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

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 __ YSD: XAY SC: XAY  XBY

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)

Why output-oriented? Not all phonology is derivationally-based Alternations in Turkish (Clements & Keyser, 1983): AccusativeNominativeAblative Degemination: ‘feeling’hiss+ihishis+ten ‘right’hakk+ihakhak+tan Epenthesis: ‘transfer’devr+idevirdevir+den ‘abdomen’karn+  kar  nkar  n+dan Vowel shortening: ‘time’zama:n+izamanzaman+dan ‘proof’isapa:t+iispatispat+tan

Why output-oriented? Not all phonology is derivationally-based Alternations in Turkish (Clements & Keyser, 1983): AccusativeNominativeAblative Degemination: ‘feeling’hiss+ihishis+ten ‘right’hakk+ihakhak+tan Epenthesis: ‘transfer’devr+idevirdevir+den ‘abdomen’karn+  kar  nkar  n+dan Vowel shortening: ‘time’zama:n+izamanzaman+dan ‘proof’isapa:t+iispatispat+tan Output Constraint: Turkish syllables cannot exceed the structure CVC/CVV

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 Potentially Conflicting, Soft Constraints

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

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

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

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

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

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

OT-tableau constr 2constr 3constr 1 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.

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)

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) 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) Families of Constraints

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

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

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

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

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

First Language Acquisition in Optimality Theory

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

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

Tableau Steven Stage (1;9) *COMPLMAX-IOHons/   / [   ] [  ] [   ] [  ]  * *! * * ** /k/ /l/! ONS

Tableau Steven Stage (1;9) *COMPLMAX-IOHons/stul/ [stul] [ul] [sul] [tul] * *! * * ** /s/! /t/  ONS

syllabe (2;0) onsetrhyme marginnucleus pre-m. m.core satellitepeak satellite coda app. s x a p Positional Markedness

Tableau Dutch Ranking *COMPLMAX-IOHons/stul/ [stul] [ul] [sul] [tul] *!* *! *  * /s/ /st/ /t/ ONS

Tableau Dutch Ranking *COMPLMAX-IOHons/stul/ [stul] [ul] [sul] [tul] *!* *! *  * /s/ /st/ /t/ ONS (2;1)

syllabe (1,11) onsetrhyme marginnucleus pre-m. m.core satellitepeak satellite coda app.  x t OT: Hmar: /t/ > /x/

syllabe (2,2) onsetrhyme marginnucleus pre-m. m.core satellitepeak satellite coda app. k  r s t OT: Hmar: /t/ > /s/

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

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

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

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

Merits of OT (2) constraints  C1 C2 C3 C4... ONS *CODA candidates   $  * *! *   $  * * 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 syllabification

Merits of OT (3) Relative Grammaticality

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