Optimality Theory Constraint Interaction in

This book is the final version of the widely-circulated 1993 Technical Report that introduces a conception of grammar in which well-formedness is defined as optimality with respect to a ranked set of universal constraints. Final version of the widely circulated 1993 Technical Report that was the seminal work in Optimality Theory, never before available in book format. Serves as an excellent introduction to the principles and practice of Optimality Theory. Offers proposals and analytic commentary that suggest many directions for further development for the professional.

Alan Prince is Professor of Linguistics and a member of the Cognitive Science Center at Rutgers University and is, along with Paul Smolensky, one of the founders of Optimality Theory. He has published in journals such as Linguistic Inquiry, Science, Cognition, and Critical Inquiry.

Paul Smolensky is Professor of Cognitive Science at Johns Hopkins University. His publications include Learnability in Optimality Theory (with Bruce Tesar, 2000) and Mathematical Perspectives on Neural Networks (edited with Michael Mozer and David Rumelhart, 1996).

Prefatory Note

ix

Acknowledgments

x

1 Preliminaries

1

(10)

1.1 Background and Overview

1

(3)

1.2 Optimality

4

(4)

1.3 Overall Structure of the Argument

8

(3)

Part I Optimality and Constraint Interaction

11

(90)

Overview of Part I

13

(1)

2 Optimality in Grammar: Core Syllabification in Imdlawn

Tashlhiyt Berber

14

(13)

2.1 The Heart of Dell and Elmedlaoui

14

(6)

2.2 Optimality Theory

20

(6)

2.3 Summary of Discussion to Date

26

(1)

3 Generalization-Forms in Domination Hierarchies I

Do Something Only When: Triggering, or The Theory of Economy

27

(12)

Blocking and Triggering: Profuseness and Economy

27

(1)

3.1 Epenthetic Structure

28

(5)

3.2 The Failure of Bottom-Up Constructionism

33

(6)

4 Generalization-Forms in Domination Hierarchies II

Do Something Except When: Blocking, or The Theory of Profuseness

39

(66)

4.1 Edge-Oriented Infixation

40

(5)

4.2 Interaction of Weight Effects with Extrametricality

45

(5)

4.2.1 Background: Prominence-Driven Stress Systems

45

(2)

4.2.2 The Interaction of Weight and Extrametricality: Kelkar's Hindi/Urdu

47

(3)

4.3 Nonfinality and Nonexhaustiveness

50

(15)

4.3.1 Nonfinality and the Laws of Foot Form: Raw Minimality

56

(5)

4.3.2 Nonfinality and the Laws of Foot Form: Extended Minimality Effects

61

(4)

4.4 Summary of Discussion of the Except When Effect

65

(1)

4.5 Except Meets Only: Triggering and Blocking in a Single Grammar

66

(14)

5 The Construction of Grammar in Optimality Theory

80

(21)

5.1 Construction of Harmonic Orderings from Phonetic and Structural Scales

80

(2)

5.2 The Theory of Constraint Interaction

82

(15)

5.2.1 Comparison of Entire Candidates by a Single Constraint

82

(1)

5.2.1.1 ONS: Binary constraints

82

(1)

5.2.1.2 HNUC: Non-binary constraints

86

(2)

5.2.2 Comparison of Entire Candidates by an Entire Constraint Hierarchy

88

(3)

5.2.3 Discussion

91

(1)

5.2.3.1 Non-locality of interaction

91

(1)

5.2.3.2 Strictness of domination

94

(1)

5.2.3.3 Serial vs. parallel Harmony evaluation and Gen

94

(1)

5.2.3.4 Binary vs. non-binary constraints

97

(1)

5.3 Panini s Theorem on Constraint Ranking

97

(4)

Part II Syllable Theory

101

(102)

Overview of Part II

103

(2)

6 Syllable Structure Typology: The CV Theory

105

(14)

6.1 The Jakobson Typology

105

(2)

6.2 The Faithfulness Interactions

107

(12)

6.2.1 Groundwork

108

(3)

6.2.2 Basic CV Syllable Theory

111

(5)

6.2.2.1 Onsets

111

(3)

6.2.2.2 Codas

114

(2)

6.2.3 The Theory of Epenthesis Sites

116

(3)

7 Constraint Interaction in Lardil Phonology

119

(31)

7.1 The Constraints

120

(9)

7.2 The Ranking

129

(10)

7.2.1 Some Ranking Logic

129

(3)

7.2.2 Ranking the Constraints

132

(7)

7.3 Verification of Forms

139

(7)

7.3.1 Consonant-Final Stems

140

(3)

7.3.2 Vowel-Final Stems

143

(3)

7.4 Discussion

146

(4)

8 Universal Syllable Theory: Ordinal Construction of C/V and Onset/Coda Licensing Asymmetry

150

(53)

8.1 Associational Harmony

156

(8)

8.1.1 Deconstructing HNUC: Berber, Take 1

156

(3)

8.1.2 Restricting to Binary Marks

159

(5)

8.2 Reconstructing the C and V Classes: Emergent Parameter Setting via Constraint Ranking

164

(13)

8.2.1 Harmonic Completeness of Possible Onsets and Peaks

164

(2)

8.2.2 Peak- and Margin-Affinity

166

(2)

8.2.3 Interactions with PARSE

168

(1)

8.2.4 Restricting Deletion and Epenthesis

169

(1)

8.2.5 Further Necessary Conditions on Possible Onsets and Nuclei

170

(2)

8.2.6 Sufficient Conditions on Possible Onsets and Nuclei

172

(5)

8.3 The Typology of Onset, Nucleus, and Coda Inventories

177

(20)

8.3.1 The Typology of Onset and Nucleus Inventories

177

(7)

8.3.2 Onset/Coda Licensing Asymmetries

184

(9)

8.3.3 An Example: Berber, Take 2

193

(4)

8.4 Simplifying the Theory by Encapsulating Constraint Packages

197

(10)

8.4.1 Encapsulating the Association Hierarchies

197

(2)

8.4.2 An Example: Berber, Take 3

199

(1)

8.4.3 Sufficiency and Richness of the Encapsulated Theory

200

(3)

Part III Issues and Answers in Optimality Theory

203

(55)

Overview of Part III

205

(2)

9 Inventory Theory and the Lexicon

207

(25)

9.1 Language-Particular Inventories

207

(11)

9.1.1 Harmonic Bounding and Nucleus, Syllable, and Word Inventories

209

(3)

9.1.2 Segmental Inventories

212

(6)

9.2 Universal Inventories

218

(7)

9.2.1 Segmental Inventories

219

(5)

9.2.2 Syllabic Inventories

224

(1)

9.3 Optimality in the Lexicon

225

(7)

10 Foundational Issues and Theory-Comparisons

232

(26)

10.1 Thinking about Optimality

232

(2)

10.1.1 Fear of Optimization

232

(1)

10.1.2 The Reassurance

233

(1)

10.2 The Connectionism Connection, and Other Computation-Based Comparisons

234

(4)

10.2.1 Why Optimality Theory Has Nothing To Do with Connectionism

234

(1)

10.2.2 Why Optimality Theory Is Deeply Connected to Connectionism

235

(1)

10.2.3 Harmony Maximization and Symbolic Cognition

236

(2)

10.3 Analysis of 'Phonotactics + Repair' Theories

238

(20)

10.3.1 CV Syllable Structure and Repair

242

(3)

10.3.2 General Structure of the Comparisons: Repair Analysis

245

(2)

10.3.3 Persistent Rule Theory

247

(5)

10.3.3.1 English closed syllable shortening

248

(2)

10.3.3.2 Shona tone spreading

250

(1)

10.3.3.3 Summary

251

(1)

10.3.4 The Theory of Constraints and Repair Strategies

252

(6)

Appendix

258

(8)

A.1 The Cancellation and Cancellation/Domination Lemmas

258

(4)

A.2 CV Syllable Structure

262

(2)

A.3 Panini's Theorem on Constraint Ranking

264

(2)

References

266

(15)

Index of Constraints

281

(2)

Index of Languages

283

(1)

General Index

284

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Optimality Theory Constraint Interaction in Generative Grammar

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Optimality Theory Constraint Interaction in Generative Grammar

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