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Logical and Substantive Scales in Phonology Logical and Substantive Scales in Phonology by David Roland Mortensen B.A (Utah State University) 2000 M.A. (University of California, Berkeley) 2003 A dissertation submitted in partial fulfillment of the requirements for the degree of Doctor of Philosophy in Linguistics in the GRADUATE DIVISION of the UNIVERSITY OF CALIFORNIA, BERKELEY Committee in charge: Professor Sharon Inkelas (co-chair) Professor James A. Matisoff (co-chair) Professor Larry M. Hyman Professor Johanna Nichols Fall 2006 The dissertation of David Roland Mortensen is approved: Sharon Inkelas (co-chair) Date James A. Matisoff (co-chair) Date Larry M. Hyman Date Johanna Nichols Date University of California, Berkeley Fall 2006 Abstract Logical and Substantive Scales in Phonology by David Roland Mortensen Doctor of Philosophy in Linguistics University of California, Berkeley Professor Sharon Inkelas, Co-Chair Professor James A. Matisoff, Co-Chair This study addresses two assumptions that have accompanied generative phonology from its inception, namely the binarity and phonetic grounding of features. It argues, based on both theoretical and empirical grounds, for the existence of n-ary phonological relationships that are not necessarily grounded in a phonetic dimension or parameter. It presents, further, a model labelled Structural Optimality, which combines represen- tations of this type with Optimality-Theoretic grammars. Four types of phenomena are presented as arguments for Structural Optimality: chain shifts, circle shifts (i.e. circular chain shifts), phonologically-driven ordering ef- fects in coordinate compounds, and certain dissimilatory effects in reduplication. Each of these phenomena present problems for theories that are inseparably tied to binarity, strongly committed to phonetic grounding, or both. Chain shifts have conventionally been hard to capture as a single process and have presented difficulties to output-oriented phonological models like Optimality Theory. This study raises another difficulty: phonetically grounded chain shifts may become more and more arbitrary over time without loosing their original structure. Structural 1 Optimality presents a solution to both of these problems by treating chain shifts as traversals of scales, the essential component of which is their logical structure rather than their phonetic manifestation. This is done my invoking a novel concept: direc- tional anti-identity constraints, the class of constraints that require that elements be higher on a scale than the elements to which they correspond. An even more difficult problem for earlier theories of phonology has been that of circle shifts. For Optimality Theory, especially, these have been challenging since one of the demonstrable properties of classical OT, Harmonic Ascent, “all unfaithful mappings must be markedness-reducing,” explicitly rules out such patterns. This study demonstrates that circle shifts are actually more widespread than has been traditionally believed, are as phonological in nature as other phenomena addressed by phonologists, and therefore must be engaged by phonological theory. Further, it demonstrates that the predictions made by contrast-preservation theories of circle shifts—particularly, that all circle shifts must involve neutralization—are not correct, but that directional anti- identity, as motivated by ordinary chain shifts, actually predicts the existence of circle shifts as well. That circle shifts may not involve neutralization is demonstrated by surveying the diverse set of tone circles found in dialects of Southern Min (a Chinese language). Structural Optimality analyses of circle shifts from Xiamen Chinese, A- Hmao, and Jingpho are presented, showing how this model can capture all of these— very different—patterns. The case of Jingpho is also seen to motivate general scalar anti-identity. Arguing for these many cases, this study asserts that Harmonic Ascent is not a property of natural languages. Directional anti-identity is also shown to predict the existence of another phe- nomenon, when applied to correspondence relationships across a string (rather than between input and output): the order of coordinate compounds (co-compounds), being free from syntactic requirements on sequence, can be ordered according to n-ary phono- 2 logical criteria of the same type that produce chain shifts and circle shifts. Numerous examples of effects of this kind are presented, as are analyses couched in Structural Op- timality. The case of Hmong (Mong Leng) co-compounds is treated in particular detail, demonstrating that the ordering phenomenon in that language simultaneously argues for optimality grammars and against phonetic grounding or substantial optimization. This part of the study further demonstrates how morphotactic patterns can be brought to bear in the study of phonological grammars and representations, and it demonstrates the striking parallel between two apparently unrelated phenomena: chain-shifting and phonologically-driven co-compound ordering. Finally, this study ties yet another phenomenon to the rest: echo reduplication. It shows how the same sets of constraints that are motivated by circle-shifting and co- compound ordering play a role in the “dissimilatory” effects in echo-reduplication. This is shown by looking at examples from English, Jingpho, and Eastern A-Hmao. The A- Hmao case is particularly enlightening, showing a three-way patterning in dissimilation that is easy to capture in terms of scales but more difficult to capture using traditional features. The upshot of the study is that a descriptively and explanatorily adequate theory of phonology must include representations that are neither strictly binary nor strictly grounded in phonetic parameters. It provides empirical evidence for the kinds of re- lationships posited by early structuralists on theory-internal grounds. In doing so, it frees Universal Grammar from the shifting moorings of substance and allows the the- ory of phonology to be a theory of grammar rather than a theory of motor control or psychophysics. 3 for Rahel Light to my shadows, dawn to my night. i Contents Contents ii Acknowledgements viii 1 Introduction 1 1.1 Precis ................................... 3 1.1.1 Surveyofpreviouswork . 3 1.1.1.1 Phonological relationships as logical abstractions... 3 1.1.1.2 Scalarrepresentations . 5 1.1.2 StructuralOptimality:anoverview . 7 1.1.2.1 OptimalityTheory . 8 1.1.2.2 Logicalscales . 10 1.1.2.3 Scale-referringconstraints . 11 1.1.3 Empiricalmotivations. 15 1.1.3.1 Chainshiftsandcircleshifts . 15 1.1.3.2 Orderingeffects . 17 1.1.3.3 Graded dissimilation and other scalar effects in redu- plication ........................ 18 1.2 OverviewofChapters .. .. .. .. .. .. .. .. 19 2 Logical Scales and the Theory of Structural Optimality 21 2.1 StructuralOptimality .. .. .. .. .. .. .. .. 21 ii 2.2 TheDefinitionandStructureofLogicalScales . ..... 22 2.2.1 NaturalandUnnaturalScales. 28 2.2.2 LogicalScalesandRichnessoftheBase . 29 2.3 StructuralHarmonyConstraints. .. 31 2.3.1 ENDMOST ............................. 32 2.3.2 TOP ................................ 34 2.3.3 EXTREME ............................. 34 2.4 StringInternalCorrespondence . .. 35 2.4.1 Properties ofcorrespondencerelationships . ..... 39 2.5 SyntagmaticRelationalHarmonyConstraints . ..... 40 2.5.1 PLATEAU ............................. 42 2.5.2 NOPLATEAU ........................... 43 2.5.3 WAX and NOWAX ........................ 45 2.6 Input-OutputRelationalHarmonyConstraints . ...... 48 2.6.1 SAME ............................... 48 2.6.2 DIFF ................................ 49 2.6.3 HIGHER and NOHIGHER ..................... 53 2.7 AFactorialTypologyofMappingSchemas . 55 2.7.1 TheIdentityMapping. 56 2.7.2 Neutralization.. .. .. .. .. .. .. .. 56 2.7.3 Neutralizationwith“Bounce-Back” . 57 2.7.4 Chainshift ............................ 60 2.7.5 Ring(circularchainshift). 62 2.7.6 ComparisonofTypologicalPredictions . 66 3 Chain Shifts and Scales 68 3.1 ChainShifts:ProblemsandProspects . .. 68 iii 3.2 WesternHmongicTonalChainShifts. 71 3.2.1 DananshanHmong . .. .. .. .. .. .. .. 72 3.2.1.1 OriginoftheChainShift. 74 3.2.1.2 ProblemswithanAutosegmentalAccount . 75 3.2.2 EasternA-Hmao ......................... 82 3.2.3 MashanDialects ......................... 84 3.2.3.1 Naturalness, productivity,and theproper scope of phonol- ogy........................... 90 3.3 FricativePlaceChainShiftinAcquisition . ..... 93 3.4 Conclusion ................................ 96 4 Circular Chain Shifts 98 4.1 SouthernMinToneSandhiCircles . 100 4.1.1 XiamenandMainstreamTaiwanese . .101 4.1.1.1 Adigressionon“psychologicalreality” . 103 4.1.1.2 Allomorph-selectionhypotheses . 106 4.1.1.3 Rulebasedanalyses . .108 4.1.1.4 Contrastpreservationanalyses . 110 4.1.2 Checked-syllable(rusheng)circles . 115 4.1.2.1 Dong-an ........................115 4.1.2.2 TainanandotherTaiwanesedialects . 117 4.1.2.3 Chaoyang. .. .. .. .. .. .. ..118 4.1.2.4 Chao-an ........................118 4.1.3 Chaozhou(Chaoshan) . .120 4.1.4 Yilan: acircleshiftsansneutralization . .121 4.1.5 Dongshan .............................122 4.1.5.1 AStructuralOptimalityaccount . 123 iv 4.1.5.2 Relevance for contrast-preservation theories . .129 4.1.6 The historical evolution of circle shifts in Southern Min. .130 4.1.6.1 Firstprinciples . .130 4.1.6.2 XiamenandMainstreamTaiwanese . 133 4.1.6.3 Dongshan. .. .. .. .. .. .. ..135 4.2 A-HmaoBounce-backEffects . .136 4.2.1 WesternA-Hmao . .137 4.2.2 EasternA-Hmao . .. .. .. .. .. .. ..144 4.3 JingphoBounce-backEffect
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