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A Summary of Stephen Krashen's "Principles and Practice in Second Language

Acquisition"

By Reid Wilson

First appeared: Language Learning #9 and 10

Bibliographic information:

Krashen, Stephen D. 1981. Principles and Practice in Second Language

Acquisition. English Language Teaching series. London: Prentice-Hall
International (UK) Ltd. 202 pages.

Quote that captures the essense of the book:

"What theory implies, quite simply, is that language acquisition, first or

second, occurs when comprehension of real messages occurs, and when the
acquirer is not 'on the defensive'... Language acquisition does not require
extensive use of conscious grammatical rules, and does not require tedious
drill. It does not occur overnight, however. Real language acquisition develops
slowly, and speaking skills emerge significantly later than listening skills, even
when conditions are perfect. The best methods are therefore those that supply
'comprehensible input' in low anxiety situations, containing messages that
students really want to hear. These methods do not force early production in
the second language, but allow students to produce when they are 'ready',
recognizing that improvement comes from supplying communicative and
comprehensible input, and not from forcing and correcting production." (6-7)

Summary of Part I. Introduction: The Relationship of Theory to Practice

In deciding how to develop language teaching methods and materials, one can
take three approaches: make use of second language acquisition theory, make
use of applied linguistics research, and make use of ideas and intuition from
experience. These approaches should in fact support each other and lead to
common conclusions. This book incorporates all three approaches, with a
hope of reintroducing theory to language teachers. While "most current theory
may still not be the final word on second language acquisition," it is hoped
that teachers will use the ideas in this book as another source alongside of
their classroom and language-learning experiences.
Summary of Part II. Second Language Acquisition Theory

There are five key hypotheses about second language acquisition:

1. THE ACQUISITION-LEARNING DISCTINCTION

Adults have two different ways to develop compentence in a language:

language acquisition and language learning.

Language acquisition is a subconscious process not unlike the way a child

learns language. Language acquirers are not consciously aware of the
grammatical rules of the language, but rather develop a "feel" for correctness.
"In non-technical language, acquisition is 'picking-up' a language."

Language learning, on the other hand, refers to the "concious knowledge of a

second language, knowing the rules, being aware of them, and being able to
talk about them." Thus language learning can be compared to learning about
a language.

The acquistion-learning disctinction hypothesis claims that adults do not lose

the ability to acquire languages the way that children do. Just as research
shows that error correction has little effect on children learning a first
language, so too error correction has little affect on language acquisition.

2. THE NATURAL ORDER HYPOTHESIS

The natural order hypothesis states that "the acquisition of grammatical

structures proceeds in a predictable order." For a given language, some
grammatical structures tend to be acquired early, others late, regardless of the
first language of a speaker. However, as will be discussed later on in the book,
this does not mean that grammar should be taught in this natural order of
acquisition.

3. THE MONITOR HYPOTHESIS

The language that one has subconsciously acquired "initiates our utterances in
a second language and is responsible for our fluency," whereas the language
that we have consciously learned acts as an editor in situations where the
learner has enough time to edit, is focused on form, and knows the rule, such
as on a grammar test in a language classroom or when carefully writing a
composition. This conscious editor is called the Monitor.

Different individuals use their monitors in different ways, with different

degrees of success. Monitor Over-users try to always use their Monitor, and
end up "so concerned with correctness that they cannot speak with any real
fluency." Monitor Under-users either have not consciously learned or choose
to not use their conscious knowledge of the language. Although error
correction by others has little influence on them, they can often correct
themelves based on a "feel" for correctness.

Teachers should aim to produce Optimal Monitor users, who "use the Monitor
when it is appropriate and when it does not interfere with communication."
They do not use their conscious knowledge of grammar in normal
conversation, but will use it in writing and planned speech. "Optimal Monitor
users can therefore use their learned competence as a supplement to their
acquired competence."

4. THE INPUT HYPOTHESIS

The input hypothesis answers the question of how a language acquirer

develops comptency over time. It states that a language acquirer who is at
"level i" must receive comprehensible input that is at "level i+1." "We acquire,
in other words, only when we understand language that contains structure that
is 'a little beyond' where we are now." This understanding is possible due to
using the context of the language we are hearing or reading and our
knowledge of the world.

However, instead of aiming to receive input that is exactly at our i+1 level, or
instead of having a teacher aim to teach us grammatical structure that is at
our i+1 level, we should instead just focus on communication that is
understandable. If we do this, and if we get enough of that kind of input, then
we will in effect be receiving and thus acquiring out i+1. "Prduction ability
emerges. It is not taught directly."

Evidences for the input hypothesis can be found in the effectiveness of

caretaker speech from an adult to a child, of teacher-talk from a teacher to a
language student, and of foreigner-talk from a sympathetic conversation
partner to a language learner/acquirer.
One result of this hypothesis is that language students should be given a initial
"silent period" where they are building up acquired competence in a language
before they begin to produce it.

Whenever language acquirers try to produce language beyond what they have
acquired, they tend to use the rules they have already acquired from their first
language, thus allowing them to communicate but not really progress in the
second language.

5. THE AFFECTIVE FILTER HYPOTHESIS

Motivation, self-confidence, and anxiety all affect language acquisition, in

effect raising or lowering the "stickiness" or "penetration" of any
comprehensible input that is received.

These five hypotheses of second language acquisition can be summarized: "1.

Acquisition is more important than learning. 2. In order to acquire, two
conditions are necessaary. The first is comprehensible (or even better,
comprehended) input containing i+1, structures a bit beyond the acquier's
current level, and second, a low or weak affective filter to allow the input 'in'."

In view of these findings, question is raised: does classroom language teaching

help? Classroom teaching helps when it provides the necessary
comprehensible input to those students who are not at a level yet which allows
them to receive comprehensible input from "the real world" or who do not
have access to "real world" language speakers. It can also help when it
provides students communication tools to make better use of the outside world,
and it can provide beneficial conscious learning for optimal Monitor users.

Various research studies have been done comparing the amount of language
competance and the amount of exposure to the language either in classroom-
years or length of residence, the age of the language acquirer, and the
acculturation of the language acquirer. The results of these studies are
consistent with the above acquisition hypotheses: the more comprehensible
input one receives in low-stress situations, the more language competance that
one will have.

Summary of Part III: Providing Input for Acquisition

Once it is realized that receiving comprehensible input is central to acquiring

a second language, questions are immediately raised concerning the nature
and sources of this type of input and the role of the second language
classroom.

To what extent is the second language classroom beneficial? Classrooms help

when they provide the comprehensible input that the acquirer is going to
receive. If acquirers have access to real world input, and if their current
ability allows them understand at least some of it, then the classroom is not
nearly as significant. An informal, immersion environment has the opportunity
to provide tons of input; however, that input is not always comprehensible to a
beginner, and often for an adult beginner the classroom is better than the real
world in providing comprehensible input.

However, for the intermediate level student and above, living and interacting
in an environment in which the language is spoken will likely prove to be
better for the student, especially considering the fact that a language
classroom will not be able to reflect the broad range of language use that the
real world provides. The classroom's goal is to prepare students to be able to
understand the language used outside the classroom.

What role does speaking (output) play in second language acquisition? It has
no direct role, since language is acquired by comprehensible input, and in fact
someone who is not able to speak for physical reasons can still acquire the full
ability to understand language. However, speaking does indirectly help in two
ways: 1) speaking produces conversation, which produces comprehensible
input, and 2) your speaking allows native speakers to judge what level you are
at and then adjust their speak downward to you, providing you input that is
more easily understood.

What kind of input is optimal for acquisition? The best input is

comprehensible, which sometimes means that it needs to be slower and more
carefully articulated, using common vocabulary, less slang, and shorter
sentences. Optimal input is interesting and/or relevant and allows the acquirer
to focus on the meaning of the message and not on the form of the message.
Optimal input is not grammatically sequenced, and a grammatical syllabus
should not be used in the language classroom, in part because all students will
not be at exactly the same level and because each structure is often only
introduced once before moving on to something else. Finally, optimal input
must focus on quantity, although most language teachers have to date
seriously underestimated how much comprehensible input is actually needed
for an acquirer to progress.

In addition to receiving the right kind of input, students should have their
affective filter kept low, meaning that classroom stress should be minimized
and students "should not be put on the defensive." One result of this is that
student's errors should not be corrected. Students should be taught how to gain
more input from the outside world, including helping them acquire
conversational competence, the means of managing conversation.

Summary of Part IV: The Role of Grammar, or Putting Grammar in its Place

"As should be apparent by now, the position taken in this book is that second
language teaching should focus on encouraging acquisition, on providing
input that stimulates the subconscious language acquisition potential all
normal human beings have. This does not mean to say, however, that there is
no room at all for conscious learning. Conscious learning does have a role,
but it is no longer the lead actor in the play."

For starters, we must realize that learning does not turn into acquisition.
While the idea that we first learn a grammar rule and then use it so much that
it becomes internalized is common and may seem obvious to many, it is not
supported by theory nor by the observation of second language acquirers, who
often correctly use "rules" they have never been taught and don't even
remember accurately the rules they have learned.

However, there is a place for grammar, or the conscious learning of the rules
of a language. Its major role is in the use of the Monitor, which allows
Monitor users to produce more correct output when they are given the right
conditions to actually use their Monitor, as in some planned speech and
writing. However, for correct Monitor use the users must know the rules they
are applying, and these would need to be rules that are easy to remember and
apply--a very small subset of all of the grammatical rules of a language. It is
not worthwhile for language acquisition to teach difficult rules which are hard
to learn, harder to remember, and sometimes almost impossible to correctly
apply.

For many years there was controversy in language-teaching literature on

whether grammar should be deductively or inductively taught. However, as
both of these methods involve language learning and not language acquisition,
this issue should not be central for language teaching practice. There has
similarly been controversy as to whether or not errors should be corrected in
language learners' speech. Second language acquisition theory suggests that
errors in ordinary conversation and Monitor-free situations should not be
corrected, and that errors should only be corrected when they apply to easy to
apply and understand grammatical rules in situations where known Monitor-
users are able to use their Monitor.

There is a second way in which the teaching of grammar in a classroom can be

helpful, and that is when the students are interested in learning about the
language they are acquiring. This language appreciation, or linguistics,
however, will only result in language acquisition when grammar is taught in
the language that is being acquired, and it is actually the comprehensible input
that the students are receiving, not the content of the lecture itself, that is
aiding acquisition. "This is a subtle point. In effect, both teachers and students
are deceiving themselves. They believe that it is the subject matter itself, the
study of grammar, that is responsible for the students' progress in second
language acquisition, but in reality their progress is coming from the medium
and not the message. And subject matter that held their interest would do just
as well, so far as second language acquisition is concerned, as long as it
required extensive use of the target language." And perhaps many students
would be more interested in a different subject matter and would thus acquire
more than they would in such a grammar-based classroom.

Summary of Part V: Approaches to Language Teaching

Popular language teaching methods today include grammar-translation,

audio-lingualism, cognitive-code, the direct method, the natural approach,
total physical response, and Suggestopedia. How do these methods fare when
they are evaluated by Second Language Acquisition theory? Each method will
be evaluated using the following criteria:

Requirements for optimal input -- comprehensible -- interesting/relevant -- not

grammatically sequenced -- quantity -- low filter level -- provides tools for
conversational management

Learning restricted to: -- Rules that are easily learned and applied, and not
acquired yet -- Monitor users -- Situations when the learner has adequate time
and a focus on form

1. GRAMMAR-TRANSLATION

Grammar-translation usually consists of an explanation of a grammatical rule,

with some example sentences, a bilingual vocabulary list, a reading section
exemplifying the grammatical rule and incorporating the vocabulary, and
exercises to practice using the grammar and vocabulary. Most of these classes
are taught in the student's first language. The grammar-translation method
provides little opportunity for acquisition and relies too heavily on learning.

2. AUDIO-LINGUALISM

An audio-lingual lesson usually begins with a dialogue which contains the

grammar and vocabulary to be focused on in the lesson. The students mimic
the dialogue and eventually memorize it. After the dialogue comes pattern
drills, in which the grammatical structure introduced in the dialogue is
reinforced, with these drills focusing on simple repetition, substitution,
transformation, and translation. While the audio-lingual method provides
opportunity for some acquisition to occur, it cannot measure up to newer
methods which provide much more comprehensible input in a low-filter
environment.

3. COGNITIVE-CODE

Cognitive-code is similar to grammar-translation except that it focuses on

developing all four skills of language: speaking, listening, reading, and
writing. Communicative competence is focused upon. Since the cognitive-code
approach provides more comprehensible input than grammar-translation
does, it should produce more acquisition, but other newer methods provide
even more and have better results. Learning is overemphasized with this
method.

4. THE DIRECT METHOD

Several approaches have been called the "direct method"; the approach
evaluated here involves all discussion in the target language. The teacher uses
examples of language in order to inductively teach grammar; students are to
try to guess the rules of the language by the examples provided. Teachers
interact with the students a lot, asking them questions about relevant topics
and trying to use the grammatical structure of the day in the conversation.
Accuracy is sought and errors are corrected. This method provides more
comprehensible input than the methods discussed so far, but it still focuses too
much on grammar.

5. THE NATURAL APPROACH

In the Natural Approach the teacher speaks only the target language and class
time is committed to providing input for acquisition. Students may use either
the language being taught or their first language. Errors in speech are not
corrected, however homework may include grammar exercises that will be
corrected. Goals for the class emphasize the students being able use the
language "to talk about ideas, perform tasks, and solve problems." This
approach aims to fulfill the requirements for learning and acquisition, and
does a great job in doing it. Its main weakness is that all classroom teaching is
to some degree limited in its ability to be interesting and relevant to all
students.

6. TOTAL PHYSICAL RESPONSE

Total Physical Response, or TPR, involves the students listening and

responding to commands given by the teacher such as "sit down" and "walk,"
with the complexity of the commands growing over time as the class acquires
more language. Student speech is delayed, and once students indicate a
willingness to talk they initially give commands to other students. Theory
predicts that TPR should result in substantial language acquisition. Its content
may not be always interesting and relevant for the students, but should
produce better results than the audio-lingual and grammar-translation
methods.

7. SUGGESTOPEDIA

Suggestopedia classes are small and intensive, and focus on providing a very
low-stress, attractive environment (partly involving active and passive
"seances" complete with music and meditation) in which acquisition can
occur. Some of the students' first language is used at the beginning, but most in
the target language. The role of the teacher is very important in creating the
right atmosphere and in acting out the dialogues that form the core of the
content. Suggestopedia seems to provide close to optimal input while not
giving too much emphasis to grammar.

What does applied linguistics research have to say about these methods?
Applied research has examined the older methods of grammar-translation,
audio-lingual, and cognitive-code much more than it has looked at the newer
methods. There seems to be only small differences in the results of the older
methods. While much research remains to be done, Total Physical Response
and the other newer approaches "produce significantly better results than old
approaches."

So what is better, the classroom or the real world? "Quite simply, the role of
the second or foreign language classroom is to bring a student to a point
where he can begin to use the outside would for further second language
acquisition.... This means we have to provide students with enough
comprehensible input to bring their second language competence to the point
where they can begin to understand language heard 'on the outside'.... In other
words, all second language classes are transitional."

In the real world, conversations with sympathetic native speakers who are
willing to help the acquirer understand are very helpful. These native speakers
engage in what is called "foreigner talk," not very different from the way that a
parent would talk to a child.

Voluntary pleasure reading is also beneficial for second language acquisition,

especially as the reader is free to choose reading material that is of interest
and the proper level in order to be understood.

Taking content classes in the language that is being acquired can also be
helpful to the more advanced learner, especially when the class is composed of
students who are all acquiring the second language.

How does all of the above affect our views on achievement testing? As students
will gear their studying to the type of tests they expect to take, the kinds of
language tests that are given is very important. "Achievement tests...should
meet this requirement: preparation for the test, or studying for the test, should
obviously encourage the student to do things that will provide more
comprehensible input and the tools to gain even more input when the class is
over." With this in mind, general reading comprehension tests are helpful, as
would be a test that would encourage students to participate in conversations
and employ the tools of communicative competence.

Assuming that the conclusions in this book are correct, many new classroom
language materials need to be developed. These materials should focus on
providing much comprehensible input to beginning and intermediate students
and should provide them with the means to gain even more input outside the
 classroom. Such materials should only focus on grammatical rules that are
easy to learn and apply. Readers should have much more reading material in
them and much fewer exercises and should have enough content that students
can choose which topics to read about.

A quote from the conclusion:

"Even if the theory presented here is totally correct, and my suggestions for
application are in fact the appropriate ones, there are some serious problems
that need to be mentioned before concluding. These have to do with the
acceptance, by teachers and students, of language acquisition as primary, and
comprehensible input as the means of encouraging language acquisition.
These problems are caused by the fact that acquisition differs from learning in
two major ways: acquisition is slow and subtle, while learning is fast and, for
some people, obvious.... I think that I have presented a conservative view of
language acquisition theory and its applications, conservative in the sense that
it attempts to be consistent with all empirical data that are known to me. It is
consistent with the way thousands of people have acquired second languages
throughout history, and in many cases acquired them very well. They acquired
second languages while they were focused on something else, while they were
gaining interesting or needed information, or interacting with people they
liked to be with."