Retrieval interference in reflexive processing: experimental evidence from Mandarin, and computational modeling

The Plausibility of Sampling as an Algorithmic Theory of Sentence Processing

Words that are more surprising given context take longer to process. However, no incremental parsing algorithm has been shown to directly predict this phenomenon. In this work, we focus on a class of algorithms whose runtime does naturally scale in surprisal-those that involve repeatedly sampling from the prior. Our first contribution is to show that simple examples of such algorithms predict runtime to increase superlinearly with surprisal, and also predict variance in runtime to increase. These two predictions stand in contrast with literature on surprisal theory (Hale, 2001; Levy, 2008a) which assumes that the expected processing cost increases linearly with surprisal, and makes no prediction about variance. In the second part of this paper, we conduct an empirical study of the relationship between surprisal and reading time, using a collection of modern language models to estimate surprisal. We find that with better language models, reading time increases superlinearly in surprisal, and also that variance increases. These results are consistent with the predictions of sampling-based algorithms.

Age-related differences in the retrieval of phonologically similar words during sentence processing: Evidence from ERPs

We investigated how phonologically similar words are encoded and retrieved from memory during sentence processing across younger and older adults. Critical sentences included two phonologically similar or dissimilar noun phrases (henceforth NPs) followed by a pronoun. We examined brain activity time-locked to the onsets of the second NP, and the pronoun to investigate the encoding and retrieval of the NPs, respectively. Encoding the second NP resulted in smaller N400 amplitudes when the preceding NP was phonologically similar, for both younger and older adults, suggesting age-invariant encoding facilitation with increasing phonological similarity. However, when processing the pronoun, younger adults exhibited greater negativity following phonologically similar NPs, suggesting retrieval difficulty, whereas older adults showed greater negativity for pronouns following dissimilar NPs, suggesting an apparent retrieval facilitation. A post-hoc behavioral experiment suggested that older adults perform shallow processing during retrieval. The results suggest age-related decline in retrieval, but not encoding, of phonological information.

Interference patterns in subject-verb agreement and reflexives revisited: A large-sample study

Cue-based retrieval theories in sentence processing predict two classes of interference effect: (i) Inhibitory interference is predicted when multiple items match a retrieval cue: cue-overloading leads to an overall slowdown in reading time; and (ii) Facilitatory interference arises when a retrieval target as well as a distractor only partially match the retrieval cues; this partial matching leads to an overall speedup in retrieval time. Inhibitory interference effects are widely observed, but facilitatory interference apparently has an exception: reflexives have been claimed to show no facilitatory interference effects. Because the claim is based on underpowered studies, we conducted a large-sample experiment that investigated both facilitatory and inhibitory interference. In contrast to previous studies, we find facilitatory interference effects in reflexives. We also present a quantitative evaluation of the cue-based retrieval model of Engelmann et al. (2019), with respect to the reflexives data. Data and code are available from: https://osf.io/reavs/.

Cue integration during sentence comprehension: Electrophysiological evidence from ellipsis

Language processing requires us to integrate incoming linguistic representations with representations of past input, often across intervening words and phrases. This computational situation has been argued to require retrieval of the appropriate representations from memory via a set of features or representations serving as retrieval cues. However, even within in a cue-based retrieval account of language comprehension, both the structure of retrieval cues and the particular computation that underlies direct-access retrieval are still underspecified. Evidence from two event-related brain potential (ERP) experiments that show cue-based interference from different types of linguistic representations during ellipsis comprehension are consistent with an architecture wherein different cue types are integrated, and where the interaction of cue with the recent contents of memory determines processing outcome, including expression of the interference effect in ERP componentry. I conclude that retrieval likely includes a computation where cues are integrated with the contents of memory via a linear weighting scheme, and I propose vector addition as a candidate formalization of this computation. I attempt to account for these effects and other related phenomena within a broader cue-based framework of language processing.

On the Nature of Clitics and Their Sensitivity to Number Attraction Effects

Pronominal dependencies have been shown to be more resilient to attraction effects than subject-verb agreement. We use this phenomenon to investigate whether antecedent-clitic dependencies in Spanish are computed like agreement or like pronominal dependencies. In Experiment 1, an acceptability judgment self-paced reading task was used. Accuracy data yielded reliable attraction effects in both grammatical and ungrammatical sentences, only in singular (but not plural) clitics. Reading times did not show reliable attraction effects. In Experiment 2, we measured electrophysiological responses to violations, which elicited a biphasic frontal negativity-P600 pattern. Number attraction modulated the frontal negativity but not the amplitude of the P600 component. This differs from ERP findings on subject-verb agreement, since when the baseline matching condition obtained a biphasic pattern, attraction effects only modulated the P600, not the preceding negativity. We argue that these findings support cue-retrieval accounts of dependency resolution and further suggest that the sensitivity to attraction effects shown by clitics resembles more the computation of pronominal dependencies than that of agreement.

Looking forwards and backwards: The real-time processing of Strong and Weak Crossover

We investigated the processing of pronouns in Strong and Weak Crossover constructions as a means of probing the extent to which the incremental parser can use syntactic information to guide antecedent retrieval. In Experiment 1 we show that the parser accesses a displaced wh-phrase as an antecedent for a pronoun when no grammatical constraints prohibit binding, but the parser ignores the same wh-phrase when it stands in a Strong Crossover relation to the pronoun. These results are consistent with two possibilities. First, the parser could apply Principle C at antecedent retrieval to exclude the wh-phrase on the basis of the c-command relation between its gap and the pronoun. Alternatively, retrieval might ignore any phrases that do not occupy an Argument position. Experiment 2 distinguished between these two possibilities by testing antecedent retrieval under Weak Crossover. In Weak Crossover binding of the pronoun is ruled out by the argument condition, but not Principle C. The results of Experiment 2 indicate that antecedent retrieval accesses matching wh-phrases in Weak Crossover configurations. On the basis of these findings we conclude that the parser can make rapid use of Principle C and c-command information to constrain retrieval. We discuss how our results support a view of antecedent retrieval that integrates inferences made over unseen syntactic structure into constraints on backward-looking processes like memory retrieval.

Retrieval and Encoding Interference: Cross-Linguistic Evidence from Anaphor Processing

The main goal of this paper was to disentangle encoding and retrieval interference effects in anaphor processing and thus to evaluate the hypothesis predicting that structurally inaccessible nouns (distractors) are not considered to be potential anaphor antecedents during language processing (Nicol and Swinney, 1989). Three self-paced reading experiments were conducted: one in German, comparing gender-unmarked reflexives and gender-marked pronouns, and two in Russian, comparing gender-marked and -unmarked reflexives. In the German experiment, no interference effects were found. In the first experiment in Russian, an unexpected reading times pattern emerged: in the condition where the distractor matched the gender of the reflexive's antecedent, reading of the gender-unmarked, but not the gender-marked reflexives was slowed down. The same reading times pattern was replicated in a second experiment in Russian where the order of the reflexive and the main verb was inverted. We conclude that the results of the two experiments in Russian are inconsistent with the retrieval interference account, but can be explained by encoding interference and additional semantic processing efforts associated with the processing of gender-marked reflexives. In sum, we found no evidence that would allow us to reject the syntax as an early filer account (Nicol and Swinney, 1989).

Retrieval Interference in Syntactic Processing: The Case of Reflexive Binding in English

It has been proposed that in online sentence comprehension the dependency between a reflexive pronoun such as himself/herself and its antecedent is resolved using exclusively syntactic constraints. Under this strictly syntactic search account, Principle A of the binding theory—which requires that the antecedent c-command the reflexive within the same clause that the reflexive occurs in—constrains the parser's search for an antecedent. The parser thus ignores candidate antecedents that might match agreement features of the reflexive (e.g., gender) but are ineligible as potential antecedents because they are in structurally illicit positions. An alternative possibility accords no special status to structural constraints: in addition to using Principle A, the parser also uses non-structural cues such as gender to access the antecedent. According to cue-based retrieval theories of memory (e.g., Lewis and Vasishth, 2005), the use of non-structural cues should result in increased retrieval times and occasional errors when candidates partially match the cues, even if the candidates are in structurally illicit positions. In this paper, we first show how the retrieval processes that underlie the reflexive binding are naturally realized in the Lewis and Vasishth (2005) model. We present the predictions of the model under the assumption that both structural and non-structural cues are used during retrieval, and provide a critical analysis of previous empirical studies that failed to find evidence for the use of non-structural cues, suggesting that these failures may be Type II errors. We use this analysis and the results of further modeling to motivate a new empirical design that we use in an eye tracking study. The results of this study confirm the key predictions of the model concerning the use of non-structural cues, and are inconsistent with the strictly syntactic search account. These results present a challenge for theories advocating the infallibility of the human parser in the case of reflexive resolution, and provide support for the inclusion of agreement features such as gender in the set of retrieval cues.

Processing the Chinese Reflexive “ziji”: Effects of Featural Constraints on Anaphor Resolution

We present three self-paced reading experiments that investigate the reflexive ziji “self” in Chinese—in particular, we tested whether and how person-feature-based blocking guides comprehenders' real-time processing and final interpretation of ziji. Prior work claims that in Chinese sentences like “John thought that {I/you/Bill} did not like ZIJI,” (i) the reflexive ziji can refer to the matrix subject John if the intervening subject is also a third person entity (e.g., Bill), but that (ii) an intervening first or second person pronoun blocks reference to the matrix subject, causing ziji to refer to the first or second person pronoun. However, native speakers' judgments regarding the accessibility of long-distance antecedents are rather unstable, and researchers also disagree on what the exact configurations are that allow blocking. In addition, many open questions persist regarding the real-time processing of reflexives more generally, in particular regarding the accessibility (or lack thereof) of structurally unlicensed antecedents. We conducted three self-paced reading studies where we recorded people's word-by-word reading times and also asked questions that probed their off-line interpretation of the reflexive ziji. People's answers to the off-line questions show that blocking is not absolute: Comprehenders do allow significant numbers of non-local choices in both the first and the second person blocking conditions, albeit in small numbers. At the same time, the reading time data, particularly those from Experiments 2 and 3, show that comprehenders use person feature cues to quickly filter out inaccessible long-distance referents. The difference between on-line and off-line patterns points to the possibility that the interpretation of ziji unfolds over time: it seems that initially, during real-time processing, person-feature cues weigh more heavily and constrain what antecedent candidates get considered, but that at some later point, other kinds of information are also integrated and perhaps outweigh the person-feature constraint, resulting in consideration of referents that were initially “blocked” due to the person-feature constraint. In sum, in addition to the structural constraints identified in prior work, person-featural cues also play a key role in regulating the on-line processing of reflexives in Chinese.

Language Processing as Cue Integration: Grounding the Psychology of Language in Perception and Neurophysiology

I argue that cue integration, a psychophysiological mechanism from vision and multisensory perception, offers a computational linking hypothesis between psycholinguistic theory and neurobiological models of language. I propose that this mechanism, which incorporates probabilistic estimates of a cue's reliability, might function in language processing from the perception of a phoneme to the comprehension of a phrase structure. I briefly consider the implications of the cue integration hypothesis for an integrated theory of language that includes acquisition, production, dialogue and bilingualism, while grounding the hypothesis in canonical neural computation.

When "He" Can Also Be "She": An ERP Study of Reflexive Pronoun Resolution in Written Mandarin Chinese

The gender information in written Chinese third person pronouns is not symmetrically encoded: the character for "he" (, with semantic radical , meaning human) is used as a default referring to every individual, while the character for "she" (, with semantic radical , meaning woman) indicates females only. This critical feature could result in different patterns of processing of gender information in text, but this is an issue that has seldom been addressed in psycholinguistics. In Chinese, the written forms of the reflexive pronouns are composed of a pronoun plus the reflexive "/self" (/himself and /herself). The present study focuses on how such gender specificity interacts with the gender type of an antecedent, whether definitional (proper name) or stereotypical (stereotypical role noun) during reflexive pronoun resolution. In this event-related potential (ERP) study, gender congruity between a reflexive pronoun and its antecedent was studied by manipulating the gender type of antecedents and the gender specificity of reflexive pronouns (default: /himself vs. specific: /herself). Results included a P200 "attention related" congruity effect for /himself and a P600 "integration difficulty" congruity effect for /herself. Reflexive pronoun specificity independently affected the P200 and N400 components. These results highlight the role of /himself as a default applicable to both genders and indicate that only the processing of /herself supports a two-stage model for anaphor resolution. While both reflexive pronouns are evaluated at the bonding stage, the processing of the gender-specific reflexive pronoun is completed in the resolution stage.

On the Shallow Processing (Dis)Advantage: Grammar and Economy

In the psycholinguistic literature it has been proposed that readers and listeners often adopt a "good-enough" processing strategy in which a "shallow" representation of an utterance driven by (top-down) extra-grammatical processes has a processing advantage over a "deep" (bottom-up) grammatically-driven representation of that same utterance. In the current contribution we claim, both on theoretical and experimental grounds, that this proposal is overly simplistic. Most importantly, in the domain of anaphora there is now an accumulating body of evidence showing that the anaphoric dependencies between (reflexive) pronominals and their antecedents are subject to an economy hierarchy. In this economy hierarchy, deriving anaphoric dependencies by deep-grammatical-operations requires less processing costs than doing so by shallow-extra-grammatical-operations. In addition, in case of ambiguity when both a shallow and a deep derivation are available to the parser, the latter is actually preferred. This, we argue, contradicts the basic assumptions of the shallow-deep dichotomy and, hence, a rethinking of the good-enough processing framework is warranted.

The Relationship Between Anaphor Features and Antecedent Retrieval: Comparing Mandarin Ziji and Ta-Ziji

In the present study we report two self-paced reading experiments that investigate antecedent retrieval processes in sentence comprehension by contrasting the real-time processing behavior of two different reflexive anaphors in Mandarin Chinese. Previous work has suggested that comprehenders initially evaluate the fit between the morphologically simple long-distance reflexive "ziji" and the closest available subject position, only subsequently considering more structurally distant antecedents (Gao et al., 2005; Liu, 2009; Li and Zhou, 2010; Dillon et al., 2014; cf. Chen et al., 2012). In this paper, we investigate whether this locality bias effect obtains for other reflexive anaphors in Mandarin Chinese, or if it is associated specifically with the morphologically simple reflexive ziji. We do this by comparing the processing of ziji to the processing of the morphologically complex reflexive ta-ziji (lit. s/he-self). In Experiment 1, we investigate the processing of ziji, and replicate the finding of a strong locality bias effect for ziji in self-paced reading measures. In Experiment 2, we investigate the processing of the morphologically complex reflexive ta-ziji in the same structural configurations as Experiment 1. A comparison of our experiments reveals that ta-ziji shows a significantly weaker locality bias effect than ziji does. We propose that this results from the difference in the number of morphological and semantic features on the anaphor ta-ziji relative to ziji. Specifically, we propose that the additional retrieval cues associated with ta-ziji reduce interference from irrelevant representations in memory, allowing it to more reliably access an antecedent regardless its linear or structural distance. This reduced interference in turn leads to a diminished locality bias effect for the morphologically complex anaphor ta-ziji.

Wh-filler-gap dependency formation guides reflexive antecedent search

Prior studies on online sentence processing have shown that the parser can resolve non-local dependencies rapidly and accurately. This study investigates the interaction between the processing of two such non-local dependencies: wh-filler-gap dependencies (WhFGD) and reflexive-antecedent dependencies. We show that reflexive-antecedent dependency resolution is sensitive to the presence of a WhFGD, and argue that the filler-gap dependency established by WhFGD resolution is selected online as the antecedent of a reflexive dependency. We investigate the processing of constructions like (1), where two NPs might be possible antecedents for the reflexive, namely which cowgirl and Mary. Even though Mary is linearly closer to the reflexive, the only grammatically licit antecedent for the reflexive is the more distant wh-NP, which cowgirl.

(1). Which cowgirl did Mary expect to have injured herself due to negligence?

Four eye-tracking text-reading experiments were conducted on examples like (1), differing in whether the embedded clause was non-finite (1 and 3) or finite (2 and 4), and in whether the tail of the wh-dependency intervened between the reflexive and its closest overt antecedent (1 and 2) or the wh-dependency was associated with a position earlier in the sentence (3 and 4). The results of Experiments 1 and 2 indicate the parser accesses the result of WhFGD formation during reflexive antecedent search. The resolution of a wh-dependency alters the representation that reflexive antecedent search operates over, allowing the grammatical but linearly distant antecedent to be accessed rapidly. In the absence of a long-distance WhFGD (Experiments 3 and 4), wh-NPs were not found to impact reading times of the reflexive, indicating that the parser's ability to select distant wh-NPs as reflexive antecedents crucially involves syntactic structure.

Interference in the processing of adjunct control

Recent research on the memory operations used in language comprehension has revealed a selective profile of interference effects during memory retrieval. Dependencies such as subject-verb agreement show strong facilitatory interference effects from structurally inappropriate but feature-matching distractors, leading to illusions of grammaticality (Pearlmutter et al., 1999; Wagers et al., 2009; Dillon et al., 2013). In contrast, dependencies involving reflexive anaphors are generally immune to interference effects (Sturt, 2003; Xiang et al., 2009; Dillon et al., 2013). This contrast has led to the proposal that all anaphors that are subject to structural constraints are immune to facilitatory interference. Here we use an animacy manipulation to examine whether adjunct control dependencies, which involve an interpreted anaphoric relation between a null subject and its licensor, are also immune to facilitatory interference effects. Our results show reliable facilitatory interference in the processing of adjunct control dependencies, which challenges the generalization that anaphoric dependencies as a class are immune to such effects. To account for the contrast between adjunct control and reflexive dependencies, we suggest that variability within anaphora could reflect either an inherent primacy of animacy cues in retrieval processes, or differential degrees of match between potential licensors and the retrieval probe.

Teasing apart retrieval and encoding interference in the processing of anaphors

Two classes of account have been proposed to explain the memory processes subserving the processing of reflexive-antecedent dependencies. Structure-based accounts assume that the retrieval of the antecedent is guided by syntactic tree-configurational information without considering other kinds of information such as gender marking in the case of English reflexives. By contrast, unconstrained cue-based retrieval assumes that all available information is used for retrieving the antecedent. Similarity-based interference effects from structurally illicit distractors which match a non-structural retrieval cue have been interpreted as evidence favoring the unconstrained cue-based retrieval account since cue-based retrieval interference from structurally illicit distractors is incompatible with the structure-based account. However, it has been argued that the observed effects do not necessarily reflect interference occurring at the moment of retrieval but might equally well be accounted for by interference occurring already at the stage of encoding or maintaining the antecedent in memory, in which case they cannot be taken as evidence against the structure-based account. We present three experiments (self-paced reading and eye-tracking) on German reflexives and Swedish reflexive and pronominal possessives in which we pit the predictions of encoding interference and cue-based retrieval interference against each other. We could not find any indication that encoding interference affects the processing ease of the reflexive-antecedent dependency formation. Thus, there is no evidence that encoding interference might be the explanation for the interference effects observed in previous work. We therefore conclude that invoking encoding interference may not be a plausible way to reconcile interference effects with a structure-based account of reflexive processing.