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Grammar as Choice . Conflict, concord, & optimality. Choice. Grammar involves Multi-criterion Decision Making Similar problems arise in cognitive psychology (Gigerenzer, Kahneman, Tversky), economics (Arrow), neural networks (Smolensky), politics, operations research, and so on. - PowerPoint PPT Presentation
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Grammar as Choice
Conflict, concord, & optimality
2
Choice
• Grammar involves Multi-criterion Decision Making
• Similar problems arise in cognitive psychology (Gigerenzer, Kahneman, Tversky), economics (Arrow), neural networks (Smolensky), politics, operations research, and so on.
• Many factors interact to determine the form of words, phrases, sentences,…
• They need not be remotely in agreement about the best outcome or course of action.
3
The Three Pillars of Decision
• What are the alternatives?– from which one must choose.
• What are the criteria?– which evaluate the alternatives.
• How do the many criteria combine into a single decision?– given pervasive conflict among them.
4
Alternatives
• The generative stance: the alternatives are actions
• They modify, structure, re-structure, or preserve an input
• As a result, an output is defined.
• The choice is among different (In,Out) pairings.
5
An Example
• The Regular Past Tense of English
Spelled Pronounced Observed Suffixmassed mæst -tnabbed næbd -dpatted pætəd -əd
6
An Example
• The Regular Past Tense of English
Spelled Pronounced Observed Suffixmassed mæst -tnabbed næbd -dpatted pætəd -əd
7
An Example
• The Regular Past Tense of English
Spelled Pronounced Observed Suffixmassed mæst -tnabbed næbd -dpatted pætəd -əd
No overlap in distribution of suffix variants
8
An Example
• The Regular Past Tense of English
Spelled Pronounced Observed Suffixmassed mæst -tnabbed næbd -dpatted pætəd -əd
No overlap in distribution of suffix variants
Suffix variants highly similar phonetically
9
An Example
• The Regular Past Tense of English
Spelled Pronounced Observed Suffixmassed mæst -tnabbed næbd -dpatted pætəd -əd
No overlap in distribution of suffix variants
Suffix variants highly similar phonetically
Choice of variant entirely predictable on general grounds
10
Regular Past Tense Suffix
-t-ed
-d
-t -ed
-d
Regular Past Tense Suffix
d
-t -ed
-d
Regular Past Tense Suffix
d
Similarity ← Identity There is just one suffix: /d/
13
Lexical Representation
Lexical Representation• ‘massed’ mæs+d• ‘nabbed’ næb+d• ‘patted’ pæt+d
• Relations Elementary Actions d d nild t devoiced -əd insert
14
Dilemmas of Action
• Reluctance +voi –voi doesn’t remove all b,d,g’s from the language Ø ə doesn’t spray schwas into every crevice
• Compliance– Faithful reproduction of input not possible:
• *mæsd, * pætd Action is taken only to deal with such problems
• Choices, choices– Insertion solves all problems. Yet we don’t always do it.
*mæsəd is entirely possible (cf. ‘placid’)
15
The Two Classes of Criteria
Markedness. Judging the outcome. e.g.
*Diff(voi). (Final) Obstruent clusters may not differ in voicing.*pd, *bt, *td, *ds, *zt, etc.
*Gem. Adjacent consonants may not be identical.*tt, *dd, *bb,… [in pronunciation]This analysis follows Bakovic 2004.
Faithfulness. Judging the action.Input=Output in a certain property
Every elementary action is individually proscribed: e.g.NoDevoicing.NoInsertion.NoDeletion.
16
The Two Classes of Criteria
Markedness. Judging the outcome. e.g.
*Diff(voi). (Final) Obstruent clusters may not differ in voicing.*pd, *bt, *td, *ds, *zt, etc.
*Gem. Adjacent consonants may not be identical.*tt, *dd, *bb,… [in pronunciation]This analysis follows Bakovic 2004.
Faithfulness. Judging the action.Input=Output in a certain property
Every elementary action is individually proscribed: e.g.NoDevoicing.NoInsertion.NoDeletion.
17
The Two Classes of Criteria
Markedness. Judging the outcome.Demands compliance with output standards
Faithfulness. Judging the action.
Enforces reluctance to act
18
Penalties
• Constraints assess only penalties– no rewards for good behavior
• Actions are reluctant because constraints on action always favor inaction — by penalizing change.
• Actions happen because constraints on outcome force violation of constraints against action.
19
Conflicts Abound
• The faithfulness constraints disagree among themselves
• And M:*Diff disagrees with F:NoDevoicing.
*Gem *Diff NoIns NoDev Action
W: mæs+d mæst 0 0 0 1 dev
L: mæsəd 0 0 1 0 ins
L: mæsd 0 1 0 0 nil
20
Conflicts Abound
• The faithfulness constraints disagree among themselves
*Gem *Diff NoIns NoDev Action
W: mæs+d mæst 0 0 0 1 dev
L: mæsəd 0 0
1 W 0 L ins
L: mæsd 0 1 W 0 0 L nil
W marks preference for desired winner; L preference for desired loser
21
Conflicts Abound
• The faithfulness constraints disagree among themselves
• And M:*Diff disagrees with F:NoDev.
*Gem *Diff NoIns NoDev Action
W: mæs+d mæst 0 0 0 1 dev
L: mæsəd 0 0
1 W 0 L ins
L: mæsd 0 1 W 0 0 L nil
22
All Conflicts Resolved
• Impose a strict priority order ‘>>’ on the set of constraints– Here: *Gem, *Diff >> NoIns >>NoDel
• In any pairwise comparison of x vs. yx y ‘x is better than y’
iff the highest-ranked constraint distinguishing x from y prefers x.
• Optimal. x is optimal iff x y for every y y violationwise distinct from x
23
Lexicographic
• Better Than, ‘’: lexicographic order on the alternatives.– Sort by the highest ranked constraint
• If it does not decide, on to the next highest.– And so on.
• Like sorting by first letter (able < baker)– and then the next, if that doesn’t decide: (aardvark<abacus)
• and then the next (azimuth < azure), and so on.
• Or ordering numerals by place 100 < 200 119 < 130 2235 < 2270
24
Optimality Theory
• Alternatives. – A set of (input,output) pairs.– A given input is matched with every possible output.
• Criteria.– A set of constraints, of two species
• Markedness: judging outcomes• Faithfulness: judging actions
• Collective judgment.– Derives from a strict prioritization of the constraint set.
• Imposes lexicographic order on alternatives. Take the best.
25
Universality
To make maximal use of theoretical resourcesand minimal commitment to extraneous devices, assume:
• Fixed. – The set of alternatives is universal.
• Fixed. – The set of constraints is universal.
• Varying. – Languages differ freely in the ranking of the constraint set.
Harmonic Ascent
Getting better all the time
27
Beyond Replication
• Faithful mapping: In=Out‘nabbed’ næb+d næbd
• What does it take to beat the faithful candidate?– Moreton 2002, 2004 asks and answers this question.
• Fully Faithful xx satisfies every F constraint.– Nothing can do better than that on the F’s.
• Nonfaithful xy beats faithful xx iff– The highest ranked constraint distinguishing them
prefers xy
28
Beyond Replication
• Faithful mapping: In=Out‘nabbed’ næb+d næbd
• What does it take to beat the faithful candidate?– Moreton 2002, 2004 asks and answers this question.
• Fully Faithful xx satisfies every F constraint.– Nothing can do better than that on the F’s.
• Nonfaithful xy beats faithful xx iff– The highest ranked constraint distinguishing them
prefers xy
29
Triumph of Markedness
That decisive constraint must be a Markedness constraint.– Since every F is happy with the faithful candidate.
30
Triumph of Markedness
That decisive constraint must be a Markedness constraint.– Since every F is happy with the faithful candidate.
M:*Gem M:*Diff F:NoIns NoDev Action
W: pæd+d pædəd 0 0 1 0 Ins
L: pædd 1 W 0 0 L 0 faithful
31
Harmonic Ascent = Markedness Descent
• For a constraint hierarchy H, let H|M be the subhierarchy of Markedness constraints within it.
• If H:α φ, for φ fully faithful, then H|M: α φ– If things do not stay the same, they must get better.
• Analysis and results due to Moreton 2002, 2004.
32
Markedness Rating by H|M
M: *Diff(voi) >> M:*Voi
pt, bd (0) pt (0)bd (2)
bt, pd (1) bt, pd (1)
Good
Bad
Constraints from Lombardi 1999
Note lexicographic refinement of classes
33
Markedness-Admissible Mappings
pt
bd
bt pd
Good
Bad
Where you stop the ascent, and if you can, depends on H|F.
34
Utterly Impossible Mappings
pt
bd
bt pd
Good
Bad
35
Consequences of Harmonic Ascent
• No Circular Shifts in MF/OTShifts that happen– Western Basque (Kirchner 1995)
a → e alaba+a → alabeae → i seme+e → semie
– Catalan (Mascaró 1978, Wheeler 1979)nt → n kuntent → kuntenn → Ø plan → pla
Analyzed recently in Moreton & Smolensky 2002
36
No Circular Shifts
• Harmonic Ascent – Any such shift must result in betterment vis-à-vis H|M.– The goodness order imposed on alternatives is
• Asymmetric: NOT[ a b & b a]• Transitive: [a b & b c] a b
• Can’t have • x → y • y → z• z → x
• Such a cycle would give: x x (contradiction!)
37
Way Up ≠ Way Down
z
y
x
Good
Bad
38
Shift Data
• Large numbers exist– Moreton & Smolensky collect 35 segmental cases
• 3 doubtful, 4 inferred: 28 robustly evidenced.
• One potential counterexample– Taiwanese/ Xiamen Tone Circle– See Yip 2002, Moreton 2002, and many others for discussion.
39
Coastal Taiwanese Tone Shifts
Diagram from Feng-fan Hsieh, http://www.ling.nthu.edu.tw/teal/TEAL_oral_FengFan_Hsieh.pdf
40
Not the True Article?
• No basis in justifiable Markedness for shifts (Yip).
• “Paradigm Replacement” – Moreton 2002. Yip 1980, 2002. Chen 2002. Mortensen 2004.
Hsieh 2004. Chen 2000.
41
No Endless Shifts
NO: x → y →z → … → ……
42
No Endless Shifts
NO: x → y →z → … → ……
• E.g: “Add one syllable to input”
43
No Endless Shifts
NO: x → y →z → … → ……
• E.g: “Add one syllable to input”
• Because constraints only penalize, there is an end to getting better.
44
No Endless Shifts
NO: x → y →z → … → ……
• E.g: “Add one syllable to input”
• Because constraints only penalize, there is an end to getting better.
This is certainly a correct result.— we can add one syllable to hit a fixed target (e.g. 2 sylls.)
not merely to expand regardless of shape of outcome.
45
Conclusions
• Harmonic Ascent and its consequences nontrivial, since mod of theory can easily eliminate. E.g. ‘Antifaithfulness.’
• Design of the theory succeeds in taking property of atomic components (single M constraint) and propagating it to the aggregate judgment.
• Requires: transitive, asymmetric order, commitment to penalization, strict limitation to M & F constraints.
Concord
Nonconflict in OT
47
Constraints in conflict
C1 C2 a 0 1 b 1 0
48
Constraints in conflict
C1 C2 a 0 1 b 1 0 ab
49
Constraints in conflict
C1 C2 a 0 1 b 1 0 ab ba
50
Constraints need not conflict
B1 B2
a 0 0 b 0 1 c 1 1
51
Constraints need not conflict
B1 B2
a 0 0 b 0 1 c 1 1
52
Constraints need not conflict
B1 B2
a 0 0 b 0 1 c 1 1
ac ac
53
Constraints need not conflict
B1 B2
a 0 0 b 0 1 c 1 1
a ? b ab
54
Constraints need not conflict
B1 B2
a 0 0 b 0 1 c 1 1
ab
55
Constraints need not conflict
B1 B2
a 0 0 b 0 1 c 1 1
56
Constraints need not conflict
B1 B2
a 0 0 b 0 1 c 1 1
bc
57
Constraints need not conflict
B1 B2
a 0 0 b 0 1 c 1 1
acbc
acab
58
Constraints need not conflict
B1 B2
a 0 0 b 0 1 c 1 1
a b c
regardless of ranking
59
Constraints and Scales
• Imagine a goodness scale a b c d
60
a b c d
Abstract Scale
better
61
Constraints and Scales
a b c d
• Consider every bifurcation: good bad
abc d B1 = *{d}
ab cd B2 = *{c,d}
a bcd B3 = *(b,c,d}
62
a b c d
B1
better
63
a b c d
B2
better
64
a b c d
B3
better
65
Binary Constraints in Stringency Relation
B1 B2 B3
a 0 0 0
b 0 0 1
c 0 1 1
d 1 1 1abc d ab cd a bcd
66
Generating Conflations
• From B1, B2, B3 any respectful coarsening of the scalemay be generated
• B1 & B2 = ab c d– i.e., abc d & abcd
• B2 & B3 = a b cd– i.e., abcd & a bcd
• B1 & B2 & B3 = a b c d and so on…
67
Generating Conflations
• From B1, B2, B3 any respectful coarsening of the scalemay be generated
• B1 & B2 = ab c d– i.e., abc d & abcd
• B2 & B3 = a b cd– i.e., abcd & a bcd
• B1 & B2 & B3 = a b c d and so on…
68
Generating Conflations
• From B1, B2, B3 any respectful coarsening of the scalemay be generated
• B1 & B2 = ab c d– i.e., abc d & abcd
• B2 & B3 = a b cd– i.e., abcd & abcd
• B1 & B2 & B3 = a b c d and so on…
69
Generating Conflations
• From B1, B2, B3 any respectful coarsening of the scalemay be generated
• B1 & B2 = ab c d– i.e., abc d & abcd
• B2 & B3 = a b cd– i.e., abcd & a bcd
• B1 & B2 & B3 = a b c d and so on…
70
a b c d
B1 & B2
better
71
Full DNC on 4 candidates
B1 B2 T12 B3 T13 T23 Q123
a 0 0 0 0 0 0 0
b 0 0 0 1 1 1 1
c 0 1 1 1 1 2 2
d 1 1 2 1 2 2 3
These Do Not Conflict
72
Full DNC on 4 candidates
B1 B2 T12 B3 T13 T23 Q123
a 0 0 0 0 0 0 0
b 0 0 0 1 1 1 1
c 0 1 1 1 1 2 2
d 1 1 2 1 2 2 3
73
Full DNC on 4 candidates
B1 B2 T12 B3 T13 T23 Q123
a 0 0 0 0 0 0 0
b 0 0 0 1 1 1 1
c 0 1 1 1 1 2 2
d 1 1 2 1 2 2 3
B1 + B2 = T12
74
a b c d
B1 & B2
better
77
Linguistic Scales
• Particularly informative is the relation between scales of relative sonority and placement of stress.
• This allows us to probe the varying behavior of similar scales across languages.
78
a eo iu schwa
Intrinsic Sonority of vowels
79
Sonority-Sensitive Stress
• Main-stress falls in a certain position– say, 2nd to last syllable: xXx
• Except when adjacent vowel has greater sonority– then the stronger vowel attracts the stress: Xxx
• This perturbation evidences the fine structure of the scale.
80
Sonority-Sensitive Stress
Chukchi (Kenstowicz 1994, Spencer 1999)
• Typically base-final when suffixed: xX+x jará-ŋa migcirét-əkreqokál-gən wiríŋ-ək welól-gən ekwét-ək piŋé-piŋ nuté-nut
• But one syll. back when stronger available: Xx+x céri-cer *cerí-cer e>i kéli-kel wéni-wen
81
Sonority-Sensitive Stress
• Schwa yields to any other vowel– ətlá– ?əló– ənré– γənín– γənún
a,o, e, i, u > ə
• But behaves normally with itself– ə́tləq– ə́ttəm– kə́tγət– cə́mŋə
ə = ə
NB. stress typically avoids the last syllable of the word.
82
Chukchi Scale
• These considerations motivate a scale like this:
aeo> iu > ə
• In terms of goodness of fit wrt stress:
áéó íú ə́
83
a eo iu schwa
Intrinsic Sonority of vowels
84
á é,ó í,ú ə́
Flattened Chukchi Scale
better
85
a b c d
B1 & B2
86
Achieving Chukchi
• How does this relate to the full scale that registers every level of distinction?
• To coarsen the scale in the Chukchi fashion,we must disable B3 and activate both B1 and B2.
• Ranking will yield this.
87
Ranking?
• How can the Bi’s be ranked? They don’t conflict!
88
Ranking?
• How can the Bi’s be ranked? They don’t conflict!
• Transitivity. Find a constraint C with which they conflict.
89
Ranking?
• How can the Bi’s be ranked? They don’t conflict!
• Transitivity. Find a constraint C with which they conflict.
{B1, B2} >> C
90
Ranking?
• How can the Bi’s be ranked? They don’t conflict!
• Transitivity. Find a constraint C with which they conflict.{B1, B2} >> C >> {B3}
91
Ranking?
• How can the Bi’s be ranked? They don’t conflict!
• Transitivity. Find a constraint C with which they conflict.{B1, B2} >> C >> {B3}
92
Ranking?
• How can the Bi’s be ranked? They don’t conflict!
• Transitivity. Find a constraint C with which they conflict.{B1, B2} >> C >> {B3}
Here C demands stress in a certain position
93
The Hierarchy
• B1, B2 >> POS >> B3
94
The Hierarchy
• B1, B2 >> POS >> B3– Stress flees from ə to iueoa (B1)
95
The Hierarchy
• B1, B2 >> POS >> B3– Stress flees from ə to iueoa (B1)– Stress flees from əiu to eoa (B2)
96
The Hierarchy
• B1, B2 >> POS >> B3– Stress flees from ə to iueoa (B1)– Stress flees from əiu to eoa (B2)– The distinction eo/a is ignored (B3)
97
The Hierarchy
• B1, B2 >> POS >> B3– Stress flees from ə to iueoa (B1)– Stress flees from əiu to eoa (B2)– The distinction eo/a is ignored.
• Conjunctivity.
– Because B1 and B2 do not conflict, their demands are both met.
– see Samek-Lodovici & Prince 1999, 21 ‘Favoring Intersection Lemma’
98
The Optima
• B1,B2 >> POS >> B3
W ~ L B1 = *ə B2 = *íúə POS B3 = *éóíúə
99
The Optima
• B1,B2 >> POS >> B3
W ~ L B1 = *ə B2 = *íúə POS B3 = *éóíúə
1. jará-ŋa ~ jára-ŋa W
100
The Optima
• B1,B2 >> POS >> B3
W ~ L B1 = *ə B2 = *íúə POS B3 = *éóíúə
1. jará-ŋa ~ jára-ŋa W
2. jatjólte ~ játjolte W L
101
The Optima
• B1,B2 >> POS >> B3
W ~ L B1 = *ə B2 = *íúə POS B3 = *éóíúə
1. jará-ŋa ~ jára-ŋa W
2. jatjólte ~ játjolte W L
3. kélikel ~ kelíkel W L
102
The Optima
• B1,B2 >> POS >> B3
W ~ L B1 = *ə B2 = *íúə POS B3 = *éóíúə
1. jará-ŋa ~ jára-ŋa W
2. jatjólte ~ játjolte W L
3. kélikel ~ kelíkel W L
4. ətlá ~ ə́tla W L
103
The Optima
• B1,B2 >> POS >> B3
W ~ L B1 = *ə B2 = *íúə POS B3 = *éóíúə
1. jará-ŋa ~ jára-ŋa W
2. jatjólte ~ játjolte W L
3. kélikel ~ kelíkel W L
4. ətlá ~ ə́tla W L
5. ə́tləq ~ ə́tləq W
104
The Ranking
• B1,B2 >> POS >> B3
W ~ L B1 = *ə B2 = *íúə POS B3 = *éóíúə
1. jará-ŋa ~ jára-ŋa W
2. jatjólte ~ játjolte W L3. kélikel ~ kelíkel W L4. ətlá ~ ə́tla W L5. ə́tləq ~ ə́tləq W
106
Currently Known Conflations
ə i/u e/o a Exemplar Determining Constraints
ə i/u e/o a Yil B1
ə i/u e/o a Chukchi B1, B2
ə i/u e/o a Kobon B1, B2, B3
ə i/u e/o a Nganasan B2
ə i/u e/o a Kara B3
ə i/u e/o a Gujarati B1, B3
Adapted from de Lacy 2002
107
Conclusion
• All types currently attested except B2+B3
• Assumptions– Simplest binary interpretation of scale in constraints– Free ranking of all constraints, as usual
• Result– All respectful collapses are generated– Nonconflict automatically provides a theory of scales in OT
Optimality
Harmonic bounding
109
Here Comes Everybody
• Alternatives. Come in multitudes.
• But many rankings produce the same optima.– Not all constraints conflict
• Extreme formal symmetry to produce all possible optima– Not often encountered ecologically
110
Completeness & Symmetry
Perfect System on 3 constraints.
C1 C2 C3
α-1 0 1 2
α-2 0 2 1
α-3 1 0 2
α-4 1 2 0
α-5 2 0 1
α-6 2 1 0
111
Completeness & Symmetry
Perfect System on 3 constraints.
C1 C2 C3
α-1 0 1 2
α-2 0 2 1
α-3 1 0 2
α-4 1 2 0
α-5 2 0 1
α-6 2 1 0
112
Completeness & Symmetry
Perfect System on 3 constraints.
C1 C2 C3
α-1 0 1 2
α-2 0 2 1
α-3 1 0 2
α-4 1 2 0
α-5 2 0 1
α-6 2 1 0
113
Completeness & Symmetry
Perfect System on 3 constraints.
C1 C2 C3
α-1 0 1 2
α-2 0 2 1
α-3 1 0 2
α-4 1 2 0
α-5 2 0 1
α-6 2 1 0
114
Optima and Alternatives
• Limited range of possible optima – Much, much less than n! for n constraint system
• But there are Alternatives Without Limit.– Augmenting actions (insertion, adjunction, etc.) increase size
and number of alternatives, no end in sight.
• Where is everybody?
115
Harmonic Bounding
• Many candidates — ‘almost all’ — can never be optimal
116
Harmonic Bounding
• Many candidates — ‘almost all’ — can never be optimal
• Example: Profuse insertion
*Gem *Diff NoIns NoDev Action
a. pæd+d pædəd 0 0 1 0 Ins
b. əpædəd 0 0 2 0 Ins x 2
117
Harmonic Bounding
• Many candidates — ‘almost all’ — can never be optimal
• Example: Profuse insertion
*Gem *Diff NoIns NoDev Action
a. pæd+d pædəd 0 0 1 0 Ins
b. əpædəd 0 0 2 0 Ins x 2
Candidate (b) has nothing going for it. It is equal to (a) — or worse than it — on every constraint
118
Harmonic Bounding
• Attempt the overinserted candidate as desired optimum
• It can’t win this competition: – no constraint prefers it, – and one prefers its competitor !
W ~ L *Gem *Diff NoIns NoDev
pæd+d əpædəd ~ pædəd L
119
Harmonic Bounding
• Generically
• If there is no constraint on which α β, for α β violationwise, — no W in the row — and at least one L —
then α can never be optimal.
• β is always better, so α can’t be the best– Even if β itself is not optimal, or not possibly optimal !
• e.g. 19 is not the smallest positive number because 18<19.
W ~ L C1 C2 C3 … Cn
α~β L (L)
120
Harmonic Bounding
• Harmonic Bounding is a powerful effect– E.g. Almost all insertional candidates are bounded– This gives us a highly predictive theory of insertion
121
Harmonic Bounding
• Harmonic Bounding is a powerful effect– E.g. Almost all insertional candidates are bounded– This gives us a highly predictive theory of insertion
• Even though there are no restrictions on insertions at all in defining the set of possible alternatives!
122
Harmonic Bounding
• Harmonic Bounding is a powerful effect– E.g. Almost all insertional candidates are bounded– This gives us a highly predictive theory of insertion
• Even though there are restrictions on insertion at all in defining the set of possible alternatives!
• But we’re not done. – Simple Harmonic Bounding works without ranking– Any positively weighted combination of violation scores will show
the effect.
123
Collective Harmonic Bounding
• A ranking will not exist unless all competitions can be won simultaneously
• Neither C1 nor C2 may be ranked above the other– If C1>>C2, then δ α– If C2 >>C1 then β α
• β and δ cooperate to stifle α
W ~ L C1 C2
α ~ β W L
α ~ δ L W
124
Collective Harmonic Bounding
• An example from Basic Syllable Theory
/bk/ No-Del No-Ins Action
bk ba 1 1 Ins+Del
ba.ka. 0 2 Ins x 2
ØØ 2 0 Del x 2
125
Collective Harmonic Bounding
• An example from Basic Syllable Theory
/bk/ No-Del No-Ins Action
bk ba 1 1 Ins+Del
ba.ka. 0 L 2 W Ins x 2
ØØ 2 W 0 L Del x 2
126
Collective Harmonic Bounding
• The middle way is no way.
β 0 2
* α 1 1
δ 2 0
127
General Harmonic Bounding
• Def. Candidate α is harmonically bounded by a nonempty set of candidates B, xB, over a constraint set S iff for every xB, and for every CS,
if C: αx, then there is a yB such that C: yα.
• If any member of B is beaten by α on a constraint C, another member of B comes to the rescue, beating α.– If any α~x earns W, then some α~y earns L.– If B has only one member, then α can never beat it.
• No harmonically bounded candidate can be optimal.
128
General Harmonic Bounding
• Def. Candidate α is harmonically bounded by a nonempty set of candidates B, xB, over a constraint set S iff for every xB, and for every
CS, if C: αx, then there is a yB such that C: yα.
• If any member of B is beaten by α on a constraint C, another member of B comes to the rescue, beating α.– If any α~x earns W, then some α~y earns L.– If B has only one member, then α can never beat it.
• No harmonically bounded candidate can be optimal.
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General Harmonic Bounding
• Def. Candidate α is harmonically bounded by a nonempty set of candidates B, xB, over a constraint set S iff for every xB, and for every
CS, if C: αx, then there is a yB such that C: yα.
• If any member of B is beaten by α on a constraint C, another member of B comes to the rescue, beating α.– If any α~x earns W, then some α~y earns L.– If B has only one member, then α can never beat it.
• No harmonically bounded candidate can be optimal.
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Some Stats
• Tesar 1999 studies a system of 10 prosodic constraints.– with a large number of prosodic systems generated
• Among the 4 syllable alternatives– ca. 75% are bounded on average– ca. 16% are collectively bounded (approx. 1/5 of bounding cases)
• Among the 5 syllable alternatives– ca. 62% are bounded– ca. 20% are collectively bounded (approx. 1/3 of bounding cases)
Calculated in Samek-Lodovici & Prince 1999
131
Some Stats
• Tesar 1999 studies a system of 10 prosodic constraints.– with a large number of prosodic systems generated
• Among the 4 syllable alternatives– ca. 75% are bounded on average– ca. 16% are collectively bounded (approx. 1/5 of bounding cases)
• Among the 5 syllable alternatives– ca. 62% are bounded– ca. 20% are collectively bounded (approx. 1/3 of bounding cases)
Calculated in Samek-Lodovici & Prince 1999
132
Bounding in the Large
• Simple Harmonic Bounding is ‘Pareto optimality’– An assignment of goods is Pareto optimal or ‘efficient’ if there’s
no way of increasing one individual’s holdings without decreasing somebody else’s.
– Likewise, it is non-efficient if someone’s holdings can be increased without decreasing anybody else’s.
– A simply bounded alternative is non-Pareto-optimal. We can better its performance on some constraint(s) without worsening it on any constraint.
• Collective Harmonic Bounding is the creature of freely permutable lexicographic order.– See Samek-Lodovici & Prince 1999 for discussion.
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Intuitive Force of Bounding
• Simple Bounding relates to the need for individual constraints to be minimally violated.
• If we can get (0,0,1,0) we don’t care about (0,0,2,0).
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Intuitive Force of Bounding
• Collective Bounding reflects the taste of lexicographic ordering for extreme solutions.
• If a constraint is dominated, it will accept any number of violations to improve the performance of a dominator.
• There is no compensation for a high-ranking violation• If (1,1) meets (0,k), the value of k is irrelevant.
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Explanation from Bounding
• Bounded alternatives are linguistically impossible.
• Yet their impossibility is not due to a direct restriction on linguistic structure.
• Impossibility follows from the interaction of constraints under ranking.
• Explanation emerges from the architecture of the theory.
Grammar as Choice
Conclusion, retrospect, & overview
137
Among the Cognitive Sciences
• Perspectives on cognitive theory tend to bifurcate
discrete math continuous math
logic probability
symbolic featural
rule, constraint association
ordinal preference utility function
innate nihil in intellectu
See esp. Smolensky’s work for analysis
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Among the Cognitive Sciences
• OT sits on the left side of every opposition
• But in every case there is currently an active technical interchange between advocates and critics leading to new understanding of the relations between apparent dichotomies.
• In psychology of reasoning, e.g., Gigerenzer and colleagues argue for the use of criteria under lexicographic order.
139
Gigerenzer &Goldstein 1996
140
Fast and Frugal
• For Gigerenzer et al. the main contrast is with Bayesian probabilistic calculation over alternatives.
• Lexicographic choice is ‘one reason’ decision making– i.e. at the level of deciding between 2 alternatives– Therefore, fast and frugal.
• OT aims for neither speed nor frugality, but deploys the same mechanism of lexicographic decision-making
141
Looking Both Ways
• OT seeks to explain the basic properties of human language through a formal theory of the linguistic faculty.
• OT, as a lexicographic theory of ordinal preference, points toward new kinds of connections with the cognitive apparatus that acquires and uses grammatical knowledge.
142
Thanks
• Thanks to Vieri Samek-Lodovici, Paul Smolensky, John McCarthy, Jane Grimshaw, Paul de Lacy, Alison Prince, Adrian Brasoveanu, Naz Merchant, Bruce Tesar, Moira Yip.
143
Where to learn more about OT
• http://roa.rutgers.edu
• Many researchers have made their work freely available at the Rutgers Optimality Archive.
• Thanks to the Faculty of Arts & Sciences, Rutgers University for support.
144
References
ROA = http://roa.rutgers.edu
• Alderete, J. 1999. Morphologically governed accent in Optimality Theory. ROA-393.• Arrow, K. 1951. Social choice and Individual Values. Yale.• Bakovic, E. 2004. Partial Identity Avoidance as Cooperative Interaction. ROA-698.• Chen, M. 2000. Tone Sandhi. CUP.• de Lacy, Paul. 2002. The Formal Expression of Markedness. ROA-542.• Gigerenzer, G., P. Todd, and the ABC Research Group. Simple Heuristics that Make us Smart.
OUP.• Gigerenzer, G. and D. Goldstein. 1996. Reasoning the fast and frugal way: Models of bounded
rationality. Psych. Rev. 103, 650-669.• Hsieh, Feng-fan. 2004. Tonal Chain-shifts as Anti-neutralization-induced Tone Sandhi. In
Proceedings of the 28th Penn Linguistics Colloquium. http://web.mit.edu/ffhsieh/www/ANTS.pdf• Kager, R. Optimality Theory. [Textbook]. CUP.• Kirchner, 1995. Going the distance: synchronic chain shifts in OT. ROA-66.• Kirchner, Robert. 1996. Synchronic chain shifts in optimality theory. LI 27:2: 341-350.• Lombardi, L. 1999. Positional Faithfulness and Voicing Assimilation in Optimality Theory. NLLT
17, 267-302.• Lubowicz, A. 2002. Contrast Preservation in Phonological Mappings. ROA-554• Mascaró, J. 1978. Catalan Phonology and the Phonological Cycle. Ph. D.• dissertation, MIT. Distributed by Indiana University Linguistics Club.
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References
• McCarthy, J. 2002. A Thematic Guide to Optimality Theory. CUP.• McCarthy, J., ed. 2004. Optimality Theory in Phonology. Blackwell.• Moreton, E. 2002, 2004. Non-Computable Functions in Optimality Theory. ROA-364. Revised, in
McCarthy 2004, pp.141-163.• Moreton, E. and P. Smolensky. 2002. Typological consequences of local constraint conjunction.
ROA-525.• Mortensen, D. 2004. Abstract Scales in Phonology. ROA-667.• Prince, A. 1997ff. Paninian Relations. http://ling.rutgers.edu/faculty/prince.html• Prince, A.2002. Entailed Ranking Arguments. ROA-500• Prince, A. 2002. Arguing Optimality. ROA-562.• Prince, A. and P. Smolensky, 1993/2004. Optimality Theory: Constraint Interaction in Generative
Grammar. Blackwell. ROA-537.• Samek-Lodovici, V. and A. Prince. 1999. Optima. ROA-363.• Samek-Lodovici, V. and A. Prince. Fundamental Properties of Harmonic Bounding. RuCCS-TR-
71. http://ruccs.rutgers.edu/tech_rpt/harmonicbounding.pdf• Smolensky, P and G. Legendre. To appear 2005. The Harmonic Mind. MIT.• Spencer, A. 1999. Chukchee.
http://privatewww.essex.ac.uk/~spena/Chukchee/chapter2.html#stress• Wheeler, Max. 1979. Phonology of Catalan. Blackwell.• Yip, M. 2002. Tone. CUP.
Grammar as Choice
Conflict, concord, & optimality