G.trueMessages t else (Franke2011.senderStep G R t).argmax fun (m : M) => -cost m
Instances For
Lemma 2, sender half: a level-(k+1) sender only sends true messages, given that the level-k receiver only assigns true interpretations.
Lemma 2, receiver half.
Lemma 2: truth is preserved along the receiver chain.
Lemma 2: truth is preserved along the sender chain.
"Some" and "all" (Figure 4) #
Two states within the denotation of "some" (Examples.ex4): some-but-not-all,
where only "some" is true, and all, where both are.
Equations
- Franke2011.SomeAll.instDecidableEqState x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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- Franke2011.SomeAll.instReprState = { reprPrec := Franke2011.SomeAll.instReprState.repr }
Equations
- Franke2011.SomeAll.instDecidableEqMessage x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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Equations
- Franke2011.SomeAll.instReprMessage = { reprPrec := Franke2011.SomeAll.instReprMessage.repr }
The interpretation game of Figure 4.
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The empirically correct play (69): "some" conveys some-but-not-all.
Equations
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The reversed play (71): also a Nash equilibrium — equilibrium does not select the attested reading.
Equations
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Both chains reach (69) at level 2: the scalar implicature.
Two disjuncts (Figures 5 and 7; tables (84)–(86)) #
Alternatives A, B and A ∨ B give three states whether the disjunction
is plain (Examples.ex8), under a possibility modal (Examples.ex12a), or in a
conditional antecedent (Examples.ex18): one game, three constructions. Its
fixed point (82) maps the disjunction to the state where both disjuncts hold —
the free choice inference, simplification of disjunctive antecedents, and, at
base level, a conjunctive reading of plain disjunction (§9.2).
Equations
- Franke2011.TwoDisjuncts.instDecidableEqState x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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- Franke2011.TwoDisjuncts.instDecidableEqMessage x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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The interpretation game of Figure 5.
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The target play (70) / (82).
Equations
- Franke2011.TwoDisjuncts.receiver70 Franke2011.TwoDisjuncts.Message.first = Franke2011.TwoDisjuncts.State.onlyA
- Franke2011.TwoDisjuncts.receiver70 Franke2011.TwoDisjuncts.Message.second = Franke2011.TwoDisjuncts.State.onlyB
- Franke2011.TwoDisjuncts.receiver70 Franke2011.TwoDisjuncts.Message.either = Franke2011.TwoDisjuncts.State.both
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Equations
- Franke2011.TwoDisjuncts.sender70 Franke2011.TwoDisjuncts.State.onlyA = Franke2011.TwoDisjuncts.Message.first
- Franke2011.TwoDisjuncts.sender70 Franke2011.TwoDisjuncts.State.onlyB = Franke2011.TwoDisjuncts.Message.second
- Franke2011.TwoDisjuncts.sender70 Franke2011.TwoDisjuncts.State.both = Franke2011.TwoDisjuncts.Message.either
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The perverse Nash equilibrium (72), which no refinement rules out.
Equations
- Franke2011.TwoDisjuncts.receiver72 Franke2011.TwoDisjuncts.Message.first = Franke2011.TwoDisjuncts.State.both
- Franke2011.TwoDisjuncts.receiver72 Franke2011.TwoDisjuncts.Message.second = Franke2011.TwoDisjuncts.State.onlyB
- Franke2011.TwoDisjuncts.receiver72 Franke2011.TwoDisjuncts.Message.either = Franke2011.TwoDisjuncts.State.onlyA
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Equations
- Franke2011.TwoDisjuncts.sender72 Franke2011.TwoDisjuncts.State.onlyA = Franke2011.TwoDisjuncts.Message.either
- Franke2011.TwoDisjuncts.sender72 Franke2011.TwoDisjuncts.State.onlyB = Franke2011.TwoDisjuncts.Message.second
- Franke2011.TwoDisjuncts.sender72 Franke2011.TwoDisjuncts.State.both = Franke2011.TwoDisjuncts.Message.first
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The receiver chain reaches (82) at R₄ (Figure 7, lower strand).
On the way, R₂ finds the disjunction a surprise message and reads it
literally (eq. (137)).
The sender chain reaches (82) at S₄ (Figure 7, upper strand).
R₁ on the sender chain reads the disjunction as either single-disjunct
state (eq. (141)) — the minimal-models exhaustification (50) — while R₂ on
the receiver chain does not: R₁ ≠ R₂ (§10).
Epistemic "some"/"all" (Figures 6, 8, 9) #
Three speaker belief states within belief in "some": believes not-all, believes all, uncertain about all. With flat priors the general epistemic implicature; with competence (67) the strong, with incompetence (68) the weak one.
Equations
- Franke2011.SomeAllEpistemic.instDecidableEqState x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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- Franke2011.SomeAllEpistemic.table x✝ Franke2011.SomeAll.Message.some = Franke2011.BeliefValue.yes
- Franke2011.SomeAllEpistemic.table Franke2011.SomeAllEpistemic.State.t10 Franke2011.SomeAll.Message.all = Franke2011.BeliefValue.no
- Franke2011.SomeAllEpistemic.table Franke2011.SomeAllEpistemic.State.t11 Franke2011.SomeAll.Message.all = Franke2011.BeliefValue.yes
- Franke2011.SomeAllEpistemic.table Franke2011.SomeAllEpistemic.State.t1u Franke2011.SomeAll.Message.all = Franke2011.BeliefValue.unc
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Flat priors: the game of Figure 6 with a = b.
Equations
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Competent speaker: the uncertain state is less likely (a > b).
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Incompetent speaker: the uncertain state is more likely.
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Figure 8: "some" conveys that the speaker does not believe "all" — believes not-all or is uncertain.
Figure 9: under competence, "some" conveys that the speaker believes not-all (the strong epistemic implicature).
Under incompetence, "some" conveys that the speaker is uncertain about "all" (the weak epistemic implicature).
Epistemic disjunction (tables (87)–(88), Figure 10) #
Six belief states within belief in A ∨ B. The disjunction is interpreted, in
every chain and under every competence assumption, as the state uncertain
about both disjuncts: the ignorance implicature.
Equations
- Franke2011.DisjunctionEpistemic.instDecidableEqState x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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Equations
- Franke2011.DisjunctionEpistemic.table x✝ Franke2011.TwoDisjuncts.Message.either = Franke2011.BeliefValue.yes
- Franke2011.DisjunctionEpistemic.table Franke2011.DisjunctionEpistemic.State.t101 Franke2011.TwoDisjuncts.Message.first = Franke2011.BeliefValue.yes
- Franke2011.DisjunctionEpistemic.table Franke2011.DisjunctionEpistemic.State.t111 Franke2011.TwoDisjuncts.Message.first = Franke2011.BeliefValue.yes
- Franke2011.DisjunctionEpistemic.table Franke2011.DisjunctionEpistemic.State.t1u1 Franke2011.TwoDisjuncts.Message.first = Franke2011.BeliefValue.yes
- Franke2011.DisjunctionEpistemic.table Franke2011.DisjunctionEpistemic.State.t011 Franke2011.TwoDisjuncts.Message.first = Franke2011.BeliefValue.no
- Franke2011.DisjunctionEpistemic.table Franke2011.DisjunctionEpistemic.State.tu11 Franke2011.TwoDisjuncts.Message.first = Franke2011.BeliefValue.unc
- Franke2011.DisjunctionEpistemic.table Franke2011.DisjunctionEpistemic.State.tuu1 Franke2011.TwoDisjuncts.Message.first = Franke2011.BeliefValue.unc
- Franke2011.DisjunctionEpistemic.table Franke2011.DisjunctionEpistemic.State.t011 Franke2011.TwoDisjuncts.Message.second = Franke2011.BeliefValue.yes
- Franke2011.DisjunctionEpistemic.table Franke2011.DisjunctionEpistemic.State.t111 Franke2011.TwoDisjuncts.Message.second = Franke2011.BeliefValue.yes
- Franke2011.DisjunctionEpistemic.table Franke2011.DisjunctionEpistemic.State.tu11 Franke2011.TwoDisjuncts.Message.second = Franke2011.BeliefValue.yes
- Franke2011.DisjunctionEpistemic.table Franke2011.DisjunctionEpistemic.State.t101 Franke2011.TwoDisjuncts.Message.second = Franke2011.BeliefValue.no
- Franke2011.DisjunctionEpistemic.table Franke2011.DisjunctionEpistemic.State.t1u1 Franke2011.TwoDisjuncts.Message.second = Franke2011.BeliefValue.unc
- Franke2011.DisjunctionEpistemic.table Franke2011.DisjunctionEpistemic.State.tuu1 Franke2011.TwoDisjuncts.Message.second = Franke2011.BeliefValue.unc
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Figure 10: on the sender chain the disjunction is read as uncertainty
about both disjuncts from R₁ on, and a single disjunct as belief in it
without belief in the other.
Under competence a single disjunct conveys that the speaker knows the other is false.
Disjunction with a conjunctive alternative (tables (89)–(92), Figures 11–14) #
Plain disjunction at base level with A ∧ B among the alternatives:
the disjunction becomes a surprise message, read literally (Figure 11).
Equations
- Franke2011.DisjunctionConj.instDecidableEqMessage x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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Free choice with the conjunctive alternative (table (90), Figure 12): the state where both are permitted but not jointly is now possible, and the fixed point delivers free choice plus the exclusivity implicature.
Equations
- Franke2011.FreeChoiceConj.instDecidableEqState x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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Simplification of disjunctive antecedents with the conjunctive
alternative (table (91), Figure 13): six states, and the fixed point after
R₄ gives SDA together with the exclusivity implicature.
Equations
- Franke2011.SdaConj.instDecidableEqState x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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- Franke2011.SdaConj.instReprState = { reprPrec := Franke2011.SdaConj.instReprState.repr }
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Epistemic disjunction with the conjunctive alternative (table (92),
Figure 14): without competence the disjunction conveys that the speaker does
not believe A ∧ B; with competence that she believes it false; with
incompetence that she is uncertain.
Equations
- Franke2011.DisjunctionConjEpistemic.instDecidableEqState x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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- Franke2011.DisjunctionConjEpistemic.table x✝ Franke2011.DisjunctionConj.Message.either = Franke2011.BeliefValue.yes
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.t1001 Franke2011.DisjunctionConj.Message.first = Franke2011.BeliefValue.yes
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.t1111 Franke2011.DisjunctionConj.Message.first = Franke2011.BeliefValue.yes
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.t1uu1 Franke2011.DisjunctionConj.Message.first = Franke2011.BeliefValue.yes
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.t0101 Franke2011.DisjunctionConj.Message.first = Franke2011.BeliefValue.no
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.tuu01 Franke2011.DisjunctionConj.Message.first = Franke2011.BeliefValue.unc
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.tu1u1 Franke2011.DisjunctionConj.Message.first = Franke2011.BeliefValue.unc
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.tuuu1 Franke2011.DisjunctionConj.Message.first = Franke2011.BeliefValue.unc
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.t0101 Franke2011.DisjunctionConj.Message.second = Franke2011.BeliefValue.yes
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.t1111 Franke2011.DisjunctionConj.Message.second = Franke2011.BeliefValue.yes
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.tu1u1 Franke2011.DisjunctionConj.Message.second = Franke2011.BeliefValue.yes
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.t1001 Franke2011.DisjunctionConj.Message.second = Franke2011.BeliefValue.no
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.tuu01 Franke2011.DisjunctionConj.Message.second = Franke2011.BeliefValue.unc
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.t1uu1 Franke2011.DisjunctionConj.Message.second = Franke2011.BeliefValue.unc
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.tuuu1 Franke2011.DisjunctionConj.Message.second = Franke2011.BeliefValue.unc
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.t1111 Franke2011.DisjunctionConj.Message.both = Franke2011.BeliefValue.yes
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.t1001 Franke2011.DisjunctionConj.Message.both = Franke2011.BeliefValue.no
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.t0101 Franke2011.DisjunctionConj.Message.both = Franke2011.BeliefValue.no
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.tuu01 Franke2011.DisjunctionConj.Message.both = Franke2011.BeliefValue.no
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.t1uu1 Franke2011.DisjunctionConj.Message.both = Franke2011.BeliefValue.unc
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.tu1u1 Franke2011.DisjunctionConj.Message.both = Franke2011.BeliefValue.unc
- Franke2011.DisjunctionConjEpistemic.table Franke2011.DisjunctionConjEpistemic.State.tuuu1 Franke2011.DisjunctionConj.Message.both = Franke2011.BeliefValue.unc
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Entailing disjuncts (table (97), Figure 16) #
"John or (John and Mary)" (Examples.ex95a) is truth-conditionally "John", yet
conveys that the speaker considers Mary's coming possible. With the disjunction nominally
costlier than its equivalent and a competent speaker, the receiver chain
reaches the reading t[1,u,1] for the disjunction.
Equations
- Franke2011.EntailingDisjuncts.instDecidableEqMessage x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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- Franke2011.EntailingDisjuncts.table x✝ Franke2011.EntailingDisjuncts.Message.john = Franke2011.BeliefValue.yes
- Franke2011.EntailingDisjuncts.table x✝ Franke2011.EntailingDisjuncts.Message.johnOrBoth = Franke2011.BeliefValue.yes
- Franke2011.EntailingDisjuncts.table Franke2011.SomeAllEpistemic.State.t10 Franke2011.EntailingDisjuncts.Message.johnAndMary = Franke2011.BeliefValue.no
- Franke2011.EntailingDisjuncts.table Franke2011.SomeAllEpistemic.State.t11 Franke2011.EntailingDisjuncts.Message.johnAndMary = Franke2011.BeliefValue.yes
- Franke2011.EntailingDisjuncts.table Franke2011.SomeAllEpistemic.State.t1u Franke2011.EntailingDisjuncts.Message.johnAndMary = Franke2011.BeliefValue.unc
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The disjunction is nominally costlier than its equivalent.
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One round of the receiver chain with costs and priors as secondary criteria.
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Universal free choice (tables (101)–(102), Figure 17) #
"Everybody may take an apple or a pear" (Examples.ex99) with alternatives
"everybody may take an apple/a pear": the full game reads the sentence as a mixed group; pruning
the mixed state by group homogeneity restores universal free choice.
Equations
- Franke2011.GroupPermission.instDecidableEqState x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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Equations
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- Franke2011.GroupPermission.table x✝ Franke2011.TwoDisjuncts.Message.either = Franke2011.BeliefValue.yes
- Franke2011.GroupPermission.table Franke2011.GroupPermission.State.t101 Franke2011.TwoDisjuncts.Message.first = Franke2011.BeliefValue.yes
- Franke2011.GroupPermission.table Franke2011.GroupPermission.State.t111 Franke2011.TwoDisjuncts.Message.first = Franke2011.BeliefValue.yes
- Franke2011.GroupPermission.table Franke2011.GroupPermission.State.t011 Franke2011.TwoDisjuncts.Message.second = Franke2011.BeliefValue.yes
- Franke2011.GroupPermission.table Franke2011.GroupPermission.State.t111 Franke2011.TwoDisjuncts.Message.second = Franke2011.BeliefValue.yes
- Franke2011.GroupPermission.table x✝¹ x✝ = Franke2011.BeliefValue.no
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Figure 17: the mixed-group reading.
The pruned game (102), without the mixed state.
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Pruned, the sentence conveys that everybody may take either.
The heavy system (Appendix B.1) #
Behavioural strategies: a sender T → M → ℚ, a receiver M → T → ℚ. The
unbiased belief in a set of pure strategies is the uniform vector on it
((115), (118)). Under the matching utilities of an interpretation game the
sender's expected utility of m in t is the receiver's probability of t
after m, so a level-(k+1) sender is uniform over the messages maximising it
((116)–(117)); a level-(k+1) receiver is uniform over the maximum-a-posteriori
states ((119)–(122)), and reads a surprise message — one no state sends —
literally, by the truth ceteris paribus assumption.
The true messages maximising the receiver's probability of the true state:
the level-(k+1) sender's choices in t (116).
Equations
- Franke2011.optimalMessages G H t = (G.trueMessages t).argmax fun (x : M) => H x t
Instances For
The unbiased belief in the level-(k+1) sender type: uniform over the optimal messages (117).
Equations
- Franke2011.senderResponse G H t = (Franke2011.optimalMessages G H t).uniform
Instances For
A surprise message: no state sends it, so Bayesian conditioning is undefined (B.3).
Equations
- Franke2011.IsSurprise S m = ∀ (t : T), S t m = 0
Instances For
Equations
The unbiased belief in the level-(k+1) receiver type: uniform over the
states maximising Pr(t) · S(t, m), the posterior (119)–(120) up to
normalisation; a surprise message is read literally (122).
Equations
- Franke2011.receiverResponse G S m = if Franke2011.IsSurprise S m then G.literal m else (Finset.univ.argmax fun (t : T) => G.prior t * S t m).uniform
Instances For
The receiver levels of the heavy system from the literal receiver:
receiverLevel n is R₂ₙ.
Equations
- Franke2011.receiverLevel G 0 = G.literal
- Franke2011.receiverLevel G n.succ = Franke2011.receiverResponse G (Franke2011.senderResponse G (Franke2011.receiverLevel G n))
Instances For
A receiver strategy the heavy dynamics reproduce.
Equations
- Franke2011.IsFixedPoint G H = (Franke2011.receiverResponse G (Franke2011.senderResponse G H) = H)
Instances For
Expected gain (144): the probability of successful communication.
Equations
- Franke2011.expectedGain G S H = ∑ t : T, G.prior t * ∑ m : M, S t m * H m t
Instances For
Every receiver response is uniform over a set of states.
Theorem 1: the light system is the heavy system with flat priors #
The level-(k+1) sender's optimal messages against the unbiased belief in a receiver type are the light-system sender type (76).
A surprise message under the unbiased belief in a sender type is one no state sends.
The states where the unbiased belief in a sender type sends m, weighted by
a flat prior, are maximised on the light-system receiver type (77).
The level-(k+1) receiver's response to the unbiased belief in a sender type, under flat priors, is the unbiased belief in the light-system receiver type.
Theorem 1: with flat priors the heavy receiver levels are the unbiased beliefs in the light receiver chain.
Theorem 2: near-flat priors #
The near-flat condition (132), with the inequality the proof needs:
Pr(t_min)/Pr(t_max) > (|M|-1)/|M| (the paper prints it reversed).
Equations
- Franke2011.NearFlat G = ∀ (t t' : T), (↑(Fintype.card M) - 1) * G.prior t' < ↑(Fintype.card M) * G.prior t
Instances For
Theorem 2: under near-flat priors the states where the unbiased belief in a
sender type sends m, weighted by the prior, are maximised on the
prior-lexicographic refinement of the light receiver type (83).
Theorem 2, as a receiver response.
Lemma 3 and Theorem 3: convergence (Appendix B.4) #
Expected gain never decreases along the dynamics: the sender step because the sender response averages the receiver's probability over its argmax, the receiver step because the receiver response averages the posterior weight over its argmax. Receiver levels are uniform vectors over finitely many sets, so the sequence repeats; on a cycle the gain is constant, which forces the optimal-message sets to grow around the cycle and hence to stabilise — a fixed point.
At each state the sender response is at least as good as any truthful sub-probability sender.
Lemma 3 (i): the sender step does not decrease expected gain.
After each message the receiver response is at least as good as any sub-probability receiver.
Lemma 3 (ii): the receiver step does not decrease expected gain.
Lemma 3: expected gain is monotone along the receiver levels.
Expected gain is at most one.
Equal expected gain against the sender response forces every positively used message to be optimal, at every positive-prior state.
The set of states a receiver level assigns positive probability.
Equations
- Franke2011.receiverSupport G n m = {t : T | 0 < Franke2011.receiverLevel G n m t}
Instances For
Receiver levels are uniform over their supports.
The receiver levels repeat: there are finitely many supports.
Theorem 3: the receiver levels reach a fixed point.
Theorem 4: fixed points are perfect Bayesian equilibria #
Posterior beliefs consistent with the prior and a sender strategy (119); after a surprise message the receiver keeps the literal belief.
Equations
- Franke2011.posterior G S m t = if Franke2011.IsSurprise S m then G.literal m t else G.prior t * S t m / ∑ s : T, G.prior s * S s m
Instances For
Sender rationality (116): every message sent maximises the chance of being understood.
Equations
- Franke2011.SenderRational G S H = ∀ (t : T) (m : M), 0 < S t m → m ∈ Franke2011.optimalMessages G H t
Instances For
Receiver rationality (120): every interpretation chosen is maximum a posteriori.
Equations
- Franke2011.ReceiverRational G H S = ∀ (m : M) (t : T), 0 < H m t → t ∈ Finset.univ.argmax (Franke2011.posterior G S m)
Instances For
A perfect Bayesian equilibrium in behavioural strategies.
Equations
- Franke2011.IsPBE G S H = (Franke2011.SenderRational G S H ∧ Franke2011.ReceiverRational G H S)
Instances For
Theorem 4: a fixed point of the heavy dynamics, with its sender response, is a perfect Bayesian equilibrium.
Level-1 interpretation and minimal-models exhaustification (§10) #
R₁ on the sender chain keeps, among the states where m is true, those
where fewest alternatives are true (107); minimal-models exhaustification
keeps the states minimal in the inclusion order on true alternatives.
The alternatives of a game as propositions over states.
Equations
- Franke2011.alternatives G = {x : Set T | ∃ (m : M), (fun (t : T) => G.meaning m t) = x}
Instances For
Fact 1: R₁(m) ⊆ ExhMM(m).
Comparison of exhaustivity operators (Appendix A) #
Fact 3, ExhMM ⊆ ExhIE, is Exhaustification.exhMW_subset_exhIE. Lemma 1
characterises innocent exclusion as closure of the minimal worlds: a
φ-world survives ExhIE iff every alternative false throughout ExhMM is
false at it. Fact 2 claims the order is invariant under adding an
alternative whose truth value is determined by the others; that holds when
the determination is monotone (conjunctions, as in the paper's example), and
fails for the negation of an alternative.
A is a monotone function of the alternatives in X: whenever every
X-alternative true at w is true at v, A at w forces A at v.
Equations
- Franke2011.MonotoneDetermined ALT A = ∀ (w v : W), (w ≤[ALT] v) → w ∈ A → v ∈ A
Instances For
Fact 2, for monotonically determined alternatives: the strict order is unchanged.
Fact 2 as printed fails: over two worlds with one alternative, adding its negation — truth-determined, but not monotonically — destroys the strict order between the worlds.
Lemma 1: innocent exclusion keeps the φ-worlds indistinguishable from
the minimal worlds by any alternative — every alternative false throughout
ExhMM is false at them.