MPhil seminarMPhil seminarEvaluating OTEvaluating OT

Iterativity and cyclicityIterativity and cyclicity

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Introduction Today: multiple application: iterativity and Today: multiple application: iterativity and

cyclicitycyclicity Larger point: need for abstract intermediate Larger point: need for abstract intermediate

stages of representation and computationstages of representation and computation McCarthy claims that OT is only a theory of constraint ranking and McCarthy claims that OT is only a theory of constraint ranking and

says nothing about number of levels, etc., but one of its main says nothing about number of levels, etc., but one of its main points of appeal was the elimination of abstract stages of points of appeal was the elimination of abstract stages of derivationderivation

Orgun: “serial derivations are cognitively implausible”Orgun: “serial derivations are cognitively implausible” McCarthy and Prince 1993:145 stress parallelism as central tenet of OTMcCarthy and Prince 1993:145 stress parallelism as central tenet of OT Itô and Mester 1997:419 “there is no sequential phonological derivation Itô and Mester 1997:419 “there is no sequential phonological derivation

in the sense of traditional generative phonology. There is no set of rules in the sense of traditional generative phonology. There is no set of rules and operations applying in a certain order; there are also no cyclic and operations applying in a certain order; there are also no cyclic derivations, in the sense that phonological operations first apply only derivations, in the sense that phonological operations first apply only within the smallest morphological domains available and work upwards within the smallest morphological domains available and work upwards through a series of more and more inclusive morphological domains.”through a series of more and more inclusive morphological domains.”

The facts of iterativity and cyclicity show that such The facts of iterativity and cyclicity show that such stages are in fact necessary.stages are in fact necessary.

Cyclic & iterative effects Ways in which a rule can apply 2+ discrete times to Ways in which a rule can apply 2+ discrete times to

a single forma single form directional iterative application within a single level/cycledirectional iterative application within a single level/cycle cycle/multiple levels of derivationcycle/multiple levels of derivation

These two cases have been treated separately in These two cases have been treated separately in the recent literature, but bear certain important the recent literature, but bear certain important similarities.similarities.

Cyclic & iterative effects

Classic iterative phenomena (Yip 1992):Classic iterative phenomena (Yip 1992): Alternating stressAlternating stress Vowel harmonyVowel harmony Tone spreadingTone spreading

OT has means for handling these (e.g. Align constraints), but not more OT has means for handling these (e.g. Align constraints), but not more complicated types:complicated types: Basic iterativity crucially referring to intermediate intralevel representationsBasic iterativity crucially referring to intermediate intralevel representations

Abkhaz stress assignment and clash deletionAbkhaz stress assignment and clash deletion Cyclic iterativityCyclic iterativity

Itelmen epenthesisItelmen epenthesis Piro vowel deletionPiro vowel deletion

My own feeling is that anything I’ve done in the study of language or in other My own feeling is that anything I’ve done in the study of language or in other fields is hardly more than the application of normal standards of rationality, fields is hardly more than the application of normal standards of rationality, which have been taken for granted in the natural sciences for centuries, to which have been taken for granted in the natural sciences for centuries, to phenomena in these fields. When you do, some things are immediately phenomena in these fields. When you do, some things are immediately obvious. For example, it's immediately obvious that language involves a obvious. For example, it's immediately obvious that language involves a discrete infinity of constructions, that grammar involves iterative rules of discrete infinity of constructions, that grammar involves iterative rules of several types. That is where the serious work begins...(Chomsky 1983)several types. That is where the serious work begins...(Chomsky 1983)

Basic iterativity Abkhaz stress assignment (Dybo 1977, Wolfe Abkhaz stress assignment (Dybo 1977, Wolfe

2000)2000) Assign word stress to leftmost (underlying) accented Assign word stress to leftmost (underlying) accented

syllable not followed by another accented syllable; syllable not followed by another accented syllable; otherwise stress falls on the final syllableotherwise stress falls on the final syllable

accented root unaccented roota-pa-rá to pleat á-pa-ra to jumpa-ja-rá to lie down á-fa-ra to eata-tsa-rá to go á-ta-ra to give

madza secretá-madzadef.-secretmadzá-k’

secret-indef.

Basic iterativity Iterative L Iterative L R clash deletion: * R clash deletion: * Ø / _ * (Line 1) Ø / _ * (Line 1) aa-p-paa-r-ráá ‘to pleat’ vs. ‘to pleat’ vs. áá-pa-r-pa-raa ‘to jump’ ‘to jump’

Line 2

Line 1

Line 0 a-pa-rá

á-pa-ra

Line 1 left-headed Project lexical accentsProject stress-bearing elements

Basic iterativity Iterative clash deletion produces edgemost effects (rightmost member of a Iterative clash deletion produces edgemost effects (rightmost member of a

sequence of accents survives), but the domain (accent sequence) is not a sequence of accents survives), but the domain (accent sequence) is not a prosodic constituentprosodic constituent

In DP the effect is completely straightforward: having an abstract derivation In DP the effect is completely straightforward: having an abstract derivation allows local stepwise computationallows local stepwise computation

This type of iterative effect therefore is not amenable to interpretation in This type of iterative effect therefore is not amenable to interpretation in terms of OT constraints (terms of OT constraints (what about CLASHwhat about CLASH?)?) In OT we expect In OT we expect VV VV VV to produce * to produce *VV V V VV (e.g. (e.g. áá-p-paa-r-raa), not V V ), not V V VV The opaque interactions involved occur within a single level of derivationThe opaque interactions involved occur within a single level of derivation

McCarthy 2002:172 “within-level opacity, if it exists, will present exactly the same problems for OT-LP as it does for classic OT.”

Can’t be attributed to paradigmatic pressures. What about a cross-level constraint “do not have a bracket in an output form when its What about a cross-level constraint “do not have a bracket in an output form when its

correspondent in the input is adjacent to another bracket”?correspondent in the input is adjacent to another bracket”? McCarthy 2002:36—“classical markedness constraints cannot refer to the input, and so they are

unable to make a distinction between new and inherited violations” NB McCarthy’s Comparative Markedness theory may retreat to this, but it’s not clear if he still

believes in this theory

Cyclic iterativity A process can apply only once within a given A process can apply only once within a given

domain, yet apply repeatedly within a word (or domain, yet apply repeatedly within a word (or phrase) by virtue of being cyclicphrase) by virtue of being cyclic

OT attempts to explain away cyclic effects:OT attempts to explain away cyclic effects: Align constraintsAlign constraints Output-Output (OO) constraintsOutput-Output (OO) constraints

Problems:Problems: Itelmen epenthesis: neither Align nor OO worksItelmen epenthesis: neither Align nor OO works Uyghur: morphologically-based cycle required (Orgun)Uyghur: morphologically-based cycle required (Orgun) Staged exceptionalityStaged exceptionality

Piro vowel deletion: exceptionality parallels cyclicityPiro vowel deletion: exceptionality parallels cyclicity Segmental exceptionalitySegmental exceptionality

Cyclic variable rulesCyclic variable rules

Itelmen

Ø Ø / {C, #} _ R{C, #} / {C, #} _ R{C, #}

xxmm sablesable xm-xm- sable-plsable-plspspll windwind spl-ankspl-ank wind-locwind-loc

-- road-ablroad-abl -enk-enk road-locroad-loc

Paleo-Siberian (Bobaljik 1999)

nouns

Itelmen a.a. t-t--s--s-

1sg-stand-pres-1sg-stand-pres-1sg1sg

‘‘I am standing’I am standing’ b.b. -z-in-z-in

gripe-pres-3sggripe-pres-3sg‘‘she gripes’she gripes’

c.c. -qzu-z-in-qzu-z-inbe-asp-pres-3sgbe-asp-pres-3sg‘‘she is’she is’

d.d. t’-il:-t’-il:-s-s-1sg-drink-pres-1sg-drink-pres-

1sg1sg‘‘I am drinking’I am drinking’

e.e. il:-il:-z-inz-indrink-pres-3sgdrink-pres-3sg‘‘he drinks’he drinks’

f.f. spspl:-l:-zi-inzi-inwindy-pres-3sgwindy-pres-3sg‘‘it is windy’it is windy’

verbs

Itelmencyclic non-cyclic

a. spl + -ank [[spl]ank] spl-ankcycle 1 [spl]cycle 2 [[spl]ank]OUTPUT *splank splankb. spl + pres. + 3sg [[[spl]z]in] spl-z-incycle 1 [spl]cycle 2 [[spl]z]cycle 3 [[[spl]z]in]OUTPUT splzin *splzin, *splzin

noun

noun

ssve

rbve

rb ss

Conclusion: epenthesis must be cyclic in verbs but noncyclic in Conclusion: epenthesis must be cyclic in verbs but noncyclic in nounsnouns

OT deals with cyclic effects of this type via OO constraintsOT deals with cyclic effects of this type via OO constraints Problem: nouns have bare forms, verbs don’t; OOT Problem: nouns have bare forms, verbs don’t; OOT predicts opposite of predicts opposite of

what we findwhat we find

Qashgar Uyghur Orgun 1996Orgun 1996 Vowels raise in morpheme-final open Vowels raise in morpheme-final open

syllablessyllableskala ‘cow’ kala ‘cow’ kalkal a ‘cow dative’ a ‘cow dative’ tutua ‘chicken’ a ‘chicken’ tutu dan ‘chicken ablative’ dan ‘chicken ablative’ qazan ‘pot’ qazan ‘pot’ qazqazn i ‘pot possessive’ n i ‘pot possessive’ bala ‘child’ bala ‘child’ balbal si ‘child possessive’ si ‘child possessive’ ana ‘mother’ ana ‘mother’ anan lar ‘mother plural’ lar ‘mother plural’ ameriqa ‘America’ ameriqa ‘America’ ameriqameriq da ‘America locative’ da ‘America locative’

Qashgar Uyghur High vowels delete between two open syllables when flanked by High vowels delete between two open syllables when flanked by

identical consonantsidentical consonants qazqazn-i-nin-i-ni qazqaznni ‘pot-possessive-accusative’nni ‘pot-possessive-accusative’

The number of phonological cycles crucially depends on the The number of phonological cycles crucially depends on the morphological structure of the form:morphological structure of the form:

i)i) qazan + i qazan + i qazqazni ni ii) ii) qazan + ni qazan + ni qazanni qazanni iii) iii) qazan + i + ni qazan + i + ni qazqaznni (*qazanni) nni (*qazanni) elision elision

counterbleeds raising counterbleeds raising iv) iv) bala + lar bala + lar balballar (*ballar) lar (*ballar) raising counterfeeds raising counterfeeds

elision elision v) v) bala + lar + i bala + lar + i ballballri (*balri (*balllri) ri) raising feeds elision raising feeds elision vi) vi) bala + lar + ni bala + lar + ni ballarni ballarni raising feeds elision raising feeds elision vii)vii) bala + lar + i + nibala + lar + i + ni ballballrrni ni raising raising

feeds elision feeds elision viii) viii) ana + niana + ni ananni (*anni) ni (*anni) raising counterfeeds raising counterfeeds

elision elision

Qashgar Uyghur raising counterfeeds deletion on the cycleraising counterfeeds deletion on the cycle if raising feeds elisionif raising feeds elision if raising counterfeeds if raising counterfeeds

elisionelision M: M: bala + lar + ni bala + lar + ni bala + lar bala + lar bala + lar + ni bala + lar + ni

bala + lar bala + lar W: W: balbal + lar + ni + lar + ni balbal + lar + lar balbal + lar + ni + lar + ni balbal + lar + lar P: P: bal + lar + ni bal + lar + ni *bal + lar *bal + lar *bal*bal + lar + ni + lar + ni balbal + lar + lar ‘‘pot poss acc’pot poss acc’ ‘child pl acc’ ‘child pl acc’ ‘child pl’ ‘child pl’ Cycle 1Cycle 1 input input qazan i qazan i bala lar bala lar bala lar bala lar output output qazqazn i n i balbal lar lar balbal lar lar Cycle 2 Cycle 2 input input qazqazni ni ni ni balballar nilar ni — — output output qazqazn ni n ni ballar ni ballar ni — — Surface Surface [qaz[qaznni] nni] [ballarni] [ballarni] [bal[ballar]lar] The fatal flaw in the Harmonic Phonology approach is that every form The fatal flaw in the Harmonic Phonology approach is that every form

undergoes the same number of applications of phonology, regardless undergoes the same number of applications of phonology, regardless of the morphological structure. of the morphological structure.

Alignment does not give us a way to analyze these data noncyclically, Alignment does not give us a way to analyze these data noncyclically, since the accusative suffix ni adds nothing to the environment for since the accusative suffix ni adds nothing to the environment for elision; all it does is cause an additional phonological cycle.elision; all it does is cause an additional phonological cycle.

Piro V V Ø / VC _ + CV Ø / VC _ + CV

yimakayimaka ‘teach’‘teach’ yimak-luyimak-lu ‘teaching’‘teaching’ xipaluxipalu ‘sweet potato’‘sweet potato’n-xipal-nen-xipal-ne ‘my sweet potato’‘my sweet potato’

some suffixes (e.g. verbal theme formative -ta, abstract some suffixes (e.g. verbal theme formative -ta, abstract noun formative -nu) don’t trigger deletion:noun formative -nu) don’t trigger deletion: hata-ta ‘to illuminate’ vs. hat-nu ‘light, shining’hata-ta ‘to illuminate’ vs. hat-nu ‘light, shining’ heta-nu ‘going to see’ vs. het-lu ‘to see it’heta-nu ‘going to see’ vs. het-lu ‘to see it’

Though -ta and -nu fail to trigger V-deletion, they Though -ta and -nu fail to trigger V-deletion, they regularly undergo it:regularly undergo it: yono-t-na-wa ‘to paint oneself’yono-t-na-wa ‘to paint oneself’ heta-n-ru ‘going to see him’heta-n-ru ‘going to see him’

How to account for this type of phenomenon?How to account for this type of phenomenon?

Arawakan, Peru (Matteson 1965, Kenstowicz and Kisseberth 1977:397-8)

Piro Proposal in 70s Derivational PhonologyProposal in 70s Derivational Phonology: :

have both trigger and target diacritics (Dell and have both trigger and target diacritics (Dell and Selkirk 1976, Kenstowicz and Kisseberth 1977)Selkirk 1976, Kenstowicz and Kisseberth 1977)

Another possibility: deletion cyclic, exceptional Another possibility: deletion cyclic, exceptional morphemes non-cyclic (a la Halle-Vergnaud morphemes non-cyclic (a la Halle-Vergnaud 1987)1987)

UR /hata-nu/ /heta-nu//heta-nu-ru/

[-triggerdel] [-triggerdel]V-del. — — —V-del. hat-nu — —V-del. — — heta-n-ruSR [hatnu] [hetanu][hetanru]

cycle 1cycle 2cycle 3

Can this effect be captured in a monostratal model?Can this effect be captured in a monostratal model? Featural prespecificationFeatural prespecification Cophonologies specified by individual morphemesCophonologies specified by individual morphemes

OT predicts only the (odd) Lakhota effect OT predicts only the (odd) Lakhota effect (Patterson ‘88)(Patterson ‘88)::

a.a. KK TT / i [stem _ V/ i [stem _ V in active transitive verbsin active transitive verbsto shootto shoot-- he shoots at mehe shoots at me-- he shoots at youhe shoots at you-- I shoot at youI shoot at you

b. benefactive suffix ki- does not trigger palatalization (142)b. benefactive suffix ki- does not trigger palatalization (142)to chaseto chase to maketo make-- he chased it for himhe chased it for him-- he made it for himhe made it for him

c. If benefactive itself undergoes palatalization, it triggers c. If benefactive itself undergoes palatalization, it triggers palatalizationpalatalizationto chaseto chase---- I chased it for himI chased it for him---- he chased it for youhe chased it for you

Piro

Segmental exceptionality Assume, for example, that a hypothetical language Assume, for example, that a hypothetical language

has a rule of palatalization before front vowels, but has a rule of palatalization before front vowels, but also has a morpheme -also has a morpheme -akiaki- that is specified as an - that is specified as an exception to this rule. exception to this rule.

Can OT account for a form such as Can OT account for a form such as kkyyikar-akiikar-aki (as (as opposed to *[opposed to *[kkyyikarakikarakyyii]) without recourse to levels of ]) without recourse to levels of derivation?derivation? Harmonic Serialism? (discussed later)Harmonic Serialism? (discussed later)

Variable rules Guy 1991, etc.; Bayley 1997Guy 1991, etc.; Bayley 1997

greater incidence of cluster reduction in greater incidence of cluster reduction in monomorphemes (monomorphemes (pastpast) than in bimorphemes ) than in bimorphemes ((passedpassed))

t/d deletion treated as variable cyclic rulet/d deletion treated as variable cyclic rule predictionprediction: exponential relation between rates of : exponential relation between rates of

deletion in monomorphemes, semiweak verbs deletion in monomorphemes, semiweak verbs (leave/left), and regular past tense verbs(leave/left), and regular past tense verbs

Summary of OT problems with staged processes

Fail to generalize over all cyclic effectsFail to generalize over all cyclic effects Kager's analysis of iterative unstressed vowel deletionKager's analysis of iterative unstressed vowel deletion Alderete's analysis of Russian stressAlderete's analysis of Russian stress

Predicts the existence of effects where affixes Predicts the existence of effects where affixes determine the selection of roots, and other anti-determine the selection of roots, and other anti-cyclic effectscyclic effects

Cannot generate level-internal iterativity (Abkhaz)Cannot generate level-internal iterativity (Abkhaz) Cannot produce exponential effect of variable rulesCannot produce exponential effect of variable rules Affixes and rules fall into two classes in English and Affixes and rules fall into two classes in English and

many other languagesmany other languages easily captured with [cyclic] and/or levelseasily captured with [cyclic] and/or levels monostratal OT has to stipulate many different monostratal OT has to stipulate many different

rerankingsrerankings

Can OT be repaired? One possibility: a form of serial evaluation that proceeds One possibility: a form of serial evaluation that proceeds

segment-by-segment through a wordsegment-by-segment through a word Requires that all candidates be evaluated one segment at a timeRequires that all candidates be evaluated one segment at a time

Not always obvious which segments in a given pair of candidates are Not always obvious which segments in a given pair of candidates are to be compared (e.g. in candidates with epenthesis or deletion)to be compared (e.g. in candidates with epenthesis or deletion)

Would wrongly rule out candidates with early violations in favor of Would wrongly rule out candidates with early violations in favor of other candidates with more but later violationsother candidates with more but later violations

Encounters problems with chain shifts and other opacity effects Encounters problems with chain shifts and other opacity effects (McCarthy 1999)(McCarthy 1999)

see Riggle, Local Optionality, for further OT discussionsee Riggle, Local Optionality, for further OT discussion Conclusion: OT does not provide a satisfactory account Conclusion: OT does not provide a satisfactory account

for all types of staged/iterative effects:for all types of staged/iterative effects: The phonological component must refer to abstract intermediate The phonological component must refer to abstract intermediate

stages of derivation.stages of derivation. It is not enough to posit levels à la LPMOT; Abkhaz shows that It is not enough to posit levels à la LPMOT; Abkhaz shows that

intermediate stages of computation based solely on segmental intermediate stages of computation based solely on segmental context are also required, and Uyghur shows that cycles have to context are also required, and Uyghur shows that cycles have to refer to morphemes, not more general levels.refer to morphemes, not more general levels.

Sequential iterativity If rules can be [If rules can be [optional] and [optional] and [iterative], we predict the iterative], we predict the

existence of a nuanced type of optionality wherein both options existence of a nuanced type of optionality wherein both options can appear within a single wordcan appear within a single word

Without these variables (e.g. in OT) we predict only all-or-nothing Without these variables (e.g. in OT) we predict only all-or-nothing optionality, as in Warao labial voicing (Howard 1972:87): /p/ optionally optionality, as in Warao labial voicing (Howard 1972:87): /p/ optionally surfaces as [b], but if it does then all p’s in the word must surface as surfaces as [b], but if it does then all p’s in the word must surface as [b[b] ([papa] ~ [baba] (*[paba]))] ([papa] ~ [baba] (*[paba]))

Optional allophony in free variationOptional allophony in free variation English reduced vowel [V] ~ [English reduced vowel [V] ~ [] ~ [] ~ []]

Predictions for Predictions for WinnepesaukeeWinnepesaukee::• DP: [DP: [] ~ [] ~ [] ~ [] ~ [] ~ [] ~ []]• OT: [OT: [] ~ [] ~ []]

flapping, glottalization in Englishflapping, glottalization in English sentimentalitysentimentality [[] ~ [] ~ [] ~ [] ~ []]

Optional r-deletion in EnglishOptional r-deletion in English Marv Albert produced [Marv Albert produced [] for ] for HarperHarper Bostonian anthropologist produced [Bostonian anthropologist produced [] for ] for murderedmurdered

Optional s-epenthesis in Dominican Spanish (Núñez Cedeño 1988)Optional s-epenthesis in Dominican Spanish (Núñez Cedeño 1988) Ø Ø s / _ ] s / _ ] (optional, structure-preserving) (optional, structure-preserving) /abogado/ ‘lawyer’ /abogado/ ‘lawyer’ a assbogado, abobogado, abossgado, abogagado, abogassdo, abogadodo, abogadoss

French schwa deletion Ø / V (#) C _, LØ / V (#) C _, LRR , optional across # , optional across # envie de te le demander ‘feel like asking you’ (1980:225)envie de te le demander ‘feel like asking you’ (1980:225)

ãvidtãvidtldldmãdemãde ãvidtãvidtllddmãdemãde ãvidtãvidtlldmãdedmãde ãvidãvidttlldmãdedmãde ãvidãvidtltldmãdedmãde ãvidãvidtltlddmãdemãde ãvidãvidttldldmãdemãde ãvidãvidttllddmãdemãde

Same for English u Same for English u , as in , as in did you not try to smiledid you not try to smile (18) (18) Howard 1972:140: this effect can’t be derived in the Howard 1972:140: this effect can’t be derived in the

simultaneous application theory of SPE (we can say the simultaneous application theory of SPE (we can say the same for OT)same for OT)

Dell, François. 1980. Generative phonology and French phonology. Cambridge University Press.

Conclusions Iterativity and optionality play important roles in all known Iterativity and optionality play important roles in all known

phonological systems.phonological systems. Theories of harmonic parallelism such as Optimality Theory can Theories of harmonic parallelism such as Optimality Theory can

simulate certain iterative and optional effects, but:simulate certain iterative and optional effects, but: These simulations do not reflect our intuitions about what is involved in These simulations do not reflect our intuitions about what is involved in

these processes;these processes; They cannot account for certain important types of iterativity and They cannot account for certain important types of iterativity and

optionality.optionality. All theories have strong and weak points, but this is a major problem All theories have strong and weak points, but this is a major problem

for OT because:for OT because: Iterativity and optionality are general classes of phenomena that play a Iterativity and optionality are general classes of phenomena that play a

central role in human language; they are not isolated data sets in individual central role in human language; they are not isolated data sets in individual languages to be explained away as “noise”;languages to be explained away as “noise”;

The conceptual appeal of OT lies in its avoidance of abstract intermediate The conceptual appeal of OT lies in its avoidance of abstract intermediate stages of derivation, but these are shown to be necessary and central to the stages of derivation, but these are shown to be necessary and central to the grammar.grammar.

A rule-based derivational model of phonology and morphology of the A rule-based derivational model of phonology and morphology of the sort espoused in Distributed Morphology (Halle and Marantz 1993) sort espoused in Distributed Morphology (Halle and Marantz 1993) generates the desired effects efficiently and insightfully.generates the desired effects efficiently and insightfully.

When coupled with other severe problems with OT (e.g. opacity), the When coupled with other severe problems with OT (e.g. opacity), the implication is clear: OT must be abandoned in favor of DP.implication is clear: OT must be abandoned in favor of DP.

Basic iterativity What if we incorporate a NoClash constraint?What if we incorporate a NoClash constraint?

(unless we somehow incorporate iterativity) it wrongly predicts (unless we somehow incorporate iterativity) it wrongly predicts the general headedness parameter (in this case Leftmost) to the general headedness parameter (in this case Leftmost) to dictate direction of resolution:dictate direction of resolution:

aa-p-paa--rraa

NoClasNoClashh

MaxAcceMaxAccentnt

LeftmosLeftmostt

*** * ** * ** * ** * *á-pa-raá-pa-ra

*!*

*** ** ** * ** * *a-pa-ráa-pa-rá

* *!

*** ** ** * ** * *á-pa-raá-pa-ra

!