Theoretical issues in identity in classroom interaction research.

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Chapter 12
Theoretical Issues in Identity in ELT Classroom Interaction
Research
Işıl Erduyan
Boğaziçi University, Faculty of Education, Istanbul, Turkey
Abstract
This article focuses on theoretical issues in identity in ELT classroom interaction research
across four prominent journals. The purpose of a theoretical focus is to shed some light
on the contributions of major thinkers and researchers into the theorization of identity in
the field of SLA, a relatively novel field of study. Analyses of the theoretical sections of
the selected articles are guided by keyword search around the frequently cited authors and
thinkers in order to reveal their effect in the particular field of ELT classroom interaction.
Findings reveal a range of novel conceptualizations that have become effective in research
in this field that have come to date.
Keywords:
identity; classroom interaction; ELT; research synthesis
1. Introduction
The identity turn in SLA (Second Language Acquisition) and its related
disciplines took its course in the mid-1990s with the pioneering work, in
particular, of Norton-Peirce (1995). In this framework, there has been
continuous expansion in research in terms of research base, paradigmatic scope,
and methodological diversity (see De Costa and Norton, 2016). In the first
place, as a research construct that exceeds beyond classroom boundaries since
its outset, identity has come to be studied in a wide range of contexts, such as
multilingual work places, focusing on a large variety of English learners across
the globe. Research on identity has also contributed to, and benefited from, the
extension of the paradigmatic boundaries of traditional SLA to include more
constructionist epistemologies and post-structuralist research orientations (cf.
Firth and Wagner, 1997; 2007). In the end, identity is a social construction that
is fluid, multiple, and hybrid, and positivistic research orientations fall short of
explaning this construction. Finally, this paradigmatic expansion has brought a
large set of new methodologies into identity research in SLA ranging from
conversation analysis (CA) to digital ethnography. These additions have had
important consequences in approaching linguistic data, as in the case of more

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articulate interpretations of interactions, a major tool in classroom-based
analyses, compared to 20 years ago.
While they are often coined with SLA, these changes must be understood within
the larger framework of changes in the field of applied linguistics at large. In a
recent review of applied linguistics research output across 42 journals between
the years 2005-2016, Lei and Liu (2018) argue that although many of the topics
remained popular, and some, like traditional phonology or grammar, have been
studied less in time, there is a clear increase in sociocultural issues analyzed across
the journals in the course of these 12 years. They list some of these issues as
follows: “the impacts of socioeconomic class, ideology, and globalization on
language use/learning and identity in various local contexts, the development and
use of ELF, the practice and effects of multilingualism, and corpus-based
investigation of field-specific discourse and literacy practices and variations”
(p.18). As another major finding of their study, Lei and Liu (2018) write that the
field of applied linguistics has become more open to “incorporating theories and
practices from distant disciplines” (p.18). Taken together, then, the discipline of
applied linguistics has not remained indifferent to the developments in social
sciences in general following the massive societal changes in the context of
globalization, transnationalization, and technology. Within this framework, the
future of SLA has been continuously discussed (e.g. Ortega, 2013) and
implications of issues such as identity for learning and teaching are drawn.
Against this background, research in identity processes in ELT classrooms has
been steadily growing, as well. In fact, as reviews such as Martin-Jones (1995), or
Mukul-Saxena & Martin-Jones (2013) demonstrate, bilingual classrooms in ESL
contexts have long been under the focus of researchers in education taking more
ethnographic perspectives (e.g. Watson-Gegeo, 1988). In the context of the
identity turn, however, studies such as Toohey’s (2000) in-depth treatment of
ESL students’ identities have brought a more critical perspective to the field. This
line of research has come to date, particularly in immigrant contexts, as some
studies reviewed in this paper will demonstrate below. Meanwhile, research in
bilingual literacy has steadily focused on English classrooms in North American
contexts, and has revealed many insights into the language and identity practices
through linguistic lenses (e.g. Bailey and Nunan, 1996; Hornberger and Johnson,
2007). The following multilingual turn (May, 2014) has resulted in the
representation of multilingual classrooms more often in ELT classroom identity
research. In this framework, multilingual students in English classrooms across
Europe have been studied in their multilingually produced interactions including
English.
The purpose of this paper is to analyze the theoretical background to the identity
processes as studied in the ELT classrooms across contexts. As a research
construct that has been borrowed from other disciplines, identity is often

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theorized with respect to these disciplines. However, it is now at a stage as a field
that has procuded its own theoretical basis. This paper surveys the range of these
bases, and how they contributed to the research findings and conclusions drawn
from studies on identity in the ELT classrooms.
1.1.
Research Questions
This paper reports on a review of research on identity as studied in the ELT
classrooms published across four journals. Two research questions guide the
study:
1. What kind of theoretical issues are discussed in ELT classroom research
published between 2010 and 2018?
2. What kinds of implications are drawn from these issues?
2. Method
The analyses in this paper were conducted across four journals in the field of
applied linguistics: Applied Linguistics (AL), TESOL Quarterly (TQ), Journal of
Language, Identity, and Education (JLIE), and Linguistics and Education (LE). Due to
space requirements and the nature of the paper, only four journals were targeted
for inclusion in analyses. Thus, for example, many journals in Lei and Liu’s (2018)
list of 42 were left outside the scope, such as MLJ. Journals with a particular focus,
such as Journal of Second Language Writing, were not considered for selection,
either.
In the selection of these journals, the first step was to attend to those that focus
on and/or include research located within the sociocultural paradigm and
adopting qualitative orientations. Thus, journals with a strict
cognitive/psycholinguistic orientation and those that do not regularly include
qualitatively designed studies have been outside the scope of this paper. The
reason for this scrutiny is epistemological: the journals that were excluded from
the analyses publish research exclusively situated within objectivist, positivist
paradigms. Identity, as a social construct, as studied in applied linguistics is not a
product of these paradigms. Although journals with a mixed orientation, such as
the International Journal of Bilingualism publish issues on emotions or aptitude,
they still do so through psycholinguistic lenses rather than interactional or any
other forms of naturalistically retrieved data.
Another criterion for selection of journals was methodological. A clear emphasis
on close interactional analyses in the data was set as a requirement at the outset,
as the main focus of this article would be on interactional data. This made the
inclusion of Linguistics and Education a necessity besides AL and TQ, which
have presented interactional data in their articles for a long time. Last but not

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least, a survey of identity in applied linguistics would not be complete without a
close analysis of the JLIE, which has been steadily gaining prominence in the
field. As its title suggests, this journal takes identity as its central object of analysis
in educational settings, and has published a wide range of studies centering on
interactions.
2.1. Inclusion and Exclusion Criteria
After the four journals were determined, the following criteria have been adopted
in the selection of articles for analyses in this paper:
Full-length articles indexed in SSCI reporting on empirical research with
qualitative orientations that are published between January 2010 and
October 2018.
Research that takes place in institutionalized EFL/ESL classroom
settings
Meanwhile, the following criteria were adopted in the exclusion of articles:
Any publication before January 2000
Any other publication other than research articles (e.g. reviews, essays,
reports, summaries)
Any publication focusing on language classrooms other than ELT
Any publication focusing on types of identity rather than learner
identities (e.g. writing/reading/literacy identity, HL identity, teacher
identity etc.)
A word of caution must be added here such that the initial purpose of the article
was to focus on mainstream primary and secondary education, therefore, studies
conducted in higher education settings were excluded from analysis at the outset.
Yet, there were a couple of articles that focused on teenagers in language schools
that are affiliated with the universities. Those were accepted for analysis.
In the light of these criteria, a simple word search with the term identity has been
conducted across the electronic portals of the four journals. Although this survey
specifically focuses on identity research in classroom contexts, “classroom
identity” or any other coinage with the term “identity” was not adopted not to
influence the consecutive filtering process. Inevitably, the term yielded hundreds
of results across the selected four journals. Following the inclusion and exclusion
criteria depicted above, a total of 39 research articles were identified for analysis.
This list was composed of 8 articles from AL, 7 from TQ, 12 from LE, and 12
from JLIE. With such tight amount of turnout, a chronological analysis was not

Identity in ELT Classroom Interaction Research 229
adopted in this paper, as the results would not be sufficienct to conclude in a
change or development. It is important to acknowledge, however, that in addition
to a very selective filtering process in content, the mechanics of filtering adopted
might have yielded to a very low total of articles on such a steadily growing field
of study. The search engines of portals mostly allowed for a keyword search in
the title and abstract of the journals, which was the adopted approach in this
survey to understand the prominence of the construct of identity for the study
under consideration. Yet, there might have been other terms replacing identity in
related fields such as ‘translanguaging’ or ‘gender’ that did not show up in the
search process. Still, the point of this paper is to analyze whether the term identity
is in circulation, is theorized, and operationalized in terms of ELT classroom
research.
2.2. Data Collection and Analysis
After determining the set of articles for analysis, the following information about
each was tabulated: article ID (author, year of publication, pages, etc.), definition
of participants, definition of research setting, data collection method(s), and
major findings of the study. These data were summarized in section 3.1 below in
order to help locating the articles better. A second round of keyword search was
conducted across the entire set of articles to base the theoretical analyses of the
paper. This will be explained in section 3.2 below.
3. Results
3.1. Methodological Overview of Studies Under Focus:
Out of the 39 studies selected for analysis, 23 were conducted across various
school contexts in the USA, while the rest were conducted across 11 other
countries ranging from Canada to China. The flaws in the design of this survey
withstanding, one reason for this unproportionate distribution might be found in
the fact that since the identity turn, identity as a separate research construct is
more readily embraced in the American-based applied linguistics in general. Other
reasons might include the popularity of the selected four journals in American
academia more than in other parts of the world, or the exclusion criteria set at the
beginning of this paper delimiting the studies conducted on language classrooms
other than English.
Focusing on qualitative methodologies was one of the criteria set for inclusion in
analysis in this paper. A more detailed methodological survey demonstrates that
6 out of 39 studies are described as ethnography, and 4 as case study. These
methodologies are further detailed through giving information about the multiple
methods employed in the studies. The rest of the articles under consideration

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(n=29) employed single methods, or combined two-three that they report
separately. An overwhelming majority of these papers (n=21) focused primarily
on audio- or video-recorderd classroom interactions. This is followed by articles
that have interview (n=10) and observation (n=9) components, as well. The rest
of the studies have adopted complementary methods besides interaction, such as
students’ self-reports (n=2), photo-narratives (n=1), school documents such as
policies or classroom materials (n=2). The inclination toward using audio- and
video-recordings of classroom interactions as the most frequently employed data
collection method in studying identity within the context of EFL classrooms
should be analyzed with respect to various calls in the field of SLA for more local
meaning making processes (Firth and Wagner, 1997, 2007), the expansion in the
methodological base concerning CA (Ortega, 2013), and the attention to studying
identity through minutely constructions of discourse rather than employing large
categories.
3.2. Theoretical Issues in Studies Under Focus
The identity turn in the field of SLA has opened up new spaces for theoretical
developments that are new to set the framework for empirical research. The
articles selected for analyses in this paper reflect a diversity of these theoretical
orientations. In order to analyze these issues more closely, a survey of theories
employed in these articles was conducted alongside the methodological review
above. This survey was a second round of keyword search across the selected
journals. The keywords selected this time were the names of major identity
scholars that often get cited in SLA literature. The reason why such an approach
was adopted was simply to ease the process of focusing on major theories in the
area that were proposed by certain researchers. Starting from Norton, a number
of other scholars’ names were sought: Bucholtz and Hall, Pavlenko and
Blackledge, Duff were the first three search keywords. Besides though, the two
philosophers who often get cited in identity-related articles, Bakhtin and Bourdieu
have been inspected across these articles, as well. Based on the findings, the
review below was organized around three sections. In the first section, research
using Norton’s theoretical framework is presented, and in the second section
research research adopting Bucholtz and Hall’s theorization of identity is
reviewed. In the final section, research adopting a range of other scholars is briefly
summarized and reviewed. It must be noted at the outset that most of the articles
selected for analyses appeared in more than one of the keyword searches. In those
cases, the article was analyzed under the section in which the particular keyword
(scholar) is taken up in more detail.
In response to the keyword search, the theoretical background section in every
article that turned up in the results was analyzed closely in terms of their treatment
of the works of the scholars under focus. Rather than work that only cites or

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briefly touches upon the respective scholars’ work, those that problematize,
quote, and treat them in detail were included in analyses for sake of saving space.
3.2.1. Norton
A total of 18 articles across the journals were identified as a result of the keyword
search Norton. Majority of these articles only cited various works of the author
without inclusion in analyses. These include Cummins, et al., 2015; Duff, 2002,
2004; Flores, 2015; Morita, 2004; Stroud and Lee, 2007; Talmy, 2008. As an
established scholarly line of work by now, Norton’s framework of identity is often
treated alongside others’ (e.g. Blackledge & Pavlenko, 2001; Gee and Clinton,
2001) without being much elaborated. It is also often cited alongside other
research constructs, such as community of practice (Wenger, 1998). As a
commonly followed path in these studies, multiple theories are adopted in
constructing the theoretical framework in approaching identity issues. Chen’s
(2010) paper exemplifies this mix well in analyzing the case of an English as a
New Language (ENL) student’s situated identities across multiple contexts at
school. As one finding of this ethnographic study, Chen (2010) reveals how
Norton’s (2000) approach to subjectivity plays out in the identity negotiation of
the young student in her study, although subjectivity itself is one of the constructs
analyzed in this study.
Meanwhile, some articles in the selection solely focus on Norton’s approach to
identity, and provide in-depth treatments of her basic notions. Among those,
Norton (-Peirce)’s (1995) notion of investment has received considerable attention.
García-Mateus & Palmer (2017) focus on investment through translanguaging
lenses, and demonstrate how the translanguaging pedagogy in the classroom can
be seen as a safe space for learners of English in which they can truly invest. While
investment as a research construct still receives attention decades after the original
1995 article, Norton has also inspired research detailing various identity
trajectories. In an ethnographically informed study, MacPherson (2005) traces
five different identity patterns among Tibetan learners of English using Norton’s
conception that second language identities are multi-faceted, contradictory, and
hybrid. These are, rejection, assimilation, marginality, bicultural accommodation,
and intercultural creativity. Apparently, these notions further detail Norton’s
framework of identity by specifying their construction through detailed linguistic
analyses.
3.2.2 Bucholtz & Hall
9 articles out of 41 cited and/or used Bucholtz and Hall (together) in their
approach to identity. While some of them only cited the two authors in their
reviews of identity theories (e.g. Lo-Phillip & Park, 2015; Poza, 2018), others used

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it alongside other frameworks, as in the case of Norton above. García-Mateus
and Palmer (2017), for instance, while analyzing investment, also cite Bucholtz
and Hall (2005) and argue, “[i]t is through the use of tools, or linguistic resources,
that individuals negotiate the meaning of their social positions and emerging
identities” (p. 247). Meanwhile, some of the reviewed studies adopted certain
concepts from the two authors in their analyses. These include Kerfoot and Bello-
Nonjengele (2016) who employed the notion linguistic ownership (Bucholtz and
Hall, 2005), Godley & Loretto (2013) who referred to common truths in the sense
that Bucholtz and Hall (2005) use it, or Lee (2011) who adopt the framework of
co-construction of identities as in Bucholtz and Hall (2004). Like Norton, Bucholtz and
Hall provide good theoretical background in terms of identifying certain linguistic
behavior and practices in EFL classrooms.
Focusing on teenage students in an English course in Tehran, Shahri (2018) uses
Bucholtz and Hall’s (2005) framework alongside Fairclough’s (2003). His data
come from classroom observations and interviews with two students. The
analyses center on indexicality alongside the notions of distinction, adequation,
authentication, and delegitimation that Bucholtz and Hall (2005) conceptualize. Shahri
(2018) concludes, through these means, learners construct authentic voices in
their second-language-mediated identities that are in line with their envisioning
of and engagement with English. His study is a detailed treatment of the two
authors’ model through close linguistic lenses. In another ethnographically-
informed study, Corella Morales and Lee (2015) focus on narrative-based
speaking assessment of Spanish-English bilingual children. One component of
their theoretical framework is agency as Bucholtz and Hall (2005) view it, which
centers on the co-construction of social action including “habitual actions
accomplished below the level of conscious awareness” (p. 606). Their findings
demonstrate how students’ agency in responding to oral assessment is kept
exempt from scoring or simply get evaluated as as deficits. These empirical studies
demonstrate the interactional, power-differential, and situtional dimension of
Bucholtz and Hall’s concepualizations of identity.
3.2.3 Other Scholars
Alongside Norton and Bucholtz and Hall who get cited frequently, a few other
scholars of identity have repeatedly appeared in the theoretical background of the
articles selected. Among these, Pavlenko, for instance, appeared in 8 articles,
which cite, quote, or briefly touch upon the author’s various papers (Chen, 2010;
Giroir, 2013; Lo Phillip and Park, 2015; Menard-Warwick, 2008; Morita, 2004;
Shahri, 2018; Stroud and Lee, 2007; Vasilopolous, 2015). Blackledge and
Pavlenko (2001) is one of the sources that are often cited in this realm in terms
of establishing the concept of negotiation of identities. Interactional analysis has been
a useful methodological tool to study this concept. Likewise, Duff has appeared

Identity in ELT Classroom Interaction Research 233
in 10 keyword searches besides her own two articles (2002, 2004). She has been
mostly cited, or quoted in the framework of language socialization issues, as in
teachers’ positioning of ESL high school students in class in certain ways, as
Menard-Warwick (2008) depicts. The other articles that Duff appeared include
Handsfield & Crumpler (2013), Hawkins (2005), Liang (2006), Corealla Morales
and Lee (2015), Morita (2004), Talmy (2008), and Vasilopoulos (2015). One can
briefly conclude, then, that the pioneers of identity research in SLA since Norton-
Peirce (1995), that is, Bucholtz and Hall, Pavlenko, and Duff, have each
contributed to research in the EFL/ESL classroom from their own unique
perspectives, bringing into light the crucial aspects of classroom identity
processes, coining new concepts to ease understanding, and surviving in effect to
date.
The article search for this paper yielded a number of other theories that have been
adopted. Among these, Davies and Harré’s (1990) positioning theory has been
used in analyses in a series of papers. Focusing on how failure in an ESL
classroom is constructed through analyses of interactions in a 5th grade classroom,
for instance, Anderson (2009) proposes a model in which he combines three ways
of positioning: the micro, meso, and macro scale-levels. These refer to
local/immediate, institutional/intermediate, and structural/distal scales,
respectively. Similar scalar analyses have been the primary tool that Wortham
(2008) and Wortham and Rhodes (2013) have used in his approach to American
classrooms. Rather than theorizing positioning, Wortham adapted the notion of
scales (Lemke, 2000) into classroom social identification processes. Bartlett
(2007), meanwhile, focused on scales as a tool to understand the construction of
certain identities, such as ‘good student’ in the classroom in time. Likewise,
Brown (2006) adopted a scalar perspective while looking into classrooms as
micro-markets in a Bourdieusian sense of the word. These findings suggest how
English classrooms in identity research are approached through much wider
theoretical angles in order to understand the interactional processes more
comprehensively.
Like Bourdieu, Bakhtin has also been cited multiple times across the articles. Lo-
Phillip and Park (2015) focus on Bakhtin’s notion of dialogic imagination and
argue that students accomplish their imagined self in contact with voices of others
as much as self. They write, “students are already deeply engaged in reflective
activity throughout their everyday lives, and it seems a reasonable pedagogic
strategy to focus on this agentive work of the students and the diversity of ways
in which bilingual identity is conceptualized as a way of bringing such
metadiscursive work into the classroom” (p.203). As another article in the
selection, Handsfield & Crumpler (2013), merge Bahktinian dialogism with
Wortham’s (2006), as cited above, and demonstrate how Wortham’s

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operationalization of identification is a good application of Bahktin’s focus on
individual agency in the articulation of identities across time.
A few articles in the selection have used novel concepts that they borrow from
education or linguistics in analyzing identity. Catalano (2016), for instance,
adopted Wadsworth et al.’s (2008) Communication identity theory (CIT) and
Lakoff and Johnson’s (1980) conceptual metaphor thery in his analyses of
interviews with American and South African students. His findings reveal
similarities between metaphorical conceptions of immigration across the two
contexts, and between perceptions of “us versus them” mentality that affects
adaptation strategies in their respective contexts. Meanwhile, some studies
adapted certain methods into theory in their analyses of identity in the classroom.
Among these, Eskildsen & Theodórsdóttir (2015), for instance, took the
approach CA for SLA and focused on two different data sets collected in an EFL
classroom and the Icelandic as a second language non-classroom setting. They
argue that while both of the contexts provide learning spaces, they each require
different resources in the accomplishment of these spaces, as is revealed by close
analyses of conversations. Another study under focus, Welch (2015), adopted an
interactional analytic perspective (Gumperz and Cook-Gumperz, 2005) into a
bilingual classroom in the US, and revealed how the teacher has allowed for
bilingual interactional spaces in which “children are in a position to make the
necessary connections among their funds of knowledge, their bilingual identities,
and their linguistic repertoires” (p. 92). Lastly, ESL classrooms have been the
center of attention for providing spaces for off-task interactions. Waring (2013)
demonstrates through close analyses of video-recorded interactions how
participants ascribe, display, or invoke situational, relational, and personal
identities, as a result of which they are able to enter an “alternative universe.”
4. Conclusion and Discussion
In the context of the theoretical and the methodological expansion in the field,
certain scholars have received continuous attention in theorizing identity in SLA.
In the first place, Bonny Norton’s work has set the groundwork for approaching
identity in second language learning circumstances, and introduced the field to
notions such as investment to better capture the learners’ struggle. Although
Norton did not particularly target classrooms, her research inspired many
classroom studies focusing on identity. The very basic review presented in this
paper revealed that almost half of the selected papers (18 out of 39) reporting on
studies in classroom interaction and identity align with Norton’s perspective in
some way. The same can be said for Bucholtz and Hall, who did not particularly
target classrooms in theorizing identity. However, their detailed approach to the
multiplicity of identities, to the co-construction among participants in interaction,
and the complex relationship between language and self have led this perspective

Identity in ELT Classroom Interaction Research 235
into being frequently employed in ELT classroom identity research. Not only
scholars from the field, but philosophers like Bakhtin and Bourdieu are regularly
cited in this field of study. More evidence from classroom research demonstrates
how issues related to power, or those involving the market-like quality of
classrooms permeate across contexts. These scholars and thinkers, then, have
shaped the way identity has come to be studied in ELT classrooms since the
1990s.
The review above spans 18 years and 4 journals, but compared to this wide range,
a total of 39 articles have been identified for analysis in this paper. Apparently,
this is a very conservative sum, and as has been explained above, it is basically
due to the strict selection criteria employed at the screening. It must also be added
that exclusion of ESL classrooms from analysis, where a considerable amount of
data on interactions are collected because of practical reasons, has an important
role to play in this sum. Among the four journals, TESOL Quarterly, which
specializes in the teaching and learning of English as an additional language,
regularly publishes work on classrooms. However, it seems that identity issues
have only occupied limited space in this journal as far as students’ classroom
interactions are considered. Applied Linguistics, meanwhile, concentrates not only
in classrooms or English, but a range of contexts and other languages as far as
they are taught and learned as additional languages. Thus, it is natural that this
mainstream journal has provided limited focus on ELT classroom interactions
and identity. Linguistics and Education and Journal of Language, Identity, and Education
regularly publish work on classroom interactions, and they both approach identity
as a sophisticated tool to understand and interpret interactions. As their focus is
not limited to English classrooms, they also yielded limited results with regard to
ELT classrooms. Thus, it can be concluded, any journal selected for inclusion
would bear its own limitations against the highly narrow inclusion criteria in this
paper. Still, the range of contexts, methods, and research topics across this
selection gives us a satisfactory scope of issues under discussion in classroom
interaction research. Detailed analyses of interactions illuminate how identity
issues lie at the center of classroom processes (cf. Wortham, 2006), and how
learning is inherently related to these processes. Most importantly, these issues
have been studied since 1990s without losing pace, as the distribution of the
selected articles across the 18 years indicate.
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