Chapter#6

The role of the first language

# Introduction

The influence of a learner's first language (L1) on learning a second language (L2) is a key topic
in second language acquisition (SLA). Many books have been written about it, showing its
importance and complexity. Initially, behaviorist theories dominated, suggesting that language
learning was based on habits formed through imitation and reinforcement. This led to the
Contrastive Analysis Hypothesis, which claimed that L1 habits could predict L2 errors. However,
studies showed that many errors could not be explained by L1 interference alone.

Research by Dulay and Burt found that most errors were developmental, not interference errors,
indicating that L1 influence was minor. This led to a shift in understanding, recognizing that
learners actively construct their L2 knowledge rather than just imitating. Later studies revealed
that L1 interference could be significant, prompting a reevaluation of its role. Current theories
acknowledge the importance of L1 but reject extreme views on its interference. They consider L1
as one of many factors affecting L2 learning and focus on how it interacts with other influences.
The concept of "interference" has evolved into "transfer," leading to a deeper understanding of
language learning processes.

# Defining ‘language transfer’

Language transfer happens when features from one language affect another language. This
definition needs more explanation.
### What is ‘evidence’ of language transfer?
The most clear evidence is errors that come from another language. For example, if a Spanish
speaker makes mistakes in English because of Spanish rules. However, there are other signs too.
Knowing one language can help learn another, like how "cosmopolitan" in English is
"cosmopolita" in Spanish. Sometimes, learners might avoid certain language features, like
Japanese and Korean learners of English avoiding relative clauses because their languages are
different from English. Also, language transfer can help or hinder understanding spoken or written
language. For instance, Japanese learners of Chinese have an easier time reading because both
languages use similar symbols.
### What linguistic features are subject to transfer?
Transfer is most noticeable in pronunciation. For example, French speakers often sound French
when they speak English. However, transfer can happen in all parts of language: pronunciation,
spelling, vocabulary, grammar, meaning, and conversation.
### How can one language influence another?
The first language (L1) can affect how someone learns a second language (L2). If someone knows
a third language (L3), it can also influence their L2. For example, a Moroccan learner might know
Arabic as their L1 and French as an L2, which can both affect their English learning. Learning a
second language can even change the first language, sometimes leading to loss of L1 skills.
Overall, language transfer is complex and involves more than just mistakes. Some experts suggest
using the term "crosslinguistic influence" to describe how languages interact. However, this
chapter will focus on how the first language affects second language learning, so "transfer" will
be used.

# Investigating Language Transfer

Some researchers have looked into how well someone knows their first language (L1) and second
language (L2). For example, Bylund, Abrahamsson, and Hyltenstam (2012) studied Swedish-
Spanish bilinguals who learned Swedish as children and lived in Sweden for about 24 years. They
suggested three possibilities for the relationship between L1 and L2: (1) no relationship, (2) a
negative relationship, or (3) a positive relationship. They found a positive relationship, meaning
that knowing their first language helped these learners acquire their second language well.

Most studies on language transfer focus on specific language features. Ellis (2008) identified five
ways to study this, but two are most common:

1. Researchers find errors in L2 and check if they match features from the learner's L1.
2. Researchers compare L2 learners from different L1 backgrounds (like Japanese and Arabic
learners of English) to see if differences in their L2 relate to their L1.

The second method is better. For example, Spanish learners of English often use "no" + verb,
similar to Spanish negation. A study comparing Spanish and German learners showed that both
groups went through this stage, suggesting it’s a normal part of learning rather than just a transfer
from Spanish.

Eckman and Iverson (2013) used the second method to compare Japanese and Korean learners of
English. They found that Japanese learners can distinguish the sounds /s/ and /ʃ/ (as in "sip" and
"ship"), while for Korean learners, these sounds don’t change word meanings. This difference in
their native languages affected how they learned English. Another issue is the difference between
implicit (unconscious) and explicit (conscious) knowledge of L2. Bylund, Abrahamsson, and
Hyltenstam’s study mostly looked at explicit knowledge, so it’s unclear if transfer effects were
present in implicit knowledge.
Factors that influence language transfer can be grouped into five categories:

1. **Linguistic** - Related to the languages' properties.

2. **Psycholinguistic** - Related to learners' beliefs about transferring L1 features.
3. **Contextual** - Related to how learners are exposed to the target language.
4. **Developmental** - How general trends in L2 learning interact with L1 transfer.
5. **Individual** - How personal differences in learners affect transfer likelihood.

This section looks at how differences between a person's first language (L1) and a new language
(L2) can affect learning.

# Linguistic Factors
## Linguistic Difference and Learning Difficulty
The main idea is that differences between L1 and L2 can cause learning problems and mistakes.
Some differences are harder to deal with than others. For example, Stockwell, Bowen, and Martin
(1965) created a list showing different types of difficulties when English speakers learn Spanish:

1. **Split**: English has "for" as either "por" or "para."

2. **New**: Spanish has grammatical gender, which English does not.
3. **Absent**: English uses "do" as a tense helper, but Spanish does not.
4. **Coalesced**: "His/her" in Spanish is one word "su."
5. **Correspondence**: In both languages, verbs of perception can use different forms.

The table shows that the more different the languages are, the more likely learners will struggle.
However, sometimes similar sounds can be harder to learn than different ones. Major and Kim
(1996) found that learners might struggle with sounds that are close to their L1 but improve faster
with sounds that are very different.

For grammar, the Morphological Congruency Hypothesis (Jiang et al. 2011) suggests that if a
grammatical feature exists in both languages, learning is easier. For instance, Russian learners of
English were better at noticing plural errors than Japanese learners, who typically do not mark
nouns for plurality.

However, not all differences lead to learning problems. For example, Japanese learners usually
do not struggle with English word order, even though it is different. This is likely because word
order is very noticeable in English, unlike some grammatical features.
# Language Distance
Language distance affects how people learn new languages in more complicated ways than
expected. It's often thought that if two languages are similar (like Dutch and English), learning
will be easier. But, similarity can lead to both good and bad outcomes.

For example, Sjöholm (1976) studied how Swedish-speaking and Finnish-speaking Finns learned
English. Most Finns speak Finnish, which is quite different from English, while a smaller group
speaks Swedish, which is closer to English. The Swedish speakers learned English better (positive
transfer) but also made more mistakes (negative transfer).

Ringbom (1978) found that both groups were more likely to mix up Swedish words when
speaking English than Finnish words. Finnish speakers avoided using their first language
(Finnish) and relied more on Swedish, while Swedish speakers used their first language (Swedish)
but avoided Finnish. This shows that when languages are similar, both good and bad transfers can
happen. Generally, the more different the languages are, the harder it is to learn the new language.

# Markedness
Marked linguistic features are special compared to unmarked features, which are basic. Different
linguistic traditions define markedness in various ways. This summary focuses on a functional-
typological approach, comparing languages to find universal or specific properties. Generally,
features common in many languages are less marked than rare features.

For example, "To whom did you speak?" (pied piping) is more common than "Who did you speak
to?" (preposition stranding), making the first unmarked and the second marked.

Two main ideas have been studied:

1. Learners tend to use unmarked forms from their native language when the target language has
marked forms.
2. Learners avoid using marked forms from their native language when the target language has
unmarked forms.

Hyltenstam (1984) noted that unmarked categories from the native language replace marked
categories in the target language. Marked structures need more attention and effort, so learners
resist using them.Eckman (1977) studied English learners of German and German learners of
English, focusing on voice contrast in phonemes like /t/ and /d/. In English, this contrast appears
in all positions, while in German, it only appears at the beginning and middle of words. Eckman
found that English learners easily adapted to German's lack of voicing in word-final stops, but
German learners struggled with English's voicing in that position.
Eckman proposed the Markedness Differential Hypothesis (MDH), which predicts that:
(a) Difficult areas in the target language (TL) are those that are more marked than in the native
language (NL).
(b) The difficulty level corresponds to how marked the features are.
(c) Areas that are different but not more marked than the NL will not be difficult.

While MDH explains some transfer issues, learners sometimes transfer marked features from
their first language even when the target language is unmarked. For example, English allows both
pied piping and preposition stranding, but Spanish and French only allow pied piping. Despite
this, some English learners of Spanish still used preposition stranding.

In conclusion, while markedness helps explain some language transfer, it does not fully account
for all instances of first language transfer.

### Problems with Linguistic Accounts of L1 Transfer

The main issue with comparing differences in languages to the difficulties learners face is that
'difference' is about language, while 'difficulty' is about the mind. Just because something is
different in language doesn't mean it will be hard for learners. There is also confusion among
linguists about which theories to use.

Another problem is with markedness, which is also a language idea. While it seems to matter to
learners, it doesn't explain their thoughts. Plus, there is no clear way to decide which language
features are marked or not. One solution is to look at how native speakers view their own
language. For example, researchers can ask them if they think certain features are rare or unusual.
The next part will discuss research that looks at first language transfer from a psychological
viewpoint.

# Psycholinguistic Factors
## Prototypicality
Kellerman (1978) suggested that language learners have a sense of which features from their first
language can be transferred to a new language. In his study, he looked at Dutch speakers' views
on the verb "breken" (to break) and how they would translate sentences with it into English. For
example, 81% of students thought "hij brak zijn been" (he broke his leg) could be translated, but
only 9% thought "sommige arbeiders hebben de staking gebroken" (some workers have broken
the strike) could be. This shows that learners prefer to translate core meanings over non-core
meanings.

In another study (1979), Kellerman found that learners' views on what can be transferred don't
change much with age or proficiency. He asked 291 learners to assess the translatability of
sentences with "breken" and found similar responses across different ages. This indicates that
learners have a clear understanding of the main meanings of words, which aligns with dictionary
definitions. Kellerman (1989) also looked at grammar and found that advanced Dutch learners
often made errors, like saying "If it would rain" instead of "If it rained." He believed this happened
because learners thought "would rain" sounded more natural, even though Dutch has similar verb
forms.

Overall, learners have beliefs about what they can transfer from their first language and try to
keep their second language clear and reasonable. They avoid transferring idioms or complex
grammar that doesn't match this principle.

## Psychotypology
Kellerman (1979) introduced the idea of "psychotypology," which refers to learners' perceptions
of how similar or different their native language is from the target language. He argued that
learners decide whether to use their first language based on their beliefs about language distance.
In an extension of the "breken" study, Kellerman found that Dutch learners were more likely to
accept translations into German (a language similar to Dutch) than into English (a more distant
language). This shows that perceived language distance affects transfer decisions.

Singleton (1987) studied Philip, an English speaker learning French, who effectively used his
knowledge of similar Romance languages to aid his learning. This demonstrates that learners have
clear ideas about language similarities and differences.

However, learners' perceptions can change as they learn more about the target language. For
example, Dutch learners of German may initially think the languages are very similar but adjust
their views as they notice differences. Kellerman noted that learners' psychotypology interacts
with their understanding of prototypicality, influencing what they choose to transfer at any time.

# Contextual Factors
The chance of transferring knowledge depends on the learning context. This affects what learners
experience and how they develop their language skills, either implicitly (unconsciously) or
explicitly (consciously). There are two types of contexts: macro-contexts (like classroom vs. real-
life situations) and micro-contexts (like who the learner is talking to or the specific task).

## Macro-contextual Influences
Transfer can happen in both informal (natural) and formal (classroom) settings, but the setting
can change how much transfer occurs. In classrooms, learners often avoid using their first
language (L1) forms because they see them as wrong. They use their explicit knowledge of the
second language (L2) to help them. For example, if they have time to think and focus on accuracy,
they can stop themselves from using L1 forms. But in spontaneous conversations, it’s harder to
monitor their language use, leading to more transfer.

In natural settings, learners usually develop implicit knowledge, making negative transfer more
likely. However, this depends on whether the setting is focused (learners know the difference
between L1 and L2) or unfocused (languages mix without concern for correctness). For example,
a study in Syria found learners avoided using L1 idioms, while learners in India and Nigeria often
created English idioms based on their L1. It’s important to note that both positive and negative
transfer can happen in any setting. For instance, formal settings provide more written input,
helping learners see similarities between languages. In informal settings, learners might feel less
pressure to avoid mistakes.

## Micro-contextual Influences
Micro-contexts also play a role. When learners are careful about their speech, they might use their
L1 knowledge more, which can lead to negative transfer. However, if they focus on using formal
language, they might use L1 features that sound formal in their culture. For example, Thai learners
of English sometimes used a Thai sound in formal situations instead of the English sound.
Pragmatic transfer can depend on the situation. For example, English speakers learning Hebrew
apologized similarly to their L1 in some situations but adapted to native speakers in others. The
type of task also matters; translation tasks can lead to more transfer than spontaneous speaking
tasks.

## Performance-related vs. Learning-related Transfer

A key question is whether these transfer effects are just about performance (how learners use
language) or if they also reflect actual learning. Some researchers argue that the effects are mainly
performance-related, but distinguishing between the two can be challenging.

# Developmental Factors
In Chapter 4, research shows that there are common patterns in learning a second language (L2).
It suggests that a learner's first language (L1) has a small effect, which goes against earlier
findings. However, this can be explained if we see that L1 transfer works with other universal
factors.

All learners tend to simplify and overgeneralize when learning L2. For example, all beginners
often leave out prepositions. However, Spanish learners do this less than Chinese and Japanese
learners because Spanish has similar prepositions to English, while Chinese and Japanese do not.
Taylor (1975) found that as learners progress, they shift from relying on their L1 to making more
general errors. For instance, beginners make more errors based on their L1, while intermediate
learners make errors based on what they have learned about the L2.
Some studies show that L1 affects the learning of specific language features. For example,
Japanese learners struggle more with the English plural -s than learners whose L1 has a plural
marker. Hakuta (1976) found that a Japanese girl learned plural -s later than expected because her
L1 lacked a similar marker. The sequence in which learners acquire language features can also be
influenced by their L1, but this influence is limited to when learners reach a certain developmental
stage. For example, German children learning English started with a certain type of negation but
later transferred a German rule once they understood that English allows for different negation
structures.

Processability Theory suggests that all learners follow the same sequence in acquiring language,
and while L1 transfer can happen, it is limited by the learner's development. For example, Polish
learners do not have an advantage over Vietnamese learners in subject-verb agreement, even
though Polish has this feature.

Different theories exist about L1 transfer. Andersen (1983) proposed the Transfer to Somewhere
Principle, which states that some similarity between L1 and L2 is needed for transfer. In contrast,
Kellerman (1995) introduced the Transfer to Nowhere Principle, suggesting that transfer can
happen even without similarity.

The effects of L1 transfer can be seen not only in language forms but also in how quickly learners
develop their L2 skills. Similarities between L1 and L2 can speed up learning, while differences
can slow it down. For example, Spanish learners of English may take longer to learn negation
than German learners because the early stages of negation in Spanish match their L1, while
German does not. Similarly, learners with an article system in their L1, like Spanish speakers,
tend to be more accurate in using articles in English than those without such a system, like
Japanese speakers.

### Individual Factors

In Chapters 2 and 3, we learned that a learner's age and psychological factors like language
aptitude and motivation affect how well they learn a second language (L2). This section looks at
how age and language aptitude influence the transfer of skills from the first language (L1) to L2.
**Age and L1 Transfer**
Younger learners often achieve a more native-like accent in L2 than older learners. For example,
children who start learning a language before age three can sound completely native because they
rely less on their L1. Guion et al. (2000) noted that the more established the L1, the more it
influences L2 learning. Younger learners depend more on L2 input, which helps them avoid
interference from their L1.
An example is a study by Czinglar (2012) comparing a seven-year-old and a fourteen-year-old
learning German. The younger child quickly learned a complex German rule that the older child
struggled with, likely because the older learner used their L1 to form hypotheses about German.
Older learners might have an advantage in vocabulary if the languages share cognates, but they
may struggle with different grammatical structures.

**Language Aptitude and L1 Transfer**

Learners' ability to learn languages can also affect how they transfer skills from L1 to L2. Those
with strong phonetic skills may rely less on their L1 sounds. Conversely, learners who find it hard
to mimic sentences might depend more on their L1. Research by Sparks et al. (2009) suggests
that learners with lower L1 skills also have lower L2 aptitude, making it harder for them to learn
L2. Trude and Tokowicz (2011) found that learners with better working memory performed better
in learning L2 sounds, as they could inhibit their L1 more effectively, reducing negative transfer.

# Language Transfer as a Multifactorial Phenomenon

Language transfer is a complex process influenced by many factors. Here’s a summary of the key
influences:
**Linguistic Factors**
- **Linguistic Differences**: Differences between the first language (L1) and the target
language (TL) can cause learning difficulties, but sometimes similarities can be more challenging.
- **Language Distance**: When L1 and TL are similar, both positive and negative transfer can
happen.
- **Markedness**: Learners are more likely to transfer simpler (unmarked) features from L1
than complex (marked) ones, but they can also transfer marked features.

**Psycholinguistic Factors**
- **Prototypicality**: Learners judge which L1 features are easy to transfer based on their core
characteristics.
- **Psychotypology**: Learners’ perceptions of how similar languages are affect what they
actually transfer.

**Contextual Factors**
- **Macro and Micro Context**: Formal classroom settings usually reduce transfer. In casual
settings, negative transfer happens more when learners mix up L1 and L2. The context influences
how much attention learners pay to language forms.

**Developmental Factors**
- **Overgeneralization**: Early on, learners rely on L1, but as they learn more about L2, they
depend less on L1. Transfer and overgeneralization are linked.
- **Order of Acquisition**: If a grammatical feature in L2 has no equivalent in L1, it can disrupt
learning. L1 can speed up or slow down learning depending on when learners reach certain stages.

**Individual Factors**
- **Age**: Older learners tend to transfer L1 more than younger learners because they rely more
on their L1.
- **Language Aptitude**: Learners with better language skills can transfer L1 skills more
effectively. Those with better memory can avoid negative transfer.

This summary highlights how various factors interact to influence language transfer.

# Conceptual Transfer
Conceptual transfer looks at how ideas from one language (L1) affect learning and using another
language (L2). This idea relates to the Sapir-Whorf Hypothesis, which suggests that language
shapes our thoughts. Conceptual transfer can happen in two ways: from L1 to L2 and from L2 to
L1. This summary focuses on L1 to L2 transfer.

There are two types of transfer:

1. **Semantic Transfer**: This is when a shared concept in two languages is matched to a word
in the other language. For example, a Finnish learner might say "He bit himself in the language"
because the Finnish word for "language" can mean both "tongue" and "language." Here, the
learner just needs to learn the right word in English.

2. **Conceptual Transfer**: This occurs when the idea behind a word differs between
languages. For instance, in English, a paper cup is seen as a type of cup, while in Russian, it is
categorized as a glass because of its shape. If an English learner of Russian calls a paper cup
"chaska" (cup) instead of "stakanchik" (little glass), they are showing conceptual transfer. This
type of transfer is harder to overcome because it involves changing or developing new concepts,
not just learning new words.

Jarvis and Pavlenko (2008) noted that understanding transfer requires looking at both structural
differences and how concepts are framed in each language. They argued that learning a new
language means learning to think differently. Sometimes, changing concepts through learning a
new language isn't necessary or desired. For example, Japanese learners of English may express
politeness by apologizing after a meal instead of just saying thank you, reflecting their cultural
understanding of politeness. Overcoming conceptual transfer can challenge a learner's identity,
especially for adults, while children may adapt more easily.
### Transfer in Communication and Learning
The question is whether transfer is only about communication or also part of learning. Learners
might use their first language (L1) as a strategy to solve problems, or it could be a key part of
how they develop their second language (L2). Jarvis and Pavlenko (2008) say that transfer has
two effects: one related to performance (how well learners do) and one related to learning (how
they acquire knowledge). They argue that we need to separate these two types to understand how
transfer works. For example, the environment might affect performance but not learning, while
certain processes in learning affect transfer.

However, distinguishing between these two types of transfer is tricky. To see transfer, we need to
look at how learners perform, like their views on transferability or their ability to use specific
language features. This means all transfer effects are linked to performance, making it hard to
separate them as Jarvis and Pavlenko suggest.

Corder (1983) believed that transfer starts in communication and later becomes part of the
learner's knowledge. He noted that successful borrowing from L1 eventually gets integrated into
the learner's L2 grammar. Similarly, Ringbom (1992) stated that communication transfer helps
learners understand and create messages, which can also aid in learning. Current theories of
language learning suggest that using a language form can change how learners understand it.
Therefore, it might not be useful to strictly separate performance-based and learning-based
transfer effects.

**Conclusion**
This chapter discusses how knowing two languages affects language learning and use. It mainly
looks at how a learner's first language (L1) influences their second language (L2) learning, known
as forward transfer. It does not focus much on how learning a second language can affect the first
language, which is called reverse transfer.

The effects of L1 transfer on L2 learning are significant and varied. Understanding these effects
is important for theories about how people learn a second language. However, there is no single
theory that explains L1 transfer completely. A good theory would need to consider several factors,
such as:

- The balance of positive and negative transfer depending on the languages involved.
- How transfer affects different parts of language, like pronunciation.
- Why some features of L1 are transferred while others are not.
- Whether transfer happens consciously or unconsciously.
- The relationship between proficiency in L1 and L2.
- How learning L2 changes what is transferred from L1.
- The influence of context on transfer.
- Differences in transfer among learners with the same L1 due to age or ability.
- How learning L2 involves understanding concepts from L1.
- The role of performance in learning.

While many factors influence transfer, there is no clear theory explaining how they interact.

The chapter also presents a different view on how languages work in the minds of bilinguals.
Cook (2000) argues that bilinguals are different from those who speak only one language and
should be studied as such. He introduced the term "multicompetence" to describe the knowledge
of more than one language in one mind. This idea applies to all L2 users, not just those who are
equally skilled in both languages. Cook suggests that instead of thinking of L1 and L2 as separate,
we should see them as part of a larger language system in the mind. He prefers not to use the term
"transfer" and emphasizes the need to focus on how bilinguals use their languages together.