Linguistics 523 — Phonological Theory I
Spring 2016
Basic concepts and terminology for Optimality Theory
I. Important terms and concepts to know
(1)
In OT, for any input form, the phonological grammar finds the winning (optimal; most
harmonic) output form, chosen from among a set of output candidates. Another way of saying
this: the grammar maps each input form onto its optimal output form.
input
At this point, consider the input to be equivalent to a UR. (We will see later that
the notion of input in OT is actually broader than this.)
set of output candidates
At this point, consider the set of output candidates to include possible SRs that a
language might plausibly choose for the UR you are working with. (We will see
later that the candidate set is unlimited and infinite, but for any given phonological
analysis, only certain candidates are interesting and worth discussing explicitly.)
optimal, harmonic
Optimal means ‘best’. It is not a gradable adjective, so we can’t say *“A is more
optimal than B.” For this, we have the term harmonic: “A is more harmonic than
B.” Most harmonic means the same as optimal.
to map
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We can conceive of an OT grammar as a function, so we often speak of mapping an
input onto the appropriate output (as determined by the grammar).
Classic OT is a constraint-based and parallel phonological model rather than a rule-based and
serial/derivational phonological model.
rule
Identifies a structural description and imposes a structural change.
Abstractly, “A –> B / C__D”.
constraint An OT formalization of a phonological “target”. A constraint states a certain
phonological property to which it assigns a violation.
• Note that we still need a theory of phonological representations to determine
what kinds of things constraints can refer to.
• A constraint says only, “Don’t be X.” It does not say what to do to something
that is X. (Why is this important?)
• We will say more later about what makes for a plausible constraint.
• In classic OT, constraints are ranked: a higher-ranked constraint always takes
precedence over a lower-ranked constraint in choosing the winning output form.
Alternative to classic OT: Harmonic Grammar and related models use constraints
that are weighted (with numerical “penalty values”) rather than ranked. Two
lower-weighted constraints can sometimes “gang up” on a higher-weighted
constraint; this isn’t possible for constraints that are strictly ranked.
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parallel, serial, derivational
In classic OT, we don’t start with a UR and then do things to it one step at a time
(serially) in the course of a step-by-step phonological derivation. Instead, for a given
UR (input), we choose the winning output candidate in a single step (in parallel),
even if that output differs from the input in more than one respect.
Alternative to classic OT: Serial OT and Serial HG (Harmonic Grammar) apply OT
or HG in multiple, serial steps
• Take the input, compare all candidates that are one step away from the
input, and select the winning intermediate output
• Take that intermediate output as the new input and repeat this process
until the winning output is the same as its input
(3)
Constraints fall into two classes, markedness constraints and faithfulness constraints.
markedness constraints
Markedness constraints impose requirements on surface forms. They correspond to
phonotactic generalizations, cross-linguistic implicational universals, and the
“driving forces” behind phonological phenomena. Formally, any constraint that
looks only at output forms in assigning violations is a markedness constraint.
faithfulness constraints
Faithfulness constraints penalize differences between two corresponding forms
(such as an input form and its corresponding output form) along a specified
dimension. For example, the faithfulness constraint MAX penalizes deletion from
input to output; DEP penalizes epenthesis from input to output; and IDENT[F]
penalizes a discrepancy in the feature [F] between input and output. Formally, any
constraint that assigns violations on the basis of differences between two forms is a
faithfulness constraint.
II. Constraint tableaus
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A constraint tableau (plural: tableaus or tableaux) is an important formal tool in the OT
framework. It represents the constraint ranking of a particular language, and shows the inputoutput mapping for a particular input under that ranking.
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A tableau can be used to make either of the following kinds of argument:
(a)
If you know the input and the output, a tableau can be used to prove that a particular
constraint ranking is necessary for the right output to win. This is known as a ranking
argument. (This is harder than it sounds, because the validity of the ranking argument
depends on no crucial higher-ranked constraint being left out of the discussion.)
• The comparative tableau format is particularly useful for this situation.
(b)
If you know the ranking, then a tableau can be used to show what output would win for a
particular assumed input, or what input(s) should be postulated to ensure that a particular
output will win.
• The standard or violation tableau format is particularly useful for this situation.
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(6)
Here is a sample tableau, with notes on how to read it.
Assuming we knew /ap/ –> [ap], this tableau proves MAX >> NOCODA and DEP >> NOCODA.
No ranking can be proven between MAX and DEP. (Do you see why?)
• This ranking can be written as { MAX, DEP } >> NOCODA
• For more complex rankings, use a Hasse (tree) diagram:
MAX
DEP
(Lines indicate domination in a Hasse diagram; higher >> lower.)
\
/
NOCODA
C) The constraints are shown in the top row, ranked from left
(highest) to right (lowest).
D) A solid line between two constraints means “A>>B”. A dashed
or dotted line means “insufficient information to determine
whether A>>B or B>>A”. Note that solid/dotted lines often
produce ambiguity, so it is good practice to state the ranking
explicitly outside the tableau as well (as above).
A) The input goes in the top
left cell.
B) The output candidates are
shown below the input.
Some symbol, traditionally
the pointing finger, is used
to indicate the winner. List
the output candidates in
whatever order you find
most useful.
E) When a candidate violates a constraint, place a ‘*’ in the appropriate cell for
each violation incurred.
F) A comparative tableau also includes W and L marks as shown — we will discuss in
class.
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