The communicative significance of primary and secondary accents David Beaver, Dan Velleman Department of Linguistics University of Texas CAL 501, Mailcode B5100, Austin, TX 78712 Abstract Many formal linguists hold that English pitch accent has a single function: markingfocus. Ontheotherhand,thereisevidencefromcorpusworkandfrom psycholinguistics that pitch accent is attracted to expressions which are unpre- dictable. We present a two-factor pragmatic account in which both focus and predictability contribute to the placement of accent in an English intonational phrase. On examples of so-called “second occurrence focus” and related phe- nomena, our account gives superior results to the one-factor accounts of Rooth and Bu¨ring and to Selkirk’s rival two-factor account. Keywords: phonology, semantics, pragmatics, intonation, prosody, focus, accent, stress, second occurrence focus, secondary accent, nuclear accent, predictability, given/new 1. Introduction In English, expressions are made acoustically prominent using a mixture of intonational cues, notably pitch accents. Some accented expressions are very prominent; others less so; and no current theory fully accounts for these promi- nence differences. This paper proposes a pragmatic account, based on the in- tuition that intonational prominence marks a combination of two factors: im- portance and unpredictability. In developing this account, we will consider the phenomenonofsecondoccurrencefocus whichhasreceivedagreatdealofatten- tion in recent literature (e.g. Partee 1999; Bu¨ring 2008; Rooth 2010). We will arguethatourtwo-factoraccountgivesbetterpredictionsonsecond-occurrence focus than recent one-factor accounts, such as those of Bu¨ring and Rooth. We will also compare our two-factor account to Selkirk’s. Though we are sympa- Email addresses: [email protected](DavidBeaver),[email protected] (DanVelleman) Preprint submitted to Elsevier March 16, 2011 thetic to her approach and the thrust of her argumentation supporting it, we will present data favoring our own model. The basic question here is, what is the semantic and pragmatic function of English pitch accents? Much of the semantic literature on English intonation modelsthatfunctionusingthenotionoffocusmarking. Somesemanticistshave invoked additional notions of contrast or topic marking. But contrast can be subsumedunderfocus—forinstance,usingRooth’s(1992)alternativesemantic account. Andindeed,somescholars(e.g. Krifka2008)havesuggestedthattopic can also be subsumed under this account, on the basis that topics, too, invoke alternatives: atopicisathingbeingtalkedabout,andatopicismarkedwhenit represents an alternative to something else that could have been talked about. As a result of all this, quite a few accounts of English intonation depend on a single factor — focus alone — in making their predictions. But even with a fairlybroadnotionoffocus,itremainsdifficulttoaccountadequatelyforallthe prosodic details of English utterances. (See for instance Nenkova et al. 2007, who find that Rooth-style focus performs rather poorly on its own as a feature for the computational task of predicting accent placement.) Perhaps the trouble is that focus alone is not enough. Intuitively, much ma- terialappearstobeaccentedbecauseisinsomesensenew orunpredictable. This intuition has an increasing amount of empirical weight behind it. Prosody cor- relateswithpredictabilityincontrolledexperiments(seeforinstanceLieberman 1963; Aylett and Turk 2004), and features related to predictability have been usedtogoodeffectincomputationalaccentprediction(e.g. PanandHirschberg 2000; Calhoun et al. 2010). There is evidence as well that the Given/New dis- tinctioncorrelateswithanexpression’slikelihoodofbeingaccented(Hirschberg, 1993). Of course, we could attempt to incorporate these factors as well into our notion of focus. Could such an attempt succeed? Could a definition of focus be constructedthatexplainstheseapparenteffectsofGivennessandpredictability all by itself? Or do we also need some formal representation of Givenness or predictability as an independent factor in our model? Semanticists who have addressed these questions can be divided into two camps: lumpers and splitters. LumpersincludeRooth2010andBu¨ring2008;bothRoothandBu¨ring claim that if the notion of focus is spelt out properly, then the theory of accent will not need to make any further reference to the predictability or newness of information. Splitters, including Selkirk 2002, 2007 and Beaver et al. 2007, present explanations of accenting that make separate reference to a standard notionoffocusontheonehand,andtopredictabilityornewnessofinformation on the other. We differ from Selkirk on certain details, and below we present data that invalidates a few details of her approach. But we agree with (and our data confirms) her basic premise — that a two-pronged approach to the phenomenon is required.1 1Muchoftheliteratureisbasedontheuseofsyntacticmarkers. Letusnoteinpassinga distinction: whenonetalksoffocusmarking,onemightrefertothewayinwhichintonation 2 One set of crucial examples, for our and Selkirk’s two-factor accounts and the rival one-factor accounts alike, have to do with phenomena that we will collectively label secondary accent, and which include what has been widely discussed under the heading second-occurrence focus. Secondary accent is what happens when (i) a group of words form a single intonational unit (in simple cases, an entire sentence), (ii) one word is the most prominent, and carries a so-called nuclear accent, which we could also term the primary phrasal stress, but(iii)thereisatleastonemorewordwhichwhilelessprominentthattheone whichcarriesprimaryphrasalstress,isnonethelessmoreacousticallyprominent than the remaining words in the sentence. What is standardly termed second- occurrence focus involves secondary accent falling on a focused word or phrase — as in the classic example (1), adapted from Partee (1999).2 (1) A: Everyone already knew that Mary only eats vegetables. B: If even Paul knew that Mary only eats vegetables // then he should have suggested a different restaurant. Because foci almost always do bear primary accent, it has been considered especially puzzling that they do not do so here. One goal of our account is to make this fact seem a little less puzzling. AnothercrucialsetofclassicexampleswereraisedbyBolinger(1972). These involvesentencepairslike(2-a)and(2-b),whichappeartobeidenticalinstruc- ture but are accented differently. (2) a. I have a point to make. b. I have a point to emphasize. Bolinger’sexamplesareproblematicforeveryone,lumpersandsplittersalike. A formalaccountoftheseexampleswouldbewellbeyondthescopeofthecurrent paper. Still, we find it encouraging that our approach can at least support an informal explanation of why they behave the way they do. We will return to these data briefly in Section 5, and discuss ways in which our account could be extended to fully cover them; but they are not our primary target here. The next section introduces and motivates the principles at the core of our approach. Section 3 shows how these principles can be developed into a formal marks information status, or one might refer to some type of marker in an abstract level of representation, e.g. a syntactic marker. Much of the literature on focus invokes abstract syntacticfocusmarkers. Inthissense, wearenotarguingforatwo-markeraccount, butfor a two-factor account — one which takes both predictability and importance into account, and which allows them to interact as Selkirk’s account does. However, in Section 3 we will presentanimplementationofouraccountwhich,likemostotheraccounts,isdefinedinterms ofsyntacticmarkers. 2Note here that achieving terminological neutrality is not entirely trivial. For lumpers, focusmarkingisthesolesourceofaccenting,andthusthetermssecondaryfocusandsecondary accentcouldbeusedtodescribeasimilarrangeofphenomena. Butforus,thetermsecondary accentismoregeneralthatsecondary focus,sincewedonotattributeallaccenting(primary orsecondary)tofocus-marking. 3 accountofthePartee-styleexamples—onewithbroadercoveragethanleading lumping and splitting approaches, discussed in sections 4 and 5 respectively. In section6wereturntotheBolingerexamples;wegiveaninformalaccountbased on our principles, and consider the work that would need to be done in order to make the account more precise. 2. Introducing predictability and importance Our view is that Selkirk is correct in her suggestion that two factors are requiredtopredictEnglishprosody,butslightlymistakenaboutwhattheproper factors are. In particular, where she uses a straightforward form of Prince’s (1981) given/new distinction as her second factor, we use the predictability of a constituent. Predictability is related to givenness, insofar as givenness in Prince’s sense of the word can contribute to a constituent’s predictability, but it is not exactly the same thing. Take the juicy piece of second-hand gossip in (3) — the juiciest piece of which was unfortunately inaudible to our crack team of eavesdropping field workers. All five partygoers are given after the first sentenceofthediscourse. Andyetthisdoesnotseemtoenableustoguessatthe identity of the drunkest partier. If we had heard the drunkest partier’s name, whoeveritwas,itwouldhavebeenunpredictabletous—justasunpredictable, in fact, as the exact nature of the unspeakable act performed by Larry in (4). The point here is that while often something unpredictable is discourse new in Prince’s sense (as “threw up on the hostess” would be if filling in the blank in (4)), sometimes something unpredictable is discourse given (as Larry would be if filling in the blank in (3)). (3) Gary, Larry, Harry, Barry and Mary all showed up at the party. And you won’t believe who got the drunkest. It was ! (4) Gary, Larry, Harry, Barry and Mary all showed up at the party. And you won’t believe what Larry did. He ! Of course, the above just demonstrates that predictability is different from givenness. It does not provide a precise definition of predictability, or a reason to believe that it will lead to better results than givenness as a factor in an account of prosody. But we will get to that soon enough. The point for now is that givenness and predictability are not identical; the choice between Selkirk’s theorywhichusesgivennessandourswhichusespredictabilityisthereforenon- trivial. Theroleswhichpredictabilityandfocusplayinourtheorycanbeunderstood in terms of the following principles: (5) Prominence Principle: Ifoneexpressionismorecommunicatively sig- nificant than another expression, then the first should be more surface prominent than the second. (6) Predictability and focus: Anexpression’scommunicativesignificance is based on a number of different factors. We group these factors into 4 two broad constellations: those having to do with the predictability of the expression, and those which determine whether or not it is focused. (7) Competition for prominence: Some forms of prominence are re- stricted in their distribution. Primary accent, for instance, can appear only once in an English intonational phrase.3 From this and the two preceding principles, it follows that expressions within an intonational phrase will have to compete for primary accent. This competition is what determines how informationally complex material will be realized within an intonational phrase. Given these three principles (plus some account of how intonational phrase boundaries are placed; we will not address that question here), we can begin to make predictions about the placement of pitch accents in a sentence. For the sake of simplicity and concreteness, we assume that predictabil- ity and focus contribute equal amounts of communicative significance to an expression, and that they are cumulative in their effect. One can think of un- predictability as conferring one point, and focus as conferring one point, such that expressions which are unpredictable and focused have a cumulative score of two. It follows from these principles that a two-point expression will always bear primary accent. On the other hand, a one-point expression can only bear pri- mary accent if it doesn’t have any two-point competitors; it will fall back to secondary accent if it does. In particular, a focused-but-predictable expression (one point!) can be forced down to secondary accent if it has a focused-and- unpredictable competitor (two points!). This, we argue, is the cause of second- occurrence focus. Thereisoneslightlyoddthingabouttheprinciplesaswehavestatedthem. It seems intuitively clear that an unpredictable constituent ought to count as more communicatively significant than a predictable one. An unpredictable constituent conveys more information than a predictable one; and the purpose (or at least a purpose) of communication is to convey information. But it is less clear why focus, out of all semantic or pragmatic phenomena, should be singled out as a source of communicative significance. Why not stipulate that definite nouns are more significant than indefinites, or that present-tense verbs are more significant than past-tense verbs? Is there something ad hoc, or even circular, about the claim that focus-marked constituents are communicatively significant? 3We are making the following hopefully uncontroversial assumptions here about English prosody: Utterancesaresplitintointonationalphrases. Eachintonationalphrasecontainsone andonlyoneprimary(ornuclear)accent,whichisrealizedaspitchaccent,increasedvolume and increased duration on the word that bears it. Intonational phrases may also contain secondary(ornon-nuclear)accents. Asecondaryaccentthatfallsbeforetheprimaryonein its phrase (a pre-nuclear accent) may be realized as a minor pitch accent. One which falls aftertheprimaryaccentinitsphrase(apost-nuclearaccent)doesnotexhibitamajorpitch movement,andistypicallyrealizedwithanincreaseinintensityand/orduration. 5 But there are in fact underlying reasons why constituents are focus-marked. For all the cases we will consider in the main body of the paper, the focus- marked constituents are thus marked because they play one of two discourse roles: answering a question, or marking parallelism. These functions we take to be of pragmatic importance in helping the speaker reach his goals and commu- nicate effectively. Thus, more generally, rather than stating that a constituent is communicatively significant if it is unpredictable or focused. we want to say that a constituent is communicatively significant if it is unpredictable or (pragmatically) important. Answersareimportantforobviousreasons: whenthespeakeranswersaques- tionwhichhasbeenraisedinthecurrentdiscourse, thenwecantakeanswering the question to have been one of his communicative goals.4 The answering constituent is instrumental in meeting this inferred goal; we can thus assign it more importance than it would have in a context where it did not answer any questions. Note here that Beaver and Clark (2008), building on Roberts (1996) and others, analyze association with focus in terms of question answering. Suppose thatsomeaccentedexpressionassociateswithafocussensitiveparticle. Insuch acase,BeaverandClarkanalyzetheaccentedexpressionasbeingtheanswering constituent for the Question Under Discussion, and argue that that the focus sensitive particle, as part of its conventionalized meaning, provides a comment on that question. For example, in “Mary only ate cheese” — which suggests a Question Under Discussion paraphrasable as “What did Mary eat?” — the exclusive “only” would rule out every answer to the question except the answer “Maryatecheese.” Returningtothecurrentpaper,therelevantconsequenceof the Beaver and Clark model is that all expressions that associate with (conven- tionally) focus sensitive particles are important, because they provide answers to the Question Under Discussion. Letusturnbrieflytocontrast. Wedonotbelievethatthereisanyobligation to mark contrasts — but when a speaker does emphasize a contrast, or make a correction, we take this to have been one of his communicative goals, leading the contrasted constituents to be more important than they would have been otherwise. It should be noted here that contrast-marking could be analyzed in terms of predictability rather than importance. The point would be that a contrastive element is usually the least predictable element within some string. For example, in “Jane like Mary and she likes Joan”, the word “Joan” is the least predictable in “she likes Joan”. There are, in fact, at least three obvious ways in which “Joan” might be communicatively significant: it is part of a parallel structure, it might be part of the answer to a Question under 4Note that this does not require us to assume cooperativity on the part of all speakers at all times. If the speaker does answer, we infer that the answer furthers some goal of his. Perhapsthegoalistohelpthehearer;butperhapsthegoalistodeceiveorannoy,ortoinsult thehearerbygivingablatantlyunhelpfulanswer—andsinceweonlymaketheseinferences incaseswherethespeakerdoesanswerthequestion,thisleavesoutrightuncooperativerefusal toanswerasanotherpossibility. 6 Discussion, and it is unpredictable. More generally, contrastive constituents will often be both important and unpredictable. We acknowledge that there may be discourse goals, even quite general and widely held ones,5 beyond those we have specified (answering questions, and marking contrast/parallelism. We only claim that these goals can be reliably imputed — that for instance when someone gives a direct answer to a question, we can infer that answering that question was a goal of theirs. These reliably imputed goals give us a leg to stand on in talking about the general role of im- portanceinlanguagewithoutworryingaboutgoalswhichvaryfromonespeaker to the next. We can now restate (6) in terms of importance, as follows: (8) Predictability and importance: An expression’s communicative sig- nificanceisbasedonanumberofdifferentfactors. Wegroupthesefactors into two broad constellations: those having to do with the predictability of the expression, and those having to do with its importance in meeting the speaker’s goals. If we restrict ourselves to considering the sort of discourse goals mentioned above, this principle will generate the same predictions as (6). If we branch out to consider a wider set of goals, it will predict additional prominence for some constituents, based on their importance to some real-world goal or preference of the speaker’s. There is, for what it’s worth, some evidence that this occurs. Watson et al. (2008) show in an experiment based on a game of tic-tac-toe that when game-winning moves are called out by speakers, these moves bear a special form of acoustic prominence. This could plausibly be argued to be the result of the importance of these moves in meeting a real-world goal of the speaker’s — namely, winning the game of tic-tac-toe. It is also suggestive that the emotional weight a speaker attaches to different expressions can affect their prosodic realization. One could imagine discussing the prosodic effects of emotion in terms of some notion of emotional importance. For now we will restrictourselvestothesortofdiscourseimportancethatisessentiallyequivalent to focus — but we will take up these more speculative subjects again towards the end of the paper. There is similar variability in what can be called predictable, once again including a large number of idiosyncratic factors. Indeed, whenever speaker and hearer have any common ground whatsoever — any special mutual knowl- edge which isn’t simply shared by all competent speakers and hearers — there will be idiosyncratic factors arising from it that affect what they will consider predictable. Once again, though, there are some factors which we maintain will reliably affect predictability; because of these, we can talk about the role of predictability in a general way, without getting hung up on interpersonal differences. In particular, we maintain the following: 5“Bepolite,”oratleast“belikeable,”isalikelycandidate,butitisunclearthatthisever confersimportanceonaspecificconstituent. 7 (9) New referents are unpredictable: This is fairly straightforward — referring expressions whose referents are new in Prince’s (1981) sense of the word are unpredictable. (10) Old referents in new roles are unpredictable: Referring expres- sionswithgivenreferentsmaystillbeunpredictableifthereisalackof parallelism between occurrences. For instance, if John loves Mary is in the context (and nothing else is), then the occurrence of John in John lovessomebodyispredictable,butitsoccurrenceinSomebodylovesJohn is unpredictable. (10) captures the unpredictability of the last word in (3). For while we’ve introduced all the partygoers as discourse referents, we haven’t talked at all aboutthequestionofwhogotthedrunkest. Thus,anyonefillingthatrolewillbe doingitforthefirsttime,andwillbeequallyunpredictableinit. Compare(11), inwhichitseemslikeasurebetthatwecanfillintheblankwithGary’sname. Certainlythereareotherfactorsherethatguideustowardsthisconclusion,but one factor — and the one that will prove to matter most in our discussion of secondary accent — is that Gary has filled this role before. Anyone else whose name occurred in the blank would be an old referent in a new role, and hence less predictable than Gary. (11) Gary, Larry, Harry, Barry and Mary all showed up at the Halloween party, and out of all of them, Gary got the drunkest. They all showed up at the Christmas party too, and out of all of them, Gary got the drunkest. Well, now they’re all here for Easter dinner, and guess who’s gotten roaring drunk? That’s right, it’s . InSection3wewillconsiderhowthesegeneralizationscanbemademorefor- mal. Butevenwiththeinformalversionswehavestatedhere,wecanmakesome worthwhile predictions. In the remainder of this section, we will demonstrate the reasoning behind a few of these predictions; this will also let us illustrate the general shape of our account before we delve into specifics.6 Let’sstartwiththeclassicexampleofsecondaryaccent,adaptedfromPartee (1999). (12) A: Everyone already knew that Mary only eats vegetables. B:IfevenPaulknewthatMaryonlyeatsvegetables//thenheshould have suggested a different restaurant. When B utters the word vegetables, it is focused, but unlike most foci it bears secondaryaccent. (Weadopttheconventionofwritingprimary-accentedwords in small caps and secondary-accented words with underlines. Intonational 6There is, too, some merit to the informal versions. In particular, if we express them in termsofpsychologicaltraitsthatcanbeindirectlyobserved—whatahearercan and can’t predict; what a speaker will and won’t do to meet goals he has been set — it is easier to incorporatethemintopsycholinguisticexperiments. 8 phrase breaks are indicated by double slashes.) The explanation is simple. Consider B’s utterance in (12). The word Paul is unpredictable, because it is new in the immediate discourse context. But furthermore, Paul is important, because it is contrastive: two points! By com- parison,theoccurrenceofvegetablesinB’sutteranceisdiscourseoldandhighly predictable, the VP that contains it being string identical to one in the pre- vious utterance. Still, vegetables is important because of its association with the exclusive particle only. We award it one point. Since Paul and vegetables are in the same intonational phrase, they must compete for prominence.7 Paul wins with two points, and receives primary accent. Vegetables, with one point, still needs to be more prominent than the scoreless words around it. We give it secondary accent as a sort of consolation prize. Rooth’s (1992) “rice farmer” example has gotten a lot of attention in the literature on focus recently. (13) People who grow rice generally only eat rice. In some ways, it is similar to (12). It, too, has a repeated constituent rice, which is associated with only on its second occurrence, but which bears only secondary accent. But as we will see in Section 4, there are several interesting differences between the two examples, which make it problematic for accounts ofsecond-occurrencefocuswhichhandle(12)justfine. (Here’sasneakpreview: in(12),thewordwhichintervenesbetweenonlyandvegetablesistotallywithout communicative significance — unfocused, unimportant, highly predictable. In (13), the word which intervenes between only and rice is contrastively focused. This difference turns out to be a crucial ones for other accounts.) But on our 7Astutereaderswillnotethatwehavenotexplainedwhybothexpressionsfallinthesame intonationalphrase. Andthisiscurrentlythemostseriousgapinouraccount,forwedonot attempt to predict phrasing. Here, we observe that the most natural pronunciation of B’s contributionisphrasedasin(12)butweoffernoexplanationofwhyitisphrasedthisway. Hereisonerelevantobservation,though. ItispossibletophraseB’scontributiondifferently —andwhenitisphrasedinsuchawayastoseparatePaulandvegetables,vegetablesbecomes eligibleforprimaryaccentoncemore. Considerthefollowing. (i) If even Paul // knew // that Mary only eats vegetables // then he should have suggestedadifferentrestaurant. We find that it gives an exasperated tone to the whole if-clause, and singles out the word knewasanespeciallystrongsourceofexasperationorevenoutrage. Butinasituationwhere such outrage is warranted, we find it to be perfectly felicitous. Note that pauses before and after knew are called for, suggesting that there are phrase boundaries here. And note too that,safefromcompetitiononthefarsideofthesephraseboundaries,vegetablescangetits pitchaccentback. Wetakethisassomeevidencethattheintonationalphraseistheproperdomainforcompe- titionforprominence. Butwearestillmerelyobservingthelocationsofthephraseboundaries, andnotmakinganypredictionsabouttheirlocations. Thisisnosubstituteforaproperthe- oryofphrasing—indeed,itonlyreinforcestheneedforsuchatheory,byraisingthequestion ofwhyoutrageoverPaul’sepistemicstateshouldlicensephraseboundariesaroundtheword knew—andclearlymoreworkisrequiredhere. 9 account, we can handle this new example in exactly the same way, despite its differenceinstructure. Wenotethatthesecondoccurrenceofriceispredictable. This is because it does not have a discourse-new referent, and because it is not newly occupying particular slot in a previously used expression. We note that eat, on the other hand, is unpredictable. As before, both competitors are important—ricebecauseofitsassociationwithonly,eatbecauseitiscontrasted with grow. And as before, the unpredictable-and-important competitor beats the predictable-but-important one. The winner is eat. 3. Formalizing predictability and importance Thenextstepistoformalizetheaccountwehavelaidoutinthelastsection. We propose a formalization which is based on two sets of syntactic marks. As in Selkirk’s account, the first set of marks is identical to the F-marking used in Rooth (1992) to capture focus. The second set of marks captures the notion of predictability we have used in the previous section. As in the last section, we assign prominence based on competition between the constituents within an intonational phrase. It should be born in mind here that we will not present empirical evidence that the phenomenon of acoustic prominence should be mediated via syntactic marking, and there is no direct evidence for the syntactic markers we will as- sume. But our use of syntactic markers follows what has become the norm in the field, and we hope it will facilitate comparison to other models which use syntactic marking, e.g. Rooth (1992). The system of marking we use to capture the predictability of an expression isderivedfromSchwarzschild(1999),andprovidesuswitharuleforN-marking those constituents that are unpredictable in the current context. 8 The core principle driving Schwarzschild’s approach is this: if you take any constituent in a felicitous sentence and cut out the N-marked parts, the semantic value of whatever remains ought to be old news. This principle guides the application of N-marking, and the goal is to N-mark as few constituents as possible while still adhering to it. Here is how Schwarzschild formalizes that principle. Let us define two op- erations: N-closure, which “cuts out” the N-marked parts of a constituent’s semantic value, and Existential type-shifting, which turns the semantic value of any constituent into a proposition. Let us then call any constituent Given iff 8WedodeviatefromSchwarzschildononepoint: terminology. Therearenowsimplytoo manyformsof“F-marking”intheliterature,oftenwithradicallydifferentmeanings. Wehave alreadyfollowedSelkirkandRoothinusing“F-marking”toindicateimportantconstituents. ButSchwarzschilduses“F-marking”toindicateunpredictableconstituents;andweobviously cannotusethesamemarkforboth,sinceitiscrucialforouraccountthatpredictabilityand importance be marked separately and that the same constituent be able to be marked for both. We will go on using “F-marking” for important constituents, and we will adopt “N- marking”—NstandsforNew—forunpredictableones. Ifthisisconfusing,remember: our N-markingisjustSchwarzschild’sF-markingunderanewname. 10
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