DISCLAIMER:

This document does not meet current format guidelines Graduate School at the The University of Texas at Austin. of the It has been published for informational use only.

Copyright by Anne E. Gaskill 2013

The Dissertation Committee for Anne E. Gaskill Certifies that this is the approved version of the following dissertation:

Italian Metaphony in Optimality Theory with Candidate Chains

Committee:

Jean-Pierre Montreuil, Supervisor

Cinzia Russi

Bryan Donaldson

Barbara E. Bullock

Orlando Kelm Italian Metaphony in Optimality Theory with Candidate Chains

by

Anne E. Gaskill, B.A., M.A.

Dissertation Presented to the Faculty of the Graduate School of The University of Texas at Austin in Partial Fulfillment of the Requirements

for the Degree of

Doctor of Philosophy

The University of Texas at Austin December 2013 Dedication

This work is dedicated to Parker and Logan

Acknowledgements

It is daunting if not impossible to thank every individual who has helped me grow, learn, and thrive throughout this long journey. Though there are dozens of people whose guidance has benefited me over the years, there are a select few people without whom this never would have been possible.

First and foremost, I will be forever grateful to Jean-Pierre Montreuil for his role in my education and my development as a scholar. Meeting JP changed my life in ways that extend far beyond academia. In introducing me to OT, he opened my eyes to a system of analysis that would come to shape not only my academic pursuits for the next eight years, but the way I would see the world around me. I cannot thank him enough for his tutelage, guidance, and, perhaps most importantly, his seemingly unwavering faith in me. Thank you, JP; my world will forever be a better one for having known you and having learned from you. Second, I could not have made it this far without Cinzia Russi. Though Cinzia is the kind of professor whose courses inspire students to push themselves to the limits of their abilities, I had the exceptionally good luck to have her as my graduate advisor, as well. There were times during this journey when I wasn’t sure that I could go on – when I felt stuck or discouraged or overwhelmed – and I am indebted to Cinzia for helping me navigate the sometimes troubled waters I crossed to make it to this point. Thank you,

Cinzia, for everything. Of course this also would have been impossible without the other members of my committee: Bryan Donaldson, Barbara E. Bullock, and Orlando Kelm. Thank you all for

v your honesty with me, for sharing with me your time and expertise, and for giving me so many interesting perspectives and suggestions to pursue in future research. I consider myself especially blessed to have always had the complete and unwavering support of my family, both in education and in life. I first must thank my mother, Sharon Fowler, who I don’t think has ever doubted me; without her support and that of my stepfather, Mark Fowler, I would not be writing this today. Thank you both for making this all possible. I am grateful to my father, Harold V. Gaskill III, MD, who never let me give up and who is always looking out for me, and to my stepmother,

Victoria Mathers, for her support, as well. Thank you both for everything you have done for me. And of course thanks to my baby brother, Harold V. Gaskill IV, for being there for me through the good and the bad. I am proud to call you my brother. Of course, I cannot imagine having made it this far without the support of my friends. I simply cannot even attempt to name everyone who has positively impacted my life over the last eight years. Thank you to each and every one of my classmates, my colleagues, my officemates, and my friends from the Department of French and Italian, The University of Texas, and beyond. Thank you to all of you who shared blood, sweat, tears, and laughter with me on this long and winding road. Thank you most of all, Wapiti, for always, always being there.

On a lighter note, I would also like to thank the baristas at Houndstooth, Thunderbird, Caffé Medici, Genuine Joe’s, Bennu, The Coffee Bean and Tea Leaf, and, yes, even Starbucks. As I sat working for hours at a time in coffee shops all over Austin, I promised myself that I wouldn’t overlook the people who kept me awake and writing, day in and day out, over the last two years.

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And last, but most certainly not least, thank you to my husband, Matt, and to our two beautiful children, Parker and Logan. Thank you for your patience, your kindness, and more than anything, thank you for everything that you sacrificed to see me follow this dream to fruition. Your love and support mean everything to me.

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Italian Metaphony in Optimality Theory with Candidate Chains

Anne E. Gaskill, Ph.D. The University of Texas at Austin, 2013

Supervisor: Jean-Pierre Montreuil

The regressive (mor)phonological assimilatory process most commonly referred to as metaphony is one which is quite common in Romance: it is found in the dialects of Portugal, Spain, and Italy, with traces appearing in Rumanian and the Spanish of the Americas, as well. As a result, it has been the subject of a great deal of scholarly research both diachronically, (Hall 1950, Blaylock 1965, Leonard 1978, Papa 1981, Kaze 1989) and synchronically (McCarthy 1984, Calabrese 1985, 1998, 2008, Vago 1988, Hualde

1989, Martínez-Gil 2006, Walker 2004, 2006, 2008, 2010). What has eluded recent researchers, however, is a framework that can successfully address the myriad variations of metaphony found in these regions; there exists to date no comprehensive analysis of metaphony in Romance. This dissertation offers an analysis of Italian Metaphony that is couched in a recent variety of Optimality Theory (Prince and Smolensky 1993, 2004), Optimality Theory with Candidate Chains (McCarthy 2007), a framework which exploits the rarely used serial capacity of OT. In exploring the myriad varieties of metaphony found in the Italian dialects, this dissertation tests the capabilities and limitations of both Traditional Optimality Theory and Optimality Theory with Candidate Chains; this exploration

viii culminates with the analysis of a problematic variety of OT that currently lacks an acceptable solution in OT-CC. To address this shortcoming, this dissertation introduces a new constraint to the established constraint hierarchy of OT-CC: Subsequence. Subsequence builds on the theoretical premises established in McCarthy (2007) with the introduction of Precedence, which evaluated not a single output candidate but rather the order of the constraint violations found within an individual candidate chain. The resulting analyses create a unified account of Italian metaphony that demonstrates the usefulness not only of OT-CC for addressing different types of opacity, but also the need for an enhancement such as subsequence to account for types of variation that are currently impossible to address in OT-CC.

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Table of Contents

1 Introduction ...... 1 1.1 Idiolects or polylect? The nature of dialectal variation ...... 2 1.2 Organization of the dissertation ...... 6

PART ONE: THEORETICAL BACKGROUND 8

2 Theoretical Background: Optimality Theory and Opacity ...... 9 2.1 Optimality Theory ...... 9 2.1.1 Parallel analysis in Traditional OT: The problem with opacity ..12 2.2 Opacity in Optimality Theory ...... 17 2.3 Optimality Theory: a brief history ...... 18 2.4 In defense of serial analysis ...... 26 2.5 Recapitulation ...... 28

3 Serial Optimality and Optimality Theory with Candidate Chains ...... 30 3.1 Serial harmony in Optimality Theory ...... 30 3.1.1 Early serial frameworks in OT ...... 31 3.1.1.1 Stratal OT ...... 31 3.1.1.2 LPM OT ...... 34 Derivational OT ...... 40 3.1.1.3...... 40 3.1.2 Recent innovations in serial OT ...... 46 3.1.2.1 Harmonic Serialism and Parallelism (McCarthy 2000)47 3.1.2.2 Optimal Interleaving ...... 50 3.1.3 Optimality Theory with Candidate Chains ...... 53 3.2 Why OT-CC? ...... 61 3.3 Recapitulation ...... 63

4 Metaphony ...... 65 4.1 Metaphony versus vowel harmony ...... 65

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4.1.1 Chain shifts in Mantuan ...... 67 4.2 Targets and triggers: What causes metaphony and where does it happen? ...... 68 4.3 Categorizing metaphony ...... 69 4.3.1 Targets and triggers...... 70 4.3.2 Partial versus complete metaphony ...... 72 4.3.2.1 Partial metaphony: scalar ...... 73 4.3.2.2 Partial metaphony: diphthongizing ...... 74 4.3.2.3 Syllabic structure and metaphony ...... 75 4.3.3 Extension and adjacency ...... 76 4.4 Metaphony in Romance ...... 77 4.5 Transparent metaphony versus opaque metaphony ...... 81 4.6 Recapitulation ...... 82

PART TWO: ANALYSES 84

5 Romance Metaphony in Optimality Theory: Constraint Selection and Previous Approaches ...... 85 5.1 What drives metaphony: constraint selection ...... 85 5.1.1 Alignment (Calabrese 1998) ...... 86 5.1.2 Morpheme Realization (Dillon 2003) ...... 91 5.1.3 Agreement (Martínez-Gil 2006) ...... 93 5.1.4 Feature Licensing (Walker 2004, 2005) ...... 96 5.2 Transparent metaphony in Optimality Theory ...... 102 5.2.1 Hypermetaphony in Foggiano...... 102 5.2.2 Metaphony restricted to tense mid vowels: Grado ...... 108 5.2.3 Recapitulation ...... 112

6 Opaque Metaphony in OT-CC ...... 114 6.1 Opaque metaphony in OT-CC: the need for Precedence ...... 114 6.1.1 Metaphony in Teramano ...... 116 6.1.2 Discussion ...... 122

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6.2 Opaque Metaphony in OT-CC: Precedence vs. Split-Precedence .....122 6.2.1.1 The question of gradience: Precedence vs. Split-Precedence 126 6.2.2 Synchronic chain shifts and the need for Split-Precedence ...... 132 6.2.3 Discussion ...... 150 6.3 Combining Split-Precedence ...... 150 6.3.1 Multiple opacity: synchronic chain shifts with final neutralization150 6.3.2 Diphthongizing metaphony ...... 154 6.3.2.1 Scalar diphthongizing metaphony without final vowel neutralization...... 154 6.3.2.2 Scalar diphthongizing metaphony with final vowel neutralization...... 161 6.3.3 Discussion ...... 167 6.4 Non-adjacent metaphony in OT-CC: the search for a solution ...... 170

PART THREE: PROPOSAL 172

7 Subsequence ...... 173 7.1 Non-adjacent metaphony in Central Venetan ...... 173 7.1.1 Data 174 7.2 The search for a solution ...... 182 7.3 Fell-Swoop Derivations (Walker 2008) ...... 183 7.3.1.1 Issues with Fell-Swoop Derivations ...... 187 7.4 Narrowly defined markedness constraints ...... 190 7.4.1.1 Issues with *Skip ...... 194 7.5 Subsequence ...... 197 7.5.1 Why isn’t Precedence enough? ...... 201 7.5.2 The case for subsequence: Local Ordering in Derivational Phonology ...... 203 7.5.3 Concatenation versus traditional Markedness ...... 204 7.5.4 Testing the theory: a Subsequence analysis of Central Venetan206 7.6 Sub(A, B) vs. Fix(A, B) ...... 216

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7.7 Limitations and guidelines for the use of Subsequence ...... 219 7.8 Recapitulation ...... 222

8 Discussion ...... 223 8.1 Current developments in Optimality Theory ...... 224 8.2 Rethinking dominance and violation ...... 224 8.2.1 Strict dominance versus weighted constraints ...... 225 8.2.1.1 Stochastic Optimality Theory...... 225 8.2.1.2 Harmonic Grammar and Serial Harmonic Grammar .227 8.2.2 Penalization versus reward ...... 230 8.3 Toward an ideal solution ...... 240 8.3.1 The importance of gradualness ...... 241 8.3.2 Enhancing OT: the role of CON ...... 244 8.3.2.1 Process-centered Constraints...... 245 8.3.2.2 Universality ...... 247 8.4 The benefits of Subsequence-Enhanced OT-CC ...... 248 8.5 Recapitulation ...... 250

9 Conclusion ...... 252 9.1 Intended applications for Subsequence ...... 256 9.2 Potential additional applications for Subsequence ...... 259 9.2.1 Norman palatalization ...... 259 9.2.2 Voicing, gemination, and epenthesis in the Italian dialects ...... 262 9.2.3 Discussion ...... 267 9.3 Recapitulation ...... 267

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1 Introduction

The morphonological harmonizing process known as Metaphony is perhaps one of the most interesting and unique features of Ibero- and Italo-Romance. This typologically rare phenomenon (Dillon 2003, Walker 2004, 2005), in which a conventionally weak segment triggers harmony in a stronger segment, is quite common in many branches of Romance. It is found in the dialects of Portugal, Spain, and Italy, with traces appearing in Rumanian and the Spanish of the Americas, as well (see Chapter 4 for a detailed discussion of this phenomenon). As a result, it has been the subject of a great deal of scholarly research both diachronically, (Hall 1950, Blaylock 1965, Leonard 1978, Papa 1981, Kaze 1989) and synchronically (McCarthy 1984, Calabrese 1985, 1998, 2008, Vago 1988, Hualde 1989, Martínez-Gil 2006, Walker 2004, 2006, 2008, 2010). What has eluded recent researchers, however, is a framework that can successfully address the myriad variations of metaphony found in these regions; there exists to date no comprehensive analysis of metaphony in Romance. In formulating such an analysis, this dissertation focuses on the dialects of Italy as described by Maiden (1991). The goals of this dissertation are thus twofold: first, to examine in detail a number of metaphonic paradigms in order to create a unified analysis of Romance metaphony; and second, to explore the capabilities and limitations of Optimality Theory, henceforth

OT (Prince and Smolensky 1993, 2004; see Chapter 2 for a thorough background). In order to achieve these goals, I have selected a number of representative dialects through which to illustrate the diverse outcomes of metaphony that are found in the dialects of Italy. As I progress from the simplest paradigms to the most complicated, I test the limitations of both Traditional Optimality Theory and Optimality Theory with Candidate

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Chains, a recent enhancement to Traditional OT which exploits the rarely used serial capacity of OT. Additionally, and perhaps most importantly, this dissertation introduces a new constraint to the established constraint hierarchy of OT-CC: Subsequence. Subsequence builds on the theoretical premises established in McCarthy (2007) with the introduction of Precedence, which evaluated not a single output candidate but rather the order of the constraint violations found within an individual candidate chain. Whereas Precedence stipulated that a violation of a given constraint B must be preceded by a violation of another constraint A, Subsequence ensures that a violation of a given constraint A is followed by a violation of a given constraint B. Though these two constraints seem at first to serve quite similar functions, this dissertation demonstrates that the mechanism of action – and the implications – of each constraint are in fact quite different. In exploring this novel proposal, this dissertation culminates with an analysis of a variety of metaphony that cannot currently be addressed in a satisfactory manner in either parallel or serial OT. The resulting analyses demonstrate the usefulness not only of OT-CC for addressing different types of opacity, but also the need for an enhancement such as Subsequence to account for types of variation that are currently impossible to address in OT-CC.

1.1 IDIOLECTS OR POLYLECT? THE NATURE OF DIALECTAL VARIATION

The dialects under examination in this dissertation are all Italian dialects that exhibit metaphony. These dialects, while not identical in the manner or extent to which metaphony is manifest, are all related and comprise a larger, coherent area of linguistic variation. Before continuing with the theoretical intricacies of this dissertation, one

2 question must first be answered: what is the best way to approach a multidialectal analysis such as the one contained in this dissertation? There are, of course, many ways to define a language and differentiate between related dialects. What lacks a consensus, however, is the question of how to define exactly what constitutes an autonomous linguistic variety. In other words, where does one draw the line between individual behavior, the behavior of a local speech community, and the role that a particular speech community plays in a larger speech community? In the context of the dialects in question, for example, we can identify three levels for each dialect: the individual speaker, who possesses a unique grammar that determines his or her unique behavior; the dialect, which comprises its own grammar and guides the behavior of the individual speaker; and the larger linguistic area to which the dialect belongs. What is the importance of context in variation – if it is important at all? That question is central to the approach adopted in this dissertation, one which is known as a polylectal or panlectal approach (cf. Berrendonner et al . 1983). The notion of polylectal grammar focuses on the big picture in dialectal variation, on the quilt rather than the patchwork, so to speak. Instead of examining a single idiolect – or, as Berrendonner et al. (1983) refers to them, a single lect – in isolation, the polylectal approach considers the larger area of linguistic variation as the starting point for a descriptive or theoretical analysis. Instead of viewing a dialectal area as containing multiple separate but historically related varieties, the polylectal approach views the dialectal area as numerous permutations of a given language. By starting from the supposition that mutually intelligible and closely related languages must compose a larger linguistic area – a polylect – the input for a given language is not limited by the

3 behavior of that language alone. Instead, the whole linguistic area is, within reason, assumed to share an underlying representation from which every variety arises. Let us examine the implications of this approach for a dialect such as Napoletano, one Italian dialect spoken in and around Naples. If speakers of Napoletano can (and indeed do) understand and converse with speakers of a neighboring dialect – say, Irpino, a closely related dialect spoken in the region of Avellino (cf. De Salvio 1913) which bears a “striking” resemblance to Napoletano – we understand these dialects to be mutually intelligible. The fact that these speakers are able to understand one another suggests that these speakers must be capable of accessing some higher grammatical framework which allows them to understand a language which may differ by one or more salient phonological phenomena. Polylectal comprehension, according to Bailey (1973), implies polylectal grammar. In some ways, the notion of polylectal grammar offers something of a panchronic approach to phonological variation. By assuming that these mutually intelligible dialects share a common input and are then subject to the constraints of separate grammars, the lines between synchronic variation and diachronic evolution are in some ways blurred. This is not an uncontroversial framework to adopt, and there are indeed many who might outright dismiss a polylectal approach to dialectal variation (cf. Sankoff 1977 and

Hudson 1980 for some criticisms of this theory). Nevertheless, this framework allows for a view of dialectal variation which allows the researcher to focus on the relationship between the dialects and their respective grammars instead of focusing on whether a certain element is productive or merely the lexicalized result of one or more historical changes. Especially within the framework of OT, viewing dialectal variation through a polylectal lens allows us to view how the

4 simplest changes in a grammar can result in dramatic shifts in the behavior of a language, with the simple promotion or demotion of a constraint sometimes making the difference between one dialect and another. The analyses contained in this dissertation thus assume this framework, the implications of which will guide the selection of the input and shape the resulting grammars in a way that reflects each dialect’s place within the larger linguistic community. I wish to stress at this point that it is the selection of the input which is perhaps most affected by adopting the polylectal framework. Traditionally, due to the concept of Lexicon Optimization (Prince and Smolensky 1993), the selection of the input for a given output would be selected based on which of the potentially infinite possible inputs would incur the fewest violations when compared to the desired optimal output. This means that if you are considering only a single language or dialect, there is no reason to posit a different input than the most harmonic one for that given language or dialect. However, when considering the polylect as the basis for comparison, one must instead search for an input that is a plausible and harmonic input for all dialects within the linguistic area under consideration. For the Italian dialects, then, this means that the most harmonic input for the region must be able to generate both metaphonized and non metaphonized outputs, both with and without final vowel neutralization and diphthongization. Because of this, the inputs selected in the forthcoming analysis may appear to many to be an undesirable and perhaps ill-informed selection. However, when viewed within the larger polylectal area and within the larger polylectal grammar, these inputs become evident as the only viable inputs for the linguistic area in question.

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1.2 ORGANIZATION OF THE DISSERTATION

This dissertation contains nine chapters, including the current one. Chapters Two through Four provide the theoretical background. Chapter Two explores both the framework of OT and the concept of phonological Opacity, the most fundamental elements of this dissertation. Chapter Three explores OT-CC, the specific framework within which the OT analyses in this dissertation are carried out. Chapter Four presents metaphony in detail, situating it within the larger family of vowel harmony and then exploring the nature of metaphony in Romance; this chapter discusses the geographic areas subject to metaphonic phenomena, as well. Chapters Five through Seven provide the analytical portion of this dissertation. Chapter Five explores transparent metaphony, which proves easy to analyze in both Traditional OT and OT-CC; this chapter, though it does not attempt to solve a currently unresolved issue, shows the limits of Traditional OT with regard to Italian metaphony. Chapter Six presents a number of analyses of Romance metaphony which demonstrate numerous varieties of opacity. The varieties explored in this chapter progress from the simplest opaque paradigms to some much more complex patterns involving multiple levels of opacity. In Chapter Seven I explore the existing proposals for addressing this opaque paradigm before presenting my own solution to this shortcoming of OT – and OT-CC. I suggest the implementation of a new constraint family, Subsequence, which proves capable of addressing this and other problematic types of variation found in Romance metaphony. The proposed Subsequence constraint would provide a counterpoint to McCarthy’s (2007) notion of Precedence, which evaluates the order of two specific

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Localized Unfaithful Mappings (LUMs) in OT-CC. Precedence allows the researcher to ensure that a given LUM B must be preceded – and not followed by – a specific LUM A. Subsequence, on the other hand, is capable of ensuring that a given LUM A must be followed by a second LUM B. In essence, Precedence prevents the occurrence of LUM B in isolation, whereas Subsequence prevents the occurrence of LUM A in isolation. In support of this constraint, I provide an analysis of Central Venetan, one currently unanalyzable variety of metaphony, a complicated combination of non-adjacent metaphony and concurrent vowel harmony. This analysis demonstrates the usefulness of a constraint such as Subsequence, which is capable of greatly enhancing the scope of OT- CC. Chapters Eight and Nine offer a discussion and conclusion, respectively, covering the larger question of how to select an optimal solution to opacity. Chapter 8 explores not only the questions raised by the current and competing proposals for the enhancement of

OT-CC, but also presents some groundbreaking directions currently being explored in OT. This chapter provides evidence in support of OT-CC and Subsequence as the ideal tools for analysis of phonological opacity such as is found in the Italian dialects explored in this dissertation. Chapter Nine concludes and offers guidelines for the use of Subsequence and other potential applications for this constraint family.

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PART ONE: THEORETICAL BACKGROUND

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2 Theoretical Background: Optimality Theory and Opacity

The framework of analysis used in this dissertation is a system of phonological analysis known as Optimality Theory (Prince and Smolensky 1993, 2004). While OT was, from its inception, a primarily parallel system of analysis, more recent approaches to

OT have begun exploring its capacity for serial analysis either in place of or in addition to its traditionally employed system of parallel analysis. This chapter explores two elements that are key to the goals of this dissertation: the framework and tenets of Traditional OT, which has been for the most part retained in subsequent refinements to the theory, and the concept of opacity, specifically as it relates to OT.

2.1 OPTIMALITY THEORY

Traditional OT is a non-derivational form of analysis that relies upon the interplay between Markedness and Faithfulness to evaluate various candidates (equivalent to the output of a derivational analysis) for a given input. An OT analysis is composed of three integral elements: the generator (GEN), the constraint hierarchy (CON), and the process of evaluation (EVAL). The first of these elements, GEN, is responsible for creating the

(infinite) set of candidates generated by a given input. The second element, CON, is the inventory of (universal) constraints which are ranked to create the grammar for a given language. EVAL, then, is the process of evaluating these candidates according to the language-specific grammar created via the ranking of a number of relevant constraints. This process is illustrated below, in Figure 1.

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Figure 1 Eval

C 1 >> C 3 >> C3 Candidate A Candidate B Input Gen Candidate C Output Candidate D Candidate E

Con

Returning to the concept of CON, the vast majority of the constraints used in OT analyses will be either Markedness or Faithfulness constraints. Faithfulness, as the name implies, refers to adherence to the structures contained in the input; a change to any segment or feature of the input constitutes the violation of a corresponding faithfulness constraint. Markedness, on the other hand, is what motivates change from a given input; markedness can be based either on internal or prosodic structure, and its exact influence can be affected by external factors such as stress and stylistics. Markedness and Faithfulness work in opposition to one another in order to produce the grammar of a given language: Markedness prevents the occurrence of inherently or positionally marked structures, and Faithfulness demands identity between the input and output candidates. The interplay between Markedness and Faithfulness can be seen in Tableau 1, a (very simplified) sample illustration of the effects of Markedness and Faithfulness.

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/CVCVC/ *C]word MAX-C

 CVCV *

CVCVC *!

Tableau 1 Sample OT Tableau

(1) *C]word No consonants at the end of the word

(2) MAX-C Do not delete consonants

In the tableau above, the first constraint,*C] word, is the markedness constraint; it states that a certain structure, a word-final consonant, is marked in this fictional grammar. We see that the candidate CVCVC violates this constraint; this violation is notated by the asterisk (*). Max-C, on the other hand, is the faithfulness constraint; it stipulates that any consonant present in the input must be preserved in an output candidate. Again, we see that CVCV violates this constraint, as noted by the asterisk. In our fictional grammar, each candidate has incurred a single violation. Had our two candidates been considered equally important (which would have been shown with a dashed, instead of solid, line between columns), we would have ended up with two equally viable candidates. Our tableau, however, is crucially ranked (as illustrated by the solid line between columns). Because our markedness constraint (*C]word) is ranked more highly than our faithfulness constraint (Max-C), the violation of *C]word is more serious than the violation of Max-C. This so-called fatal violation of *C]word is notated with an exclamation point (!), and all cells to the right have been shaded to illustrate the fact that this candidate has been eliminated and is no longer under consideration. Thus we

11 have eliminated the faithful candidate CVCVC in favor of the optimal candidate CVCV; this optimal candidate is identified with the pointing hand symbol ().

2.1.1 Parallel analysis in Traditional OT: The problem with opacity

Beyond the architecture of an OT analysis, traditional OT conforms to five requirements, which are outlined by McCarthy and Prince (1993):

(3) The five tenets of Traditional OT:

a. Universality: Universal Grammar provides a set of constraints (CON) that are universal and universally present in all grammars. b. Violability: Constraints are violable, but violation is minimal. c. Ranking: The constraints of CON are ranked on a language-particular basis; the notion of minimal violation is defined in terms of this ranking. A grammar is a ranking of the constraint set. d. Inclusiveness: The constraint hierarchy evaluates a set of candidate forms that are admitted by very general considerations of structural well-formedness. e. Parallelism: Optimal satisfaction of the constraint hierarchy is computed over the whole hierarchy and the whole candidate set. There is no serial derivation.

Of particular note here is the fifth tenet of Traditional OT: parallelism. The most frequently used precursor to OT was the rule-based system of Derivational Phonology (DP). Where Traditional OT was conceived as parallel – evaluating candidates based on their surface forms without regard to any change or changes that may have occurred – DP is a serial form of analysis centered upon the changes an input form (or underlying representation) undergoes in order to arrive at its surface form. In DP, a token under analysis is considered to have an underlying representation, surface representation, and one or more intermediate representations. These intermediate

12 representations are the result of any number of phonological rules applying in sequence to the underlying form or a preceding intermediate representation. Thus, in DP, while an underlying representation and surface representation may differ significantly, the intermediate representations and specific order of the rules involved are able to account for even the most complex interactions between processes. Opacity was not born of OT, however; even in DT some of these relationships are considered to be opaque. But what exactly is opacity? The traditional definition of opacity was coined by Kiparsky (1973:79):

(4) Definition of Opacity A phonological rule P of the form A  B / C___D is opaque if there are surface structures with any of the following characteristics: a. instances of A in the environment C___D. b. instances of B derived by P that occur in environments other than C___D.

The specific order of rules in DP is capable of creating four basic interactions which, in an OT analysis, may prove to be opaque: Feeding, Bleeding, Counterfeeding, and Counterbleeding; it should be noted that, in DP, only counterbleeding and counterfeeding relationships are considered to be opaque. In a feeding relationship, one rule creates a change that makes the newly-created segment subject to a later rule. The sequence of rules outlined in (5) illustrates a classical feeding relationship.

(5) Feeding in DP Underlying Representation /EAC/ Rule 1: A  B /___C EBC Rule 2: B  D /E___ EDC Surface Representation [EDC]

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In a bleeding relationship, on the other hand, one rule creates a change that removes a segment which would have been subject to a later rule had the first rule not changed it; this is shown in (6).

(6) Bleeding in DP Underlying Representation /EAC/ Rule 1: A  B /___C EBC Rule 2: E  F /___A --- Surface Representation [EBC]

Counterfeeding and counterbleeding, then, are exactly what their names imply: a sequence of ordered rules which occur in the opposite order needed to create a feeding or bleeding relationship. Thus, in the case of counterfeeding, one rule which would have fed a second rule had it applied first occurs after – not before – the rule which it would have fed.

(7) Counterfeeding in DP Underlying Representation /EAC/ Rule 1: B  D /E___ --- Rule 2: A  B /___C EBC Surface Representation [EBC]

In (7), the same rules from (5) appear in reversed order, forming a counterfeeding relationship instead of the feeding relationship seen in (5). Similarly, if we take the two rules seen in (6) and reverse their order, we arrive at an instance of counterbleeding. In (8) we see an instance wherein a given rule would have bled a later rule had it appeared first, but instead it occurs later than the rule it would have bled, creating counterbleeding.

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(8) Counterbleeding in DP Underlying Representation /EAC/ Rule 2: E  F /___A FAC Rule 1: A  B /___C FBC Surface Representation [FBC]

This dependence on rules and transformations allowed for a hypothetically infinite number of intermediate forms which were generated by the application of one or more rules. Because the researcher had access to these intermediate representations, even opaque relationships contained some degree of transparency: one could see exactly when and where a given change occurred, even if the segment (or segments) involved in the change were erased by a lower rule. Take the example of the interaction of vocalic epenthesis and ʔ-deletion in Tiberian Hebrew, illustrated in (9).

(9) Counterbleeding in Tiberian Hebrew (Walker 1998: 91)

Vowel Epenthesis into final clusters Ø  V /C__C# ʔ-deletion ʔ  Ø /__]σ

Underyling Representation /deʃʔ/ V-epenthesis deʃEʔ ʔ-deletion deʃE Surface representation [deʃE] *deʃ

As the derivational analysis above illustrates, by ordering ʔ-deletion after V- epenthesis it is possible to prevent the underapplication of V-epenthesis which, were the order of these two rules reversed, woul not have applied at all. In traditional OT, however, these intermediate representations are no longer part of the analysis. Since traditional OT was conceived as a parallel system of analysis, only the input and the

15 candidate set are considered in the analysis; there are in OT no rules which can transform the input, only constraints which may be violated. Returning to the DP analysis shown in (9), we can see how – in Traditional OT – it would be quite difficult if not impossible to create a constraint hierarchy that would be capable of selecting the proper optimal candidate from the list of possible candidates. In an OT analysis, regardless of the ordering of the relevant markedness constraints – *Complex to prevent the illicit consonant cluster and *ʔ/]σ to prevent word final /ʔ/ – the resulting analysis will select a suboptimal transparent candidate instead of the desired opaque candidate. This is illustrated in Tableau 2.

(10) *Complex No consonant syllable margins

(11) *ʔ/]σ No ʔ in coda position

(12) Anchor-R The rightmost element of the input must have a correspondent in the rightmost element of the output

(13) Max-IO Every segment in S1 has a corresponding segment in S2 “No deletion”

(14) Dep-IO Every segment in S2 has a corresponding segment in S1 “No epenthesis”

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deʃʔ *Complex *ʔ/]σ Anchor-R Max-IO Dep-IO deʃʔ * *! deʃʔE *! * deʃEʔ * *!  deʃ * * deʔ *! deʃE * * *! Tableau 2 Opacity in Tiberian Hebrew1 There are essentially no constraints in Traditional OT capable of producing the

desired optimal candidate /deʃE/.2 Because OT in its original form will always favor a transparent candidate over an opaque candidate, opacity has thus been dubbed “the Achilles heel” of Optimality Theory (Kager 1999: 377).

2.2 OPACITY IN OPTIMALITY THEORY

The question of opacity – and the difficulties that it poses to Traditional OT – is explored quite thoroughly by McCarthy (2007) as justification for the introduction of

Optimality Theory with Candidate Chains. The inefficiency of OT at dealing with opaque paradigms lies in the fact that the system is in its purest form merely a bistratal one: it is capable of analyzing only the output as compared to the input. This means that the analysis comprises only two levels – the underlying and surface representations – and lacks access to the intermediate representations which in Derivational Phonology reflect

the serial progression of multiple phonological processes.

1 The use of  in this dissertation conforms to the usage of Kaplan (2011), who employs this symbol to represent the candidate which has been selected as optimal in a given grammar despite its being an undesirable optimal candidate for a given input. Thus, in Tableau 32, the  appearing before /patə/ and /pɛtə/ illustrates to the reader that these candidates should not be selected as optimal under an accurate grammar of the language in question (which in this case is a merely hypothetical one). 2 See Section 2.3 for McCarthy’s (2002) Sympathy Theory analysis of this issue; Walker (1998) provides a similar treatment. 17

As mentioned above, it is due to the fact that these intermediate representations do not exist in an OT analysis that OT naturally tends to favor the transparent candidate. Faced with this shortcoming of Traditional OT, many researchers have proposed enhancements to the parallel framework of OT, with increasing interest in recent years being paid to its serial capacity, as well. This chapter explores several parallel frameworks of OT which have been explored in order to attempt to address the problem with opacity in OT. Expanding on this theoretical background, Chapter 3 explores some salient serial frameworks of OT, including the one used as the basis for the analyses in this dissertation, OT-CC.

2.3 OPTIMALITY THEORY: A BRIEF HISTORY

When it was created, OT offered researchers a vehicle for analysis that was beautiful in its simplicity. Its simple input-output correspondence and straightforward violations of ranked constraints replaced the multi-step derivations needed to produce the desired surface representations of certain inputs. As discussed in Section 2.1.1, however, this simple system proved to be incapable of dealing with opacity, a fairly significant drawback for a framework for phonological analysis. With new versions of OT being introduced seemingly every year (cf. sympathy theory (McCarthy 1999), OO-correspondence (Benua 1997, 2000), turbidity (Goldrick 2001), local conjunction (Ito & Mester 2003), stratal OT (Kiparsky 2000), targeted constraints (Baković & Wilson 2000), comparative markedness (McCarthy 2003)), it seems prudent at this point to examine not just these enhancements to the original framework of OT but also to re-examine the very foundation of OT. For roughly the first decade and a half of the existence of OT, most innovative forms of OT retained its most fundamental (though not inherently necessary) principle: 18 that these analyses are strictly parallel in nature, with only the input and output being evaluated vis a vis one another. But once researchers began proposing ways to improve OT in order to allow it to successfully address opaque paradigms, these nascent innovations seemed to evolve in dramatically different fashions, questioning everything from the nature of the analysis itself to the proposed existence of covert or “turbid” structures within the phonology of a given language (Goldrick 2001).

Some approaches turned to the constraint rankings themselves, attempting to address the failure of strict dominance in certain types of opacity by allowing the conjunction of two (or, hypothetically, more) constraints in order to penalize the violation of certain constraints more harshly when these violations were incurred alongside the violation of another constraint. Frameworks exploring this solution include Local Constraint Conjunction (Green 1993, Smolensky 1993) and Boolean Constraint Conjunction (Crowhurst and Hewitt 1997), both of which incorporate the effects of two or more constraints into a single, sweeping constraint. Though constraint conjunction is certainly a possible solution to some types of opacity found in the Spanish and Italian dialects under consideration in this dissertation (cf. Martínez-Gil 2006), this framework fails to provide a satisfactory solution for many opaque paradigms. Diphthongizing metaphony, metaphony in conjunction with neutralization, domain-based metaphony, and non-adjacent metaphony all fail to find an acceptable solution in any conjoined version of OT.

Other enhancements to OT sought to provide a way for OT to evaluate not only the relationship between the input and output candidates, but rather to allow comparison between multiple outputs. Whereas traditional OT was conceived as a direct Input-Output (I-O) evaluation, some researchers explored its capacity for analyzing Output-Output

19 correspondence (O-O), as well. While I-O analyses compare the divergences between the input and the output for a given form, O-O analyses incorporate not only the input as a basis for comparison, but also related output forms. O-O correspondence can be useful in addressing opacity that can be resolved by appealing to a larger paradigm. One example of an O-O OT framework is Benua’s (1997) Transderivational Faithfulness Theory (TFT), which was devised to account for morphologically derived opacity. TFT stipulated that related forms within the same paradigm must, as a result of O-O constraints, be identical in certain ways. Figure (15) illustrates the concurrent I-O and O-O elements of a TFT OT analysis.

(15) Transderivational (output-output) correspondence OO Correspondence

[root1] [root1 + affix] IO Correspondence

/root/ /root + affix/

This type of framework, however, is only useful in instances where phonological opacity is the result of faithfulness to a base morpheme that is shared with other lexical items. This shortcoming is one that is shared with almost all major forms of O-O OT. Though I do not provide an exhaustive catalogue of each and every variety of O-O OT, the reader is encouraged to consult Kenstowicz (1994), McCarthy (1995), and Benua (1995, 1997, and 2000) for more information regarding this and similar O-O correspondence theories. Another derivation from strict I-O analysis was the proposal for intercandidate analysis, where candidates are evaluated not only in comparison with the input but also to their fellow candidates. The most well-known of these intercandidate frameworks of

20 analysis was Sympathy Theory (McCarthy 2002), which comprises a dual system of I-O and intercandidate analysis within the same parallel analysis. In a sympathetic analysis, the researcher creates the grammar for a given dialect and then selects a so-called sympathetic candidate from among the various output candidates under consideration. As described by McCarthy (2002: 8), the process of selecting this candidate is as follows:

The sympathetic candidate is the most harmonic member of the set of candidates obeying some designated IO faithfulness constraint, the selector. It is "the most harmonic member" in that it best satisfies all non-sympathy constraints as they are ranked in the constraint hierarchy of the language under consideration. The choice the selector is determined on a language-particular basis [.]

He then outlines three requirements for the selection of a sympathetic candidate (McCarthy 2002: 8):

(16) Selection of the Sympathetic Candidate a. Harmonic Evaluation The sympathetic candidate is the most harmonic member of the subset of candidates available under b. b. Confinement to C+F Selection of the sympathetic candidate F is confined to C+F, the subset of candidates that obey the IO faithfulness constraint F. c. Invisibility of Sympathy Constraints Selection of sympathetic candidates is done without reference to sympathy constraints.

One application for Sympathy Theory is found in Tiberian Hebrew (see Brown et al. 1906, Gesenius 1910, Hetzron 1987, Malone 1993, Khan 1997, Steiner 1997, and

Churchyard 1999 for descriptive accounts, or Walker 1998 and McCarthy 2002 for OT analyses), which was introduced in Section 2.1.1 above in order to illustrate the

21 shortcomings of Traditional OT in addressing this type of opacity. When subjected to a Sympathetic analysis, however, this opacity becomes easily analyzable. Recall that in Tiberian Hebrew, opacity arises when two competing phenomena affect the same token. The first of these phenomena is segolate epenthesis (Green 2004: 43-45), a process affecting masculine nouns with penultimate stress and an underlying CC coda. In segolate nouns, an epenthetic /ɛ/ or /a/ is inserted to break up the illicit consonant cluster, resulting in patterns such as those shown in (17):

(17) Segolate Epenthesis in Tiberian Hebrew (Gesenius 1910: 264-265 in Green 2004: 43)

Underlying Representation Surface Form /sepr/ séfɛr ‘book’ /qod / q dɛ ‘sacredness’ /naʕr/ náʕar ‘a youth’ /ne / né a ‘perpetuity’

This is further complicated by the fact that this segolate epenthesis is not the only process regularly at work in Tiberian Hebrew. One concurrent phenomenon is the regular process of syllable-final laryngeal deletion, wherein /ʔ/ in coda position is deleted. In isolation, ʔ-deletion is not problematic to analyze, as alternations such as the ones in (18) are easy to address.

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(18) ʔ-deletion in Tiberian Hebrew (Green 2004: 48)

Underlying Representation Surface Forms / e ʔ/ et ‘sin’ ɛtʔ-ó: /gayʔ/ gay ‘valley’ ge:ʔ- :ɵ /yarʔ/ way-yár ‘see’ yirʔ- ɛ

However, when the two processes affect the same token, this leads to alternations such as those seen in (19), below; the result is the counterbleeding opacity explored in Section 2.1.1.

(19) Interaction of segolate epenthesis and ʔ-deletion (Green 2004: 48)

Underlying Representation Surface Form /gabʔ/ gɛ ve ‘pool’ /da ʔ/ dɛ ɛ ‘grass’ / anʔ/ tɛ nɛ ‘basket’ /kɛlʔ/ kɛ lɛ ‘imprisonment’ /pɛrʔ/ pɛ rɛ ‘wild ass’

In a derivational analysis, this interaction is clearly explained via rule ordering, wherein epenthesis must precede ʔ-deletion; this can be seen in the derivational analysis given by Green (2004: 49), shown in (20), as well as in example (9) from Walker (1998) presented in Section 2.1.1.

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(20) Derivational Analysis of Opacity in Tiberian Hebrew

Segolate Epenthesis Ø  V /C__C#

ʔ-deletion ʔ  Ø /__]σ

Underlying Representation /pɛlʔ/ Segolate epenthesis pɛlɛʔ ʔ-deletion pɛlɛ Surface Representation [pɛlɛ]

In parallel OT, however, this interaction cannot be reflected, as the framework will always favor the transparent candidate over the opaque; this was the result shown in Tableau 2, based on Walker (1998). McCarthy (2002) demonstrates that Sympathy Theory can account for this instance of opacity by tying the optimal candidate to the epenthesis found in the form equivalent to the first intermediate representation in (20), above. Tableau 3, below, shows both the optimal candidate, notated with the traditional symbol () and the would-be winner, notated by (), which would have surfaced as optimal without the introduction of the sympathetic candidate. The upside down exclamation point (¡) marks the violation of Dep-V that would have been fatal for the optimal candidate /de e/ and delivered the transparent candidate /de / as the infelicitous optimal candidate. The introduction of Max-V, however, effectively prevents this from occurring, an action that would have been impossible in a traditional OT analysis. The relevant constraints are paraphrased in (21)-(25), below.

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(21) Coda-Cond3 *[pharyngeal] )σ

(22) *Complex No consonant clusters

(23) Max-V Preserve the epenthetic vowel of the sympathetic candidate in the output

(24) Max-C Every consonant in the input must have a corresponding segment in the output. (“No consonant deletion”)

(25) Dep-V Every vowel in the output must have a corresponding segment in the input (“No vocalic epenthesis”)

Coda- Max- Max- /de ʔ/ *Complex Dep-V Cond V C opaque  de e * ¡* transparent  de *! * sympathetic  de eʔ *!  * faithful de ʔ *! *! *!  Tableau 3 SOFT Tableau4 from McCarthy (2002: 6)

In Tableau 3, the Sympathetic candidate, notated by, was selected for its satisfaction of the selector candidate, Max-C, which is notated by. The desired optimal candidate must exhibit both the loss of the final glottal stop and vocalic epenthesis, of which only the deletion can be generated by traditional markedness constraints. The sympathy constraint is thus selected in order to ensure that the optimal candidate exhibits

3 This constraint is formulated differently depending on the language in question. This specific formulation is taken from McCarthy & Prince (1994: 44), as McCarthy (2002) does not specify its exact interpretation of this constraint. 4 A SOFT tableau is named for its four candidates: Sympathetic (S), Opaque (O), Faithful (F), and Transparent (T). These tableaux are used in the selection of a Sympathetic candidate. 25 the vocalic epenthesis that would appear in an intermediate stage in a derivational analysis. The constraint Max-V thus compares each other candidate to the sympathetic candidate; any constraint that shows deletion of the /e/ present in the output form /de eʔ/ incurs a violation of Max-V. This intercandidate analysis is useful, though limited in its applicability. This framework is also not without its detractors, as even McCarthy has deemed the existence of Sympathetic candidates to be too powerful for its own good (McCarthy – 2003c). The use of sympathy, McCarthy demonstrates, can easily lead to the so-called Duke of York gambit (Pullum 1976), where a phonological form A passes through a stage B before arriving back at its original form A; in derivational phonology this is represented by the coexistence of two opposing rules within the same grammar. This A  B  A derivation is one that is contentious at best, having been described as “unexplanatory in general and contrary to the empirical evidence” (Norton 2003: 84), and many believe that frameworks allowing its existence are suboptimal. It must at this point be reiterated that, though all of these previous frameworks of OT have succeeded in solving many of the problems discovered in the original framework of OT, very few of these frameworks have proven to be suited to multiple if not all types of opacity that must be able to be addressed in a comprehensive vehicle for phonological analysis. OT-CC, however, has been demonstrated effective for analysis of virtually every type of opacity.

2.4 IN DEFENSE OF SERIAL ANALYSIS

In many ways, the transition from the serial, rule based systems of phonological analysis that were prevalent prior to the 1990’s to the parallel, constraint based framework of OT is one that finds a parallel in other branches of linguistic analysis. 26

Perhaps most obviously, the field of generative syntax has experienced a similar cyclical preference for serial over parallel analysis (and vice versa). Like the change from derivational phonology (rule based, serial) to optimality theory (constraint based, parallel), recent trends in syntactic analysis have vacillated between theories revolving around movement and transformation (Chomsky 1957, 1981, 1982, 1995) and theories that seek to analyze structures as they are found, without positing the movement of elements within a given phrase. The former category is dominated by Chomskyan frameworks for syntactic analysis, the most noteworthy of these being Government and Binding (G&B, also known as Principles and Parameters or P&P) and Minimalism. These frameworks center upon transformation, the concept that all syntactic forms are created via the transformation of the unmarked (declarative) syntax for a given language. Structural change is thus achieved through phenomena such as fronting, clefting, and dislocation, all of which assume that one or more elements has moved from its unmarked, underlying position within the phrase. The latter category includes competing non-transformational frameworks such as Lexical Functional Grammar (LFG), Construction Grammar, and Cognitive Grammar.

LFG was developed in the 1970’s by Joan Bresnen5 and rejects the notion of transformation in favor of a single level of syntactic structure. Construction Grammar,6 which was inspired by the concepts of global rules and transderivational rules in the

5 See Bresnan (2001) for an overview of the theory, or Bresnen (1982) for a collection of early influential papers 6 This particular variety is perhaps more adequately described as a family of related approaches, as many varieties of Construction Grammar exist (e.g. Berkely Construction Grammar, Radical Construction Grammar, and Fluid Construction Grammar, among others). See Hoffman and Trousdale (2013) for a compendium of recent works concerning Construction Grammar. 27

1970’s, was first spurred by Lakoff’s (1974) challenge to transformational syntax and grew out of the field of Cognitive Semantics. Construction grammar is based on schemas and taxonomies, and over the years adopted an increasingly usage-based approach to syntax. The work of Adele Goldberg (e.g. Goldberg 2006) is representative of this recent focus. One final syntactic framework that shares the constraint-based model of traditional OT is Cognitive Grammar, a system of analysis developed by Ronald Langacker (cf.

Langacker 1987), that emphasizes the role of cognitive processes in grammatical constructions.

Though not directly parallel to OT and the rule-based philosophies that preceded it, the evolution from serial to parallel to a hybrid system is similar to this cycle in syntactic analysis. Though contemporary research in syntax is split between transformational and non-transformational syntax, Generative Syntax and its associated transformational frameworks remain one of if not the primary vehicles of analysis for modern syntacticians. By adopting elements from both constraint- and rule-based systems of phonological analysis, the recent serial frameworks of OT are able to incorporate many of the advantages of both of these approaches. The end result is a framework that more closely mirrors current frameworks of syntactic analysis, yet still proves effective at solving the issues of opacity posed by a strictly parallel incarnation of

OT.

2.5 RECAPITULATION

This chapter discussed the basic premises of OT and explored the notion of opacity, especially as it pertains to an Optimality Theoretic analysis. Additionally, this chapter delved into several previous attempts at resolving the issue of opacity in OT, focusing on the many parallel enhancements to OT that have been proposed in the last 28 two decades. Finally, this chapter provided a justification for serial analysis in OT that appealed to the larger context of modern generative linguistic analysis. In adopting a hybrid parallel/serial framework of analysis, OT-CC shares elements with some of the most prevalent theories of syntactic analysis employed today.

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3 Serial Optimality and Optimality Theory with Candidate Chains

Optimality Theory with Candidate Chains (McCarthy 2007) is one of many recent enhancements to OT that explore the serial capabilities of OT. These novel frameworks attempt to incorporate the multiple levels that comprise derivational analyses within an OT analysis. Though the earliest varieties of serial OT were very limited in their scope, these early multilevel OT analyses provided the inspiration and theoretical justification for the serial frameworks of OT that are currently dominating the field in OT-based phonological research. These serial varieties of OT have proven groundbreaking for their integration of intermediate forms within the OT analysis, allowing researchers to evaluate not just the input and output forms, but also the steps or stages necessary to arrive at the desired output form. In addition to exploiting the benefits of a serial analysis, OT-CC is the only incarnation of serial OT to simultaneously analyze candidates in both serial and parallel fashions. This dual system of analysis is especially useful for dealing with multiple opacity (Montreuil 2010), as it allows researchers to evaluate not only a form or set of forms, but also the steps these forms took as they evolved from their underlying to surface forms.

3.1 SERIAL HARMONY IN OPTIMALITY THEORY

The introduction of a serial form of OT is not without precedent: Prince and Smolensky (1993, 2004) explored this possibility when they introduced OT, yet the notion of serial OT was, by most researchers, immediately ignored in favor of its cleaner parallel framework. In recent years, however, researchers have been increasingly interested in exploring the serial capacity of OT, with the first such enquiries coming

30 only a few years after the publication of Prince and Smolensky’s Optimality Theory: Constraint Interaction in a Generative Grammar (1993). Though these early forays into serialism may not have reached the mainstream, serial harmony has, in the last five to seven years, experienced a marked resurgence in OT literature, surely due in no small part to the works of McCarthy (2000, 2008, 2010). In embracing serial harmony, McCarthy opened the door for further exploration of serial and derivational models of OT. These serial frameworks of OT differ slightly in execution, but all share the adoption of a non-parallel implementation of OT. Before continuing to discuss the specific version of serial OT that I have adopted for this dissertation, I wish to quickly explore the precursors of today’s serial OT frameworks.

3.1.1 Early serial frameworks in OT

The frameworks discussed in this session predate the current serial frameworks being explored in OT research today. These early serial frameworks were couched primarily in the desire to account for differing levels (e.g. phonological and morphological or lexical and postlexical) within the word. While this limited scope is not shared by the more recent serial frameworks, these early works provided a background for today’s work in serial OT. I include for discussion Stratal OT (Kiparsky 1998), LPM OT (Kiparsky 2000), and Derivational OT (Rubach 1997, 2003).

3.1.1.1 Stratal OT

Before progressing to the most recent serial incarnations of OT, it seems appropriate to look first at one of the first serial versions of OT, Stratal Optimality Theory. Stratal OT was perhaps the most well-known serial framework of OT prior to the introduction of Harmonic Serialism and OT-CC. Through the use of multiple strata,

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Stratal OT (Kiparsky 1998) is able to separately address processes affecting both phonological and morphological levels by treating each level as its own stratum. Within these phonological and morphological levels, there are generally assumed to be three levels of phonology; both Kiparsky (1998a, 2000, 2003a, b) and Bermúdez-Otero (1999) agree upon a Stem level, Word level, and Phrase level; though some revert to the levels posited by Goldrick (1993) of Morpheme, Word, and Phonetic. Essentially a cyclical form of OT, the optimal candidate from one stratum becomes the input for the next stratum of analysis; this is illustrated by Kager (1999: 382), reproduced below.

Input

Stratum 1 Gen1 Eval1 `

Stratum n Genn Evaln

Output Figure 2 Stratal OT

At each level of the grammar, the constraints that compose the analysis can be re- ranked, which effectively captures the competing needs of the phonological and morphological domains involved. Because of this, Stratal OT is especially effective in addressing paradigms in which multiple levels of phonology and morphology interact to create an opaque surface representation. Take for example Tableau 4 and Tableau 5, presented by Collie (2007), which comprise a two-level Stratal analysis addressing the placement of stress in the English ‘Elizabeth’ versus ‘Elizabethan.’ Because this issue conflates primary stress assignment, affixation, and reassignment of stress, it is an ideal 32 candidate for a Stratal analysis. The relevant constraints utilized are paraphrased in (26)- (28), below.

(26) Max-FootHead The output correspondent of an input foot must be a foot head

(27) Align(ω, L; Σ, L) The left edge of the prosodic word aligns with a foot

(28) NonFin The final syllable in the prosodic word must not be a member of a foot

/Elizabeth/ Max-FootHead Align(ω, L; Σ, L) NonFin  E(l .za)beth * Eli(zá.beth) **! * Tableau 4 English Stress in Stratal OT, Part 1

/ l a beth-an/ Max-FootHead Align(ω, L; Σ, L) NonFin (E.l )za(bé)than *!  E(l .za)(bé)than * * Tableau 5 English Stress in Stratal OT, Part 2

The two strata in Tableau 4 and Tableau 5 represent two separate levels of phonology, morpheme level and word level. In this example, the feet assigned in the root level stratum are the basis for the faithfulness constraint governing foot assignment in the word level stratum. As this example demonstrates, this framework is well suited to variation that encompasses multiple levels of information, as it is capable of reflecting both the lexical and postlexical levels of a derivational analysis. Despite these improvements, however, the use of Stratal OT is subject to serious limitations based upon the presence or absence of a morphological component or basis to phonological opacity. 33

Without justification to appeal to a larger morphophonological context, Stratal OT cannot be employed. Though metaphony is widely assumed to possess a morphological component, the opacity characteristic of the Italian dialects under consideration is not the result of competing morphological and phonological source of opacity. In addition to metaphony, many other assimilatory processes lack any morphological dimension whatsoever. Thus, the usefulness of Stratal OT for similar variation, such as conventional vowel harmony, is limited. The OT-CC approach adopted here is preferable as its analyses remain valid even in situations with no morphological or phonological complexity. Additionally, the employment of multiple strata of analysis is in direct contradiction with the parallel format of Traditional OT, which posited the existence of a single optimal output for a given input. In this system, each stratum has a different input and constraint hierarchy, giving each level essentially its own grammar. Though OT-CC also departs from the parallel format of Traditional OT by introducing candidate chains, it retains a one-tier system of analysis that creates a single grammar under which the candidates are evaluated. These benefits allow OT-CC to address a larger number of issues than can be treated via Stratal OT while deviating less from the original principles of OT.

3.1.1.2 LPM OT

When faced with the question of opacity – and finding previous solutions such as

Sympathy, O-O correspondence, and Paradigm Uniformity to be unacceptable - Kiparsky (2000) proposed that the weakness of OT lay in its strictly parallel format for analysis. Kiparsky maintained that the adoption of a stratified instead of parallel analysis would provide a solution to opacity that, despite the departure from a parallel framework, would 34 protect one of the major tenets of early OT research, namely the existence of a “restrictive and well-defined constraint inventory” (Kiparsky 2000: 351). LPM-OT draws its inspiration primarily from Lexical Phonology and Morphology (Booij 1996; 1997; Orgun 1996; Bermúdez-Otero 1999), an offshoot of Lexical Phonology (Kiparsky 1982), and couches its analyses within the three levels of grammar inherent to LPM analyses: stem, word, and post-lexical.

Like his similar proposal of Stratal OT, LPM-OT is a stratified model of OT that allows for separate analyses at multiple levels of the grammar (e.g. lexical and postlexical). As he envisioned it (Kiparsky 2000: 352), LPM-OT had the singular goal of reducing opacity to basic I-O faithfulness constraints, which are ranked for each level of the grammar. Kiparsky notes that, under this framework, opacity can be viewed as the result of these different inter-level rankings: “Thus, if α is the constraint system of some domain (say, stems) and β the constraint system of a larger domain (word level or postlexical) then β's markedness constraints can render α opaque. These are the only sources of cyclic effects and opacity” (Kiparsky 2000: 352, emphasis original). In support of his proposal, Kiparsky examines instances of multiple opacity in Levantine Arabic. Though these phenomena have been explored previously in both rule- based phonology and parallel OT, Kiparsky claims that LPM-OT offers an advantage over both rule-based models (which lack explanatory value) and parallel OT (which cannot address this particular data set without resorting to Sympathy or other enhanced frameworks). Since LPM-OT attests that no opacity exists cycle-internally, and that it is only between levels that opacity arises, the traditional shortcomings of parallel OT are avoided.

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In a case more relevant to the current study, LPM-OT has been employed to address Vowel Height Harmony (VHH) in Brazilian Portuguese (File-Muriel 2004). VHH in Brazilian Portuguese is very similar to the metaphonic paradigms under investigation in the current work, differing only in that the triggering vowel is the tonic, not post-tonic, vowel. The vocalic inventory of Brazilian Portuguese is a typical seven vowel system (a, ɛ, e, a, ɔ, o, u), reducing to five in unstressed positions, where the tense/lax distinction is lost among the mid vowels. The resulting height harmony is manifest as raising of the mid vowels /e, o/ to their higher counterparts, /i, u/.

If the tonic vowel and the preceding targets agree in their value for [back], the harmony is iterative and spreads leftward through the word. If the target and trigger do not share the same degree of backness, however, only the immediately pre-tonic vowel will raise. Further complicating this issue is the fact that pre-tonic /a/ is opaque and is not subject to raising. The patterns observed are outlined in (29).

(29) Height Harmony in Brazilian Portuguese /gord+oti/ [gordoti] ‘fat person’ /gord+uʧa/ [gurduʧa] ‘fat woman’

/alegr+eto/ [alegreto] ‘happy way’ /alegr+ia/ [aligria] ‘happiness’

/benefik+u/ [benɛfiku] ‘beneficial’ /benefis+ial/ [binifisial] ‘beneficial’

/prefer+ensia/ [preferensia] ‘preference’ /prefer+ivel/ [prifirivel] ‘preferable’

/telefon+ema/ [telefonema] ‘phone call’ /telefon+ista/ [telefunista] *[tilifunista] ‘operator’

/promet+er/ [prometer] ‘to promise’ /promet+idu/ [promitidu] *[prumitidu] ‘promised’ 36

/moskar+ia/ [moskaria] ‘bunch of flies’ /kompat+ivel/ [kompativel] ‘compatible’ /letarg+u/ [letargu] ‘lethargy’

Because this harmonizing process is triggered via affixation, this variation can by analyzed by breaking down the monostratal analysis into a bistratal analysis representing the morpheme and word levels, respectively. The resulting analysis is quite similar to the Stratal OT analysis presented in Section 3.1.1.1. For the case of non-iterative vowel harmony, wherein intervening morphemes block application of harmony, File-Muriel addresses this in two levels: one to account for the morphemic concatenation of stem+infinitive signifier, and another to account for the harmony occurring as a result of affixation, which entails the addition of a third morpheme to the bimorphemic infinitive. In order to arrive at the desired optimal candidate, two low ranking constraints Agr(back[+hi]) and Id[-hi] must switch positions between the first and second levels of the grammar. In Level 1, Agr(back[+hi]) outranks Id[-hi] in order to preserve the underlying /er/ of the infinitive. In Level 2, however, Id[-hi] must outrank Agr(back[+hi]) in order to prevent the harmonized output /bibiría/ from being selected over the desired, yet incompletely harmonized, form /bebiría/. This is shown in Tableau 6.

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Level 1: Id Id Agr Agr Id /beb+er/ d-v [+Lo] [+hi] [+hi]v (back[+hi]) [-hi] to drink  bebér bibír **! Level 2: Id Id Agr Id Agr /beber+ía/ d-v [+Lo] [+hi] [+hi]v [-hi] (back[+hi]) fut. cond. to drink  bebiría * * bebería *! bibiría **! Tableau 6 Opaque Brazilian Height Harmony in LPM-OT (File-Muriel 2004: 10)

This grammar also produces the correct result for the transparent forms of harmony: iterative vowel harmony, as shown in Tableau 7, and forms lacking vowel harmony, as shown in Tableau 8.

Level 1: Id Id Agr Agr Id /oferes+idu/ d-v [+Lo] [+hi] [+hi]v (back[+hi]) [-hi] offer ROOT+PP  ofiris-ídu ** oferes-ídu *! Level 2: Id Id Agr Id Agr /ofirisidu/ d-v [+Lo] [+hi] [+hi]v [-hi] (back[+hi]) offered  ofirisidu oferisidu *! * Tableau 7 Iterative Vowel Harmony in LPM-OT (File-Muriel 2004: 11)

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Level 1: Id Id Agr Agr Id /amoroz+u/ d-v [+Lo] [+hi] [+hi]v (back[+hi]) [-hi] loving  amorózu * amorúzu *! * * * amurúzu *! ** Level 2: Id Id Agr Id Agr /amoroz+idadi/ d-v [+Lo] [+hi] [+hi]v [-hi] (back[+hi]) lovingness  amoroz-idádi amoruz-idádi *! * amuruz-idádi **! Tableau 8 Lack of Harmony in LPM-OT (File-Muriel 2004: 13)

Like the Stratal OT example, analyses in this multi-tiered framework are able to effectively address opacity resulting from the interaction of phonology and morphology when the opacity is the clear result of a conflation between differing levels of the grammar. However, this means that LPM-OT shares the same drawback as Stratal OT: a successful analysis – and the justified employment of LPM-OT – rests in the belief that the opacity exists only between levels, not within levels. Since accounts of the morphological component of metaphony vary significantly – with certain dialects showing purely phonetic realization of opacity and others demonstrating behavior that researchers have argued to be purely morphological – any analysis couched in different levels of the grammar raises serious questions. This drawback will prove to be shared by all of the major early frameworks of serial OT, as was seen in 3.1.1, as well.

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3.1.1.3 Derivational OT

The final early framework of serial OT included here is Derivational Optimality Theory (Rubach 1997, 2003). Derivational OT shares many features with LPM-OT, and indeed evolved alongside LPM-OT. Like LPM-OT, Derivational OT seeks to integrate multiple levels within an OT analysis, and comprises two or more levels in each analysis. The resulting analyses are multitiered, like the analyses in LPM-OT and Stratal OT, and the grammars can be re-ranked between levels. An example of this framework in action is found in Mołczanow (2007), who explores the interaction of vowel reduction, glide deletion, and retraction in Russian. Russian has two competing strategies for vowel reduction in unstressed syllables, which are known as Ikanie and Akanie. Ikanie stipulates that unstressed non-high vowels /a/ and /e/ reduce to [i] after a soft onset, traditionally considered to be a palatalized, [- back] consonant. Akanie, on the other hand, produces a reduction of these same vowels – plus /o/ – to [a] in all other contexts. /a/ and /e/ thus show a different strategy for reduction depending on the preceding onset, whereas /o/ has only one possible realization regardless of its phonotactic context. These two reduction strategies alone prove problematic in Traditional OT, as any grammar that predicts the desired behavior of /e/ and /a/ will incorrectly produce Ikanie for /o/, as well. These processes are complicated further, as Ikanie will often result in the formation of a sequence of a [+high] glide followed by a [+high] vowel; sequences such as */ji/ are not permitted in Russian, and the glide will be deleted to resolve this illicit sequence. Let us examine each of these issues in Traditional OT. First, Ikanie and Akanie, which appear concurrently, demand opposite constraint rankings: Ikanie requires that Ikanie >> Ident-V[-high], and Akanie requires that Ident-

40

V[-high] >> Ikanie. This rankings paradox is illustrated in Tableau 9, adapted from Mołczanow (2007: 217), which shows the grammar needed to generate Ikanie fails to account for Akanie.

Ident-V[- Ident- Ident-V[- Ident- /jo/ Ikanie *Mid[stress] high] V[+back] low] V[+round] /ji/ * *! *  /ju/ * /ja/ *! * * /jo/ *! * Tableau 9 Ra/jo/níravat, ‘develop into a region’: failed evaluation

This rankings paradox, however, disappears with the adoption of Derivational OT. Since Traditional OT cannot address separate levels of the grammar in separate passes of the (OT) grammar, there is no way to allow Ikanie to affect the input prior to Akanie. Derivational OT, however, allows for the generation of Ikanie on Level 1 and

Akanie on Level 2, as shown in Tableau 10 and Tableau 11 (Mołczanow 2007: 218-219).

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/ja/ Ident-V *Mid Ident-V Ident-o Ikanie jadró, heel [-round] [-stress] [-high]  ji * ja *! ju *! * /jo/ rajoníravat, develop into a region  jo * * ja *! * ju *! * ji *! * Tableau 10 Level 1: Russian

After the first level of analysis, Ikanie has affected /jadró/ - producing the desired form /jidró/, but /rajoníravat/ is, as intended, unaffected. Since /o/ is not permitted in an unstressed syllable, Akanie is able to affect the pronunciation of /rajoníravat/, where the underlying /o/ still remains, but not /jadró/, which enters this second stage as /jidró/; this is shown in Tableau 11.

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/ji/ Ident-V *Mid Ident-V Ident-V Ident-o Ikanie jadró, heel [-high] [-stress] [+round] [-round]  ji ja *! * ju *! /jo/ rajoníravat, develop into a region  ja * * * jo *! * ju *! * ji *! * * Tableau 11 Level 2: Russian7

This two-tiered analysis is able to effectively address Akanie and Ikanie simultaneously; however, the benefits of Derivational OT do not end there. In addition to addressing these two competing phenomena, derivational OT allows for successful analysis of the opaque patterns of glide formation and deletion. In Traditional OT, the analysis of glide formation and deletion suffers a similar fate to the one seen in Tableau 9, above. Distinct Glide, which penalizes the sequence of a [+high] glide followed by a [+high] vowel, correctly rules out /ró.jit/, but Max(Seg) incorrectly rules out the desired optimal candidate /ró.it/. No single constraint or combination of constraints can generate the desired optimal candidate /ró.it/. The failed grammar is shown in Tableau 12, below (Mołczanow 2007: 221).

7 The original tableau from Mołczanow (2007) did not include the second level for jadró alongside rajoníravat; I found in reproducing this tableau that the analysis as written failed to produce an optimal candidate for jadró, as neither jidró nor judró incurred a violation of the given constraints. I thus added the lowest ranking constraint, Ident-V[-round] to produce a grammar capable of addressing both jadró  jidró and rajoníravat  rajaníravat. 43

roi+it Distinct Glide Max(Seg) Onset ró.it *! *  ró.i.it ** ró.jit *! Tableau 12 Failure of parallel OT in Russian Glide formation Once again, the adoption of two levels resolves this opacity, accounting for glide formation on Level 1 and Glide-deletion on Level 2, as shown in Tableau 13 and Tableau 14 (Mołczanow 2007: 223).

/roi+it/ Max(Seg) Onset Distinct Glide róit, dig, 3rd sg.  ró.jit ! ró.i.it **! ró.it *! * Tableau 13 Level 1: Russian glide formation and deletion The first level selects the form demonstrating glide formation, /ró.jit/, which is

then reanalyzed as the input for the second level of analysis. Undominated Dep(μ) allows for the selection of the desired optimal candidate /ró.it/, shown in Tableau 14 (Mołczanow 2007: 223).

/ró.jit/ Dep(μ) Distinct Glide Max(Seg) Onset  ró.it * * ró.jit *! ró.i.it *! ** Tableau 14 Level 2: Russian glide formation and deletion It should come as no surprise that if Traditional OT fails to correctly generate the desired optimal candidate for either vowel reduction or glide deletion on its own that it

44 would come up similarly incapable of addressing these two processes in conjunction with one another. This failed analysis is shown in Tableau 15 (Mołczanow 2007: 222).

/ia/ Distinct Ident-V Ikanie Max(Seg) Onset jasnéj,’brighter’ Glide [-high] ji *! * ja *! i *! * a *! *  i.a ** Tableau 15 Failed analysis for jasnéj, ‘brighter’ The Derivational OT analysis this time incorporates both vowel reduction and glide formation in the first level of the grammar, and the deletion of the homorganic glide in the second stage. This is illustrated in Tableau 16 and Tableau 17 (Mołczanow 2007: 224-225).

/ia/ Distinct Ident-V Ikanie Max(Seg) Onset jasnéj, ‘brighter’ Glide [-high]  ji * * ja *! i *! * a *! * i.a **! Tableau 16 Level 1: jasnéj, ‘brighter

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Distinct /j i snej/ dent(σ) SSG Max(Seg) Onset 1 2 Glide

 i2snej * *

j1snej *! *

j2snej *! * * jisnej *! Tableau 17 Level 2: jasnéj, ‘brighter’ This analysis clearly demonstrates the advantages of adopting a serial OT framework over a parallel framework. For the case of this multiple opacity in Russian, allowing the analytical framework to more closely mirror the levels of a derivational analysis – and couching these levels in the firmly established derivational tradition – permits for the successful generation of the optimal candidate not only for Akanie and Ikanie or glide formation and deletion alone, but for all four competing processes in conjunction with one another. This is an obvious strength of serial OT, and one which is explored not only be these early OT frameworks but also in several recent and groundbreaking incarnations of serial OT.

3.1.2 Recent innovations in serial OT

Sections 3.1.2.1 and 3.1.2.2 explore two prominent frameworks of Serial OT currently under exploration in relevant literature on OT. Though these varieties of OT share some characteristics with their predecessors, the organization of these nascent OT dialects is quite different from previous serial implementations of OT. While earlier serial frameworks necessitated multiple levels of phonology or morphology in order to be justifiably employed, modern serial OT proves applicable to opacity arising from any number of sources, from a single domain to many.

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3.1.2.1 Harmonic Serialism and Parallelism (McCarthy 2000)

Harmonic Serialism (HS; McCarthy 2000) is McCarthy’s first major foray into serial OT, and it is in many ways a necessary precursor to OT-CC. HS introduced limitations on the input – something that is absent from and indeed in contrast to the original tenets of OT. The input in HS was subject to three conditions: Gradience, Harmonic Improvement, and Local Optimality; these three conditions also form the base for chain formation in OT-CC and are discussed in depth in Section 3.1.3. Whereas

Traditional OT consists of a single pass through EVAL, HS consists of multiple passes through EVAL in order to allow the most harmonic candidate to surface as optimal. To compare Harmonic Serialism with the Harmonic Parallelism of Traditional OT, McCarthy offers the following comparison (adapted from McCarthy 2000: 2; a more detailed version appears in Figure 1, page 10). Harmonic Parallelism, shown in Figure 3 consists of a single pass through EVAL with a single optimal output.

In  GEN  cand-set  EVAL  out

Figure 3 Harmonic Parallelism

This can be contrasted with the multiple loops of a HS analysis, which can be seen in Figure 4.

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In   cand-set0   out1

  cand-set1   out2  GEN … EVAL

 cand-setn   out (loop until convergence)

Figure 4 Harmonic Serialism

On the surface, HS appears to share several similarities with Stratal OT, as both frameworks employ multiple strata of analysis in order to obtain the correct optimal candidate. However, where the multiple levels involved in a Stratal OT analysis correspond to different levels of phonology and morphology, the levels in Harmonic

Serialism reflect the incremental harmonic improvement of the candidates under analysis. In HS, like Stratal OT, the optimal candidate from the initial analysis then serves as the input for the subsequent stratum of analysis. This process continues until convergence has been reached: once the optimal candidate from one level of analysis reaches a point at which it is again selected as the optimal candidate of the next pass through EVAL – that is to say, that there are no changes which can be made to this form that will satisfy more constraints than the input – the analysis is finished. This is illustrated in Figure 5, again an adaptation from McCarthy (2000):

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/A/ F1 M F2 F3 A **!  E * * I *! Pass 1

/E/ F1 M F2 F3 A **! E *! *  I * Pass 2

/I/ F1 M F2 F3 A **! E *! *  I Pass 3

Figure 5 Three Pass Convergence in Harmonic Serialism

This framework allows the most harmonic candidate to emerge as the ultimately optimal candidate, as the input  output cycle will make multiple passes until convergence occurs. That is to say that once a given output, n, can be re-evaluated as the input, assessed through CON and receive no fewer violations than its predecessor, n is arrived at as the optimal candidate. Though HS proves to be an interesting take on OT, and a necessary foray into the serial capability of OT, McCarthy (2000) admits that in many ways this nascent framework fails to demonstrate improvement over its strictly parallel predecessor. Both

49 counterbleeding and counterfeeding opacity, for example, cannot be successfully analyzed via HS (McCarthy 2000).

3.1.2.2 Optimal Interleaving

An offshoot of OT-CC – making it one of the most recent serial frameworks of OT – Optimal Interleaving (Wolf 2008, henceforth OI) is based upon the premise that opacity resulting from both the interactions of phonology and phonology or morphology and phonology are essentially the same and should thus be able to be analyzed in the same framework. Wolf centers his theory upon two premises which he proposes to be the basis for word formation.

(30) The phonology and morphology are sufficiently closely integrated that, when their demands come into conflict, languages may vary as to which is able to win. (Wolf 2008: 4)

(31) Words are built serially, with one morph added at a time, and phonological processes can be required to be ordered in a particular way relative to the various stages in the process of word-building. (Wolf 2008: 8)

The second premise, seen in (31), is the driving theory behind the framework of Lexical Phonology (Siegel 1974, Allen 1978, Pesetsky 1979, Kiparsky 1982a, b, 1983, 1984, 1985, 1993a, Mohanan 1982, Strauss 1982, Pulleyblank 1983, Mohanan & Mohanan 1984, Halle & Mohanan 1985), the successor to the Chompskian phonological cycle (Chomsky, Halle & Lukoff 1956, Chomsky & Halle 1968). Lexical Phonology analyzes morphology as consisting of a set of “discrete, ordered levels” (Wolf 2008: 8), each of which may be subject to a number of phonological processes. Thus, morphologically complex words make several passes through the grammar in question, a process which can result in the cyclic effects seen in the English imagination. In the

50 derivation from imágine to imàginátion, the primary stress of the original root becomes secondary due to the influence of the stressed suffix. One can view the cyclical nature of these levels of morphology through the competition between the affix and root for primary stress. In this case, one must suppose that stress is not assigned until the affix has already been attached; thus affixation precedes assignment of stress. The integration of morphological processes such as the ones seen in the imagine ~ imàginátion example into the phonological grammar of an OT analysis is not a novel introduction to OT (cf. Burzio 2002a, b, 2003, 2005a, b, 2006, 2007; Burzio & Tantalou

2007; Teeple 2006; and Fábregas 2007 for previous approaches to the integration of phonology and morphology in OT). However, Wolf is the first to propose the incorporation of both phonology and morphology within one of the most recent frameworks of serial OT, namely OT-CC. Under the framework of OI, morphological processes – such as affixation – are considered functionally equivalent to phonological processes such as vowel lengthening or epenthesis. The resulting analyses seamlessly integrate both phonological and morphological sources of opacity. Thus in OI, one posits the existence of constraints pertaining to morphological phenomena. One example of this interaction between phonology and morphology in OI is illustrated by a derived environment effect (DEE) found in Finnish assibilation (Kiparsky

1973). In a DEE such as this one, a process applies only if the appropriate context is created via one or more morphological processes, but will not occur morpheme- internally. In Finnish, /t/ will become the sibilant /s/ if it is followed by /i/ in contexts where these segments are separated by a morpheme boundary. However, when the sequence /ti/ is found in the underlying root morpheme, the surface representation remains /ti/. The examples in (32) illustrate this.

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(32) Finnish assibilation (Wolf 2008: 6) /halut-a/  [haluta] ‘want- NF N T VE” /halut-i/  [halusi] ‘want-PAST’ /koti/  [koti], *[kosi] ‘home’

For addressing this type of opacity, Wolf employs Precedence constraints that stipulate that both morphological and phonological processes must occur in a given order. n O , LUMs such as “insert-root” and “insert-affix” are now licit localized unfaithful mappings. The resulting analysis of Finnish assibilation thus utilizes the following Precedence constraint:

(33) Prec (insert-affix, Ident(contin)) Assign a violation mark if: a. An Ident(contin)-violating LUM occurs and is not preceded by affixation b. An Ident(contin)-violating LUM occurs and is followed by affixation

This Precedence constraint alone simplifies what would have been a complex analysis to a simple interaction between three constraints: the Precedence constraint outlined in (33); a markedness constraint penalizing /ti/, *ti; and the relevant faithfulness constraint which penalizes any deviation from the value [+contin], which is outlined in (34). The resulting grammar is shown in

(34) Ident(contin) Do not change the specification for [+contin]

52 halut-i Prec(insert-affix, Ident(contin)) *ti Ident(contin) haluti * ! halusi * kosi * ! * Tableau 18 Finnish Assibilation in OI

Wolf goes on to explore the usefulness of OI in several difficult types of opacity that are caused by morphological effects, demonstrating myriad scenarios for which OI is both an advantageous and possibly essential addition to the framework which it sought to improve. However, due to the nature of OI, its use is inherently limited to applications which necessitate the integration of both morphological and phonological phenomena into a single analysis. Though metaphony is undoubtedly a process which contains both morphological and phonological elements, it is not a conflation of morphological and phonological phenomena in the same way as the suffixation example above. Without the need to account for cyclic ordering of phonology and morphology, OI offers no advantages over other frameworks for serial OT analysis when it comes to analyzing difficult metaphonic paradigms.

3.1.3 Optimality Theory with Candidate Chains

While OT-CC shares many general characteristics with the serial frameworks discussed above, it makes use of serial harmony in a fashion that is in many ways quite distinct from its most well-known alternatives. As mentioned above, OT-CC essentially

53 performs simultaneous parallel and serial analyses. The parallel analysis is governed by the same restrictions placed upon a traditional OT analysis, and the constraints involved are the same Markedness and Faithfulness constraints used in a traditional OT analysis. The serial element of OT-CC comprises two main components: candidate chains and the new constraint family of Precedence (McCarthy 2007). Candidate chains are, as the name suggests, candidates which are selected not as a single form in isolation, but rather as a chain of harmonically improving forms; these chains are comparable to the intermediate representations of a rule-based phonological derivation. Though the candidate set in traditional OT is hypothetically infinite, the chains selected for an OT-CC analysis are subject to three conditions, which were laid out by McCarthy when he introduced OT-CC; these are reproduced below (2007: 61, all emphasis original).

(35) Chain Limitations in OT-CC a. Faithful First Member The first member of every candidate chain based on the input /in/ is a fully faithful parse of /in/. A fully faithful parse of /in/ is any analysis of /in/ that violates no faithfulness constraints. b. Gradualness A single violation of a basic faithfulness constraint in a specific location in a form is a localized unfaithful mapping, or LUM. [S]uccessive forms in a candidate chain are required to accumulate all of their predecessors’ LUMs; and a form adds exactly one LUM to those of its immediate predecessor. c. Local Optimality In OT-CC, unlike classic OT, the candidates derived from a particular input can differ from language to language. The source of this difference is the Local Optimality requirement, which has two aspects:

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i. [The input is] most harmonic according to the constraint hierarchy of the language in question [and is thus] locally optimal. ii. Every noninitial form in a chain is more harmonic than its predecessor (= harmonic improvement).

Let us take a closer look at each of these restrictions and what their implications are for the creation of a licit candidate chain. The first condition, the requirement of a faithful first member, or fully faithful candidate (FFC), is the most self-explanatory of the three: the first link in a candidate chain must not deviate from the input in any way which would incur a violation of any basic faithfulness constraint.8 The role of prosody in candidate chain formation is, however, a complex one. McCarthy (2007: 72) states that syllabification (when relevant) must be specified in the initial chain link, as this link represents the most harmonic of the possible fully faithful parses of the input. Since resyllabification does not constitute a violation of a basic faithfulness constraint, resyllabification would not satisfy the requirement for gradualness; even when resyllabification results in harmonic improvement it cannot constitute an acceptable LUM. This is especially relevant to the selection of the initial link because if resyllabification would create a more harmonic form, then the incorrect FFC has been selected.

This can be illustrated by the selection of the initial link for the input /tabla/. McCarthy (2007: 72) proposes a language in which /tabla/ should faithfully map to [tab.la]. If the FFC were incorrectly selected as [ta.bla], then the chain **, which produces the desired syllable structure, would be an invalid chain due to the fact that a deviation which fails to incur a violation of faithfulness is not a licit LUM. Thus,

8 The “basic” faithfulness constraints, according to McCarthy (2007: 79) are Max(x), Dep(x), Ident(f), and “perhaps one or two others,” of which he specifies only Linearity. 55 according to McCarthy, the FFC must include the most harmonic syllabification possible or else further resyllabification will be unmotivated in the absence of concurrent changes. However, there are those who adopt the position that adding any specification to the input – even notating moraic structure, syllabifying, or assigning feet – would result in an initial chain link that was not fully faithful if the specification was not present in the input (cf. Walker 2006)

The question of syllabic structure is also important when looking at the second requirement McCarthy places upon chain formation: gradualness. Gradualness is a much more nuanced stipulation and has proven slightly more contentious than the other two guidelines for well-formedness (cf. Walker 2010 and Kimper 2010). As defined by McCarthy, a Localized Unfaithful Mapping (LUM) is a change that affects only one segment and incurs only a single faithfulness violation9. We can see the effect of this stipulation by looking at McCarthy’s example of a chain including both intervocalic voicing and epenthesis, where the desired mapping is /patka/  [pa.də.ka] (McCarthy 2007: 61):

(36) Chain Creation in OT-CC: Gradualness a. Licit chain Input: /patka/ FFC: pat.ka Chain: b. Illicit chain Input: /patka/ FFC: pat.ka Chain:

9 Since the serial portion of an OT-CC analysis is essentially a faithfulness-based analysis, the violation incurred will always be a violation of a faithfulness constraint. Were a candidate chain to violate a markedness constraint as one of its LUM’s, the candidate chain would be invalid, as it would fail to satisfy the requirement for harmonic improvement. 56

The chain in (36)b fails to satisfy the requirement for gradualness, since the step from /pat.ka/ to /pa.də.ke/ incurs two separate faithfulness violations: one violation of Dep-V for the epenthesis of /ə/, and a second violation of dent-Voice for the voicing of /t/ to /d/. While gradualness on its surface appears quite simple, it does raise many questions regarding what, exactly, constitutes a localized unfaithful mapping. As seen above, the role of the syllable is important in determining the proper fully faithful mapping of the input. The strict guidelines regarding syllabification discussed above are, however, only pertinent when considering the proper FFC. Resyllabification is, of course, permitted and often desirable in OT-CC. Chain internally, resyllabification is licit when it is accompanied by another change in phonological structure, as seen in the chain (McCarthy 2007: 77). Despite the fact that this chain appears to violate gradience by both resyllabifying and epenthesizing in a single LUM, the step from [pap] to [pa.pə] is permitted as it constitutes a single faithfulness violation: epenthesis incurs a violation of Dep-V, but the co-occuring resyllabification incurs no violations, as resyllabification is not subject to any major faithfulness constraint. Though McCarthy states that syllable structure may be “freely assigned and reassigned” within the chain (McCarthy 2007:76), changes to other metrical or suprasegmental elements do constitute valid LUMs. The addition of stress, for example, is a valid LUM, as lexical stress is present in many languages. Tone and individual features also are subject to basic faithfulness constraints and, thus, altering these elements is a permissible localized unfaithful mapping. Moras, on the other hand, prove more difficult to quantify. McCarthy notes the difficulties posed by moras are due to their dual functionality (McCarthy 2007: 76-77):

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“The problem lies in the fact that moras have two main functions: they mark the distinctions between long and short and between syllabic and nonsyllabic segments; and they ‘make position,’ designating some CVC syllables as heavy. Quantity and syllabicity are matters of faithfulness, since they are both contrastive in some languages, but weight by position is probably not, since the weight of codas never seems to be contrastive within a language (though see Elfner 2006). It follows that changing a segment’s quantity or syllabicity is a LUM, but, say, resyllabifying a moraic coda as a nonmoraic onset is not. For my purposes, this matter is most simply resolved by assuming that moras can be freely added or removed at no cost to faithfulness, but changes in quantity and syllabicity violate dent constraints.”

McCarthy goes on to note, however, that his own presupposition concerning moras is not inherently necessary and that gradualness is compatible with the use of constraints such as Max(μ) and Dep(μ) (cf. Bermúdez-Otero 2001 and Campos-Astorkiza 2004) or approaches that address geminates through the same lens as other clusters, rather than analyzing them on the basis of their moraic structure (Beecey 2006). The third and final characteristic of a well-formed candidate chain in OT-CC is that it satisfies Local Optimality. Local Optimality is entirely language specific, and is guided by the grammar for a given language. Thus a given candidate chain could be licit in one language and illicit in another. In order for a candidate chain to satisfy the requirement for Local Optimality, each link in the chain must be harmonically superior to the preceding link according to the grammar of the language in question. This is referred to as Harmonic Improvement. To illustrate the language-specific nature of Local Optimality and Harmonic Improvement, let us look at an example from Wolf (2011) involving the deletion of high tones in adjacent vowels in the Bantu language Tachoni (cf. Odden 2008).

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In Tachoni, the deletion and retention of high tones is governed by several complex rules. Complicating this paradigm are the competing forces of Meeussen’s Rule, which deletes a high tone occurring after a high tone, and Reverse Meeussen’s rule, which deletes a root high tone before a melodic high tone (cf. Odden 2009). The result of this is that a sequence of two adjacent high tones will, in certain contexts, result in deletion of both high tones, yet a single high tone in isolation is preserved. This can be seen by comparing the infinitive form /o-xu[kàraang-a]/, ‘to fry,’ with the negative imperative form /o-xa[karaang-a]/, ‘don’t fry’ (Marlo 2008).

Looking at the possible pathways to achieve the deletion of both high tones, we are presented with two possible strategies: either the first high tone is deleted and then the second, or the second tone is deleted and then the first. Both of these strategies will result in the correct mapping of /HH/  /00/, yet only one is licit under Local Optimality. Due to the multiple complex and often competing rules in Tachoni, I follow Wolf and present only abstractions of this pattern for analysis. Let us look at the LUM sequences for each chain:

(37) High tone deletion in Tachoni: Possible Pathways

Input /HrootHaffix/ (do nothing)

Input /HrootHaffix/ (do nothing)

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Without looking at the grammar created for Tachoni, all of these chains appear valid. Each satisfies the first two requirements laid out by McCarthy: they all have a FFC as the initial link in the chain, and each subsequent link is differentiated by a single LUM. This is where Local Optimality steps in to select the acceptable chain. Looking at the grammar Wolf creates for Tachoni, we see that the deletion of a root tone is more serious than the deletion of a tone in any other position, due to the notion of Root Faithfulness (McCarthy

& Prince 1995; Casali 1997; Beckman 1998); this is reflected in the grammar as

MAX(HI)root >> MAX(HI). Tableau 19 shows the violations incurred under the full grammar by each possible candidate. The proper second chain link will be selected as the one which incurs the least serious violations under the optimal grammar for Tachoni.

(38) OCP(Hi) Adjacent high tones are prohibited.

(39) *H Assign a violation mark for each instance of a high tone. (“No high tones.”)

(40) Max(H)Root Assign a violation mark for each instance where a high tone in a root morpheme is deleted.

(41) Max(H) Assign a violation mark for each instance where a high tone is deleted.

/HrootHaffix/ OCP(HI) *H MAX(H)Root MAX(H) HH *! *  H0 * 0H *! * Tableau 19 Selecting chain links according to Local Optimality

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Since HH violates the undominated constraint (OCP(HI)) we know that we are justified in progressing to a more harmonic form, in this case either H0 or 0H. Comparing these two forms, we see that 0H violates a more serious constraint than H0 does. Thus, due to Local Optimality, we must delete the second tone before the first since violating a root tone before an affix tone would be violating a more highly ranked constraint before violating a less highly ranked constraint. Local Optimality thus generates the following chain as the only possible pathway from /HH/  /00/.

(42) High tone deletion in Tachoni: Correct Pathway

Input /HrootHaffix/ (do nothing)

Local optimality proves to be integral in resolving the ambiguities created by convergent chains: two or more possible pathways to obtain a given candidate Y from a given input X. In these instances, the orders of the LUM sequences themselves step in to determine which chain is most optimal with respect to the grammar of the language in question. Combined with the other stipulations for well-formedness, Local Optimality ensures that not only are the chains created for an OT-CC analysis harmonically improving, but they are also capable of being grounded in either language-specific or universal hierarchies of optimality.

3.2 WHY OT-CC?

Having explored several incarnations of serial OT, I at this point wish to discuss my choice to utilize OT-CC as the vehicle for the analyses carried out in this dissertation. The case for serial OT was stated fairly clearly in the analyses contained in Section 3.1. 61

The recent forays into serial OT provide some of the most powerful vehicles for phonological analysis that have been introduced within the family of OT, and indeed share many similarities. Why, then, should OT-CC be chosen for the analyses in this dissertation? The first benefit of OT-CC lies in its neutral stance on the role of varying levels of phonology and morphology within the analysis; as previously discussed, most early frameworks of serial OT relied upon multiple levels of analysis, each of which must necessarily correspond to a different phonological, phonetic, or morphological domain.

Since metaphony varies so greatly across dialects – with varying domains posited as being relevant – it seems wise to select a framework that can produce a successful analysis in a dialect with purely phonological, morphonological, or purely morphological expression of metaphony. The second strength of OT-CC lies in its stringent requirements for well- formedness, admittedly a feature shared with other recent serial frameworks. These stipulations are especially useful for the harmonizing and assimilatory processes under investigation here, as these phenomena lend themselves too easily to under- and over- application when using traditional parallel varieties of OT. These requirements prevent “runaway chains,” and ground the analyses in the realm of not only the possible or logical, but rather the harmonically improved form(s) of any given input. The third major advantage OT-CC offers over its competitors is part aesthetic and part practical. Whereas every other serial OT framework comprises multiple levels of analysis, each contained in its own tableau, OT-CC analyses consist of a single level of analysis that addresses the LUM sequences and Terminal Link simultaneously. This produces a simpler, more easily interpretable analysis consisting of a single input and a

62 single set of outputs. The grammar for an OT-CC analysis thus is immutable: one need not posit different rankings of the grammar at different levels of the grammar, a supposition which would require a speaker to possess multiple grammars in order to generate a single form. These advantages provide the motivation for the selection of OT-CC above all other serial frameworks of OT, both recent and well-established. In the forthcoming chapters, this framework will be subjected to rigorous examination and experimentation, all of which is designed to capture both its strengths and weaknesses as researchers continue the search for an ideal analytical framework.

3.3 RECAPITULATION

This chapter explored several notable serial frameworks of OT, including the one used for the analyses in this dissertation, OT-CC. These serial frameworks of OT combine some of the most desirable elements of derivational analyses, namely the ability to account for multiple, crucially ordered processes or changes in a single derivation, with the more UG-compatible constraint-based analysis of OT. Though these approaches vary slightly in their implementation of a serial framework for OT, the analyses in this section demonstrate the necessity for enhanced OT in solving certain opaque paradigms, and illustrate the efficacy of serial OT frameworks in creating accurate grammars for the relevant dialects. These analyses justify the employment of serial OT in addressing phonological opacity, and support the use of serial OT in this dissertation. Especially relevant to this dissertation is the groundbreaking combination of the dual parallel and serial analyses entailed in an OT-CC analysis. This system provides researchers with an increased scope for analysis of opacity, as it allows for the 63 simultaneous evaluation of both LUM sequences (similar to the evolution from underlying to surface representation in a derivational analysis) and surface forms. Unlike other forms of serial OT, which require multiple levels or strata, an OT-CC analysis consists of a single tableau and a single pass through the grammar. This concise framework retains the increased analytical capacity of multi-level serial analyses while still allowing for simultaneous evaluation of the most harmonic member of the candidate chain, the terminal link. These concepts and theories provide the framework for the analyses carried out in the following chapters, though this chapter is by no means an exhaustive exploration of OT-CC in its present stat. The intricacies of OT-CC – including current and proposed enhancements to the theory – will be introduced later through a series of analyses of metaphony in Romance. These analyses demonstrate not only the usefulness of OT-CC as it exists, but also provide the justification for further enhancement to the framework, in this case through the addition of Subsequence to the constraint hierarchy of OT-CC.

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4 Metaphony

Metaphony is a (mor)phonological10 assimilatory process in which the tonic vowel undergoes a dynamic approximation to the height condition of the post-tonic vowel11. This phenomenon has been studied extensively both diachronically (Hall 1950, Blaylock 1965, Leonard 1978, Papa 1981, Kaze 1989) and synchronically (McCarthy

1984, Calabrese 1987, Vago 1988, Hualde 1989) and is a relatively common occurrence throughout many areas of Italo- and Ibero-Romance.

4.1 METAPHONY VERSUS VOWEL HARMONY

The terms “vowel harmony” and “metaphony” are, at least to some extent, slightly ambiguous due to the absence of a universally-accepted terminology for vocalic harmonizing processes, not only with regard to the processes themselves but also the elements involved in these processes. This lack of a consensus merits a brief discussion of several key terms as they are used in this dissertation. The term “vowel harmony” as employed in this dissertation refers to any harmonizing process affecting vocalic segments. In using this term I remain neutral on the many questions involving the intricacies of vowel harmony, such as whether this phenomenon is inherently unidirectional or bidirectional, or which direction(s) should be considered vowel harmony. However, in defining vowel harmony as opposed to

10 The exact domain or domains involved in metaphony is still an issue of discussion in many circles. Because of this, metaphony has been referred to as either a phonological, morphological, or morphonological phenomenon. This work remains neutral on the level of morphological involvement, and will adopt the term (mor)phonological in referring to metaphonic processes. 11 In certain dialects, such as Tudanca Montañés (Penny 1978; McCarthy 1984; Kaze 1989; Hualde 1989, 1998), metaphony may also refer to a harmonic centralization of the tonic vowel; this chapter, however, addresses only metaphony related to height features, not centrality. Analysis of centralizing metaphony is left for future research. 65 metaphony I do rely upon the scholarly consensus regarding generalizations for vowel harmony and typical harmonizing processes. Thus, the phrase “prototypical vowel harmony” is used to refer to the most typologically common harmonizing patterns typically considered to be vowel harmony. Though vowel harmony can be progressive or regressive, stem-dominant or affix-dominant, the generally upheld consideration is that prototypical vowel harmony is a stem-dominant phenomenon (Baković 2000).

Metaphony, on the other hand, is a type of vowel harmony, and a much more strictly defined one, at that. The term metaphonie arose as a French translation of the

German umlaut (Henry 1893) in order to discuss this phenomenon in Henry’s A Short Comparative Grammar of English and German. The English translation of this work, published a year later, preserved the term metaphony to describe this phenomenon in both English and German. Thus metaphony is, in its original and many modern contexts, identical to umlaut (which is, confusingly, also known as vowel mutation): a process by which a post-tonic vowel causes the quality of the preceding tonic vowel to shift. However, these terms today are not often used to describe the same phenomena, at least within the English language tradition. So what, then, differentiates metaphony from umlaut? Though these terms were conceived as identical, the term umlaut has been largely avoided in discussions of the type of affix-dominant vowel harmony seen in many Romance dialects. Perhaps this is due to the widespread association of umlaut with this well-studied feature of German, or perhaps it arose to avoid ambiguity with the eponymous diacritic. But for whatever reason, regressive, affix-dominant vowel harmony in Romance is almost exclusively referred to as metaphony, not umlaut. Henry was correct in his assertion that this term would become “a serviceable and almost indispensable acquisition” (Henry 1894). Thus,

66 in this dissertation, I will use this term exclusively when discussing this type of vowel harmony.

4.1.1 Chain shifts in Mantuan

To illustrate the subtle differences between metaphony and vowel harmony, I present here an overview of vowel harmony as it manifests in the Mantuan dialect spoken in and around Mantua, Italy. Like many of the Italian dialects under examination in this dissertation, Mantuan is characterized by a type of height harmony known as a synchronic chain shift (cf. Section 4.3.2 for a more detailed discussion of this type of harmony), wherein unstressed vowels will either raise or tense, depending on their underlying specification for [high] and [ATR]. These patterns are outlined in (43).

(43) Mantuan vowel changes (Miglio 2005: 92-93) Root Derived Form Gloss a. /i/, /u/, /a/, /ü/ stay the same stressed or unstressed búna buntá ‘good’ f.sg. ~ ‘goodness’ pála paléta ‘shovel’ ~ ‘toy shovel’

b. /ɛ/, /ʌ/ as unstressed surface as /e/ pɛ l pelz na ‘skin’ ~ ‘cuticle’ fnɛ stra fnestr na ‘window’ ~ ‘small window’

c. /e/, /ɪ/ as unstressed surface as /i/ (in most cases) prét prit n ‘priest’ ~ ‘big priest’ pél pilɪn ‘hair’ ~ ‘small hair’

d. /ɔ/, /o/ as unstressed surface as /u/ pɔ k pukt n ‘a little’ ~ ‘a little bit’ rós rusét ‘red’ ~ ‘lipstick’

e. /ø/ as unstressed surfaces as /y/ s ka sykɛ l ‘pumpkin’ ~ ‘stubborn’ p lak pylgón ‘flea’ ~ ‘a little plant’

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On the surface, this pattern seems quite similar to the one found in Servigliano, a dialect spoken in the extreme south of the Marche region, which exhibits scalar metaphony. Like Mantuan, target vowels in Servigliano also show one-degree raising when presented with a valid trigger. This is seen in the examples in (44).

(44) Scalar Metaphony: Servigliano (Camilli 1929 in Calabrese 2011: 3-4)

fjore fjuri ‘flower’ sg., pl. veccu vecci ‘old’ m. sg., pl. vɛcca vɛcce f. sg., pl.

Despite the apparent similarities between these two dialects, there is one major and fundamental difference between these two harmonic processes: the scalar raising typical of Mantuan is caused by the influence of a stressed vowel, and the vowel subject to raising is an unstressed vowel. For Servigliano, however, the reverse is true: the impetus for raising in Servigliano is the post-tonic vowel, and it is instead the tonic vowel that raises under its effects. It is on this distinction that vowel harmony and metaphony are defined as separate, though closely related, phenomena. Section 4.2 explores the intricacies of metaphony – and how it differs from prototypical vowel harmony – in more detail.

4.2 TARGETS AND TRIGGERS: WHAT CAUSES METAPHONY AND WHERE DOES IT HAPPEN?

When speaking about metaphony and other types of vowel harmony, the terms target and trigger are often used to refer to the segments involved in the harmonizing process (or processes). The target of a process is the segment which is affected by the change taking place, and the trigger is the segment which causes the change to take place. In the most typical type of vowel harmony, it is a stressed (stem) vowel that triggers an 68 assimilatory process in an unstressed (affix) vowel (Baković 2000 7). This harmony typically manifests as a left-to-right spreading of a feature from stem to suffix, though languages do exhibit bidirectional harmony, as well, when both prefixes and suffixes are present (see Clements 1976a, 1977, 1981; Ringen 1975; Zsiga 1997). In metaphony, however, the relationship is reversed: the trigger is the post-tonic (unstressed) vowel, while the target vowel that undergoes raising is the stressed vowel.

The example in (45) illustrates the outcome of metaphonic raising of the tonic vowel.

(45) Metaphony in a five vowel system a. CaC+a = CaCa b. CaC+i = CeCi / CiCi

In (45)a, the low post-tonic vowel doesn’t trigger metaphony; in the absence of a [+high] trigger, the tonic vowel remains low. In (45)b, however, the high post-tonic vowel triggers metaphony, which results in the raising of the tonic vowel from /a/ to /e/ or /i/, depending on whether the dialect exhibits partial or total metaphony (cf. Section 4.3.2 for a discussion of the differences between these types of metaphony) Each dialect will display a different set of targets and triggers, along with different contexts which may block metaphony or affect the way in which it appears; these factors are discussed in Section 4.3, below.

4.3 CATEGORIZING METAPHONY

This section explores some of the major variables that dictate whether and how metaphony can affect a given segment. This variation centers upon three main domains: the targets of and triggers for metaphony, the complete versus incomplete assimilation of

69 the features of the post-tonic vowel, and the role of adjacency and extension of metaphony within the word.

4.3.1 Targets and triggers

Like traditional vowel harmony, the exact targets and triggers for harmony differ greatly across languages. In some languages, any high vowel can act as a trigger, while in others only a [-round] vowel will trigger metaphony. Similarly, in some dialects all input vowels are valid targets, whereas other dialects show greater restriction regarding the vowel qualities that are subject to metaphonic raising. As noted above, the most common type of harmony found in metaphony is height metaphony, specifically the acquisition of [high] and/or [+ATR] by a previously [-high, -ATR] tonic vowel. This does not mean, however, that any [-high, -ATR] vowel will necessarily be affected by metaphony, nor does it mean that any [+high, + ATR] vowel will trigger metaphony in a given dialect. In his extensive documentation of Italian metaphony, Martin Maiden (1991) has identified sixteen different permutations which can be divided into four major subgroups.

(46) Varieties of Italian Metaphony (Maiden 1991: 114-115) a. Metaphony restricted to high mid vowels12 i. I-metaphony (southern Veneto and island of Grado) ii. I-metaphony in closed syllables and U-metaphony in open syllables (northern Gargano promontory) iii. U-metaphony b. Metaphony restricted to mid vowels (high and low) iv. I-metaphony (parts of the Romagna, eastern Emilia and northern Gargano promontory)

12 Maiden uses the delineations “high mid” and “low mid” where many others use “tense mid” and “lax mid.” Because the feature [ATR] will be important in future analyses, the terms “tense mid” and “lax mid” will be used in this paper to refer to these vowels.

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v. U-metaphony in low mid vowels; I-metaphony in high mid vowels (parts of southern Marche; also traces in the Piedmontese Alps) vi. U-metaphony in high mid vowels; in low mid vowels, I- metaphony only, restricted to open syllables (northern Puglia) vii. U-metaphony; in low mid vowels, metaphony by /u/ is largely restricted to open syllables (part of southern Lazio) viii. U-metaphony (most of southern Italy) c. Metaphony in low mid vowels only ix. I-metaphony (Alps: Poschiavo, Isolaccia) x. U-metaphony (traces in southern Umbria, northern Lazio, old Roman, and some alpine regions) xi. U-metaphony, but only in open syllables (southeast and possibly northwest Tuscany, northeast Umbria) d. Metaphony of all input vowels: xii. I-metaphony (Canton Ticino, central Romagna, eastern Abruzzo) xiii. I-metaphony of high mid vowels and /a/; U-metaphony of low mid vowels (Piedmontese Alps) xiv. U-metaphony of mid vowels, but I-metaphony of /a/ (Molise and some adjacent areas of Abruzzo and Lazio) xv. U-metaphony (Ischia, and an area to the north of the Bay of Naples)

This data shows several different variables affecting the application of metaphony to a given segment. The first variable to consider is the trigger vowel; the Italian dialects show variation between what Maiden has dubbed I-metaphony and U-metaphony. I- metaphony refers to metaphony which is triggered by a [+high, -round] vowel; in the case of the Italian dialects, this can only be /i/. U-metaphony refers to metaphony triggered by any [+high] vowel, whether it is [+round] or [-round]; in the case of the Italian dialects, this can be either /i/ or /u/. There are no dialects identified by Maiden which exhibited metaphony triggered by /u/ but not by /i/. 71

The next major variable involved in Italian metaphony is which segments are valid targets of metaphonic raising. As shown in Maiden’s categorization, there are four categories to consider. The first type of metaphony, outlined in (46)a, is that which affects only tense mid vowels; in almost all dialects, metaphonic raising of vowels other than tense mid vowels presupposes the raising of these vowels, as well. The next subgroup, outlined in (46)b, is constituted by those dialects in which all mid vowels, both tense and lax, are the targets of metaphony. The third group identified by Maiden, outlined in (46)c, is something of an anomaly: in a small number of dialects, the only vowels affected by metaphony are the lax mid vowels. The final pattern identified by Maiden, outlined in (46)d, is dialects which are susceptible to raising of all stressed vowels, both mid and low. In all but the rarest type of metaphony (identified in (46)c, above), metaphony by a lax (or low) vowel presupposes metaphony by a tense (or mid) vowel.

4.3.2 Partial versus complete metaphony

Though not mentioned by Maiden in his categorization above, both I-metaphony and U-metaphony exist in two forms: complete assimilation of the height condition of the following vowel (dubbed hypermetaphony by Maiden) and partial assimilation. In the case of partial metaphony, this may materialize via scalar, stepwise raising or tensing of the target vowel by a single degree or via the formation of a diphthong. It should be noted that diphthongization usually appears in conjunction with scalar raising, so that certain vowels within a paradigm may merely raise whereas others will both raise and diphthongize.

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4.3.2.1 Partial metaphony: scalar

In the first variety of partial metaphony discussed above, this incomplete assimilation is achieved via only the scalar raising of the tonic vowel. Compare the following examples from Teramano, spoken in Abruzzo, which exhibits total metaphony of all input vowels, and Servigliano, which exhibits scalar (or partial) metaphony of all mid vowels.

(47) Total Metaphony: Teramano (Kaze 1989 193-194)

narə nirə ‘black’ m. sg., pl. narə narə f . sg., pl.

(48) Scalar Metaphony: Servigliano (Camilli 1929 in Calabrese 2011: 3-4)

fjore fjuri ‘flower’ sg., pl. veccu vecci ‘old’ m sg., pl. vɛcca vɛcce f. sg., pl.

In the Teramano examples, seen in (47), all input vowels – regardless of their original specification for [high] or [ATR] – will surface as the fully assimilated [+high] front vowel /i/. On the other hand, the Servigliano examples, seen in (48), illustrate the incomplete assimilation of the post-tonic [+high] specification by the formerly [-high] tonic vowel. The result of this partial assimilation is that underlying [+low] vowels will surface as [-high, -ATR], underlying [-high, -ATR] vowels will surface as [-high, +ATR], and underlying [-high, +ATR] vowels will surface as [+high] vowels.

Incomplete metaphony is overwhelmingly more common than complete metaphony (cf. Maiden 1991), especially when one considers the preponderance of both (solely) scalar metaphony and scalar metaphony that occurs in conjunction with diphthongization. The targets and triggers involved differ between languages, but scalar

73 metaphony generally involves both tense and lax mid vowels, with some dialects exhibiting metaphony of the low vowel /a/, as well. While complete metaphony is fully transparent in all varieties of OT, scalar metaphony proves difficult to address in Traditional OT. I explore one example of this type of metaphony in Section 6.2.2.

4.3.2.2 Partial metaphony: diphthongizing

In contrast to the metaphonic paradigms illustrated in Section 4.3.2.1, the second type of partial metaphony worthy of note is a type of scalar metaphony that results in the formation of a diphthong in order to satisfy the assimilation of [+high] by the target vowel. In dialects exhibiting diphthongizing metaphony, both tense and lax mid vowels are subject to metaphonic raising, but these vowels each react differently to the post-tonic [+high] trigger vowel. In this metaphonic paradigm, tense mid vowels raise to high, but lax mid vowels demonstrate a combination of raising and diphthongization and surface as a tense mid vowel with a rising [+high] glide. Thus, the following pattern is commonly attested:

ɛ  je ɔ  wo e  I o  u

Figure 6 Diphthongizing metaphony

An example of this pattern is found in Calvello (Giosco 1985), a dialect spoken in the southern Italian region of Basilicata; relevant examples are shown in (49).

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(49) Dialect of Calvello a. Tense mid vowels raise:

sulu suli ‘alone’ m.sg., m.pl. sola sole f.sg., f.pl.

niru niri ‘black’ m.sg., m.pl. nera nere f.sg., f.pl.

b. Lax mid vowels diphthongize

vrwossu vrwossi ‘big’ m.sg., m.pl. vrɔssa vrɔsse f.sg., f.pl.

vjekkju vjekkji ‘old’ m.sg., m.pl. vɛkkja vɛkkje f.sg., f.pl.

Looking at the examples in (49)a, we see that the [-high, +ATR] mid vowels surface as their [+high] counterparts; underlying /e/ surfaces as /i/ and underlying /o/ surfaces as /u/. The [-high, -ATR] mid vowels, on the other hand, show a more complex realization of metaphony. In dialects exhibiting diphthongizing metaphony, these lax mid vowels undergo both tensing and glide formation, resulting in a diphthong that is composed of a [+high] glide and [-high, +ATR] nucleus. Thus underlying /ɛ/ surfaces as /je/ and underlying /ɔ/ surfaces as /wo/. Like the scalar metaphony that appears without the formation of a diphthong, diphthongizing metaphony also proves difficult to address in Traditional OT. I explore two such varieties of metaphony in Section 6.3.1.

4.3.2.3 Syllabic structure and metaphony

The final variable identified in Maiden’s categorization is the role of the syllable in metaphony: in certain dialects, metaphony is restricted to only open or closed

75 syllables, and in certain dialects the type of metaphony (I-metaphony or U-metaphony) varies according to syllable structure. However, Maiden’s discussion did not extend to what turns out to be a very important factor in many types of Spanish metaphony: the role of adjacency.

4.3.3 Extension and adjacency

While the simplest and most common types of metaphony affect only adjacent syllables, there also exist – especially in Ibero-Romance – instances of metaphonic raising which can occur in nonadjacent syllables. In these cases of non-adjacent metaphony, there is additional variation regarding the concurrent metaphony (or harmony) of any intervening vowels. Hualde (1989) outlines three patterns of metaphony which are found among the Spanish dialects. The first variation exhibits metaphony of only the stressed vowel; in this type of metaphony, the target vowel can either be adjacent or non-adjacent to the trigger vowel.

If the tonic vowel is not adjacent to the trigger, any intervening vowels will not be affected by metaphonic raising.

(50) Possible Outcomes of Type 1 Metaphony CV CV CV CVCV CVCV CVCV

[f] [f] [f]

The second and third types of metaphony are by their very nature restricted to non-adjacent vowels. The second type of metaphony outlined by Hualde demonstrates raising of both a non-adjacent tonic vowel and all vowels to the right of the tonic; this leads to the metaphonized feature being shared by all vowels between the target and trigger vowel. 76

(51) Possible Outcomes of Type 2 Metaphony CV CVCV CVCV CVCV

[f] [f]

The third and final type of metaphony discussed by Hualde is metaphony in which the entire prosodic word is subject to raising in instances of metaphony. In this type of metaphony, both intervening and preceding vowels will harmonize with the trigger vowel.

(52) Outcome of Type 3 Metaphony CVCV CVCV

[f]

The schemata outlined above represent the various permutations that can be observed throughout the many Romance dialects that exhibit non-adjacent metaphony. Of these three paradigms, those outlined in (50) and (51) are the most frequent; these are also the patterns most likely to generate issues of opacity when analyzed through an OT framework, as a simple, highly ranked alignment constraint is all that is needed to account for metaphony affecting the entire prosodic word. Because of this, only the first and second patterns will be explored in this dissertation.

4.4 METAPHONY IN ROMANCE

Historically, all branches of Romance show evidence of metaphony during their evolution from Latin. This manifested in both scalar and diphthongizing forms (Loporcaro 2010: 127). Indeed, there is evidence that metaphonic alternations, including metaphonic diphthongs, were present even in late Vulgar Latin (Loporcaro 2010: 127).

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The early influence of metaphony helped shape the various Romance languages as they grew and evolved over several centuries: as early as the sixth century, Gallo-Romance showed evidence of categorical metaphonic diphthongization in open syllables, with Italo-Romance demonstrating similar phenomena as early as the late sixth or early seventh century. Other dialects, such as Old Sicilian, showed no evidence of metaphony as late as the medieval age, despite the fact that Modern Sicilian does exhibit metaphony

(Bruni 1984: 343). Metaphony is thus far from a novel phenomenon, and its current synchronic state is evidence of the wildly different paths these dialects have taken over the last two millennia. Today, the influence of metaphony is limited to a much smaller geographic area than it was during the evolution of the Romance Languages. Metaphony is conspicuously absent from modern Gallo-Romance, with neither the modern Langue d’Oc nor modern Langue d’Oïl dialects exhibiting metaphonic alternations. Metaphony is productive, however, in several dialects of Italian, Spanish, Rumanian, Portuguese, and Sardinian. The modern Italian dialects provide perhaps the richest variation – both typologically and geographically – in modern Romance, with dialects in most parts of Italy demonstrating some kind of metaphonic phenomena. In Spain, metaphony affects the central Asturian dialects, primarily in Cabo de

Peñas, Pasiego, and in and around Oviedo (Penny 2000: 100-101); traces also remain in the eastern Asturias and western Cantabria (cf. Diaz 1957, Galmés 1960, García Alvarez

1955, Garvens 1960, Penny 1970 and 1978), with evidence of metaphony present in

Galician dialects, as well.13 Metaphony in the Spanish dialects consists of both raising

13 Metaphonic phenomena in Galicia are irregular and their status as true metaphony is somewhat uncertain (cf. Penny 2000, 2009). 78 metaphony, as in Italian, and some atypical types such as centralizing metaphony, which are typical of Pasiego and Tudanca (Calabrese 2008: 19). Portuguese exhibits metaphony not only in its dialectal variants, but in its standard form, as well. Standard Portuguese is characterized by both nominal and adjectival metaphony, which is subject to certain parameters (Penny 2000, Alkire and Rosen 2010). Standard Rumanian also shows evidence of metaphony, both diphthongizing and scalar (Khan 1983), though this harmony is triggered not by the [+high] vowels characteristic of most Italian and some Spanish metaphony, but by [-high] post-tonic vowels (Calabrese 1985: 3). Even within these areas that exhibit metaphony, there is a great deal of variation regarding the level at which metaphony applies. Though metaphony is generally considered to be a morphonological process, there are some dialects in which metaphony is still claimed to operate on its most primitive, conservative level, namely as an allophonic variation. One notable dialect that is believed to show purely allophonic metaphony is the Logudorese variety of Sardinian, where metaphony applies not only to the Logudorese lexicon but also to loanwords and the pronunciation of other languages (e.g. Sardinian regional Italian) (Loporcaro 2010: 127). Despite the fact that Sardinian is characterized by a five vowel system (Calabrese 2003), metaphony induces an alternation between /ɛ/~/e/ and /ɔ/~/o/, leading to alternations such as the ones seen in (53) and (54), which illustrate the pronunciation of both Logudorese and Standard Italian lexical items as pronounced by a dialectal speaker.

(53) Metaphonic Alternations in Logudorese Sardinian

ab:ɛldzɔ ab:erizi ‘open’, 1sg, 2sg sɔ:la so:lu ‘alone,’ f. sg., m. sg. 79

(54) Pronunciation of Italian Loanwords

Standard Italian Pronunciation stɔria ‘story’ Logudorese Pronunciation isto:rja

Falling in the middle of the phonetic  morphological continuum, some dialects are considered – by at least some researchers – to demonstrate purely phonological metaphony. Take the Sicilian dialect of Villalba (Tuttle 1985: 41), which shows metaphony applying in all contexts, extending even to forms with a surface [+high] vowel derived from an underlying [-high] vowel, as these feminine plurals with an underlying final /e/ that has, through a separate process, raised, demonstrate.

(55) bbíaddu bbédda ‘handsome, beautiful’ m. sg, f. sg. bbíadi bbíaddi m. pl, f. pl.

bbúanu bbóna ‘good’ m. sg, f. sg. bbúani bbúani m. pl, f. pl.

Other dialects are arguably much more innovative, with metaphony being almost universally accepted as a phonological phenomenon in the majority of languages that demonstrate it, with most researchers positing some degree of morphological involvement (cf. Maiden 1991, Calabrese 1998, 2008, among others); some have argued that, for certain dialects, at least, metaphony is a purely morphological process on the synchronic level (see Dillon 2003, Calabrese 2008, Loporcaro 2011 for various perspectives on the morphologization of metaphonic alternations).

Because of the many varieties of metaphony found in Romance – and the differing opinions as to what domain or domains of the language contribute to metaphonic phenomena, this dissertation adopts a framework of analysis and selects relevant constraints that are applicable to (and descriptively accurate for) any type of 80 metaphony. This results in analyses that are more transferable between languages with similar phenomena, since the resulting constraint hierarchies will be equally applicable in languages with purely morphological or purely phonological metaphony.

4.5 TRANSPARENT METAPHONY VERSUS OPAQUE METAPHONY

Though this dissertation is primarily concerned with opacity, metaphony is not an inherently opaque process; there certainly exist dialects in which metaphony is a simple process that affects all potential targets in an identical fashion and without the occurrence of any confounding processes. In these dialects, the resulting metaphony is transparent and poses no difficulty for a Traditional OT analysis. The dialect of Foggiano, spoken in Foggia, displays what Maiden dubs ‘hypermetaphony’ and is an example of a completely transparent metaphonic paradigm.

(56) Dialect of Foggiano (Valente 1975 in Calabrese 2008)

mossa mussu ‘soft’ f. sg., m. sg. kjena kjinu ‘full’ f. sg., m. sg. pɛte piti ‘foot’ sg , pl grɔssa grussu ‘big’ f. sg., m. sg.

When viewed as a Derivational analysis, it quickly becomes apparent that only one rule is necessary to generate the proper surface representations for each input.

(57) Derivational Analysis: Dialect of Foggiano

Raising: V  V /____CV [-high] [+high] [+high] [-low]

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Underlying Representation /mossu/ /kjenu/ /pɛti/ Raising mussu kjinu piti Surface Representation [mussu] [kjinu] [piti]

This single, transparent process translates easily into Traditional OT, as a single constraint can be used to generate the same results; this variety of metaphony is explored in Section 5.2.1. Though this dissertation focuses almost exclusively on the more problematic paradigms that result in opacity in the framework of Traditional OT, I also discuss some more easily addressed varieties of transparent metaphony in order to explore both the capabilities and limitations of Traditional OT. As it progress from the simplest to the most complex cases of metaphony, this dissertation explores not only the limitations of Traditional OT but also the limitations of OT-CC, both as conceptualized by McCarthy and as it exists today. It is through this exploration that I build a case not only for the usefulness of OT-CC, but also for the need for an enhancement such as Subsequence in order to deal with some of the most problematic types of opacity found in the dialects of Italy.

4.6 RECAPITULATION

This chapter provided a thorough discussion of metaphony, exploring both its current status in the Romance languages as well as its historical importance in the evolution of the Romance languages. This discussion outlined several types of metaphony, including complete metaphony, incomplete metaphony, and diphthongizing metaphony, all of which are present in the data under consideration in this dissertation. All in all, there exist no fewer than sixteen different permutations within the dialects of Italy (Maiden 1991), with variation existing in both trigger and target vowels.

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Furthermore, this chapter explored the various ways metaphony can manifest within a dialect. It can be restricted to the tonic vowel, affect all vowels up to and including the tonic vowel, or it can affect the whole word. Though all of these patterns may prove opaque due to concurrent processes or incomplete height harmony, metaphony affecting both the tonic and intervening vowel will prove to be one of the most difficult metaphonic paradigms to address in Traditional OT.

Finally, this chapter touched on the differences between opaque and transparent metaphony. In the following chapters, representative dialects exhibiting both transparent and opaque metaphonic paradigms will be used to test the limits and limitations of both parallel and serial OT. This exploration begins in Chapter 5, which looks at previous approaches to Romance metaphony before offering an analysis of truly transparent metaphony in Traditional OT.

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PART TWO: ANALYSES

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5 Romance Metaphony in Optimality Theory: Constraint Selection and Previous Approaches

Romance metaphony has been the subject of scholarly research – both descriptive and analytical – for decades. The richness of the variation found in dialects exhibiting metaphonic raising proves an excellent test of any theory, as successful treatment of

Romance metaphony must address myriad opaque paradigms including instances of multiple opacity. Though this work is far from the first to explore this topic, it is the first to date to explore the intricacies and permutations found in the grammars of a wide variety of representative dialects and the first work of this magnitude to explore this topic in a serial version of OT. In order to create a unified analysis of Romance metaphony, I focus on several different varieties of metaphony, each of which exhibits a different type of opaque or otherwise problematic relationship. I begin this section with an investigation of the various methods that have been proven useful in addressing metaphony (and vowel harmony) within the framework of OT, both those which were used by previous scholars yet fail to meet the needs of this dissertation, and those that are incorporated in the current analysis.

5.1 WHAT DRIVES METAPHONY: CONSTRAINT SELECTION

Over the years, there have been varying opinions as to what exactly constitutes the driving force behind metaphony and what constraint should be used to reflect this mechanism of action. This section highlights some the constraints that are used most frequently in OT analyses of metaphony; this discussion concludes with the introduction

85 of the constraint chosen for the current analysis, as well as a discussion of why it proves to be ideal for these analyses.

5.1.1 Alignment (Calabrese 1998)

Calabrese’s comprehensive description of Italian metaphony also includes brief and rather simple OT analyses of both complete and diphthongizing metaphony of lax mid vowels. Central to his analysis are the concepts of alignment and linearity. The Align constraint used by Calabrese is common in OT accounts of vowel harmony (cf. Kirchner 1993 for an early example of this use of Alignment), and centers upon the need for a certain feature to be aligned with a given structural element. The Align family of constraints stipulates that a certain feature must align with a given domain, usually the syllable, foot, or prosodic word. The general schema for align is outlined by McCarthy and Prince (1993) as follows.

(58) ALIGN(GCat, GEdge, PCat, PEdge) The GEdge of any GCat must coincide with PEdge of some PCat, where GCat = Grammatical Category, among which are the morphological categories, MCat = Root,Stem,Morphological Word,Prefix,Suffix etc, PCat = Prosodic Category = s, Ft, PW, PhPhrase, etc, MEdge,PEdge = Left, Right.

One noteworthy aspect of this constraint is that it is most widely used as a gradient constraint, with candidates incurring violations for each segment that does not conform to the desired structural alignment. Let us look at the example of secondary stress assignment in Finnish.14 One feature of stress in Finnish is that secondary stress is typically assigned to odd numbered syllables unless that would place the stress on the

14 This example is not intended as to be a comprehensive analysis of stress assignment in Finnish. Indeed, there are many complexities to Finnish prosody that are not reflected in this example. See Karvonen (2005) for an OT account of Finnish prosody. 86 final syllable, create a stress clash, or disrupt the foot structure of the word. Ignoring the issue of stress clashes and feet, this paradigm has been addressed (Karvonen 2005) as the interaction between NonFinality and Align-R; these constraints are paraphrased in (59) and (60).

(59) NonFinality The final syllable of a word is stressless (a final syllable lacks a level 1 grid mark15).

(60) ALIGN-R (PrWd, level 1 grid mark) Align a level 1 grid mark with the right edge of the prosodic word.

In Finnish, NonFinality outranks Align-R, thus avoiding any truly right-aligned secondary stress. The optimal candidate will therefore be the one that comes the closest to a right aligned stress without actually assigning stress to the final syllable. Tableau 20 reflects the violations incurred by each possible assignment of secondary stress.

Kolesteroli, NonFinality Align-R ‘cholesterol’ kó.le.ste.ro.lì *!  kó.le.ste.rò.li * kó.le.stè.ro.li **! kó.lè.ste.ro.li ***! Tableau 20 Align-R in Finnish

Of the four possible candidates, only /kó.le.ste.ro.lì/ fully satisfies Align-R, since it is the only one with word-final stress. Our optimal candidate /kó.le.ste.rò.li/ incurs a

15 Karvonen’s (2005) analysis centers upon Grid Theory (Prince 1983, Selkirk 1984, Halle and Vergnaud 1987). In this framework, there are three levels of grid marks: Level 0 denotes an unstressed syllable, Level 1 denotes secondary stress, and Level 2 denotes primary stress. This alignment constraint essentially stipulates that secondary stress must fall on the final syllable of the word. 87 single violation for the syllable following the stressed syllable. However, due to the fact that Align is typically employed as a gradient constraint, it is selected as optimal despite the fact that the two other possible candidates also lack word-final stress. As Tableau 20 makes readily apparent, the other sub-optimal candidates are ruled out because they display more serious violations of Align than does our optimal candidate. /kó.le.stè.ro.li/, for example, has incurred two violations for its antepenultimate secondary stress, and

/kó.lè.ste.ro.li/ has incurred three violations, one each for every unstressed syllable following the syllable that received the secondary stress. Were Align to be interpreted as binary instead of gradient, this tableau would not give us a clear optimal candidate, as the three suboptimal candidates would all tie with one violation each for failure to right-align the secondary stress. This is shown in Tableau 21. kolesteroli, NonFinality Align-R ‘cholesterol’ kó.le.ste.ro.lì *! kó.le.ste.rò.li * kó.le.stè.ro.li * kó.lè.ste.ro.li * Tableau 21 Failure of binary Align

In light of the shortcoming of binary Alignment, the constraint used by Calabrese

(1998) is a typical, gradient alignment constraint concerning the feature [+high] and its alignment with the left edge of the final foot in a word; it is reproduced in (61).

(61) Align[high] The feature [high], when associated with a suffixal vowel, must align with the left edge of the last foot.

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This alignment constraint effectively rules out any candidate that does not demonstrate metaphonic raising of the tonic vowel when followed by a [+high] post-tonic vowel. In simple cases of adjacent metaphony, this is sufficient to account for metaphony. However, this constraint alone cannot stipulate whether or not a given dialect satisfies alignment via the modification of the height condition of the underlying vowel or if the target vowel diphthongizes in order to display satisfactory alignment. In addition to this alignment constraint, Calabrese employs Integrity (Montreuil 2004) to either force diphthongization or suppress it. This constraint is paraphrased in (62).

(62) Integrity No segment of S1 has multiple correspondents in S2 “No fission”

The use of Align[hi] and Integrity in conjunction with separate faithfulness constraints for both [ATR] and [high] allows for a successful analysis of both hypermetaphony and diphthongizing metaphony. Tableau 22, Tableau 23, and Tableau 24 show three resulting grammars (Calabrese 1998: 57-58). pɛti, Ident(-high) Align(hi) *(+high, -ATR) Integrity Ident(ATR) ‘foot’  pɛ ti * p ti *! * piɛ ti *! * p ti *! * Tableau 22 No metaphony The first of these grammars, depicted in Tableau 22, shows no metaphonic raising of the lax mid vowels. In this grammar, undominated Ident(-high) ensures that all non- high vowels will surface as [-high] in the output.

89 pɛti, Align(hi) *(+high, -ATR) Integrity Ident(ATR) Ident(high) ‘foot’ pɛ ti *! p ti *! *

piɛ ti *!  p ti * * Tableau 23 Hypermetaphony

The grammar shown in Tableau 23 reflects dialects that exhibit hypermetaphony of [-ATR] mid vowels; since Calabrese does not introduce a constraint that would protect the low /a/ from the effects of a post-tonic vowel, one must assume that this represents a dialect in which all input vowels are subject to metaphonic raising. The ranking of Integrity over the faithfulness constraints pertaining to the specification for [ATR] or [high] in a given vowel rules out diphthongization as a vehicle for satisfaction of Align. pɛti, Align(hi) *(+high, -ATR) Ident(ATR) Integrity Ident(high) ‘foot’ pɛ ti *! p ti *! *

 piɛ ti * p ti *! * Tableau 24 Diphthongizing Metaphony

In Tableau 24, on the other hand, Ident(ATR) outranks integrity. In dialects governed by this grammar, it is more important to maintain the lax quality of the mid vowel than it is for the tonic vowel to remain intact. An important note about Tableau 24, however, is that the diphthongization depicted by this grammar seems to be in opposition to the paradigms presented by Maiden regarding diphthongizing metaphony. In every

90 dialect discussed by Maiden, the lax mid vowel both tenses and diphthongizes. This is not to say that a dialect exhibiting diphthongization in absence of raising is impossible, but rather that this grammar appears to reflect a merely hypothetical or at best assumed metaphonic paradigm. This approach comes with several drawbacks. As he admits (Calabrese 1998: 58), this analysis is incapable of addressing scalar metaphony, a rather significant shortcoming considering the prevalence of that type of metaphony. Additionally, this approach cannot address even hypermetaphony when it occurs in conjunction with neutralization of the height condition of the final vowel. Finally, while the combination of Alignment and Linearity prove quite useful in addressing metaphony that occurs in adjacent segments, these constraints prove problematic in cases of non-adjacent metaphony: under gradient Align, all intervening vowels would need to surface as [+high] in order to be selected as optimal. Because of these limitations, Calabrese is forced to conclude that an OT account of metaphony is undesirable. Though this is a valid complaint with regard to Traditional OT, other researchers (Dillon 2003; Walker 2004, 2005; Hualde 2006) have shown that, with the introduction of alternative frameworks of OT, Optimality Theory can indeed prove effective in analyzing multiple types of metaphony.

5.1.2 Morpheme Realization (Dillon 2003)

In her account of metaphony in the Italian dialect of Treia and the Spanish dialect of

Lena, Dillon claims that metaphony should not be categorized as vowel harmony, but

91 rather a type of double morphemic exponence similar to the German umlaut16. Dillon rightly points out that the harmonic spreading of a phonological feature from a weak position to a strong position is rare, a point which is brought up by Walker (2004, 2005), as well. Dillon explores this proposal through a Sympathetic analysis17 couched in Realizational Morpheme Theory (RMT). In the framework of RMT, a key element in an OT analysis is the concept of

Morpheme Realization, which stipulates that a morphological element must be expressed phonologically. The relevant constraint in the analysis offered by Dillon is the Realize

Morpheme (RM) constraint proposed by Kurisu (2001), which is defined in (63) (Kurisu 2001: 39):

(63) Realize Morpheme (RM) Let α be a morphological form, β be a morphosyntactic category, and (α) be the phonological form from which F(α+β) is derived to express a morphosyntactic category β. Then RM is satisfied with respect to β if F(α+β)≠F(α) phonologically

In positing morpheme realization as the driving force behind metaphony, and furthermore tying the realization of the morpheme to the head of the word, Dillon is able to effectively produce the transfer of height from the post-tonic to tonic vowels in the dialects she examines. The integration of Sympathy is able to limit the raising to the desired one-degree that is required in some dialects, thus avoiding the usual pitfall of hypermetaphony for all inputs in parallel OT.

16 Though metaphony and umlaut are terms that can be used interchangeably to refer to the same type of regressive, stem-recessive vowel harmony – and indeed the term metaphony arose as a French translation of the German umlaut – I reserve the term umlaut to refer specifically to this process as it pertains to German, including its resulting orthographic representation.

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This approach succeeds where Calabrese (1998) could not, in that the resulting analysis successfully addresses instances of scalar metaphony. The use of RM, however, does raise a few questions. In instances where metaphony affects all vowels in the prosodic word or all vowels within the metrical foot, it seems illogical to posit triple or quadruple morphemic exponence. Additionally, the choice of MAX and DEP to refer simultaneously to both segments and individual features is questionable, as the lack of distinction between a vowel and its features could lead to unintended outcomes when dealing with final vowel neutralization in conjunction with metaphony. Though the substitution of separate Ident and Max constraints to distinguish between segmental and featural changes could remedy the second issue, it would not solve the plausibility issue of a Romance language displaying quadruple morphemic exponence. Because of this, the approach proposed by Dillon does not offer the comprehensive solution that the current analysis seeks to achieve.

5.1.3 Agreement (Martínez-Gil 2006)

Martínez-Gil (2006) takes a slightly different approach to metaphony than do most of his contemporaries. This article explores scalar metaphony, which he dubs stepwise raising or simply upstepping, in Proto-Spanish and contemporary Lena Asturian. The stepwise raising in Proto-Spanish and Lena Asturian shares many similarities with the scalar metaphony that will be discussed in Section 6.2.2. Essentially, the mid vowels will raise one degree; in Proto-Spanish, which had a tense-lax distinction, this means low vowels raised to lax mid, lax mid vowels raised to tense, and tense mid vowels raised to high. Lena Asturian lacks a distinction between tense and lax mid vowels, so for this

93 dialect low vowels raise to mid and mid to high. The alternations for Modern Lena

Asturian are shown in (64)18.

(64) Metaphony in Lena Asturian (Martínez-Gil 2006: 112) a. /e,o/  [i, u] masc. sing. masc. pl. fem sing. ninu nenos nena ‘child’ bwino bwenos bwena ‘good’ kusu kosos kosa ‘cripple’ palumbu palombos palomba ‘dove’

b. /a/  [e] getu gatos gata ‘cat’ bentenu bentanos bentana ‘window’

Martínez-Gil begins by acknowledging the failure of serial OT in addressing the types of metaphony found in the dialects under consideration, choosing to adopt Local Constraint Conjunction (LCC) in conjunction with prototypical (gradient) AGREE constraints to address these metaphonic paradigms (Martínez-Gil 2006: 99). The particular formulation of the Agree constraint used by Martínez-Gil is shown in (65).

(65) Agree Vowel-Height ( = Agree V-Height) A stressed vowel must agree with the features specified in the height node of a following high vocoid.

This constraint alone is incapable of preventing hypermetaphony, however, as full satisfaction of the constraint requires that the target vowel agrees with all features specified by the following high vowel. Since not all target vowels should surface as [-

18 I ignore in this paradigm the potential for vowels such as (ɪ) to surface as optimal, since they are unattested in the language and thus the relevant markedness constraints will play no role in this analysis. Martínez-Gil provides a more thorough account that includes this possible outcome. 94 high, -low], the desired mapping of /gatu/  [getu] would instead surface as /gatu/  [gitu]. This undesirable outcome is shown in Tableau 25. gatu, Agree V-height Ident-[high] Ident-[low] ‘cat’ gatu ***! getu *! *  gitu * * Tableau 25 Unsuccessful analysis without constraint conjunction In order to successfully address this variation, Local Constraint Conjunction must be employed. The constraints that must be joined in order to prevent hypermetaphony in Lena Asturian are those pertaining to the features for each underlying and surface representation that is attested, namely the [high] and [low] specifications for each high, mid, or low underlying vowel. These are conjoined as shown in (66).

(66) Ident-[high] & Ident-[low] The feature values for either [high] or [low] in an output vowel must be identical to those of its input.

In an LCC analysis, this constraint is violated only if a candidate has violated both relevant constraints which have been conjoined. In this case, a candidate could violate either Ident-[high] or Ident-[low] without incurring a violation of the locally conjoined constraint, but any candidate that violated both Ident-[high] and Ident-[low] would incur a single violation of Ident-[high] & Ident-[low]. The effectiveness of this approach can be seen in Tableau 26.

95 gatu, Ident-[high] & Agree V-height Ident-[high] Ident-[low] ‘cat’ Ident-[low] gatu ***!  getu * * gitu *! * * Tableau 26 Success of LCC in Lena Asturian While this approach is effective in addressing the variation found in Lena Asturian and Proto-Spanish, it would fail to correctly account for the myriad varieties of opacity found in the Italian dialects. Metaphony that occurs alongside neutralization of the height condition of the final vowel, for instance, could not be accounted for using LCC, as LCC is effective at preventing two changes from occurring simultaneously, not ensuring that they will both occur in tandem. Furthermore, by couching the driving force of metaphony in Agreement, Martínez-Gil’s account may or may not be applicable in cases of non-adjacent metaphony. To his credit, he formulates his Agree constraint in such a way that adjacency is not de facto assumed to apply, but if his interpretation of this constraint family mirrors traditional uses of similar constraints, the elements required to Agree would assumedly be adjacent. Finally, the Agreement constraint used by Martínez- Gil is, like most Agreement constraints, a gradient constraint. Though this is the only type of gradience that McCarthy (2003) deems acceptable, I still wish to employ binary constraints whenever a reasonable categorical alternative can be found for the gradient constraint in question. Due to these reasons, the approach adopted by Martínez-Gil does not meet the needs of the analyses in this dissertation.

5.1.4 Feature Licensing (Walker 2004, 2005)

The constraint I have chosen for these analyses was proposed by Walker (2004, 2005), who posited Licensing as the driving force behind metaphony. The concept of

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Licensing centers upon the proposition that important phonetic material must be expressed in strong phonological environments. For the case of metaphony, this is pertinent due to the fact that the final vowel – which is a positionally weak segment – often conveys crucial morphological information such as gender, number, or person. Licensing proposes that this segment must be linked to (and conveyed by) a segment in a stronger position in order to preserve the important information which it contains. A general Licensing constraint is formulated in (67).

(67) LICENSE(F, S-Pos) Feature [F] is licensed by association to strong position S.

As a type of markedness constraint, Licensing assigns violations only with respect to the output. Candidates fail to satisfy LICENSE if the feature in question fails to be expressed in a given strong position. For the sake of illustration, let us suppose that segment A can exist in unstressed, word-final position, yet B must be associated with the tonic vowel. In this example, Licensing will not apply to candidates that possess A in word final position, as this segment does not require licensing. Candidates with final B, however, must show that segment B has been associated with the stressed vowel, in this case via a change in the stressed vowel from V to B. Tableau 27 shows how Licensing and Faithfulness interact to enforce licensing in the correct contexts without penalizing candidates that need not demonstrate licensing.

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1) CVCA LIC(B,V) Ident-V  a. CVCA b. CACA *! 2) CVCB a. CVCB *!  b. CBCB * Tableau 27 Application of Licensing

Since candidate 1a lacks the illicit word-final B, there is no need for Licensing to apply and the candidate incurs no violations for failing to associate A with the stressed position V. Candidate (1)b is eliminated for unnecessarily violating Ident-V, thus 1a is selected as the optimal candidate. Candidate (2)a, however, contains the marked word- final segment B. Since Licensing stipulates that B must be associated with the strong position V, candidate (2)a incurs a fatal violation for failing to satisfy the Licensing constraint. Candidate (2)b, despite its faithfulness violation incurred for violating Ident- V, is correctly selected as optimal.

In order to formulate the specific Licensing constraint that pertains to metaphony, Walker identified both the pertinent features in question – [high], [low], and [ATR] – as well as the relevant strong position – the tonic vowel. The constraint I utilize in the following analyses, taken from Walker (2005), is outlined in (68).

(68) LICENSE (height)-in-V[+high]/σ (Henceforth LICENSE(height)/σ and LIC(height)) For any instance of [high], [low] or [ATR] in a high vowel in a word, some member of that feature’s chain belongs to a stressed syllable.

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This constraint addresses three features intrinsic to high vowels: [+high], [-low], and [+ATR], and a violation is assigned for each feature not licensed; these licensing actions may be split into three separate constraints, if a given dialect necessitates their ranking. One result of this combined constraint which must be discussed is the fact that, as written, a segment is capable of incurring multiple violations of this constraint; this effect is shown in Tableau 28.

CaCi LICENSE(height)/σ Ident-high Ident-ATR Ident-low CaCi ***! CɛCi **! * CeCi *! * *  CiCi * * * Tableau 28 Segmental violations assigned by LICENSE(height)/σ

Tableau 28 shows /CaCi/ as triply violating LICENSE(height)/σ , whereas /CeCi/

incurs only a single violation. While assigning multiple violations for the transgressions of a single segment is generally something to avoid (e.g. assuming that a [+low] output to a [+high] input would doubly violate Ident-high, whereas a [-low, - high] mid vowel would only incur a single violation), the violations of this constraint are not as problematic, since each violation refers to a separate vowel characteristic: /a/ incurs three

separate violations due to its failure to license any height characteristic; /ɛ/ is doubly violated, as it only licenses [-low]; /e/ incurs a single violation for failure to license

[high]; and /i/ fully satisfies the licensing constraint. This constraint serves, essentially, as a cover constraint for three separate licensing constraints, each of which licenses a separate value: [-low], [+ATR], and [+high]; these are outlined in (69), (70), and (71), below.

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(69) LICENSE (high)-in-V[+high]/σ (Henceforth LICENSE(high)/σ and LIC(hi)) For any instance of [high] in a high vowel in a word, some member of that feature’s chain belongs to a stressed syllable.

(70) LICENSE (ATR)-in-V[+high]/σ (Henceforth LICENSE(ATR)/σ and LIC(ATR)) For any instance of [ATR] in a high vowel in a word, some member of that feature’s chain belongs to a stressed syllable.

(71) LICENSE (-low)-in-V[+high]/σ (Henceforth LICENSE(-low)/σ and LIC(-lo)) For any instance of [-low] in a high vowel in a word, some member of that feature’s chain belongs to a stressed syllable.

Though this constraint often appears as a single licensing constraint, its use in this dissertation is as a substitution for the three separate licensing constraints listed above in instances where these constraints do not need to be crucially ranked. In each and every analysis where the cover constraint is used, one could form the Tableau in one of two ways: as the cover constraint illustrated in Tableau 28 or in its expanded version, as shown below in Tableau 29.

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CaCi LIC(hi) LIC(ATR) LIC(-lo) Id-Vhi Id-VATR Id-Vlo CaCi * * *! CɛCi * *! * CeCi *! * *  CiCi * * * Tableau 29 The expanded Licensing constraint19

This raises one major question which must be answered: can the constraint above occur alongside its split counterparts? The answer to this question is no, at least for the purposes of this dissertation and my interpretation of the constraint. The constraint inventory of a language demonstrating metaphony will contain all three of these separate licensing actions, which may be expressed either as a cover constraint or as separate, independently rankable constraints. Since the two incarnations of this constraint are functionally identical and differ only in their notation, the cover constraint (shown in Tableau 28) will be utilized for the sake of brevity whenever possible. The constraint will only appear in its expanded version (shown in Tableau 29) if the licensing actions of these vowel characteristics need to be crucially ranked in relation to one another. The use of these different notations should in no way be confused with the use of four separate licensing constraints serving the same essential functions. Additionally, the use of this constraint in its condensed version should not be interpreted as a macro-constraint or the result of Boolean constraint conjunction (cf. Crowhurst and Hewitt 1997). There are simply three binary Licensing

19 One notable feature apparent in Tableau 29 (admittedly a greatly simplified tableau) is that no constraints in this hierarchy address the role of [+round] in the selection of an optimal candidate. Since no analysis in this dissertation addresses any type of harmony or metaphony pertaining to the feature [round], one must assume that faithfulness to [+/- round] is a highly ranked constraint which is not depicted in any analysis.

101 constraints which, for the sake of efficacy and in an effort to avoid gradience, are represented by this cover constraint whenever feasible.

5.2 TRANSPARENT METAPHONY IN OPTIMALITY THEORY

Before exploring the problematic, opaque metaphonic paradigms that are found so frequently in Romance, I first present two examples of completely transparent metaphony. This type of metaphony is simple to address in Traditional Optimality

Theory, since it is the result of a single, transparent process with clearly defined limits and effects, and exists in an environment free from other confounding processes. In order to build the case for the usefulness of OT-CC in addressing opaque metaphonic paradigms, I first explore transparent metaphony as it is found in the dialects of Foggiano and Grado. These dialects exhibit a metaphonic paradigm that poses no issues in either parallel or serial OT, as it exhibits only a single raising process which applies equally to all valid targets.

5.2.1 Hypermetaphony in Foggiano

Though much rarer than incomplete assimilation to the height condition of the post-tonic vowel, target vowels in certain dialects will fully assimilate the [+high] feature of the trigger vowel. This phenomenon may affect only tonic mid vowels or may extend to [+low] tonic vowels as well. One representative dialect of the former variety of metaphony is found in Foggiano; Example (56) is reproduced below as (72).

(72) Dialect of Foggiano (Valente 1975 in Calabrese 2008)

mossa mussu ‘soft’ f sg , m sg kjena kjinu ‘full’ f sg , m sg pɛte piti ‘foot’ sg , pl grɔssa grussu ‘big’ f sg , m sg 102

n this dialect, both the lax mid vowels, /ɛ/ and /ɔ/, and the tense mid vowels, /e/ and /o/, surface as their [+high] counterparts, /i/ and /u/. Since the low input /a/ must be preserved as /a/ in the output, regardless of whether or not it is followed by a post-tonic [+high] vowel, the faithfulness constraint stipulating identity to [+low], outlined in (73), appears in undominated position. However, since in these dialects any [-low] vowel will surface as [+high], the Licensing constraint must outrank the faithfulness constraints pertaining to both height and tenseness; these faithfulness constraints, like the one mentioned above, will be applicable to all analyses in this chapter and are outlined below.

The resulting grammar is outlined in Tableau 30, below.

(73) Ident-Vlow (Id-Vlo) Do not change the specification for [low] in a stressed vowel

(74) Ident-VATR (Id-VATR) Do not change the specification for [ATR] in a stressed vowel

(75) Ident-Vhigh (Id-Vhi) Do not change the specification for [high] in a stressed vowel

103 pɛte IdVlo LIC(height) Id-VATR Id-Vhi  pɛte pete *! pite *! * pɛti pɛti **! peti *! *  piti * * *pati  pati *** pɛti *! ** peti *! * * piti *! * * Tableau 30 Hypermetaphony in Foggiano

This tableau shows a very basic interaction between Markedness (expressed via the Licensing constraint) and Faithfulness (represented by the three Identity constraints).

In undominated position, Ident-Vlo blocks our hypothetical candidate /pati/ from surfacing as [piti]. Turning to our example of /pɛte/ versus /pɛti/, Licensing becomes the deciding factor between the two forms. Since /pɛte/ lacks the post-tonic high vowel to trigger licensing (and thus metaphony), all three candidates satisfy the licensing constraint. The candidates are then evaluated for any faithfulness violations, and since both /pete/ and /pite/ have deviated from the specifications for height and tenseness found in the input, they are both ruled out as suboptimal. Thus, the fully faithful candidate, [pɛte], is selected as the optimal candidate. For /pɛti/, on the other hand, the post-tonic /i/ requires a tonic [i] in order to fully satisfy the licensing constraint. Our non-metaphonized candidate, [pɛti], doubly violates 104 the licensing constraint, as neither [high] nor [+ATR] are licensed by the post-tonic vowel. And though [peti] does satisfy the licensing of [-low] and [+ATR], it incurs a single violation of Lic(height) for failing to fully assimilate to the height condition of the trigger vowel. Once again we arrive at the correct optimal candidate, in this case the hypermetaphonic /piti/. The hypothetical form */pati/ is included in Tableau 30 to illustrate the necessity for Ident-Vlo to be separated and ranked above both licensing constraints. This must be done in order to ensure that the low vowel /a/ is protected from the influence of the post- tonic [+high] vowel. While the selection of fully metaphonized [piti] as the second-most optimal candidate to the non-metaphonized winner (and desired optimal candidate) [pati] might at first glance appear to be an undesirable outcome of the grammar created in Tableau 30, this is indeed the desired suboptimal candidate. Though it may seem counterintuitive, partial metaphony is not the second-best solution for a grammar that exhibits hypermetaphony. Since no input in the grammar of Foggiano exhibits partial metaphony, any candidate exhibiting partial metaphony – an element which is completely foreign to the grammar of Foggiano – should in fact be found less desirable than a fully metaphonized candidate since hypermetaphony is the desired metaphonic paradigm in Foggiano.

Though Maiden does not discuss any dialects which exhibit hypermetaphony of all input vowels, it is reasonable to assume that such dialects could exist, since there exist dialects which exhibit hypermetaphony of all input vowels in conjunction with final vowel neutralization (cf. Section 6.1.1 for a discussion of metaphony in conjunction with final vowel neutralization). In such a dialect, the resulting grammar would be an even more simplistic opposition between Markedness and Faithfulness: Licensing would

105 dominate all relevant Identity constraints, and the grammar would select the fully metaphonized candidate as optimal regardless of the input. This is illustrated in Tableau 31, below.

*pati LIC(height) Id-VATR Id-Vhi Id-Vlo pati ***! pɛti **! * peti *! * *  piti * * * pɛti pɛti **! peti *! *  piti * * pɛte  pɛte pete *! pite *! * Tableau 31 Hypermetaphony of all input vowels

Though hypermetaphony is, in isolation, a simple issue to address in Traditional OT, the reality of the situation is that it frequently occurs concurrently with neutralization of the height condition of the post-tonic, underlyingly high vowel. This paradigm, which is explored in Section 6.1.1 poses serious problems for a Traditional OT analysis since the trigger vowel never surfaces as high. Tableau 32 below illustrates the effect of final vowel neutralization – expressed via a constraint forbidding a specification of [+high] in a final vowel – on the Traditional OT analysis presented in Tableau 31. The relevant constraints, if not previously introduced, are paraphrased below.

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(76) FinalNeutral Word-final vowels must be /ə/

*pati FinalNeutral LIC(height) Id-VATR Id-Vhi Id-Vlo pati *! *** pɛti *! ** * peti *! * * * piti *! * * *  patə pɛtə *! petə *! * pitə *! * * pɛti pɛti *! ** peti *! * * piti *! * *  pɛtə petə *! pitə *! * pɛte pɛte *! pete *! * pite *! * *  pɛtə petə *! pitə *! Tableau 32 Infelicitous outcome in Traditional OT

As this tableau makes apparent, only the non-metaphonized [pɛtə] (from the input /pɛte/), is correctly predicted as the optimal candidate. The desirable form [pitə] is ruled

107 out for both /pati/ and /pɛti/ since there is no high vowel to trigger metaphony. Thus no form displaying final vowel neutralization is capable of violating the Licensing constraint; the metaphonized form will never surface as optimal, since the markedness violations of both the fully and partially metaphonized forms will eliminate these candidates in favor of the candidate with the fully faithful stressed vowel. I explore this problem, and present a solution utilizing OT-CC, in Section 6.1.1.

5.2.2 Metaphony restricted to tense mid vowels: Grado

Another metaphonic paradigm that can be resolved easily in Traditional OT is metaphony that affects only tense mid vowels. Like the hypermetaphony explored in Section 5.2.1, valid targets in Grado all surface as [+high] vowels. Unlike the pattern found in Foggiano, however, this results in one-degree raising of tense mid vowels, with the lax mid and low vowels surfacing unaffected by any post-tonic high vowels. Examples of this paradigm are shown in (77).

(77) Metaphonic Paradigm in Grado (Walker 2005) verio viri ‘true,’ m.sg, m pl. negro nigri ‘black,’ m. sg., m. pl. roso rusi ‘red,’ m. sg., m. pl. sordo surdi ‘deaf,’ m. sg, m. pl. bɛla bɛli ‘handsome,’ m. sg., m. pl. mɔrto mɔrti ‘dead,’ m. sg., m. pl.

In dialects such as Grado, the re-ranking of Ident-Vlo and Ident-VATR over the licensing constraint protects the [+low] and [-ATR] input vowels from raising or tensing in order to satisfy the licensing constraint. The resulting grammar is shown in Tableau 33.

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*pati Id-Vlo Id-VATR LIC(height) Id-Vhi  pati *** pɛti *! ** peti * *! * piti * *! * pɛti pɛti **  peti *! * piti *! * peti peti *!  piti * pete  pete pite *! Tableau 33 Metaphony restricted to tense mid vowels

In a paradigm as simple as the one in Grado, these four constraints are sufficient to create an accurate grammar for the raising patterns found in this dialect. However, most metaphonic paradigms are not this simple: many dialects exhibit a combination of raising of tense mid vowels and tensing of lax mid vowels, with some dialects also exhibiting raising of /a/.

Let us examine the implications of this difference by assuming our token /pɛti/ is now expected to raise to [peti]. Regardless of the ranking of the Licensing and Identity constraints in this analysis, the partial assimilation of /ɛ/ and /e/ cannot be generated.

If the Identity constraints pertaining to [low] and [ATR] are ranked in such a manner that Ident-V(low) >> License(height) >> Ident-V(ATR), the resulting analysis

109 produces hypermetaphony instead of scalar metaphony for /ɛ/. This is shown in Tableau 34, below.

*pati Id-Vlo LIC(height) Id-VATR Id-Vhi  pati *** pɛti *! ** peti *! * * piti *! * * pɛti pɛti **! peti *! *  piti * * peti peti *!  piti * pete  pete pite *! Tableau 34 Failure of Ident-V(low) >> License(height) >> Ident-V(ATR)

On the other hand, reversing the ranking of the Identity and Licensing constraint so that Id-Vlo >> Ident-VATR >> License(height) results in no raising at all for the input

/ɛ/. This is shown in Tableau 35.

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*pati Id-Vlo Id-VATR LIC(height) Id-Vhi  pati *** pɛti *! ** peti *! * * piti *! * * pɛti  pɛti ** peti *! * piti *! * peti peti *!  piti * pete  pete pite *!

Tableau 35 No metaphony generated by Id-Vlo >> Ident-VATR >> License(height)

At this point there remains only one final option: splitting the Licensing constraint to penalizing failure to license [ATR] more seriously than failing to license [high]. Though this seems promising, the resulting analysis still fails to predict that /ɛ/ should surface as [e] instead of either faithfully or hypermetaphonically. This grammar is shown in Tableau 36.

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*pati Id-Vlo Lic(ATR) Id-VATR LIC(high) Id-Vhi  pati *** pɛti *! * ** peti *! * * * piti *! * * * pɛti pɛti *! ** peti * *!  piti * * peti peti *!  piti * pete  pete pite *! Tableau 36 Failure of Split Licensing in Traditional OT

Based on the failure of each of these analyses, it is clear that any metaphonic paradigms that involve more than one process – regardless of the affected target vowels – cannot be addressed in Traditional OT. The solution to this problem, however, is a simple one when analyzed through the framework of OT-CC; a similar paradigm is explored in Section 6.1.1.

5.2.3 Recapitulation

Despite the many metaphonic paradigms present throughout Italo- and Hispano-

Romance, Traditional OT is only able to account for the simplest and most transparent among these paradigms. The patterns which are amenable to a traditional OT analysis must meet both of the following conditions: 1) the dialect must possess only a single raising or tensing process that affects all valid target vowels equally, and 2) the dialect

112 must not exhibit any other confounding processes. Unless both of these conditions are met, Traditional OT is incapable of accounting for metaphony. The solution to the impotence of Traditional OT has been addressed through various enhanced OT frameworks in the past (e.g. Local Constraint Conjunction, cf. Walker 2005), yet no previous analysis has been able to address each metaphonic paradigm within the same framework of analysis. In Chapter 6 I explore several opaque paradigms through the framework of OT-CC, demonstrating its capacity for the analysis of almost every type of metaphony present in Romance.

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6 Opaque Metaphony in OT-CC

The issues addressed in this section comprise a number of different types of opaque metaphony, many of which prove to be difficult to address in parallel frameworks of OT; indeed, certain varieties have even proven to be sufficiently problematic for OT- CC that certain researchers (Walker 2008, 2010; Wolf 2010, Kaplan 2011) have proposed either the modification of or complete abandonment of OT-CC. Though the evidence at this point does suggest that OT-CC may need some enhancement in order to address each type of opacity that is found in Romance, the analyses contained in this chapter make a solid case for the usefulness of OT-CC – and indeed the superiority of OT-CC over strictly parallel versions of OT – for addressing myriad opaque paradigms resulting from a number of differing phonological processes. Included among these analyses are several different types of metaphony: scalar (incomplete) metaphony; diphthongizing (incomplete) metaphony, both with and without neutralization of the height condition of the final vowel; complete and incomplete metaphony in conjunction with final vowel neutralization; and metaphony which affects non-adjacent syllables. These analyses provide the basis of the argument in favor of the addition of Subsequence to the ranks of the OT-CC constraint inventory. It is through the testing of the limitations of OT-CC as it currently exists that its strengths and weaknesses can be identified, which provides justification for its alteration.

6.1 OPAQUE METAPHONY IN OT-CC: THE NEED FOR PRECEDENCE

With the introduction of the notion of candidate chains, there arose a need to evaluate not only a single candidate in isolation, but also the LUM sequences contained within each chain. Like traditional OT analyses, canonical Markedness and Faithfulness constraints are used to analyze a single output form, in the case of OT-CC this is the final 114 and most harmonic member, also known as the Terminal Link (TL), of the candidate chain. To evaluate the violations incurred by each link within the chain, McCarthy (2006, 2007a) turned to the new constraint family of Precedence:

(78) Prec (A, B) A violation of Constraint B is only permissible if it is preceded and not followed by a violation of Constraint A

In order to ensure that a Precedence constraint, Prec(A, B), can never affect the satisfaction of a given constraint, B, McCarthy proposed a metaconstraint on the ranking of Precedence constraints within the optimal grammar (2006: 12).

(79) Metaconstraint B >> Prec(A, B)

Though the necessity of the metaconstraint has been questioned by some (Wolf

2010), we can see in the following Tableaux how it ensures that violations of both Constraint A and Constraint B are still relevant to the overall analysis.

/input/ Prec(A,B) Constraint A Constraint B

TL *! * * <>20

TL * *  <> Tableau 37 Precedence when too highly ranked

20 The notations here refer to the Terminal Link and the violations incurred by each LUM in our fictitious chain. The delineation <> under the TL means that the chain has two LUMs, the first being a violation of Constraint A, the second being a violation of Constraint B. This convention is often used in order to aid in the ease of readability of OT-CC tableaux, as it makes the LUM sequence of each chain and the TL being analyzed obvious and easily discernible by readers. 115

/input/ Constraint B Prec(A,B) Constraint A

TL * *! * <>

TL * *  <> Tableau 38 Observation of Metaconstraint

In these simplified tableaux, both rankings generate the desired optimal candidate; however, in Tableau 37, Constraint B has essentially been rendered powerless. Since Prec(A,B) outranks Constraint B, the first candidate has already been eliminated by the time Constraint B is capable of assigning a violation.

6.1.1 Metaphony in Teramano

In several regions, metaphony occurs concurrently with another relatively common process, the neutralization of the height condition of final unstressed vowels.

This neutralization process reduces all final vowels, regardless of their underlying specification for height or tenseness, to the neutral vowel /ə/. An example of this can be found in the verbal paradigms of three types of Italian dialects, among which three patterns are found: dialects exhibiting neither metaphony nor neutralization, dialects exhibiting only metaphony, and dialects exhibiting both metaphony and neutralization.

The outcome of this variation, as illustrated by Maiden (1991), is outlined in (80):

(80) Verbal Paradigms in the Italian Dialects

A B C korro korro korrə korri kurri kurrə korre korre korrə

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In contrast to the counterfeeding opacity explored above, dialects exhibiting both metaphony and a concurrent neutralization of the height condition of the post-tonic vowel present cases of counterbleeding rather than counterfeeding opacity. An example of the interaction between metaphony and neutralization is found in Teramano.

(81) Teramano, Abruzzo (Maiden 1991: 167 and Kaze: 1989 193-194) sordə surdə ‘deaf’ m. sg, m.pl. sordə sordə f.sg, f. pl

narə nirə ‘black’ m. sg, m.pl. narə narə f. sg, f.pl.

bonə bunə ‘good’ m. sg, m.pl. bonə bonə f. sg, f.pl.

Because the underlying post-tonic [+high] vowel surfaces as [-high] in dialects like Teramano, there is no apparent trigger for the metaphonic raising of the tonic vowel. Despite this interaction, this type of opacity is easily addressed in a derivational analysis, as shown in (82).

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(82) Derivational analysis: metaphony and neutralization

Raising: V  V / __CV [-high] [+high] [+high]

Neutralization: V  V / ___]# [-high] [-low] [-tense]

Underlying Representation /nari/ /nara/ Raising niri --- Neutralization nirə narə Surface Representation [nirə] [narə]

In a traditional OT analysis, this paradigm leads to underapplication; with the loss of the [+high] trigger vowel in the desired optimal candidate, there is no way that the candidate can satisfy the Licensing constraint, as the post-tonic /ə/ lacks the height specification to license height or tenseness. This problem is easily remedied through the framework of OT-CC, as the links of the candidate chain allow for metaphony to occur prior to neutralization. The analysis proposed here shares many constraints with the analysis presented in Section 5.2, though additional markedness and faithfulness constraints are needed in order to account for the co-occurring neutralization. Because final vowels in this dialect must once again surface as the neutral [ə], the constraint inventory must include a constraint capable of ensuring neutralization of the height condition of word-final vowels.

The constraint responsible for this is FinalNeutral, which was mentioned in Section 5.2.1 and paraphrased in (76); I repeat this constraint as (83) alongside its equivalent

118 faithfulness constraint, which pertains to the retention of the value [+high] in unstressed vowels.

(83) FinalNeutral Vowels in word final position must be ə

(84) Ident-vhigh Do not change the specification for [high] in an unstressed vowel

Despite the introduction of these constraints, metaphony in conjunction with final vowel neutralization cannot be successfully accounted for through Traditional OT: because there is no high vowel present on the surface to trigger metaphony, the non-metaphonized candidate is selected as optimal.

LICENSE nari FinalNeutral Ident-V Ident-v (height)/  nari *! *** niri *! *  narə * nirə * *! Tableau 39 Infelicitous outcome in Traditional OT

OT-CC, however, is able to address this type of opacity easily, as the dual nature of its analysis separately evaluates both the TL and the LUM sequences of the Candidate Chains. The valid Candidate Chains used in the analysis, along with their LUM sequences, are shown below:

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(85) Valid Candidate Chains (FFC) < nari, narə > ( d-vhi) ( d-Vlo) ( d-Vlo , Id-vhi) < nari, nɛri, neri> ( d-Vlo, Id-VATR) ( d-Vlo, Id-VATR, Id-Vhi) ( d-Vlo, Id-VATR, Id-vhi) ( d-Vlo, Id-VATR, Id-Vhi,Id-vhi)

What is especially difficult about the interaction between metaphony and neutralization in these dialects is the fact that the optimal candidate is also the most divergent from the input, as evidenced by the length of its chain, above. Thus the optimal grammar must be created in such a way as to select the candidate with the most violations as the optimal candidate; this suggests that it is the LUM sequences which are of greatest importance in this analysis. In examining the LUM sequences of each candidate chain, it is clear that – for dialects exhibiting this type of metaphony – a violation involving the height condition of the unstressed post-tonic vowel must be preceded by a deviation from the height condition of the tonic vowel. Since the key to this analysis is the sequence of violations and not a single violation, this analysis requires the introduction of a Precedence constraint in order to reflect the fact that a candidate must exhibit metaphonic raising – the change from a [- high] stressed vowel to a [+high] stressed vowel – before the height condition of the post- tonic vowel is affected. The following Precedence constraint is applicable to all dialects exhibiting a combination of complete metaphony and final vowel neutralization21:

21 This analysis addresses only complete metaphony; a similar constraint targeting [ATR], in conjunction with the re-ranking of the identity constraints pertaining to [low] and [ATR], could be used to address scalar metaphony occurring in conjunction with neutralization; this type of metaphony is explored in Section 6.3.1. 120

(86) Prec(Ident-Vhigh, Ident-vhigh) Penalize any LUM sequence in which a violation of Ident-vhigh is not preceded by a violation of Ident-Vhigh

Though the Licensing constraint is highly ranked to ensure that metaphony satisfies harmonic improvement, it is the Precedence constraint which is most instrumental in creating the grammar shown in Tableau 40.

LIC Final Id- Prec(Id- Id- Id- /nari/ Id-VATR (height) Neutral vhi Vhi, Id-vhi) Vhigh Vlow  nirə Ident-Vlow, Ident-VATR, * * * * Ident-Vhigh, Ident-vhigh niri Ident-Vlow, *! * * * Ident-VATR, Ident-Vhigh narə * *! Ident-vhigh nari ***! * (FFC) Tableau 40 Total Metaphony with Neutralization

By evaluating the TL and LUM sequences simultaneously, this analysis is capable of selecting a TL with a [-high] final vowel while also ruling out candidates whose LUM sequences did not include a violation of Ident-Vhigh (i.e. those candidates which do not demonstrate metaphonic raising). Since this dialect exhibits total metaphony of the stressed vowel, any forms demonstrating incomplete metaphony or no metaphony are immediately ruled out by the undominated Licensing constraint. This solution proves 121 effective in dealing with the concurrent processes of metaphony and neutralization, which have received little attention in recent literature.

6.1.2 Discussion

The analysis in Section 6.1.1 demonstrates the ability of OT-CC to address opacity resulting from two independent processes that constitute an instance of counterbleeding. Where Traditional OT was unable to generate any metaphonized candidates absent of a surface [+high] trigger vowel, OT-CC is able to account for the fact that metaphony must precede final vowel neutralization through the formation of a relevant Precedence constraint. However, like the hypermetaphony found in Foggiano (cf. Section 5.2.1), the metaphonic paradigm in Teramano demonstrates none of the problematic vertical gradience that is so common in Romance metaphony. Indeed, incomplete metaphony is the most common type of metaphony in Romance, yet Precedence alone is unable to address the scalar (or diphthongizing) metaphony found in dialects illustrating partial metaphony. In Section 6.2, I introduce the concept of Split-Precedence (Wolf 2008), which is designed to remedy exactly this shortcoming of McCarthy’s intact Precedence.

6.2 OPAQUE METAPHONY IN OT-CC: PRECEDENCE VS. SPLIT-PRECEDENCE

The original Precedence constraint is not a binary constraint; the satisfaction or violation of this constraint is not inherently an all or nothing issue: precedence can assign a violation to a chain for failing to satisfy one or both of the two conditions outlined in

(87) (a reproduction of (78)).

(87) Prec (A, B) A violation of Constraint B is only permissible if it is preceded and not followed by a violation of Constraint A 122

Like certain other markedness constraints (e.g. Align), Precedence is thus capable of assigning multiple violations for the transgressions of a candidate. One way that these multiple violations can occur is if a given faithfulness constraint is violated twice within the same chain. To illustrate this, we can return to the case from Wolf (2011), first introduced in Section 3.1.3, which addresses the deletion of high tones in adjacent vowels in the Bantu language Tachoni.22 I outline the relevant candidate chains in Example (88), below.

(88) High tone deletion in Tachoni

Input /HrootHaffix/ (do nothing) (winner)

Input /H/ (do nothing) (winner)

In the example above, the desirable chain doubly violates the precedence constraint, as the first deletion is simultaneously 1) not preceded by a violation of H, and 2) followed by a violation of H. In this example, an instance of mutual counterbleeding in which two different segments violate the same faithfulness constraint, intact precedence is incapable of successfully selecting the optimal candidate. The resulting tableau is shown in Tableau 41.

22 Wolf undoubtedly intended this example to be merely a highly simplified, easily comprehensible explanation of the mechaniss of action of Precedence and how they can have undesirable outcomes in certain opaque paradigms, as this particular variation can be satisfactorily addressed by making the logical distinction between MAX(Hroot) and MAX(Haffix). With the introduction of this distinction, a simple stipulation that MAX(Hroot) must precede MAX(Haffix) would produce the desired optimal candidate. The reader is encouraged to consult Wolf (2011) for several more complex applications for Split-Precedence that do not find adequate solutions with intact Precedence. 123

PREC(MAX(H), /H H OCP(H) *H MAX(H) MAX(H) root affix/ MAX(H)) Root HH *! *  HH, H0 * * * HH, H0, 00 **! * ** /H/ H *  H, 0 *! * * Tableau 41 Infelicitous result of Intact Precedence

If *H outranked the precedence constraint, this would solve the issue with /HH/  /00/, however it would not generate the proper outcome for /H/  /H/; this is illustrated by Tableau 42.

PREC(MAX(H), /H H OCP(H) *H MAX(H) MAX(H) root affix/ MAX(H)) Root HH *! * HH, H0 *! * *  HH, H0, 00 * * ** /H/ H *!  H, 0 * * * Tableau 42 Infelicitous result of reranking *H >> Prec(MAX(H), MAX(H))

In order to resolve this issue, Wolf (2011) proposes the theory of Split- Precedence. He suggests that PREC(A, B) be split into two independently rankable and

violable constraints, each addressing one of the domains of application of Prec; these Split-Prec constraints are shown in (89) and (90).

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(89) AB (read ‘B implies preceding A’) Assign a violation mark if there is a B-violating LUM which is not preceded by an A-violating LUM.

(90) *B-THEN-A Assign a violation mark if an A-violating LUM follows a B-violating LUM.

The value of Split-Prec in shown in Tableau 43, in which the issues created in Tableau 41

(adapted from Wolf 2011: 28) are resolved.

MAX(H) *MAX(H)- /HrootHaffix/ OCP(H)  *H MAX(H)Root MAX(H) THEN- MAX(H) MAX(H) HH *! * HH, H0 * *! *  HH, H0, 00 * * ** * /H/  H * H, 0 *! * * Tableau 43 Generation of both optimal candidates using Split-Precedence

Wolf’s enhancement to the theory of precedence proves to be useful in counterfeeding relationships similar to the one found in dialects exhibiting a type of

metaphony referred to as scalar metaphony or incomplete metaphony; this type of counterfeeding, which Wolf dubs ‘self counterfeeding,’ cannot easily be addressed in

OT-CC without resorting to the use of Split-Precedence. In addition to the self- counterfeeding and mutual counterbleeding examples above, Wolf outlines a number of instances in which Split-Precedence succeeds where intact Precedence cannot.

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Version of Precedence Metaconstraint Type of Opacity ‘Ordinary’ counterbleeding (McCarthy 2007a) ‘Ordinary’ counterfeeding (McCarthy 2007a) Intact Yes Counterfeeding from the past (Wilson 2006) Opaque feeding (Lee 2007) Nonderived environment blocking (Wolf 2008) Obligatory counterbleeding (Wolf 2008) Intact No Mutual counterbleeding where the processes violate different basic faithfulness constraints Mutual counterfeeding Split Yes Self-counterfeeding Mutual counterbleeding where the processes Split No violate the same basic faithfulness constraint Table 1 Precedence, Split-Precedence, and the metaconstraint in OT-CC

Since Wolf (2011) provides several instances that provide justification for the use of Split-Precedence over Precedence, it seems appropriate to question whether Precedence should perhaps always appear in its split form. If constraints are universal, then the existence of Split-Precedence alongside Precedence seems at least somewhat problematic: could one hypothetically include a Precedence constraint alongside the relevant Split-Precedence constraints? Even managing to put this issue aside, there is one compelling reason to adopt Split-Precedence as the de facto formulation for this constraint instead of McCarthy’s (2007) original formulation of Precedence. As hinted at above, the choice between Precedence and Split-Precedence is centered upon the need to avoid gradience in the formulation of constraints.

6.2.1.1 The question of gradience: Precedence vs. Split-Precedence

The coexistence of Precedence and Split-Precedence within the OT constraint inventory is one that merits discussion at this juncture, as is the selection of which constraint to employ, since these two constraints clearly seek to achieve identical goals.

126

Since the original formulation is not a binary constraint, it is referred to as a gradient constraint, one which is capable of incurring multiple violations for the transgressions of a single segment. As McCarthy (2002) rightly notes, any constraint is capable of incurring multiple violations. A simple faithfulness constraint such as Ident-Hi, for example, could assign violations to any input vowels surfacing with an altered height condition, as seen in

Tableau 44.

hut Ident-Hi  hut hot *! hat *! hulu  hulu hula *! hala **! Tableau 44 Ident-Hi as binary

However, this constraint could also conceivably be interpreted as gradient, assuming that each heightwise derivation from [+high] to [-high, - low] to [+low] could constitute increasing violations of Ident-Hi. The difference between the interpretation of Ident-Hi as a binary constraint and as a gradient constraint can be seen in the violations assigned in Tableau 44 as compared to Tableau 45.

127 hut Ident-Hi  hut hot *! hat **! hulu  hulu hula **! hala ****! Tableau 45 Ident-Hi as gradient

In the examples above, it is clear that the multiple violations in Tableau 44 differ from the multiple violations in Tableau 45. The double violations incurred by /hulu/  [hala] in Tableau 44 represent one violation for each vowel that has violated its identity to [high]. Compare this to the violations in Tableau 45, where /hut/  [hat] shows two violations, one due to its departure from [+high] but another for its acquisition of [+low]. /hulu/  /hala/, in the same tableau, thus shows four violations, two each for each segment which has violated Ident-Hi. It is exactly against these so-called gradient constraints that McCarthy wrote an article entitled “Against Gradience,” in which he surmises that “gradience is not a property of OT constraints. […N]one is necessary, some are insufficient, and some are actually harmful” (McCarthy 2002: 1). The basis for his argument is simple:

“ f it can be shown that gradient constraints are unnecessary, then that is sufficient reason to reject them. In this article, I will show that they are indeed unnecessary, since reasonable non-gradient alternatives can be developed.”

(McCarthy 2002: 3)

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This quote is particularly relevant to the question of Precedence versus Split- Precedence, since one is, in making the choice between utilizing Precedence and utilizing Split-Precedence, essentially selecting between a gradient constraint and an exceptionally reasonable (binary) alternative. Faced with this reasonable binary alternative, McCarthy (2002) would almost certainly see no reason to adopt a gradient constraint that offers no notable advantages to the equally effective binary version.

Before dismissing intact Precedence outright, let us look first at the various types of gradience which McCarthy discusses, since certain types he disprefers outright and others he deems merely unnecessary in natural language. McCarthy (2002: 4) outlines four types of gradience:

(91) Types of Gradience in the OT literature

a. Horizontal gradience. Assign violation-marks in proportion to distance in the segmental string. Example: ALIGN(Ft, Wd, R), ALIGN(Prefix, Wd, L).

b. Vertical gradience. Assign violation-marks in proportion to levels in a hierarchy. Example (paraphrasing Spaelti 1994): WEAKEDGE ≈ assign a violation-mark for each prosodic category whose right-periphery is non-empty. E.g., [((dog)σ)Ft]Wd receives three marks.

c. Collective gradience. Assign violation-marks in proportion to the cardinality of a set. Example (Padgett 1995): CONSTRA NT(Class) ≈ assign one violation-mark for each member of the feature-class Class that does not satisfy CONSTRA NT. E.g., a g ba receives one mark from ASS M(Place) and ang ba receives two marks.

d. Scalar gradience. Assign violation-marks in proportion to the length of a linguistic scale. Example (Prince and Smolensky 1993: 16): HNUC: “A higher sonority nucleus is more harmonic than one of lower sonority.” .e., 129

assign a nucleus one violation-mark for each degree of sonority less than a.

The first of these types of gradience is the only one that is an unbounded form of gradience; this means that there is no inherent limitation to, for example, the number of segments which can be analyzed (and for which a non-aligned segment could incur violations) under Align. Alignment constraints, according to McCarthy, may actually constitute the only true examples of horizontal gradience. Horizontal gradience should, according to McCarthy, be addressed by using less powerful constraints to address the specific illicit conditions. The latter three types are inherently bounded types of gradience: vertical gradience is limited by whichever implicational hierarchy to which it is beholden, collective gradience is limited to the number of members contained by the set which it analyzes, and scalar gradience is limited by the linguistic scale to which it makes reference. These types of gradience, McCarthy notes, are easily resolved by replacing a gradient constraint with separate binary constraints which target each implied or desired violation of the gradient constraint. McCarthy gives two examples of the replacement of gradience with multiple binary constraints by examining Ident(color) and HNUC. For Ident(color), he shows that this constraint is unnecessary since each individual vowel color feature can easily be represented by its own separate (binary) constraint: Ident(back) and Ident(round). HNUC, on the other hand, can be replaced via the careful selection of constraints and the judicious creation of the constraint hierarchy; in this instance, he proposes a ranking such as *PK/OBST >> *PK/NASAL (de Lacy 2000, 2002, Prince 1998).

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In summation, McCarthy finds unbounded gradience to be unnecessary if not necessarily subject to outright dismissal, but argues that bounded gradience can and should be avoided via the substitution of equivalent binary constraints. What type of gradience, then, is displayed by Precedence? This is a somewhat complex question, since Precedence is essentially a markedness constraint that evaluates the relationship between two unrelated faithfulness violations. However, we know from its very design that

Precedence is bounded, and quite restrictively so: it is capable of analyzing only two elements, which must occur in a fixed order in order to fully satisfy the constraint. In light of the fact that McCarthy has claimed that bounded gradient constraints can and should be replaced with more precise binary constraints, I argue that Split-Precedence – as a binary constraint and a reasonable alternative to Precedence – should be used in order to resolve the question of gradience. Furthermore, the selection of intact instead of Split-Precedence creates, at least in certain opaque metaphonic paradigms, a rankings paradox that cannot be resolved without splitting the two halves of the intact Precedence constraint. In order to force a violation of the second half of the intact precedence constraint – the stipulation that a given LUM not be followed by a second LUM – one must essentially create illogical and typologically baseless Precedence constraints designed not to ensure that A precedes B, but rather to ensure that A doesn’t follow B. The obvious drawback to this approach is that these flipped constraints then also require that A precedes B, which is undesirable for the paradigms in question. An example of this shortcoming of intact Precedence is seen in Section 6.2.2. Because Split-Precedence proves both theoretically and conceptually superior to intact Precedence – at least within the confines and goals of this dissertation – I adopt

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Split-Precedence in the following analyses. This selection is motivated both by an effort to avoid gradience to the greatest extent of my abilities and to adopt a consistent constraint hierarchy for all varieties of metaphony, regardless of whether or not a successful analysis could be constructed using intact Precedence.

6.2.2 Synchronic chain shifts and the need for Split-Precedence

One of the most common types of Romance Metaphony – a scalar type of metaphony that manifests as a one-degree raising of the height of the target vowel – is also one of the most difficult to treat in a Traditional OT analysis. In dialects exhibiting this type of metaphony, a lax mid vowel will surface as a tense mid vowel, and a tense mid vowel will surface as a high vowel; in some dialects, low vowels may also be susceptible to raising, and will surface as lax mid vowels.23 This type of hierarchical variation is often referred to as a synchronic chain shift, a semi-cyclical phenomenon in which a particular phoneme will surface only in derived, not underlying, form. This is illustrated in Figure 7, below.

/a/  /ɛ/

/ɛ/  /e/

/e/  /i/

Figure 7 Vowel Raising in a Synchronic Chain Shift

23 In dialects possessing only a five vowel system lacking a distinction between tense and lax mid vowels, this schema is, of course, reduced: /a/, if affected, will surface as /e/; /e/ will surface as /i/.

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The most common type of scalar metaphony, that which affects only mid vowels, occurs frequently in dialects throughout Spain, Italy, and Portugal; the following data from Southern Umbro, shown in (92), illustrate the pattern characteristic in these areas.

(92) Southern Umbro (Walker 2005):

Unraised Raised verde virdi ‘green’ sg , pl. rossa russu ‘red’ f sg., m. sg. ʧɛka ʧeku ‘blind’ f. sg., m. sg. nɔva novu ‘new’ f sg , m sg

Synchronic chain shifts and other similar phenomena result in a type of counterfeeding known as self-counterfeeding, in which the same target segment is affected by multiple processes involved in the counterfeeding relationship; this is easily accounted for through the ordering of rules in a derivational analysis, as illustrated in

(93).

(93) Counterfeeding in DP

Raising (1):

V  V / __CV [+low] [-low] [+high] [-ATR] [-ATR]

Tensing:

V  V / __CV [-high] [-high] [+high] [-ATR] [+ATR]

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Raising (2)

V  V / __CV [-high] [+high] [+high] [+ATR] [+ATR]

Underlying Representation /nari/ /nɛri/ /neri/ Raising (2) ------niri Tensing --- neri --- Raising (1) nɛri ------Surface Representation [nɛri] [neri] [niri]

Licensing is not sufficient to address this situation in Traditional OT. Using only Walker’s Licensing constraint (split or intact) in conjunction with traditional faithfulness constraints – constraints which are capable of successfully treating instances of “total” metaphony – results in overselection of the transparent candidate. Tableau 46 illustrates the interaction of these constraint pairs in a traditional OT analysis that would generate hypermetaphony of all input vowels, and the relevant Identity constraints, those corresponding to the vowel qualities licensed by (68), are outlined in (73), (74), and (75).

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LICENSE Ident- LICENSE Ident- LICENSE nari Ident-Vhigh (-low)/  Vlow (ATR)/  VATR (high)/  nari *! * * nɛri * *! * neri * * *!  niri * * * nɛri nɛri *! * neri * *!  niri * * neri neri *!  niri * Tableau 46 Markedness and Faithfulness tiers in Traditional OT

In order to ensure that [niri] can be selected as the optimal output of /neri/, Ident- Vhigh has to be the lowest-ranked identity constraint; failure to rank it in such a manner would mean that [niri] would be ruled out immediately for any input, including /neri/.

The licensing actions pertaining to each specific vowel quality, however cannot be successfully ranked in such a way that the stepwise raising evident in this dialect would be preserved for every input. Ranking Ident-VATR in an undominated position selects the correct optimal candidate for both /nari/ and /neri/, but undesirably predicts non- metaphonized [nɛri] as the optimal candidate for the input /nɛri/.

135 nari Ident-VATR LICENSE LICENSE LICENSE Ident-Vlow Ident-Vhigh (ATR)/  (high)/  (-low)/  nari * * *!  nɛri * * * neri *! * * niri *! * * nɛri  nɛri *! * neri *! * niri *! * neri neri *!  niri * Tableau 47 Correct outcome for /neri/, /nari/ at the expense of /nɛri/

As Tableau 47 makes apparent, License(ATR) must dominate Ident-VATR in order for /neri/ to be selected as the input for /nɛri/. Additionally, dent-Vhigh must dominate License(high) in order to prevent /niri/ from being selected. However, this ranking would preclude both [nɛri] from surfacing as the optimal candidate for the input /nari/ and [niri] from surfacing as the output for /neri/. This is shown in Tableau 48.

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LICENSE LICENSE LICENSE nari Ident-V Ident-V Ident-V (ATR)/  ATR high (high)/  (-low)/  low nari *! * *! nɛri *! * *  neri * * * niri * *! * nɛri nɛri *! *  neri * * niri * *! neri  neri * niri *! Tableau 48 Correct Optimal Candidate for /nɛri/ at the expense of /nari/, /neri/

Since the traditional Markedness and Faithfulness constraints outlined above are incapable of creating a grammar that will successfully produce the desired output for each input, the LUM sequences will be instrumental in obtaining the correct optimal candidate for each input. This means the analysis will require the addition of one or more Precedence constraints – or Split-Prec constraints – is necessary to complete this analysis. In order to determine the nature of the Precedence constraint(s) necessary, the valid candidate chains used in the analysis must first be created and examined. To form these candidate chains, the standards of well-formedness established by McCarthy (cf. Section 3.1.3) must be observed. The chains used in the OT-CC analysis, all of which conform to the requirements for well-formed chains, are listed below along with their LUM sequences.

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(94) Valid Chains for Scalar Metaphony a. /nari/  /nɛri/ (FFC) ( dent-Vlow) ( dent-Vlow, Ident-VATR) ( dent-Vlow, Ident-VATR, Ident-Vhigh)

b. /nɛri/  /neri/ (FFC) ( dent-VATR) ( dent-VATR, Ident-Vhigh)

c. /neri/  /niri/ (FFC) (Ident-Vhigh)

Comparing the desirable chain to the undesirable , it is apparent that the relationship between Ident-VATR and Ident-Vhigh is instrumental in determining the degree of metaphonic raising. At first glance, one might remark that a constraint must exist which ensures that a violation of Ident-VATR not be followed by a violation of Ident-Vhigh. Similarly, one could examine the desirable versus undesirable and seek a constraint that ensures that a violation of dent-

VATR must not be preceded by a violation of Ident-Vlow. However, the only way to achieve this desired outcome with McCarthy’s version of Precedence is to formulate essentially the reverse precedence constraint, one which requires that Ident-VATR precede – and not follow – a violation of Ident-Vlow. Formulating these constraints along the lines of McCarthy (2007) yields the following:

(95) Prec (Ident-Vhigh, Ident VATR) A violation of Ident-VATR is only permissible if it is preceded and not followed by a violation of Ident- Vhigh

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(96) Prec (Ident-VATR, Ident Vlow) A violation of Ident-Vlow is only permissible if it is preceded and not followed by a violation of Ident- VATR

However, there are several issues with using a simple precedence constraint to deal with this issue. The first and most obvious problem is that, in order to be fully satisfied, this constraint demands a sequence that is actually undesirable and counterfactual to the changes seen in scalar metaphony: a violation of Ident-VATR should actually never be preceded by a violation of Ident-Vhigh. This would be akin to demanding lowering of the tonic vowel under the influence of a [+high] post-tonic vowel. Additionally, this constraint as written produces a rankings paradox: ranking Lic-hi above precedence would generate the correct outcome for /neri/ but would preclude both [neri] from being selected as the correct output for /nɛri/ and [nɛri] from being selected as the optimal output for /nari/; Lic-hi must be a low-ranked constraint or the grammar will result in hypermetaphony. This is shown in Tableau 49.

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LIC LIC LIC Id- Vhigh Id-VATR  Id- /neri/ Id-Vlo Id-Vhi (-lo) (ATR) (hi) Id- VATR Id-Vlo VATR  niri * * Id-Vhi neri * ! (FFC) /nɛri/  niri

Id-VATR, ** * * *

Id-Vhi neri * ! * * * Id-VATR nɛri * ! * (FFC) /nari/  niri Id-V , lo * ** ** * * Id-VATR,

Id-Vhi neri

Id-Vlo, * *! * ** *

Id-VATR, nɛri * ! * * Ident-Vlo nari * ! * (FFC) Tableau 49 Hypermetaphony resulting from Lic-hi >> Precedence

Once these constraints are reversed, however, [niri] cannot be selected as the optimal output for /neri/, as its only violation is Ident-Vhigh. Additionally, this constraint is still incapable of preventing excessive raising in /nari/. This undesirable outcome is shown in Tableau 50.

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LIC LIC Id- Vhigh  Id-VATR  Id- Id- Id- LIC /neri/ Id-Vlo (-lo) (ATR) Id- VATR Vlo VATR Vhi (hi) niri * ! Id-Vhi  neri * (FFC) /nɛri/ niri Id- **! * * *

VATR, Id-Vhi  neri * * * * Id-VATR nɛri * ! * (FFC) /nari/ niri Id-V , lo * ** **! * * Id-

VATR, Id-Vhi  neri Id-V , lo * * ** * * Id-

VATR, nɛri Ident- * ! * *

Vlo nari * ! * (FFC) Tableau 50 Infelicitous outcome with Precedence alone

As these tableaux demonstrate, the traditional interpretation of Precedence is not sufficient to deal with the scalar raising exhibited by the dialects in question. The desired optimal output for /neri/, [niri], is not selected because its violation of Ident-hi is not preceded by a violation of Ident-ATR. Let us return once more to the LUM sequences outlined in (94), specifically the desirable chain . At this juncture it seems prudent to explore the opposite

141 of the constraints explored above: can the reverse of these constraints penalize our intended suboptimal candidates and produce viable grammars for the dialects in question? Reversing the elements in (95) and (96) generates the following Precedence constraints:

(97) Prec (Ident-VATR, Ident Vhigh) A violation of Ident Vhigh is only permissible if it is preceded by a violation of Ident-VATR

(98) Prec (Ident-Vlow, Ident VATR) A violation of Ident VATR is only permissible if it is preceded by a violation of Ident-Vlow

Once again, the primary functions of these constraints produce a result that is the opposite of the desired outcome. In this case, the precedence constraint in question is detrimental in that it will consistently prefer a higher degree of metaphony over the one- degree raising that is desired in these dialects. The resulting grammars are depicted in

Tableau 51 and Tableau 52.

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Id- V LIC LIC LIC ATR /neri/ Id-V  Id- Id-V Id-V (-lo) (ATR) lo (hi) ATR hi Vhigh  niri * * Id-Vhi neri * ! (FFC) /nɛri/  niri

Id-VATR, * *

Id-Vhi neri * ! * Id-VATR nɛri * ! * (FFC) /nari/  niri Id-V , lo * * * Id-VATR,

Id-Vhi neri

Id-Vlo, * *! *

Id-VATR, nɛri * ! * * Ident-Vlo nari * ! * (FFC) Tableau 51 Hypermetaphony with the reversed Precedence constraint

Interestingly enough, both incarnations of the Precedence constraint (as seen in

Tableau 49 as compared to Tableau 51) generate identical results for this ranking, albeit with different violations. Neither succeeds in producing stepwise raising of all input vowels.

143

/neri/ Id- V LIC LIC ATR LIC Id-V  Id- Id-V Id-V (-lo) (ATR) lo ATR hi (hi) Vhigh niri * ! * Id-Vhi  neri (FFC) *

/nɛri/ niri

Id-VATR, * * !

Id-Vhi  neri * * Id-VATR nɛri * ! * (FFC) /nari/ niri Id-V , lo * * *! Id-VATR,

Id-Vhi  neri

Id-Vlo, * * *

Id-VATR, nɛri * ! * * Ident-Vlo nari * ! * (FFC) Tableau 52 Infelicitous outcome with reversed precedence constraint

Once again, the reversed Precedence constraint generates the same undesirable optimal candidates (comparing Tableau 50 to Tableau 52) again with different violations. At this point, it must be concluded that traditional Precedence is incapable of dealing with variation such as this. Scalar metaphony cannot be analyzed without a constraint that penalizes solely the undesirable sequences, namely that a violation of Ident-Vhigh cannot follow a violation of Ident-VATR and a violation of Ident-VATR cannot follow a violation of Ident-Vlow. In light of this evidence, splitting the precedence constraints as outlined by

144

Wolf (2011; cf. Section 6.2) is the only action capable of ensuring that these constraints will have the desired effect. Looking first at the undesirable , it is obvious that any chain containing the LUM sequence

(99) *Ident-VATR-then-Ident Vhigh (*Id-VATR  Id-Vhi) Penalize any LUM sequence in which a violation of Ident-VATR is followed by a violation of Ident Vhigh

(100) Ident-Vhigh  Ident VATR (Id-Vhi Id-VATR) Penalize any LUM sequence in which a violation of Ident VATR is not preceded by a violation of Ident-Vhigh

Returning to the second undesirable chain of , it is apparent that – for dialects that exhibit partial metaphony of all input vowels – there is a second LUM sequence that must be prevented: a violation of Ident-Vlow followed by a violation of

Ident-VATR. As was the case with the first undesirable LUM sequence, this sequence can only be prevented using Wolf’s concept of Split Precedence. The constraints used here are as follows:

(101) *Ident-Vlow-then-Ident VATR (*Id-Vlo  Id-VATR) Penalize any LUM sequence in which a violation of Ident-Vlow is followed by a violation of Ident VATR

(102) Ident-VATR  Ident Vlow (Id-VATR Id-Vlo) Penalize any LUM sequence in which a violation of Ident Vlow is not preceded by a violation of Ident-VATR

While both halves of each Precedence constraint will, like all constraints, be included in the grammar of these dialects, the constraints outlined in (99) and (101) will be key to 145 generating this type of metaphony. Interestingly enough, it will become apparent as we progress through the analyses contained in this dissertation that each half of McCarthy’s original Precedence constraint serves a very different function. The two halves are suited to entirely different types of phonological phenomena and – at least with regard to Romance metaphony – never interact or even both play a role in the same analysis. While some paradigms may require multiple Split-Precedence constraints, none require both halves of the same constraint in order to be successful. This highlights the need for the researcher to be able to account for any possible LUM sequence that may prove instrumental in obtaining the desired optimal candidate. In addition to splitting the Precedent constraint, the scalar nature of raising in these dialects also requires separating the Licensing constraint outlined in (69)-(71). Because a ranking in which the Licensing of [-low], [high], and [ATR] occur in their intact version in an undominated position would incorrectly exclude [neri] as an optimal output of /nɛri/, these constraints must be independently ranked in order to generate the correct result of both /nɛri/ and /nari/. The grammar for dialects exhibiting scalar metaphony of all input vowels is shown in Tableau 53, below.

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/neri/ *Id-V - *Id-V - LIC lo LIC Id- ATR LIC Id- Id-Vlo Id- Ident (-lo) (ATR) VATR (hi) Vhi VATR Vhi  niri * Id-Vhi neri (FFC) *!

/nɛri/ niri

Id-VATR, * *! *

Id-Vhi  neri * * Id-VATR nɛri *! (FFC) /nari/ niri Id-V , lo * *! * * * * Id-VATR,

Id-Vhi neri

Id-Vlo, * *! * *

Id-VATR,  nɛri * * * Ident-Vlo nari * ! * (FFC) Tableau 53 Scalar Metaphony of All Vowels

In these dialects, each Licensing constraint must dominate its respective faithfulness constraint; this creates three tiers of paired Licensing and Ident constraints. These constraint pairs must then be crucially ranked with regard to one another in order to reflect the fact that these vowel qualities are hierarchical: failure to license [-low] is a more serious violation than failure to license [+ ATR]; failure to license [+ATR] is a more serious violation than failure to license [+high]. This ranking prevents vowels that are not [-low, +ATR, +high] from being immediately eliminated in instances of

147 incomplete metaphony [e.g., inputs of /a/ or /ɛ/ which surface as [ɛ] or [e], respectively]. The halves of the Split-Prec constraints outlined in (99) and (101) then ensure that only outputs demonstrating one degree of metaphonic raising are selected as optimal. In dialects exhibiting scalar metaphony of only mid vowels, however, [+low] vowels need to be preserved in the output, as these vowels are not subject to metaphonic raising in these dialects. The rankings for the second and third tiers, those pertaining to

[ATR] and [high], respectively, will remain the same, but the Licensing and Ident constraints affecting low vowels need to be re-ranked. Thus, in these dialects, Ident-Vlow dominates LICENSE (-low)/ σ, which effectively preserves tonic /a/ in the optimal candidate. This gives these dialects the grammar shown in Tableau 54.

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*Id-V - Id- LIC lo LIC Id- *Id-V - LIC Id- /neri/ Id- ATR Vlo (-lo) (ATR) VATR Id-Vhi (hi) Vhi VATR  niri * Id-Vhi neri *! (FFC) /nɛri/ niri

Id-VATR, * *! *

Id-Vhi  neri * * Ident-VATR nɛri *! (FFC) /nari/ niri Id-V , lo *! * * * * * Id-VATR,

Id-Vhi neri

Id-Vlo, *! * * *

Id-VATR, nɛri * ! * * Id-Vlo  nari * * (FFC) Tableau 54 Scalar Metaphony of Mid Vowels

By using the three-tiered approach illustrated in Tableau 53 and Tableau 54, OT- CC can effectively address the self-counterfeeding seen both in dialects exhibiting metaphony of all input vowels and in those which only exhibit metaphony of mid vowels. The use of a combination of Licensing and Split-Precedence constraints successfully generates the optimal candidate regardless of its specification for [high] or [ATR] by ensuring that metaphony can only progress one degree of height at a time: Licensing triggers raising and the Split-Precedence constraints penalize excessive raising.

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6.2.3 Discussion

The scalar raising found in dialects such as Southern Umbro illustrate the failure of gradient (intact) Precedence to account for vertical gradience. While intact Precedence can deal with many types of opacity, its inability to enforce only the second half of its intended actions – namely that a certain segment not follow another segment – renders it powerless when a successful analysis depends upon limiting the extent to which raising affects a given input. In the paradigms discussed in this section, only the second half of

Wolf’s Split-Precedence constraint came into play. For other paradigms, however, it is necessary to have multiple crucially ordered LUM sequences necessitating different Split-Precedence constraints; these scenarios are explored in Section 6.3.

6.3 COMBINING SPLIT-PRECEDENCE

This section explores three paradigms which, in contrast to the dialects explored in the previous sections, require both halves of Split-Precedence – either from the same or different Precedence constraints – in order to be successfully analyzed. The first variety demonstrates multiple opacity that combines the two paradigms explored above, scalar metaphony and metaphony with concurrent final vowel neutralization. The second two dialects involve diphthongizing metaphony, which is found both with and without concurrent neutralization of the final vowel. These dialects provide strong evidence for the superiority of Split- over intact Precedence, especially when viewed in conjunction with the analyses presented in Section 6.2.

6.3.1 Multiple opacity: synchronic chain shifts with final neutralization

While both scalar metaphony and metaphony occurring with final vowel neutralization prove difficult to analyze when they occur separately, the two are also

150 potentially capable of occurring within the same dialect. Just as parallel OT fails to successfully generate the desired optimal candidate for each phenomenon in isolation, it is incapable of addressing these two elements in conjunction with one another. Since the desired optimal candidate does not contain a [+high] trigger vowel, a parallel analysis cannot generate a candidate that satisfies licensing, as licensing depends upon a [+high] post-tonic vowel in order to apply. Thus, we see the same failing for scalar metaphony in conjunction with final vowel neutralization as we do for full metaphony with concurrent neutralization of the post-tonic vowel. The failed analysis for the desired pairing /nari/ 

/nɛrə/ is shown in Tableau 55.

Final LICENSE LICENSE LICENSE nari Ident-V Ident-v Neutral (-low)/  (ATR)/  (high)/  nari *! * * *  narə * nɛri *! * * * * nɛrə *! * neri *! * * nerə *! * niri *! * nirə *! * Tableau 55 Failed analysis of /nari/  [nɛrə]24

Due to the undominated position of FinalNeutral, all candidates that have retained their original height condition are ruled out immediately. This is, however, the extent of the success of parallel OT. Because traditional OT provides no derivational insight, none

24 This discussion only pertains to the most relevant shortcomings of parallel OT for addressing this type of variation; the failings of Tableau 55 actually extend far beyond those discussed in this paragraph. Any grammar attempting to address both scalar metaphony and neutralization will contain the same issues as those in 6.2.2, as well, in that the grammar is incapable of selecting the desired optimal candidate for every input (i.e./ nari/ vs. /nɛri/ vs/ neri/ vs. /niri/) without employing different rankings for each input. 151 of the remaining candidates are capable of violating the Licensing constraints. Regardless of whether the Licensing constraints are presented intact or split, no candidate will be selected as optimal that exhibits any degree of metaphonic raising. The optimal candidate of this analysis, by default, is the suboptimal form /narə/, which incurs only a single violation of Ident-v for the neutralization of the final vowel. The candidates demonstrating any degree of metaphonic raising are all eliminated for violating Ident-V.

Even switching the rankings of Ident-v and Ident-V in such a way that a violation of Ident-v were actually more serious than a violation of Ident-V – which seems quite unlikely considering the undominated position of FinalNeutral – /narə/ would still be selected as optimal since it violates only a subset of the constraints violated by each of the metaphonized candidates. Like the cases explored in Sections 6.1.1 and 6.2.2, this difficulty is resolved by the implementation of OT-CC’s simultaneous parallel and serial analyses. The highly ranked Licensing constraints motivate metaphony despite the lack of a [+high] trigger vowel in the Terminal Link. FinalNeutral rules out non-metaphonized forms, and the Split-Precedence constraints ensure that metaphony is scalar instead of total, and that it precedes the loss of the [+high] trigger vowel. The end result, shown in Tableau 56, is an analysis that would have been impossible in a parallel framework of OT.

152

Prec(Id- LIC Final *Id-Vlo- LIC Id- *Id-VATR- Id- /nari/ Vhi, Id- (height) Neutral Id-VATR (ATR) VATR Id-Vhi vhi vhi) nirə Ident-Vlow, Ident-VATR, *! * * * Ident-Vhigh, Ident-vhigh niri Ident-Vlow, *! * * * Ident-VATR, Ident-Vhigh neri Ident-Vlow, *! * * * Ident-VATR nerə Ident-Vlow, *! * Ident-VATR, Ident-vhigh nɛri *! * * Ident-Vlow  nɛrə Ident-Vlow, * Ident-vhigh narə * *! Ident-vhigh nari ***! * (FFC) Tableau 56 Successful analysis /nari/  [nɛri]

This variety of metaphony demonstrates the efficacy of OT-CC in addressing not only single instances of opacity, but also multiple opacity. The combination of Split- Precedence and Precedence constraints is effective at producing both scalar metaphony and concurrent neutralization of the final vowel without sacrificing harmonic improvement or well-formedness within the candidate chains. This variety supports the necessity of Split-Precedence in dealing with instances of multiple opacity.

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6.3.2 Diphthongizing metaphony

In contrast to the incomplete metaphony explored above in Section 6.2.2, which manifests as a one-degree raising of the height condition of the tonic vowel, the second type of incomplete metaphony that must be addressed is metaphony that achieves height assimilation not only through a change in the height specification of the tonic vowel, but also through the formation of a [+high] glide as the tonic segment diphthongizes due to metaphony. This type of metaphony is fairly common in Italo-romance and is often referred to as Arpinate metaphony, named for the characteristic raising pattern found in the dialect of Arpino. The analyses in this section build on those types examined in Sections 6.1.1 and 6.2.2 above. Since there exists no evidence of a dialect which exhibits both hypermetaphony and diphthongization, diphthongizing metaphony is an inherently incomplete form of metaphony. Additionally, there exist dialects which demonstrate not only diphthongization, but concurrent final vowel neutralization, as well. These dialects prove to be quite challenging for OT-CC, and test the limits of this framework in its current incarnation in that they require a number of Split-Precedence constraints to succeed. This section explores two relevant dialects, Calvello and Arpino, which demonstrate scalar diphthongizing metaphony both with and without co-occurring neutralization of the height condition of the post-tonic vowel.

6.3.2.1 Scalar diphthongizing metaphony without final vowel neutralization

The dialect of Calvello exhibits the most common type of diphthongizing metaphony found in Romance; in dialects exhibiting this type of scalar metaphony, tense

154 mid vowels surface as high and lax mid vowels surface as a [+ATR} diphthong. This paradigm can be seen in (103), below.

(103) Dialect of Calvello Giosco (1985) in Calabrese (2008)

Tense mid vowels raise: sulu suli ‘alone’ m. sg., m. pl. sola sulu f. sg., f. pl.

niru niri ‘black’ m. sg., m. pl. nera nere f. sg., f. pl.

Lax mid vowels diphthongize vrwossu vrwossi ‘big’ m. sg., m. pl. vrɔssa vrɔsse f. sg., f. pl.

vjekkju vjekkji ‘old’ m. sg., m. pl. vɛkkja vɛkkje f. sg., f. pl.

This pattern was difficult to address in Traditional OT, as the raising and diphthongizing processes interact in such a way as to create overapplication of the raising rules in Traditional OT. The serial capacity of OT-CC, however, allows for the convoluted pathways followed by these segments to be elucidated and explored through the LUM sequences. Breaking it down into the relevant Licensing actions, we see that all output forms must contain a [+high] segment in the stressed nucleus. Not all segments, however, surface as a simple [+high] vowel. Since no tonic vowel can surface as [-ATR], the Licensing action pertaining to [ATR] must appear in the undominated position, crucially ranked above the licensing actions for [-low] and [+high]; since the low vowel /a/ is not subject to metaphonic raising, Licensing of [-low] does not need to appear in one of the crucial rankings, and Ident-V[low] is assumed to dominate all other ranked constraints.

155

The next constraint that must be identified is one that will ensure that lax mid vowels diphthongize in order to fully satisfy the licensing of the post-tonic [+high] vowel. Since diphthongization is essentially the epenthesis of a vocalic segment in order to achieve height harmony, the faithfulness constraint involved in this analysis is Integrity, which is paraphrased below.

(104) Integrity No segment of S1 has multiple correspondents in S2 “No fission”

By ranking LIC(hi) above Integrity, we ensure that the tense mid vowel will surface as a simple high vowel, not a diphthong comprised of a tense mid vowel or high vowel in conjunction with a [+high] onset. This ranking alone is sufficient to produce the correct outcome for tense mid inputs, but it fails to produce the proper optimal candidate for the lax mid vowels. This is shown in Tableau 57, below.

soli LIC(ATR) LIC(hi) Integrity Id-VATR Id-Vhi soli *! swoli *!  suli * swuli *! vɛkkji vɛkkji *! * vjɛkkji *! vekkji *! * vjekkji *! * vjikkji *!  vikkji * * Tableau 57 Failure to generate the proper outcome for /ɛ/  [je]

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Because Licensing alone has failed to generate the desired optimal candidate, we must turn once again to the LUM sequences in order to generate the proper optimal candidate via the use of one or more precedence constraints.

(105) LUM Sequences for Calvello a. /soli/  [suli]

b. / vɛkkji/  [vjekkji] < vɛkkji, vekkji, vjekkji, vjikkji>

Since the desired optimal candidate for (105)a, above, is generated without the introduction of a precedence constraint, we must only be concerned with the LUM sequences in (105)b. The first sequence which needs to be prevented is the one found in the chain , which is undesirably selected as optimal in our analysis above. In order to prevent [vikkji] from surfacing as optimal, a (split- )precedence constraint is needed which could prevent a violation of Ident-ATR which is subsequently followed by a violation of Ident-hi; the relevant constraint is outlined in

(106).

(106) *Ident-ATR-then-Ident-hi A violation of Ident-hi must not follow a violation of Ident-ATR

157 soli *Ident-ATR- LIC(ATR) LIC(hi) Integrity Id-V Id-V then-Ident-hi ATR hi soli *! swoli *!  suli * swuli *! vɛkkji vɛkkji *! *  vjɛkkji * vekkji *! * vjekkji * *! vjikkji *! * vikkji *! Tableau 58 Addition of a single precedence constraint

While this constraint alone effectively rules out the fully metaphonized candidates and ensures partial instead of total metaphony, it is incapable of preventing the diphthong in [vjɛkkji] from being selected as optimal over the one in [vjekkji], as both nuclei possess a high onset glide which satisfies the licensing constraint. Faced with this issue, we must again consult the LUM sequences in (105), reproduced below as (107).

(107) LUM Sequences for Calvello

a. /soli/  [suli]

b. / vɛkkji/  /vjekkji/ 158

< vɛkkji, vekkji, vjekkji, vjikkji>

Since [-ATR] and [+ATR] tonic vowels are affected quite differently by metaphony, a second precedence constraint is needed to generate the correct optimal candidate for both [-ATR] and [+ATR] tonic vowels. Without a constraint that enforces diphthongization, the desired pairing of /vɛkkji/  [vjekkji] cannot be selected as optimal. Looking at the desired chain, , it is clear that a violation of Ident-ATR must precede a violation of Integrity. If the [+high] glide were to appear before the raising of the tonic vowel, there would be no impetus to tense the underlying /ɛ/ to /e/, as the insertion of the [+high, +ATR] segment would already have fully satisfied the licensing constraint and thus rendered any move from /vjɛkkji/ to /vjekkji/ arguably not harmonically improving25. Following the logic that raising must precede diphthongization in order for the chain to be harmonically improving via the increasing satisfaction of the relevant licensing constraints, the second precedence constraint needed in this analysis must demand a violation of Ident-ATR before any violation of Integrity. I paraphrase this constraint in (108).

25 The question of harmonic improvement in an instance such as this or the similar step from /vjekkji/ to /vjikkji/ is one which must be addressed. The Licensing constraint as written makes no stipulation that the entire nucleus should be [+high] in order to satisfy the licensing constraint. Thus, it is my opinion that steps such as the ones described above would not necessarily constitute harmonic improvement, and thus are questionably permissible chains. However, it is my desire that the resulting analysis prove effective even if these steps were to be deemed harmonically improving. I progress from this point with the assumption that a [+high] glide followed by a [+high] vowel could be considered harmonically improving over a [+high] glide followed by a [-high] vowel, and create a grammar which is unquestionably capable of preventing this undesirable outcome from being selected as optimal.

159

(108) IDENT-ATR  Integrity A violation of Integrity must be preceded by a violation of Ident-ATR

This precedence constraint is capable of preventing /vjɛkkji/ from surfacing as the optimal candidate, as its LUM sequence contains a violation of Integrity without a preceding violation of Ident-ATR. These constraints in conjunction with the split Licensing constraints produce the correct grammar for Calvello, which is shown in Tableau 59.

LIC *Ident-ATR- IDENT-ATR Id- soli LIC(hi) Integ. Id-Vhi (ATR) then-Ident-hi  DEP-V VATR soli *! swoli *! *  suli * swuli *! * vɛkkji vɛkkji *! * vjɛkkji * *! vekkji *! *  vjekkji * * vjikkji *! * vikkji *! Tableau 59 Diphthongizing metaphony in Calvello

By separating the Licensing actions for [ATR] and [high], as was necessary with non-diphthongizing scalar metaphony, we protect the desirable [+ATR, - high] output for a [-ATR, -high] input yet still generate the [+high] output demanded by a [+ATR, - high] input. The dual precedence constraints then ensure that stepwise raising occurs in conjunction with glide formation when the input is [-ATR], while the ranking of Integrity

160

>> Ident-ATR  Integrity ensures that only lax mid vowels are subject to diphthongization before raising.

6.3.2.2 Scalar diphthongizing metaphony with final vowel neutralization

An even more problematic incarnation of scalar diphthongizing metaphony is found in the dialect of Arpino, which demonstrates both an incomplete form of metaphony and the concurrent neutralization of the final vowel. This particular metaphonic paradigm creates multiple sources of opacity: the first, which is shared with dialects like Teramano which exhibit final vowel neutralization, is that the loss of the [+high] post-tonic vowel has removed any surface trace of the original trigger vowel; the second, which is shared with dialects exhibiting scalar metaphony, is that each valid target vowel will only raise one degree of height or tenseness. In addition to these sources of opacity, which are common to almost all types of metaphony, this variety of metaphony adds the same difficulty seen above with the diphthongizing metaphony that lacks final vowel neutralization: ensuring that lax mid vowels raise and diphthongize while tense mid vowels merely raise. The data below in (109) illustrates the patterns found in Arpino.

(109) Dialect of Arpino (Maiden 1991: 165) sulə sulə ‘alone’ m. sg., m. pl. sola solə f. sg., f. pl.

nirə nirə ‘black’ m. sg., m. pl. nera nerə f. sg., f. pl.

bwonə bwonə ‘good’ m. sg., m. pl. bɔna bɔnə f. sg., f. pl.

161

vjekkjə vjekkjə ‘old’ m. sg., m. pl. vɛkkja vɛkkjə f. sg., f. pl.

Multiple opacity such as this is quite difficult to address in Traditional OT, since its strictly parallel analytical framework does not allow access to the many intermediate and crucially ordered forms which are necessary to arrive at the final surface representation in a derivational analysis; the complexity of this paradigm is shown in Example (110), below.

(110) Derivational Analysis /neri/  [nirə], /vɛkkji/  [vjekkjə]

Raising V  V /___V [-high, +ATR] [+high] [+high]

Diphthongization ɛ  je /___V [+high] ɔ  wo /___V [+high]

Neutralization V  ə /__]#

Underlying Representation /neri/ /vɛkkji/ Raising niri ---- Diphthongization ---- vjekkji Final Neutralization nirə vjekkjə Surface Representation [nirə] [vjekkjə]

Since the effects of metaphony on the tonic vowel are identical in Arpino and

Calvello, I take the grammar for Calvello as a starting point. In Tableau 60, I reproduce the grammar for Calvello, which illustrates the dramatic differences a single confounding process creates between Arpino and Calvello. I add to this grammar only two constraints,

162 both of which were used in the analysis of metaphony in conjunction with final vowel neutralization in Section 6.1.1; I condense other constraints when possible since the lack of the final [+high] trigger renders certain distinctions irrelevant in this dialect.

Final LIC *Ident-ATR-then- soli Integ. Id-V Id-V Id-v Neutral (height) Ident-hi ATR hi hi soli *! * swoli *! * suli *! * swuli *! * *  solə * swolə *! * sulə *! * swulə *! * * vɛkkji vɛkkji *! ** vjɛkkji *! * vekkji * * * vjekkji *! * * vjikkji *! * * * * vikkji *! * * *  vɛkkjə * vjɛkkjə *! * vekkjə *! * vjekkjə *! * * vjikkjə *! * * * * vikkjə *! * * * Tableau 60 Grammar from Calvello with FinalNeutral

Without the high post-tonic trigger vowel in the TL, it is obvious that the grammar for Calvello is completely incapable of generating any desired optimal candidate for Arpino.

163

Without the surface [+high] vowel, licensing fails to trigger raising in either the tense or lax mid vowels. Thus the completely transparent candidate – the one exhibiting neither raising nor diphthongization, but only neutralization of the height condition of the post- tonic vowel – is selected as optimal. Like the analysis in 6.3.2.1, the successful analysis of the metaphony found in Arpino depends upon a constraint which can ensure that Licensing is satisfied in the

LUM sequence prior to the loss of the post-tonic [+high] trigger vowel. This is achieved via the use of a Precedence constraint, which is outlined in (111).

(111) Ident-V  Ident-v Assign a violation for any violation of Ident-v that is not preceded by a violation of Ident-V.

If the metaphonic paradigm present in Arpino contained only tensing and raising without concurrent diphthongization, this would be sufficient to generate the desired optimal candidate. However, without the addition of a second Precedence constraint to force both raising and diphthongization, the resulting analysis fails. This outcome is shown in Tableau 61.

164

Final LIC *Ident-ATR- Id-V IDENT-ATR Integ Id-V soli Neutral (height) then-Ident-hi  Id-v  Integrity soli *! * swoli *! * * suli *! * swuli *! * * solə *! * swolə *! *  sulə * swulə *! * vɛkkji vɛkkji *! ** vjɛkkji *! * * vekkji *! * * vjekkji *! * * vjikkji *! * * vikkji *! * vɛkkjə *! vjɛkkjə *! * *  vekkjə * vjekkjə *! * vjikkjə *! * * vikkjə *! * Tableau 61 Failure of a single precedence constraint

The addition of a second Precedence constraint which is capable of ensuring that diphthongization also precedes final vowel neutralization resolves this issue. This constraint is paraphrased in (112).

165

(112) Integrity  Ident-v Assign a violation for any violation of Ident-v that is not preceded by a violation of Integrity.

With these constraints in place, FinalNeutral rule out the candidates that fail to demonstrate the neutralization of the post-tonic vowel, while the additional precedence constraints in conjunction with the grammar from Calvello account for the scalar raising that includes both diphthongization and raising in the proper circumstances. The resulting grammar for Arpino is illustrated in Tableau 62.

166

Final LIC *Ident- Id-V IDENT- Integrity Integ Id- soli Neutral (height) ATR-then-  Id-v ATR  Ident-v V Ident-hi Integrity soli *! * swoli *! * * suli *! * swuli *! * * solə *! * * swolə *! *  sulə * * swulə *! * vɛkkji vɛkkji *! ** vjɛkkji *! * * vekkji *! * * vjekkji *! * * vjikkji *! * * vikkji *! * vɛkkjə *! * vjɛkkjə *! * * vekkjə *! *  vjekkjə * * vjikkjə *! * * vikkjə *! * * Tableau 62 Grammar for Arpino

6.3.3 Discussion

This section explored two metaphonic paradigms that illustrated the usefulness and necessity of Split-Precedence in addressing opacity resulting from the interaction of raising, tensing, diphthongization, and final vowel neutralization in Calvello and Arpino. This opacity cannot be addressed using Precedence alone, as the primary action of

167

Precedence – that a certain action must precede another action – would prove detrimental for cases that must ensure that a given LUM must not follow (but also should not precede) another LUM. In the case of Arpino, for example, the intact Precedence constraint Prec(Ident-hi, Ident-ATR) would end up ruling out the desirable /vɛkkji/  [vjekkji] since the violation of Ident-ATR was not preceded by a violation of Ident-hi. This undesirable outline, which underscores the need for Split-Precedence, is illustrated in Tableau 63, which shows the ramifications of intact Precedence for this variety of Italian.

168

Final LIC Prec(Ident- Id-V IDENT- Integrity Integ Id- soli Neutral (height) hi, Ident-  Id-v ATR  Ident-v V ATR) Integrity soli *! * swoli *! * * suli *! * swuli *! * * solə *! * * swolə *! *  sulə * * swulə *! * vɛkkji vɛkkji *! ** vjɛkkji *! * * vekkji *! * * * vjekkji *! * * * vjikkji *! * * vikkji *! *  vɛkkjə * * vjɛkkjə *! * * vekkjə *! * * vjekkjə *! * * vjikkjə *! * * vikkjə *! * * Tableau 63 Failure of Intact Precedence for Arpino

Splitting the actions of intact Precedence allows researchers to construct detailed

LUM sequences by using various formulations of each half of Split-Precedence without the unintended consequences that would result from the use of intact Precedence. This illustrates the usefulness of limiting the power of the Concatenation constraints in such a

169 way that they are not only categorical but also not overreaching; this is an ideal example of how gradience can prove problematic in OT.

6.4 NON-ADJACENT METAPHONY IN OT-CC: THE SEARCH FOR A SOLUTION

Perhaps one of the most difficult types of metaphony to address within any framework is the non-adjacent metaphony that appears in certain Spanish dialects, such as Lena Asturian, Lena Bable, and Central Venetan. In addition to typical metaphonic raising occurring in adjacent vowels, these dialects also exhibit metaphony in trisyllabic words with antepenultimate stress. Vowel harmony in these dialects consists of metaphonic raising of the antepenultimate vowel, which in some dialects occurs along with raising of the penultimate vowel. In contrast to the examples above, which are composed of a single opaque counterfeeding or counterbleeding relationship, the difficulty in addressing this type of metaphony within any framework stems from the fact that it constitutes a harmonic process that occurs in non-adjacent segments. Though vowel harmony has traditionally been thought to be a process affecting adjacent segments (Gafos 1999, Walker 2000, Ní Chiosáin & Padgett 2001, in Walker 2008), Walker (2004) devised her concept of Licensing in such a way that it allowed harmony to operate across an intervening vowel, as its mechanism of action was based on positional strength and not adjacency. Thus, the Licensing constraint outlined in (68) is still effective for this type of metaphony. However, despite the applicability of Licensing in non-adjacent varieties of metaphony, certain complex paradigms present a pattern of metaphony in conjunction with concurrent assimilation of intervening vowels. The fact that some, but not all, intervening vowels are also raised, and only in the presence of metaphony, creates outcomes that are impossible to account for even in OT-CC. One representative dialect, 170

Central Venetan, is explored in Chapter 7, along with the proposed Subsequence constraint that offers one potential solution to this difficult problem.

171

PART THREE: PROPOSAL

172

7 Subsequence

This chapter begins where Precedence and even Split-Precedence have failed to provide the necessary tools for resolving metaphony: the Non-Adjacent metaphony found in Central Venetan. As alluded to in Chapter 6, both precedence and split precedence fail when presented with the so-called “non-myopic” harmony found in Central Venetan.

This dialect presents a real challenge to OT-CC and its ability to treat non-adjacent harmony. In order to explore this issue, this chapter presents the metaphonic paradigm found in this dialect and discusses the relevant issues that make this so difficult to treat in OT-CC. After establishing the challenges at hand, three possible avenues for rectifying these issues in OT-CC are explored. These solutions include Rachel Walker’s (2010) notion of Fell Swoop Derivations, Kimper’s (2012) proposed *Skip(a)/*Skip(mid) constraints, and my own proposed constraint, Subsequence.

7.1 NON-ADJACENT METAPHONY IN CENTRAL VENETAN

Perhaps one of the most difficult types of metaphony to address within any framework is the non-adjacent metaphony that is characteristic of certain Spanish and Italian dialects, such as Lena Asturian, Lena Bable, and Central Venetan. In addition to typical metaphonic raising occurring in adjacent vowels, these dialects also exhibit metaphony in trisyllabic words with antepenultimate stress. Vowel harmony in these dialects consists of metaphonic raising of the antepenultimate vowel, which in some dialects occurs along with raising of the penultimate vowel.

173

In contrast to the examples in Chapter 6, which are composed of a single opaque counterfeeding or counterbleeding relationship, the difficulty in addressing this type of metaphony within any framework stems from the fact that it constitutes a harmonizing process that occurs in non-adjacent segments. Though vowel harmony has traditionally been thought to be a phenomenon affecting adjacent segments (Gafos 1999, Walker 2000, Ní Chiosáin & Padgett 2001, in Walker 2008), Walker (2004) devised her concept of Licensing in such a way that it allowed harmony to operate across an intervening vowel, as its mechanism of action was based on positional strength and not adjacency.

Thus, the Licensing constraint outlined in (68) is still applicable to this type of metaphony, yet currently fails to produce an accurate grammar for Central Venetan. Beyond the difficulties posed by the question of adjacency, Central Venetan displays a complicated system of blocking segments and concurrent harmony. I present the full paradigm in Section 7.1.1, below, before continuing to explore both the current and proposed strategies for addressing this type of metaphony.

7.1.1 Data

Central Venetan presents an especially complicated example of this variety. In this dialect, the following patterns are attested (Walker 2005, 2008):

(113) Metaphony in Central Venetan a. Post-tonic high vowel causes tonic /e, o/ to raise to [i, u]; /ɛ, ɔ/ do not raise kalséto kalsíti ‘sock,’ m. sg., m. pl. kantése kantísimo ‘sing,’ 1 pl./1 pl. impf. subj. móvo múvi ‘move,’ 1 sg./2 sg. kantór kantúri ‘choir singer,’ m.sg./m.pl.

b. Harmony is blocked by /a/ gáto gáti ‘cat,’ m.sg., m.pl. 174

la(v)órava la(v)óravi worked, was working,’ *la(v)úravi 1 sg./2 sg. impf. ind.

c. Under antepenultimate stress, intervening mid vowels may also raise órdeno úrdini ‘order,’ I sg., 2sg. sg *úrdeni

d. Penultimate mid vowels only raise when the stressed antepenultimate vowel has raised ángolo ángoli ‘angle,’ m. sg., m. pl. *ánguli áxeno áxeni ‘donkey,’ m. sg., m.pl. *áxin-i pɛ rsego pɛrsegi ‘peach,’ m. sg., m.pl. *pɛrsigi

The most problematic issue presented by Central Venetan (CV) is the apparent double metaphony seen in (113)c. If CV exhibited only scalar metaphony affecting tense mid vowels, albeit at a distance, the analysis in Section 6.2.2 would be sufficient to address it, as the Licensing constraint used in these analyses refers to the relative strong and weak positions of the segments involved, not structural adjacency. However, the fact that intervening non-low vowels also undergo raising – and intervening low vowels do not – suggests another level of metaphony (or vowel harmony) which must be accounted for. Perhaps one of the reasons for the difficulty in treating this type of opacity is the categorization of the process or processes instrumental in the raising of the stressed and unstressed vowel. If metaphony is defined as being the assimilation of the height condition of a post- tonic vowel by the tonic vowel, then the raising of the unstressed penult should not be considered metaphonic raising. Because of this, it seems inaccurate to describe this as double metaphony. However, since the raising of the tonic vowel is triggered by the final,

175 unstressed vowel, the pattern also seems incongruent with vowel harmony, which usually involves the spread of a feature from a strong position to a weaker one (Baković, 2000). In light of these issues, this analysis follows the description given by Hualde (1989), who proposes two processes that interact to create the pattern observed in dialects like Central Venetan: metaphony and a secondary process of vowel harmony. In order to reflect these dual harmonic processes, this analysis utilizes both the Licensing constraint driving opacity and an additional constraint that enforces vowel harmony when a [-low] vowel is intermediary to two [+high] vowels.

The constraint which I have selected to address this harmony is the No-Gap constraint (Levergood 1984; Archangeli and Pulleyblank 1994; Ito, Mester, and Padgett 1995; Ringen and Vago 1998; Sasa 2009), outlined in (32), which penalizes sharing of a single feature by non-adjacent segments.26

(114) No-Gap Gapped configurations are prohibited *V1 V2 V3

[F]

This constraint is well-suited to the metaphony and vowel harmony seen in Central Venetan because the prohibited structure – the linking of [+high] across a [+low] vowel – can occur only as the result of metaphony. Additionally, the fact that these intervening vowels will not raise unless the stressed vowel has also raised rules out most typical constraints proposed to address vowel harmony, such as SPREAD (Padget 1997,

26 This constraint is similar to the one employed by Walker (2010), Locality. Walker also suggests Proximity as an alternative to No-Gap and Locality. 176

2002) or ALIGN (Kirchner 1993). Because the vowels that undergo raising do not occur with uniformity in a single position or positions, the use of one of these constraint families would fail to account for the difference between (113)a, (113)c, and (113)d. Similarly, the SHARE constraint used by McCarthy (2009,) would not be appropriate for this type of metaphony, as the affected segments are not adjacent. In the case of Central Venetan, the use of SHARE could have the undesirable consequence of triggering raising in only the intervening vowel while the stressed vowel remains unaffected. No-Gap, however, does not pose the same issues. Unlike SHARE, this constraint is specifically intended to apply to non-adjacent segments. No-Gap also avoids the infelicitous raising that would occur regardless of metaphony when using a constraint like SPREAD or ALIGN. Upon first glance, No-Gap and License are capable of addressing this type of variation; the resulting grammar for Central Venetan is presented in Tableau 64.

177 lavoravi Id-[lo] No-Gap Lic[height] Id-v Id-V[-lo] Id-V Id-v  lavoravi * lavuravi * *! Ident-V lavurivi * ! * Ident-V, Ident-low ordeni ordeni *! (FFC) ordini *! * ordeni, ordini Ident-low urdeni *! * ordeni, urdeni Ident-V[-low] urdini * * *! ordeni, ordini, urdini Ident-v, Ident-V[-low]  urdini * * ordeni, urdeni, urdini Ident-V, ident-v angoli  angoli * (FFC) ingoli *! * Ident-low inguli *! * Ident-low, Ident-v Tableau 64 Metaphony and Vowel Harmony in Central Venetan

By using two constraint families, Licensing and No-Gap, to address the two-tiered nature of harmony in CV, this analysis is capable of accounting for the various harmonic and metaphonic patterns seen in (31). Since No-Gap can be violated only by candidates that have previously incurred a violation of Ident-V, unstressed intervening vowels are not penalized for lack of vowel harmony in instances where the stressed vowel was not affected by metaphony. By placing Ident-[low] in an undominated position, both stressed

178 and unstressed low vowels are protected; thus /a/ is affected neither by metaphony nor the concurrent harmonic process that raises unstressed penultimate mid vowels. However, there is one major issue with this proposed analysis, one which comes to light when one examines the chain formation in detail. Let us examine the possible chains for /ordeni/ ~ [urdini] and the grammars necessary to obtain them.

(115) Possible Pathways: /ordeni/  [urdini] a. b.

The chain in (115)a is not a licit chain because it is not harmonically improving: the LUM that takes us from /ordeni/ to /urdini/ creates a form which incurs the same number of markedness violations as its predecessor, yet incurs one extra faithfulness violation (which is to be expected with each Localized Unfaithful Mapping). Since License is formulated to reflect the association of a post-tonic [+high] vowel with the tonic vowel – not merely any preceding vowel – this change is not motivated by licensing. We can see the outcome of this step in Tableau 65

/ordeni/ License(height) Ident-high  ordeni * ordini * *! Tableau 65 Failure of chain link

Since [ordeni] is the optimal candidate for the input /ordeni/, we must rule out the step as our initial LUM. This leaves us only the option in (115)b:. In order to motivate a change from /ordeni/ to /urdeni/, License must dominate No-Gap, as this step creates a gapped configuration in order to satisfy the

179 licensing constraint. Tableau 66 illustrates the violations each of these possible chain links would incur under this ranking.

/ordeni/ License No-Gap ordeni *!  urdeni * Tableau 66 License >> No-Gap

If No-Gap were to dominate License, then any chain link creating a gapped configuration in order to satisfy the Licensing constraint would not be harmonically improving, as it would constitute exchanging a lower-ranked violation for a more highly-ranked violation.

/ordeni/ No-Gap License  ordeni * urdeni *! Tableau 67 No-Gap >> License

At this point it is apparent that License must dominate No-Gap in order to justify any sort of modification to the FFC, /ordeni/. However, this ranking would prove disastrous for the grammar when taking the entire paradigm into consideration. Let us look at the effect of ranking License(height) >> No-Gap, which is illustrated in Tableau 68.

180 lavoravi Id-[lo] Lic[height] No-Gap Id-v Id-V[-lo] Id-V Id-v lavoravi *!  lavuravi * * Ident-V lavurivi Ident-V, * ! * Ident-low ordeni ordeni *! (FFC) ordini ordeni, ordini *! * Ident-low urdeni ordeni, urdeni *! * Ident-V[-low] urdini ordeni, ordini, urdini * * *! Ident-v, Ident-V[-low]  urdini ordeni, urdeni, urdini * * Ident-V, ident-v angoli  angoli * (FFC) ingoli *! * Ident-low inguli *! * Ident-low, Ident-v Tableau 68 Infelicitous result of ranking License(height) >> No-Gap

This tableau makes it apparent that this ranking would select the undesirable candidate [lavuravi] as the optimal output for /lavoravi/. Leaving these two critical constraints unranked resolves the problem of incurring a more serious violation, but it does not go far enough – the analysis above makes a lateral move instead of achieving true harmonic improvement. Thus the analysis in Tableau 68 fails not on its own merit but because the desirable candidate chains cannot be created under a constraint hierarchy that would in turn select the proper optimal candidate for each input. At this point, the current 181 constraint inventory of OT-CC is incapable of addressing the non-adjacent metaphony seen in dialects such as Central Venetan. The existing framework subjects this paradigm to something of a catch 22, where one ranking is necessary for chain formation and a second ranking is necessary to obtain the correct optimal candidates. Thus, this problem can never be solved without altering the very framework of OT-CC.

7.2 THE SEARCH FOR A SOLUTION

Faced with the seemingly unsolvable problems created by the metaphony found in Central Venetan, researchers are left with several unresolved questions regarding the proper strategy or strategies needed to address these issues. The first possibility which must be explored is that the shortcoming lies with the framework of OT-CC itself; indeed, problems like those found in the Central Venetan may actually be simpler to address in Parallel OT (Walker 2010). However, since the many varieties of metaphony explored in this dissertation are impossible to address using a unified framework or variety of Traditional OT – with different dialects requiring different strategies to resolve the multiple types of opacity present – the option of outright abandoning OT-CC does not seem to be an acceptable solution. Since every other variety of metaphony seen in Spanish and Italian can be successfully analyzed in this framework, it would appear at this point to be the most promising option available in the creation of a unified account of Romance metaphony. If we accept that OT-CC does indeed constitute an improvement over Traditional

OT, at least with regard to the problems at hand, then the next variables to consider are the specific elements that comprise OT-CC. Of these elements, the one that has been subject to the most scholarly interest to date is the stipulation for gradualness; this happens to be the element of the OT-CC architecture that creates the apparent inability of 182

OT-CC to address the non-adjacent metaphony in Central Venetan. The option to reformulate the gradualness requirement is indeed a valid option; I explore a recent proposal by Rachel Walker (2010) in Section 7.3. On the other hand, we could assume that the architecture of OT-CC itself is solid, and that instead this problem has been artificially created by the use of excessively broad markedness constraints. If current analyses are unable to prevent /a/ from being treated identically from /e/, /o/, /ɛ/ or /ɔ/ with regard to gapped configurations, then perhaps the simplest solution would simply be to adopt constraints which are designed to target these specific segments in these infelicitous contexts. This is the approach which has been proposed by Kimper (2012), which I explore in Section 7.4. The third option which must be considered is that it is neither the architecture nor the traditional markedness and faithfulness constraints which need to be revised, but rather that the weakness of OT-CC lies with the researcher’s ability – or lack thereof – to evaluate certain LUM sequences within a given candidate chain. With McCarthy’s original version of precedence and with Wolf’s purportedly improved version, split precedence, there are still certain LUM sequences which cannot adequately be prevented or penalized in OT-CC. In response to this third possibility, I explore the validity and usefulness of an additional constraint which could penalize all directional relationships within the LUM sequences; this option is discussed in Section 7.5.

7.3 FELL-SWOOP DERIVATIONS (WALKER 2008)

Despite the many strides made by OT-CC in creating a comprehensive vehicle suitable for the analysis of multiple types of opacity, there are still issues that fail to find an easy or accurate solution within this framework of analysis. In examining the non- adjacent metaphony found in several dialects, it has been rightfully noted (Walker 2008, 183

2010, Kaplan 2011) that the currently accepted constraint hierarchy and stipulations of OT-CC do not allow a single process to affect more than one segment concurrently. Even with access to both the LUM sequences and the TL, OT-CC will not select a candidate which demonstrates two violations of the same constraint: the second violation will either not be deemed harmonically improving (thus rendering the entire candidate chain illicit) or its double violation of a given Ident constraint will result in the selection of the candidate displaying only a single violation of that same Ident constraint. Rachel Walker’s solution to this problem centers upon refining the framework of OT-CC in order to allow two violations of a single faithfulness constraint in a single LUM. Since Walker has worked extensively with data from Romance Metaphony, it comes as no surprise that she was the first to identify the apparent failure of OT-CC to address the non-adjacent metaphony in Central Venetan. In examining where OT-CC fails in this case, she zeroes in on the incompatibility of the grammars needed to generate the desired candidate chains and correct optimal candidate for all inputs. Facing the fact that a constraint like No-Gap and the Licensing constraint must appear in the opposite order in each of these hierarchies, she targets the stipulation for chain formation in order to rectify this incongruence. I repeat the possible pathways for the problematic ordeni  urdini pairing in (116):

(116) Possible Pathways: /ordeni/  [urdini] a. b.

Remember that the chain in (116)a was ruled out since the move from ordeni to ordini failed to demonstrate harmonic improvement, as the change from [e] to [i] incurred a faithfulness violation without satisfying the Licensing constraint. This is what left us 184 with the ranking paradox mentioned above: No-Gap must dominate License in order to generate the desired optimal candidate, yet the initial LUM in (116)b is not harmonically improving unless License dominates No-Gap, as the raising of the tonic vowel creates a gap in order to satisfy licensing. In order to resolve this issue, Walker (2008, 2010) proposes the modification of McCarthy’s requirements of a well-formed chain – more specifically, the stipulations pertaining to local optimality – to allow multiple violations of a single Ident constraint to constitute a single LUM; her refined definitions are listed below, in (117).

(117) Proposed definition of local optimality (Walker 2008)

a. Harmonic improvement: For every pair of immediately successive forms in C, < …, fi, fi+1, …> (0≤i (0≤i (0≤i

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This slight modification to the framework of OT-CC has dramatic repercussions. Instead of requiring multiple LUMs for multiple violations of Ident affecting several target vowels, relaxed gradualness allows an unlimited number of segmental changes in the same LUM. One could now go from /CaCaCaCi/ to /CiCiCiCi/ in a single step, as shown in (118), instead of requiring a four-link chain like one seen in (119).

(118)

(119)

In terms of the analysis for Central Venetan, we can see immediately how this relaxed gradualness requirement affects our options for licit candidate chains. The fell swoop derivation of ordeni  urdini, which is ill-formed under strict gradualness, is suddenly a viable LUM. This gives us the following three possible pathways:

(120) Possible Pathways: /ordeni/  [urdini] a. b. c.

Once the chain in (120)c enters the analysis, the incompatibility of the rankings needed for chain formation and generation of the optimal candidate is resolved. The rankings paradox between the grammar needed to generate the chain in (120)a and the grammar needed to produce the desired outcome is gone now that No-Gap and Licensing are no longer in conflict. Instead, in the single step shown in (120)c, Licensing is satisfied without gap formation and No-Gap can be ranked below Licensing to ensure that the

186 undesirable /urdeni/ is not selected as the optimal candidate27 . The resulting grammar is shown in Tableau 69.

ordeni Ident-low License(height) No-Gap Ident-high ordeni ***! urdini ** urdeni *! angoli angoli

ungoli *! anguli28 *! Tableau 69 Grammar of Central Venetan Using Fell-Swoop Derivations

This approach proves successful in analyzing the problematic metaphonic paradigm found in Central Venetan. However, as with any new framework for analysis, its implementation has already proven to have some potential drawbacks. These issues are explored in 7.3.1.1.

7.3.1.1 Issues with Fell-Swoop Derivations

Though Walker’s proposal is indeed effective at addressing the metaphony in Central Venetan, it is not without its drawbacks. My own solution to this issue differs significantly from Walker’s. find current definitions of gradualness to be ideal for

27 This tableau is a slight modification of the approach undertaken by Walker (2008), as she employs a different version of the Integrity constraint than is employed in this dissertation and substitutes Proximity (Rose 2004, Rose & Walker 2004) for No-Gap. 28 A chain containing the sequence /angoli/  /anguli/ would not be deemed harmonically improving, but is provided to illustrate the efficacy of this grammar in presenting this undesirable outcome. 187 preventing runaway chains and ensuring internal validity of each candidate chains; allowing multiple violations to constitute a single LUM could easily result in unanticipated and undesirable outcomes. Indeed, recent research has shown that relaxing the gradualness restrictions can and does prove to be problematic: Kaplan (2011) explores Chamorro umlaut with both strict gradualness (i.e. the restrictions originally proposed in McCarthy 2007) and relaxed gradualness and finds that Walker’s revision of gradualness renders OT-CC incapable of correctly analyzing the phenomena demonstrated in Chamorro.

In contrast to Central Venetan, Chamorro umlaut applies only in adjacent segments and will not occur at a distance. Nonetheless, Kaplan uses a modified version of the Licensing constraint employed by Walker (2004, 2006, 2008, 2010) to address this phenomenon; his constraint is outlined in (121) (Kaplan 2011: 635).

(121) License([-back]prefix, σ [-back] in a prefix or particle must be associated with a stressed syllable.

Kaplan demonstrates how the use of this constraint in conjunction with McCarthy’s original requirements for gradualness is capable of successfully addressing the backness harmony found in Chamorro; his analysis is shown in Tableau 70.

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i gúmaɁ Ident[-back] Lic([-back]prefix,σ ) Ident[+back]  < i gúmaɁ, i g maɁ> * *! /i pulónnun/  Tableau 70 Chamorro umlaut with strict gradualness

Notice that the input /i pulónnun/ has only one potential candidate under consideration. This is due to the fact that neither of the possible chains to derive the undesirable /i pulónnun/  /i pilénnun/ mapping are harmonically improving due to the requirement of strict gradualness. ** is ruled out because Ident[- back] dominates Lic([-back]prefix,σ ); thus this link incurs a violation of a more serious constraint in order to satisfy a lower ranking constraint. Similarly, ** is ruled out because this link incurs a violation of Ident[+back] without satisfying the licensing constraint.

Since /u/ and /o/ are both back vowels, however, there would be no way to prevent the direct mapping ** if the gradualness requirement were relaxed as proposed by Walker. With /i pilénnun/ suddenly a viable candidate, the analysis shown in Tableau 70 is no longer capable of preventing this candidate from being selected as optimal, as it satisfies the licensing constraint without incurring any violations of a more highly ranked constraint. This undesirable result is shown in Tableau 71.

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i gúmaɁ Ident[-back] Lic([-back]prefix,σ ) Ident[+back]  < i gúmaɁ, i g maɁ> * *! /i pulónnun/ *!  Tableau 71 Failure of relaxed gradualness for Chamorro

In light of this, I propose that the introduction of Subsequence – in addition to the notion of Precedence – proves to be a more advantageous solution to the types of Opacity explored by Walker and Kaplan. Providing OT-CC with this enhanced power would allow researchers to retain the strict definition of gradualness that has proven so well suited to a many opaque phenomena while simultaneously arming it with the capability to address nonmyopic harmony29 such as the metaphonic patterns found in Central Venetan (and similar dialects) which has proven so problematic for OT-CC. Indeed, I demonstrate that the use of strict gradualness in conjunction with Subsequence can indeed address this type of opacity. And since the use of Precedence (and, similarly, Subsequence) is not required to create an OT-CC analysis, the addition of this constraint would not render an analysis such as the one in Tableau 70 ineffective.

7.4 NARROWLY DEFINED MARKEDNESS CONSTRAINTS

Another possible strategy for addressing this seemingly nonmyopic harmony in OT-CC is via the employment of very narrowly defined markedness constraints, which allows for the original framework of OT-CC to remain intact. The analysis in Section 7.1

29 Myopia in regards to vowel harmony is described by Walker (2010) as pertaining to the fact that whether spreading proceeds to a neighboring element not sensitive to whether one or more segments beyond this neighboring element can also undergo harmony. Nonmyopic harmony describes any harmonic process in which spreading to a neighboring element appears to be sensitive to spreading beyond that initial element. 190 demonstrates how a constraint like No-Gap, which indiscriminately penalizes any intervening [-high] segment, is unsuccessful in treating this type of metaphony. While the approach proposed by Walker (cf. Section 7.3) offers one potential treatment, it would require major modifications of the current tenets of OT-CC. n response to Walker’s introduction of the theory of Fell Swoop Derivations (FSD) in order to address non-adjacent Metaphony in Central Venetan and related dialects, Kimper (2012) responded strongly against both the notion of a FSD and the attestation that harmony can be non-myopic. The problem, Kimper asserts, rests not with any shortcoming of OT-CC (or Harmonic Serialism in general), but rather with the breadth of the constraint families typically used to address harmonizing processes. As discussed briefly in Section 5.1, analyses of harmony tend to rely upon horizontally gradient constraints such as Align, Spread, or No-Gap. Though these constraints will of course penalize segments for the possession of (or, perhaps more accurately, the failure to possess) a certain segment, these constraints are in no way sensitive to the exact featural characteristics of the segment in question. A constraint like Align(high/L) would not differentiate between a [-high, - low] segment and a [-high, +low] segment when assigning a violation – any [-high] vowel not aligned with the desired prosodic domain would violate this constraint.

Kimper posits that it is this blindness to featural specification – not a flaw in OT- CC – that has created the so-called non-myopic harmony of Central Venetan. It is his proposal that these broad constraints be replaced with more fine-tuned versions which are capable of eliminating intervening vowels only when they possess certain characteristics. In order to do this, he suggests the use of multiple constraints which could independently penalize intervening [+low] and [-high, -low] vowels; he offers *Skip as the overall

191 constraint family which can achieve this goal, with the specific constraints *Skip(a) and *Skip(mid) being instrumental in the analysis of Central Venetan. These constraints are paraphrased in, (123), (124), and (125) ; I include No-Gap below, as well, to show how No-Gap and the nonspecific *Skip constraint are functionally identical without the specifications outlined in (124) and (125).

(122) No-Gap Gapped configurations are prohibited *V1 V2 V3

[F]

(123) *Skip Assign one violation for every segment of type X that intervenes between two segments that are linked to the same instance of a feature F.

(124) *Skip(a) Assign one violation for every instance of /a/ that intervenes between two segments that are linked to the same instance of the feature [+high].

(125) *Skip(mid) Assign one violation for every mid vowel that intervenes between two segments that are linked to the same instance of the feature [+high].

In conjunction with the faithfulness and precedence constraints utilized in the analyses in Chapter 6, these targeted constraints can effectively address the variation found in Central Venetan; one possible grammar is illustrated in Tableau 72, below.

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Id- Id-V Id- lavoravi *Skip(a) Lic[height] *Skip(mid) Id-v Id-V[-lo] [ATR] v  lavoravi * lavuravi *! * Ident-V lavurivi Ident-V, * ! * Ident-low ordeni ordeni *! (FFC) ordini ordeni, ordini *! * Ident-low urdeni ordeni, urdeni *! * Ident-V[-low] urdini ordeni, ordini, urdini * * *! Ident-v, Ident-V[- low]  urdini ordeni, urdeni, urdini * * Ident-V, ident-v angoli  angoli * (FFC) ingoli *! * Ident-low inguli *! * Ident-low, Ident-v Tableau 72 *Skip analysis of Central Venetan

This approach also allows us to arrive at the correct optimal candidate for the simpler, bisyllabic cases of metaphony which also occur in Central Venetan; I show this in Tableau 73.

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Ident- Licence *Skip(a) *Skip(mid) Id-v Id-V[-lo] Id-V Id-v lari [low] [height]  lari * liri *! * * lori lori *!  liri * Tableau 73 Checking the *Skip analysis of Central Venetan : Bisyllabic words

Thanks to its similarity to No-Gap, *Skip causes no unwanted effects in the transparent paradigm. This approach proves successful, notably without the use of any innovative constraints or alterations to the framework of OT-CC. The selection of this approach, however, is not without its drawbacks.

7.4.1.1 Issues with *Skip

The decision to use narrowly defined *Skip constraints or alter the current framework of OT-CC is one which raises several theoretical (and perhaps philosophical) questions. This choice rests upon a researcher’s perception of what constitutes the most fundamental property or premise of OT or OT-CC. Confronted with problematic data such as Central Venetan, we must choose between universality and simplicity. On one hand, we can choose to employ only the most unquestionably universal constraints – broadly delineated constraints such as Align or No-Gap – which avoid the ad-hoc nature of constraints such as *Skip(mid) whose use is greatly limited and can only tenuously be considered a universal constraint. Previous instances of *Skip constraints which I have found have not employed such a narrowly defined version of this constraint, referring instead to tones or syllables (McCarthy et al. 2012) or deletion of an entire segment (Alber & Plag 1999). The decision to avoid the narrowly defined *Skip 194 constraint employed by Kimper (2012) is motivated by the belief that any member of CON should be a plausible constraint in many languages and situations, not something that is introduced merely to address a precise and problematic complexity in one language. Adherence to the universality of CON, however, comes at a price: proponents of this approach must instead alter the very framework in which they have couched their analyses.

On the other hand, we can choose to retain the original framework of OT-CC and adhere to the strict definition of gradualness that McCarthy (2000, 2007) proposed when he introduced the theories of Harmonic Serialism and OT-CC. In making this choice, however, we must admit that perhaps not all constraints must be universal; for more discussion regarding the universality or innateness of constraints, see Green (1993), Boersma (1998, 2000), Samek-Lodovici (1996, 1998a,b), Bolognesi (1998), Ellison (2000), McCarthy (2002), and de Lacy (2003)

Interestingly enough, McCarthy (2011: 5) outlines two main goals of OT, one of which seems to be quite frequently ignored and yet is quite relevant to the question at hand. The primary goal of OT according to McCarthy is “to derive complex patterns from the interaction of simple constraints (emphasis added).” He goes on to discuss the problem with narrowly defined constraints, in this case, Agree.

If AGREE in Johore Malay is defined as *[+nasal][Bcons, Bnasal], then we are deriving a more complex pattern by complicating a constraint and not by interaction. That becomes apparent when we look at a language with a different set of blockers, such as Sundanese (Anderson 1972; Robins 1957). Because glides are blockers in Sundanese, a slightly different AGREE constraint will be required. If we adopt this constraint, then we are deriving language typology by constraint parameterization rather than ranking permutation. The move of redefining AGREE to incorporate the blocking conditions, while technically possible, is antithetical to sound explanation in OT. 195

If the incorporation of so-called blocking conditions into a constraint is, in fact, “antithetical to sound explanation in OT,” as McCarthy attests, then the choice to select an approach that depends upon the complication of a constraint (i.e. the substitution of universal No-Gap with language specific *Skip constraints) would also appear questionable. Though at first glance *Skip seems quite similar to a constraint such as *Contour,

I find there to be two important fundamental difference between these two constraints. First, a constraint such as *Skip – even if this was not the author’s intention – seems to reply to a process rather than an underlying structure; the general consensus among prominent OT researchers is that constraints should refer to structures, not processes. Second, *Skip constraints are arguably less universal than a constraint such as *Contour, which is widely used to refer to various features ranging from tone to nasality and height. The adaptability of *Contour makes it a more useful and more general constraint than

*Skip, which would need to be adapted considerably to fit different paradigms requiring different conditions for its use. If *Skip is both overly specific and possibly in contrast to the generally assumed requirement that constraints refer not to processes but to segments, features, or other structures, that provides justification to explore other alternatives that might prove more universal and which relate to structure, not procedure. My own suggestion, which is explored in Section 7.5, is inspired by the Precedence constraint laid out by McCarthy

(2007) and offers a third solution to the opacity seen in Section 7.1.

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7.5 SUBSEQUENCE

As discussed in Chapter 3 and illustrated in Chapter 6, OT-CC currently allows the use of constraints which operate outside the scope of traditional Markedness and Faithfulness constraints. The original constraint family dedicated to analyzing LUM sequences, the unified Precedence constraint formula, was presented by McCarthy (2007).

(126) Prec (A, B) A violation of Constraint B is only permissible if it is preceded and not followed by a violation of Constraint A

The introduction of Precedence, though instrumental in solving many instances of Opacity within OT-CC, was not sufficient to address certain problematic types of Opacity. Due to the shortcomings of the traditional formulation of Precedence, this constraint family has already been refined by Wolf (2011). The introduction of Split

Precedence (Wolf 2011) provided OT-CC with the ability to separately account for bidirectional restriction upon the ordering of individual LUMs.

(127) AB (read ‘B implies preceding A’) Assign a violation mark if there is a B-violating LUM which is not preceded by an A-violating LUM.

(128) *B-THEN-A Assign a violation mark if an A-violating LUM follows a B-violating LUM.

As discussed in Section 6.2, Wolf’s introduction of Split-Precedence removes the problematic element of gradience in McCarthy’s original formulation of Precedence. Since Wolf’s theory of Split-Precedence is capable of separately penalizing not only

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candidates whose LUM sequences fail to demonstrate the proper relationship of (LUM A, LUM B), but also candidates whose LUM sequences demonstrate the inverse of the desired relationship, Split-Precedence allows for the binary satisfaction of each half of Precedence. Thus, Precedence (A, B) would rule out a chain containing (LUM B) in isolation by assigning a single violation (for the lack of preceding A), a chain containing (LUM B, LUM A) by assigning a double violation (one each for the absence of preceding

A and the presence of following A), and a chain whose LUM sequence includes (LUM A, LUM B, LUM A) with only a single violation (for A occurring after B). This is

illustrated in Table 2:

PREC(LUM A, LUM B) * ** Table 2 Violations under intact Precedence

Split-Precedence, however, is able to prevent gradient violations by formulating separate constraints capable of penalizing both the lack of the correct precedence relationship and the opposite of the correct precedence relationship. Precedence (A, B) forces LUM A to precede LUM B and *No-A-then-B prevents LUM A from following LUM B. Thus, in the examples above, we arrive at the following violations: for a

sequence of (LUM B) in isolation, A B is violated a single time; for (LUM B, LUM A), *LUM-B-then-LUM-A is violated a single time; and finally, for (LUM A, LUM B, LUM A), each half of the Split-Precedence constraint will be violated once. This is illustrated in Table 3.

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LUM A LUM B *LUM-B-then-LUM-A * * * Table 3 Violations under Split-Precedence

This refinement also provides the resulting analyses with the ability to separately

rank the two constraints, allowing for finer permutations of the grammar. Yet even with this fine-tuned scope, there still remains one notable directional relationship which cannot be accounted for either via Precedence or Split-Precedence. As shown in Table 2 and Table 3, above, no constraint can effectively ensure that a violation of a given LUM A is followed by another LUM B. In other words, in the instance that a violation of LUM A in isolation is undesirable in a given language, OT-CC is currently incapable of penalizing a constraint which demonstrates a violation of LUM A but no subsequent violation of a

separate LUM B. In light of this omission from the paradigm, I propose that a new ordering constraint, Subsequence, must exist which can address this issue. I paraphrase this constraint as follows.

(129) Subsequence (A  B) “A must be followed by B” A violation of a given constraint A is only permissible if it is followed by a violation of a given constraint B.

In order to simplify references to these types of constraints, I will refer to these constraints – Precedence, Split-Precedence, and Subsequence – as Concatenation constraints, as they serve to provide structure between individual chain links. The table

199 below summarizes the actions, implications, and shorthand notation of each of these Concatenation constraints.

Traditional Traditional Proposed Constraint Application Constraint Name Shorthand Shorthand Precedence A must precede B; A Precedence (A, B) Prec (A, B) cannot follow B A  B Split-Precedence Split-Precedence A must precede B A B

Split-Precedence A cannot follow B *B-then-A *B-then-A

Subsequence Subsequence (A, B) B must follow A Sub (A, B) A  B Table 4 Concatenation Constraints

The table above shows the three Concatenation constraints I address in this chapter. Of particular note is the fact that Wolf (2010) did not give a name to each of the separate halves of his Split-Precedence constraint. Since the first half is identical to the eponymous action of Precedence, I will refer to this constraint as Precedence. In order to refer to the second half, which stipulates that a given set of LUMs (A, B) cannot occur in the reverse order, I will adopt the name No-Flip. I do this in order to arrive at a unified nomenclature that is capable of incorporating both Precedence and Split-Precedence within the same system. The shorthand I have adopted for the first constraint, Precedence, is that which

Wolf used in his proposal for Split-Precedence. have maintained Wolf’s notation of the second half of Split-Precedence (henceforth called No-Flip), as this formulation can also capture the inverse of subsequence, the stipulation that A cannot follow B. In selecting the shorthand for my own proposed constraint, Subsequence, I could have chosen to adopt either McCarthy’s notation for Precedence or the version offered by Wolf. Because find Wolf’s notation to be more succinct and yet equally interpretable as McCarthy’s,

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have formulated the abbreviated Subsequence constraint in such a way that it complements Wolf’s notation for Split-Precedence. The table below outlines the constraint names and shorthand notation which I will use throughout this chapter.

Constraint Name Application Notation Precedence A must precede B A  B The sequence of the LUM violations (A, B) cannot No-Flip *B-then-A occur in reverse order Subsequence B must follow A A  B Table 5 Proposed nomenclature and notation for concatenation constraints

As Table 5 makes apparent, these three constraints are capable of accounting for every possible LUM sequence that may be necessary to enforce (or prevent). Though Precedence and Subsequence look on the surface to be quite simple, there are several subtle yet important differences in the end result of each constraint. Section 7.5.1 explores this question in more detail.

7.5.1 Why isn’t Precedence enough?

In light of the fact that OT-CC is already a fairly complex system, complete with its own proprietary constraints and its own unique guidelines for well-formedness, one might rightfully ask why, in fact, there exists a need to add yet another layer of complexity to this already dense system of analysis. If one constraint (Precedence) has already been replaced by two (Split-Precedence), and the current proposal stipulates the

addition of a third (Subsequence), what are the limits upon novel introductions to the theory? How many more Concatenation constraints could be posited, and to what extent are these three even needed?

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The current two-constraint system of Split-Precedence greatly increased the applicability and usefulness of the original Precedence constraint, while also eliminating the problematic element of gradience present in the original constraint. As Wolf (2011) has already thoroughly demonstrated the usefulness of Split-Precedence, I will not explore this issue further than I already have in Chapter 6. However, the current two- constraint system leaves a glaring asymmetry. If one can stipulate, via the current framework, that A must precede B or A cannot follow B, it is only logical to assume that there must exist situations in which B must follow A. That is to say that, if a candidate chain contains a violation of Constraint A, it must contain a subsequent violation of Constraint B. Though this may appear at first glance to be simply a restatement of Precedence, as both effectively enforce the LUM sequence (LUM A, LUM B), there is one very useful and important distinction between the two: A candidate chain containing a violation of only Constraint A is licit under Precedence but ruled out under Subsequence. In contrast to Table 2 and Table 3, above, Table 6 below shows how the addition of Subsequence completes the paradigm by allowing for the penalization of a violation of LUM A in isolation. With these three constraints, all directional relationships are accounted for in OT-CC

A B A  B *B-then-A * * * * * Table 6 Split-Precedence and Subsequence 202

In order to illustrate the usefulness and validity of Subsequence, this chapter offers an analysis of an Italian dialect, Central Venetan, which cannot be analyzed under the current framework of OT-CC without either sacrificing the integrity of the framework or by incorporating questionable constraints. The resulting analysis relies upon Subsequence, Licensing and other simple Markedness constraints, and Faithfulness, in order to present a simple yet effective analysis of one of the most difficult and cumbersome issues to address in the current framework of OT-CC.

7.5.2 The case for subsequence: Local Ordering in Derivational Phonology

Before continuing, I wish to explore one relevant theoretical similarity between rule ordering in DT and the use of Concatenation constraints in OT-CC: Local Ordering (1969, 1974; henceforth LO). The theory of Local Ordering stipulates that – in some instances – the order of two processes must occur in a fixed, language-specific or even form-specific order that differs from their traditional (unmarked) order.

The existence of LO in DT provides additional strength to the proposal that I offer in this chapter. If the serial component of OT-CC draws heavily from the conventions of DT, then a concept such as LO can be argued to play a role in serial OT, as well. Indeed, in introducing the theory of Optimal Interleaving, Wolf (2008) justifies his own enhancement to OT-CC due to the existence of Local Ordering in Derivational Phonology. Anderson (1974:164-165) describes Local Ordering as follows:

“Ordering relations are stated between certain pairs of rules in the grammar of a language. Such stated restrictions are independent of one another, and they may in addition be either absolute or contingent in their applicability. To determine the order in which the set of rules should apply to a given form, we assume that any pair of rules applies in the natural order for the form in question (if one is defined), unless this is overruled by an absolute ordering restriction. In the event that neither order of a pair of rules is natural for this form, the grammar must 203

contain a restriction (either absolute or contingent, depending on the existence of a subclass of forms for which a natural ordering does exist, and on whether the natural situation in fact obtains there). Such a restriction specifies the order in which rules apply, where this is significant and unpredictable or language- particular.”

Anderson does not stipulate which directionality must be specified in Local Ordering; he merely proposes that this strict ordering of rules can be useful in cases where traditional conventions fail to produce satisfactory analyses, often due to apparent paradoxes wherein one rule seems that it must occur both before and after another rule. Looking at Precedence, it is clear that something akin to Local Ordering already exists in OT-CC. The only difference, however, is that the ordering specified in OT-CC represents only a subset of all the possible orders that could be arranged in DT. Precedence provides a way to ensure that certain – but not all – local orders are represented in OT-CC; Subsequence completes this functionality.

7.5.3 Concatenation versus traditional Markedness

The use of Concatenation constraints instead of traditional Markedness constraints allows for a more successful division between the universal Faithfulness and Markedness constraints that comprise the majority of the analyses and the language- specific Concatenation constraints that govern the selection of acceptable chains. Concatenation constraints thus allow greater precision in the resulting analysis and reduce dependence upon contrived or overly complicated constraints. This advantage of Concatenation over Markedness centers upon the fact that the use of Concatenation constraints is, much like the Local Ordering rules described above, not limited to a specific language or dialect; this constraint family can be restricted to certain forms within a given linguistic system, as it deals entirely with the acceptability of

204 a given candidate chain. Thus, instead of formulating a single markedness constraint that requires B to exist in all contexts, Concatenation can ensure that B exists only following A or preceding C. This allows the overall grammar of the language in question to be simplified to the constraints that govern the overall behavior of the language without introducing a number of constraints which only apply in the presence of certain (sometimes rare or exceptional) processes. Take, for example, the fact that most successful analyses of non- adjacent metaphony must inherently rely upon a fairly high-ranking alignment constraint that stipulates alignment of the feature [high] with the left edge of either the word or foot, and even then only in contexts where the [high] feature originates from an unstressed post-tonic vowel. Despite the fact that this constraint must be exceptionally specific in its wording, this Align constraint must be still prevented from surfacing in a number of contexts. In order to create a successful analysis, one must then introduce a second constraint (Linearity, NoGap, etc.) to prevent the overapplication of the already quite limited alignment constraint. While this interplay between Markedness and Faithfulness is, at its core, the theoretical premise behind all variations of Optimality Theory, the introduction of a number of incredibly specific (and thus, questionably universal) constraints to deal with a single issue is a feature of OT that has been criticized and even joked about.30The introduction of Subsequence present a more minimalistic, and thus, more universal, explanation for these problematic types of metaphony; these analyses are able to treat

30 Eisner (1997) famously listed “Palindromic: The candidate reads the same backwards as forwards” and “MatchesOutputOfSPE: The output matches the result of applying Chomsky & Halle (1968) to the input” as unquestionably bad constraints, and Nathan (1999) achieved some degree of internet celebrity after he analyzes the use of tableau instead of table in Optimality Theory as a ranking of Snooty >> *French in the grammar for OT.

205 metaphony as essentially the result of Licensing, Faithfulness, universally accepted Markedness constraints, and Concatenation constraints.

7.5.4 Testing the theory: a Subsequence analysis of Central Venetan

Though no analysis succeeds in the current incarnation of OT-CC using universally accepted constraints, this type of metaphony has typically been approached as an interaction between Licensing, which enforces application of metaphony in the tonic vowel, and No-Gap (or a similar constraint), which forced the concurrent height assimilation of the intervening unstressed vowel. I reproduce Tableau 64 below as Tableau 74.

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lavoravi Id-[lo] No-Gap Lic[height] Id-v Id-V[-lo] Id-V Id-v

 lavoravi * lavuravi *! * Ident-V lavurivi Ident-V, * ! * Ident-low ordeni ordeni *! (FFC) ordini ordeni, ordini *! * Ident-low urdeni ordeni, urdeni *! * Ident-V[-low] urdini ordeni, ordini, urdini * * *! Ident-v, Ident-V[-low]  urdini ordeni, urdeni, urdini * * Ident-V, ident-v angoli  angoli * (FFC) ingoli *! * Ident-low inguli *! * Ident-low, Ident-v Tableau 74 Reproduction of Tableau 64

As discussed in Section 7.1, however, this analysis fails due to the fact that no candidate chain can be created which simultaneously satisfies the qualifications of a well- formed chain and produces a grammar that is capable of selecting the proper optimal candidate for all possible inputs. This shows that OT-CC, in its current incarnation, is

207 severely limited when it comes to dealing with complicated phenomena such as the metaphony and vowel harmony (or double metaphony) in Central Venetan. Let us look take a closer look at the possible LUM sequences for the problematic pairing ordeni  urdini.

(130) Possible Pathways: /ordeni/  [urdini] a. b.

Remembering that the Licensing constraint refers only to strong and weak positions and not the adjacency of the segments in question, the only way to satisfy the licensing constraint – and thus achieve harmonic improvement – is to select (130)b as the only valid pathway from ordeni to urdini. However, as we saw in Section 7.1, the grammar necessary to produce this chain – a ranking of License(height) >> No-Gap – fails to select the proper optimal candidate for the pairing lavoravi  lavoravi. I reproduce Tableau 66, Tableau 67, and Tableau 68, which illustrate this rankings paradox, below as Tableau 75, Tableau 76, and Tableau 77, respectively.

/ordeni/ No-Gap License  ordeni * urdeni *! Tableau 75 No-Gap >> License

Tableau 75 shows the ranking needed to generate the optimal candidate for lavoravi, but this ranking proves problematic for ordeni, since this grammar is incapable of allowing for the LUM sequence , as a violation of No-Gap satisfies a lower- ranking constraint at the expense of a higher-ranked constraint. 208

/ordeni/ License No-Gap ordeni *!  urdeni * Tableau 76 License >> No-Gap

Reversing the rankings in order to generate the proper outcome for ordeni, as seen in

Tableau 76, shows that the ranking necessary to generate the correct optimal candidate for /lavoravi/  [lavoravi] produces the incorrect optimal candidate for the mapping /ordeni/  [ordeni]. The full grammar, seen in Tableau 77, below, illustrates the end result of this approach.

209 lavoravi Id-[lo] Lic[height] No-Gap Id-v Id-V[-lo] Id-V Id-v

lavoravi *!  lavuravi * * Ident-V lavurivi Ident-V, * ! * Ident-low ordeni ordeni *! (FFC) ordini ordeni, ordini *! * Ident-low urdeni ordeni, urdeni *! * Ident-V[-low] urdini ordeni, ordini, urdini * * *! Ident-v, Ident-V[-low]  urdini ordeni, urdeni, urdini * * Ident-V, ident-v angoli  angoli * (FFC) ingoli *! * Ident-low inguli *! * Ident-low, Ident-v Tableau 77 Infelicitous result of ranking License(height) >> No-Gap

Faced with this incongruence, we must abandon No-Gap and attempt to replace it with another constraint that would serve a similar function. Since No-Gap was selected to ensure that the secondary vowel harmony applied in conjunction with – and only in conjunction with – raising of the tonic vowel, the constraint in question will need to step in to serve this function. Since Subsequence ensures that a given LUM A will be

210 followed by another LUM B, we can now motivate the step from /urdeni/  [urdini] through the formulation of the relevant subsequence constraint.

(131) Sub (Ident-V, Ident-v) A violation of Ident-v must follow a violation of Ident-V.

With this Subsequence constraint in place, the invalid move from urdeni to urdini is suddenly a licit LUM. Since urdeni as a terminal link would incur one violation of Sub

(Ident-V, Ident-v) and urdini would incur none, this change is both gradual and harmonically improving according to the grammar of Central Venetan. The use of this constraint, however, does introduce one issue which must be resolved: without an additional constraint, the use of Subsequence, as suggested by Walker (2010), would have undesirable consequences for bisyllabic words which lack the subsequent violation of the faithfulness constraint Ident-v. In Tableau 78, below, we see that this grammar is successful in addressing all the opaque paradigms that have proven problematic in OT-CC.

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Ident- Ident-V  Ident- lavoravi Licence[height] Ident-v [low] Ident-v V[-low]  lavoravi * lavuravi *! * Ident-V lavurivi Ident-V, * ! * Ident-low ordeni ordeni *! (FFC) ordini ordeni, ordini *! * Ident-low urdeni ordeni, urdeni *! * Ident-V[-low] urdini ordeni, ordini, urdini *! * * Ident-v, Ident-V[-low]  urdini ordeni, urdeni, urdini * * Ident-V, ident-v angoli  angoli * (FFC) ingoli *! Ident-low inguli *! * Ident-low, Ident-v Tableau 78 Subsequence alone: opaque cases

Looking only at the opaque cases, this account appears successful; Tableau 79, however, illustrates the difficulties that this simple approach creates in the transparent cases of metaphony in Central Venetan.

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Ident- Ident-V  Ident- Licence[height] Ident-v lari [low] Ident-v V[-low]  lari * liri *! * * lori  lori * liri *! * Tableau 79 Subsequence alone: transparent cases

Though Subsequence alone cannot account for both the transparent and opaque paradigms in Central Venetan, there is a constraint that can be added to this analysis: *Contour(height).

(132) *Contour(height) Adjacent vowels within a word must not exhibit excessive height contour; the sequence [+high][+low][+high] is forbidden.

This constraint is functionally identical to the *Embed constraint that Kirchner (1997) employed in an analysis of Finnish backness harmony; I have, however, reformulated the constraint to more closely mirror the canonical *Contour constraint that is employed in prosodic analyses where the contour in question pertains to tone height (not featural height specification). My motivation for this change in nomenclature is based in the differences between conventions for naming constraints – and further refinements upon the nature of constraints – between its original use and the time at which this dissertation is being written. Where No-Gap proved problematic due to the fact that it indiscriminately penalized any gapped configuration, *Contour only penalizes segments that display excessive height contour. This means that a [+high][-high][+high] configuration in any chain link would 213 not incur a violation, while a [+high][+low][+high] sequence would. This subtle difference proves invaluable for the analysis of Central Venetan, where we want to prohibit the appearance of a [+high][+low][+high] sequence even if this sequence would satisfy Licensing. The resulting grammar is seen in Tableau 80.

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Ident- Ident-V  Ident- Lavoravi *Contour License Ident-v [ATR] Ident-v V  lavoravi * lavuravi *! * Ident-V lavurivi * ! * Ident-v, Ident-V ordeni ordeni *! (FFC) ordini *! * Ident-ATR urdeni *! Ident-V  urdini * * Ident-V, Ident-v angoli  angoli * (FFC) anguli * *! ingoli *! * Ident-ATR inguli Ident-ATR, Ident- *! * * v pɛrsegi  pɛrsegi * (FFC) pɛrsigi * *! Ident-v pirsigi Ident-ATR, Ident- *! * v lari  lari * (FFC) liri *! * Ident-V lori lori *! (FFC)  luri * * Ident-V Tableau 80 Subsequence analysis of Central Venetan including bisyllabic words 215

The ranking of *Contour over the Licensing constraint ensures that no undesired consequences arise in bisyllabic words while still producing the correct outcomes for the opaque paradigms. This analysis explored the use of Subsequence for one of the most problematic metaphonic paradigms in Romance, and provides a useful tool for similar phenomena in other languages. This constraint is not limited, however, to issues pertaining to the complex pattern of the blocking segments found in this dialect. I explore other situations in which Subsequence could prove useful in Chapter 9.

7.6 SUB(A, B) VS. FIX(A, B)

The last possible alternative to explore is one which offers the simplification, not expansion, of the Concatenation constraints employed in an OT-CC analysis. If three separate constraints are needed to ensure that A precedes B, B follows A, and A and B do not occur in the reverse order, then perhaps the true solution is far simpler. Perhaps all we need is one constraint which can penalize all LUM sequences that fail to demonstrate the correct order of . In order to examine this potential solution, an issue which was raised by Jean-Pierre Montreuil (personal correspondence), I explore the possibility of a FIX constraint, paraphrased in (133)

(133) FIX(A,B) For any instances of the LUMs A and B, assign a violation mark if these LUMs do not appear in the fixed order (A, B).

This constraint is capable of addressing both the functions of Precedence and the functions of Subsequence in a completely binary manner: any chain containing LUM A or LUM B without the sequence would incur a single violation of FIX(A,B). Table 7 shows the violations incurred under FIX.

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FIX(LUM A, LUM B) LUM A * LUM B * LUM B, LUM A * LUM A, LUM B Table 7 Violations incurred under FIX

Indeed, FIX proves effective at addressing the case presented by Central Venetan; by formulating a constraint that stipulates that a violation of Ident-V or Ident-v must always occur in the fixed order Ident-V, Ident-v, this constraint has the same effect as Sub(Ident-V, Ident-v). This is shown in Tableau 81, below.

217

Ident- Fix(Ident-V, Ident- Lavoravi *Contour License Ident-v [ATR] Ident-v) V  lavoravi * lavuravi *! * Ident-V lavurivi * ! * * Ident-v, Ident-V ordeni ordeni *! (FFC) ordini *! * Ident-ATR urdeni *! Ident-V  urdini * * Ident-V, Ident-v angoli  angoli * (FFC) anguli * *! ingoli *! * Ident-ATR inguli Ident-ATR, Ident- *! * * v pɛrsegi  pɛrsegi * (FFC) pɛrsigi * *! * Ident-v pirsigi Ident-ATR, Ident- *! * * v lari  lari * (FFC) liri *! * * Ident-V lori lori *! (FFC)  luri * * Ident-V Tableau 81 Fix Analysis of Central Venetan

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Like Sub(Ident-V, Ident-v), Fix(Ident-V, Ident-v) also proves effective in addressing the transparent metaphony found in bisyllabic words. This is shown in Tableau 82.

Ident- Licence Fix(Ident-V, Ident- lari *Contour Ident-v [low] [height] Ident-v) V  lari * liri *! * * lori lori *! liri *

Tableau 82 Bisyllabic words with Fix

The choice to use Precedence, No-Flip, and Subsequence, or to adopt only Fix and No-Flip is a question which at this point has no resolution. Preliminary analyses suggest that Fix simultaneously serves the same functions as Precedence and

Subsequence; however, without examining the implications of such a powerful constraint in many more scenarios, it seems imprudent to suggest such a potentially problematic constraint without more research in other languages and paradigms. Since constraints are more likely to incur criticism for being too powerful and not too nuanced, I choose at this point to err on the side of conservatism and leave a more thorough inquiry into the effects of a FIX constraint to future research.

7.7 LIMITATIONS AND GUIDELINES FOR THE USE OF SUBSEQUENCE

Though exploration into the usefulness of Subsequence for various phonological phenomena is in its infancy, this constraint as I have designed it is intended for use in analyzing instances of horizontal gradience and phenomena that create scalar changes affecting the grammar in a horizontal fashion. The use of subsequence in any vertically 219 gradient phenomena is inherently incompatible, as this constraint cannot stipulate that a certain phenomenon or set of phenomena be limited in their extent. When applied to the opacity seen in the scalar metaphony found in Southern Umbro, for example, Subsequence is incapable of preventing a violation of Ident-ATR from being followed by a violation of Ident-hi. While one can create incredibly contrived subsequence constraints – stipulating essentially the opposite of what is actually required – even these ridiculous constraints cannot produce the correct optimal candidate. The vertical gradience found in this problem requires No-Flip or gradient Precedence for an adequate solution; this shortcoming is seen in Tableau 83.

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Ident- Ident- LIC LIC Id- LIC Id- /neri/ Id-Vlo VATR  hiIdent- (-lo) (ATR) VATR (hi) Vhi Id-Vlo ATR niri * ! * Id-Vhi  neri * (FFC) /nɛri/ niri

Id-VATR, * * ! *

Id-Vhi  neri * * Id-VATR nɛri *! (FFC) /nari/ niri Id-V , lo * *! * * * * Id-VATR,

Id-Vhi neri

Id-Vlo, * *! * *

Id-VATR,  nɛri * * * Ident-Vlo nari * ! * (FFC) Tableau 83 Failure of Subsequence for Scalar Metaphony

Subsequence cannot prevent a process or processes from overapplying; rather it can only dictate that a certain process cannot exist alone. Like the Central Venetan paradigm, which centered upon the need for eliminating height contour in a sequence of [+high][-high][+high] vowels, Subsequence would allow for spreading of any feature in adjacent or non-adjacent segments, even if that spreading did not affect the entire word.

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7.8 RECAPITULATION

This chapter has explored the limitations of OT-CC as it currently exists, by examining the difficult metaphonic paradigm presented in Central Venetan. For this particular variety of metaphony, which is characterized by horizontal gradience combined with a complicated system of metaphony, harmony, and blocking conditions, neither intact nor Split-Precedence proves effective in producing the desired optimal candidates for Central Venetan.

In the face of this problematic data, three solutions have been proposed: Fell- Swoop Derivations (Walker 2006), which modify the gradualness requirement of OT-CC as outlined by McCarthy (2007); *Skip (Kimper 2012), which is a narrowly defined positional markedness constraint that shares several problematic elements with *Gap and similar process-centric constraints; and the novel proposal for Subsequence. The analyses and discussions presented here provide a strong case for the benefits of adding Subsequence to the inventory of Concatenation constraints in order to address this problematic variety. Chapter 8 takes off where this chapter left off, in that it delves further into this proposed constraint, exploring additional data sets that demonstrate the usefulness and potential of Subsequence in an OT-CC analysis.

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8 Discussion

The solutions and resulting analyses presented in Chapter 7 evoke many questions that extend beyond the data set in question. Though all three analyses provide a viable method for addressing the variety of metaphony found in Central Venetan, it would be premature to assert that one of these solutions can – at this point – be declared the ideal approach to addressing this and similar types of opacity. Indeed, though much of the research that is undertaken in modern theoretical phonology concerns itself with solving the unsolvable, so to speak, there comes a point at which one redefine the purpose of these scholarly inquiries from merely providing an acceptable and accurate analysis of a given problem to addressing the larger questions that are so rarely discussed in this field. This chapter explores Optimality Theory both in its current incarnation as well as several recent groundbreaking proposals for its improvement – including the proposal for

Subsequence outlined in Chapter 7. Additionally, this chapter undertakes the much larger discussion of what, exactly, would constitute an ideal form of Optimality Theory. The discussion this entails explores both OT-CC-specific issues as they pertain to the opacity found in Central Venetan as well as the larger questions regarding the implementation and adoption of a framework for phonological analysis. Though the latter question is one that would be capable of filling an entire dissertation on its own, this chapter seeks to spark discussion and encourage contemplation of not only the best ways to solve a given linguistic issue within OT, but also how to best proceed as this framework continues to grow and evolve.

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8.1 CURRENT DEVELOPMENTS IN OPTIMALITY THEORY

The most crucial test of OT and similar systems of analysis rests in their ability to correctly account for every – or the great majority of the – phenomenon or pattern that might be encountered in natural language while simultaneously excluding impossible or unattested outcomes. OT-CC and other recent frameworks of OT that exploit its serial capacity have made great strides toward avoiding many of the weaknesses of traditional OT. Most importantly, the stringent requirements for the well formedness of candidate chains (or subsequent inputs, for serial frameworks involving multiple passes instead of multiple links) have provided these nascent varieties with a vehicle for limiting the overextension and overapplication of constraints leading to the Infinite Goodness Problem, discussed later in this chapter. While this dissertation has already explored in depth the precursors to OT-CC and has presented several older proposals for dealing with phonological opacity, there are other varieties of OT that are currently being explored to treat the type of opacity seen in

Central Venetan. This research and its potential for addressing the metaphonic paradigms found in Central Venetan are explored in Section 8.2.

8.2 RETHINKING DOMINANCE AND VIOLATION

This section provides an overview and discussion of several relatively new and atypical varieties of OT that treat opacity in novel and – in many cases – effective ways. Each of these frameworks takes a departure from traditional OT in one or more significant ways. Some of these recent frameworks abandon the strict ranking and dominance found in the original tenets of OT, instead adopting a probabilistic distribution of constraints, while one striking novel approach proposes the existence of positively

224 formulated constraints in order to deal with difficult types of opacity. Some noteworthy and promising innovations are explored in Sections 8.2.1 and 8.2.2.

8.2.1 Strict dominance versus weighted constraints

One recent trend in OT is the exploration of constraints not as categorical entities but rather as weight-bearing tools. Several recent frameworks of OT have explored the usefulness of weighted constraints for the resolution of opacity. This section explores two varieties that utilize this framework: Stochastic OT and Harmonic Grammar. A third variety, Trigger Competition, is discussed in Section 8.2.2, as it is noteworthy not only for its use of weighted constraints but also for its adoption of positively formulated constraints, which were incompatible with older OT frameworks.

8.2.1.1 Stochastic Optimality Theory

Stochastic OT (StOT; Boersma 1998, Boersma and Hayes 2001, Boersma 2003) was the first well-known variety of OT to adopt a system of weighted constraints. Unlike the grammars in traditional OT, rankings in StOT do not exist upon a fixed hierarchy, wherein if A >> B then a single violation of A is always more serious than any number of violations of B. Instead, Stochastic OT adopts a weighted constraint hierarchy, where the ranking of constraints is determined based on probability. In a StOT analysis, the researcher develops and assigns a probability to each candidate based on how likely this candidate is to be selected as optimal. Compare the traditional OT ranking in (134) to the stochastic ranking in (135).

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(134) Traditional OT Ranking

C1 >> C2 >> C3 >> C4 >> C5

Example (134) represents strict (unweighted) dominance in traditional OT. It is apparent that each constraint is more highly ranked than the one that follows, but the ranking gives no hint of how closely valued each constraint is within the larger grammar.

(135) Stochastic OT Ranking

C1 C2 C3 C4 C5 high low

Example (135), on the other hand, provides information regarding not only the order of the constraints but also their relationship to one another. This methodology allows the researcher to rank the constraints in such a way that their relative distances can be calculated, manipulated, and evaluated. These rankings are further compounded by adding “noise” to the grammar. This noise allows for some mutability between constraint rankings. If the probability scores assigned to a given constraint B and a given constraint C are very close, the addition of noise may create a scenario where these constraints can switch rank; this is shown in (136).

(136) Evaluation ranking: Grammatical Ranking + Noise

C1 C2 C3 C4 C5

high low

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In the example above, the ranking Constraint B >> Constraint C will predict the correct optimal candidate 90% of the time, whereas the ranking Constraint C >> Constraint B will prevail the remaining 10%. This format makes StOT well suited to analyzing elements traditionally associated with phonology, but also provides for the inclusion of elements such as phonetics or performance (e.g. the role of the speaker/listener in first language acquisition) within the grammar.

Despite the increased scope of StOT, this framework does not offer an ideal solution to the variation found in Central Venetan. The issue with Central Venetan resides not in variability or a conflation of phonetics and phonology, but rather in a complex system of harmonizing processes and blocking conditions. As a result, StOT does not provide the enhanced abilities necessary to address the opacity found in Central Venetan.

8.2.1.2 Harmonic Grammar and Serial Harmonic Grammar

Another alternative form of OT31 worth mentioning is the recent framework of Harmonic Grammar (HG, Legendre, Miyata and Smolensky 1990; Smolensky and Legendre 2006). This variety adopts a methodology that is radically different from traditional Optimality Theory; in HG, the optimal candidate is derived through Harmony Maximization. Whereas CON is composed of, in traditional OT, a set of constraints which are either violated or satisfied and are crucially ranked with regard to one another, both the

31 I call Harmonic Grammar a form of OT, though perhaps it is more accurately a close relative of OT, as it was developed alongside OT and shares many features of OT but is not technically an offshoot of OT, though it certainly has been described as such (Pater, forthcoming). Nevertheless, despite the fact that its earliest reference predates OT, Harmonic Grammar and Serial Harmonic Grammar have been explored more frequently in recent years within the OT literature. I thus include it here as relevant, if not technically an enhanced framework of OT. 227 notions of violability and strict dominance are abandoned in HG. In order to calculate a given candidate’s harmony score, each constraint, Ck, is assigned a numerical weight, wk, and the candidate receives a score for its violation or satisfaction of each constraint. This violation or satisfaction score is then multiplied by the weight of the constraint, wk, and the final score is achieved. The following equation expresses this process (Pater 2009: 8).

(137) Harmony

∑ k k

Though this may seem to be a complex system, the implementation of weighted constraints is actually quite simple in practice. Take for example a simple case of final devoicing, which necessarily constitutes a ranking of some constraint that stipulates that final consonants must be voiceless over the faithfulness constraint that requires that the voicing of a consonant remain unchanged. Two such constraints are outlined in (138) and

(139).

(138) *Coda-Voice Coda consonants must be voiceless.

(139) Ident-Voice Do not change the specification for the feature [voice].

Since this is a relatively simple alternation that can be explained in Traditional

OT, a simple 1 and 2 ranking, with the higher ranked constraint being assigned the higher score, suffices. The result is shown in Tableau 84.

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2 1 Harmony Score /bad/ *Coda-Voice Ident-Voice bad -1 -2 pad -1 -1 -3  bat -1 -1 pat -1 -2 Tableau 84 Harmonic Grammar analysis of final devoicing (Pater 2009: 9) One interesting result of adopting this approach is seen in the desirability of the suboptimal candidates. In a traditional OT analysis, /bad/ and /pad/ would each be seen as equally undesirable due to the fact that each candidate violates the undominated constraint a single time. The remaining two candidates, /bat/ and /pat/ are then left to vie for selection as optimal. The obvious issue with this is that the completely undesirable /pad/ – which shows devoicing of the wrong segment, yet retains the undesirable voiced coda – is viewed as equally ill-formed as the faithful candidate. This is not the case, however, in an HG analysis. The weighted constraints allow /pad/ to be rightfully selected as the least optimal candidate among the four, with /bad/ and /pat/ being chosen as suboptimal but still superior to /pad/. The decision to adopt a weighted model of OT is now one that should be undertaken lightly. According to Pater (2007), weighted interaction is too powerful for

HG to function as a realistic model of human language (cf. Prince and Smolensky 1993/2004: 236; 1997: 1608, Legendre et al. 2006b). Nevertheless, this could prove an interesting avenue for analysis of metaphony – as Kimper has already begun to explore – though more thorough investigation of its use for this and similar paradigms is left for future research.

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8.2.2 Penalization versus reward

In his 2012 dissertation, Wendell Kimper adopts Harmonic Serialism as the basis for the introduction of a groundbreaking new approach to vowel harmony and opacity: the theory of competing triggers. This proposal centers upon the premise that OT constraints should be weighted, much like the constraints in Stochastic OT and Harmonic Grammar. However, where Kimper’s proposal differs from its predecessors is that he posits that a positively formulated constraint is the driving force behind harmony.

Whereas conventional constraints are violable and weighted constraints are typically assigned negative scores, Kimper’s positive harmony constraint instead provides a reward for the satisfaction of a constraint instead of penalization for the failure to satisfy a constraint. Positively formulated constraints are untenable in traditional OT due to the Infinite Goodness Problem (Prince (2007), Kimper (2011), to appear, Bowman (2013)). This problem arises due to the fact that, if a candidate is rewarded for possessing a given feature F and every instantiation of F is rewarded, the candidate featuring an infinite number of instances of feature F will be selected over a candidate with fewer instances of F. This is illustrated clearly by Bowman (2013: 8):

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– + Spread[±Back] DepC H … … /ä + a/ – + 0 0 … ä + a – + 1 0 … ä + ä – + 2 1 … ä + ä ä – + ∞ ∞ … ä + ä ä ä ä ä ä ä ä… Tableau 85 The Infinite Goodness Problem

Within the framework of Harmonic Serialism (McCarthy, 2000, 2002, 2007), the restrictions upon well-formedness prevent this undesirable outcome, as the infinitely

good candidate will never represent a harmonically improving and gradually formed candidate, since epenthesis and linking cannot be carried out in a single step, thus making it impossible to gradually add segment after segment just to reap infinite rewards. In a competing trigger analysis, each constraint is assigned a weighted value. Higher-ranked constraints have higher weights than their lower-ranked counterparts,

though due to the fact that these constraints are weighted, a single violation of an undominated constraint can still win if there are multiple violations of a lower constraint.

Take the weights in Tableau 86, which shows a hypothetical case wherein Candidate A has been assigned a weight of 3 and Candidate B had been assigned a weight of 2.

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Constraint 1 Constraint 2 /input/ H 3 2 [output 1] -1 -3  [output 2] -1 -2 Tableau 86 Calculation of Harmony Scores

Each output form has a single violation of one of the two constraints. Candidate A violates Constraint 1 once, giving it a harmony score (shown in the right hand column) of

-3. Note that, in the absence of a positively formulated constraint, each candidate will receive a negative score. Candidate B, on the other hand, receives a score of -2 for having incurred one violation of Constraint 2, which was assigned a weight of 2. Since -2 > -3, Candidate B is selected as optimal. In this example, the outcome is identical to the one that would be arrived at in a traditional OT analysis. Once the number of violations increase, however, the value of the weighted constraints becomes more important than their relative rank. This is shown in Tableau 87.

Constraint 1 Constraint 2 H 3 2  [output 1] -1 -3 [output 2] -2 -4 Tableau 87 Increased weight leads to new optimal candidate from same hierarchy

In Tableau 87, the two violations incurred by Candidate B – despite the fact that both violations are of the less-highly-ranked constraint – give Candidate A a higher harmony score than Candidate B. As observed by Pater (2009) and Prince (2004), the reversal of these optimal candidates is only possible if there is an asymmetrical tradeoff – if two or more violations of Constraint B are able to gang up to create a higher score than a single violation of Constraint A. Most grammars generated in this framework will 232 produce symmetrical tradeoffs wherein the cumulative total of any given candidate will, due to the give and take nature of markedness and faithfulness, fail to be affected by multiple violations of any one constraint. However, the existence of this possibility allows for problematic opaque paradigms to be analyzed, as the difference between opacity and transparency can be captured by the exact weight given to each constraint. In the case of the positive harmony constraint, this value reflects both the locality and strength of a given trigger, and is notated as a positive, rather than negative, value. Non-adjacent targets and triggers are assigned a lower score than adjacent targets and triggers, resulting in adjacent spreading being favored over non-adjacent spreading. The formula for assigning these values is given in (140).

(140) Scaling factor: non-locality (Kimper 2011: 76) For a trigger α and a target β, multiply the reward earned for the dependent segment β by a constant k (such that 1> k > 0) for each unit of distance d intervening between α and β

This formula ensures that local harmony (assigned a value of 1) will always provide a higher harmony score than non-adjacent harmony. The effects of this scaling factor can be seen in Tableau 88 and Tableau 89, below; since Kimper works in the framework of Harmonic Serialism, each pass is represented until convergence is reached (Kimper 2011:

82-83).

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Step 1 [+][-][-] SPREAD(+ATR) IDENT(ATR) H 3 1 pi-tɛ-kɔ [+][-][-] 0.0 pi-tɛ-kɔ [+][-][-]  +1 -1 2.0 pi-te-kɔ [+][-][-] +0.5 -1 0.5 (+1 * 0.5) pi-tɛ-ko Tableau 88 First Pass Step 2 [+][-][-] SPREAD(+ATR) IDENT(ATR) H 3 1 pi-te-kɔ [+][-][-] +1 3.0 pi-te-kɔ [+][-][-]  +2 -1 5.0 pi-te-kɔ Tableau 89 Second Pass

Step 3: Convergence (not shown) After the second pass through the grammar, the optimal output is the most harmonic that can be created in this grammar. A third pass through the grammar would generate the same optimal candidate, and thus convergence is reached at the third pass, which is not pictured above. One major advantage of the positively formulated harmony constraint is that, unlike most typical harmony constraints, such as Agree or Align, this constraint is capable of rewarding any instance of harmony, regardless of adjacency or position within

234 the word. However, perceptibility and strength of the target and trigger segments are also taken into account. This means that spreading from a perceptually weak trigger – which has a greater investment in its properties being assimilated by another segment – to a stronger target is rewarded more highly than spreading from an established strong trigger to any other environment.

(141) Scaling factor: trigger strength (Kimper 2011: 96) For a trigger α, a target β, and a feature F, multiply the reward earned for the dependent segment β by a constant x (such that x > 1) for each degree i to which α is perceptually impoverished with respect to ±F.

By adjusting the scale for these dual motivations for harmony, Kimper employs positive harmony constraints in conjunction with other traditionally employed (negatively formulated) constraints in order to address non-adjacent harmony in languages that demonstrate a pattern similar to the one in Central Venetan. For example, in the case of f oruba, the desirable outcome is a grammar that generates the transparent outcome.

For the transparent grammar, convergence is reached in only two passes, each represented by its own tableau; Tableau 90 and Tableau 91 (from Kimper 2011: 82) show the ranking and weightings that interact to create this optimal grammar.

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[-][+][-] *(+HI, - ATR) SPR(-ATR) SPR(+ATR) ID(ATR) H 8 6 1.5 1 ɔdidɛ [-][+][-] 0.0 ɔdidɛ [-][+][-] -1 +1 -1 -3.0 ɔdidɛ  [-][+][-] +0.5 3.0 (+1*0.5) ɔdidɛ [-][+][-] +1 -1 0.5 odidɛ Tableau 90 tep If oruba first pass

[-][+][-] *(+HI, - ATR) SPR(-ATR) SPR(+ATR) ID(ATR) H 8 6 1.5 1 ɔdidɛ  [-][+][-] +0.5 3.0 (+1 * 0.5) ɔdidɛ [-][+][-] +1.5 -1 0.0 (+1 * 0.5) + 1 ɔdidɛ [-][+][-] +1 -1 0.5 odidɛ Tableau 91 tep If oruba second pass convergence

In y oruba, on the other hand, the harmony surfaces as opaque. The resulting grammar, though it utilizes the same constraints and the same ranking as the grammar for f oruba, above, selects the opaque candidate as optimal. The difference between transparency and opacity in this framework is distinguished only be the weight of each

236 constraint, specifically the Spread constraint. By increasing the weight given to Spr(+ATR) from 1.5 to 5, Candidate D’s harmony score is increased from .5 to 4, vaulting it ahead of the winning Candidate A from the first pass in Tableau 90, and instead producing the desired optimal candidate /odidɛ/, shown in Tableau 92 (Kimper 2011: 83).

Step 1 [-][+][-] *(+HI, - SPR(-ATR) SPR(+ATR) ID(ATR) ATR) H 6 5 1 ɔdidɛ 8 [-][+][-] 0.0 ɔdidɛ [-][+][-] -1 +1 -1 -3.0 ɔdidɛ [-][+][-] +0.5 3.0 (+1 * 0.5) ɔdidɛ [-][+][-]  +1 -1 4.0 odidɛ Tableau 92 Step 1: y oruba first pass

Step 2: y oruba second pass convergence (not shown)

With the increased value assigned to Spread(+ATR) in Tableau 92, the desired optimal candidate is reached in a single pass through the grammar, which reaches convergence on its second pass. These tableaux clearly illustrate the differences between traditional OT (and other enhanced frameworks that retain the strict, ordinal ranking of traditional OT) and versions of OT that adopt ranked and weighted constraints. Whereas the difference between a transparent and opaque language in traditional OT would arise

237 from different permutations of a given grammar, expressed via constraint rerankings, ranked versions of OT can retain the same constraint ranking and achieve the desired result merely by adjusting the weight of each candidate. As is the case with any new framework, there is little research that has been carried out utilizing the theory of trigger competition. Bowman (2013) successfully employs competing triggers and the positive harmony constraint to analyze backness harmony in Hungarian and Seto. In doing so, he creates a typology of the various potential applications for these mechanisms; this is shown in (142) (Bowman 2013: 7-8).

(142) Typology: Distance and Trigger Strength When constraints are weighted to allow for harmony, Bowman outlines the following typological generalizations that are capable of accounting for the various relationships created by the interaction of trigger strength and distance multipliers. The strongest trigger in the inventory (that which

is the least prone to be transparent) is referred to as vs and the weakest (that which is the most prone) is referred to as vw.

a. k*x[vs] < x[vw] Strictly Local Harmony (Oyo Yoruba, Kimper 2011) Local harmony from weak trigger vw will always receive a higher reward than long-distance harmony from a strong trigger vs. Any neutral words will be opaque.

n b. k*x[vs] ≥ x[vw] ≥ k * x[vs] Vowel harmony with distance-sensitive transparency (Hungarian) Long distance harmony from strong trigger vs will receive a higher reward than local harmony from weak trigger vw, as long as the distance involved is less than n. Tokens of vs cannot spread harmony past any more than n segments, because beyond this point, the distance penalty will diminish the reward for spreading

so greatly that it is better to spread from a nearby token of vw. If vw

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is a neutral vowel, then individual tokens of vw will be transparent, but sequences of n tokens of vw will be opaque.

n c. K * x[vs] >> x [vw] Vowel harmony with categorical transparency (Seto) If this inequality holds for large values of n (i.e., if k is 1 or near 1), then distance effects cease to appear. Long distance harmony from

strong trigger vs will receive a higher reward than local harmony from weak trigger vw in all cases. If vw is a neutral vowel, it will be transparent.

The desired pattern in Central Venetan does not clearly fall into any one of these typologies. The primary metaphony that arises as the [+high] post-tonic vowel triggers raising of the underlyingly [-high] tonic vowel – regardless of its position – fits the schema outlined in c. Since trigger strength is more important than adjacency for this initial metaphonic raising, the distance-sensitive patterns in a and b would not be appropriate for Central Venetan. If the metaphony in Central Venetan truly were categorical and lacking any blocking conditions, this would be sufficient to account for its paradigm. However, since the complexity of Central Venetan lies in its combination of metaphony, secondary harmony, and opaque blocking vowels, the formulas given in (142) would not be sufficient to predict the secondary harmony present in Central Venetan. In Central Venetan, the positively formulated harmonizing constraint could lead to the undesirable overapplication of metaphony to contexts where it should not apply. In order to achieve the desired outcome for Central Venetan, the constraints would need to be weighted in such a way as to generate categorical metaphony yet ensure that the complementary harmonizing process does not occur in the absence of the primary metaphonic raising. In order to do this, there would essentially have to be two different

239 positively formulated harmony constraints – the Spread constraint used by Kimper (2011) and Bowman (2013) cannot without modification address the specific recessive-dominant harmony characteristic of metaphony. However, it is possible that a positively formulated Licensing constraint could be employed, alongside Spread and the blocking conditions necessary to ensure the [-ATR] vowels were subject to neither metaphony nor concurrent harmony. This question is left for future research.

8.3 TOWARD AN IDEAL SOLUTION

Though there are many varieties of OT, it cannot be disputed that an idealized version of Optimality Theory would be capable of many things and yet simultaneously incapable of others. In examining the three potential options for addressing Central Venetan, I argue that the preferable solution is the one which exhibits the most characteristics of an ideal form of Optimality Theory with the fewest weaknesses. This proves to be in some ways a call for minimalism and a return to the original tenets of OT while simultaneously embracing innovations that offer increased analytical capabilities without sacrificing the true nature of OT. It should at this point be evident that OT-CC offers a greater analytical range than traditional OT and even most enhanced OT frameworks. Though there are always new versions of OT that may prove equal to – and perhaps even superior to – OT-CC, at this juncture in time I find OT-CC to be the most ideally suited vehicle for analyzing the multiple opaque paradigms presented by the Spanish and Italian dialects explored in this dissertation. As Kimper (2011, to appear) rightly notes in regard to Harmonic Serialism, the restricted GEN of serial OT frameworks is useful for analyzing harmony, as it prevents the generation of infinitely good candidates and ensures that only the most harmonic candidates are produced by GEN. OT-CC improves upon the framework of 240

Harmonic Serialism by allowing for not only the Input-Output correspondence of each single step in HS, but also for the evaluation of specific LUM sequences. As shown in Chapter 6, the simultaneous evaluation of the LUM sequence and terminal link was necessary to account for varieties of metaphony presenting multiple sources of opacity. Additionally, Montreuil (2010, forthcoming) has already demonstrated the usefulness of OT-CC in addressing multiple opacity in regional French.

The decision to adopt OT-CC over another framework of OT still does not answer the most pressing question remaining: which of the three potential solutions presented in

Section7.2 offers the most desirable, the most optimal, solution to the problematic opacity found in Central Venetan? This decision centers upon the answer to three major questions. First, should the framework of OT-CC, specifically the gradualness requirement, be altered in order to account for the variation in Central Venetan? Second, should the constraint inventory of OT-CC be supplemented by the addition of a

Subsequence constraint in order to provide a counterpart to Precedence and account for each possible LUM sequence? And third, should both the constraint hierarchy of OT-CC and its infrastructure be left in place and instead choose to use narrowly defined markedness constraints in order to account for the Central Venetan data? Section 8.3.1 explores the role of gradualness in an effective OT-CC analysis and Section 8.3.2 explores the importance of CON in OT (and OT-CC) analyses – including a history of CON – with a focus on the characteristics of desirable and undesirable constraints.

8.3.1 The importance of gradualness

The first (and perhaps most drastic) approach explored to address the impotence of OT-CC in addressing the opacity found in Central Venetan Data was to alter the definition of gradualness that was integral to McCarthy’s (2007) original formulation of 241

OT-CC. This solution was suggested by Walker (2008), with the introduction of “relaxed gradualness,” defined in (143) (A reproduction of (117)).

(143) Proposed definition of local optimality (Walker 2008)

a. Harmonic improvement: For every pair of immediately successive forms in C, < …, fi, fi+1, …> (0≤i (0≤i (0≤i

This option, however, seems already to have been dismissed by other researchers and possibly its own author, since Walker has not retained her notion of relaxed gradualness in subsequent articles (Walker 2010). Indeed, recent research McCarthy

2008a, Kimper 2012) has already cast doubt on the usefulness and desirability of altering the gradualness requirements outlined by McCarthy (2007). Recall the Chamorro umlaut

242 problem presented by Kaplan (2011) in 7.3.1.1. With strict gradualness, an OT-CC analysis of Chamorro umlaut is possible, as shown in Tableau 93, below.

i gúmaɁ Ident[-back] Lic([-back]prefix,σ ) Ident[+back]  < i gúmaɁ, i g maɁ> * *! /i pulónnun/  Tableau 93 Chamorro umlaut with strict gradualness

With the introduction of relaxed gradualness, however, the grammar no longer generates the desired optimal candidate, as the fell swoop derivation from /i pulónnun/ to /i pilénnun/ is suddenly a licit LUM sequence. This undesirable outcome is illustrated in Tableau 94.

i gúmaɁ Ident[-back] Lic([-back]prefix,σ ) Ident[+back]  < i gúmaɁ, i g maɁ> * *! /i pulónnun/ *!  Tableau 94 Failure of relaxed gradualness for Chamorro

In light of the issues already noted regarding relaxed gradualness, it seems unwise at this point to consider relaxed gradualness as a solution to the non-adjacent metaphony in Central Venetan, despite the fact that this tactic does indeed prove useful for this particular data set. Since the choice between strict and relaxed gradualness is one that must be made for the entire OT-CC framework – and not a selection that researchers can 243 make on an ad hoc basis – it is obvious that any solution that jeopardizes existing successful analyses of other languages cannot be considered ideal. In the face of the ever-growing number of successful OT-CC analyses already existing in the OT literature and based on McCarthy’s original conceptualization of gradualness, the ideal solution to the Central Venetan opacity must be one which can be adopted by researchers when necessary but will not affect the work of previous researchers.

If altering the basic framework of OT-CC has been demonstrated to be undesirable, yet this framework is still advantageous in most every other variety of opacity, then the optimal solution must rest not in the structure of OT-CC, but rather in the constraints that are available for the creation of an OT-CC grammar. This dissertation has explored two potential constraints capable of addressing the opacity found in Central Venetan: *Skip (Kimper 2011) and Subsequence.

8.3.2 Enhancing OT: the role of CON

There is no better place to begin this discussion than with, quite literally, the beginning: the earliest conceptualization of CON. As discussed in Chapter 2, OT was born as a primarily parallel system of analysis that was couched in the derivation of complex grammars from simple constraints. Today there exist no fewer than 1,666 individual constraints (Ashley et al., 2010) in the published literature on OT; these are divided primarily into featural (915 individual constraints), prosodic (770 individual constraints), phonotactic (766 individual constraints), and segmental (661 individual constraints) constraints, though the full inventory includes a dozen other constraint families (Ashley et al., 2010: 9). However, Optimality Theory in its infancy had a relatively small number of constraint families; Prince and Smolensky’s (1993) original treatment included only 29 markedness, 6 faithfulness, and 5 alignment constraints (Ashley et al., 2010: 20), As OT 244 research has exploded, so has the number of constraints which comprise CON: from 1995 to 2008, between 34 and 209 new constraints were introduced each year (Ashley et al., 2010). In fact, it seems that researchers, when first confronted with the now well attested shortcomings of Traditional OT, responded primarily through the introduction of innovative constraints. Surprisingly, beyond the original axiom of “constraints are universal,” there were (and still remain) very few restrictions on constraint formation. Even this guideline has been applied with questionable uniformity. This lack of a clear set of rules for constraint formation has led, of course, to the proliferation of many questionable constraints. In a reaction to this, there has been some further discussion regarding what, exactly, constitutes a good constraint; one small set of guidelines proposed by McCarthy (2002) proves relevant to the current discussion. McCarthy is not vague when he cautions the user to avoid constraints that refer to a rule in derivational phonology; he is clear these should be avoided. In discussing these constraints I will refer to these as process-centered constraints, as they penalize not a deviation from the input or a marked segment, but rather the application of a given process or processes.

8.3.2.1 Process-centered Constraints

It is the first of these conditions that proves to be most relevant to the current discussion. Some of these early constraints were obviously references to an older rule – one finds constraints such as PAL(ATALIZE), for example, which was used to ensure allophonic palatalization of obstruents in Russian (Padgett 2003). However, even the No- Gap constraint used in 7.1.1, despite its innocuous name, falls into this undesirable category; this constraint is reproduced once again in (144).

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(144) No-Gap Gapped configurations are prohibited *V1 V2 V3

[F]

Since penalization of No-Gap hinges upon the association of a given feature between two or more segments, this constraint is essentially penalizing an action, not a structure. In other words, No-Gap doesn’t penalize the structure found in (145), which is on the surface identical to the prohibited structure found in (144) but is instead composed of two separate non-linked specifications for the feature in question.

(145) Underlying gapped configuration V1 V2 V3

[F] [F]

No-Gap thus does not truly constitute an analysis of instance of Input-Output correspondence, but rather it penalizes the process of linking a given feature F to any other segment than the one to which it was originally linked. In other words, this constraint neither functions like a markedness constraint, in penalizing a surface structure, nor like a faithfulness constraint, in penalizing a deviation from an underlying structure. This constraint specifically only penalizes a surface structure (V[+high], V[- high]V[+high]) resulting from a specific faithfulness violation (DEP-LINK, or something similar). This alone is enough to make No-Gap a somewhat questionable, if not downright illicit, constraint. This realization carries with it a similar judgment for the case of *Skip. Unlike No-Gap, which is named in such a way that it does not initially appear to refer to an

246 action, but rather to a surface structure, *Skip clearly indicates by its nomenclature the fact that it does, indeed, penalize an action. Indeed, the description of this constraint confirms this shared flaw.

(146) *Skip Assign one violation for every segment of type X that intervenes between two segments that are linked to the same instance of a feature F.

Because *Skip, like No-Gap, is intended to penalize not a surface form but the action that must have been undertaken in order for the particular candidate to exist, it faces the same criticism that No-Gap does. However, even if *Skip were to be re-examined and reformulated as merely a detailed markedness constraint that would penalize both the structures in (144) and (145), there may still be sufficient justification to avoid using such a narrowly defined markedness constraint.

8.3.2.2 Universality

This brings us to what is perhaps the most basic stipulation for constraints in OT: all constraints must be posited as universal. A constraint such as *Skip raises some questions as to its universality, since it essentially constitutes a complex blocking condition like the one McCarthy (2003) advocated against in the context of Agree. On one hand, *Skip establishes itself as theoretically plausible due to the fact that it is based upon a hierarchy, in this case the non-controversial categorization of vowels as being high ([+high, -low]), low ([-high, +low]), or mid ([-high, -low]). However, it remains to be demonstrated whether this constraint is one which could be applied in multiple languages or different situations. Another drawback in selecting a narrowly defined constraint such as *Skip(mid) over the alternative approach proposed in this dissertation is that *Skip(mid) solves the 247 opacity presented by Central Venetan, yet fails to offer a solution for other situations that deal with horizontal gradience in the absence of blocking conditions. Subsequence, on the other hand, provides researchers with a valuable tool to address instances of horizontal gradience in any context, regardless of whether or not the individual tokens involved (in this case, the vowels themselves) exist upon a hierarchical scale that could be manipulated in such a way as to make narrowly defined markedness constraints adequate to produce a successful analysis. Taking the many elements discussed in this section into consideration, there appears to be a stronger justification to adopting Subsequence – which represents merely the addition of a broad and widely applicable constraint to the ever growing constraint hierarchy – instead of a less generalizable, and possibly less universal, constraint formulation which can possibly only be used in this particular dialect.

8.4 THE BENEFITS OF SUBSEQUENCE-ENHANCED OT-CC

It is clear at this point that the potential solutions of relaxed gradualness and narrowly defined markedness constraints are accompanied by less than desirable consequences, whereas the Subsequence-based analysis in Chapter 7 demonstrated both the efficacy of Subsequence and the absence of undesirable and unanticipated outcomes for other instances of opacity. Subsequence lacks the potential issues regarding both questionable universality and the apparent penalization of a process rather than a structure, both of which are seen in the targeted *Skip constraints.

Instead, the use of Subsequence mirrors the derivational lookahead provided by Local Ordering in Derivational Phonology (Anderson 1969, 1974). As mentioned in Section 3.1.3, by introducing Precedence, McCarthy already set the precedent for incorporating this enhanced ability within OT-CC, and the overwhelming majority of the 248

OT-CC research carried out to date has quite successfully employed Precedence (or Split- Precedence) in order to address difficult types of opacity. As discussed in Section 7.5, the introduction of Subsequence allows for all LUM sequences to be assessed in OT-CC; the complete scope of the Concatenation constraints is seen in Table 8 (a reproduction of Table 6).

A B A  B *B-then-A A * B * B, A * * * A, B Table 8 Actions of the Concatenation Constraints

By couching the solution to opacity within the LUM sequence, concatenation constraints such as Precedence, No-Flip, and Subsequence allow researchers the flexibility to account for any required order within the LUM sequences. Precedence can prevent the unwanted application of a given change to segments that should not be affected; No-Flip effectively limits the overapplication of a process to segments which should not be valid targets, a power which is especially useful for paradigms exhibiting vertical or scalar gradience; and Subsequence ensures that a process or combination of processes affect all valid targets, which proves to be essential to addressing opacity resulting from horizontal gradience. The adoption of Subsequence preserves the existing structure of OT-CC and solves the opacity found in Central Venetan in a manner that is generalizable to other dialects and not deleterious to previous research.

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8.5 RECAPITULATION

This chapter contains a brief history and exploration of serial OT leading up to the introduction of OT-CC and a number of alternative frameworks developed alongside and subsequently to OT-CC. This discussion provides justification for the adoption of OT-CC as a vehicle for phonological analysis and treatment of multiple types of opacity. This choice is motivated both by factors that are specific to phonology and phonological analysis as well as larger trends within the field of generative linguistics. Compared with

Traditional OT and previous enhanced OT frameworks, OT-CC offers researchers the ideal combination of an expanded ability to deal with opacity without sacrificing the many desirable elements of Traditional OT. Optimality Theory with Candidate Chains has been demonstrated to effectively address virtually all types of phonological opacity. Though no framework may ever be capable of functioning as an infallible generator for every possible grammar, OT-CC offers one of the most promising frameworks introduced to date.

Additionally, this chapter explored the potential applicability of these new frameworks for the analysis of the opacity found in Central Venetan. The novel enhanced frameworks of OT explored in this chapter prove, at present, to be incapable of addressing the paradigm found in Central Venetan. Despite the current inability of OT- CC to address this data, however, there are currently three possible solutions that have been presented within the framework of OT-CC that prove capable of handling this difficult variation.

The first of these solutions, the alteration of the gradualness requirement as proposed by Walker (2008) proved impossible, as this proposed change had undesirable ramifications on other existing analyses of other languages, which are rendered incapable

250 by the introduction of relaxed gradualness. The second, the use of narrowly defined markedness constraints, proves more promising, though it is not without its flaws. Using such narrowly defined constraints is a choice that has been derided by McCarthy (2003), and the specific *Skip constraint in question penalizes an action, not a structure; the use of constraints that pertain to processes is almost universally eschewed. Thus the most viable solution to the opacity found in Central Venetan is the introduction of

Subsequence, a choice that has no effect on existing analyses, nor does it share the questionable nature of a constraint such as *Skip. In fact, the use of Subsequence allows the researcher to forgo the use of the (functionally) related No-Gap constraint, which faces similar criticism for its penalization of a process. The evidence presented in support of both OT-CC and the innovative Subsequence constraint provides strong justification for the use of these strategies for addressing similar types of opacity. However, as this field like all ongoing fields of research is ever-evolving, the endorsement of OT-CC and Subsequence is not intended to be the final word on this subject, nor is it designed to be a solution to every type of opacity. Chapter 9 explores the guidelines and limitations for the use of Subsequence, including a discussion of ongoing and potential future research centered upon this framework.

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9 Conclusion

This dissertation has provided an exhaustive look at the many varieties of metaphony found in the Italian dialects, offering a theoretical accompaniment to Maiden’s (1991) descriptive compendium on the phenomenon. n exploring this data, these analyses have shown the greatly enhanced analytical scope of serial OT as compared to its traditional, parallel counterpart. Additionally, this work tested the limits of OT-CC, which in its current incarnation is successful in addressing all but one of the metaphonic paradigms found in Italy. Though there may never arise a framework of phonological analysis that manages to be a perfect, all-encompassing vehicle for analysis, Optimality Theory with Candidate Chains has proven to be a very effective tool that is useful for virtually all types of opacity. As shown in Wolf (2011) the use of Precedence and Split Precedence makes OT-

CC easily adapted to address several varieties of both counterfeeding and counterbleeding. The exact usefulness of each type of constraint, including the metaconstraint, is outlined in Table 9 (repeated here from Table 1).

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Version of Precedence Metaconstraint Type of Opacity ‘Ordinary’ counterbleeding (McCarthy 2007a) ‘Ordinary’ counterfeeding (McCarthy 2007a) Intact Yes Counterfeeding from the past (Wilson 2006) Opaque feeding (Lee 2007) Nonderived environment blocking (Wolf 2008) Obligatory counterbleeding (Wolf 2008) Intact No Mutual counterbleeding where the processes violate different basic faithfulness constraints Mutual counterfeeding Split Yes Self-counterfeeding Mutual counterbleeding where the processes Split No violate the same basic faithfulness constraint Table 9 Precedence, Split-Precedence, and the metaconstraint in OT-CC As Table 9 makes apparent, the analytical scope of OT-CC in dealing with phonological opacity is greatly increased not only from Traditional OT, but from many other enhanced frameworks of OT, as well. Where certain previous variations of OT have proven to be quite effective in dealing with a subset of opaque paradigms, OT-CC and the concatenation constraints that accompany it have already been successfully applied to virtually all types of opacity. The one shortcoming of OT-CC as it presently exists deals with its inability to address instances of horizontal gradience such as the one found in Central Venetan, in which multiple target segments within a word must each be subjected to metaphonic raising, yet only under certain conditions. Even when using Split Precedence (Wolf 2011) which refined the scope of McCarthy’s (2007) original instantiation of Precedence, the complicated system of metaphony and blocking segments found in Central Venetan proves unanalyzable with currently accepted constraints and strategies in OT. It is this

253 failure that motivated the main proposal of this dissertation, the introduction of a novel concatenation constraint, Subsequence. At this time, there exist several potential strategies to address this shortcoming, each of which has its own set of advantages and disadvantages. The proposal set forth in Walker (2008), which centered upon relaxing the gradualness requirements set forth in McCarthy (2007) to allow multiple violations of the same basic faithfulness constraint to apply simultaneously at multiple loci, is one such alternate solution. However, the modification of the original requirements for gradualness within LUM sequences, though a promising proposal at the onset, proved untenable. As Kaplan (2011) demonstrated, altering the basic requirements for gradualness within OT-CC, though it provides a solution to the problems presented by Central Venetan, has undesirable consequences for other data sets. This so-called “relaxed gradualness” led to the failure of an OT-CC analysis when addressing Chamorro umlaut phenomena, which requires the original definition of gradualness to produce the desired optimal candidates. A second alternative lies in the narrowly-defined and arguably process-centric constraints proposed by Kimper (2012), who addresses the rankings paradox posed by No-Gap and Licensing first discussed by Walker (2008). Kimper’s analysis of Central Venetan adopts two different *Skip constraints, each of which penalizes “skipping” over a segment of the eponymous value - *Skip(a), which penalizes the intrusion of /a/ between two associated vowels, and *Skip(mid), which penalizes the intrusion of a mid vowel between two associated vowels. However, even leaving aside the fact that these constraints essentially penalize processes rather than underlying structures, adopting such narrowly-defined constraints creates solutions that are at best questionably universal and at worse, to quote McCarthy (2011) in regard to the incorporation of blocking conditions

254 within a different markedness constraint, “antithetical to sound explanation in OT.” Though there are certainly those who would assert that constraints such as these provide the simplest – and thus best – solution to the opaque metaphonic paradigm found in Central Venetan, I would argue otherwise. OT (and OT-CC) is at its core a system for the generation of complex grammars from simple constraints. Erring too far in the opposite direction, by attempting to create a grammar using the fewest possible constraints, might lead to an apparently simpler grammar, but would have the end result of greatly diminishing either the flexibility of the system as a whole or its theoretical validity. The beauty of an effective OT analysis lies in its ability to take simple, categorical constraints that – in the absence of the proper ranking and constraint inventory – would be either powerless or inordinately powerful. Take for example some of the classic, unquestionably universal constraints that were among the first and most essential of CON: MAX and DEP. These two constraints reflect opposing forces, opposing strategies employed to different extents by different languages in order to achieve different results. They simply state that one must either avoid deletion (MAX) or avoid epenthesis (DEP) when faced with illicit patterns. It is the grammar of the language in question that ensures these constraints have their desired effect, no more, and no less. Though few constraints are as simplistic as these, this interaction and these properties comprise the very heart of an OT analysis. Abandoning universality or generalizability in favor of shorter, more elegant grammars may appear to be the easiest solution, but this solution does not true to the goals and tenets of OT. Thus, the adoption of Subsequence provides arguably the simplest solution to this issue, as it maintains more of the original goals and tenets of OT than its alternatives. In expanding the inventory of Concatenation constraints to include Subsequence, every directional relationship between

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LUM sequences can be accounted for, as can (virtually) every type of opacity. Adopting a solution that leaves the original framework of OT-CC intact provides researchers the option to use Subsequence – or not – depending on the data with which they are presented.

9.1 INTENDED APPLICATIONS FOR SUBSEQUENCE

As Rachel Walker (2008) rightly points out, the current framework of OT-CC is not well-suited to address multiple violations of a single faithfulness constraint at multiple loci that affect the markedness of only a single locus. Thus, the primary targets for the use of Subsequence are languages like Central Venetan that demonstrate horizontal gradualness coupled with some or all segments being rendered opaque while others may surface transparently. Recall that in Central Venetan, the impotence of OT-CC arose from a rankings paradox in which No-Gap and License demanded two different rankings to generate the desired LUM sequences and the intended optimal candidates. Tableau 95, a reproduction of Tableau 66, shows the ranking necessary to generate a harmonically improving chain from /ordeni/ to /urdeni/, and Tableau 96, a reproduction of Tableau 68, shows the repercussions of this ranking within the grammar for Central Venetan.

/ordeni/ License No-Gap ordeni *!  urdeni * Tableau 95 License >> No-Gap

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lavoravi Id-[lo] Lic[height] No-Gap Id-v Id-V[-lo] Id-V Id-v lavoravi *!  lavuravi * * Ident-V lavurivi Ident-V, * ! * Ident-low ordeni ordeni *! (FFC) ordini ordeni, ordini *! * Ident-low urdeni ordeni, urdeni *! * Ident-V[-low] urdini ordeni, ordini, urdini * * *! Ident-v, Ident-V[-low]  urdini ordeni, urdeni, urdini * * Ident-V, ident-v angoli  angoli * (FFC) ingoli *! * Ident-low inguli *! * Ident-low, Ident-v Tableau 96 Failure of License >> No-Gap in Central Venetan In this case, satisfaction of the Licensing constraint affected the markedness of the tonic vowel (one locus), and satisfaction of No-Gap affected the markedness of the intervening post-tonic vowel (another locus). However, since each of these constraints must not be dominated by the other in order to ensure harmonic improvement, the two are mutually incompatible. Precedence does not help in this case, because formulating a Precedence constraint that stipulated that a violation of Ident-V must be preceded by a violation of Ident-v would rule out not only the undesirable /lavoravi  lavuravi/

257 mapping but also all other instances of metaphony that do not involve an intervening unstressed vowel. The reverse Precedence constraint, which is included in Tableau 96, is similarly incapable of achieving the desired optimal candidates for all inputs. Thus regardless of the final constraint hierarchy, one locus will be left in a state that has not reached its maximum harmonic potential according to the observed pattern of the language in question.

In broader terms, this paradigm can be expanded to include any type of nonmyopic harmony – vocalic, consonantal, tonal, etc. – that results in both transparent and opaque surface representations within the same system. Essentially, in cases such as these, a subset of the paradigm demands one ranking for harmonic improvement and eventual selection of the desired optimal candidate, but another subset demands the reverse rankings. On the surface this may manifest as certain elements demonstrating total harmony, while others must surface with only partial harmony, when viewed horizontally. This gradient split-paradigm need not be restricted to harmony – any process or processes that result in horizontal gradience could prove to be amenable to a Subsequence-enhanced OT-CC analysis. Such an analysis allows for both partial and total spreading or agreement without resorting to gradient constraints. With such an approach, the researcher can avoid “sour grapes” phenomena32 and excessive spreading, problems that often plague similar analyses in a parallel framework. A case could also be made for the usefulness of Subsequence in analyzing violations of a single faithfulness constraint at multiple loci that decreases markedness at each locus. Anderson (1974: 230-234) suggests, in contrast to McCarthy (2008), that

32 “Sour grapes” refers to the fact that constraints like AGREE tend to produce either categorical spreading in the absence of blocking conditions or no spreading in the presence of blocking conditions. 258 variation of this kind requires simultaneous application of a rule at every locus meeting its structural description. Since this type of variation proves contentious with regard to the benefits of simultaneity versus gradualness, Subsequence may prove an ideal solution to this type of horizontal gradience. If certain languages would require the simultaneous application of a given faithfulness constraint in current incarnations of OT, yet others demand serial application to be successful, perhaps the adoption of Subsequence will prove equally advantageous as it has with the case of Central Venetan. Researchers working with languages or dialects which must have a single faithfulness constraint affect more than one segment within a word can choose to employ Subsequence, whereas others can simply rely upon the strict gradualness requirement to prevent its unwanted effects. The potential for Subsequence in analyzing this type of variation, however, demands further study.

9.2 POTENTIAL ADDITIONAL APPLICATIONS FOR SUBSEQUENCE

Initial exploration into the usefulness of Subsequence for other types of variation may also prove promising: Subsequence could potentially be employed in analyzing palatalization phenomena in Norman as well as intervocalic s-voicing in several Italian dialects, to name two possible uses in Romance linguistics. This section briefly discusses these two data sets, exploring why Subsequence may be useful in dealing with this and similar variation, as well.

9.2.1 Norman palatalization

Norman French demonstrates an interesting pattern of obstruent + liquid palatalization that is difficult to account for in Traditional OT. The palatalization of

259 obstruent + liquid onsets has affected the various Romance languages in different ways, resulting in a great deal of variation between the Modern Romance languages with regard to the synchronic manifestation of words originating from a Latinate obstruent + liquid cluster. Some of these outcomes are shown in (147) .

(147) Historical effects of palatalization in Romance

Latin Italian Spanish /kl/ /kj/ /ʎ/ or /j/ clamare chiamaire llamar ‘to call’ clave chiave llave ‘key’

/fl/ /fj/ /ʎ/ or /j/ flamma fiamma llama ‘flame’

/pl/ /pj/ /ʎ/ or /j/ pluvia piove lluvia ‘rain’

In the case of Modern Norman, this leads to a situation where a synchronic variation exists among various stages of palatalization and delateralization, occurring with and without cluster reduction. The outcome of palatalization, delateralization, and cluster reduction as attested in Modern Norman are shown in (148). The original Latinate cluster /gl/ is not posited as an input on the synchronic level; indeed, there are no varieties of modern Norman that preserve the original Latinate /gl/ today. Instead it is included here as the historical etymon, with /gʎ/ assumed to be the input for the relevant

260 polylectal grammar, as this represents the most conservative form still present in Modern

Norman. 33

(148) Palatalization Pathways in Modern Norman (Guerlin de Guer 1899)

I II III

/gj/ /g/

/gl/ /gʎ/ /l/

/ʎ/ /j/

In the diagram above, the forms in I, II, and III are all observed in modern varieties of Norman. Stage I represents the most conservative onset still found in synchronic variation. The Stage outcomes, /gj/ and /ʎ/ show one further degree of removal from the historical etymon, while dialects exhibiting the simplest onsets, those found in Stage III, show the most innovation compared to Latin pronunciation. Once again, though these stages represent more conservative and more innovative dialects, in the polylectal framework these all are posited to share a single, mutually intelligible input, in this case /gʎ/.

These various outcomes do not occur with equal frequency: /g/, for example, is virtually unattested, while both the Stage I and II outcomes are quite common. One of

33 For a more in-depth look at palatalization in Norman, see Montreuil (2009), which explores not only obstruent + liquid clusters from both synchronic and diachronic perspectives, but palatalization and depalatalization phenomena in general as they affect Bas-Norman. 261 the main questions created by the pathways outlined above pertains to the existence of forms like /jas/. Observing the second stage above, it seems equally likely that the intermediate stages /gj/ and /ʎ/ would both lead to the pronunciation /j/; however, this is not attested. Instead, the initial cluster /gj/ will only progress to /g/, leaving /j/ a possible outcome of only /ʎ/.

Adding to this complexity is the fact that this variation is essentially hierarchical: dialects exhibiting /gas/ can exist within larger areas of /gjas/, but dialects exhibiting /jas/ will not. Because of the intricate pathways that must be considered when constructing an analysis of this variation, a serial framework of OT is well-suited to addressing this paradigm. Without such an approach, any attested outcome could be predicted from any input, regardless of whether or not that form is a possible output for that given input. The judicious use of concatenation constraints – including both Split-Precedence and

Subsequence – is capable of reflecting these specific pathways, creating an analysis that is both theoretically and descriptively accurate. The resulting analysis would thus be both more grounded in reality, and more descriptive of the actual situation in Normandy, than its Traditional OT counterpart.

9.2.2 Voicing, gemination, and epenthesis in the Italian dialects

In regional varieties of Standard Italian the overall degree of s-voicing is highly variable (Krämer 2002, 2005), and the environments susceptible to s-voicing vary greatly across regions. Though s-voicing in Italian has been studied at length, one idiosyncratic position – word final /s/ – has not been previously examined in the literature. Though a

262 word-final segment would not be one that immediately stands out as one which might be subject to voicing, recently collected data (Ambrosetti 2009) suggests that this non-native segment actually triggers concurrent epenthesis and gemination, resulting in surface opacity. The behavior of s varies according to the dialect in question, though there are some major patterns that have been observed. In clitics and at word margins, s overwhelmingly surfaces as voiceless. Intervocalic voicing is not universally productive: voicing of the short strident s varies from region to region. Regional Italian in

Lombardia, Veneto, Lazio, and Puglia always exhibits intervocalic voicing; regional Italian in Marche never does; and s-voicing provides phonemic contrast in Toscana. Further confounding the issue is the behavior of s in prefixation. In some varieties – such as those of Lombardia, Veneto, Toscana, Lazio and Puglia - an s-final prefix is voiced, while in others - namely Marche - it is not. Despite the fact that s is voiceless following a sonorant in all varieties, post sonorant s can be voiced in Lombardia at the end of a prefix (e.g. tran[z]#atlantico ‘transatlantic’). Finally, stem-initial s never surfaces as voiced. These patterns are outlined in Table 10.

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Word LOM* VEN* TOSC* LAZ MAR PUG geminate a. passare [s:] [s] [s:] [s:] [s:] [s:] b. la passerella [s:] [s] [s:] [s:] [s:] [s:] s at word margin c. sussurrare [s] [s] [s] [s] [s] [s] d. lo spazzolino [s] [s] [s] [s] [s] [s] e. il gas [s] [s] [s] [s:] [s:] [s:] sonorant + s f. la mensa [s] [s] [s] [s] [s] s final prefix + C g. la disgrazia [z] [z] [z] [z] [z] [z] h. dispiacere [s] [s] [s] [s] [s] [s] s-final prefix + V i. disonesto [z] [z] [z] [z] [s] [z] j. disuguale [z] [z] [z] [z] [s] [z] k. bisunto [z] ? [z] [z] [z] [s] [z] l. transoceanico [z] [s] (-n) [s] [s] [s] [s] m. transatlantico [z] [s] (-n) [s] [z] [s] [s] n. il gasolio [z] [z] [s] [z] intervocalic s o. la casa [z] [z] [s] [z] [s] [z] p. la casina [z] [s] [z] [s] [z] q. il fuso [s] [z] [s] [z] [s] [z] r. lui chiese [z] [z] [z] [z] [s] [z] s. le chiese [s] [z] [s] [z] [s] [z] prefix + s-initial t. la resistenza [z] [z] [s] [s] stem u. la presupposizione [z] [z] [s] [s] v. risuonare [s] [s] [s] [s] [s] w. asociale [s] [s] [s] [s] [s] x. bisessuale [s] [s] [s] [s] [s] Table 10 s-voicing pattern by region (Ambrosetti 2009)34

This phenomenon has been studied before within OT; Krämer (2002, 2005) proposes an analysis that employs ALIGN and CONTIGUITY constraints and focuses on word-internal voicing. This analysis hinges on the neutralization of the s ~ z voicing contrast at word margins and is able to successfully account for many - but not all - varieties of word-internal voicing in Toscana, Lombardia, Lazio, Marche and Puglia.

34 Data marked by (*) are from Krämer (2002); all other data are original to Ambrosetti (2009).

264

One drawback to this approach is that Krämer’s analysis treats word-final s in the same fashion as s in any other position; this is a major flaw because word-final s is generally considered to be longer than s in any other position (Passino 2008). To date, however, I am aware of no published work that has sought to characterize word-final s in Italian. However, Ambrosetti (2009) produced new data that suggests that word-final s does not conform to the predictions made in any previous analysis. According to

Ambrosetti (2009: 16), word-final s is significantly longer (avg. length = 0.298s) than s in any other position (avg. length = 0.104s). This is a crucial difference, since there exists in Italian a phonemic contrast between regular s and geminate s; critically, the measurements that were gathered indicate not only that word-final s is longer than regular s in other positions, but also that word-final s is nearly double the length of geminate s (avg. length = 0.171s). These data suggest that this segment is actually subject to a process of supergemination, which has not been previously explored in either a descriptive or an analytical capacity. Additionally, this supergemination may be accompanied by the epenthesis of a final vowel, leading to /gas::ə/; this epenthesis creates a context where voicing would be predicted to occur in the absence of (super)gemination. The implications regarding the underlying status of word-final s have yet to be seen. According to the data collected by Ambrosetti (2009), speakers in all dialects rejected word-final s as a licit segment: all speakers resorted to either lengthening the /s/ - often to lengths that matched or surpassed these speakers’ values for geminate s – or epenthesizing a neutral vowel. Due to the small size of her study, no consensus was apparent within each dialect, as speakers chose to use epenthesis, gemination, supergemination, or a combination of these factors to resolve the undesirable word-final s. The result of these strategies is that forms such as il gas, ‘the gas,’ surfaced not as

265

Krämer and others report – as a faithful, short /s/ - but rather as any of the following forms:

(149) Surface Representations of ‘il /gas/’ a. /gas/  /gas:/ b. /gas/  /gas:e/ or /gas:ə/ c. /gas/  /gas::/ d. /gas/  /gas::e/ or /gas::ə/

If the underlying state of word-final s truly is /s/ instead of /s:/, the successful analysis of this pattern requires that the categorical voicing of intervocalic s occur in every situation except the surface /Vs:(:)V/ that arises due to the epenthesis of a word- final neutral vowel in order to reconcile the illicit word-final s with the phonotactics of Italian. Essentially, for word-final s, the framework must allow for the crucial ordering of LUM sequences reflecting either gemination or supergemination and epenthesis in such a way that voicing cannot follow epenthesis, gemination must precede epenthesis, and – for some speakers – gemination must be followed by an additional lengthening of the underlying singleton s. Without access to these sequences, epenthesis of the neutral vowel would prove to be the least marked – and thus optimal – vehicle for resolving word-final s. This proves problematic for two reasons: in addition to /VsV/ being unattested in the data for word- final s, the production of this form would have the undesirable result of triggering voicing in the resulting /VsV/ sequence. This means that /VsV could not be selected as optimal, leading to the selection of /VzV/ as the optimal candidate. Enhancing this analysis with

Subsequence, however, has the potential to ensure that germination would be followed by supergemination and/or vocalic epenthesis, ensuring that the desired optimal candidate

266 could be produced for any desired paradigm. This subject will hopefully be explored in future research from both a phonetic and phonological perspective.

9.2.3 Discussion

These potential uses for Subsequence support the proposal in Chapter 7, which asserts that the addition of a Subsequence constraint proves advantageous for the analysis of certain types of opacity that currently lack satisfactory solutions in OT-CC. In each of these different paradigms, the use of Subsequence may prove successful in creating grammars for each of these patterns that currently lack an optimal solution. Additionally, it should be noted that the Subsequence-enhanced analysis of Central Venetan demonstrated that the selection of even one additional constraint chosen to work in tandem with Subsequence can prevent the negative consequences predicted by Walker (2008) when she dismissed the concept of a Follow constraint family. Though additional research is of course needed to truly explore the limits of

Subsequence, this constraint offers a valid and successful solution to a problem that has proven to be virtually unsolvable in OT to date. As the opacity in Central Venetan was an instance of horizontal gradience, as are the other uses which have been discovered to date, the employment of Subsequence should at this point be considered to be primarily a vehicle for addressing problematic instances of horizontal gradience.

9.3 RECAPITULATION

Though the many applications and benefits of OT-CC are at this point well- documented and thoroughly explored throughout this dissertation, the opaque metaphonic paradigm characteristic of Central Venetan provides evidence that there is still room for improvement of this framework. This dissertation explored several potential solutions to

267 this opacity, culminating with an exploration of both the proposed Subsequence constraint and the larger question of which elements are most integral to the very nature of Optimality Theory. Additionally, this dissertation explored a number of nascent frameworks in OT that abandon many of its core principles in the name of resolving opacity and providing for the integration of multiple extralinguistic factors within the grammar. As these novel frameworks have only recently been explored, the comparison between OT-CC and weighted or positively formulated versions of OT is a question that is left for future research, and will certainly produce great discussions in the future.

Though it is undoubtedly premature to declare that OT-CC, or even Subsequence- enhanced OT-CC, is definitively superior to a positive or weighted constraint model in monostratal OT, this dissertation has shown this framework to be effective in addressing every major metaphonic paradigm presented by the Italian dialects under consideration.35 By presenting the data from a polylectal framework, the resulting analyses demonstrate the interesting repercussions of even the slightest constraint re-rankings: the promotion or demotion of Licensing or Identity constraints alone are able to account for almost every simple metaphonic paradigm found in the data. Incorporating the concatenation constraints provides a resolution to the remaining paradigms, proving that even the most complex cases of multiple opacity can be addressed by manipulating the desired LUM sequences. Subsequence-enhanced OT-CC offers a novel and useful approach for researchers needing to address instances of horizontal gradience, a phenomenon that has been

35 Though this dissertation did not provide analyses of all sixteen varieties presented by Maiden (1991), the dialects chosen for analysis were prototypical of all four target types and the three possible manifestations of metaphony: complete, scalar, and diphthongizing. Addressing variation between /i/- and /u/-metaphony, which necessitates the slight reformulation of the Licensing constraint, is left for future research. 268 difficult to address in most OT frameworks, without resorting to problematic gradient constraints. Thus, Subsequence-enhanced OT-CC avoids many of the criticisms levied on previous attempts at addressing similar instances of horizontal gradience and provides a solution that is composed of unquestionably universal binary constraints. The enhanced analytical powers provided by this innovation have already proven, in preliminary research, to be amenable to multiple schemata and phenomena and should prove a useful tool for future research in the field.

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Vita

Anne E. Gaskill was born in San Antonio Texas, and graduated with honors from the International School of the Americas. After high school, Anne attended the University of North Texas in Denton, Texas, where she received her B.A. in French with minors in Music and Italian. Originally majoring in Vocal Performance, Anne became interested in linguistics following her coursework in French, Italian, and Spanish at UNT. In 2004 she decided to leave opera and pursue graduate studies in Romance Linguistics. Anne was accepted to the Romance Linguistics program at the University of Texas at Austin in 2005, and chose to focus on French, Italian, and Spanish; she received her M.A. in December, 2008. Her academic interests include phonology, historical linguistics, comparative linguistics, dialectology, and grammaticalization. Anne currently resides in Austin with her husband and two children.

Permanent e-mail address: [email protected] This dissertation was typed by the author. 292