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ANNALS, AAPSS, 490, March 1987

TheoreticalLinguistics,Second Language
Acquisition,and LanguagePedagogy
By FRANK HENY

ABSTRACT: For three decades theoretical linguistics has had little


impact on language teaching, although sociolinguistics has been employed
in curriculum design and test construction. Applied linguistics has been
eclectic and has seldom applied pure linguistic research. Theoretical
linguists, for their part, have not encouraged attempts to apply their
results. Theory and practice were separated largely because the theoretical
results were so tentative. However, recent theoretical advances suggest
important applications for linguistic theory in foreign language teaching
and in the testing of proficiency. The acquisition of a nonnative language is
probably subject to biological constraints that are closely related to those
factors that guide and control first language acquisition. Methodology and
test construction must allow for this. Research must determine precisely
what the factors are and how they interact. Theoretical linguists interested
in such research should be included in interdisciplinaryteams working on
foreign language learning and testing.

Frank Heny was born in Zimbabwe. He obtained a Ph.D. in 1970from the University of
California at Los Angeles. He was professor of linguistics and philosophy at Groningen
University, The Netherlands,from 1975 until he resigned in 1983 to develop undergraduate
linguistics in the United States. He has since held visiting appointments at the Universitiesof
Vermontand Minnesota, Carleton College, and the State Universityof New Yorkat Albany.
He founded and coedits the journal Natural Languageand LinguisticTheory and a
companion monograph series.

194
THEORETICAL
LINGUISTICS 195

THEORETICAL linguistics offers duringearlychildhood.Suchanapproach


no panacea to language peda- to the study of languageis allied more
gogues.In fact, atthe presenttimeit still closely to the naturalsciences,in par-
has few, if any,concreteresultsthat can ticular to theoreticalwork in biology
beeffectivelyappliedin secondlanguage and evolutionarytheory, than to the
teaching;and no contemporarylinguist socialsciences.Thereareotherkindsof
wouldoffera recipeforlanguageteachers linguisticsthat are theoreticalin other
in the waythat the linguistsof a genera- senses,suchas sociolinguistics,whichis
tion ago developedandfor a timeexclu- theoreticalin roughlythe samewaythat
sivelydefendedtheaudiolingualmethod. othersocialsciencesare,butI willnot in
Nevertheless,for the first time in three generalbe referringto suchworkwhenI
decades, significantnumbersof theo- use the term"theoreticallinguistics."
reticallinguistsare seriouslyinterested I wishto narrowthe focusin thisway
intheprocessof secondlanguageacquisi- becauseit nowseemslikelythatresearch
tion. Their researchhas taken a turn of the sortjust alludedto could,overthe
that permits-and indeedforces-them relativelyshortterm,yieldinsightsthat
to undertake systematic comparative would contribute significantlyto the
workon languagestructure,andthereis learningandteachingof nonnativelan-
reasonto believethatcurrenttheoretical guages.Otherpureresearchon human
researchon languagecould, if properly language-on language use, for ex-
encouraged,yieldinsightsof greatrele- ample-is also obviously relevant to
vance to curriculumdevelopment,test language pedagogy; this relevance is
design, and teaching. To investigate more generallytaken for grantedand
and,if possible,to realizethis potential, needslessemphasis.Moreover,theredo
appropriateresearchmustforma signifi- not appearto have been any very dra-
cant componentof any attemptto in- matic developmentsin such areasthat
creasenationallanguageproficiency. might warrantspecial attentionat the
Although"theoretical linguistics"can presenttime. Thus my focus will be on
be understood to comprehend any recentattemptsby theoreticiansto map
pure-that is, non-applied-researchon outthestructureof thementalstructures
humanlanguage,I willgenerallyrestrict that guide earlylanguagedevelopment
the term "theoretical"to researchin- in normal members of the human
tended to yield a rigorous, coherent species.
account of languagestructure,in par- It mightseemthat if therehavebeen
ticular an explanation of the funda- significantrecentdevelopmentsin theo-
mentalprinciplesunderlyingthe organi- reticallinguistics,thesecould simplybe
zation of humanlanguage.To date, the appliedto pedagogyandtesting.Thisis
most promisingwork of this sort seeks not so. Thetheoreticalresultsaresugges-
to derivethoseorganizationalprinciples tive,buta gooddealof researchremains
directlyfrom evolved,and thus innate, to be done to bridgethe gap between
characteristicsof the human species. those resultsandthe practicalproblems
More specifically, the organizational of learninga nonnativelanguage.What
principlesarederivedfromthoseproper- is neededis practical,empiricallytested
ties of the species that lead to, and investigationdone by theoreticallyso-
control, the developmentof language phisticatedresearchteamsworkingwith
196 THE ANNALSOF THE AMERICANACADEMY

second languagelearners.Such teams on languagestructuredid not appearto


will consist of theoreticians,"applied" be yieldingresultsof any practicalim-
linguists,and pedagogues.' portance.But,asI havealreadyimplied,
thesituationnowappearsto bechanging
LINGUISTICSAND LANGUAGE veryrapidly.
TEACHING:PAST AND PRESENT

Linguisticsis a youngdiscipline.The Threedecadesof appliedlinguistics


Linguistic Society of America was
founded in 1924, and the field only Linguistsengaged in pure research
have generally had little professional
reallybeganto developa distinctidentity interestin applyingtheirresultsto prac-
in this countryin the thirties.Fromthe
tical problems.This situation will by
verystart,it hasseemednatural,especially andlargepersist:thetheoreticalphysicist
to nonlinguists,thatinsightsgainedfrom
is not professionallyinvolved in the
research on language should be ap-
developmentof warheadsor the uses of
plicable, above all, to the teaching of nuclearpower.Thereexists a field that
languages,nativeand nonnative.Yet it
has seldomprovedpossibleto applythe might seem to bridgethe gap between
results of such research to language purelinguisticresearchandits practical
utility:appliedlinguistics."Appliedlin-
teaching,andoverthe pasttwentyyears
much skepticism has developed re- however,is a peculiarly
guistics," inappro-
gardingthe possibilityof everdoing so. priateterm. It is not primarilyengaged
in the applicationof linguisticresearch
In particular,it has been increasingly
topracticalproblems and,indeed,through-
taken for granted by many of those
out most of its historyhashadfarcloser
involvedin languageteachingthat pure
links with pedagogy, communication
researchon language structureis too
abstract or formal ever to have any studies,and aspectsof psychologyand
sociologythanwithlinguistics.Moreover,
practical implications. Only research it has been concernedwith only a very
into language use-pragmatics, dis-
limitedrangeof problems,mostlyhaving
course analysis, sociolinguistics, and
to do with languageteaching and in
languageprocessing-mightconceivably
be applied to practicalproblems.For particularwith the teachingof English.
much of the recentpast such an assess- There are many practicalproblemsto
mentwasnotunreasonable. whichlinguisticresearchmightbe rele-
Pureresearch
vantthat,to date,havesimplynot fallen
1. Theseteamswillalsoinclude,whereappro- underits domain.
priate,sociolinguistsandpsychologists.Linguists Preciselywhenappliedlinguisticsbe-
primarilyinterestedin experimentalwork on gan to be recognizedas a distinctfieldis
acquisition,or speechprocessing,ratherthan in rather unclear. In this country the
theinvestigationof thelanguagesystemsareoften
called psycholinguists.If the field of theoretical founding of the Center for Applied
linguisticsis identifiedin the way that I have Linguistics(CAL) in 1959 markedits
suggested,it is not clear that there is any real effectivebirth.Language teaching-more
justificationfor makinga sharpdistinctionalong specificallythe teachingof Englishas a
suchlines,sincealltheoreticallinguistsarepsycho-
linguistsin thattheyhaveno goal otherthanthat
foreignor secondlangauge-has always
of understandingthe innateprinciplesof mental beenat the heartof CAL'sconcerns,and
organizationthat resultin the observedstructure in othercountries,suchas GreatBritain,
of language. appliedlinguisticswas alreadymoreor
THEORETICALLINGUISTICS 197

less identifiedbythattimewithresearch tion habits-speech-which produced


in the teachingof Englishas a foreignor the sounds, and the habitualmodifica-
secondlanguage.Thusappliedlinguists tions in behavior that those sounds
have alwaysbeen primarilyengagedin inducedin the hearer.This thoroughly
research related directly to language behavioristandpositivisticaccount,de-
pedagogy, especially the teaching of riving in large part from the work of
Englishto nonnativespeakers. LeonardBloomfield,had clearimplica-
For most of the period since the tions for the languagepedagogue.
emergenceof the discipline,appliedlin- If languagewereno morethanhierar-
guistshave,verypragmatically,adopted chically structuredpatterns of sound
techniquesandideasfrommanysources linkedto varioushabit patterns,and if
to solve their problems,and they have learninglanguageinvolvedmakingulti-
often had relativelylittle exposure to mately simple responsesto ultimately
pure linguistics.Becausethe resultsof simplestimuli,thenit shouldhavebeen
linguistic research,especiallyresearch a simplematterto increasetheeffective-
on languagestructure,havehadlittleto ness of languagelearning.At least two
sayaboutlanguageteaching,suchadop- things seemed necessary:an accurate
tion was perfectlynatural.However,it descriptionof the hierarchicalstructure
meansthat,contraryto whatis probably of the languageto be learned,and a set
a naturalassumption,the appliedlin- of drills based directlyon this analysis
guistis notnecessarilyatallwellequipped anddesignedto functionas stimulithat
to interpret and apply the results of would elicit appropriateresponsesand
theoreticallinguistics. henceinculcatethe desiredhabitsin the
Thiswasnot alwaysso. For a while- learner.Pure linguisticresearchwould
until shortlyafterthe foundingof CAL, supplythe analyses,in additionto justi-
in fact-there seemedto be some hope fyingtheendeavorin the waythatI have
of applyinglinguisticsto the problems sketched,andtheappliedlinguistwould
of languageteaching-and perhapsto use these to develop drills. Also, since
other areas, too. During the fifties, thehabitsof the originallanguagemight
whichsaw the first movestowardinsti- interfere withthatto beacquired,contras-
tutionalizingthe field in this country, tive analysesof languageswouldhelpto
the most plausibleaccount of human highlight and solve problems arising
languagelent itselfvery readilyto such when the original habit patterns in-
application. Linguists were confident terferedwith the acquisitionof a new
thattheyhadthekeyto humanlanguage: set.
it wasa pairingof hierarchically
arranged Therewas no questionin those early
units of sound together with accom- days but that the field was applied
panying patterns of behavior. Every linguistics;it involvedthe applicationof
part of language was ultimatelycon- researchon languagestructureto the
structed out of elements that were practicalproblemsof teachingnonnative
directly present in the sound signal. languages.Thepureresearchin question
Language learning involved no more was not theoreticalin the narrowsense,
than a seriesof behavioralresponsesto for the linguists of the fifties did not
auditorystimuli.Languagein use was a concernthemselveswithtryingto account
complexof habitpatternslinkedto the for why languagepatternsare as they
hierarchicalsoundstructures:theproduc- are.Theysimplydescribedpatterns;the
198 THE ANNALS OF THE AMERICAN ACADEMY

patternsresultedfromhabits-or, better noranyoneelsewasableto translatethis


still,werethemselveshabits.Thetaskof intotermsthathadanyclearimplication
the appliedlinguistwas simplyto work for theteachingof nonnativelanguages.
out the best way of developingthose It was duringthisperiodthat applied
habits. linguistics became quite eclectic. The
Manypeoplewhoareneitherlinguists teachingand evaluationof Englishas a
norinvolvedin languageteachingknow second or foreignlanguage-or of any
how this supposedlyscientificapproach nonnativelanguage-have beenaffected
to languageteaching,afterits apparent not by contemporaryresearchon lan-
successesduring World War II, when guage structure,but mainly by work
many linguistsbecameinvolvedin de- directedto the use of language:prag-
vising crash language courses for the matics-including the work of philos-
armedforces,beganto come underfire. ophers and linguistson speech acts-
The failureof the audiolingualmethod discourse analysis, psychology, com-
and the realizationthat thereis a great munication,and sociology-especially
deal more to the effective teaching of aspectsof sociolinguistics.Fromtimeto
nonnativelanguagesthan the mechani- time, this teachingand evaluationhave
caldevelopmentof habitpatternsmirror- attempted to construct independent
ing the formal,grammaticalproperties approaches to problems of language
of the target language led to a rapid teachingand acquisition,as in the work
changein approachanda loss of faithin of Selinker on interlanguage.3Most
the relevanceof linguistics.2Of course, recently,someattemptshavebeenmade
by the latesixtiesandearlyseventies,the to useideasaboutmeaningdevelopedin
positivisticview of science and the be- the context of artificialintelligence.
havioristicpsychologyupon which de- Concepts that have influencedlan-
scriptive,or structuralist,linguisticswas guage pedagogy and testing, a good
based were far less firmly entrenched. examplebeing"communicative compe-
Butno accountof languagewasavailable tence," have sometimesresultedfrom
at thattimethatcouldreplacetheearlier attemptsby sociolinguistsandothersto
onethathadprovidedtheinitialfounda- extend ideas originatingwithin theo-
tions for appliedlinguistics,or for the retical linguisticsto cover aspects of
audiolingualmethodwith whichit was languageuse. Theyhavenot themselves
so closelyassociatedin theearlyyears.It beena partof anyrigorouslytheoretical
was quite clear that languagewas not attemptto isolateandexplainthefunda-
simplya passivelyacquiredset of habits mental characteristicsof language it-
built arounda hierarchicallystructured self-those thatarenarrowlydetermined
sound system.Theoreticallinguists,at by propertiesof the species.4Thusthere
least,wereconvincedthat languagewas
3. Larry Selinker, "Interlanguage," Inter-
far more complex than this and that national Review of Applied Linguistics, 10:209-31
aspects of the system were ultimately (1972).
determinedbyevolved,innateproperties 4. Since the notion of"communicativecompe-
of the humanspecies.But neitherthey tence" has played such an important role at times
in applied linguistics, it may be worth emphasizing
2. See, for example, Wilga Rivers, The that Hymes himself consciously used the word
Psychologist and the Foreign-Language Teacher "theoretical"in his paper introducing the notion-
(Chicago: University of Chicago Press, 1964). but he carefully pointed out how he intended this
Rivers was, in fact, ahead of her time. to be taken: "This paper is theoretical. One
THEORETICAL LINGUISTICS 199

has beenno singlesourceof insight,and thoughit laid the foundationsfor what


therehas beenmuchconflictingadvice; hasfollowed.Analysisin termsof gram-
teachingmethodsand evaluationhave maticaltransformations was reallyonly
been based hardly at all upon solid well suited to the descriptionof En-
knowledge about language but upon glish-the languageon whichChomsky
ideas drawn from many disparate workedin developingit-as manyfield
sources. linguistscomplainedbitterly,rightfrom
the start. Hence there was in principle
Theoreticallinguisticsin the no wayin whichtransformational analy-
sixties and seventies sis could yield any insight into the
fundamentalstructuralrelationshipsbe-
Two years before the founding of tweenlanguages.Forexample,although
CAL, Chomsky'sSyntacticStructures a long tradition of philological and
was published.5This work, and the
linguisticwork on languagehas made
unpublishedmaterialfromwhichit was moreor lessvaguereferenceto "passive"
extracted,laid the foundationsfor the sentencesin manylanguages,therewas
developmentof thetheoreticallinguistics no way within transformationalgram-
of the sixties and seventies.The really mar of determiningsystematicallyfor
importantchangethatChomskyeffected any language whether it included a
in linguistics was to provide a new
structurecomparablein significantways
goal-and anincreasinglyspecificappa- to the Englishpassive-or to any other
ratusfor realizingthatgoal. I referredin
structurein any language.
the introductionto both: the goal is to
Obviouslysuchanaccountof language
provide a completely rigorous expla- couldyieldno scientificallybasedinsight
nationfor an everincreasingsubpartof
into the similaritiesor differencesbe-
the structureof human language;the
tween the native and target languages,
methodwas, in broadterms,to develop
let aloneilluminatetheprocessof second
hypotheses aboutinnateprinciples govern- languageacquisitionin general.It was,
ing languageacquisition,which would moreover,unlikelythat an approachto
be so constructedas to determinethe
the structureof human languagethat
relevantaspectsof structure.
was so narrowlybasedon the structure
Although the goal was reasonably of just one languagewould provide a
well articulatedfromthe start,the ana-
useful frameworkfor the investigation
lytical apparatusthat was initiallypro- of the use or acquisitioneven of that
posed, transformational grammar,
turned out to be quite inappropriate, language,anditpredictably provedtotally
inadequateas a basis for attemptsto
isolateandexplainthegeneralproperties
connotationof 'theoretical'is 'programmatic';
a
relatedconnotationis that one knows too little of humanlanguage.
about the subject to say something practical. Both Becausethey werewell awareof how
connotations apply to this." Dell H. Hymes, "On very tentative their hypotheses were,
Communicative Competence,"in Sociolinguistics, theoretical
ed. J. B. Pride and Janet Holmes (London:
linguistslikeChomskywarned
Penguin Books, 1972), p. 269. Later in the same
repeatedlyagainstattemptingto apply
piece, Hymesexplicitlycontrastshis work with their resultsto practicalproblems,and
theoreticallinguisticsin somethinglike my sense. they pointed out that although their
5. Noam Chomsky, Syntactic Structures(The ultimategoal wasthat of understanding
Hague: Mouton, 1957). the fundamentalnatureof languageand
200 THE ANNALSOF THE AMERICANACADEMY

languagedevelopment,it was too early "Janehas seen Jim,"can be thoughtof


to expect this work to yield practically as having a passivecounterpart-"Jim
usefulresults.Theyfeltperfectlyjustified has beenseenby Jane"-and eachhas a
in attemptingto come to gripswith the question counterpart:"Has Jane seen
difficultproblemstheywereattempting Jim?"and"HasJimbeenseenbyJane?"
to solve-for, despiteappearances,they Structuralrelationshipsof thissort,and
werenot simplyplayingabstractmathe- the underlyingstructureson whichthey
matical games!-but knew that their werebased,yieldedthe basicstructures
resultswerea longwayfromsolvingthe oflanguageintransformational grammar.
reallydeepproblemsandwarnedagainst Thisaccountof structuredifferedprinci-
overoptimism.A goodexampleof thisis pallyfrom the earlierview of the struc-
theoftenquoted-and generallymisinter- turalists in that transformationalre-
preted-statementof Chomsky'sin 1966: lations betweensentencespermitteda
"I am, frankly, ratherskepticalabout more adequatedescriptionof language
the significance, for the teaching of thanwas possibleunderthe assumption
languagesof such insights and under- that the sound pattern of individual
standing as have been attainedin lin- sentencescontainedallthatwasrelevant
guisticsandpsychology."6 In retrospect, to their analysis and processing. But
such caution was well justified. His- transformationalanalysis offered no
torically,the principalcontributionof possibleexplanationof aspectsof lan-
transformational grammarto ourunder- guagestructure.It was a deadend.This
standing of languagewas that it per- can be seen most clearlyby considering
mittedthedevelopmentof moreeffective the accountof acquisitionbasedon it.
tools for languageanalysis. The child learningEnglishwas sup-
Twospecificaspectsoflinguistictheory posed to constructa grammarfor the
in the sixties and seventies made it language-a finiteset of rulescharacter-
especiallyunsuitedto the functionthat izing or generatingthe infinite set of
it was intendedto perform,namely,to sentencesthatcomposedit-making use
characterize thosepropertiesof language of suchelementsas the transformations
thatresulteddirectlyfrominnatefeatures definingthe relationshipbetweenactive
of the human species. First, the core and passivesentencesand betweende-
analyticalunitsthatit employedturned clarativeformsof these and theirques-
out to be seriouslydeficient;second,the tioncounterparts. Theinnateknowledge
way in whichhumanlanguagedevelop- of languagethat a child bringsto bear
ment was representedwas at best mis- on the task of learninga languagecon-
leading. These problems sound very sisted,on this account,principallyin the
abstract, but their effects were con- expectationthat the languageto which
crete-and serious. thechildwasexposedwouldbeoptimally
Languageswererepresented asinfinite analyzablein termsof such units. This
sets of sentences,somesentencesof each representation of innatelinguisticability
language being structurallyrelated to should have depictedthe task of con-
othersin ways that weresignificant.In structinga grammaras rathersimple-
English, any active sentence, such as thus explaininghow it is that languages
6. Noam Chomsky,"LinguisticTheory,"in
come to be learned so naturally by
Readings in Applied Transformational Grammar,
children.Ofcourse,it wouldalsothereby
ed. MarkLester(NewYork:Holt, 1970;2nded., haveexplainedwhyallhumanlanguages
1973),pp. 51-60. exhibit such relationships,as well as
THEORETICAL LINGUISTICS 201

accountingfor the rapidityand ease of sociolinguistic or practical interests


languagelearning.Theconstructionof a wouldhaveappliedto transformational
transformationalgrammarby a child, grammarwhatFishman,one of the first
however,wouldnot be a simplematter. serioussociolinguists,wroteabout pre-
The most obvious problemwith the transformational linguistics:"Linguistics,
modelwas that manylanguagesdid not particularlyAmericanlinguisticsduring
seem to exhibitstructuralrelationships at leastthe firsthalf of this century,has
at allanalogousto thosefoundin English, beenprimarily a'formaldiscipline,'almost
on the basis of which the theory had along the lines of abstractmathemat-
been developed. The underlyingand ics."7Fishmanhimself saw clearly, as
more serious failing was that even for indicated by the approvalhe gave to
languagescloselyrelatedto Englishand "mentalistic"linguistics in the para-
apparently extremely similar, it was graphsafterthisquotation,thattransfor-
impossibleto determinewhethera given mationalgrammarwassonething other
transformationin one languagewas or than"abstractmathematics,"but many
was not the same as one in another, others, professionallinguists and po-
whether they were similar, or totally tentialusers of linguisticresults,saw it
unrelated.Comparisonof the passivein otherwise. FoxandSkolnick,forexample,
German,French,and English,or even complainedthat "some contemporary
in two dialectsof English,wasmeaning- linguists, seeking to establish the in-
less. Linguistscould simply show how dependence and scientific validity of
variousconstructionscouldbe analyzed theirdiscipline,haveisolatedit fromthe
in transformationalterms. But each worldof non-linguisticeventsand con-
language,definedby itstransformations centratedon abstractandformaltheories
and other rules, remainedan isolated, about the natureand structureof lan-
unexplainedentity. guage."8It is clearfromthe contextthat
The theory was devised in order to they were referringto contemporary
reducethe mysteryof initial language transformational linguistics.
learning,but it offeredremarkablylittle The aim of the "abstractandformal"
in this respect and providedeven less theoriesof languagewas not simplyto
insight into the process of second lan- establish the scientific validity of the
guage learning. Whether or not the field. At least that was neverthe aim of
resultsof researchon languagestructure transformational grammar,whichconsti-
could ever be applied,it was certainly tutedthe dominantformalapproachto
unlikelythat the resultsof workin this languageat the time Fox and Skolnick
frameworkcould. Althoughtheoretical wrote. The aim was preciselythat of
linguistsrepeatedlypointedthis out, it theoreticallinguisticsas I have charac-
is not clearthatthey alwaysunderstood terizedit: to discoverthose patternsin
the ultimate significance of having to language that can be attributed to the
do so. innate humanpropensityto learn lan-
7. Joshua A. Fishman, "Introduction," in
Research on language use: its Readingsin theSociologyof Language,ed.Joshua
relevance and limitations A. Fishman (The Hague: Mouton, 1972), p. 6.
8. Melvin Fox and Betty Skolnick, Language
Quiteclearly,other linguistsdid not in Education (New York: Ford Foundation, 1975),
understandthatsignificance.Manywith p. 6.
202 THE ANNALS OF THE AMERICAN ACADEMY

guage-and hence to learn more about other members of the species.10 Such
that property of the species. It is not researchhas provided a wealth of factual
surprising that this ultimate goal was material and insight that have affected
lost sight of; a substantial number of curricular developments and that have
formal linguists of the period did little helped to mold tests aimed at evaluating
more than pay lip service to it. Since the the ability of language learners to com-
availablemodel was incapableof yielding municate in the target language-the
insight into language development or of ultimate goal of much contemporary
permitting meaningful investigation of language learning.
what constituted the real core properties Emphasis on the use of the learned
of human languages-those that resulted language has also very naturally led to
crucially from the mechanisms respon- attempts" to combine those insights
sible for their development in the yielded by sociolinguistics with ideas
child-it might just as well, for all derived from speech act theory and
practical purposes, have been "abstract discourse analysis.12
mathematics." To the extent that we can increase
The development in linguistics that systematic knowledge about and insight
has been most important to language into language usage and precise relation-
teachers up to now is the rise of sociolin- ships between linguistic features and
guistics and the realization that language features of the social organization and
is itself open to study as a social phenom- dynamics of the societies in which lan-
enon. Sociolinguistics may be thought guages function, this will obviously be
of as a subfield of linguistics or, instead, of potential significance in teaching, and
as Fishman has described it, as an evaluating success in learning, a foreign
"interdisciplinarytool."9 It has included language. For the majority of learners,
a number of distinct, but related, strands success in learning a foreign language
of research: Fishman's work on the obviously involves functioning in the
sociology of language and language societies in which it is used. The signifi-
planning: Ferguson's on patterns of lan- cance of researchon the social aspects of
guage usage, grounded in the descrip- language and its relations to other social
tive linguistics of the fifties; the identi- phenomena, however, must be seen in
fication by Labov, G. Sankoff, and proper perspective if this research is to
others of precisely quantifiable covar-
10. For useful references,see the bibliographies
iance between aspects of linguistic struc- in Ralph Fasold, The Sociolinguistics of Society
ture and the social context of utterances; (Oxford: Basil Blackwell, 1984) and Ronald
and attempts by Dell Hymes and others Wardhaugh, An Introduction to Sociolinguistics
to investigate communicative compe- (Oxford: Basil Blackwell, 1986).
tence-that knowledgewhich,presumably 11. For example, Evelyn M. Hatch, Second
as a result of both innate and en- Language Acquisition (Rowley, MA: Newbury
House, 1978).
vironmental factors, develops in human 12. A good example of relevant pure research
beings, enabling them to function effec- is Penelope Brown and Stephen Levinson, "Univer-
tively in society, in interaction with sals in Language Usage: Politeness Phenomena,"
in Questions and Politeness, ed. Esther N. Goody
(Cambridge: Cambridge University Press, 1978),
9. Joshua A. Fishman, Sociolinguistics: A pp. 56-289. For other references, see Stephen
BriefIntroduction (Rowley, MA: Newbury House, Levinson, Pragmatics (Cambridge: Cambridge
1970), p. 6. University Press, 1983).
THEORETICALLINGUISTICS 203

be appropriatelyusedfor practicalpur- proaches,appearto be awareof theneed


poses. Thereis now no doubt at all that for a moreadequatefoundation.
the firstlanguage-and, to a degreestill For example,the ideas of Krashen'5
far from adequatelydetermined,also havecreateda greatdeal of interestand
second and subsequentlanguages-de- havehadconsiderableinfluence.Taking
velop in accordancewith innately de- off fromthe observation,or at leastthe
terminedprinciples,just like physical claim, that errorsmade by secondlan-
organsorthecomplexbehaviorpatterns guagelearnersshowinterestingsimilari-
of other animals.Many aspectsof lan- ties to errorsmadeby childrenlearning
guagestructureresultfromtheparticular theirnativelanguage,he suggestedthat
mechanismsthat control languagede- undercertaincircumstances-thosethat
velopment,probablyin muchthe same are relevantly similar to the circum-
way that the structureof physicalbody stancesunderwhich a first languageis
parts is determinedby those genetic learned-there is no real differencebe-
factors that control physical develop- tweenthe processesof first and second
ment.Thereis nomorehopeof attributing languagelearning,no matterhowlatein
the entire structureof languageto the life the latteroccurs.Analogywith the
contextsin whichit is usedthanthereis developmentof nativelanguageskillsin
of attributingthe entirestructureof the infancyled Krashento suggest,further,
eye-the composition of the vitreous that secondlanguageacquisitionmight
humor, for example, or of the retinal be most successfulto the extent that it
artery-to the propertiesof light.'3 progressedwithoutconsciousreflection.
Sociolinguistics,
pragmatics,andother The underlyingimplication was that
ways of characterizingthe patternsof the innate language acquisition cap-
languageusagearenot likelyto provide abilities, which, since Lenneberg'sre-
a reliablebasis for practicalwork such search,'6had been assumedto atrophy
as language teaching, unless they are duringpuberty,might in principlestill
informedby the realizationthat a lan- be available.Krashenhasnot succeeded
guageis morethanjust its "usersandits in articulatinghis ideasin sucha way as
uses."'4Appliedlinguists,aftera period to permitfruitfulinvestigation
ordevelop-
in which they either looked to pure ment,andthoughtheyseemto relate,in
researchon languageuse for guidance a numberof ratherimpreciseways, to
or developed their own practical ap- contemporarywork in theoreticallin-
guistics,no clearlinks have been made
13. Some contemporary linguistshavenever- and little direct empiricalsupport has
theless apparentlytaken it for grantedthat all emergedfor his claims.
aspectsof linguisticstructurecanberatherdirectly Various other attempts have been
attributedto the functionsof language.See, for
madeto use researchon languagestruc-
example, Talmy Givon, On Understanding
Grammar(New York: AcademicPress, 1979); tureratherthanon languageuse.Several
WilliamA. Foley and RobertD. van Valin,Jr., have been based on the typologiessug-
Functional Syntax and UniversalGrammar(Cam-
bridge:UniversityPress, 1984);GillianSankoff 15. Particularlyas representedin StephenD.
and PenelopeBrown,"TheOriginsof Syntaxin Krashen,Second LanguageAcquisitionand Second
Discourse,"Language,52:632-66(1976). Language Learning (Oxford: Pergamon, 1981).
14. For a contraryview,see Fishman,"Intro- 16. Eric Lenneberg, Biological Foundations
duction,"p. 7. of Language(NewYork:John Wiley,1967).
204 THE ANNALS OF THE AMERICAN ACADEMY

gested by Greenberg,17 and others on more or less in vain, for insights into
suchempirical,descriptiveworkas that languagestructurethatmightberelevant
of Keenanand Comrie.'8Some applied to pedagogy,theoreticallinguisticsunder-
linguistshave attemptedto use aspects went a quiet, but profound,revolution.
of what has been called markedness The basic elements of analysis were
theory. It has been clear, at least since radicallychanged,and on the basis of
RomanJakobson,thatcertainlinguistic this a totally new account of language
structuresarelesscommonintheworld's development and the principles that
languages;some structurestend not to control it beganto emerge.This theo-
occurin a languageunlesscertainother, reticalapproachis not static;in fact,the
more common structuresoccur; and detailsarechangingveryrapidly,in part
some structurestendto developlaterin becauseit has stimulatedso muchnew
children. There is a tendency for all research.Dozensof languageshavebeen
threeof thesepropertiesto runtogether, investigatedoverthelasttenyears,most
but no clear,generalaccountof whatis within the last five, and the pace of
at issue has yet been given. Duringthe relevantresearchis still acceleratingas
seventies,when it was unclearto many more and more non-English-speaking
theoreticallinguistshow to proceed,a linguistsbecomeinvolved.All the major
fair amount of taxonomic work on Europeanlanguageshave been investi-
markednesswas undertaken,and Eck- gated, includingthe Scandinavianlan-
man, among others,attemptedto show guages, Yiddish, dialects of Dutch,
how use of this work could predictthe Spanish-includingSouthAmericandia-
difficulties that speakers of a given lects-Portuguese, Rumanian, Irish,
languagewouldhavein learningpartic- Welsh,Breton,Finnish,andHungarian,
ular structuresin another.19 The results and so have languages as diverse as
of this work arefar from clear;it is not Turkish, several dialects of Arabic,
based on any solid theoreticalfounda- Hebrew, Japanese, several dialects of
tions, since the original investigations Chinese,Korean,Warlpiri,Navajo,Dog-
into markednesswereveryinconclusive. rib,Chamorro,Malayalam,Hindi,Ben-
gali, Persian,and a numberof African
Recentdevelopments languages,includingVataandChichewa.
in linguistictheory A singledescriptiveapparatushas been
employed. Its use has permitted the
In the late seventies,while applied
developmentof a theorythat is able in
linguisticswassearchingeclectically,and principle to deal equally well with a
greatnumberof superficially verydiverse
17. For example, as represented in Joseph
systems-and to relate them very pre-
Greenberg,ed., Universalsof Language(Cambridge,
MA: MIT Press, 1966). ciselyto eachother,thusin effectbegin-
18. Edward Keenan and Bernard Comrie, ning to extractthe essentialproperties
"Noun Phrase Accessibility and Universal Gram- of humanlanguage.
mar," Linguistic Inquiry, 8:63-100 (1977). The essence of the theory can be
19. For example, Fred R. Eckman, "Marked- understood bestbycontrasting theaccount
ness and Degree of Difficulty in Second Language
of language development thatit supports
Learning," in Proceedings of the Fifth Congress,
International Association of Applied Linguists, withthe one basedon transformational
ed. J.-G. Savard and L. Laforge (Montreal: grammar.I suggestedearlierthata child
University of Laval Press, 1981), pp. 115-26. facedwiththetaskof learninga language
THEORETICAL LINGUISTICS 205

by discovering,and hence learning,its that make up the innate knowledgeof


transformationalgrammarwould have language.
a hardtime:languagesdifferfromeach The possibilitiesfor variationin lan-
otherin apparentlyarbitrarywayswhen guagesareveryhighlyconstrained-far
viewedfrom that perspective,and they more so, it turnsout, than is suggested
would have to be learnedpiecemeal- by superficialobservation.Muchof the
essentiallyas the behavioriststhought. observedvariationcannowveryplausibly,
Only the inventoryof basic structural and oftenquitespecifically,in detail,be
unitswouldbe availableto the childas a reducedto the interactionof a small
help.If, on the otherhand,thevariation number of abstractparametersalong
betweenlanguagesresultsfromthefixing which languages, or subparts of lan-
of a small numberof ratherunobvious guagescan vary.
parameters,which in interactionyield Obviously, the language facts that
all the possiblestructuralpropertiesof haveto be analyzedbythenewapproach
humanlanguage,thenlanguagedevelop- includethosethatweresuccessfullydealt
ment consists largely of setting those with before.The effectof the changein
parameters.Eachsettingwilldetermine, analyticalbasisis to includea far wider
ininteraction withtheothers,vastamounts rangeof facts. Above all, it providesa
of apparentlyarbitraryvariation.Learn- way of analyzinghumanlanguagethat
ing a first language is choosing from is equallyappropriateto the analysisof
the available alternatives those that English,French,Chamorro,Japanese,
yield the best fit with the speechin the Navajo, Arabic-and accounts for a
environment. numberof hiddendependenciesbetween
Theavailableparameters are,ofcourse, structures,foundin a widecrosssection
the same for everyinfant and are con- of theselanguagesoncethe appropriate
strained,it is supposed,by somepartof analyticaltools areemployed.Theessen-
ourinheritance asmembersof thehuman tially English-baseddescriptiveappa-
species.Each child simplyhas to learn ratus of the older model has entirely
how they are set for the language or disappeared, andmeaningful comparison
languageshe orshehears.Thusthechild of languageshas becomepossibleand,
does not learn the grammar of any indeed, forms an essentialpart of lin-
individuallanguage,butdiscoverswhich guistic research. Language descrip-
valuesthatlanguageexhibitsfor eachof tion-which, incidentally,is not less,
the innatelyavailableparameters.The but more, detailedthan ever before-
principlesconstraining thatdevelopment now concentrateson thosefeaturesthat
ultimatelyderive, if thispictureis correct, appearto be subjectto parametricvaria-
from the humangenotype,just like the tion, andit attemptsto discoverhowfar
principles that control the develop- it is possibleto derivethe superficially
ment of the eye;20it is these principles unpredictablepropertiesof individual
languagesfromtheinteractionof settings
of universalparameters.2'
20. Interestingly, it does not seem to have been
Chomsky or any of his followers, but Thomas 21. The approach to theoretical linguistics
Sebeock in a review in Language, 39:466 (1963), that is discussed in this section is not yet well
who first clearly pointed out how reasonable it served by literatureaccessible to the nonspecialist.
would be for the genetic code to play a direct role It was first developed in detail in Noam Chomsky,
in determining the structure of linguistic codes. Lectures on Governmentand Binding (Dordrecht:
206 THE ANNALSOF THE AMERICANACADEMY

I will end this very brief account of providesa basisfor explainingthe rela-
thetheorywitha programmaticaccount tivelyfixedpatternsof languagedevelop-
of one smallpartof languagestructure. ment.If secondlanguagelearningshould
Considerthe fact that some languages turnout to be ableto makeevenlimited
optionally leave out the pronominal useof the apparatuswherebytheparam-
subjectin a sentencelike"Hewillgo."If eters were initially set on the basis of
this were an isolated fact about a lan- primarylanguagedata,then clearlyit is
guage it would warrantlittle attention, of paramountimportanceto applied
and while it was assumedto be one, it linguistsand languageteachersto dis-
receivedverylittle.Butif the possibility coverthisapparatus.Moreover,if certain
of omittingthe subjectis a consequence structuresarelinkedin waysthatcannot
of some unobviousinteractionbetween bepredictedfromsuperficial observation,
severalindependentlinguisticfeatures, as now seems beyond doubt to be the
then the droppingof that pronoun- case,thencurriculumdevelopmentand,
permittedby Italian,Chinese,andunder above all, evaluation cannot possibly
some circumstancesmodern Hebrew ignoresuchrelatedness.
and Irish, but virtually not at all by
English,modernFrench,or German- Theoretical research on
becomespartof a structuralnetworkof language acquisition
potentiallyvastcomplexity,significance,
and interest. This analysisof humanlanguagein
Once the child discovers from the transformationalterms had little or
speech around him or her that the nothingto offerthoseinterestedinsecond
pronoun in the language in question languagelearning,butit inspireda good
may be dropped,there will be a great dealof empiricalworkon childlanguage
numberof automaticconsequences. Some acquisitionduringthe sixties. At first,
of those consequenceswill not need to this appearedto be quitepromisingand
be learned, once the fact of pronoun suggestedstronglythatacquisitioncould
droppingis firmlyestablished;and in- be profitably viewed in terms of the
deed there is virtuallyconclusive evi- additionof transformationsto a develop-
dence that some could not in principle ing grammar,in the sense of grammar
be learnedfromtheavailabledataalone. then current. But this researchnever
Notice how this account immediately yieldedinsightsto the extent originally
hopedfor, andjust as manylinguists-
Foris, 1981). David Lightfoot, The Language in particular,appliedlinguists-turned,
Lottery (Cambridge,MA: MIT Press, 1982), during the seventies, to attempts to
attemptsan argument,intendedfor the general analyzelanguageuse,so thoseconcerned
reader,for the geneticbasisfor certainlanguage with acquisitionbegan to concentrate
structures.
ThomasWasow,"Postscript,"in Lectures
on Contemporary Syntactic Theories, by Peter
theirattentiononchild-caretaker interac-
Sells (Stanford, CA: Center for the Study of tions duringthis period,ratherthan on
Languageand Information,1986), provides a the internal developmentalprocess.22
good, brief summaryof recentdevelopmentsin
linguistictheory.SeealsoFrederickJ. Newmeyer, 22. For example,see the articlescollectedin
Grammatical Theory: Its Limits and Possibilities CharlesA. FergusenandCatherineE. Snow,eds.,
(Chicago:Universityof ChicagoPress,1983),esp. Talkingto Children:
LanguageInputandAcquisi-
chap. 5, "The Applicability of Grammatical tion (Cambridge:CambridgeUniversityPress,
Theory." 1977).
THEORETICALLINGUISTICS 207

Morerecently,it has becomeclearthat, among other places. One particularly


aswasoriginallypredictedon theoretical strikingaspect of the paradigmthat is
grounds,relativelylittle insightinto the developing is that it encourages,and
natureof the acquisitionprocesscan be providesa meaningfulframeworkfor,
gained when language acquisition is the investigationof claims,like those of
viewed solely as a matter of social Krashen, to the effect that there are
interaction.Justas in the fieldof second significantparallelsbetween first and
language acquisition,there has there- secondlanguageacquisition,and those
fore been a renewed interest in the of Eckman regardingmarkedness.It
explanatorypotential of a theoretical also providesa precisereinterpretation
approachto the innate factors deter- of the notion of interference-the orig-
miningstructure. inally behavioristichypothesisthat led
The developmentof a model of lan- to contrastivestudies-whichis theclaim
guage that encourages research on that the structureof the learner'sfirst
parametricvariationbetweenlanguages languageinterferesin specificwayswith
derivedfrom innatelimits to language acquisitionof a second.
developmentprovidesa frameworkthat If the developmentof a firstlanguage
specificallydemandsresearchon first involvesthe settingof parameters,then
language acquisition.Such researchis theleastmarkedsituationwillcorrespond
alreadyunderwayandhasyieldedsome to the null settingof all parameters,and
suggestive,if stillverytentative,results. it should be possibleto establishwhat
A large-scaleempiricalproject at the factorsare necessaryto inducechanges
Universityof California,Irvine,under in these basic neutral settings. Once
the leadershipof KennethWexlerand parameters areset,thenthisconstellation
includingboth psychologistsand theo- of parametersettings constitutes the
reticallinguists,is investigatinglanguage position from which a learner of a
developmentin termsof parameterset- second languagesets out. Some ques-
ting,especiallyin relationto thedevelop- tions that then arise are how far adult
ment of the pronounsystem of young languagelearningcan or should be a
children,and throughthis researchit is matterof resettingparameters,how the
giving new content to the notion of old settings may interfere, how far
markedness.Other work on first lan- conscious learning or pattern drilling
guageacquisitionwithinthisframework inducesor interfereswith the settingof
is beingundertakenat the Universityof parameters. Nowthatspecificparametric
California at Los Angeles, the City variationbetweenlanguagesis beginning
Universityof NewYorkGraduateCenter, to be understood,these are real issues
the University of Massachusetts at withspecificcontent.Researchhasbegun
Amherst,McGillUniversityin Montreal, to springup in manycentersaddressing
and many other centers both in the such issues. Among the researchers and
UnitedStatedand abroad. centers most active are Rutherfordat
Ofmoredirectrelevanceto thepresent the Universityof SouthernCalifornia,
articleis thefactthattherearesomevery Flynn at the MassachusettsInstituteof
specific ways in which this language Technology,Bickertonat the University
model can drive research on second of Hawaii,Whiteat McGillUniversity,
languageacquisition.Suchresearchis in and Felix at the Universityof Passauin
its infancy,but it has begun-at Irvine, West Germany.At the Universityof
208 THE ANNALS OF THE AMERICAN ACADEMY

California,Los Angeles,Hyams,whose explores the implications of similar


initialworkwason firstlanguageacquisi- findings.Suchresearchis significantnot
tion,23hasbegunworkingwithgraduate becauseit providesevidencethatparam-
students from the applied linguistics eter setting is the framework within
program, students of Schumann and whichfirstandsecondlanguagelearning
Hatch,andthis workmaywell leadto a takes place-it is far too tentativefor
furtherblossomingof relevantresearch that!-but becauseit permitsa remark-
there. ably preciseformulationof hypotheses
It might be worth citing a specific about the differencesbetweenfirst and
example.Somepreliminaryworkat the secondlanguagelearningand aboutthe
State Universityof New York, Stony innatelydeterminedcontrolsthat may
Brook, on the use of Englishreflexives determineaspectsof the latter.25
byKoreanspeakers,undertaken byFiner Importantissuesconcerningfossiliza-
andBroselow,24 suggeststhatat a certain tion, the plateau effect, and language
stage during the learning process, a attrition can clearly be conducted in
specificerrorpatterntendsto developin such a way as to make use of the
linkinga reflexiveto its antecedent.The emergingknowledgeabouthiddenrelat-
errorsarenot simplyrandom;noris the ednessbetweenlanguagestructures,and
interlanguage a system based either the possibleinfluenceof this upon sec-
directly on Korean or directly on ondlanguagedevelopment,butas faras
English-or explainableon the basisof I knowsuchresearchhasyet to beginon
simple conceptions of markedness.It anysignificantscale.Somewhatrelated
may turnout to be possibleto attribute work, not yet explicitlyguided by the
the errorpattern,at least in part,to the advancesin knowledgeabout language
influence of that same apparatusthat structureto whichI have drawnatten-
leads to the development of a first tion, is beingundertaken-for example,
language-but is affected in specific by MichaelLong and his associatesat
ways by existing settings in the first the Universityof Hawaii.
language.It is hoped that this research
willprovideconcreteinformationabout THE NATIONAL AGENDA
how parametersettingin adulthoodcan
proceed. In the fifties, descriptive linguists
Whileit is obviouslytoo earlyto leap thoughtthey had all the answers.After
fromtheseverytentativeresultsto con- that, theoreticallinguists insisted that
clusionsof any realimportance,confir- they had none, but they neverexcluded
mation of these results would clearly
havesignificantimplications forlanguage 25. William Rutherford makes this point very
pedagogyandtesting.Theworkof Felix effectively in his "Grammatical Theory and L2
Acquisition: A Brief Overview,"in Proceedings of
the MIT Second Language Conference, ed. S.
23. Nina Hyams, "The Acquisition of Param- Flynn (Dordrecht: Reidel, forthcoming). See also
eterized Grammars"(Ph.D. diss., City University Ellen Broselow, "Second Language Acquisition,"
of New York, Graduate Center, 1985). in Linguistics: The Cambridge Survey, vol. 4, ed.
24. Dan Finer and Ellen Broselow, "L2 Acqui- F. Newmeyer (Cambridge: Cambridge University
sition of Reflexives," in NELS 16: Proceedings of Press, forthcoming). Both these papers contain
the 16th Annual Northeastern Linguistic Society bibliographies that include the work on second
Meeting (Amherst: University of Massachusetts, language acquisition in this framework, and both
forthcoming). discuss its potential relevance to the field.
THEORETICALLINGUISTICS 209

the possibility that at a certain stage they less knowledge about that-are actively
might have some. Notice in particular, searching for a more satisfactory theo-
that when Chomsky said in 1966 that no retical foundation for their work. It has
results up to that date seemed applicable become clear that they cannot rely only
to second language teaching, he was on sociolinguistics and other ways of
speaking at a time when, according to approaching language solely from the
the account I have given here, he was viewpoint of its use. To do so ignores the
absolutely correct. But Chomsky did fact that humans do not simply select an
not say, and to my knowledge has never arbitrary code and communicate. The
implied, that useful insights would never fundamental problem and challenge for
be available. In fact he went right on to the language teacher is to bridge the gap
assert, after the passage I quoted earlier, between the desire to communicate and
that he thought there would come a time the specific structuresof language within
when they would become available. I do which we are forced, as members of the
not claim that that time is here, but I do human species, to conduct our business.
believe that there is good reason for Our inescapable use of specific language
thinking it may be just around the structures is why students have to be
corner and that research is urgently taught not communication, but Chinese,
needed in order to determine how far Japanese, Russian, or French.
hidden relationships between aspects of From the point of view of evaluation,
language structure do, in fact, play a the significance of this recent work may
significant role in the process of second be even greater than it is for curriculum
language learning. development and teaching methods. If
A significant change in the attitude of second language acquisition is in part
theoreticallinguistshas now come about. controlled by innate factors, then any
The most tangible sign is the recent instrument must clearly distinguish be-
conference on theoretical linguistics and tween these factors and those that have a
second language acquisition at the social origin and may be subject to far
Massachusetts Institute of Technology. less strict determination from within the
This is the first such occasion since the organism. Above all, if there are hidden
Ann Arbor conference in the late fifties, dependenciesbetweenvirtuallyall aspects
which led to the founding of CAL-and of language structure,evaluation of pro-
in this case it was the theoreticians who ficiency based in part on structural
organized the conference. I, like a signifi- criteriamust allowproperlyfor dependen-
cant numberof othertheoreticallinguists, cies between aspects of the language that
now believe that under the right circum- aredeterminedby the underlyingparam-
stances we may be able to work out, eters. Clearly, language testing cannot
along with others involved in practical simply wait for the results of research-
problems, new, insightful ways of ap- any more than curriculum and methods
proaching those problems, using the development can be abandoned until all
currently available ways of thinking results are in-but the relevant research
about language. must be undertaken as a matter of
At the same time, I believe,a significant urgency alongside the development of
number of applied linguists and perhaps evaluation, curricula, and methods.
those directly involved in language Researchshouldobviouslybe expected
pedagogy-though I admit to having to continue in the areasmentioned briefly
210 THE ANNALSOF THE AMERICANACADEMY

in thesectionof thisarticleon theoretical accounttheeffectsof innatelydetermined


researchon languageacquisition.It is controlson languagedevelopmentis, at
importantnot to decreasein any way best, of dubiousvalidityand, at worst,
existing links between sociolinguistics useless. It is importantthat research
or pragmaticsandthe nationallanguage guided in part by theoreticallinguists
effort. Proficiencytestingand teaching form a modest but crucialpart of any
must be gearedto the preciseneeds of nationallanguageeffort.Wereit not for
society, and, clearly,languageis taught the unfortunatemisunderstandings and
in orderthatit maybe used.At the same rivalriesof the past thirty years, that
time, it seems increasinglylikely that would go without saying, since it is in
teachingandtestingthatfailto takeinto principlescarcelyopen to question.

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