Optimality Theory

Presented by
Ashour Abdulaziz, Eric Dodson,
Jessica Hanson, and Teresa Li
 Overview
Introduction
How to interpret OT
Historical Development
Theory
Application
Pros and Cons
 Optimality Theory

Language is a system of conflicting forces.

The scope of OT is to explain a wide
range of linguistic phenomena (including
syntax)
Central Idea: Surface Forms of language reflect resolutions of conflicts between competing demands
or constraints.
 Constraints
Constraints are:
Universal
Ranked
Violable
In Conflict
 In other words
Constraints are universal, but cross-
linguistic differences are accounted for by
differences in ranking.
All surface forms violate at least some
constraints.
The optimal surface form will have the
least serious violations of the ranked set of
constraints for a language.
 What's for lunch?
Jessica doesn't want to go far
Eric wants a place that has a lunch
special
Ashour wants a place that has soup
Teresa is trying to be vegan
Options: Chit-chat, Cafe Yumm, Park
Cafe, Kenny & Zuke's
 What's for lunch?

/input/ *Far away Soup Vegan *Lunch

Options Special
Chit-Chat

Cafe
Yumm
Park Cafe

Kenny &
Zuke's
 What's for lunch?

/input/ *Far away Soup Vegan *Lunch

Options Special
Chit-Chat *! * *

Cafe *
Yumm
Park Cafe *!

Kenny & *!
Zuke's
 This is for lunch.

/input/ *Far away Soup Vegan *Lunch

Options Special
Chit-Chat *! * *
Cafe *

Yumm
Park Cafe *!
Kenny & *!
Zuke's
 Optimality Theory - History
It is a linguistic model proposing that the observed forms
of language arise from the interaction between
conflicting constraints.

OT models grammars as systems that provide mappings

from inputs to outputs; the inputs are conceived of as
underlying representations and the outputs as their
surface realizations
 Pre-OT History
Theoretical problem with generative
phonology: Conspiracies
Kisseberth (1970)
Basic example:
o A->B /X_Y
o A->C /X_Y
o A-> /X_Y
The rules "conspire" against the form XAY
Generative approaches have no explanation
 Optimality Theory - History
Prince and Smolensky (1993) introduced the Optimality
Theory (OT), as a framework for Linguistic analysis,

Kager (1999) gave an introduction to the theory.

The theory was later expanded by Prince and John

McCarthy in (2001)

Optimality theory is usually considered a development of

generative grammar.
The fundamentals of OT

How OT addresses the following questions:-

(1) How are the constraints on the output of the grammar

satisfied? What is the relationship between constraints
on output structures and the operations that transform
input into outputs? How are the triggering and blocking
effects accounted for?

(2) What is the relationship between the universal and

the language particular? How can constraints differ in
their activity from language to language?
 Constraints
Constraints are:
Universal
Ranked
Violable
In Conflict
 Identifying Constraints
Little agreement on what constraints exist
Some disagreements (or flexibility) in how
to propose a new constraint
Language Typology
Phonetic motivation
 Markedness
Markedness: enforce well-formedness of
the output
Unmarked: "preferred"
Marked: "avoided"
"Fights" against input that is marked
Example:
*Voiced Word-Final Obstruent
Word-final obstruents must not be voiced.
 Faithfulness
Faithfulness: constraints enforce similarity
between input and output
Fights against change
Example:
Ident-IO(Voice)

Segments in the output have the same

voicing as those in the input

 Functions
Gen (Generator)
Eval (Evaluator
 Gen
Underlying forms are input for gen
Gen creates (possibly infinite) list of
candidates
dogz togz
/dogz/ dogs gogz
doks dogz
dokz dogs
do!s dogdog
dugz ...
 Eval
Applies ranking to candidate list
Selects most harmonic candidate
 An example analysis
[dg] [dgz]

[kt] [kts]
Assume plural morpheme is /z/
Explain variation between [z] and [s]
 An example analysis
Identify constraints
Propose some candidates
Propose a ranking
Show alternate ranking
 Proposed Constraints
Agree-Voice - "Obstruent voicing agreement"
Markedness constraint: contiguous obstruents must agree
in voicing

Ident-IO (Voice) - "Voicing Faithfulness"

Faithfulness constraint: output segment voicing must be
the same as input

*Voiced Word-Final Obstruent - "No word-final voicing"

Markedness constraint: word-final obstruents must not be
voiced.
 TPR Demo
Input: /k t - z/

Find the optimal candidate given:

1. Agree-Voice
2. Ident-IO (Voice)
3. *Voiced Word-Final
Demo - Tableau
 TPR Demo - Wrong Ranking
What happens with the wrong ranking?

Input: /k t - z/

Wrong ranking:
1. Ident-IO (Voice)
2. Agree-Voice
3. *Voiced Word-Final
 Demo - Tableau

Follow-up: What about the candidate [kaz]?

 Pros of OT
Expands to other areas of linguistics

Unites different processes that are for the

same purposes(conspiracy)
oA->B /X_Y
A->C /X_Y
A->O /X_Y

Eliminates derivation
 Criticism of OT
Existence of constraint not easily defined

Ambiguity in how constraints are created

Opacity difficult to explain

"Too many solutions" problem
o
Reverse of conspiracy problem
 Conclusion
How to interpret a Tableaux
History and Reasons for Development
Theory
Application
Pros and Cons
Further Resources
Kager, Rene (1999). Optimality Theory.
Cambridge, UK: Cambridge University
Press.

OT Archive at Rutgers: http://roa.rutgers.edu/