@cite{zuraw-hayes-2017}: Intersecting Constraint Families #
@cite{zuraw-hayes-2017}
@cite{zuraw-hayes-2017} "Intersecting Constraint Families: An Argument for Harmonic Grammar" (Language 93(3): 497–546).
Main claims #
When phonological variation is governed by two independent families of constraints, the data exhibits across-the-board effects with floor and ceiling compression — a family of sigmoid curves.
This pattern is naturally predicted by Harmonic Grammar (MaxEnt and Noisy HG) because constraint effects are additive.
Decision-tree models fail because their multiplicative decomposition produces "claws" (monotonically increasing differentiation), not sigmoid families.
Stochastic OT fails because ranking paradoxes prevent fitting structured constraint sets to the observed pattern.
Formalization #
This file develops the 2×2 sub-square of Z&H 2017's Tagalog data and proves the decision-tree failure theorem, the across-the-board consistency property of the empirical rates, and the bridge from constraint independence to the Hayes-Zuraw constant-logit-difference identity (which Z&H argue is the diagnostic of additive constraint interaction).
The 2×2 sub-square fixes two extreme cells of Z&H's full 6×6 grid (maŋ-other = highest substitution rate, paŋ-res = lowest) crossed with two of the six stem obstruents (/b/ vs /k/, voicing contrast at non-coronal places). This sub-square suffices for the mathematical content of the family-interaction argument.
The 2-way UNIFORMITY split here (unifMang, unifPang) is a
restriction of Z&H's 6-way prefix-indexed UNIFORMITY constraint set
(Unif-maŋ-other / Unif-maŋ-RED / Unif-maŋ-ADV / Unif-paŋ-RED /
Unif-paŋ-NOUN / Unif-paŋ-RES) projected onto the maŋ-other × paŋ-res
sub-grid.
Case studies (full paper) #
- Tagalog nasal substitution: nearly synergistic families (both markedness and prefix UNIFORMITY constraints mostly penalize substitution; only *NC̥ favors it on the consonant side)
- French liaison/elision: synergistic families (word2 ALIGN + word1 USE both favor non-alignment)
- Hungarian vowel harmony: mixed families (stem vowel AGREE + final consonant BILABIAL/SIBILANT/etc.)
§ 1: 2×2 Square — Underlying Forms #
The four underlying concatenations populating the 2×2 sub-square: two prefix constructions (maŋ-other, paŋ-res — the extreme rows of Z&H's 6-prefix grid) crossed with two stem obstruents (/b/, /k/ — the voicing contrast at non-coronal places).
- mang_b : NasalSubInput
- mang_k : NasalSubInput
- pang_b : NasalSubInput
- pang_k : NasalSubInput
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- ZurawHayes2017.instDecidableEqNasalSubInput x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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The two surface variants for each underlying form.
- yes : NasalSubOutput
YES: nasal substitution applies — nasal and obstruent coalesce.
- no : NasalSubOutput
NO: nasal substitution does not apply — place assimilation only.
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- ZurawHayes2017.instDecidableEqNasalSubOutput x✝ y✝ = if h : x✝.ctorIdx = y✝.ctorIdx then isTrue ⋯ else isFalse ⋯
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Input–output pair for constraint evaluation.
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The 2×2 square of underlying forms: prefix × stem-initial obstruent.
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§ 2: Projection to Zuraw 2010's six-stem candidate space #
Z&H §2.4 explicitly says their constraint set is "adapted from Zuraw 2010".
The 4 of 6 constraints they share with Zuraw (NasSub, *NC, *[stemŋ], and
the *[stemŋ]/n stringent step) are not redefined here — they're lifted
from Zuraw2010 via projection. The 2 prefix-indexed UNIFORMITY constraints
are Z&H's substitute for Zuraw's *ASSOC and are defined locally.
The projection maps the 4-cell sub-square onto the corresponding cells of Zuraw 2010's 6-stem × 2-decision space:
- maŋ-other + b, paŋ-res + b → (b, _)
- maŋ-other + k, paŋ-res + k → (k, _)
The prefix dimension is collapsed; the stem and yes/no dimensions are preserved.
Project a 2×2 input onto Zuraw 2010's stem consonant.
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Project a 2-cell output onto Zuraw 2010's substitution decision.
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Project a Z&H candidate onto a Zuraw 2010 candidate.
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§ 3: Constraint Inventory #
The 4 shared constraints come from Zuraw 2010 via comap along the
projection. The 2 prefix-indexed UNIFORMITY constraints are local.
C₁ = NasSub (markedness): per @cite{zuraw-hayes-2017} ex. (3),
"Assess one violation for any nasal + obstruent sequence, where + is
a morpheme boundary within a word." Lifted from Zuraw2010.nasSub.
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C₂ = *NC: per @cite{zuraw-2010} ex. (17), "A [+nasal] segment must
not be immediately followed by a [-voice, -sonorant] segment". Lifted
from Zuraw2010.starNC. Violated by NO only for voiceless stems (k).
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C₃ = *[stemŋ]: penalizes stem-initial velar nasal. Lifted from
Zuraw2010.starInitVelar. Violated by YES for k-initial stems
(coalesced ŋ is velar). Z&H ex. (6c).
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C₄ = *[stemŋ]/n: penalizes stem-initial velar or coronal nasal.
Lifted from Zuraw2010.starInitCorVel. In the b vs k square, this
coincides with C₃ (bilabial m is neither velar nor coronal), so on
the restricted domain (c.eval ∘ project) is identical for C₃ and C₄.
Z&H ex. (6b).
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C₅ = Unif-maŋ-other (faithfulness): one violation when the maŋ-other prefix coalesces with the stem-initial obstruent. Per Z&H ex. (5a), "One segment from input maŋ-other and a distinct input segment must not correspond to the same output segment." Restriction of Z&H's 6-way prefix-indexed UNIFORMITY family to the maŋ-other cell. Z&H-local; replaces Zuraw 2010's *ASSOC.
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C₆ = Unif-paŋ-res (faithfulness): one violation when the paŋ-res prefix coalesces with the stem-initial obstruent. Per Z&H ex. (5f), similar to Unif-maŋ-other but for paŋ-res. Restriction of Z&H's 6-way prefix-indexed UNIFORMITY family to the paŋ-res cell.
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The six constraints as a Fin 6-indexed family.
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- ZurawHayes2017.constraints ⟨0, isLt⟩ = ZurawHayes2017.nasSub
- ZurawHayes2017.constraints ⟨1, isLt⟩ = ZurawHayes2017.starNC
- ZurawHayes2017.constraints ⟨2, isLt⟩ = ZurawHayes2017.starStemVelar
- ZurawHayes2017.constraints ⟨3, isLt⟩ = ZurawHayes2017.starStemVelarCoronal
- ZurawHayes2017.constraints ⟨4, isLt⟩ = ZurawHayes2017.unifMang
- ZurawHayes2017.constraints ⟨5, isLt⟩ = ZurawHayes2017.unifPang
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§ 4: Violation Differences (Δₖ) #
Violation difference Δₖ(x) = Cₖ(x, NO) − Cₖ(x, YES) for each
underlying form x and constraint k. Positive Δ favors YES.
Equations
- ZurawHayes2017.violDiffProfile ⟨0, isLt⟩ x✝ = 1
- ZurawHayes2017.violDiffProfile ⟨1, isLt⟩ ZurawHayes2017.NasalSubInput.mang_k = 1
- ZurawHayes2017.violDiffProfile ⟨1, isLt⟩ ZurawHayes2017.NasalSubInput.pang_k = 1
- ZurawHayes2017.violDiffProfile ⟨1, isLt⟩ x✝ = 0
- ZurawHayes2017.violDiffProfile ⟨2, isLt⟩ ZurawHayes2017.NasalSubInput.mang_k = -1
- ZurawHayes2017.violDiffProfile ⟨2, isLt⟩ ZurawHayes2017.NasalSubInput.pang_k = -1
- ZurawHayes2017.violDiffProfile ⟨2, isLt⟩ x✝ = 0
- ZurawHayes2017.violDiffProfile ⟨3, isLt⟩ ZurawHayes2017.NasalSubInput.mang_k = -1
- ZurawHayes2017.violDiffProfile ⟨3, isLt⟩ ZurawHayes2017.NasalSubInput.pang_k = -1
- ZurawHayes2017.violDiffProfile ⟨3, isLt⟩ x✝ = 0
- ZurawHayes2017.violDiffProfile ⟨4, isLt⟩ ZurawHayes2017.NasalSubInput.mang_b = -1
- ZurawHayes2017.violDiffProfile ⟨4, isLt⟩ ZurawHayes2017.NasalSubInput.mang_k = -1
- ZurawHayes2017.violDiffProfile ⟨4, isLt⟩ x✝ = 0
- ZurawHayes2017.violDiffProfile ⟨5, isLt⟩ ZurawHayes2017.NasalSubInput.pang_b = -1
- ZurawHayes2017.violDiffProfile ⟨5, isLt⟩ ZurawHayes2017.NasalSubInput.pang_k = -1
- ZurawHayes2017.violDiffProfile ⟨5, isLt⟩ x✝ = 0
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The violation differences cast to ℝ, for use with me_predicts_hz.
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- ZurawHayes2017.deltaR k x = ↑(ZurawHayes2017.violDiffProfile k x)
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Violation difference independence: the violation differences Δₖ
satisfy ViolDiffIndependence on the nasal substitution square.
- C₁–C₄ (markedness): Δₖ is the same for /maŋ-other+X/ and /paŋ-res+X/ (insensitive to prefix = row)
- C₅–C₆ (faithfulness): Δₖ is the same for /X+b/ and /X+k/ (insensitive to stem = column)
This is a data-level property of the constraint violation profiles, used by both Z&H's family-interaction argument and Magri 2025's MaxEnt-on-square deduction.
§ 5: Empirical Rates (2×2 square) #
Empirical rates of nasal substitution from @cite{zuraw-2010}'s Tagalog dictionary type frequencies, arranged per the @cite{zuraw-hayes-2017} 2×2 sub-square. The four cells correspond to the two extreme prefixes (maŋ-other = highest rate, paŋ-res = lowest) crossed with /b/ (voiced) and /k/ (voiceless).
UNVERIFIED: bottom-row rates (0.434, 0.909) extracted from Z&H's fitted-MaxEnt tableau; should be cross-checked against the paper's Table 6 or supplementary materials before being treated as paper-citable.
Equations
- ZurawHayes2017.nasalSubRate ZurawHayes2017.NasalSubInput.mang_b = 916 / 1000
- ZurawHayes2017.nasalSubRate ZurawHayes2017.NasalSubInput.mang_k = 993 / 1000
- ZurawHayes2017.nasalSubRate ZurawHayes2017.NasalSubInput.pang_b = 434 / 1000
- ZurawHayes2017.nasalSubRate ZurawHayes2017.NasalSubInput.pang_k = 909 / 1000
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§ 6: Across-the-Board Consistency #
Across-the-board consistency: one dimension's effect has the same sign regardless of the other dimension's value. Formally: the product of row-wise rate differences across columns is positive (same sign).
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- ZurawHayes2017.ConsistentOrdering r = ((r.tl - r.bl) * (r.tr - r.br) > 0)
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Tagalog nasal substitution rates exhibit across-the-board consistency: maŋ- prefixes have higher substitution than paŋ- prefixes for both voiced (/b/) and voiceless (/k/) stem-initial consonants.
§ 7: Decision-Tree Models Fail #
Decision-tree models predict monotonic differentiation:
In a multiplicative model P(x,y) = g(x) · h(y), the difference
between two h-values is proportional to g:
g(x) · h(y₂) - g(x) · h(y₁) = g(x) · (h(y₂) - h(y₁))
So at the floor (g → 0), all h-differences vanish, and at the ceiling (g → 1), h-differences are maximal. Differences grow monotonically from floor to ceiling.
This is the "claws" pattern: pinching at one end only. In contrast, MaxEnt predicts humped differentiation: sigmoid families compressed at both extremes — the observed pattern.
In a multiplicative model, the ratio of differences across two g-values exactly equals the ratio of those g-values. Cross-multiplied form (avoids division):
Decision-tree ceiling bound: in a multiplicative model with both factors in [0,1], the product is bounded above by both factors.
This is the mathematical core of why decision trees produce "claws"
instead of sigmoid families: probabilities can never exceed either
component probability. At the floor (g → 0), all products vanish
regardless of h — explaining the pinch at one end. But at the
ceiling (g → 1), differences are preserved — so there is NO
compression at the top. MaxEnt, by contrast, compresses at BOTH
extremes via the sigmoid function 1/(1 + eⁿ).
§ 8: Model Comparison (Table 7, Table 17) #
MaxEnt achieves the best fit for Tagalog (Table 7).
Both HG variants beat both ranking models for Tagalog (Table 7). This is the paper's core claim: constraint weighting consistently outperforms constraint ranking.
MaxEnt and Noisy HG achieve the best fits for French (Table 17).
Both HG variants beat both ranking models for French (Table 17).
§ 9: MaxEnt Predicts the Sigmoid Family Pattern #
MaxEnt predicts HZ's generalization for Tagalog nasal substitution:
for any weight assignment w : Fin 6 → ℝ, the MaxEnt logit rates
satisfy the constant-difference identity.
LR(/maŋb/) − LR(/maŋk/) = LR(/paŋb/) − LR(/paŋk/)
The proof instantiates me_predicts_hz (Separability.lean) with the
Tagalog violation differences and their independence.
§ 10: Closed-Form Logit-Rate Difference #
The constant logit-rate difference equals −w₂ + w₃ + w₄
for both rows, regardless of weights. This follows from the
insensitivity structure of the six constraints: markedness
constraints (C₁–C₄) are insensitive to prefix, so their
contributions cancel in the row difference, while faithfulness
constraints (C₅–C₆) are insensitive to stem consonant, so they
cancel in the column difference.
The HZ identity verified concretely: both row-differences are equal.
§ 11: NHG Produces Consistent Ordering #
NHG produces consistent ordering (@cite{zuraw-hayes-2017}):
when the harmony scores satisfy ConstantLogitDiff, NHG
probabilities Φ(d(x)/σ) exhibit across-the-board consistency.
Composes constantLogitDiff_mono_consistent (CLD + strict monotonicity
⟹ consistent ordering) with normalCDF_strictMono. Since
x ↦ Φ(x/σ) is strictly monotone for σ > 0, the result follows.
This is the formal version of Z&H's argument that NHG produces sigmoid
families (not claws) because the normal CDF compresses at both
extremes.
NHG predicts consistent ordering for Tagalog nasal substitution: for any weight assignment and noise level, the NHG probabilities of nasal substitution exhibit across-the-board consistency whenever the mang- and pang- prefixes have different logit rates for b-initial stems.
End-to-end chain: Tagalog violation differences →
violDiff_independence → maxent_predicts_hz_tagalog (CLD) →
nhg_consistent_ordering (CDF monotonicity) → consistent ordering.
§ 12: Cross-Reference to Zuraw 2010 #
Z&H §2.4 says their constraint set is "adapted from Zuraw 2010". The
projection-based defs in § 3 make that adaptation precise: 4 of 6
constraints are literally comap'd from Zuraw, so equality with
Zuraw's constraints under projection holds by definition. The 2 prefix-
indexed UNIFORMITY constraints replace Zuraw's single *ASSOC — but they
turn out to be a decomposition of *ASSOC on this restricted square,
not a substitution by something incompatible.
C₁ = NasSub agrees with Zuraw 2010 under the candidate projection.
Holds by definition (comap is eval ∘ project and nasSub is
defined as Zuraw2010.nasSub.comap NasalSubCandidate.project).
C₂ = *NC agrees with Zuraw 2010 under the projection.
C₃ = *[stemŋ] agrees with Zuraw's starInitVelar under the projection.
C₄ = *[stemŋ]/n agrees with Zuraw's starInitCorVel under the projection.
Cross-paper structural insight: Z&H's prefix-indexed UNIFORMITY pair
(unifMang + unifPang) is an additive decomposition of Zuraw 2010's
single *ASSOC constraint on this 2×2 sub-square.
Zuraw's *ASSOC fires on every YES candidate (penalty 1) regardless of
prefix. Z&H's unifMang fires on YES only for maŋ-other inputs;
unifPang fires on YES only for paŋ-res inputs. On the 2×2 square,
every YES cell is hit by exactly one of them, so their sum equals
Zuraw's *ASSOC under the candidate projection. Under any HG/ME
analysis, the sum of the two prefix-UNIF weights w₅ + w₆ plays the
role Zuraw's single *ASSOC weight plays in her grammar.