AFFECTIVE FACTORS AND THE PROBLEM OF AGE

IN SECOND LANGUAGE ACQUISITION

John H. Schumann
Harvard University

This paper reviews several bodies of literature concerned

with the relationship of affective factors such as language shock,
culture shock, attitude, motivation and ego permeability to second
language acquisition. These issues are then related to the problem
of age in second language learning. It is suggested that affective
variables may play a more important role than does biological
maturation in problems associated with adult second language
acquisition.

One of the major differences between first and second

language acquisition is the fact that all normal human beings
achieve proficiency in their first language, but manifest great
variation in the degree t o which they acquire second languages.
One of the most persistent questions in the study of bilingualism is
why some people learn a foreign language quickly and thoroughly
while others with the same opportunities fail to learn. Considerable
work has been done in the past ten to fifteen years to study the
more affective aspects of language learning. The purpose of this
paper is t o critically review this work in order to explore its
relation to the problem of age in second language acquisition.
Several factors have been considered important in second
language learning. Among them are method of instruction, age,
aptitude and certain affective variables such as attitude, motivation
and empathy. Investigation of the first three factors has generally
not been very fruitful. Research into the effectiveness of various
instructional methodologies has shown no method to be superior
t o any other (Smith and Berger 1968). While aptitude certainly
plays a role in second language learning, it seems t o be more
important for language learning through formal instruction rather
than through direct exposure to the second language environment.
In addition, aptitude seems to operate independently of many of
the affective variables involved in second language learning, and
therefore will not be considered here.
Examination of the second three factors, attitude, motivation
and empathy, may provide fruitful insights into the complex

209
210 LANGUAGE LEARNING VOL. 25, NO. 2

problem of success in second language acquisition. The learner’s

positive or negative attitude towards the speakers of the target
language can either enhance or inhibit language acquisition. This is
also true of the learner’s evaluation of his teacher. How the
learner’s parents view the speakers of the target language and how
they feel about their child’s acquisition of that language can also
influence achievement. In addition, the learner’s preference for his
own culture over that of the target culture or vice versa can affect
success in second language learning. A person’s motivation for
language study is also important. Whether a person has an integra-
tive motivation (i.e., desire t o learn the second language in order to
communicate with speakers of that language) or an instrumental
motivation (i.e., desire t o learn the second language for more
utilitarian reasons such as fulfilling course requirements or getting a
job) has been shown to affect second language learning differently
in different settings (Gardner and Lambert 1972). Finally, there
have been some experimental efforts to show that a person with an
“empathic” personality may have more success in second language
learning (Guiora 1972).
The first section of the paper discusses problems in second
language learning associated with adjusting t o a new culture. The
second section examines some issues concerning the roles of
attitude and motivation in second language learning. The third
section reports on a series of experiments conducted at the
University of Michigan on the relationship between empathy and
skill in pronouncing a second language. Finally, the fourth section
attempts to relate the above work to the problem of the differ-
ences in success experienced by child and adult second language
learners.

Acculturation and Second Language Learning

Larsen and Smalley (1972) believe that in order to become
bilingual one must become a member of the target language
community. However, upon entering the new community the
learner is faced with several problems that can produce negative
reactions to the new language and its speakers. These reactions
often interfere with second language learning.
Larsen and Smalley observe that the learner’s “primary prob-
lem in living abroad is cultural alienation, and that learning the
local language is a major factor in adjustment t o the new surroun-
dings” (viii). They view the learner entering the new culture as an
“alien,” and the people belonging to the new culture as “domes-
 AFFECTIVE FACTORS 211

tics.” In order t o learn the language the learner must undergo

“dealienation” or “redomestication ” and join the target language
community as a “neodomestic .” The process of redomestication
can be frustrated in numerous ways. The domestic community may
regard the learner with suspicion and hold him outside its com-
munication networks. The expatriate community speaking the
learner’s native language may exert pressure to hold the learner
within their group. The sponsoring agency (e.g., mission board,
Peace Corps, State Department) may define the learner’s role such
that he has little contact with the speakers of the target language
and at the same time maintain unrealistically high goals for
language achievement.
In addition to the forces mentioned above, an alien under-
going redomestication usually experiences three types of disorienta-
tion: language shock, culture shock and culture stress.
Erwin Stengal (1939) discusses language learning difficulties
that can be regarded as manifestations of language shock. First,
there is the problem of the correct naming of objects and ideas. In
our native languages when we cannot find the correct word to
express ourselves, we often feel dissatisfaction and even a certain
sense of guilt. In learning a second language this phenomenon
becomes even more intensified. The learner is haunted by doubts
as to whether his words accurately reflect his ideas. A child second
language learner has considerably less difficulty than an adult
because he is willing to use a word incorrectly and to form new
expressions if necessary.
Second, words often carry with them visual images, but a
word in the second language may carry an image that is quite
different from the one carried by the first language. Stengal
suggests that,
The word “slaughter-house,” spoken in the native language may
produce the picture of a house, but in the new language the
.
picture of -the act of slaughtering an animal. . . Words in the
native language call up a picture of a simple lifeless pattern, while
the corresponding words in the foreign language call up images of
living actions (473-4).

Third, the use of a new language may cause a sense of shame

which results from feelings of insufficiency. Stengal claims the
learner’s “narcissism is deeply hurt by the necessity for exposing a
serious deficiency in a function which serves as an important
source of narcissistic gratification (476).
A fourth source of language shock may be the adult’s fear of
appearing comic. Stengal describes the feeling of using a new
212 LANGUAGE LEARNING VOL. 25, NO. 2

language as that of wearing fancy dress. He feels that exhibition-

istic impulses and their repression can alternately encourage and
inhibit the acquisition of a new language. A child, however, is
relatively free from such conflict because the second language for
him is a method of play and thus impulses t o communicate in that
language are a source of pleasure. The child does not fear
fancy-dress; he enjoys wearing it. Stengal states, “The adult will
learn the new language the more easily, the more of these infantile
characteristics he has preserved” (478).
Culture shock, the second impediment to language learning,
can be defined as anxiety resulting from the disorientation en-
countered upon entering a new culture. Larsen and Smalley
illustrate the concept by first attempting t o describe a healthy
person and then by showing how the essential characteristics of
good mental health are often lost just be moving into a new
culture. They use a definition put forth by Howard and Scott
(1965) who characterize a healthy person as one who is in control
of his environment, who can handle routine matters with a
minimum of energy and who can marshal1 the maximum amount
of energy t o handle problems and unpredictable events.
A healthy person entering a new culture has a repertoire of
problem-solving and coping mechanisms. But these mechanisms
often d o not fit. When they are used, they do not get the
accustomed results. Often activities which are routine in one’s
native country require great energy in the new culture.
New problems mean new demands on one’s supply of energy. New
climate, the new foods, the new people all mean that the alien
must muster up every bit of available energy and put it t o use in
new ways (Larsen and Smalley 1972:41).

This condition can produce fear, anxiety and depression.

While the extreme symptoms of culture shock may pass
relatively quickly as ways of coping with the new environment are
learned, more subtle problems may persist and produce stress that
can last for months o r years. Larsen and Smalley call this
phenomenon culture stress. Culture stress often centers around
questions of identity. The alien may be middle class but be treated
as upper class. He may be an architect but be unable to function
as one because of different host country definitions of what an
architect should do. He may feel he has no supportive membership
group and at the same time be unable t o perceive the local citizens
as a reference group.
Learning the local language in order t o be able t o articulate
problems and reorient oneself is what is required to overcome
 AFFECTIVE FACTORS 213

culture stress, but as Smalley (1963) points out, culture shock and
culture stress can induce a whole syndrome of rejection which
diverts attention and energy from learning the second language
(18-19).
The first and perhaps most damaging target of rejection is the
people of the host country. The learner perceives the speakers of
the target language as the source of his disorientation and therefore
has difficulty forming the identifications necessary to learn their
language. Rejection may also be directed against the organization
for whom the learner is working. In this case the learner perceives
his sponsoring agency (Peace Corps, mission board, State Depart-
ment, company, host country institution) as the source of the
stress he feels. Under these conditions the learner may always have
resignation and return to his native country in the back of his
mind. Such a mental set may block the commitment to the host
country which is necessary for successful second language acquisi-
tion. The learner may also begin to reject himself. He may blame
himself for all the discomfort he feels and then consider himself
incapable of living in a foreign culture and of learning a foreign
language. Finally, the learner may reject his own culture. This
could have a positive effect on second language learning if it were
accompanied by a positive identification with the target culture.
But without the concomitant acceptance of the foreign culture, the
learner would exist in an anomic situation which would not be
conducive to second language learning.
Smalley also cites homesickness as another source of culture
shock. Here symbols of home assume enormous importance. The
learner may invest the foods, amusements, holidays and institutions
of his home country with so much energy that he has little left
over t o expend in acquiring the language of a culture where these
things do not exist. Another symptom pointed out by Smalley is
excessive worry about germs and sickness. Once again this syn-
drome can inhibit identification with members of the target culture
and can absorb energy necessary for second language learning.
Finally, culture shock and culture stress can manifest themselves in
concern for the education and well-being of one’s children. Here
the learner may be drawn into a ghettoized existence with other
people from his own country so that his children can be educated
as they would be at home.
Larsen and Smalley, however, offer an alternative to the
alienation engendered by culture shock and culture stress. They
suggest that,
214 LANGUAGE LEARNING VOL. 25, NO. 2

What the learner needs is a small community of sympathetic people

who will help him in the difficult period when he is a linguistic
and cultural child-adult. He needs a new family t o help him grow
UP (46).
They stress the importance of viewing the alien as a “child”. who
needs the surrogate family to socialize him to the new commu-
nity’s point of view. The new family can assume various forms. It
can be teachers, employees, colleagues, or simply friends. But
whoever constitutes the family must be able to provide the learner
with a sense of identity and help him t o cope with his environ-
ment such that he finds culturally appropriate solutions to the
problems he encounters. Also, the “family” must be willing to
correct the alien’s mistakes, provide him with access t o the
community-at-large, and serve as conversation partners and, where
possible, language teachers. In sum, the new family gives the alien
a place to start, offers protection until he becomes independent,
serves as a model for linguistic and social behavior, and provides an
entre to community-wide networks of relationships.

Attitude and Motivation in Second Language Acquisition

In the late 1950’s and 1960’s, Wallace Lambert, Richard C.
Gardner and others at McGill University began to examine the
influence of attitude and motivation on second language acquisi-
tion. Studies were conducted in Montreal, Maine, Louisiana, Con-
necticut and the Philippines. This research indicated that there
were two independent factors which contributed t o achievement in
second language learningaptitude and motivation. Aptitude con-
sisted of the kinds of abilities measured by the Modern Language
Aptitude Test (MLAT) developed by Carroll and Sapon (1959).
They were the ability t o code auditory phonetic material, the
ability to recognize the grammatical function of words in sen-
tences, the ability t o quickly learn a large number of word
associations, and the ability to infer linguistic rules from new
linguistic contexts. The motivation factor had two components-an
integrative orientation and an instrumental orientation. An inte-
gratively oriented learner is interested in learning the second
language in order to meet and communicate with valued members
of the target language community. A learner with an instrumental
orientation is one who has little interest in the people who speak
the target language but nevertheless wants to learn the language for
more self-oriented or utilitarian reasons such as getting ahead in
one’s occupation or gaining social recognition from one’s own
 AFFECTIVE FACTORS 215

membership group. Of the two types of motivation the integrative

orientation seems to be more powerful and more likely to sustain
the long-term effort necessary to learn a second language well.
Nevertheless it was found that in environments where there is an
urgency about learning a second language [such as English in the
Philippines (Gardner and Lambert 1972) or in India (Lukmani
1972)] an instrumental motivation can be very effective.
Gardner e t al. (1974) rerort a follow-up to this research
which was initiated in order tc develop a test battery to assess
attitudinal variables involved in the integrative motive for the study
of French as a second language. The test battery was designed to
be an attitudinal counterpart to such aptitude batteries as the
MLAT. The subjects for the study were English-speaking students
of grades seven t o eleven in public schools of London, Ontario. On
the basis of this research the authors have developed a model (see
Figure i) of second language acquisition which considers the social
milieu in which the second is acquired; individual differences in
intelligence, aptitude and motivation; and the second language
learning context (i.e., whether the language is learned with or
without instruction).
The social milieu involves the cultural expectations maintained
by the learner’s community concerning the speakers of the target
language and the acquisition of that language. Such expectations
involve ethnic stereotypes by which one community either positive-
ly or negatively values another community. The assumption is that
if the learner’s community positively values the target language
community these favorable views will be communicated to the
learner and will enhance his acquisition of the language. This
would be especially true if the learner’s community also held the
belief that the acquisition of the target language was both possible
and desirable. On the other hanc if the learner’s community held
negative stereotypes about the target language community and/or
felt that learning its language was either unnecessary or undesirable
the learner’s acquisition of the second language would be inhibited.
For children the most influential cultural expectations come
from their parents. In this regard, Gardner e t al. distinguish
between active and passive parental roles. A parent assumes an
active role in promoting his child’s language learning when he
monitors his progress, sees that he does his homework, praises his
success and in general encourages nim to learn.
A passive role is one in which the parent may encourage the
child to do well in his language classes by supervising his home-
work and by taking an interest in his grades, but at the same time
216 LANGUAGE LEARNING VOL. 25, NO. 2
 AFFECTIVE FACTORS 217

communicates to the child either negative attitudes towards the

speakers of the target language or towards the value of learning
that language. An example might be an American family temporari-
ly living overseas. The children attend a school where the target
language is taught and where native speakers of the target language
are among the student body. The parents may express the desire
that their children learn the language, insist that they study, and
perhaps even reward them for good grades. However, at the same
time they may make no effort to learn the language themselves,
openly express negative opinions about the speakers of the target
language and often reveal a desire to return t o the United States
where things would be better. Children receiving such contradic-
tory signals are not likely to learn the second language well.
The social milieu may not involve the family at all, however.
Adult learners moving to a new country toward whose people and
language they may be attitudinally either neutral or positive, will
most likely encounter other expatriates from their own country.
These people will hold certain views about the members of the
target culture which will be communicated very quickly to the new
arrival. If the views are positive and if bilingualism is an accepted
fact of life the new learner’s chances of success in second language
learning are greatly enhanced. However, if negative attitudes are
communicated to the learner, his task will be made more difficult.
Negative influences are especially likely to find fertile soil in a new
arrival who is already feeling uncomfortable and disoriented due to
culture shock and culture stress.
Among the individual differences contributing to language
learning, this model considers intelligence, aptitude, and motiva-
tion. Instrumental and integrative orientations are seen as products
of the social milieu and are antecedent to the major construct,
motivation. As mentioned earlier an instrumental orientation re-
flects utilitarian reasons for learning a second language. This
Orientation has not been extensively investigated but appears to be
useful in situations where bilingualism carries with it a high
instrumental value. A good deal of further research is needed in
order to more fully understand the dimensions of this orientation.
Gardner et al.’s research was designed to delineate correlates
of the integrative orientation and therefore this orientation is a
good deal better understood. The researchers state,
An integrative motive reflects a strong motive to learn the
language of another cultural group because of a desire to com-
municate with members of that community. Implicit in this
definition is a positive affect toward that community. The focus,
218 LANGUAGE LEARNING VOL. 25, NO. 2

however, is on wanting to communicate directly with valued

members of the second language community. In the extreme case,
it might be suggested that the individual wants actually to become
.
a member of that group.. (Gardner et al 1974:7-12,7-13).
Thus Gardner (1974, Reading No. 7) concludes that the integrative
motivation “seems to be one which is particularly effective in
many cultural settings where second-language acquisition is not
either necessary or perceived as an accepted fact of life” (5).
In the model, instrumental and integrative orientations lead
into the major construct, motivation. The total accumulated
knowledge about the motivational variables associated with learning
French, have led Gardner et al. t o propose the following (Figure 2)
classification of these variables.
Group Specific Attitudes refer t o the attitudes of the learners
toward the ethnic groups which speak the language being learned.
Generalized Attitudes are variables not directly related to the
target language community or the course of instruction. A success-
ful second language learner would be interested in foreign lan-
guages, non-ethnocentric, n on -auth oritarian and non-machiavellian
(i.e., have little tendency to manipulate others). Anomie refers to
feelings of dissatisfaction with or alienation from one’s own
cultural group. There is some indication that anomic individuals as
well as individuals with a high need for achievement will be
successful in learning a second language. Among Course Related
Characteristics it was found that students who had positive atti-
tudes towards learning French, the French course, the French
teacher and who felt that they had a good deal of parental
encouragement to learn French were likely to be successful learn-
ers. In addition, students who experienced substantial anxiety in
the French class were not as proficient in French as those who
were relaxed. Interestingly, it was not simply a generalized anxiety
that produced this result. General Classroom Anxiety and Audience
Anxiety were also considered, but it was only anxiety directly
related to the French class that depressed French achievement, One
might speculate that such anxiety might be a classroom counter-
part to what was discussed earlier as culture shock and culture
stress. Motivational Indices involve the learner’s reasons for study-
ing French, the amount of effort he is willing to expend in
learning (motivational intensity), and his desire to learn French.
Intelligence and aptitude, as already mentioned, operate inde-
pendently of attitude and motivation in regard to achievement in a
second language. Gardner (1974, Reading No. 1:4) points out that
one can go a long way on either aptitude or motivation, but one
 MOTIVATIONAL CHARACTERISTICS

GROUP SPECIFIC ATTITUDES
Attitudes toward French Canadians
Attitudes toward European French
r
M
n
COURSE RELATED CHARACTERISTICS MOTIVATIONAL INDICES GENERALIZED ATTITUDES ''
:
Attitudes toward learning French Integrative Orientation Interest in foreign languages
Attitudes toward t h e French course Motivational Intensity I
Attitudes toward the French teacher Desire t o learn French I r
I
Parental encouragement t o learn French I
I I
b
II I 8
I I

$.
-French class anxiety
f
-Ethnocentrism
-Authoritarianism
Anomie
-Machiavellianism
Need achievement

Figure 2. Aspects of the motivation to learn French (from Gardner et al. 1974)
220 LANGUAGE LEARNING VOL. 25, NO. 2

can go even further with both. In addition, intelligence and

aptitude appear t o have greatest influence on language learning
through formal instruction rather than through direct exposure to
the target language environment. Finally, whereas intelligence and
aptitude are fixed characteristics, it is possible that attitude and
motivation can be ameliorated so as to enhance second language
learning.
The next category considered by Gardner et al.’s model is the
context in which the second language is acquired. Here motivation
is seen as contributing t o both formal language training and
informal language experience. Intelligence and aptitude, as already
discussed, contribute more to formal language training because
classroom instruction tends to focus on academic skills (grammar,
translation, rote memorization of vocabulary, etc.) which more
directly tap the abilities associated with these two characteristics.
Gardner et al.’s model provides a powerful framework within
which the dynamic social and psychological factors involved in
second language acquisition can be understood. It makes clear the
roles of both aptitude and motivation in the second language
learning process and holds out the hope that when motivational
factors are better understood, we will be able to design language
teaching programs which can generate the attitudes and motivation
most conducive to producing bilinguals.

Empathy Studies
Alexander Z. Guiora and associates at the University of
Michigan have been attempting to study the relationship between
empathy and the ability to pronounce a second language. The
experiments that have been conducted to examine this relationship
must be seriously questioned, but the ideas which have been
generated by them are, nevertheless, intuitively appealing and in
general compatible with the ideas presented in the first two
sections of this paper.
Guiora (1972) defines empathy as:
. . . a process of comprehending in which a temporary fusion of
self-object boundaries, as in the earliest pattern of object relation,
permits an immediate emotional apprehension of the affective
experience of another, this sensing being used by the cognitive
functions to gain understanding of the other (142).
Guiora feels that people:
. . . who are more sensitive in their interactions with others, who
are more receptive to subtle cues of behavior and feelings, would
 AFFECTIVE FACTORS 221

have an enhanced capacity to discern those cues and nuances

which, when incorporated in speaking, produce authentic native-
like pronunciation (Taylor et al. 1969:463).

In order to relate empathy to the ability t o pronounce a

second language, an instrument called the Micro-Momentary Ex-
pression Device (MME) was developed. The MME consists of silent
film clips of patients in psychiatric interviews shown at various
speeds during which subjects are asked to indicate each observed
change in the patient’s facial expression. It was felt that empathic
observers would be able t o accurately detect such changes.
In a pilot study in 1967, Guiora et al. found a significant
relation between the MME and the pronunciation accuracy of
fourteen teachers of French and thus the researchers were en-
couraged to undertake further experimentation.
A second study (Taylor et al. 1969) was designed t o both
validate the MME as an empathy measure and to establish the
relationship between empathy and authenticity of pronunciation.
The Thematic Apperception Test-Sensitivity to Feeling was in-
cluded as a validation measure for the MME.
Twenty-eight college students viewed the film sequence and
recorded each change in facial expression they perceived by
pressing a button on a signal box. A week after the test battery
was administered, the subjects attended four one-hour sessions on
consecutive days where they were taught basic dialogues and
sentence patterns in Japanese by a native speaker. On the fifth day
they were tested by participating in a dialogue with the teacher in
which they used five specific sentences learned during the training
session and by repeating after the teacher five sentences based on
patterns introduced during training. Two native Japanese linguists
scored the tests.
The authors report that the MME was not related to the
Thematic Apperception Test-Sensitivity to Feeling which had been
included to validate the MME as a measure of empathy. Thus it
would appear that the MME measured only perceptual acuity and
did not measure empathy. In addition, there were no significant
positive correlations between MME scores and pronunciation
scores. In fact, the MME total score correlated negatively with
authentic pronunciation. Therefore, in terms of the original
hypothesis, this experiment did not demonstrate that empathy as
measured by the MME is related to the ability to pronounce a
foreign language authentically.
A third study was undertaken by Guiora and associates
(1972a) between July 1970 and June 1971 at the Defense
222 LANGUAGE LEARNING VOL. 25, NO. 2

Language Institute. The aim of the study was t o develop a test

battery which would predict pronunciation ability. The subjects for
the research were students engaged in a three-month intensive
course in one of five languages: Japanese, Chinese-Mandarin, Thai,
Spanish and Russian.
Three additional empathy measures were included in this
study to validate the MME. N o information concerning the inter-
correlations of these empathy measures was given, but the authors
report that of all the empathy measures the MME appeared t o be
the most consistent; it was among the five highest predictors for all
five languages. However, the direction of the correlations was
inconsistent. It was positive for Spanish, Russian and Japanese and
negative for Chinese-Mandarin and Thai. Guiora (personal com-
munication) points out that although the correlations were indeed
negative for Thai and Chinese-Mandarin, the conclusion that the
MME was among the five highest predictors for all five languages
was based upon the fact that the sample sizes for these two
languages were N=40 (Thai) and N=38 (Chinese-Mandarin) and thus
were quite small in comparison to the sample sizes for Russian,
N=201, and Spanish, N=109. Therefore, we must conclude that
neither Taylor et al. (1969, 1970) nor Guiora et al. (1972a)
establish that the MME is a valid measure of empathy, and that
neither study makes it unquestionably clear that the MME (and
hence empathy) is positively related to authentic pronunciation of
a second language.
Despite the weaknesses of the experiments reported above,
Guiora apparently maintained his belief in the hypothesis that
empathic capacity is related t o ability to pronounce a second
language. He has gone on to formulate a theoretical model in
which he appears to equate empathic capacity with the concept of
permeability of ego boundaries. Thus he further hypothesizes:
. . . that individual variations in the ability to approximate native-
like pronunciation in a second language are, in part, determined by
certain psychological variables best subsumed under the construct
empathy, or more broadly, the concept of permeability of ego
boundaries (Emphasis mine) (Guiora 1972:147).

In articulating this model, Guiora (1972) proposes a psychological

construct, “language ego,” which he sees as similar t o the Freudian
notion of body ego. Development of body ego is a maturational
process in which the child gradually acquires a body image,
becomes aware of his physical boundaries and is thus able to
distinguish himself from the object world around him. Guiora sees
language ego as the development of language boundaries. In the
 AFFECTIVE FACTORS 223

course of general ego development the lexis, syntax, morphology

and phonology of the individual’s language acquire physical out-
lines and firm boundaries. In the early formative stages of ego
development the language barriers fluctuate, but once ego develop-
ment is completed, the permeability of the boundaries is sharply
restricted.
The development of the language ego directly parallels that of
general ego development. In the early stages of development the
boundaries of the language ego are in a state of flux and, hence,
pronunciation ability is quite malleable. One clear manifestation of
this state of affairs is the child’s relative ease in assimilating
native-like pronunciation in a foreign language. Once these bound-
aries become set, in terms of the degree to which they will be
allowed to fluctuate under normal circumstances, the ability to
approximate authentic pronunciation in a second language will be
drastically reduced.
It is our contention that second-language learning in all of its
dimensions exerts a vcly specific demand with regard to self-
representation. Essentially, to learn a second language is to take on
a new identity. Since pronunciation appears to be the aspect of
language behavior most resistant to change, we submit that it is
therefore the most critical to self-representation. Hence, we pro-
pose that the most sensitive index of the ability to take on a new
identity, i.e., the degree of permeability of language ego bound-
aries, is found in the ability to achieve native-like pronunciation in
a second language. Considering that empathic capacity is also
dependent upon the ability to partially and temporarily give up
one’s separateness of identity, we propose that individual differ-
ences in the ability to pronounce a second language should reflect
individual differences in empathic ability (Guiora e t al.
1972b:422).

The notion of ego permeability may offer another explanation

for successful second language acquisition which might serve to
complement Guiora’s ideas. Guiora suggests that ego permeability
permits the language learner to partially and temporarily give up
his separateness of identity from the speakers of the target
language. Since “permeability” might also be internal as well as
external, Ernst &is7 (1952) notion of “regression” in the service of
the ego is perhaps applicable here. Kris feels that in many types of
creative processes the ego undergoes a partial and temporary
regression to more primitive functions. I t is necessary t o differenti-
ate Kris’ notion from pathological regression which may occur in
an uncontrolled fashion. Kris is referring t o controlled or adaptive
regression by which a mature and healthy ego relaxes and reverts
from secondary processes to primary process thinking.
Secondary process is the normally dominant mode of thought
for the mature ego. I t is primarily verbal and follows the usual
224 LANGUAGE LEARNING VOL. 25, NO. 2

laws of syntax and logic. Primary process thinking, on the other

hand, is an attribute of those childhood years when the ego is still
immature. Primary process is characterized by the absence of
negatives, conditionals or other qualifying conjunctions. It has no
sense of time and does not distinguish among past, present and
future. Opposites can appear in place of one another and mutually
contradictory ideas can exist in harmony. Also, a part of an idea
or an object can represent the whole and several different thoughts
can be represented by a single thought or image (Brenner 1957). It
is possible that primary process modalities provide an appropriately
unbiased mental set in which the second language can be acquired,
and that successful adult second language acquisition is accom-
plished by the learner’s access t o primary process through an
ability t o undergo an adaptive regression. Researchers with a
psychoanalytical orientation might want t o attempt t o operation-
alize this concept t o see if successful second language learners do
indeed revert t o primary process thought modalities when dealing
with the target language. Pine and Holt (1960) have explored
expression and control of primary process as assessed by a special
scoring of the Rorschach Test (Holt and Have1 1960). This work
may suggest approaches t o the study of the relationship between
primary process thought and second language acquisition.
Guiora’s theoretical speculations lack experimental verifica-
tion, but they do carry intuitive appeal. Children d o generally learn
a second language without an accent, becoming bilingual does seem
t o involve taking on a new identity, “foreign accents” are difficult
for adults to overcome, and the desire to take on a new identity
(integrative motivation) is often associated with successful second
language acquisition.
This theoretical model led t o Guiora’s most convincing experi-
ment (Guiora et al. 1972b) which involved assessing subjects’
pronunciation of a second language after the ingestion of small
amounts of alcohol. Guiora views the lowering of inhibitions via
alcohol as a means of “operationally inducing a state of greater
permeability of ego boundaries or the ability to partially and
temporarily give up one’s separateness of identity’’ (Guiora e t al.
1972b:427). This produces a chain of reasoning (lowered inhibi-
tions induced by alcohol produce permeability of ego boundaries
which is the essential component of empathy) that, once again,
may be intuitively appealing, but which nevertheless must be seen
as an unsubstantiated assumption.
Eighty-seven University of Michigan students served as sub-
jects for the experiment. The subjects were assigned to one of five
 AFFECTIVE FACTORS 225

treatment groups where they consumed either three, two, one and
a half, one or zero ounces of ninety proof liquor in a “cocktail”
presented by the experimenters. The zero-alcohol conditions was a
drink designed to simulate the other “cocktails.” Ten minutes were
allowed for the drinks t o take effect and then the testing was
begun. A test called the Standard Thai Procedure (STP) which
examines phonetic features of the Thai language was designed t o
assess pronunciation.
The results show that performance on the STP is highest with
the ingestion of one t o one and a half ounces of alcohol. Alcohol
consumption a t this level produced results which were significantly
higher than those of the no alcohol condition. The two and three
ounce conditions taken together were significantly lower than the
n o alcohol control. Performance on the Digit Symbol Test which
measures intellectual capacity declined (though not significantly)
with increased ingestion of alcohol. The authors feel the fact that
performance on the DST was unaffected by small quantities of
dlCOh01 while performance on the STP showed an increase and
then a decrease indicates that pronunciation ability is dependent
on permeability of ego boundaries induced by the consumption of
alcohol .
The important question raised by all of the “empathy”
experiments is whether empathic capacity is only necessary for the
acquisition of authentic pronunciation or whether it is necessary
for second language learning in general. In other words, is empathy
only related t o the phonological aspects of second language
learning or is it also related t o the acquisition of morphology,
syntax and vocabulary? Guiora (1972) seems t o take the latter
position:
. . . I would submit that empathic capacity is related not only to
pronunciation ability, but also, in yet to be determined ways, to
the overall capacity to acquire a second language, i.e. to incorpo-
rate a new system of communication (145-6).
However in another article (Guiora et al. 197213) he appears t o
take the former position:
. . . we believe that the findings lend conclusive support to our
view that pronunciation ability is indeed a unique feature of
second language learning in that individual differences in that skill
appear to be directly related to flexibility of psychic processes as
contrasted with highly integrated ego functioning which plays a
major role in learning and manipulating grammar, syntax and
vocabulary (427).

If we accept the position that empathic capacity is related

only t o pronunciation ability then are we t o assume that all people
 LANGUAGE LEARNING VOL. 25, NO. 2

(such as Henry Kissinger) who speak second languages with accents

lack empathy? With reference t o this example, Guiora (personal
communication) points out that statistical evidence of the sort
provided by the empathy experiments aims t o account for a
portion of the variance. Clinical examples in the other direction are
t o be expected. In other words, just because a person has a foreign
accent is not proof that he is non-empathetic. However, were such
a person shown to be non-empathetic, this characteristic would fit
with his language behavior. Would we also have t o assume that a
person is unempathic if he moves into an area where his native
language is spoken with a different accent, but he nevertheless does
not adopt that accent? Accents are often maintained for social
reasons. They can serve t o mark one’s membership in a particular
social group. If it is important that such membership be made
known, the accent may be maintained without excluding the
possibility that the speaker is an empathic individual.
I would submit that empathic capacith or ego flexibility,
particularly as operationalized under the concept of “lowering of
inhibitions,” is best regarded as an essential factor in the overall
ability to acquire a second language rather than simply in the
ability to acquire an authentic pronunciation. If we accept that
“lowering inhibitions” is necessary for the acquisition of a second
language in general, then the fourth experiment assumes a special
importance because it does not view ego flexibility and hence
empathic capacity as a stable state found in certain adults but not
in others. Instead it views ego flexibility as inducible. If artificial
agents such as alcohol can foster permeability of ego boundaries
and reduce inhibitions then it would not be unreasonable t o
assume that given the right concatenation of natural psychological
factors, permeability of ego boundaries might be possible for
everyone.
In this regard the deleterious effects of language shock and
culture shock described in the first part of this paper can be better
understood. Just when inhibitions must be reduced in order t o
learn the second language, the anxiety caused by language and
culture shock increase inhibition and reduce ego flexibility. The
learner is caught in a circular trap-he must have ego flexibility to
learn the second language, but contact with that language and its
culture causes the ego t o become rigid. At some point the circle
must be broken, and how this is to be done becomes the major
issue in second language education.
As mentioned above, the right concatenation of natural
factors might be able not only to overcome language and culture
 AFFECTIVE FACTORS 227

shock but also reduce inhibitions over a long period of time to a

level equal to that produced by the consumption of alcohol for a
short period of time. Finding oneself in the hands of a “new
family” as suggested by Larsen and Smalley might be one solution.
In general, I think we can say that the natural factors which will
induce ego flexibility and lower inhibitions are those conditions
which make the learner less anxious, make him feel accepted and
make him form positive identification with speakers of the target
language.
An approach t o language teaching devised by Curran (1961,
1972) seems t o implicitly recognize the need for ego permeability
achieved through reduced inhibitions. Curran is a clinical psycholo-
gist who is interested in applying counseling skills t o the teaching
of foreign languages. Curran observed that many people when
attempting t o learn a second language experienced anxiety and felt
threatened. He noted that ‘reactions’ of such learners are very
similar t o those of people in beginning counseling interviews when
they try t o describe their personal problems. Adopting the counsel-
ing situation as a model for language instruction, Curran refers to
the student as a “learner” or “client” and t o the teacher as a
“counselor” or “knower.” To break down inhibitions Curran
creates a learning situation that is characterized by warmth and
acceptance. The role of the counselor is t o communicate empathy
for the learner’s threatened state “. . . t o aid him linguistically; and
then slowly t o enable him t o arrive a t his own increasingly
independent language adequacy’’ (1960: 82). This is essentially the
same role assigned t o the surrogate “family” by Larsen and
Smalley .
Curran’s language learning process involves five states of
adaptation. Small groups of learners (six t o twelve) sit in a closed
circle facing each other. The counselor or counselors who know
the language sit outside the circle. There is no syllabus and learning
proceeds through free conversation.
In the first stage, the learner is completely dependent upon
the counselor. The learner decides what he wants t o say, tells the
counselor in English so that the other learners can hear. The
counselor then reflects the learner’s ideas back t o him in the target
language in a warm accepting tone. The learner then attempts to
express his ideas t o the group in the target language. The counselor
helps him when he encounters difficulty.
In the second stage, the learner expresses his ideas to the
counselor in English and then without the aid of the counselor’s
translation he presents them directly t o the group in the target
228 LANGUAGE LEARNING VOL. 25, NO. 2

language. The counselor only intervenes when it is clear that the

learner needs and/or wants help. This is called the “self-assertion”
stage.
In the third stage, the learner communicates his ideas to the
group in the target language without first expressing them to the
counselor in English. An English translation is only provided if one
of the group members requests it.
In stage four, the learner becomes confident enough t o receive
correction from the counselor. Thus as the learner speaks directly
t o the group in the target language the counselor in a sensitive way
intervenes t o correct errors. In the final stage the learner is
independenl and the counselor’s role is to both correct errors and
t o provide suggestions for more idiomatic and elegant expression.
As Stevick (1973) reports, the results of this method have not
been demonstrated by scores on standardized tests. Thus we only
have subjective observational reports of its success. However it is
interesting t o note how this method operationalizes the notion that
successful second language learning requires the reduction of
inhibitions (ego flexibility) and thus adds intuitive support to
Guiora’s basic position.
In sum, it would appear that while some of Guiora’s experi-
ments are fraught with problems, the ideas which motivated the
experiments and which evolved from them are indeed valuable
because they provide us with another perspective with which t o
view second language learning. Perhaps future research within this
framework will produce more definite results.

The Problem of Age in Second Language Acquisition

I t has been widely observed that children learn second
languages more easily and more proficiently than do adults. The
most prevalent explanation for this phenomenon is that, in the
process of biological maturation, the flexibility necessary for
mastery of a second language is lost. Nevertheless, there are adults
who d o become bilinguals, even t o the extent that their speech
becomes indistinguishable from that of native speakers of the
target language. Consideration of the affective factors discussed in
this paper may provide an explanation which will account for both
successful and unsuccessful adult second language acquisition.
The biological argument. Penfield and Roberts (1959) main-
tain that the difficulty adults have in learning second languages is
the result of the completion a t puberty of cortical lateralization in
which language functions become localized in the left cerebral
 AFFECTIVE FACTORS 229

cortex and the former plasticity of the brain atrophies. Lenneberg

(1967) maintains essentially the same position. He feels that “there
is evidence that the primary acquisition of language is predicated
upon a certain developmental stage which is quickly outgrown at
puberty” (142). Lenneber! uses data from aphasia and mental
retardation t o support his position. He points out that production
and comprehension difficulties produced by aphasia are not perma-
nent in children. In preadolescents, the cerebral hemispheres have
not yet acquired specialization of function. Thus, when children
between the ages of two and ten incur brain damage in the left
hemisphere, language learning can occur in the right. After
puberty, however, language functions appear t o become fixed in
the left hemisphere of the brain. Thus, if brain damage occurs after
the age of fourteen, the brain lacks the flexibility necessary t o
shift language functions t o the right hemisphere. Presenting evi-
dence from mental retardation, Lenneberg points out that retarded
children appear t o learn language in the same sequence as normal
children, but a t a much slower rate (154-55). The process,
however, stops at puberty and if the child’s language acquisition
has not been completed by that time, it develops n o further.
Recent research by Krashen (19731, however, indicates that
cortical lateralization is completed by the age of five and therefore
does not account for difficulties in second language acquisition
after puberty. Lenneberg had stated that the subjects on which he
based his statements had incurred brain lesions “before teens.”
Krashen, using the same data, reports that in all cases the lesions
had been incurred before the age of five. He therefore speculates
that lateralization may correspond t o normal first language acquisi-
tion and as a result would not produce a barrier t o adolescent and
adult second language learning. Although Krashen’s work Lees
weaken the argument that cortical lateralization is responsible for
adult second language learning difficulties, we cannot entirely rule
out the possibility that these difficulties are related t o some kind
of neurological maturation. But the questioning of cortical laterali-
zation does clear the air t o explore other explanations for the
problems older learners have in acquiring second languages.
The affective argument. There are several indications in the
literature that language learning difficulties after puberty may be
related t o the social and psychological changes an individual
undergoes at that age. Larsen and Smalley (1972) state,
As puberty approaches and the individual is concerned with the
consolidation of his personality, it apparently becomes more
difficult for him to submit to the new norms which a second
230 LANGUAGE LEARNING VOL. 25, NO. 2

language requires. As an individual’s dependence on others gives

way to his own independence in satisfying needs, there seems to
be less pull toward the internalization of new norms required by a
second language (1 60).

In a cross-national study of children’s views of foreign peoples

Lambert and Klineberg (1967) found that the age of ten or so is
perhaps the most beneficial developmental period for introducing
cultural differences. I t is at this age level that children are more
likely to view foreign people as different but at the same time
interesting. After the age of ten (and before it) children tend to
associate “different” with “bad.”
Guiora et al. (197213) view pronunciation ability as being
“quite malleable” in the early stages of the development of
language ego. Once the boundaries of the language ego become
fixed, however, the ability to assume native-like pronunciation is
greatly reduced. Thus if the development of language ego is
completed around the age of puberty (Guiora et al. d o not speak
to this issue) it may be the concomitant reduction in ego
flexibility that makes language learning difficult for adults and
older adolescents.
Curran (1961) feels that children acquire second languages
more easily than adults because they are less threatened by the
sounds of the new language and because they are willing to depend
on others for support in learning. The adult, on the other hand,
has acquired a basic security in his own language and is not
ordinarily threatened by rejection when he speaks it. But when he
attempts t o communicate in the new language his normal linguistic
securities are undermined, and he finds himself in a dependent
state which he may resist.
All these positions suggest that social and psychological
maturation may be as important or even more important than
neurological maturation in accounting for difficulties in adult
second language learning. Many adults do become bilingual and do
gain aural-oral proficiency in a second language. Successful adult
second language acquisition might be explained by the fact that
under certain conditions adults can overcome the social and
psychological barriers of their learning. External factors such as
finding a surrogate family (Larsen and Smalley) or finding language
instructors who have a deep understanding and acceptance of the
learner’s inadequacies, anxieties and insecurities (Curran) could
enable the learner t o overcome the trauma of language shock and
culture shock. In addition, internal factors such as the development
of an integrative motivation (Lambert e t al.) might foster ego
 AFFECTIVE FACTORS 231

permeability such that the learner is able to partially and tempo-

rarily give up his separateness of identity from the speakers of the
target language (Guiora et al.) and t o incorporate a new identity so
essential t o bilingualism.
The following model might be used t o further explicate the
issue of age in second language learning.
This model assumes that when the initiating factors are
operating such that the learner has empathic capacity, motivation
and attitudes which are favorable t o both the target language
community and language learning itself, his cognitive processes will
automatically function t o produce language acquisition. (Intelli-
gence and aptitude may also play a role here, but most probably in
regard t o rate of learning rather than in regard t o the extent of
learning.) The affective argument would claim that in children the
initiating factors are generally favorably tuned o r a t least sufficient-
ly neutral so that when exposed t o the target language, the child’s
cognitive processes will function t o produce language learning. In
adults, however, the development of firm ego boundaries, attitudes
and motivational orientations which is concomitant with social and
psychological maturation places constraints on the initiating factors
such that they may block or a t least inhibit the cognitive processes

WHY? HOW?
Initiating Cognitive
Factors Processes
1. attitude 1. generalization
2. motivation 2. imitation
3. empathy (ego 3. inference
permeability, 4. analogy
inhibition) 5. rote memory
etc.
WHAT?

Linguistic
Results
1. Appearance of present progressive
a. ing He going
b. aux He’s going
2. Appearance of interrogative
a. You going?
b. Are you going?
c. What you are doing?
d. What are you doing?
etc.

Figure 3. A model of second language acquisition.

232 LANGUAGE LEARNING VOL. 25, NO. 2

from operating on the target langupge data t o which the adult

learner is exposed. Unlike biological maturation, however, social-
psychological maturation is not unalterable. As suggested above,
under the right conditions the initiating factors in the adult can be
ameliorated t o permit successful second language acquisition. It
should also be noted that since affective influences on second
language learning are not strictly related to maturation, unfavorable
parental attitudes towards the target language or its speakers can
influence the child’s initiating factors and also inhibit his acquisi-
tion of the second language.
The affective argument would maintain that children are no
better equipped cognitively t o learn a second language than are
adults. Thus in terms of cognitive ability both are equally capable
of becoming bilingual. Taylor (1974) takes essentially the same
position, but goes even further and reasons that “the adult’s more
advanced cognitive maturity would allow him t o deal with the
abstract nature of language even better than children (32-33).
Similarly, Macnamara (1973) argues that children exposed to
speakers of the target language learn better than adults because
they get involved in real communication in order t o understand
what their peers are saying t o them and in order t o make what
they want to say clear t o their peers. He feels that adults do not
learn second languages t o the extent they d o not get involved in
such vital communication. If this is true, then the question
becomes why don’t adults become involved in real communication?
One reason may be socialization. That is, because of the way
society functions, adults may not usually be provided with exten-
sive enough opportunity t o develop their second language skills
through genuine communication with speakers of the target lan-
guage. Although this position must be considered, the position
most consonant with the affective argument is that problems with
the adult’s attitudes, motivation and/or empathic capacity which
are brought about by either general social-psychological develop-
ment or language and culture shock prevent him from getting
involved in communication which will lead t o successful second
language acquisition.
In sum, it would appear that due to the complexity of second
language learning, i t is essential that new and varied research
paradigms be explored. In this regard, the affective domain seems
t o provide a particularly fruitful area in which differential success
in second language acquisition can be studied.
 AFFECTIVE FACTORS 233

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