A SITUATION SEMANTICS APPROACH TO 
THE ANALYSIS OF SPEECH ACTS 1 
David Andreoff Evans 
Stanford University 
1. INTRODUCTION 
During thc past two decades, much work in linguistics has focused on 
sentences as minimal units of communication, and the project of rigorously 
characterizing the structure of sentences in natural language has met with 
some succcss. Not surprisingly, however, sentcnce grammars have 
contributed little to the analysis of discourse, Human discourse consists not 
just of words in sequences, hut of words in sequences directed by a speaker 
to an addressee, used to represent situations and to reveal intentions. Only 
when the addressee has apprehcndcd both these aspects of the message 
communicated can the message be interpretecL 
The analysis of discourse that emerges from Austin (1962), grounded in a 
theory of action, takes this view as ccntral, and thc concept of thc speech 
act follows naturally. An utterance may have a conventional meaning, but 
the interpretation of the actual meaning of the utterance as it is used in 
discourse depends on evaluating thc utterance in the context of the set of 
intentions which represcnt the illocutionary mode of its presentation. Put 
another way (paraphrasing Searle (1975:3)), the speaker's intention is to 
produce understanding, consisting of the knowledge of conditions on the 
speech act being pcrformed. 
If we are to take scrionsly Scarle's (1969:16) assertion that "the unit of 
linguistic communication is not ... the symbol, word, or sentence, ... but 
rather thc production or the issuance of thc symbol, word or sentence in the 
performance of the spcech act." then wc should be able to find some formal 
method of characterizing speech acts in discourse. Unfortunately, linguists 
have too often employed speech acts as taxonomic convonicnces, as in Dora 
(1977). Labor and Fanshel (1977), and elscwhcre, without attempting to give 
anything more than a descriptive definition. Only in the atlJficial 
intelligencc literature, notably in the work of Allcn, Bruce, Cohcn, and 
Pcrrauh (e.g. Allen (1979), Bruce and Newman (1978). Cohen and Perrault 
(1979), Cohen (1978). Perrault, Allen, and Cohcn (1978)), does onc find an 
attempt to dcfinc spcech acts in terms of more gcncral processes, here 
specifically, opcrations on planning networks. 
2. TYPES OF SPEECH ACTS 
A great problem for the computational linguist attempting to find a formal 
representation for speech acts is that thc set of speech acts does not map 
uniformly onto the set of sentences. In terms of "guodncss of fit" with 
sentences, sevcral types of speech acts can be described. One type, the so- 
called pcrformatives, including ASSERT, DECLARE, etc.. can be ¢ffected 
in a single utterance. But even some of these can undcrgo further 
decomposition. For example, assuming.that the usual felicity conditions 
hold (of. Searte (1969:54f0), both (1) and (2) below can count as an 
apology, though neither sentence in (2) alone has the effect which their 
combination achieves. 
(1) 1 apologize for what I did. 
(2) I did a terrible thing. I'm very sorry. 
In (2), the first sentence contributes to the effect of an apology only to the 
extent that an addressee can infer that it is intended as part of an apology. 
The second sentence, which makes overt the expression of contrition, also 
exp~sses the sinccrity which is prerequisite for a felicitouS apology. But its 
success, too. depends on an int'crence by tile addressec that it is intended as 
part of an apology. If the addressee cannot make that inference -- because, 
for cxamplc, the address¢c hctieves that the speakcr is speaking 
sarcastically -- the effect of the apology is lost not only for the second 
sentence, but for the first as well. In this case, the illocutionary effect 
APOI,OGIZE can be regarded as supra-scmcntial, though, as in (1). 
appropriate single scntences can be used to achieve its effect. 
There are other types of speech acts, however, that cannot bc performed in 
single utterances, but require several or even many utterances. For 
example. DEFEND (as in a lawyer's action on ~half of his client), 
REFUTE (as in polemical argumentation) and PROVE (as in demonstraung 
effccm from specific causcs) cannot be cffected as pcrfnrmatives: one 
cannot make a refutation by uttering the words. I refute ,V, as one might 
make an assertion by uttering thc words, I a.~ert X. 
One might wonder whether these supra-utterance modes should count as 
speech acts. Certainly. the term "spcech act'" has ffaditionally been used in 
reference to single sentences or to certain classes of non-scntenciaJ 
expressions which have single utterance indcpcndcncc in discourse (e.g. 
Hello). But consider again the traditional definition, paraphrasing Scarle 
(1969:4gff), a speech act is the use of an utterance directed at an addreasce 
in the scrvicc of a set of intentions, namely, 
1.) thc intention to producc a certain illocutionary effect in the 
addressee, 
2.) the intention to produce this effect by getting the addressee to 
recognize the intention to produce the effect, and 
3.) thc retention to produce this recognition by means of the addrcsaee's 
knowicdge of the rules governing the utterance. 
There is nothing in this characterization that requires that utterance be 
understood as scntencc. "ll~e crucial point is that the utterance (of whatever 
length) serve the set of intentions represented by 1.) - 3.). A valid speech 
act can bc regarded as defining an illocntionary mode which is govcrnod by 
conventions which constrain thc sorts of interpretations that can be givcn to 
utterances which occur within that mode (including our judgmcnts un their 
appropriateness). Thcsc convcnUons also dcfinc the conditions that must be 
met for thc targct cffect to bc achieved, 
Thus for the utterance / will be home by noon to count as a promise (and 
not. say. as a prediction), it must bc viewed as an utterance iasucd in the 
illocutionary mode of promising, wllich not only defineS ccrtain well- 
formcdncss conditions on the utterance itself (making statemcnt,s in the past 
tense -- e.g. ! war home by noon .- impossible as direct speech act 
promises2), but also givcs the criteria which determine whether the act is 
successful (including the felicity conditions, e¢.). 
Similarly, for a series of utterances to count as a refutation, they must be 
seen as operating in the illocutionary mode of rcfutation, as for example, in 
thc text below: 
(3) You have stated that 2 + 2 = 3. But take any two individual 
objects and any other two individual objectx and place them in a 
row. Then count them. say. from left to righL What do you get? 
Not 3 but 4. Therefore; 2 + 2 cannot equal 3. 
We cannot interpret any of these utterances accurately unless we recognize 
that each contributes to the achievement of a focused goal, viz. a refiJtadon. 
Once that intention is recognized, appropriatenc-ss and well-formodness 
conditions can be applied to the text; and the success of the act can he 
measured against the set of criteria which are relevant to refutations, 
including the usual felicity conditions, but also specific conditions on the 
production of factual evidence and the demonstration of contradiction. 
Following this new characterization of speech acts, yet another type can be 
described, operating not at the uttcrancc level, or the supra-utterancc level, 
but at the sub-uttcrancc level. As an illustration of the phcnomcnon 
involvcd, consider thc following uncxccptionable utterance: 
(4) 1 tom the guy at the door to watch out, but he wouldn't listen. 
The sccond refcrence to the guy of the first clause is made via the 
anaphoric pronoun he. But suppose, instead, a definite referring expression 
wcre used. Consider thc following: 
(5) I told the guy at the door to watch out, but the person wouldn't listen. 
The person is a distinctly odd corefcrent, and seems inappropriate 3. An 
examination of this context reveals that the only definite 4 referring 
expressions which caterer felicitously are pronomin;d epithets, such as the 
idiot, the fool• etc.; descriptions which can be given an interpretation as 
derogatives, such as the saphomore; and expressions whose literal 
interpretation contributes some sense of explanation to the situation being 
represented -- viz. thaL though warned, the guY at the door didn't heed the 
warning -- as in the deafmute. 
113 
It can be shown that the principle involved is a speech act-like 
phenomenon. First. it can be noted that the choice nn_.~t to use the 
unmarked corefercnt, he. signals that the speaker has some special intention 
in mind. Second. following a suggestion in Balinger (1977:7ff). it can be 
argued that a repeated definite description functions not only to refei" but 
also to characterize the referent as having the sense of the definite 
description. Finatly. it can be shown that all the acceptable definite 
descriptions in this context can be interpreted uniformly as offering an 
explanation 5 for the failure to listen expressed by the second clause. 
Note that the choice of coreferent in the case of the use of a definite 
referring expre~on is not. stricdy speaking, lexically governed. 
Furfficrmorc. the use ot` selectional features, as in Chomsky (1965) and more 
recent work ,on generative grammar, cannot consWaln the context for such a 
choice. In short, the problem is one of interpretation, and appropriateness 
is governed by the intention being served by the choice of the referring 
expression. 
Consider. then, an utterance such as the following: 
(6) \[ told the guy al the door to watch out. but the idiot wouldn't listen. 
The difference between (4) and (6) is not me~ly one of different lexical 
items (he and the idiot). Rather. the use of 1he idiot makes (6) a more 
complex utterance than (4), involving an embedded speuch act. namely, a 
characterization whose purpose is to express an attitude and thereby 
(indirectly) offer explanation. 
3. SITUATION SEMANTICS AND DISCOURSE 
If speech acts or speech act-h"ke phenomena are found at many levels of 
discourse, and if it is not possible to give a syntactic definition of a speech 
act, how can the notion of speech acts be integrated into a formal, and in 
particular, a computational analysis of discou~? The natural alternative to 
a syntactic definition is a semantic one 6. and the approach to se, manties 
which offers the greatest promise in treating discourse is the situation 
semantics being developed at Stanford by Jon Barwise and John Perry (c£ 
Bat'wise (forthcoming). P, arwise and Perry (1980), Barwise and Perry 
(forthcoming a). and Barwise and Perry (forthcoming, b)). 
Briefly, this new semantics is informed by the notion that the actual world 
can be thought of as cunsisting of situations, which in turn consist of objects 
having properties and standing in relationships. Any actual situation is far 
too rich in detail to be captured by any finite process, so in practice,, 
perceptions of situations, beliefs about situations, natural language 
descriptions-of situations, cte.. are actually situation-typeS, which arc partial 
functions characterizing various types of situattons. (Cf. Barwise (198I) for 
a more complete discussion of this point.) 
\[n situation semantics, scntences do not map directly to troth-values, but 
rather are understood as designating situation-types. Totally understanding 
a statement would entail that one t: able to derive a situation-type which 
includes all the objects, properties, and relationships represented in the 
statement. 
A series of statements in discourse can be viewed as creating, modifying, 
embellishing, or manipulating sots of situation-types. Some utterances 
invoke situation-types: some ac~ as functions taking whole situation-types as 
argumcnLs. Fur example, an initial act of reference coupled with some 
proposition about the referent can be seen as initiating the construction of a 
situation-type around the referent: an act of coreference` with some 
promotion, can be seen as adding a new property or relationship to an 
individual in an existing situation-type. 
The discourse situation, too, can be represented as a set of situation-types. 
initially containing at least the speaker, the addressee, and the mutual 
knowledge of speaker and addressee that they arc in a discourse situation. 
Any utterance which occurs exploits this diacouzse situation and cannot be' 
interpreted independently of it. The utterance itself, however, effects a 
cl~ange in the discourse ~ituation. as its interpretation is added. It is in 
representing the effect of the utterance that the theory of speech acts has 
application. 
The dynamic proecss of diseour~¢ can bc modelled as a step by sCep 
modification of the discourse situation, with each step taking the set of 
situation-types of the discourse situation, coupled with the interpretation of 
the utterance, to a new set of situation-types of the diseours¢ situation. 
There are many interesting details to this model which must be ignored in a 
paper of this scope, but several ob~rvations relevant to speech acts can be 
made, 
First. this model accommodates the distinction made by most speech act 
th¢orist.s between what a speaker says - the locutionary act -- and what a 
speaker intends to communicate (or means) - the illocutionary act -/. This 
distinction is rcpeated and coptt)red hcre in the treatment of the actual 
discourse as a oair of sets of situation-types. One gives the set of situation- 
types of the text (written or spoken) -- s t - and can be regarded as 
representing the Iocutionary aspect of the act. The other gives the set of 
situation-types of the diseoursc situation (including author and reader or 
speaker and addressee) -- s d - and can be regarded as representing the state 
of knowledge about the discourse -- including the information revealed by 
infcrring the intentions of the speaker - at the time the utterance is 
produced. The interpretation ot` s t relative to s d, f (<s t. Sd>), giver a new set 
of situation-types of the diseourse situatiun. Sd'. The illocutionary act can 
be thought of as difference between s d' and s d. 
Second. this characterization of an illocutionary act is consonant with 
psychological features of actual discourse, in actual interaction, what the 
speaker says -- the Iocutionary act - is highly volatile: the exact words of 
an utterance more than a few seconds past may be lost forever. What 
remains is the effect of those words, in particular, as composed in longer- 
term memory. What is remembered represents the state achieved by the 
discourse, and that reflects directly what the addr~r, ee has inferrred about" 
the speaker's intentions. Put another way. what becomes stored as memory 
represents what the addressee inferred about what the speaker meant by his 
utterance. 8 
Third. one con regard the problem of interpreting the current status of the 
diseuurse as similar to the problem of deriving the current state in a 
S'l'RIPS-like system (ct'. I-'ikes and Nilsson (1971)): the correct version must 
be the result of the application of a series of operations, in correct order, to 
all previous states. The current set of situation-types of the discourse 
situation can be seen as representing the accumulation of the effects that 
have resulted from a series of discrete operations. 
4. OPERATIONS ON SITUATION-TYPES 
There are various ways that a word or phrase can count as an operation on 
a situation-type. For example, an utterance or part of an utterance could 
(a) take a whole situation-type as an argument, or 
(b) introduce an object and a property, or 
(c) intrbduec two or more objects and a relationship, or 
(d) introd=~-c an object or a property or a relationship into an 
existing situation-type. 
(a) would apply to phrases like by the way, anyway, etc., which have 
the effect of shifung focus or "clearing the slate" for a new text fragment. 
Cases (b) and (c) ensure that the utterance or part of utterance, it" text 
initial, conuLins enough information to enable a situation-type to be derived. 
Case (d) accounts for those instances where a situation-type is clearly 
established and a single word or reference can effect a change in the 
situation-type. 
For example, the name John (used constativeiy) at the beginning of an 
interaction cannot count as a operation on a situation-type, as no situation- 
type of the diseoum: text then exists, and the name John alone cannot 
create one. However. the name ./ok, at'ter a question, such as Who took my 
book~ can count as a operation, since it. together with the interpretation of 
the question, serves to introduce a new object and proposes into an 
existing situation-type. 
Returning to a sentence like (6) (rcpeated below), it is possible to see that, 
in fact. a series of operations.are involved in deriving the final situation-type 
of the text. 
(6) ! told the guy at the door to watch ouL but the idiot wouldn'! listen. 
The utterance corresponding to the first grammatical clause creates the 
situation-type in which tllcre is the guy at the door and the speaker and the 
relationship of the speaker having told the guy at the door to watch out. 
The word but can be viewed as function mapping situation-types into 
situatiun-types where a relationship or property somehow implicated in the 
first situation-type is "shown explicitly not to hold in the derived situation- 
type. 'llm balance of the second clause modifies the situation-type so that 
the guy at the door now has the property both of having been told by the 
114 
spcakcr to watch out. and of having not listened, manifesting thc violation 
of supposed normative behavior. "rhc fact that the guy at the door has been 
referred to as the idiot has added a further property, or characterization. 
The situation-type of the text at the end of the utterance of the second 
clause includcs the speaker with die property of having told the guy at the 
door to watch out and having judged him as an idiot for not listening, and 
the guy at the door who Ilad bccn told to watch out by the speaker but who 
did not listcn, and who has been judged to have behaved idiotically. (There 
actually are othcr relationships here. but a more eomplcto description adds 
nothing to the general point being illustrated.) 
In this case, then, there are at least three steps in thc "semantic" parsing of 
the utterance: thc initial creation of the situation-type (the first clause), the 
interpretation of but. and the modification of the initial situation-type to 
accommodate the information in the second clause. 
5. SPEECH ACTS AS OPERATIONS ON SFI'IJATION-TYPF~S 
Thus far the relationship between situation-types and speech acts has not 
been made expliciL Recall that speech acts can be characterized acs having 
both an intentional component and some representation of the conditions 
which must be met for the speech act to have been suecessfully performed. 
But more importandy, a speech act is not successfully performed until the 
addressee recognizes that its performance was attempted: and that 
recognition effects a change in the relationship between the speaker and the 
addressee. This change in relationship can be regarded as an effect of an 
operation on the set of situation-types of the discourse situation (not of the 
text). But a speech act. even if clearly understood as intended, is not 
successful unless it effects specific changes in the set of situation-types of 
the text, as well. Therefore. speech acts can be thought of as the effects of 
the application of one or more inference enabling functions to the pair of 
sets of situation-types giving the model of the discourse (f (<s t. Sd>)). 
It is possible to use situation-typeS as the basis of a definition of speech acts 
by requin.ng that speech acts be the result of the application of an inference 
enabling function to an utterance in a discourse situation such that the 
derived situation-typc confi)rms to one of a (finite) number of speech act- 
types. In othcr words, fur an utterance or a series of utteranccs to count as 
a speech act. the utterance or utterances must minimally 
(i) perform an operation on a situation-type, and 
(ii) derive a situation-type which is defined (for speaker and addressee) 
as the legitimate end state of a speech act, 
This means that the rules governing the form of speech acts are actually 
rules specifying the relationships that must obtain in the situation-type 
which would result from the successful performance of the speech act. In 
short, this allows us to view speech acts as being driven by certain situation- 
types as goals. 
Simpler spcech act-types, such as performativcs, correspond neatly to 
various unary operations on situation-types. An asscrtion operates on the 
situation-type of the text by introducing objects and properties or 
relationships that correspond to the proposition of the assertion. But it also' 
introduces the speaker in an ASSERT relationship to the proposition. And 
given the constrainLs on truly felicitous assertions, this would also introduce 
the implicature that the speaker believes the proposition. In particular. 
following the taxonomy and characterization of illocotionary acts in II~h 
and Hamish (1979:39ff). an assertion has the effect, for any speaker. S. and 
any propositiun, P, of cre;,ting the following situation-type: 
s (believe. S. P) = I 
By accepting tile assertion -- different from accepting the truth of the 
assertion -- thc addressee acknowledges that the above situation-type is 
added to the set of situation-types giving the discourse situation. 
A complete deseription of the speech act-type ASSERT would consist of the 
fullowing set of situation-types: 
ASSERT P 
Sl: s s(t~, S. P) = I 
s2: s (believe. S. P) = I 
s 1, s 2 arc in s d' 
Sub-utterance speech acts can be accounted for, now. by vicwing the 
situation-types of the text which thcy achieve as being dependent on or 
coincident with the situation-types achicved by the whole of the utterance in 
which they are cmbeddcd. Of course, there must be an accompanying 
operation on the situation-type of the discourse situation rcpresenting the 
effect of the perceived intention to achieve the sub-uteranee speech act -- as 
in the marked choice of a definite referring expression instead of a simple 
pronoun, as in (6). 
Supra-utterance speech acts can also be captured in this framework. A 
speech act like REFUTE, for example, cannot be defined in terms of any 
specifiable number of steps, or any specifiable ordering of operations. Its 
only possible definition is in terms of a final state in which all the 
conditions on refutation have been satisfied. In terms of situation 
semantics, this corresponds to a set of situation-types -- albeit very 
complex -- in which all the nec~sary relationships hold. Since such 
complex sets of situation-types represent the accumulated effects of all the 
operations which have occurred, without representing the order of 
application of those operations, there is nothing in the definition of 
REFUTE that requires that a specific order of operations be carded our 
Someone might refi~te an argument very efficiently: someone else. only after 
a series of false starts or after the introduction of numerous irrelevancies. 
The end result would be, and should be. the same. from a speech act- 
theoretic point of view. 
This characterization of speech acts, as the end states of a derivation on a 
sequence of situation typeS, explains naturally some of the culture-relative 
characteristics of supra-utterance speech acts. To take but one example, it 
has been noted in Taylor (1971) that in agrarian JapaneSe society there is no 
notion that corresponds to NEGOTIATE. Clearly. given the manifest 
success of urban Japanese u} obtain lucrative foreign contracts, the absence 
of such a spcech act-type among rural Japanese cannot be attributed to facts 
of the Japanese language. What we could say, given the approach here. is 
that the set of situation-types which is the cnd-stata of NEGOTIATE is not. 
par of the inventory of distinguished speech act-types in the rural Japanese 
"diseou rsc dialecL" 
6. SOME EXAMPI,F.S OF SPEECH ACT-TYPES 
The fullnwing sets of situatinn-types can serve as examples of the s~tes 
achieved by several simple, eonstativc speech act-types. As before, the 
taxonomic features are based on Bach and Harnish (1979), with speaker, S, 
addressee(s), A, and proposition, P. 
INFORM P 
Sl: s ~(.~.~, S, P) = 1 
s2: s (believe, S, P) = 1 
s3: s (believe, A, P) = 1 
s 1, s 2, s 3 are in s d' 
REFRACT P 
Sl: s ~(_~t, S, P) = I 
s2: s (believe, S, NOT P) = 1 
s3: s (belier.c, S, P) = 1 
s 2 is in s d 
s I. s 3 are in s d' 
CONTRADICT P 
sl: s ~(.~£, S, NOT P) = 1 
s2: s (belicyc, S, NOT P) = 1 
s3: s (believe, A, P) = 1 
s 3 is in s d and s d' 
s 1, s 2 are in s d' 
The characterization of speech acts presentod here focuses on end-state 
conditions, hut clearly the starting statcs (specifically. the set of situation- 
types of the discourse situation and of the text from which an end-state is to 
be achieved) also affect speech act performance. A more complete 
specification of the initial and final states of the discourse pair of sets of 
situation-types for a variety of speech act-types, involving an elaboration of 
the role of inference cnahling functions and other constraints on the 
interpretation of uRerances~ is given in L:vans (in progress). 
115 
FOOTNOTES: 
I. Work on this papcr was s,,pportcd in part by a fellowship from the 
Stanford Cognitive Scicnce Grou~. I am deeply indebted to Jon Bar)vise 
for long and patient discussions of the ideas presented here. and to Dwight 
Bolinger. Jerry Hobbs. John Perry. lvar Tunisson. Tom Wasow, and "Ferry 
Winograd fi)r valuable comments and suggestions. 1 have aJso profited from 
conversauons with Ray Pcrrault and the SRI T\[NLUNCH discussion group 
on matters indircctly rclatcd co those di,~usscd here. Of course. \[ alone 
remain respo,siblc for crrors, omissions, and other def¢icncies. 
2. It has been pointed out m me by Dwight Bolinger that some utterances 
in Spanish in the past tense can count as direct speech act promises (e.g. Un 
momemo y acab~.). "\['his sort of promise is similar to the English 
exclamation. Do,eL which can be used in sufficiently constrained contexts 
to effect a promise or commitment. 
3. This particular examplc was first brought to my 'attention by Terry 
Winograd. 
4. it is clear that strongly demonstrativc dcfinite referring expressions using 
this or that do not manifest this sort of inappropriateneSS. 
5. The observation that this context seems to be servicing an explanation 
was first madc by John Perry in a discussion of these data. 
6. Thc notion of semantics I am employing shemld be understood as 
including certain features usually segregated under praEmatics. 
7. l\[ would be outsidc thc realm of speech acts proper to consider the third 
horse in this scmiotic troika: what a speakcr actually achieves by his 
uttcrancc, i.e. bow his utterance aftL'cts the addressee - the perlncudonary 
effect. "\['his three-way contrast was first articulated by Austin (cf. Austin 
( 1%2: lOOfl)). 
g. Attempts to incorporate this aspect of actual discourse into models of 
discourse processcs are certainly not new. in artificial intelligence 
applications, episodic mcmoq, has been used m maintain representations of 
the discourse situation, as, for example, in Grosz (1977). Hobbs (1976). 
Mann. el al. (1977). and elscwbere. 
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