In Gorman & Yang 2019 (henceforth GY), we provide an analysis of metaphonic patterns in Spanish. This is just one of four or five case studies and it is a bit too brief to go into some interesting representational issues. In this post I’ll try to fill some of the missing details as I understand them, with the caveat that Charles does not necessarily endorse any of my proposals here.
The tolerance principle approach to productivity is somewhat unique in that it is not tied to any particular theory of rules or representations, so long as such theories provide a way to encode competing rules applying in order of decreasing specificity (Pāṇini’s principle or the elsewhere principle). Yet any particular tolerance analysis requires us to commit to a specific formal analysis of the phenomenon—the relevant rules and the representations over which they operate—so that we know what to count. The way in which I apply the tolerance principle also presumes that productivity (e.g., as witnessed by child overregularization errors) or its lack (as witnessed by inflectional gaps) is a first-class empirical observation and that any explanatorily-adequate tolerance analysis ought to account for it. What this means to me is that the facts productivity can adjudicate between different formal analyses, as the following example shows.
The facts are these. A large percentage of Spanish verbs, all of which have a surface mid vowel (e or o) in the infinitive, exhibit alternations targeting the nucleus of the final syllable of the stem. In all three conjugations, one can find verbs in which this surface mid vowel diphthongizes to ie [je] or ue [we], respectively.1 Furthermore, in the third conjugation, there is a class of verbs in which the e in the final syllable of certain forms alternates with an i.2
The issue, of course, is that there are verbs which are almost identical to the diphthongizing or e–i stems but which do not undergo these alternations (GY:178f.). One can of course deny that magic is operating here, but this does not seem workable.3 We need therefore to identify the type of magic: the rules and representations involved.
There is some reason to think that conjugation class is relevant to these verb stem alternations. For example, Mayol et al. (2007) analyzes verb stem errors in a sample of six children acquiring Spanish, a corpus of roughly 2,000 verb tokens. Nearly all errors in this corpus involve underapplication of diphthongization to diphthongizing verbs in the first and second conjugation; errors in the third conjugation are extremely rare. Secondly the e-i alternations are limited to the third conjugation. As Harris (1969:111) points out, the e form surfaces only when the stem is followed by an i in the first syllable of the desinence. This suggests that the alternation is a lowering rather than a raising one, and explains why this pattern is confined to the third (-i-) conjugation. Finally, there are about a dozen Spanish verbs, all of the third conjugation, which are defective in exactly those inflectional forms—those in which there is either stress on the stem or those in which the stem is followed by a desinential /i/ in the following syllable—which would reveal to us whether the stem is diphthongization or lowering. These three facts seem to be telling us that these alternations are sensitive to conjugation class.
Jim Harris has long argued for an abstract phoneme analysis of Spanish diphthongization. In Harris 1969, diphthongization reflect abstract phonemes, present underlyingly, denoted /E, O/; no featural decomposition is provided, but one could imagine that they are underspecified for some features related to height. Harris (1985) instead supposes that the vowels which undergo diphthongization under stress bear two skeletal “x” slots, one linked and one unlinked, as follows.
o | X X
This distinguishes them from ordinary non-alternating mid vowels (which only have one “x”) and non-alternating diphthongs (which are prelinked to two “x”s). Harris argues this also provides explanation for why stress conditions this alternation.
One interesting property of Harris’ account, one which I do not believe has been remarked on before, it is that it seems to rule out the idea that diphthongization vs. non-diphthongization is “governed by the grammar”: it is purely a fact of lexical representation and surface forms follow directly from applying the rules to the abstract phonemic forms. To put it more fancifully, there is no “daemon” inside the phonemic storage unit of the lexicon deciding where the diphthongs or lowering vowels go; such facts are of interest for “evolutionary” theorizing, but are accidents of diachrony.
However, I believe the facts of productivity and the conditioning effects of conjugation support an alternative—and arguably more traditional—analysis, in which diphthongization and lowering are governed by abstract diacritics at the root level, in the form of rule features of the sort proposed by Kisseberth (1970) and Lakoff (1970).
I propose that verbs with mid vowel in the final syllable of their stem which do not undergo diphthongization, like pegar ‘to stick to’; (e.g., pego ‘I stick to’), are marked [−diph], and those which do undergo diphthongization, like negar ‘to deny’ (niego ‘I deny’) are marked [+diph]; both are assumed to have an /e/ in underlying form. Similarly, I propose that verbs which undergo lowering, like pedir ‘to ask for’ (e.g., pido ‘I ask for’), are specified [+lowering] and non-lowering verbs, like vivir ‘to live’ (vivo ‘I live), are specified [−lowering]; both have an underlyingly /i/. Then, the rule of lowering is
Lowering: i -> e / __ C_0 i
or, in prose, an /i/ lowers to /e/ when followed by zero or more consonants and a /i/. I assume a convention of rule application such that rule R can apply only to those /i/s which are part of a root marked [+R]; it is as if there is an implicit [+R] specification on the rule’s target. Therefore, the rule of lowering does not apply to vivir. This rule feature convention is assumed to apply to all phonological rules, including diphthongization.
I furthermore propose that [diph] and [lowering] rule features are inserted during the derivation according to GY’s tolerance analysis. For first (-a-) and second (-e-) conjugation verbs, [−diph] is the default and [+diph] is lexically conditioned.
[] -> [+diph] / __ {√neg-, ...}
-> [-diph] / __
For third (-i-) conjugation verbs, I assume that there is no default specification for either rule feature.
[] -> [+lowering] / __ {√ped-, ...}
[] -> [-lowering] / __ {√viv-, ...}
I have not yet provided formal machinery to limit these generalizations to the particular conjugations, but I wish to stay agnostic about morphological theory and so I assume that any adequate model of the morphophonological interface ought to be able to encode conjugation class-specific generalizations like the above.
I leave open the question as to how roots which fail to satisfy the phonological conditions for lowering (like those which do not contain a final-syllable /i/) or diphthongization (like those which do not contain a final-syllable mid vowel) are specified with respect to the [diph] and [lowering] features. I am inclined to say that they remain underspecified for these features throughout the derivation. However, all that is essential here is that such roots are not in scope for the tolerance computation.
Let us suppose that we wish to encode, synchronically, phonological “trends” in the lexicon with respect to the distribution of diphthongizing and/or lowering verbs, such as Bybee & Pardo’s claim that e–ie diphthongization is facilitated when followed by the trill rr. Such observations could be encoded at the point in which rule features are inserted, if desired. It is unclear how a similar effect might be achieved under the abstract phoneme analysis. I remain agnostic on this question, which may ultimately bear on the past tense debate.
In future work (if blogging can be called “work”), it would be interesting to expand the proposal to other cases of morpholexical behavior studied by Kisseberth (1970), Lakoff (1970), and Zonneveld (1978), among others. Yet my proposal does not entail that we draw similar conclusions for all superficially similar case studies. For instance, I am unaware at present of evidence contradicting Rubach’s (2016) arguments that the Polish yers are abstract phonemes.
Endnotes
- Let us assume, as does Harris, that the appearance of the [e] in both diphthongs is the result of a default insertion rule applying after diphthongization converts the nucleus to the corresponding glide.
- This of course does not exhaust the set of verbal alternations, as there are highly-irregular consonantal and vocalic alternations in a handful of other verbs.
- Albright et al. (2001) and Bybee & Pardo (1981) are sometimes understood to have found solid evidence for a “non-magical” analysis, in which the local context in which a stem mid vowel is found is the sole determinant. This is a massive overinterpretation. Bybee & Pardo identify some local contexts which seem to favor diphthongization, and the results of a small nonce word cloze task are consistent with these findings. Albright et al. use a simple computational model to discover some contexts which seem to favor diphthongization, and find that subjects’ ratings of possible nonce words (on a seven-point Likert scale) are correlated with the models’ predictions for diphthongization. Schütze (2005) gives a withering critique of the general nonce word rating approach. Even ignoring this, neither study links nonce word tasks in adult knowledge of, or child acquisition of, actual Spanish words.
References
Albright, A., Andrade, A., and Hayes, B. 2001. Segmental environments of Spanish diphthongization. UCLA Working Papers in Linguistics 7: 117-151.
Baković, E., Heinz, J., and Rawski, J. In press. Phonological abstractness in the mental lexicon. In The Oxford Handbook of the Mental Lexicon, to appear.
Bale, A., and Reiss, C. 2018. Phonology: a Formal Introduction. MIT Press.
Bybee, J., and Pardo, E. 1981. Morphological and lexical conditioning of rules: experimental evidence from Spanish. Linguistics 19: 937-968.
Gorman, K. and Yang, C. 2019. When nobody wins. In F. Rainer, F. Gardani, H. C. Luschützky and W. U. Dressler (ed.), Competition in Inflection and Word Formation, 169-193. Springer.
Harris, J. 1969. Spanish Phonology. MIT Press.
Harris, J. 1985. Spanish diphthongisation and stress: a paradox resolved. Phonology Yearbook 2:31-45.
Lakoff, G. 1970. Irregularity in Syntax. Holt, Rinehart and Winston.
Kisseberth, C. W. 1970. The treatment of exceptions. Papers in Linguistics 2:44-58.
Mayol, Laia. 2007. Acquisition of irregular patterns in Spanish verbal morphology. In Proceedings of the Twelfth ESSLLI Student Session, 1-11.
Schütze, C. 2005. Thinking about what we are asking speakers to do. In S. Kepser and M. Reis (ed.), Linguistic Evidence: Empirical, Theoretical, and Computational Perspectives, pages 457-485. Mouton de Gruyter.
Zonneveld, W. 1978. A Formal Theory of Exceptions in Generative Phonology. Peter de Ridder.