Transfer across Second Language Acquisition Theories

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TRANSFER ACROSS SECOND LANGUAGE ACQUISITION THEORIES
INTRODUCTION
Since the advent of Contrastive Analysis Hypothesis to date,
transfer has been a controversial issue. Transfer is defined as
merging grammatical properties from one language to
another language [19]. Different theories in second
language acquisition (SLA) have approached the role of
transfer from L1 to L2 or L3 differently. These theories sound
incommensurable concerning their views towards the role
of transfer in the process of SLA. Transfer has been
considered as being debilitative [13], [8] enhancive [3],
si tuation ba sed (ma rk ed ness the or y, typol og y,
psychotypology, and language contact study), the initial
state of SLA (Competition model and connectionism),
functioning as shadowing, or under the constraint of UG
principles [27], [29]. These different views towards the role of
transfer in SLA, however, can be seen as part of the reality of
SLA in one respect. The purpose of this article is to review
different views of various SLA theories towards transfer and
to claim that all these views could be part of
Chaos/Complex System [14], [15], [16].
1. Transfer: Different Views
Zoble [30] distinguishes between developmental and
transfer errors on several grounds. First, transfer errors are
different from those made by native speakers. Second,
transfer errors are the result of low L2 proficiency. Third,
transfer errors are the result of hypothesis making and
SERVAT SHIRKHANI **
By
hypothesis testing when first language is used as the source
of reflection. Fourth, transfer errors are the result of learners'
inability to separate the two languages. Fifth, transfer errors
are the result of L1 habits (outdated Contrastive Analysis
Position). Finally, transfer errors represent an interlingual
generalization. Zobl [30] also distinguished between
structural transfer and transfer as a communication
strategy. Structural transfer occurs when learners are
developmentally selective of what features of first
language should be transferred to L2. Communication
transfer, on the other hand, occurs when learners try to
express their ideas which are beyond their L2 knowledge of
linguistics.
2. Transfer from Typological Perspective
Transfer has been discussed from typological perspectives.
Cenoz (2003, as cited in [9]) ascribes transfer to typology
saying that transfer is related to whether the form is
typologically universal (unmarked) or not. According to
Longman Dictionary, Typology refers to “a system or the
study of dividing a group of things into smaller groups
according to the similar qualities they have.” Ellis [6] states
that those features that are universal are unmarked,
whereas those which are particularly found in some
languages but not in other languages are marked.
According to Eckman [5], learners will transfer unmarked
forms when the corresponding target language form is
* Islamic Azad University, Science and Research Branch, Iran.
** Islamic Azad University, Khorram Abad Branch, Iran.
ABSTRACT
Transfer has been discussed from different points of view since the advent of Contrastive Analysis Hypothesis [13], [8].
Mishina- Mori [19] has defied transfer as merging grammatical properties from one language to another. The effect of
transfer from a first language (L1) to a second language (L2) or a third language (L3) has been viewed differently in
different theories of Second Language Acquisition (SLA). A number of these theories view transfer as having no role, some
others as having debilitative effects and still others as having enhancive effects on L2 or L3 learning. This article has
reviewed these different views of SLA theories toward transfer and claims that though these theories sound
incommensurable in this regard, they can be considered as one tune in a complex dynamic but chaotic system of SLA
known as Chaos/ Complex System.
Keywords: Transfer, Debilitative Effect, Enhancive Effect, Chaos/ Complex System.
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marked or they will resist transferring those marked forms
whose corresponding forms in the target language are
unmarked.
Moreover, transf er has been i nvestig ated from
psychotypological perspective (Kellerman, 1983, as cited
in [9]). Accordingly, transfer is constrained by learners'
perception of what is transferable and what is not. Such
perception is not the sole result of learners' L2 proficiency
but it also depends on the structure of learners' first
language. In this respect, according to Ellis [6], Swedish
speakers transfer elements from their first language, but not
from L2 Finnish.
3. Transfer from UG Perspective
Transfer is also discussed from the Universal Grammar (UG)
perspective. This includes a variety of controversial theories
of SLA with respect to the role of UG and transfer in SLA.
Vanikka and Yobng-Schol (as cited in Ranong and Leung,
[24]) propose the Minimal Tree Hypothesis which claims that
only lexical categories – not functional – are transferred in
the initial state of SLA. Eubank [7] develops the Valueless
Features Hypothesis or Partial Transfer/ No Access which
holds the idea that the early state of L2 grammar is
determined in part by L1 grammar. Clahsen and Muysken
[2] holding the idea of No Transfer/No access for L2
processes credit a general problem solving solution to
account for the processes of second language learning.
On the other hand, Platzach (1996, as cited in [27]) holds
No Transfer/ Full access view to the processes of SLA.
Schachter [26] takes Full Transfer / No access to SLA,
whereas Schwarts and Sprouse [27] and White [29] credit
Full Transfer/ full access to SLA.
4. Processability Theory
Håkansson, Pienemann, and Sayehli [10] believe that first
language transfer is constrained by the processability
nature of the given structure. According to processability
theory, the initial state of L2 does not equal the final state of
L1; this means that not all grammatical features in L1 can
be transferred to L2. The assumption that L1 transfer may
be developmentally constrained is not new in SLA
research. SLA theories, within the UG camp, have different
views towards the role of parameters in setting constraints
for transferring first language features to second language
processing. Pienemann [22] sets developmental
constraints to the processes underlying SLA. Wode (1976 as
cited in [10] showed that German learners of English were
able to produce those features of their first language which
they were able to process in the second language they
were learning. This is referred to as Partial Transfer [23] or
Developmentally Moderated Transfer Hypothesis (DMTH).
According to DMTH [22], “ V2 is not transferred at the initial
state, and it may be transferred when the interlanguage (IL)
system can process it” (p. 486).
5. Dynamic Model of Transfer
Dynamic Model of Transfer holds the idea that transfer is not
a process but is a set of L1 constraints set on processing L2
grammar [11]. The idea is that transfer starts at
phonological level in the sense that “learners generally
transfer a similar sound from their L1 inventory to produce a
desired utterance” and later they transfer higher features
(p. 244). Sabourin, Stowe, and de Haan [25] distinguish
between surface transfer versus abstract transfer. The
former occurs when morphological aspect of L1 is
transferred to L2, whereas the latter occurs when syntactic
categories are transferred from L1 to L2.
6. Instance Theory
Instance Theory [17] holds the idea that learning initially
starts in an algorithm form and moves to a memory based
state. As learning becomes memory based, it leaves
traces which help in the retrieval of information when
learners need them. Each feature, in the target language,
is an instance whose membership in a given categor y is
determined in terms of similarities to other features in the
same category or those which are already stored in the
mind. Truscott [28] discussed Instance Theory from UG
perspective. This includes Pinker's (1984 as cited in [6])
Subset Principle as well as Uniqueness Principle. Subset
Principle refers to the idea that some parameters in a
sentence constrain the order learners value other
parameters. Uniqueness principle maintains that those
forms which express the same meanings are ruled out.
Transfer, within Instance Theor y, is believed to occur when
one of the instances would win the competition between
instances and algorithms.
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7. Bilingualism
There are three possible relationships between first and
second language knowledge in the mind. The first variant is
called separation which captures the idea of "coordinate
bilingualism” associated with Weinreich (1953, as cited in
[4]). Based on this view, there is no connection between the
two systems. This holds the idea that in developing second
language system, UG should be entirely available. In this
model no transfer will happen. The second possibility is that
the two languages form a single system. This is the extreme
viewpoint towards the L1 and L2 relationship. The idea is
called integration. Even in the area of vocabulary, it is
believed that there is only one system which stores
vocabulary alongside the other (Caramazza & Brones,
1980, as cited in [4]). There is, however, a model in between
which considers the two systems in the mind as partially
overlapping. This is partial integration or interconnection
model. In fact, interference happens based on this view
and this will be discussed later. These three models might
create a continuum along which the learner language
system develops. It might be the case that some parts of
language be integrated and some others separated. Also
she mentions that the model might be different from one
person to another.
In the case of bilingualism, there are two possibilities of the
role of transfer SLA[19]. One possibility is that the two systems
are independent and do not influence each other. The
second possibility is that the two separate systems may
develop independently; the idea is referred to as
Independent Development Hypothesis (IDH). IDH holds that
L1 and L2 systems influence each other in the course of
development.
8. Study of Language Contact
Language contact is another area of research in which
transfer has been investigated [20], [21]. Odlin believes that
language contact is the best place to predict the instance
of transfer. Accordingly, certain principles would help us to
distinguish the result of language transfer from other
language changes. Transferability of an item in one region
to a border region, to similar contact situations, and
interlanguage recreation of imposed language was
predictable if indigenous language showed transfer of
items. The result would be similar occurrence of the item in
both L1 and L2; geographically multiple occurrence; and
higher probability of occurrence of one item in one
geographical place.
9. Transfer in Competition Model
Initially, learning of a second language is highly parasitic on
the structures of the first language in both lexicon [18] and
phonology. Having acquired a first language during
childhood, the second language learner comes to the task
of learning the second language with a well-organized
neurolinguistic system. By building direct links between
sound and meaning in L2, and by restructuring underlying
concepts, the learner is able to increase the automaticity
of lexical access in L2. This automaticity constitutes a “fire
wall” against ongoing interference effects of L1 on L2. The
more these two synonymous nouns link to separate
concepts and words in another language, the stronger is
the fire wall to interference. This type of separation must be
achieved not only at the lexical level, but also at the
phonological, syntactic, and semantic levels.
According to MacWhinney [18], there are two types of
transfer: massive transfer and weak transfer. Massive
transfer happens at the level of lexical learning and syntax.
Syntax shows some item-based transfer effects, but less
than the other areas, since these patterns are dependent
on new lexical items. At the level of morphology, we only
expect transfer of grammatical function, if these functions
have a close match, not transfer of specific grammatical
forms or patterns. In bilingualism, separate lexicons and
grammars are constructed directly and there is no need to
go through a process of undoing the initial connections
formed through transfer. However, even in simultaneous
bilinguals, some transfer and interference is predicted due
to the interactive nature of cognitive processing.
10. Multi Competence: Transfer vs. 'Reverse' or 'Backward'
Transfer
According to Cook [3], not only the first language might
affect the way one learns a second language, but the
reverse could also be true. He refers to the effect of L2 on L1
as reverse or backward transfer which could result in both
debilitative and enhancive effects. Whereas debilitative
transfer refers to the harmful effect of L2 on L1, enhancive
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transfer refers to instances where L2 improves first language
learning through brain training.
11. Transfer and Chaotic System
Chaos complexity (CC) science focuses on complex,
dynamic, nonlinear systems [14], [15], [16]. It is not the
science of fixed entity but dynamic; it is about process
rather than state. CC studies the whole through interactions
of its components. The result of behavior is not predictable.
Accordi ng to Baranger [ 1], any s ystem whose
“configuration is capable of changing with time is known as
a dynamic system” (p. 7). The result of interaction is the
emergence of behavior. It is assumed that dynamic
processes of the systems are not dependent behavior or
physical manifestations and depend only on the
interaction between components of the system.
This brief review of transfer in some of the theories in SLA
indicates different predictions on the plausibility and the
type of role L1 has in L2 learning (Table 1). The proponents of
each theory and view have claimed to back their assertion
empirically. This paper suggests that there is only one place
or one way to treat all these seemingly incommensurable
perspectives towards the role of L1 in L2 learning in a
harmonious polyphonic way, and that is to consider them
as one tune in a complex dynamic but chaotic system of
SLA. CC is a reaction to incapability of isolationist
methodology of doing research in accounting for all the
anomalies and exceptions those research enquiries came
up with. A deep and close study of different research in
each of these camps will illuminate how they approach the
phenomena of transfer within specific contexts which is
determined by methodology, instrumentation, data
analyses, and interaction of these with each other. In this
way, one cannot truly reject one idea in favor of the other or
accept one idea at the expense of another. Transfer exists
and as language learners, we have experienced both
facilitative and debilitative effects of our first language on
learning a second language. We have also experienced
the uselessness of our mother tongue in acquiring some
aspects of second language. Therefore, as common
sense might back each of these instances as being true,
the paper argues that language transfer can be
explicated, justified and predicated within CC theory.
12. Implications of putting transfer within CC theory
framework
This paper has reviewed the issue of transfer from the
perspective of different SLA theories. Coming up with the
conclusion that all these views may be acceptable in
certain contexts and with certain aspects of the issue, it
implies that none of these views can be easily discarded
nor can any of them be taken as the sole answer to the
question of the role of transfer in L2 learning. As a way of
dealing with the diverse views regarding the topic, the
paper recommends putting the issue within the framework
of CC theory. Looking at the role of transfer in SLA allows us
to consider these seemingly different views as part of a
single system, i.e. the CC system.
References
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Theory in SLA Scholar View on Transfer
Contrastive Analysis [13]
[8]
Differences
[30] Developmental Vs. Error
Structure Vs.
Communicative Strategy
Typology [9] Markedness
[6]
Transfer and Markedness [5]
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Minimal Tree Hypothesis [24] Only lexical category
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The Valueless features
Partial Transfer/ No Access
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No Transfer/ No access [2] No
No Transfer/ Full access [27]) No
Full Transfer/ No Access [26] General mechanism
Full Transfer/ Full access [27], [29] Both
Processability Theory [10] Constrained
Partial Transfer or
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Developmentally [23] Constrained
Dynamic Model of Transfer [11] T as a product
Surface versus Abstract Transfer [25]
Instance theory [17] Instance and Algorithm
Instances
Bilinguals
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Language Contact study [20], [21] Situation based
Competition Model [18] Parasitic L2
Pragmatic Transfer [12]
Multi competence [3] Reverse
Table 1. Transfer Across SLA Theories
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ABOUT THE AUTHORS
Parisa Daftarifard is currently a PhD student at Islamic Azad University, Science and Research Branch, Tehran, Iran. She received her MA degree
from Iran University of Science and Technology in 2002. She has published a number of papers in different areas in international journals, and given
presentations on TEFL at many international conferences. Her primary research interests are EFL reading, testing, and second language
acquisition.
Servat Shirkhani, is currently a PhD student at Islamic Azad University, Science and Research Branch, Tehran, Iran. She received her MA degree from
Iran University of Science and Technology in 2002. She is the current faculty member of Islamic Azad University, Khorram Abad Branch. She has
presented some articles at National and International Conferences. Her area of research is teaching and testing written skills.
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