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Optimality Theory (Prince & Smolensky 1993). Outline. Phonetics and Phonology OT Characteristics Output-Oriented Conflicting Soft Well-formedness Constraints OT Grammar Families of Constraints OT-Tableau Example: Cluster Reduction in First Language Acquisition Data The Merits of OT.

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Optimality Theory (Prince & Smolensky 1993)


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    1. Optimality Theory (Prince & Smolensky 1993)

    2. Outline • Phonetics and Phonology • OT Characteristics • Output-Oriented • Conflicting Soft Well-formedness Constraints • OT Grammar • Families of Constraints • OT-Tableau • Example: Cluster Reduction in First Language Acquisition Data • The Merits of OT

    3. Concept Derivationally- based Phonology(Chomsky & Halle 1968) • Structural Description (SD): identifies class of inputs (= stored lexical forms) • Structural Change (SC): specifies operations that change the input Chomsky (1976): writing a rule does not constitute a solution to a problem; writing a rule is merely a statement of a problem A  B / X __ Y SD: XAY SC: XAY  XBY

    4. Optimality Theory(Prince & Smolensky 1993) • Optimality Theory is a theory of language and grammar in which well-formedness constraints on outputs determine grammaticality If you don’t want phonology to be just a technique for data-compression, you have to seek the locus of explanatory action elsewhere (Prince & Smolensky, 1993)

    5. Why output-oriented?Not all phonology is derivationally-based Alternations in Turkish (Clements & Keyser, 1983): Accusative Nominative Ablative Degemination: ‘feeling’ hiss+i his his+ten ‘right’ hakk+i hak hak+tan Epenthesis: ‘transfer’ devr+i devir devir+den ‘abdomen’ karn+ karn karn+dan Vowel shortening: ‘time’ zama:n+i zaman zaman+dan ‘proof’ isapa:t+i ispat ispat+tan

    6. Why output-oriented?Not all phonology is derivationally-based Alternations in Turkish (Clements & Keyser, 1983): Accusative Nominative Ablative Degemination: ‘feeling’ hiss+i his his+ten ‘right’ hakk+i hak hak+tan Epenthesis: ‘transfer’ devr+i devir devir+den ‘abdomen’ karn+ karn karn+dan Vowel shortening: ‘time’ zama:n+i zaman zaman+dan ‘proof’ isapa:t+i ispat ispat+tan Output Constraint: Turkish syllables cannot exceed the structure CVC/CVV

    7. Potentially Conflicting, Soft Constraints • Optimality Theory is a theory of language and grammar in which well-formedness constraints on outputs determine grammaticality

    8. Potentially Conflicting, Soft Constraints • Optimality Theory is a theory of language and grammar in which well-formedness constraints on outputs determine grammaticality • These constraints apply simultaneously to representations of structures. They are potentially conflicting and they are soft, which means violable

    9. Potentially Conflicting, Soft Constraints • These constraints apply simultaneously to representations of structures. They are potentially conflicting and they are soft, which means violable

    10. Example Foot () Syllable () Syllable () p pa

    11. Conflicting Constraints • Nonfinality: stress never falls on the last  • Peak Prominence: stress falls on the heaviest  constraints  nonfinality peak prominence candidates   . . *! * stress application

    12. Conflicting Constraints • Nonfinality: stress never falls on the last  • Peak Prominence: stress falls on the heaviest  constraints  peak prominence nonfinality candidates  . *!  . * stress application

    13. OT-grammar • GEN generates a set of candidate outputs • e.g. stress assignment papapa • candidates: pápapa; papápa; papapá

    14. OT-grammar • GEN generates a set of candidate outputs • e.g. stress assignment papapa • candidates: pápapa; papápa; papapá • H-EVAL determines the relative harmony of the possible output structures and evaluates which one satisfies the relevant constraints best: the optimal output (indicated by ‘’)

    15. OT-tableau constr 1 constr 2 constr 3 constr 4 input *! output 1 * * output 2  output 3 * *! vertical: all output candidates ( is optimal output) horizontal: constraint 1 dominates constraint 2; 2 >> 3, etc. *: output violates constraint (*!: violation is fatal) grey cell: evaluation is irrelevant.

    16. Families of Constraints • Markedness (prefers unmarked structures): • ONS: syllables must have onsets • *CODA: syllables must not have a coda more harmonic than one of lower/higher sonority • Hnuc/Hmar: A higher/lower sonority nucleus is • Correspondence (ensures diversity): relates elements of different strings (e.g. inputs and outputs) • MAX-IO: every segment of the input has a correspondent in the output (prohibits deletion) • DEP-IO: every segment of the output has a correspondent in the input (prohibits epenthesis) • Alignment (refers to constituent edges)

    17. Families of Constraints • Markedness (prefers unmarked structures): • ONS: syllables must have onsets • *CODA: syllables must not have a coda • *COMPLEX: no clusters of consonants (1;2) (1;3)

    18. Families of Constraints • Correspondence (ensures diversity): relates elements of different strings (e.g. inputs and outputs) • MAX-IO: every segment of the input has a correspondent in the output (prohibits deletion) • DEP-IO: every segment of the output has a correspondent in the input (prohibits epenthesis) (3;0)

    19. Families of Constraints • Alignment (refers to constituent edges) Align (Cat1,Edge1,Cat2,Edge2) =def  Cat1  Cat2 in such a way that Edge1 of Cat1 and Edge2 of Cat2 coincide violation of alignment: morphology: aard # appel phonology: aar $ dap $ pel (1;11)

    20. OT and UG • At least an important subset of constraints is shared by all languages, forming part of Universal Grammar

    21. OT and UG • At least an important subset of constraints is shared by all languages, forming part of Universal Grammar • Individual languages rank these universal constraints differently in their language-specific hierarchies in such a way that higher ranked constraints have total dominance over lower ranked constraints

    22. OT-tableau Berber constraints  ONS Hnuc candidates  Ul *!  wL input /ul/ /u/ /l/

    23. OT-tableau Dutch constraints  Hnuc ONS candidates   Ul /u/ wL /l/! input /ul/ *

    24. First LanguageAcquisition in Optimality Theory

    25. Learning First Language Learning a language comes down to resolving possible constraint conflicts by ranking the unordered UG-constraints in a strict dominance hierarchy

    26. Example: Cluster Reduction in First Language Acquisition Data (1;9)

    27. Tableau Steven Stage (1;9) // *COMPL ONS MAX-IO Hons *! [] /k/  [] * [] /l/! * [] * **

    28. Tableau Steven Stage (1;9) /stul/ *COMPL ONS MAX-IO Hons [stul] *! /s/! [sul] *  [tul] /t/ * [ul] * **

    29. Positional Markedness syllabe (2;0) onset rhyme margin nucleus pre-m. m.core satellite peak satellite coda app. s x a p

    30. Tableau Dutch Ranking /stul/ MAX-IO *COMPL ONS Hons * /st/  [stul] *! /s/ [sul] [tul] *! /t/ [ul] *!* *

    31. Tableau Dutch Ranking /stul/ MAX-IO *COMPL ONS Hons * /st/  [stul] *! /s/ [sul] [tul] *! /t/ [ul] *!* * (2;1)

    32. OT: Hmar: /t/ > /x/ syllabe (1,11) onset rhyme margin nucleus pre-m. m.core satellite peak satellite coda app.  x t

    33. OT: Hmar: /t/ > /s/ syllabe (2,2) onset rhyme margin nucleus pre-m. m.core satellite peak satellite coda app. k  r s t

    34. Merits of OT (1) Conspiracy of Different Influences Hindi Heaviness Scale: • superheavy  VVC; VCC • heavy  VV; VC • light  V

    35. Peak Prominence in Hindi ki.dhar ja.naab as.baab ru.pi.aa reez.ga.rii

    36. Nonfinality in Hindi • avoidance of stress on final syllable (in event of a tie) trad. analysis: extrametricality/stress shift/destressing sa.mi.ti ru.kaa.yaa aas.maan.jaah

    37. OT ranking Peak-Prominence >> Nonfinality >> AlignR conspiracy of different influences determines the most optimal output

    38. OT ranking Peak-Prominence >> Nonfinality >> AlignR conspiracy of different influences determines the most optimal output OT vs. PARAMETER SYSTEM: Parameters: Choice: Setting: Foot Type: Quantity In-/Sensitive QS Foot Size: Bounded/Unbounded Bounded Direction: Right to Left/L to R RL Extrametricality: Yes/No Yes Edge of Extrametr.: Left/Right Right etc.

    39. OT ranking Peak-Prominence >> Nonfinality >> AlignR conspiracy of different influences determines the most optimal output OT vs. PARAMETER SYSTEM: extrametricality parameter: wrong outputs for ki.dhar - ja.naab - etc. RL scan sees no difference between final heavy ’s: ru.pi.aa - ru.kaa.yaa - reez.ga.rii LR scan sees no difference between initial superheavy ’s: reez.ga.rii - aas.maan.jaah

    40. Merits of OT (2) The Emergence of the Unmarked: If two candidate outputs tie on all dominating constraints, the choice depends on the influence of a low-ranked constraint. cf. principles & parameters theory: Dutch ONS: not obligatory; Dutch Coda: not forbidden constraints  C1 C2 C3 C4 ... ONS *CODA candidates   $  * *! *   $  * * syllabification

    41. Merits of OT (3) Relative Grammaticality

    42. OT: Work in Progress • how to restrict the number of constraints? • variability • deflective systems • what’s in GEN? • what’s an input? • levels of representation/ cyclicity