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PDF eBook Study Guide Ebook
Principles of Language Learning and Teaching, Sixth Edition

Copyright © 2014 by Pearson Education, Inc.

All rights reserved.

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Library of Congress Cataloging-in-Publication Data

Brown, H. Douglas, 1941-

Principles of language learning and teaching/H. Douglas Brown.—Sixth Edition.
pages cm
“A course in second language acquisition.”
ISBN-13: 978-0-13-304194-1
ISBN-10: 0-13-304194-8
1. Language and languages—Study and teaching. 2. Language acquisition. I. Title.
P51.B775 2014
418.0071—dc23 2013045080

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CONTENTS

Preface, xi

Chapter 1 Language, Learning, and Teaching 1

Questions about SLA, 2
Learner Characteristics, 2
Linguistic Factors, 3
Learning Processes, 3
Age and Acquisition, 3
Classroom Instruction, 3
Context, 4
Purpose, 4
Rejoicing in Our Defeats, 4
Language, 6
Learning and Teaching, 8
Three Perspectives on Second Language Acquisition, 9
Structural Linguistics and Behavioral Psychology, 9
Generative Linguistics and Cognitive Psychology, 10
Constructivism: A Multidisciplinary Approach, 12
Nineteen Centuries of Language Teaching, 15
Language Teaching in the Twentieth Century, 16
Suggested Readings, 18
Language Learning Experience: Journal Entry 1, 19
Guidelines for Entry 1, 19
For the Teacher: Activities (A) & Discussion (D), 20

Chapter 2 First Language Acquisition 21

Theories of First Language Acquisition, 22
Behavioral Approaches, 23
Challenges to Behavioral Approaches, 25
The Nativist Approach, 26
Challenges to Nativist Approaches, 28
iv CONTENTS

Functional Approaches, 30
Cognition and Language Development, 31
Social Interaction and Language Development, 32
Issues in First Language Acquisition, 33
Competence and Performance, 33
Comprehension and Production, 37
Nature or Nurture?, 38
Universals, 39
Systematicity and Variability, 41
Language and Thought, 41
Imitation, 42
Practice and Frequency, 44
Input, 45
Discourse, 46
L1-Acquisition-Inspired Methods, 47
Suggested Readings, 48
Language Learning Experience: Journal Entry 2, 49
For the Teacher: Activities (A) & Discussion (D), 49

Chapter 3 Age and Acquisition 51

Dispelling Myths, 51
Types of Comparison and Contrast, 53
The Critical Period Hypothesis: The Younger the Better?, 54
Neurobiological Considerations, 55
Hemispheric Lateralization, 55
Biological Timetables, 56
Anthropological Evidence, 57
The Significance of Accent, 58
Cognitive Considerations, 60
Affective Considerations, 63
Linguistic Considerations, 66
Bilingualism, 66
Interference Between First and Second Languages, 67
Order of Acquisition, 67
Issues in First Language Acquisition Revisited, 70
Competence and Performance, 70
Comprehension and Production, 70
Nature or Nurture?, 70
Universals, 71
Systematicity and Variability, 71
Language and Thought, 71
Imitation, 72
Practice and Frequency, 72
 CONTENTS v

Input, 72
Discourse, 72
Age-and-Acquisition-Inspired Teaching Methods, 73
Total Physical Response, 73
The Natural Approach, 74
Suggested Readings, 75
Language Learning Experience: Journal Entry 3, 76
For the Teacher: Activities (A) & Discussion (D), 76

Chapter 4 Human Learning 78

Behavioral Perspectives, 79
Cognitive Perspectives, 82
Learning as Meaningful Storage and Retrieval, 83
Systematic Forgetting and Cognitive “Pruning”, 85
Cognitive Linguistics, 88
Social-Constructivist Perspectives, 89
Carl Rogers, 89
Paolo Freire, 90
Lev Vygotsky, 91
Fundamental Concepts in Human Learning, 93
Types of Learning, 93
Transfer and Interference, 94
Overgeneralization, 96
Inductive and Deductive Reasoning, 97
Language Aptitude, 98
Intelligence and Language Learning, 101
Learning Theories in the Classroom: ALM & CLL, 103
The Audiolingual Method, 104
Community Language Learning, 104
Suggested Readings, 106
Language Learning Experience: Journal Entry 4, 107
For the Teacher: Activities (A) & Discussion (D), 108

Chapter 5 Individual Differences 109

Some Historical Background, 110
Learning Styles, 111
Field Independence and Field Sensitivity, 114
Left-Brain and Right-Brain Dominance, 116
Ambiguity Tolerance, 117
Reflectivity and Impulsivity, 119
Visual, Auditory, and Kinesthetic Styles, 120
Measurement of Learning Styles, 120
vi CONTENTS

Autonomy and Awareness, 121

Self-Regulation, 123
Strategies, 124
Cognitive Strategies, 125
Affective Strategies, 126
Sociocultural-Interactive Strategies, 126
Compensatory Strategies, 128
Research on Learning Strategies, 130
Identifying Types of Strategy, 130
Cross-Cultural Issues, 131
Measuring Strategy Use, 131
The Effectiveness of Strategy Instruction, 132
Strategies-Based Instruction, 132
Stimulating Awareness, 133
From Awareness to Action, 133
From Classroom Action to Autonomy, 136
Suggested Readings, 138
Language Learning Experience: Journal Entry 5, 138
For the Teacher: Activities (A) & Discussion (D), 139

Chapter 6 Affective Factors 141

The Affective Domain, 142
Affective Factors in SLA, 143
Self-Esteem, 144
Attribution Theory and Self-Efficacy, 145
Willingness to Communicate, 146
Inhibition, 147
Risk Taking, 149
Anxiety, 150
Empathy, 153
Extroversion and Introversion, 154
Personality Type, 156
Motivation, 158
Defining Motivation, 159
Intrinsic and Extrinsic Motivation, 160
Social-Psychological Perspectives, 162
Instrumental and Integrative Orientations, 162
Motivational Intensity, 163
Other Orientations, 164
Sociodynamic and Constructivist Approaches, 164
The Neurobiology of Affect, 166
Measuring Affective Factors, 167
Classroom Applications: Intrinsic Motivation, 169
 CONTENTS vii

Suggested Readings, 171

Language Learning Experience: Journal Entry 6, 171
For the Teacher: Activities (A) & Discussion (D), 172

Chapter 7 Language, Culture, and Identity 174

Defining Culture, 174
Cultural Parameters, 176
Stereotypes, 178
Language, Thought, and Culture, 180
Framing Our Conceptual Universe, 180
Linguistic Relativity, 183
Communities of Practice, 184
Identity and Language Learning, 185
Historical Landmarks in Cross-Cultural Research, 186
Acculturation and Culture Shock, 187
Social Distance, 188
Attitudes, 191
Ideology, Policy, and Politics, 191
English as an International Lingua Franca, 192
“Second” and “Foreign” Language Acquisition, 194
Linguistic Imperialism and Language Rights, 195
Language Policy, 196
Teaching Intercultural Competence, 196
Intercultural Language Learning, 198
Classroom Applications: Tips for Teaching Culture, 200
Suggested Readings, 201
Language Learning Experience: Journal Entry 7, 202
For the Teacher: Activities (A) & Discussion (D), 203

Chapter 8 Communicative Competence 205

Defining Communicative Competence, 206
BICS and CALP, 206
Canale and Swain’s Framework, 208
Later Modifications of CC Models, 209
Language Functions, 211
Speech Acts, 211
Halliday’s Seven Functions of Language, 212
Functional Approaches to Language Teaching, 214
Interactional Competence, 216
Discourse Analysis, 217
Conversation Analysis, 219
Styles, 221
Written Discourse: Intercultural Rhetoric, 223
viii CONTENTS

Pragmatics, 225
Sociopragmatics and Pragmalinguistics, 226
Language and Gender, 227
Corpus Analysis, 229
Nonverbal Communication, 231
Kinesics, 232
Eye Contact, 233
Facial Expressions, 233
Proxemics, 233
Artifacts, 234
Kinesthetics, 234
Olfactory Dimensions, 234
Classroom Applications: CLT and Task-Based
Language Teaching, 235
Communicative Language Teaching, 235
Task-Based Language Teaching (TBLT), 237
Suggested Readings, 238
Language Learning Experience: Journal Entry 8, 239
For the Teacher: Activities (A) & Discussion (D), 240

Chapter 9 Interlanguage 242

Learner Language, 243
Stages of Learner Language Development, 244
Variation in Learner Language, 246
Learners’ Errors: Windows of Opportunity, 248
Mistakes versus Errors, 249
Error Analysis, 250
Identifying and Describing Errors, 251
Sources of Difficulty, 254
L1 Transfer, 254
The Contrastive Analysis Hypothesis, 254
Cross-Linguistic Influence (CLI), 256
Universals and Markedness, 258
Intralingual Transfer, 260
Context of Learning, 260
Strategies of Communication, 262
Input and Frequency, 262
Fossilization, 264
Error Treatment: Focus on Form, 267
Historical Notes, 267
Form-Focused Instruction (FFI), 269
Categories of Feedback, 271
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 CONTENTS ix

Types, 272
Responses to Feedback, 273
Effectiveness of FFI, 274
1. Is FFI beneficial?, 274
2. When should FonF take place?, 274
3. Are certain types of FonF more effective
than others?, 274
4. Is FFI also effective in improving writing?, 275
5. Does frequency make a difference?, 275
6. Do some students benefit more than others
from FFI?, 276
Suggested Readings, 276
Language Learning Experience: Journal Entry 9, 277
For the Teacher: Activities (A) & Discussion (D), 278

Chapter 10 Sorting through Perspectives on SLA 279

Weaving a Tapestry of “Perspectives” on SLA, 281
Carlos Yorio’s (1976) Learner Variables, 282
Patsy Lightbown’s (1985) Hypotheses, 283
Nick Ellis’s (2007) Observed Findings in SLA, 285
Principles of Language Learning and Teaching, 286
Six Perspectives on SLA, 286
Maturation-Based Approaches, 288
The Input Hypothesis, 288
Criticisms of the Input Hypothesis, 289
Universal Grammar (UG), 290
Emergentism, 291
Other Related Issues, 291
Cognitive Models, 292
An Attention-Processing Model, 292
Implicit and Explicit Processing, 294
Systematicity and Variability, 295
Sociocultural Viewpoints, 295
Mediation and the ZPD, 295
Long’s Interaction Hypothesis, 296
Social Constructivist Views, 297
Identity Approaches, 297
Ecological Viewpoints, 298
Sociocognitive Approaches, 299
Skill Acquisition Theory, 300
A Horticultural Metaphor of SLA, 300
Dynamic Systems Theory, 303
x CONTENTS

Some Final Comments, 305

Theory to Practice or Cooperative Dialogue?, 306
The Believing Game and the Doubting Game, 307
The Art and Science of SLA, 308
The Role of Intuition, 308
Suggested Readings, 310
Language Learning Experience: Final Journal Entry, 310
For the Teacher: Activities (A) & Discussion (D), 311

Bibliography, 313
Glossary, 366
Author Index, 384
Subject Index, 391
PREFACE

Nearly three and a half decades ago, when the first edition of Principles of
Language Learning and Teaching was published in 1980, the field of second
language acquisition (SLA) was in what now seems like its infancy. Issues and
controversies were manageable, a handful of journals published current studies
and theoretical musings, and a budding community of researchers gathered at
a smattering of conferences here and there.
Today, as I proudly present the sixth edition of Principles, SLA has grown—
in complexity and sophistication—to mind-boggling proportions. Hundreds of
periodicals now grace the landscape of SLA, along with books and papers and
presentations and dissertations from every corner of the world. This rich and
diverse field of inquiry has now shed a “beacon of light” (note the cover
photograph) on the stormy seas that have perplexed us over the years.
Nevertheless, a good deal of research on SLA concludes with the usual caveats:
“more research is needed” or “our findings remain tentative.”
Still, we have come a long way in six decades or so of concentrated focus
on SLA, and this latest edition will reflect those successes, and will—perhaps
more so than in previous editions—directly relate what we know about SLA to
the language classroom. With a new subtitle, “A Course in Second Language
Acquisition,” designed to signal the book’s primary use as a textbook in SLA,
the sixth edition of Principles offers practicing teachers and teachers in training
opportunities to inform their pedagogical practices.

PURPOSE AND AUDIENCE

As in the previous five editions, the purpose and audience of this sixth edition
are as follows:

• A course in SLA for students in language-teacher education programs

• A textbook on the theoretical foundations of language teaching
• A summary, for master’s degree candidates, of “everything you need to
know” about SLA

xi
xii PREFACE

• A handbook, for experienced language teachers, of current issues,

trends, and bibliographic references

For the most part, you don’t need to have prior technical knowledge
of linguistics or psychology in order to comprehend this book. From the
beginning, the textbook builds on what an educated person knows about the
world, life, people, and communication. And the book can be used in programs
for educating teachers of any foreign language, even though many illustrative
examples here are in English since that is the language common to all readers.

CHANGES IN THE SIXTH EDITION

Following are some highlights of this edition:

1. New issues and topics. The most significant development in SLA

research in the last seven years has been an intense focus on the “social
turn” in SLA. The research of the previous six decades has come full
circle to encompass what is now considered to be the heart of SLA: the
intertwining and interdependence of self, identity, social interaction, and
language acquisition. This focus is reflected throughout the book, culmi-
nating in my six perspectives (seen metaphorically as a color wheel) on
SLA in the final chapter. Many of the chapters have been reorganized
(new headings and sections, permutations of topics, etc.) to deliver new
messages and new ways of thinking.
2. Updates and new references. Out of literally thousands of new articles,
books, and chapters that have appeared since the last edition, I have
added a selection of some 300 new bibliographic references that report
the latest work in SLA, along with a number of new terms for the end-of-
book glossary. Almost all of the suggested readings at the end of each
chapter are new. In order to make way for the new, a good deal of the
“old” has been culled, treated now as brief historical backdrops.
3. More pedagogical focus. This edition offers more in the way of practical
classroom applications. The few classroom connections sprinkled through
each chapter have multiplied to about a dozen for each chapter, each
more simply and briefly worded, and designed to capture the interest of
readers who have not had teaching experience along with those who
have. In the interest of cutting to the chase, some of the detailed descrip-
tions of research studies have been reduced. End of chapter activities
and discussion questions have some added practicality, and are now
addressed to the course instructor. Journal-writing guidelines retain their
reflective and classroom-based leanings.
4. Writing style. You’ll notice that my writing style has changed. I think
you will soon discern more relaxed, informal, person-to-person prose
throughout. I hope you will “hear” me talking with students, with less
 PREFACE xiii

academic stuffiness than before. I’m no less serious now, but I hope
more approachable. Virtually every paragraph has been rewritten, loos-
ened when needed, tightened in other spots. The final chapter is a com-
plete rewrite—I think you’ll like my summation of SLA theories and
controversies through several metaphors with, yes, of course, a dash of
whimsy here and there.

ACKNOWLEDGMENTS
This book has grown out of graduate courses in SLA that I have taught since
1970. My first debt of gratitude is always to my students, for their insights,
enthusiasm, and inquisitiveness. I always learn so much from them! I’m
additionally grateful to students scattered around the globe who muster the
courage to e-mail me with questions and comments. It’s always great to hear
from curious readers and yes, many of their comments are reflected in this
current edition.
This time around I was the beneficiary of quite a number of formal reviews
of the fifth edition, some of them assigned to specific chapters to assess. A huge
thank-you to my reviewers for your excellent insights and suggestions: Mahmoud
Arani, St. Michael’s College, Colchester, VT; Tamara Collins-Parks, San Diego
State University, San Diego, CA; Carolyn Duffy, St. Michael’s College, Colchester,
VT; Mark James, Arizona State University, Tempe, AZ; Youjin Kim, Georgia State
University, Atlanta, GA; Heekyeong Lee, Monterey Institute of International
Studies, Monterey, CA; Joseph Lee, Ohio University, Athens, OH; Suzanne Medina,
California State University, Dominguez Hills, CA; Caroline Payant, Georgia State
University, Atlanta, GA; and Luke Plonsky, Northern Arizona University, Flagstaff,
AZ. Together you all provided an amazingly coherent collage of commentary! I
could not have accomplished what I did here without you.
I’m also grateful to a number of language learners whose interviews
and journals provided insightful chapter-opening vignettes. Some remain
anonymous, while a special thank you goes to Magdalena Madany and Melody
Chen, whose “stories” appear in Chapters 5 and 6.
Another essential link in the culmination of the publication of a book is the
publishing team. I feel very fortunate to have worked closely with my editor,
Lise Minovitz, and her colleagues at Pearson/Longman, with Kelly Ricci and her
editors at Aptara, and with my indexer Sallie Steele.
Finally, on a personal note, I want to say yet another enormous thank-you
to my wife, Mary, for once again being so patiently supportive of a sometimes
overly driven author as I churned out this sixth edition. The support of loved ones
is always an immeasurable but crucial contributor to any successful endeavor.

H. Douglas Brown
Professor Emeritus
San Francisco State University
This page intentionally left blank
 CH AP TER 1

LANGUAGE, LEARNING,

AND TEACHING
Carson, a native Californian, took Spanish as a foreign language for two years in
high school and then had two more years in college. As a twenty-year-old, he
spent one summer month in Costa Rica helping to build affordable housing for the
less fortunate in the city of San José. On arrival, his four years of classroom Spanish
were self-described as “somewhat useful in giving me a head start, but for face-
to-face conversation, pretty useless.” After one month in Costa Rica, making an
effort to speak Spanish as much and as often as he could with Costa Rican friends,
and as little English as possible, he felt like he came back to the United States with
enough Spanish to “get along quite well” in a conversation.
Sonia, from Sao Paulo, Brazil, took German classes all the way through high
school, at the prodding of her German-born parents. After two years of college
German, reaching an advanced-intermediate level, she dropped the course the
next year. She described feeling little sense of ability beyond a lot of “knowledge
about German grammar,” and a lack of motivation to continue studying German
“just to please my mother and father.” Ten years later, when asked how her
German was, she reported “okay” reading ability (but no practical reason to read
in German), “fair” listening ability (with grandparents), “poor” speaking ability (a
few phrases with family), and “almost non-existent” writing ability.

What do these two learners tell you about learning a second language? Even
without the “whole story” of each learner’s journey, can you see that language
fluency doesn’t happen overnight? And that learning a second language also
involves learning a second culture? And that it may mean a whole new way of
thinking, feeling, and acting? And that commitment, motivation, and serious
effort are involved? And finally, that language learning involves social interac-
tion in a meaningful context?
The two learners above may have benefited from their classroom instruc-
tion, but did those classrooms provide optimal communicative opportunities to use
1
2 CHAPTER 1 Language, Learning, and Teaching

their second language (L2)?1 This book is about both learning and teaching,
and of course teaching is the facilitation of learning. And a major step in
learning how to facilitate is understanding the intricate web of principles that
are spun together to affect how and why people learn—or fail to learn—an L2.
To begin the process of understanding principles of language learning and
teaching, let’s ponder some of the questions that you could ask.

QUESTIONS ABOUT SLA

Any complex set of skills brings with it a host of questions. As a means to
guide an exploration of second language acquisition2 (SLA), let’s look at some
of the questions you might ask, sorted here into some commonly used topical
categories.

Learner Characteristics
Who are the learners that you are teaching? What is their ethnic, linguistic, and
religious heritage? What are their native languages, levels of education, and
socioeconomic characteristics? What life experiences have they had that might
affect their learning? What are their intellectual capacities, abilities, and
strengths and weaknesses? How would you describe the personality of a stu-
dent of yours? You can no doubt think of more questions, but these will suffice
for starters.

C LASSROOM C ONNECTIONS
In your learning of an L2, how did your own “life experiences”
carry over to your SLA process? Among classmates of yours in an
L2 class, what are some of their “life experiences” that might
make a difference in how you teach your own students or in how
well those students will learn the language? For each “experi-
ence,” what could you do as a teacher to either capitalize on
positives in learners’ backgrounds or minimize the negatives?

1, 2Throughout this book, “second language,” abbreviated as L2, refers generically to any additional language

acquisition beyond the first (L1), including both “foreign” language learning and also subsequent (third, fourth,
etc.) languages. Likewise “second language acquisition,” abbreviated as SLA, is a generic term referring to
L2 acquisition in both natural and instructional settings, as well as to both “foreign” language learning (e.g.,
learning French in the United States, English in Japan) and “second” language learning (in the L2 culture, e.g.,
English in the United States and Chinese in China).
 CHAPTER 1 Language, Learning, and Teaching 3

Linguistic Factors
What is language? What is communication? What does it mean when we say
someone knows how to use a language? What are the relevant differences (and
similarities) between a learner’s first language (L1) and L2? What properties of
the L2 might be difficult for a learner to master? These questions are, of course,
central to the discipline of linguistics. Language teachers need to understand
something about the linguistic system of the L2 and some of the possible dif-
ficulties a learner might encounter.

Learning Processes
How does learning take place? Are there specific steps to successful learning?
What mental or intellectual processes are involved in SLA? What kinds of strat-
egies are available to a learner, and which ones are optimal? What is the
optimal interrelationship of mental, emotional, and physical processes for suc-
cessful SLA?

Age and Acquisition

One of the key issues in L2 research and teaching is a cluster of questions about
differences between children and adults. Does the age of learning make a dif-
ference? Common observation tells us that children are “better” language
learners than adults. Are they, really? What does the research show? How do
developmental changes that occur between childhood and adulthood affect SLA?

C LASSROOM C ONNECTIONS
Did you try to learn an L2 as a child? If so, how did that experi-
ence differ from learning an L2 as an adult? Suppose you were
asked to teach two foreign language classes, one to eight-year-old
children and the other to secondary school seniors (about seven-
teen years old). How would your teaching approach and your
materials differ between those two classes?

Classroom Instruction
A good deal of SLA successfully takes place outside of any educational context
or classroom. In such “natural” environments, do all people learn a language
equally successfully? In what has come to be called “instructed” SLA, many
questions arise. What are the effects of varying methodological approaches,
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