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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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Page 1: Grammar as Choice

Grammar as Choice

Conflict, concord, & optimality

Page 2: Grammar as Choice

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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.

Page 3: Grammar as Choice

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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.

Page 4: Grammar as Choice

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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.

Page 5: Grammar as Choice

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An Example

• The Regular Past Tense of English

Spelled Pronounced Observed Suffixmassed mæst -tnabbed næbd -dpatted pætəd -əd

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An Example

• The Regular Past Tense of English

Spelled Pronounced Observed Suffixmassed mæst -tnabbed næbd -dpatted pætəd -əd

Page 7: Grammar as Choice

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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

Page 8: Grammar as Choice

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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

Page 9: Grammar as Choice

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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

Page 10: Grammar as Choice

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Regular Past Tense Suffix

-t-ed

-d

Page 11: Grammar as Choice

-t -ed

-d

Regular Past Tense Suffix

d

Page 12: Grammar as Choice

-t -ed

-d

Regular Past Tense Suffix

d

Similarity ← Identity There is just one suffix: /d/

Page 13: Grammar as Choice

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Lexical Representation

Lexical Representation• ‘massed’ mæs+d• ‘nabbed’ næb+d• ‘patted’ pæt+d

• Relations Elementary Actions d d nild t devoiced -əd insert

Page 14: Grammar as Choice

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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’)

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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.

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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.

Page 17: Grammar as Choice

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The Two Classes of Criteria

Markedness. Judging the outcome.Demands compliance with output standards

Faithfulness. Judging the action.

Enforces reluctance to act

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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.

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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

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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

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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

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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

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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

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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.

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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.

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Harmonic Ascent

Getting better all the time

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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

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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

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Triumph of Markedness

That decisive constraint must be a Markedness constraint.– Since every F is happy with the faithful candidate.

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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

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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.

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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

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Markedness-Admissible Mappings

pt

bd

bt pd

Good

Bad

Where you stop the ascent, and if you can, depends on H|F.

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Utterly Impossible Mappings

pt

bd

bt pd

Good

Bad

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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

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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!)

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Way Up ≠ Way Down

z

y

x

Good

Bad

Page 38: Grammar as Choice

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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.

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Coastal Taiwanese Tone Shifts

Diagram from Feng-fan Hsieh, http://www.ling.nthu.edu.tw/teal/TEAL_oral_FengFan_Hsieh.pdf

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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.

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No Endless Shifts

NO: x → y →z → … → ……

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No Endless Shifts

NO: x → y →z → … → ……

• E.g: “Add one syllable to input”

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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.

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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.

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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.

Page 46: Grammar as Choice

Concord

Nonconflict in OT

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Constraints in conflict

C1 C2 a 0 1 b 1 0

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Constraints in conflict

C1 C2 a 0 1 b 1 0 ab

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Constraints in conflict

C1 C2 a 0 1 b 1 0 ab ba

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Constraints need not conflict

B1 B2

a 0 0 b 0 1 c 1 1

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Constraints need not conflict

B1 B2

a 0 0 b 0 1 c 1 1

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Constraints need not conflict

B1 B2

a 0 0 b 0 1 c 1 1

ac ac

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Constraints need not conflict

B1 B2

a 0 0 b 0 1 c 1 1

a ? b ab

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Constraints need not conflict

B1 B2

a 0 0 b 0 1 c 1 1

ab

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Constraints need not conflict

B1 B2

a 0 0 b 0 1 c 1 1

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Constraints need not conflict

B1 B2

a 0 0 b 0 1 c 1 1

bc

Page 57: Grammar as Choice

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Constraints need not conflict

B1 B2

a 0 0 b 0 1 c 1 1

acbc

acab

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Constraints need not conflict

B1 B2

a 0 0 b 0 1 c 1 1

a b c

regardless of ranking

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Constraints and Scales

• Imagine a goodness scale a b c d

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a b c d

Abstract Scale

better

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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}

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a b c d

B1

better

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a b c d

B2

better

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a b c d

B3

better

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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

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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…

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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…

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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…

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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…

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a b c d

B1 & B2

better

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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

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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

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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

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a b c d

B1 & B2

better

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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.

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a eo iu schwa

Intrinsic Sonority of vowels

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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.

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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

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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.

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Chukchi Scale

• These considerations motivate a scale like this:

aeo> iu > ə

• In terms of goodness of fit wrt stress:

áéó íú ə́

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a eo iu schwa

Intrinsic Sonority of vowels

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á é,ó í,ú ə́

Flattened Chukchi Scale

better

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a b c d

B1 & B2

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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.

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Ranking?

• How can the Bi’s be ranked? They don’t conflict!

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Ranking?

• How can the Bi’s be ranked? They don’t conflict!

• Transitivity. Find a constraint C with which they conflict.

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Ranking?

• How can the Bi’s be ranked? They don’t conflict!

• Transitivity. Find a constraint C with which they conflict.

{B1, B2} >> C

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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}

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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}

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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

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The Hierarchy

• B1, B2 >> POS >> B3

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The Hierarchy

• B1, B2 >> POS >> B3– Stress flees from ə to iueoa (B1)

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The Hierarchy

• B1, B2 >> POS >> B3– Stress flees from ə to iueoa (B1)– Stress flees from əiu to eoa (B2)

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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)

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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’

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The Optima

• B1,B2 >> POS >> B3

W ~ L B1 = *ə B2 = *íúə POS B3 = *éóíúə

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The Optima

• B1,B2 >> POS >> B3

W ~ L B1 = *ə B2 = *íúə POS B3 = *éóíúə

1. jará-ŋa ~ jára-ŋa W

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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

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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

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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

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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

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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

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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

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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

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Optimality

Harmonic bounding

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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

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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

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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

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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

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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

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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?

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Harmonic Bounding

• Many candidates — ‘almost all’ — can never be optimal

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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

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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

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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

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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)

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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

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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!

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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.

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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

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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

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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

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Collective Harmonic Bounding

• The middle way is no way.

β 0 2

* α 1 1

δ 2 0

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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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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

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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

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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.

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Conclusion, retrospect, & overview

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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.

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Gigerenzer &Goldstein 1996

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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

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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.

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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.

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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.

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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.

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Conflict, concord, & optimality