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Distributed optimality
(2001)
In this thesis I propose a synthesis (Distributed Optimality, DO) between Optimality Theory (OT, Prince & Smolensky, 1993) and a morphological framework in a genuine derivational tradition, namely Distributed Morphology (DM) as developed by Halle & Marantz (1993). By carrying over the apparatus of OT to DM, phenomena which are captured in DM by language-specific rules or features of lexical entries, are given a more principled account in the terms of ranked universal constraints. On the other hand, also the DM part makes two contributions, namely strong locality and impoverishment. The first gives rise to a simple formal interpretation of DO, while the latter is shown to be indispensable in any theoretically satisfying account of agreement morphology. The empirical basis of the work is given by the complex agreement morphology of genetically different languages. Theoretical focus is mainly on two areas: First, so-called direction marking which is shown to be preferably treated in terms of constraints on feature realization. Second, the effects of precedence constraints which are claimed to regulate the status of agreement affixes as prefixes or suffixes and their respective order. A universal typology for the order of agreement categories by means of OT-constraints is proposed.
Adverb positioning is guided by syntactic, semantic, and pragmatic considerations and is subject to cross-linguistic as well as language-specific variation. The goal of the thesis is to identify the factors that determine adverb placement in general (Part I) as well as in constructions in which the adverb's sister constituent is deprived of its phonetic material by movement or ellipsis (gap constructions, Part II) and to provide an Optimality Theoretic approach to the contrasts in the effects of these factors on the distribution of adverbs in English, French, and German. In Optimality Theory (Prince & Smolensky 1993), grammaticality is defined as optimal satisfaction of a hierarchy of violable constraints: for a given input, a set of output candidates are produced out of which that candidate is selected as grammatical output which optimally satisfies the constraint hierarchy. Since grammaticality crucially relies on the hierarchic relations of the constraints, cross-linguistic variation can be traced back to differences in the language-specific constraint rankings. Part I shows how diverse phenomena of adverb placement can be captured by corresponding constraints and their relative rankings: - contrasts in the linearization of adverbs and verbs/auxiliaries in English and French - verb placement in German and the filling of the prefield position - placement of focus-sensitive adverbs - fronting of topical arguments and adverbs Part II extends the analysis to a particular phenomenon of adverb positioning: the avoidance of adverb attachment to a phonetically empty constituent (gap). English and French are similar in that the acceptability of pre-gap adverb placement depends on the type of adverb, its scope, and the syntactic construction (English: wh-movement vs. topicalization / VP Fronting / VP Ellipsis, inverted vs. non-inverted clauses; French: CLLD vs. Cleft, simple vs. periphrastic tense). Yet, the two languages differ in which strategies a specific type of adverb may pursue to escape placement in front of a certain type of gap. In contrast to English and French, placement of an adverb in front of a gap never gives rise to ungrammaticality in German. Rather, word ordering has to obey the syntactic, semantic, and pragmatic principles discussed in Part I; whether or not it results in adverb attachment to a phonetically empty constituent seems to be irrelevant: though constraints are active in every language, the emergence of a visible effect of their requirements in a given language depends on their relative ranking. The complex interaction of the diverse factors as well as their divergent effects on adverb placement in the various languages are accounted for by the universal constraints and their language-specific hierarchic relations in the OT framework.