二语习得1(共85页)

1、PAGE PAGE 100二语言(yyn)习得早期(zoq)的SLA研究一、早期第二语言习得研究产生(chnshng)的原因二、早期第二语言习得研究的起点三、早期第二语言习得研究的范围早期SLA产生的原因上世纪60年代以前，几乎没有关于第二语言习得的实证调查研究。60年代后期，学者们对第二语言习得研究产生 极大兴趣。原因有二：（1）对比分析面临挑战；（2）改进第二语言教学的需要。对比分析面临挑战按照对比分析假说，如果学习者的母语与第二语言相似，将促进第二语言的习得；如果二者不同，将阻碍第二语言的习得。这种观点认为，学习者产生的偏误主要是母语习惯负迁移的结果。 乔姆斯基（1958）对行为主义学习

2、理论的批判以及母语习得的研究结论，给对比分析假说提出严峻挑战。对比分析面临挑战母语习得研究的结论表明，儿童母语习得并不是母语习惯获得的过程，而是构建母语的“心理规则”的过程；证据是：儿童母语习得并没有表现出与父母言语的一致性。这不符合行为主义刺激反映的学习理论；这些挑战创造了对第二语言习得进行实证研究的氛围。改进L2教学的需要按照听说法或情景教学法，教师在课堂的主要任务是严格按照编排好的语言结构，向学习者提供语言输入；此外，要严格控制学习者的语言输出，以减少学习者的语言偏误。但是，儿童、成人第二语言学习者的自然习得并没有这些严格的控制，仍然能够成功地获得第二语言。于是，学者们试图弄清楚下列问题

3、：第二语言学习者是怎样在自然环境获得第二语言的？第二语言学习者运用了哪些策略？为什么有的学习者成功(chnggng)获得第二语言，有的学习者则不能？这些问题的回答需要对第二语言习得进行实证(shzhng)调查研究。早期(zoq)SLA研究的起点第二语言习得研究发端可以追溯到20世纪60年代末。在第二语言习得研究领域，学者们大都把以下两篇文章看作是这个学科建立的标志。 Corder（1967）“The significance of leaners errors” Selinker（1972）“Interlanguage”如果我们把Corder和Selinker的文章作为这个学科的发端，那就意味

4、着在第二语言习得研究不包括“对比分析”。Lightbown (1985：173)曾经指出：“这个研究领域是一个新领域，如果我们排除50年代和60年代所作的工作，即所谓预防性对比分析，那么，这个领域的历史还不到20年。”我国学者王初明（2000:F14）认为：“对比分析研究语言的外表差异，即外部语言，严格说来，不是当今研究者们所定义的二语习得研究。”我们认为，“对比分析”不属于第二语言习得研究的主要原因在于：第二语言习得研究是关于学习者语言系统的研究。“对比分析”不关心学习者的语言系统。早期SLA研究的范围早期第二语言习得研究主要是关于学习者的语言系统的描写。Ellis（1994：43）认为，早

5、期的第二语言习得研究包括：学习者的偏误研究；学习者语言发展模式研究；学习者的语言变异研究；学习者语言的语用特征研究。对比分析假说 错误分析假说 中介语假说“对比分析”虽然不属于第二语言习得研究的范围，但是对第二语言习得研究具有重要的影响。对这一理论的了解有助于对后期理论的深刻理解。SLA研究现状二语习得研究作为一个独立学科，大概形成于20世纪60年代末、70 年代初，迄今已有40年的历史。与其他社会科学相比，二语习得研究是个新领域，大都借用母语研究、教育学研究或其他相关(xinggun)学科的方法（Larsen-Freeman & Long 1991）。在过去40年中，二语习得研究的方法不断发

6、展变化，对该领域的研究起着重要的推动作用。SLA研究的理论(lln)框架SLA研究的领域和方法SLA研究(ynji)的理论框架二语习得研究涉及三大领域：（1）中介语研究；（2）学习者内部因素研究；（3）学习者外部因素研究。每大类中又包含若干小类的研究对象，除了三个领域内的因素外，各大类之间的关系和各小类之间的关系也是研究的重点。学习者外部因素研究学习结果=中介语研究语言能力 语用能力社会环境 家庭环境 学校环境 课堂环境 教学方法学习者内部因素研究 语能/智力/年龄/性别 普遍语法 母语水平 二语水平动机策略 风格 个性 动机SLA研究的领域和方法中介语研究中介语研究标志着二语习得研究作为独立

7、研究领域的开始，主要涉及两类：（1）语言能力研究，（2）语用能力研究。1.语言能力研究 早期对语言能力的研究，由于受乔姆斯基理论的影响，主要集中在语法规则的习得上，例如Dulay & Burt（1974）的系列词素习得顺序的研究。20 世纪 80 年代末、90 年代初，人们开始重视词汇的习得，成果逐渐增多，例如二语作文中词汇知识的变化、词汇的丰富性的研究（Laufer & Nation 1995），被动词汇和积极词汇之间的关系的研究（Laufer & Paribakht 1998），阅读中词汇知识的广度与深度的关系的研究（Qian 1999）等；20 世纪90 年代后期，学习者语料中单词的使用

8、特点研究（Altenberg & Granger 2001）。以上各类语言能力研究均深受认知心理学的影响，大多数情况下采用量化法。2.语用能力(nngl)研究Kasper & Rose（2002）系统地描述(mio sh)了语用能力研究所用的不同方法。语用能力研究借用了多种人文科学的研究方法，例如，描述语言学、会话分析、互动社会语言学、人种志/微变化分析、发展语用学、认知社会心理学、话语阐释和跨文化交际学。这些方法包容性很强，一方面运用逻辑实证主义倡导的实验法和问卷法了解(lioji)二语学习者语用能力的整体情况（如Rose 2000），另一方面运用构建主义所倡导的个案研究等质化方法来详细描写

9、特定社会文化背景中的语言交际行为（如Bardovi-Harlig & Hartford 1993）。学习者内部因素从研究目的来看，学习者内部因素的研究可分为两大对立的阵营。一个强调研究学习者的共性特征，一个强调研究个体差异。揭示共性特征的研究包括基于普遍语法的研究、母语迁移研究和语内迁移研究。基于普遍语法的研究基本上采用实验法，运用语法正误判断测试来考察被试者的语言能力。母语迁移的主流研究方法也是以量化为主，最常见的是用相关分析来界定母语与目标语的关系（Jarvis 2000）。个体差异研究集中在某一类学习者内部因素上，例如语能、动机、学习策略、学习风格、个性的研究；或某两类因素的关系上，例如

10、研究动机与学习策略的关系、学习风格与学习策略的关系等；也可以集中在某类学习者内部因素对中介语发展的影响，例如普遍语法、母语、已学过的二语知识对二语学习结果的影响。总体上说，上述各类研究中，量化研究占主导地位，如语能研究采用了典型的心理测量方法（Skehan 1998）；动机研究通常采用问卷法（Masgoret & Gardner 2003）；对动机与二语成绩关系的研究采用相关分析（如Dornyei 2003 ）；对学习风格的研究，有的采用心理测试，有的采用问卷法（如Reid 1995）；个性特征（如焦虑感、容忍含混度等）的研究也广泛使用了问卷法与统计分析（如Horwitz, Horwitz &

11、 Cope 1986）。对学习策略的研究，研究方法的使用稍稍复杂。早期策略研究通过访谈、观察了解二语学习成功者的学习行为（如Rubin 1975），但到20 世纪80 年代末、90 年代初，绝大部分策略研究都使用问卷调查学习者采用的策略，再通过相关分析探究学习策略与二语成绩之间的关系（如Hsiao & Oxford 2002），也有少数采用质化研究法，例如有声思维个案研究（如Vann & Abraham 1991）。学习者外部(wib)因素学习者外部因素包括社会环境、家庭环境、学校环境、课堂环境和教学方法。从现有的实证研究来看，单纯的外部因素研究几乎没有。人们对学习者外部因素的兴趣点有两个。一

12、个是发现它们对学习者内部因素的影响，例如社会环境对学习者动机的影响，教师设计的学习任务对学习者策略的影响；另一个兴趣点是探究它们对中介语的影响。有的研究某一类外部因素对中介语的影响；有的分析(fnx)某些外部因素对中介语发展的综合影响；也有的考察交际情景对中介语变异的影响。Norris & Ortega（2000）总结(zngji)了自19801998年以来教学方法对中介语发展的实证研究，发现这类研究采用的几乎全是实验法，即通过实验组和对照组的比较，来判断某种教学方式的有效性。研究交际情景对中介语变异的影响会更多地运用质化分析法，例如Tarone & Liu（1995）对一个中国男孩跟踪研究了

13、26个月，仔细分析了这个男孩与教师、与研究者、与同学这三种不同情境中语言使用的变异情况。SLA研究在中国二语习得概念进入中国 中国二语习得研究的历史分期与特点二语习得概念进入中国桂诗春（1979）把的乔姆斯基的Language Acquisition Device译为“ 语言习得机制” , 并指出“ 研究第二语言的学习已经成为心理语言学的一个重要课题。”许国璋（1981）介绍了美国的第二语言研究近况, 同时, 对作为第二语言的英语和作为外国语的英语进行(jnxng)了区分。他认为“ 凡是在英语为主流语言(yyn)的环境进行的他语人英语教育, 即是作为第二语言的英语教育；凡是在非英语环境中的他语

14、人英语教育, 即是作为外国语的英语教育。” 1983年国外外语教学第3期登载了一则(y z)简讯, 向国内通报了Krashen的著作第二语言习得和第二语言学习。这标志着“ 第二语言习得”首次完整地出现在国内的学术期刊上。此后,胡文仲在外国语1984 年第1 期发表的“语言习得与外语教学评价Stephen D.Krashen 关于外语教学的原则和设想”一文，是国内学者发表的介绍二语习得理论的第一篇文章，标志着二语习得研究在我国的正式起步。他指出“ 成年人发展外语能力依靠两个途径, 一是下意识地自然吸收, 类似幼儿学母语,不知不觉地就学会了语言。学会语言规则也同样是不知不觉的, 但只是获得某种语感

15、而已。这个过程称为语言习得。第二个途径是有意识地学习语言规则的过程,这称之为语言学习。只有语言习得能够使人们获得口语能力,获得流利程度,而语言学习只能起到运用规则进行监察的作用。习得比学习更重要。” 至此,“第二语言习得”概念的意义被国内完全接受。中国SLA研究的历史分期和特点萌芽期（19831989）引进为主, 评介二语习得的基本理论。引进和评介集中在70年代及80年代初英美名家的力作。如Krashen的习得理论、Corder的错误分析理论、Selinker的中介语理论等。这一时期共发表论文52篇见表, 其中“译、编译、摘译、译介”的文章27篇。评介类文章24篇, 该类文章多采用首先介绍国外

16、经典理论,然后引出对外语教学的启发为写作模式。研究方法以思辩性为主（只有1篇量化文章）。其中国外外语教学占30篇, 是全部文章的60%, 该刊是名副其实的引进先锋。桂诗春（1986）率先应用量化手段, 对“我国英语专业学生社会心理分析” 的研究, 结合二语理论对英语专业学生的学习动机进行了问卷调查。孙骊（1989，1999）在“从研究如何教到研究如何学”系列文章中, 呼吁教学研究者改变研究方法和研究角度。另外, 李瑞华（1989）的“ 听能训练在第二语言习得中的重要性”一文, 是二语理论与具体语言技能相结合的先例。成长期（19901999）这一时期值得注意的三件大事(dsh)是：第一，九十年代

17、初期(chq),湖南教育出版社的“语言学系列(xli)教材”第一辑、第二辑先后问世,历时三载, 此后六次重印, 印数达21000册,为普及语言学与应用语言学知识,促进语言学习与研究做出了贡献。其中, 桂诗春与王初明等人是系统引进二语理论、探索中国学习者学习规律的先行者。第二,1993年是二语理论的“量化研究年” 。北有刘润清、吴一安、蒋祖康等运用量化研究方法在外语教学与研究上发表了“中国英语本科学生素质调查报告” 系列文章。南有徐盛恒、孟悦、桂诗春等在现代外语上竭力推广研究方法的文章, 形成南北呼应之势。此后，桂诗春等（1997）、刘润清（1999）、高一虹（1999）等不断地推广研究方法,

18、促进了二语研究的科学化。第三, 从1999年起, 上海外语教育出版社和外语教学与研究出版社陆续推出牛津应用语言学丛书和当代国外语言学与应用语言学文库。它们反映了20世纪西方语言学及应用语言学研究的最高成就。其中关于二语理论研究的著作, 对我们了解和把握这一领域的动态和发展趋势给予了巨大的帮助。这段时期(shq)与八十年代相比, 更广泛(gungfn)地引进二语理论, 结合部分(b fen)实证。共发表文章192篇。对西方理论的纯粹引进明显下降, 其中译介22篇, 仅占全部文章的11.5%。1994年国外外语教学第1期开辟了“ 二语习得研究”专栏, 系统介绍Ellis、Windowson等人的研

19、究。评介类127篇, 占全部文章的66.7%, 这说明当时的研究以思辩性研究为主，研究的范围在不断地扩展, 学习者的共同因素119篇,个体因素共58篇, 并逐渐形成一些研究焦点, 如学习策略研究（吴增生1994，文秋芳1995,秦晓晴1996, 文秋芳1996a, 文秋芳1996b,文秋芳1996c, 章兼中1996, 王立非1998, 王文宇1998, 吴霞等1998）,和学习动机研究（文秋芳等1996, 张文鹏1998,华惠芳1998）。与具体语言技能相结合的文章13篇, 与其他学科结合进行研究的文章2篇，采用量化方法进行实证研究的文章共43篇, 占全部文章的22.9%, 说明量化研究手段

20、已被越来越多的研究者重视；提出了较为深入的批评与反思。荆增林（1991a.1991b）是国内第一位对国外二语理论提出质疑的人。崔义平（1996）和王美媚（1996）的文章开创了把二语习得理论与语用学和文学相结合的先例。繁荣期（2000年以来）外语教学与研究从2000年第2期开始, 不定期开辟了“第二语言习得”或“ 第二语言习得研究” 专栏,外语学刊在2002年第2期开辟“第二语言习得” 专栏,现代外语从2003年第2期也开辟了“二语习得与外语教学” 专栏,这些刊物纷纷开设“ 第二语言习得”专栏,说明它作为独立的学科已被国内认可。这一时期特点为点与面相结合, 研究的范围越来越广。研究文章几乎覆盖

21、 了当前国外二语习得研究的所有热点。对二语习得研究进行综述性研究的文章越来越多。与多学科相结合。定量研究不断攀升, 研究的手段越来越多样化。与中国实际相结合。更重要的表现是中国学者(xuzh)的研究已不 再完全借用国外的量表, 而是与中国学生(xu sheng)的实际相结合。 如果(rgu)把现在的研究与年代的同类研究比较, 那时主要借用 国外的原始问卷, 而现在的研究者几乎都考虑了中国学生 的实际情况。与国际接轨。Chapter Two The Role of the First LanguageAccording to Rod Ellis (1985:5), the study of la

22、nguage-learner language began with the study of first language. SLA research has tended to follow in the footsteps of L1 acquisition research, both in its methodology and in many of the issues that it has treated. It is not surprising that a key issue has been the extent to which SLA and L1 acquisit

23、ion are similar or different processes.It has been mysterious and amazing since ancient times how a child learns his native language. It is well known that a small childs mental abilities are rather limited in every way, and language contains extremely complicated structures and difficult rules of g

24、rammar and rules for communicative use. But there is no doubt that every normal child is able to master his mother tongue within three or fours years without professional teachers and specially designed textbooksWhat is equally amazing is the fact that although children are exposed to different lang

25、uage input and brought up in different environments, each of them acquires almost the same grammar and rules of language in a very short time. Key Issues in L1What is acquired in L1 acquisition, competence or performance? Is comprehension equal to competence and production to performance? Is L1 comp

26、etence acquired through nature or nurture? Is L1 acquired through imitation/practice or hypothesis testing? Is language biologically based?Brief History of Modern L1 acquisition ResearchModern research on child language acquisition dates back to the late 18th century when the German philosopher Diet

27、rich Tiedemann recorded his observation of the psychological and linguistic development of his son. A century and a half, significant advances were made in the study of child language. Most of the studies carried out between the 1920s and 1950s were limited to diary like recordings of observed speec

28、h with some attempts to classify word types, and simply accounts of changes from babbling to the first word and descriptions of the growing vocabulary and sentence length. Most observers regarded language development as a matter of imitation, practice, and habituation. It was not until the 1960s tha

29、t the study of first language acquisition received a new major impetus largely because of the Chomskys revolution and the creation of the generative grammar. Researchers began to analyze child language systematically and tried to discover the nature of the psycholinguistic process that enables every

30、 human being to gain a fluent control of the complex system of communication. In a matter of a few decades some giant strides were taken, especially in the generative and cognitive models of language, in describing the nature of child language acquisition and the acquisition of particular languages,

31、 and in probing universal aspects of acquisition. Today hundreds of linguists and psychologists are studying linguistic, psychological, sociological and physiological aspects of first language acquisition. II. L1 Acquisition Theories: A Behaviorist PerspectiveL1 language acquisition theories can be

32、roughly divided into two major groups: behavioristic and cognitive. The basic tenet of behaviorism is that human beings cannot know anything they have not experienced and children and adults learn language through a chain of stimulus-response reinforcement. Since one cannot look inside a living orga

33、nism, one cannot observe its internal states. Hence one cannot know anything about them. Any statements one makes about internal states or processes are meaningless. The meaningful statements one can make about the organism concern what goes in (stimulus) and what goes out of it (response). The goal

34、 of behaviorists is to discover and create predictable relationships between stimulus and response. Since they regard language as a basic part of total human behavior, they try to explain L1 acquisition process in accordance with their basic tenet, focusing on the observable aspects of language beha

35、vior and their relationships or associations with the objects, events or states of affairs in the world.Imitation-reinforcement Theory (模仿(mfng)-强化论)A behaviorist might consider effective language behavior to be the production of correct responses to stimuli. If a particular response is reinforced,

36、it then becomes habitual, or conditioned. Children only produce linguistic responses that are reinforced.模仿(mfng)强化理论的主要代表人物(rnw)有美国结构主义语言学家布龙菲尔德、美国行为主义心理学家斯金纳等人。布龙菲尔德（1933-1935年间 ),在语言论一书中说明了一个简单然而可能是典型的使用语言的情景:“杰克和吉尔正沿着小路走,吉尔看见树上有一个苹果,因为感到饿了,就请杰克给她摘苹果；杰克爬上树,把苹果摘下交给她,接着她就把苹果吃了。”布氏认为, 这一行为过程是按照“剌激一反

37、应”的公式进行的。可以用公式S-R表示, S是刺激，R是受刺激所产生的外显行为。 Skinner attempts to analyze language behavior by tracing the factors influencing this behavior. The factors are described in terms of stimulus and response. Language behavior can only be studied through observation of external factors. According to Skinner, v

38、erbal behavior is controlled by its consequences. When consequences (stimuli) are rewarding, behavior is maintained and is increased in strength and frequency. If consequences are punishing, or there is a lack of reinforcement, the behavior is weakened and eventually extinguished.In Skinners view, o

39、ne important external factor in the language learning process is the frequency with which a certain utterance is used in the childs environment. When a child makes a certain sound by accident, which is similar to the speech sound in the childs native tongue, the parents or the people around the chil

40、d reinforce it and thus the child language development begins. Children imitate the language of their environment to a considerable degree, and imitation is a strong contributing factor in the language learning process. The consequence of imitation will influence the language development of the chil

41、dren. In order to arrive at a higher level of language proficiency, reinforcement is needed. It is through this process of repeated reinforcement and expansion that the child acquires his native language. 美国(mi u)心理学家阿尔波特在1904年提出了语言(yyn)从模仿得来的观点。美国心理学家班图拉用社会学习理论(lln)即模型模仿论解释儿童的语言学习,强调语言模式和模仿的作用。他认为,

42、儿童获得语言大部分是在没有强化条件下进行的观察和模仿。怀特赫斯特和互斯托在1975年提出了“互相性模仿”的概念，认为儿童可以通过模仿获得语法框架,如男孩的鞋、男孩的狗、男孩的自行车,最后变成了语法性的框架“男孩的x”,可以填写适合新语境的新词,或把模仿到的结构重新组合,产生新的结构。模仿强化理论强化后天学习的重要性，正确地反映了事物发展的一个侧面，为语言教育可以促进语言发展提供了理论依据。The main problems with behaviorist theoryIt failed to account for the abstract nature of language as a s

43、ystem and reduced language learning only to acquiring concrete performance and linguistic forms and structures. It overemphasized the importance of performance and totally ignored the acquisition of competence as the key to successful L1 acquisition.It did not explain the childs ability to acquire l

44、anguage and creative use of language.It failed to account for the childs acquisition of complexity of meaning and above all, the child language development itself.无法解释剌激与反应(fnyng)之间的间接性和多样性 。Criticisms of Behaviorist Theory of Language AcquisitionBehaviorist theory emphasized the important and neces

45、sary roles of imitation, reinforcement, repetition and practice in the process of language acquisition. But the abstract nature of language shows that it not only contains verbal behaviors but an underlying and rule-governed system. First, in language acquisition, child often creates his own linguis

46、tic rules. The best example is that child overgeneralizes the grammatical rule of forming past regular verbs with “ed” and extends it to all irregular verbs and creates verbs like “goed, comed”, which are not the result of imitation of the adults language. Childs generalization of rules indicates th

47、at he creates his own rules and has his hypotheses tested in his LAD.Secondly, what child acquires is abstract language system, i.e. competence rather than concrete performance to which he is exposed. There is no doubt that any sentence contains both a surface and a deep structure. Although sometime

48、s, surface structures of the two sentences are the same, the meaning of the deep structures are completely different. For instance, John is easy to please. John is eager to please.The same surface structures and different meanings prove that a child can never understand the difference in meaning by

49、imitating the two surface structures unless he goes deep into the underlying structures. Thirdly, since language is difficult and complicated, a child has to learn its structures and build his communicative competence. Adults can never teach the communicative functions of the language to the child.

50、Innateness Theory (先天(xintin)论)This theory, also known as the nativist approach, is represented by Chomsky, McNeil and Lenneberg. Chomsky attacked behaviorist theory of language learning and reasserted the mentalist view of first language acquisition. Chomsky stressed the active contribution of the

51、child andminimized the importance of imitation and reinforcement. Nativists strongly held the fundamental assertion that language acquisition is innately determined, that human beings are born with a build-in device of some kind that predisposes us to language acquisition. The child is born with the

52、 innate knowledge of language. This innate knowledge, according to Chomsky, is embodied in a “little black box” which Chomsky called language acquisition device or LAD.Chomsky assumes that the LAD probably consists of three elements linguistic universal, a hypothesis making device, and an evaluation

53、 procedure. The LAD has a number of linguistic universals, or universal grammar in store. It also has a hypothesis-making device, which is an unconscious process and enables the child to make hypotheses about the structure of language in general, and about the structure of language learning in parti

54、cular.The hypotheses that the child subconsciously sets up are tested in its use of language, and continuously matched with the new linguistic input that the child obtains by listening to what is said in his immediate environment. This causes the childs hypotheses about the structure of language to

55、be changed and adapted regularly, through the evaluation procedure, and through a process of systematic changes towards the adult rule system.乔姆斯基也承认外部环境对语言发展的作用；认为环境可以产生激发效应和塑造效应。前者是指 LAD的潜能必须在环境的作用下得到展开和显示,后者是指引导儿童以何种语言作为母语。乔姆斯基强调指出,虽然环境有两种效应, 但它们只是促使先天语音系统的成熟,不是本质的和决定性的,没有(mi yu)任何理由认为,人的语言是后天获得的

56、。This view of the language learning process stresses the mental activities of the language learner himself and strongly questions the relevance of such external factors as imitation, frequency of stimulus and reinforcement. A child learns not through imitation, but by creative hypothesis testing.McN

57、eill follows and supports Chomsky in an attempt to give adequate description of ALD by providing four substantial innate linguistic properties of language acquisition device: 1) the ability to distinguish speech sounds from other non-speech sounds in the environment; 2) the ability to organize lingu

58、istic events into various classes of grammar which can later be refined; 3) the knowledge that only a certain kind of linguistic system is possible and other kinds are not; 4) the ability to engage in constant evaluation of the developing linguistic system so as to construct the most simple possible

59、 system out of the linguistic data encountered.Lenneberg is another well-known nativist. He emphasized the biological prerequisites of language and tried to find biological foundations for Chomskys innateness hypothesis. He proposed that language is a species specific behavior and that certain modes

60、 of perception, categorizing abilities and other language-related mechanisms are biologically determined. He named the early grammars of child language as pivot grammars（轴心(zhu xn)语法）, which are largely the representations of the deep structures. Contributions of Innateness TheoryNativistic theories