optimality theory (prince & smolensky 1993). outline phonetics and phonology ot characteristics...
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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 __ Y SD: 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-basedAlternations in Turkish (Clements & Keyser, 1983):
Accusative Nominative AblativeDegemination:‘feeling’ hiss+i his his+ten ‘right’ hakk+i hak hak+tan
Epenthesis:‘transfer’ devr+i devir devir+den‘abdomen’ karn+ karn karn+dan
Vowel shortening:‘time’ zama:n+i zaman zaman+dan‘proof’ isapa:t+i ispat ispat+tan
Why output-oriented?Not all phonology is derivationally-basedAlternations in Turkish (Clements & Keyser, 1983):
Accusative Nominative AblativeDegemination:‘feeling’ hiss+i his his+ten ‘right’ hakk+i hak hak+tan
Epenthesis:‘transfer’ devr+i devir devir+den‘abdomen’ karn+ karn karn+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
Potentially Conflicting, Soft Constraints
• Optimality Theory is a theory of language and grammar in which well-formedness constraints on outputs determine grammaticality
• 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
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
• GENgenerates a set of candidate outputs• e.g. stress assignment papapa• candidates: pápapa; papápa; papapá
OT-grammar
• GENgenerates 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 ‘’)
OT-tableau
constr 2 constr 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
Learning First Language
Learning a language comes down to
resolving possible constraint conflicts by ranking the unordered
UG-constraints in a strict dominance
hierarchy
Tableau Steven Stage (1;9)
*COMPL MAX-IO Hons/stul/
[stul]
[ul]
[sul]
[tul]
*
*!
*
*
**
/s/!
/t/
ONS
syllabe
(2;0) onset rhyme
margin nucleus
pre-m. m.core satellite peak satellite coda app.
s x a p
Positional Markedness
Tableau Dutch Ranking
*COMPLMAX-IO Hons/stul/
[stul]
[ul]
[sul]
[tul]
*!*
*!
*
*!
*
/s/
/st/
/t/
ONS
Tableau Dutch Ranking
*COMPLMAX-IO Hons/stul/
[stul]
[ul]
[sul]
[tul]
*!*
*!
*
*!
*
/s/
/st/
/t/
ONS
(2;1)
syllabe
(1,11) onset rhyme
margin nucleus
pre-m. m.core satellite peak satellite coda app.
x t
OT: Hmar: /t/ > /x/
syllabe
(2,2) onset rhyme
margin nucleus
pre-m. m.core satellite peak 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
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 >> AlignRconspiracy of different influences
determines the most optimal output
OT vs. PARAMETER SYSTEM:Parameters: Choice: Setting:Foot Type: Quantity In-/Sensitive QSFoot Size: Bounded/Unbounded BoundedDirection: Right to Left/L to R RLExtrametricality: Yes/No YesEdge of Extrametr.: Left/Right Rightetc.
OT ranking
Peak-Prominence >> Nonfinality >> AlignRconspiracy of different influences
determines the most optimal output
OT vs. PARAMETER SYSTEM:extrametricality parameter: wrong outputs for
ki.dhar - ja.naab - etc.RL scan sees no difference between final heavy ’s:
ru.pi.aa - ru.kaa.yaa - reez.ga.riiLR 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
constraints /ma/ candidates
IDENT-(place)-IO
IDENT-(voice)-IO
IDENT-(nas)-IO
FEAT-MK
IDENT-(cont)-IO
IDENT-(lat)-IO
IDENT-(rhot)-IO
[ma] ***
[pa] *† * *
[ba] *† **
[ta] *† * *
[da] *† * *