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1、Studies on Transfer in Second Language Acquisition Abstract: Transfer is a pervasive term and this has led to diverse interpretations and research practices of it. This paper reviewed the related literature on transfer studies in second language acquisition, linguistic studies and non-linguistic. It
2、 also made a survey about approaches in transfer studies, native speakers attitudes toward transfer, and transfers made by Chinese learners of English. It was argued that transfer research evolved from a linguistic-to- non-linguistic path, and there is a necessity in the current trend to shift from
3、the former to the latter.Keywords: transfer, linguistic transfer, pragmatic transfer, second language acquisition 1. Defining transfer Transfer, derived from the Latin word “transferre”, means “to carry”, “to bear” or “to print, impress or otherwise copy (as a drawing or engraved design) from one su
4、rface to another”(Websters Third New World International Dictionary, 1986). So to speak, when we say “technology transfer”, we mean the transfer or carry-over of technology from one owner to another. Transfer can also mean “the carry-over or generalization of learned responses from one type of situa
5、tion to another”, especially “the application in one field of study or effort of knowledge, skill, power, or ability acquired in another” (Websters Third New World International Dictionary, 1986). The use of “transfer” in “linguistic transfer” is such an example. By linguistic transfer, we mean what
6、 the learners carry over to or generalize in their knowledge about their native language (NL) to help them learn to use a target language (TL). Here transfer does not indicate whether what is carried over is bad or good. This meaning from the dictionary shows that transfer is a neutral word in origi
7、n and nature. Linguistics concerns, in overall, with the static structures within a language system. Viewed from the TL grammatical rules, certain NL-based linguistic transfers are found to coincide with linguistic errors. In this way, NL-based linguistic transfers are divided into two broad types,
8、positive and negative. Those NL-based uses that do not lead to linguistic errors are labeled as positive transfer, whereas those that lead to errors, negative transfer. In second language classroom teaching, a positive linguistic transfer is generally not attacked, but a negative linguistic transfer
9、, almost to all instructors, is definitely not recommended for the learners, since it is erroneous. Pragmatics, a branch of linguistics which studies how people interpret and produce meaning in a specific context (Leech, 1983; Liu, 2000), also claims an interest in transfer. For pragmaticians, they
10、are interested in finding out in what way NL-based transfers influence the learners in comprehending and performing a speech act in a TL and whether such transfers are appropriate in the context. Apparently, pragmatics diverges from linguistics in interpreting transfer in that it has maintained the
11、neutral sense or natural attribute of transfer. Since pragmatics aims at exploring the appropriateness of speech that is free from right-wrong linguistic grammar, everything under pragmatic investigation is correct, grammatically speaking. In literature to date, in pragmatics-oriented studies of tra
12、nsfers, interests and endeavors have been attached to the finding out of the differences or deviations between these divergent forms from the TL and whether these deviant forms are appropriate, from the angle of TL speakers. An example to illustrate this point is the Japanese learners overuse of the
13、 expression “I am sorry” in conversations. It was reported that there are many cases in which Japanese students used this expression which is actually not needed in English, since to English speakers, the expression is used only for an apology. This indicates the learners fall back on the Japanese r
14、outine expression “suminmasen” which means, literally, “Im sorry.” Hence, this is not an example of error, but of appropriateness (Beebe & Takahashi, 1992). In practice, transfer has attracted people of different academic backgrounds and led researchers to different interpretations and definitions o
15、f the term. Scarcella (1983), for instance, was interested in the transfer of discourse accent and believed hat it is a reflection of conversational features such as forms and functions of conversational management. Kellerman & Sharwood-Smith (1986) studied the exactitude of the term and tried to dr
16、aw a distinction between transfer and influence. To them, transfer is not the same thing as cross-linguistic influence. Whereas transfer refers to those linguistic behaviors incorporated from L1 into IL without capturing other interlingual effects, cross-linguistic influence, on the other hand, refe
17、rs to those L1 effects such as avoidance, L1 constraints on L2 learning and performance, and different directionality of interlingual effects. This view is further elaborated in Sharwood-Smith (1994). To Odlin (1989), transfer just means the influence resulting from similarities and differences betw
18、een the target language and any other language that has been obviously, and perhaps imperfectly, acquired. This definition thus suggests that transfer can occur at any levels, strategic, linguistic, discoursal, and pragmatic. Wolfson (1989) analyzed how the transfer of speaking rules from ones own n
19、ative speech community influences interactings with members of the host community. She insisted that transfer mainly stands for the use of rules of speaking from ones own native speech community when interacting with members of the host community or simply when speaking or writing in a second langua
20、ge. For Wolfson, the two terms, sociolinguistic and pragmatic, are interchangeable, and so are her sociolinguistic rules and rules of speaking. Then to Beebe et al (1990), transfer specifically refers to the learners L1 socio-cultural competence in performing L2 speech acts or any other aspects of L
21、2 conversation. Hence for Clyne et al (1991), “apologies” and “complaints” are pragmatic, while turn-taking discoursal. In terms of the scope of transfer, Takahashi & Beebe (1992) held that transfer consists of both cross-linguistic influence and cross-cultural transfer elements. Kasper (1995) focus
22、ed on pragmatic transfer and defined it as “the influence exerted by learners pragmatic knowledge of languages and cultures other than L2 on their comprehension, production, and acquisition of L2 pragmatic information” (Kasper, 1992; 1995). The identification of transfer was first discussed by Corde
23、r (1981) who remarked that it is the duty of both teachers of languages and native speakers of the language to point out the transfer according to the rules of language. At the same time, Corder (1981) implied the source of data for transfer research lie in the learners production or utterances, tha
24、t is the observed output which results from the second language learners attempted production of a TL norm (1981). Kasper (1992) also reiterated that it is imperative to find certain constraints on a pragmatic transfer, so that our work will be operationable. The usual way to identify a transfer in
25、SLA research is something like an informal estimation method (Kasper, 1992). In informal estimations, we decide whether a transfer can be established by looking at the similarities and differences of the percentage by which a particular category of interlanguage features (such as a semantic formulae
26、, strategy, or linguistic form) occurs in the NL, TL, and IL data. Similar response frequencies in all the three data sets are classified as positive transfer (Blum-Kulka, 1982; House & Kasper, 1987; Faerch & Kasper, 1989), while different response frequencies between IL-TL and NL-TL combined with s
27、imilar frequencies between IL-NL register as negative transfer (Beebe et al., 1990; Takahashi and Beebe, 1992; Olshtain, 1983). Another way to determine a transfer is to use a statistically significant method. Kasper (1992) strongly recommended Selinkers (1969) operational definition of transfer. To
28、 her, it can be adapted to a suitable method for identifying pragmatic transfer in interlanguage production. This was echoed by Bley-Vroman (1983) who observed that multiple rather than binary choices are usually available for speakers to express communicative intent. Parallel trends towards one opt
29、ion in a binary choice schema as was pointed out by Selinker (1983), however, can rarely be established. A statistically significant method determines whether the differences between the interlanguage and the learners native language on a particular pragmatic feature are statistically significant, a
30、nd how these differences relate to the TL. A general guiding principle is, if a pragmatic feature is lack of statistically significant differences in the frequencies of a pragmatic feature in NL, TL, and IL, then it can be operationally defined as positive transfer. On the contrary, statistically si
31、gnificant differences in the frequencies of a pragmatic feature between IL-TL and NL-TL and lack of statistically significant differences between IL and L1 can be operationally defined as negative transfer (Kasper, 1992). Takahashi (1995) further elaborated on positive transfer as “similarity in ter
32、ms of response frequencies in NL, IL, and TL”, while negative transfer as “similar response frequencies in NL, IL with different response frequencies between NL and TL and between IL and TL”. An example of the statistically significant method is Bergman & Kaspers (1993) study of transfer in “apologi
33、zing”. They showed that more than half of the differences between Thai-English and American-English apologizing strategies are due to negative pragmatic transfer. The process to identify a transfer, according to Kasper (1992), follows basically three steps: First, we start from an observation on the
34、 learners productive interlanguage data. Second, under the guidance of our definition of a transfer, we concentrate on the different means that learners employ in expressing and understanding a speech act in the TL. And third, we sort out from our collected data the transfer features. Evidently, bot
35、h the definition of transfer and method of identifying a negative transfer are helpful to our in-depth discussion of negative pragmatic transfer. 2. Studies of transfer in second language acquisition2.1 Linguistic transfer L1-L2 transfer was first discussed in Selinker (1969) and other follow-up stu
36、dies either provided but further evidences of transfer or its role in understanding the learners error in particular and interlanguage as a whole. Transfer was considered responsible for error occurrences in cross-linguistic and cross-cultural studies (Lado, 1957; Stockwell & Brown, 1965; Corder, 19
37、69; 1971). Nevertheless, Richards (1971) evidenced that transfer of strategies was but partially responsible for the learners errors. In a similar manner, Jain (1974) reported that transfer was but one of the sources of error. Since then, transfer was more and more indirectly mentioned as an apparen
38、t factor of error (Corder, 1981). The learner language was contrasted with the basic features and hints of transfer (Swan & Smith, 1988; MeGurn, 1991; Platt & Weber, 1980) and the tradition has continued into the 90s where Ajiboye (1993) made a theoretical categorization of the errors in terms of ph
39、onetics, word-formation, syntax, and semantics. The relationship between transfer and interlanguage was always at core concern. Though Selinker (1969) did not characterize how the learners interlanguage looks like (Corder, 1981), yet he did repeatedly imply that transfer was one of the factors assoc
40、iated with the unique system of the learner language (Selinker, 1969; 1972). Then Newser (1971) addressed the relationship by discussing the concepts of an approximative system and plateau. To resume the line, Bickerton (1975) referred to interlanguage as a continuum, while Kellerman (1977) tried to
41、 characterize transfer in the learners interlanguage. In discussing the phonological features of the learners interlanguage, Tarone (1973; 1976; 1978) contended that NL-based phonology transfers are partially responsible for the features of an interlingual phonology. Similar discussions included Iou
42、p & Weinberger (1987). In terms of linguistic transfer on the syntactical level, Ravem (1971) documented that the learners NL played a certain role in the formation of his second language syntax. Hakuta (1974) also demonstrated that there is a firm relationship between L1 transfer and the emergence
43、of structure in second language acquisition. In addition, Larsen-Freeman (1975) evidenced such a relationship through the learners learning of English grammatical morphemes. To Gass (1979), transfer helped us to see the grammatical element universal in human languages. Is transfer the same thing as
44、borrowing? Ringbom & Hakan (1983) came up with proofs that transfer is in fact associated with lexical borrowing. Such a relationship was also discussed in Meara (1984). And from the teaching point of view, Palmberg (1985) discussed the amount of words learners already had before they took up the le
45、arning of the TL and its impact on the acquisition of new word formation processes in second language acquisition. This practice was by Olshtain (1987) and Odlin (1989). Both provided evidences that NL-based transfer also occur in the learning of word-formation in a second language. An apparent feat
46、ure in the learners use of their interlanguage is simplification and overgeneralization. NL-based transfers were considered to be associated with both simplification and overgeneralization (Levenston, 1971; Varadi, 1973; Richards, 1974; Levenston & Blum-Kulka, 1977; Blum-Kulka & Levenston, 1983). Hy
47、bridization and co-mixing is another feature identified in the learners use of his interlanguage. The work that helped us see the sources of hybridization as from transfer was Whinnom (1971). Empirical studies to sort out the mother tongue influence on the learners language were initiated by Newser
48、(1971) who reported NL influences in the speech of some immigrant workers in the States. To follow up, Dulay & Burt (1974) conducted a case study comparing childrens learning in a first and second language. Conor et al (1983) examined how transfer worked in the learners compositions and Biskup (1992
49、) displayed transfers in the learners use of collocations. The relationship between transfer and speech production was observed in earlier studies (Flege & Davidian, 1977; Krashen & Scarcella, 1978), too. Both Nicjel (1985) and Hsia (1986) showed that transfer prohibited the second language learner in second language learning Transfer was not only found present in the learners interlanguage but active as variable rules (Dickers