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On initial state, initial stages, other fantastic beasts, and where to find them

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Abstract

I argue against the framework of "initiality", claiming that until a computationally viable version of "the decision" made at "initial stages" as to transfer of L1 or L2 to serve as the basis for L3, the TPM is not a model that can be interpreted computationally, but perhaps within other domains. I suggest that even if one were to suggest a formalism for TPM, it is still not abiding by computational economy.
Gist L1L2LnConclusive remarks References
On initial state, initial stages,
other fantastic beasts, and where
to find them
Daniil M. Ozernyi
Department of Linguistics
Northwestern University
UC Berkeley
April 9, 2022
Daniil M. Ozernyi UC Berkeley April 9, 2022 1 / 24
Gist L1L2LnConclusive remarks References
Gist
the concept of initial state in L1
the duality of initial state in L2
initiality
the TPM model and initiality
initial state
initial stages
contra initiality for Lnfor n > 1 generally
Daniil M. Ozernyi UC Berkeley April 9, 2022 2 / 24
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Chomskian framework
What are the initial assumptions concerning the nature
of language that the child brings to language learning, and
how detailed and specific is the innate schema (the general
definition of a “grammar”) that gradually becomes more
explicit and differentiated as the child learns the language?
(Chomsky, 2014/1965, p. 27)
[UG] is taken to be the set of properties, conditions, or
whatever that constitute the “initial state” of the language
learner, hence the basis on which knowledge of language
develops. (Chomsky, 1980, p. 69)
UG, then, can be taken to be the genetically determined
initial state of the language faculty, shared among humans
to a very close approximation. (Chomsky, 2014, p. xiii)
Daniil M. Ozernyi UC Berkeley April 9, 2022 3 / 24
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A more formal view
Universal Grammar is a 6-tuple: PHON-F, SYN-F,
SEM-F, Select, Merge, Transfer. [...] PHON-F, SYN-
F, and SEM-F are universal sets of features.
(Def 1 and forth, p. 44 of Collins and Stabler, 2016)
Note that PHON-F, SYN-F, SEM-F, Select, Merge, Transfer=
⟨⟨⟨⟨⟨PHON-F, SYN-F, SEM-F, Select, Merge, Transfer.
C&S do not consider the structure of the sets relevant to us. Say,
some S=⟨⟨PHON-F, SYN-F, SEM-F. And so we are interested
in SUG.
Daniil M. Ozernyi UC Berkeley April 9, 2022 4 / 24
Gist L1L2LnConclusive remarks References
A more formal view
Universal Grammar is a 6-tuple: PHON-F, SYN-F,
SEM-F, Select, Merge, Transfer. [...] PHON-F, SYN-
F, and SEM-F are universal sets of features.
(Def 1 and forth, p. 44 of Collins and Stabler, 2016)
Note that PHON-F, SYN-F, SEM-F, Select, Merge, Transfer=
⟨⟨⟨⟨⟨PHON-F, SYN-F, SEM-F, Select, Merge, Transfer.
C&S do not consider the structure of the sets relevant to us. Say,
some S=⟨⟨PHON-F, SYN-F, SEM-F. And so we are interested
in SUG.
Daniil M. Ozernyi UC Berkeley April 9, 2022 4 / 24
Gist L1L2LnConclusive remarks References
L1
The term “Initial State” does not involve a temporal or
age-based notion, but rather refers to the state of being
prior to experience. (Lust, 2006, p. 31)
The network is invariant, but each switch can be in one
of two positions, on or off. Unless the switches are set,
nothing happens. But when the switches are set in one
of the permissible ways, the system functions, yielding the
entire infinite array of interpretation for linguistic expres-
sions. A slight change in switch settings can yield complex
and varied phenomenal consequences as its effects filter
through the network [...] To acquire a language, children’s
mind must determine how the switches are set.
(Chomsky, 1987, p. 68 in Lust, 2006, p. 56f)
Daniil M. Ozernyi UC Berkeley April 9, 2022 5 / 24
Gist L1L2LnConclusive remarks References
L1
The term “Initial State” does not involve a temporal or
age-based notion, but rather refers to the state of being
prior to experience. (Lust, 2006, p. 31)
The network is invariant, but each switch can be in one
of two positions, on or off. Unless the switches are set,
nothing happens. But when the switches are set in one
of the permissible ways, the system functions, yielding the
entire infinite array of interpretation for linguistic expres-
sions. A slight change in switch settings can yield complex
and varied phenomenal consequences as its effects filter
through the network [...] To acquire a language, children’s
mind must determine how the switches are set.
(Chomsky, 1987, p. 68 in Lust, 2006, p. 56f)
Daniil M. Ozernyi UC Berkeley April 9, 2022 5 / 24
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L1cont’d (formal)
So, the child starts with S0(both in terms of “initial state”) and
in terms of set Sdefined above. Let’s “undorder”
S0={SEMF, SY NF, P HONF}. The purposes for undordering
are not to disobey the Y-schema, but to simplify what follows1.
Then, an assumption that is not at all unreasonable is that each
of subsets of S0, call them generitcally S0, comprises in some
form binary parameters (“switches”), so S0={p:v(p)B}such
that pB2. The structure is again very unclear, subject to future
invetigations.
1Also, it’s not entirely clear why ⟨⟨PHON-F, SYN-F, SEM-Fand not ⟨⟨SYN-F,
SEM-F, PHON-For ⟨⟨SYN-F, PHON-F, SEM-F.
Daniil M. Ozernyi UC Berkeley April 9, 2022 6 / 24
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L1cont’d (formal)
So, the child starts with S0(both in terms of “initial state”) and
in terms of set Sdefined above. Let’s “undorder”
S0={SEMF, SY NF, P HONF}. The purposes for undordering
are not to disobey the Y-schema, but to simplify what follows1.
Then, an assumption that is not at all unreasonable is that each
of subsets of S0, call them generitcally S0, comprises in some
form binary parameters (“switches”), so S0={p:v(p)B}such
that pB2. The structure is again very unclear, subject to future
invetigations.
1Also, it’s not entirely clear why ⟨⟨PHON-F, SYN-F, SEM-Fand not ⟨⟨SYN-F,
SEM-F, PHON-For ⟨⟨SYN-F, PHON-F, SEM-F.
Daniil M. Ozernyi UC Berkeley April 9, 2022 6 / 24
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More formal stuff
We can, however, say that there is some changes in structure
when L1acquisition happens. For example, those ps get valuated,
setting the v(p)∈⊂S0(for each of members if S0).
This could be formalized in multiple ways. I think perhaps one
way to go is to say that each of S0consists of a set of UG-style
parameters on the one hand, and the valuated ones on the other.
So, S0=
{{pSEMF, v(p)SEMF},{pSY NF, v(p)SY NF},{pP HO NF, v(p)P HO NF}}.
Perhaps one achieves this sort of state for each of S0first by
obtaining three (S0)2, some members of second element of
⟨⊂S0,S0“get valuated” becoming ⟨⊂S0, v(S0)(an axiom
perhaps to be established for that). This leaves a lot of problems.
Daniil M. Ozernyi UC Berkeley April 9, 2022 7 / 24
Gist L1L2LnConclusive remarks References
More formal stuff
We can, however, say that there is some changes in structure
when L1acquisition happens. For example, those ps get valuated,
setting the v(p)∈⊂S0(for each of members if S0).
This could be formalized in multiple ways. I think perhaps one
way to go is to say that each of S0consists of a set of UG-style
parameters on the one hand, and the valuated ones on the other.
So, S0=
{{pSEMF, v(p)SEMF},{pSY NF, v(p)SY NF},{pP HO NF, v(p)P HO NF}}.
Perhaps one achieves this sort of state for each of S0first by
obtaining three (S0)2, some members of second element of
⟨⊂S0,S0“get valuated” becoming ⟨⊂S0, v(S0)(an axiom
perhaps to be established for that). This leaves a lot of problems.
Daniil M. Ozernyi UC Berkeley April 9, 2022 7 / 24
Gist L1L2LnConclusive remarks References
More formal stuff
We can, however, say that there is some changes in structure
when L1acquisition happens. For example, those ps get valuated,
setting the v(p)∈⊂S0(for each of members if S0).
This could be formalized in multiple ways. I think perhaps one
way to go is to say that each of S0consists of a set of UG-style
parameters on the one hand, and the valuated ones on the other.
So, S0=
{{pSEMF, v(p)SEMF},{pSY NF, v(p)SY NF},{pP HO NF, v(p)P HO NF}}.
Perhaps one achieves this sort of state for each of S0first by
obtaining three (S0)2, some members of second element of
⟨⊂S0,S0“get valuated” becoming ⟨⊂S0, v(S0)(an axiom
perhaps to be established for that). This leaves a lot of problems.
Daniil M. Ozernyi UC Berkeley April 9, 2022 7 / 24
Gist L1L2LnConclusive remarks References
More formalism
One of the problems is that while we obtain what we need, viz.
some mapping from parameters to their valuations v:pv(p)
(those valuated in v(S0)) we are perhaps left with a lot of
ppmappings because not everything in S0gets valuated.
Perhaps there is a (S0)2A(Abeing the codomain of v).
Then, we get possibilities for valuations of parameters: either
⟨{0,1},0or ⟨{0,1},1. (Here’s also possibility that v(S0) is
exhausted by means of B,0s.) Then, what can happen is further
acquisition or attrition... (to be continued)
Daniil M. Ozernyi UC Berkeley April 9, 2022 8 / 24
Gist L1L2LnConclusive remarks References
More formalism
One of the problems is that while we obtain what we need, viz.
some mapping from parameters to their valuations v:pv(p)
(those valuated in v(S0)) we are perhaps left with a lot of
ppmappings because not everything in S0gets valuated.
Perhaps there is a (S0)2A(Abeing the codomain of v).
Then, we get possibilities for valuations of parameters: either
⟨{0,1},0or ⟨{0,1},1. (Here’s also possibility that v(S0) is
exhausted by means of B,0s.) Then, what can happen is further
acquisition or attrition... (to be continued)
Daniil M. Ozernyi UC Berkeley April 9, 2022 8 / 24
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L2
For some reason, there’s what seems to be a persistent ambiguity
in L2literature as to what “initial state”.
On the one hand, there’s the debate as to “accessibility of UG”
(whatever that is). Those debates were prominent in the 1990s2.
This is essentially about “accessiblity” of
S0={SEMF, SY NF, P HONF}. That is, the radical version of
no accessiblity would state that after L1“steady state” (again,
whatever it is never defined well), all our (S0)2get restricted
to those in v(S0) with the valuation of 1 and all S0just
somehow vanish.
2(For some perspectives, see Vainikka and Young-Scholten, 1998, Bley-Vroman, 1989,
Schwartz and Sprouse, 1996, etc. and also Epstein et al., 1996 which I hold correct.)
Daniil M. Ozernyi UC Berkeley April 9, 2022 9 / 24
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L2
For some reason, there’s what seems to be a persistent ambiguity
in L2literature as to what “initial state”.
On the one hand, there’s the debate as to “accessibility of UG”
(whatever that is). Those debates were prominent in the 1990s2.
This is essentially about “accessiblity” of
S0={SEMF, SY NF, P HONF}. That is, the radical version of
no accessiblity would state that after L1“steady state” (again,
whatever it is never defined well), all our (S0)2get restricted
to those in v(S0) with the valuation of 1 and all S0just
somehow vanish.
2(For some perspectives, see Vainikka and Young-Scholten, 1998, Bley-Vroman, 1989,
Schwartz and Sprouse, 1996, etc. and also Epstein et al., 1996 which I hold correct.)
Daniil M. Ozernyi UC Berkeley April 9, 2022 9 / 24
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More L2
Those vanishing hypotheses seem unlikely to me. This, however,
is not the end. A totally, entirely, absolutely, utterly different
issue is that of “mental representations”.
Just for a minute, though, let’s take “mental representations” to
be on the computational level (sensu Marr et al., 1979). The
“initial state” in the sense of “mental representations” is not (and
perhaps not even related or the relation has not been made
explicitly clear, other than being constrained by) to UG in broad
sense.
Daniil M. Ozernyi UC Berkeley April 9, 2022 10 / 24
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More L2
Those vanishing hypotheses seem unlikely to me. This, however,
is not the end. A totally, entirely, absolutely, utterly different
issue is that of “mental representations”.
Just for a minute, though, let’s take “mental representations” to
be on the computational level (sensu Marr et al., 1979). The
“initial state” in the sense of “mental representations” is not (and
perhaps not even related or the relation has not been made
explicitly clear, other than being constrained by) to UG in broad
sense.
Daniil M. Ozernyi UC Berkeley April 9, 2022 10 / 24
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Ln
An initial state such that it is a state of mental representations of
Lnwere advocated for L3by a series of papers under the
Typological Proximity Model3.
Within the (quasi-)formalism developed above, the approach
taken by TPM, as well as by most of other models which look at
“initial state”, is that there is a set of what was v(p) for every
“language”.
3Cf. Rothman and Cabrelli Amaro, 2010; Rothman, 2011; Rothman, 2013; Rothman
and Halloran, 2013; Rothman, 2015; Alonso and Rothman, 2017; Rothman et al., 2019;
Gonz´alez Alonso and Rothman, 2021, etc.
Daniil M. Ozernyi UC Berkeley April 9, 2022 11 / 24
Gist L1L2LnConclusive remarks References
Ln
An initial state such that it is a state of mental representations of
Lnwere advocated for L3by a series of papers under the
Typological Proximity Model3.
Within the (quasi-)formalism developed above, the approach
taken by TPM, as well as by most of other models which look at
“initial state”, is that there is a set of what was v(p) for every
“language”.
3Cf. Rothman and Cabrelli Amaro, 2010; Rothman, 2011; Rothman, 2013; Rothman
and Halloran, 2013; Rothman, 2015; Alonso and Rothman, 2017; Rothman et al., 2019;
Gonz´alez Alonso and Rothman, 2021, etc.
Daniil M. Ozernyi UC Berkeley April 9, 2022 11 / 24
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Lncont’d
NB: I focus on TPM because of the concept of “initial state” was
employed and in the sense of L3 pioneered by that model.
So, what will happen (my interpretation) according to a number
of models (TPM within them) is the following: initial state for
some L3is S3={SL1, SL2, SL10}4. (Or a version of this.)
I do not find that this is likely or following the principles of
computational efficiency (since we’re at the level of computation,
trivially). Moreover,
4That is,
{SEMF, SY NF, P H ONF}L1,{SEMF, SY NF, P HO NF}L2,{SEMF, SY NF, P H ONF}L12
Daniil M. Ozernyi UC Berkeley April 9, 2022 12 / 24
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Lncont’d
NB: I focus on TPM because of the concept of “initial state” was
employed and in the sense of L3 pioneered by that model.
So, what will happen (my interpretation) according to a number
of models (TPM within them) is the following: initial state for
some L3is S3={SL1, SL2, SL10}4. (Or a version of this.)
I do not find that this is likely or following the principles of
computational efficiency (since we’re at the level of computation,
trivially). Moreover,
4That is,
{SEMF, SY NF, P H ONF}L1,{SEMF, SY NF, P HO NF}L2,{SEMF, SY NF, P H ONF}L12
Daniil M. Ozernyi UC Berkeley April 9, 2022 12 / 24
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Lncont’d
NB: I focus on TPM because of the concept of “initial state” was
employed and in the sense of L3 pioneered by that model.
So, what will happen (my interpretation) according to a number
of models (TPM within them) is the following: initial state for
some L3is S3={SL1, SL2, SL10}4. (Or a version of this.)
I do not find that this is likely or following the principles of
computational efficiency (since we’re at the level of computation,
trivially). Moreover,
4That is,
{SEMF, SY NF, P H ONF}L1,{SEMF, SY NF, P HO NF}L2,{SEMF, SY NF, P H ONF}L12
Daniil M. Ozernyi UC Berkeley April 9, 2022 12 / 24
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Initiality
The framework of initiality of the TPM is that there is some time
period undefinable universally but subjective depending on
circumstances of acquisition setting when the decision of L12
is made and the copy SLnis made as a copy of either SL1or SL2.
NB: After initial state or stages (state was expanded to stages in
about 2019, perhaps to accommodate the fact that stages are
durative), transfer is not necessarily wholesale, but can occur
property-by-property.
Daniil M. Ozernyi UC Berkeley April 9, 2022 13 / 24
Gist L1L2LnConclusive remarks References
Initiality
The framework of initiality of the TPM is that there is some time
period undefinable universally but subjective depending on
circumstances of acquisition setting when the decision of L12
is made and the copy SLnis made as a copy of either SL1or SL2.
NB: After initial state or stages (state was expanded to stages in
about 2019, perhaps to accommodate the fact that stages are
durative), transfer is not necessarily wholesale, but can occur
property-by-property.
Daniil M. Ozernyi UC Berkeley April 9, 2022 13 / 24
Gist L1L2LnConclusive remarks References
Some risen objections
[The framework of initial stages gives] the TPM wiggle-
room to provide alternative accounts of any counterevi-
dence of property-by-property transfer. Citing the need
for ‘cognitive economy’ to explain wholesale transfer just
for those stages of acquisition after the initial stage but
prior to more advanced acquisition falls short of actual
evidence against property-by-property transfer throughout
the L3 acquisition process. (Stringer, 2021)
Indeed, the notion of “cognitive economy” cannot be applied to
the level of computation only the notion of computational
economy can. Unlike cognitive economy, computational economy
has to be defined and deals with rigid measurement systems as
opposed to vague cognitive loads, &c.
Daniil M. Ozernyi UC Berkeley April 9, 2022 14 / 24
Gist L1L2LnConclusive remarks References
Some risen objections
[The framework of initial stages gives] the TPM wiggle-
room to provide alternative accounts of any counterevi-
dence of property-by-property transfer. Citing the need
for ‘cognitive economy’ to explain wholesale transfer just
for those stages of acquisition after the initial stage but
prior to more advanced acquisition falls short of actual
evidence against property-by-property transfer throughout
the L3 acquisition process. (Stringer, 2021)
Indeed, the notion of “cognitive economy” cannot be applied to
the level of computation only the notion of computational
economy can. Unlike cognitive economy, computational economy
has to be defined and deals with rigid measurement systems as
opposed to vague cognitive loads, &c.
Daniil M. Ozernyi UC Berkeley April 9, 2022 14 / 24
Gist L1L2LnConclusive remarks References
The principal point
I fail to see the reason and/or motivation to stipulate
{SL1, SL2, SLn}system.
The options of a multilingual speaker are acquisition/attrition, as
mentioned above (to which we now come):
acquisition
B,0B,0,1⟩⟩
B,1B,1,0⟩⟩
attrition
B,1B,05
acquisition reversed
5I can think of no case where B,0B,1would be applicable for attrition.
Daniil M. Ozernyi UC Berkeley April 9, 2022 15 / 24
Gist L1L2LnConclusive remarks References
The principal point
I fail to see the reason and/or motivation to stipulate
{SL1, SL2, SLn}system.
The options of a multilingual speaker are acquisition/attrition, as
mentioned above (to which we now come):
acquisition
B,0B,0,1⟩⟩
B,1B,1,0⟩⟩
attrition
B,1B,05
acquisition reversed
5I can think of no case where B,0B,1would be applicable for attrition.
Daniil M. Ozernyi UC Berkeley April 9, 2022 15 / 24
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Cont’d
These options listed, as opposed to initiality framework, seem to
provide a significantly simpler system than triple-S system.
Further, no troublesome initial state is stipulated. UG is
accessible (otherwise acquisition is impossible), and acquisition
proceeds cumulatively, explaining interlanguage interferences even
for native n-linguals, which is otherwise just computationally
inconsistent (in the TPM, that is).
Daniil M. Ozernyi UC Berkeley April 9, 2022 16 / 24
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Previous work
The cumulativity framework of adjusting nn, 01comes
from Ozernyi, 2022b.
The intermediate (Ozernyi, 2022b p. 11)
sEsT(sE=sT(vs(E)sE)(vs(T)sT)
((vs(E)=vs(T)(C{vs(E), vs(T)}=vs(E), vs(T)))
(vs(E)=vs(T)(I{vs(E), vs(T)}=vE,T ))))
Further remarks on “transfer” are in Ozernyi, 2022a.
Daniil M. Ozernyi UC Berkeley April 9, 2022 17 / 24
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Conclusive remarks
Indeed, perhaps initial state or initial stages are somehow
intuitive, or even can be taken as supported by certain
interpretations of the data.
It appears that the multilingual brain somehow makes the big
decision for Ln(L3in particular) (which I argue there is no need
to make) before evaluating the actual data (Ln’s PLD), but
instead based on some experience, hunch, or something to that
effect.
Daniil M. Ozernyi UC Berkeley April 9, 2022 18 / 24
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Conclusive remarks
Indeed, perhaps initial state or initial stages are somehow
intuitive, or even can be taken as supported by certain
interpretations of the data.
It appears that the multilingual brain somehow makes the big
decision for Ln(L3in particular) (which I argue there is no need
to make) before evaluating the actual data (Ln’s PLD), but
instead based on some experience, hunch, or something to that
effect.
Daniil M. Ozernyi UC Berkeley April 9, 2022 18 / 24
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Cont’d
Perhaps this is an interesting framework to entertain, perhaps it
accommodates some of the data in the papers out there (which
are to be evaluated separately), but until it is computationally
(emphatically not implementationally; nobody is looking for
actual time frames) adequate, I do not think it can serve as a
viable model for L3/Lnacquisition. Rather, perhaps, as a useful
heuristic.
Daniil M. Ozernyi UC Berkeley April 9, 2022 19 / 24
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References I
Alonso, J. G., & Rothman, J. (2017). Coming of age in L3 initial stages transfer models: Deriving
developmental predictions and looking towards the future. International Journal of
Bilingualism,21(6), 683–697.
Bley-Vroman, R. (1989). What is the logical problem of foreign language learning? In J. Schachter &
S. M. Gass (Eds.), Linguistic Perspectives on Second Language Acquisition (pp. 41–68).
Cambridge University Press. https://doi.org/10.1017/CBO9781139524544.005
Chomsky, N. (1980). Rules and representations.Columbia University Press.
Chomsky, N. (1987). Language and Problems of Knowledge: The Managua Lectures (S. J. Keyser, Ed.). MIT
Press.
Chomsky, N. (2014). Aspects of the Theory of Syntax (50th Anniversary Edition). MIT Press.
Collins, C., & Stabler, E. (2016). A Formalization of Minimalist Syntax. Syntax,19(1), 43–78.
https://doi.org/10.1111/synt.12117
Daniil M. Ozernyi UC Berkeley April 9, 2022 20 / 24
Gist L1L2LnConclusive remarks References
References II
Epstein, S. D., Flynn, S., & Martohardjono, G. (1996). Second language acquisition: Theoretical and
experimental issues in contemporary research. Behavioral and Brain Sciences,19(4), 677–714.
https://doi.org/10.1017/S0140525X00043521
Gonz´alez Alonso, J., & Rothman, J. (2021). Avoiding the cum hoc ergo propter hoc fallacy: Comments
and questions regarding Full Transfer Potential [Publisher: SAGE Publications Sage UK:
London, England]. Second Language Research, 1–6. https://doi.org/10.1177/0267658320934135
Lust, B. C. (2006). Child Language: Acquisition and Growth.Cambridge University Press. Retrieved June
5, 2021, from doi.org/10.1017/CBO9780511803413
Marr, D., Poggio, T., & Brenner, S. (1979). A computational theory of human stereo vision [Publisher:
Royal Society]. Proceedings of the Royal Society of London. Series B. Biological Sciences,
204(1156), 301–328. https://doi.org/10.1098/rspb.1979.0029
Ozernyi, D. M. (2022a). The Rise and Fall of Linguistic Transfer. Manuscript. Northwestern University..
https://doi.org/10.5281/zenodo.6237257
Ozernyi, D. M. (2022b). Some remarks on the history of transfer in language studies. Proceedings of the
Linguistic Society of America,7(1), 5206. https://doi.org/10.3765/plsa.v7i1.5206
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References III
Rothman, J. (2011). L3 syntactic transfer selectivity and typological determinacy: The typological
primacy model [Publisher: SAGE Publications Ltd]. Second Language Research,27(1), 107–127.
https://doi.org/10.1177/0267658310386439
Rothman, J. (2013). Cognitive economy, non-redundancy and typological primacy in L3 acquisition:
Initial stages of L3 Romance and beyond. In S. Baauw, F. Drijkoningen, L. Meroni, &
M. Pinto (Eds.), Romance Languages and Linguistic Theory 2011: Selected papers from ’Going
Romance’ Utrecht 2011 (pp. 217–248). John Benjamins Publishing Company. Retrieved
October 1, 2021, from https://benjamins.com/catalog/rllt.5
Rothman, J. (2015). Linguistic and cognitive motivations for the Typological Primacy Model (TPM) of
third language (L3) transfer: Timing of acquisition and proficiency considered [Publisher:
Cambridge University Press]. Bilingualism: language and cognition,18(2), 179–190.
https://www.researchgate.net/profile/Jason Rothman2/publication/
264295396 Linguistic and cognitive motivations for the Typological Primacy Model TPM of
third language L3 transfer Timing of acquisition and proficiency considered/links/
53d7b01f0cf2a19eee7fcc40/Linguistic-and- cognitive-motivations-for- the-Typological- Primacy-
Model-TPM- of- third-language- L3-transfer- Timing-of- acquisition-and- proficiency-
considered.pdf
Rothman, J., Alonso, J. G., & Puig-Mayenco, E. (2019). Third language acquisition and linguistic transfer
(Vol. 163). Cambridge University Press. https://www.cambridge.org/core/books/third-
language-acquisition- and-linguistic- transfer/BD115728CB52289D96AFB04D26DD1175
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Gist L1L2LnConclusive remarks References
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Rothman, J., & Cabrelli Amaro, J. (2010). What variables condition syntactic transfer? A look at the L3
initial state. Second Language Research,26(2), 189–218.
https://doi.org/10.1177/0267658309349410
Rothman, J., & Halloran, B. (2013). Formal linguistic approaches to L3/Ln acquisition: A focus on
morphosyntactic transfer in adult multilingualism [Publisher: Cambridge University Press].
Annual Review of Applied Linguistics,33, 51–67.
Schwartz, B. D., & Sprouse, R. A. (1996). L2 cognitive states and the full transfer/full access model.
Second language research,12(1), 40–72.
https://journals.sagepub.com/doi/abs/10.1177/026765839601200103
Stringer, D. (2021). Commitment in L3 relationships: Sacred vows or polyamory? [Publisher: SAGE
Publications Ltd]. Second Language Research,37(3), 495–500.
https://doi.org/10.1177/0267658320988045
Vainikka, A., & Young-Scholten, M. (1998). The Initial State in the L2 Acquisition of Phrase Structure
[Num Pages: 18]. In S. Flynn, G. Martohardjono, & W. O’Neil (Eds.), The Generative Study of
Second Language Acquisition. Psychology Press.
Daniil M. Ozernyi UC Berkeley April 9, 2022 23 / 24
Gist L1L2LnConclusive remarks References
Thanks!
Acknowledgements: I’m very grateful to Jason for very fruitful
discussions (not of this presentation, but of L3/Lngenerally)!
and to Suzanne for her support of my recalcitrant views.
Daniil M. Ozernyi
Benjamin W. Slivka Hall
2332 Campus Dr.
Northwestern University
Evanston, IL 60208
doz@u.northwestern.edu
Slides available at dozernyi.com
Daniil M. Ozernyi UC Berkeley April 9, 2022 24 / 24
... This is explored at length in Ozernyi (2022a), but the gist is that for Chomsky (in KoL), "[UG] is taken to be the set of properties, conditions, or whatever that constitute the 'initial state' of the language learner, hence the basis on which knowledge of language develops". ...
Presentation
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The 134th Invited Colloquium at National Institute for Japanese Language and Linguistics. See here: https://www.ninjal.ac.jp/events_jp/20230905a/ *** Abstract *** The field of language acquisition, and third language acquisition specifically, has seen an incredible surge in recent decades. The most salient witness of this is the sheer number of models of L3 acquisition which has appeared – around 13 of them, and counting (see a taxonomy in Ozernyi 2021a). In this talk, I would like to examine several issues surrounding this recent surge. The central question, however, is as follows: what constitutes (or, rather, should constitute) a rigorous investigation of Ln acquisition?, i.e. what requirements these acquisition studies should fulfill methodologically, &c.? Importantly, I confine the discussion of acquisition studies to generative tradition, leaving out, e.g., functionalist and other traditions (as in the work of de Bot, Goldberg, Slobin, Givon, and others). I also leave out the contrastive analysis framework – chiefly for reasons given in Ozernyi (2022c, §1). However, acquisition studies are inevitably and invariably a multidisciplinary endeavor and require interaction with theoretical and applied linguistics. Trivially, an L3 study consists, minimally, of delineating the following: (1) the language property, acquisition of which is being studied (e.g., “pro-drop”, “telicity”, &c.), (2) which aspect of acquisition theory is being studied (e.g., s.-c. “initial state” vs “development”), (3) developing appropriate experimental tools (e.g., acceptability judgment tasks, elicited imitation tasks), (4) selecting the appropriate assessment tools to place students on the proficiency continuum; (5) selecting the appropriate statistical tools for analysis (e.g., lmer, anovas, simple regression). My objective is to examine the problematicity of these requirements in recent studies. I.e., I aim to argue that because a lot of studies fail one or more elements of this five-element list, we are not much further in our understanding of the acquisition process than Epstein, Flynn, and Martohardjono (1996) – ostensibly, despite the surge in the number of studies. Specifically, I want to draw attention to the following three issues (respective of the elements above): (apropos 1) Acquisition research is heavily and austerely constrained by state of art in syntax and adjacent fields depending on the acquisition of what is being investigated. (apropos 2) Despite a sizeable body of work, theories of “initial state” (such as in the work of, e.g., Rothman and colleagues) fail both falsifiability and internal coherency requirements (Ozernyi 2022b). (apropos 4) Vast lack of assessment literacy can (and does, widely so) render research uninterpretable (following Ozernyi, Flynn, Kim, and Yamashita, forthcoming). How to deal with the assessment of less-commonly taught languages? Lastly, I intend to briefly extend the sketches of a new model of Ln acquisition given in some recent work (Ozernyi, 2022c, §2; Ozernyi and Chou, 2023; Ozernyi and Chou, submitted, &c.), theory of the intermediate, showing how it answers the challenges outlined above. References Epstein, S. D., Flynn, S., & Martohardjono, G. (1996). Second language acquisition: Theoretical and experimental issues in contemporary research. Behavioral and Brain Sciences, 19(4), 677-714. Ozernyi, DM. (2022a). On meronomy and dimensionality of the models for multilingual language acquisition. UNC-CH Spring Colloquium. http://dx.doi.org/10.13140/RG.2.2.18245.32489
Article
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Westergaard (2019) presents an updated account of the Linguistic Proximity Model and the micro-cue approach to the parser as an acquisition device. The property-by-property view of transfer inherent in this approach contrasts with other influential models that assume that third language (L3) acquisition involves the creation of a full copy of only one previously existing language in the mind. In this commentary, I review Westergaard’s proposal that first language (L1), second language (L2), and L3 acquisition proceed on the basis of incremental, conservative learning and her view of the parser as the engine of the acquisition process. I then provide several arguments in support of her position that crosslinguistic influence in L n acquisition may flow from any previously acquired language.
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In this commentary to Westergaard (2021), we focus on two main questions. The first, and most important, is what type of L3 data may be construed as supporting evidence–as opposed to a compatible outcome–for the Linguistic Proximity Model. In this regard, we highlight a number of areas in which it remains difficult to derive testable predictions from the model that go beyond compatibility with multiple outcomes that should, in principle, be mutually exclusive. The second part of this commentary deals with Westergaard’s (2021) a priori questioning of wholesale transfer as a tenable hypothesis on the basis of it creating a context for massive unlearning, both in L2 and L3 acquisition, when humans seem to display conservative learning traits from L1 acquisition already. We argue here that decades of accumulated empirical data in L2 and L3 studies have shown enough evidence of L1 transfer and restructuring to render this argument a non sequitur. In connection to this, we discuss some of the issues related to adaptive accounts of linguistic transfer across instances of language acquisition.
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The goal of this paper is to give a precise, formal account of certain fundamental notions in minimalist syntax, including Merge, Select, Transfer, occurrences, workspace, labels, and convergence. We would like this formalization to be useful to minimalist syntacticians in formulating new proposals and evaluating their own proposals, both conceptually and empirically. We do not attempt to formalize all minimalist analyses that have been proposed in the last two decades. Rather, we focus on widely accepted formulations. Where certain alternatives loom large, we mention them briefly. There are many operations we have not treated for reasons of space, including: head movement, Pair-Merge (adjunction), QR Agree and Feature Inheritance. The framework given in this paper could be extended to incorporate various versions of these operations, which could then be compared rigorously. Our basic approach bears a resemblance to the Minimalist Grammars devised by Stabler (1997) and the work that it has given rise to. 1 Those grammars were simplified to facilitate computational assessment, but here we make an effort to stay close to mainstream formulations. We use basic set theory to represent syntactic objects, with standard notation: ∈ (is an element of), ∪ (set union), ⊆ (is a subset of), ⊂ (is a proper subset of). Given any two sets S and T, the set difference S-T={x| x∈S, x∉T}. And S×T is the Cartesian product of S and T, that is, the set of ordered pairs {〈a,b〉| a∈S,b∈T}. As usual, free variables in definitions are understood to be universally quantified. For example, "W is a workspace iff…" means the same thing as "For all W, W is a workspace iff…" 1. Preliminary Definitions Definition 1. Universal Grammar Universal Grammar is a 6-tuple: <PHON, SYN, SEM, Select, Merge, Transfer> PHON, SYN and SEM are universal sets of features. Select, Merge and Transfer are universal operations. Select is an operation that introduces lexical items into the derivation. Merge is an operation that takes two syntactic objects and combines them into a syntactic object. Transfer is an operation that maps the syntactic objects built by Merge to pairs <PHON, SEM> that are interpretable at the interfaces. Select, Merge and Transfer are defined later in the paper. Definition 1 captures what is invariant in the human language faculty. There is no need to augment the 6-tuple with a specification of the format of lexical items, since the required format of lexical items is already given by the definitions of the operations. We assume that UG specifies three sets of features: semantic features (SEM), phonetic features (PHON), and syntactic features (SYN). We assume that these three sets do not overlap, although in some cases this assumption may be too restrictive (e.g., for 1 See for example, Michaelis (2001), Harkema (2001), Stabler (2010), Salvati (2011).
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This article elucidates the Typological Primacy Model (TPM; Rothman, 2010, 2011, 2013) for the initial stages of adult third language (L3) morphosyntactic transfer, addressing questions that stem from the model and its application. The TPM maintains that structural proximity between the L3 and the L1 and/or the L2 determines L3 transfer. In addition to demonstrating empirical support for the TPM, this article articulates a proposal for how the mind unconsciously determines typological (structural) proximity based on linguistic cues from the L3 input stream used by the parser early on to determine holistic transfer of one previous (the L1 or the L2) system. This articulated version of the TPM is motivated by argumentation appealing to cognitive and linguistic factors. Finally, in line with the general tenets of the TPM, I ponder if and why L3 transfer might obtain differently depending on the type of bilingual (e.g. early vs. late) and proficiency level of bilingualism involved in the L3 process.
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This chapter has two main objectives. The first is to critically introduce the reader to the emerging field of generative third language acquisition, demonstrating that L3 data make significant contributions towards a better understanding of how the mind represents language and how cognitive economy delimits acquisition processes. The second is to offer an updated articulation of the Typological Primacy Model (Rothman 2010, 2011), which argues that structural proximity between the L3 and the L1 and/or the L2 determines L3 initial stages transfer. Beyond showing this with empirical data, a proposal of how the mind determines typological proximity and how this is motivated by cognitive and linguistic factors is fleshed out.
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The goal of this article is to introduce the reader to contemporary adult multilingual acquisition research within generative linguistics. In much the same way as monolingual and bilingual acquisition studies are approached within this paradigm, generative multilingual research focuses primarily on the psycholinguistic and cognitive aspects of the acquisition process. Herein, we critically present a panoramic view of the research questions and empirical work that have dominated this nascent field, taking the reader through several interrelated epistemological discussions that are at the vanguard of contemporary multilingual morphosyntax work. We finish this article with some thoughts looking towards the near future of adult multilingual acquisition studies.
Article
Aims Over the past decade in particular, formal linguistic work within L3 acquisition has concentrated on hypothesizing and empirically determining the source of transfer from previous languages—L1, L2 or both—in L3 grammatical representations. In view of the progressive concern with more advanced stages, we aim to show that focusing on L3 initial stages should be one continued priority of the field, even—or especially—if the field is ready to shift towards modeling L3 development and ultimate attainment. Approach We argue that L3 learnability is significantly impacted by initial stages transfer, as such forms the basis of the initial L3 interlanguage. To illustrate our point, the insights from studies using initial and intermediary stages L3 data are discussed in light of developmental predictions that derive from the initial stages models. Conclusions Despite a shared desire to understand the process of L3 acquisition in whole, inclusive of offering developmental L3 theories, we argue that the field does not yet have—although is ever closer to—the data basis needed to effectively do so. Originality This article seeks to convince the readership of the need for conservatism in L3 acquisition theory building, whereby offering a framework on how and why we can most effectively build on the accumulated knowledge of the L3 initial stages in order to make significant, steady progress. Significance The arguments exposed here are meant to provide an epistemological base for a tenable framework of formal approaches to L3 interlanguage development and, eventually, ultimate attainment.