M03_DIAZ4098_SE_04_C03.

qxd 1/23/09 9:05 AM Page 49

chapter

3 Learning about Second-

Language Acquisition

Students develop
communicative
competence as
they use language
to interact with
one another.

Without communication the world would be could do was to give them an empty look and a
so dark. Life would be boring. It is through confused smile. I was living among the people and
language that we find a way into people’s hearts, yet I was not one of them. I thought everybody
their lives, and their culture. Through language we was cold and unfriendly. Sometimes I got angry
explore into the secrets of other cultures. and wanted to scream at the whole world.
I was born in Afghanistan. I came to the Slowly the ice broke. I started learning
United States when I was sixteen years old. This English. New windows started opening. The once
was my new home and yet, because I could not cold and unfriendly became warm and caring. My
speak any English, I was a stranger to my new family and I found a way into hearts of the people.
home. How I wished to express my gratitude to Ahmad Shukoor, grade 12, in Shukoor (1991, p. 34)
people who helped my family and me, but all I

49
M03_DIAZ4098_SE_04_C03.qxd 1/21/09 12:00 PM Page 50

50 Chapter 3 Learning about Second-Language Acquisition

A lmost five million students in the United States face the daily challenge of attending
school in a new language—English. By knowing about language acquisition and
use, teachers (particularly those who are monolingual) can come to recognize and use
communication strategies that help break down barriers.
As an introduction to the study of language teaching and learning, this chapter
presents an overview of historical and contemporary theories that will help the teacher
place issues of English-language development within an orienting framework.

Historical Theories of Language Teaching and Learning

Humans have been describing and analyzing language for over 2,300 years. Many
methods of second-language teaching have been used throughout recorded history,
each based on an underlying rationale or set of beliefs about how language is best
learned. As early as the fourth century BC, Greek philosophers were debating the na-
ture of language. In about the second century BC, Dionysius Thrax identified eight
different word classes. His book The Art of Grammar became a model for both Greek
and Latin grammars. Latin was the model for grammar throughout the Middle Ages.
When grammarians finally began writing grammars for vernacular languages, they
generally copied the Latin grammars, using the same terminology and the same word
classes. Unfortunately, Latin was not an appropriate model for all languages, but the
model persisted nonetheless.

Grammar-Translation Methodology
Throughout the Middle Ages and even until the earliest years of the twentieth cen-
tury, the educated classes in Europe used the method by which Latin grammar was
taught as a model for learning language: drilling on vocabulary, verb tenses, and parts
of speech. Teachers were expected to have a thorough knowledge of grammar rules.
This grammar-translation method of instruction is still widely used throughout
the world in settings in which the main goal of instruction is reading and grammar
knowledge of the second language. Students learn only what is required and are
rewarded for precisely defined goals such as memorizing word lists or correct trans-
lation. Grammar-translation pedagogy can be seen as a traditionalist form of behaviorism.
The strengths of this methodology are twofold. First, desirable results are clearly
defined, and success can be precisely correlated to the amount of effort expended.
Second, the curriculum can be carefully structured and controlled, with students’ access
to the second language limited to that which the teacher or other authorities deter-
mine to be valuable.
Drawbacks are that students have little choice in what they learn, little contact
with actual speakers of the language they are acquiring, almost no actual use of the
language in a social context, and little stimulation of curiosity, playfulness, and
exploration—aspects of learning that are intrinsic to the nature of the mind. In contrast,
current second-language teaching, especially in the elementary school, features
extensive social interaction and active language use among learners (see Takahashi,
Austin, & Morimoto, 2000).
M03_DIAZ4098_SE_04_C03.qxd 1/21/09 12:00 PM Page 51

Historical Theories of Language Teaching and Learning 51

Structural Linguistics
In the eighteenth and nineteenth centuries, scholars began to notice similarities among
languages. Studying written documents of earlier forms of languages, they traced the
origins of words and sounds, attempted to show that languages had undergone changes
over time, and traced historical relationships among various languages. Linguists de-
veloped a method for identifying the sound units of languages, for analyzing the ways
that morphemes form words and words form sentences.
This descriptive linguistics led to the comparison of languages for the purpose of
teaching. Knowledge of the grammar and sound structure of one language was be-
lieved to transfer to a second language so that the second language could be explained
in terms of the first.
However, this contrastive analysis—with its premise that the more similar two
languages, the easier a speaker of the first would learn the second—proved to be an
unworkable predictor of learning ease or difficulty in a second language. (See Gass
& Selinker [2001] for a discussion of contrastive analysis.) For example, Chinese and
English are comparatively different in many aspects (writing system, tonal system,
word structure, verb tense system, etc.), but these differences do not exactly predict
what difficulties a particular learner might experience. Therefore, descriptive linguistics
and contrastive analysis are largely ineffectual in second-language teaching.

Behaviorism
Although behaviorism is not strictly a linguistic theory, its vast influence on learning
theory has affected second-language teaching. Behaviorists claim that the mind is a
“blank slate”; a learner must be filled with content during the course of teaching (see
Skinner, 1957). Strict principles of timing, repetition, and reward led to classroom
methodology that incorporated extensive drill and practice of language components,
from sounds to complex sentences. Three aspects of behaviorism are still used in con-
temporary language teaching: audiolingualism, direct teaching/mastery learning, and
total physical response (TPR). The latter is explained in Chapter 4.

Audiolingualism. The audiolingual method of language learning is based on behav-

ioral principles. Oral practice is believed to be the primary means to language learn-
ing. Teachers provide oral pattern drills that are based on specific grammatical forms;
for example, a complete lesson can be centered on a tag question (“It’s cold today,
isn’t it?”). The goal for the learner is to learn new habits of speech, including correct
pronunciation, in the second language. Students develop correct language behavior
by repetitious training, often using technology such as tape recordings in language
laboratories. The role of the teacher is to direct and control students’ behavior, pro-
vide a model, and reinforce correct responses (Doggett, 1986).

Direct Teaching and Mastery Learning. Direct teaching and mastery learning are both
forms of behaviorist instruction, and their widespread use in classrooms of English
learners with reading programs such as Open Court and Direct Instruction demon-
strates that behaviorism is still widely practiced. Direct teaching incorporates explicit
M03_DIAZ4098_SE_04_C03.qxd 1/21/09 12:00 PM Page 52

52 Chapter 3 Learning about Second-Language Acquisition

instructional objectives for students and promotes the learning of facts, sequenced
steps, or rules. The instructor maximizes learning time by using carefully scripted les-
sons. Students are regularly tested over the material that is covered and receive im-
mediate remediation if performance lags.
Mastery learning resembles direct teaching. In both methods, the course of study
is divided into small units with specific objectives. In mastery learning, rather than
learning in strict unison, students progress at their own rates and demonstrate mas-
tery of each unit before proceeding to the next. As in other systems of behavioral man-
agement, mastery learning provides immediate feedback and reinforcement of
performance. In the best use of mastery learning, students are gradually taught how
to self-monitor, regulate, and reward their own actions.

Advantages and Disadvantages of Behavioral Methods for Second-Language Teaching.

The strength of the audiolingual method is its focus on correct pronunciation. An
advantage of direct teaching and mastery learning is the focus on the subskills of lan-
guage, including word recognition and low-level comprehension skills, and the focus
on immediate remediation when these skills are weak.
A weakness of audiolingual pedagogy is that it limits exposure to the target cul-
ture and fails to emphasize self-motivated language acquisition; it also places pres-
sure on learners to perform accurately under classroom or laboratory conditions
instead of equipping learners with a language repertoire that would enable them to
communicate spontaneously with native speakers.

Example of Concept: Communicating with Language Learned

by Audiolingual Instruction

In 2000 I spent a week in Beijing. Unfortunately, due to a busy schedule, before departing to the
People’s Republic of China I had no opportunity to review the Chinese-language materials I still
have from my graduate years at the University of Pittsburgh, a training that had consisted in part
of long hours in a language laboratory repeating phrases in Mandarin. During the second taxi
trip across Beijing, I gathered up my courage to speak Mandarin. I strung together every word
I could remember and—not sounding too bad, at least to myself!—I asked the driver if he thought
it would rain.
That one sentence was my downfall! In return for my one sentence,I was treated to a twenty-
minute treatise on local weather conditions—I guess—I could understand so little of it! When
I asked the question, my adequate pronunciation—a result of audiolingual instruction—must have
sounded like I knew what I was saying, but my comprehension certainly did not keep pace with
my accent!

The weakest part of direct teaching is that students are seldom asked to set their
own goals in learning or pursue their own interests (as they might do in a literature-
based program that encouraged free choice in reading), and they have little time to ex-
plore language creatively. Balancing the strengths and weaknesses of behavioral-based
M03_DIAZ4098_SE_04_C03.qxd 1/21/09 12:00 PM Page 53

Current Theories of Language Development 53

pedagogy, one might conclude that these teaching approaches have a distinct, yet lim-
ited, role in instruction.

Current Theories of Language Development

Starting in the mid-twentieth century, several important new theories have shaped
current understanding of language acquisition and development. In 1959, Noam
Chomsky claimed that language is not learned solely through a process of memoriz-
ing and repeating, but that the mind contains an active language processor, the lan-
guage acquisition device (LAD), that generates rules through the unconscious
acquisition of grammar.
In 1961, Hymes directed attention toward the idea of communicative competence:
that the use of language in the social setting is important in language performance.
Halliday (1975) elaborated on the role of social relations in language by stating that
the social structure is an essential element in linguistic interaction. Current theories
of language have thus moved away from the merely linguistic components of a lan-
guage to the more inclusive realm of language in use—which includes its social,
political, and psychological domains.
Current language teaching is being shaped by several important ideas. First, the
shift toward a cognitive paradigm means that learning has taken precedence over
teaching. What the student learns is the important outcome of the teaching–learning
process, not what the teacher teaches. Second, learning is maximized when it matches
the processes that take place naturally within the brain. Third, thematic integration
across content areas unifies the language processes of reading, writing, speaking,
listening, thinking, and acting. Thus, current perspectives on second-language learn-
ing align with brain-compatible instruction that emphasizes higher-order thinking
skills.

Transformational Grammar
Following Chomsky’s lead, transformational grammarians envision language as a
set of rules that human beings unconsciously know and use. They believe that hu-
man beings, once exposed to the language(s) of their environment, use their innate
ability to understand and produce sentences they have never before heard, because
the mind has the capacity to internalize and construct language rules. The goal of
transformational grammar is to understand and describe these internalized rules.
In the early 1970s, some grammar texts included the use of transformational gram-
mar to explain language structures, but this never became a popular approach to
teaching grammar.

Krashen’s Monitor Model

Krashen (1981, 1982) theorized that people acquire second-language structures in
a predictable order only if they obtain comprehensible input, and if their anxiety
M03_DIAZ4098_SE_04_C03.qxd 1/21/09 12:00 PM Page 54

54 Chapter 3 Learning about Second-Language Acquisition

is low enough to allow input into their minds. A monitor, or internal editing de-
vice, gradually acquires and applies a sense of correct language usage. Krashen’s
theory included five hypotheses: the acquisition-learning hypothesis, the natural or-
der hypothesis, the monitor hypothesis, the input hypothesis, and the affective fil-
ter hypothesis.

The Acquisition-Learning Hypothesis. Krashen defined acquisition and learning as two

separate processes in the mastering of a second language. Learning is formal knowledge
about the rules of a language. Acquisition, on the other hand, is an unconscious process
that occurs when language is used for real communication. Acquirers gain a “feel” for
the correctness of their own utterances as their internal monitor is gradually adjusted.
For the classroom teacher, Krashen’s distinction between acquisition and learn-
ing is important in that teachers acknowledge the fact that students will produce some
language unself-consciously and will need rules and help for others. Thus, when chil-
dren chat with one another as they work in cooperative groups, they are learning not
only content (science, social studies) but also the English language.

The Natural Order Hypothesis. Krashen formulated the hypothesis that there appears
to be a natural order of acquisition of English morphemes. The order is slightly differ-
ent for second-language learners from the first-language order, but there are similarities.
Here is an example of the developmental sequence for the structure of negation
(Krashen, 1982):
1. Negative marker outside the sentence
No Mom sharpen it. (child L1 acquisition)
Not like it now. (child L2 acquisition)
2. Negative marker between the subject and the verb
I no like this one. (L2 acquisition)
This no have calendar. (L2 acquisition)
3. Negative marker in correct position
I don’t like this one.
This example demonstrates that children acquire correct usage of grammatical
structures in their second language (L2) gradually, as do children acquiring a first
language (L1).

The Monitor Hypothesis. The monitor is an error-detecting mechanism; it scans an

utterance for accuracy and edits—that is, confirms or repairs—the utterance either
before or after attempted communication. However, the monitor cannot always be
used. In a situation involving rapid verbal exchange, an individual may have little time
to be concerned with correctness.
The monitor hypothesis is not without flaws. Krashen’s claim that children are
more successful language learners because they are not burdened by the monitor is
disputed by McLaughlin (1987), who argues that adolescents are more successful learn-
ers than are children.
However, through his monitor construct, Krashen has changed the orientation
that previously drove language instruction. The notion that language is best learned
M03_DIAZ4098_SE_04_C03.qxd 1/21/09 12:00 PM Page 55

Current Theories of Language Development 55

through conscious study of grammatical rules has been replaced by the realization
that a “natural” language-rich environment facilitates acquisition.

The Input Hypothesis. The input hypothesis claims that language is acquired in an
“amazingly simple way—when we understand messages” (Krashen, 1985, p. vii). Lan-
guage must contain what Krashen calls “comprehensible” input.
Comprehensible input has generally been assumed to contain predictable elements:
shorter sentences; more intelligible, well-formed utterances; less subordination; and
more restricted vocabulary and range of topics with a focus on communication. Sim-
pler structures roughly tuned to the learner’s ability are used, and speech is slower.
To conceptualize the input hypothesis, Krashen introduced the expression i + 1, where
i stands for the current level of the acquirer’s competence and 1 is the next structure
due to be acquired in the natural order. Input needs to contain structures at the i + 1
level for the acquirer to proceed.
For the classroom teacher, the relevance of this hypothesis lies in its emphasis on
“comprehensible.” When working with English learners, teachers need to use a va-
riety of techniques and modalities, including visual and kinesthetic, to ensure that their
speech is understandable.

The Affective Filter Hypothesis. This hypothesis addresses emotional variables, includ-
ing anxiety, motivation, and self-confidence. These are crucial because they can block
or facilitate input from reaching the language acquisition device (LAD). If the affective
filter blocks some of the comprehensible input, less input enters the learner’s LAD, and
thus less language is acquired. A positive affective context increases the input. Most teach-
ers understand that a nonthreatening and encouraging environment promotes learning,
and that it is important to increase the enjoyment of learning, raise self-esteem, and blend
self-awareness with an increase in proficiency as students learn English.

Cummins’s Theories of Bilingualism and Cognition

Jim Cummins’s work falls within the cognitive approach to language, with its emphasis
on the strengths the learner brings to the task of learning a second language. Dispelling
the notion that bilingualism impedes classroom learning, Cummins’s research has fur-
thered the belief that being bilingual is a cognitive advantage and that knowledge of
the first language provides a firm foundation for second-language acquisition.

Separate or Common Underlying Proficiency. Some critics of bilingual education have

charged that educating children in the primary language reduces their opportunity to
acquire English. This argument assumes that proficiency in English is separate from
proficiency in a primary language and that content and skills learned through the pri-
mary language do not transfer to English—a notion that Cummins (1981b) has termed
separate underlying proficiency (SUP). In contrast, Cummins asserted that cognition
and language fundamentals, once learned in the primary language, form a basis for
subsequent learning in any language. This position assumes a common underlying
proficiency (CUP), the belief that a second language and the primary language have
a shared foundation, and that competence in the primary language provides the ba-
sis for competence in the second language.
M03_DIAZ4098_SE_04_C03.qxd 1/21/09 12:00 PM Page 56

56 Chapter 3 Learning about Second-Language Acquisition

For example, children learning to read and write in Korean develop concepts about
print and the role of literacy that make learning to read and think in English easier,
despite the fact that these languages do not share a similar writing system. The sur-
face differences in the languages are less important than the deeper understandings
about the function of reading and its relationship to thought and learning. Cummins
(1981b) cited much evidence to support the idea of a common underlying proficiency.
Students do not have to relearn in a second language the essentials of schooling: how
to communicate, how to think critically, and how to read and write.

Basic Interpersonal Communication Skills and Cognitive Academic Language Proficiency.

Cummins (1979, 1980) posited two different yet related language skills: basic inter-
personal communication skills (BICS) and cognitive academic language proficiency
(CALP). BICS involve those language skills and functions that allow students to com-
municate in everyday social contexts that are similar to those of the home, as they
perform classroom chores, chat with peers, or consume instructional media as they
do television shows at home. Cummins called BICS context embedded because par-
ticipants can provide feedback to one another, and the situation itself provides cues
that further understanding.
In contrast, CALP is the language needed to perform school tasks successfully.
Such tasks generally are more abstract and decontextualized. Students must rely pri-
marily on language to attain meaning. Cummins (1984) called CALP context-reduced
communication because there are few concrete cues to aid in comprehension. Suc-
cessful educators are aware that students need skills in both language domains.
During the elementary school years, and then even more so throughout middle
and high school, students who may appear to be fluent enough in English to survive
in an all-English classroom may in fact have significant gaps in the development of
academic aspects of English. Conversational skills have been found to approach
nativelike levels within two years of exposure to English, but five or more years may
be required for minority students to match native speakers in CALP (Collier, 1987;
Cummins, 1981a; Hakuta, Butler, & Witt, 2000).
Both BICS and CALP are clearly more than words. BICS involves the totality of
communication that takes place between two or more people in their everyday ac-
tivities. Some exchanges with people involve no words at all; for instance, a nod of
the head while passing in the hallway at work may serve the same communicative
purpose as a greeting. CALP, on the other hand, is more difficult to define. Beyond
words, it also involves systematic thought processes. It provides the human brain with
necessary tools to systematically categorize, compare, analyze, and accommodate new
experiences, a cognitive toolbox—the in-depth knowledge that characterizes the well-
educated individual in a complex modern society.
Cognitive academic language proficiency requires a complex growth in many lin-
guistic areas simultaneously. This growth is highly dependent on the assistance of
teachers because, for the most part, CALP is learned exclusively in school. The com-
plexity of CALP can be captured by examination of the five Cs: communication,
conceptualization, critical thinking, context, and culture (see Table 3.1). Many of the
skills that are a part of CALP are refinements of BICS, whereas others are more ex-
clusively school centered.
M03_DIAZ4098_SE_04_C03.qxd 1/21/09 12:00 PM Page 57

Current Theories of Language Development 57

Table 3.1
Components of Cognitive Academic Language Proficiency (CALP)

Component Explanation

Communication Reading: Increases speed; uses context cues to guess vocabulary meaning; masters a variety of genres in
fiction (poetry, short story) and nonfiction (encyelopedias, magazines, Internet sources) to “read the
world” (interprets comics, print advertising, road signs).
Listening: Follows verbal instructions; interprets nuances of intonation (e.g., in cases of teacher
disciplinary warnings); solicits, and profits from, help of peers.
Speaking: Gives oral presentations, answers correctly in class, and reads aloud smoothly.
Writing: Uses conventions such as spelling, punctuation, and report formats.
Conceptualization Concepts become abstract and are expressed in longer words with more general meaning (rain
becomes precipitation).
Concepts fit into larger theories (precipitation cycle).
Concepts fit into hierarchies (rain : precipitation cycle : weather systems : climate).
Concepts are finely differentiated from similar concepts (sleet from hail, typhoons from hurricanes).
Conceptual relations become important (opposites, subsets, causality, correlation).
Critical thinking Uses graphic organizers to represent the structure of thought (comparison charts,Venn diagrams,
timelines,“spider” charts).
Uses textual structures (outlines, paragraphing, titles, main idea).
Uses symbolic representation (math operators [<, >, +, =]; proofreading marks, grade indications
[10/20 points, etc.]).
Reads between the lines (inference).
Employs many other kinds of critical thinking.
Plans activities, monitors progress, evaluates results, employs self-knowledge (metacognition).
Increases variety and efficiency in use of learning strategies.
Context Nonverbal: Uses appropriate gestures (and is able to refrain from inappropriate ones); interprets
nonverbal signs accurately.
Formality: Behaves formally when required to do so.
Participation structures: Fits in smoothly to classroom and schoolwide groups and procedures.
Culture Draws on experience in mainstream culture (background knowledge).
Uses social class markers, such as “manners.”
Moves smoothly between home and school.
Marshals and controls parental support for school achievement.
Deploys primary-language resources when required.
Maintains uninterrupted primary-culture profile (“fits in” to neighborhood social structures).
Develops and sustains supportive peer interactions.

Example of Concept: Teaching Students to Use CALP

A look at an elementary classroom shows the integrated work that takes place across these
CALP areas.
Mrs. Gómez found in her second-grade transitional bilingual class that although the students
were fairly fluent English conversationalists they were performing poorly in academic tasks. Stu-
dents seemed to understand English when pictures and other visual clues were present. However,
M03_DIAZ4098_SE_04_C03.qxd 1/21/09 12:00 PM Page 58

58 Chapter 3 Learning about Second-Language Acquisition

when she gave instructions or briefly reviewed concepts, the students appeared lost. She realized
that students needed lessons that eased them along the continuum from their interpersonal language
usage to the more abstract academic requirements.
When Linda and several of her classmates were jumping rope during recess, Mrs. Gómez
wrote down many of the patterned chants the girls were reciting. She transferred these to wall
charts and read and recited them with the children. Next she introduced poems with more ex-
tensive vocabulary on wall charts, supplementing the charts with tapes that children could lis-
ten to in learning centers. The instructions for these centers featured patterned language sim-
ilar to that already encountered in the rhymes. Gradually Mrs. Gómez was able to record more
complex and abstract instructions in the learning centers. This progression and integration of
activities helped the children to move along the continuum from BICS to CALP.

Communicative Competence
Language is a form of communication that occurs in social interaction. It is used for
a purpose, such as persuading, commanding, and establishing social relationships.
Knowing a language is no longer seen as merely knowing grammatical forms. Instead,
the competent speaker is recognized as one who knows when, where, and how to use
language appropriately.
Communicative competence is the aspect of language users’ competence, or knowl-
edge of the language, that enables them to “convey and interpret messages and to
negotiate meanings interpersonally within specific contexts” (Brown, 1987, p. 199).
Canale (1983) identified four components of communicative competence: grammat-
ical competence, sociolinguistic competence, discourse competence, and strategic com-
petence. Each of these is discussed in the following paragraphs.

Grammatical Competence. Some level of grammar is required when learning vo-

cabulary, word formation and meaning, sentence formation, pronunciation, and
spelling. This type of competence focuses on the skills and knowledge necessary to
speak and write accurately, and becomes increasingly important to the English learner
in more advanced stages of proficiency.

Sociolinguistic Competence. To communicate well, one must know how to produce

and understand language in different sociolinguistic contexts, taking into consider-
ation such factors as the status of participants, the purposes of the interaction, and
the norms or conventions of interaction. One of the tasks of teachers is to help learn-
ers use both appropriate forms and appropriate meanings when interacting in the
classroom.

Discourse Competence. In both speaking and writing, the learner needs to combine
and connect utterances (spoken) and sentences (written) into a meaningful whole. A
speaker may be both grammatically correct and appropriate socially but lack coher-
ence or relevance to the topic at hand. Such a disconnected utterance shows a lack
of discourse competence.
M03_DIAZ4098_SE_04_C03.qxd 1/21/09 12:00 PM Page 59

Current Theories of Language Development 59

Example of Concept: Discourse Competence in Kindergarten Students

An example of discourse competence can be seen in the following conversation between two
kindergarten boys, one a native-English speaker and the other an English learner:
Andrew: Can I play?
Rolando: No.
Andrew: There’re only three people here.
Rolando: Kevin went to the bathroom.
Andrew: Can I take his place ’til he comes back?
Rolando: You’re not playing.
Rolando was able to respond appropriately (though not kindly) to Andrew’s request and to add
information about his decision at the proper moment. This conversation shows that Rolando
has discourse competence.

Strategic Competence. A speaker may use strategic competence in order to com-

pensate for breakdowns in communication (as when a speaker forgets or does not
know a term and is forced to paraphrase or gesture to get the idea across) and to en-
hance the effectiveness of communication (as when a speaker raises or lowers the voice
for effect).

Language-Use Strategies Involving Communicative Competence. Chesterfield and

Chesterfield (1985) found a natural order of strategies in students’ development of
second-language proficiency. These are strategies the mind uses in an untutored way
to try to retain and process information when faced with the task of communicating
in a second language. Teachers who are aware of these language-use strategies can
incorporate them into instruction to build on students’ developing competence. These
strategies, in their order of development, include the following:
• Repetition in short-term memory: Imitating a word or structure used by another
• Formulaic expressions: Using words or phrases that function as units, such as
greetings (“Hi! How are you?”)
• Verbal attention getters: Using language to initiate interaction (“Hey!” “I
think . . .”)
• Monitoring: Correcting one’s own errors in vocabulary, style, and grammar
• Appealing for assistance: Asking another for help
• Requesting clarification: Asking the speaker to explain or repeat
Teachers can specifically plan to increase students’ skills in discourse and socio-
linguistic and strategic competence by building experiences into the curriculum that
involve students in solving problems, exploring areas of interest, and designing proj-
ects. Students carry over knowledge of how to communicate from experiences in their
first language. This knowledge can be tapped as they develop specific forms and usage
in English.
M03_DIAZ4098_SE_04_C03.qxd 1/21/09 12:00 PM Page 60

60 Chapter 3 Learning about Second-Language Acquisition

Example of Concept: Developing Communicative Competence

In a high-school economics class, Mr. Godfried often demonstrated consumer economics to the
students by having them role-play. In the fifth-period class, several students were recent immi-
grants who had been placed in this class as a graduation requirement despite their limited English.
Mr. Godfried’s job became more complicated than in the past; now he had to teach not only
economics but also basic communication skills in English.The process of opening a checking account
was not difficult for Takeo, a Japanese student, who had had a checking account as a student in
Japan. But Vasalli, an immigrant from Byelorussia, found the task mystifying. He had had limited
experience with consumerism in general and no experience with the concept of a checking account.
What he did have, however, was a general knowledge of how to interact with an official. Through
the role-plays, Mr. Godfried was able to help the students use their background knowledge to
conduct appropriate verbal interactions in the banking situation and use their communication
experience to expand their content knowledge.

The Social Context for Language Learning

Learning a language is not strictly a communicative endeavor; it includes social and cul-
tural interaction. The Russian psychologist Lev Vygotsky emphasized the role played
by social interaction in the development of language and thought. According to Vygotsky
(1978), teaching must be matched in some manner with the student’s developmental
level, taking into consideration the student’s “zone of proximal development.” Vygot-
sky defines this zone as “the distance between the actual developmental level as deter-
mined by independent problem solving and the level of potential development . . . under
adult guidance or in collaboration with more capable peers” (p. 86).
Vygotsky’s theory of cognitive development was sociocultural: He believed that
teachers must understand the historical and cultural contexts of each child’s back-
ground in order to understand how that person’s mind has developed. He also em-
phasized the important role that language plays in human development—we
internalize the language we learn in our social context, and this language is the basis
of our mental “tool kit.” Children hear others talking, and as they take in this lan-
guage they use it to create their own understanding.
Using peer conversation as a means of enriching a student’s exposure to language
maximizes the opportunity for a student to hear and enjoy English. Mixing more-skilled
with less-skilled speakers supplies more advanced language models to English learn-
ers. Thus, the context of instruction plays as critical a role in language development
as does the actual language exchanged.
The teacher who is aware of the social uses of language provides a classroom en-
vironment in which students engage in communicative pair or group tasks. These can
include practicing a readers’ theater with other students in order to perform for their
class or school, developing interview questions in order to survey local opinion on a
timely topic, and planning an exhibition of art or written work to which to invite
parents or other students.
Just as important as providing ample opportunity for students to interact within an
information-rich environment is the assurance that such interaction takes place between
M03_DIAZ4098_SE_04_C03.qxd 1/21/09 12:00 PM Page 61

Current Theories of Language Development 61

language equals. Placing equal value on the primary language and its speakers creates a
classroom in which there is no unfair privilege for native-English speakers.

Discourse Theory
Discourse theorists have analyzed conversation to understand how meaning is nego-
tiated. According to them, face-to-face interaction is a key to second-language ac-
quisition. By holding conversations (discourse), non-native speakers attend to the
various features in the input they obtain. Through their own speech output, they af-
fect both the quantity and the quality of the language they receive. The more learn-
ers talk, the more other people will talk to them. The more they converse, the more
opportunity they have to initiate and expand topics, signal comprehension break-
downs, and try out new formulas and expressions.
In constructing discourse, second-language learners use four kinds of knowledge:
knowledge about the second language, competence in their native language, ability
to use the functions of language, and their general world knowledge. The language
they produce is an interlanguage, an intermediate system that they create as they at-
tempt to achieve nativelike competence (Selinker, 1972, 1991). Through a variety of
discourse opportunities, learners sort out the ways language is used and gradually
achieve proficiency.
Based on this understanding of the active role of the language learner, teachers
need to provide many opportunities for English learners to engage in discourse with
native speakers of English, in a variety of situations. ELD programs that restrict En-
glish learners to certain tracks or special classrooms, without incorporating specific
opportunities for native–non-native-speaker interaction, do a disservice to English
learners.

Adapted Instruction: Encouraging Native-

Speaker/Non-Native-Speaker Interaction

■ Students can interview others briefly on topics such as

“My favorite sport” or “My favorite tool.” The responses
from the interviews can be tallied and form the basis for
subsequent class discussion.
■ English learners can also interact with native-English
speakers during school hours through cross-age or peer
interactions.

Understanding how discourse is used during instruction and modifying classroom

discourse to encourage participation by English learners is a large part of specially
designed academic instruction in English (SDAIE; see Chapter 5) and also culturally
compatible teaching (see Chapter 10).
M03_DIAZ4098_SE_04_C03.qxd 1/21/09 12:00 PM Page 62

62 Chapter 3 Learning about Second-Language Acquisition

Meaning-Centered versus “Bottom-Up”

Approaches to Language Acquisition
Meaning-Centered Approaches. Researchers (Goodman, 1986; Smith, 1983) looking
at children learning to read in naturalistic settings noticed that they actively seek mean-
ing. They work to make sense of text. They combine text clues with their own prior
knowledge to construct meanings. The theory called whole language arose from the
idea that meaning plays a central role in learning, and that language modes (speak-
ing, listening, reading, writing) interact and are interdependent. Whole language, a
philosophy of reading instruction, complemented many of the findings of studies in
first- and second-language acquisition.
Meaning-centered systems of language acquisition (also called top-down systems—
see Weaver, 1988) support the view that learners are generating hypotheses from and
actively constructing interpretations about the input they receive, be it oral or written.
Language is social in that it occurs within a community of users who attach agreed-
upon meaning to their experiences. This view of language and literacy underlies a “con-
structivist” perspective. Constructivist-oriented classrooms tend to be those in which
students’ lives and experiences are valued, and in which they explore the multiple func-
tions of literacy, reading, and writing to satisfy their own needs and goals.

Bottom-Up Approaches. Advocates of bottom-up approaches are concerned that

learners connect the individual sounds of language with its written form as soon as
possible, leading to the ability to decode whole words. Once words are identified,
meaning will take care of itself. Instruction in decoding the sound–symbol relation-
ship includes a set of rules for sounding out words.
To present the learner with easily decodable text, basal reading materials with
controlled vocabulary are used to present simplified language, and teachers are en-
couraged to “preteach” vocabulary words that appear in reading passages. The em-
phasis is on skills for identifying words and sentence patterns, rather than on strategies
for creating meaning from text.
Research and observation of children learning to read indicates that in fact read-
ers use both top-down strategies and bottom-up skills as they read. Current reading
instruction now favors a balanced approach (see Tompkins, 2005, particularly
Chapter 1, for further discussion; also see Fitzgerald, 1999).

Semiotics
Not all second-language acquisition depends on verbal language. Semiotics is a dis-
cipline that studies the ways in which humans use signs to make meaning. Accord-
ing to semiotic theory, there are three kinds of signs: symbols, icons, and indexes.
Symbols are signs for which there is an arbitrary relationship between the object and
its sign; the word table, for example, is arbitrarily linked to the object “table.” Icons
are signs that resemble what they stand for, such as a drawing of a table. Indexes are
signs that indicate a fact or condition; for instance, thunderclouds indicate rain.
Signs are organized into systems of objects and behaviors. Thus, the way chairs
are arranged in a classroom and the manner in which students are expected to respond
to the teacher are both signs that signal meaning. Signs—and the meanings they carry—
M03_DIAZ4098_SE_04_C03.qxd 1/21/09 12:00 PM Page 63

Current Theories of Language Development 63

vary across cultures and languages, adding richness to the study of second language
that words alone seldom express fully.
Semiotics provides a perspective for examining human development through the
interplay of multiple meaning systems. As students learn English, wise teachers pro-
vide and accept various ways through which students demonstrate their knowledge.

Adapted Instruction: Using Semiotics

to Acquire a Second Language

■ Students can view themselves, other students, teachers, the

community, and culturally authentic materials (phone books,
voicemail messages, advertising brochures, music videos, etc.)
to examine ways that meaning is communicated using both
verbal and nonverbal messages.
■ Students can engage in a variety of cross-media activities—
produce music, create collages, and write poems, journal entries,
or advertising slogans—to display their identities, values, or ideas.
■ Students can “people-watch” using semiotics to read nonverbal messages sent by dress styles,
posture, demeanor, and so forth as a way to increase their interactions with one another at
all levels of language proficiency.

Source: Díaz-Rico and Dullien (2004).

Semiotics has become increasingly important within the last decade as visual infor-
mation, rather than primarily text, has become increasingly available and salient in the
lives of students. Sophisticated computer art, animation, and graphics programs avail-
able through the Internet have opened up a language of two-dimensional shape and color
that supplements, if not replaces, text as a source of information and experience for many
young people. To learn more about this field, see Chandler (2005), Kress and Van Leeuwen
(1995), Martin and Ringham (2006), Scollon and Scollon (2003), Ryder (2005).

Contributions of Research about the Brain

A basic question concerning second-language acquisition is, “What is the role of the
brain in learning language?” Neurolinguists attempt to explain the connection be-
tween language function and neuroanatomy and to identify, if possible, the areas of
the brain responsible for language functioning. Recent studies have looked at the role
of emotions and visual and gestural processing in second-language acquisition, trac-
ing the brain processing not only of verbal language but also of nonverbal input such
as gestures, facial expressions, and intonation (Paradis, 2005; Schumann, 1994).
Several contemporary educators have specialized in developing learning methods
that take into consideration brain processing. According to research (Caine & Caine,
1994; Hart, 1975, 1983), learning is the brain’s primary function. Many parts of the
brain process reality simultaneously, using thoughts, emotions, imagination, and
the senses to interact with the environment. This rich reaction can be tapped to fa-
cilitate language acquisition (see Table 3.2). For further information about brain-based
M03_DIAZ4098_SE_04_C03.qxd 1/21/09 12:00 PM Page 64

64 Chapter 3 Learning about Second-Language Acquisition

learning, see Brain/Mind Learning Principles in Action: The Fieldbook for Making
Connections, Teaching, and the Human Brain by Caine, Caine, McClintic, and Klimek
(2004); Jensen’s Teaching with the Brain in Mind (1998); Lyons and Clay’s Teaching
Struggling Readers: How to Use Brain-Based Research to Maximize Learning
(2003); and Smilkstein’s We’re Born to Learn (2002).

Adapted Instruction: Using Principles of

Brain-Based Learning in Oral Presentations

Before a Presentation
■ Have students lower anxiety by taking a few deep breaths,
visualizing success, and repeating positive self-talk phrases
(brain-based principle 2: Learning engages the entire physiology).
■ Remind students to review the structure of the information,
especially how the parts of the presentation fit together
(brain-based principle 6:The brain processes parts and wholes simultaneously).

During the Presentation

■ The speaker concentrates on the task while staying tuned to the needs of the audience
(brain-based principle 7: Learning involves both focused attention and peripheral perception).
■ Tenseness that is redefined as “eustress” (“good stress”) supplies energy for learning rather
than inhibits performance (brain-based principle 11: Learning is enhanced by challenge and
inhibited by threat).

After the Presentation

■ Students evaluate their accomplishment, ask for feedback and tune in to the reactions of
others, identify problem areas, and make a plan for improvement (brain-based principle 10:
Learning occurs best when facts and skills are embedded in natural, spatial memory—
including the memory of positive performance).

Theories of second-language acquisition provide the rationale and framework for the
daily activities of instruction. Teachers who are aware of the basic principles of contem-
porary language acquisition and learning are better equipped to plan instruction and
explain their practices to peers, parents, students, and administrators.
Although the teacher’s role is valuable as students learn a second language, the actual
language learned is the responsibility of the learner. Research on cognitive processes
shows that learners construct and internalize language-using rules during problem solving
or authentic communication. The shift from what the teacher does to what the learner
does is a characteristic of contemporary thinking about learning in general and language
acquisition specifically and has wide implications for teaching English learners. ■

LEARNING MORE
Further Reading
Excellent general background reading on discourse and context is Mercer’s Words and
Minds (2000), which traces the codevelopment of language and thinking. Mercer gives
M03_DIAZ4098_SE_04_C03.qxd 1/21/09 12:00 PM Page 65

Learning More 65

Table 3.2
Principles and Implications for Brain-Based Instruction

Principle Implications for Instruction

1. The brain can perform Learning experiences can be multimodal.As students perform
multiple processes experiments, develop a play from the text of a story, or take on
simultaneously. complex projects, many facets of the brain are involved.
2. Learning engages the entire Stress management, nutrition, exercise, relaxation, and natural rhythms and
physiology. timing should be taken into consideration during teaching and learning.
3. The search for meaning Language-learning activities should involve a focus on meaning; language
is innate. used in the context of interesting activities provides a situated,
meaningful experience.
4. The brain is designed to per- Information is presented in a way that allows brains to extract patterns
ceive and generate patterns. and create meaning rather than react passively.
5. Emotions are crucial Instruction should support the students’ backgrounds and languages.
to memory. Interaction should be marked by mutual respect and acceptance.
6. The brain processes parts Language skills, such as vocabulary and grammar, are best learned in
and wholes simultaneously. authentic language environments (solving a problem, debating an issue,
exploring) in which parts (specific language skills) are learned together
with wholes (problems to be solved).
7. Learning involves both Music, art, and other rich environmental stimuli can enhance and
focused attention and influence the natural acquisition of language. Subtle signals from the
peripheral perception. teacher (processed peripherally by students) communicate enthusiasm
and interest.
8. Learning always involves Students need opportunities to review what they learn consciously so
conscious and unconscious they can reflect, take charge, and develop personal meaning.This
processes. encourages and gives shape to unconscious learning.
9. There are at least two types Teaching techniques that focus on the memorization of language bits—
of memory: spatial memory words and grammar points—use the rote learning system.Teaching
and rote learning systems. that actively involves the learner in novel experiences taps into the
spatial system.
10. Learning occurs best when Discrete language skills can be learned when they are embedded in real-
facts and skills are embedded life activities (demonstrations, field trips, performances, stories, drama,
in natural, spatial memory. visual imagery).
11. Learning is enhanced by Teachers need to create an atmosphere of acceptance. Learners are
challenge and inhibited by taken from the point where they are at present to the next level of
threat. competence through a balance of support and challenge.
12. Each brain is unique. Teaching should be multifaceted. English learners can express developing
understanding through visual, tactile, emotional, and auditory means.

many examples of how people use discourse to shape events, such as arguing, persuading,
laying the ground rules for conversation, and even giving and receiving a bribe.
The discussion of the role of the teacher in fostering communicative talk in the classroom
is broadly applicable across many levels of schooling.

Web Search
The Open Court Reading Website (online at www.sraonline.com/oc_home.html) gives the
rationale for teaching reading through a structured program based on systematic
and explicit scaffolding of skills. In contrast, the Heinemann Website (online at
www.heinemann.com) offers reading materials such as Pransky’s Beneath the Surface: The
Hidden Realities of Teaching Culturally and Linguistically Diverse Young Learners, K–6 (2008)
M03_DIAZ4098_SE_04_C03.qxd 1/21/09 12:00 PM Page 66

66 Chapter 3 Learning about Second-Language Acquisition

that present a child-centered view of the reading process. Use these two Websites to contrast
top-down and bottom-up reading practices and their related underlying theories of learning.
Exploration
Visit several local ESL teachers to investigate the second-language learning theories under-
lying their classroom practice. Ask what they know about Krashen’s monitor theory, or such
terms as comprehensible input and affective filter. Ask if they recognize the terms basic inter-
personal communication skills (BICS) and cognitive academic learning proficiency (CALP). If
not, ask what techniques they use to make instruction understandable to their English learn-
ers, and if they believe that lowering anxiety (the affective filter) increases learning.
Experiment
Ask a friend to learn ten names in a foreign language (you supply). If the friend agrees,
see how long it takes him or her to memorize the names to your satisfaction. Next, ask
the same friend if he or she would have learned the names faster for a reward. If so, what
reward would have been sufficient? Does your friend think the reward would have in-
creased the speed of learning? Why or why not?

Peers Provide Scaffolding for Language Learning

In this video, two English-language learners in a multilingual classroom participate in a
peer/buddy reading activity guided by their teacher.With their teacher’s help, the older
student reads to the younger student. Both of the students are Hmong, but the older
student is much more proficient in English than the younger student, who only speaks in
Hmong on the video.As you watch the video, observe the children’s interaction with the
book and with each other. Try to identify portions of the video that illustrate how this
interaction has a positive effect on each student’s ability to respond to the text. Also
think about what theory of cognitive development is being applied.

To access the video, go to MyEducationLab (www.myeducationlab.com), choose the

Díaz-Rico and Weed text, and log in to MyEducationLab for English Language
Learners. Select the topic Comprehensible Input, and watch the video entitled
“Peers Provide Scaffolding for Language Learning.”

Answer the following questions:

1. How might the peer interaction in this video provide examples of the following teach-
ing and learning principles in action?
• Active engagement
• Cultural relevance
• Collaboration
• Comprehensible input
• Prior knowledge
2. Not all children are “born teachers.” How can the classroom teacher assist peer tutors
to assist others?
3. How does the classroom teacher monitor the situation to assess the effectiveness of
peer tutoring?