Pienemann 2015
Pienemann 2015
Pienemann 2015
In this article I make the point that there has been a continuous focus on second language
development in second language acquisition research for over 40 years and that there is
clear empirical evidence for generalizable developmental patterns. I will both summarize
some of the core assumptions of Processability Theory (PT) as an approach to explaining
developmental patterns and learner variation and compare the position assumed by PT
with the Dynamic Systems Theory approach proposed by de Bot, Lowie, and Verspoor
and with O’Grady’s processing-based approach to Emergentism. In addition, I will
summarize the Teachability Hypothesis and describe its limited relationship to PT in
order to respond briefly to the article on the same issue by Zhang and Lantolf in this
Special Issue.
Introduction
In this article I am concerned both with the idea of the existence of developmen-
tal sequences in second language (L2) development, the topic of the present
Special Issue, and with elucidating similar technical terms and concepts that
are being used differently in different approaches to second language acquisi-
tion (SLA) research. My goal is to clarify the historical and present context of
Processability Theory (PT; e.g., Pienemann, 1998a, 1998b, 1998c) as well as
to bridge some of the terminological gaps and conceptual differences that in
my opinion are at play in the Special Issue.
I would like to thank the following people for their invaluable support in writing this article: Anke
Lenzing, Michael H. Long, Jürgen M. Meisel, and Howard Nicholas.
Correspondence concerning this article should be addressed to: Manfred Pienemann,
Paderborn University, Department of English, Warburgerst. 100, Paderborn, Germany, 33098.
E-mail: [email protected]
DOI: 10.1111/lang.12095
Pienemann An Outline of Processability Theory
In terms of PT, I will outline some of the key conceptual developments that
have taken place in SLA and in PT since the 1990s, taking care to be explicit
about the approach to the description of developing systems of morphosyntax
that is inherent in PT. In its contemporary formulation, PT is based on the inter-
play between a processing theory and a theory of linguistic knowledge, is fully
explicit, and applies to the full range of phenomena captured by the interacting
theories of language processing and linguistic knowledge. Furthermore, PT can
account for entire systems of morphosyntax rather than isolated morphosyn-
tactic aspects. With regard to terminological gaps and conceptual differences,
I will identify and critically analyze overlaps and distinctions between PT and
other key theoretical positions represented in the Special Issue.
researchers and textbook writers are not reading or respecting the same
literature. (p. 650)
Generalizations are only possible when empirical observations are
repeatedly supported. Generalizations are crucial to, and must be
accounted for by, credible theories. It is not just the existence of
consensus that makes generalizations important for theory construction,
but the rationality of the scientific process that underlies them [. . .] the
following are a few examples (by no means intended as a comprehensive
list) of what I would claim are well-established findings about learners,
environments, and interlanguages, along with some of the challenges they
pose to current SLA theories [. . .] For each generalization, references are
provided to recent reviews and/or to key studies of the phenomenon
concerned. (pp. 656–657)
In other words, the object of our discussion here are “well-established find-
ings in SLA,” generalizations, not a law. Theoretically explicit and empirically
based debate is an ongoing requirement.
Information Exchange
NPsubj VP
Pro V
[3rd pers sg] [pres, cont, 3rd pers sg]
Det N
[pl] [pl]
V
Category No exchange talk-ed [past]
this information does not need to be exchanged with any other constituent in
the sentence. In this article, I will not elaborate the specific features of the
developmental stages further because they are not central to my argument here.
However, details of the morphological, syntactic, and functional aspects of L2
development are available in multiple texts (e.g., Pienemann, 2007; Pienemann
& Keßler, 2011, 2012). It is crucial to bear in mind that, as an approach to
SLA, PT can account for entire systems of morphosyntax rather than isolated
morphosyntactic aspects.
Currently, all applications of the universal PT processing hierarchy are
based on six overall levels that can be operationalized for a large number of
morphological and syntactic structures for any language. There is no standard
time a learner requires to traverse these levels. Primary school students have
been demonstrated to reach level 2/3 of this framework (on average) by the
end of 2 years of English L2 teaching (Lenzing, 2015). University students (of
German) typically reach level 4/5 in their spontaneous language production
after 1 year of study (see Pienemann, 1998a).
Applying the PT hierarchy to a specific TL will not result in all grammatical
features of the TL being lined up in a tight sequence like pearls on a string—
reflecting a hierarchical step from one feature to the next. Arrangements other
than a tight linear sequence are reflected in multiple aspects of the model. One
aspect that challenges the notion of a single linear sequence is that several
features may be placed at the same level of the hierarchy. Another aspect is that
learners may develop their own interlanguage versions of the TL—introducing
features that are neither part of the L1 nor of the L2, but these features may
be found to operate at the same level of processing as other features. As a
result, learners may progress through universal levels of acquisition (in terms
of processing), yet the shape of their interlanguages at any one stage may vary.
In other words, the presence of different linguistic features at any one level
of the PT hierarchy gives rise to interlanguage variability as defined in this
approach. On the one hand the PT hierarchy constrains learners’ grammars
according to the stage of their processing capacity. On the other hand the
nature of the formalization of the processing capacity allows for sufficient
structural leeway for L2 learners to opt for different solutions of language
learning problems. For instance, before learners are able to place “do” in
second position (a level 5 operation) they may produce Wh-questions either
by relying on canonical word order (e.g., *Why he go home?) or by deleting
the subject pronoun (e.g., *Why go home?). In both cases the learner opts
for a solution that avoids the processing of “do” in a position preceding the
grammatical subject.
D
E T1 T2
V
E
L
O
P
M
E
N
VARIATION
T
c a b
100%
50% c b a
0%
a b c time
Plural context 40 50 10
Singular context 10 80 10
egg take on more and more specialized structures (e.g., Coen & Carpenter,
1993; Wolpert, 1992). When things go wrong in embryonic development, early
problems have a more widespread effect than later problems. This implies that
earlier structural decisions are carried forward in the developmental process.
In other words, structures that have been developed earlier do not need to be
developed again when the structure of the system is further refined. This conser-
vative behavior of dynamic systems amounts to a computational saving when
compared with a system in which all structural features have to be developed
anew for every structural change. Wimsatt (1986, 1999) demonstrated that the
computational advantage of generative entrenchment is considerable and thus
limits the amount of information that needs to be given in the initial state. He
further demonstrated that generative entrenchment is active in a wide range of
dynamic processes, from population development to genetic processes.
In Pienemann (1998a, 1998b), I have applied this framework to L1 and
L2 development, and I have demonstrated that the differential developmental
trajectories found in the acquisition of German as an L1 and as an L2 can be
explained on the basis of the different initial hypotheses that learners make in
the two types of acquisition processes (SOV for German as L1 and SVO for
German as L2). I have further demonstrated that all structural features found
at every level of L1 and L2 development follow from the initial structural
hypothesis and that at all stages of development the interlanguage systems
are in line with the constraints imposed on the system by the processability
hierarchy.
It should be clear from this brief summary that PT implies a very limited
position on innateness, relying on a minimum of innate linguistic knowledge—
namely the notion of constituency and the one-to-one mapping of semantic
roles onto the corresponding constituents. All other formal aspects of language
are assumed to develop out of the engagement with the language environment
that is shaped by the initial hypotheses and within the narrow space remaining
through constraints modeled by PT and generative entrenchment. This stance on
innateness differs substantially from the assumptions of nativist SLA theorists,
who assume a highly explicit initial state specified by universal grammar (see
White, 2003).
was not published because I soon realized that it had severe limitations, as it
was based on transformational assumptions, had no typological or psychologi-
cal plausibility, and was limited to a very narrow linguistic domain.
To overcome these limitations, I developed PT, which is based on an ex-
plicit psycholinguistic account of language processing and an explicit and
typologically plausible linguistic theory (i.e., LFG). In this way, typological
and psychological plausibility can be achieved, and the linguistic domain can
be extended to any phenomenon that can be captured by LFG. At the same
time, all predictions can be fully operationalized.
In other words, the creation of PT marks a complete turnaround in the
conceptualization of the explanatory framework. PT has no transformational
connection; it is not a limited explanatory fragment. Instead, it is based on the
interplay between a processing theory and a theory of linguistic knowledge, is
fully explicit, and applies to the full range of phenomena captured by the inter-
acting theories of language processing and linguistic knowledge. As mentioned
above, PT can account for entire systems of morphosyntax rather than isolated
morphosyntactic aspects.
Teachability
The Teachability Hypothesis (Pienemann, 1984) was put forward long before
PT was conceptualized. Basically, it assumes that the effect of teaching inter-
vention is constrained by the learner’s current state of development. When the
Teachability Hypothesis was put forward in the 1980s, it was based on two basic
premises: (1) natural SLA and formal SLA are not fundamentally different and
(2) processing strategies (as assumed at the time and therefore before PT was
formalized) are implicationally ordered. The logical conclusions were: (1) that
learners cannot circumnavigate the next developmental state (through formal
instruction) and (2) that formal instruction may be beneficial if timed correctly
in developmental terms—assuming a weak interface between procedural and
declarative knowledge. It goes without saying that all of this applies to sponta-
neous spoken language under normal time constraints. The latter concept was a
key point of the strategies approach (Clahsen, 1984) on which the Teachability
Hypothesis was based.
The Teachability Hypothesis has been supported by a range of empir-
ical studies which demonstrate that formal L2 learners follow the same
developmental trajectories as natural learners even if the focus of formal
teaching is on entirely different aspects of the language (e.g., Pienemann,
1984, 1989).
The second point concerns Zhang and Lantolf ’s (2015) data elicitation, data
analysis, and the conclusions drawn from them. They claim that they “used the
same spontaneous elicitation procedures and emergence criteria utilized by
Pienemann and his colleagues in their research on PT and TH” (p. 174). How-
ever, they use data from elicited imitation and spontaneous speech production
and amalgamate these data for the purpose of their study. This means that they
are not comparing like with like. Pienemann, Keßler, and Lenzing (2013) have
demonstrated experimentally that L2 learners perform at a significantly higher
level in elicited imitation than in spontaneous speech production. Therefore,
data obtained through elicited imitation cannot be compared one to one with
spontaneous speech production data. In terms of language processing, the two
types of data tap into different psycholinguistic mechanisms.
The third point concerns the nature of the features investigated. As Zhang
and Lantolf (2015) note, the topicalization of adjuncts or objects is not oblig-
atory in Chinese. In other words, it does not follow constituent structure con-
straints (like do-insertion in English) but discourse-pragmatic constraints. One
may be inclined to assume that the presence of topicalized constituents indi-
cates the acquisition of “topicalization.” The problem is that, in interpreting
their data, Zhang and Lantolf apply the reverse logic, that is, if learners do
not topicalize, they interpret this as evidence that they are unable to do it.
In Pienemann (1998a, pp. 145 and following), I demonstrated that there is a
difference between: (1) no evidence, (2) insufficient evidence, (3) evidence
for the nonapplication of a rule, and (4) evidence for rule application. The
case of nonapplication of adjunct topicalization that is presented by Zhang and
Lantolf falls into the category of no evidence. This means we cannot draw
any conclusions from this observation about the learners’ ability to topicalize
adjuncts. And this is the core of the empirical evidence against the Teachability
Hypothesis presented by Zhang and Lantolf.
As Anke Lenzing pointed out to Zhang and Lantolf (personal communica-
tion, March 24, 2014), the problem of the lack of evidence could be overcome
by including other Chinese structures from level 3 of the PT hierarchy. How-
ever, the authors dismiss this option because they claim that Pienemann, M.,
Di Biase, B., & Kawaguchi, S. (2005) assume that “for any given stage mor-
phology is likely to emerge before syntax and it may bootstrap syntax” (Zhang
& Lantolf, 2015, p. 173) and that this assumption had been called into ques-
tion. I need to state here that Pienemann et al. (2005) do not make such an
assumption and that, within PT, there is a theoretically justified link between
syntax and morphology for levels 1–3 of the hierarchy that could be explored
in order to resolve this issue.
(p. 16). In other words, they equate changes in frequency with development,
which means that any change can be referred to as development, in their
overly general sense. This contrasts with the PT perspective. As I showed
above, frequency and accuracy rates are invalid measures of development when
development is understood as increased complexity of the overall system (for
further detail, see Pienemann, 1998a).
In their 2007 article and in other publications (including Lowie & Verspoor,
2015), de Bot and colleagues make the point that group mean scores—as used
in morpheme order studies (they quote Krashen, 1977)—obscure the detail of
individual language use. It needs to be noted here that this observation was made
repeatedly several decades ago (e.g., Andersen, 1977; Meisel et al., 1981) by
contemporaries of the morpheme order researchers. And it was for this reason
that more suitable research designs were developed over the years. Nevertheless,
de Bot and colleagues have amassed large amounts of data which they and
others (e.g., Murakami, 2013) analyze using the morpheme order approach
with the intention of demonstrating that the linear order that was claimed to
follow from a morpheme order analysis is not substantiated at the level of the
individual learner. The keen observer of SLA studies is not surprised. Despite
their groundbreaking place in the history of SLA, morpheme order studies do
not stand up to the requirements of current research.
Nevertheless, de Bot and colleagues (2007) go on to conclude from the
observed concealment of individual accuracy differences by group mean scores
in morpheme order studies (Murakami, 2013) that “languages do not develop
according to a predetermined sequence” (Lowie, 2013, p. 1809), and Lowie and
Verspoor (2015) claim that “predetermined stages in language development are
an artifact of the method of investigation” (p. 79).
However, this bold conclusion about the total absence of developmental
regularities in SLA does not follow logically from the observed individual
differences in accuracy. In their framing of the issue, de Bot and colleagues
(2007) equate the level of accuracy in learner samples with the learners’ level
of acquisition. I have shown above that this is not warranted. Instead, the
notions of acquisition, variation, and development all need to be carefully op-
erationalized before empirical data can be used to test hypotheses, such as their
no-developmental regularities hypothesis. De Bot and colleagues offer a defini-
tion of acquisition (increasing or ultimate mastery), but a view of development
(change) that does not permit shared developmental features to be distinguished
from variation. PT contains an alternative operationalized descriptive frame-
work, as outlined above (acquisition = emergence; development = predictable
increases in complexity of processing prerequisites; variation = alternative
[u]nder such circumstances, the learner should be able to map the input
onto meaning by proceeding one word at a time in the following manner.
[...]
The basic principle behind this is similar to that implied in O’Grady’s (2012)
example, except that the processes involved are more formalized in LFG, and
they affect more than the lexicon and semantic roles. PT and O’Grady’s (2012)
approach are fundamentally different with respect to the following points:
1. The innate basis: PT assumes basic notions of constituency and the one-to-
one mapping of semantic roles to be present in the initial state. All other
formal aspects of language develop from this. Also, the basic notion of
predicate-argument structure is assumed to be part of the initial state.
2. PT contains a hierarchy of mapping processes. This hierarchy predicts ex-
plicitly the sequence in which mapping processes and the required grammar
develop in the learner.
Conclusion
In this article I have tried to show that similar technical terms are being used
differently in different approaches to SLA research and that these terms differ in
the degree to which they are operationalized. This makes it difficult to compare
global statements about such fundamental issues as whatever each researcher
and approach might understand as universal regularities in L2 development.
The focus of PT-based research and many other approaches to SLA devel-
opment is not on factors external to SLA but on the inner mental processes
that drive key aspects of the dynamics of SLA. As an approach to SLA, PT can
account for entire systems of morphosyntax rather than isolated morphosyntac-
tic aspects, and it contains clear and operationalized criteria for developmental
and variational aspects of these L2 systems.
In the rich literature available on PT-based SLA research, there is over-
whelming empirical evidence supporting universal regularities of L2 develop-
ment based on hundreds of informants and thousands of hours of recorded
speech. Any test of theoretical predictions derived from PT needs to be carried
out with explicit acknowledgement of its descriptive and explanatory frame-
work and the associated acquisition criterion. If that is done, there is scope for
productive exchange between tight and focused perspectives such as PT and
perspectives that seek to build connections across multiple linguistic systems.
Final revised version accepted 30 October 2014
Notes
1 The logical problem concerns the issue of where grammatical knowledge originates,
and the developmental problem addresses the question of why there are universal
trajectories of development.
2 The “predictive framework” was summarized briefly in Pienemann and Johnston
(1987b). However, the paper on the predictive framework itself was never published.
3 Apart from everything else, Piaget’s theory had not been applied to language in the
first place.
4 At the same time, de Bot et al. (2007) assume that “Every cognitive system is
constrained by limited resources” (p. 14). However, they do not operationalize this
claim. So it cannot be tested empirically.
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