Version Of Optimality Theory Research Articles

Extraction from NP, frequency, and minimalist gradient harmonic grammar

AbstractExtraction of a PP from an NP in German is possible only if the head noun and the governing verb together form a natural predicate. We show that this corresponds to collocational frequency of the verb-noun combinations in corpora, based on the metric of ΔP. From this we conclude that frequency should be conceived of as a language-external grammatical building block that can directly interact with language-internal grammatical building blocks (like triggers for movement and economy constraints blocking movement) in excitatory and inhibitory ways. Integrating frequency directly into the syntax is not an option in most current grammatical theories. However, things are different inGradient Harmonic Grammar, a version of Optimality Theory where linguistic objects of various kinds can be assignedstrengthin the form of numerical values (weights). We show that by combining aMinimalistapproach to syntactic derivations with a Gradient Harmonic Grammar approach of constraint evaluation, the role of frequency in licensing extraction from PP in German can be integrated straightforwardly, the only additional prerequisite being that (verb-noun)dependenciesqualify as linguistic objects that can be assigned strength (based on their frequency).

San’ani Arabic Stress in Harmonic Serialism

The word stress system in San’ani Arabic exhibits patterns of stress placement that associate some level of prominence with syllables with long vowels and syllables that end in the left-leg of a geminate. The fact that such syllables always succeed in attracting stress away from other non-final CVC syllables, even beyond the final trisyllabic window, clearly indicates the role that underlying moraicity plays in the stress algorithm. The proposed account, offered in this paper for the word stress system in San’ani, is couched in Harmonic Serialism, as a serial version of Optimality Theory. Key to the analyses presented is the assumption of gradual prosodification. The distinction drawn between faithful and unfaithful prosodic operations allows for applying some in a parallel fashion, but confines others to serialism. Central to the analysis, as well, is the exceptional case of final stress, which is mainly attributed to the intrinsic prominence of syllables with underlying bimoraic sequences.

A Lookahead Effect in Mbe Reduplication: Implications for Harmonic Serialism

Various phenomena involving the interaction of reduplication and phonology have been brought to bear on evaluating parallel versus serial theories of phonology. In Base-Reduplicant (BR) Correspondence Theory ( McCarthy and Prince 1995 ), implemented in the classic parallel version of Optimality Theory (P-OT; Prince and Smolensky 1993/2004 ), the mapping from the underlying representation to the surface output is direct, without intermediate stages. In P-OT, the candidate-generating function GEN can simultaneously introduce multiple changes to the input. In contrast, the theory of Serial Template Satisfaction (STS; McCarthy, Kimper, and Mullin (MKM) 2012 ) is an approach to reduplication couched within Harmonic Serialism ( McCarthy 2000 et seq .), a version of OT with serial evaluation that includes intermediate levels of structure. In Harmonic Serialism, GEN is restricted to making no more than one change at each derivational step, a property known as gradualness. An argument put forth in favor of STS is that it does not admit a number of reduplicative patterns that MKM claim are unattested, which are otherwise predicted by BR Correspondence Theory in P-OT ( MKM 2012:225 ). Among these are patterns formerly interpreted as overapplication, backcopying, and underapplication. While such patterns previously served as arguments for BR Correspondence Theory ( McCarthy and Prince 1995 , 1999 ), MKM reexamine those cases and conclude that they do not provide solid evidence against a serial approach. Among the remaining patterns, coda-skipping reduplication and derivational lookahead appear to offer the strongest arguments in favor of STS. These are the two patterns for which the parallel and serial versions of OT make quite distinct predictions. However, recent studies have called the status of arguments involving both patterns into question. Zukoff (2017) shows that STS does not actually exclude coda-skipping reduplication, because certain mechanics that STS employs to account for attested partial onset skipping would predict coda skipping. Adler and Zymet (2017) identify a reduplication pattern in Maragoli that poses a type of lookahead problem for STS: the ordering of reduplication and hiatus-driven glide formation depends on lookahead to the surface form of the reduplicant, which favors a simple onset. In light of the ongoing discussion on these issues, this squib focuses on another kind of lookahead effect in reduplication where the amount of material copied would depend on a subsequent phonological change in the setting of a serial evaluation. Due to the stepwise gradual change in Harmonic Serialism, STS predicts that lookahead effects are not possible, while the potential for multiple, simultaneous changes in P-OT predicts that they exist. In this squib, we argue that a reduplicative affixation in Mbe instantiates a lookahead effect—specifically, one that closely resembles a hypothetical pattern that MKM identify as a problem for STS, were it to be attested. Furthermore, the variation in reduplicant size is arguably a case of “simple-syllable reduplication,” a pattern claimed not to be predicted by STS. This reduplicative pattern in Mbe is straightforwardly accounted for in P-OT. However, in STS the pattern cannot be understood as a lookahead phenomenon, which gives rise to a treatment with unwanted stipulations and complications. We consider three alternatives in STS involving allomorphy or different templatic approaches, but find shortcomings in each.

Inflectional learning as local optimization

Formal descriptions of inflectional systems face three interrelated problems: (1) the Meaning Assignment Problem: Which morphosyntactic feature specification should be assigned to a given affix? (2) the Imperfect Distribution Problem: To what degree can the paradigmatic distribution of an affix deviate from its morphosyntactic specification? and (3) the Subsegmentation Problem: Does a given string of segments consist of one or more affixes? What makes the analysis of complex inflectional systems potentially intractable is the accumulative effect of all three problems, which results in an unwieldy amount of analytic options. Existing approaches to these problems are either incompatible with standard analyses in theoretical morphology (e.g. Harris 1955; Goldsmith 2010) or address only a subset of these problems (e.g. Pertsova 2011). In this paper, we propose a unified approach to all three problems by outlining a learning algorithm that uses optimal patterns of paradigmatic distribution of potential affixes as the main criterion for computing morpheme meaning and subsegmentation of affix strings. The central idea is that learners apply local optimization in the sense of the Harmonic Serialism version of Optimality Theory (McCarthy 2010): Every optimization step identifies the affix with the optimal distribution in a paradigm, assigning a morpheme entry to it, and ‘freezes’ the substrings corresponding to the newly learned affix in the paradigm for further learning. Different constraint rankings result naturally in affix lexica optimized for specific theoretical approaches to morphology.

Consonant harmony in Nilotic: contrastive specifications and Stratal OT

Through analyses of dental harmony in four Nilotic languages, this paper argues both for contrastive representations and for a stratal version of Optimality Theory. Dholuo, Päri, Shilluk and Anywa all have dental harmony patterns which bar the co-occurrence of dental and alveolar segments. Details of the dental harmony patterning vary between languages and are tied to contrasts in the inventory. In Anywa, harmony is non-structure-preserving and an allophonic dental nasal surfaces in harmonic forms. This pattern can be analyzed in a stratal model of OT but leads to a ranking paradox if only a single level of evaluation is used. Further support for a stratal analysis can be found in the interaction between harmony and consonant mutation processes in the four languages. In Dholuo, harmony applies at the stem level and consonant mutation results in disharmonic surface forms in morphologically complex words. In Anywa, harmony applies later, at the word level, and words formed through consonant mutation must obey the dental harmony restrictions.

Length and voicing in Friulian and Milanese

This paper claims that phonology should express the relationship between vowel length and obstruent voicing operationally rather than in parallel. The empirical focus is on Friulian and Milanese. The distribution of vowel length in Friulian is predictable from the underlying laryngeal specification of obstruents. Stressed vowels are long before underlyingly voiced word-final obstruents although they devoice. This situation creates opacity. In light of the interaction between vowel lengthening and final devoicing, this paper argues in favor of Harmonic Serialism, a version of Optimality Theory that combines constraint ranking with serial derivations. I demonstrate that only in Harmonic Serialism does vowel length naturally follow from the independent need to satisfy NoVoicedCoda and FootBinarity μ, instead of assuming that vowel lengthening is the consequence of whether or not obstruents project a mora depending on their laryngeal specification. The facts of Milanese are also considered. Milanese patterns as Friulian except that final devoicing is not categorical. I use Serial Variation (Kimper 2011) to solve the problem of opacity and variation in the realization or not of final devoicing. An alternative approach to Milanese that assumes gradual devoicing is also suggested. This analysis combines Harmonic Serialism and turbid output representations (Goldrick 2001; van Oostendorp 2008), and allows us to express formally the difference between Friulian and Milanese in terms of categorical versus gradual devoicing.

First consonant deletion in constraint-based approaches

This paper gives an analysis of the phenomenon of first consonant deletion in several versions of Optimality Theory, comparing their strong and weak points. Generally, C₁ instead of C₂ gets deleted in a VC₁C₂V sequence fed by syncope from VC₁VC₂V. A traditional parallel version of Optimality Theory (P-OT) fails to describe the phenomenon properly, even when equipped with a positional faithfulness constraint MAX(STRONG). Based on perceptional strength, MAX (STRONG) guarantees the survival of segments in a context of strong perception, that is, in prevocalic position. No allowance of intermediate derivational steps in P-OT makes MAX(STRONG) overexert its influence, failing to select a correct output. Another analysis in P-OT, Wilson (2001), is reviewed, describing the phenomenon with the help of a targeted constraint and cumulative harmonic ordering. These two additional devices are employed to compare the relationships among candidates as well as between input and output as a way out of the problem facing P-OT. On the other hand, Harmonic Serialism, a serial version of OT equipped with gradualness and harmonic improvement, provides input in each step of derivation and has no difficulty presenting a proper analysis. Presenting a path from P-OT through a targeted-constraints theory to HS, it is confirmed again that the more tightly restricted a theory is like HS, the less powerful it is, giving a better solution to a problem.

Anti-Precedence and Chain Shifts in OT-CC

Phonological opacity has long been of interest in current phonology especially after theories of constraint interaction prevailed. Facing the issue, Optimality Theory with Candidate Chains abandons parallelism and introduces derivation and the set of Precedence constraints to specify orders of faithfulness violations in a derivation. Although this new version of Optimality Theory has successfully accounted for most controversial cases, it turns out to have some fatal drawbacks to Precedence and needs to be revised. This paper first reviews earlier Optimality approaches such as constraint conjunction and Comparative Markedness to chain shifts to see how they deal with chain shifts, a famous type of counterfeeding process. Then it applies OT-CC with Precedence to chain shifts. Finally, this paper proposes a novel set of anti-Precedence constraints by which the second member of Precedence should not be violated if the chain includes violation of the first member.

Some Correct Error-Driven Versions of the Constraint Demotion Algorithm

This article shows that Error-Driven Constraint Demotion (EDCD), an error-driven learning algorithm proposed by Tesar (1995) for Prince and Smolensky's (1993/2004) version of Optimality Theory, can fail to converge to a correct totally ranked hierarchy of constraints, unlike the earlier non-error-driven learning algorithms proposed by Tesar and Smolensky (1993). The cause of the problem is found in Tesar's use of “mark-pooling ties,” indicating that EDCD can be repaired by assuming Anttila's (1997) “permuting ties” instead. Proofs show, and simulations confirm, that totally ranked hierarchies can indeed be found by both this repaired version of EDCD and Boersma's (1998) Minimal Gradual Learning Algorithm.

Gliding in Russian

This article examines the process of gliding in Russian within the framework of Optimality Theory (OT). The investigation of phenomena associated with the distribution of the front glide j and the vowel i reveals that standard OT cannot produce an adequate analysis of a large body of data. Russian is problematic because an attempt to generate gliding in one set of forms but block it in another leads to a number of ranking paradoxes. The contradictions stem from the inability of parallel OT to express the basic generalisation that whenever there is gliding in post-consonantal position, the consonant and the glide are separated by an alternating vowel (a yer). In a position after a yer, the high vowel glides even though this yer fails to vocalise. So the process of gliding is opaque because its trigger, the underlying vowel, is not present on the surface. As is well-known, parallel OT, which evaluates output forms using one set of ranked constraints, cannot handle opaque generalisations. This study demonstrates that a modified version of OT, Derivational Optimality Theory (DOT), can successfully analyse the phenomena under consideration.

Recursion by optimization: on the complexity of bidirectional optimality theory

The paper investigates the computational complexity of different versions of Optimality Theory (OT). The result of Frank and Satta (1998) is used as a starting point. These authors show that unidirectional optimization can be implemented by finite state techniques if only binary constraints are used. The consequences of (a) taking gradient constraints into account and (b) using bidirectional optimization in the sense of Blutner (2000) are explored. The central result of the paper is that the combination of gradient constraints and bidirectionality leads to a massive increase of computational complexity.

OPTIMALITY AND FUNCTIONALITY: A CRITIQUE OF FUNCTIONALLY-BASED OPTIMALITY-THEORETIC SYNTAX

This paper examines `functionally-based optimality theory' (FOT), the version of optimality theory that requires that each constraint be paired with an external functional motivation. It argues that, at least as far as syntactic constraints are concerned, FOT suffers from severe deficiencies. Such a pairing incorrectly locates the form-function interplay in the mental grammar itself, rather than seeing the response of form to function as emerging from language use and acquisition. Furthermore, FOT seems incompatible with the standard OT assumption that constraints are universal. Finally, two of thefunctionally-motivated hierarchies that are central to FOT theorizing, thethematic and relational hierarchies, are highly problematic, while incorporatingthe others into an FOT analysis leads to otherwise unnecessary complexity.

Zero Derivations

Rubach (2000) proposes a modified version of Optimality Theory (OT) that features derivations. While Prince and Smolensky's (1993) original formulation requires some modification, argue here that, rather than reintroducing derivations, the correct approach is to take fuller advantage of OT's inherent parallelism. I propose that outputs must be related not only to inputs, but to other, “neighboring” representations as well—a feature that is shared by both the output-to-output faithfulness approach and the theory of targeted constraints developed by Wilson (2000, to appear). I show that all the cases cited by Rubach that seem to support derivations are in fact handled by the latter two related theories, and that both ofthese have significant advantages over derivations.

Voicing alternations and underlying representations: The case of Breton

The alternations in obstruent voicing in the dialect of Breton found on the Île de Groix are particularly interesting, since three modes of neutralisation can be observed: (i) final devoicing, i.e., obstruents surface as voiceless in syllable- or word-final position; (ii) obstruent voicing, which is observed when a word-final obstruent is followed by a vowel-or sonorant-initial word, and (iii) regressive as well as progressive voicing assimilation, which is found in obstruent clusters. The respective patterns give evidence for the following claims: first, [voice] is a binary valued feature and underspecification is a third option in Breton. The Breton voicing phenomena will be accounted for within the Correspondence/Markedness version of Optimality Theory. Second, the analysis crucially relies on the devices of positional markedness and positional faithfulness. Neither can be rejected in favour of the other. The last finding of this paper is that voicing assimilation in Breton is a side effect of the interaction of positional faithfulness and positional markedness. There is no evidence to assume a specific assimilation constraint, as is usually done in the Optimality theoretic literature on voicing assimilation (e.g. Gnanadesikan, 1997; Lombardi, 1999).

OPTIMALITY AND CONCURRENT VARIABLE‐INTERVAL VARIABLE‐RATIO SCHEDULES

Despite claims to the contrary, all leading theories about operant choice may be seen as models of optimality. Although melioration is often contrasted with global maximization, both make the same core assumptions as other versions of optimality theory, including momentary maximizing, hill climbing, and the various versions of optimal foraging theory. The present experiment aimed to test melioration against more global optimality and to apply the visit‐by‐visit analysis suggested by foraging theory. Rats were exposed to concurrent schedules in which one alternative was always variable‐ratio 10 and the other alternative was a variable‐interval schedule. Although choice relations varied from rat to rat, the overall results roughly confirmed the matching law, a result often taken to support melioration. Pooling the data across sessions and across rats, however, resulted in no increment in unsystematic variance, lending support to the contention by Ziriax and Silberberg (1984) that the choice relation is partly constrained. When the data were analyzed at the level of visits, the results either disconfirmed predictions of melioration or showed regularities about which melioration is silent. Instead, performance tended toward a rough optimization, in which responding favored the variable ratio, but with relatively brief visits to the variable interval. There were no asymmetries in travel or variability that would indicate that different processes were involved in generating visits at the two different schedules. The findings point toward a more global optimality model than melioration and demonstrate the value of per‐visit analysis in the study of concurrent performances.

HUMANS' CHOICES IN SITUATIONS OF TIME‐BASED DIMINISHING RETURNS

Three experiments examined adult humans' choices in situations with contrasting short-term and long-term consequences. Subjects were given repeated choices between two time-based schedules of points exchangeable for money: a fixed schedule and a progressive schedule that began at 0 s and increased by 5 s with each point delivered by that schedule. Under "reset" conditions, choosing the fixed schedule not only produced a point but it also reset the requirements of the progressive schedule to 0 s. In the first two experiments, reset conditions alternated with "no-reset" conditions, in which progressive-schedule requirements were independent of fixed-schedule choices. Experiment 1 entailed choices between a progressive-interval schedule and a fixed-interval schedule, the duration of which varied across conditions. Switching from the progressive- to the fixed-interval schedule was systematically related to fixed-interval size in 4 of 8 subjects, and in all subjects occurred consistently sooner in the progressive-schedule sequence under reset than under no-reset procedures. The latter result was replicated in a second experiment, in which choices between progressive- and fixed-interval schedules were compared with choices between progressive- and fixed-time schedules. In Experiment 3, switching patterns under reset conditions were unrelated to variations in intertrial interval. In none of the experiments did orderly choice patterns depend on verbal descriptions of the contingencies or on schedule-controlled response patterns in the presence of the chosen schedules. The overall pattern of results indicates control of choices by temporarily remote consequences, and is consistent with versions of optimality theory that address performance in situations of diminishing returns.

Choice in situations of time-based diminishing returns: immediate versus delayed consequences of action.

Pigeons chose between two schedules of food presentation, a fixed-interval schedule and a progressive-interval schedule that began at 0 s and increased by 20 s with each food delivery provided by that schedule. Choosing one schedule disabled the alternate schedule and stimuli until the requirements of the chosen schedule were satisfied, at which point both schedules were again made available. Fixed-interval duration remained constant within individual sessions but varied across conditions. Under reset conditions, completing the fixed-interval schedule not only produced food but also reset the progressive interval to its minimum. Blocks of sessions under the reset procedure were interspersed with sessions under a no-reset procedure, in which the progressive schedule value increased independent of fixed-interval choices. Median points of switching from the progressive to the fixed schedule varied systematically with fixed-interval value, and were consistently lower during reset than during no-reset conditions. Under the latter, each subject's choices of the progressive-interval schedule persisted beyond the point at which its requirements equaled those of the fixed-interval schedule at all but the highest fixed-interval value. Under the reset procedure, switching occurred at or prior to that equality point. These results qualitatively confirm molar analyses of schedule preference and some versions of optimality theory, but they are more adequately characterized by a model of schedule preference based on the cumulated values of multiple reinforcers, weighted in inverse proportion to the delay between the choice and each successive reinforcer.