Español en Estados Unidos y otros contextos de contacto: Sociolingüística, ideología y pedagogía = Spanish in the United States and Other Contact Environments Sociolinguistics, Ideology and Pedagogy 9783865279033

Citation preview

LENSO-21

23/1/09

12:32

Página 3

Manel Lacorte/Jennifer Leeman (eds.) Español en Estados Unidos y otros contextos de contacto Sociolingüística, ideología y pedagogía

Spanish in the United States and other contact environments Sociolinguistics, ideology and pedagogy

LENSO-21

23/1/09

12:32

Página 1

LENSO-21

23/1/09

12:32

Página 2

LENSO-21

23/1/09

12:32

Página 4

Lengua y Sociedad en el Mundo Hispánico Language and Society in the Hispanic World Editado por / Edited by Julio Calvo Pérez (Universitat de València) Luis Fernando Lara (El Colegio de México) Matthias Perl (Universität Mainz) Armin Schwegler (University of California, Irvine) Klaus Zimmermann (Universität Bremen)

Vol. 21

LENSO-21

23/1/09

12:32

Página 5

Manel Lacorte/Jennifer Leeman (eds.)

Español en Estados Unidos y otros contextos de contacto Sociolingüística, ideología y pedagogía

Spanish in the United States and other contact environments Sociolinguistics, ideology and pedagogy

Vervuert

•

Iberoamericana

•

2009

LENSO-21

23/1/09

12:32

Página 6

Bibliographic information published by Die Deutsche Nationalbibliothek. Die Deutsche Nationalbibliothek lists this publication in the Deutsche Nationalbibliografie; detailed bibliographic data are available on the Internet at http://dnb.ddb.de

© Iberoamericana, 2009 Amor de Dios, 1 – E-28014 Madrid Tel.: +34 91 429 35 22 Fax: +34 91 429 53 97 [email protected] www.ibero-americana.net © Vervuert, 2009 Elisabethenstr. 3-9 – D-60594 Frankfurt am Main Tel.: +49 69 597 46 17 Fax: +49 69 597 87 43 [email protected] www.ibero-americana.net ISBN 978-84-8489-424-7 (Iberoamericana) ISBN 978-3-86527-447-2 (Vervuert) Depósito Legal: B-3.425-2009 Diseño de la cubierta: Michael Ackermann Ilustración de la portada: Héctor Emanuel Impreso en España The paper on which this book is printed meets the requirements of ISO 9706

LENSO-21

23/1/09

12:32

Página 7

ÍNDICE GENERAL

Agradecimientos ........................................................................................

9

Manel Lacorte/Jennifer Leeman Introducción ..............................................................................................

11

CONTACTO LINGÜÍSTICO Claudia Parodi Reconstrucción y contacto de lenguas: El español en el Nuevo Mundo

21

Carol A. Klee Migrations and globalization: Their effects on contact varieties of Latin American Spanish ..............

39

Jim Michnowicz Intervocalic voiced stops in Yucatan Spanish: A case of contact-induced language change? ..........................................

67

Luis A. Ortiz López Pronombres de sujeto en el español (L2 vs. L1) del Caribe ..................

85

Naomi Lapidus Shin/Ricardo Otheguy Shifting sensitivity to Continuity of reference: Subject pronoun use in Spanish in New York City ................................

111

MaryEllen García Code-switching and discourse style in a Chicano community ..............

137

IDEOLOGÍAS LINGÜÍSTICAS Darren J. Paffey/Clare Mar-Molinero Globalization, linguistic norms and language authorities: Spain and the panhispanic language policy ............................................

159

LENSO-21

23/1/09

12:32

Página 8

Daniel J. Villa General versus Standard Spanish: Establishing empirical norms for the study of U.S. Spanish ................

175

Robert Train “Todos los peregrinos de nuestra lengua”: Ideologies and accounts of Spanish-as-a-(foreign) language ................

191

Arturo Fernández-Gibert De la tradición oral a la letra impresa: Lengua y cambio social en Nuevo México, 1880-1912 ...........................

209

María Cecilia Colombi ¿Quién es Huntington: Un predicador paranóico o un visionario?: Recepción de la prensa del libro Who Are We? The Challenges to America’s National Identity .......................................................................

229

Glenn A. Martinez Language in healthcare policy and planning along the U.S.-Mexico border .........................................................................................................

255

PEDAGOGÍA Y POLÍTICA EDUCATIVA Rachel F. Moran The untold story of Lau v. Nichols ...........................................................

277

Kendall A. King Spanish language education policy in the U.S.: Paradoxes, pitfalls, and promises ............................................................

303

Sara M. Beaudrie Receptive bilinguals’ language development in the classroom: The differential effects of heritage versus foreign language curriculum ....

325

Cynthia Ducar The sound of silence: Spanish heritage textbooks’ treatment of language variation ..............

347

Juan Antonio Trujillo Con Todos: Using learning communities to promote intellectual and social engagement in the Spanish curriculum ........................................

369

Los autores .................................................................................................

397

LENSO-21

23/1/09

12:32

Página 9

AGRADECIMIENTOS

Redactar esta parte del volumen nos causa especial satisfacción, no tanto porque supone haber llegado casi al término de un laborioso proceso editorial, sino porque nos permite acercarnos de nuevo a las personas e instituciones que a lo largo del camino no dudaron en confiar en nuestra capacidad, o en compartir con nosotros su extenso conocimiento sobre las diversas disciplinas que conforman el estudio del español en Estados Unidos y otras áreas de contacto. Quede pues por escrito nuestro sincero agradecimiento, en primer y destacado lugar, a los autores de los capítulos en este libro. Gracias también a los muchos colegas que colaboraron en el arduo –sobre todo por la gran calidad de las propuestas– trabajo de selección y revisión de los textos: Mariana Achugar, Alejandra Balestra, Sara Beaudrie, Melissa Bowles, José Camacho, Richard Cameron, Marco Campos, María Carreira, Ana María Carvalho, Holly Cashman, Robert DeKeyser, Manuel Díaz-Campos, Elaine DuBord, Cynthia Ducar, Anna María Escobar, Marta Fairclough, César Félix-Brasdefer, Kimberly Geeslin, Cristina Gelpí, Michael Guerrero, Pedro Guijarro-Fuentes, Deborah Herman, Kendall King, Carol Klee, Edwin Lamboy, John Lipski, Andrew Lynch, Kara MacAlister, Clare Mar-Molinero, Glenn Martinez, Corrine McCarthy, Gabriella Modan, Terrell Morgan, María Irene Moyna, Luis Ortiz López, Claudia Parodi, Kim Potowski, Thomas Ricento, Susana Rivera-Mills, Liliana Sánchez, Otto Santa Ana, Armin Schwegler, Elaine Shenk, Kirsten Silva Gruesz, Miranda Stewart, Roland Terborg, Almeida Jacqueline Toribio, Lourdes Torres, Robert Train, Juan Antonio Trujillo y Daniel Villa. Asimismo, nos complace mucho reconocer a varias instituciones académicas y profesionales por su generoso apoyo financiero y organizador, y por saber apreciar la importancia de estos campos de trabajo e investigación. Agradecemos especialmente a nuestros propios departamentos –Department of Modern and Classical Languages, George Mason University; Department of Spanish and Portuguese, University of Maryland–, que auspiciaron los congresos sobre El español en Estados Unidos y El español en contacto con otras lenguas en Arling-

LENSO-21

23/1/09

10

12:32

Página 10

Manel Lacorte/Jennifer Leeman

ton, Virginia (marzo de 2007), de los cuales surgió este volumen. Les damos las gracias también al College of Humanities and Social Sciences y la Office of the Provost de George Mason University; la School of Languages, Literatures, and Cultures y el National Foreign Language Center de la University of Maryland; la Consejería de Educación de la Embajada de España, y el Instituto Cultural de México. También con respecto al proceso editorial, este libro poco hubiese sido sin la inestimable ayuda y ojo crítico de nuestras dos asistentes, Dolores Lima y Verónica Muñoz. A ellas les dedicamos esta nota de admiración y agradecimiento. Muchas gracias a Héctor Emanuel por donarnos la fotografía que dio pie a la ilustración en la portada del libro. Reconocemos la continua labor en pro del estudio del español en el mundo hispanohablante de la Editorial Iberoamericana/Vervuert, que nos ha permitido incluir este volumen en su colección Lengua y Sociedad en el Mundo Hispánico. Por todo ello, gracias a su presidente, Klaus Dieter Vervuert, y a su equipo de trabajo, del que queremos destacar a Kerstin Houba, siempre profesional, eficaz y sonriente. Y como los últimos siempre acaban por ser los primeros, queremos agradecer a todos los colegas, amigos y familiares que, paciente y comprensivamente, estuvieron ahí donde más falta hacía durante la organización del congreso y la preparación de este libro.

LENSO-21

23/1/09

12:32

Página 11

INTRODUCCIÓN1 MANEL LACORTE University of Maryland JENNIFER LEEMAN George Mason University

Desde su primer encuentro en 1980, los congresos sobre El español en Estados Unidos reúnen a investigadores de varias disciplinas dedicados al análisis de temas relacionados con el español y las comunidades hispanohablantes en Estados Unidos. A partir de 1991, El español en Estados Unidos se ha celebrado junto con el congreso El español en contacto con otras lenguas, lo que ha permitido múltiples vínculos entre investigadores centrados en el ámbito estadounidense y especialistas de otras partes del mundo hispanohablante2. Durante los últimos años, el interés hacia estos temas ha crecido espectacularmente, gracias en parte al reconocimiento público y académico alcanzado por la comunidad hispanohablante en Estados Unidos, así como el mayor interés investigador en las migraciones internas e internacionales que permiten entrar en contacto a diferentes lenguas y variedades lingüísticas. Sirvan como reflejo de este mayor interés los once volúmenes editados –éste incluido– a partir de las ponencias presentadas en esos veintiún congresos, o las diversas publicaciones académicas que, con mayor estabilidad que en tiempos pasados, incorporan cada vez más trabajos sobre los dos campos de estudio. Tanto en este volumen como en el encuentro de Arlington en marzo de 2007, hemos procurado mantener el gran nivel de anteriores reuniones. Al mismo tiempo, hemos seguido la creciente disposición en la sociolingüística hacia un estudio de carácter

1 2

El orden de aparición de los autores en esta introducción y de los editores para el volumen se rige por un estricto orden alfabético. Se incluyen más detalles sobre la historia de estos congresos y las publicaciones surgidas de ellos en el enlace http://www.spanishintheus.org/.

LENSO-21

23/1/09

12

12:32

Página 12

Manel Lacorte/Jennifer Leeman

‘ecológico’ de los fenómenos lingüísticos. Es decir, un estudio consciente de que cualquier actividad humana –entre ellas, las lingüísticas– implica un contacto con el medio ambiente y otros individuos definido por el contexto cultural, geográfico, histórico, social y político en que tiene lugar. Por lo tanto, en la organización del congreso y en esta edición hemos querido resaltar las cuestiones sociales y políticas, y enfatizar una mayor y más responsable consideración de las implicaciones de las investigaciones académicas y la labor docente en diversos espacios sociales. Aparte del centenar largo de ponencias y cuatro sesiones plenarias, incorporamos una novedad: dos mesas redondas con invitados especiales, una sobre medios de comunicación y mercadotecnia en español dentro de Estados Unidos, y la otra al respecto de las complejas políticas educativas que afectan al español en este país3. Con plenaristas procedentes de diferentes campos científicos y profesionales, tales como la lingüística, la sociología, la educación y los estudios legales4, procuramos consolidar el carácter interdisciplinario del congreso y resaltar los diversos enfoques y metodologías que se han adoptado en el estudio del español en Estados Unidos y el español en contacto con otras lenguas. Al incluir como participantes en las mesas redondas a especialistas trabajando en los medios de comunicación y la mercadotecnia en español, y en política educativa, intentamos no sólo fomentar el intercambio a través de las varias disciplinas, sino también enriquecer el debate académico con la incorporación de los conocimientos de personas cuya labor se desarrolla fuera de la universidad. Hemos dividido el presente volumen en tres secciones temáticas. La primera concierne al contacto entre el español y otras lenguas y entre variedades del

3

4

La mesa sobre “El español en los medios de comunicación y la mercadotecnia en Estados Unidos” fue coordinada por María Carreira (California State University-Long Beach). En ella participaron Raúl Ávila (Colegio de México), Miguel Gómez Winebrenner (Cheskin), Armando Guzmán (TVAzteca América), Alberto Avendaño (El Tiempo Latino) y José López Zamorano (Notimex). La mesa sobre “Educational policies and practices affecting Spanish in the US” fue coordinada por Ana Roca (Florida International University). Las participantes fueron Donna Christian (Center for Applied Linguistics), Gisela Conde (Consejería de Educación, Embajada de España), Ofelia García (Teachers College, Columbia University) y Kendall King (University of Minnesota). Los editores aprovechan esta ocasión para agradecer de nuevo a las coordinadoras y los participantes su valiosa contribución al congreso. Tuvimos el honor de contar con los siguientes plenaristas: Carol Klee (University of Minnesota), sobre “Spanish language contact in Latin America: The impact of internal migration and globalization on contact varieties of Spanish”; Luis Moll (University of Arizona), acerca de “La subjetividad y el bialfabetismo: Una mirada longitudinal”; Rachel Moran (University of California-Berkeley), con la conferencia “The untold story of Lau v. Nichols”, y Alejandro Portes (Princeton University), sobre “Lost in translation: Language acquisition and loss in the United States”.

LENSO-21

23/1/09

12:32

Introducción

Página 13

13

español, la segunda se centra en las ideologías lingüísticas y la tercera trata sobre pedagogía y política educativa. Reconocemos que estas categorías no se excluyen mutuamente; de hecho, se solapan entre sí, y posiblemente varios de los trabajos tendrían acogida en cualquiera de las tres secciones. El volumen comienza con una sección sobre contacto lingüístico entre comunidades de habla con diferentes orígenes y características. En la actualidad, este campo de estudios combina la elaboración de trabajos descriptivos y formales (véase p.ej., Cestero Mancera et al. 2006, Palacios 2008) con investigaciones de carácter sociolingüístico cada vez menos ligadas a fronteras nacionales y más próximas a las realidades lingüísticas del español, como por ejemplo en áreas con población afroamericana, los territorios ex coloniales con marcada diversidad lingüística, los enclaves bilingües o fronterizos, o los más recientes contextos de inmigración y globalización (véase p.ej., Godenzzi 2006; Zimmerman & Morgenthaler 2007; Escobar & Wölck 2008; Niño-Murcia & Rothman 2008; Stolz et al. 2008). Entre los trabajos que figuran en nuestra primera sección, el lector podrá encontrar estudios sobre el contacto entre el español y varias lenguas indígenas, el español y el criollo haitiano, el español y el inglés, así como entre diferentes variedades del español. Esta sección también muestra diversidad en cuanto al objeto de estudio y el enfoque metodológico: algunos estudios se centran en el uso o ausencia de pronombres, uno analiza cuestiones fonológicas, otro explora el cambio de código a nivel de discurso, y otros analizan múltiples variables afectadas por el contacto. El estudio de Claudia Parodi abre la sección con una detallada revisión del contacto histórico entre variedades del español peninsular y las lenguas indígenas en las primeras fases de la colonización americana. A través del análisis de hispanismos léxicos y fonéticos, Parodi sugiere una nueva lectura del proceso global de dialectalización en el español de América que nos permita establecer qué variedades peninsulares entraron en contacto con unas u otras lenguas indígenas, y a la vez afirmar la creación de una koiné propiamente americana. A continuación, Carol Klee analiza factores sociales y políticos que pueden afectar la situación lingüística presente y futura de América Latina. En concreto, Klee se centra en los cambios lingüísticos relacionados con los procesos de globalización y migración interna en el español de América Latina, sobre todo entre los hablantes más jóvenes y en contextos donde se aprecia una mejora de los transportes y las vías de comunicación, un mayor acceso a la educación –por lo general impartida en español– y un incremento de los medios de comunicación de masas en español. Todos estos factores, en opinión de la autora, pueden provocar la creciente adopción de variedades no regionales entre los hablantes jóvenes. Mientras que el capítulo de Parodi nos aporta un mejor entendimiento del desarrollo histórico del

LENSO-21

23/1/09

14

12:32

Página 14

Manel Lacorte/Jennifer Leeman

español en Latinoamérica, el de Klee nos permite reflexionar sobre las circunstancias presentes y futuras del cambio lingüístico. En contraste con los dos primeros capítulos, con perspectivas más bien generales sobre la variación y diversidad del español en Latinoamérica, el resto de trabajos de la sección se dedica al estudio de fenómenos lingüísticos en áreas geográficas específicas. Jim Michnowicz ahonda en el análisis del contacto fonético entre el español y el maya. En concreto, su interés radica en descubrir el origen de la preferencia por ciertos sonidos oclusivos en el español del Yucatán. Con datos recogidos por medio de entrevistas sociolingüísticas, Michnowicz argumenta que esa preferencia podría derivar no tanto de la influencia de la lengua maya, sino de una tendencia más general a nivel panhispánico entre hablantes de español como segunda lengua. Por su parte, Luis Ortiz López aporta datos procedentes de la frontera entre la República Dominicana y Haití para profundizar en el estudio de la obligatoriedad u omisión de pronombres de sujeto. Desde una aproximación teórica más próxima a la perspectiva generativa, Ortiz López subraya algunas razones de tipo sintáctico-discursivo por las que los hablantes bilingües haitianos y domínico-haitianos tienden a emplear el pronombre en contraste con el uso entre hablantes monolingües dominicanos. Naomi Lapidus Shin y Ricardo Otheguy inciden en el mismo tema, pero con datos extraídos de una investigación cuantitativa en Nueva York y acerca de la variable de continuidad de referencia (Continuity of reference variable) entre verbos de oraciones contiguas y el consiguiente empleo u omisión del pronombre de sujeto. Estos autores encontraron que, en general, los hablantes bilingües de segunda generación muestran menor sensibilidad hacia esta variable respecto a otros hablantes monolingües nacidos fuera de Estados Unidos, aunque este contraste puede variar por razones de carácter funcional. Por último, el estudio cualitativo de MaryEllen García nos transporta a otro ámbito de contacto lingüístico igualmente apasionante, el de las comunidades de ascendencia mexicano-americana en Texas. Mediante un análisis cualitativo de entrevistas con hablantes chicanos, la autora describe varios tipos de alternancia de códigos y estilos discursivos entre hablantes de español e inglés, y sostiene que tales diferencias pueden depender en gran parte del nivel de familiaridad que pueda existir entre los hablantes durante una entrevista oral. La segunda sección del volumen refleja el incremento del interés por las ideologías del lenguaje en general y en relación con el español en Estados Unidos, el español en contacto con otras lenguas, y el contacto entre distintas variedades del español que se ha hecho evidente desde finales del siglo XX. Tal como señala Woolard (1998), las ideologías del lenguaje generalmente tienen muy poco o nada que ver con cuestiones formales vinculadas a una determinada variedad, lengua o práctica lingüística, y mucho que ver con lo que se piense sobre los hablan-

LENSO-21

23/1/09

12:32

Introducción

Página 15

15

tes de esa variedad, lengua o práctica. Resulta evidente que las ideologías lingüísticas interactúan con otros sistemas de creencias y valores, como por ejemplo las ideologías de género, nación y raza, y también con cuestiones de poder y estatus socioeconómico, como se observa en esta segunda sección sobre políticas e ideologías lingüísticas. En los últimos años, el estudio de las ideologías involucradas en la estandarización y en la ‘ideología de la lengua estándar’ (Milroy & Milroy 1999) ha despertado mucho interés, y tres de los capítulos de esta sección abarcan estos temas, aunque con enfoques diferentes. En el primer capítulo de la sección, Darren Paffey y Clare Mar-Molinero examinan el papel de la Real Academia Española (RAE) y el Instituto Cervantes en la diseminación de una ideología “panhispánica” estandarizante, bajo el argumento de que tal ideología, así como las políticas lingüísticas que la reflejan, favorece los intereses de empresas privadas españolas atentas a las oportunidades comerciales que puede ofrecer un mercado hispanohablante globalizado. Daniel Villa se muestra de acuerdo con Paffey y Mar-Molinero en que los intentos de establecer un español estándar tienden a ubicar a España en un lugar privilegiado, subordinando tanto las variedades habladas en Latinoamérica, como especialmente lo que Villa denomina U.S. Spanish. Ya que el término Standard Spanish (español estándar) implica una uniformidad lingüística inexistente –e imposible–, Villa prefiere el uso del término General Spanish (español general) y propone, a partir de una discusión del sistema de pronombres de sujeto, que se utilice no para describir una sola variedad del español, sino la morfología y sintaxis que las múltiples variedades del español puedan tener en común. El capítulo de Robert Train explora la conexión entre poder político y construcciones ideológicas de lengua estándar, lengua extranjera y lengua nativa, empezando con un análisis de la gramática del castellano de Nebrija y terminando con una consideración de las discusiones en torno a la enseñanza del español en Estados Unidos. Train subraya el papel que muchas veces desempeñan los educadores y otros profesionales de la lengua al idealizar y defender la unidad lingüística, y de esa manera legitimizar las desigualdades entre hablantes. Asimismo, el autor hace un llamamiento para que los que enseñan español como lengua de herencia luchen en contra de la representación de este idioma –tanto en la educación como en el discurso público– como ‘extranjero’. El resto de la sección está compuesto por capítulos sobre ideologías del lenguaje en la prensa, el discurso académico y el suministro de servicios médicos. Para entender la transformación de la sociedad neomexicana en el periodo justo antes de la fundación del estado de Nuevo México, Arturo Fernández-Gibert analiza las ideologías sobre el español y el inglés reflejadas en textos periodísticos de la época. Según Fernández-Gibert, la difusión de una prensa local en español promovió no sólo la alfabetización y el desarrollo de una ‘literatura nacional’ en

LENSO-21

23/1/09

16

12:32

Página 16

Manel Lacorte/Jennifer Leeman

Nuevo México, sino también el paso de la representación de la identidad neomexicana desde el marco oral hacia a una expresión escrita. Sin embargo, argumenta que la negación de la escolaridad en español y la imposición del inglés en las escuelas impidieron el pleno desarrollo de una cultura de letra impresa en español. El capítulo de María Cecilia Colombi también examina ideologías expresadas en la prensa, esta vez comparando la reacción de la prensa en inglés y español ante el polémico libro de Samuel P. Huntington Who Are We? The Challenges to America’s National Identity. En concreto, Colombi se apoya en la lingüística sistémico-funcional para analizar cómo los periodistas se posicionan con respecto al argumento de Huntington de que los latinos representan una amenaza para la identidad cultural estadounidense. En el último capítulo de esta sección, Glenn Martinez investiga, por un lado, las ideologías del lenguaje en los servicios de salud, y por el otro la influencia de estas ideologías en la implementación de la política lingüística oficial. El autor demuestra que la elevación ideológica del inglés, junto con una sobrevaloración del nivel de bilingüismo de la comunidad, conspiran para socavar la ley federal y limitar el acceso de los hispanohablantes a una atención médica de calidad. Martinez enfatiza que las políticas oficiales actuales no resultan suficientes para combatir la discriminación lingüística, y pide una mayor atención a las ideologías del lenguaje en la planificación lingüística y una mayor profesionalización de los servicios de interpretación médica. Las recomendaciones de este capítulo para que las universidades mejoren la formación de los profesionales de los servicios médicos, nos parecen una buena transición a la tercera sección del libro, dedicada a la política educativa y la pedagogía del español en Estados Unidos y en contacto con otras lenguas. La tercera sección se abre con un capítulo de Rachel Moran sobre Lau v. Nichols (1974), el dictamen más conocido en la historia legal de la política educativa de Estados Unidos en cuanto a los hispanohablantes (y otras minorías lingüísticas). Con esta decisión, la Corte Suprema dictaminó que ofrecer la enseñanza pública únicamente en inglés constituye una discriminación contra los niños que no hablan esa lengua. A pesar de su gran impacto en el desarrollo de la educación pública en Estados Unidos, y en particular de la educación bilingüe, poca gente conoce la historia del caso, ni la de los participantes. Moran explica en detalle las cuestiones legales y presenta las experiencias, motivaciones y perspectivas de las personas involucradas, basándose en parte en entrevistas que la misma autora llevó a cabo. En el capítulo siguiente, Kendall King enlaza con el punto final del trabajo anterior poniéndonos al día sobre la política educativa relacionada con el español en Estados Unidos. En concreto, King examina la enseñanza del idioma para hispanohablantes y hablantes de otras lenguas, con interés especial en la aparente contradicción entre la imposición de la enseñanza monolingüe en inglés

LENSO-21

23/1/09

12:32

Introducción

Página 17

17

para el primer grupo y el aumento de iniciativas y fondos para la educación bilingüe del segundo. A pesar de las consecuencias negativas de No Child Left Behind, una ley federal que ha tenido el efecto de reducir la enseñanza en español para los niños hispanohablantes, King se mantiene optimista sobre las posibilidades de que la creciente valorización del bilingüismo pueda dar pie a mejores opciones educativas para todos, y ofrece recomendaciones especificas para promover esos resultados. Investigadores y educadores coinciden en afirmar que niños, adolescentes y adultos hispanohablantes y ‘de herencia’ se benefician más de clases de español diseñadas especialmente para ellos que de clases de español como segunda lengua. Aunque en los últimos años ha habido un fuerte apoyo teórico a las clases para hablantes de herencia y un notable aumento de programas de estas características, casi no existen estudios empíricos sobre el tema. El capítulo de Sara Beaudrie responde a esta escasez con un análisis de los avances de los hablantes de herencia en este tipo de programa pedagógico en comparación con hablantes de herencia en programas de español como segunda lengua. A partir de su trabajo con hablantes de herencia cuyas habilidades eran sobre todo de comprensión, la autora hace hincapié en la variabilidad de la competencia lingüística de los hablantes agrupados bajo la rúbrica ‘de herencia’, enfatizando que las mejores respuestas pedagógicas probablemente no sean las mismas para todos. En otro estudio sobre la enseñanza del español como lengua de herencia en Estados Unidos, Cynthia Ducar hace un análisis crítico de los libros de texto para este tipo de programas. Su investigación del tratamiento de la variación lingüística subraya, primero, la escasa atención sobre el tema de la variación, y acto seguido muestra cómo el español peninsular se presenta a menudo como la norma a seguir en el aula de español como lengua de herencia. Los datos empíricos de Ducar sirven no sólo para acompañar las aseveraciones sobre ideologías estandarizantes discutidas en varios capítulos de la sección anterior, sino también para reflexionar sobre las otras ideologías del lenguaje implícitas en el contenido y la presentación pedagógica de los materiales didácticos. En el último capítulo del volumen, Juan Antonio Trujillo nos lleva de la investigación y la descripción a la práctica, con su modelo de cómo los educadores pueden resistir las ideologías dominantes y replantear qué y cómo se puede enseñar en las clases de español ya sea como segunda lengua o como lengua de herencia. Por una parte, Trujillo propone una pedagogía crítica que reconoce la experiencia de los estudiantes, incorpora cuestiones políticas y sociales relevantes y responde a las necesidades de la comunidad local. Por la otra, demuestra la fiabilidad de su modelo con una descripción de un programa innovador de ‘comunidades de aprendizaje’ para estudiantes universitarios puesto en práctica en su propio centro de trabajo.

LENSO-21

23/1/09

12:32

18

Página 18

Manel Lacorte/Jennifer Leeman

En definitiva, uno de nuestros objetivos principales con este volumen ha sido dar relevancia a las cuestiones sociales, políticas y educativas relacionadas con el español en Estados Unidos y en otras áreas de contacto lingüístico. Hemos intentado mejorar el entendimiento académico de esas cuestiones y aportar algunos fundamentos sociolingüísticos de utilidad para las diversas políticas lingüísticas, educativas y migratorias que actualmente están siendo articuladas y debatidas en Estados Unidos y los otros múltiples contextos donde se habla español. Nos gustaría mucho creer que, a través de los estudios recogidos en este volumen, nuestros lectores sentirán un mayor deseo de participar en los muchos diálogos y debates públicos acerca de esas políticas. Por último, queremos enfatizar la importancia de tener en cuenta las voces de otros colectivos de hablantes y de profesionales fuera de la universidad –madres, padres y otros familiares, maestros de educación primaria y secundaria, activistas, periodistas, abogados, políticos, intérpretes, traductores, publicistas, analistas de medios, etc.– cuya labor para la difusión, pedagogía y análisis crítico del español nos parece, como mínimo, tan importante como la del docente e investigador universitario. Esperamos que en futuros encuentros y publicaciones se siga trabajando en esta dirección.

Bibliografía CESTERO MANCERA, Ana María/MOLINA MARTOS, Isabel/PAREDES GARCÍA, Florentino (eds.) (2006): Estudios sociolingüísticos del español de España y América. Madrid: Arco Libros. ESCOBAR, Anna María/WÖLCK, Wolfgang (eds.) (2009): Migración, contactos y la emergencia de nuevas variedades lingüísticas. Madrid/Frankfurt: Iberoamericana/Vervuert. GODENZZI, Juan Carlos (2006): “Spanish as a lingua franca”, en: Annual Review of Applied Linguistics 26, 100-122. MILROY, James/MILROY, Lesley (1999): Authority in Language. London: Routledge. NIÑO-MURCIA, Mercedes/ROTHMAN, Jason (eds.) (2008): Bilingualism and identity. Spanish at the crossroads with other languages. Philadelphia: John Benjamins. PALACIOS, Azucena (ed.) (2008): El español en América. Contactos lingüísticos en Hispanoamérica. Barcelona: Ariel. STOLZ, Thomas/BAKKER, Dik/SALAS PALOMO, Rosa (eds.) (2008): Aspects of language contact: New theoretical, methodological and empirical findings with special focus on Romancisation. Berlin: Mouton de Gruyter. WOOLARD, Kathryn A. (1998): “Language ideology as a field of inquiry”, en: Schiefflin, Bambi B./Woolard, Kathryn A./Kroskrity, Paul V. (eds.): Language ideologies: Practice and theory. Oxford: Oxford University Press, 3-47. ZIMMERMAN, Klaus/MORGENTHALER, Laura (eds.) (2007): Lengua y migración en el mundo hispanohablante, en: Revista Internacional de Lingüística Iberoamericana 2(10).

LENSO-21

23/1/09

12:32

Página 19

CONTACTO LINGÜÍSTICO

LENSO-21

23/1/09

12:32

Página 20

LENSO-21

23/1/09

12:32

Página 21

RECONSTRUCCIÓN Y CONTACTO DE LENGUAS: EL ESPAÑOL EN EL NUEVO MUNDO CLAUDIA PARODI University of California Los Angeles

In this chapter I demonstrate that it is possible to determine which peninsular dialects were in contact with indigenous languages during the earliest stages of the Spanish colonization in the Americas. In fact, I show that there is evidence of speakers of Castilian Spanish, and speakers of Andalusian Spanish in the New World, as well speakers of an early koiné or pre-koiné which arose as the result of different peninsular dialects in contact in the Americas. The Spanish loanwords examined show regular correspondences in indigenous languages such as Aimará, Guajiro, Huastec, Nahuatl and others. In fact, most times lexical loanwords from Spanish have been adapted in these languages by using sounds that were very close to the original from the acoustic and the articulatory point of view. Thus, for example, Amerindian languages that were in contact with speakers of the Old Castilian dialect during the sixteenth century have borrowed words such as limones, ‘lemons’ or silla, ‘chair’, whose final or initial /s/, was an alveolar voiceless fricative sound [Ñ] in Castilian Spanish, as [limóne∫] and [∫ila], with a palato-alveolar, fricative, voiceless sound /∫/, which is very close to the original Old Castilian apico-alveolar /Ñ/. However, speakers of American Indian languages that were in contact with Andalusian dialect speakers before they aspirated /s/ have borrowed the first word as [limónes] and the second as [sila], with a dental, fricative, voiceless [s]. This alternation shows that Amerindian speakers –whose languages have /s/ and /∫/– were in contact with speakers of Spanish that spoke al least two different dialects: Castilian Spanish and Andalusian Spanish. The hispanisms of Amerindian languages, then, put into question –as other researchers such as Lipski (1994) or Parodi (1995) have previously done– the “Andalucista” theory of Latin American Spanish, which claims that most –if not all– Spanish speakers that came to the Americas were either from Andalusia or spoke an Andalusian dialect, mainly from Seville. In fact, Amerindian languages not only provide evidence that confirms that several varieties of Spanish were spoken in the Americas in Colonial times, but that a koiné was created in the Americas.

LENSO-21

23/1/09

12:32

22

Página 22

Claudia Parodi

Introducción En el marco del estudio de las lenguas en contacto (Thomason 2001, Peperkamp & Dupoux 2003, Winford 2003 y otros), cuando se analizan los sistemas fónicos de dos o más lenguas, se ha puesto énfasis en la manera en que una lengua donadora afecta a otra lengua receptora. En dichos trabajos –algunos de ellos muy iluminadores–, se ha ignorado casi siempre que los préstamos, además de afectar la estructura de una lengua receptora, reflejan las características de la lengua donadora y evidencian los cambios que esta última pudo haber sufrido a lo largo de su historia en diferentes áreas geográficas. En este trabajo, con el objeto de comenzar a llenar este hueco de los estudios de las lenguas en contacto, muestro que, gracias al análisis de los hispanismos o préstamos del español en las lenguas indígenas americanas incorporados en distintas etapas cronológicas, es posible reconstruir la historia de la pronunciación del español en el Nuevo Mundo y determinar qué dialectos de esta lengua europea estuvieron en contacto entre sí y con distintas lenguas indígenas durante la formación de las diferentes variantes del español hispanoamericano. Utilizo en mi análisis las reglas de evolución fonológica y de reconstrucción interna del español, junto con las modificaciones que de éstas han sugerido varios investigadores (Lapesa 1957, Menéndez Pidal 1962, Parodi 1995 y otros) para explicar la formación del español en el Nuevo Mundo a partir del siglo XVI. En este trabajo, además, correlaciono la pronunciación de dichas variantes del español europeo y americano con la pronunciación de los hispanismos o préstamos del español a las lenguas amerindias con el objeto de reconstruir los dialectos históricos del español. Los hispanismos de las lenguas indígenas que menciono provienen de la base de datos de Dakin y Parodi (1995), la cual reúne ejemplos procedentes de un gran número de lenguas indoamericanas registrados en distintas fuentes tales como gramáticas, estudios y descripciones de las lenguas indígenas antiguas y modernas, y diccionarios de varias lenguas indígenas compuestos desde la colonia hasta nuestros días. La recolección de los datos es resultado de un cuidadoso análisis de las fuentes para tener la seguridad de que los préstamos recogidos reflejen la pronunciación de cada voz. Los datos se encuentran organizados en orden alfabético seguidos de una clave numérica que identifica la lengua indígena de donde procede cada uno de ellos1. Como antecedente a este tipo de trabajo puede verse Canfield (1934).

1

Para la localización geográfica de las lenguas mencionadas, véase el mapa que aparece en el apéndice.

LENSO-21

23/1/09

12:32

Página 23

Reconstrucción y contacto de lenguas: el español en el Nuevo Mundo

23

Sistemas fonológicos en contacto El estudio de los préstamos para la reconstrucción de la lengua prestataria es herramienta conocida en la lingüística histórica. Por ejemplo, Álvaro Galmés (1962) usó préstamos del árabe en su estudio de las sibilantes en la Romania. La mayor parte de las veces, los préstamos léxicos suelen adaptarse al sistema fonológico de las lenguas receptoras utilizando sonidos equivalentes desde el punto de vista de la percepción acústica, aunque en algunas ocasiones se eliminen fonemas o se añadan sonidos para adaptar los préstamos a la estructura silábica de la lengua receptora en general (para la adaptación del inglés al japonés, véase por ejemplo Peperkamp & Dupoux 2003). Sin embargo, una vez establecidas las equivalencias, los préstamos reproducen de manera fiel y sistemática los sonidos de la lengua donadora. Por ello, cabe pensar que los hispanismos más antiguos de las lenguas indoamericanas reflejan la pronunciación de alguna de las variantes del español del siglo XVI, con la cual estuvieron en contacto. Dado que muchos de estos préstamos se siguen empleando en su forma original en las lenguas indígenas habladas en la actualidad, éstos pueden considerarse fragmentos cristalizados del español antiguo. Entre éstos, cabe mencionar, por ejemplo, los fonemas prepalatal fricativo sordo /∫/ y apicoalveolar fricativo sordo /Ñ/ del castellano viejo, los cuales se reinterpretaron como un mismo fonema prepalatal fricativo sordo /∫/ en casi todos los préstamos más tempranos de las lenguas indígenas. Ello se debe a que la mayor parte de estas lenguas cuenta con el fonema prepalatal /∫/ en su inventario fonológico, pero muy pocas tienen el fonema apicoalveolar /Ñ/. Dada la regularidad de esta equivalencia a lo largo del continente americano –desde el norte de México hasta el sur de la Argentina–, cabe postular que los indígenas americanos escuchaban ambos sonidos del español como un mismo fonema /∫/. Lo mismo sucedió con los fonemas /b/ y /f/ del español que, cuando aparecen en los préstamos de las lenguas indígenas que carecen de dichos fonemas, suelen interpretarse como un fonema bilabial sordo /p/. El fonema bilabial sonoro /b/ del español, además, puede encontrarse en las lenguas indígenas como un sonido labiovelar /w/, si la variante del español en contacto pronunciaba dicho fonema como un sonido bilabial fricativo [∫] o labiodental fricativo [v]. Ejemplifico estas correspondencias en el inciso (1): (1) Español (a) /∫/ y /Ñ/ (b) i. /b/ y /f/ ii. [∫] y [v]

> > >

Lenguas indígenas americanas /∫/ /p/ /w/

El análisis del contacto de lenguas y dialectos permite reconstruir la cronología relativa de los préstamos, debido a que suele existir una secuencia temporal en el orden en que se incorporan los préstamos. Por ejemplo, cabe considerar anterior

LENSO-21

23/1/09

12:32

Página 24

24

Claudia Parodi

un préstamo del español que contenga un fonema /∫/ que otro que tenga /x/, como sucede con el hispanismo /∫abón/ , frente al hispanismo /kaxa/ o /kaha/ . Pero como cualquier método de análisis histórico, el estudio de los préstamos requiere de la consideración constante de dos aspectos importantes. El primero es que las lenguas cambian, y el segundo es que hay variación dialectal tanto en la lengua donadora como en la receptora. Por ello, resulta necesario conocer tanto las distintas etapas evolutivas de las lenguas en cuestión, como su variación dialectal. En lo que atañe a las distintas etapas del español, sirva de ejemplo el préstamo [té∫a] (< español [té∫a]), que significa ‘teja’ en el aimará, lengua hablada desde antiguo hasta la actualidad en Perú y en Bolivia. La pronunciación de tal vocablo en dicha lengua prueba que esta palabra se introdujo en la lengua indígena en una época en que el fonema prepalatal fricativo sonoro /ñ/ del español, comenzaba a ensordecerse en /∫/, como muestra un buen número de fuentes filológicas americanas del siglo XVI, pues el aimará cuenta con el sonido /ñ/. Este fonema, empero, todavía no se había velarizado durante esta centuria. En efecto, aunque el aimará tiene un fonema velar fricativo sordo /x/, éste no se empleó en dicho préstamo. El fonema velar, en cambio, sí se utilizó en hispanismos del aimará más tardíos, como sucedió con la voz [xibóso] (< español giboso) ‘jorobado’. En la actualidad convive en el aimará la forma más antigua en su estado original, junto con la más moderna. Resumo esta situación en el inciso (2): (2) Aimará (Perú y Bolivia): Préstamo temprano (XVI) [té∫a] (< español [te∫a]), ‘teja’

Préstamo tardío (XIX o posterior) [xibóso] (< español giboso) ‘jorobado’ (Dakin & Parodi 1995)

La primera voz, además, evidencia que las ‘tejas’ fueron objetos introducidos en la cultura aimará para la construcción de casas por los españoles en época temprana. La segunda palabra, en cambio, fue más tardía probablemente porque se refiere a una descripción física de menor trascendencia para la vida diaria de la comunidad aimará que la primera. En cuanto al segundo aspecto, la variación dialectal del español, ésta también se refleja en los préstamos del español a las lenguas indígenas. Como es bien sabido, durante el siglo XVI los dialectos del español sufrieron una reestructuración. Por un lado, el castellano viejo sustituyó a la norma toledana como forma estandarizada del español a raíz del cambio de sede de Toledo a Madrid por parte de la corte española (en 1561 se fija oficialmente allí). Por otro lado, el dialecto andaluz, a pesar de estigmatizarse en la Península, adquirió especial preeminencia en virtud del papel que tuvo Sevilla en la conquista de América (Menéndez Pidal 1962).

LENSO-21

23/1/09

12:32

Página 25

Reconstrucción y contacto de lenguas: el español en el Nuevo Mundo

25

Difusión de los hispanismos Los hispanismos pueden generalizarse de tres maneras: por contacto directo o bilingüismo, por contacto indirecto, como la difusión léxica de palabras aisladas, o por contacto con otra lengua indígena que haya adoptado hispanismos, como han señalado Shipley (1962), Bright y Thiel (1965), Miller (1990) y otros. En cuanto a la incorporación de préstamos por bilingüismo, resulta importante distinguir los hispanismos tempranos de los tardíos, lo cual puede determinarse gracias a la cohesión de campos semánticos, a las fechas del contacto y a la estructura fónica de las palabras. Gracias a las crónicas, relaciones de la conquista y otras fuentes documentales, resulta posible establecer con bastante margen de seguridad los momentos iniciales y consecutivos del contacto, así como las situaciones de bilingüismo del español y las lenguas indígenas a lo largo del continente. En lo que atañe a la difusión léxica, pueden observarse varios patrones. Casi siempre se difunden los mismos términos del español en los idiomas aborígenes americanos, los cuales se refieren a entidades culturales concretas o abstractas, ajenas a las comunidades indígenas, que trajeron los españoles de Europa, como han mostrado Crosby (1972), Brown (1999) y otros en lo que se ha llamado the Columbian exchange. Entre éstos se encuentran plantas –como los ajos y las cebollas–, animales –como el caballo y el cerdo– o conceptos abstractos de la religión católica –como Dios, ángel y Cristo–. La pronunciación de las voces que se usaron para referirse a estas entidades culturales refleja el contacto con las distintas variantes del español, sobre todo el castellano viejo, el andaluz y una o varias de las koinés americanas, dado que las lenguas indígenas contaban con un inventario de sonidos muy semejante a los del español de la época del contacto. En lo concerniente al tercer factor, la incorporación de hispanismos por contacto entre dos lenguas indígenas, cabe señalar que en zonas americanas en que no hubo contacto directo con los españoles pueden encontrarse hispanismos debidos a la interacción de los indígenas entre sí, sobre todo en situaciones de comercio en los mercados, los cuales estaban generalizados en las distintas culturas indígenas de Latinoamérica. En lo que atañe a la formación de las distintas koinés americanas, aunque su existencia se ha probado y se ha aceptado por la mayoría de los investigadores, desde que Fontanella de Weinberg (1992) se refirió a la koiné del Caribe, resulta necesario puntualizar sus cambios y características en las distintas zonas de América Latina. Varios hispanismos incluidos en este trabajo evidencian algunos rasgos de dichas koinés. Un estudio más amplio en el marco de la koineización podría ayudar a explicar los cambios y la evolución interna y externa de las distintas variantes del español en América. En este trabajo, sin embargo, me centro en los rasgos que conformaron dichas koinés en sus inicios y que en muchos casos ya han desaparecido sin dejar huellas de su existencia en el español americano moderno.

LENSO-21

23/1/09

12:32

Página 26

26

Claudia Parodi

En lo que atañe a los análisis específicos de los préstamos del español a las lenguas indígenas, cabe anotar que hay una amplia bibliografía sobre el tema, especialmente por parte de los lingüistas indigenistas. Pero en muchos casos sus interpretaciones son cuestionables debido a que suelen desconocer la historia del español, sobre todo la variación dialectal del español del siglo XVI en el Nuevo Mundo. Frecuentemente atribuyen al ‘español antiguo’ rasgos de los préstamos que no se deben a una secuencia cronológica, sino a la variación dialectal del español en América. Finalmente, quisiera terminar este apartado reiterando que el estudio de los préstamos es una herramienta invaluable para la reconstrucción fonológica de las lenguas. En el caso del español, el análisis de los préstamos del español a las lenguas indígenas o hispanismos de los idiomas indoamericanos complementa otros medios de reconstrucción diacrónica, como el análisis filológico de textos manuscritos, el examen de la rima y los testimonios de gramáticos y cronistas, los cuales, en conjunción con el método comparativo y el método de reconstrucción interna –que van más allá de la mera descripción de alternancias ortográficas o variaciones fónicas–, permiten adentrarse en la forma y estructura de estadios anteriores del español y sus dialectos históricos.

Hispanismos de las lenguas indígenas A continuación, presento el análisis de algunos hispanismos ‘tempranos’ de las lenguas indígenas de América, el cual muestra que llegaron al Nuevo Mundo suficientes hablantes de las variantes castellano vieja y andaluza como para dejar huellas de su presencia en los préstamos del español a las lenguas amerindias. Además, ofrezco evidencia de residuos de varias koinés del español americano en donde se conjugan rasgos de estos dos dialectos y de otros más. Dichas koinés parecen haberse formado sobre todo por difusión léxica, en virtud del contacto de hablantes de las dos variantes anteriores. Por razones de espacio, me limito a exponer datos que muestran la pronunciación de fonemas clave como las sibilantes, la aspiración de /s/ en posición final de sílaba, la pronunciación del fonema lateral palatal /«/, la velarización de /∫/ y el contraste de las labiales /p, b, w/ a fin de explicar la distribución dialectal de algunas regiones de México, Centroamérica, Perú y las costas de Colombia y Venezuela. Presento la información en orden geográfico, según la evidencia del dialecto peninsular presente en los datos analizados. Los otros dialectos peninsulares, aunque no dejaron huellas tan evidentes en los hispanismos de las lenguas indígenas como el castellano viejo, el andaluz y la koiné americana, también tuvieron representantes en América, según indican

LENSO-21

23/1/09

12:32

Página 27

Reconstrucción y contacto de lenguas: el español en el Nuevo Mundo

27

varios cronistas. Entre ellos cabe mencionar a Gonzalo Fernández de Oviedo, quien en su Historia general y natural de las Indias de 1532 escribió lo siguiente: (3) […] han acá pasado diferentes maneras de gentes; porque, aunque eran los que venían, vasallos de los reyes de España, ¿quién concertará al vizcaíno con el catalán, que son de tan diferentes provincias y lenguas? ¿Cómo se avernán el andaluz con el valenciano, y el de Perpiñán con el cordobés, y el aragonés con el guipuzcoano, y el gallego con el castellano (sospechando que es portugués), y el asturiano e montañés con el navarro, etc.? E así, desta manera, no todos los vasallos de la corona real de España son de conformes costumbres ni semejantes lenguajes. En especial, que en aquellos principios, si pasaba un hombre noble y de clara sangre, venían diez descomedidos y de otros linajes obscuros e bajos (73, Cap XIII) [cursiva del autor].

Reflejos del castellano viejo El castellano viejo es el dialecto que deja las huellas más evidentes en las lenguas indígenas por ser muy distinto de los dialectos modernos del español americano. Dado que ya me he referido a los reflejos de este dialecto en las lenguas indoamericanas en otras ocasiones (cf., Parodi 1987, 1995, Parodi & Dakin 1999), aquí sólo mencionaré el caso del náhuatl y del huasteco. Cabe aclarar que es difícil detectar el estándar toledano en las lenguas indígenas en general porque éstas no suelen tener sonidos sonoros, que son característicos de esta variante conservadora del español. Pero las lenguas indígenas pueden retener la distinción de las consonantes labiales, que se mantenía en el toledano, a pesar de que tal oposición ya se estaba perdiendo en el castellano viejo. El náhuatl es especialmente interesante porque, aunque no refleja las sibilantes sonoras del toledano, mantiene el contraste de los sonidos labiales, junto con otros rasgos conservadores, como se verá a continuación.

MÉXICO Náhuatl El náhuatl, lengua uto-azteca hablada en México, fue lengua general antes de la llegada de los españoles y durante la colonia. Por ello, se habló en prácticamente toda Mesoamérica, desde el norte de San Luís Potosí y Aguascalientes hasta El Salvador, y muchas veces coexistió con otras lenguas indígenas. Sin embargo, la zona propiamente originaria del náhuatl es el centro de México. Junto con el maya de Tabasco, el náhuatl fue una de las primeras lenguas que entró en contacto con los españoles durante el siglo XVI. Por ello, desde fecha temprana hay his-

LENSO-21

23/1/09

12:32

Página 28

28

Claudia Parodi

panismos en el náhuatl que evidencian su contacto con el castellano viejo. Hay en el náhuatl, en efecto, ejemplos en que se mantiene el contraste entre el fonema apicoalveolar /Ñ/ ort. y el fonema predorsodental /s/ ort. . Por ello, en esta lengua el fonema apicoalveolar /Ñ/ se reinterpreta como un fonema prepalatal /∫/, que contrasta con el fonema predorsodental /s/, como puede observarse en los ejemplos incluidos en el inciso (4), los cuales proceden del náhuatl de Cozcatlán, San Luis Potosí: (4) a. /Ñ/ ( /∫/ (náhuatl): Náhuatl

Castellano viejo (XVI)

Significado

ko∫tal pi∫kal ∫ila

koÑtal fiÑkal Ñí«a

‘costal’ ‘fiscal’ ‘silla de montar’ (Dakin & Parodi 1995)

b. /s/ ( /s/ (náhuatl): Náhuatl

Castellano viejo (XVI)

Significado

asukar sapato

asukar sapato

‘azucar’ ‘zapato’ (Dakin & Parodi 1995)

El náhuatl tiene, asimismo, ejemplos que reflejan la pronunciación del fonema palatal lateral /«/, el cual se mantuvo por largo tiempo en el castellano viejo. En el náhuatl, este fonema se despalatalizó hasta convertirse en una consonante lateral dental /l/, como es frecuente en las lenguas amerindias que no tienen el fonema palatal lateral en su inventario original. Esto puede observarse en el inciso (5): (5) /«/ ( /l/ (náhuatl): Náhuatl

Castellano viejo (XVI)

Significado

ko:…ilo ∫ila

ku…i«o Ñí«a

‘cuchillo’ ‘silla de montar’ (Dakin & Parodi 1995)

El castellano viejo –frente al andaluz y el toledano– redujo a dos alófonos los fonemas /b/ oclusivo y fricativo bilabial /∫/ o labiodental /v/. Sin embargo, en los préstamos más antiguos del náhuatl, el alófono [b] bilabial oclusivo o fricativo se reinterpretó como /p/ y el alófono labiovelar [w] o labiodental [v] se reanalizó como /w/, según ilustro en el número (6). Cabe hacer notar que en el caso de la palabra ‘vaca’ había alternancias entre /b/ y /w/ desde antiguo en el castellano viejo (cf., Corominas & Pascual 1980 y el inciso [7] abajo)

LENSO-21

23/1/09

12:32

Página 29

Reconstrucción y contacto de lenguas: el español en el Nuevo Mundo

29

(6) / b / [b] [∫] (castellano) [w] [v] (castellano)

> >

/p/ (náhuatl) /w/ (náhuatl)

Náhuatl

Castellano viejo (XVI)

Significado

waka∫ posal ∫epo

wakaÑ bosal Ñe∫o ( /θ/ (cambio interno del huasteco): Huasteco θimarron

Castellano viejo (XVI) simaËon

Significado ‘cimarrón’ (Dakin & Parodi 1995)

El huasteco, como el náhuatl, mantiene reflejos del fonema palatal lateral /«/, el cual se despalataliza, realizándose como una consonante lateral dental /l/. Esto puede observarse en el inciso (8):

LENSO-21

23/1/09

12:32

Página 30

30

Claudia Parodi

(8) /«/ ( /l/ (huasteco): Huasteco

Castellano viejo (XVI)

Significado

kutsil ∫iila

ku…i«o Ñí«a

‘cuchillo’ ‘silla’ (Dakin & Parodi 1995)

La eliminación del contraste de los fonemas labiales oclusivo /b/ y el fonema fricativo bilabial /∫/ o labiodental /v/ también se refleja en el huasteco. Ambos fonemas se articulan oclusivos en posición inicial [b] y fricativos [∫] en posición intervocálica y en otras oposiciones. El huasteco refleja esta situación, pues el alófono bilabial oclusivo [b] se reinterpreta como un fonema oclusivo sordo /p/ y el alófono bilabial fricativo [∫] se escucha como un fonema oclusivo sonoro /b/, como muestro en el inciso (9): (9) / b / [b] (castellano) > /p/ (huasteco) [∫] (castellano) > /b/ (huasteco) Huasteco

Castellano viejo (XVI)

Significado

paka∫ laabu∫

bakaÑ kla∫oÑ

‘vaca’ ‘clavo’ (Dakin & Parodi 1995)

Reflejos del andaluz Los reflejos del andaluz suelen ser difíciles de detectar, porque en muchos casos la forma fónica de una palabra antigua procedente de algún habla andaluza puede coincidir con la pronunciación moderna de alguna variante del español americano. A pesar de ello, es posible determinar la cronología relativa de un préstamo y encontrar rasgos antiguos procedentes de alguna variante andaluza en los hispanismos cuando dichos préstamos corresponden a ciertos campos semánticos o se encuentran documentados en fuentes antiguas.

LA ZONA CARIBE Los hispanismos de algunas lenguas indígenas de la costa del Caribe, como el guajiro, reflejan rasgos andaluces en préstamos que se pueden fechar en una época temprana, pues junto con el seseo y el yeísmo, mantienen el fonema prepalatal fricativo sin velarizar.

LENSO-21

23/1/09

12:32

Página 31

Reconstrucción y contacto de lenguas: el español en el Nuevo Mundo

31

Guajiro (península Guajira, entre Colombia y Venezuela) El guajiro, idioma arahuaco de la costa Caribe de Colombia y Venezuela, tiene reflejos del dialecto andaluz, tales como el seseo y el yeísmo en sus préstamos del español. En esta lengua el fonema prepalatal fricativo sordo /∫/ se mantiene como tal, pero la sibilante apicoalveolar /Ñ/ del castellano se refleja como un sonido predorsodental fricativo sordo /s/, como se verá abajo. Cabe añadir que en la península Guajira, la ciudad de Santa Marta fue fundada en 1525 por Rodrigo de Bastida, sevillano. Estudios posteriores sobre sus asentamientos originales podrán confirmar la presencia andaluza desde fecha temprana. Los fonemas apicoalveolar /Ñ/ y predorsodental /s/ convergen en una sibilante predorsodental /s/ (seseo) (andaluz siglo XVI) > /s/ (guajiro), como puede verse en los ejemplos de (10): (10) Guajiro sepi sía

Andaluz ( XVI)

Significado

se∫o síya

‘sebo’ ‘silla de montar’ (Dakin & Parodi 1995)

El fonema lateral palatal /«/ se deslateraliza en /y/ como empezaba a ocurrir en algunas variantes del andaluz incluidas en (11): (11) /«/ > /y/ (yeísmo) Guajiro

Andaluz (XVI-XVII)

Significado

patéya sía

boteya siya

‘botella’ silla de montar’ (Dakin & Parodi 1995)

El fonema prepalatal se mantiene: /∫/ > /∫/, lo que prueba que se trata de un préstamo antiguo, como puede verse en (12): (12) Guajiro patí∫a ká∫a

Andaluz (XVI)

Significado

boti∫a ká∫a

‘botija’ ‘tambor’ ( /∫/ (koiné’) y /s/ (andaluz) > /s/ (koiné’) Huave

Koiné (XVI)

Significado

∫ortean kostil sombrer

Ñartén kosti«a sombrero

‘sartén’ ‘costilla’ ‘sombrero’ (Dakin & Parodi 1995)

No se aspira la sibilante predorsodental /s/ del español en los hispanismos seseantes del huave, aunque se aspire en el español de la zona en posición implosiva o coda, como puede observarse en (14): (14) / s / (koiné’) > [ s ] /__C Huave kostil

Koiné’ (XVI) kosti«a

Significado ‘costilla’ (Dakin & Parodi 1995)

LENSO-21

23/1/09

12:32

Página 33

Reconstrucción y contacto de lenguas: el español en el Nuevo Mundo

33

El fonema prepalatal /∫/ a veces se refleja como un sonido velar /x/, y a veces como un sonido prepalatal /∫/. Tal variación parece reproducir la situación regional de la península, donde ambos sonidos alternaron durante el siglo XVI en distintos dialectos, hasta que se generalizó la velarización a fines del primer tercio del siglo XVII (Lapesa 1981: 379). Formalizo la situación del huave de la siguiente manera /∫/ > /x/ o /∫/, que ejemplifico en (15): (15) Huave ∫ar tixer

Koiné’ (XVI-XVII)

Significado

∫ar˜a tixera

‘jarra’ ‘tijera’ (Dakin & Parodi 1995)

El fonema palatal lateral /«/ se despalataliza en /l/, evidenciando la presencia del castellano viejo, pero también se encuentra deslateralizado como /y/, según sucedía en algunas variantes andaluzas populares durante el siglo XVI. Resumo estas realizaciones en la siguiente regla de la koiné’ americana: /«/ > / l / y /y / y la ejemplifico en (16) (16) Huave kuchil kawüy kostil

Koiné’ (XVI)

Significado

ku…i«o ka∫ayo kosti«a

‘cuchillo’ ‘caballo’ ‘costilla’ (Dakin & Parodi 1995)

Huichol (Nayarit y Jalisco México) El huichol entró en contacto con el español durante la segunda mitad del siglo XVI, un poco más tarde que el náhuatl y las lenguas caribe, pero antes que las lenguas de California. Adoptó dos hispanismos clave que muestran la presencia de una de las koinés americanas. Estos préstamos clave se refieren a ‘silla de montar’ y ‘caballo’, los cuales se integraron desde fecha temprana en casi todas las lenguas indígenas americanas aquí analizadas, probablemente por formar parte del mismo campo semántico y por la relevancia que tuvieron los caballos y sus complementos durante la conquista. Lo interesante de estos dos ejemplos en el huichol es que la pronunciación de cada una de estas voces refleja un dialecto histórico distinto. En tanto que el primero se anexó bajo la forma [∫ira], evidenciando despalatalización y rotacismo del fonema lateral palatal del castellano viejo /«/ como en [Ñí«a], el segundo se adjuntó al vocabulario huichol como [kawayu], reflejando la pronunciación andaluza por la que el fonema lateral palatal se deslateraliza en /y/, como en [kaváyo] o [ka∫ayo]. Estos ejemplos entraron al huichol simultáneamente conformando una de las koinés americanas y no en dos épocas distintas

LENSO-21

23/1/09

12:32

Página 34

34

Claudia Parodi

de la historia. Por ello propongo para esta koiné’’, según se refleja en el huichol, la siguiente regla; /« / > /l/ > /r/; /y/ > /y/ para las realizaciones del fonema lateral palatal, como ejemplifico en (17): (17) Huichol ∫ira kawayu

Koiné’’ (XVI)

Significado

Ñí«a kaváyo, ka∫ayo

‘silla’ ‘caballo’ (Dakin & Parodi 1995)

Páez (Cauca, zona andina central de Colombia) Los hablantes de páez estuvieron en contacto con los españoles desde los comienzos del siglo XVI. Los préstamos del español reflejan una de las koinés más tempranas del español americano por conjugar rasgos del andaluz y del castellano viejo. Realizan la sibilante ápico-alveolar como un fonema prepalatal sordo /∫/ y muestran los reflejos del andaluz al articular el fonema ápico-alveolar /Ñ/ como de manera seseante, en un sonido predorso dental /s/ en la voz siyula, ‘señora’. Represento estas realizaciones de la koiné’’’ en la regla /Ñ/ > /∫/ y /s/ > /s/, y los ejemplos en (18): (18) Páez a∫nu siyula

Koiné’’’ (XVI)

Significado

aÑno señora

‘asno’ ‘señora’ (Dakin & Parodi 1995)

Mapuche central (costa de Chile) Esta lengua hablada en la costa de Chile desde el siglo XVI ofrece una situación particularmente interesante con respecto a las consonantes labiales, pues refleja la oposición del fonema bilabial (o labiodental) fricativo sonoro /∫/ o /v/ frente al fonema bilabial oclusivo sonoro /b/. En efecto, representan el primer fonema las alternancias alofónicas labiodental sonora [v] ensordecida en [f] y el alófono bilabial fricativo sonoro [∫] reinterpretado como un sonido labiovelar [w]. Por otro lado, el fonema oclusivo bilabial /b/ aparece representado por el alófono bilabial sonoro [b] transformado en un sonido bilabial sordo [p] en la lengua indígena, que no tiene fonemas oclusivos sonoros (cf., Suárez 1965). Todos estos alófonos reflejan una koiné chilena en la que la influencia andaluza se manifiesta en la antigua articulación distinguidora de las labiales y la influencia del castellano viejo se evidencia en la conservación del fonema lateral palatal. Curiosamente, esta situación se repite en el español hablado en Chile hoy día, el cual, a pesar de

LENSO-21

23/1/09

12:32

Página 35

Reconstrucción y contacto de lenguas: el español en el Nuevo Mundo

35

ser betacista como todos los dialectos del español, tiene [∫], [v], [b] y [f] como alófonos del fonema bilabial /b/. El español chileno mantuvo, asimismo, el fonema palatal lateral /«/ en oposición a /y/ en ciertas zonas hasta los inicios del siglo XX, según Oroz (1966), antes de que se generalizara el yeísmo. La presencia del fonema palatal lateral en el mapuche debió ayudar a su conservación en el español chileno. Formalizo y ejemplifico las realizaciones de la koiné’’’’ chilena a continuación, en el número (19): (19) /b/ > [∫] > [w] (mapuche) y [v] > [f] (mapuche) /b/ > [b] > [p] (mapuche) /«/ (koiné’’’’) > [«] (mapuche) Mapuche

Koiné’’’’(XVI)

Significado

awa∫ kawe? ofi∫a napur

a∫aÑ ka∫a«o ove∫a nabos

‘habas’ ‘caballo’ ‘oveja’ ‘nabo’ (Dakin & Parodi 1995)

Conclusiones Los hispanismos de las lenguas indígenas corroboran lo que varios especialistas han estado afirmando en los últimos años. En efecto, los préstamos del español a las lenguas indígenas indoamericanas reflejan la presencia del andaluz, del castellano viejo y de las koinés americanas, las cuales tuvieron distintas formas a lo largo del continente. Sin embargo, pocos hispanismos reflejan contacto exclusivo con el castellano viejo. En los datos aquí presentados, ello sucede sólo con el náhuatl de Coscatlán y en el huasteco de Veracruz. La mayoría de las lenguas indígenas analizadas muestran haber estado en contacto con hablantes de las koinés americanas, que abarcaban rasgos de varios dialectos, especialmente del castellano viejo y del andaluz, combinados de distinta manera en las diferentes áreas geográficas. Ello no deja de ser interesante, dado que explica la unidad y la variación del español americano desde sus orígenes. Cada dialecto tiene su historia y sus diferencias, pero todos comparten una base común. Los préstamos a las lenguas indígenas indican la presencia del andaluz en dos etapas cronológicas, las cuales responden en términos generales a la propuesta de Menéndez Pidal (1962). Una etapa inicial, más conservadora, propia de las tierras del interior, y otra posterior, más innovadora, propia de las costas. En algunos casos no se sabe que hubiera presencia andaluza tardía a través de los barcos, pero hubo traslado de grupos humanos del Caribe, sobre todo mano de obra negra. La variante andaluza más reciente está menos generalizada en las zonas de contacto con las lenguas

LENSO-21

23/1/09

12:32

36

Página 36

Claudia Parodi

indígenas. Ello se debe, probablemente, a que los indígenas tuvieron que salir de las costas hacia las montañas en fecha temprana. Sin embargo, hay ejemplos del andaluz más innovador en los préstamos del yaqui (Sonora) y del guarijío (Chihuahua) (cf., Parodi & Dakin 2007). Estas lenguas cuentan con un buen número de hispanismos en los que se aspira en fonema sibilante /s/. En cambio el guajiro del Caribe venezolano, parece haber recibido influencia del andaluz de la primera etapa, aunque ahora esté en contacto con un español de mucha influencia andaluza tardía –no aspira, por ejemplo, el fonema /s/. Las primeras koinés –o pre-koinés– con el tiempo fueron eliminando las alternancias a fin de estandarizarse, descartando las formas más marcadas. Cabe pensar que, por ello, las huellas del castellano viejo fueron desapareciendo hasta dar origen a un tipo de español similar al estándar actual de México y de Colombia. En cambio, en las zonas de mayor influencia andaluza, como el Caribe, el contacto con las nuevas oleadas de hablantes de español andaluz y canario motivó que se difundiera la norma más fuertemente andaluzada e incluso se propagara a otras áreas donde los andaluces de oleadas tardías no llegaron. De particular interés es el mapuche para las consonantes labiales, pues tiene alófonos del andaluz y del castellano viejo, reflejando alternancias de la koiné americana local. Finalmente, quisiera apuntar que los hablantes de lenguas indígenas prefieren incorporar en sus préstamos los alófonos o fonemas del español más afines y consistentes con su propia fonología. Por ello, las lenguas indígenas que mantienen el sonido palatal lateral /«/ en los hispanismos son aquellas que cuentan con este fonema en su inventario fonológico (como el quechua, el mapuche y el aimará).

Bibliografía BRIGHT, William/THIEL, Robert (1965): “Hispanisms in a modern Aztec dialect”, en: Romance Philology 18, 444-452. BROWN, Cecil (1999): Lexical acculturation in native American languages. New York: Oxford University Press. CANFIELD, Delos Lincoln (1934): Spanish literature in Mexican languages as a source for the study of Spanish pronunciation. New York: Instituto de las Españas en los Estados Unidos. COROMINAS, Joan/PASCUAL, José (1980): Diccionario crítico etimológico castellano e hispánico. Madrid: Gredos. CROSBY, Alfred (1972): The Columbian exchange. Greenwood Press: Connecticut. DAKIN, Karen/PARODI, Claudia (1995): Base de datos de lenguas indígenas americanas. México, D.F.: Universidad Nacional Autónoma de México y University of CaliforniaLos Angeles (manuscrito).

LENSO-21

23/1/09

12:32

Página 37

Reconstrucción y contacto de lenguas: el español en el Nuevo Mundo

37

FERNÁNDEZ DE OVIEDO, Gonzalo (1959 [1532]): Historia general y natural de las Indias. Madrid: Ediciones Atlas. FONTANELLA DE WEINBERG, Beatriz (1992): El español de América. Madrid: Mapfre. GALMÉS, Álvaro (1962): Las sibilantes en la Romania. Madrid: Gredos. LAPESA, Rafael (1957): “Sobre el ceceo y el seseo andaluces”, en: Catalán, Diego (ed.): Miscelánea homenaje a André Martinet: Estructuralismo e historia (vol. 2). La Laguna: Universidad de la Laguna, 67-94. — (1981): Historia de la lengua española. Madrid: Gredos. LIPSKI, John (1994): Latin American Spanish. London/New York: Longman. MENÉNDEZ PIDAL, R. (1962): “Sevilla frente a Madrid: Algunas precisiones sobre el español de América”, en: Catalán, Diego (ed.): Estructuralismo e historia. Miscelánea homenaje a André Martinet (vol. 3). La Laguna: Universidad de la Laguna, 99-165. MILLER, Wick. (1990): “Early Spanish and Aztec loanwords in the indigenous languages of Northwest Mexico”, en: Garza Cuarón, Beatriz/Levy, Paulette: Homenaje a Jorge Suárez. México, D.F.: El Colegio de México, 351-365. OROZ, Rodolfo (1966): La lengua castellana en Chile. Santiago: Universidad de Chile. PARODI, Claudia (1987): “Los hispanismos de la lenguas mayances”, en: Colombo, Fulvio (ed.): Homenaje a Rubén Bonifaz Nuño. México, D.F.: UNAM, 339-349. — (1995): Orígenes del español americano. México, D.F.: UNAM. PARODI, Claudia/DAKIN, Karen (1999): “El español americano: Visión de dos mundos”, en: El centro de Lingüística Hispánica y la lengua española. México, D.F.: UNAM, 23-31. — (2007): “Contacto lingüístico y reconstrucción histórica del español en América: Aspectos teóricos y metodológicos”, en: Company, Concepción/Moreno de Alba, José (eds.): VII Congreso Internacional de Historia de la Lengua Española. Madrid: Arco Libros. PEPERKAMP, Sharon/DUPOUX, Emmanuel (2003): “Reinterpreting loan adaptations: The role of perception”, en Solé, Maria-Josep/Recasents, Daniel/Romero, Joaquín: Proceedings of the 15th International Congress of Phonetic Sciences. Barcelona: Causal Productions, 367-370. SHIPLEY, William (1962): “Spanish elements in the indigenous languages of Central California”, en: Romance Philology 16, 1-21. SIEGEL, Jeff (1985): “Koines and koineization”, en: Language in Society 14, 357-378. SUÁREZ, Jorge (1965): “Reseña de Sergio Echeverria, Descripción fonológica del mapuche”, en: International Journal of American Linguistics 31, 284-286. THOMASON, Sarah (2001): Language contact. Washington: Georgetown University Press. TUTEN, Donald (2003): Koineization in medieval Spanish. Berlin/New York: Mouton de Gruyter. WINFORD, Donald (2003): An introduction to contact linguistics. Oxford: Blackwell.

LENSO-21

23/1/09

38

12:32

Página 38

Claudia Parodi

Apéndice

(National Defense University: http://merln.ndu.edu/imgUploaded/americamap.jpg)

LENSO-21

23/1/09

12:32

Página 39

MIGRATIONS AND GLOBALIZATION: THEIR EFFECTS ON CONTACT VARIETIES OF LATIN AMERICAN SPANISH 1 CAROL A. KLEE University of Minnesota

Massive social and economic transformations in Latin America during the 20th century and early part of the 21st century, particularly increasing urbanization, have had detrimental effects on indigenous language maintenance. As a result of these changes, indigenous languages, which survived until the 20th century primarily in rural, relatively isolated areas of Latin America, have come into increased contact with Spanish and relatively rapid language shift has resulted. While studies have demonstrated that the indigenous languages have had virtually no structural influence on most varieties of Latin American Spanish, in areas where large numbers of speakers of indigenous languages reside and where there has been extensive bilingualism (especially in the 20th century), contact-induced features can be found; these areas include the Yucatan region of Mexico, Paraguay, and the Andean region of South America. As larger segments of the population of these regions have acquired Spanish, some contact-induced features (as well as features perceived as contact-induced, such as assibilation of rhotics) now form part of regional norms.2 Mounting pressures from globalization and internal migration within the past twenty to thirty years have brought speakers of these regional varieties into contact with speakers of non-contact dialects of Spanish. Empirical evidence demon-

1

2

I would like to express my appreciation to Rocío Caravedo, John Lipski, and Armin Schwegler, the anonymous reviewers and the editors, Manel Lacorte and Jennifer Leeman, for their feedback on an earlier version of this chapter. All shortcomings are my own. See Chapter 4 of Klee and Lynch for more detailed information on contact-induced features resulting from indigenous influence on Latin American Spanish.

LENSO-21

23/1/09

12:32

40

Página 40

Carol A. Klee

strates that younger generations in these regions are increasingly adopting noncontact variants in place of regional features, in particular at the phonetic/phonological level. The specific language changes that have resulted are examined as they relate more broadly to issues of language contact, dialect contact, and the processes of language change.

Introduction More than five centuries have elapsed since Spaniards first set foot in the Americas and Spanish came into contact with indigenous languages. Substrate influence on Latin American Spanish has been a topic of heated debate since Lenz’s unsubstantiated claims that the Spanish spoken in Chile “es, principalmente, español con sonidos araucanos” (1940: 249).3 Given the diversity of languages and indigenous groups that the Spaniards encountered, it is, in fact, surprising that there is relatively little substrate influence, apart from lexicon and intonation, in most dialects of Latin American Spanish.4 The reasons for this are varied, as Granda (1995) has rightly pointed out. They include the early extinction of indigenous populations in certain areas, particularly the Caribbean and coastal areas of Central and South America, as well as the strong resistance of certain indigenous groups to Spanish colonization in areas such as southern Chile and Argentina, the Chaco and northern Mexico, a resistance that continues in some cases until the present.5 A third factor is that in other areas, such as Rio de la Plata and central Mexico, an intensive process of acculturation resulted in the displacement of the indigenous languages by Spanish, but without alternations in its structure. Granda (1995: 192) points out that during the colonial period, there was no substrate influence in the major urban areas because accessibility to the local standard of Spanish was high for urban indigenous language speakers (in spite of what Granda terms “extraordinary social distance” [p. 191]), which in turn facilitated the rapid acquisition of Spanish by the urban indigenous population. For this reason, structural influence on Spanish from contact with indige-

3 4

5

The term ‘substrate’ in this chapter refers solely to indigenous languages. A number of linguists have noted the distinctive intonation found in certain Spanish language contact situations, such as in the Yucatan (Barrera Vásquez 1937; Nykl 1938; Mediz Bolio 1951), the Andean region of Peru (O’Rourke 2004, 2005), Paraguay and northeastern Argentina (Malmberg 1947), Río de la Plata (Colantoni & Gurlekian 2004), El Palenque de San Basilio in Colombia (Schwegler & Thomas 2003, Hualde & Schwegler 2008), and in Afro-Hispanic dialects (Lipski 2007). As an example of such resistance, on November 2006 the Mapuche initiated a lawsuit against Microsoft Word for having translated WindowsXP into Mapudungún without their permission in violation of their rights to protect their cultural patrimony.

LENSO-21

23/1/09

12:32

Página 41

Migrations and globalization

41

nous languages has occurred primarily in areas that were relatively isolated during the colonial era and the 19th century, and which contained large numbers of indigenous language speakers and a relatively small nucleus of Spanish-speakers; these include the Yucatan peninsula and Guatemala, and in South America, Paraguay, and the Andean region.6 The geographic isolation of many indigenous groups contributed to the continuing maintenance of their languages for over four hundred years following the Spanish invasion. However, in the 20th century important transformations occurred in Latin America. For the first time since the Spanish invasion, the intense isolation of indigenous groups began to change due to a number of factors, among them the construction of roads and railways that connected previously isolated areas with urban centers, as well as increased access to education. Agrarian reform in certain regions, in particular Bolivia (1953) and Peru (1969), brought with it improved economic conditions and greater social participation of the rural population (Albó 1977). In addition, in the latter part of the 20th century further changes occurred, among them increased access to mass communication, greater migration from rural areas to the cities, and the economic impact of globalization and the resulting population movements.7 All these factors have led to a fairly rapid language shift, away from the indigenous languages to the regionally dominant Spanish. In the areas mentioned earlier –the Yucatan, Paraguay, and the Andean region of South America–, language shift has led to contact-induced change in local varieties of Spanish. In Thomason and Kaufman’s (1988) framework, a large shifting group and imperfect language learning is likely to result in moderate to heavy substratum interference, especially in phonology and syntax. However, before we examine some of the results of language contact, it is important to provide evidence of the extraordinary demographic changes that have occurred in the latter half of the 20th century. We will begin by examining the demographic changes revealed by census data in each of the three areas –the Yucatan peninsula and the Andean region, focusing on Peru and Ecuador, and Paraguay–, followed by a review of language contact phenomena at the

6

7

Lipski (1994: 63-92) suggests that non-lexical indigenous influence on Spanish began in the early to mid colonial period under certain social conditions, giving rise to such widespread constructions as clitic doubling in the Andean region, and possibly some more subtle phonetic and phonological changes as well. Globalization has been defined in multiple ways, but in the context of this chapter it refers to “a large scale, accelerated geo-economic expansion (hyper colonialism) that is at the same time (1) accompanied by modern technological advances (e.g. radio, television, telephone, internet) and (2) heightened by a societal consciousness that our lives are interconnected” (Armin Schwegler, personal communication, November 19, 2007).

LENSO-21

23/1/09

12:32

Página 42

42

Carol A. Klee

phonetic/phonological level in these regions. We will then examine recent studies that indicate that a shift to non-contact features is occurring in the speech of younger generations. In the final section of the paper, the language changes that are in progress will be considered as they relate more broadly to issues of language contact, dialect contact, and the processes of language change in Spanish America.

Demographic change: What is revealed by census data? In this section recent census data from these regions will be examined, beginning with the Yucatan Peninsula in Mexico and continuing with Paraguay and the Andean region.

THE YUCATAN PENINSULA The physical isolation of the Yucatan peninsula from the rest of Mexico has been a decisive factor throughout its history. However, this isolation began to change dramatically in the second half of the 20th century with the construction of a highway that connected the region to other areas of Mexico. In addition, Castellanos (2003) has documented the important social changes that have occurred in Mayan villages as a result of the growing tourist industry in Cancun and the Mexican Riviera, as Mayan speakers –primarily women– from rural areas have traveled to urban areas to obtain employment in hotels and restaurants. At the same time, NAFTA and the concomitant construction of maquiladoras in the Yucatan have led to an increase in migration from other areas of Mexico, resulting in increased contact with other varieties of Mexican Spanish. Because of the physical isolation of the Yucatan peninsula, speakers of Mayan (monolingual and bilingual) outnumbered speakers of Spanish until relatively recently. In the 1970 census, speakers of Amerindian languages were still in the majority, constituting 56% of the population. However, the census results published in 2005 reveal an increase in the number of speakers of Spanish and a resulting decrease in the percentage of speakers of indigenous languages, who now constitute 33.5% of the population (INEGI 2005), a fairly significant change over a 35-year period.

PARAGUAY Beginning primarily in the 1990s, language shift in Paraguay appears to have been somewhat slower than in the Yucatan and in the Andean region of South

LENSO-21

23/1/09

12:32

Página 43

Migrations and globalization

43

America. Census data from 1950 to 1992 (shown in Table 1) reveal that there does not appear to be evidence of major language shift to Spanish. On the contrary, the relative proportion of monolingualism in Guarani, monolingualism in Spanish and bilingualism in those two languages appears to be stable across those years. However, the data from the 2002 census indicate that a shift from Guarani to Spanish is occurring. Gynan (2007: 294) attributes this change to three factors: (1) internal migration which has brought about an increase in bilingualism in the countryside and a decrease in bilingualism in urban areas where Spanish monolingualism now prevails; (2) the low birthrate of Guarani speakers in comparison to that of bilinguals and Spanish speakers; and (3) intergenerational transmission of Spanish in place of Guarani. The loss of Guarani in recent years is confirmed by the Atlas lingüístico guaraní-románico: sociología (ALGR-S) (Thun et al. 2002), which encompasses the entire Guarani-speaking region and includes not only Paraguay, but also areas of Argentina and Brazil, and provides a more detailed picture than the census, as it takes into account other variables, such as gender, age, level of formal education and urban vs. rural residence. The data for the Atlas were collected between 1998 and 2001 and by that time the authors report: “se observa … un innegable descenso del guaraní. Parece, sin embargo, que esta disminución no tiende al alejamiento del guaraní del hogar paraguayo sino a un bilingüismo equilibrado con el castellano” (Thun 2002: 1, 346), at least in rural areas. Zajícová (2005) indicates that the isolation inherent to rural areas of Paraguay, which contributed to the maintenance of Guarani across five centuries, began to change radically in the 1990s for reasons already mentioned: the construction of new highways, the installation of electricity and the inevitable arrival of modern technology, especially television. She observes (2005: 11) that Guarani is intimately tied to rural culture, while Spanish is tied to industrialized, technical urban life; these associations are problematic in terms of the future of Guarani, given the increasing urbanization of the Paraguayan population and the increasing levels of education which result in more access to Spanish. Other researchers, among them Solé (1991, 2001) and Choi (2004), have also found evidence of language shift to Spanish, especially among young people in urban areas. Although in 1991 Solé suggested that as a consequence of the lack of international recognition and instrumental importance of Guarani outside of Paraguay, within a few decades Guarani could become a “folkloric relic” (p. 109), there is somewhat encouraging news on that front. In January of 2007, Guarani became an official language of Mercosur and has thus attained important international recognition, although the struggle for recognition within Paraguay continues and has been described as “una situación de ‘apartheid

1,504,756

100.00 37.3 57.0 4.4 1.4

1,110,812

414,032

633,151

48,474

15,155

Total, 5 years +

Only Guarani

Guarani-Spanish

Only Spanish

Other languages

33,165

61,570

761,137

648,884

1,819,103

Total

1,328,452

%

1962

Total, Paraguay

Total

1950

2.2

4.1

50.6

43.1

100.00

%

121,881

166,441

1,247,742

1,029,786

2,565,850

3,029,830

Total

1982

4.8

6.5

48.6

40.1

100.00

%

194,591

227,204

1,736,342

1,345,513

3,503,650

4,152,588

Total

1992

5.6

6.5

49.6

38.4

100.00

%

396,453

458,739

2,409,334

1,319,777

4,584,303

5,183,080

Total

2002

8.6

10.0

52.6

28.8

100.00

%

12:32

Speakers

23/1/09

TABLE 1 The use of Guarani and Spanish among Paraguayans five years of age and older according to the censuses of 1950-2002 (Gynan 2007: 286)

LENSO-21 Página 44

44 Carol A. Klee

LENSO-21

23/1/09

12:32

Página 45

Migrations and globalization

45

lingüístico’ contra el guaraní en Paraguay” (Movimiento de Educadores Jekupytyrâ, personal communication, August 31, 2006).8

THE ANDEAN REGION In the Andean region, census data make comparisons difficult as different questions about language use have been employed at different times (cf., Albó 2004).9 However, in spite of this limitation, the sudden decline in the number of speakers of indigenous languages during the second half of the 20th century is readily apparent. In Peru, for example, over half the population spoke an indigenous language prior to 1940, but by the beginning of the 1980s only one-fourth of the population indicated that they had some competence in these languages, a significant decrease over a forty-year period (see Table 2). TABLE 2 Monolingual and bilingual population of Peru (adapted from “Cuadro de 1940” p. 52, Cuadro de 1961” p. 54, and “Cuadro de 1981” pg 55 in Pozzi Escot 1987) Bilinguals Monolinguals in Spanish

Monolinguals Monolinguals in Quechua in Aymara

AymaraSpanish

QuechuaSpanish

1981*

73%

8%

1%

2%

14%

1961

60%

17%

2%

2%

16%

1940

47%

31%

4%

1%

16%

* Although a census was published in 1993 and another was conducted in 2005, the results of these last two censuses are not comparable to the previous ones. Earlier censuses asked respondents what languages they currently used while the two most recent censuses ask about the first language(s) acquired (cf., López 1996: 297).

However, the census statistics do not accurately portray the sociolinguistic situation in certain parts of the country. Although Peru has suffered a major loss in the

8

9

From an email sent by the Movimiento de Educadores Jekupytyrâ [Solidaridad] and a series of other Paraguayan organizations entitled “¡Pedimos el fin del ‘apartheid lingüístico’ paraguayo!”. In Argentina, for example, the census does not include a question on maternal language or language use in the home, only on ethnic identity.

LENSO-21

23/1/09

12:32

46

Página 46

Carol A. Klee

overall number of speakers of indigenous language, the process of language shift has been less striking in certain areas of the country, particularly in the southern Andes. For example, in the departments of Huancavelica, Ayacucho, Apurimac, Cuzco, y Puno, between 68% and 95% of the population still speaks an indigenous language (Escobar 1978: 188, Zúñiga 1987: 334). At the same time, it is also true that a growing number of these speakers of indigenous languages are becoming bilingual in Spanish. Because of the continuing low status of the indigenous languages in Peru –particularly in the urban areas–, this has inevitably led to language shift to Spanish. A similar situation exists in Ecuador where, according to a recent survey of 14,104 households (EMEDINHO 2000 cited in United Nations 2005) only 5.8% of the respondents over the age of 15 stated that they spoke an indigenous language either monolingually or bilingually. In contrast, 10.3% of the respondents stated that their parents spoke or speak an indigenous language, which would seem to indicate fairly dramatic language shift to Spanish over one generation.10

Language contact phenomena and the impact of recent demographic changes Given the relatively rapid language shift in the latter half of the 20th century, contact-induced language changes have made their way into regional sociolects, particularly in the three areas with high concentrations of indigenous speakers –the Yucatan, Paraguay, and the Andean region.

THE YUCATAN Within Mexico, the sociolinguistic situation on the Yucatan peninsula is quite unique. Lope Blanch observed that the Mayan language “goza de una privilegiada situación de prestigio de que carecen las demás lenguas indígenas de México [dado que] no está restringido a la población rural o popular –marginada y carente de prestigio–, sino que se extiende sobre buena parte de la población urbana y aun culta de la península” (1987: 9). Given the relatively high prestige of Mayan compared to other indigenous languages, one might predict that contact-induced forms are more likely to make their way into the regional sociolect. Michnowicz (2006a), in an excellent sociolinguistic study of Yucatan Spanish, maintains that

10

The studies of Knapp (1987) and Sánchez Parga (1996) also found a rapid process of acculturation and language loss occurring among the indigenous population of Ecuador.

LENSO-21

23/1/09

12:32

Página 47

Migrations and globalization

47

the physical and political isolation of the peninsula has had two important consequences: (1) the creation of a sense of regional pride and independence, and (2) the evolution of a Spanish variety with local norms of prestige. A number of studies have documented the use of contact-induced features in Yucatan Spanish. These include variants that can be attributed to direct influence from Mayan (such as the labialization of word final /n/), and those that are triggered by imperfect second language learning (such as the use of voiced stops in intervocalic position). However, what is striking about the long list of contact features is that their use by younger generations has diminished. Among the characteristics studied are the following: 1. The voiced stop consonants /b, d, g/ in intervocalic position are sometimes pronounced as stops rather than as fricatives (Alvar 1969, Cassano 1977, García Fajardo 1984, Lope Blanch 1987, Michnowicz 2006a). Lope Blanch considered that the high frequency of stopped variants “resulta insólito en el sistema fonético español moderno” (1987: 80). 2. The unvoiced stops, especially the velar stop, are sometimes aspirated (Alvar 1969, García Fajardo 1984, Lope Blanch 1987). This is most likely due to the influence of glottalized unvoiced stops /p’ t’ k’/ in Mayan. García Fajardo notes that these variants occur sporadically and infrequently and are produced only by a small subset of speakers. This observation concurs with Michnowicz’s (2006a) more recent findings; he notes that the aspirated velar stop, the variant which occurred with most frequency in the earlier studies, is found primarily in speakers over the age of 30 and appears to be disappearing from the Yucatan dialect. 3. In Yucatan Spanish, a glottal stop in Lope Blanch’s words “aparece con notable regularidad en el habla española de buen número de yucatecos, y no sólo entre fonemas vocálicos, sino también entre vocales y consonantes, y aun entre fonemas consonánticos contiguos” (1987: 106). He attributes this phenomenon to direct interference from Mayan (p. 123). Michnowicz (2006b: 164), in his more recent study, demonstrates that the glottal stop appears principally in the speech of those over age 30 who are of the lower class and who speak more Mayan than Spanish. As with the aspirated voiceless stops, this variant is on the road to extinction in this dialect. 4. Another phonological variant that has been attributed to influence from Mayan is the labialization of the alveolar nasal /n/, in word final position, as in pan [pam], or Colón [Colóm] (see Alvar 1969, García Fajardo 1984, Lope Blanch 1987, Yager 1989, Michnowicz 2006a, 2006b). Unlike the previous variants, this one is found in the speech of younger, female, and middle class speakers

LENSO-21

23/1/09

12:32

Página 48

48

Carol A. Klee

according to Yager (1989). Michnowicz’s (2006a: 94) results coincide with those of Yager (1989); those who produce the most [-m] are women, speakers less than 50 years old, and those who have some knowledge of Mayan. Michnowicz (2006a) notes that [–m] has increased in frequency over the past 30 years because it serves as a linguistic marker of local identity. The use of contact-induced variables, with the exception of the labial nasal variant, is diminishing in the Yucatan primarily among younger generation speakers, as can be seen in the Varbrul weights in Table 3 from Michnowicz (2006a). The only regional variant that is used more frequently by younger speakers is the bilabial nasal in word-final position. Michnowicz attributes this to “the strong regional identity present in Yucatan [that] has caused speakers to increase production of a salient pronunciation as a marker of Yucatan-ness in the face of increased [dialect] contact” (2006a: 181). Michnowicz (2006a) notes a number of reasons for this linguistic change towards the standardization of regional dialect forms. First, older speakers have had more exposure to L2 Spanish while younger speakers have more opportunities to interact with monolingual speakers of Spanish or Spanish-dominant speakers (p. 172). He observes that increased access to education and the resulting acculturation to Spanish-speaking norms have led to a decreased use of most contact-induced variants among the younger generation. In addition, younger speakers have had far greater exposure to dialects from other areas of Mexico due to recent immigration to the Yucatan. These general trends have been occurring throughout Latin America with very similar results: that is, there has been a move from forms that are characteristic of regional varieties of Spanish, some of which have been influenced by contact with indigenous languages (or are perceived to have indigenous influence) to more standardized forms among younger generation speakers.

THE SPANISH OF PARAGUAY There are relatively few quantitative studies of language contact phenomena in Paraguay, and the non-quantitative studies that have been carried out typically do not distinguish between the numerous contact features that appear in the Spanish of Guarani-dominant speakers and the reduced number of contact features that have made their way into regional Spanish. Alvar, in fact, has stated: “si la morfología del español paraguayo tuviera todos los préstamos que se ha dicho y la sintaxis cuantos calcos se han apuntado, la lengua sería ininteligible” (1996: 198-199).

LENSO-21

23/1/09

12:32

Página 49

Migrations and globalization

49

TABLE 3 Frequencies and VARBRUL weights for age: all phonetic variables (Adapted from Table 40 in Michnowicz 2006a: 171) Variable

Age

Frequency

VARBRUL weights

[b]

19-29 30-49 50+

30% 44% 46%

0.376 0.502 0.560

[d]

19-29 30-49 50+

19% 39% 31%

0.355 0.536 0.547

[g]

19-29 30-49 50+

12% 33% 33%

0.276 0.542 0.605

[kh] (pilot data)

19-29 30-49 50+

5% 6% 12%

0.279 0.607 0.676

Glottal stop (pilot data)

19-29 30-49 50+

0% 6% 9%

0.258 0.621 0.651

19-29 30-49 50+

26% 36% 15%

0.543 0.646 0.363

[m]

There are no quantitative studies of the phonetic characteristics of Paraguayan Spanish, along the lines of Michnowicz’s study of the Spanish of the Yucatan. However, a number of features have been described by Alvar (2001) and Granda (1988). Some of the phonetic phenomena found in Paraguay correspond to those observed in the Yucatan, such as the use of a glottal stop between vowels and the use of the bilabial nasal [m] in place of the alveolar [n] in words such as [melóm] (Granda 1982, Alvar 2001). As in the Yucatan, this latter characteristic has been attributed to an internal possibility within the Spanish phonic system reinforced by an indigenous language that has a bilabial phoneme in word final position (Lope Blanch 1980, Granda 1982). In contrast to the Yucatan, where this pronunciation is maintained as a symbol of regional pride, in Paraguay the bilabial variant has fallen into disuse. The intervocalic pronunciation of the palatal fricative /y/ as an affricate [mayˆo], characteristic of the Spanish of Paraguay, also occurs consistently in speakers older than 40 years of age from all social strata, but its use is much

LENSO-21

23/1/09

12:32

50

Página 50

Carol A. Klee

less frequent among urban speakers who are less than 40 years old and are from the upper and middle classes (Granda 1988: 124-125). Another well-known characteristic of Paraguayan Spanish is the palatal lateral, which has been maintained for a number of reasons, including the relative isolation of Paraguay during the colonial period and the nationalistic desire to differentiate the Spanish of Paraguay from the zˇeísmo of Buenos Aires. However, Granda (1988: 108) notes that there is an incipient yeísmo among the young people of the upper middle class. From the little phonetic evidence we have of current usage in Paraguay (and none of it has been studied quantitatively), it is apparent that the direction of change is similar to what has been found in the Yucatan: that is, a clear move toward the standard in younger generations, particularly in urban areas.

ANDEAN SPANISH Several phonetic/phonological characteristics of Andean Spanish, such as the maintenance of the palatal lateral /«/ in calle, llama and the assibilation of /r/ are likely conservative features of Spanish rather than the product of contact with Quechua.11 However, in Andean dialects, assibilation is stigmatized because it is associated with stridency features found in Quechua and in the Spanish spoken by Quechua speakers.

Ecuador Argüello (1978, 1980, 1984, 1987) examined the assibilation of /r/ and the grooved fricative realization of the palatal lateral /«/ (i.e., [
]) in the Andean region of Ecuador. She concluded that although these variants had been stigmatized because of their perceived (in reality, misperceived) association with Quechua, they were gaining prestige and were used increasingly by younger speakers, particularly those of the upper classes. Her results for assibilation are summarized in Table 4, which shows the almost categorical presence of assibilated forms in the upper classes. She claimed that the use of trills in the lower classes reflected hypercorrection in more formal styles.12 Thus, given the acceptance 11

12

Adelaar and Muysken (2004: 591-592) point out that there is evidence of linguistic convergence between Andean Spanish and the Quichua spoken in northern Ecuador, where the palatal lateral is pronounced as a voiced palatal sibilant and trilled /r/ as a voiced retroflex fricative or as an assibilated retroflex vibrant in the local dialects of both languages. Her results combine data from two different speech styles, free conversation and responses to a picture, which makes the percentages of assibilation for lower middle and lower classes difficult to interpret; there may be significant differences across the two speech styles.

LENSO-21

23/1/09

12:32

Página 51

Migrations and globalization

51

TABLE 4 Distribution of rhotics in the speech of young speakers (ages 13-20). Data from 1975 and 1978 (adapted from Argüello 1984: 226) Non Assib.

Assibilated

Total

Social Variables n

%

n

%

n

Upper Class F Upper Class M Upper Class Total

5 12 17

4 8 6

125 138 263

96 92 94

130 150 280

Middle Class F Middle Class M Middle Class Total

8 32 40

5 22 14

140 112 252

96 78 86

148 144 292

Lower Middle Class F Lower Middle Class M Lower Middle Class Total

40 45 85

27 30 29

110 103 213

73 70 71

150 148 298

Lower Class F Lower Class M Lower Class Total

42 41 83

28 32 30

108 86 194

72 68 70

150 127 277

of the regional variants by younger speakers of the upper classes, she concluded in 1978 that the use of the non-assibilated variants was diminishing and that they would eventually disappear.13 Approximately twenty years later, Gómez (2003) carried out a follow-up study on change in progress in Ecuador, involving the assibilated forms of the rhotic and delateralized realizations of the palatal lateral. Her study focused on younger generation speakers, ages 16 to 30, (30 total) from three different social classes (upper, middle, and lower) of Quito. In contrast to Argüello’s results, she found “a categorical presence of unassibilated realizations in the speech of the Upper Class (98%) and an 82% presence overall [… which] is clearly a change from the almost categorical incidence of assibilated forms found by Argüello (1978) in all social classes, including the Upper Class (94%)” (p. 153). Gómez notes that this dramatic change has occurred in only twenty years and she predicts that “the assibilated forms may eventually be replaced by standard rhotics” (p.153). She observes that the standard forms have been reintroduced in the speech of speak-

13

Unfortunately, her study includes only one young female and one young male speaker in each social class, so the results must be interpreted with caution.

LENSO-21

23/1/09

12:32

Página 52

52

Carol A. Klee

ers of all social levels born after 1970, as can be seen in Table 5 and in Figure 1, where the change between 1978 and 1998 is quite apparent. TABLE 5 Overall percentages of the realization of /r/ according to class (adapted from Table 4.13 in Gómez 2003: 88) Class

[r] [ɾ]*

[ɹ] [tÍ]

[Í] n

[Í ] /

n

%

n

%

%

Upper

1,924

98

33

2

0

0

Middle

1,483

81

315

17

20

Lower

1,463

70

257

12

Total

4,870

82

605

10

n

Total %

n

%

0

0

1,957

33

2

11

0

1,829

31

193

9

174

8

2,087

35

213

3

185

3

5,873

* The phonetic fonts in this table represent the following sounds: [r] apico-aleveolar trill; [ɾ] apico-alveolar flap; [ɹ] alveolar fricative with some assibilation; [tÍ] a weak assibilated affricate; [Í] voiced apico-alveolar assibilated fricative; [Í ] voiceless apico-alveolar assibilated fricati/ absent, while all the others have varying ve. In the first group –[r] and [ɾ]– assibilation is degrees of assibilation.

FIGURE 1 Assibilation of Rhotics in the Speech of Younger Generations: 1978 vs. 1998 Samples (Gómez 2003: 154)

100 80 60 40 20 0 1978 sample

Upper

1998 sample

Middle

Lower

LENSO-21

23/1/09

12:32

Página 53

Migrations and globalization

53

Another feature of Ecuadorian Spanish that several researchers (Toscano Mateus 1953, Argüello 1978) have noted is the use of an alveolar grooved fricative [
] in the place of the palatal lateral [«]. In the 1970s this variable was found even in the speech of individuals with high levels of education (Argüello 1978). Although there are some occurrences of yeísmo in Argüello’s data, she did not anticipate diffusion of this phenomenon given the acceptance of the alveolar grooved fricative by upper class speakers, as can be seen on Table 6.14 TABLE 6 Distribution of the variants of the palatal lateral in the speech of young speakers (ages 13-20) (adapted from Argüello 1984: 226) Palatal Lateral Social Variables

Post-alveolar Fricative

Total

n

%

n

%

n

Upper Class F Upper Class M Upper Class Total

3 0 3

6 0 3

40 45 85

93 100 97

43 45 88

Middle Class F Middle Class M Middle Class Total

10 15 25

22 35 28

36 28 64

78 65 72

46 43 89

Lower Middle Class F Lower Middle Class M Lower Middle Class Total

20 25 45

44 58 51

25 18 43

56 42 49

45 43 88

Lower Class F Lower Class M Lower Class Total

19 15 34

44 38 40

25 26 51

57 63 60

44 41 85

Gómez (2003) finds evidence of a new variant, a voiced mid-palatal fricative [] particularly in the speech of upper class speakers (p. 130). Interestingly, she finds a correlation between the use of the non-assibilated forms of the rhotic and the use of the mid palatal fricative; speakers who did not assibilate /r/ strongly favored the mid palatal fricative, almost categorically. While Argüello found almost categorical use of the prepalatal grooved fricative [
] among upper class

14

Again, the data are based on only one young female and one young male speaker in each social class.

LENSO-21

23/1/09

12:32

Página 54

54

Carol A. Klee

speakers, Gómez finds 0% use 20 years later among the upper and middle class. Even the lower class in the 1997-1998 sample shows decreased use of this variant. Gómez interprets this change as an indication of its potential demise. Her results can be seen in Table 7. For a comparison of her results and Argüello’s, see Figure 2. TABLE 7 «/ according to social class Distribution of variants of /« (adapted from Table 5.9 Gómez 2003: 130) []*

[
]

[«]

[ ʃ]

[
]

Class

Total

n

%

n

%

n

%

n

%

n

%

n

%

Upper

203

50

46

11

152

37

0

0

0

0

401

34

Middle

35

9

77

20

260

69

0

0

0

0

372

32

Lower

8

2

158

40

116

29

95

24

11

2

388

33

246

21

281

24

528

45

95

8

11

1

1,161

Total

* The phonetic fonts in this table represent the following sounds: [«] voiced palatal lateral; [] voiced mid-palatal fricative; [
] voiced postalveolar fricative; [
] voiced postalveolar strident fricative; [ʃ] voiceless postalveolar fricative.

Gómez concludes that “the traditionally accepted variants that were markers of Andean Ecuadorean Spanish are in the process of decline giving rise to new variants leading to language leveling with Costal Ecuadorean Spanish” (2003: 160). This finding parallels the direction of change found in Yucatan and Paraguay, described above; in these regions there is also a shift away from traditional regional variants among speakers under age 30, particularly in the upper and middle classes.

Argentina The changes documented by Gómez have also been found in other parts of the Andean region. In Catamarca, Argentina, for example, Coronel (1995a, 1995b) also examined the social distribution of the variants of palatals and rhotics. She found that the trill has been introduced as an innovative feature in this variety and is replacing the assibilated rhotics, primarily in the speech of adolescents ([Í]: 40%, [r]: 60%) and to a lesser degree in the speech of 20-35 year olds ([Í]: 90%,

LENSO-21

23/1/09

12:32

Página 55

Migrations and globalization

55

FIGURE 2 Incidence of prepalatal grooved fricative according to social class 1978 vs. 1998 samples (Gómez 2003: 157)

100 80 60 40 20 0 Upper

1978 sample

Middle

Lower

1998 sample

[r]: 10%) of the upper class. She also concludes that yeísmo is well-established in this variety, but that younger upper class speakers are beginning to use zˇeísmo, due to influence from Buenos Aires. Colantoni (2001) found a similar phenomenon occurring in Corrientes in northern Argentina, where assibilation is being replaced by trilled /r/ due to influence from the more prestigious dialect spoken in Buenos Aires. An important variable in her study was ‘distance from Buenos Aires’; the closer in location to the capital, the less assibilation occurred. Again, the change is away from traditional regional variants (found in areas of language contact) to standard non-contact variants.

Peru In the Peruvian context, there is some evidence that the use of assibilated /r/ is less frequent among upper middle class speakers of the Andean region and its use may be diminishing somewhat even in rural areas (Caravedo 1990, De los Heros 2001). The extralinguistic factor found by Alvord, Klee and Echávez (2005) to correlate most with less frequent use of assibilated /r/ in a data collected in Calca, Peru, was

LENSO-21

23/1/09

56

12:32

Página 56

Carol A. Klee

having spent at least a year in Lima, where assibilation is highly stigmatized. Caravedo (1999) also found a loss of palatal laterals among Andean speakers. Dialect contact has occurred in Peru, as in other parts of Latin America, in large part due to migration to a new context, particularly as a result of the increasing urbanization taking place throughout Latin America beginning in the latter half of the 20th century. For example, in 1940, Lima had 645,000 inhabitants while today it has a population of 7.5 million, a more than tenfold increase in a span of approximately 65 years. Migration from rural areas has occurred for economic reasons, but also due to the political violence that affected primarily rural Quechua-speaking areas in the 1980s and early 1990s. At least 40% of Lima’s population currently comes from other regions of the country, a fact that has brought about major social and linguistic changes in the city during the past three decades. First-generation migrants from the Quechua-speaking areas of Peru generally arrive either already speaking Andean Spanish or shift to Spanish as soon as possible. Marr (1998), in an ethnographic study of Quechua use in Lima, observes that “there are virtually no monolingual speakers of Quechua in the capital […] and that children born in Lima do not as a rule acquire any functional competence in the ‘ethnic’ language” (p. 8). The reason for this rapid language shift is due to the association of Quechua with the countryside, “a place in which material progress is strictly limited, [… as well as] with marginalization from national life, with poverty and with powerlessness” (Marr 1998: 156). However, he suggests that while giving up Quechua does entail some measure of loss and regret: [t]o speak Spanish […] is not to ape coastal ways but to appropriate that part of the criollo culture that is associated with modernity, progress, education and material advancement, even […] to challenge notions of criollo superiority … [T]he acquisition and everyday use of Spanish represents a key (perhaps the key) step in the migrant’s odyssey towards the construction of a new self, one that is seen as objectively superior to the old. To argue for the retention of Quechua would, in these terms, be a return to powerlessness and mute obedience. (p. 204-205)

Given the rapid shift from Quechua to Spanish that occurs once Andean migrants arrive in the capital, it is likely that migrants and their children will influence the Spanish spoken in Lima in light of their demographic predominance. Several renowned linguists have made such predictions. Rivarola (1990), for example, stated: […] la variedad costeña estándar de tipo tradicional ha dejado de tener, en mi percepción, fuerza normativa irradiadora y absorbente. [... S]e da ahora en la costa la presencia de fenómenos ajenos a los patrones tradicionales de esta zona, fenómenos que ejercen presión sobre ellos y que creo pueden terminar modificándolos o sustituyéndolos (p. 171).

LENSO-21

23/1/09

12:32

Página 57

Migrations and globalization

57

Cerrón-Palomino (1995) describes this process in more radical terms: “el castellano andino... ante el desborde popular y la recomposición de las urbes, va arrinconando al castellano académico-normativo peruano, en franco proceso de retirada” (p. 176). To determine the degree to which contact between Andean and Limeño Spanish has begun to modify the structure of both varieties of Spanish, Rocío Caravedo and I have undertaken a study of first- and second-generation migrants as well as of Limeños from poor, but ‘traditional’ (i.e., non-migrant) neighborhoods in Lima. In our pilot study we analyzed the palatal lateral and assibilated vibrants typical of Andean Spanish, and in addition we examined aspiration and elision of /s/ which is typical of coastal Peruvian Spanish. In what follows, the findings presented in Klee and Caravedo (2006) are briefly summarized.15

1. THE PALATAL LATERAL As regards the maintenance of the palatal lateral, only some of the first-generation speakers continue to use this variant and even they do not use it categorically in expected contexts; the palatal lateral occurs with less frequency overall than non-laterals in their speech. Second-generation migrants do not maintain this variant; one second-generation speaker, the only one in the sample who ever employed the palatal lateral, used it in two instances in the lyrics of a huayno, a traditional song from the Andes in a quotative style: “Ojos bonitos no llores, no llores mujer [...]” (IM, p. 21).16 There is shift to the yeísta standard used in Lima in some first-generation speakers and that shift is completed by the second generation.

2. ASSIBILATION OF VIBRANTS In Lima, as in Ecuador, assibilation is highly stigmatized because it is perceived as characteristic of Andean Spanish and Quechua speakers. A VARBRUL analysis was conducted to determine which social factors correlate with assibilation.

15

16

Selections from Klee, Carol A./Caravedo, Rocío (2006): “Andean Spanish and the Spanish of Lima: Linguistic variation and change in a contact situation”, in: Mar-Molinero, Clare/Stewart, Miranda (eds.): Globalisation and language in the Spanish-speaking world: Macro and micro perspectives. New York: Palgrave Macmillan Publishers, 94-113, reproduced with permission of Palgrave Macmillan. The information in parenthesis corresponds to the initials of the speaker and the page of the transcription on which the example is located.

LENSO-21

23/1/09

12:32

Página 58

58

Carol A. Klee

TABLE 8 Social factors and assibilation of /r/ (Klee & Caravedo 2006: 102) Factor Groups

Factors

Occurrence

%

Weight

Generation of Migration

Andean migrants Children of migrants Limeños

156/325 4/128 1/90

48% 3% 1%

0.744 0.267 0.082

Occupation

Unemployed Semi-skilled work

160/433 1/110

36% 1%

0.672 0.056

Sex

Male Female

154/344 7/199

44% 3%

0.723 0.160

Table 8 shows that the factor that contributes most heavily to the use of the assibilated variant is ‘generation of migration’. It is clear that Andean migrants strongly favor the use of assibilated forms. However, both the children of migrants and the Limeños rarely use this variant (3% and 1%, respectively). In fact, assibilation is almost altogether absent in the speech of Limeños. Caravedo (1990) reported that among native Limeños more assibilation was found among males over 45 years of age than in other Limeño groups. She attributes the decrease in assibilation in younger generations to their desire to distance themselves from Andean migrants; her results are indirectly confirmed in Klee and Caravedo (2006). The second most important social variable is ‘occupation’, a fundamental factor for social integration. As is apparent in Table 8, unemployed individuals who do not have stable communication networks with people from the capital are precisely those who register higher percentages of the assibilated variant (36%). This contrasts with the negligible use of assibilated variants (1%) by those employed in semi-skilled work. Gender is the final significant social variable. Men register much higher proportions of assibilated forms than women (44% vs. 3%), confirming research in other contexts which has shown that women tend to prefer prestigious varieties (cf., Labov 2001). This coincides with what has been found in the Yucatan and in Ecuador; women are leading the change to more standard variants.

3. ASPIRATION AND ELISION OF /S/ Studies carried out in Lima support the hypothesis that aspiration is the most widespread variant among Limeños of all social classes. Aspiration does not

LENSO-21

23/1/09

12:32

Página 59

Migrations and globalization

59

receive negative social evaluation, while elision constitutes an incipient process that is confined primarily to the lower social classes in Lima (Caravedo 1990). In Andean Spanish, the sibilant tends to be retained. Table 9 summarizes the results of the VARBRUL analysis on the social variables. As in the case of assibilation, generation of migration is the most significant variable. It can be noted that both Andean migrants and their children favor elision to a similar degree, while native Limeños disfavor it. This result is surprising as it shows that Andean migrants and their adult children use a phonetic variant characteristic of lower class Limeño speech to a greater degree than the native Limeños in this study. Males tend to elide somewhat more than females, as has been found in studies of /s/ deletion in other areas (e.g., Cedergren 1978, Lafford 1986, Samper 1990). TABLE 9 /s/elision vs. /s/ aspiration according to social variables (Klee & Caravedo 2006: 104) Factor Groups

Factors

Occurrences

%

Weight

Generation of Migration

Andean migrants Children of migrants Limeños

283/370 393/526 195/349

76% 74% 56%

0.579 0.577 0.311

Sex

Male Female

577/795 284/440

73% 65%

0.566 0.382

It was surprising to us that Andean migrants exhibit a higher proportion of sibilant elision than the Limeños in the study, as elision is not characteristic of Andean Spanish. However, in the case of /s/, which is a highly frequent phoneme in discourse, migrants are faced with a somewhat more complex system of variation, which includes [s], [h] and [Ø]. Previous studies (Caravedo 1990) have indicated that the proportion of elision to aspiration is only 25% among upper middle class Limeño speakers, compared to 65% among lower class Limeños. Because Andean migrants and their adult children tend to interact more frequently with lower class Limeños, it is likely that elision is more salient to them than aspiration. For this reason, elision is the variant that they adopt with highest frequency in their own speech. Thus, social integration of Andean migrants in Lima begins in relatively symmetrical relationships rather than in hierarchical relationships and this influences the linguistic variants that they adopt. Clearly, future studies will need to explore in greater depth the types of social networks and links that

LENSO-21

23/1/09

12:32

Página 60

60

Carol A. Klee

occur between migrants and inhabitants of the city. With regard to all three phonological variants, Andean migrants and particularly their adult children abandon their native varieties and adopt variants typical of lower-middle class Limeños. Andean migrants, in spite of their demographic predominance in Lima, assimilate by the second generation to urban Limeño phonological norms. This phenomenon should not be surprising given that the shift from regional norms to more standard urban norms is occurring even in areas where there has been no major population displacement of speakers of the regional variety. There is some evidence that some Andean forms are maintained by second-generation speakers, but this occurs primarily at the morphosyntactic or semantic levels in features such as: • Leísmo: used by the children of migrants at a rate equivalent to that of their parents (20% vs. 22%, respectively) (Klee & Caravedo 2005). • Double possessives: su casa de Juan, which has been noted even among middle class Limeño speakers (Caravedo 1996). • Present perfect in narrative clauses (Rojas-Sosa forthcoming), reflective of Andean Spanish (Klee & Ocampo 1995).

Conclusions Indigenous populations in Latin America, who maintained their languages for 500 years following the Spanish conquest, began to shift to Spanish at a more rapid rate in the later half of the 20th century as a result of many factors, including: • Improved roads and internal infrastructure that have reduced the isolation of rural areas. • Increased access to education and thus to Spanish. • Increased access to communications systems and mass media in Spanish. • Mass migration from rural areas to the cities. • The economic impact of globalization and resulting internal migration in some areas. As larger segments of the population have acquired Spanish, some contactinduced features (as well as features perceived as contact-induced, such as assibilation of rhotics) now form part of regional norms. However, there is evidence that within the past twenty to thirty years, younger

LENSO-21

23/1/09

12:32

Página 61

Migrations and globalization

61

generations are increasingly adopting non-contact variants in place of these regional features. We have presented empirical evidence of this change at the phonetic/phonological level in the Yucatan peninsula, in various parts of the Andean region of Latin America, particularly in Ecuador, Peru, and Argentina; and we have also offered some limited evidence that a similar shift is taking place in Paraguay.17 The shift to non-contact phonological features happens even more quickly following migration, as is evident in the rapid language and dialect shift that has taken place among migrants in Lima. When Caravedo and I undertook our study of the Spanish of Lima, we hypothesized that the Spanish of the migrants and the Spanish of the Limeños would change as a result of dialect contact, particularly given the demographic imbalance in favor of the migrant population. We have found, however, that at least at the phonological/phonetic level, migrants are adapting to the coastal norm. Nonetheless, at the morphosyntactic and semantic levels, variants that are not overtly stigmatized and that are below the level of conscientiousness are maintained by second-generation migrants. It is possible that these variants may eventually make their way into Limeño speech, but further research is needed on this issue. Hinskens, Auer, and Kerswill recently stated the following: “We would like to advance the hypothesis that in the case of the convergence and divergence between dialects in contact (where mutual incomprehensibility is usually not at stake), volition and, more generally socio-psychological factors play the main role …” (2005: 40). It is clear that language attitudes as well as identity issues play an important role in determining which contact-induced language features shift to the standard and which are maintained (see Michnowicz’s 2006a, 2006b research on the Yucatan Spanish). More research on the micro-level is also needed, particularly detailed analyses of the social networks of speakers; other than the stellar book by Bortoni-Ricardo (1985) on rural migrants to Brasilia, there has been little research within this framework in Latin America. Such research would provide “more data on the way languages and dialects are negotiated in everyday interactions [that] would shed light on how these innovations are spreading and what role they play in the dynamic construction of identities and practices” (Carvalho 2004: 148). Another issue that deserves increased attention is the role of the media in language change, in particular its potential influence on the shift to standard variants. Carvalho (2004) has provided clear evidence of the important role of the

17

There may be a few regions where some apparently contrary tendencies are occurring as well (Lipski, personal communication, June 10, 2007).

LENSO-21

23/1/09

12:32

62

Página 62

Carol A. Klee

television in a shift toward standard variants of Portuguese in northern Uruguay. Her work has also shown that its impact is most evident on speakers under the age of 30, precisely the ones who are leading the change. Trudgill (1986) has described television as a part of a “softening up” process (p. 55), given the fact that its influence in language change may be indirect by bringing about a change in attitudes. Kerswill (2002) also hypothesizes that speakers might attempt to shift their speech towards linguistic stereotypes of socially attractive speakers; information about such speakers may be drawn from sources like television. Modernization and globalization combined with negative attitudes toward indigenous languages have brought about language shift in many parts of Latin America; and at the same time these factors are bringing regional varieties of Spanish into contact with other dialects. Language change is occurring quite rapidly, and much sociolinguistic research on this issue remains to be done to help us answer the fundamental question of how and why linguistic changes occur, and what the future holds for Latin American Spanish.

References ADELAAR, Willem F. H./MUYSKEN, Pieter C. (2004): The languages of the Andes. Cambridge: Cambridge University Press. ALBÓ, Xavier (1977): A sociolinguistic panorama of Central and South America. http://www.alternatehistory.com/shwi/A%20Sociolinguistic%20Panorama%20of%20 Central%20and%20South%20America.txt (May 23, 2007). — (2004): “El futuro del quechua visto desde una perspectiva boliviana”, in: International Journal of the Sociology of Language 167, 119-130. ALVAR, Manuel (1969): “Nuevas notas sobre el español de Yucatán”, in: Iberoromania 1, 159-189. — (1996): “Paraguay”, in: Alvar, Manuel (ed.): Manual de dialectología hispánica: El español de América. Barcelona: Ariel, 196-208. — (2001): El español en Paraguay: Estudios, encuestas, textos. Alcalá de Henares, Madrid: Universidad de Alcalá. ALVORD, Scott/Echávez-Solano, Nelsy/Klee, Carol (2005): “La (r) asibilada en el español andino: Un estudio sociolingüístico”, in: Lexis 24, 27-45. ARGÜELLO, Fanny (1978): El dialecto
eísta del español del Ecuador: Un estudio fonético y fonológico. Doctoral thesis. Ann Arbor: University Microfilm International. — (1980): “El rehilamiento en el español hablado en la región andina del Ecuador”, in: Lexis 4, 151-156. — (1984): “Correlaciones sociolingüísticas en el habla de la sierra ecuatoriana”, in: Anuario de Letras 22, 219-233. — (1987): “Variación y cambio lingüístico en el español del Ecuador: Realidad sociolingüística e implicaciones metodológicas para su investigación”, in: Actas del I Con-

LENSO-21

23/1/09

12:32

Página 63

Migrations and globalization

63

greso Internacional sobre el Español de América (1982). San Juan, Puerto Rico: Academia Puertorriqueña de la Lengua Española, 655-644. BARRERA VÁSQUEZ, Alfredo (1937): “Mayismos y voces mayas en el español de Yucatán”, in: Investigaciones Lingüísticas 4, 9-35. BORTONI-RICARDO, Stella Maris (1985): The urbanization of rural dialect speakers. Cambridge: Cambridge University Press. CARAVEDO, Rocío (1990): Sociolingüística de la ciudad de Lima. Lima: Pontificia Universidad Católica del Perú. — (1996): “Variedades en contacto: Propuestas para una investigación del español del Perú”, in: Signo y Seña 6, 493-511. — (1999): Lingüística del corpus: Cuestiones teórico-metodológicas aplicadas al español. Salamanca: Ediciones Universidad de Salamanca. C ARVALHO , Ana María (2004): “I speak like the guys on TV: Palatalization and the urbanization of Uruguayan Portuguese”, in: Language Variation and Change 16, 127-151. CASSANO, Paul V. (1977): “Influencia del maya en la fonología del español de Yucatán”, in: Anuario de Letras 15, 95-113. CASTELLANOS, María Bianet (2003): Gustos and gender: Yucatec Maya migration to the Mexican Riviera. Doctoral thesis. Ann Arbor: University Microfilm International. CEDERGREN, Henrietta (1978): “En torno a la variación de la s final de sílaba en Panamá: Análisis cuantitativo”, in López Morales, Humberto (ed.): Corrientes actuales en la dialectología del Caribe hispánico: Actas de un simposio. Hato Rey, Puerto Rico: Editorial Universitaria, Universidad de Puerto Rico, 35-50. CERRÓN-PALOMINO, Rodolfo (1995): “Guamán Poma redivivo o el castellano rural andino”, in: Zimmerman, Klaus (ed.): Lenguas en contacto en Hispanoamérica. Madrid/ Frankfurt: Iberoamericana/Vervuert, 161-192. CHOI, Jinny K (2004): “La planificación lingüística y la revaloración del guaraní en el Paraguay: Comparación, evaluación e implicación”, in: Language Problems & Language Planning 28, 241–259. COLANTONI, Laura (2001): Mergers, chain shifts and dissimilatory processes: Palatals and rhotics in Argentine Spanish. Doctoral thesis. Ann Arbor: University Microfilm International. COLANTONI, Laura/GURLEKIAN, Jorge (2004): “Convergence and intonation: historical evidence from Buenos Aires Spanish”, in: Bilingualism 7, 107-119. CORONEL, María Amalia (1995a): Aspectos sociolingüísticos del español de Catamarca Capital, Argentina. Doctoral thesis. Ann Arbor: University Microfilm International. — (1995b): “Variación palatal en Catamarca, Argentina”, in: Missouri Philological Association 20, 44-52. DE LOS HEROS DÍEZ CANSECO, Susana (2001): Discurso, identidad y género en el castellano peruano. Lima, Perú: Fondo Editorial de la Pontificia Universidad Católica del Perú. ESCOBAR, Alberto (1978): Variaciones sociolingüísticas del castellano en el Perú. Lima: Instituto de Estudios Peruanos.

LENSO-21

23/1/09

64

12:32

Página 64

Carol A. Klee

GARCÍA FAJARDO, Josefina (1984): Fonética del español de Valladolid, Yucatán. México, D.F.: Universidad Nacional Autónoma de México. GÓMEZ, Rosario (2003): Sociolinguistic correlations in the Spanish spoken in the Andean region of Ecuador in the speech of the younger generation. Doctoral thesis. Ann Arbor: University Microfilm International. GRANDA, Germán de (1982): “Observaciones sobre la fonética del español en el Paraguay”, in: Anuario de Letras 20, 145-194. — (1988): Sociedad, historia y lengua en el Paraguay. Bogotá: Instituto Caro y Cuervo. — (1995): “El influjo de las lenguas indoamericanas sobre el español. Un modelo interpretativo sociohistórico de variantes areales de contacto lingüístico”, in: Revista Andina 1, 173-198. GYNAN, Shaw (2007): “The language situation in Paraguay: An update”, in: Baldauf Jr., Richard B./Kaplan, Robert B. (eds.): Language planning and policy in Latin America, vol. 1: Ecuador, Mexico and Paraguay. Clevedon: Multilingual Matters, 284-301. HINSKENS, Frans/AUER, Peter/KERSWILL, Paul (2005): “The study of dialect convergence and divergence: Conceptual and methodological considerations”, in: Auer, Peter/Hinskens, Frans/Kerswill, Paul (eds.): Dialect change. Cambridge: Cambridge University Press, 1-48. HUALDE, José Ignacio/SCHWEGLER, Armin (2008): “Intonation in Palenquero”, in: Journal of Pidgin and Creole Languages 23, 1-31. INSTITUTO NACIONAL DE ESTATÍSTICA, GEOGRAFÍA E INFORMÁTICA (INEGI) (2005): Conteo de Población y Vivienda, 2005. http://www.inegi.gob.mx/est/contenidos/espanol/rutinas/ ept.asp?t=mlen02&c=3327 (May 23, 2007). KERSWILL, Paul (2002): “Koineization and accommodation”, in: Chambers, J. K./Trudgill, Peter/Schilling-Estes, Natalie (eds.): The handbook of language variation and change. Oxford: Blackwell, 669-702. KLEE, Carol A./OCAMPO, Alicia (1995): “The expression of past reference in Spanish narratives OF Spanish/Quechua bilingual speakers”, in: Silva-Corvalán, Carmen (ed.): Spanish in four continents: Studies in language contact and bilingualism. Washington: Georgetown University Press, 52-70. KLEE, Carol A./CARAVEDO, Rocío (2005): “Contact-induced language change in Lima, Peru: The case of clitic pronouns”, in: Eddington, David (ed.): Selected proceedings of the 7th Hispanic Linguistics Symposium. Somerville: Cascadilla Proceedings Project, 12-21. http://www.lingref.com, document #1082 (May 23, 2007). — (2006): “Andean Spanish and the Spanish of Lima: Linguistic variation and change in a contact situation”, in: Mar-Molinero, Clare/Stewart, Miranda (eds.): Globalization and language in the Spanish-speaking world: Macro and micro perspectives. New York: Palgrave Macmillan Publishers, 94-113. KLEE, Carol A./LYNCH, Andrew (Forthcoming): El español en contacto con otras lenguas. Washington: Georgetown University Press. KNAPP, Gregory (1987): Geografía quichua de la sierra del Ecuador. Núcleos, dominios y esfera. Quito: Abya Yala. LABOV, William (2001): Principles of linguistic change: Social factors. Oxford: Blackwell.

LENSO-21

23/1/09

12:32

Página 65

Migrations and globalization

65

LAFFORD, Barbara (1986): “Valor diagnóstico-social del uso de ciertas variantes de /s/ en el español de Cartagena, Colombia”, in: Núñez Cedeño, Rafael/Páez Urdaneta, Iraset/Guitart, Jorge M. (eds): Estudios sobre la fonología del español del Caribe. Caracas: La Casa de Bello, 53-74. LENZ, Rodolfo (1940): El español en Chile. Biblioteca de dialectología hispanoamericana VI. Buenos Aires: Universidad e Buenos Aires. LIPSKI, John M. (1994): Latin American Spanish. New York: Longman. — (2007): “(After)Thoughts on the State of Hispanic Linguistics”, in: Hispanic Linguistics On Line. http://spanport.cla.umn.edu/publications/HispanicIssues/hispanicissuesonline/Debates/Debate%20docs/Lipski.pdf (May 23, 2007). LOPE BLANCH, Juan (1980): “La interferencia lingüística: Un ejemplo del español yucateco”, in: Thesaurus 35, 80-97. — (1987): Estudios sobre el español de Yucatán. México, D.F.: Universidad Nacional Autónoma de México. LÓPEZ, Luis Enrique (1996): “Donde el zapato aprieta: Tendencias y desafíos de la educación bilingüe en el Perú”, in: Revista Andina 2, 295-342. MALMBERG, Bertil (1947): Notas sobre la fonética del español en el Paraguay. Lund: Gleerup. MARR, Timothy Gordon (1998): The language left at Ticlio: Social and cultural perspectives on Quechua loss in Lima, Peru. Doctoral thesis. Liverpool: University of Liverpool. MEDIZ BOLIO, Antonio (1951): Interinfluencia del maya con el español de Yucatán. Mérida: Zamna. MICHNOWICZ, James Casimir (2006a): Linguistic and social variables in Yucatan Spanish. Doctoral thesis. Ann Arbor: University Microfilm International. — (2006b): “Final –m in Yucatan Spanish”, in: Montreuil, Jean-Pierre (ed.): New perspectives on Romance linguistics. Amsterdam: John Bejamins, 155-166. NYKL, A. R. (1938): “Notas sobre el español de Yucatán Veracruz y Tlaxcala”, in Henríquez Ureña, Pedro (ed.): El español en Méjico, los Estados Unidos y la América Central. Buenos Aires: Universidad de Buenos Aires, 207-225. O’ROURKE, Erin (2004): “Peak placement in two regional varieties of Peruvian Spanish intonation”, in: Julie Auger, Julie/Clements, J. Clancy/Vance, Barbara (eds.): Contemporary approaches to Romance linguistics (LSRL 33). Amsterdam and Philadelphia: John Benjamins, 321-341. — (2005): Intonation and language contact: A case study of two varieties of Peruvian Spanish. Doctoral thesis. Ann Arbor: University Microfilm International. POZZI-ESCOT, Inés (1987): “La incomunicación verbal en el Perú”, in: Allpanchis 29/30, 45-63. RIVAROLA, José Luis (1990): La formación lingüística de Hispanoamérica. Lima: Pontificia Universidad Católica del Perú. ROJAS-SOSA, Deyanira (Forthcoming): “The use of the past tenses in the Spanish of Lima: Variation in a situation of contact”, in: Bruhn de Garavito, Joyce/Almazán, Mayella/ Valenzuela, Elena (eds.): Selected proceedings of the 10th Hispanic Linguistics Symposium. Somerville: Cascadilla Proceedings Project.

LENSO-21

23/1/09

66

12:32

Página 66

Carol A. Klee

SAMPER, José Antonio (1990): Estudio sociolingüístico del español de Las Palmas de Gran Canaria. Las Palmas: La Caja de Canaria. SÁNCHEZ PARGA, José (1996): Población y pobreza indígenas. Quito: CAAP. SCHWEGLER, Armin/MORTON, Thomas (2003): “Vernacular Spanish in a microcosm: Kateyano en El Palenque de San Basilio (Colombia)”, in: Revista Internacional de Lingüística Iberoamericana 1, 97-159. SOLÉ, Yolanda Russinovich (1991): “The Guarani-Spanish situation”, in: The Georgetown Journal of Languages and Linguistics 2, 297-348. — (2001): Valores comunicativos y emblemáticos del español y del guaraní. Bogotá: Instituto Caro y Cuervo. THOMASON, Sarah Grey/KAUFMAN, Terrence (1988): Language contact, creolization, and genetic linguistics. Berkeley: University of California Press. THUN, Harald/PEREIRA JACQUET, María Gloria/HARDER, Andreas/RAMÍREZ MACHUCA, Martín/PEEMÖLLER, Johanne (2002): Atlas lingüístico guaraní-románico: Sociología (ALGR-S). Tomo I: Comentarios; Tomo II: Mapas. Kiel: Westensee-Verlag. TOSCANO MATEUS, Humberto (1953): El español de Ecuador. Revista de Filología Española, Anejo 61. Madrid: Consejo Superior de Investigaciones Superiores. TRUDGILL, Meter (1986): Dialects in contact. Oxford: Blackwell. UNITED NATIONS (2005): Población indígena y afroecuatoriana en Ecuador: Diagnóstico sociodemográfico a partir del censo de 2001. Santiago de Chile: Comisión Económica para América Latina y el Caribe (CEPAL). YAGER, Kent (1989): “La –m bilabial en posición final absoluta en el español hablado en Mérida, Yucatan (México)”, in: Nueva Revista de Filología Hispánica 37, 83-94. ZAJÍCOVÁ, Lenka (2005): “Las variables sociales y las perspectivas del guaraní en el contacto con el castellano”, en: Valencia, Alba (ed.): Actas del XIV Congreso Internacional de la Asociación de Lingüística y Filología de la América Latina (CD-rom). Monterrey: ALFAL. ZUÑIGA, Madeleine (1987): “El reto de la educación intercultural y bilingüe en el sur del Perú”, in: Allpanchis 29/30, 331-346.

LENSO-21

23/1/09

12:32

Página 67

INTERVOCALIC VOICED STOPS IN YUCATAN SPANISH: A CASE OF CONTACT-INDUCED LANGUAGE CHANGE? JIM MICHNOWICZ North Carolina State University

This study examines the possible role of language contact on the realization of /b d g/ in Yucatan Spanish (YS). Whereas standard Spanish displays an alternation between stops [b d g] and fricatives [β δ γ], YS shows a preference for stops in contexts that would require a fricative in other varieties. Some researchers attribute the extended use of [b d g] in YS to influence from the contact language, Mayan, (Nykl 1938, Mediz Bolio 1951, Lope Blanch 1987), while others prefer a language-internal explanation (Cassano 1977, Yager 1982). Therefore, the present study addresses the following research questions: Could the observed pattern for voiced stops be the result of language contact with Mayan? Is Mayan in a position to have influenced YS, thereby making a contact-based explanation plausible? Is there quantitative evidence of a link between speaking Mayan and higher rates of stop variants? Using the criteria established by Thomason (2001) for determining the possibility of contact-induced change, the study finds that there has been sufficient contact on both an individual and a societal level to warrant a contact-based explanation for [b d g]. Especially important was the previous trend to hire Mayan-speaking nannies in middle and upper class homes. Based on data from 40 sociolinguistic interviews, this study finds a significant effect for Mayan-Spanish bilingualism on the production of stops. Speakers over the age of 30, exposed to more Mayan and Mayaninfluenced Spanish, also produce significantly more stops. Based on data from this study and the presence of similar patterns in other bilingual regions, this study concludes that the higher rates of [b d g] in YS are due to language contact via shifting second language (L2) speakers of Spanish, but not due to specifically Mayan influence.

LENSO-21

23/1/09

12:32

68

Página 68

Jim Michnowicz

Introduction The Spanish spoken in the southern Mexican state of Yucatan is a regional dialect in contact with an indigenous substrate language, Yucatec Mayan (hereafter ‘Mayan’). Recent census data shows that 33.5% of the population reports speaking Mayan, a number that was much higher in previous decades (INEGI 2005). This study is designed to discover what role, if any, language contact between Mayan and Spanish has had on a well-documented feature of Yucatan Spanish (YS), namely the surface realization of the voiced stops /b d g/. Standard Spanish displays an alternation between voiced stops and fricatives that is dependent on phonetic context; stop variants [b d g] arise following a pause or a nasal consonant, with the liquid /l/ also triggering a stop for /d/ (i.e., homorganic nasals and liquids). The fricative variants, [β δ γ], arise elsewhere (cf., Dalbor 1980, among many others).1 While most varieties of Spanish display this alternation, speakers of YS often produce stop [b d g] in contexts requiring the [+cont] variant in the standard language. Compare standard Spanish [be.βo] and YS [be.bo] ‘bebo’ (I drink). Taking into account only those tokens arising in non-neutralizing contexts (e.g. not following a pause or homorganic nasals or liquids), in the present study we find that [b] occurs with an overall frequency of 42%, [d] 32%, and [g] 28%. Since tokens in neutralizing contexts are excluded, all of the realizations of /b d g/ analyzed in the present study would be realized as fricatives in standard varieties of Spanish. Early studies of the dialect tended to ascribe stop pronunciations, along with any other distinctive features of the dialect, to direct influence from the contact language, Mayan (cf., Lope Blanch 1987, Michnowicz 2006). For example, Barrera Vázquez (1937: 9) attributes the “peculiar entonación” of YS to Mayan influence, while Nykl (1938) notes that the most interesting contact-induced features are found in the phonology of the dialect, with the consonants of YS giving it an unmistakable sound, which he describes as “estar oyendo hablar en castellano a un comerciante alemán” (p. 217). Mediz Bolio (1951) argues that YS is the product of a linguistic “mestizaje”, and that “los yucatecos hablamos español con fonética maya, directamente impuesta…” (pp. 12, 19). Lope Blanch (1987: 11) likewise proposes that the phonetics of Mayan has been transferred to Spanish. For example, he notes voiced stops as one possible case, stating “en [el español yucateco], la influencia de la lengua maya salta a la vista, y no puede ser motivo de discusión” (p. 9). Other studies, however, tend to stress language-internal development to

1

The literature consistently refers to these [+cont] variants as ‘fricatives’, although in most dialects (including YS) they are more appropriately classified as approximants (cf., Hualde 2005). Following the literature, in this article I will use the term ‘fricative’ to refer to any [+cont] (i.e., non-stop) realization.

LENSO-21

23/1/09

12:32

Página 69

Intervocalic voiced stops in Yucatan Spanish

69

explain the pattern of stops in the dialect. Alvar (1969) concludes that the dialect has evolved as part of the larger Mexican speech zone, in spite of the phonetic differences between YS and standard Mexican Spanish. Cassano (1977) and Yager (1982) both argue that, based on the similar stop patterns in some other varieties of Spanish, the Yucatan pattern is the result of processes internal to Spanish.2 Both authors do, however, admit the possibility of some indirect influence from Mayan on this feature, without specifying what such influence might look like.3 This paper seeks to provide quantitative and qualitative answers to this debate, by asking the following research question: Could the observed pattern for voiced stops be the result of language contact with Mayan? Two sub-questions follow: 1) Is Mayan in a position to have influenced YS, thereby making a contact-based explanation plausible? and 2) is there quantitative evidence of a link between speaking Mayan and higher rates of stop variants? That is, is bilingualism a significant factor in the extended use of stops over fricatives? In order to offer an initial answer to these questions, the rest of the chapter is organized as follows: First, I address the sociolinguistic context of Mayan in Yucatan, following the criteria proposed by Thomason (2001) to determine what role, if any, Mayan could have played in the development of YS. Next, I explain the data collection and analysis methodology. Third, I analyze the possibility through multivariate analysis (VARBRUL) that speaking Mayan significantly affects the production of stops [b d g] for speakers of the dialect. Age, another external factor that relates to the amount of contact a speaker has had with Mayan or Mayan-influenced Spanish throughout his/her lifetime, is also examined. Finally, I examine the possibilities of direct versus indirect influence of Mayan on YS, discuss the data, and provide final conclusions.

Sociolinguistic background and the status of Mayan in Yucatan As a first step in our analysis, this section seeks to determine the ability of Mayan to have influenced the dominant language (Spanish) in Yucatan. Thomason (2001: 93-95) provides a series of tests that may be employed in cases of possible contact-induced language change, and that below we will apply to the question of voiced stops in YS.4

2 3 4

The extension of stops to non-standard phonetic contexts in other varieties of Spanish will be addressed in the discussion. See Lope Blanch (1987), Solomon (1999) and Michnowicz (2006) for a more thorough review of previous work on YS. Note that Lass (1997), a critic of contact theories of language change, proposes very similar criteria (p. 207).

LENSO-21

23/1/09

70

12:32

Página 70

Jim Michnowicz

The first step in the determination of contact influence is whether the language in question shows multiple instances of change that could be related to contact, since if contact is sufficient to have affected one feature in a language, it is likely to have been sufficient to possibly affect other features as well (Thomason 2001: 93). YS does contain several phonetic features that have been attributed to Mayan, including utterance final [m], aspirated /p t k/, and the maintenance of hiatus via glottal stop insertion (cf., Yager 1982, Lope Blanch 1987, Michnowicz 2006), as well as intonation (Barrera Vázquez 1937, Nykl 1938, Mediz Bolio 1951). Likewise, there is an abundance of Mayan loan words in YS, which also attests to the close contact between the two languages (cf., Suarez 1945/1979, Barrera Vázquez 1937). In addition to the possible influence of Mayan on Spanish, we find further proof of close Mayan-Spanish contact in the influence of Spanish on the indigenous language. For example, in modern spoken Mayan, Spanish numbers are used when counting higher than four (Bolles & Bolles 2001), these having replaced the indigenous numerals. Speakers of Mayan in the present study refer to their language as ‘la mestizada’ or ‘la reformada’, instead of ‘la legítima maya’, used by these speakers to describe an older version of the language seen as uncontaminated by contact with Spanish. Although the difference in prestige between the two languages undoubtedly plays a role in the possible transfer of features, Mayan does enjoy a level of social recognition which is unusual for indigenous languages in Latin America, and it is spoken at all levels of society (Lope Blanch 1987: 8-10). As such, Mayan may have been able to exert more linguistic influence on Spanish than other indigenous languages of Mexico (Lope Blanch 1987). Second, one must prove that there has been sufficient contact between the two languages to account for contact-induced change (Thomason 2001: 93). Colonial demographics and modern census data speak to the level of contact in Yucatan. Throughout the colonial period, the Spanish-speaking elite was vastly outnumbered by the Mayan-speaking majority, with Spaniards representing around one percent of the population in the decades following the conquest (Mosely 1980: 102). Even on the eve of independence at the turn of the 19th century, people of European descent comprised only 28% of the population, with the majority made up of Mayan-speaking natives (p. 104). While present day demographics have changed considerably, Yucatan still contains a large number of Mayan-speakers, with 33.5% of the population reporting that they speak an indigenous language (i.e., Mayan) in the 2005 census (INEGI 2005). In addition to this centuries-long contact throughout the peninsula, an increase in urbanization from the end of the 19th century has brought the two populations into close contact within cities such as Merida, where many older residents report being raised in part by Mayan-

LENSO-21

23/1/09

12:32

Página 71

Intervocalic voiced stops in Yucatan Spanish

71

speaking nannies (cf., Michnowicz 2006). Several participants in the present study spoke of this trend during their interviews, including a middle-aged woman speaking about her uncle: “…ese nene [mi tío] lo crió una nana, una mestiza, y hasta ahorita mi tío Alfredo habla la maya. ¿Por qué? Porque lo aprendió de su nana mestiza, hablaba más, la nana lo tenía más tiempo que su mamá y papá” (227F, 49, lawyer). And here an older woman notes the previously common trend for many rural, Mayan-speaking families to send their daughters to work with a Spanish-speaking family in the city: …[decían]…‘llévame a mi hija para que viva contigo. No tienes que pagarle’. En esa época, pues, querían que los hijos salieran, entonces desde muy chiquita las mesticitas venían a las casas y no hablaban nada de español. Sólo, sólo maya. Entonces a nosotros nos enseñaban porque, yo no sé maya, pero muchas cosas entiendo… (105F, 60, ret. business owner)

As these quotes suggest, older, monolingual speakers of Spanish were often exposed to Mayan or Mayan-influenced Spanish on a daily basis from a very early age. The contact between Spanish-speakers and speakers of Mayan took place not only in the markets or the streets, but also in the speakers’ homes. In the case of YS, then, there appears to have been sufficient contact on both societal and individual levels to sustain the possibility of contact-induced change. Next, one must determine that the proposed contact feature exists in the languages in question and that the pattern for the feature can be accounted for by language contact (Thomason 2001: 93-94). An examination of the phonemic inventory of Mayan shows that neither the voiced stops [b d g] nor the voiced fricatives [β δ γ] are present natively in that language (cf., Ola Orie & Bricker 2000: 311). Therefore, it is clear that any possible Mayan influence on this feature of YS cannot be the direct transfer of a segment, but rather may be a case of indirect influence, or what Thomason and Kaufman (1988: 38) call “imperfect learning”. This phenomenon can arise when a large group of speakers shifts over time, via (partial) bilingualism, to the target language (here, Spanish), bringing with them fossilized features of L2 acquisition that may eventually spread to the monolingual population (pp. 38-42), a possibility that will be addressed further later in this chapter. Spanish did, of course, have all three voiced stops prior to contact with Mayan, so the pattern in YS is either the extension of already existing segments to contexts outside of pan-Hispanic norms, or the preservation of an archaic feature that subsequently changed in other dialects (cf., Canfield 1981). One question, therefore, is whether Spanish contained the present stop-fricative alternation at the time it was introduced to the Yucatan peninsula. Some evidence suggests that the

LENSO-21

23/1/09

12:32

Página 72

72

Jim Michnowicz

fricatives already existed in complimentary distribution in the 16th century (Lipski 1994: 27), and Penny (2002: 76) notes that the change /g/ > [γ] had already occurred in the 13th century. Canfield (1981), however, while noting that the alternation existed since the Middle Ages, attributes the preference for stops in some Latin American dialects to archaism, with the fricative variants becoming dominant in Spanish after those regions were already colonized and their respective linguistic patterns in place (pp. 3-6). Either way, contact influence remains a possibility, as shifting speakers of Mayan likely would not have perceived the alternation whenever it arose. These bilingual speakers therefore could have played a role in either preserving an archaic feature of the dialect, or in reducing the scope of an extant monolingual pattern with a simplified pattern that prefers occlusives in some phonetic contexts. Finally, one must examine possible language-internal motivations for the change in question (Thomason 2001: 94). In this case, the trend across Spanish dialects (and Romance varieties in general) is the weakening of consonants, and many varieties of Spanish elide /b d g/ to such an extent that they are deleted (cf., Canfield 1981, Lipski 1994, Posner 1996). Thus, while not impossible, it is improbable that YS extended its use of stops based solely on internal factors, since doing so would place it apart from the current of Spanish and Romance around the world. Yager (1982) has noted, however, that there may be a general trend toward fortition in YS. If such a trend exists, it occurs with other segments that are also attributed to possible Mayan influence, i.e., aspirated stops and hiatus via glottal stop insertion.5 Still, the overall tendency in Spanish is the weakening of voiced stops/fricatives, suggesting that YS [b d g] have not developed entirely through language internal mechanisms. To summarize, the answer to our initial question is yes, Mayan is in a position to have influenced the Spanish of Yucatan, albeit indirectly in the case of [b d g]. The sustained contact between YS and Mayan and the high rates of bilingualism throughout the past five centuries have created an environment conducive to inter-language influence, that when combined with the exposure of monolingual speakers of Spanish to Mayan-speaking nannies and domestic workers allows for a possible contact explanation. Of course, the fact that Mayan ‘could’ have influenced YS does not necessarily mean that it did. If language contact is in part responsible for the use of stops in YS, one would expect a higher frequency of stop use among bilingual (Spanish-Mayan) speakers, as well as among those exposed to more Mayan or Mayan-influenced Spanish. In order to address this

5

The possible role of fortition across YS is reserved for future research.

LENSO-21

23/1/09

12:32

Página 73

Intervocalic voiced stops in Yucatan Spanish

73

possibility, what follows will detail analyses of data collected for the present study, in order to determine what statistical relationship, if any, there is between speaking Mayan and the production of stops [b d g].

Methodology Data for the present study consist of 40 sociolinguistic interviews carried out by the author over a two month period in Merida, the capital of the state of Yucatan. The corpus contains 8809 tokens of /b/, 12,244 of /d/, and 2976 of /g/, all in nonneutralizing contexts (i.e., not following nasals, a pause, /l/ for /d/). In order to test the research question outlined above, two social factors are examined here. First, the possible role of bilingualism is tested by analyzing speakers belonging to two language groups (monolingual speakers of Spanish and bilingual speakers of Mayan and Spanish). Of the speakers studied here, 21 speak at least some Mayan and 19 are monolingual speakers of Spanish. Thirteen of the 21 speakers of Mayan are fluent speakers of the language and use Mayan in everyday interactions with their families. The remaining 8 speakers in this group can be considered passive speakers, representing a shifting generation defined as those whose parents or grandparents speak Mayan, and who can at least understand a conversation in that language, even though they may respond in Spanish.6 Also, since older speakers reported increased contact with native speakers of Mayan throughout their lifetimes (i.e., with nannies and domestic workers), age is also examined as a factor. Speakers were selected according to three age groups (19–29 n = 11, 30–49 n = 13, 50 + n = 16) representing the distinct life stages of young adulthood, middle age, and old age. In the present study, middle aged and older speakers generally report being exposed to Mayan as children both at home (via nannies or family members) and throughout the city (via market workers, street vendors, etc.), while younger speakers describe growing up in a much more Spanish-dominant environment. No younger speakers, for example, reported having a Mayan-speaking nanny in their home. The hypothesis for this analysis is that if contact with Mayan has played a role in the stop pattern in YS, bilingual speakers and older speakers, who are exposed to more Mayan, will show an

6

Separate up/down analyses found no significant difference between passive and fluent Mayan-speakers for /d/ and /g/. The difference between the two Mayan language groups was significant for /b/, with more [b] among passive speakers. As will be discussed later, [b] also occurs more frequently among middle-aged monolingual speakers of Spanish, and is the variable that shows the highest frequency of occlusion across the data. These facts are addressed further in the chapter. For the purposes of consistency, the present analysis will proceed with a combined Mayan-language factor group for all variables.

LENSO-21

23/1/09

12:32

Página 74

74

Jim Michnowicz

increased use of stops. If, however, language contact is not an important factor, the results will show no correlation between bilingualism/age and stop production, and the social forces driving this pattern will need to be sought elsewhere. In the statistical analysis that follows, the dependent variable is the realization of /b d g/ in non-neutralizing contexts, coded as either [+cont] or [–cont]. The independent variables (factor groups) as outlined above are knowledge of Mayan and speaker age. For all dependent variables, first, an initial one-level binomial run established the weights for each factor group. This was followed by an up/down binomial analysis in order to determine the significance of these factors to stop production in YS. In VARBRUL analyses, a factor weight of > 0.5 indicates a positive effect for that factor.

Data analysis and results The present analysis demonstrates that YS stops are sensitive to both linguistic and extra-linguistic factors. A multivariate statistical analysis was run using GoldVarb 2001 (Robinson et al. 2001) in order to determine the role of each of the independent variables outlined above on the presence of stops in non-neutralizing contexts.7 Results of the analysis are found in Tables 1, 2, and 3. TABLE 1 VARBRUL results for linguistic and social factors, stop [b] Factors

% stop

N

FW

Preceding segment

Consonant Vowel

51% 41%

562/1089 3170/7720

0.596 0.486

Following segment

Consonant Vowel

41% 42%

706/1711 3026/7098

*0.512 *0.497

Language

Span only Mayan

41% 43%

2033/4873 1699/3936

0.487 0.516

Age

19-29 30-49 50+

30% 44% 46%

618/2006 1235/2764 1879/4039

0.377 0.519 0.549

Factor groups

Note: all factors significant at .05 level unless otherwise indicated by * Chi-square per cell: [b] 1.9911.

7

Again, tokens following nasal consonants (or /l/ for /d/) were not counted in this analysis.

LENSO-21

23/1/09

12:32

Página 75

Intervocalic voiced stops in Yucatan Spanish

75

TABLE 2 VARBRUL results for linguistic and social factors, stop [d] Factors

% stop

N

FW

Preceding segment

Consonant Vowel

38% 30%

789/2065 3086/10179

0.571 0.486

Following segment

Consonant Vowel

22% 31%

90/405 3785/11839

0.396 0.504

Language

Span only Mayan

26% 37%

1711/6520 2164/5724

0.440 0.568

Age

19-29 30-49 50+

21% 39% 31%

603/2831 1583/4017 1689/5396

0.369 0.558 0.527

Factor groups

Note: all factors significant at .05 level unless otherwise indicated by * Chi-square per cell: [d] 1.9784.

TABLE 3 VARBRUL results for linguistic and social factors, stop [g] Factors

% stop

N

FW

Preceding segment

Consonant Vowel

35% 26%

205/581 633/2395

0.588 0.478

Following segment

Consonant Vowel

34% 26%

171/500 667/1809

0.567 0.486

Language

Span only Mayan

25% 31%

410/1615 428/1361

0.452 0.557

Age

19-29 30-49 50+

12% 33% 33%

89/733 323/971 426/1272

0.276 0.548 0.600

Factor groups

Note: all factors significant at .05 level unless otherwise indicated by * Chi-square per cell: [g] 1.4539.

With regard to the linguistic factor of phonetic context, all three stop variants are significantly conditioned by the presence of a preceding (non-nasal) consonant. This finding coincides with previous research on other stop-preferring areas, such as Central America and the Andes (cf., Lipski 1994).

LENSO-21

23/1/09

76

12:32

Página 76

Jim Michnowicz

Although stops are preferred after consonants, they also occur following vowels, as indicated by the factor weights approaching 0.5 in Tables 1-3. The difference between preceding vowel and consonant, however, was found to be significant for each of the three stops. With regard to the preceding consonant, stops are favored in particular by the presence of the liquids /r/ or /l/, and the sibilant /s/, as determined by separate up/down analyses.8 The following segment was also found to be a significant conditioning factor for [d] and [g], but not for [b]. Results, however, are inconsistent, with [d] favored by a following vowel (as in lado), and [g] favored by a following consonant (as in grande). This result is interesting, given the tendency for /d/ to weaken or elide in many monolingual Spanish varieties (cf., Lipski 1994, Hualde 2005). With regard to social factors, comparing monolingual speakers of Spanish and bilingual speakers of Mayan and Spanish, we find a statistically significant trend for more stop production among bilinguals for all three variables (p = < .05). Monolingual speakers of Spanish, however, also produce stop variants, as indicated by the VARBRUL weights approaching 0.5, although less frequently than bilingual speakers. The difference between language groups is significant for all three variables, indicating that speaking Mayan is an important factor in the production of stops versus fricatives in YS. Next, the age groups show a divide between the youngest speakers, who produce fewer stops (i.e. more fricatives), and middle-aged and older speakers, who produce more stops. The difference between speakers under 30 years of age and over 30 was found to be significant for all three variables. With regard to those over 30, separate up/down analyses showed that the differences between middle-aged and older speakers were significant only for (d) (p = 0.004); for (b) and (g) these speakers behave in a statistically identical manner (p = 0.086 and 0.916 respectively). Thus the important distinction here is if the speaker is older or younger than 30. Importantly, older speakers as a group, both monolinguals and bilinguals, report being exposed to more Mayan-influenced Spanish, through increased contact with Mayan-dominant domestic workers, day laborers and others. An important example of this contact is the formerly common practice in middle class families to hire indigenous nannies, who either spoke to the children in Mayan or in their Mayan-influenced L2 Spanish, a trend not found among younger speakers. Comparing the frequencies for each of the stops across age groups (apparent time –cf. Bailey 2002) exemplifies the sharp reduction in stops among younger speakers of YS. 8

Cases of /d/ following /l/ were not counted in this analysis, as they constitute a neutralizing context for the dental stop/fricative.

23/1/09

12:32

Página 77

Intervocalic voiced stops in Yucatan Spanish

77

FIGURE 1 Frequencies of stop [b d g] in apparent time 50% 45%

◆

40% 35% 30% % stop

LENSO-21

◆ ■

▲ ■

▲

◆ [b]

25%

■ [d]

20% 15%

▲ [g]

10% 5% 0% 59+

30-49 Age

19-29

Next, in order to examine the interaction of age and language, an additional up/down analysis was run with combined factor groups (cross-tabulation). The results are seen in Tables 4, 5, and 6. Results demonstrate that for all variables, factor weights for speakers under age 30 are .05 for all groups but 2 (monolinguals for the variable [d]), thereby favoring stop production). Importantly, regardless of age, speaking Mayan correlates with a higher frequency of stops, with two exceptions: middleaged Spanish monolinguals, who favor stop [b] (but not [d] and [g]) more than their Mayan-speaking counterparts, and middle aged speakers who produce approximately the same frequencies of stop [g] regardless of language (32-33%). The difference for language group among middle aged speakers for /b/ was found to be significant in a separate up/down analysis (p. = 0.028). This is an interesting and unexpected result, given the correlation of Mayan-Spanish bilingualism and stop production for other cells in the cross-tabulation. This pattern may reflect the movement of speakers from Mayan backgrounds into the socio-economic mainstream that began in the last several decades, thereby exposing the monolingual population to increased Mayan-influenced Spanish (cf., Michnowicz 2006).

23/1/09

12:32

Página 78

78

Jim Michnowicz

TABLE 4 VARBRUL results for combined factor groups (cross-tab, stop [b] Factor groups

% stop

N

FW

19-29 Spanish only

27%

285/1022

0.347

19-29 Bilingual Mayan

34%

321/939

0.416

30-49 Spanish only

48%

339/706

0.559

30-49 Bilingual Mayan

43%

908/2103

0.510

50+ Spanish only

45%

1279/2873

0.530

50+ Bilingual Mayan

49%

600/1202

0.577

Note: all factors significant at .000 level Chi-square per cell: 0.0001

FIGURE 2 Frequencies of stop and fricative averaged across variants for cross-tabulation 100% 90% Average % across variables

LENSO-21

Fricatives

80%

Fricatives

70% Fricatives

60%

Fricatives Fricatives

Fricatives

50% 40%

Stops

30% 20%

Stops

Stops Stops

Stops Stops

10% 0% 19-29/Span 19-29/Maya 30-49/Span 30-49/Maya Age/Language

50+/Span

50+/Maya

LENSO-21

23/1/09

12:32

Página 79

Intervocalic voiced stops in Yucatan Spanish

79

TABLE 5 VARBRUL results for combined factor groups (cross-tab, stop [d] Factor groups

% stop

N

FW

19-29 Spanish only

15%

221/1432

0.290

19-29 Bilingual Mayan

25%

320/1275

0.428

30-49 Spanish only

30%

331/1098

0.491

30-49 Bilingual Mayan

43%

1314/3043

0.629

50+ Spanish only

29%

1159/3990

0.478

50+ Bilingual Mayan

37%

530/1406

0.575

Note: all factors significant at .000 level Chi-square per cell: 0.0001

Also important may be the fact that [b] is the variable with the highest rate of occlusion across the sample (42%), and the lower frequency of occlusive [b] on the part of bilingual speakers may represent hypercorrection of the most frequent stop in YS. Further research is needed to address this possibility. Still, the overall trend seen in the present data is that speaking Mayan correlates with more stop variants, allowing us to conclude that Mayan-Spanish bilingualism is a contributing factor to stop production in this dialect. This trend, as well as the observed correlation between speaker age and stop frequency, is confirmed in Figure 2, which shows the average frequency of stops and fricatives for all three phonetic variables. We now turn our attention to how the Mayan language may have contributed to the observed pattern in YS.

Direct vs. indirect influence of Mayan on Yucatan Spanish In previous sections we saw that Mayan is in a position to have influenced the Spanish of Yucatan, and that both speakers of Mayan and older speakers (exposed to more Mayan and Mayan-influenced Spanish) produce more stop variants than younger, monolingual speakers of Spanish. These facts indicate that Mayan influ-

LENSO-21

23/1/09

12:32

Página 80

80

Jim Michnowicz

TABLE 6 VARBRUL results for combined factor groups (cross-tab, stop [g] Factor groups

% stop

N

FW

19-29 Spanish only

7%

31/394

0.193

19-29 Bilingual Mayan

17%

58/339

0.366

30-49 Spanish only

32%

91/278

0.576

30-49 Bilingual Mayan

33%

232/693

0.585

50+ Spanish only

30%

288/943

0.552

50+ Bilingual Mayan

41%

138/329

0.669

Note: all factors significant at .000 level Chi-square per cell: 0.0001

ence has played a role in the pattern of /b d g/ in YS. Can we say, however, that the stop pattern is ‘due’ specifically to Mayan influence? Proponents of language-internal arguments for YS stops frequently cite a similar pattern in other varieties of Spanish that have no contact with Mayan. The extension of stops in other dialects, therefore, could not have been influenced by that language, but instead, it is argued, must have arisen due to mechanisms internal to Spanish. For example, Cassano (1977:100) cites similar stop patterns in Andean and Central American Spanish, as well as in some parts of Mexico, when arguing against a contact-based explanation for [b d g] in YS. In Latin America, stops in place of fricatives are reported among bilingual speakers in Bolivia, Peru, the Esmeraldas region of Ecuador, the Andean region of Venezuela, and in Paraguay, among indigenous speakers in the Amazon region of Colombia, as well as rural zones of Costa Rica and Nicaragua, El Salvador, and Honduras (Lipski 1994). Outside of Latin America, stops [b d g] are often preferred in Equatorial Guinea (Lipski 1985), and are features commonly found among non-native students of Spanish language in the United States. Stops in L2 Spanish are usually attributed to first language (L1) English interference (Dalbor 1980, Teschner 2000, among others). Importantly, what previous studies on YS fail to notice is that the stop-preferring areas are or were characterized by large numbers of bilingual speakers, primarily of indigenous languages (or English,

LENSO-21

23/1/09

12:32

Página 81

Intervocalic voiced stops in Yucatan Spanish

81

in the case of L2 learners in this county). Given the rarity of Iberian-style stopfricative patterns cross-linguistically, it appears that the alternation fails to surface whenever Spanish comes into contact with a language that does not share the same phonological process, regardless of what that language is. Higher frequencies of stops have arisen in contact with Native American, West African, and other European languages (i.e., English). That is, it is not contact with Mayan per se, but instead long-term bilingualism and language contact itself that is responsible for the observed pattern in YS. Returning to the initial research question, whether the observed pattern for /b d g/ in YS is due to language contact with Mayan, the answer is ‘yes’, but only in the sense that Mayan happens to be the language with which YS is in contact. In other words, it is language contact, and not the Mayan language itself, that is responsible for the high rates of stops in YS. The case of voiced stops in YS (and probably elsewhere), then, is best characterized as the result of what Thomason (2001: 74-75) calls ‘imperfect learning’ or substratum influence. Winford (2003: 15) notes that one of the possible scenarios for language shift of this type is that in which a linguistic minority imposes their language on a conquered majority, producing an “indigenized” variety of the target language. This new variety will reflect the difficulty the shifting speakers had in mastering the new language, in this case Spanish. In Yucatan, generations of speakers of Mayan failed to acquire a native Spanish pattern of stop-fricative alternation, a process that was hindered not only by their native Mayan phonology but also by the Mayan-accented input to which children acquiring Spanish were exposed. Thus, based on their L1 phonology, speakers of Mayan would have had difficulty perceiving and/or producing the monolingual Spanish pattern, conforming instead to the reanalyzed L2 system employed by other bilingual speakers (cf., Winford 2003: 245). Given adequate numbers of shifting speakers over a long period of language contact and incomplete bilingualism (in the sense that speakers are dominant in one of the languages in contact), linguistic features previously restricted to bilingual L2 speakers of Spanish can spread to the monolingual population. This is precisely the situation found in YS. Bilingual speakers produce significantly more stops than monolingual speakers of Spanish in Yucatan, but monolinguals also use stops more than speakers in other, non-contact areas. Importantly, the pattern seen in YS is not a case of ‘anything goes’ linguistic change brought about by contact with Mayan. Rather, it is the extension of a phonological rule already extant in monolingual Spanish (or, alternatively, the preservation of an archaic feature, [cf., Canfield 1981]) under the indirect influence of a shifting Mayan-speaking majority. Thus, the phonetic context that licenses stops is extended from following nasal consonants to following any consonant, with /s/ /l/ /r/ as particular standouts.

LENSO-21

23/1/09

12:32

82

Página 82

Jim Michnowicz

Conclusions In conclusion, the present study shows that the observed pattern of stop [b d g] in YS is due to intense language contact (Mayan and Spanish) and the resulting centuries-long bilingualism. The non-native acquisition of a subtle Spanish allophonic alternation by a Mayan-speaking majority led to the preference for a simplified system favoring one variant (i.e., stops). Aspects of this reanalyzed (bilingual) system were then passed on, through daily contact with bilingual speakers and the processes of leveling and accommodation, to the monolingual elite. We cannot say, however, that the use of voiced stops is due to the direct influence of the Mayan language on Spanish, since Mayan does not natively possess these sounds, and as evidenced by similar patterns in other bilingual regions. An extended context for stops, rather, is indicative of L2 Spanish around the world. In long-term bilingual contexts, the preference for use of stops [b d g] may become fossilized throughout the speech community. This study demonstrates, therefore, that in some cases linguistic features that have been attributed to direct cross-linguistic influence are more correctly defined as L2 interference via shifting bilingual speakers, instead of being directly attributable to phonological transfer between languages. The case of [b d g] in YS lies between the extreme positions found in previous studies of either direct Mayan influence or strictly internal development. After generations of relative stability, however, the strong preference for fricatives among younger speakers indicates that this feature of YS (along with other regional traits, cf., Michnowicz 2006) may disappear from the dialect within a generation or two, as younger speakers adapt to pan-Hispanic standardized norms. Future research is needed to know for sure the fate of [b d g] stops in Yucatan.

References ALVAR, Manuel (1969): “Nuevas notas sobre el español de Yucatán”, in: Iberoromania, I, 159-189. BAILEY, Guy. (2002): “Real and apparent time”, in Chambers, J. K./Trudgill, Peter/ Schilling-Estes, Natalie (eds.): The handbook of language variation and change. Oxford: Blackwell, 312-332. BARRERA VÁSQUEZ, Alfredo (1937): “Mayismos y voces mayas en el español de Yucatán”, in: Investigaciones Lingüísticas 4, 9-35. BOLLES, David/BOLLES, Alejandra (2001): A grammar of the Yucatecan Mayan language. Lancaster: Labyrinthos. CANFIELD, D. Lincoln (1981): Spanish pronunciation in the Americas. Chicago: The University of Chicago Press. CASSANO, Paul (1977): “La influencia del maya en la fonología del español de Yucatán”, in: Anuario de Letras 15, 95-113.

LENSO-21

23/1/09

12:32

Página 83

Intervocalic voiced stops in Yucatan Spanish

83

DALBOR, John (1980): Spanish pronunciation: Theory and practice (2nd ed.). New York: Harcourt Brace Jovanovich. HUALDE, José Ignacio (2005): The sounds of Spanish. New York: Cambridge University Press. INSTITUTO NACIONAL DE ESTADÍSTICA, GEOGRAFÍA E INFORMÁTICA (INEGI) (2005): Conteo de población y vivienda 2005. http://www.inegi.gob.mx (October 4, 2007). LASS, Roger (1997): Historical linguistics and language change. Cambridge: Cambridge University Press. LIPSKI, John (1985): The Spanish of Equatorial Guinea: The dialect of Malabo and its implications for Spanish dialectology. Tübingen: Niemeyer. — (1994): Latin American Spanish. New York: Longman. LOPE BLANCH, Juan Miguel (1987): Estudios sobre el español de Yucatán. México, D.F.: Universidad Autónoma de México. MEDIZ BOLIO, Antonio (1951): Interinfluencia del maya con el español de Yucatán. Mérida: Zamna. MICHNOWICZ, Jim (2006): Linguistic and social variables in Yucatan Spanish. Doctoral thesis. University Park: Penn State University. MOSELY, Edward (1980): “From conquest to independence: Yucatan under Spanish rule, 1521-1821”, in Mosely, Edward/Terry, Edward (eds.): Yucatan: A world apart. Alabama: University of Alabama Press, 83-121. NYKL, Aloys (1938): “Notas sobre el español de Yucatán, Veracruz y Tlaxcala”, in: Henríquez Ureña, Pedro (ed.): El español en Méjico, los Estados Unidos, y la América Central. Buenos Aires: Instituto de Filología, 207-225. OLA ORIE, Olanike/BRICKER, Victoria (2000): “Placeless and historical laryngeals in Yucatec Maya”, in: International Journal of American Linguistics 66(3), 283-317. PENNY, Ralph (2002): A history of the Spanish language. Cambridge: Cambridge University Press. POSNER, Rebecca (1996): The Romance languages. New York: Cambridge University Press. ROBINSON, John/LAWRENCE, Helen/TAGLIAMONTE, Sali (2001): GoldVarb 2001 (Version 1.0.2.13) [Computer software]. http://www.york.ac.uk/depts/lang/webstuff/goldvarb (March 14, 2007). SOLOMON, Julie (1999): Phonological and syntactic variation in the Spanish of Valladolid, Yucatán. Doctoral thesis. Palo Alto: Stanford University. SUÁREZ, Víctor (1979) [1945]: El español que se habla en Yucatán: Apuntamientos filológicos (2nd ed.). Mérida: Universidad de Yucatán. TESCHNER, Richard (2000): Camino oral: fonética, fonología y práctica de los sonidos del español (2nd ed.). New York: McGraw Hill. THOMASON, Sarah (2001): Language contact: An introduction. Washington: Georgetown University Press. THOMASON, Sarah/KAUFMAN, Terrence (1988): Language contact, creolization, and genetic linguistics. Berkeley: University of California Press. WINFORD, Donald (2003): An introduction to contact linguistics. Oxford: Blackwell.

LENSO-21

23/1/09

84

12:32

Página 84

Jim Michnowicz

YAGER, Kent (1982): Estudio del cuadro consonántico del español de Mérida, Yucatán, con consideraciones de posible influencia maya. Master thesis. Santa Barbara: University of California.

LENSO-21

23/1/09

12:32

Página 85

PRONOMBRES DE SUJETO EN EL ESPAÑOL (L2 VS. L1) DEL CARIBE1 LUIS A. ORTIZ LÓPEZ Universidad de Puerto Rico

Research on the null-subject parameter in bilinguals has demonstrated that the syntactic-discourse properties are problematic and subject to fossilization and incomplete acquisition. Bilingual speakers show evidence of greater provision of pronouns in non-obligatory contexts. In this paper, we incorporate new naturalistic data from typologically distinct languages in order to investigate the distribution of overt and null subject pronouns, pre-posed and post-posed in contexts of change of reference, and to compare the knowledge of each property according to the linguistic proficiency of bilinguals in the Dominican-Haitian border areas. In addition to the fact that the distribution of overt and null subject pronouns is conditioned by the change of reference, there are also restrictions imposed by the type of pronoun, its semantic and discourse features, and the distance from the language among bilinguals. The use of the null subject is motivated by referential features, but there are notable differences between monolinguals and bilinguals. Bilinguals produce overt pronouns more so than native speakers in contexts where there is no contrast; they extend the L2 syntactic pattern to the L1 pattern at the expense of the discursive functions of the pronoun in the target language. In these speakers, there are functional mechanisms that regulate the movement of the subject to the specifier position; they adopt a universal acquisition process in the absence of inflectional markings in the TP, possibly because of L1 transfer, since the L1 is non pro-drop, or because of processing deficits related to the acquisition of a complex and dynamic syntactic-discourse interface in Caribbean Spanish.

1

Agradezco a Alexandra Morales, Keyla Morales y José A. Santiago, estudiantes del Programa de Lingüística, y al Decanato de Estudios Graduados e Investigación de la Universidad de Puerto Rico. También reconozco los comentarios y sugerencias de los revisores externos y la ayuda prestada por los editores de este volumen. No obstante, todos los errores que puedan existir son tan sólo nuestros.

LENSO-21

23/1/09

12:32

Página 86

86

Luis A. Ortiz López

Introducción El parámetro del sujeto nulo o parámetro pro drop se ha convertido en uno de los temas de investigación más abordados y polémicos en la lingüística (Chomsky 1981, Jaeggli 1982, Rizzi 1982, 1997, Sorace 2005). Este parámetro se ha asociado comúnmente con cuatro propiedades: 1) sujetos nulos (1a-b), 2) la inversión de sujeto-verbo (2a-b); 3) expletivos nulos obligatorios (3a-b) y 4) filtro ‘que’ -h (4a-b). (1) a. Ø entró a las 12pm. b. Luis (él) entró a las 12pm. (2) a. Marcela bailó toda la noche. b. Bailó Marcela toda la noche. (3) a. Ø Hace tiempo que no llueve en esta zona. b. *Ello hace tiempo que no llueve en esta zona. (4) a. ¿Quién dice la prensa que asesinó a Filiberto Ojeda? b. *¿Quién dice la prensa Ø asesinó a Filiberto Ojeda?

La elección positiva del parámetro de sujeto nulo se corresponde con lenguas que permiten sujetos sin realización fonética, como el español, el italiano (5a-b), frente a lenguas que exigen su presencia como el francés, el inglés y el criollo haitiano (6a-d), por mencionar algunas (Rizzi 1982, 1997, Fernández Soriano 1989, Sorace 2003, 2005). (5) a. Ø (*Yo) Como frutas todos los días. b. Ø Mangio frutta tutti journi. (6) a. Je mange des fruits tous les jours. b. I eat fruits every day. c. Mwen manje fri yo.

Si bien es cierto que el español y otras lenguas romances como el italiano, debido a su riqueza morfológica en el paradigma verbal, permiten omitir los pronombres de sujeto (Rizzi 1982, 1997, Jaeggli & Safir 1989, Euguren 1999, Tsimpli et al. 2004, Sorace 2005) y, a su vez, posponer u omitir los pronombres de sujeto en cláusulas relativas (7a) y con infinitivos (8a), también es cierto que tal comportamiento es variable y complejo en modalidades monolingües, bilingües y atrición de estas lenguas (7b, 8b). (7) a. Mis hijosi estudian en Haití. Las clases que toman Øi /ellosi en Haití son en créole. b. Mis hijos i estudian en Haití. Las clases que ellos i toman en Haití son en créole.

LENSO-21

23/1/09

12:32

Página 87

Pronombres de sujeto en el español (L2 vs. L1) del Caribe

87

(8) a. Para llevarme Ø/ellosi a la frontera tienen que tener Ø/ellos/mis padresi la documentación completa. b. Para mis padres/ellosi llevarme a la frontera tienen que ellos/mis padresi tener la documentación completa.

Tal variación obedece a múltiples factores sintácticos, semánticos y pragmáticos, entre los que se destacan la ambigüedad morfológica del verbo, debido a la pérdida de /s/ como marcador de segunda persona (9); la correferencialidad o la necesidad de aclarar el referente por ausencia de marcas contextuales; el foco contrastivo debido a cambio de referente/sujeto (10) o de referencias menos específicas, como son los pronombres no específicos (‘tú’, ‘uno’, ‘ellos/as’, ‘usted’, ‘ustedes’) (11); la topicalización (12) y el foco (13), y el grado de conectividad/continuidad o perseverancia (14) (Silva Corvalán 1982, 2003, Cameron 1992, 1997, Flores-Ferrán 2002, Matos & Schwenter 2003, Cameron & Flores-Ferrán 2004, Hurtado 2005, Morales & Ortiz López 2007). (9) Túi tieneØ que venir a la clase, porque si túi no vieneØ túi vaØ a fracasar. Ø Tienes que venir a la clase, porque si Ø no vienes vas a fracasar. (10) Juani y su hermanaj viajaron a Europa. Ella/*Øj decidió pedir residencia en París. (11) Hay que trabajar duro cuando tú eres/ uno es/usted es emigrante. (12) Visitaré a Juani y a Maríaj este fin de semana. A ellaj no laj he visto desde el verano. (13) Confío en la sabiduría de la Rectorai. Ellai es una profesional muy seria. (14) Eli nos llamó atención y de repente Øj actuamos, y de ahí en adelante Øj aprendimos la lección.

Una de las funciones principales de la aparición del pronombre de sujeto en español es la de marcar contraste (Gili Gaya 1976, Alarcos Llorach 1994, Butt & Benjamin 2000, Silva Corvalán 2003). Sin embargo, no hay acuerdo en cuanto a las funciones que tiene el pronombre presente, sobre todo en oraciones con contextos contrastivos. Se acepta que todos los ejemplos de contextos contrastivos representan también un cambio de referente, el cual va más allá de la desinencia verbal (Haverkate 1976), pero no todo cambio de referencia representa un contexto contrastivo. Sabemos que el contraste implica foco, pero no todo foco implica contraste. En los casos de contraste, el foco recae en el pronombre de sujeto (Silva Corvalán 2003). En cambio, en los casos contrastivos, con pronombre nulo, el foco recaería en el elemento que tiene implicado el pronombre de sujeto, como podrían ser elementos tónicos, adverbios personalizados, adverbios locativos, etc. (Matos & Schwenter 2003). De todo lo anterior, se puede concluir

LENSO-21

23/1/09

12:32

Página 88

88

Luis A. Ortiz López

que los pronombres de sujeto en español sirven para marcar contraste o desambiguar. No obstante, también adquieren otras funciones especiales en el discurso que los hacen necesarios. Por otra parte, se ha insistido en las diferencias diatópicas. Los dialectos caribeños evidencian, por un lado, mayor frecuencia de pronombres de sujeto frente a otros dialectos (Morales 1999, Otheguy & Zentella 2007) y, por otro, anteponen los sujetos léxicos y pronominales en posición preverbal, tanto en cláusulas simples, como en relativas (15), en subordinadas no finitas (en sustitución de las finitas) (16) (Morales 1986, 1997, 1999, Ortiz López 2007)2. (15) Mis hijosi estudian en Haití. Las clases que ellosi toman en Haití son en créole. (16) Para él/(mi padrei) llevarme a la frontera tiene que éli tener los papeles.

Finalmente, la investigación en torno al parámetro de sujeto nulo en bilingües y en atrición ha demostrado que las propiedades sintácticas-discursivas de los pronombres son problemáticas y vulnerables a la fosilización y a la adquisición incompleta (Silva Corvalán 1996, 2003, Montrul 2004, Morales Reyes & Ortiz López 2007)3. Según estos trabajos, bilingües y atrición muestran mayor reposición de sujetos pronominales en contextos no obligatorios, como consecuencia de problemas en el manejo de la interfaz sintáctica/pragmática de dichos pronombres. Ante este panorama complejo, es necesario incorporar nuevos datos naturales provenientes de lenguas tipológicamente distantes. En este trabajo, nos centramos en las primeras dos propiedades del parámetro de sujeto nulo en hablantes monolingües dominicanos y bilingües (haitianos y dominico-haitianos) en la frontera domínico-haitiana, caracterizada por el contacto entre el criollo haitiano y español dominicano. Los objetivos principales de este estudio son: 1) investigar la distribución de los pronombres plenos y nulos, antepuestos y pospuestos en contexto de cambio de referencia, y 2) comparar el manejo de ambas propiedades, según el dominio lingüístico de los hablantes monolingües (español L1) y bilingües (español L2, créole L1).

Acercamiento teórico Siguiendo la perspectiva generativa innatista (Chomsky 1986, 1995), hay diversas posiciones en torno al parámetro de sujeto nulo (Hyams 1982 , 2001). La pre2 3

En el caso del español dominicano, se documentan los pronombres expletivos (Toribio 1994), como: Ello hace tiempo que no llueve. Para el italiano, véase Sorace (2003, 2005), Serratice et al. (2004).

LENSO-21

23/1/09

12:32

Página 89

Pronombres de sujeto en el español (L2 vs. L1) del Caribe

89

FIGURA 1 SF

pro

F

F

SV

FIGURA 2 SComp

Comp’

proi

Comp

SF

Ti

F

SV

V

sencia de pro se ha interpretado como la forma marcada (Montalbetti 1984, Cardinaletti & Starke 1999). Hyams (2001) postula que el sujeto nulo en la adquisición es una categoría vacía pro, que se puede llenar mediante dos maneras: un proceso de concordancia que identificaría a la categoría pro en la posición de Espec(ificador) del S(intagma) F(lexión), como sucede en español, italiano y otras lenguas (Figura 1), o un movimiento de pro al Espec(ificador) de una categoría superior como es el Comp(lementizador), donde la categoría vacía sería identificada desde el discurso a través de un proceso de identificación de tópico (topic drop), como ocurre en inglés, alemán y otras lenguas (Figura 2). Según el modelo minimalista, dentro de este parámetro está implicado el ‘principio de proyección ampliado’ (Chomsky 1995), el cual postula que toda oración debe tener un sujeto, y que la variación entre las lenguas reside, como hemos

LENSO-21

23/1/09

12:32

Página 90

90

Luis A. Ortiz López

mencionado previamente, en la posibilidad o no de que el pronombre sea tácito (aunque se perciba la existencia de un determinado sujeto). Esto es posible gracias al sistema de ‘concordancia verbal’ [+fuerte] que legitima un pronombre fonéticamente vacío (pro) en posición de sujeto en muchas lenguas, entre ellas el español y el italiano (1a, 5a-b)4. Por lo tanto, lenguas con una morfología de persona fuerte, como es el español, permiten los pronombres de sujetos tácitos, mientras que aquéllas con morfología débil, como el inglés, el francés y el criollo haitiano (5b-d respectivamente) exigen los pronombres plenos. En lenguas con pronombres nulos, también es posible la posposición de sujeto (2b, 17a-b), la ausencia de pronombres pleonásticos nulos (3a, 18a), la ausencia de efectos de COMP + huella (4) y la extracción de sujetos a larga distancia (19) (Jaeggli 1982, Rizzi 1982). (17) a. Ha llegado Juan. b. E arrivato Gianni. (18) a. Ø llueve. b. Ø piove. (19) a. ¿Quién no sabes qué escribió?

La investigación actual sobre los pronombres en hablantes monolingües, bilingües y atrición, se centra principalmente en el manejo de las propiedades relacionadas con la sintaxis y el discurso (contexto de foco contrastivo, tópico). Se pretende dar cuenta de si los problemas que manifiestan bilingües y atrición se deben a déficit de representación o a déficit de producción (Sorace 2005, Clahsen & Felser 2006, Montrul & Rodríguez 2006, Sorace & Filiaci 2006)5. Para poner a prueba estos presupuestos teóricos, lanzamos las siguientes hipótesis: H1: La distribución de los pronombres plenos y nulos en los bilingües no está condicionada por el cambio de referencia. H2: El grado de dominio de español (bilingüe frente a monolingüe) no altera la posición (preverbal o posverbal) de los pronombres de sujeto. H3: La distancia sintáctica-pragmática entre las lenguas (el criollo haitiano, una lengua non pro drop y con un orden fijo SV(O) frente al español

4

5

Hay ejemplos de lenguas que contradicen esta generalización. Este es el caso de lenguas orientales, como el chino, que no poseen morfemas verbales de persona, pero admiten oraciones con sujetos tácitos. Se ha propuesto que estas lenguas están ‘orientadas hacia el discurso’, mientras que lenguas románicas, germánicas y otras estarían ‘orientadas hacia la oración’ (Huang 1982). Para el italiano, véase Sorace (2003, 2005), Serratice et al. (2004).

LENSO-21

23/1/09

12:32

Página 91

Pronombres de sujeto en el español (L2 vs. L1) del Caribe

91

dominicano, lengua pro drop/SV(O) flexible, condiciona el manejo de los pronombres de sujeto en la lengua meta (L2) de los bilingües. Sistema pronominal: El criollo haitiano y el español (dominicano) Antes de presentar los hallazgos, es necesario ver el comportamiento pronominal en ambos sistemas. Las diferencias fundamentales entre el criollo haitiano y el español se encuentran en la flexión. El criollo haitiano es una lengua criolla, caracterizada por la ausencia de flexión, la presencia de partículas preverbales (ap, te, pou, etc.) para marcar tiempo, modo y aspecto, el verbo en infinitivo, un orden sintáctico bastante fijo (SVO), como se muestra en los ejemplos (20a-b). (20) a. Mari ap manje krab la María IMP comer el cangrejo. María está comiendo el congrejo.

(Lefebvre 1998: 120).

b. Ou te achte liv pandan vwayaj la? ¿(Tú) ANT comprar libros en viaje el? ‘¿Ø Compraste libros en el viaje?’

El español es una lengua muy morfológica, cuya flexión verbal es fuerte, uniforme (Jaeggli & Safir 1989) y referencial (véase Tabla 2). De ahí que permite los sujetos nulos y, a su vez, el ascenso del verbo en el componente visible de la sintaxis, como consecuencia del rasgo flexional [+fuerte] (21). Por el contrario, el criollo haitiano exige el sujeto pronominal presente debido a la ausencia de morfemas de persona y número en el verbo (20a-b). (21) ¿Compraste los libros de la clase? Sí, Ø los compré.

En ambas lenguas hay marcas de número y persona gramatical en los pronombres, pero difieren en cuanto a las marcas de género. Como se ilustra en la Tabla 1, el criollo haitiano posee formas pronominales de sujeto, según los rasgos de persona y número, aunque mantiene la misma forma para la 1ª y 2ª persona del plural, nou (22). (22) Nou te bay Mari liv la. Nosotros/ustedes ANT dar María libro el. ‘Nosotros (le) entregamos /dimos el libro a María’. ‘Ustedes (le) entregaron /dieron el libro a María’.

El contraste mayor entre ambos sistemas estriba en cómo marcan los rasgos de persona y número: mientras el criollo haitiano lo hace exclusivamente a nivel léxico, mediante el pronombre, en el español se presenta tanto a nivel léxico como a nivel morfológico, es decir, a través de los morfemas verbales (Tabla 2).

LENSO-21

23/1/09

12:32

Página 92

92

Luis A. Ortiz López TABLA 1 Sistema pronominal del créole haitiano

PRO

Persona y número

Ausencia de concordancia S-V

mwen

1ª persona sing.

Mwen te manje fri (fwi) yo. Ø comí frutas).

ou/[wu]

2ª persona sing.

Ou te manje fri (fwi) yo. Ø comiste frutas.

li

3ª persona sing.

Li te manje fri (fwi) yo. (El/ella) comió frutas.

ou/nou

1ª y 2ª persona pl.

Ou te manje fri (fwi) yo. (Ustedes) comieron frutas. Nou te manje fri (fwi) yo. Ø comimos frutas.

yo

3ª persona pl.

Yo te manje fri (fwi) yo. Ø comieron frutas.

Nota: Lefebvre (1998: 141); los ejemplos provienen de un hablante del criollo haitiano.

TABLA 2 Sistema pronominal tónico del español PRO

Persona/número/(género)

Concordancia SV (verbos regulares)

yo

1ª persona sing.

com-í

tú

2ª persona sing.

com-iste

él/ella/usted

3ª persona masc/fem/neutro sing.

com-ió

nosotros

1ª persona pl.

com-imos

ellos/ellas/ustedes

3ª persona masc/fem/neutro pl.

com-ieron

En cuanto al género, el español establece diferencias en la tercera persona gramatical del singular (él/ella) (23a-b) y del plural (ellos/ellas) (23c-d), frente al criollo, que no posee tal distinción. (23) a. b. c. d.

El entrega el libro a María. Ella entrega el libro a María. Ellos entregan el libro a María. Ellas entregan el libro a María.

LENSO-21

23/1/09

12:32

Página 93

Pronombres de sujeto en el español (L2 vs. L1) del Caribe

93

Por lo tanto, las diferencias principales entre ambas lenguas se encuentran en el componente morfosintáctico. El criollo haitiano carece de flexión verbal y, por ende, de concordancia sujeto y verbo (véase Tabla 1, ejemplos 24a-b). La ausencia de flexión verbal en el criollo haitiano se compensa mediante partículas preverbales que marcan TMA, mientras que la concordancia sujeto-verbo se expresa sintácticamente, como en los demás criollos y en otras lenguas (el inglés), es decir, a través del sujeto obligatorio. (24) a. Li te bay Mari liv la. El ANT entregar/dar María libro el. ‘El (le) entregó/dio el libro a María’. b. Wi, mwen te achte liv yo pou klas la. Sí, yo ANT comprar libros los de clase la. ‘Sí, Ø compré los libros de la clase’.

En cuanto a la sintaxis, aunque ambas lenguas tienen un orden SV(O), este orden es bastante fijo en el criollo haitiano (20, 22, 24), y en las demás lenguas criollas, mientras que en español es más flexible, ya que permite la topicalización de casos (acusativo, dativo, ablativo), así como el movimiento y elevación de clíticos a distintas posiciones sintácticas, incluso pegados a formas verbales conjugadas.

Metodología El universo de este estudio corresponde a la frontera dominico-haitiana (Mapa 1), la cual divide dos naciones: Haití y la República Dominicana. La frontera dominico-haitiana se caracteriza por el contacto (etno)sociolingüístico que mantienen tanto dominicanos y haitianos, como los descendientes de la unión de estos dos grupos étnicos. Los tres grupos (dominicanos, haitianos y dominico-haitianos) cruzan diariamente la frontera geográfica sin mayores problemas con propósitos diversos: familia, trabajo, alimentación, comercio, etc. Para este trabajo, seleccionamos una muestra de 10 sujetos, pertenecientes a dos de los grupos etno-lingüísticos que conviven en la frontera dominico-haitiana: cinco haitianos bilingües y cinco dominicanos monolingües. Los integrantes haitianos han vivido entre cinco (los más jóvenes) y treinta años (los mayores) en Pedernales y Dajabón, provincias fronterizas; mantienen vínculos fuertes con Haití, mediante familiares; el criollo haitiano es su lengua materna; aprendieron el español en la adultez y sin educación formal. Los dominicanos son monolingües en español ‘no estándar’. Estos sujetos fueron grabados in situ, entre 30 a 45 minutos de duración. El investigador formuló preguntas abiertas sobre temas históricos, políticos, económicos y sociales de la frontera. Todos los materiales fue-

LENSO-21

23/1/09

12:32

Página 94

94

Luis A. Ortiz López

MAPA 1 Universo de estudio: la frontera dominico-haitiana

ron grabados, transliterados y codificados. Primero, identificamos todas las formas verbales con sujetos pronominales presentes/nulos, luego codificamos los datos, según las variables lingüísticas y extralingüísticas, y finalmente se sometieron a los programas Goldvarb2001 y SPSS con el objetivo de establecer correlaciones entre los pronombres de sujeto y las variables bajo análisis.

Resultados y análisis Para el análisis, partimos de un fenómeno variable desde dos ángulos sintácticos: presencia vs. ausencia y anteposición vs. posposición del pronombre de sujeto en cláusulas con verbos finitos6. De las 10 entrevistas, obtuvimos un corpus de 811 formas verbales con posibilidad de un sujeto pronominal o nulo, distribuidas proporcionalmente en los dos grupos lingüísticos (monolingües y bilingües) (Tabla 3). Como se representa en la Tabla 3, 57% de las formas verbales apareció con un pronominal tácito, como en 25a, frente a 43% con sujetos nulos, como en 25b. En cuanto a la variable dominio lingüístico, los bilingües evidenciaron más pronom6

Fueron excluidas del corpus las formas verbales impersonales (hacer, haber, ser, parecer, etc.), las cláusulas relativas que no permitían sujeto y las frases hechas como ‘tú sabes’, ‘tú me entiendes’, ‘usted sabe’, etc. En cambio, se incluyeron las interrogativas cuyo orden en el Caribe hispánico muestra ser SV.

LENSO-21

23/1/09

12:32

Página 95

Pronombres de sujeto en el español (L2 vs. L1) del Caribe

95

TABLA 3 Sujetos pronominales y nulos Tipo de sujeto

Monolingües

Bilingües

Totales

Presente

203 (49%)

259 (66%)

462 (57%)

Nulo

215 (51%)

134 (34%)

349 (43%)

Totales

418 (51%)

393 (49%)

811 (100%)

Nota: P < .000

bres plenos (66%) que nulos, frente a los monolingües, cuya distribución presencia/ausencia fue casi equitativa (49% vs. 51%). (25) a. Yoi gasta (gasté) tres mil pesos de seguro. Yoi estaba enferma. Yoi asta (gasté) tres mil pesos de seguro... cuando élj llegando (él llegó), élj no dale (no me dio) ni un chelito a mí, ni un chelito (B). b. Yoi no sé para dónde Øi coja. Øi Tengo que buhcarme un lugar (M). TABLA 4 Posición de los sujetos pronominales Posición de los pronombres

Monolingües

Bilingües

Totales

Antepuestos

196 (97%)

255 (98%)

451 (98%)

Pospuestos

7 (3%)

4 (2%)

11 (2%)

203 (44%)

259 (56%)

462 (100%)

Total Nota: P < .000

Respecto a la propiedad de inversión sujeto-verbo, la Tabla 4 documenta que 98% de los sujetos pronominales se produjo en posición antepuesta. No se destacaron diferencias entre ambos grupos. Por lo tanto, estos datos parecen apoyar un orden fijo de SV(O) en el español del Caribe, tanto con pronombres (26), como con sujetos léxicos, tal como probamos en una investigación reciente de orden de palabras en el español del Caribe (Ortiz López 2007). (26) Sí, más o meno yoi canto. Yoi tengo un padrino de matrimonioj que ésej también canta porque élj eh el diácono de la iglesia y élj canta (B).

La anteposición de sujetos pronominales y léxicos ocurre independientemente del tipo de cláusula, simples o subordinadas, declarativas o interrogativas. Según los

LENSO-21

23/1/09

12:32

Página 96

96

Luis A. Ortiz López

modelos generativistas (Zagona 2002), estas estructuras, principalmente de sujetos nominales, sufren la regla de inversión sujeto-verbo. El sujeto, cuando está presente, no ocupa la posición de tópico o papel relevante, sino que se pospone al verbo o se omite por completo. Por lo tanto, lo esperado sería el sujeto nulo o la posposición del sujeto. Si los sujetos léxicos o pronominales se mantienen en la misma posición no importa el tipo de cláusula, podríamos postular, entonces, que tales sujetos poseen información sintáctica-pragmática relevante de foco, pero también de tópico, que se extiende a las relativas (27a-28b) e interrogativas (29a30a), similar a lo que ocurre en el criollo haitiano (27b, 28b, 29b, 30b). (27) a. Loh haitianosi venden productos a los dominicanos que ellosi traen de Haití. b. Ayisyen yoi vann dominiken yo prodwi ke yoi pote sot Ayiti. (28) a. Luisi compró muchos libros que éli tiene que leer. b. Luisi te achte anpil liv ke lii gen pou l li. (29) a. Él estaba preguntando a mí: “¿Cómo tú estás?”. b. Li te ap pozem kesyon: “Ki jan ou ye?” (30) a. ¿Dónde ella vive? b. Ki kote li rete?

Creemos oportuno detenernos brevemente en el concepto ‘cambio de referencia’, según lo concebimos en el momento de codificar el corpus de este trabajo. Aquí definimos referencia como la relación que mantienen los sujetos en el discurso. La referencia de un sujeto A puede o no coincidir con la referencia de un sujeto B. Si coincide, el sujeto léxico del primer verbo finito de una cláusula retiene los morfemas de persona y número del sujeto del próximo verbo, como en (31a): (31) a. FNi + Vp/n …….. (Y) proi + Vp/n .… Juani viajó a París y (pro)i visitó varios lugares históricos…

Por el contrario, cuando el sujeto A no coincide con el sujeto B, se produce un cambio de referencia. Es decir, cuando los rasgos de persona y número del verbo no coinciden con los rasgos del sujeto de la cláusula anterior, estamos ante una referencia distinta (31b): b. FNi + Vp/n ……. (Y) FNj Vp/n …................................+ proi Vp/n….. Juani viajó a París y sus padresj se quedaron en Madrid. Eli *(Ø) se aburrió muchísimo en su viaje.

Asimismo, el ‘contexto de foco contrastivo’ ocurre cuando la existencia de dos antecedentes exige un sujeto pleno {él/ella} para expresar contraste, como en (31c), ya que un sujeto nulo crearía ambigüedad debido a que los rasgos pro son indeterminados con respecto a persona, número y género, y podrían referirse tanto a Juan como a su madre, como en (31c):

LENSO-21

23/1/09

12:32

Página 97

Pronombres de sujeto en el español (L2 vs. L1) del Caribe

97

c. FNi (Y) FNj Vp/n …...................................... FNk Vp/n….. Aunque Juani y su madrej viajaron a dos destinos distintos, su padrek piensa Sflex3 proi/j Vp/n …. que {éli/ ellaj/él#k/*Ø}disfrutó más del viaje.

La Tabla 5 prueba que de los 462 sujetos tácitos, 39% correspondió a un pronombre con la misma referencia, mientras que 61% ocurrió ante un cambio de referencia. Ante una misma referencia, los hablantes se inclinan por la variante nula (25b), mientras que frente a un cambio de referencia o de foco contrastivo, estos mismos hablantes apoyan la presencia pronominal (65%), como en (32): (32) Si usted, si usted no hubiese tenido, quizás, otrah cosah que hacer, yoi lo hubiese llevado pa’ Azucena … (M). TABLA 5 Clase de referencia y presencia pronominal Referencia

Pronombres presentes

Total

Misma referencia

182 (39%)

383

Cambio de referencia

280 (61%)

428

462

811

Total Nota: P < .000

Los resultados expuestos hasta aquí muestran un comportamiento bastante similar a los de otros estudios previos. Sin embargo, de estos hallazgos se desprenden también casos que no responden al patrón pragmático del antecedente. En otras palabras, hay usos de pronombres plenos en contextos no contrastivos (48%) y de nulos en contextos contrastivos (39%). Por ende, debemos indagar, primero, si existen tendencias distintas entre monolingües y bilingües, es decir, si el factor dominio lingüístico de los hablantes tiene peso en estos datos y, segundo, si hay diferencias en cuanto a la clase pronominal. Sobre este aspecto, por falta de espacio y de suficiencia de datos en algunos pronombres, no entraremos en un análisis detallado. La Tabla 6a proyecta un comportamiento casi opuesto entre los dos grupos. Los bilingües fijan más el pronombre pleno ante una misma referencia que los monolingües (57% frente a 36%), como en (33). Los monolingües dominicanos prefieren el sujeto nulo en 64% de los contextos no contrastivos (25b), mientras que los bilingües lo hacen sólo en 43% de los casos. Hay una tendencia clara hacia la presencia pronominal entre los bilingües en los contextos no contrastivos.

LENSO-21

23/1/09

12:32

Página 98

98

Luis A. Ortiz López

TABLA 6a La misma referencia y presencia/ausencia pronominal, según el dominio lingüístico Tipo de pronombre

Monolingües

Bilingües

Totales

61 (36%)

121 (57%)

182

Nulo

109 (64%)

92 (43%)

201

Total

170 (64%)

213 (64%)

383

Presente

Nota: P < .000

(33)

Ni un chele (dinero), éli dale (me dio) a mí. Éli viene (vino) de Puerto Rico sí… y éli no da (me dio) ni un chelito (B).

Sin embargo, cuando se trata de cambio de referencia, como documentamos en la Tabla 6b, los pronombres plenos se destacan en ambos grupos, como en (34). Los bilingües son más contundentes (77%) en colocar el pronombre de sujeto que los monolingües (57%), ante un cambio de referencia. (34) Yoi fui allá a la casa de él. Élj estaba preguntando a mí: “¿Cómo túh estás?”. TABLA 6b Cambio de referencia y presencia/ausencia pronominal, según el dominio lingüístico Tipo de pronombres

Monolingües

Bilingües

Totales

Presente

142 (57%)

138 (77%)

280 (65%)

Nulo

106 (43%)

42 (23%)

148 (35%)

Total

248 (64%)

180 (64%)

428 (64%)

Podemos recapitular que: 1) los bilingües prefieren los pronombres plenos, independientemente del tipo de referencia o contraste, más que los monolingües; 2) los monolingües dominicanos no parecen distanciarse marcadamente de otras variedades del español, cuando se examina el parámetro a la luz del papel del antecedente, y 3) monolingües y bilingües comparten el mismo patrón de no inversión sujeto-verbo. Para profundizar más en estos hallazgos, habría que trascender el análisis global de los pronombres y comenzar a examinarlos como categorías más individuales y en relación con aquellos factores sintácticos-discursivos que podrían determinar su presencia o ausencia. Asimismo, habría que investigar si tal comportamiento es o no compartido por monolingües y bilin-

LENSO-21

23/1/09

12:32

Página 99

Pronombres de sujeto en el español (L2 vs. L1) del Caribe

99

TABLA 7 Clase de pronombres presentes y nulos Clase de pronombres

Presentes

Nulos

Total

Yo

178 (72%)

70 (28%)

248 (100%)

Tú

40 (73%)

15 (27%)

55 (100%)

El/ella/os

121 (44%)

152 (57%)

273 (100%)

Usted-es

17 (57%)

13 (43%)

30 (100%)

Nosotros

10 (33%)

20 (67%)

30 (100%)

Tú –específico

24 (86%)

4 (14%)

28 (100%)

Ello/a/s –específico

21 (26%)

60 (74%)

81 (100%)

Uno –específico

22 (81%)

5 (19%)

27 (100%)

Este/esta/esto/s

5 (83%)

1 (17%)

6 (100%)

24 (73%)

9 (27%)

33 (100%)

462 (57%)

349 (43%)

811 (100%)

Ese/esa/eso/s Total

gües, y en estos últimos, documentar qué nivel es más vulnerable: el nivel de representaciones lingüísticas o el de procesamiento lingüístico (Sorace 2005, Clahsen & Felser 2006, Sorace & Filiaci 2006, Montrul & Rodríguez 2006)7. Tomando en cuenta lo anterior, optamos por mirar los datos desde la perspectiva de los pronombres a nivel individual. La Tabla 7 sugiere que los pronombres no se comportan cuantitativamente de la misma forma en el discurso 8. Entre los hallazgos, se destaca por sus pesos, según Goldvarb, que los pronombres más patentes en el discurso, en relación con los nulos, son las formas de segunda persona ‘tú +/– específico’ (.81/.66), el ‘uno –específico’ (.76), los demostrativos ‘este/esta/esa’ (.79) y la primera

7 8

Ya comienzan a aflorar resultados en esta dirección (Hurtado 2005, Morales Reyes & Ortiz López 2007). Reconocemos que esta primera mirada es un tanto incompleta, ya que en algunos casos hace falta un corpus mayor y atender más a las particularidades semánticas y pragmáticas que presenta cada pronombre en sí mismo. Por lo tanto, se hace necesario realizar estudios que analicen a fondo esas categorías a nivel más individual.

LENSO-21

23/1/09

100

12:32

Página 100

Luis A. Ortiz López

singular ‘yo’ (.65), datos un poco más radicales que los de Puerto Rico (Morales 1997, Cameron 1997) y los de Colombia (Hurtado 2005). En cambio, existe una tendencia clara a omitir los sujetos de primera persona plural ‘nosotros’ y de tercera persona singular o plural, ‘él/ella/ellos/as’ (–/+ específico). Los pronombres con referencias –específicos exigen mayor información léxica, o sea un sujeto pleno, ya que los referentes de dichos pronombres, por ejemplo ‘tú, uno, usted’, son menos asequibles para el oyente y viceversa (Givon 1983). No obstante, estos resultados necesitan mayor precisión. Por tanto, debemos correlacionarlos con la función discursiva. Habría que observar si la clase de pronombre y su sintaxis está condicionada por ese valor pragmático. Con los datos que expusimos en la Tabla 4, ya podemos dar por sentado que la posición del sujeto pronominal en esta muestra no está condicionada ni por el dominio lingüístico ni por la clase pronominal. En ambos grupos, e independientemente de la clase pronominal y de la función del referente, existe un orden fijo de SV. En un trabajo reciente sobre sujetos léxicos en el Caribe, también probamos que el orden SV en el español caribeño trasciende los valores semánticos del verbo y la función pragmática (Ortiz López 2007). Ante estas conclusiones, debemos focalizar el debate en la presencia/ausencia, según la clase pronominal y el valor referencial. Los datos de la Tabla 8a corroboran que la función pragmática de cambio de referencia impulsa el pronombre pleno, por un lado, y detiene el nulo, por otro lado, independientemente de la clase de pronombre, aunque en algunos pronombres tal comportamiento es más evidente. Este es el caso de la primera persona plural ‘nosotros’, el ‘uno –específico’ y los demostrativos, seguidos por las segundas personas: ‘usted’ y ‘ustedes específicos’, ‘tú –específico’ para el cambio de referencia. La única excepción la presenta la tercera persona plural ‘ellos/ellas –específica’, cuya frecuencia sobresale frente a todas las demás formas pronominales, aun frente a la primera singular ‘yo’, considerada, por su alta frecuencia, como el marcador del egocentrismo discursivo. Sin embargo, hay que reconocer, como lo evidencia la Tabla 8b, que la tendencia en estas formas es hacia la elisión en contextos de igualdad de referencia. En un trabajo previo (Morales Reyes & Ortiz López 2007), probamos que la presencia o ausencia del pronombre ‘ellos/ellas’ en el discurso dependía de las propiedades semánticas (+/– definido) del antecedente. Los presentes exigían un antecedente –definido (específico) y viceversa–; empero, esta distinción desaparecía en los hablantes de atrición. Sobre este particular habría que indagar más a fondo, ya que se ha encontrado que aun en bilingües avanzados, hay ciertos déficits residuales como resultado del procesamiento de factores discursivos (Sorace 2005, Clahsen & Felser 2006, Sorace & Filiaci 2006). Uno de esos factores está relacionado con la ‘condición de tópico’ como

LENSO-21

23/1/09

12:32

Página 101

Pronombres de sujeto en el español (L2 vs. L1) del Caribe

101

TABLA 8a Presencia pronominal, según la clase de pronombres y la función referencial Clase de pronombres

Igual referencia

Cambio de referencia

Total

Yo

78 (44%)

100 (56%)

178

Tú

17 (43%)

23 (57%)

40

El/ella/os

50 (41%)

71 (59%)

121

Usted-es

6 (35%)

11 (65%)

17

Nosotros

0 (0%)

10 (100%)

10

9 (38%)

15 (62%)

24

16 (76%)

5 (24%)

21

Uno –específico

0 (0%)

22 (100%)

22

Este/esta/esto/s

0 (0%)

5 (100%)

5

5 (21%)

19 (79%)

24

181 (39%)

281 (61%)

462

Tú –específico Ellos/as –específico

Ese/esa/eso/s Total

en (35), que permite o no que un pronombre pleno seleccione a su antecedente en la posición de sujeto9. (35) [Sflex] La haitianai le habla en patuá a la dominicanaj mientras [Sflex2 {ella/#i/j/proi/#j} mira los alimentos]

En lo que concierne a la ausencia pronominal (Tabla 8b), en términos generales, es más frecuente en contextos de igualdad referencial, siendo los pronombres con referentes más definidos (‘yo, tú, él, ella’) los más vulnerables a la omisión frente a aquéllos, cuyos referentes son –específicos (aunque éstos muestran frecuencias mucho más bajas que sus contrapartes presentes, a excepción del ‘ellos/ ellas–específico’, como ya mencionamos). En cambio, en contextos contrastivos, la omisión pronominal es menor principalmente con pronombres +definidos desde la perspectiva del referente (‘yo, tú, él, ella’), y mayor con formas –definidas, como las formas pronominales: ‘nosotros’, ‘usted/ustedes, tú –específico’ y

9

Sobre este particular desarrollamos un trabajo con el propósito de documentar el mantenimiento o la pérdida de esa u otras funciones discursivas en los pronombres del español caribeño. Nuestra predicción es que en el español del Caribe se viola la condición de tópico.

LENSO-21

23/1/09

12:32

Página 102

102

Luis A. Ortiz López

TABLA 8b Ausencia pronominal, según la clase de pronombres y la función referencial Clase de pronombres

Igual referencia

Cambio de referencia

Total

Yo

46 (66%)

24 (34%)*

70 (100%)

Tú

9 (60%)

6 (40%)*

15 (100%)

El/ella/os

91 (60%)

61 (40%)*

152 (100%)

Usted-es

5 (38%)

8 (62%)*

13 (100%)

Nosotros

4 (20%)

16 (80%)*

20 (100%)

Tú –específico

0 (0%)

4 (100%)*

4 (100%)

39 (65%)

21 (35%)*

60 (100%)

Uno –específico

3 (60%)

2 (40%)*

5 (100%)

Este/esta/s

0 (0%)

1 (100%)*

1 (100%)

Ese, esa/eso/s

3 (33%)

6 (67%)*

9 (100%)

200 (57%)

149 (43%)*

349 (100%)

Ello/a/s –específico

Total * Sólo evidenció un caso.

los demostrativos ‘ese/esa/eso/s’. Dicho esto, podemos concluir que tanto los rasgos que enmarcan los pronombres de sujeto en sí mismos, como los valores pragmáticos que desempeñan en el discurso, son factores que inciden directa o indirectamente en la aparición o elisión de éstos. Evaluamos ahora si el contacto de lenguas, especialmente, el distanciamiento sintáctico y discursivo de las lenguas, provoca algún efecto en torno al manejo de los pronombres plenos o nulos. Como mencionamos previamente, hay diferencias en los mecanismos que regulan la distribución de los pronombres plenos y nulos entre ambas lenguas: el español posee un sistema de sujeto nulo, pero representado internamente mediante gramáticas variadas (pro drop/non pro drop) (Toribio 1994, 2000) y el criollo haitiano, es un sistema non pro drop. Los resultados globales de la Tabla 9 destacan diferencias considerables entre los dos grupos lingüísticos. Los bilingües son consistentemente non pro drop. Los monolingües, en cambio, muestran tendencias más complejas, en principio, determinadas por la clase pronominal y los valores pragmáticos que sobre ellos operan. Los monolingües poseen un sistema de representación y procesamiento

LENSO-21

23/1/09

12:32

Página 103

Pronombres de sujeto en el español (L2 vs. L1) del Caribe

103

TABLA 9 Clase de pronombres presentes y nulos Presentes

Nulos

Clase de pronombres

Total Monolingües

Bilingües

Monolingües

Bilingües

Yo

68%

74%

32%

26%

248

Tú

38%

87%

62%

13%

55

Él/ella/os

42%

51%

58%

49%

273

Usted-es

50%

83%

50%

17%

30

Nosotros

31%

21%

69%

79%

30

100%*

85%

0%

15%

28

Ello/a/s –específico

22%

28%

78%

72%

81

Uno –específico

50%

86%

50%

14%

27

Este/esta/esto/s

100%

0%

0%

100%*

6

61%

100%

39%

0%

33

Tú –específico

Ese/esa/eso/s Total

811

* Sólo un caso.

complicado, lo que impide clasificar estos hablantes como pro drop o non pro drop. Su gramática responde a una gama muy compleja y dinámica de valores sintácticos, semánticos y discursivos. Sin embargo, podemos afirmar que ambos grupos comparten el pro drop en la primera persona plural (‘nosotros’) y en la tercera plural –específica (‘ello/as’). Estos datos refuerzan el hecho de que la semántica del antecedente juega un papel importante en los usos pronominales. No obstante, debemos observar estos datos bajo la luz de la funcionalidad del pronombre. Los hallazgos de las Tablas 10a y 10b apoyan, primero, que la presencia pronominal en los bilingües ocurre independientemente del valor referencial, es decir: tanto en contextos de igualdad referencial como de contraste son fundamentalmente non pro drop (36) y, segundo, que los monolingües siguen la tendencia hacia el pro drop cuando se trata de la misma referencia, y de non pro drop cuando hay cambio de referencia. Los pronombres plenos no presentan diferencias marcadas entre sí, a excepción de la tercera plural –específica. Este pronombre

LENSO-21

23/1/09

12:32

Página 104

104

Luis A. Ortiz López

TABLA 10a Presencia pronominal, según la función referencial y el grupo lingüístico10 Igual referencia

Cambio de referencia

Clase de pronombres

Total Monolingües

Bilingües

Monolingües

Bilingües

Yo

27%

52%

73%

48%

178

Tú

0%

50%

100%

50%

40

Él/ella/os

38%

52%

62%

48%

121

Usted-es

25%

60%

75%

40%

17

Nosotros

0%

0%

100%

100%

10

Tú –específico

0%

39%

0%

61%

24

83%

73%

17%

27%

21

Uno –específico

0%

0%

100%

100%

22

Este/esta/esto

0%

0%

100%

0%

5

Ese/esa/eso/s

14%

30%

86%

70%

24

Ellos/as –específico

Total

462

* Sólo produjeron un caso.

parece igualar a priori ambos grupos. Como hemos señalado previamente, las funciones de las formas de tercera persona singular y plural +/–específicas están regidas fuertemente por valores discursivos (condición de tópico y foco contrastivo), es decir, por la interfaz sintaxis-discurso. Sobre este aspecto deberemos indagar en futuros trabajos. (36) No, porque mi hijoi estudia. Éli no puede (trabajar). Yoj no lo puedo poner (a) una cosa tan fuerte (B).

Finalmente, los monolingües no muestran diferencias marcadas en el manejo de pronombres nulos, según el contexto referencial (Tabla 10b), mientras que los bilingües siguen cierto patrón: mayor ausencia de nulos ante contextos de ausencia contrastiva y menor elisión ante focos de contraste, con algunas excepciones provocadas por la clase de pronombres.

10

Debido a las muchas variables que se recogen en esta y en la próxima tabla, optamos por incluir sólo los porcentajes.

LENSO-21

23/1/09

12:32

Página 105

Pronombres de sujeto en el español (L2 vs. L1) del Caribe

105

TABLA 10b Ausencia pronominal, según la función referencial y el grupo lingüístico Igual referencia

Cambio de referencia

Clase de pronombres

Total Monolingües

Bilingües

Monolingües

Bilingües

Yo

52%

76%*

48%

24%

70

Tú

50%

80%*

50%

20%

15

Él/ella/os

56%

74%*

44%

26%

152

Usted-es

42%

0%*

58%

Nosotros

27%

11%*

73%

89%

20

–

25%*

–

75%

4

48%

74%*

52%

26%

60

Uno –específico

0%

100%*

100%

0%

5

Este/esta/esto/s

0%

100%*

0%

0%

1

33%

0%*

67%

0%

9

109

92

106

42

349 (100%)

Tú –específico Ellos/as –específico

Ese/esa/eso/s Total

%*

13

* Sólo un caso.

Discusión y conclusiones La distribución de los pronombres plenos y nulos está condicionada por el cambio de referencia. No obstante, además del antecedente, hay ciertas restricciones impuestas por el tipo de pronominal, sus valores semánticos y discursivos y el distanciamiento de la lengua en los bilingües. El cambio de referencia provoca un sujeto pleno, en ambos grupos lingüísticos, más evidente cuando estamos frente a la primera persona plural ‘nosotros’, el ‘uno –específico’ y los demostrativos, seguidos por las segundas personas: ‘usted y ustedes específicos’, ‘tú –específico’. La única excepción parece ser la tercera persona plural ‘ellos/ellas –específica’. La misma referencia, por su parte, motiva el sujeto nulo, pero con diferencias entre monolingües y bilingües (Tabla 11a). Los bilingües extienden los pronombres plenos mucho más que los nativos a aquellos contextos de ausencia de contraste; es decir, éstos equiparan el patrón sintáctico de L2 al de la lengua materna, el criollo haitiano, a expensas de las funciones discursivas del pronombre en la lengua meta.

LENSO-21

23/1/09

12:32

Página 106

106

Luis A. Ortiz López

TABLA 11A Resumen de la presencia pronominal, según la referencia y el grupo lingüístico Referencia

Monolingües

Bilingües

Cambio de referencia

+ pronombre pleno

+ pronombre pleno

Igual referencia

– pronombre pleno

+/– pronombre pleno

Esta tendencia de los bilingües hacia los pronombres plenos en contextos no contrastivos (Tabla 11b), evidencia ciertas deficiencias en las propiedades discursivas de los sujetos, principalmente en lo que respecta al contraste. Este comportamiento podría explicarse mediante un ‘déficit de procesamiento’ en cuanto a los valores pragmáticos de los pronombres (Clahsen & Felser 2006, Sorace & Filiaci 2006). En otras palabras, estos hablantes bilingües muestran cierto déficit residual en el procesamiento de los pronombres plenos y nulos en la interfaz sintaxis-discurso (tópico, foco de contraste), lo que los hace ser más extensivos en la aplicación de la regla de non pro drop. Aquí el input podría estar desempeñando un papel significativo, pues los datos de los monolingües documentan un panorama complejo del sistema pronominal de los nativos dominicanos y de los caribeños en general. TABLA 11B Resumen de la ausencia pronominal, según la referencia y el grupo lingüístico Referencia

Monolingües

Bilingües

Cambio de referencia

+/– pronombre pleno

– pronombre pleno

Igual referencia

+/– pronombre pleno

+/– pronombre pleno

En estos hablantes existen mecanismos funcionales que regulan el movimiento del sujeto a la posición de especificador. Parece imponerse un proceso de adquisición universal ante la ausencia de marcas flexivas en el ST (Figura 2), ya sea por interferencia de L1, el criollo haitiano, una lengua non pro drop, o debido a los déficits de procesamiento (Sorace 2000, 2005, Clahsen & Felser 2006, Montrul & Rodríguez 2006, Sorace & Filiaci 2006)11, relacionados el aprendizaje de una interfaz sintaxis-discurso compleja y dinámica del español caribeño, aún en bilingües, avanzados o fosilizados, como es la muestra de los haitianos. No descartamos la

11

Para el italiano, véase Sorace (2003, 2005), Serratice et al. (2004).

LENSO-21

23/1/09

12:32

Página 107

Pronombres de sujeto en el español (L2 vs. L1) del Caribe

107

influencia del input, pues los datos de los monolingües documentan un panorama complejo del sistema pronominal. De esta manera, el distanciamiento sintácticopragmático de las lenguas en cuestión no puede condicionar por sí solo el manejo de los pronombres de sujetos en los bilingües, como proponíamos en nuestras hipótesis. Los hablantes bilingües necesitan aprender toda una gama de reglas que inciden sobre los pronombres de sujeto, aquéllas que son compartidas por todos los pronombres, y aquéllas que son particulares a cada pronombre. Este proceso no se ha completado, y podría estar lejos de completarse, ya que estamos ante hablantes adultos con un español en etapa avanzada y, a su vez, fosilizada. Los monolingües dominicanos, en cambio, al igual que otras poblaciones caribeñas, muestran tendencias muy complejas, como ya se ha documentado (Morales 1986, 1999, Cameron 1992, 1997, Flores-Ferrán 2002, Cameron & Flores-Ferrán 2003, Hurtado 2005, Morales Reyes & Ortiz López 2007, Otheguy & Zentella 2007, entre otros), en principio, determinadas por la clase pronominal y los valores semánticos y pragmáticos que operan sobre ellos. Por el momento, podemos concluir que su tendencia es hacia un sistema pro drop, en aquellos contextos sintácticos transparentes y/o auxiliados por recursos discursivos, y non pro drop ante necesidades semánticas y pragmáticas. Documentar parte de ese sistema, responsable de la presencia y la ausencia pronominal de sujetos, ha sido una de las encomiendas que hemos tratado de abordar aquí. En fin, en este trabajo indagamos en dos de las propiedades del parámetro sujeto nulo: la presencia/ausencia de los pronombres y la inversión sujeto-verbo en una muestra de hablantes bilingües haitianos (L2) y monolingües dominicanos (L1). Documentamos el comportamiento cuantitativo y cualitativo que tiene el tipo de referencia (la misma referencia o el cambio de referencia), la clase de pronombre y el dominio lingüístico (L1/L2) en la distribución de los pronombres. De esos hallazgos, concluimos que: 1) los bilingües prefieren los pronombres plenos, independientemente del tipo de referencia, y de la clase pronominal, que los hablantes nativos, hecho que apoya la primera hipótesis de este estudio. Los monolingües exhiben este comportamiento, pero en menor frecuencia. Por lo tanto, la distancia sintáctica-pragmática entre las lenguas (el criollo haitiano, una lengua non pro drop y con un orden fijo SV(O) frente al español dominicano (lengua pro drop/SV[O] flexible) condiciona el manejo de los pronombres de sujeto en la lengua meta (L2) de los bilingües, como anticipamos en la tercera hipótesis; 2) tanto monolingües como bilingües comparten el mismo patrón de no inversión sujeto-verbo, es decir, los sujetos pronominales (y léxicos) aparecen antepuestos al verbo en las cláusulas principales, en las subordinadas y en las relativas, independientemente del grado de dominio de español que posean los hablantes, como propusimos en la segunda hipótesis, y 3) los monolingües domi-

LENSO-21

23/1/09

12:32

108

Página 108

Luis A. Ortiz López

nicanos no se distancian marcadamente de otras variedades del español caribeño (Morales 1986, Cameron 1997, Otheguy & Zentella 2007), cuando se examina el parámetro de sujeto nulo, en lo que respecta a la función contrastiva y a la clase pronominal. En términos generales, mantienen la tendencia hacia las formas nulas en contextos de igualdad referencial, siendo los pronombres con referentes más fuertes (‘yo, tú, él, ella’) los más vulnerables a la omisión frente a aquéllos, cuyos referentes son –específicos, como son los pronombres ‘tú, uno’, (aunque éstos presencian frecuencias mucho más bajas que sus contrapartes presentes, a excepción del ‘ellos/ellas –específico’, como ya mencionamos). En cambio, en contextos contrastivos, la omisión pronominal es menor, sobre todo, con pronombres +definidos desde la perspectiva del referente (‘yo, tú, él, ella, éste, ésta’), y mayor con formas que son –definidas como podrían ser las formas pronominales ‘nosotros’, ‘usted/ustedes’, ‘tú –específico’ y los demostrativos ‘ese/esa/eso/s’. Como vemos, queda mucho que investigar sobre ese sistema dinámico de interfaces sintácticas, semánticas y discursivas que incide sobre los pronombres del español de nativos y bilingües. En estudios futuros, habremos de analizar aspectos específicos de estas interfaces.

Bibliografía ALARCOS LLORACH, Emilio (1994): Gramática de la lengua española. Madrid: Espasa Calpe. BUTT, John/BENJAMÍN, Carmen (2000): A new reference grammar of modern Spanish. Lincolnwood: McGraw-Hill. CAMERON, Richard (1992): Pronominal and null subject variation in Spanish. Tesis doctoral. Filadelfia: University of Pennsylvania. — (1997): “Accesibility theory in a variable syntax of Spanish”, en: Journal of Pragmatics 28, 29-67. CAMERON, Richard/FLORES-FERRÁN, Nydia (2004): “Perseveration of subject expression across regional dialects of Spanish”, en: Spanish in Context 1, 41-65. CARDINALETTI, Anna/STARKE, Michael (1999): “The typology of structure deficiency. A case study of the three classes of pronouns”, en: van Riemsdijk, Henk (ed.): Clitics in the languages of Europe, 8 of language typology. Berlin: Mouton de Gruyter. CHOMSKY, Noam (1981): Lectures on government and binding. Dordrecht: Foris. — (1986): Knowledge of language. New York: Praeger. — (1995): The minimalist program. Massachusetts: MIT Press. CLAHSEN, Harald/FELSER, Claudia (2006): “Grammatical processing in language learners”, en: Applied Psycholinguistics 27, 3-42. EUGUREN, Luis. J. (1999): “Pronombres y adverbios demostrativos y las relaciones deíticas”, en: Bosque, Ignacio/Demonte, Violeta (eds.): Gramática descriptiva de la lengua española (vol. 1). Madrid: Espasa Calpe, 929-969.

LENSO-21

23/1/09

12:32

Página 109

Pronombres de sujeto en el español (L2 vs. L1) del Caribe

109

FERNÁNDEZ SORIANO, Olga (1989): Rección y ligamiento en español: Aspectos del parámetro de sujeto nulo. Tesis doctoral. Madrid: UAM. FLORES-FERRÁN, Nydia (2002): Subject personal pronouns in Spanish narratives of Puerto Ricans in New York City: A sociolinguistic perspective. München: Lincom-Europa. GILI GAYA, Samuel (1976): Curso superior de sintaxis española. México, D.F.: Minerva. GIVÓN, Talmy (1983): “Topic continuity in discourse: The functional domain of switch reference”, en: Haiman, John/Munro, Pamela (eds.): Switch reference and universal grammar. Amsterdam: John Benjamins, 51-81. HAVERKATE, Henk (1976): “Estructura y funcional del sujeto en el español moderno”, en: Actas du XIII Congres Internacional de Linguistique et Philologie Romanes I. Quebec: Université Laval, 1191-1997. HUANG, C-T James (1982): Logical relations in Chinese and the theory of grammar. Tesis doctoral. Cambridge: MIT. HURTADO, Luz (2005): “El uso de tú, usted y uno en el español de los colombianos y colombo-americanos”, en: Ortiz López, Luis/Lacorte, Manel (eds.): Contactos y contextos lingüísticos: El español en los Estados Unidos y en contacto con otras lenguas. Madrid/Frankfurt: Iberoamericana/Vervuert, 185-200. HYAMS, Nina (1982): Language acquisition and the theory of parameters. Dordrecht: Reidel. — (2001): “Now you hear it, now you don’t: The nature of optionality in child grammars”, en: Proceedings of the 25th Annual Boston University Conference on Language Development. Somerville: Cascadilla Press, 34-58. JAEGGLI, Osvaldo (1982): Topics in Romance syntax. Dordrecht: Foris. JAEGGLI, Osvaldo/SAFIR, Kenneth (1989): The null subject parameter. Dordrecht: Kluwer. LEFEBVRE, Clare (1998): Creole genesis and the acquisition of grammar: The case of Haitian Creole. Cambridge: Cambridge University Press. MATOS, Patricia/SCHWENTER, Scott (2003): “Contrast and the (non-) occurrence of subject pronouns”, en: Eddington, D. (ed.): Selected proceedings of the Hispanic Linguistics Symposium. Somerville: Cascadilla, 116-127. MONTALBETTI, Mario (1984): After binding. On the interpretation of pronouns. Tesis doctoral. Cambridge: MIT. MONTRUL, Silvina (2004): “Subject and object expression in Spanish heritage speakers: A case of morphosyntactic convergence”, en: Bilingualism: Language and Cognition 7, 125-142. MONTRUL, Silvina/RODRÍGUEZ-LOURO, Celeste (2006): “Beyond the syntax of the Null Subject Parameter: A look at the discourse-pragmatic distribution of null and overt subjects by L2 learners of Spanish”, en: Torrens, Vincent/Escobar, Linda (eds.): The acquisition of syntax in Romance languages. Amsterdam: John Benjamins. MORALES, Amparo (1986): Gramáticas en contacto: Análisis sintácticos sobre el español de Puerto Rico. Puerto Rico/Madrid: Editorial Playor. — (1997): “La hipótesis funcional y la aparición de sujeto no nominal: El español de Puerto Rico”, en: Hispania 80(1), 153-1065. — (1999): Anteposición del sujeto en el español del Caribe”, en: Ortiz López, Luis A. (ed.): El Caribe hispánico: Perspectivas lingüística actuales. Madrid/Frankfurt: Iberoamericana/Vervuert, 77-98.

LENSO-21

23/1/09

110

12:32

Página 110

Luis A. Ortiz López

MORALES REYES, Alexandra/ORTIZ LÓPEZ, Luis (2007): “Pronombres de sujeto en Santa Cruz (y Puerto Rico): ¿Procesos semánticos/pragmáticos o influencia de L2?”. Trabajo presentado en la 21th Conference on Spanish in the U.S., Arlington, Virginia. ORTIZ LÓPEZ, Luis (2007): “Sujetos léxicos en L1 (Caribe) y L2: La interfaz léxico-sintaxis y sintaxis-pragmática”. Trabajo presentado en The Hispanic Linguistic Symposium. University of Texas at San Antonio, 1-4 de noviembre de 2007. OTHEGUY, Ricardo/ZENTELLA, Ana C. (2007): “Apuntes preliminares sobre el contacto lingüístico y dialectal en el uso pronominal del español en Nueva York”, en: Potowski, Kim/Cameron, Richard (eds.): Spanish in contact: Policy, social and linguistic inquiries. Amsterdam: John Benjamins, 275-296. RIZZI, Luigi (1982): Issues in Italian syntax. Dordrecht: Foris. — (1997): “The fine structure of the left periphery”, en: Haegeman, Liliane (ed.): Elements of grammar: Handbook in generative syntax. Dordrecht: Klumer, 281-337. SERRATICE, Ludovica et al. (2004): “Crosslinguistic influence at the syntax-pragmatic interface: Subject and objects in English-Italian bilingual and monolingual acquisition”, en: Bilingualism: Language and Cognition 7: 183-205. SILVA-CORVALÁN, Carmen (1982): “Subject expression and placement in Mexican-American Spanish”, en: Amastae, John/Elías-Olivares, Lucía (eds.): Spanish in the United States: Sociolinguistic aspects. New York: Cambridge University Press, 93-120. — (1996): Language contact and change. Spanish in Los Angeles. Oxford: Clarendon Press. — (2003): “Otra mirada a la expresión de sujeto como variable sintáctica”, en: Moreno, Francisco et al. (eds.): Lengua, variación y contexto. Madrid: Arco Libros, 849-860. SORACE, Antonella (2000): “Differential effects of attrition in the L1 syntax of near-native L2 speakers”, en: Howell, C. et al. (eds.): Proceedings of the 24th Annual Boston University Conference on Language Development. Somerville: Cascadilla Press, 719-725. — (2003): “Near-nativeness”, en Long, Michael/Doughty, Catherine (eds.): Handbook of second language acquisition. Oxford: Blackwell. — (2005): “Why are interfaces unstable in language development?”. Trabajo presentado en el 8th Hispanic Linguistics Symposium, Penn State University. SORACE, Antonella/FILIACI, Francesca (2006): “Anaphora resolution in near native speakers of Italian”, en: Second Language Research 22, 339-368. TORIBIO, Jacqueline (1994): “Dialectal variation in the licensing of null referential and expletive subjects”, en: Parodi, C. et al. (eds.): Aspects of Romance Linguistics: Selected papers from the Linguistics Symposium on Romance Languages XXIV. Washington: Georgetown University Press. — (2000): “Setting parametric limits on dialectal variation in Spanish”, en: Lingua 10, 315-341. TSIMPLI, Ianthi/SORACE, Antonella/HEYCOCK, Caroline/FILIACI, Francesca (2004): “First language attrition and syntactic subjects: A study of Greek and Italian near-native speakers of English”, en: International Journal of Blingualism, 8(3), 257–277. ZAGONA, Karen (2002): The syntax of Spanish. Cambridge: Cambridge University Press.

LENSO-21

23/1/09

12:32

Página 111

SHIFTING SENSITIVITY TO CONTINUITY OF REFERENCE: SUBJECT PRONOUN USE IN SPANISH IN NEW YORK CITY NAOMI LAPIDUS SHIN The University of Montana RICARDO OTHEGUY Graduate Center, City University of New York

Previous studies have shown that some of the probabilistic discourse-pragmatic predictors of overt and null subject pronouns are subject to erosion in Spanish in the U.S. (Silva-Corvalán 1994, Flores-Ferrán 2004: 69, Montrul 2004, Toribio 2004, Lapidus & Otheguy 2005). In this study we investigate the ‘Continuity of reference variable’. This variable refers to whether a verb maintains the same subject as the previous verb or changes it. Overt subject pronouns are used more frequently in ‘switch-reference’ contexts than in ‘same-reference contexts’. We analyzed over 27,000 instances of verb use among first-generation newcomers and second-generation Latinos in New York City (NYC). Results showed that second-generation Latinos are less sensitive to the Continuity variable than newcomers. But this change is conditioned in part by functional considerations, in this case by the communicative utility of pronouns in different contexts. Bilinguals born or raised in NYC are less sensitive to Continuity of reference in first- and second-person singular verbs, but in third-person singular verbs they are like monolingual newcomers. Thus the change occurs in the part of the grammar where using an overt pronoun is less crucial. Establishing clear referents is easier for first- and second-person singular pronouns than for third-person due to the possibility of competing referents for the latter, but not the former. These findings support a functional explanation of linguistic change in contact situations: areas of the grammar that are more useful for communication tend to resist change under contact, while less crucial areas are more permeable to change.

LENSO-21

23/1/09

12:32

112

Página 112

Naomi Lapidus Shin/Ricardo Otheguy

Introduction The precise form of functional accounts of variation and change in language is still a work in progress. In a now classic paper, Labov (1987) showed that while some findings in the variationist literature were susceptible to functional explanation, others were not. Functional explanations are broadly understood as those that appeal to factors outside of the structure of language per se, such as effective communication, memory limitations, ease of effort, and vocal tract configuration. The value of this type of explanation has long been recognized by scholars whose main interest lies in functionalism (Lindblom 1986, Lindblom & Maddieson 1988, Cowan 1995, Nettle 1995, 1999) as well as by those who, in their own research, prefer explanations focused on formal and genetic factors (Chomsky 1975: 56, Newmeyer 1998: 126). Of special relevance to the present work is the fact that functional reasoning can lead to discoveries of important new forms of synchronic variation and their gradual translation into functionally-mediated forms of diachronic change (Otheguy & Lapidus 2003). In this paper, we take a functionalist approach to one of the most widely researched features of Spanish grammar and usage, namely the variable use of subject personal pronouns, and one of the most consistent findings regarding this feature, namely the tendency for overt pronouns to occur with greater frequency in switch-reference environments than in same-reference environments. We study this variable feature in the fluent Spanish of second-generation bilingual speakers in New York City (NYC), using, as point of reference, the Spanish of newcomers recently arrived in the City.1 We show that the pattern of pronoun selection for same- and switch-reference contexts is changing among these second-generation speakers, but doing so in different ways in the different persons of the verb, in a fashion heretofore unknown, but predictable by the assumption that the change is mediated by functional considerations. More generally, and in a manner similar to that shown by Otheguy & Lapidus (2003) for the grammar of loanwords, we show here that usage patterns that are more highly motivated by communicative effectiveness resist simplification and erosion in situations of language contact more than those that have less communicative value.

1

We take our data from the Otheguy–Zentella corpus, which consists of 142 sociolinguistic interviews conducted in Spanish in NYC. The corpus was developed by Ricardo Otheguy and Ana Celia Zentella at the Graduate Center of the City University of New York with support from University and Professional Staff Congress grants, as well as from a grant from the National Science Foundation (0004133). A more detailed description of the corpus is available in Otheguy & Zentella 2007 and in Otheguy, Zentella & Livert 2007.

LENSO-21

23/1/09

12:32

Página 113

Shifting sensitivity to Continuity of reference

113

A preliminary illustration from another U.S. Spanish setting A transparent illustration of this principle is available from the analysis of another feature in a different Spanish bilingual setting, namely the study of the Spanish copulas ‘ser’ and ‘estar’ in the speech of bilinguals in Los Angeles. Silva-Corvalán (1986, 1994) found that in Los Angeles ‘estar’ is used in a variety of contexts where ‘ser’ is usually preferred in monolingual varieties.2 An example of such innovative usage is presented in (1). In this context ‘ser’ would typically be used in Latin America, as in (2): (1) Los Angeles: Si el hombre está soltero, puede hacer lo que quiera. ‘If the man is single, he can do what he wants.’ (2) Latin America: Si el hombre es soltero, puede hacer lo que quiera. ‘If the man is single, he can do what he wants.’

These examples, where the use of either ‘ser’ or ‘estar’ makes little or no difference, are correctly called by Silva-Corvalán cases of ‘apparent synonymy’ (1994: 112). The author also finds expansion of ‘estar’ in cases where the innovative ‘estar’ alters the meaning of the utterance, but not the meaning of the predicate adjective, as in (3) and (4): (3) Los Angeles: El mole poblano está bueno ahí. ‘The mole poblano is good there.’ (good in the present) (4) Latin America: El mole poblano es bueno ahí. ‘The mole poblano is good there.’ (always good)

Silva-Corvalán considered example (3) to be an innovative use of ‘estar’ when it was used in contexts that did not include the possibility of change. In other words, if the intended meaning was ‘The mole poblano is always or usually good there’, then the use of ‘estar’ in such contexts was considered innovative. Although there is a greater semantic difference between (3) and (4) than between (1) and (2), the main idea of the quality of the mole is expressed with either copula. Now compare the above examples with examples where the distinction between ‘ser’ and ‘estar’ is crucial for communication, as in (5) and (6), also taken from Silva-Corvalán (1994: 111): (5) Esta radio está buena. ‘This radio is working well.’

2

The expansion of estar is also found in varieties of Mexican Spanish, as demonstrated by Gutiérrez’s study of Spanish in Morelia, Michoacán (1989, 1992). However, Silva-Corvalán (1994: 114ff) finds that the innovative use of estar is more pervasive in the speech of Mexican-American bilinguals than in the speech of Mexican monolinguals.

LENSO-21

23/1/09

12:32

Página 114

114

Naomi Lapidus Shin/Ricardo Otheguy

(6) Esta radio es buena. ‘This radio is good.’

The author points out that whereas (5) means that the radio is working well, (6) means that the radio being discussed is of good quality. In these cases, there is no apparent synonymy, as each of the copulas contributes to a different communication. In cases like (6), Silva-Corvalán (1986: 601, 1994: 112-113) found fewer innovative usages of ‘estar’ than in cases like (4) or (2). Her apt generalization is that: “This context, as expected, is not favorable to diffusion”, adding that the “diffusion of estar is least favored when the opposition ser/estar is associated with clear semantic differences” (1994: 112, 113). We think that Silva-Corvalán is correct in expecting that the erosion of the distinction between ‘ser’ and ‘estar’ will be lessened in cases where copula choice is associated with clear semantic differences. This is precisely what we mean when we say that this innovation in the Spanish of bilinguals in Los Angeles is mediated by considerations related to communicative need: in environments where meaning and communication are not compromised by the innovation, the innovation tends to advance; but where meaning and communication are endangered, it tends to be inhibited.

Spanish subject pronouns and Continuity of reference In Spanish, subject pronouns can appear as overt, as in (7), or null (indicated by the symbol Ø in Spanish and by parentheses in the English translation), as in (8): (7) Ella está en la biblioteca. ‘She is in the library.’ (8) Ø está en la biblioteca. ‘(She) is in the library.’

The alternation between overt and null pronouns has been found to be probabilistically conditioned by several grammatical variables, including the person of the verb, the person of the pronoun, the tense of the verb, the type of clause where the verb appears, etc. A conditioning variable that has a particularly strong effect, and that has been found to work the same way in all varieties of Spanish where subject pronouns have been studied, is whether the subject of the verb is the same as, or different from, the subject of the previous verb (Morales 1982, Silva-Corvalán 1982, Bentivoglio 1983, 1987, Enríquez 1984, Hochberg 1986, Cameron 1992, 1995, Bayley & Pease-Álvarez 1996, 1997, Flores-Ferrán 2002, 2004, Shin 2006). This conditioning variable, often called ‘switch reference’ but that we prefer to call ‘Continuity of reference,’ is usually defined in terms of whether the

LENSO-21

23/1/09

12:32

Página 115

Shifting sensitivity to Continuity of reference

115

referent of two consecutive grammatical subjects is the same or different. When they are the same, the frequency of null pronouns with the second verb is significantly higher than when they are different. Conversely, when two consecutive verbs are different in reference, the frequency of overt pronouns with the second verb is much higher than when the two verbs are the same. To illustrate these tendencies, consider first a context in which two consecutive grammatical subjects have the same referent, as in (9), taken from the speech of a Mexican participant in our corpus:3 (9) Int: ¿Y tu papá terminó su licenciatura? Part: Nada más. Ø se dedicó a otras cosas, de hecho Ø trabajó muy poco tiempo en su carrera, y ya después Ø se dedicó a otras actividades. (308M) Int: And your father finished his BA? Part: Nothing more. (He) devoted himself to other things, in fact (he) worked very little time in his field, and later (he) devoted himself to other activities.

Here the verbs se dedicó, ‘devoted himself’, trabajó, ‘worked’, and se dedicó, ‘devoted himself’, are all in same-reference contexts, since their subjects are all tu papá, ‘your father’, carried over from the subject of terminó, ‘finished’, in the interviewer’s question. As expected, the subject pronouns of these verbs in samereference contexts are all null. Now consider a context where two consecutive grammatical subjects have a different referent, as in (10), taken from a Colombian participant: (10) Ella tenía su novio allá y él pensaba venir pero no le dieron la visa. (038C) ‘She had her boyfriend there and he planned on coming but they didn’t give him the visa.’

Here the subject of pensaba, ‘planned on’, is different from that of the previous verb, tenía, ‘had’, and the use of the overt él, ‘he’, by this speaker reflects the tendency in this type of environment to temper the general disfavoring of null pronouns and to introduce overt pronouns. The favoring of nulls is not eliminated; even in switch-reference environments, the rich verbal inflection of Spanish appears to be responsible for the statistical prevalence of nulls. The point is that the disfavoring of nulls is much less in switch-reference environments. In the Otheguy-Zentella corpus as a whole, the occurrence rates of overt subject pronouns in same-reference environments is 26%; in switch-reference environments it is 40% (p < .0001).

3

The number at the end of the example identifies the participant in our project. The abbreviation Int indicates the turn of the interviewer; Part indicates that of the participant.

LENSO-21

23/1/09

116

12:32

Página 116

Naomi Lapidus Shin/Ricardo Otheguy

To avoid misunderstanding, it is worth stressing that these are tendencies, not categorical restrictions; that is, it is not the case that only nulls occur in same-reference contexts or only overts in switch-reference contexts. Consider (11) and (12), where nulls appear in switch-reference environments: (11) Están casadas, siguen estudiando, cada una de ellas tiene un baby. Y un niño comiendo. Ellas también pienso se sienten bien, así que actualmente pues bien poco Ø puedo pedir… (021C) ‘They are married, they keep on studying, each of them has a baby. And a child eating. They also (I) think (they) feel well, so currently well (I) can ask them very rarely…’ (12) Pero que no los entiendo porque, cuando hay dos cubanos hablando, hablan y yo me quedo… porque, o sea, ya uno dice una cosa y luego Ø le contesta. (005U) ‘But (I) don’t understand them because, when there are two Cubans talking, (they) talk and (I) am like … because, I mean, one already says one thing and later (the other one) answers him.’

In example (11), the verb puedo pedir, ‘I can ask’, represents a switch in reference from the previous verb, se sienten, ‘they feel’; and in (12) the subject of contesta is ‘the other one’. In these cases of switch-reference, the pronoun is nevertheless null. We also find counter-tendency examples of overt pronouns in same-reference contexts, as in (13) and (14): (13) … y ella me decía: no, Olga, no... Y ella era cubana. Ella me decía: no, increíble. (038C) ‘…and she said to me: no, Olga, no… and she was Cuban. She said to me: no, incredible.’ (14) … es poco el cambio que yo pude encontrar, pero yo hubiera llegado a un medio bajo más bajo, al que yo estoy. (172C) ‘… it’s small the change that I could find, but I would have ended up in a lower type of environment, lower, than the one I am in.’

In (13) the verb me decía, ‘told me’, maintains the same referent as the previous verb, era, ‘was’, and yet has an overt ella, ‘she’. In (14), the verbs hubiera llegado, ‘would have ended up’, and estoy, ‘am’, are in same-reference contexts with overt yo, ‘I’. The tendency for overts to be more frequent in switch- than in same-reference environments is clearly detectable in our corpus no less than in all previous studies. And, no less than in other corpora, we find, as we have just shown, examples of the counter-tendency. But even though the distribution is not categorical, recent studies have shown that adult speakers of Spanish tend to judge the use of

LENSO-21

23/1/09

12:32

Página 117

Shifting sensitivity to Continuity of reference

117

overt pronouns in same-reference contexts as redundant and the use of null pronouns in switch-reference contexts as infelicitous (Shin 2006).

Subject pronouns in studies of Spanish in the U.S. OCCURRENCE RATES Studies of subject pronouns in Spanish in the U.S. have sparked much debate, especially with regard to the question of whether Spanish pronominal usage is under the influence of English, and especially as this influence is said to be reflected in increased occurrence rates of overt pronouns. Many researchers argue against English contact influence on the basis of their finding that the frequency of use of overt subject pronouns does not increase with increased exposure to English, as one would expect if English were an operative force (Silva-Corvalán 1994, Bayley & Pease-Álvarez 1997, Flores & Toro 2000, Flores-Ferrán 2004, Travis 2007). Silva-Corvalán found that the occurrence rate of overt pronouns for MexicanAmerican speakers born in the U.S. was actually lower than the rate of those who immigrated to the U.S. after age 11 (1994: 153). Flores-Ferrán (2004: 58) found that Puerto Ricans in NYC produced the same rate of overt subject pronouns as the Puerto Ricans in Puerto Rico studied by Cameron (1992). Other researchers, however, report that contact with English does indeed influence subject pronoun use in Spanish in the U.S. (Klein-Andreu 1985, Lipski 1996, Montrul 2004, Toribio 2004, Lapidus & Otheguy 2005). The position taken in the present chapter is consistent with that of the latter group of scholars, and with recent findings by Otheguy & Zentella (2007) and Otheguy, Zentella & Livert (2007) who, on the basis of the same corpus that we use here, have documented increases in occurrence rates of overt pronouns in Spanish that are positively correlated with the amount of time spent in the U.S. and with exposure to and familiarity with English, and negatively correlated with age of arrival and knowledge and use of Spanish.4

DISCOURSE PRAGMATIC CONSTRAINTS Research of Spanish in the U.S. has also documented the relaxation of some of the discourse-pragmatic constraints that condition the use of subject pronouns

4

The differences between the findings of different scholars studying Spanish in the U.S, some indicating increased rates of pronoun use and others decreased rates, are very likely due to differences in sample size and perhaps also to differences in coding methods (for discussion of this problem, see Otheguy, Zentella & Livert 2007: 783ff).

LENSO-21

23/1/09

118

12:32

Página 118

Naomi Lapidus Shin/Ricardo Otheguy

(Silva-Corvalán 1994 Montrul 2004, Toribio 2004, Lapidus & Otheguy 2005). These studies attempt to show that certain contextual factors that probabilistically constrain the use of nulls or overts in Spanish in Latin America and Spain exert less of a force on pronoun selection in the U.S. However, in the specific case of Continuity (whether the verb is same- or switch-reference), findings have been inconsistent. While some scholars find that in Spanish in the U.S., Continuity remains a strong predictor of the use of null or overt pronouns, others find that the relevance of this variable to pronoun selection has diminished. In her study of Spanish in Los Angeles, Silva-Corvalán found desensitization to Continuity for the alternation between lexical subject NPs and null subjects (1994: 161-162). However, she did not find any weakening of this variable for the alternation between overt and null subject pronouns. Bayley & Pease-Álvarez found that participants who were born in the U.S. did not differ from those born in Mexico with respect to pronoun rates in same- and switch-reference contexts, but these findings may be related to the fact that the data came from the speech of children (1996: 96). In a recent study, Shin (2006) found that sensitivity to Continuity of reference develops quite late among monolingual Spanish-speaking children (after age nine). Since Bayley & Pease-Álvarez (1996) did not examine whether age differences (eight versus 12, for example) influenced pronoun use in sameand switch-reference contexts (Robert Bayley, personal communication, September 17, 2007), it is possible that the discourse-pragmatic systems constraining pronoun use might not have been fully developed in some of the younger children in the study. In another study of the alternation between overt subjects (both nominal and pronominal) and null subjects among bilinguals, Montrul (2004) divided her participants into two groups based on their scores on a Spanish proficiency test. Treating the alternation as if it were categorical, she coded overt subjects in samereference contexts and null subjects in switch-reference contexts with the term ‘illicit’. Montrul found that bilinguals with the lower score on a Spanish proficiency test produced significantly higher rates of illicit overt and null subjects than the other two groups (2004: 133). The conflation of lexical and pronominal subjects in Montrul’s study makes it difficult to compare her results for overt subjects to studies in which only pronouns are analyzed. Still, the high rate (15.5%) of illicit null subjects in switch-reference contexts in the speech of the lower-proficiency bilinguals is relevant since it indicates desensitization to Continuity, at least in the switch-reference context (2004: 133). Flores-Ferrán found that bilinguals of Puerto Rican descent in NYC produced overt subject pronouns in switch-reference contexts at a rate similar to that of monolingual Puerto Ricans (2004: 63). For same-reference contexts, however,

LENSO-21

23/1/09

12:32

Página 119

Shifting sensitivity to Continuity of reference

119

Flores-Ferrán (2004: 63) found that bilinguals produced a slightly higher rate of overt pronouns (38%) than did monolinguals (31%). Toribio (2004) studied the use of overt pronouns in the speech of two Mexican-American bilinguals. Six people judged whether each overt pronoun was pragmatically felicitous. Since the judges found an abundance of infelicitous overt pronouns, she suggests that these two bilingual speakers are less sensitive to Continuity of reference (2004: 172). The position taken in this paper is consistent with that of scholars who find that, in Spanish in the U.S., especially in the Spanish of bilinguals, Continuity is not as strong a predictor of the pronominal alternation as it is in the Spanish of Latin America and Spain, or in the Spanish of monolingual or recently arrived speakers in the U.S. We build on the findings of these scholars and study Continuity of reference using a very large data set of Spanish in the U.S., paying particular attention to functional factors. With this in mind, contexts where a change in pronominal usage has a minimal impact on communication are analyzed here separately from contexts where the change can reduce communicative effectiveness.

Continuity of reference in the different persons of the verb We make the functionally mediated assumption that the role of reference tracking, which is at the heart of the favoring of overt pronouns by switch-reference contexts, is much more important in third-person than in first- or second-person pronouns. While first- or second-person referents are almost always present in the extralinguistic context, third-person referents are often not. Furthermore, there can often be competing referents for third-person pronouns, but not usually for first- or second-person ones. An example makes the point clear. In (15) below, the switch-reference in the second verb, ‘voy’, is as clear with an overt pronoun in (15a) as with a null in (15b) (15a) Tú estás dándole demasiado dinero, yo voy a volver a mirar la cuenta. ‘You are giving him/her too much money, I am going to look at the check again.’ (15b) Tú estás dándole demasiado dinero, Ø voy a volver a mirar la cuenta. ‘You are giving him/her too much money, (I) am going to look at the check again.’

But the same is not true of (10), repeated here as (16a), in which the overt ‘él’ is very helpful in reference tracking; its removal, as in (16b), would make it more difficult to understand the sentence correctly.

LENSO-21

23/1/09

120

12:32

Página 120

Naomi Lapidus Shin/Ricardo Otheguy

(16a) Ella tenía su novio allá y él pensaba venir pero no le dieron la visa. (038C) ‘She had her boyfriend there and he was planning on coming, but they didn’t give him the visa.’ (16b) Ella tenía su novio allá y Ø pensaba venir pero no le dieron la visa. ‘She had her boyfriend there and Ø was planning on coming, but they didn’t give him the visa.’

In (16b), much more so than in (15b), the possibility exists that the switch in reference will not be caught by the hearer, and the subject of pensaba, ‘planning on’, will be misinterpreted as referring to ella, ‘she’. Instead of the intended She had her boyfriend there and he was planning on coming, but they didn’t give him the visa –which is clear with the overt in (16a)–, the interpretation with the null in (16b) could very well be mistaken as She had her boyfriend there and she was planning on coming but they didn’t give her the visa. Since reference tracking is easier in the first- or second-person, linguistic mechanisms such as the use of overt pronouns in switch-reference contexts are more functionally relevant when referring to third-person entities than when referring to the firstor second-person. The idea of isolating third-person from first- and second-person is supported by the formal representation of grammatical person in many languages. For example, there are possessive pronominal prefixes in Yuma for the first- and second, but not the third-person (Benveniste 1971: 221). Harley & Ritter (2002), in their feature-geometric analysis of pronouns, discuss 110 languages that formally distinguish between first- and second-person on the one hand, and third-person on the other. Their examples include Maltese and Lyélé. In Maltese, gender, animacy, humanness, size, and the count/mass distinction are manifested in the thirdperson only. In Lyélé, a formality morpheme is manifested in first- and secondperson only (2002: 488). There are languages in which third-person pronouns are obligatorily overt, but first- and second-person pronouns can be variably omitted. For example, in Hebrew, the use of null subject pronouns is restricted to first- and second-person in the past and future tenses (where, not coincidentally, the verb forms are marked for person and gender). In light of the differences between first- and second-person on the one hand and third-person on the other, we suggest that these grammatical persons cannot be conflated when investigating changes in sensitivity to Continuity of reference. Moreover, separating these grammatical persons provides an excellent opportunity to test the functional approach to language change: if functionality mediates change, we should expect desensitization to Continuity to occur with first- and second-person verbs much more than with third-person verbs.

LENSO-21

23/1/09

12:32

Página 121

Shifting sensitivity to Continuity of reference

121

The study RESEARCH QUESTIONS The study aims to answer two main research questions: (a) Do we find a partial shift away from Continuity of reference as a conditioning variable in the use of null and overt subject personal pronouns in Spanish in NYC? In other words, do we find that the passage of time in NYC and the resulting bilingualism of Spanish speakers are associated with a reduction in the relevance of Continuity as a predictor of pronoun selection? (b) If so, is such desensitization to, or shift away from, Continuity of reference mediated by functionality? That is, do we find that in order to understand the shift we must take into account considerations related to the use of language in communication?

PARTICIPANTS Data consist of a subsample of the Otheguy-Zentella corpus. Participants for this corpus were selected from a larger pool of interviews to conform to a stratification based on place of birth (Latin America vs. NYC), country of origin (Colombia, Cuba, Dominican Republic, Ecuador, Mexico, Puerto Rico), educational attainment, levels of English and Spanish proficiency, and, for the Latin American born, age of arrival and years spent in NYC. The result is a sample that is balanced on all these criteria and that thus has a reasonable claim to being representative of Spanish-speaking New York. The interviews, which were conducted in NYC by the principal investigators or their graduate students, lasted for approximately one hour. With few exceptions, the person conducting the interview was of the same national origin as the informant. There were no requirements of participation other than conforming to the stratification criteria and the ability to participate in an interview conducted in Spanish. For the present study, we extracted from the corpus a subset of participants, consisting of one group of informants who were first-generation newcomers to the U.S. at the time of the interview (newcomers) and of a second group of informants who were second-generation, born or raised in NYC (NYBRs). We used the following exact definitions to create the two groups: Newcomers: Participants who arrived in New York at age 17 or older and have lived in the City for no more than five years (i.e., Age of arrival > 16 and Years in NYC < 6). NYBRs: Participants who were born in NYC or were brought to the City at or before the age of three (i.e., Age of arrival < 3.1 or actually born in NYC).

LENSO-21

23/1/09

12:32

Página 122

122

Naomi Lapidus Shin/Ricardo Otheguy

Using these definitions resulted in a participant pool of 67 speakers (39 newcomers and 28 NYBRs). Information about the participants included in the present study is presented in Table 1. TABLE 1 Participants, by national origin and generation group Country of origin

Newcomers

NYBRs

Total-by origin

Colombia

6

6

12

Cuba

7

4

11

Dominican Republic

6

4

10

Ecuador

8

4

12

Mexico

6

4

10

Puerto Rico

6

6

12

39

28

67

Total-by generation

The 67 informants described in Table 1, including the 28 NYBRs, were all fluent speakers of either educated or popular varieties of Spanish. To be sure, one finds, especially among the NYBRs, the features that one would expect in bilinguals, including loanwords, lexical calques, code-switches, and, in several cases, instances of English-influenced syntax. But all informants spoke in fluent Spanish and demonstrated control of the register and dialect features through which their native mastery of the language had been acquired. Consider (17), an excerpt from an interview with a 34-year-old NYBR woman whose parents are from Ecuador: (17) Int: ¿Cuántas veces ha ido al Ecuador? Part: Dos. Int: ¿Y qué tal? ¿Cómo fueron esas experiencias? Part: Bueno, la primera vez tenía, creo, 20 años, y era una cosa, olvídate, uno lo que iba es a festejar, las fiestas, y todo así los jóvenes, todos los primos y… y toda la gente joven se iban y… y así, y me… me gustó, pero fue como un… como se puede decir un cultural shock porque había cosas que no… no estaba acostumbrada. Int: ¿Como por ejemplo qué… qué? Part: Como, por ejemplo, se iba el agua... Se iba el agua, y uno aquí acostumbrado tener agua siempre, agua caliente también, porque ellos viven en la Sierra y casi no tenían agua caliente y para obtener agua caliente tenían que… no sé. Ni sé. Hacer algo con la electricidad, y era una cosa que se tenía que bañar en dos segundos y… y that’s it, porque no había la agua caliente, entonces cosas así… (326E)

LENSO-21

23/1/09

12:32

Página 123

Shifting sensitivity to Continuity of reference

123

Int: How many times have (you) gone to Ecuador? Part: Two. Int: And how was it? How were those experiences? Part: Well, the first time (I) was, (I) think, 20 years old, and (it) was something, forget about it, one what (one) did was to party, the parties, and everything like that the young people, all the cousins and… and all the young people would go and… and like that, and I liked it, but it was like… how does one say a culture shock because there were things that no… (I) wasn’t used to. Int: Like for example what… what? Part: Like, for example, the water would shut off… the water would shut off, and here one is used to having water all the time, hot water too, because they live in the mountains and (they) barely had hot water and to get hot water (they) had to… (I) don’t know. (I) don’t even know. To do something with the electricity, and it was a thing that one had to bathe in two seconds and... and that’s it, because there was no hot water, so things like that…

One notices in this New Yorker’s Spanish speech instances of English lexical insertions (cultural shock) and code switching (that’s it). There are also some grammatical features that appear to deviate from monolingual norms, such as the lack of the preposition a in acostumbrado tener, ‘used to having’. One can perhaps add to this list the use of the definite article la, feminine ‘the’, with agua, ‘water’, instead of el agua, ‘the water’ (with masculine ‘the’), in the last sentence, though this may be part of her monolingual reference norm. Still, the language being spoken in this interview is clearly generated by a Spanish grammar whose central features do not correspond to English but are rather consistent with monolingual structural and lexical norms. The speaker uses two different past tenses, a preterite and an imperfect (e.g., gustó, fue vs. tenía, era, iba, ‘liked’, ‘was’, vs. ‘had,’ ‘was’, ‘would go’, respectively); postposed adjectives (gente joven, ‘young people’, agua caliente, ‘hot water’); subject omission (tenía, era, gustó, fue, había, estaba, tenían, etc., ‘had’, ‘was’, ‘liked’, ‘was’, ‘were’, ‘was’, ‘had’, etc.); impersonal se (se tenía que bañar ‘one had to bathe’), gender and number agreement between articles and nouns (la sierra, la primera vez, las fiestas, los jóvenes, los primos, etc., ‘the mountains, the first time, the parties, the young people, the cousins, respectively); and the headless relative lo que, ‘that which’, to list just a few. Notice too that the features of this woman’s Spanish that appear to deviate from the monolingual norm are variable. For example, later in this same transcript, this speaker uses the correct preposition ‘a’ with the adjective acostumbrado, ‘used to’, as in uno no está acostumbrado a eso ‘one isn’t used to that’, and estaba acostumbrada a eso, ‘was used to that’. The use of la agua, ‘the water’ with feminine ‘the’ in the last sentence, should be seen in light of her use of el agua, ‘the water’ with masculine ‘the’, as in se iba el agua, ‘the water would shut off’, a few sentences before. Furthermore, we note that although the interviewee uses some English words, most of the transcript is

LENSO-21

23/1/09

124

12:32

Página 124

Naomi Lapidus Shin/Ricardo Otheguy

squarely drawn from a Spanish lexicon; in fact, English words represent less than 1.2% of the total words used by the interviewee. In sum, this Ecuadorian New Yorker, whose speech is representative of the NYBRs in the corpus, is clearly a fluent speaker of Spanish. It is beyond the scope of our work to address the question of whether there are NYBRs in NYC who should be considered attrited speakers of Spanish; the point is that the NYBRs selected for the corpus were fluent users of the language, a fact that allows us to use their speech to raise the questions that guide the present research.

THE DATA The study includes only finite verbs; no infinitives or gerunds are included. As is common practice in research on subject personal pronouns in Spanish, we include inside the envelope of variation and count in our study all and only those finite verb tokens that are found in the transcripts with (a) an overt pronoun in an environment where one is also likely to find a null, or with (b) a null pronoun in an environment where one is also likely to find an overt. All other verb tokens are outside the envelope of variation and are excluded from the study. Among verbs placed outside the envelope are those in construction with a subject NP that is not a personal pronoun, such as lexical subjects, as in María canta muy bien, ‘Maria sings well’, or impersonal se, as in Se trabaja mucho en NYC, ‘One works a lot in NYC’. Contexts in which null pronouns occur but where there is little or no possibility of occurrence of an overt are also excluded from the study. Null subjects referring to inanimate objects are excluded since it is very rare to find overt subject pronouns in these contexts. Null subjects in subject-headed relative clauses, such as el hombre que Ø trabajó allí, ‘the man that Ø worked there’, are also outside the envelope of variation, since overt pronouns do not typically appear as subjects in these contexts, as in el hombre que (*él) trabajó, ‘the man that (*he) worked there’. All meteorological environments like Nieva mucho en NYC, ‘(It) snows a lot in New York’, are outside the envelope as well, on the grounds that they are not personal references, and that sentences in which an overt pronoun is used in this context, like Ello nieva mucho en NYC, ‘It snows a lot in NYC’, are very rare in our corpus, even though they are attested in some varieties of Spanish. To further illustrate which verbs are in and out of the envelope of variation, consider the following excerpt from an interview with a 24-year-old Ecuadorian man who had been in NYC for five years at the time of the interview. Verbs in bold are inside the envelope and included in the study; verbs in italics are excluded. As before, parentheses in the English version represent null pronouns in the original Spanish version.

LENSO-21

23/1/09

12:32

Página 125

Shifting sensitivity to Continuity of reference

125

(18) Conozco a una amiga que está aquí estudiando… y ella sí tiene, sí ha tenido un problema, es decir que ella extraña la comida, extraña su almuerzo y extraña sus cosas de allá y… a mí como que yo estaba acostumbrado. (384E) (I) know a friend that is here studying…. And she has, yes (she) has had a problem, (that) is to say that she misses the food, (she) misses her lunch and (she) misses her things from home and… me, well I was used to it.

Verbs conozco, ha tenido, and extraña, ‘know’, ‘has had’, and ‘misses’ all appear with a null pronoun (extraña appears with a null pronoun twice) in environments where overt subject pronouns could very likely occur, that is, where one is likely to find yo conozco, ella ha tenido, and ella extraña, and for that reason they are included in the study. Verbs ella tiene, ella extraña, and yo estaba, ‘she has’, ‘she misses’, and ‘I was’, appear with overt pronouns in environments where they could have easily been found with a null, tiene, extraña, and estaba, and are therefore included. Notice, however, that there is little or no possible variation in subject-headed relative environments like una amiga que está aquí estudiando, ‘a friend that is here studying’, or in impersonal environments like es decir, ‘(that) is to say’. That is, it is very unlikely that one would have found una amiga que ella está aquí estudiando, ‘a friend that she is here studying’, or él es decir, ‘he is to say’, so these verbs are excluded. For the present study, we also excluded verbs found in set phrases, such as tú sabes, ‘you know’, as in example (19) from a Puerto Rican participant. (19) un parquecito que hay allí detrás de la escuela, a que corran, tú sabes, se cansen. (096P) ‘a little park that is there behind the school, so that (they) run, you know, (they) get tired.’

After all verbs outside the envelope of variation and all verbs in set phrases were excluded from the 67 transcripts, we were left with 27,670 finite verbs, which were coded for whether they occurred with an overt or null subject personal pronoun.

THE CONTINUITY OF REFERENCE VARIABLE As we have seen, Continuity of reference is one of the variables that probabilistically condition the appearance of a null or an overt pronoun. And as discussed, the Continuity variable includes two factors, switch-reference and same-reference contexts. Thus, the prediction that follows from the analysis that the NYBRs are becoming desensitized to this variable is that we will find in the speech of NYBRs either an increase of overt pronouns in same-reference contexts, or an increase of null pronouns in switch-reference contexts, or both. For

LENSO-21

23/1/09

126

12:32

Página 126

Naomi Lapidus Shin/Ricardo Otheguy

example, in the speech of two NYBRs of Colombian origin, we find in (20) an overt pronoun in a same-reference context and in (21) a null pronoun in a switchreference context. (20) Yo tenía un hermano mayor, y eh. Y él iba a la casa y él hablaba y así mismo me enseñaba el inglés. Más, él hablaba con el otro hermano mío. (181C) ‘I had an older brother, and uh. And he went to the house and he would talk and like that (he) taught me English. Actually, he would talk with my other brother.’ (21) Part: La abuela se fue para Colombia para… porque el hobby de ella es ir a la casa y reconstruyendo la casa otra vez. Int: Claro, esa es la… Esa es la idea de todas esas viejas, ¿no? Part: Me entiende y ellas llegan allá y dizque apenas Ø hizo dizque un jacuzzi a un… a un… a un piso, ya quiere hacer otro jacuzzi en el otro piso. (311C) Part: My grandmother went to Colombia to… because her hobby is to go to the house and reconstructing the house again. Int: Of course, that is the… that is the idea of all those old ladies, no? Part: (You) understand me and they get there and let’s say that (she) just made let’s say a jacuzzi on one… on one… on one floor, (she) already wants to make another jacuzzi on another floor.

In (20), we find in él hablaba, ‘he used to talk’, an overt pronoun making reference to the same subject as that of the previous verb, enseñaba, ‘(he) taught’; in (21) we find in hizo dizque un jacuzzi, ‘(she) made let’s say a jacuzzi’, a null pronoun making reference to a subject that is different from that of the previous verb, ellas llegan allá ‘they get there’. The examples of NYBR Spanish in (20) and (21) are useful to illustrate the phenomenon under investigation, but they are not sufficient to demonstrate desensitization to Continuity of reference, for the simple reason that examples of counter-tendency usages, such as those we saw above in examples 11-14, can and do exist in monolingual Spanish. We illustrate counter-tendency usages in the speech of newcomers in (22) and (23) below: (22) Int: ¿En qué ciudad nació su padre? Part: En Riobamba. Int: ¿A qué se dedicaba? Part: Él trabajaba en el... él era profesor en el sindicato de chóferes. (316E) Int: What city was your father born in? Part: In Riobamba. Int: What did (he) do? Part: He worked in the … he was a professor in the chauffeurs’ union. (23) Int: ¿Tú eras el mimado, hasta ahora sigues siendo el mimado? ¿y tus ñaños eran celosos? Part: Sí, hasta ahora, dicen que más Ø me prefiere a mí, que... que todo Ø me da a mí, a ellos no les da nada que... (312E) Int: You were the spoiled one, even now are you still the spoiled one? And were your siblings jealous? Part: Yes, even now, (they) say that (he/she) prefers me, that… that (he/she) gives everything to me, (he/she) doesn’t give them anything.

LENSO-21

23/1/09

12:32

Página 127

Shifting sensitivity to Continuity of reference

127

In (22) era profesor, ‘was a professor’, occurs in a same-reference environment, repeating the subject of él trabajaba ‘he worked’, and yet is found with an overt él. In (23) prefiere, ‘prefers’, occurs in a switch-reference environment, and yet a null is used. The previous verb, dicen, ‘(they) say’, refers to someone other than the referent of prefiere, ‘prefers’, and in fact the referent of prefiere is nowhere mentioned in the preceding discourse. This is why the English translation includes a null ‘he’ or ‘she’; we do not know the gender of the subject of ‘prefers’. Examples like (22) and (23), which occur in the speech of monolingual newcomers, serve to confirm that instances of the disfavored pattern found in the speech of NYBRs, such as in (20) and (21), are not enough to answer the first research question. More generally, no difference between two groups of participants can be established with regard to a quantitative favoring by means of qualitative data, for in the mere fact of displaying in their speech both the favored and the disfavored pattern, both groups are the same. What has to be shown is that the skewing of the favoring is different in the two groups. Saying it differently, in order to detect desensitization to Continuity of reference among NYBRs, we need to show that the strength of the Continuity variable is weaker among NYBRs than among newcomers, that is, that the relative weights of the favored and disfavored patterns have changed in a statistically significant manner. To do this, we appeal to quantitative data, generated by means of bivariate analyses.5

BIVARIATE ANALYSES: OCCURRENCE RATES We begin by analyzing differences between the relevant participant groups with regard to occurrence rates of the feature under study. We calculate the percentage of verbs that occur with overt pronouns in same-reference environments and compare it with the same percentage in switch-reference environments. And we make this comparison between environments twice, once for newcomers and once for NYBRs. The results are shown in Table 2. In statistical terms, the table presents a cross-tabulation of two variables, Continuity and Pronoun selection, and it does it twice, once for newcomers (on the left side of the table) and a second time for NYBRs (on the right). As expected, Table 2 shows that, among newcomers, the percentage of overt pronoun use is significantly higher among verbs found in switch-reference contexts (nearly 38%) than among those found in same-reference contexts (slightly over

5

All quantitative analyses were performed using the Statistical Package for the Social Sciences, SPSS.

LENSO-21

23/1/09

12:32

Página 128

128

Naomi Lapidus Shin/Ricardo Otheguy

TABLE 2 Crosstabs: Pronoun rate by Continuity in two generations s

NYBRs

N verbs

% overt

N verbs

% overt

Same reference

8,038

23.3

5,402

31.9

Switch reference

8,046

37.8

5,584

41.7

Pct pt difference

14.5

9.8

23%). This is also true for NYBRs. Although overt pronoun rates are higher in general among NYBRs than among newcomers, the typical pattern is maintained for NYBRs among whom the pronoun rates are higher in general than among newcomers, higher occurrence rates of overt pronouns (nearly 42%) than samereference contexts (almost 32%). These results are statistically significant (Newcomers: Chi square = 416.92, p < .0001; NYBRs: Chi square = 114.86, p < .0001). Consistent with our prediction, the difference between same- and switch-reference contexts is smaller for NYBRs (9.8 percentage points) than for newcomers (14.5 percentage points). That is, the table shows that, in support of the hypothesis regarding the weakening of Continuity, the percentage spread in the occurrence rates of overt pronouns differentiating same- from switch-reference contexts has shrunk over the course of one generation. A secondary analysis shows that this narrowing of the percentage spread in the NYBR generation is statistically significant: a logistic regression, run with Pronoun selection as the dependent variable and Continuity and Generation (newcomer vs. NYBR) as independent variables, revealed a significant interaction term (p < .0001) for the relationship between Continuity and Generation. This tells us that the cross-generational difference with regard to the percentage spread between same- and switch-reference is statistically significant. Therefore, the answer to our first research question is affirmative: we find a partial shift away from Continuity of reference as a conditioning variable in the use of null and overt subject personal pronouns among second-generation speakers of Spanish in NYC. Now we turn to our second research question: Is desensitization to Continuity among NYBRs mediated by functionality? To answer this question we compare the generational groups again, but this time we perform separate analyses on subsets of our data in order to examine possible differences between, on the one hand, first- and second-person singular pronouns (yo and tú) and, on the other

LENSO-21

23/1/09

12:32

Página 129

Shifting sensitivity to Continuity of reference

129

TABLE 3 Crosstabs: Pronoun rate by Continuity in two generations, only yo/tú included Newcomers

NYBRs

N verbs

% overt

N verbs

% overt

Same reference

5,103

26.0

3,192

35.7

Switch reference

4,428

43.7

2,775

48.4

Pct pt difference

17.7

12.7

hand, third-person singular pronouns (él, ella).6 We did not study usted or uno, nor the very few cases of vos found in the corpus. We begin by studying first- and second-person pronouns, that is, null and overt yo and tú. As in the previous table, we cross-tabulate the variable Continuity with the variable Pronoun selection twice, once for each generational group. The results are presented in Table 3, which is the same as Table 2, except that it shows only a sub-set of the data, namely first- and second-person pronouns only. In these results of Table 3 for first- and second-person pronouns, we see the same trend reported in Table 2 above. The association between Continuity and Pronoun selection is significant for both groups (Newcomers: Chi square = 358.21, p < .0001; NYBRs: Chi square = 97.77, p < .0001). As predicted, and as in Table 2, the difference between same- and switch-reference is smaller for NYBRs (12.7 percentage points) than for newcomers (17.7 percentage points). To test whether the difference of same- and switch-reference percentage spreads between newcomers and NYBRs is significant, we performed the same type of logistic regression as before. The interaction term for Continuity and Generation was significant (p < .0001). This indicates that the weaker impact of Continuity on Pronoun selection among NYBRs than among newcomers in first- and second-person pronouns is statistically significant. Therefore, just as when we considered all the pronouns in all three persons in Table 2, we can conclude from the analysis of first- and second-person pronouns in Table 3 that NYBRs are less sensitive to Continuity of reference in pronoun selection.

6

The analysis is limited to singular pronouns because overt forms of the pronouns yo, tú, élella have similar rates of occurrence (39%, 35%, 35%, respectively), whereas overt forms of the pronouns nosotros and ellos-ellas are rarer (13% and 14%, respectively).

LENSO-21

23/1/09

12:32

Página 130

130

Naomi Lapidus Shin/Ricardo Otheguy

TABLE 4

Crosstabs: Pronoun rate by Continuity in two generations, only él-ella included Newcomers

NYBRs

N verbs

% overt

N verbs

% overt

Same reference

1,486

24.5

1,179

35.6

Switch reference

1,090

43.4

1,014

52.5

Pct pt difference

18.9

16.9

Next we isolate third-person singular pronouns, that is, null and overt él and ella, in order to determine whether they follow the same pattern as first- and secondperson pronouns, as well as for all pronouns. Specifically, we test whether NYBRs have a narrower spread between same- and switch-reference verbs than newcomers do. Our expectation, based on our assumption that the weakening of Continuity is functionally mediated and on the greater contribution of third-person pronouns to reference tracking, is that the pattern of the previous tables will not hold up here. The results are presented in Table 4. For a data set containing only third-person pronouns, we again find the same general trend as for first- and second-person pronouns: for both generational groups, the association between Continuity and Pronoun use is significant (Newcomers: Chi square = 100.81, p < .0001; NYBRs: Chi square = 62.95, p < .0001). There is less of a spread in overt pronoun occurrence rates between same- and switch-reference contexts among NYBRs (16.9 percentage point difference) than among newcomers (18.9 percentage point difference). Significantly, there appears to be less weakening of Continuity for the data set containing él-ella in Table 4 than for the one containing yo-tú in Table 3. The difference between pronoun use in same- and switch-reference contexts is only two percentage points weaker for NYBRs than for newcomers in the él-ella data set, whereas this difference was five percentage points in the yo-tú set. More importantly, we once again tested the statistical significance of the percentage spread differences between newcomers and NYBRs. Unlike before in Table 3, we find in Table 4 that the interaction between Continuity and Generation is not significant (p = .19). This means that the narrowing of the same- vs. switch-reference spread in the NYBR generation occurs for first- and second-person pronouns, but not for third-person pronouns. We can conclude that NYBRs are less sensitive to

LENSO-21

23/1/09

12:32

Página 131

Shifting sensitivity to Continuity of reference

131

Continuity than are newcomers for first- and second-, but not third-person singular pronouns. Therefore, the answer to our second research question is affirmative: we find that desensitization to Continuity of reference is mediated by functionality. Second-generation speakers reduce the importance of Continuity as a probabilistic predictor of pronoun choice in environments where communicative effectiveness is less impaired (first- and second-person pronouns) and hold on to Continuity in the same fashion as the newcomer generation where it carries a higher functional load (third-person pronouns).

Discussion The study presented here demonstrates that in the selection of null or overt pronouns by second-generation speakers of Spanish in NYC there is desensitization to Continuity of reference as a predictor of the overt/null alternation of subject pronouns. In the second generation, the tendency to favor overt pronouns more in switch-reference than same-reference contexts is weakened. This desensitization occurs where this variable is less important for communicative purposes, namely in first- and second-person verbs. In cases where reference tracking is more difficult, i.e., when referring to third-person singular entities, sensitivity to Continuity is maintained essentially at the same level as in the previous generation. We see, then, less weakening of this particular discourse constraint where it is crucial for communication and more weakening where the relaxation of the constraint is less costly. This finding is consistent with the generalization that changes that occur in situations of language contact are mediated by functionality. One issue that we have left aside for now is the possible influence of dialect differences. Our data set in this study included participants of Caribbean descent, from the Dominican Republic, Puerto Rico, and Cuba, as well as participants from Mexico, Ecuador, and Colombia. Dialect studies of Spanish have shown that speakers from Caribbean countries differ from speakers from the Mainland of Latin America in phonological and morphosyntactic features, including more frequent use of overt subject personal pronouns (López-Morales 1992). Otheguy, Zentella & Livert (2007) found clear dialect differences between Caribbean and mainland Latin American newcomers to NYC with respect to the influence of grammatical person on subject pronoun use. Interestingly, several of these differences were diminished in the speech of the NYBR participants, indicating some dialect leveling. Shin and Otheguy (2007) analyzed data from Caribbean participants and found similar results to the ones we report in the present study, suggesting that dialect does not influence desensitization to Continuity. Still, a more detailed comparison of Caribbean and mainland Latin American participants is warranted.

LENSO-21

23/1/09

132

12:32

Página 132

Naomi Lapidus Shin/Ricardo Otheguy

Another issue that has not been addressed here but that will require attention is the matter of multivariate analysis, since bivariate analyses such as the ones we have shown have certain limitations. In every context where a null or overt pronoun is found, there is a multitude of variables influencing pronoun selection. Consider example (24) from a NYBR Cuban participant: (24) Yo tenía 13 años, ¿no? … yo estaba con… Ø Cállate. (206U) ‘I was 13 years old, no? … I was with… Be quiet.’

Cállate, ‘be quiet’, occurs in a switch-reference context and appears with a null subject. However, cállate is an imperative form, and imperatives very rarely occur with overt subject pronouns (in the corpus there are only 19 examples of overt subject pronouns that occur with the imperative out of 489 total cases in the data set including newcomers and NYBRs). If we were to analyze this example in isolation, we would surely attribute the null subject in cállate to the imperative form, and not to Continuity of reference. If we measure the impact of Continuity on pronoun selection without taking into account other influential variables, we may be overestimating the effects of Continuity. In order to distinguish the influence of Continuity on overt vs. null pronoun use from that of other variables, we must study Continuity in the context of all those other variables, which means that we must perform logistic regression analyses. Future research on Continuity in U.S. Spanish should also include multivariate analyses of the two factors that make up the Continuity of reference variable, i.e., switch-reference and same-reference. In this study, we focused primarily on the variable as a whole. It appears, however, that rates of pronoun use increase more in same-reference than switch-reference contexts. Notice that in Table 2 the difference between NYBRs’ rate of overt pronouns and that of newcomers is 8.6 percentage points for same-reference contexts (compare 31.9% for NYBRs and 23.3% for newcomers). For switch-reference contexts the difference between NYBRs and newcomers is smaller: it is 3.9 percentage points (compare 41.7% for NYBRs and 37.8% for newcomers). There is also evidence from first language acquisition that these discourse contexts develop differently. Shin (2006) conducted an experiment with monolingual Spanish-speaking children and found that their sensitivity to switch-reference developed earlier than their sensitivity to same-reference. Also, from a functional point of view, these two contexts are quite different. The use of a redundant overt pronoun in a same-reference context never impedes communication, whereas the use of null pronouns in switch-reference contexts may impede reference tracking. Therefore, following a functionalist line of reasoning, desensitization to same-reference contexts should be more prevalent than desensitization to switch-reference.

LENSO-21

23/1/09

12:32

Página 133

Shifting sensitivity to Continuity of reference

133

An analysis of sensitivity to switch- and same-reference contexts may also shed light on the influence of English on the change reported in this paper. If the majority language is important in determining the changes taking place in the minority language, we should expect different outcomes for the two discourse contexts. Since English has nearly obligatory subjects, we would expect the appearance of overt pronouns in same-reference contexts to increase. But influence from English would not be as useful to explain an increase in the occurrence of null pronouns in switch-reference contexts (cf., Sorace 2004: 144 for a similar observation). In our study, NYBRs produced more overt pronouns in switch-reference contexts (41.7%) than newcomers did (37.8%). However, given that pronoun rates are higher among NYBRs regardless of context, we cannot rule out the possibility that NYBRs are less sensitive to switch-reference contexts than newcomers are. This would be best investigated by multivariate analyses and would help decipher the role of English in the change taking place in New York Spanish observed in this study. There is another question that is not addressed here but that should be kept in mind when analyzing, in a bilingual population, desensitization to a particular variable, such as Continuity of reference. We alternate between speaking of ‘desensitization to’ and ‘shifting away from’ Continuity of reference to stress our assumption that the Spanish usage of these bilinguals is as orderly and rule-governed as that of their Latin American and Peninsular counterparts, and that these speakers’ diminished attention to Continuity of reference is probably being matched by increased attention to some other variable. That is, we assume that as bilinguals reduce the relevance of Continuity to their choice of overt and null pronouns, some other consideration comes in to guide their choice. Discovering the factor that must be, so to speak, picking up the slack created by desensitization to Continuity is an important question that is, however, beyond the scope of the present report.

Summary and conclusion In the Spanish of second-generation bilinguals in NYC, the panhispanic tendency to use overt pronouns in switch-reference contexts and nulls in same-reference contexts is still detectable, but appears to be losing some of its strength. That is, the bilinguals are less sensitive to the distinction between same- and switch-reference contexts than speakers of Spanish who are newly arrived in NYC. But this diminished sensitivity to Continuity of reference operates through the mediation of functional factors. In the contexts where overt pronouns are most needed for reference tracking, namely third-person contexts, there has been no generational change: the NYBRs use Spanish the same way as the newcomers. In the contexts where overt pronouns are less needed, namely first- and second-person singulars,

LENSO-21

23/1/09

12:32

134

Página 134

Naomi Lapidus Shin/Ricardo Otheguy

the change is much more readily apparent. Our study shows that functionality mediates the changes that occur in situations of language contact. Changes that are evident in the minority language do not affect all areas of language equally. Language change in a contact setting is a process of adaptation. The parts of the minority language that are more disposable may erode, but the most necessary parts of the language resist change.

References BAYLEY, Robert/PEASE-ÁLVAREZ, Lucinda (1996): “Null and expressed pronoun variation in Mexican-descent children’s Spanish”, in: Arnold, Jennifer/Blake, Renee/Davidson, Brad (eds.): Sociolinguistic variation: Data, theory, and analysis. Stanford: Center for the Study of Language and Information, 85-99. — (1997): “Null pronoun variation in Mexican-descent children’s narrative discourse”, in: Language Variation and Change 9, 349-731. BENTIVOGLIO, Paola (1983): “Topic continuity and discontinuity in discourse: A study of spoken Latin American Spanish”, in: Givón, Talmy (ed.): Topic continuity in discourse: A quantitative cross-language study. Philadelphia: John Benjamins, 255-311. — (1987): Los sujetos pronominales de primera persona en el habla de Caracas. Caracas: Universidad Central de Venezuela. BENVENISTE, Émile (1971): “The nature of pronouns”, in: Problems in general linguistics 1, 217-222. CAMERON, Richard (1992): Pronominal and null subject variation in Spanish: Constraints, dialects, and functional compensation. Doctoral Thesis. Philadelphia: University of Pennsylvania. — (1995): “The scope and limits of switch reference as a constraint on pronominal subject expression”, in: Hispanic Linguistics 6/7, 1-27. CHOMSKY, Noam (1975): Reflections on language. New York: Pantheon Books. COWAN, Ron. (1995): “What are discourse principles made of?”, in: Downing, Pamela/ Noonan, Michael (eds): Word order in discourse. Amsterdam: John Benjamins. ENRÍQUEZ, Emilia (1984): El pronombre personal sujeto en la lengua española hablada en Madrid. Madrid: Consejo Superior de Investigaciones Científicas. FLORES-FERRÁN, Nydia (2002): Subject personal pronouns in Spanish narratives of Puerto Ricans in New York City: A sociolinguistic perspective. München: Lincolm Europa. — (2004): “Spanish subject personal pronoun use in New York City Puerto Ricans: Can we rest the case of English contact?”, in: Language Variation and Change 16, 49-73. FLORES, Nydia/TORO, Jeannette (2000): “The persistence of dialect features under conditions of contact and leveling”, in: Southwest Journal of Linguistics 19, 31-42. GUTIÉRREZ, Manuel (1989): Michoacán Spanish/Los Angeles Spanish: Trends in a process of linguistic change. Doctoral thesis. California: University of Southern California. — (1992): “The extension of estar: A linguistic change in progress in the Spanish of Morelia, Mexico”, in: Hispanic Linguistics 5(1-2), 109-141.

LENSO-21

23/1/09

12:32

Página 135

Shifting sensitivity to Continuity of reference

135

HARLEY, Heidi/RITTER, Elizabeth (2002): “A feature-geometric analysis of person and number”, in: Language 78(3), 482-526. HOCHBERG, Judith (1986): “Functional compensation for /-s/ deletion in Puerto Rican Spanish”, in: Language 62, 609-621. KLEIN-ANDREU, Flora (1985): “La cuestión del anglicismo: Apriorismos y métodos”, in: Thesaurus 40, 533-548. LABOV, William (1987): “The overestimation of functionalism”, in: Dirven, René/Fried, Vilém (eds.): Functionalism in linguistics. Amsterdam/Philadelphia: John Benjamins, 311-332. Reprinted in Labov, William (1994): Principles of linguistic change: Internal factors. London: Blackwell. LAPIDUS, Naomi/OTHEGUY, Ricardo (2005): “Overt nonspecific ellos in Spanish in New York”, in: Spanish in Context 2, 157-174. LINDBLOM, Björn (1986): “Phonetic universals in vowel systems”, in: Ohala, John/Jaeger, John and Jeri (eds): Experimental phonology. Dordrecht: Foris. LINDBLOM, Björn/MADDIESON, Ian (1988): “Phonetic universals in uconsonant usystems”, in: Hyman, Lary/Li, Charles (eds): Language, speech and mind. London: Routledge. LIPSKI, John (1996): “Patterns of pronominal evolution in Cuban-American bilinguals”, in: Roca, Ana/Jensen, John B. (eds.): Spanish in contact: Issues in bilingualism. Somerville: Cascadilla, 159-186. LÓPEZ-MORALES, Humberto (1992): El español del Caribe. Madrid: Editorial MAPFRE. MONTRUL, Silvina (2004): “Subject and object expression in Spanish heritage speakers: A case of morpho-syntactic convergence”, in: Bilingualism: Language and cognition 7, 125–142. MORALES, Amparo (1982): “La perspectiva dinámica oracional en el español de Puerto Rico”, in: Alba, Orlando (ed.): El español del Caribe: Ponencias del VI simposio de dialectología. Santo Domingo: Universidad Católica Madre y Maestra, 205-219. NETTLE, Daniel (1995): “Segmental inventory size, word length, and communicative efficiency”, in: Linguistics 33, 359-367. — (1999): “Functionalism and its difficulties in biology and linguistics”, in: Darnell, Michael/Moravcsik, Edith/Noonan, Michael/Wheatley, Karen (eds.) Functionalism and formalism in linguistics: Volume I. Amsterdam: John Benjamins. NEWMEYER, Frederick (1998): Language form and language function. Cambridge: MIT Press. OTHEGUY, Ricardo/LAPIDUS, Naomi (2003): “An adaptive approach to noun gender in New York contact Spanish”, in: Núñez-Cedeño, Rafael/López, Luis/Cameron, Richard (eds.): A romance perspective on language knowledge and use. Amsterdam: John Benjamins, 209-229. OTHEGUY, Ricardo/ZENTELLA, Ana Celia (2007): “Apuntes preliminares sobre el contacto lingüístico y dialectal en el uso pronominal del español en Nueva York”, in: Cameron, Richard/Potowski, Kim (eds.): Spanish in contact: Educational, social, and linguistic inquiries. Amsterdam/Philadelphia: John Benjamins. OTHEGUY, Ricardo/ZENTELLA, Ana Celia/LIVERT, David (2007): “Language and dialect contact in Spanish in New York: Towards the formation of a speech community”, in: Language 83(4), 770-802.

LENSO-21

23/1/09

136

12:32

Página 136

Naomi Lapidus Shin/Ricardo Otheguy

SHIN, Naomi Lapidus (2006): The development of null vs. overt subject pronoun expression in monolingual Spanish-speaking children: The influence of continuity of reference. Doctoral thesis. New York: The Graduate Center of the City University of New York. SHIN, Naomi Lapidus/OTHEGUY, Ricardo (2007): Spanish subject pronoun use among Caribbean bilinguals in New York City: Diminishing sensitivity to continuity of reference. Paper presented at AAAL, Costa Mesa, California. SILVA-CORVALÁN, Carmen (1982): “Subject expression and placement in Mexican American Spanish”, in: Amastae, John/Elías-Olivares, Lucía (eds.): Spanish in the United States: Sociolinguistic aspects. Cambridge/New York: Cambridge University Press, 93-120. — (1986): “Bilingualism and language change: The extension of estar in Los Angeles Spanish”, in: Language 62, 587-609. — (1994): Language contact and change. New York: Oxford University Press. SORACE, Antonella (2004): “Native language attrition and developmental instability at the syntax-discourse interface: Data, interpretations and methods”, in: Bilingualism: Language and Cognition 7, 143-145. TORIBIO, Almeida Jacqueline (2004): “Convergence as an optimization strategy of bilingual speech: evidence from code-switching”, in: Bilingualism: Language and Cognition 7, 165-173. TRAVIS, Catherine E. (2007): “Genre effects on subject expression in Spanish: Priming in narrative and conversation”, in: Language Variation and Change 19, 101-135.

LENSO-21

23/1/09

12:32

Página 137

CODE-SWITCHING AND DISCOURSE STYLE IN A CHICANO COMMUNITY MARYELLEN GARCÍA University of Texas at San Antonio

This study explores the nature of ‘codes’ in a Spanish-English bilingual Chicano community in Texas in which education in English and the use of Spanish as a home language have produced bilinguals. In this chapter, sociolinguistic notions of marked vs. unmarked codes in the code-switching literature are challenged, as are notions of style and the observer’s paradox in what is considered the prototypical sociolinguistic interview. Using representative discourse samples from interviews with two Chicano speakers, it is possible to distinguish among code-switching types, revealing qualitative and quantitative differences among them. At the beginning of the interviews, the speakers are careful to use Spanish as the matrix language, as requested, with some code-switching for lexicon, phrases, and discourse markers. However, by the latter part of the interview, speakers use a mix of Spanish and English in larger discourse chunks, which appears to be representative of a much more informal code-switching style. The community norm seems to emerge as the familiarity between speaker and hearer increases and the interviewee settles into the content rather than the form of the interaction, as predicted by Labov (1972). The explanation for the shift in style suggested here is based on work in another Mexican-heritage community, in which the sincerity of the interlocutor was reported by a community insider to be the most valued aspect of the interaction. Although the interviewers in the present study were known to be collecting information on behalf of a university, these two bilingual speakers appeared to view them as neighbors or ethnic insiders, with the result that the social distance was minimal and the interviewee could speak sincerely. The interactional frame of the interview was secondary to its conduct as a simple conversation, allowing for the speakers’ informal code-switching style.

Introduction As long as code-switching has been a topic for serious linguistic study, switching languages inter- and intra-sententially has been associated with a speaker’s cre-

LENSO-21

23/1/09

12:32

Página 138

138

MaryEllen García

ation of symbolic social meaning, whether conscious or not. Early researchers in Spanish-English bilingualism concluded that each language can index aspects of its associated culture (e.g., Gumperz & Hernández-Chávez 1972, Valdés 1982 [1976], Álvarez 1991, Elías-Olivares 1995), whether for situational reasons or for metaphorical ones. The functions of code-switching in discourse, however, are distinct from the function of code-switched discourse. The former can be considered discretely and represent a number of perspectives, many of which are well known in the literature. The latter type has only recently begun to be explored (e.g., see Auer 1998). Among other recent approaches is the Markedness Model of code-switching, which explains functional motivations in terms of a speaker’s ‘marked’ and ‘unmarked’ code choices (Myers-Scotton 1993, 1998, 2002, Myers-Scotton & Bolonyai 2001). This study explores whether the Marknedness Model is useful in explaining language choice in two interviews which serve as in-depth case studies of codeswitching behavior in the Spanish- and English-speaking Chicano community of San Antonio, Texas. Although it is a receding language here, there are many adult speakers whose education in English and use of Spanish as a home language have made bilingualism expected of local speakers (García 2003). In this exploration, which relies on tape-recorded interview data, the question of authenticity of the speech sample is also addressed, i.e., how does the speech in this situation, presumably a public, on-record performance, relate to unmonitored, private codeswitching behavior? In effect, this calls to mind the ‘Observer’s Paradox’ (Labov 1972), a well-known problem in sociolinguistic methodology. This so-called paradox can be a problem for authenticity by inhibiting a speaker’s unguarded verbal production. As articulated by Milroy (1987: 59), “if [...] dialect or language switching is the focus of study, there is little chance of uncovering the organizational principles underlying code-switching behaviour unless a means can be found of penetrating the barrier of careful, publicly legitimized language use erected by most speakers”. The implicit assumption expressed here of a language use “barrier” will be questioned, which can, in turn, question the extent to which the notion of the Observer’s Paradox is useful in research in minority communities.

The conceptual framework A MODEL FOR CODE CHOICE This investigation of the function or social meaning of code-switched discourse acknowledges that in situations of language contact one language is often associ-

LENSO-21

23/1/09

12:32

Página 139

Code-switching and discourse style in a Chicano community

139

ated with the home culture and the private domain and the other with school, officialdom, and the public domain, as in diglossia. This type of dichotomy between the private and the public language is implicit in Myers-Scotton’s ‘Markedness Model’ (also known as an “interactional paradigm” 1993: 49), in which one language is unmarked and the other is marked for use among bilinguals in a community, although she allows that a mixed code may also be an unmarked choice. This perspective, amplified in the ‘Rational Choice’ model (Myers-Scotton & Bolyani 2001, Myers-Scotton 2002), models code selection as purposive, rational behavior, defining as codes the languages, dialects, styles, and so on, available in a speaker’s linguistic repertoire (Myers-Scotton 2002: 206-208). The speaker, in effect, weighs the choices and selects the one which offers the greatest personal benefits. The criterion for a ‘marked’ choice is the language that is used less frequently among the interlocutors in the naturalistic, everyday situations which comprise the author’s data. In Myers-Scotton’s view, “a linguistic choice reflects the presentation of one identity rather than another, [...] whose realization is being negotiated by the code choice” (2002: 206). Myers-Scotton uses the ‘Projection of Complementizer’ or CP (2002: 210) as the syntactic unit, corresponding to a clause, on which to base her frequency counts to determine the ‘marked’ and ‘unmarked’ language choices. The ‘unmarked’ choices would be the most frequent in a speaker’s production. While the present analysis would like to use this model to test whether code-switching in a specific Chicano Spanish-English community is an ‘unmarked’ choice among in-group members, the fact that the sociolinguistic interview is a special kind of speech event that usually involves two people who know each other only slightly and whose rights and obligations in the interaction are dictated by the role of ‘interviewer’ and ‘interviewee’ means that the choice of a linguistic code is likely to be the purview of the interviewer. Further, if the interviewer is not a member of the local community and does not switch from a single code, should code-switching by the interviewee be interpreted as ‘unmarked’ in the same sense as for in-group members? As an alternative hypothesis, language choice in sociolinguistic interviews in this community may reflect not necessarily the situated speech event roles of the participants, but simply the interviewee’s perception of them as interested bilingual interlocutors. This approach acknowledges the importance of the sociohistorical dimension of group and ethnic identity in a given locale (Pavlenko & Blackledge 2004), in view of the fact that “when identities are negotiated, interactional strategies are informed and understood through larger societal ideologies of language, power, and identity, specific to a particular time and place” (p. 28). The predictions of the Markedness Model will be tested in this study by counting the number of CPs in a turn in Spanish, supposedly the unmarked language of this group,

LENSO-21

23/1/09

12:32

Página 140

140

MaryEllen García

compared with code-switching or English. As CP analysis depends on full clauses as its relevant units and code-switching within clauses may muddy the analysis, counting the percentage of words in each language per turn will also be considered in identifying a code-switching style.

BILINGUALISM IN SAN ANTONIO A shared ethnicity among speakers of the minority language has often served to explain the choice of the ethnic language in informal interactions in private domains. However, in a community such as San Antonio, code-switching between English and Spanish can be another in-group variety, self-labeled by its speakers as “Tex-Mex” (Richardson 1999: 185, García 2003) and not true Spanish. While it is unclear what proportion of the city’s population today is fluent in Spanish, at least 55% is Hispanic/Latino, and over 80% is of Mexican heritage. As with many ‘locales’ in Texas (Sánchez 1998 [1984]), the hegemony of English in San Antonio was prevalent, particularly in the post WWII years (Sawyer 1975). Speaking Spanish in public domains was negatively sanctioned. Speakers of Spanish were effectively segregated into their own neighborhoods, not only by poverty, but also by restrictive covenants of land ownership in the more prosperous parts of the city. The status of Spanish was elevated in San Antonio once the covenants were lifted and ethnic integration became possible; further, Mexican heritage citizens in the 1970s and 1980s became upwardly mobile, became more politically powerful, and became more fluent in English (García 1996). And although many Mexican Americans were able to move away from their former enclaves of the West and South Sides, second and third generation Chicanos were still linked to those areas by family ties and personal histories of having attended school there. Therefore, for Mexican Americans, ethnicity and its manifestations not only index a shared history of marginalization and linguistic oppression, but also one of triumph over societal obstacles to success.

STYLE AND THE SOCIOLINGUISTIC INTERVIEW Most studies of code-switching in Latino communities have been done with taperecorded data, whether elicited in interview situations (e.g., Lance 1975, Pfaff 1982, Poplack 1982, Silva-Corvalán 1983), or in naturally occurring speech situations (e.g., Gumperz & Hernández-Chávez 1975, Valdés 1982, Elías-Olivares 1995). There is always the possibility that the tape-recording itself alters the dynamics of any speech situation from informal and unguarded to a more formal, guarded style. The artificiality of the linguistic interview has been observed and

LENSO-21

23/1/09

12:32

Página 141

Code-switching and discourse style in a Chicano community

141

commented upon by many; to quote just one researcher, “linguistic interviews [...] do not constitute a genre in any speech community” (Paradis 1996: 116). Nevertheless, there is an expectation that the awareness of being observed wanes within a given period and the style that eventually emerges is a more informal one, although it may not be the most informal in the speaker’s repertoire. The matter of defining what constitutes linguistic style is not uncontroversial (see Eckert & Rickford 2001). Monolingual speakers are assumed to be able to manipulate their language along dimensions of formality in response to the demands of their daily lives. In the Labovian tradition, within the constraints of the sociolinguistic interview, style is the change in the features of a linguistic code which can become more formal as more attention is paid to speech (Labov 1972, 2001). It is assumed that an interview situation, particularly one that is tape-recorded between previously un-acquainted speakers, does not elicit the subject’s most informal speech style. In fact, it presents the Observer’s Paradox, a well-known problem in data collection via the interview, i.e., that the researcher wants the type of speech that would be produced when the speaker isn’t being observed, but in order to record it, s/he must be present as an observer. Bell’s audience design model (1984, 2001) disputes the importance of attention paid to speech, but rather has as its explanation how speakers view their interlocutor(s). Bell predicts that the topic and setting will have less of an effect on style than interpersonal considerations will. It is axiomatic that the best sociolinguistic data is informal speech obtained in the least monitored speech situations. Milroy reports that her participant observation in a Belfast community led to her unusual access to extremely informal speech situations with one family. One insight gained from this is that “after a certain time has elapsed, individuals will interact with the researcher just as they will with anyone else, notwithstanding the possible inhibiting effect of recording equipment” (1987: 90). It is the consensus from experienced researchers, then, that an informal speech style may be inhibited by a monitored speech situation, but can be positively influenced by the topics of the interaction, the interlocutors, and the familiarity of the researcher with the speaker. The present study does not offer a different definition of style, nor is it an exploration of different speech styles in San Antonio’s Mexican heritage population, although there is a great need in minority communities for more studies in this area (cf., Baugh 2001). Rather, my goal here is to determine whether the traditional sociolinguistic interview inhibits style variation of Chicano bilinguals in this community by suppressing or limiting code-switching. Such a result would not be unusual, given the metalinguistic awareness of many speakers that a mixed style is not a “true language” (Jacobson 1982: 182, Anzaldúa 1999: 59). For this

LENSO-21

23/1/09

12:32

142

Página 142

MaryEllen García

reason, it will be of interest to examine how widely the speaker will shift away from the language choice of the interviewer as an indication of their own perception of an appropriate speech style in this situation.

Methods and data The data for the current paper come from tape-recorded interviews carried out in San Antonio and environs by me, my students, or other fieldworkers trained by me as part of a larger project. The requirements for inclusion were that the speakers be of Mexican heritage, that they be from San Antonio or other parts of South Texas and not south of the Mexican border, and that they agree to be interviewed in Spanish. If these requirements were met, the interview was scheduled and carried out, regardless of their fluency in the language. Usually they could also speak English and often arrangements for the interview were made in that language. Every interview was framed as such, with cues given verbally and visually. To gain access, the interviewer asked the prospective interviewee if s/he could be granted at least one hour and possibly more time to be interviewed. Fieldworkers were instructed not to conduct interviews at restaurants or other places with background noise; similarly, they were asked to try not to conduct them at the interviewee’s job or place of business because of potential interruptions. The interviewee’s home was felt to be the place most appropriate for the interview, but this could pose problems in mixedsex interview pairs. It was difficult to adhere to all of the desired conditions, and even the home could not be counted on to be a place for an uninterrupted session. The interviewer would arrive at an appointed time to begin the session. The fact that the interaction was not an informal conversation was established by the physical presence of a stereo cassette tape recorder and a request that the interviewee wear a lavalier microphone. The interviewer might also do a sound check before proceeding with a pre-determined set of background questions to get personal information from the interviewee, including birthplace, date of birth, and place(s) of residence for the early, formative years. The responses to these questions were written down on pre-printed forms as responses were given. The interview questions were intended to probe the interviewee’s own expertise and were organized in related modules that focused on life experiences and personal opinions. They were not memorized but rather in plain view of the interviewee on a printed page that the interviewer could consult during the session and might be seen to be reading. The verbal and visual cues indicated that the interaction was not casual conversation. The normal rights and obligations between an interviewer and an interviewee were observed, that is the former asked the questions and the latter

LENSO-21

23/1/09

12:32

Página 143

Code-switching and discourse style in a Chicano community

143

responded to them. The purpose of framing the interaction in this fashion was precisely to elicit the most formal style of Spanish possible, calling on the subject’s metalinguistic awareness of a formal speech situation. At the beginning of the project, it was not known whether code-switching would be a significant speech style or not in the interview.

Interview case studies The following discussions are case studies of two different interviews, two performed by a member of the same group, i.e., Mexican American (Chicano), and one by a member of another ethnic group. The characteristics and previous relationships of the participants are described as fully as necessary to establish what interpersonal factors might be in play; the setting is also described. The language uses in these case studies are examined qualitatively and quantitatively.

CHICANA INTERVIEWER In the first case, the author had arranged to speak with an older sister of a longstanding friend in June 1994. My friend’s sister knew that I taught at the local university. She herself had retired from her job as an accountant at a local Air Force facility that had employed many Mexican American workers. While I had never spoken to her at length, we had both attended a family party at the home of my friend in the recent past, so I was not a complete stranger. The setting, our shared ethnicity and my previous relationship with the family, clearly made for a difference in footing from that of typical interview situations. We sat in the living room of her home one afternoon, I with my clipboard holding my interview questions and the tape-recorder in plain view. During the interview I found her (IM) to be rather quiet, but she eventually became more talkative. The type of code-switching from Spanish, evident during the first part of the interview, the ‘getting-acquainted’ section, is of a very limited sort. Excerpt 1 IM =Y, se vinieron y, y llegaron aquí a San Antonio. Y mi papá era muy, uhh, muy comerciante. El empezó un negocio. Y, este, vendía huevos. Y también, este, o, ah– pusieron una tienda, de abarrotes. Y mi mamá se entendía de la tienda. Y mi papá del negocio de, uhh, WHOLESALE EGGS.1

1

The transcription conventions include all caps for English phonology, a dash for an incomplete or interrupted sentence, and the usual latching (=) and overlap (//) symbols. Other-

LENSO-21

23/1/09

12:32

Página 144

144

MaryEllen García

INT ¿Te acuerdas dónde, dónde quedaba, ehh, ese negocio? IM Aquí en la calle GENERAL McMULLEN donde tiene mi hermano, NORMAN, la tienda ahora. Después de muchos años– Pasaron muchos años– ahh, después que falleció mi papá. Entonces, ahh, NORMAN le compró la tienda a mi ‘amá. Y ahora tiene la tienda. Tiene, ah, una WASHETERIA y tiene CAR WASH. (IM, 61, f, ret. accountant, p.6; CS=9/96=9%)2

The switches to English evident here are for single words such as proper names and other local and mainstream-culture nouns. Not counting hesitation markers, the interviewee produced 9 switches of a total of 96 words in her two turns, for a switching index of only 9%. This type of switching clearly uses Spanish as the matrix language, falling into Muysken’s typology as Type 2: “Insertion in which a single constituent B is inserted into a structure identifiable as belonging to language A” (2000: 7-8). This is discussed as ‘insertion’ by Gardner-Chloros and Edwards (2004: 121), in which one language accounts for the main verb and most of the functional elements. The CPs are all in Spanish. Later in the conversation the interviewee produces a different switching style, such as in Excerpt 2. Excerpt 2 IM Pero hace muchos años y que, este, cuando mi hermana mía compró para allá, para cerca de INGRAM. Entonces compró esa casa muy bonita. Y le dije yo, “Pos no. Nojotros nos vamos a tener que quedar aquí.” Sí. Eh, WE EITHER WANT TO SEND OUR KIDS, OUR, OUR CHILDREN TO COLLEGE OR WE WANT A NICE HOME. SO, nojotros dijimos, mejor mandarlos al colegio. Y aquí hemos vivido siempre. Y yo estoy segura que si hubiéramos comprado una casa grande y bonita se me hace que no hubiéramos podido mandarlos al colegio y mi hija grande, ella, ah, bueno, todos– Siempre la educación era lo primero. Eh, ella fue a PROVIDENCE HIGH SCHOOL, de ay sacó ah, SCHOLARSHIP. Y fue a NOTRE DAME IN INDIANA. Y después ella sacó su PHD de, de UCLA. //Umm!// Y allí se quedó.//Ah!// (IM, 61, f, ret. p.31; CS=30/131=22%)

The matrix language or ML is still recognizable as Spanish, with only a slight hesitation prior to the insertion of a complex sentence in English, equivalent to two CPs (out of 19 total). However, there is no change in the participant structure

2

wise, conventional orthography is used. No grammatical changes have been made in words or expressions uttered in non-standard Spanish. Pseudonyms are used for names of people mentioned by the speaker. The speaker is identified after each excerpt by her initials, age, whether male or female, and occupation. The code continues with the page of the transcript for the excerpt, and the percentage of code-switched words.

LENSO-21

23/1/09

12:32

Página 145

Code-switching and discourse style in a Chicano community

145

or the topic that explains this brief use of English. This switch, in fact, appears to contain affective content, as it is important to the interviewee that her children get a good education. Linguistically, the speaker proves quite adept at producing a complex contrary to fact structure in Spanish on the same topic in the same turn, so limitations in proficiency do not seem to explain the switch to English. In this discourse segment, about 40 minutes into the conversation, there are 30 switched words out of 131, for a switching index of 22% of English items into Spanish. The speaker seems to continue to cooperate with the interviewer’s language choice in returning to Spanish as the ML. Soon after this, the interviewee switches to English spontaneously and maintains that language for the greater part of her turn, as in Excerpt 3. Excerpt 3 INT =Y ¿qué está haciendo ella ahora? IM Ahora, ella está trabajando, ah, aquí lo tengo escrito. [RISA] Está trabajando, este, por la companía de, si llama MCNAME.3 Es una PHARMACEUTICAL COMPANY. UH, SHE IS ASSOCIATE MANAGER FOR CLINICAL AFFAIRS.//Ah-hah.// SHE GOES, YEAH, SHE SHOULD BE IN JAPAN RIGHT NOW. //Ah//=SHE’LL, SHE’LL, SHE GOES TO PARIS, SHE GOES– La úl, bueno, la última tarjeta, postal que me mandó fue de BELGIUM. //Ahhah// AND SOMETIMES SHE COMES HERE TO SAN ANTONIO TO UTSA, AND SHE CALLS ME– SHE’S GOT HER TELEPHONE– SHE CALLS ME FROM UP FROM THE PLANE. SHE SAYS, “MOM, I’M GONNA BE AT UTSA, AND I’M GONNA BE THERE AT THE HOUSE THIS AFTERNOON”. //=Oh.//=Sí. El esposo de ella es ah, ah, ATTORNEY AT LAW.//Ah.//=Sí. Sí. Pero viven allá en SXX MXX. (IM, f, 61, ret. p.32; CS=66/120=55%)

While this switched turn begins in Spanish, the switch to English is done without hesitation or other markers of communicative distress which might indicate fluency problems (Silva-Corvalán 1983: 76-77). The apparent triggers for the switches to English are “pharmaceutical company” and “Belgium”, lexicon not associated with the home domain. They occur approximately 40 minutes into the conversation, in which I, as interviewer, have not switched except for proper nouns, as in this interviewee’s earlier turns. The type of code-switching in this segment changes from intra-sentential to intersentential and back again. The switches to English seem to be associated with discourse topic, prompting the speaker’s completion in the same language. The

3

The names of companies and people are changed throughout this chapter. ‘UTSA’ is the name of a local public university in the area.

LENSO-21

23/1/09

12:32

Página 146

146

MaryEllen García

final switch to Spanish, save for the term from mainstream culture, “attorney at law”, resumes the interviewer’s language choice which has been the main language of the interview. The number of CPs in this turn is 8 out of 16, not counting repetitions of verbs without complements, which indicates that the ML changes several times. Also indicative of a different code and arguably a style shift is the number of words in this turn in English, 66/120 or 55%, greatly different from her previous discourse turns. In expressing herself in this way, she does not apologize or otherwise display behavior that would ‘mark’ these switches to English as being uncooperative with the interviewer’s goals. In view of the content of this turn, that is her daughter’s successful career, travel and marriage, I infer that either English or a code-switching style is as likely as Spanish to be used in speaking about her daughter and probably with her, as she has been educated in English only.

SECOND INTERVIEWER The second sample I consider was conducted in 2001, by a student of mine who interviewed a neighbor of his (GG). He was not an ethnic group insider. An African-American native speaker of English, his Spanish was halting and marked by learner interlanguage. However, his manner was shy and sincere, which clearly influenced the interaction. Further, he interviewed a much older woman, as she was 74 and he only 40. Although previously acquainted, he had not spoken to his neighbor at length before this, and in that sense it was typical of sociolinguistic interviews in which the interviewer has only a casual acquaintance with a prospective interviewee. Hers is a more dialectal, rural Spanish than that of the previous speaker. The first discourse segment I consider is Excerpt 4. Excerpt 4 GG ¡Amigos! Con amigos, y de ahí que encontré ma– El único amor que fue mío fue mi esposo, este, Jesús, //Ahá// que le decían JESSE. INT //Ahh//, y,y, ¿Dónde se conocieron? GG Los conocimos, él fue, e, e, este, al, yo iba a la escuela, a la HIGH SCHOOL de Saspamco y él gradó de FLORESVILLE, //Ahh// y él, él venía, él vivía en esa vec, esa vecindad, en, en Saspamco. INT Sí, ahh. UH, y ¿Cuántos UH, UH, hijos tienen? GG Yo tengo ‘más dos. Una hija y un hijo. INT Ahh, sí. //UM HUM// Y, UH, ¿Ellos hablan español? GG Este, hablan, este, s–, habla en inglés, hablan en inglés, pero mi hijo como ‘sta con el gobierno tuvo que aprender ‘spañol porque es como un INSTRUCTOR de

LENSO-21

23/1/09

12:32

Página 147

Code-switching and discourse style in a Chicano community

147

que enseña, YOU KNOW, estudiantes. (GG, f, 74, janitorial maintenance, p.4; CS=6/101=6%)

This discourse segment, in which there is exposition of the interviewee’s life, is similar to Excerpt 1 from IM in that the switches are for proper names or isolated words associated with semantic fields in English, and occasional discourse markers (Muysken’s Type 2). There are 11 CPs on the part of the interviewee (not counting incomplete clauses), all with the ML of Spanish. This discourse segment has the interviewee switching for only 6% of her total words, which appears to be a baseline discourse style for her Spanish. In Excerpt 5, we can hear the interviewee venture into more English language semantic fields as she produces more phrases and sentences in English. Excerpt 5 INT Sí, ¿Do, do, dónde viv, donde viven uh, sus hijos? GG Mis hijos, mi hija vive uh, cerca de WINDSOR PARK MALL, este, mi hijo vive en ¿Cómo le dicen? Uh, cerca de POTRANCO y CULEBRA. Ahí tiene, hi, hi, hizo una casa //Ahh// que dis– con el gobierno, ¿viste? El gobierno le ayudó y ahí es ‘onde creo yo que se va a quedar él, y dice él, pues yo sabiendo que ‘horita no puede salir, //Ahá// y dice que puede comprar otra casa más como pa’ fuera, pa’, como pa’ HELOTES o CASTROVILLE que //Sí// le gusta como THE SPACES, OPEN SPACES, //Ahh// como un rancho. //Ahh//, Sí, ándale //Uh-huh//. Pero creo yo y ah, si me enfermo pues puedo, voy, voy al NURSING HOME porque yo tengo, tengo arregla’o todo de que me ayudan con eso, pero no quiero ir al NURSING HOME.//Ahá// I DON’T LIKE NURSING HOMES. No me gusta– //Ahhah// Uh-huh. Pos sí me gusta mucho, ‘toy muy contenta aquí //Ah-hah//y este, y tengo muy buenas amigas y, y, y, este, y me gusta el trabajito. No es mucho el trabajo. No es un trabajo fino, pero me ayuda pa’ mo–, pa’, pa’ KEEP GOING ¿Cómo se–? //Sí, Ah-huh//. (GG, f, 74, janitorial maintenance, p.22; CS=21/183=11%)

Here, the switches are not only to English for mainstream cultural references, but also for expansions on those thoughts. Even though the switching is not extensive, this segment shows that the interviewee depends on both languages to express emotional content, as in “I don’t like nursing homes”. While clearly fluent in Spanish, she calls on English to fill certain untranslatable gaps, as in the expression “keep going”. This segment illustrating Type 2 –insertional switching– shows a greater percentage of switches than previously, 21 out of 183 or 11%. In terms of CPs, there are 19, of which only one is in English. The switch to English for emotional content suggests that English is not a distancing language, but one that the speaker uses as part of her linguistic repertoire in addition to Spanish for her innermost thoughts. In this discourse segment, the switch appears to mark the importance of the thought, which she then begins to repeat again in

LENSO-21

23/1/09

12:32

Página 148

148

MaryEllen García

Spanish. After the first fifty-five minutes of the conversation, the interviewee has warmed up to the current topic of her family. This discourse is expository, with some narrative included. She enthusiastically dominates the interaction and the language choice of what began as an interview. Again here, the speech seems to be unconstrained as to language choice. Excerpt 6 INT Qué coincidencia, es donde, donde vive mi hermana. GG Güeno, sí, allá viven ellos y tiene una casa muy hermosa, que tiene una casa grandota y es, ella trabaja, él trabaja, y las hijas, pues, a la escuela //Sí//. Pero él jue él primero– Entró a como ser como //um-hum//, Estudió pa’ PRIEST, porque quería ser PRIEST. //Ahá// Pero no, ya que iba llegando a lo más alto //Ahh// pudo, no pudo que– HE COULDN’T TAKE IT BECAUSE IT WAS TOO MUCH. //Ahh// HE HAD TO GET OUT //Sí// Pero, THEN HE WORKED AND HE MET THIS LANI, THIS YOUNG LADY, HE MARRIED HER. Tienen esas dos muchachas, ya no tienen más familia. //um-hum// Ahá. [Showing photo] Pero esa es mi familia, sí. Pero los tengo como, son cuando ‘taban chiquitos y ‘hora grandes. Esta es Ester. SHE’S SMART, SHE’S GOING OUT WITH A PILOT que ‘horita– //Ahh// Ayer íbamos uh, saliendo y anda con uno que se llama MARTIN. Quién sabe, como que tienen un BIG AREA, este, en, en CASTROVILLE. THEY HAVE A BIG FARM AND EVERYTHING. Tienen muy, tienen muy, y él ‘ta muy educa’o. HE JUST MADE CAPTAIN //Ahh//. Y ya íbamos caminando y dijo ma–, dijo, “GRANNY”, este, “’horita va a salir MARTIN”, uh, y este, “y le va, va pa’l FLYING AN AIRPLANE de esos grandotes”//Sí//. “Salimos y– (GG, f, 74, janitorial maintenance, p.36; CS=59/207= 28%).

In this exposition, the interviewee talks about her second cousins. Occurring well into the second segment of the hour-and-a-half interview, there are ten full clause switches (CPs) into English as well as the one word switches previously noted. The number of switches into English by word count is 59 out of 207 or 28%. This can be categorized as the alternation type of code-switching (Muysken’s Type 1) in which the grammars of the two languages are compatible and allow for similar constituents. But how does the speaker use her discourse options? An interesting repetition in Spanish occurs when GG speaks about her relative changing his mind about becoming a priest. The switch to English seems to be a more satisfying way for her to express why he changed course. Qualitatively, her commentary shifts between languages in a complementary fashion which together present the discourse topic fully. The analyst’s observation that there are both intra-sentential and inter-sentential switches in this speaker’s turn fails to recognize the stylistic work

LENSO-21

23/1/09

12:32

Página 149

Code-switching and discourse style in a Chicano community

149

being done here, and that this style, in contrast to her primarily Spanish style, perhaps allows her to exploit more fully her own bilingual resources. Soon after this, the interviewee hits a topic in which she switches to English almost completely, as shown in Excerpt 7. It prompts an extended discourse segment that merits examination in full. Excerpt 7 INT Ahh, TURKEY, Ahh. GG TURKEY. HE IS A PILOT. //OH!// HE IS A, HE IS, HE IS A GOOD, HE’S VERY S- HE’S A VERY FIRST GENTLEMAN, FINE GENTLEMAN, BUT I DON’T KNOW IF Ester’LL GET MARRIED, porque THEY’VE BEEN GOING OUT WITH EACH OTHER FOR A LONG TIME /Sí//Ahá, SEE, MY GRANDAUGHTER WILL BE TWENTY NINE y él tiene la misma edad de ella, casi. //Ahh// Pero es muy, muy educa’o, viene FROM A VERY WEALTHY FAMILY //Ahá// SO, I’M NOT GONNA SAY THEY GONNA MARRY, BUT THEY’RE JUST GOING AROUND WITH EACH OTHER //Sí// AND HAVING A GOOD TIME AND ALL THAT. //um hum// SHE, SHE, HE HAS A THOSE CESSNA PLANES? //CESSNA, sí// Ahá, CESSNAS, AND HE TAUGHT Ester HOW TO, HOW TO DR– HOW TO PILOT IT, IN CASE OF AN EMERGENCY THAT SOMETHING WILL HAPPEN, BUT THEY WERE– //Sí//, THEY FLY FROM HERE IN A CESSNA TO CORPUS, y d, d,– OH! HE, SH, SHE’S– THAT’S WHY SHE DOESN’T (GET MARRIED), SHE’S HAVING A BALL, A, A, GOOD TIME, AND HE’S A VERY NICE GENTLEMAN. //Sí// Sí, AND AND I MET HIS, YESTERDAY THAT I WENT TO CASTROVILLE UH, MET HIS SISTER, AND SHE’S A BEAUTIFUL LADY. SHE’S MARRIED. SHE’S GOT A NEW BOY. AND SHE HAD A BOOTH BECAUSE IT WAS UH, LIKE A FESTIVAL THAT THEY HAD AT THE CHURCH //Sí, Ahh// THEY HAD A BOOTH AND CERAMICS AND ALL OF THAT. //Sí// BUT THEY WERE ANGRY. THEY HAD GOTTEN UPSET BECAUSE IT STARTED RAINING, //Ahh//, Sí, y ya no se les hizo, THEY HAD TO PUT UP THEIR THINGS THEY HAD. (GG, f, 74, janitorial maintenance, p.38; CS into Spanish=19/253 7.5%; English=92.5%)

The complete shift to English as the matrix language here, with very few codeswitches back into Spanish in the 35 CPs of this turn, shows the speaker’s fluent and idiomatic command of English. There is no reason to believe that this is due to a limited proficiency in Spanish. All the while the African-American interlocutor persists in Spanish as much as he can, in this instance limited to backchannel cues, mostly “sí” and “ahh”. While these cues prompt the speaker to echo his “sí” cooperatively, they do not inhibit her from reverting back to her exposition in

LENSO-21

23/1/09

12:32

Página 150

150

MaryEllen García

English. There is no evidence that any aspect of the interaction has been altered other than the speaker’s spontaneous shift to another language in her bilingual repertoire. Discussion and interpretation In both interviews, one with a Mexican American family friend and the other with an African American neighbor, who were only casual acquaintances of the speakers, language use goes from minimal switches from Spanish to English to a greater frequency and complexity of switches. While fieldworkers were careful to frame the interviews as such, initiated them in Spanish while taking notes and persisted in Spanish following an interview schedule, after a ‘getting acquainted’ period, the speakers began to introduce more and more English into their conversation. Minimally code-switched Spanish (Muysken’s Type 2) appears to be the linguistic variety used by the speaker at the beginning of the session, when we can assume that maximum attention is paid to speech. The use of this variety shows cooperativeness with the interviewer’s language choice and recognition of the initial request for an interview in Spanish. I interpret this as the traditional sociolinguistic ‘formal style’ for their Spanish in this situation, leaving open the possibility that they may also have a formal English style in their repertoire. However, after some time has passed and the interviewer continues to probe their interlocutor about her life, the type of code used by the consultant shifts gradually until there is a greater use of alternation in code-switching (Muysken’s Type 1) and greater use of monolingual English (i.e., largely English language CPs). It is important to note that the interviewer persists in a virtually monolingual Spanish even while the interviewee uses increasingly more English language switches. The participation structure, which privileges the interviewer, might dictate that the speaker always accommodate to their language choice when in fact, the interviewee does not seem extremely inhibited regarding language (or code) choice. Counting the number of CPs in one or the other language in these interviews is not at all helpful in determining an ‘unmarked code’ of the interview, or whether there is such a code in the community. This type of analysis fails because as only slightly acquainted interlocutors, there is no reason to suggest strategic manipulation of language choice based on shared community ideologies. However, it is possible to speculate on the interviewee’s alignment toward the fieldworker from her use of language as it changes over the course of the session. Any preconceived categories of in-group versus out-group are called into question as are the constructs ‘public’ versus ‘private’ talk. The greater willingness of these interviewees to increase code-switching and English as a matrix language suggests that they may be reinterpreting this as an event in the private domain, producing speech that is closer

LENSO-21

23/1/09

12:32

Página 151

Code-switching and discourse style in a Chicano community

151

to what community norms favor, contrary to the interview as a performance found in Ocracoke English (Schilling-Estes 1998). Rather than relating to her interlocutor as ‘interviewer’, the speaker’s realignment to the interlocutor as a person is shown as the mixing of languages increases. The asymmetrical power relationship and the short acquaintance do not persist as important psychological factors in inhibiting the use of the range of language choices available to the community. The speakers’ apparently free use of both languages in their turns reflects the community’s covert, internal, positive ideology of mixing languages, or as another local speaker has said, “Hablamos Tex-Mex” (García 2000). Other expressions of this Tejano ideology are found in the on-air code-switching of a local radio station (Bayley & Zapata 1993), the observation of a researcher in an Austin Chicano community (Elías-Olivares 1976: 182), and in the words of a noted Chicana writer from South Texas: Until I can accept as legitimate Chicano Texas Spanish, Tex-Mex and all the other languages I speak, I cannot accept the legitimacy of myself. Until I am free to write bilingually and to switch codes without having always to translate, while I still have to speak English or Spanish when I would rather speak Spanglish, and as long as I have to accommodate the English speakers rather than having them accommodate me, my tongue will be illegitimate. (Anzaldúa 1999 [1987]: 81)

The fact that both interviewers were bilingual, that both were engaged, interested listeners, and that they did not overtly claim rights associated with their roles as interviewers –for example they did not say Tenemos que seguir en español– perhaps made the speech event more like everyday conversation with anyone else. Another aspect of this interaction that linguists sometimes lose sight of is the importance of content over form. There is a great value placed on sinceridad in Mexican American communities as noted by Elías-Olivares (1995) in her research in a Mexican neighborhood in Chicago, in which “the traits that impress or persuade the members of this network are [...] honesty, the connection with the interlocutor, involvement rather than detachment, etc.” (1995: 234-235). One problem with assuming an ‘unmarked code’ of the Markedness Model is the expectation that both members of the community believe it appropriate or ‘unmarked’ to speak only one of their ‘codes’ with each other in the absence of special social meaning. That assumption is not true for this community. Employing more than one ‘code’ or speech variety in San Antonio does not obligate the interlocutor to code-switch in return. The behavior of these speakers in the face of the interviewers’ persistent use of Spanish serves to illustrate this, as do my many years of participant observation in this community. Further, the AfricanAmerican interviewer elicits extensive code-switching and use of English also, in

LENSO-21

23/1/09

12:32

152

Página 152

MaryEllen García

contrast to what is reported by Rickford and McNair-Knox (1994) for out-group interviewers in an AAVE context. These case studies also serve to question the construct of the ‘sociolinguistic interview’ as a speech event that is greatly different from one occurring naturally in a Chicano speech community. Despite the caveats expressed by Milroy (1987), the two speakers whose discourse is examined here do not seem to perceive this speech situation as a ‘test’, nor is the role of the interviewer ‘fudged’, nor does a ‘higher status’ interviewee take charge by becoming the questioner (Milroy 1987: 46-47). In fact, GG, who has higher status by virtue of her age with respect to her much younger interviewer, delights in being asked about her life and elaborates enthusiastically, often overlapping his backchannel cues. Interestingly, she offers a metalinguistic comment on the speech event towards the end which shows that she has not forgotten how it has been portrayed, saying “Me gustó mucho el INTERVIEW”.4

Conclusions The notion of discrete languages as separate ‘codes’ may be an idealization imposed by language purists, an artificial construct defined prescriptively rather than one recognized at the community level. As noted in Hopper (2000: 9) with respect to a code-switched mode, the speakers are not selecting ‘codes’, but rather “just talking”. Interestingly, early researchers in Chicano bilingualism were reluctant to pigeonhole this behavior (Barker 1975: 171, Jacobsen 1982: 188) in terms of ‘codes’ and one observed it to be a simple manifestation of a speaker’s complete linguistic proficiency, that is, a single, bilingual communicative competence (García 1980: 72). Recent research on code-switching worldwide is beginning to question what constitutes a ‘code’ and how it fits linguistically and symbolically into the linguistic repertoires of bilingual communities (e.g., Alvarez-Cáccamo 1998, Meeuwis & Blommaert 1998). To summarize, this study has shown that code-switching style can vary greatly within the same speaker in the same speech event without accommodation switching by the interlocutor. The Markedness Model has not been useful here in predicting code usage in these interviews, as ‘markedness’ and ‘unmarkedness’ are explanatory only if both interlocutors strategically manipulate discrete codes

4

The response is part of an adjacency pair begun by the interviewer saying, “Muchas gracias”. GG replies, “No hay de– YOU’RE WELCOME, porque me gustó mucho el INTERVIEW.” (GG, f, 74, janitorial maintenance, p. 41).

LENSO-21

23/1/09

12:32

Página 153

Code-switching and discourse style in a Chicano community

153

according to community ideologies. The fluently bilingual speaker in San Antonio does not appear to have one supposedly ‘unmarked’ code for use with other Chicanos and simpático bilingual speakers, but at least four modes of speaking have been found here: Spanish, English, and at least two types of code-switching styles, one that is primarily Spanish called ‘insertional’ (Muysken’s Type 2), and another which is a free-wheeling code-switching discourse mode with varying percentages of language mixture or ‘alternation’ (Muysken’s Type 1). I have observed here that the stylistic constraints seen in Anglo communities for a typical sociolinguistic interview may not be as important in this Chicano community, despite Milroy’s (1987: 59) predictions of this speech event being a likely “barrier” to code-switching. This chapter provides evidence that a less linguistically restricted mode of expression can emerge as the familiarity between speaker and hearer increases and the former settles into the content rather than the form of the interaction, as originally predicted by Labov (1972). Although I cannot claim to have found a single informal community code-switching ‘style’ in the sociolinguistic sense, a community norm seems to have revealed itself as interviewees open up to a sympathetic listener, using the community repertoire of ‘codes’ or language choices to serve their own communicative ends.

References ÁLVAREZ, Celia (1991): “Code-switching in narrative performance: Social, structural, and pragmatic function in the Puerto Rican speech community of East Harlem”, in: Klee, Carol/Ramox-García, Luis A. (eds.): Sociolinguistics of the Spanish-speaking world: Iberia, Latin America, United States. Tempe: Bilingual Press/Editorial Bilingue, 271-298. ÁLVAREZ-CÁCCAMO, Celso (1998): “From ‘switching code’ to ‘code-switching’: Towards a reconceptualization of communicative codes”, in: Auer, Peter (ed.): Code-switching in conversation. Language, interaction, and identity. London: Routledge, 29-48. ANZALDÚA, Gloria (21999) [1987]: Borderlands, La Frontera: The new mestiza. San Francisco: Aunt Lute Books. AUER, Peter (1995): “The pragmatics of code-switching”, in: Milroy, Lesley/Muysken, Pieter (eds.): One speaker, two languages. Cross-disciplinary perspectives on codeswitching. Cambridge: Cambridge University Press, 115-135. BARKER, George C. (1975): “Social functions of language in a Mexican-American community”, in: Hernández-Chávez, Eduardo/Cohen, Andrew/Beltramo, Anthony (eds.): El lenguaje de los chicanos. Arlington: Center for Applied Linguistics, 170-182. BAUGH, John (2001): “A dissection of style-shifting”, in: Eckert, Penelope/Rickford, John E. (eds.): Style and sociolinguistic variation. Cambridge: Cambridge University Press, 109-118.

LENSO-21

23/1/09

154

12:32

Página 154

MaryEllen García

BAYLEY, Robert/ZAPATA, José (1993): “Prefiero español porque I’m more used to it”, Working Paper WP-02, Hispanic Research Center, The University of Texas at San Antonio. BELL, Alan (1984): “Language style as audience design”, in: Language in Society 13(2), 145-204. — (2001): “Back in style: Reworking audience design”, in: Eckert, Penelope/Rickford, John R. (eds): Style and sociolinguistic variation. Cambridge: Cambridge University Press, 139-169. ECKERT, Penelope/RICKFORD, John R. (eds.) (2001): Style and sociolinguistic variation. Cambridge: Cambridge University Press. ELÍAS-OLIVARES, Lucía (1976): Ways of speaking in a Chicano community: A sociolinguistic approach. Doctoral Thesis. Austin: The University of Texas. — (1995): “Discourse strategies of Mexican American Spanish”, in: Silva-Corvalán, Carmen (ed.): Spanish in four continents: Studies in language contact and bilingualism. Washington: Georgetown University Press, 227-240. GARCÍA, MaryEllen (1980): “Linguistic proficiency: How bilingual discourse can show that a child has it”, in: Padilla, Raymond V. (ed.): Theory in bilingual education. Ethnoperspectives in bilingual education research series 2. Ypsilanti: Eastern Michigan University Bilingual Education Programs, 52-74. — (1996): “War and peace: Spanish versus English in San Antonio”, in: Hoffer, Bates (ed.): The Twenty-Second LACUS Forum. Chapel Hill: LACUS, 343-355. — (2000): “Hablamos Tex-Mex: Language Ideology in Mexican-American Discourse”, Paper presented at the 18th Conference on Spanish in the United States, University of California at Davis. — (2003): “Speaking Spanish in Los Angeles and San Antonio: Who, what, where, why?”, in: Southwest Journal of Linguistics 23(1), 1-21. GARDNER-CHLOROS, Penelope/EDWARDS, Malcom (2004): “Assumptions behind grammatical approaches to code-switching: When the blueprint is a red herring”, in: Transactions of the Philological Society 102(1), 103-129. GUMPERZ, John/HERNÁNDEZ-CHÁVEZ, Eduardo (1972): “Bilingualism, bidialectalism, and classroom interaction”, in: Cazden, Courtney B./John, Vera/Hymes, Dell (eds.): Functions of language in the classroom. New York: Teachers College Press, 84-108. — (1975): “Cognitive aspects of bilingual communication”, in: Hernández-Chávez, Eduardo/Cohen, Andrew/Beltramo, Anthony (eds.): El lenguaje de los chicanos. Arlington: Center for Applied Linguistics, 154-163. HOPPER, Paul (2000): “The ideal of consistency in thinking about language”, in: Southwest Journal of Linguistics 19(1), 1-10. JACOBSON, Rodolfo (1982): “The social implications of intra-sentential code-switching”, in: Amastae, Jon/Elías-Olivares, Lucía (eds.): Spanish in the United States: Sociolinguistic aspects. Cambridge: Cambridge University Press, 182-208 LABOV, William (1972): Sociolinguistic patterns. Philadelphia: University of Pennsylvania Press. — (2001): “The anatomy of style-shifting”, in: Eckert, Penelope/Rickford, John E. (eds.): Style and sociolinguistic variation. Cambridge: Cambridge University Press, 85-108.

LENSO-21

23/1/09

12:32

Página 155

Code-switching and discourse style in a Chicano community

155

LANCE, Donald (1975): “Spanish-English code switching”, in: Hernández-Chávez, Eduardo/Cohen, Andrew/Beltramo, Anthony (eds.): El lenguaje de los chicanos. Arlington: Center for Applied Linguistics, 138-153. MEEUWIS, Michael/BLOMMAERT, Jan (1998): “A monolectal view of code-switching: Layered code-switching among Zairians in Belgium”, in: Auer, Peter (ed.): Code-switching in conversation. Language, interaction, and identity. London: Routledge, 76-98. MILROY, Leslie (1987): Observing and analyzing natural language. Oxford: Blackwell. MILROY, Leslie/GORDON, Matthew (2003): Sociolinguistics: Method and interpretation. Oxford: Blackwell. MUYSKEN, Pieter (2000): Bilingual speech: A typology of code-mixing. Cambridge: Cambridge University Press. MYERS-SCOTTON, Carol (1993): Duelling languages: Grammatical structure in codeswitching. Oxford: Clarendon. — (1998): “A Theoretical introduction to the Markedness Model”, in: Myers-Scotton, Carol (ed.): Codes and consequences: Choosing linguistic varieties. New York: Oxford University Press, 18-38. — (2002): “Frequency and intentionality in (un)marked choices in codeswitching: ‘This is a 24-hour country’”, in: International Journal of Bilingualism 6(2), 205-219. MYERS-SCOTTON, Carol/BOLONYAI, A.(2001): “Calculating speakers: Codeswitching in a rational choice model”, in: Language in Society 30(1), 1-28. PARADIS, Claude (1996): “Interactional conditioning of linguistic heterogeneity”, in: Guy, Gregory R./Feagin, Crawford/Schiffrin, Deborah/Baugh, John (eds.): Towards a social science of language, Vol. 1: Variation and change in language and society. Amsterdam/Philadelphia: John Benjamins, 115-133. PAVLENKO, Aneta/BLACKLEDGE, Adrian (eds.) (2004): Negotiation of identities in multilingual contexts. Clevedon: Multilingual Matters. PFAFF, Carol (1982) [1979]: “Constraints on language mixing: intra-sentential codeswitching and borrowing in Spanish/English”, in: Amastae, Jon/Elías-Olivares, Lucía (eds.): Spanish in the United States: Sociolinguistic aspects. Cambridge: Cambridge University Press, 264-297. [Original work published in Language 55(2), 291-318.] POPLACK, Shana (1982) [1980]: “‘Sometimes I’ll start a sentence in Spanish y termino en español’: Toward a typology of code-switching”, in: Amastae, Jon/Elías-Olivares, Lucía (eds.): Spanish in the United States: Sociolinguistic aspects. Cambridge: Cambridge University Press, 230-263. [Original work published in Linguistics 18(7-8), 581-618.] RICHARDSON, Chad (1999): Batos, Bolillos, Pochos, and Pelados: Class and culture on the South Texas Border. Austin: The University of Texas Press. RICKFORD, John/MCNAIR-KNOX, Faye (1994): “Addressee- and topic-influenced style shift: A Quantitative sociolinguistic study”, in: Biber, Douglas/Finnegan, Edward (eds.): Sociolinguistic perspectives on register. New York/Oxford: Oxford University Press, 235-376. SÁNCHEZ, Rosaura (1998) [1984]: Chicano discourse: Socio historic perspective. Houston: Arte Público Press. [Original work published in Rowley: Newberry House.]

LENSO-21

23/1/09

156

12:32

Página 156

MaryEllen García

SAWYER, Janet (1975): “Spanish-English Bilingualism in San Antonio, Texas”, in: Hernández-Chávez, Eduardo/Cohen, Andrew/Beltramo, Anthony (eds.): El lenguaje de los chicanos. Arlington: Center for Applied Linguistics, 77-98. SCHILLING-ESTES, Natalie (1998): “Investigating ‘self-conscious’ speech: The performance of register in Ocracoke English”, in: Language in Society 27, 53-83. SILVA-CORVALÁN, Carmen (1983): “Code-shifting patterns in Chicano Spanish”, in: ElíasOlivares, Lucía (ed.): Spanish in the U.S. setting: Beyond the Southwest. Rosslyn: National Clearinghouse for Bilingual Education, 69-88. VALDÉS, Guadalupe (1982) [1976]: “Social interaction and code-switching patterns”, in: Amastae, Jon/Elías-Olivares, Lucía (eds.): Spanish in the United States: Sociolinguistic aspects. Cambridge: Cambridge University Press, 209-229. [Original work published in: Keller, Gary/Teschner/Richard/Viera, Silvia (eds.): Bilingualism in the bicentennial and beyond. Jamaica: Bilingual Press. 62-85]

LENSO-21

23/1/09

12:32

Página 157

IDEOLOGÍAS LINGÜÍSTICAS

LENSO-21

23/1/09

12:32

Página 158

LENSO-21

23/1/09

12:32

Página 159

GLOBALIZATION, LINGUISTIC NORMS AND LANGUAGE AUTHORITIES: SPAIN AND THE PANHISPANIC LANGUAGE POLICY DARREN J. PAFFEY/CLARE MAR-MOLINERO University of Southampton

In the context of debates on global languages, this chapter takes a ‘top-down’ perspective in exploring the emergence of current panhispanic language policies, led by the Real Academia Española (RAE) and involving close collaboration with, amongst others, the Instituto Cervantes. The relationship between these two organizations has been depicted by a former RAE Director as “ministros de una misma iglesia; nosotros somos los padres conciliares y [el Instituto Cervantes] los misioneros” (García de la Concha 2005: 5). We argue that these policies shape, and are shaped by, widespread language ideological debates about standardization and language unity across the cohort of Spanish language academies and amongst language commentators in Spain, Latin America, and the U.S. We examine three facets of language policies currently being pursued by the Spanish government which we term: 1) the ‘internal’ policies, 2) the ‘external’ policies, and, of increasing importance and the central focus of this chapter, 3) the ‘panhispanic language’ policies. We critically analyze these policies and language planning practices, seeking to identify the agents that are responsible for enacting and implementing them. Of particular interest is the series of Congresos de la Lengua Española which plays an important role in policy development and promotion. This chapter considers how institutional language ideologies drive Spanish language spread in the global context of a linguistic ‘market’, noting that private business interests in Spain have awoken to the huge commercial opportunities offered by the Spanish-speaking markets and the selling of the Spanish language. We suggest that panhispanism has become synonymous for the RAE with globalization and ask what the consequences of this might be in situations of language contact with Iberian and American languages.

LENSO-21

23/1/09

12:32

160

Página 160

Darren J. Paffey/Clare Mar-Molinero

Introduction The purpose of this chapter is to explore and critically analyze current language policies being promoted by the Spanish government and associated institutions, and the impact that these have within the Spanish-speaking world. Previously, language policies could be identified in discrete and widely varying forums, from governmental level (both national and regional) to local and private institutions and businesses. We argue that now these policies are being framed and contested in an era of globalization which challenges the discreteness of policy-making where politicians might make laws and decisions defined by national debates and priorities, and confined within or across recognized national borders. We contend that Spain continues to see its role as leader in the defining, protecting, and promoting of the Spanish language, although this is now spoken by a global population that far outranks the actual population of Spain. At the same time, Spain, particularly in the shape of the Spanish government and business elites, has also come to recognize the enormous potential of Spanish as a lucrative and important commercial commodity precisely as a result of the spread of Spanish across the globe. Both of these considerations underpin and help define current language policies promoted from Spain. These are policies which react to and are designed to operate in situations characterized by linguistic contact of many different kinds, not simply the traditional geographical encounter at borders and through colonization. Today, the processes of globalization bring languages together more frequently and sometimes unexpectedly. In sociolinguistic terms, the effects are also different. Whereas typically in the past we might have spoken of language shift, revival or death, today we should consider such key processes of globalization that Coupland (2003: 467) has identified as “interdependence, compression across time and space, disembedding and commodification”. The spread of Spanish means that the global ‘interdependence’ of Spanish-speaking communities to one another and to other parts of the world system has a significant impact on the language itself. This results from the fact that they share media and cultural production, in particular those available through fast technological forms of communication such as television, film, recorded music, and the internet. Increasingly, there are signs that the Spanishspeaking language community responds collectively to new linguistic needs and creates or borrows new words and terms. Also part of the same phenomenon is Coupland’s second concept, the ‘compression across time and space’ (2003: 46), experienced by the large population of speakers of Spanish as electronic communications make geographical distances insignificant. Furthermore, the concept of ‘disembedding’ referred to by Coupland arises with the transfer of culturally specific speech items originated in one Spanish speech community to another and their consequent adaptation or re-embedding. Coupland (2003: 468) cites Giddens

LENSO-21

23/1/09

12:32

Página 161

Globalization, linguistic norms and language authorities

161

(1991: 18) in explaining this concept as “the ‘lifting out’ of social relations from their local contexts and their re-articulation across indefinite tracts of time-space”. Such processes are the result of phenomena typically associated with globalization such as ‘new’ migration (migration patterns which increasingly display circular movement, frequent contact with the ‘home’ country, and transnational networks), high tech media and communications (mobile phones, satellite television, emails, and the internet), and modern rapid transportation systems. Concepts of time and space have been altered forever with inevitable consequences on the basic unit of communication, language. Spanish as a global language has, therefore, been strongly affected by globalization processes with the result that the guardians of what they would call the ‘lengua común’ –the traditional variety of Spanish that is the standardized, codified, and unified language identified by the characteristics of its place of origin– are concerned that this is threatened. As a result, there are those in Spain who have seen a need to introduce, implement and enforce a series of language policies which will guarantee Spain’s place both in the Spanish-speaking world and in the international linguistic marketplace. Through a synthesis and critique of policy documents and visible practices (arising from empirical data collection of interviews, observation, and analysis of media debates), we will critically examine three facets of language policies currently being promoted by the Spanish national government or government-supported bodies and business elites, which we term: 1) ‘internal’ policies (those domestic policies affecting official language use and regulation within Spanish territory), 2) ‘external’ policies (those implemented to promote and defend Spanish outside Spain), and, of increasing importance and the central focus of this chapter, 3) ‘panhispanic language’ policies (PLP) (policies being designed to achieve a sense of panhispanic community by means of a shared and common language across the Spanish-speaking world). In analyzing not only the available documents which outline these policies but also the practices which are recorded in the press and on the websites of the organizations in question, we have identified agents that are responsible for enacting and implementing the policies and carrying out language planning activities. We will argue that the objectives, missions, and activities of these agents are self-interested and ideologically founded and driven. On the one hand, these are major institutional bodies sponsored and largely funded by the Spanish government, the Real Academia Española (RAE)1 and the Instituto Cer1

The Real Academia Española was founded in 1713 by a Spanish aristocrat, Don Manuel Fernández Pacheco, and given royal assent by King Felipe II. Its aims –enshrined in its

LENSO-21

23/1/09

162

12:32

Página 162

Darren J. Paffey/Clare Mar-Molinero

vantes (IC).2 We will elaborate on the role of these organizations and integrate this into our discussion of the various themes later in this chapter. As might be expected, whilst performing discrete, specific functions, these two institutions also work and collaborate closely. For example, they have been co-organizers of another player in the spread of PLP, the Congreso Internacional de la Lengua Española, held every three years since 1997. On the other hand, we will note that private business interests in Spain have also awoken to the huge commercial opportunities offered by the Spanish-speaking markets and the selling of the Spanish language. The latter also frequently works with governmental agencies often to make their presence visible on major websites, with recent high-profile examples including three in particular: EducaRed, Campusred and Universia, which have the support of Telefónica and Banco Santander Central Hispano (Marcos Marín 2006: 46). It is important to note that our analysis here –particularly of the PLP– is necessarily limited to the ideologies and policies of the two primary agents identified above, with a third ‘strand’ of focus on the synergy of their collaborative practices. While fully recognizing that the effects of globalization on language necessitate intricate, multilateral networks of agents for the effective management of language spread, it would be impossible within one chapter to do justice to a full discussion of them all. Thus, this chapter is limited partly due to constraints of space, but also partly due to the recognition that not all of these agencies (government departments, overseas embassies, language institutions, cultural bodies, universities, private commercial enterprises) share ‘equal’ responsibility for language spread policies. We argue that the agents we focus on are the principal players who lead, develop, and implement the policies in question, and who also gather together on their executive boards representatives of other organizations.3

2

3

statutes and summarized in the motto ‘limpia, fija y da esplendor’– were to ‘cleanse’ the language of errors brought about by ignorance and ‘excessive liberty to innovate’, ‘fix’ the language in its 16th century Golden Age form, and ‘give splendour’ to the language of the unified Spanish nation. It achieves its goals through acting as a guardian and ‘spokesperson’ of the language, producing Dictionaries, Grammars, and Orthographic guides, as well as coordinating a variety of conferences on language matters. The Instituto Cervantes, established in 1991, is the organization responsible for the spread and promotion of the Spanish language and Hispanic culture. It functions under the auspices of the Ministry of Education and Science and the Ministry of Foreign Affairs, and operates through its network of centers in over forty countries, providing language classes, online and radio courses, teacher training, cultural programs, and a Curriculum Plan and International Certificate for the international Spanish language teaching industry. For example, the Consejo de Administración of the IC includes representatives from the ministries of Foreign Affairs, Education, Culture and Sport, Treasury, and Home Affairs.

LENSO-21

23/1/09

12:32

Página 163

Globalization, linguistic norms and language authorities

163

Our discussion about the role of language policies and language policy agents is underpinned by the work on language ideologies of Schieffelin, Woolard, and Kroskrity (1998), Blommaert (1999), Ricento (2000) and Gal and Woolard (2001). Within this framework, we acknowledge that language policy can be both a top-down and a bottom-up process. Here, we will limit ourselves to a discussion of the top-down process of language spread policies in the Spanish-speaking world, policies which many would describe as forms of imposition and even linguistic ‘imperialism’ (Phillipson 1992, Brutt-Griffler 2002, Hamel 2003, MarMolinero 2006b). In particular, we will be exploring the issues of language standardization ideologies developed by Cameron (1995) and Lippi-Green (1997).

Spanish language policies ‘INTERNAL’ LANGUAGE POLICY There are numerous available works which provide a comprehensive examination of Spain’s official national ‘internal’ language policies as enshrined in the 1978 Constitution (see Mar-Molinero 2000, Lodares 2001, 2002). For the purpose of this chapter, we can say in summary that the 1978 Constitution recognizes Castilian as the official language of ‘the one, indivisible state’, whilst legislation does exist for promoting the public use of the ‘other languages of Spain’. Nonetheless, Castilian maintains a position of hegemony, because the use and promotion of the various ‘other Spanish languages’ are limited to defined geographical regions. The internal language policy of promoting Castilian is supported primarily by the Ministry of Education and Science through its education policies, whilst the nonCastilian languages are protected by the powers delegated to the individual autonomous communities through their statutes and local government initiatives (see Article 3.2, Spanish Constitution). The RAE is another body, funded in part by the Spanish government, which contributes to the primacy of Castilian within Spain. The RAE produces a range of grammars, orthography guides, and dictionaries some of which are specifically targeted at school students. Since its foundation in 1713, the Academy has enjoyed a position as part of Spain’s establishment4 and the corresponding prestige that this brings, with the consequence that its publications are widely received as both normative and authoritative for speakers of Spanish as a mother-tongue and as a second/foreign language.

4

For example, the only non-academicians permitted to attend the weekly full meetings are the King and the President of Spain; furthermore, decisions taken by the RAE (e.g., regarding matters of vocabulary) are published in the Boletín Oficial de Estado.

LENSO-21

23/1/09

12:32

Página 164

164

Darren J. Paffey/Clare Mar-Molinero

‘EXTERNAL’ LANGUAGE POLICY The Spanish government’s external language policy is primarily implemented through the activities of the Instituto Cervantes, set up by the Spanish government in 1991, which comes under the administrative auspices of the Ministry of Foreign Affairs, as well as the Ministries of Education and Science, Culture, and the Treasury.5 Despite its very short and recent existence, it has grown at an unprecedented rate, with 72 institutions in 40 countries across Europe, Africa, Asia, and the Americas (as of August 2007). The Cervantes has the King of Spain as its honorary president and the incumbent President of the Spanish government as its Executive President.6 The aim of the Instituto Cervantes –expressed in its freely available publications and ever expanding website– is “la promoción y la enseñanza de la lengua española y […] la difusión de la cultura española e hispanoamericana” (Instituto Cervantes 2007a). It seeks to achieve this through a variety of activities including language classes, online language courses, training of language teachers, cultural programs and even an online radio station. It recently spearheaded the creation of two key tools: (1) the Plan curricular del Instituto Cervantes: Niveles de referencia para el español which specifies objectives and content for the teaching of Spanish as a foreign language in accordance with the Common European Framework of Reference for Languages, and (2) the Sistema Internacional de Certificación del Español como Lengua Extranjera, a common accreditation system for Spanish as a foreign language, for which the Cervantes has recruited numerous educational authorities and universities around the world. The inevitable homogenizing of Spanish that the Cervantes’ activities create, by imposing one variety from Spain amidst the diversity of the language across the Spanish-speaking world, is evident from a critical analysis of its declared aims, objectives, and practices, and is also a good example of the globalizing linguistic phenomena referred to by Coupland (2003) and discussed above.

PANHISPANIC LANGUAGE POLICY (PLP) In 2004, the RAE along with the Asociación de Academias de la Lengua Española (ASALE) established a “panhispanic language policy” (ASALE 2004) to guide 5

6

Recently, the Director of the IC, César Antonio Molina, has been appointed to the position of Minister of Culture for the Spanish government –anecdotal evidence of the close network of these players and agents. For a fuller discussion of the role and ideological underpinnings of the Cervantes, see MarMolinero 2006a.

LENSO-21

23/1/09

12:32

Página 165

Globalization, linguistic norms and language authorities

165

its operational activities. This approach is in part externally focused in that it seeks the collaboration of the Spanish American Academies in pursuit of a standardized ‘total Spanish’ (a term used elsewhere by the Association’s and RAE’s President, Víctor García de la Concha): En una tarea de intercambio permanente, las veintidós Academias de la Lengua Española articulan un consenso que fija la norma común para todos los hispanohablantes en cuestiones de léxico, de gramática o de ortografía, armonizando la unidad del idioma con la fecunda diversidad en que se realiza (RAE 2007).

However, we argue that it is also internally-focused, in that the Madrid Academy maintains a position of leadership in this policy and seeks to ensure that Spain benefits (in terms of prestige as well as economically) from the global expansion of Spanish as a first, second and foreign language. In addition to its philosophical foundations and aims, we identify above all three ‘pillars’ of the PLP in practice: (1) the RAE in its current activities, (2) the Instituto Cervantes, and also (3) the Congresos Internacionales de la Lengua Española. The RAE–originally a purist institution whose aim was to protect Spanish in Spain from ‘foreign’ influences– has in recent years adopted a seemingly more outward-looking approach to its activities. As its statutes affirm: La Academia […] tiene como misión principal velar porque los cambios que experimente la Lengua Española en su constante adaptación a las necesidades de sus hablantes no quiebren la esencial unidad que mantiene en todo el ámbito hispánico (Artículo 1°, RAE 1995).

The evident goal of this statute to maintain a unified, ‘total’ Spanish has, in practice, meant a widening of the RAE’s approach to maintaining standard Spanish outside of Spain. This leading organization in the PLP develops and publishes dictionaries, grammars, and orthography guides which aim to serve the entire Spanish-speaking world with a definition of the Spanish language, i.e., what it looks like and what shape it takes. Indeed, it should be noted that the most recent editions of the principal Diccionario de la lengua española (DRAE) (2001) and the Ortografía de la lengua española (1999) have opened with a list of all 22 academies in chronological order of establishment, as well as explicit reference in its foreword to the collaborative efforts of the cohort of expert linguistic institutions. A critical analysis reveals that these inclusions point towards the panhispanic authority and reach of the publications and their producers; they also appear to be part of a policy that, as Fairclough (2006) suggests, responds (and contributes) to a “rescaling” of relations in which the global scale may be “an ultimate horizon for action” for nation-states and multinational organizations (p. 34). We would argue that this rescaling is also taking place for the RAE, and that its domain of activity

LENSO-21

23/1/09

166

12:32

Página 166

Darren J. Paffey/Clare Mar-Molinero

–according to its statutes and publications– is no longer limited to nation-states, nor are its activities to those of ‘cleansing, fixing and giving splendor’ to a nationstate-based variety of Spanish. Instead, the focus of the PLP goes beyond this to a global linguistic unity on which the concept of ‘total Spanish’ rests (Del Valle 2007a, 2007b). Interestingly, only since the last twenty-second edition has there been action to include more Americanisms in the Corpus de referencia del español actual (CREA) –the corpus on which this and other dictionaries are based–, thus making the DRAE more truly panhispanic as it maintains its “función unificadora del español” (ASALE 2004: 5). Whilst this ‘metalinguistic’ discourse about the Diccionario is indicative of the panhispanic policy, a test of how panhispanic the Diccionario’s contents really are will be whether or not the next edition will specifically mark Peninsularisms as well as Americanisms –or whether the former will continue to be the ‘default’ standard for the so-called ‘total’ Spanish. In 2005, the RAE along with the ASALE and the Cervantes jointly produced the Diccionario panhispánico de dudas (DPD) –the first publication to include the term panhispanic in its title. It received a high-profile launch the previous year at the Congreso Internacional de la Lengua Española in Rosario, Argentina, and was hailed as a major landmark in panhispanic corpus collection, collaboration, and consensus. Importantly, the DPD has since been accepted as the style guide for several Spanish and American media groups. The Cervantes serves the PLP through its contribution to the global linguistic market of a commodified Spanish, available via its online and class-based courses around the world. Elsewhere, Mar-Molinero (2006a, 2006b) has drawn attention to how the Instituto Cervantes ‘packages’ the Spanish language on behalf of the Spanish government. To this packaged commodity, we might also add the Plan curricular and the Sistema Internacional de Certificación which represent further tools in the efforts of the Cervantes to maintain the peninsular variety as the ‘standard’ Spanish taught around the world, as well as to homogenize the content of courses taught beyond this institution’s many centers. In doing this, the Cervantes is able to control what Spanish is and how it is taught. The correspondence between the goals of the PLP and the activities of the Cervantes can be seen in this recent excerpt from the Institute’s magazine: La importancia que se ha dado en el Congreso de Colombia a la idea de preservar la unidad en la diversidad del español es coherente con la línea de acción del Instituto Cervantes en su política de colaboración, en distintos órdenes, con las instituciones y las autoridades educativas de los países hispanoamericanos. […] Esta línea de colaboración panhispánica en el ámbito del español permite situar iniciativas de particular interés para los profesionales del ámbito del español como lengua extranjera de los diferentes países del ámbito hispánico (Instituto Cervantes 2007b: 41).

LENSO-21

23/1/09

12:32

Página 167

Globalization, linguistic norms and language authorities

167

In the same way that the Spanish Academy seeks to collaborate with and simultaneously lead the cohort of Hispanic Academies, the Cervantes is seeking to reinforce the panhispanic unity of the Spanish language through collaboration with and guidance of language teaching institutions in the Americas and offering its curricula and accreditations in support of such objectives. This internationalized, ‘panhispanic’ Spanish variety –based on the central peninsular variety because of its supposed purity and freedom from the effects of language contact and borrowings as claimed in the teaching materials of the Cervantes (see Mar-Molinero 2006a: 85)– ties in with the Academy’s concepts of both the PLP and ‘total’ Spanish in that it envisages a disembedded, neutral, ‘panhispanic’ variety of Spanish. This variety is, in fact, a national (historically, a regional) variety linked to an imperialist history and its imposition throughout the Americas. The Instituto Cervantes also publishes research which focuses on the spread and influence of Spanish. Each year from 1998-2005, the Anuario: El español en el mundo was released, and gave a broad report of the global state of the language. From 2007, it is succeeded by the even more comprehensive Enciclopedia del español en el mundo whose revised title now includes ‘Enciclopedia’ which suggests more than simply a report, but rather an exhaustive authority on knowledge about global Spanish. The Congreso Internacional de la Lengua Española (CILE) is an event organized –for the most part– by the ASALE and the Instituto Cervantes with the declared purpose of providing a major forum for reflection and dialogue on the status, problems, and challenges that the Spanish language is considered to face.7 Starting in 1997, the CILE takes place every three years and has been hosted by the cities of Zacatecas (Mexico, 1997), Valladolid (Spain, 2001), Rosario (Argentina, 2004) and Cartagena de Indias (Colombia, 2007). Some interesting observations to make about these Congresses and their role in the PLP are firstly who is invited (or not) to take part, and secondly what the themes and discussion panels see as the major issues of the day. In terms of who participates in the CILE, in more recent Congresses, analysis of the list of invitees as well as their backgrounds, affiliations and specialisms shows that the list of contributors has broadened from just philologists, academics, and the literary elite to include more members of the Spanish royal family, politicians, and specialists in the ‘deficit’ domains of use of Spanish (science, information technology, and diplomacy). This reconfiguration of who constitutes the ‘council’ of Spanish linguistic authority focuses even more on figures from the

7

See http://cvc.cervantes.es/obref/congresos.

LENSO-21

23/1/09

168

12:32

Página 168

Darren J. Paffey/Clare Mar-Molinero

establishment. Their presence as guardians of political and social unity suggests that their input is also essential for linguistic unity and development. Interestingly, the 2007 Congress had only one member of the Academia Norteamericana (its Director), in spite of the many statements from the RAE and the Instituto Cervantes regarding the future of the Spanish-speaking population of the United States as a significant linguistic and economic community within the wider panhispanic community. Furthermore, there was a panel session which dealt with Spanish in Brazil, but not one about Spanish in the U.S.

COLLABORATIVE PROJECTS WITH PRIVATE ENTERPRISE In order to promote Spanish, the Cervantes –as well as the RAE– has entered into a considerable number of agreements with government, cultural, and commercial bodies to fund panhispanic policy projects. The partners’ company logos are featured occasionally on specific publications but regularly in the bi-monthly Instituto Cervantes magazine, and read like a ‘who’s-who’ of the largest transnational companies, either of Spanish origin or international companies with a strong presence in Spain. Some collaborative projects have an obvious stylistic or standardizing purpose, i.e., agreements to adopt the DPD as a style guide. Others however, such as those involving high-profile companies from the energy, aviation, insurance, and banking industries, have a more commercial interest in the spread of Spanish. Much business takes place through Spanish, and as the number of speakers of Spanish and Spanish-speaking areas increases (particularly in the U.S. and Brazil), as do commercial opportunities. Spain-based multinationals that invest in opening doors for linguistic spread and explicit policy activities (such as Academy publications and the international Congresos) find the largest economies in the Americas being opened up to them. This, in turn, may form part of a wider policy of the Spanish government to extend Spain’s economic power and prestige. As Del Valle and Villa claim, “the relationship between Spain and Latin America is still mediated by the imperial imagery and by structures of economic inequality that have their roots in colonial times” (2006: 389).

INSTITUTIONAL COOPERATION TOWARDS PLP OBJECTIVES Throughout this chapter, we have shown that the RAE and the Cervantes work closely together with related but distinct objectives. The RAE’s focus is language standardization, laboring for the unity of Spanish across the Spanish-speaking

LENSO-21

23/1/09

12:32

Página 169

Globalization, linguistic norms and language authorities

169

world. The Cervantes focuses more on the spread of Spanish through providing and coordinating language teaching and accreditation. Their joint task has been identified by their Directors as defending the language and its unity, and ensuring its global spread and status as a language of international communication. For this, they claim, a unified policy is needed (Mora & Rojo 2004: 38-39, El País, 8/2/2006) and there is evidence of language debates in the Spanish press in which these language guardians not only define the nature and activities of the PLP, but also define the Spanish language itself according to their ideological frameworks (see Paffey 2007). The close relationship between the Academy and the Cervantes dates from before the PLP. When the Instituto Cervantes was established in 1991, the then Director of the RAE, Fernando Lázaro Carreter, envisioned the RAE’s relationship with the new institute thus “somos ministros de una misma iglesia; nosotros somos los padres conciliares y [el Instituto Cervantes] los misioneros” (cited in García de la Concha 2005: 5). The metaphor used is well-rooted in the cultural foundations of Spain’s establishment, based largely on the monarchy, government, and Catholic Church, not to mention the strong historical influence of the Spanish Empire. This metaphor shows how establishment ideology continues to affect the conception of the language authorities and their linguistic ‘proselytizing’ mission. Another example of this ideological manifestation can be found in the foreword of the DPD: El Diccionario panhispánico de dudas tiene como destinatarios naturales a todas las personas interesadas en usar adecuadamente la lengua española, sean o no hablantes nativos (RAE & ASALE 2005: 9).

The DPD was the first dictionary produced jointly by the RAE and the Cervantes, and this statement from its foreword indicates how the ‘church ministers’ metaphor plays out in their standardizing practices. The RAE is concerned with native speakers of Spanish (the ‘faithful’), and the Instituto Cervantes with learners of Spanish as a second or foreign language (‘unbelievers’/‘converts’). The success of the PLP would seem to depend on these co-ministers serving the common objectives through their distinct functions as ‘council fathers’ and ‘missionary evangelists’. The very existence of these publications –along with their content and also the high profile nature of their initial launches at the Congresses– are all manifestations of the PLP being established and practiced.

The spread of ‘Total’ Spanish In this chapter, we have sought to show how Spanish policy-makers have responded to the globalization of languages and the challenge of global English.

LENSO-21

23/1/09

170

12:32

Página 170

Darren J. Paffey/Clare Mar-Molinero

The response has, on the one hand, been the deliberate expansion of Spanish language teaching provision and increased homogenization of the accepted curriculum and official accreditation by the Cervantes. This mirrors the internationally available and highly prestigious Cambridge curriculum for teaching ESOL (English for Speakers of Other Languages), and the corresponding range of Cambridge certificates. On the other hand, the RAE has renewed efforts to standardize a ‘total’ Spanish which forms the structural and ideological basis of the Cervantes courses, as well as a reference for mother tongue speakers of Spanish. Whilst there is some acknowledgement that Spain numerically constitutes only 10% of the Spanish-speaking world and that Madrid may no longer be the capital of a unicentric Spanish language empire, there is arguably a conscious effort on the part of the RAE to maintain its place of primus inter pares, leading the other academies in the PLP. In recent years, new académicos (members of the RAE) have been recruited less from the traditional fields of philology and literature, and more from fields such as medicine, architecture, science, and technology. As a result, the RAE aims to filter Anglicisms and develop Spanish neologisms to meet what is seen as the ‘deficit’ that Spanish runs in these areas. Furthermore, publications such as the DPD have been released and adopted as style guides by, amongst others, media and educational institutions. This particular dictionary was specifically designed to respond to widespread doubts over the use of English terms where Spanish equivalents were non-existent or inadequately known. We have argued that there are issues of language contact at stake when considering the PLP. Panhispanism and the PLP have developed through processes of globalization in which language varieties are brought into contact, not simply within geographical or territorial border areas. There is a need to conceptualize language contact as taking place in all sorts of spaces –geographical, printed, audio-visual, and virtual– and forms –street talk, language classrooms, newspaper letters pages, text messaging, chat rooms, blogs, and opinion forums. Language contact has become globalized and brings together different types of Spanish, and so we contend that Spain’s government agencies have actually been very astute in recognizing this and seeking to guide, mold, influence, and enshrine the control of such diversity in policies which emphasize unity. The Spanish government has also been swift to seize the economic opportunities afforded by the globalization of the Spanish language. In Brazil, the Instituto Cervantes has designed and sponsored teaching materials –as well as trained teachers– in response to the Brazilian government’s decision to make Spanish a compulsory part of the secondary education curriculum (see Bertolotti 2007). In

LENSO-21

23/1/09

12:32

Página 171

Globalization, linguistic norms and language authorities

171

the U.S., the Cervantes now has centers in four major cities to meet and promote the demand for Spanish as a second/foreign language. As well as the Spanish government, Spain-based transnational companies have realized that the Spanish language is not just an industry itself, but is also a medium of industry and an opportunity for expansion into Spanish-speaking Latin America, as well as the U.S. and Brazil. The marketing of the Spanish language and the marketing of Spain-based companies such as Repsol YPF, Mapfre, Telefónica, and Santander –to name but a few– are now related activities through the sponsorship of high-profile language publications and the CILE events. As César Antonio Molina has said, “la presencia de España en el mundo se lleva a cabo sobre todo mediante el español” (ABC, 19/12/2006). Finally, it remains to be seen whether such a forceful PLP might undermine multilingualism in Latin America. For example, this may happen if Latin American governments react negatively to Spain’s dominance in the PLP. Resources could be diverted away from multilingual education in non-Spanish languages and instead go towards reinforcing the teaching of local varieties of Spanish, promoting local programs of Spanish as a foreign language and local systems of accreditation, countering the new Sistema Internacional de Certificación del Español. Further research will shed light on the full effects of the PLP and the various agencies involved in driving forward the vision of a panhispanic community speaking ‘total’ Spanish.

References ASOCIACIÓN DE ACADEMIAS DE LA LENGUA ESPAÑOLA [ASALE] (2004): La nueva política lingüística panhispánica. Madrid: Real Academia Española. BERTOLOTTI, Virginia (2007): “La expansión del español en América del Sur: El Instituto Cervantes y las universidades latinoamericanas”, in: Hispanic Issues On Line, (http://spanport.cla.umn.edu/publications/HispanicIssues/pdfs/20-HIOL-2-18.pdf). BLOMMAERT, Jan (1999): Language ideological debates. Berlin: Mouton de Gruyter. BRUTT-GRIFFLER, Janina (2002): World English: A study of its development. Clevedon: Multilingual Matters. CAMERON, Deborah (1995): Verbal hygiene. London: Routledge. COUPLAND, Nikolas (2003): “Introduction: Sociolinguistics and globalisation”, in: Journal of Sociolinguistics 7(4), 465-472. DEL VALLE, José (2007a): “Embracing diversity for the sake of unity: Linguistic hegemony and the pursuit of total Spanish”, in: Duchêne, Alexandre/Heller, Monica (eds.): Discourses of endangerment: Interest and ideologies in the defense of languages. London/New York: Continuum International, 242-267. — (ed.) (2007b): La lengua, ¿patria común?: Ideas e ideologías del español. Madrid/ Frankfurt: Iberoamericana/Vervuert.

LENSO-21

23/1/09

172

12:32

Página 172

Darren J. Paffey/Clare Mar-Molinero

DEL VALLE, José/VILLA, Laura (2006): “Spanish in Brazil: Language policy, business, and cultural propaganda”, in: Language Policy 5, 369-392. FAIRCLOUGH, Norman (2006): Language and globalization. London/New York: Routledge. GAL, Susan/WOOLARD, Kathryn (eds.) (2001): Languages and publics. Manchester: St. Jerome. GARCÍA DE LA CONCHA, Víctor (2005): “La Real Academia Española y el Instituto Cervantes”, in: Revista Cervantes 1(6), 5. GIDDENS, Anthony (1991): Modernity and self-identity: Self and society in the late modern age. Cambridge: Polity. HAMEL, Rainer Enrique (2003): The development of language empires. México, D.F.: Universidad Autónoma Metropolitana (Unpublished work). INSTITUTO CERVANTES [IC] (2006): Enciclopedia del español en el mundo: Anuario del Instituto Cervantes 2006-07. Madrid: Instituto Cervantes. — (2007a): “La Institución: ¿Quiénes somos?”. http://www.cervantes.es/seg_nivel/institu cion/Marcos_institucion_principal.jsp (July 25, 2007). — (2007b): “Proyección panhispánica del ‘Plan curricular’”, in: Revista del Instituto Cervantes 15, 41. LIPPI-GREEN, Rosina (1997): English with an accent: Language, ideology, and discrimination in the United States. London: Routledge. LODARES, Juan Ramón (2001): Gente de Cervantes: Historia humana del idioma español. Madrid: Taurus. — (2002): Lengua y patria: Sobre el nacionalismo lingüístico en España. Madrid: Taurus. MARCOS MARÍN, Francisco (2006): Los retos del español. Madrid/Frankfurt: Iberoamericana/Vervuert. MAR-MOLINERO, Clare (2000): The politics of language in the Spanish-speaking world: From colonisation to globalisation. London/New York: Routledge. — (2006a): “The European linguistic legacy in a global era: Linguistic imperialism, Spanish, and the Instituto Cervantes”, in: Mar-Molinero, Clare/Stevenson, Patrick (eds.): Language ideologies, policies, and practices: Language and the future of Europe. Basingstoke/New York: Palgrave, 76-91. — (2006b): “Forces of globalization in the Spanish-speaking world: Linguistic imperialism or grassroots adaptation”, in: Mar-Molinero, Clare/Stewart, Miranda (eds.): Globalization and language in the Spanish-speaking world: Macro and micro perspectives. Basingstoke/New York: Palgrave, 8-27. MORA, Rosa/ROJO, José Andrés (2004, November 19): “Los engranajes ocultos de una enciclopedia”, in: El País, 38-39. PAFFEY, Darren (2007): “Policing the Spanish language debate: Verbal hygiene and the Spanish Language Academy”, in: Language Policy 6(3-4), 313-332. PHILLIPSON, Robert (1992): Linguistic imperialism. Oxford: Oxford University Press. REAL ACADEMIA ESPAÑOLA [RAE] (1995): Estatutos y Reglamento de la Real Academia Española. Madrid: Real Academia Española. — (1999): Ortografía de la lengua española. Madrid: Real Academia Española. — (2001): Diccionario de la lengua española. Madrid: Real Academia Española.

LENSO-21

23/1/09

12:32

Página 173

Globalization, linguistic norms and language authorities

173

— (2007): “La política lingüística panhispánica”. http://www.rae.es/rae/Noticias.nsf/Portada4? ReadForm&menu=4 (March 1, 2008). REAL ACADEMIA ESPAÑOLA/ASOCIACIÓN DE ACADEMIAS DE LA LENGUA ESPAÑOLA [RAE/ASALE] (2005): Diccionario panhispánico de dudas. Madrid: Santillana. RICENTO, Thomas (2000): “Ideology, politics and language policies: Introduction”, in: Ricento, Thomas (ed.): Ideology, politics and language policies: Focus on English. Amsterdam: John Benjamins, 1-8. SCHIEFFELIN, Bambi/WOOLARD, Kathryn/KROSKRITY, Paul (eds.) (1998): Language ideologies: Practice and theory. New York/Oxford: Oxford University Press.

LENSO-21

23/1/09

12:32

Página 174

LENSO-21

23/1/09

12:32

Página 175

GENERAL VERSUS STANDARD SPANISH: ESTABLISHING EMPIRICAL NORMS FOR THE STUDY OF U.S. SPANISH DANIEL J. VILLA New Mexico State University

A fundamental problem with the concept of a ‘Standard Spanish’ lies in the fact that it does not refer to some commonly defined and broadly accepted measure such as the meter, gram, roentgen, or ohm. Rather, Standard Spanish seems to represent an empirically undefined, idealized variety of the language spoken by upper class individuals residing in the capital city of Latin American countries or Spain. Standard Spanish presents problems, then, for the study of U.S. Spanish, in the sense that there are multiple standards that can serve for analyzing the features encountered in the varieties of the language spoken in this country. The origins of the political nature of Standard Spanish and the resulting implications for the study of U.S. Spanish are discussed in this study. An alternative offered here is ‘General Spanish’, which seeks to employ empirically based norms found throughout the Spanish-speaking world. This work does not seek to establish norms in areas such as semantics, pragmatics, and phonology; a General Spanish must avoid the attempt to impose uniformity on those areas demonstrating commonly studied linguistic variation. However, that which does remain stable throughout the Spanish-speaking world consists of the language’s grammatical morphemes and syntactic structures. Thus, in working toward a definition of a grammar of General Spanish I specifically refer to those grammaticized elements of the language, presented in a reference grammar in the tradition of Nebrija. While a detailed treatment of a General Spanish falls outside the limits of this article, a preliminary presentation of an approach to establishing one is offered. Finally, it is suggested that a solution to move beyond the analytical bias created by the notion of a Standard Spanish lies in re-thinking the metalanguage utilized in the study of U.S. Spanish, and employing terminology that carries less political, ideological, and semantic baggage.

LENSO-21

23/1/09

12:32

176

Página 176

Daniel J. Villa

Introduction Studies of U.S. Spanish (USSp) often refer to the ‘non-standard’ features found in the varieties spoken in this country. However, a fundamental problem with the term ‘standard’ lies in the fact that it does not refer to some commonly defined and broadly accepted measure such as the meter, gram, roentgen or ohm (Villa 1996). Rather, ‘Standard Spanish’ (SS) seems to represent an empirically undefined, idealized variety of the language spoken by upper class individuals residing in the capital city of Latin American countries or Spain. The polemical nature of this use of ‘standard’ becomes immediately clear: the standard language changes as one moves from country to country. This makes the analyses of USSp problematic, as there is no single standard that can be employed to determine whether some feature or another is standard or non-standard. An aim of this article, then, is to work toward establishing an empirically grounded, data driven description of a variety of Spanish found throughout the Spanish-speaking world. I employ the label ‘General Spanish’ (GS), introduced by Otheguy (1991), to identify this variety as an alternative for ‘standard’. An important distinction between GS and SS lies not only in the empirical grounding of the former, but also the fact that it has not acquired the semantic and analytical baggage of the latter. A grammar of GS seeks to cut across social, economic, gender, educational, and geographic lines, to name only a few of the factors that impact SS. A GS grammar would then provide a useful norm for determining whether one feature or another of USSp is regional in nature, or a member of a set of features found throughout the Spanish-speaking world.

The ‘standard language’ ideology in the Spanish-speaking world As noted in the introduction, the term ‘standard’ often applies to various measures that do not change across space and time. A meter was a meter in 1960 and remains so today, measuring the same amount of distance on any part of the globe now as it did then. To be sure, the metric system is not some preternaturally ordained phenomenon that has existed since time immemorial, but rather a compact established between nations and ratified through treaties. Standards can indeed be changed; the meter established in 1875 was recalibrated in 1960, for example. However, the advantage of a standard is that it represents some norm that individuals, communities, and nations can agree upon and accept. This may be facilitated by recurring to some common natural phenomenon verifiable through scientific study and subject to little political debate. For instance, the current meter is based on the wavelengths of light. No matter what national, political, religious, or philosophical leanings one might have, they do not affect the

LENSO-21

23/1/09

12:32

Página 177

General versus Standard Spanish

177

wavelengths of light. As a result, to the best knowledge of the author, there exist no national, political, religious, or philosophical movements dedicated to the complete and permanent eradication of the metric system due to its ideological underpinnings. The concept of a ‘standard’, then, becomes tremendously attractive for those who do wish to further ideological interests through language use by appealing to the notion of scientific, empirically based analyses, given that the common notion of a standard implies an invariable norm. However, the standardization process of a language differs fundamentally from one in, say, the physical sciences. Such a process can be understood more accurately as the reification of one variety of a language over another by those who possess a) the means of supporting the standardization process and b) do so to support a particular agenda, be it political or other. With regard to Spanish, the political standardization process can be traced in modern times to the publication of Antonio de Nebrija’s Gramática Castellana, published in 1492. Whether Nebrija intended his Gramática primarily as a political tool for empire building is a matter of debate; in his Prólogo he appears interested in replicating the grammars of classical authors as a scholarly exercise. However, there can be no doubt of an awareness at that time of language as an implement for conquest. Nebrija writes: Cuando en Salamanca di la muestra de aquesta obra a Vuestra Real Majestad, i me pregunto que para que podia aprovechar, el mui reverendo padre Obispo de Avila me arrebato la respuesta, i respondiente por mi dixo: que, despues que Vuestra Alteza metiesse debaxo de su iugo muchos pueblos barbaros i naciones de peregrinas lenguas, i conel vencimiento aquellos ternian necesidad de recebir las leies quel vencedor pone al vencido i con ellas nuestra lengua […]. (1946: 10-11)

Whatever Nebrija’s intentions might have been in writing his Gramática, since the moments of its initial drafts, language was perceived of as an important tool of empire building. This process of using a variety of Spanish as a political tool of imperialism continued with the creation of the Real Academia Española in 1713. An initial goal of the Academia was “combatir cuanto alterara la elegancia y pureza del idioma, y de fijarlo en el estado de plenitud alcanzado en el siglo XVI”. This recently was changed to “velar porque los cambios que experimente la Lengua Española [...] no quiebren la esencial unidad que mantiene en todo el ámbito hispánico”. In spite of the disintegration of the Spanish Empire in the Americas during the early decades of the 19th century, the idea of Spain as the source of SS is promoted by some to this day (see e.g., Del Valle 2005, 2007, Del Valle & Villa 2006).

LENSO-21

23/1/09

178

12:32

Página 178

Daniel J. Villa

Whether Spain can re-institute itself as a center for a SS remains to be seen, especially given the fiercely nationalistic tendencies of its former colonies and their historic memories of a hated master. However, there can be no doubt that Spain was successful in exporting and establishing the means of standardization, in the form of the Academias. All countries whose principal language is Spanish, plus the United States and the Philippines, possess such an institution. Indeed, the webpage of the Real Academia Española dedicated to the Asociación de Academias de la Lengua Española states that “Todas las Academias se guían por los mismos objetivos y persiguen idéntica finalidad: el cuidado y defensa del idioma común”. Hence, while there is debate as to which variety of Spanish may be the standard, the manner in which the standard is identified remains similar throughout the Spanish-speaking world. However, as Del Valle notes in his discussion on the historic roots of the standardization of Spanish, “the scientific isolation of language –its total formalization– was difficult to accomplish: Language is just too sticky with associations, too closely interconnected with history, literature or philosophy” (2005: 143). He continues (2005: 144) to cite Fasold on this matter, who asserts: I would dare to suggest that the most frequent single problem in installing a national language has nothing to do with vocabulary expansion, spelling or grammar standardization, the adequacy of the educational system or the presence of an ensconced colonial language. The biggest problem is that there often simply is no language that a sufficiently large majority of the citizens will accept as a symbol of national identity. (1988: 185)

With regard to Spanish, then, it is not a problem of identifying one language that can be accepted by that sufficiently large majority, in this case at the international level, but rather some variety of the language that serves that purpose. The phrase ‘Standard Spanish’ carries with it a significant amount of semantic baggage that includes the question of regional and national identity throughout the Spanish-speaking world, one of no small importance. At the same time, there are certain linguistic aspects of Spanish that allow Argentineans to communicate with Nicaraguans, Chileans to converse with Guatemalans, and New Mexicans to talk with all of the above. A principal goal of a general grammar of Spanish would be to identify those elements in order to separate regional variants from those found throughout the Spanish-speaking world. In sum, I agree with Otheguy’s (2007) assertion that as researchers how we talk about a research topic, how we refer to it in our writing, is not inconsequential. He argues, for example, against the use of the term ‘Spanglish’ in our work on the Spanish/English dynamic here and abroad. While such terms carry wide popular appeal, they tend to obfuscate the very issues we research. This is not to deny the

LENSO-21

23/1/09

12:32

Página 179

General versus Standard Spanish

179

existence of such popular terms, nor that they may offer a window into understanding popular linguistic attitudes towards certain language varieties. However, there are various levels of discourse, and those which are academic in nature demand a terminology as concise as possible. Thus, in the following I attempt to offer a means of identifying those common elements throughout the Spanishspeaking world that are relatively uncontroversial and, thus, suited for creating a grammar of GS that avoids the pitfalls of SS.

Toward establishing a general grammar of Spanish To begin with, in working toward a definition of a grammar of GS, I note that I refer specifically to a reference grammar in the tradition of Nebrija. As mentioned above, Spanish is a pluricentric language, each set of national varieties possessing the means of establishing usage norms for publishing reference grammars, textbooks, dictionaries, and the like. Linguistic studies document variation in semantics, pragmatics, and phonology, to name only a few areas. This being the case, a general grammar must avoid the attempt to impose uniformity on those areas demonstrating commonly studied linguistic variation. For example, a general grammar must circumvent establishing some common lexicon employed throughout the Spanish-speaking world. Regarding the challenge of establishing one single global lexicon, Torreblanca (1997) suggests that any Spanish speaker needs to assimilate a central Mexican standard variety: pues esta variante [de México, D.F.] le permitirá comunicarse, sin dificultad alguna excepto ocasionalmente en el léxico (este problema es insoluble), con el mayor número de personas en el mundo hispánico. (p. 138, my emphasis)

However, such an assertion would create an immediate uproar within Mexico itself if seriously advanced; the good citizens of Chihuahua, for example, might well rise up in arms if they thought they would be forced to speak like the Mexico City chilangos. The advent of large corpora, easily searchable through computational technology, might provide in the future high frequency lexical items that are fairly stable throughout the larger Spanish-speaking world with regard to their semantic content. But even such a lexicon would not be truly general. As Otheguy (2007) observes, there will always exist regional lexical variation in all varieties of Spanish that would confound such an effort. What remains stable throughout the Spanish-speaking world consists of the language’s grammatical morphemes and syntactic structures. I do not argue that variation in these areas does not exist, for it certainly does. For example, it is the case that variation between the overt expression and the null form of the subject

LENSO-21

23/1/09

180

12:32

Página 180

Daniel J. Villa

pronouns exists, and can be analyzed with regard to various linguistic and sociolinguistic factors (see e.g., Flores-Ferrán 2002, Cameron & Flores-Ferrán 2004). Rather, I point out that grammatical morphemes form closed classes; new grammatical elements such as verbal markers for tense, mood, aspect, person, and number do not pop up overnight, as can lexical items in open classes. Similarly, there exist certain syntactic structures commonly available to Spanish speakers. For instance, the direct object pronoun occurs before the synthetic future, ‘lo haré con gusto’, but can no longer be interposed between the future marker and verb stem, ‘*har lo e con gusto’, as was possible in Old Spanish, ‘fer lo he de grado’. Theories of grammaticization hold that centuries, perhaps even millennia, must pass before changes occur in closed class grammatical morphemes and syntactic structures (for general discussion of such theories see e.g., Heine et al. 1991, Traugott & Heine 1991, Bybee et al. 1994, Bybee & Hopper 2001, Bybee 2007; and for Spanish, Villa 1997, Torres Cacoullos 2000). As a result, we currently have relatively stable, closed groups of grammatical morphemes and a certain set of syntactic structures available to Spanish speakers throughout the Spanishspeaking world. Regarding the identification of elements such as grammaticized morphemes, extant research such as that of Menéndez Pidal (1980), Lapesa (1981) and Penny (2002), to name only a few, identifies their source in Vulgar Latin, which then facilitates analyses of their respective paths of grammaticization (see e.g., Villa 1997, Torres Cacoullos 2000). These grammaticized morphemes can be historically attested through employing electronic corpora as well such as Davies’ Corpus del español (2002-) and their current distribution and frequency also may be specified. A detailed discussion of those sets falls well outside the limits of this chapter, but in order to illustrate what an empirically grounded representation of them in a GS grammar would look like, I offer the following example of identifying one such closed set of morphemes.

Establishing a representation of subject pronouns for a General Grammar Subject pronouns, while perhaps a mundane topic, represent a well established closed set, consisting of ‘yo, tú, vos, usted, él, ella, vosotros, vosotras, nosotros, nosotras, ellos, ellas, ustedes’, and Ø (null pronoun). These pronouns are the set commonly presented in reference grammars; I omit for the sake of brevity such forms as ‘uno’ and ‘se’. Consulting extant research establishes the development of certain elements of the Spanish system from Latin, e.g. ‘ego > yo, tu > tú, illa > ella’. In other cases, as the pronoun gradually was bleached of its semantic content, it fused with other morphemes to produce an innovative form, e.g. ‘nos + otro + s > nosotros’. The Corpus del español establishes that these pronouns

LENSO-21

23/1/09

12:32

Página 181

General versus Standard Spanish

181

occur since the earliest moments of the written record of the language from the 13th and 14th centuries, with the exception of the two most recent additions, ‘usted’ and ‘ustedes’, which date back to the 16th century. The complete set of these pronouns, however, is not commonly used throughout the Spanish-speaking world. As Kattán-Ibarra and Pountain note, “In all of Latin America and in many parts of Andalusia, the vosotros/as form is not used […]” (1997: 8.1.2). Micheau specifies the South and Central American countries in which ‘vos’ is used nationally and in which areas it is employed regionally (1991: 85-86). This brief analysis results in identifying the subject pronouns, their development, and which are general and which are regional. Following Kattán-Ibarra and Pountain’s (1997) format, a grammar of General Spanish would present the pronouns as shown in Table 1. One might argue that suggesting ‘ustedes’ as general in the second person informal plural is inaccurate, given that an alternative exists in one area of the Spanish-speaking world. My observation here is that ‘ustedes’, while not the norm in certain areas of the Iberian Peninsula for that function, is certainly utilized and recognized there. Conversely, the same cannot be said for the ‘vosotros/as’ forms; Acevedo (2000) notes that those particular pronouns were never part of Spanish in the Americas, as they apparently were not exported along with the GS subset during the colonization of the Americas. Again, a grammar of GS does not seek to account for linguistic variation, but rather to identify common grammatical elements found throughout the Spanish-speaking world. I assert that this presentation is an accurate representation of general and regional subject pronouns. However, the presentation of these pronouns in SS grammars and textbooks employed in the U.S. raises polemical issues. As García (1993) notes, historically there has existed in this nation a preference for a Castilian variety of Spanish for instructional purposes. She quotes Aurelio Espinosa, in a 1923 article entitled “Where is the best Spanish spoken?”, who wrote that “the best modern Spanish […] is that spoken by the educated people of Old and New Castile” (p. 244). As a result of this reification of a European variety as a standard, then, reference grammars and textbooks for SS may present regional variants as if they were general. This is the case, for example, in a textbook used in New Mexico State University’s program for Spanish language learners, ¡Dímelo tú! (Samaniego et al. 2002). In that text, the ‘vosotros/as’ forms are presented alongside the other plural pronouns as if they were General (p. 54). A short note explains that the ‘vosotros/as’ forms are used in Spain, but it is not made clear if an instructor is to include them as forms to be learned or not. The ‘vos’ form is entirely omitted. As this is the case in

LENSO-21

23/1/09

12:32

Página 182

182

Daniel J. Villa

TABLE 1 Subject pronouns General Spanish:

Latin American systems:

Castilian system:

Singular

Plural

1st person

yo

nosotros/-as

2nd person familiar

tú

ustedes

2nd person polite

usted

ustedes

3rd person

él/ella

ellos/ellas

Singular

Plural

2nd person familiar

vos

ustedes

2nd person polite

usted

ustedes

Singular

Plural

2nd person familiar

tú

vosotros/as

2nd person polite

usted

ustedes

the voseo system (used mainly in certain regions of Central and South America)

the vosotros system (used principally in northern Spain as well as in other regions of the Iberian Peninsula):

many reference grammars and textbooks, it would appear that a strongly Eurocentric ideology underlies the writing and production of those works. Hence, an important goal of a general grammar would be to avoid such ideologies, in order to present an accurate representation of the distribution of grammatical elements. That being said, I do recognize that a general grammar cannot avoid a political reading. In an important research stream, scholars analyze the attempts of the Spanish government to (re)institute the Castilian variety of Spanish as the standard for the Spanish-speaking world (see Del Valle 2005, 2006, 2007, Del Valle

LENSO-21

23/1/09

12:32

Página 183

General versus Standard Spanish

183

& Villa 2006, Mar-Molinero 2000, 2006, among others). Once more, a deeply rooted notion in Spanish language ideology holds that the Castilian variety represents the ‘best’ form of the language. A seemingly harmless grammatical suggestion to identify certain pronouns in that variety as regional, and not general, directly confronts a Eurocentric ideology. Any questioning of the purported hegemony of a European variety of Spanish will undoubtedly cause friction at many levels, including the production of grammars and textbooks themselves. At the same time, even if a Eurocentric standard were soundly rejected in the Americas, a General Spanish will be politically problematic given the success noted earlier in establishing the institutional system of the Academias. Any Academia, no matter where it is located, will be structurally elitist in nature, representing political and linguistic hegemonies of the country it resides in. A grammar that purports to represent common grammatical elements of the language regardless of social class, economic or educational status, gender, age or occupational field, to name only a few societal variables, directly challenges the hegemony of any Academia. Following the comments of one reviewer, I suggest that General Spanish is more than a simple change in metalanguage, but rather a focus on empirically verifiable descriptions of how Spanish speakers throughout the greater Spanishspeaking world use the language in ways that are common to all. Thus, a grammar of GS would represent a linguistic reality that could be interpreted as challenging the standardization processes carried out by the Academias. The overt recognition of the pluricentric nature of modern Spanish unavoidably represents a direct challenge to a centuries-old tradition, and will certainly create friction with those who employ well-established means of prescribing language use. Finally, the reader will note that in its descriptions a GS grammar does not seek to exclude any of the subject pronouns from the general set. Rather, it aims to determine which are widely used and which are regional in nature. I emphasize this point as my goal to suggest a grammar that is as empirically grounded and accurate as our collective research permits. Eliminating extant forms, be they subject pronouns or any others, would be directly counterproductive to the goal of creating an accurate, reliable reference grammar. Again, a principal goal of suggesting a General Grammar is to avoid some of the obfuscating political baggage carried by a Standard Grammar.

Implications for USSp I return to an issue noted in the introduction, that certain features of USSp are often labeled as ‘non-standard’ in the professional literature. The presentation of subject pronouns in a GS grammar offered above aims to distinguish between

LENSO-21

23/1/09

12:32

184

Página 184

Daniel J. Villa

that what is general or regional. It is by no means innovative; Torreblanca (1997) in essence makes the same observation in his discussion of Southwest Spanish (SWS). This does, however, accomplish an important task of creating a means to determine if some grammatical feature of SWS, or any other variety for that matter, pertains to Spanish as it is spoken throughout the Spanish-speaking world or not. In order to illustrate the implementation of a General Spanish grammar for the analyses of certain varieties of SWS, data from a variety of New Mexican Spanish were analyzed from transcriptions of certain portions of the New Mexico-Colorado Spanish Survey (NMCOSS). This project was directed by Garland D. Bills and Neddy A. Vigil of the University of New Mexico with the aim of creating a linguistic atlas of the Spanish spoken in these regions (Bills & Vigil 1994). The entire survey has yet to be fully transcribed; the corpus employed here consists of subset of transcribed dialogs, some twenty thousand words in all. For illustrative purposes, particular attention was paid to verbal morphology. This initial study revealed the use of the GS morphemes for verbal tense, mood, and aspect for the present indicative and subjunctive, the imperfect indicative and subjunctive, those for both the synthetic and analytic futures, the present and past progressives, to name a handful (see the Appendix for a sample of the data). Additionally identified were certain instantiations of regional variation in the verbal system, forms such ‘traiba, fuites, estábanos, vido’, and ‘creigo’, among others. In the sample of 3,276 verbs identified, the latter group consisted of 98 instantiations, or some 3% of the total number of verbs sampled.1 I hasten to note that this analysis was preliminary, and is ongoing; these percentages may well change as further work is carried out. However, for this initial analysis of this corpus, I believe it reasonable to suggest that this sample of New Mexican Spanish demonstrates a high degree of congruity with the verbal morphology of GS. It is in part this congruence, then, that allows New Mexican Spanish speakers to communicate with speakers of other varieties of the language.

Conclusion As I have observed in the introduction, many studies on USSp refer to certain of its grammatical features as ‘non-standard’. I hope to have shown that use of that particular terminology reflects not so much an empirical reality, but rather a lan-

1

I extend my sincerest thanks to the students in the Spring 2007 Structure of Spanish class for the excellent research they carried out on this project.

LENSO-21

23/1/09

12:32

Página 185

General versus Standard Spanish

185

guage ideology, one that tends to be Eurocentric and/or elitist in nature. One solution to move beyond this analytical bias lies in re-thinking our metalanguage and employing terminology that carries less political, ideological, and semantic baggage. It would be greatly naïve to assert that a term such as GS is completely free of that baggage, as any term will carry with it its own ideology. However, in moving away from the ‘standard’ ideology, as a profession we can directly address issues we deal with on a daily basis. One of them is how to present grammatical information to the students we teach, be they heritage speakers or second language learners. A General Grammar will avoid the necessity to make ad hoc decisions on what forms to present or not. Students employing a General Grammar will encounter, say, the subject pronouns common throughout the Spanish-speaking world. If the composition of the class is such that some or all of the participants intend to visit Spain, then the subsection on Peninsular varieties will serve them well. On the other hand, if the travel destinations include Central or South America, then the subsection on the voseo will be of prime importance. If students study for a career in health care in the U.S., then the voseo will also be of interest, due to the increased presence of Central American communities here. If Mexico is the country of choice, then the section on GS pronouns will suffice. Pedagogy does not represent the only area that will benefit from the use of a General Grammar of Spanish. The linguistic research we carry out on USSp will be sharpened by the ability to distinguish between regional and general forms. It is the fact that the majority of the Spanish varieties we speak in this country are of working class or ‘campesino’ origin (Villa 2005). Some researchers, especially those acculturated in Spain or Latin America or who have some deep affiliation with those regions, may be tempted to analyze USSp as if it were being spoken there, and not here. But the ‘standard’ ideology, based on class, gender, ethnic, and economic factors that certainly impact language use in other Spanish-speaking nations, is not at play in this country. There can exist no doubt that speakers of USSp inhabit a social, cultural, economic, and linguistic environment unlike that found in any other region of the Spanish-speaking world. At any analytical level, we as researchers cannot understand USSp based on exocentric norms. USSp must be carefully studied in its own environments before its relationships to other varieties can be better understood. But one might suspect that USSp may be coming into its own on the international stage; again, work such as Villa’s (2000) and Del Valle’s (2006) articles points to the growing economic importance of USSp speakers in an era of increasing globalization. The recent XXI Congreso del Español en los Estados Unidos (http://spanishintheus.org/) witnessed an excellent collection of presentations on USSp; we must pay close atten-

LENSO-21

23/1/09

12:32

186

Página 186

Daniel J. Villa

tion to both the theoretical and ideological underpinnings of our research methodologies in order to carry that work forward.

References ACEVEDO, Rebeca (2000): El español mexicano durante la colonia: El paradigma verbal en el altiplano central. Guadalajara: Universidad de Guadalajara. BILLS, Garland D./VIGIL, Neddy A. (1994): El atlas lingüístico de Nuevo México y el sur de Colorado. Albuquerque: University of New Mexico. BYBEE, Joan (2007): Frequency of use and the organization of language. Oxford: Oxford University Press. BYBEE, Joan/HOPPER, Paul (2001): Frequency and the emergence of linguistic structure. Amsterdam: John Benjamins. BYBEE, Joan/PERKINS, Revere/PAGLIUCA, William (1994): The evolution of grammar: Tense, aspect and modality in the languages of the world. Chicago: University of Chicago Press. CAMERON, Richard/FLORES-FERRÁN, Nydia (2004): “Perseveration of subject expression across regional dialects of Spanish”, in: Spanish in Context 1, 41-65. DAVIES, Mark (2002-): “Corpus del Español (100 million words, 1200s-1900s)”, available online at http://www.corpusdelespanol.org. DEL VALLE, José (2005): “Spanish, Spain, and the Hispanic community: Science and rhetoric in the history of Spanish linguistics”, in: Schmidt-Nowara, Christopher/NietoPhillips, John M. (eds.): Interpreting Spanish colonialism: Empires, nations, and legends. Albuquerque: University of New Mexico Press, 139-161. — (2006): “U.S. Latinos, la hispanofonía, and the language ideologies of High Modernity”, in: Mar-Molinero, Clare/Stewart, Miranda (eds.): Globalization and the Spanishspeaking world: Macro and micro perspectives. Basingstoke: Palgrave Macmillan, 27-46. — (2007): “Embracing diversity for the sake of unity: Linguistic hegemony and the pursuit of total Spanish”, in: Duchêne, Alexandre/Heller, Monica (eds.): Discourse of endangerment: Ideology and interest in the defense of language. London: Continuum, 242-267. DEL VALLE, José/VILLA, Laura (2006): “Spanish in Brazil: Language policy, business, and cultural propaganda”, in: Language Policy 5, 369-392. ESPINOSA, Aurelio (1923): “Where is the best Spanish spoken?”, in: Hispania 6, 244-246. FASOLD, Ralph (1988): “What national languages are good for”, in: Coulmas, Florian (ed.): With forked tongues: What national languages are good for. Ann Arbor: Karoma Press, 180-185. FLORES-FERRÁN, Nydia (2002): Subject personal pronouns in Spanish narratives of Puerto Ricans in New York City: A sociolinguistic perspective. München: Lincom Europa. GARCÍA, Ofelia (1993). “From Goya portraits to Goya beans: Elite traditions and popular streams in U.S. Spanish language policy”, in: Southwest Journal of Linguistics 12, 69-86.

LENSO-21

23/1/09

12:32

Página 187

General versus Standard Spanish

187

HEINE, Bernd/CLAUDI, Ulrike/HÜNNEMEYER, Friederike (1991): Grammaticalization: A conceptual framework. Chicago: The University of Chicago Press. KATTÁN-IBARRA, Juan/POUNTAIN, Christopher J. (1997): Modern Spanish grammar: A practical guide. London: Routledge. LAPESA, Rafael (1981): Historia de la lengua española. Madrid: Gredos. MAR-MOLINERO, Clare (2000): The politics of language in the Spanish-speaking world. London: Routledge. — (2006): “Forces of Globalization in the Spanish-speaking world: Linguistic imperialism or grassroots adaptation”, in: Mar-Molinero, Clare/Stewart, Miranda (eds.): Globalization and the Spanish-speaking world: Macro and micro perspectives. Basingstoke: Palgrave Macmillan, 8-26. MENÉNDEZ PIDAL, Ramón (1980): Manual de gramática histórica española. Madrid: Espasa-Calpe. MICHEAU, Cheri (1991): “The voseo in Latin America: Insights from historic sociolinguistics”, in: Klee, Carol A./Ramos-García, Luis A. (eds.): Sociolinguistics of the Spanishspeaking world: Iberia, Latin America, United States. Tempe: Bilingual Press/Editorial Bilingüe, 77-91. NEBRIJA, Antonio de (1946 [1492]): Gramática Castellana. Madrid: Talleres de D. Silverio Aguirre y de Gráficas Reunidas. OTHEGUY, Ricardo (1991): “A reconsideration of the notion of loan translation in the analysis of U.S. Spanish”, CUNY Forum: Papers in Linguistics 16, 101-121. — (2007): “A name does not a language make: The case of the word ‘Spanglish’”, in: Colloquium presented at the Annual Meeting of the American Association for Applied Linguistics, April 21-24, 2007, Costa Mesa, California. PENNY, Ralph (2002): A history of the Spanish language. Cambridge: Cambridge University Press. REAL ACADEMIA ESPAÑOLA (2007): “Breve historia”, available online at: http://www.rae. es/rae/gestores/gespub000001.nsf/voTodosporId/CEDF300E8D943D3FC125713600 37CC94?OpenDocument&i=0). — (2007): “Asociación de Academias de la lengua española”, available online at: http://www.rae.es/rae/gestores/gespub000038.nsf/voTodosporId/4CD08E85B009477 DC12572D400285831?OpenDocument. SAMANIEGO, Fabián/BLOMMERS, Thomas J./LAGUNAS-SOLAR, Magaly/RITZI-MAROUF, Viviane (2002): ¡Dímelo tú! A complete course, 4th ed. Boston: Thomson/Heinle. TORREBLANCA, Máximo (1997): “El español hablado en el Suroeste de los Estados Unidos y las normas lingüísticas españolas”, in: Colombi, M. Cecilia/Alarcón, Francisco (eds.): La enseñanza del español a hispanohablantes: Praxis y teoría. Lexington: D.C. Heath, 133-139. TORRES CACOULLOS, Rena (2000): Grammaticization, synchronic variation, and language contact: A study of Spanish progressive -ndo constructions. Amsterdam: John Benjamins. TRAUGOTT, Elizabeth Closs/HEINE, Bernd (1991): Approaches to grammaticalization I and II. Amsterdam: John Benjamins.

LENSO-21

23/1/09

188

12:32

Página 188

Daniel J. Villa

VILLA, Daniel (1996): “Choosing a 'standard' variety of Spanish for the instruction of native Spanish speakers in the U.S.”, in: Foreign Language Annals 29, 191-200. — (1997): El desarrollo de futuridad en el español. México, D.F.: Grupo Editorial Eón. — (2000): “Languages have armies, and economies, too: The impact of U.S. Spanish in the Spanish-speaking world”, in: Southwest Journal of Linguistics 19, 143-154. — (2005): “Aportaciones de la lingüística aplicada crítica al estudio del español de los EEUU”, in: Ortiz López, Luis/Lacorte, Manel (eds.): Contactos y contextos lingüísticos: El español en los Estados Unidos y en contacto con otras lenguas. Madrid/Frankfurt: Iberoamericana/Vervuert, 301-311.

LENSO-21

23/1/09

12:32

Página 189

General versus Standard Spanish

Appendix SAMPLE OF NEW MEXICAN SPANISH VERBAL MORPHOLOGY (Note: both the interviewer and the consultant are speakers of New Mexican Spanish)

Interviewer: ¿Dónde nació usted? Consultant: Yo nací en los Tomé, Nuevo México. Interviewer: ¿En qué año nació? C: Mil noventa y ...mil nove... mil novecientos treinta y nueve. I: ¿Creció aquí… creció aquí? C: Yo me crié aquí en Tomé. I: ¿Todo su vida? C: Sí, todo mi vida. I: ¿Cuánto tiempo lleva aquí en esta casa? C: En esta casa yo he vivido veintidós años. I: ¿Y su papá nació aquí? C: Mi papá fue nacido aquí en Tomé. I: ¿Y también su mamá? C: Mi mamá fue nacido aquí en Tomé. I: ¿Y su esposo también? C: Mi esposo fue nacido en Tomé. I: ¿Cuántos hijos tiene? C: Yo tengo tres hijos y dos hijas.

189

LENSO-21

23/1/09

12:32

Página 190

LENSO-21

23/1/09

12:32

Página 191

“TODOS LOS PEREGRINOS DE NUESTRA LENGUA”: IDEOLOGIES AND ACCOUNTS OF SPANISHAS-A-(FOREIGN) LANGUAGE ROBERT TRAIN Sonoma State University

This chapter provides a critical perspective on the ideological construction of Spanish as a problematically ‘foreign language’ in the U.S. Proposing a theoretical framework for educators and researchers, this chapter argues that Spanish has been constructed around the Native Standard Language, a constellation of hegemonic ideologies of language-ness, (non)standardness, and (non)nativeness. The invention of a language (e.g., Spanish, English) rests on an ideology of languages “as separate and enumerable categories” (Makoni & Pennycook 2005: 138). This chapter suggests that the counting and separating of diverse, complex practices into a discrete, standardizing language-form involves the act of giving an account of oneself (Butler 2005), one’s language, and the speakers of one’s language. The standard account of Spanish shapes and is shaped by a linguistic culture (Schiffman 1996) in which (non)standardness is a central feature (Milroy 2001). This culture of standardization entails many consequences, including the codification of socially-situated accounts of Spanish in authorized textual, communicative, and affective spaces (e.g. ‘our’ language enshrined in grammars) that come to represent and embody ‘the language’ and its privileged native speakers. These accounts of language and speakership have been instrumental in (re)producing local, national, and global systems of inequality and othering that are linked to social categories of citizenship, class, and race. Education, with its increasing reliance on standardizing notions of accountability, is the site where these ideologies of inequality and othering are most visible. This chapter explores the historical construction of standardizing accounts of the Spanish language as a (non)native language in Nebrija’s foundational Gramática de la lengua castellana. Evoking the ‘specters of Nebrija’, this chapter suggests that, as Spanish language professionals in the U.S., we are presented with a critical and ethical responsibility to interrogate the accounts and accountability surrounding our constructed notions of the Spanish language and its speakers.

LENSO-21

23/1/09

12:32

192

Página 192

Robert Train

Introduction I will offer a critical perspective on the construction of Spanish as a problematically foreign language (FL) in the U.S. To speak of the supposed ‘foreign-ness’ or ‘(non)nativeness’ of Spanish implies considering its binary opposite, ‘nativeness’. The question of (non)nativeness raises a set of deeply troubling interrogations. How have linguists, educators, and the larger non-specialist public come to categorize and reduce the “diverse, multifarious, complex, continuous, semiotic resources” of language and culture (Scollon 2004: 271) to the limiting terms of a language and even the language, as in the case of ‘the Spanish language’? How can the complex and chaotic practices of linguistic individuals in diverse contexts be termed ‘a speaker’ who embodies a language or represents its other speakers (Johnstone 1996: 21)? How can an ideology of speakership be further distilled into the socially privileged native speaker of a given language within a given community? How have these givens continued to play out in the highly institutionalized, politicized, and standardized context of education in plurilingual and pluricultural societies? Finally, how do the ideologies surrounding language-ness, nativeness and standardness shape –and are shaped by– language education for putatively native bilingual speakers and heritage speakers, as well as for so-called non-native speakers living beyond, on the margins of, or in the “third places” (Kramsch 1993) between the ideologically national and monolingual spaces of native speaker language and community? These questions are intended to broadly frame the perspective that I will present on the ideologies and discourses of language-ness, (non)standardness, and (non)nativeness. Antonio de Nebrija’s foundational Gramática de la lengua castellana will serve as a focal point to explore the historical construction of standardizing accounts of the Spanish language as a problematically (non)native language. In closing, I will invite readers to reflect on the specters of Nebrija and his account of Spanish that may still haunt language education in the U.S.

Theoretical framework: Language ideology and the culture of standardization The idea and practice of ‘Spanish’, particularly in language education, have been constructed around the Native Standard Language (NSL), a constellation of hegemonic ideologies of language-ness, (non)standardness, and (non)nativeness (Train 2003, 2006, 2007a, 2007b). The invention of a language (e.g., Spanish, English) rests on an ideology of languages “as separate and enumerable categories” (Makoni & Pennycook 2005: 138). The Spanish language, then, can be said to represent an ideological construct of language-ness that constitutes ‘Span-

LENSO-21

23/1/09

12:32

Página 193

“Todos los peregrinos de nuestra lengua”

193

ish’ as an entity apart from other supposedly discrete languages, while at the same time posits the relationality between Spanish and other languages. Research into ideologies of language in diverse cultural contexts has amply shown that “a definition of language is always, implicitly or explicitly, a definition of human beings in the world” (Williams 1977: 21). Spanish-as-language-ideology represents and construes, whether explicitly or implicitly, “the intersection of language and human being in a social world” (Woolard 1998: 3). The counting and separating of diverse, complex practices of Spanish into a discrete, standardizing language (among other like languages) involves the act of giving an account of oneself (Butler 2005) as a speaker of one’s putatively native language, defined in relation to the so-called non-native speaker of ‘our’ language and the native speaker of the other’s language. The standard account of Spanish shapes and is shaped by a linguistic culture (Schiffman 1996) in which (non)standardness is a central feature. The counting and accounting of the Spanish language as (non)native and standard is constructed through complex, historically-contingent practices and ideologies embedded in shifting sociopolitical, linguistic, cultural, and affective contexts. Native Standard Speakers (NSS) can be said to live in “standard language cultures” (Milroy 2001: 530) in which certain languages, including those world languages of European origin such as Spanish, are believed by their speakers to exist in standardized forms. The belief in a standard affects the way in which speakers think about their own language and about language in general, often focusing on the supposed (in)correctness, superiority/inferiority and boundedness of linguistic varieties. The practices and ideologies associated with a culture of standardization entail significant sociocultural, political, and pedagogical implications and consequences, including often intractable tensions and conflicts (Schiffman 1996, Silverstein 1996, Train 2002). In part, this culture of standardization constitutes and is constituted by the codification of socially-situated accounts of Spanish in authorized textual, communicative, and affective spaces that come to represent ‘the language’ and its privileged native speakers. The interplay of standardizing discourses and ideologies both in everyday ideas about language and in the metalanguage of language professionals (e.g., educators, linguists, policy makers) can blur convenient distinctions between ‘description’ and ‘prescription’ into aspects of a single normative activity: “a struggle to control language by defining its nature” (Cameron 1995: 8). The reduction of Spanish to a standardizing account involves what Foucault (2004b: 59) called a “disciplinary normalization” which attempts to make people and their behavior conform to a normative model of conduct and security. This normalization has been fundamental to modern societies built around technolo-

LENSO-21

23/1/09

12:32

Página 194

194

Robert Train

gies of power attached to notions of the State, territory, and governmentality. For Foucault, governmentality (la gouvernementalité) refers to the relations, technologies and procedures of power by which human conduct is regulated (Foucault 2004a: 192). Grounded in a characteristically modern reflection on the idea that human beings are governable, the study of governmentality offers a critical way of analyzing the power relations that have emerged in western societies since the end of the sixteenth century (Foucault 2004b: 127). The material and embodied representation of Spanish in terms of (non)standardness and (non)nativeness has been instrumental in (re)producing local, national, and global systems of inequality and othering linked to social categories of nationality, class, and race within and between modern democratic societies. Education, with its increasing reliance on standardizing notions of accountability, is a site where these ideologies, practices, and technologies of inequality and othering are visible in assessment, curriculum, instruction, textbooks, and policy.

Nebrija’s foundational account of Spanish To explore the historical construction of standardizing accounts of the Spanish language as a (non)native language that has shaped the context of Spanish in the U.S., I will begin by outlining the foundational account of Spanish and its teaching, the Gramática de la lengua castellana by the Spanish humanist Antonio de Nebrija. Published in 1492, this opening text of modernity provides what is generally considered to be the first systematic codification of a European nationalimperial language, and for the purposes of this chapter, a rich site of investigation into the ideologies surrounding the NSL construct.1 However, while ushering in the modern era, Nebrija constructed his account of Spanish within the standardizing frame elaborated through some 15 centuries of pedagogical and metalinguistic theory and practice surrounding the dual constructs of Latin language and its authorized Latinity (latinitas). Nebrija claimed that his grammar or arte (from the Latin ars grammatica) would “reduce” the Castilian practices of language, that is “our language”, for the first time ever to an “artificial” state of uniformity, durability, and correctness: “reduzir en artificio este nuestro lenguaje castellano” (1946: 9). He articulates the basic dilemma of the NSL that somehow ‘our native’ language can be or should be represented in relation to the standard language, however artificial that might be.

1

Dussel (1995: 12) locates the “birthdate of modernity” in 1492, thus highlighting the constitutive role of the European colonial/imperial project.

LENSO-21

23/1/09

12:32

Página 195

“Todos los peregrinos de nuestra lengua”

195

By this reductive and standardizing move, Nebrija shifts the locus of privileged speakership toward the language practices of educated native speakers of Spanish, like himself. He appropriates the socioprofessional identity of grammarianguardian-planner-teacher of Spanish, positioning himself in the role of expert whose expertise is fundamental to the emerging workings of power in the modern State. In order to do so, Nebrija frames his project to “reduce to artifice” Castilian language practices as an ideological response to the perceived reality that up to that point Spanish had “run wild” and “out of order” (“anduvo suelta i fuera de regla”, p. 9). The need for a language, both native and standard, is the central thread in a narrative of cultural and political decline and regeneration in which the language professional emerges triumphant with a solution to an ostensibly grave problem that he claims threatens the linguistic and social order. Like later reform movements in language and education up to the present day, Nebrija’s call for standardization as the way to remedy the supposed disorder of variability and change is attuned to the political power of his times. Operating in a space in which language and politics were inseparable, Nebrija seems to offer an early instantiation of modern governmentality grounded in the supposed ‘naturalness’ of power relations in society, or Foucauldian naturalité sociale (Foucault 2004b: 358). The opening phrase of the Gramática, addressed to Queen Isabella, famously articulates an ideological stance on the assumed reality and naturalness of a unitary imperial power supported by a NSL: “siempre la lengua fue compañera del imperio” (Nebrija 1946: 5). In his account of the Spanish language, Nebrija appears aware of his role and that of a codified language in the emerging imperial apparatus. At the moment Nebrija publicly presented his Gramática to the reigning Spanish monarch on August 18, 1492, Columbus was sailing to new colonial possibilities, and the internal conquest, colonialization and Castilianisation of the Iberian Peninsular was in progress (see MarMolinero 2000). Designing the nascent contours of Spanish national sovereignty and global empire, Nebrija outlines the goals of the modern project for language instruction. First, he advocates the teaching or self-study of the codified language to putatively native speakers of Castilian, like himself, who wish to apply these standardizing practices to the language they have acquired through use since childhood (“los que quieren reduzir en artificio i razon la lengua que por luengo uso desde niños deprendieron”, p. 104), as well as to native Castilian speakers wishing to learn Latin, the model of standardized language (p. 105). Second, Nebrija states that his grammar will enable recently conquered peoples to learn Spanish, thus facilitating their assimilation, or forced integration, into the unitary community of the emerging Nation and Empire:

LENSO-21

23/1/09

196

12:32

Página 196

Robert Train

Despues que Vuestra Alteza metiesse debaxo de su iugo muchos pueblos barbaros i naciones de peregrinas lenguas, i conel vencimiento aquellos ternian necessidad de recebir las leies quel vencedor pone al vencido i con ellas nuestra lengua, entonces por esta mi Arte podrian venir enel conocimiento della, como agora nos otros deprendemos el arte dela gramatica latina para deprender el latin. (p. 11)

Nebrija is unequivocal in his assertion that national assimilation and colonial subjugation require the subaltern “barbarians” and “foreigners” to learn “our” language. The legal-coercive force of ‘the language’ to categorize, police, and govern conquered minority language communities by the imposition of peace by force on the model of pax romana fits within the ideological context of standardization with its production and reproduction of inequalities beneath a veneer of political unity. This national-imperial moment, while marking the constitution of the Spanish language by entextualization in grammar, foreshadows the sort of discursively constructed reactionary ‘order of force’ on which social order and political power have been constituted in modern societies as “a relationship of force, an equilibrium and interplay of proportions, a stable dissymmetry or a congruent inequality” founded on “a relationship of force between good and evil [...] between adversaries” (Foucault 2003: 192). Third, Nebrija proposes that his grammar be the basis for FL instruction to those apparently Christian non-native learners of Spanish living outside the Nation and Empire. These foreigners speaking a “lengua peregrina” (p. 105) will be enabled to learn “our” language in order to communicate with native speakers of Spanish: I cierto assi es que no sola mente los enemigos de nuestra fe que tienen la necessidad de nuestra lengua, mas los vizcainos, navarros, franceses, italianos i todos otros que tienen algun trato i conversacion en España i necessidad de saber el lenguaje castellano, si no vienen desde niños a la deprender por uso, podranla mas aina saber por esta mi obra. (p. 11)

However, the conversation and communication that Nebrija’s grammar purports to facilitate imply a sanitized and authorized Spanish language in a Spanish territory recently purged of the supposed “enemies of our faith”. Only months before the publication of the Gramática, Queen Isabella and King Ferdinand issued the royal edicts that ordered the expulsion of all Jews from Spain, citing the supposed dangers to the Catholic faith posed by the “conversacion e comunicacion” between Jews and Christians (Leroy 1998: 30). Nebrija invents a standardizing Spanish language constructed around a discourse of (non)nativeness centering on the identification of some speakers and languages as peregrinos and bárbaros. Beyond the famous prologue, a lesser known section of the Gramática defines error in either spoken or written Spanish in terms of

LENSO-21

23/1/09

12:32

Página 197

“Todos los peregrinos de nuestra lengua”

197

barbarismo and solecismo, thus providing us with an excellent example of intertextuality in the production and reproduction of ideologies surrounding the NSL: Barbarismo es vicio no tolerable en una parte dela oracion, i llamase barbarismo por que los griegos llamaron barbaros a todos los otros, sacando asi mesmos; a cuia semejança los latinos llamaron barbaras a todas las otras naciones, sacando asi mesmos i alos griegos; i por que los peregrinos i estranjeros, que ellos llamaron barbaros, corrompian su lengua cuando querian hablar en ella, llamaron barbarismo aquel vicio que cometian en una palabra; nos otros podemos llamar barbaros a todos los peregrinos de nuestra lengua, sacando alos griegos i latinos, i alos mesmos de nuestra lengua llamaremos barbaros, si cometen algun vicio enla lengua castellana. (p. 93-94)

Native standard speakership, as defined in the Gramática, is determined partly in terms of language use that is free from barbarismos, the errors in speech or writing committed by non-native speakers. Nebrija situates his codification of Spanish/Castilian in the Graeco-Roman tradition of defining (in)correct written and spoken usage in terms of the ‘other’ and their supposed linguistic vices. The problematically native speakers who deviate from the codified norm are essentially marginalized from the community of (educated) native speakers as bárbaros having committed the error of non-native-like language. Nebrija similarly outlines the “vice” of solecism, or morphosyntactic error (e.g., “el hombre buena corres”) as “vicio que se comete enla juntura i orden delas partes dela oracion contra los preceptos i reglas del arte dela gramatica” (p. 94). Like the concept of barbarism, solecism allows Nebrija to construct Spanish with reference to classical language ideologies: E llamase solecismo, de Solos, ciudad de Cilicia, la cual poblo Solon, uno delos siete sabios que dio las leies alos de Athenas, conlos cuales mezclandose otras naciones peregrinas començaron a corromper la lengua griega, i de alli se llamo solecismo aquella corrupcion dela lengua que se comete enla juntura delas partes dela oracion. Asinio Polion mui sotil juez dela lengua latina llamolo imparilidad, otros ‘stribiligo’, que en nuestra lengua quiere dezir torcedura dela habla derecha i natural. (p. 94)

The “twisting of correct and natural/native speech” echoes prior Latin texts (see Gellius 1960: 1.5.20), as does the reference to Asinius Pollio (a Roman orator, historian, and politician who was a contemporary of Caesar, Vergil, and Horace) as an authority on Latin. This same Pollio appeared in later metalinguistic texts as a notable verbal hygienist who claimed to be able to detect non-Roman varieties of Latin in even the most famous classical Latin authors, such as Livy (see Quintilian, 1.5.56; 8.1.3). In the next section, we will go back to the ideologies surrounding Greek and Latin in order to understand Nebrija’s future-oriented uptake of the ancient discourse of language decline and corruption grounded in colonial/imperial contexts of contact with ‘foreign’ speakers, who are held

LENSO-21

23/1/09

198

12:32

Página 198

Robert Train

accountable for violating the supposed boundaries between separate languages and speakers.

“Our Spanish language” and the avatars of (non)nativeness in language education The constitutive (dis)embodiment of (non)nativeness both defines and threatens the boundaries of discursive, social, and pedagogic regimes that seek to control or govern the class-identified and often racialized barbarian. The barbarian has been constructed over a long history as “the man who stalks the frontiers of States, the man who stumbles into the city walls” and who “cannot exist without the civilization he is trying to destroy and appropriate” (Foucault 2003: 195). Nebrija’s account of Spanish invents its barbarian as central to the larger linguistic, cultural, educational, and political project called humanism (Rico 1978). Nebrija was perfectly aware of prior texts defining barbarism and solecism within an overarching ideology of language-ness attached to discourses of latinitas or Latinity that underpinned European practices of language in education. One of the oldest surviving Latin textbooks, Rhetorica ad Herennium from the 1st century BCE and dubiously attributed in manuscripts to Cicero, codifies the concept and practice of style (elocutio) for pedagogical purposes in terms of taste (elegantia), composition and distinction (dignitas), which “makes each and every topic of speech appear to be expressed purely and straightforwardly” ([Cicero] 1945: 4.12.17). The anonymous author traces the boundaries of taste according to Latinity: Latinity [latinitas] is what keeps language pure and free of any defect [vitium]. There are two faults in speaking that can mar its Latinity: solecism and barbarism. A solecism occurs when the agreement between a word and the one before it in a group of words is incorrect. A barbarism is when something faulty is expressed in the words. I will clearly explain how to avoid these errors through the rational theory [ratio] contained in my grammar book [ars grammatica]. ([Cicero] 4.12.17, my translation)

In identifying two supposed threats to Latinity (solecism and barbarism), the Roman grammarian-teacher reveals the complex genealogy of the notion of a language error in the context of nativeness, standardization, and education. Etymologically, as Nebrija also points out, the term soloecism derives from the Greek concept of speaking incorrectly (soloikismos), as stated by ancient writers to refer to the supposed “corruption” of the Attic dialect among the Athenian colonists at Sóloi in Cilicia (OED Online 1989). The notion of error is thus framed in terms of substandard or corrupted speech, a departure from linguistic unity, and with reference to a colonial context grounded in the marginalization of a problematically

LENSO-21

23/1/09

12:32

Página 199

“Todos los peregrinos de nuestra lengua”

199

native –colonial but not necessarily foreign– ‘other on the periphery’ by those who would claim to be the powerful center of the language, Athens. Barbarism, the second category of error and threat to Latinity and to its Spanish equivalent, points to another modality of marginalization, the ‘other as nonnative’. Similarly, the Latin barbarismus was translated from the Greek term designating a “foreign mode of speech”, derived from the Greek verb to “(behave or) speak like a foreigner” (OED Online 1989). However, as Calvet (1999: 64) remarks, the simple equivalence between ‘foreigner’ and the notion of barbarism leaves out important information, in particular its role in translating Greek linguistic racism into Western notions of language. The Greek word bárbaros probably had a primary reference to deficient speech, as in the Latin balbus (stammering), or someone who cannot speak –or at least not from the standpoint of the Greeks– and only produces noises that could not be considered human language, that is, not Greek (Calvet 1999: 64). Encoding Greek ethnocentrism, bárbaros came to signify “foreign, non-Hellenic”, and later “outlandish, rude, brutal” (OED Online 1989). Similarly, the Romans used the Latin translation barbarus to denote “not Latin nor Greek”, and then “pertaining to those outside the Roman empire”, with the extended sense of “uncivilized, uncultured”, and later with the Christianization of the Empire to “non-Christian”, whence “Saracen, heathen” and generally “savage, rude, savagely cruel, inhuman” (OED Online 1989). As in the case of Nebrija’s notion of Spanish speakership, Roman identity was largely co-constructed with reference to the ‘barbarians’ who were the essentialized other, the “‘outsiders’ without whom there could be not insiders”, for had barbarians not existed, “the Romans surely would have invented them”, for to understand themselves the Romans needed the barbarian other (Burns 2003: 14). Romans discursively evoked the barbarian as “cultural foils in ancient intellectual discourses about change and values”, as yet “another celebration of Roman superiority and civilization” (Burns 2003: 15). The Gramática points to the ideologized language-ness intersecting with longstanding notions about the civilizing and humanizing mission of education, especially within the larger political context of imperialism. Nebrija’s humanist account of language found its ideological moorings in the notion of humanitas, a complex set of social practices, corresponding to the Greek paideia, that can be glossed as the ‘civilization’ associated with ‘literature’, ‘culture’, and ‘education’ (Veyne 1993: 343). Unlike modern notions that purport to attribute humanity to all members of the human species, humanitas was both a justification and an explanation for the supposedly merit-based, but transparently class-oriented, inequalities between humans. The idea of humanity was seen to distinguish “the

LENSO-21

23/1/09

200

12:32

Página 200

Robert Train

civilized man from the savage who lived on what he could gather”, as well as distinguishing the “literate” and, more generally, those who were considered “well brought up and of good family” from the “common people” and from “uneducated members of the propertied class who, by their lack of instruction, brought no honor to their class” (Veyne 1993: 342). As a precursor to notions of meritocracy and distinction (Bourdieu 1979) that have shaped modern education, humanity defined educated language and its users. Nebrija’s category of barbarism was constructed on the assumption of the humanitas embodied in the humanist grammarian and his students who mastered the authorized, correct Spanish language modeled on Latinity. On another level, Nebrija’s humanitas, like that of his classical forebears, was inseparable from the notion of the Empire as “one unit of civilization with two international languages, confronting the barbarians” (Veyne 1993: 365). Nebrija transposed Spanish as the co-official language of the Empire with Latin, as Latin had been associated with the value and power of Greek civilization. Nebrija appropriated the Roman cultivation of humanitas to support imperial conquest by giving it an ostensibly civilizing dimension and justification that it should be waged “justly” and in a way to gain the “more ready obeisance of the vanquished” (Veyne 1993: 353). As in the case of future world standard languages like Spanish and English, the codification of Latin language-ness was part of a larger entextualization of ideologies and practices of global hegemony and inequality. In the same chapter cited earlier, the Rhetorica ad Herennium offers a sample speech justifying a declaration of war against imperial Rome’s former allies, those who might have dared to challenge “the sovereignty over the whole world which all the civilized peoples, kings, and barbarous nations have accepted, in part compelled by force, in part of their own will, when conquered either by the weapons of Rome or by her generosity” ([Cicero] 1954: 4.9.13). But this ideal of a conquest with a human face was very much “a humanism of the imagination” since even a justly declared conquest was still conquest and therefore utterly brutal, including the Romans’ common practice of burning barbarian villages and killing every living thing in their path (Veyne 1993: 358-359). The chillingly terse commentary by the Roman Emperor Augustus stands as testimony to this pre-modern, proto-governamentality: “When foreign peoples could safely be pardoned I have preferred to preserve rather than to exterminate them” (Velleius 1924: 3.2). Recalling the expulsion and forced conversion of Spanish Jews and presaging the later colonization of the Americas, Nebrija’s Gramática endorsed the assumption that survival was conceivable only in terms of submission or assimilation to the civilization of the conquerors and contingent on their sense of security from any real or imagined threats to that civilized order.

LENSO-21

23/1/09

12:32

Página 201

“Todos los peregrinos de nuestra lengua”

201

Nebrija’s use of peregrino indexes the Latin term peregrinus –the generic term for a foreigner or alien– another pillar in the discourses and ideologies of inclusion/exclusion basic to the classical and humanist projects of language, empire, and education. Historically, peregrinus was inscribed in the complex of Roman citizenship or civitas that interfaced with concepts of language-ness, speakership, and civilization. Peregrinus was attached to the legal status of a class of alienfree men under Roman rule, not having Roman citizenship and therefore without all the attendant rights accorded to citizens. The peregrini were, in effect, the “internal barbarians” of the Empire (Burns 2003: 14). Although social ascension was largely determined by citizenship, peregrini were likely to remain foreigners since Roman citizenship was not given except by decree of the Senate during the Republic or later by individual grant of the Emperor (Balsdon 1979: 13). The idea of granting Roman citizenship (civitatem donare) also encompassed an ideology and policy of restrictive naturalization for words, which were categorized as native Latin (latina, romana) or foreign other (peregrina). Grammarians, in their role as guardians of the language (Kaster 1988), engaged in disputes over the ‘citizenship’ of a given word. In one well-known example, a grammarian is said to have criticized the Latinity of a word in a speech by Emperor Tiberius and, taking the supreme authority in linguistic matters into his own hands, declared “For you, Caesar, are able to give citizenship to people, but not to words” (Suetonius 1995: 27). Quintilian, a famous 1st century CE Roman rhetorician from Hispania, provided a model for language in education upon which some 1500 years later Nebrija and his fellow humanists in Europe and the Americas founded much of their linguistic, educational, and political project (see Mignolo 2003, MacCormack 2007). Quintilian devoted part of his influential Latin textbook Institutio Oratoria (2001) to barbarism and solecism with an initial warning to students: “In the first place, the foulness [foeditas] of barbarism and solecism must not be present” (1.5.5). Characterized by variation from the standard of educated speaker-writers, error reeks of the foreignness and social inferiority attached to the barbarian other. Laboring under the assumption that there were Latin words and foreign words (“verba aut Latina aut peregrina sunt”), Quintilian sub-divided this hideousness of error according to several categories of pernicious variation linked to non-Roman-ness or personal defect (1. 5. 55). He entextualized the authorized speech practices associated with Latin rhetoric in terms of the “science of speaking well”, under which he subsumed the study of grammar as the “study [scientia] of correct speaking” and the “interpretation of the poets” (1.4.3; see Irvine 1994: 53-55, Harris & Taylor 1997: 60-75). The structure of what is conceived

LENSO-21

23/1/09

12:32

Página 202

202

Robert Train

of, described, analyzed and taught as ‘the Latin language’ is reduced to a privileged set of language practices attached to a canon of literary texts (poems) and a norm of correctness established by the consensual usage of ‘good men’, that is to say, educated men. As Harris and Taylor (1997: 73) observe, Quintilian’s argument represents a “self-sustaining and pedagogically impeccable” metalinguistic stance that dominated Western culture for two thousand years: grammar defines correct usage because it is based on the consensus of educated speakers; and the educated speak correctly because they have studied grammar. A fundamental goal of language education began to ensure that the ‘good qua the educated’ speak ‘better’, and appear to make what is highly valued use of language seem natural or native to them.

Specters of Nebrija in the U.S.? A critical reading of the Gramática de la lengua castellana, the foundational account of the Spanish language, leaves many questions as to how foreign and heritage language education in the U.S. may be haunted by the specters of Nebrija. Taking a riff from Derrida (1994), one may begin to ask to what extent the ghosts of language-ness, standardness, and nativeness –that is, the complex interplay of ideologies and discourses that Nebrija aspired to embody and entextualize in 1492– might still be present over 500 years later. Or perhaps, how the irony of their problematic presence still shapes language study in terms of prescribing and/or describing what ‘the language’ is, what its authorized standard forms are, and who its native speakers are. Given the vast complexities of language in innumerable contexts, the invention of Spanish as a language –separate yet enumerable and comparable with respect to other supposedly discrete languages– seems all the more at odds with the day-to-day language practices of actual, verifiable speakers that can be observed in global and local settings characterized by transidiomatic practices and transcultural flows (see Pennycook 2007). However, successive metadiscursive and pedagogical regimes over the centuries seemed to have continued to invent or reinvent Spanish in ways that strive to recontextualize and make real many of Nebrija’s ghosts (see Train 2007b). While this chapter is not the place to attempt to outline this history, I will offer three broad areas for language professionals engaged in the study of Spanish to reflect upon. First, the basic dilemma of the NSL remains remarkably intact: that somehow ‘our native language’ can be or should be represented in relation to an ideologically monolingual standard language-form, however artificial that might be, particularly for bilingual or multilingual speakers. Second, language is central to cultures of standardization in the production, reproduction, and legitimization of

LENSO-21

23/1/09

12:32

Página 203

“Todos los peregrinos de nuestra lengua”

203

inequalities under the guise of unity and equity. It would seem that the legitimization of a language and its speakers entails the legitimization of inequalities among the speakers of the language and between speakers of other languages. Third, language professionals and educational institutions still participate in longstanding ideologies of (non)nativeness by which the unity of the Spanish language must be maintained by a protracted struggle against the supposed threats of variability, error or impurity from within and without. The National Foreign Language Standards, widely promulgated by professional organizations, are seen to legitimize Spanish and other FLs as school subjects in the U.S. Although couched in a discourse of empowerment (see Apple & Buras 2006), the dominant educational and political ideology, practice, and policy surrounding market-driven ‘reform’, ‘standards’ and ‘accountability’ in fact serve to reproduce inequalities attached to the accumulation of cultural and economic capital in the elite of the ‘successful’. The apparent ideological unity and professional support behind National Foreign Language Standards have largely ignored the pervasive problem of (in)equality in society and education in the U.S. that has become increasingly linked to standardized and standardizing educational practices with disproportionately negative consequences for Latino students (Valenzuela 2005). Spanish language teachers, speakers, and learners are presented with the challenge of how to respond to and contest these inadequate standardizing ‘solutions’ to social and educational inequality. Nebrija’s ghosts appear in a recent call for Spanish to assume its legitimate position as “the foreign national language” or “second national language” of the U.S., along with English (Alonso 2006). Within the dominant metadiscursive and educational regime, asserting that Spanish ‘belongs here’ in the U.S. also implies affirming that Spanish is a legitimate language with grammars, dictionaries, standardized exams, textbooks, educated native speakers and all the other accouterments of language-ness, standardness, and nativeness. The suggestion to nationalize, pedagogize, and standardize Spanish in the U.S. is troubling, although the intent to empower speakers of Spanish is laudable. Power always has a price because empowerment through language and identity is generally tied up with nativeness, standardness, and language-ness. Spanish language professionals in the U.S. are presented with a critical and an ethical responsibility that, in Butler’s (2005: 135) words, implies “a framework for understanding ethical response” with respect to the accounts and accountability surrounding our constructed notions of the Spanish language and speakers of Spanish (see Train 2007b). On the one hand, we have a deep responsibility to place Spanish and speakers of Spanish at the center of life in the U.S. It must be acknowl-

LENSO-21

23/1/09

12:32

204

Página 204

Robert Train

edged that the dominant accounts of Spanish in education have their place insofar as providing our students and children with access to the valorized practices of Spanish remains a basic goal. On the other hand, these accounts must also be ethically contested and interrogated. It is important to acknowledge that the legitimating power of any account of Spanish for the purposes of teaching, learning, or research risks entailing some form of symbolic violence as a basis for pedagogic action and authority (Bourdieu & Passeron 1970) that reproduces the unequal distribution of cultural capital, often along the lines of socioeconomic class and race. By critically understanding the historical construction of the language, teachers and learners can begin to recognize and interrogate the deeply entrenched ideologies, practices and policies that may reduce and limit our understanding of what Spanish is and who we are or can be as speakers of Spanish. One must ask whether Spanish language education in the U.S. is too quick in partitioning an authorized school or ‘academic Spanish’ from the largely devalued diversity of actual Spanish language practices. It is vital that the education of Spanish teachers, speakers, and learners begin to guide us toward developing critically reflexive stances toward teaching, learning and using Spanish, including how to negotiate the problematic categories of the non-native and native speaker that discursively construct identities in context (Kramsch & Lam 1999). Spanish language educators must also explore and contest the ideological intersection of language and education that has long represented the FL learner as an other imagined to be a deficient communicator (Belz 2002) and invested the native or native-like speaker-teacher with a supposedly infallible competence, thus forcing teachers into the reductive role of “deficiency experts” (Loveday 1982: 141). Critically aware Spanish language educators are needed to nurture heritage learners, who in many cases are categorized by educational institutions as deficiently native speakers because bilingual language practices (often characterized as ‘Spanglish’) do not count as Spanish according to the monolingual native standard speaker model (Villa 2002, Valdés et al. 2003, Valdés et al. 2006). In short, much work must be done to counter the disturbing connections between education and nativist public discourse that would all too easily equate the presence of Spanish in the U.S. with the ‘barbarians’ at the gate, within our walls, and in ourselves.

References ALONSO, Carlos J. (2006): “Spanish: The foreign national language”, in: ADFL Bulletin 37(2/3), 15-20. APPLE, Michael W./BURAS, Kristen L. (2006): The subaltern speak: Curriculum, power, and educational struggles. New York: Routledge.

LENSO-21

23/1/09

12:32

Página 205

“Todos los peregrinos de nuestra lengua”

205

BALSDON, J. P. V. D. (1979): Romans and aliens. Chapel Hill: University of North Carolina Press. BELZ, Julie A. (2002): “The myth of the deficient communicator”, in: Language Teaching Research 6(1), 59-82. BOURDIEU, Pierre (1979): La distinction, critique sociale du jugement. Paris: Editions de Minuit. BOURDIEU, Pierre/PASSERON, Jean-Claude (1970): La reproduction: Éléments pour une théorie du système d’enseignement. Paris: Editions de Minuit. BURNS, Thomas S. (2003): Rome and the Barbarians, 100 B. C. - A. D. 400. Baltimore: Johns Hopkins University Press. BUTLER, Judith (2005): Giving an account of oneself. New York: Fordham University Press. CALVET, Louis-Jean (1999): La guerre des langues et les politiques linguistiques. Paris: Hachette. CAMERON, Deborah (1995): Verbal hygiene. London/New York: Routledge. [CICERO] (1954): Ad C. Herennium de ratione dicendi (rhetorica ad herennium) (Harry Caplan, Trans). Cambridge: Harvard University Press. DERRIDA, Jacques (1994): Specters of Marx: The state of the debt, the work of mourning, and the new International. New York: Routledge. DUSSEL, Enrique (1995): The invention of the Americas: Eclipse of “the other” and the myth of modernity. New York: Continuum. FOUCAULT, Michel (2003): “Society must be defended”: Lectures at the Collège de France, 1975-76. New York: Picador. — (2004a): Naissance de la biopolitique. Cours au Collège de France (1978-1979). Paris: Editions Hautes Etudes/Gallimard/Seuil. — (2004b): Sécurité, territoire, population. Cours au Collège de France (1977-1978). Paris: Editions Hautes Etudes/Gallimard/Seuil. GELLIUS, Aulus/ROLFE, John Carew (1960): The Attic nights of Aulus Gellius. London: W. Heinemann. HARRIS, Roy/TAYLOR, Talbot J. (1997): Landmarks in linguistic thought I: The Western tradition from Socrates to Saussure (2nd ed). London/New York: Routledge. IRVINE, Martin (1994): The making of textual culture: ‘Grammatica’ and literary theory, 350-1100. New York: Cambridge University Press. JOHNSTONE, Barbara (1996): The linguistic individual: Self-expression in language and linguistics. New York: Oxford University Press. KASTER, Robert A. (1988): Guardians of language: The grammarian and society in late antiquity. Berkeley: University of California Press. KRAMSCH, Claire (1993): Context and culture in language teaching. Oxford: Oxford University Press. KRAMSCH, Claire/LAM, Wan Shun Eva (1999): “Textual identities: The importance of being non-native”, in: Braine, George (ed.): Non-native educators in English language teaching. Mahwah: Lawrence Erlbaum, 57-72. LEROY, Béatrice (1998): Les édits d’expulsion des juifs: 1394-1492-1496-1501. Biarritz: Atlantica.

LENSO-21

23/1/09

206

12:32

Página 206

Robert Train

LOVEDAY, Leo (1982): The sociolinguistics of learning and using a non-native language. Oxford: Pergamon Press. MACCORMACK, Sabine (2007): On the wings of time: Rome, the Incas, Spain, and Peru. Princeton: Princeton University Press. MAKONI, Sinfree/PENNYCOOK, Alastair (2005): “Disinventing and (re)constituting languages”, in: Critical Inquiry in Language Studies 2(3), 137-156. MAR-MOLINERO, Clare (2000): The politics of language in the Spanish-speaking world: From colonisation to globalisation. London/New York: Routledge. MIGNOLO, Walter (2003): The darker side of the Renaissance: Literacy, territoriality, and colonization (2nd ed.). Ann Arbor: University of Michigan Press. MILROY, James (2001): “Language ideologies and the consequences of standardization”, in: Journal of Sociolinguistics 5, 530-555. NEBRIJA, Antonio de (1946): Gramática castellana: Texto establecido sobre la ed. “princeps” de 1492. Romeo, Galindo/Ortiz Muñoz, L. (eds.). (Vol. 1). Madrid: Junta del Centenario. OED Online/Oxford English Dictionary (1989-). Oxford/New York: Oxford University Press. PENNYCOOK, Alastair (2007): Global Englishes and transcultural flows. London/New York: Routledge. QUINTILIAN (2001): The Orator’s Education. Books 1-2 (Donald A. Russell, Trans.). Cambridge/London: Harvard University Press. RICO, Francisco (1978): Nebrija frente a los bárbaros: El canon de gramáticos nefastos de las polémicas del humanismo. Salamanca: Universidad de Salamanca. SCHIFFMAN, Harold F. (1996): Linguistic culture and language policy. London/New York: Routledge. SCOLLON, Ron (2004): “Teaching language and culture as hegemonic practice”, in: Modern Language Journal 88(2), 271-274. SILVERSTEIN, Michael (1996): “Monoglot ‘standard’ in America: Standardization and metaphors of linguistic hegemony”, in: Brenneis, Donald/Macaulay, Ronald K. (eds.): The matrix of language: Contemporary linguistic anthropology. Boulder: Westview Press, 284-306. SUETONIUS TRANQUILLUS, C. (1995): De Grammaticis et Rhetoribus (Robert A. Kaster, Trans.). Oxford: Clarendon Press. TRAIN, Robert W. (2002): Foreign language standards, standard language and the culture of standardization: Some implications for foreign language and heritage language education. Paper presented at 1st UC Language Consortium Conference on Language Learning and Teaching, University of California, Irvine. http://uccllt.ucdavis.edu/hli/ papers.htm — (2003): “The (non)native standard language in foreign language education: A critical perspective”, in: Blyth, Carl (ed.): The sociolinguistics of foreign language classrooms: Contributions of the native, the near-native and the non-native speaker. Boston: Heinle, 3-39. — (2006): “A critical look at technologies and ideologies in internet-mediated intercultural foreign language education”, in: Belz, Julie A./Thorne, Steven L. (eds.):

LENSO-21

23/1/09

12:32

Página 207

“Todos los peregrinos de nuestra lengua”

207

Internet-mediated intercultural foreign language education. Boston: Heinle, 245282. — (2007a): “Language ideology and foreign language pedagogy”, in: Ayoun, Dalila (ed.): French applied linguistics. Amsterdam/Philadelphia: John Benjamins, 238-269. — (2007b): “‘Real Spanish’: Historical perspectives on the ideological construction of a (foreign) language”, in: Critical Inquiry in Language Studies 4(2-3), 207-235. VALDÉS, Guadalupe/FISHMAN, Joshua A./CHÁVEZ, Rebecca/PÉREZ, William (2006): Developing minority language resources: The case of Spanish in California. Clevedon: Multilingual Matters. VALDÉS, Guadalupe/GONZÁLEZ, Sonia V./LÓPEZ GARCÍA, Dania/MÁRQUEZ, Patricio (2003): “Language ideology: The case of Spanish in departments of foreign languages”, in: Anthropology & Education Quarterly 34, 3-26. VALENZUELA, Angela (ed.) (2005): Leaving children behind, how “Texas-style” accountability fails Latino youth. Albany: State University of New York Press. VELLEIUS, Paterculus. (1924): Compendium of Roman history; Res gestae divi Augusti. (Frederick W. Shipley, Trans.). London: W. Heinemann. VEYNE, Paul (1993): “Humanitas: Romans and Non-Romans [Humanitas: les Romains et les autres]”, in: Giardina, Andrea (ed.): The Romans. Chicago: University of Chicago Press, 342-369. VILLA, Daniel J. (2002): “The sanitizing of U.S. Spanish in academia”, in: Foreign Language Annals 35(2), 222-230. WILLIAMS, Raymond (1977): Marxism and literature. Oxford: Oxford University Press. WOOLARD, Kathryn A. (1998): “Introduction: Language ideology as a field of inquiry”, in: Schieffelin, Bambi B./Woolard, Kathryn A./Kroskrity, Paul V. (eds.): Language ideologies: Practice and theory. New York: Oxford: Oxford University Press, 3-47.

LENSO-21

23/1/09

12:32

Página 208

LENSO-21

23/1/09

12:32

Página 209

DE LA TRADICIÓN ORAL A LA LETRA IMPRESA: LENGUA Y CAMBIO SOCIAL EN NUEVO MÉXICO, 1880-1912 ARTURO FERNÁNDEZ-GIBERT California State University, San Bernardino

In the transition from the nineteenth to the twentieth century, New Mexico became part of the United States from a society of oral traditions. Socioeconomic transformations introduced radical changes in the communicative media of nuevomexicanos, who established print culture through literacy in Spanish, their native language. The circulation of hundreds of newspapers in Spanish effected dramatic cultural and linguistic transformations, and afforded the construction of a Hispanic identity of its own in the last decades of the Territory of New Mexico. The primary goal of this chapter is to shed light on the process of transformation of New Mexican society from a community of oral tradition in Spanish to a modern, literate, and capitalist society within the United States, with English as the dominant language. This work is based on the study of selected texts –from more than 200 issues– printed in a weekly newspaper, La Voz del Pueblo, between 1890 and 1912, the period prior to statehood. Many significant texts printed in its pages explain the crucial changes experienced by native New Mexicans. In addition to these primary sources, I examined U.S. Census data to determine demographic and sociolinguistic patterns of change. The focus of this work is the sociolinguistic and language ideologies –about Spanish and English– found in the Spanish-language press throughout the late New Mexico’s territorial period. The theoretical framework utilized for the analysis includes three perspectives: 1) A sociolinguistic approach that considers the nuevomexicano language community as a society that had recently reached literacy; 2) An ethnographic perspective from which the transformation of the neomexicano culture is considered as the vanishing of a tradition based on oral performance; and 3) An analysis of ideology, in which the transition into a print culture is seen as a change of political and socioeconomic discourse rather than a technological change, within the new status of New Mexico as a state. The data available to us and the testimonies of contemporary nuevomexicanos show that the initial movement to achieve literacy, promoted by hispano editors, facilitated the transition from a

LENSO-21

23/1/09

12:32

210

Página 210

Arturo Fernández-Gibert

traditional representation of culture to a literacy-mediated society, firstly in Spanish, and ultimately, as the path to statehood required, in English. Once English was established as the only mandatory language of instruction, Spanish started to decline as the vehicle of social representation, retreating to domestic domains and rural, more isolated communities in the new state.

Introducción Este trabajo es un análisis de algunos de los textos representativos de la prensa en español durante las últimas dos décadas del Nuevo México territorial, que pretende dar cuenta de la evolución social desde la tradición oral a la cultura moderna en la letra impresa. Los textos examinados en esta investigación han sido seleccionados de entre más de doscientos ejemplares por su contribución al estudio de este proceso1. A través del análisis de estos textos, el objetivo ha sido explicar en detalle el rápido proceso de transformación que experimentó Nuevo México desde finales del siglo XIX hasta las primeras dos décadas del siglo XX, y señalar los efectos sociolingüísticos de los cambios en la sociedad neomexicana2, especialmente los relacionados con la ideología y la identidad lingüística respecto al español y al inglés. El marco teórico utilizado como metodología fundamental incluye tres planteamientos: el primero, sociolingüístico (secciones “La comunidad lectora” y “La comunidad lingüística”), en el que se considera a la comunidad lingüística nuevomexicana como una comunidad recientemente alfabetizada en español; el segundo, etnográfico (secciones “El discurso y la cultura de la letra impresa” y “Desplazamiento de la cultura oral tradicional”), en el que se plantea la transformación de la cultura neomexicana como la desaparición de una tradición basada en prácticas culturales orales, y el tercero, ideológico (secciones “Una ‘comunidad imaginada’ en español” y “Cambio tecnológico y cambio ideológico”), en el que la transición hacia una cultura en letra impresa es considerada como un cambio discursivo ejercido por factores políticos y socioeconómicos más que como un cambio tecnológico, dentro del marco de un nuevo estatus político para Nuevo México. Todos los textos examinados proceden de La Voz del Pueblo, semanario publicado en Las Vegas, Nuevo México, y aparecieron entre 1890 y 1912, antes de la

1

2

Los fragmentos de textos antiguos aparecen en este artículo tal como aparecieron impresos originalmente, sin haber sido adaptados a las convenciones ortográficas y gramaticales actuales. Los términos ‘neomexicano’ y ‘nuevomexicano’ comparten el mismo significado, y se alternan a lo largo del capítulo por razones puramente estilísticas.

LENSO-21

23/1/09

12:32

Página 211

De la tradición oral a la letra impresa

211

incorporación de Nuevo México a la Unión de los estados. Este periódico fue uno de los más representativos por su continuidad (durante cuatro décadas), su gran circulación y alcance (por todo Nuevo México) y su ubicación en la que por entonces era la primera ciudad del territorio. Los textos han sido reproducidos tal y como aparecen en el original, salvo adiciones de algunas letras para su mejor comprensión. Además de estas fuentes primarias, se han consultado los censos de 1890 y 1910, que contienen valiosa información sobre los datos sociodemográficos relacionados con la población, la comunidad lectora, la alfabetización, la escolarización y la competencia lingüística. En la sección siguiente, se hace una breve descripción de la situación demográfica de Nuevo México durante la época territorial. A continuación, se da cuenta del fenómeno de la prensa en español en el territorio y su rápida expansión. Se analiza después el proceso de alfabetización y escolarización en español después de la Guerra Civil, tal como lo muestran los censos de población. En la sección “La comunidad lingüística: Idioma nacional frente a lengua vernácula”, se examinan las ideologías lingüísticas dominantes respecto a la preservación del español y la imposición del inglés como lengua dominante, según queda documentado en testimonios aparecidos en la prensa. La siguiente sección trata de la imposición del discurso de la letra impresa en la sociedad neomexicana, presentada por los agentes sociales como la única vía posible hacia el progreso. Acto seguido, se constatan las consecuencias de este discurso de la cultura de la letra impresa, que resultan en el desplazamiento y desaparición de la cultura oral tradicional. Se aplica a continuación el concepto de ‘comunidad imaginada’ de Anderson (1991) a la comunidad lectora de periódicos en español, creada gracias a una agencia discursiva en la lengua vernácula mediante la letra impresa. La última sección examina la transformación que experimentó Nuevo México relacionando el cambio tecnológico de la prensa con el cambio ideológico representado por una emergente sociedad capitalista que llegaría con el nuevo estado. Finalmente, en la conclusión se ofrece una reflexión sobre la aparente paradoja que supone el hecho de que el logro de la alfabetización y la formación de una cultura impresa en español facilitaran la transición hacia un monolingüismo en inglés impuesto por el nuevo estatus político de Nuevo México.

Población del territorio de Nuevo México, 1846-1912 Después de siglos de relativo aislamiento, primero como colonia española desde finales del siglo XVI hasta 1821, y luego como territorio mexicano por veinticinco años, Nuevo México entró en intenso contacto con los Estados Unidos a raíz de la invasión militar estadounidense del vasto territorio del norte de México en

LENSO-21

23/1/09

12:32

Página 212

212

Arturo Fernández-Gibert

1846. De todos los territorios mexicanos perdidos tras la guerra que acabaría en 1848 con el Tratado de Guadalupe Hidalgo, Nuevo México era el que tenía una población de origen hispano más numerosa. Al contrario de los casos de California y Texas, en los que la población mexicana había quedado en minoría a los pocos años de la ocupación y masiva llegada de angloamericanos, en Nuevo México la población de origen mexicano seguiría siendo mayoritaria hasta bien entrado el siglo XX. Con la excepción de los pueblos indígenas, todos los habitantes de origen español vivían en una sociedad hispanohablante, de carácter rural y economía de subsistencia. A lo largo del largo periodo como territorio de los Estados Unidos, Nuevo México experimentó un lento pero inexorable crecimiento demográfico, acelerado en las últimas décadas del siglo XIX y en la primera del siglo XX (véase Tabla 1). Lejano y poco conocido en un principio, este nuevo territorio de los Estados Unidos atrajo un gran número de colonos angloamericanos en busca de oportunidades económicas después de la Guerra Civil, y especialmente tras la construcción del ferrocarril, que alcanzó Nuevo México en 1879.

TABLA 1 Población de Nuevo México, 1870-1910 Año

Población total

% Incremento

1870

91.874

1880

119.565

30,1

1890

160.282

34,1

1900

195.310

21,9

1910

327.301

67,6

Nota: U.S. Census 1913

La prensa en español en el territorio de Nuevo México La nueva tecnología importada de los Estados Unidos y llegada gracias al ferrocarril, permitió a los nuevomexicanos acceder a nuevas tecnologías de producción masiva de textos impresos desconocidas hasta entonces. En la década de 1880 fueron publicados por todo el territorio trece periódicos exclusivamente en español y dieciséis en formato bilingüe, frente a los pocos que habían circulado en las décadas anteriores (Stratton 1969: 36, Meléndez 1997: 26).

LENSO-21

23/1/09

12:32

Página 213

De la tradición oral a la letra impresa

213

En las últimas décadas de mil ochocientos surgió una auténtica eclosión de periódicos en español, nacida de la necesidad de informar, defender y aglutinar en torno a unos valores comunes a los neomexicanos hispanohablantes, a los que la prensa en español se refería comúnmente como ‘el pueblo nativo’. Alrededor de estos valores se fue gestando el movimiento de los ‘periodiqueros’ (Meléndez 1997), empresarios responsables de la publicación y circulación de periódicos en español que a su vez estaban comprometidos con el progreso de su pueblo. Los más destacados pertenecieron a dos generaciones. La primera, nacida entre 1853 y 1864, incluía a Benjamín Read, 1853-1927; Félix Martínez, 1857-1916; Enrique Salazar, 1858-1915; Néstor Montoya, 1862-1923; Antonio Lucero, 18631921; Ezequiel C. de Baca, 1864-1917 y Camilo Padilla, 1864-1933. A la segunda, nacida en la década de 1870, pertenecían Isidoro Armijo, 1871-1949 y Felipe Maximiliano Chacón ,1873-1949. Los principales editores tuvieron una formación bilingüe en inglés y en español, pues las mejores escuelas de Las Vegas, Santa Fe y Albuquerque, la mayoría católicas, empleaban ambas lenguas en la instrucción de sus alumnos. Muchas de las familias acomodadas de las principales ciudades y pueblos del territorio enviaban a sus hijos a universidades católicas de los ‘estados’, como Notre Dame University, en Indiana, o Saint Louis University, en Missouri. Estas generaciones de editores de periódicos, que hicieron posible el gran desarrollo de la prensa en español, fueron formadas sobre todo entre la década de los sesenta y los ochenta de mil ochocientos, y publicaron sus periódicos entre la década de los ochenta del siglo XIX y la década de los treinta del siglo XX. A partir de entonces, sólo unos pocos periódicos sobrevivieron una tirada prolongada o regular. Como se puede apreciar en la Tabla 2, la mayor parte de la actividad periodística en español se desarrolló entre 1890 y 1910, es decir, durante los veinte años que precedieron a la admisión de Nuevo México como estado de la Unión americana. Los textos reproducidos en este estudio aparecieron en La Voz del Pueblo en el espacio comprendido entre 1890 y 1912. Este periódico tenía su sede en Las Vegas, la principal ciudad del territorio durante buena parte del periodo territorial, sólo superada en población por Albuquerque a partir de 1910 (U.S. Census 1913). Con la llegada del ferrocarril a Las Vegas hacia 1880, esta ciudad se había convertido en la vanguardia del progreso económico y social del territorio, junto con la llegada de nuevos habitantes y nuevos productos procedentes del este y el establecimiento de la enseñanza pública. No es casualidad que Enrique H. Salazar, fundador y principal editor de La Voz del Pueblo, trasladara sus talleres desde su primera ubicación en Santa Fe en 1888 a Las Vegas en el verano de 1890 (Meléndez 1997: 28).

LENSO-21

23/1/09

12:32

Página 214

214

Arturo Fernández-Gibert

TABLA 2 Periódicos en español iniciados en el siglo XIX Título

Año de fundación

Ciudad

Circulación

El Explorador

186?

Trinidad, Co.

186?-?

El Espejo

187?

Taos

187?-?

El Anunciador de N. M.

1871

Las Vegas

1871-1879

La Revista Católica

1875

Las Vegas

1875-1963

La Estrella de Mora

1878

Mora

1878-?

El Tiempo

1882

Las Cruces

1882-1911

El Boletín Popular

1885

Santa Fe

1885-1908

La Voz del Pueblo

1888

Santa Fe, Las Vegas

1888-1927

El Nuevo Mexicano

1890

Albuquerque

1890-1958

El Independiente

1894

Las Vegas

1894-1928

La Bandera Americana

1895

Albuquerque

1895-c. 1938

El Nuevo Mundo

1897

Albuquerque

1897-1901

Nota: Stratton 1969; Meléndez 1997.

La comunidad lectora: La alfabetización y escolaridad en español Para hacer posible una comunidad lectora de prensa en español, y por tanto hacer viable cualquier empresa periodística en el Nuevo México de finales del siglo XIX, la alfabetización en español durante la segunda mitad de1800 era una condición indispensable. Podemos observar en la Tabla 3 el gran porcentaje de personas analfabetas tras más de veinte años de periodo territorial bajo la administración de los Estados Unidos, que casi llegaba al ochenta por ciento en 1870. Sin embargo, a partir de este momento y hasta el final del periodo territorial, en 1912, la proporción se invierte. Los datos del censo no ofrecen información sobre la lengua en que había sido escolarizada la población, pero como se ve en la Tabla 4, podemos deducir que el porcentaje de escolarización exclusivamente en español debía ser alto, por lo menos hasta la primera década del siglo XX. Sólo así podemos explicar el éxito de periódicos como El Nuevomexicano, El Independiente o La Voz del Pueblo, cuyas tiradas alcanzaban los 5.000 ejemplares y cuya

LENSO-21

23/1/09

12:32

Página 215

De la tradición oral a la letra impresa

215

TABLA 3 Escolarización y analfabetismo en Nuevo México, 1870-1910 Año

Población escolarizada+

% Personas analfabetas*

1870

1.889

78,2

1880

4.755

65,0

1890

23.620

44,5

1900

28.672

33,2

1910

64.342

20,2

Nota: U.S. Census 1897, 1913. + Personas 6-20 años. * Personas > 10 años.

TABLA 4 Personas que no hablan inglés en Nuevo México, 1890-1910 Año

Total personas > 10 años

No hablan inglés

Porcentaje

1890

85.462

59.778

69,9

1900

105.454

53.931

51,1

1910

185.205

60.239

32,5

Nota: U.S. Census 1897, 1913.

publicación se extendió a lo largo de varias décadas en dos siglos. Si tenemos en cuenta que en 1910 asistieron a la escuela unas 65.000 en todo Nuevo México (Tabla 3), de un total de 185.000 personas mayores de 10 años (Tabla 4), y que la población masculina mayor de 21 años de edad era de apenas 95.000 personas, podemos valorar adecuadamente la importancia que cobraban la producción, circulación y lectura de periódicos en español alrededor de 1900. A pesar de los apreciables trabajos de Meyer (1996) y Meléndez (1997), el fenómeno de la escolarización en Nuevo México todavía no ha sido investigado en profundidad. El mejor estudio sobre la educación fue publicado por Benjamin Read ¡en 1911! (Read 1911). Este trabajo está realizado desde la perspectiva de un contemporáneo y testigo de la misma historia que escribe. Read, que estudió y enseñó en el Colegio de San Miguel en Santa Fe, es un buen representante de la minoría ilustrada de figuras públicas que lideró la vida civil de los hispanos de Nuevo México. Su

LENSO-21

23/1/09

216

12:32

Página 216

Arturo Fernández-Gibert

autoridad como autor y político se debió a su ilustración en un contexto social en el que prevalecía el analfabetismo. Esta minoría representada por Read se erigió, durante el último cuarto del siglo XIX y el primero del XX, en la clase dirigente neomexicana y su ejemplo sirvió de modelo autoritativo para los nuevomexicanos letrados. Es interesante observar que Read fue también un destacado orador, como otras figuras prominentes que se distinguieron tanto por su labor editorial en los periódicos, como por su habilidad en el discurso político oral (Meyer 1996: 194, Meléndez 1997: 123). Otro hecho destacable en la biografía de Read, como en la de sus contemporáneos neomexicanos letrados, es su bilingüismo.

La comunidad lingüística: Idioma nacional frente a lengua vernácula Las circunstancias políticas a finales del periodo territorial, conforme se aproximaba la inevitable admisión de Nuevo México como estado a la Unión, hacían de la cuestión lingüística un tema controvertido que fue ventilado una y otra vez en las páginas de la prensa en español del territorio a partir de 1890. Con frecuencia se hacía referencia al inglés como ‘idioma nacional’, frente a la lengua vernácula, el español, concebida como la lengua propia de la comunidad neomexicana. Ante la inminente entrada de Nuevo México a “la hermandad de los estados” –como se solía denominar a Estados Unidos en los periódicos en español– crecía la preocupación por el futuro de la lengua ancestral y su viabilidad en el futuro nuevo estado. El aprendizaje del inglés parecía todavía una asignatura pendiente para los editores de La Voz del Pueblo en 1911, como lo atestigua esta crónica procedente de Santa Fe: CRONICA DE LA CAPITAL. […] Santa Fé, N. M., Sept. 20, 1911. EL IDIOMA NACIONAL. La populación de descendencia española que abraza tres cuartas partes de los habitantes de Santa Fé, no ha hecho, generalmente hablando, los progresos que se podían esperar y que muchos pretenden notar, en el idioma inglés, que es el nacional. Dejando á un lado á las gentes venidas de afuera y á los niños que han aprendido ó están aprendiendo el idioma, el resto de la población[,] que abraza el mayor número, no ofrece resultados muy favorables, pues en todo rigor no se hallan en la capital 20 por ciento entre los hispano-americanos, que sepan el inglés, y en los demás precintos de condado la proporción es mucho menor. En el caso de decretamiento[sic] de una ley como la que hubo en Arizona exigiendo calificación educacional en cuanto á idioma, lo menos 50 por ciento de los votantes de la capital se quedarían sin votar. Si esto es verídico, y no hay duda de que lo es, la deficiencia en los demás condados del Territorio donde prepondera el elemento nativo, es muchísimo mayor, pues allí la gente no ha tenido oportunidad y roce con los de habla inglesa cual las han tenido los que viven en Santa Fé (La Voz del Pueblo, 23 de septiembre de 1911: 1).

LENSO-21

23/1/09

12:32

Página 217

De la tradición oral a la letra impresa

217

El desconocimiento del inglés era visto por los editores y personas a cargo de los periódicos que se publicaban en español en Nuevo México como una ‘deficiencia’ de la comunidad hispana que había que corregir ante el nuevo estatus de estado que se aproximaba. Pero crónicas como ésta demuestran asimismo la pertinaz supervivencia de una idiosincrasia neomexicana representada por su lengua ancestral, el español, lengua mayoritaria de la población nuevomexicana nativa en vísperas de 1912. Sin duda, la existencia de una prensa en español cuyos ejemplares llegaban a todos los rincones del territorio contribuía al fortalecimiento de una identidad cultural propia que parecía contradecir los objetivos de una plena integración en los Estados Unidos. Ésta se lograría sobre todo con el aprendizaje del inglés. Sin embargo, y a pesar de favorecer la estatalidad y la enseñanza del inglés, los editores de los periódicos en español defendieron también la retención del español como lengua ancestral y propia de los neomexicanos (FernándezGibert 2001: 379-428, 2005). Algunos han visto en la alfabetización y desarrollo de la prensa en español de esta época un vehículo más que un impedimento a la adquisición del inglés y la adopción de nuevos modos sociales que contribuían a la integración de Nuevo México en Estados Unidos (Meyer 1996). Frente a los que proponían la descalificación política de derechos ciudadanos en la nueva Constitución para los neomexicanos que no hablaran inglés, el editorial de La Voz del Pueblo replicaba: ¡Figúrense la filosofía patriótica del escritor! “[¿]Qué derecho ó privilegio, dice, podemos tener al uso del sufragio hombres que nos mantenemos apegados al idioma de nuestros antepasados [?].” ¿Puede imaginarse crímen[sic] más grande para merecer la descalificacion[sic] del ciudadano que el haber preservado intacto durante tres siglos de aislamiento el idioma dulce de nuestros padres? ¿Hay algo que evidencie una mollera más cerrada y un corazon[sic] más preocupado y menguado que semejante argumento? (La Voz del Pueblo, 2 de junio de 1906: 1).

Éste sería uno de los argumentos más persuasivos para la defensa de los derechos civiles de los neomexicanos: haber habitado su tierra por más de tres siglos y haber conservado su lengua a pesar de su aislamiento. La conquista de los derechos civiles, sin embargo, no aseguró la pervivencia futura del español como lengua para las siguientes generaciones y, lenta pero inexorablemente, su conocimiento y uso fueron erosionándose según avanzaba el siglo XX.

El discurso y la cultura de la letra impresa Además de la escolarización en español de la población neomexicana nativa, había una idea repetida insistentemente por esa minoría ilustrada desde las páginas de los periódicos y que no era más que la consecuencia efectiva del discurso

LENSO-21

23/1/09

12:32

Página 218

218

Arturo Fernández-Gibert

de la alfabetización. El progreso de Nuevo México, y muy especialmente el de sus hijos nativos, sólo se podría lograr, según esta idea, mediante la letra impresa, que presuponía la escolarización, la ilustración y la producción de libros y periódicos. Ésa era la única salvación para el progreso de los neomexicanos: En fin esperamos que el sufrido pueblo Neo-Mexicano colecte sus mentes y obre con deliberación en materias públicas; que despierte del letargo en que ha dormido por tantos años, y que aprecie el valor intrínseco de una sana y verdadera educación, y que reconosca [sic] que el periódico y la literatura generalmente es el camino más seguro para la ciencia y la prosperidad (La Voz del Pueblo, 14 de noviembre de 1891: editorial).

Esta afirmación, probablemente escrita por Enrique Salazar, por entonces editor de La Voz del Pueblo, era un lugar común en la prensa de esos años. El letargo al que hace referencia el editorial había consistido en una tradición cultural no alfabetizada, es decir, oral, que había prevalecido en la sociedad tradicional neomexicana durante siglos. “El valor […] de una sana y verdadera educación” significaba para aquella generación letrada el valor depositado en un sistema de enseñanza pública que convirtiera a los ciudadanos en letrados, educados, o sea, alfabetizados. Con el acceso a la escritura y a la lectura de textos impresos (“periódicos y literatura”), el ciudadano neomexicano podría acceder al dominio público y participar plenamente en la sociedad de su tiempo. A la larga, como se demostraría, la alfabetización de los nuevomexicanos, pese a iniciarse en su lengua vernácula, el español, terminaría siendo el medio por el que Nuevo México sería incorporado al sistema socioeconómico y cultural angloamericano, en un principio antagónico a los principales valores que los neomexicanos habían defendido, en gran medida, a través de las páginas de sus periódicos. Roberts y Street (1997) han señalado el concepto del ‘estigma del analfabetismo’ en el mundo desarrollado. Para ellos, en el mundo ‘moderno’, ser analfabeto o iletrado equivale a ser incapacitado, tener menos habilidad mental o sufrir una grave ‘enfermedad social’. Los editores de los periódicos en español tenían una idea similar respecto a su propia comunidad. En una ocasión, incluso, se reproduce un poema que trata de ridiculizar el habla de una persona casi analfabeta, que apenas puede escribir: DECLARACION Espero que me conteste con un sí de corazón, pues peligra la razon, en caso contrario de este que la quiere á usté.

LENSO-21

23/1/09

12:32

Página 219

De la tradición oral a la letra impresa

219

RESPUESTA Cavayero: tanvien yo si hento ácia usié un fer nesi pé ro no ledoi un sí y muchone nos hun no asta que venga husté haquí, Pues, temo ce husté serria demi amor y mi rres puesta y esa no la convendria por mu chas causas ha está que le kiere ha usté: María. Por data: –yo nunca sal go pero há la tarde hestaré mi solita sin emvalgo y puede venil husté pa ver si arreglamos halgo. TU ADORADA MARIA. (La Voz del Pueblo, 16 de mayo de 1891: 1)

Desplazamiento de la cultura oral tradicional A pesar de la paulatina imposición de esta cultura de la letra impresa, en la comunidad hispana de Nuevo México las formas tradicionales de oralidad, como las baladas, los corridos, los romances o las décimas, eran recitadas o cantadas (todavía hasta el presente) en el contexto social adecuado de acuerdo a las normas culturales de la propia comunidad. Este modo de comunicación oral, profundamente arraigado desde tiempos ancestrales, había servido a los neomexicanos para asegurar una participación y cohesión comunal que, a finales del siglo XIX, estaba seriamente amenazada. En la tradición oral, los mensajes representan un diálogo de actos de habla difíciles de descontextualizar. En la oralidad, la identidad étnica y lingüística se construye en una estrecha y continua colaboración y reciprocidad entre el poeta o narrador, es decir, el articulador de la palabra (performer, como en Paredes 1966, Limón 1982, 1983, Briggs 1988) y la audiencia. La validez de la cultura oral en Nuevo México, como en gran parte del mundo precapitalista, consistía, por un lado, en la transmisión de los valores sociales considerados imprescindibles para la supervivencia de la comunidad. Por otro, este discurso oral, emitido por individuos autorizados según unas destrezas sociolingüísticas determinadas por un patrón etnopoético

LENSO-21

23/1/09

12:32

Página 220

220

Arturo Fernández-Gibert

identificable (Hymes 1981), mantenía a todos los miembros de la comunidad en una armonía cohesiva, lograda mediante una inversión social y explicada psicológicamente como una ‘función terapéutica’ inherente al discurso oral (Babcock 1978, Abrahams 1982, 1983). Un buen ejemplo de esta función lo encontramos en este poema anónimo reproducido en las páginas de la prensa en español: Amor de Gringo. (DE SNIPS) Si tu me quieres Bella criatura, Casar conmigo Mi te asegura. Well come, si tienes Bastante plata, Pues mi desayune Con chocolata. Y come mucho Desde chiquillo De preferencia La mantequillo. Mi no tr[a]baja Ni ganas tiene Por eso busca Qui[e]n lo mantiene. Si asi me quieres Vive segura Que mi te ama Hasta el sepultura; Amarte mucho Mi no se raja: Mas no me digas De la trabaja. Y te repito Por el contrata Wellcome si tienes Bastante plata–James (La Voz del Pueblo, 27 de septiembre de 1902: 2)

Curiosamente, el autor atribuye a este personaje la pereza con la que los primeros colonos angloamericanos habían caracterizado a los habitantes de Nuevo México

LENSO-21

23/1/09

12:32

Página 221

De la tradición oral a la letra impresa

221

(Weber 1973: 71-75). Este tipo de poemas intentaría contrarrestar los estereotipos negativos que la sociedad angloamericana había aplicado a los habitantes nativos de Nuevo México y a todo el recientemente adquirido suroeste de los Estados Unidos (Meyer 1996: 89). En contraste, en el texto periodístico nos encontramos con una realidad dialógica, tal como ha sido descrita por Bakhtin (1981), de naturaleza muy diferente a un discurso oral. La diversidad textual del periódico neomexicano en español configura un verdadero diálogo de textos, de voces diversas enfrentadas en la página impresa que han de ser interpretadas por el lector. En efecto, éste encuentra ante su vista editoriales políticos, avisos legales, reproducciones de noticias o editoriales procedentes de otros periódicos (sobre todo en traducción del inglés original), notas locales, poemas populares y cultos y mucha publicidad, todo ello enmarcado en las páginas de un periódico comprado cada semana, es decir, un producto comercial. De este modo, este medio impreso de comunicación de masas fue desplazando a la oralidad como instrumento de creatividad y de discurso del individuo y la sociedad. El periódico hacía posible esta mediatización y descontextualización de la cultura neomexicana.

Una ‘comunidad imaginada’ en español Al leer los textos de los periódicos podemos observar que había una importante contribución de los lectores. Cada ejemplar tenía una sección dedicada a los poemas enviados por los lectores, unas veces anónimos, otras con pseudónimos y otras con nombres conocidos. El carácter de las composiciones en verso variaba considerablemente, desde el religioso al humorístico o satírico, pero su naturaleza eminentemente popular daba a los periódicos un lugar de encuentro para todos los lectores, pues la temática de estos poemas era compartida por toda la comunidad neomexicana (Arellano 1976). Otras secciones incluían las noticias de acontecimientos sociales importantes, como bodas, entierros u homenajes, las juntas políticas (como las ‘juntas de indignación’), los editoriales políticos, las noticias procedentes de los ‘estados’ o del extranjero y la publicidad. En todas ellas está presente el lector, pues sólo la lectura de estos diferentes textos permite construir una comunidad imaginada –para utilizar una feliz expresión de Anderson– que era compartida por todos y cada uno de los lectores de los periódicos en español. Precisamente, Anderson (1991) hace referencia en su estudio de los nacionalismos en el siglo XIX al decisivo papel que jugaron la imprenta y los periódicos en la formación de una conciencia de pertenencia a una comunidad. La letra impresa en español no sólo hizo posible la construcción de una comunidad imaginada, sino que también articuló el discurso y la autorrepresentación del

LENSO-21

23/1/09

12:32

Página 222

222

Arturo Fernández-Gibert

‘pueblo nativo’ de Nuevo México. Uno de los mejores modos de reforzar los lazos de solidaridad e identificación entre los miembros de la comunidad lectora por parte de los editores era incluir en las páginas de los periódicos poemas que subrayaban positivamente rasgos de identidad propios. El siguiente es un ejemplo de este tipo de textos que ayudaban a la formación de esta comunidad imaginada de lectores de periódicos en español: A LA BELDAD MEJICANA. Calculé con mis ideas En unas frescas mañanas; Las estranjeras son bellas Pero mas las Mejicanas. En Francia hay damas muy bellas Y lindas cual azucenas; Tambien hay muchas morenas Con sus ojos como estrellas; Tuve allí varias querellas, Y trate con las Prusianas; Fueron conmigo tiranas, Varias veces amorosas: Pero aunque sean hermosas, Prefiero á las Mejicanas. (…) Estuve en San Luis un día, Me pasé al Utah y su lago, Y de allí me fuí á Chicago A ver tanta fantasía; Recorrí con lozanía Sus beldades y su fama, Asistencia y buena cama Obtuve y vide esos cielos, Pero todas son repelos Al ver una Mejicana. En fin, bellas, ¡perdonad! La cancion que aquí os dedico, En la que grato os publico Vuestra virtud y beldad; No es lisonja, es realidad, Ya vereis que no son vanas, Aunque en estilo profanas

LENSO-21

23/1/09

12:32

Página 223

De la tradición oral a la letra impresa

223

Las frases con que escribí, Si en algo las ofendí, ¡Perdonadme Mejicanas! Higinio V. Gonzales (La Voz del Pueblo, 28 de agosto de 1897: 2)

Muchos otros poemas aparecían cada semana en los periódicos y, aunque su calidad literaria era desigual, tenían una profunda intención social, pues sus autores eran nativos neomexicanos que contribuían a cohesionar la propia comunidad. Higinio V. González fue por años el ‘poeta oficial’ de La Voz y sus décimas debían ser bien conocidas por los lectores (Arellano 1976: 57).

Cambio tecnológico y cambio ideológico: La transición al capitalismo en Nuevo México La formación de una agencia discursiva en español mediante la letra impresa hizo posible el desarrollo de la literatura en español: Rafael Chacón, José Emilio Fernández, Benjamín Read, Eusebio Chacón, Felipe Maximiliano Chacón, entre otros (Meketa 1986, Padilla 1993, Meyer 1996, Meléndez 1997: 133-175). Todos estos autores publicaron (auto)biografías, historias, novelas y textos periodísticos para una creciente comunidad alfabetizada y letrada que aspiraba a controlar su autorrepresentación, antes de que otros escritores ajenos a la comunidad hispana, sobre todo historiadores angloamericanos, escribieran esas historias desde una perspectiva significativamente distinta. Años más tarde, coincidiendo con el declive de la prensa en español, algunos nuevomexicanos comenzarían a sacar a la luz el legado de la tradición oral de Nuevo México. Algunos ejemplos son: Read, “A study of New Mexico folklore” (1922); Campa, Spanish folk-poetry in New Mexico (1946); Espinosa, Romancero de Nuevo Méjico (1953), recopilado desde principios de siglo, y Lucero-White Lea, Literary folklore of the Hispanic Southwest (1953). La aparición de estos textos, publicados a lo largo del siglo XX, coincide con la recesión de esa misma tradición oral que pretenden rescatar sus autores. Es posible, como ha señalado Meyer (1996: 19-21), que estos estudios del folclore hispano hayan tenido que ver mucho con el deseo de la intelectualidad neomexicana nativa de dar una imagen positiva –y hasta mítica– de un pasado emparentado con la tradición literaria popular española. Sin embargo, la existencia de esta ‘literatura nacional’ (Meléndez 1997: 133-175) habría de ser efímera. La aprobación en 1891 de la Ley de Educación Pública significó un paso decisivo hacia la igualdad de los neomexicanos en las oportunidades

LENSO-21

23/1/09

12:32

Página 224

224

Arturo Fernández-Gibert

educativas (Meyer 1996). Pero la educación se convertiría en una alfabetización exclusivamente en inglés y no en español. La consecuencia a largo plazo sería la pérdida de lectores de periódicos o libros en español, relegando cada vez más esta lengua al dominio doméstico y a las áreas más rurales y aisladas de Nuevo México. Muy pronto este cambio de actitud, traído por los nuevos tiempos, que amenazaba con el abandono de la lengua ancestral y la aceptación de las costumbres angloamericanas, empezando por el inglés, se refleja en los periódicos en español: Mi gusto No me hables ¡Por Dios! así… ¿Por qué me hablas al revés? Di con tu boquita “sí”; Pero no me digas “yes”, Si no quieres verme mudo, Saluda “¿cómo estás tú?” Yo no entiendo tu saludo “Good morning, how do [you] do”? ¡No por Dios! li[n]da paisana, No desprecies nuestra lengua, Sería en ti mal gusto y mengua Querer ser “americana”. Que yo, a las mexicanitas, Las aprecio muy de veras; Trigueñas o morenitas Me gustan más que las hueras. (La Voz del Pueblo, 25 de junio de 1892: 3)

Las nuevas reglas del ciclo de producción y comunicación culturales implicaban el desplazamiento del medio por el cual el receptor del mensaje adquiere su sentido último, de uno centrado en la audición en vivo del mensaje a otro muy diferente, centrado en la visualización –lectura– de un texto. En su categorización de la lengua oral frente a la lengua escrita, Walter Ong (1988) ha explicado esta transformación en términos de un cambio tecnológico más que ideológico. Desde otra perspectiva, Street (1984) atribuye la transformación de la cultura oral en otra escrita a cambios más ideológicos que técnicos, que tienen más que ver con

LENSO-21

23/1/09

12:32

Página 225

De la tradición oral a la letra impresa

225

la organización de la sociedad y la lucha por el control del poder. La letra impresa sería, pues, un producto de la ideología dominante (el capitalismo) o superestructura –en términos marxistas– impuesta en una determinada sociedad. En el caso de Nuevo México, la transición entre la cultura oral y la capitalista necesitaba una cultura alfabetizada en letra impresa; primero en español y paulatinamente, a partir de la Ley de Educación Pública de 1891 y la Constitución del estado en 1912, casi exclusivamente en inglés. Formar una sociedad alfabetizada en inglés en Nuevo México no era sólo un mero avance cultural promovido por la clase política, sino que era considerada por ésta como un requisito sin el que los ciudadanos neomexicanos no podrían ser admitidos como miembros de pleno derecho en los Estados Unidos (Larson 1968: 124-125, 172-173).

Conclusiones Los cambios que se produjeron en la sociedad neomexicana desde 1846 hasta 1912 –el periodo territorial– transformaron Nuevo México. Esos cambios incluían alteraciones sustanciales en el modo de producción y distribución de la riqueza, y determinaron una profunda transformación en la transmisión de la cultura. En 1846, la cultura popular neomexicana se basaba exclusivamente en los géneros orales (Briggs 1988). En 1912, la letra impresa producida por la industria periodística se había convertido en la representación pública de la cultura neomexicana. Este cambio radical tendría sus consecuencias en la historia cultural de Nuevo México a lo largo del siglo XX. Apenas conseguida una precaria alfabetización en español con los pocos medios con que Nuevo México contaba en el último tercio del siglo XIX, la imposición de la enseñanza del inglés al final de la época territorial impidió el pleno desarrollo de una cultura de letra impresa en español, lo que hubiera asegurado una tradición literaria de la que los neomexicanos carecieron históricamente. El mantenimiento de una ‘literatura nacional’ en la lengua vernácula apoyada por los editores hispanos estaba seriamente amenazado por la instauración de un sistema de enseñanza pública en el que el inglés era la única lengua legitimada y legitimadora. La imposición del inglés como lengua oficial en la sociedad nuevomexicana, aunque el territorio contaba en 1912 –plausiblemente– con una mayoría de hispanohablantes, fue facilitada por el poco tiempo con que la alfabetización fue implementada en el espacio público y legitimador de la prensa hispana desde la década de 1880. Las nuevas generaciones que nacieron o crecieron con el nuevo estado se vieron privadas de una educación formal en español. Las iniciativas editoriales neomexicanas en español continuaron produciendo, cada vez más escasos, textos en esta lengua por unas cuantas décadas más después de 1912, pero la cultura

LENSO-21

23/1/09

12:32

226

Página 226

Arturo Fernández-Gibert

angloamericana las había ya excluido del circuito principal de la cultura de Nuevo México. Afortunadamente, hemos conservado un valioso legado impreso en los periódicos en español, que documentan y preservan los avatares de una importante época de la historia de Nuevo México y del español en los Estados Unidos.

Bibliografía ABRAHAMS, Roger D. (1982): “Storytelling events: Wake amusements and the structure of nonsense on St. Vincent”, en: Journal of American Folklore 95, 389-414. — (1983): The man-of-words in the West Indies: Performance and the emergence of Creole culture. Baltimore: Johns Hopkins University Press. ANDERSON, Benedict (21991): Imagined communities: Reflections on the origin and spread of nationalism. London/New York: Verso. ARELLANO, Anselmo (1976): Los pobladores nuevomexicanos y su poesía: 1889-1950. Albuquerque: Pajarito. BABCOCK, Barbara (ed.) (1978): The reversible world: Symbolic inversion in art and society. Ithaca: Cornell University Press. BAKHTIN, Mikhail (1981): The dialogical imagination: Four essays (Emerson, Caryl/Holquist, Michael, trad.). Austin: University of Texas Press. BRIGGS, Charles L. (1988): Competence in performance: The creativity of tradition in Mexicano verbal art. Filadelfia: University of Pennsylvania Press. CAMPA, Arthur León (1946): Spanish folk poetry in New Mexico. Albuquerque: University of New Mexico Press. ESPINOSA, Aurelio Macedonio (1953): Romancero de Nuevo Méjico. Madrid: Consejo Superior de Investigaciones Científicas. FERNÁNDEZ-GIBERT, Arturo (2001): La Voz del Pueblo: Texto, identidad y lengua en la prensa neomexicana, 1890-1911. Tesis doctoral. Ann Arbor: University Microfilm International. — (2005): “Defensa del español: La prensa en Nuevo México como espacio público en 1890-1911”, en: Ortiz-López, Luis/Lacorte, Manel (eds.): Contactos y contextos lingüísticos: El español en los Estados Unidos y en contacto con otras lenguas. Madrid/ Frankfurt: Iberoamericana/Vervuert, 247-252. HYMES, Dell H. (1981): “In vain I tried to tell you”: Essays in Native American ethnopoetics. Filadelfia: University of Pennsylvania Press. LARSON, Robert W. (1968): New Mexico’s quest for statehood, 1846-1912. Albuquerque: University of New Mexico Press. LIMÓN, José E. (1982): “History, Chicano joking, and the varieties of higher education: Tradition and performance as critical symbolic action”, en: Journal of the Folklore Institute 19, 141-166. — (1983): “Folklore, social conflict, and the United States-Mexico border”, en: Dorson, Richard M. (ed.): Handbook of American folklore. Bloomington: Indiana University Press, 216-226.

LENSO-21

23/1/09

12:32

Página 227

De la tradición oral a la letra impresa

227

LUCERO-WHITE LEA, Aurora (1953): Literary folklore of the Hispanic Southwest. San Antonio: The Naylor Company. MEKETA, Jacqueline Dorgan (ed.) (1986): Legacy of honor: The life of Rafael Chacón, a nineteenth-century New Mexican. Albuquerque: University of New Mexico Press. MELÉNDEZ, A. Gabriel (1997): So all is not lost: The poetics of print in nuevomexicano communities, 1834-1958. Albuquerque: University of New Mexico Press. MEYER, Doris (1996): Speaking for themselves: Neomexicano cultural identity and the Spanish-language press, 1880-1920. Albuquerque: University of New Mexico Press. ONG, Walter (1988): Orality and literacy: The technologizing of the word. New York: Methuen. PADILLA, Genaro M. (1993): My history, not yours: The formation of Mexican American autobiography. Madison: University of Wisconsin Press. PAREDES, Américo (1966): “The Anglo-American in Mexican folklore”, en: Browne, Ray (ed.): New voices in American studies. Lafayette: Purdue University Studies, 113-128. READ, Benjamín M. (1911): History of education in New Mexico. Santa Fe: The New Mexican Printing Company. — (1922): “A study of New Mexico folklore”, en: Fortnightly Review, 1 mayo. ROBERTS, Celia/STREET, Brian (1997): “Spoken and written language”, en: Coulmas, Florian (ed.): The handbook of sociolinguistics. Oxford/Malden: Blackwell, 168-186. STRATTON, Porter A. (1969): The territorial press of New Mexico, 1834-1912. Albuquerque: University of New Mexico Press. STREET, Brian (1984): Literacy in theory and practice. Cambridge: Cambridge University Press. U.S. CENSUS (1897): Miscellaneous documents of the House of Representatives for the first session of the fifty-second Congress, volume 50, Part 8, 1891-92: Report on the population of the United States at the eleventh census, 1890, part II. Washington: Government Printing Office. — (1913): Thirteenth census of the United States taken in the year 1910, volume I: Population. Washington: Government Printing Office. La Voz del Pueblo: Semanario dedicado a los intereses y progreso del pueblo neo-mexicano (1890-1927): Las Vegas, Nuevo Mexico; Spanish and English. WEBER, David J. (ed.) (1973): Foreigners in their native land: Historical roots of the Mexican Americans. Albuquerque: University of New Mexico Press.

LENSO-21

23/1/09

12:32

Página 228

LENSO-21

23/1/09

12:32

Página 229

¿QUIÉN ES HUNTINGTON: UN PREDICADOR PARANOICO O UN VISIONARIO? RECEPCIÓN DE LA PRENSA DEL LIBRO WHO ARE WE? THE CHALLENGES TO AMERICA’S NATIONAL IDENTITY MARÍA CECILIA COLOMBI University of California

This chapter looks at how the press received the book Who Are We? The Challenges to America’s National Identity (Huntington, 2004a) and its translation into Spanish by analyzing the treatment that it received in newspapers published in Latin America, United States and Europe. Using Halliday’s systemic functional linguistics (SFL) as a theoretical framework, the chapter explores the construction of social and linguistic ideologies, emphasizing the interpersonal level through the system of appraisal (Martin & White 2005). This semiotic analysis understands language as a social practice in dialectic relation with the context and the social actors, i.e., language is construed by the social actors but at the same time it also contributes to the construction of the social context. This textual and critical analysis looks at how the authors of those newspaper articles position themselves with respect to Huntington’s message that presents Latinos as a major threat to the identity of the United States. This article seeks to investigate how those texts position themselves with respect to Huntington’s linguistic and racial ideology of language panic. Further, it looks at what ideologies or agendas those authors pursue and for what purposes.

Lenguaje sin sentido que sí tiene sentido Francisco X. Alarcón

LENSO-21

23/1/09

12:32

230

Página 230

María Cecilia Colombi

Introducción En los últimos veinte años, Estados Unidos ha experimentado una verdadera revolución demográfica y cultural comúnmente llamada ‘la latinización de Estados Unidos’. Ya desde el comienzo de este milenio, los resultados del censo del año 2000 documentaron estos cambios demográficos, considerando a los latinos como la minoría más numerosa de Estados Unidos. Los datos más recientes del U.S. Census Bureau estiman un total de 44.252.278 millones de habitantes, equivalente a 14,7% de la población del país (U.S. Census Bureau: 20061). El poder adquisitivo de los latinos en EE.UU. ha crecido inmensamente en las últimas décadas; en la actualidad es de 500 mil millones de dólares al año, superior al de países como Argentina, Chile, Perú, Venezuela o Colombia (Tienda & Faith 2006). Cynthia Gorney, en un artículo recientemente publicado en The New York Times sobre el uso de español en los medios de comunicación, dice: The estimate worked up by the Association of Hispanic Advertising Agencies for 2007 is $928 billion. Those are dollars spent inside this country by Hispanic consumers, American-born citizens as well as green-card residents and undocumented on things they want or need [...] It’s $200 billion more than was spent two years ago. Propelled by continuous immigration and larger family size, the dual factors that are making the Hispanic population multiply faster than any other in the United States, the spending figure is expected to top a trillion dollars within the next three years (Gorney 2007).

Tanto en la arquitectura como en las artes (cine, música, etc.), deportes, gastronomía y cada vez más en la política, se evidencia la presencia hispana en Estados Unidos y el español ya se considera la segunda lengua del país. Según el periodista Jorge Ramos, hoy día es posible comunicarse todo el tiempo en español tanto en las grandes regiones urbanas como en el sur del país desde California hasta la Florida (2002). Sin embargo (y probablemente por todas las razones recién enumeradas), a diario gran parte de los latinos se encuentra expuesta a situaciones de discriminación, sospecha y rechazo. Estas campañas discriminatorias no son nada nuevas; mejor dicho, siempre han existido con distintas máscaras u objetivos y contra diferentes grupos: los indígenas, los africano-americanos, los judíos, los inmigrantes recién 1

‘Hispanic’ es la denominación que utiliza el U.S. Census Bureau para referirse a personas que provienen o tienen conexiones familiares o culturales con Latinoamérica (63,9% de los ‘Hispanics’ se declara de origen mexicano). El U.S. Census Bureau comenzó a utilizar el término ‘Hispanics’ en los año sesenta bajo el gobierno de Nixon; es decir, que según el U.S. Census Bureau el término no se refiere a un grupo racial determinado sino a una identidad cultural. Esta definición en sí es problemática si se considera que el concepto de minoría social en EE.UU. está estrechamente relacionado con la idea de raza y contexto étnico.

LENSO-21

23/1/09

12:32

Página 231

¿Quién es Huntington: un predicador paranoico o un visionario?

231

llegados, etc. En los años ochenta, las campañas políticas de English Only promovieron legislación para declarar el inglés como la lengua oficial en la mayoría de los estados con una alta población hispana como California, Florida, Colorado, Arizona, etc. En los noventa, estos mismos grupos fundamentalmente antihispanos pero también anti-inmigrantes en general, impulsaron proposiciones en contra de la educación bilingüe en estados con un alto número de latinos con diferentes resultados: las proposiciones 227 y 203 fueron aprobadas en California2 y Arizona en 1998 y 2000, respectivamente, y la proposición 31 fue rechazada en Colorado en 2002. Actualmente los trabajadores latinos indocumentados constituyen la meta de los ataques de estos grupos xenófobos y anti-latinos. Una de las figuras más sobresalientes en esta ‘cruzada anti-hispana’ es Samuel Huntington, el politólogo, profesor de sociología y director de la Academia de Estudios Internacionales y Regionales de la Universidad de Harvard, quien en su libro Who Are We? The Challenges to America’s National Identity (2004), nos alerta acerca de la amenaza que las olas recientes de inmigrantes hispanos, principalmente de México, representan para la cultura y política norteamericanas, agregando que Estados Unidos está en peligro de desintegrarse por la avalancha de inmigrantes hispanos: In the late twentieth century, developments occurred that if continued, could change America into a culturally bifurcated Anglo-Hispanic society with two national languages [...] Mexican immigration is leading towards the demographic reconquista of areas Americans took from Mexico by force in the 1830s and 1840s, Mexicanizing them in a manner comparable to, although different from, the Cubanization that has occurred in southern Florida. It is also blurring the border between Mexico and America, introducing a very different culture, while also promoting the emergence, in some areas of a blended society and culture, half-American and half-Mexican. Along with immigration from other Latin American countries, it is advancing Hispanization thoroughout America and social, linguistic, and economic practices appropriate for an Anglo-Hispanic society (Huntington 2004a: 221)3 [cursiva de la autora].

Según Huntington, el desafío más inmediato y más serio a la tradicional identidad angloprotestante de Estados Unidos viene de la inmensa y continua inmigración de América Latina, especialmente de México, principalmente por la resistencia a la “asimilación de estos inmigrantes”: Latin American immigrants, particularly those from Mexico, and their descendants have been slower in approximating American norms. In part this is the result of the large numbers and geographical concentration of Mexicans. The educational levels of

2 3

En California y Texas reside más del 50% de los latinos (U.S. Census Bureau 2006). Las citas de Huntington remiten a la edición en inglés del libro.

LENSO-21

23/1/09

232

12:32

Página 232

María Cecilia Colombi

Mexican immigrants and of their descendants also have been below that of almost all other immigrant groups, as well as that of native non-Hispanic Americas. In addition, Mexican, American, and Mexican-American writers have argued that a major gap exists between American and Mexican cultures, and this may also retard assimilation (Huntington 2004a: 188) [cursiva de la autora].

¿Podrá Estados Unidos seguir siendo un país con un solo idioma y una cultura predominantemente angloprotestante?, se pregunta Huntington, y nos alerta acerca de los peligros de ignorar esta cuestión y del desafío inmenso que los mexicanos representan para la unidad de Estados Unidos y para lo que él llama el ‘credo’ de la cultura estadounidense, o sea, los valores establecidos por los primeros colonos ingleses. En su debate sobre la identidad nacional, Huntington llega a acusar a los inmigrantes mexicanos de ser una seria “amenaza para la seguridad nacional” (vid. Huntington 2004a: 225-6), arguyendo que los trabajadores sin documentos de México podrían trasladar armas de destrucción masiva con fines terroristas hacia el territorio estadounidense, estableciendo así una semejanza entre los inmigrantes mexicanos y el oponente más temido por la población norteamericana después de los ataques del 11 de septiembre del 2001, ‘los terroristas’ (vid. Huntington 2004a: 281-291). De este modo, Huntington se ubica como uno de los más claros exponentes de una política ideológica binaria ‘de ellos contra nosotros’, que aboga por la separación y la confrontación cuando ‘ellos’ no quieren unirse a este ‘nuestro’ país. Achugar (2004), en su análisis de las interpretaciones de los eventos del 11 de septiembre del 2001 en América Latina, dice: Through the demonization of the Other, debates over how to explain terrible events are presented in dichotomous ways that oppose good and evil forces. The polarization and duality of the social actors involved construct the meaning using Manichean symbols and apocalyptic scenarios that do not contribute in many ways to our understanding of these historical events (2004: 291).

La visita de Huntington a Veracruz, México, en septiembre del 2004, a poco tiempo de la publicación de su libro y su traducción al español: ¿Quiénes somos? Los desafíos a la identidad estadounidense (Paidós Estado y Sociedad, 2004) y del artículo “The Hispanic Challenge”, que apareció en Foreign Policy (2004b) con una síntesis de su libro, desencadenó toda una avalancha de comentarios y críticas tanto en Estados Unidos como en América Latina y Europa. Según la prensa mexicana, en la II Cumbre de Negocios que se llevó a cabo en Veracruz, (19-21 de septiembre de 2004), Huntington se convirtió en uno de los académicos más odiados de México (Pacheco 2004). El mensaje de Huntington vuelve a enfatizar una ideología monolingüe, divisiva y xenófoba de ‘una lengua igual a una nación’ que ha estado presente en muchos

LENSO-21

23/1/09

12:32

Página 233

¿Quién es Huntington: un predicador paranoico o un visionario?

233

momentos con distintas caras y estrategias. Jane Hill (2001), tratando los temas de Ebonics y la Proposición 227 en California, denomina ‘language panic’ a estas actitudes e ideologías sociales y lingüísticas que parecen interesarse por cuestiones técnicas del lenguaje cuando en realidad persiguen establecer un enfrentamiento y una subordinación de los grupos minoritarios (de color) frente al grupo mayoritario (blanco) y dominante. Así, cuando Huntington identifica el bilingüismo de los mexicanos como una deficiencia y un problema, los opone al grupo mayoritario monolingüe y anglosajón. In functioning to reinforce the dominance of whiteness and the subordination of color, and to reproduce the racialization of ‘colored’ populations, language panic discourses are part of a larger discursive complex that includes similar moral panics over [...] school drop out rates (where the prototypical school dropout is Hispanic/Latino), youth crime (where the prototypical youth criminal is either African American or Hispanic/Latino, depending on the region of the country), illegal immigration [...] These moral panics elevate ‘whiteness’ by the public display of concern for the civic and economic success of minority populations, usually accompanied by the strong denial of racism. Their covert function, however, is to subordinate color by representing members of racialized populations as problems (2001: 259).

Martínez (2006) usa los términos ‘language pride’ y ‘language panic’ (originariamente acuñados por Hill 2001) para referirse a estas dos ideologías sobre el uso del español. Martínez utiliza el término ‘language panic’ de una forma más general e incluyente para referirse a eventos comunes y tal vez no tan publicitados (lo que Hill denomina ‘mock Spanish’ y Zentella llama ‘Spanglish bashing’). Pero lo más relevante de esta ideología monolingüe es la oposición y menosprecio del empleo del español en comparación con el inglés como una demostración encubierta y racista de oposición y confrontación hacia el grupo minoritario, en este caso, los mexicanos y latinos. En palabras de Martínez: I would argue, then, together with Hill, that all of these manifestations of language panic –ranging from the routine to the extraordinary– serve as instances in which ‘whiteness’ and its signatory, indexical language, plain English, are elevated. At the same time, they represent racialized others as a problem (2006: 12).

Huntington representa esta posición claramente cuando dice: A plausible reaction to the demographic changes underway in the United States could be the rise of anti-Hispanic, anti-black, and anti-immigrant movement composed largely of white, working-and middle class males, protecting their job losses to immigrants and foreign countries, the perversion of their culture, and the displacement of their language. Such a movement can be labeled ‘white nativism’ (2004b: 144).

El presente artículo explora la respuesta de la prensa tanto en español como en inglés a este mensaje de language panic de Huntington. A través de un análisis

LENSO-21

23/1/09

234

12:32

Página 234

María Cecilia Colombi

crítico-textual se puede observar cómo se posicionan y alinean los actores sociales en los textos periodísticos apoyando o rechazando esta ideología social y lingüística.

Corpus El corpus de textos de la prensa está compuesto de reseñas, editoriales, notas culturales y notas políticas que han aparecido en periódicos de lengua española e inglesa desde la publicación en 2004 del libro y el artículo en Foreign Policy hasta la fecha. La Tabla 1 describe el corpus de la prensa en español. El criterio fundamental para la selección de los artículos fue que la mayoría del artículo (70% o más) tratara sobre el libro (o el artículo de Foreign Policy) de Huntington, puesto que existe una gran cantidad de artículos que mencionan su obra pero sólo tangencialmente al tratar otros temas. La extensión cronológica de los textos data de antes de la publicación del libro y del artículo hasta fines del 2006. Geográficamente, hay periódicos de diferentes países. De México, La Reforma (4 artículos), que representa a sectores más conservadores y tradicionales del país y es el de mayor difusión; La Jornada (2) representa a la izquierda mexicana; El Universal (5) es uno de los diarios más vendidos de México y representa a los sectores del centro, y La Palabra, (1) es un diario local de Saltillo. De Colombia, El Tiempo (1), y de Argentina, El Clarín (1). En España aparecieron textos en El País (1), una de las cabeceras progresistas de la prensa española, y en El Mundo (3), de difusión más limitada que El País y representante de sectores más conservadores. El corpus de los artículos en inglés provienen de The New York Times (3), Los Angeles Times (1), The Washington Post (2); estos periódicos forman parte del grupo más reconocido de la prensa estadounidense por su difusión y tradición. También se recogió una nota de The Chronicle of Higher Education, un semanario que tiene una audiencia, como su nombre lo indica, muy especializada. Este texto fue seleccionado justamente para apreciar la recepción de este libro dentro de la academia estadounidense. De los 18 textos recogidos en español se encuentran: 6 artículos de noticias en las primeras páginas o en las secciones internacionales, 2 notas culturales, 3 reseñas del libro y 7 cartas de lectores enviadas al periódico en las secciones de Opinión o Editorial. Éstas últimas han sido escritas por gente ajena a los periódicos. En muchos casos intelectuales o personas reconocidas dentro de la sociedad, como Carlos Fuentes y Heriberto Galindo Quiñones, entre otros. Este corpus de textos constituye un continuo de géneros que va desde aquellos que representan la posición del periódico y de los grupos con los cuales se asocian esos diarios –siempre escritos por los periodistas de la empresa, como las noticias, notas culturales y

LENSO-21

23/1/09

12:32

Página 235

¿Quién es Huntington: un predicador paranoico o un visionario?

235

TABLA 1 Artículos de la prensa en español

a

Tipo de texto

Publicación

1

Mundo/noticias

El Mundo/BBC.Com (España)

2

Fecha

Autor

Extensióna

24/02/04

Miguel Molina

753

Nota/primeras págs. Reforma (México)

27/02/04

Andrés Oppenheimer

772

3

Reseña del libro

El Clarín (Argentina)

27/02/04

Andy Robinson

552

4

Opinión/editorial

Reforma (México)

11/03/04

Carlos Fuentes

1.696

5

Opinión/editorial

El Universal (México)

15/03/04

John Bailey

1.489

6

Cultura/reseña

El Mundo/The Guardian (España)

22/03/04

Dan Glaister

1.079

7

Nota/primeras págs.

El Universal (México)

30/03/04

José Carreño

564

8

Opinión/editorial

El Tiempo (Colombia)

01/04/04

Rodolfo de Roux

867

9

Opinión/editorial

El Universal (México)

22/06/04

Roger Díaz de Cossío

780

10 Cultura/nota 1a pág. Reforma (México) (semanario)

21/11/04

Enrique Krauze

2.847

11 Noticias/ política

Palabra (México)

20/09/04

Luis Enrique Pacheco

1.144

12 Cultura/nota

El Universal (México)

18/02/05

Staff

520

13 Reseña del libro

El País (España)

07/03/05

José Natason

719

14 Opinión/editorial

Reforma (México)

15/10/05

Gilberto Rincón Gallardo

1.140

15 Noticias/política

La Jornada (México)

21/12/05

José María Pérez Gay

1.069

16 Opinión/editorial

La Jornada (México)

05/01/06

Heriberto Galindo Quiñones

1.498

17 Noticias/política

El Mundo (España)

21/03/06

Wilbert Torre

715

18 Opinión/editorial

El Universal (México)

28/03/06

Juan María Alponte

629

El número de palabras de cada artículo se da a modo de referencia de la extensión del mismo, en principio no es relevante para el análisis.

LENSO-21

23/1/09

12:32

Página 236

236

María Cecilia Colombi

TABLA 2 Artículos de la prensa en inglés

a

Fecha

Extensióna

Tipo de texto

Publicación

Autor

1

Nota principal

The New York Times

24/02/04

David Brooks

709

2

Cultura/entrevista

The New York Times

02/05/04

Deborah Solomon

635

3

Reseña

The Washington Post

16/05/04

Tamar Jacoby

1.246

4

Reseña

The New York Times

28/05/04

Michiko Kakutani

1.026

5

Nota/internacional

The Chronicle of Higher Education

15/10/04

Marion Lloyd

666

6

Reseña

The Washington Post

02/04/06

Fouad Ajami

1.167

7

Editorial

Los Angeles Times

21/5/06

Michael Skube

1.082

El número de palabras de cada artículo se da a modo de referencia de la extensión del mismo, en principio no es relevante para el análisis.

reseñas (11 en total)– a las cartas al director (7) que expresan la opinión individual de los lectores que las escriben. Los mismos géneros textuales corresponden a los artículos en inglés que comprenden: notas de primeras páginas, notas internacionales o culturales y reseñas escritas por periodistas del diario (5 en total) y una carta de los lectores, en este caso de Michael Skube. TABLA 3 Tipos de textos de la prensa Tipos de textos

Noticias

Cultura/nota

Reseña

Opinión/editorial

En español

6

2

3

7

En inglés

2

1

3

1

Marco teórico y análisis crítico-textual Un análisis textual y semiótico, como el de la lingüística sistémica funcional (LFS) de Halliday (Halliday & Matthiessen 2004) conjuntamente con una perspectiva crítica y social (Lemke 1995), nos puede ayudar a interpretar cómo estos

LENSO-21

23/1/09

12:32

Página 237

¿Quién es Huntington: un predicador paranoico o un visionario?

237

textos se sitúan y dialogan con otros en un contexto social determinado. Un análisis crítico-textual considera los textos como una evidencia “for grounding claims about social structures, relations and processes” (Fairclough 1995: 204). También nos ayuda a entender las relaciones sociales de poder en relación al lenguaje (Lemke 1995), y cómo la construcción de estos actores sociales dentro del discurso puede ayudarnos a interpretar la producción y explicar qué es lo que está ocurriendo en ese contexto sociocultural. El artículo de Huntington en Foreign Policy, conjuntamente con su libro, tuvieron un gran impacto como exponentes de una ideología de derecha que acusa a los inmigrantes latinos de los problemas sociales de Estados Unidos, ahora enmarcados dentro del debate de la inmigración. Tanto este libro como el anterior (The Clash of Civilizations and the Remaking of the World Order, 1996) fueron muy polémicos y con gran trascendencia en los medios de comunicación4. Las preguntas que guiaron este estudio son: ¿Cómo recibió la prensa el mensaje alarmista de Huntington? ¿Qué ideologías sostenían y presentaban los textos escritos sobre el mensaje de Huntington y cómo se posicionaban con respecto a su ideología? La LSF, como teoría socio-semiótica del lenguaje, elaborada principalmente por Halliday y la escuela de Sydney (Christie & Martin 1997, Martin & Rose 2003, Halliday & Matthiessen 2004, Hasan 2005 y otros) nos permite relacionar el significado semántico del texto con el contexto social en el cual se sitúa. En LSF se identifican tres modos de significado que operan simultáneamente en todo enunciado: ideacional, interpersonal y textual. El sistema de appraisal o evaluación, desarrollado por Martin y White (Martin 2000, White 2000, 2002, 2003, Martin & White 2005), elabora el sistema interpersonal en el lenguaje. Es decir, a través de este sistema de appraisal5 se puede observar la presencia de escritores y hablantes en el discurso y ver cómo se sitúan subjetiva y objetivamente y adoptan distintas posiciones con respecto al material que ellos presentan y respecto a los participantes con los que interactúan. Por medio de un análisis de appraisal podemos ver cómo los escritores en el caso de la prensa construyen su propia identidad o ‘persona’ dentro del discurso, cómo se posicionan, o sea, si se alinean o enfrentan con sus potenciales lectores y cómo construyen –idealmente– una audiencia para sus textos. El análisis de appraisal es particularmente apto para analizar el

4

5

Un ejemplo del alcance de la obra de Huntington se puede ver simplemente al googlear su nombre junto con el de alguno de sus libros (en el caso que nos interesa: Samuel Huntington, Who are we?). Se notará que aparecen más de 91.000 entradas en el Internet. La reacción de los intelectuales mexicanos al libro de Huntington fue inmediata: en 2004 apareció Otro sueño americano. En torno a ¿Quienes somos? de Samuel P. Huntington, coordinado por Fernando Escalante. En este trabajo me remito a la terminología utilizada por Martin y White (2005) en inglés.

LENSO-21

23/1/09

12:32

Página 238

238

María Cecilia Colombi

mensaje ideológico de la prensa (Achugar 2004; White 2000, 2002). El sistema de appraisal consiste de tres áreas interrelacionadas: attitude, engagement y graduation, por medio de las cuales se puede analizar la intersubjetividad FIGURA 1 Sistema de appraisal (Martin & White 2005: 38) MONOGLOSS (+/-) ENGAGEMENT A

HETEROGLOSS (+/-)

P P R

AFFECT (+/-) ATTITUDE

JUDGEMENT (+/-)

A APPRECIATION (+/-) I S raise A

FORCE lower

L GRADUATION

sharpen FOCUS soften

de los autores de los textos. La Figura 1 (Martin & White 2005: 38) presenta una síntesis de este sistema: El sistema de attitude analiza los sentimientos y valores que se encuentran codificados en el discurso; este sistema se subdivide a su vez en tres: affect se enfoca en el análisis de los sentimientos y las emociones; judgement se preocupa y evalúa el comportamiento humano, y appreciation evalúa los eventos y hechos del mundo. El sistema de graduation examina la fuerza y el enfoque de los sentimientos y emociones, juicios y apreciaciones. El sistema de engagement investiga los recursos para abrir o cerrar el espacio heteroglósico en el discurso –explora las distintas formas en que los hablantes y escritores introducen otras voces en relación con su posición en el discurso–. El sistema de appraisal nos permite ver cómo los escritores de los comentarios y de la prensa toman una posición o stan-

LENSO-21

23/1/09

12:32

Página 239

¿Quién es Huntington: un predicador paranoico o un visionario?

239

ce con respecto a la información o mensaje que comunican; es decir, cómo los textos se construyen estableciendo relaciones de acercamiento u distanciamiento con las comunidades de gente con la cuales se comparten valores y emociones. Utilizando el sistema de appraisal, principalmente el de engagement y attitude, en los textos de los periódicos se puede observar cómo los autores se sitúan con respecto a la posición de Huntington. La mayoría de los autores de los textos6 en los periódicos responden al discurso de Huntington con una oposición frontal. El siguiente titular ejemplifica esta oposición: FIGURA 2 Análisis de un titular de la prensa en español 1. ¿‘Bárbaros’ latinos a la puerta del Imperio? El sociólogo Samuel Huntington profetiza que la ‘invasión’ mexicana de EE.UU. acabará con el progreso estadounidense. (español #6)

Anotación del texto: Sistema de attitude Affect (+/-): línea discontinua Appreciation (+/-): negrillas Judgement (+/-) subrayado Sistema de engagement Monoglosia: —— Heteroglosia: italica

Siempre que analizamos la posición del autor en un texto, tenemos que considerar el lenguaje como un medio potencial para significar que se basa en la comunidad y en patrones de significados compartidos (Fairclough 1992). En todo momento, el texto que estamos analizando pertenece a un género discursivo con configuraciones lingüísticas culturalmente determinadas y el acto de la lectura e interpretación se inscriben en un contexto en el cual se produce el significado (Lemke 1995, Hasan 2005). Los géneros discursivos de la prensa y su mensaje ideológico han sido investigados desde distintas perspectivas (Van Dijk 1988, 1999, Bolivar 1994, White 2000, 2002 y otros). White (2000, 2002), al referirse al lenguaje utilizado en la prensa, presenta dos tipos de personas o identidades evaluativas (Figura 3). Por lo general, existe una relación entre el tipo de género textual y la forma cómo se presenta la información, por ejemplo, las noticias de primera plana se caracterizan por presentar la información sin mediación explícita de las personas que las han escrito, sugiriendo de esta forma un nivel de objetividad característico de la

6

En los apéndices 1 y 2 se encuentra la lista completa de los titulares en español y en inglés.

LENSO-21

23/1/09

12:32

Página 240

240

María Cecilia Colombi FIGURA 3 Representaciones de las voces de la prensa (basado en Martin & White 2005)

Voces periódisticas

la voz del periodista (cuya función es informar sin presentar un juicio explícito personal). Los juicios se presentan sin mediación.

la voz del escritor

corresponsal (con apreciaciones justificadas en valores y sanciones sociales) comentarista (con apreciaciones, juicios y emociones explícitos individuales y sociales)

‘voz del periodista’. Por otra parte, dentro del continuo de los géneros textuales periodísticos, ‘la voz del escritor comentarista’ es típica en la sección editorial del periódico donde se publican las cartas que los lectores envían al periódico para expresar su opinión. En el corpus estudiado se encuentran dos textos en inglés (inglés #2 y #5) y cuatro en español (español #7, #11, #12 y #17) que presentan la voz del periodista. FIGURA 4 La voz del periodista

2. El Gobernador de Hidalgo, Manuel Ángel Núñez Soto, consideró que el politólogo Samuel Huntington, en su libro más reciente, “¿Quiénes somos?”, asume una actitud racista, parcial y poco analítica al señalar que los migrantes mexicanos representan una amenaza para Estados Unidos. (español #11) 3. Samuel P. Huntington, the Harvard University professor who has drawn fire this year for arguing that Hispanic immigration imperils the United States, got a frosty reception last month while on a visit to Mexico. (inglés #5)

Así, en la introducción de estos dos textos se nota un lenguaje heteroglósico en el cual se mencionan otras voces y se presentan juicios, pero siempre en la boca de otra persona; en el ejemplo #1, la voz del gobernador y de Huntington y en #2, de Huntington mismo. El resto de los textos, sin excepción, y aun aquéllos en los que se esperaría mayor distancia entre el periodista y el mensaje, presentan una voz del escritor comentarista con juicios claros y definidos (Figura 5). En los textos #4 y #5, se evidencia la voz del escritor comentarista que asume su plena responsabilidad en ese enfrentamiento con el mensaje de Huntington. En

LENSO-21

23/1/09

12:32

Página 241

¿Quién es Huntington: un predicador paranoico o un visionario?

241

FIGURA 5 La voz del comentarista 4. Most important, Huntington concludes, they tend not to buy into the basic American creed, which is the bedrock of our national identity and our political culture. “There is no Americano dream,’’ Huntington writes, “There is only the American dream created by an Anglo-Protestant society. Mexican-Americans will share in that dream and in that society only if they dream in English.’’ Obviously, Huntington is not pulling his punches. You can read an excerpt from the book in the new issue of Foreign Policy magazine at www.foreignpolicy.com. You’ll find that Huntington marshals a body of evidence to support his claims. But the most persuasive evidence is against him. Mexican-American assimilation is a complicated topic because Mexican-Americans are such a diverse group. The educated assimilate readily; those who come from peasant villages take longer. But they are assimilating. (inglés #1) 5. Su proponente es el profesor Samuel P. Huntington, incansable voz de alarma acerca de los peligros que “el otro” representa para el alma de fundación, blanca, protestante y anglosajona, de EE.UU. Que existía (y existe) una “América” (pues Huntington identifica a EE.UU. con el nombre de todo un continente) indígena anterior a la colonización europea, no le preocupa. Que además de Angloamérica exista una anterior “América” francesa (la Luisiana) y hasta rusa (Alaska) no le interesa. La preocupación es la América Hispánica, la de Rubén Darío, la que habla español y cree en Dios. Éste es el peligro indispensable para una nación que requiere, para ser, un peligro externo identificable. Moby Dick, la ballena blanca, es el símbolo de esta actitud que, por fortuna, no comparten todos los norteamericanos, incluyendo a John Quincy Adams, sexto presidente de la nación norteamericana, quien advirtió a su país: “No salgamos al mundo en busca de monstruos que destruir” [...] El explotador mexicano. La nueva cruzada de Huntington va dirigida contra México y los mexicanos que viven, trabajan y enriquecen a la nación del norte. Para Huntington, los mexicanos no viven –invaden–; no trabajan –explotan– y no enriquecen –empobrecen porque la pobreza está en su naturaleza misma–. Todo ello, añadido al número de mexicanos y latinoamericanos en EE.UU., constituiría una amenaza para la cultura que para Huntington sí se atreve a decir su nombre: la Angloamérica protestante y angloparlante de raza blanca. (español #4)

#4, David Brooks, periodista de The New York Times, en una nota principal asume una posición de oposición con respecto a Huntington cuando dice: “[...] You’ll find that Huntington marshals a body of evidence to support his claims. But the most persuasive evidence is against him [...]”. En un lenguaje en el cual incluye al lector (you), se atreve a contradecir su teoría restringiendo el mensaje para presentar su posición de una forma monoglósica y categórica, sin lugar a discusión:

LENSO-21

23/1/09

12:32

Página 242

242

María Cecilia Colombi

“… But the most persuasive evidence is against him [...]”. En el texto #5, Carlos Fuentes, en una carta de los lectores al periódico Reforma, contradice el mensaje de Huntington, de forma heteroglósica, citándolo para contradecirlo: “Para Huntington, los mexicanos no viven –invaden–; no trabajan –explotan– y no enriquecen –empobrecen porque la pobreza está en su naturaleza misma”. Los textos de la prensa en los distintos géneros y con diferentes voces periodísticas en inglés y en español consideran a Huntington como un ‘visionario paranoico’. FIGURA 6 Representaciones de los actores: Huntington y mexicanos en la prensa Fuente

Huntington/libro/artículo

Mexicanos/inmigrantes

Nosotros

Ellos La señora de Michoacán que limpia la oficina el cocinero de Miami los hombres que duermen en las calles millones de amenazas

Español #1

Español #2

una luminaria del mundo intelectual –el director de la Academia de Estudios Internacionales y Regionales de la Universidad de Harvard, Samuel Huntington los racistas “Michael” “la cultura anglo protestante”

la creciente comunidad hispana en el país inmigrantes hispanos “José” mexicoestadounidenses las masas de hispanoparlantes hispanofobia afroamericanos

Español #3

Polémico libro del académico estadounidense Samuel Huntington. el “credo” angloprotestante

los hispanos la pujante cultura hispana el multiculturalismo de EE.UU.

Español #4

El racista enmascarado la cultura WASP el puritanismo el alma de fundación, blanca, protestante y anglosajona, de EE.UU. la Angloamérica protestante y angloparlante de raza blanca

“El Peligro Moreno” “el otro” la América Hispánica, la de Rubén Darío, la que habla español y cree en Dios su monstruo exterior necesario El explotador mexicano El balcanizador mexicano los separatistas

LENSO-21

23/1/09

12:32

Página 243

¿Quién es Huntington: un predicador paranoico o un visionario?

243

FIGURA 6 (Cont.) Huntington/libro/artículo

Mexicanos/inmigrantes

Nosotros

Ellos

Español #6

sociólogo Samuel Huntington “nosotros” (del título) los estadounidenses, los blancos, la mayoría dominante

Bárbaros latinos “invasión” mexicana “hipersexuados” “hiperapagados” “hiperextendidos” hablan español

Español #7

xenofobia de Huntington el ideólogo del sistema en Estados Unidos cerebro del poder en Estados Unidos

Mexicanos...enemigos Estereotipo...hispano los enemigos de la sociedad estadounidense

Español #8

el conocido profesor Samuel P. Huntington, de Harvard

Ni perros ni latinos horda oscura

Español #9

Los racistas de Harvard la ideología conservadora y fundamentalista, la supremacía blanca protestante el famoso y muy discutido libro de Samuel Huntington de 2004

Español #10

pureza

El imperio del español la virtud cardinal del mexicano, del hispano y del idioma español: la virtud de la convivencia y el mestizaje

Español #12

del racismo antimexicano

una invasión silenciosa de trabajadores indocumentados

Español #13

El predicador paranoico –Samuel P. Huntington, los pensadores norteamericanos –predicador xenófobo y paranoico

Español #14

Hegemonía blanca

Fuente

familias hispánicas Mexicanos vulnerables Los inmigrantes indocumentados, Minoría “norteamericana” de origen mexicano

LENSO-21

23/1/09

12:32

Página 244

244

María Cecilia Colombi

FIGURA 6 (Cont.) Huntington/libro/artículo

Mexicanos/inmigrantes

Nosotros

Ellos

Español #15

Samuel P.Huntington: el ideólogo del miedo el mundo anglosajón

El ocaso del futuro los ilegales el estatus de criminales las naciones latinoamericanas subcivilización inclasificable y amorfa el mundo hispano

Español #16

Huntington, tras el espíritu nazi antimigrante las fobias y los temores huntingtonianos

minorías étnicas

Inglés #1

Samuel Huntington ... one of the most eminent political scientists in the world American Dream

The Americano Dream Mexican-Americans ... a diverse group

Inglés #4

Norman Rockwell America A patriot and a scholar

Inglés #7

Americans

Fuente

the quesadilla Spanish-speaking immigrants

En la siguiente figura se presenta un análisis de los actores sociales de los textos que continúa con la oposición de Huntington: Nosotros (anglosajones protestantes) vs. Ellos (mexicanos inmigrantes hablantes de español). El análisis de appraisal indicó que el mensaje alarmista e inflamatorio de Huntington se encontró con una oposición uniforme de parte de la prensa en español e inglés (en los apéndices 1 y 2 se encuentran los titulares completos de los artículos del periódico). Con un lenguaje hiperbólico (al igual que el texto de Huntington), a veces cargado de ironía y escepticismo, niegan y refutan la premisa divisiva de Huntington de que los mexicanos representan una amenaza para la identidad norteamericana. Además de interpretar cuál era la posición de los autores de los textos de la prensa con respecto a Huntington, me interesa identificar cuáles son las ideologías que sostienen esos textos de la prensa. ¿Coinciden con Janet Hill en interpretar el

LENSO-21

23/1/09

12:32

Página 245

¿Quién es Huntington: un predicador paranoico o un visionario?

245

mensaje de Huntington como otra muestra de language panic, es decir, un mensaje alarmista acerca de los números de la población mexicana minoritaria que habla español como una amenaza para el grupo mayoritario blanco que sólo habla inglés, o sea, fundamentalmente un mensaje racista? ¿O, por el contrario, se oponen al mensaje xenófobo, inflamatorio y monolingüe de Huntington, no tanto por los argumentos que en sí exime, sino por basarse en datos no verídicos o exagerados? En otras palabras, ¿consideran la premisa de Huntington de que para mantener la identidad norteamericana es importante asimilarse al ‘credo anglo-protestante’? ¿Apoyan la tesis de que todos debemos hablar el mismo idioma y creer en la misma religión? ¿Piensan que es muy importante que se hable el inglés en todos los contextos públicos? Los textos que se alinean con una ideología asimilatoria y monolingüe constituyen una minoría tanto en inglés como en español. Los siguientes textos ejemplifican este tipo de ideología: FIGURA 7 Ideología asimilacionista 6. “Efectivamente, mucha de la población mexicana y mexicoamericana en Estados Unidos ha sido más lenta en asimilarse, pero parte de la razón tiene que ver con los prejuicios y obstáculos que ningún otro flujo migratorio ha enfrentado. La asimilación ocurre cuando los niveles de educación se incrementen para los grupos de migrantes”, destaca el diplomático mexicano. (español #18) 7. But the most persuasive evidence is against him. Mexican-American assimilation is a complicated topic because Mexican-Americans are such a diverse group. The educated assimilate readily; those who come from peasant villages take longer. But they are assimilating. It’s easy to find evidence that suggests this is so. In their book Remaking the American Mainstream, Richard Alba of SUNY-Albany and Victor Nee of Cornell point out that though there are some border neighborhoods where immigrants are slow to learn English, Mexicans nationwide know they must learn it to get ahead. By the third generation, 60 percent of Mexican-American children speak only English at home. (inglés #1)

Estos textos mantienen esta ideología monolingüe al presentar argumentos para demostrar que en realidad la población mexicana o mexicana-americana sí se asimila al grupo dominante y ya en tres generaciones hablan “sólo inglés” (inglés #1), es decir, son como la mayoría, parte del melting pot. El siguiente texto, como los anteriores, vuelve a reafirmar esta ideología de la asimilación al resaltar la necesidad de “perderse en el crisol” (español #6). En otras palabras, al igual que

LENSO-21

23/1/09

12:32

Página 246

246

María Cecilia Colombi

Huntington, estos textos se adhieren a una ideología que no acepta lo diferente, el multilingüismo, y que se siente alarmada por un alto número de personas que no creen, hablan o piensan como nosotros, o sea, considera que es importante que todos seamos iguales. 8. [...] Y a pesar de las afirmaciones de Huntington según las cuales no tienen ningún interés en convertirse en “americanos”, en el sentido anglosajón de la palabra, es de notar la cantidad de latinos, desde políticos locales hasta tenderos que desean, más que ninguna otra cosa, mezclarse, perderse en el “crisol”. [...] Ni siquiera se ha molestado en releer El choque de civilizaciones, donde él mismo concluía, no sin perplejidad, que “la distancia cultural entre México y EE.UU. es mucho menor que la que hay entre Turquía y Europa” y que “México ha intentado redefinirse de una identidad latinoamericana a una norteamericana”. (español #6)

En el otro extremo se encuentran –y son la mayoría de los textos recogidos– aquéllos que se oponen al mensaje de Huntington porque creen que la diversidad multicultural y multilingüistica es verdaderamente el camino por seguir en un mundo cada vez más “global” y porque desaprueban la idea que la identidad norteamericana sea exclusivamente “anglosajona y que hable inglés” (español #4).

FIGURA 8 Ideología multicultural y multilingüe 9. Antes de decirles por qué pienso que todo esto es una tontería xenofóbica, examinemos los argumentos de Huntington: dice que los inmigrantes mexicanos difieren de otros inmigrantes en que no se asimilan a la cultura de Estados Unidos, y en que en el futuro podrían reclamar los territorios que México perdió durante las invasiones militares de Estados Unidos en el siglo XIX. [...] Es cierto que muchos inmigrantes en Miami no hablan inglés, pero sus hijos lo hablan. Cuando los ataques terroristas del 11 de septiembre, había tantas banderas de Estados Unidos en las calles como en cualquier otra ciudad. Y la ciudad se ha convertido en un centro de negocios internacional precisamente por tener una clase profesional bilingüe, capaz de funcionar perfectamente en dos culturas. Un nuevo estudio de la comunidad hispana realizado por Synovate, una empresa multinacional de estudios de Mercado, afirma que la tendencia en la comunidad hispana en Estados Unidos no es hacia la separación, sino hacia una mayor integración ... En los últimos 12 años, el número de hispanos no asimilados -que no acceden a los medios de comunicación en inglés- ha caído de 40 por ciento a un 26 por ciento, según el estudio. “La mayoría de los hispanos, alrededor de un 63 por ciento, son bilingües y biculturales”, me dijo Jim Forrest, el director del estudio. “Esta gente se siente muy a gusto en cualquiera de los dos idiomas, y ha

LENSO-21

23/1/09

12:32

Página 247

¿Quién es Huntington: un predicador paranoico o un visionario?

247

aprendido a vivir en Estados Unidos tomando lo mejor de la cultura del país anfitrión, manteniendo a la vez lo mejor de la cultura de su país nativo”. (español #2) 10. Es esta última (característica que “todos hablan español”) la que más irrita a Huntington, hasta el punto de llevarlo a hacer aseveraciones poco empíricas. “...es probable que los angloparlantes que no dominen el español se sientan en desventaja a la hora de competir por empleos...” (español #6 ) (el texto entre paréntesis es mío) 11. Lo que está de por medio es, más bien, el temor a lo que significa una sociedad multicultural y plural, en la que la hegemonía blanca de ese país se siente amenazada por una minoría “norteamericana” de origen mexicano. Ello explica en mucho la discriminación contra ese grupo vulnerable que componen los emigrantes laborales mexicanos. El prejuicio racial y los estigmas sociales pesan mucho para evitar una regularización que a todas luces es necesaria. (español #15) 12. En realidad, el miedo de Huntington es al “biculturalismo”. (español #3) 13. Huntington ignora que desde siempre la sociedad estadounidense ha sido multicultural, aunque durante siglos las demás culturas fueron oprimidas o algunas casi destruidas, como las de los indios. Y que fue gracias al “credo” que muchos de los oprimidos lucharon y ganaron en sus derechos como los mexicanos y los negros. Todos tienen la ética del trabajo, luchan por ser iguales ante la ley. Además de aprender a hablar inglés con fluidez en la segunda generación, no se olvidan de su lengua materna y de sus raíces. Lo mismo les ha pasado a todos los inmigrantes ... Qué bueno que se va hacia una sociedad multilingüe ... En fin, este es un texto más sobre la supremacía blanca y protestante (español #10) 14. Es penoso decirlo, pero el sustento temeroso radica en la cultura y en el color moreno de los latinoamericanos, que no son del agrado de los discriminadores, a quienes al parecer ya se les olvidó que también ellos descienden de migrantes, y de culturas y maneras de ser muy distintas a las de los aborígenes americanos a quienes “conquistaron” casi hasta su exterminio y que, hoy por hoy, han sido confinados a vergonzosas reservaciones, no obstante ser los pobladores originarios. (español #16)

El ejemplo #10 pone en evidencia claramente la política de language panic, que consiste en ubicar a esa minoría mayoritaria en números, generalmente de color, como un adversario; el enemigo del grupo mayoritario dispuesto a quitarle los trabajos a aquellos que no puedan hablar su idioma porque son tantos que “su idioma”, en este caso el español, será una necesidad (Hill 2001).

LENSO-21

23/1/09

12:32

248

Página 248

María Cecilia Colombi

Conclusiones Los textos analizados en este estudio demostraron que la prensa tanto en inglés como en español rechazó el discurso de language panic de Huntington sobre la amenaza que los latinos constituyen para Estados Unidos porque hablan español y no se asimilan al credo americano. La prensa, ya sea en inglés como en español, se identifica como ‘acusadora’ ante la ideología monolingüe y xenófoba que nos presenta Huntington. Tanto los intelectuales como los periodistas levantan una voz uniforme y clara oponiéndose y repudiando un mensaje divisivo y racista que únicamente puede ayudar a fomentar mayores enfrentamientos y que sólo sirve para construir una política del miedo al otro (language panic). Si bien la mayoría de los textos acusaba a Huntington explícitamente de una ideología racista (español #2, #4, #6, #8, #9, #10, #11, #12, #13, #15, #16; inglés #1, #3, #4, #6, #7), en un examen más profundo se puede observar que había una diferencia entre las agendas políticas que estos textos perseguían. Por un lado, se encuentran textos que se alinean con Huntington en buscar la “unidad nacional” a través de la asimilación y el privilegio del inglés como lengua “oficial” o dominante, y por el otro aparecen textos que defienden una política multicultural y multilingüe como el camino que no se puede alterar con una ideología aislacionista y separatista. Citando a Fuentes, podemos concluir que: 15. Estigmatizar a la lengua castellana como factor de división prácticamente subversiva revela, más que cualquier otra cosa, el ánimo racista, éste sí divisor y provocativo, del profesor Huntington. Hablar una segunda (o tercera o cuarta lengua) es signo de cultura en todo el mundo menos, al parecer, en el Edén Monolingüe que se ha inventado Huntington. Establecer el requisito de la segunda lengua en EE.UU. (como ocurre en México o en Francia) le restaría los efectos satánicos que Huntington le atribuye a la lengua de Cervantes. Los hispanoparlantes en EE.UU. no forman bloques impermeables ni agresivos. Se adaptan rápidamente al inglés y conservan, a veces, el castellano, enriqueciendo el aceptado carácter multiétnico y multicultural de EE.UU. En todo caso, el monolingüismo es una enfermedad curable. Muchísimos latinoamericanos hablamos inglés sin temor de contagio. Huntington presenta a EE.UU. como un gigante tembloroso ante el embate del español. Es la táctica del miedo al otro, tan favorecida por las mentalidades fascistas. (español #4)

Bibliografía ACHUGAR, Mariana (2004): “The events and actors of September 11, 2001, as seen from Uruguay: Analysis of daily newspaper editorials”, en: Discourse & Society 15(2/3), 291-320.

LENSO-21

23/1/09

12:32

Página 249

¿Quién es Huntington: un predicador paranoico o un visionario?

249

BOLIVAR, Adriana (1994): “The structure of newspaper editorials”, en: Courthard, Michael (ed.): Advances in written text analysis. London: Routledge, 276-294. CHRISTIE, Frances/MARTIN, James R. (eds.) (1997): Genres and institutions: Social processes in the workplace and school. London: Cassell. ESCALANTE GONZALBO, Fernando (coord.) (2004): Otro sueño americano. En torno a ¿Quienes somos? de Samuel P. Huntington. México, D.F.: Paidós. FAIRCLOUGH, Norman (1992): Discourse and social change. Cambridge: Polity Press. — (1995): Critical discourse analysis: The critical study of language. London: Longman. GORNEY, Cynthia (2007): “How do you say ‘Got Milk’ en español?”. http://www.nytimes. com (23 septiembre 2007). HALLIDAY, Michael A. K./MATTHIESSEN, Christian M. (2004): An introduction to functional grammar. London: Arnold. HASAN, Ruqaiya (2005): Language, society and consciousness. London: Equinox. HILL, Jane (2001): “The racializing function of language panics”, en: Dueñas González, Roseann/Melis, Ildikó (eds.): Language ideologies (vol 2). Mahwah: Lawrence Erlbaum, 245-267. HUNTINGTON, Samuel P. (1996): The clash of civilizations and the remaking of world order. New York: Simon & Schuster. — (2004a): Who are we? The challenges to America’s national identity. New York: Simon & Schuster. — (2004b): “The Hispanic Challenge”, en: Foreign Policy 141 (March-April, 2004), 30-45. LEMKE, Jay (1995): Textual politics: Discourse and social dynamics. London: Taylor & Francis. MARTIN, James R. (2000): “Beyond exchange: APPRAISAL systems in English”, en: Hunston, Susan/Thompson, Geoff (eds.); Evaluation in text: Authorial stance and the construction of discourse. Oxford: Oxford University Press, 145-72. MARTIN, James R./ROSE, David (2003): Working with discourse. London: Continuum. MARTIN, James R./WHITE, Peter R. (2005): The Language of evaluation: Appraisal in English. London: Palgrave. MARTÍNEZ, Glenn A. (2006): Mexican Americans and language. Tucson: The University of Arizona Press. PACHECO, Luis E. (2004): “Cuestiona Núñez Soto racismo de Huntington; advierte gobernador riesgo de acciones de animadversión contra de mexicanos residentes en EU”, en: Palabra: México-Sección Noticias (20 septiembre 2004). RAMOS, Jorge (2002): “La latinización de los Estados Unidos”. http://www.voxlatina.com (4 agosto 2007). TIENDA, Marta/FAITH, Mitchell (eds.) (2006): Hispanics and the future of America. Washington: The National Academies Press. U.S. CENSUS BUREAU (2006): “Hispanic or Latino Origin by Specific Origin”. http://f actfinder.census.gov (17 junio 2008). VAN DIJK, Teun (1988): “How ‘They’ hit the headlines: Ethnic minorities in the press”, en: Smitherman-Donalson, Geneva/Van Dijk, Teun (eds.): Discourse and discrimination. Detroit: Wayne State University Press, 221-262.

LENSO-21

23/1/09

250

12:32

Página 250

María Cecilia Colombi

— (1999): Ideología: una aproximación multidisciplinaria. Barcelona: Gedisa. WHITE, Peter R. (2000): “Dialogue and inter-subjectivity: Reinterpreting the semantics of modality and hedging”, en: Coulthard, Michael et al. (eds.): Working with dialog. Tübingen: Max Niemeyer, 67-80. — (2002): “Appraisal - the language of valuation and intersubjective stance”. http:// www.grammatics.com/appraisal (1 julio 2008). — (2003): “Beyond modality and hedging: A dialogic of the language of intersubjective stance”, en: Text 23(2), 259-284.

LENSO-21

23/1/09

12:32

Página 251

¿Quién es Huntington: un predicador paranoico o un visionario?

251

Apéndice 1 TITULARES DE LA PRENSA EN ESPAÑOL 1. “La señora de Michoacán que limpia la oficina. El futuro de Estados Unidos está en peligro” (BBC.com/El Mundo - Miguel Molina) (24 febrero 2004) 2. “El Informe Oppenheimer/Huntington vs. México; los racistas en Estados Unidos deben estar de fiesta: finalmente, encontraron una luminaria del mundo intelectual –el director de la Academia de Estudios Internacionales y Regionales de la Universidad de Harvard, Samuel Huntington– que les ha dado argumentos pseudoacadémicos para sustentar su resentimiento contra la creciente comunidad hispana en el país” (Reforma - Andrés Oppenheimer) (27 febrero 2004). 3. “Polémico libro del académico estadounidense Samuel Huntington. Ahora afirman que los hispanos son una cultura que amenaza a EE.UU. dijo que arriesgarían la identidad del país al no asimilar su cultura. Fuertes repudios” (El Clarín - Andy Robinson) (27 febrero 2004). 4. “El racista enmascarado” (Reforma - Carlos Fuentes) (11 marzo 2004). 5. “Huntington, el desafío hispano y el contexto político” (El Universal - John Bailey) (15 marzo 2004). 6. “¿‘Bárbaros’ latinos a la puerta del Imperio? El sociólogo Samuel Huntington profetiza que la ‘invasión’ mexicana de EE.UU. acabará con el progreso estadounidense” (El Mundo - Dan Glaister) (22 marzo 2004). 7. “Desvía Huntington el debate sobre migración. Revisan especialistas la polémica creada en Estados Unidos por la tesis del politólogo de Harvard” (El Universal -José Carreño) (30 marzo 2004). 8. “‘Ni perros ni latinos’ Hace medio siglo muchos locales de Texas anunciaban: ‘No se admiten perros ni mexicanos’. Seguramente el conocido profesor Samuel P. Huntington, de Harvard, no respaldaría este veto. Pero por amor a los perros, no a los latinos” (El Tiempo - Rodolfo de Roux) (1 abril 2004). 9. “Los racistas de Harvard” (El Universal - Roger Díaz de Cossío) (22 junio 2004). 10. “El imperio del español” (Reforma - Enrique Krauze) (21 noviembre 2004). 11. “Cuestiona Núñez Soto racismo de Huntington; Advierte Gobernador riesgo de acciones de animadversión contra de mexicanos residentes en EU” (Palabra - Luis Enrique Pacheco) (20 septiembre 2004).

LENSO-21

23/1/09

252

12:32

Página 252

María Cecilia Colombi

12. “Critican xenofobia de Huntington” (El Universal) (18 febrero 2005). 13. “El predicador paranoico” (El País - José Natason) (7 marzo 2005). 14. “Mexicanos vulnerables; Los inmigrantes indocumentados, carentes de derechos y protecciones, viven en una extrema vulnerabilidad que los convierte en presa fácil de todo tipo de agresiones y abusos” (Reforma - Gilberto Rincón Gallardo) (15 octubre 2005). 15. “El ocaso del futuro: Samuel P. Huntington: el ideólogo del miedo” (La Jornada - José María Pérez Gay) (21 diciembre 2005). 16. “Estados Unidos: Huntington, tras el espíritu nazi antimigrante - Nada es nuevo en la relación entre México y los Estados Unidos. Los abusos contra nuestro país no empezaron ayer ni terminarán mañana” (La Jornada - Heriberto Galindo Quiñones) (5 enero 2006). 17. “Provoca debate en EU libro sobre migrantes; Advierte Samuel Huntington riesgo de que Estados Unidos se divida en dos países y dos lenguas; refutan analistas tesis del politólogo sobre la asimilación de población hispana” (El Mundo - Wilbert Torre) (21 marzo 2006). 18. “México y el Mundo” (El Universal - Juan María Alponte) (28 marzo 2006).

LENSO-21

23/1/09

12:32

Página 253

¿Quién es Huntington: un predicador paranoico o un visionario?

253

Apéndice 2 TÍTULARES DE LA PRENSA EN INGLÉS 1. “The Americano Dream” (The New York Times - David Brooks) (24 febrero 2004). 2. “The Way We Live Now: 5-2-04: Questions for Samuel P. Huntington; Three Cheers for Assimilation” (The New York Times - Deborah Solomon) (2 mayo 2004). 3. “Rainbow’s End” (The Washington Post - Tamar Jacoby) (16 mayo 2004). 4. “Books of the Times; An Identity Crisis for Norman Rockwell America” (The New York Times - Michiko Kakutani) (28 mayo 2004). 5. “Controversial Harvard Scholar Gets Frosty Reception in Mexico” (The Chronicle of Higher Education - Marion Lloyd) (15 octubre 2004). 6. “Enemies, A Love Story. A Nobel laurate argues that civilizations are not clashing. Amartya Sen’s book: The Illusion of Destiny” (The Washington Post Fouad Ajami) (2 abril 2006). 7. “Get out, but leave the quesadilla. Why Americans get clingy about carne asada but are ready to give Spanish-speaking immigrants the boot” (Los Angeles Times - Michael Skube) (21 mayo 2006).

LENSO-21

23/1/09

12:32

Página 254

LENSO-21

23/1/09

12:32

Página 255

LANGUAGE IN HEALTHCARE POLICY AND PLANNING ALONG THE U.S.-MEXICO BORDER GLENN A. MARTINEZ The University of Texas Pan American

Increasingly poor outcomes in the health status of linguistic minorities and limited English proficient (LEP) populations have resulted in several iterations of language in healthcare policy (LHP) since the beginning of the new millennium. These policy initiatives, however, have been implemented with differential degrees of success. This paper presents a policy analysis focusing on the intersection of language practices, language ideology, and language intervention in the implementation of LHP. A Language Assistance Assessment Survey (LAAS) was developed to gauge patterns of LHP implementation in proprietary health organizations in the lower Rio Grande Valley, in the Texas-Mexico border region. The survey collected data on healthcare personnel who claim to be bilingual, on frequency of contact with Spanish-speaking and LEP patients, on language assistance measures in place within organizations, and on quality control and continuous improvement of language assistance services. Data collected via the LAAS were enhanced through in-depth interviews with 16 healthcare providers that covered issues related to health disparities, culturally and linguistically appropriate care, and border health. Based on these data, I argue that recent language in healthcare policy has not significantly improved language access in healthcare in the region and that ingrained language ideologies continue to present serious obstacles for the provision of high quality language services. I conclude by arguing for the need for comprehensive language in healthcare planning initiatives in border regions to complement and strengthen recent language policy and to improve the health status of LEP patients.

Language policy and healthcare The U.S. healthcare system boasts the most technologically and pharmaceutically advanced medical care in the world. Healthcare spending in the U.S., furthermore, represents the single largest expenditure in the Gross Domestic Product

LENSO-21

23/1/09

256

12:32

Página 256

Glenn A. Martinez

–some $2 trillion was spent on healthcare in 2005 (Catlin et al. 2007). Even so, the U.S. also displays some of the widest health disparities among developed nations (Kawachi & Kennedy 2002). Health disparities in the U.S. emerge from widening income gaps and the persistent lack of universal health coverage. Racial minorities and immigrant populations, however, display worse health outcomes and reduced access to care in comparison to other groups. Language barriers have been identified as major drivers for the relatively poorer health status of limited English proficient (LEP) populations in the U.S. (Institute of Medicine 2003). “Patients who face such barriers”, according to Flores (2006), “are less likely than others to have a usual source of medical care; they receive preventive care at reduced rates; and they have an increased risk of non-adherence to medication” (p. 230). In response to the widening health disparities that negatively impact limited-English proficient populations, President Bill Clinton signed in 2000 the Executive Order (EO) 13166, entitled “Improving Access to Services for Persons with Limited English Proficiency”, (Spolsky 2004). EO 13166 required that federally-supported and federally-assisted social service agencies develop plans for providing language assistance services for persons with limited English proficiency. The lack of meaningful language access to federally-supported services, the order claimed, represents a violation of Title VI of the Civil Rights Act of 1964 that prohibits discrimination based on national origin. While the order applied to all federally-supported social service agencies, it had a particularly profound impact on healthcare organizations. Public hospitals and community health centers that receive direct subsidies from the federal government, as well as proprietary healthcare organizations that receive indirect subsidies through reimbursements from Medicare, Medicaid, and the State Children’s Health Insurance Program (SCHIP), were required to comply with the order. The impact of EO 13166 on healthcare, furthermore, led to the first ever formulation of language in healthcare policy (LHP) in the U.S. Under the leadership of then U.S. Secretary of Health and Human Services, Donna Shalala, the Department of Health and Human Services developed a set of National Standards for Culturally and Linguistically Appropriate Services or CLAS (Institute of Medicine 2003). The CLAS standards provided guidelines and recommendations for healthcare organizations to improve access for minority groups. The CLAS standards also mandated the provision of language assistance services for patients with limited English proficiency. The mandates for language assistance services in CLAS –likely the most robust piece of U.S. language policy in the past decade– required public and proprietary healthcare organizations that receive federal reimbursements 1) to provide language assistance services, in the form of

LENSO-21

23/1/09

12:32

Página 257

Language in healthcare policy

257

interpretation services or bilingual staff, at no cost to the patient, 2) to avoid the use of children and family members as interpreters, 3) to disclose the patient’s right to receive language assistance services at no cost, and 4) to post signage and make available written materials in the languages of commonly encountered groups (Office of Minority Health 2001). The statutory requirements of LHP, however, would be significantly curtailed only months after release of the CLAS standards in 2001. In response to ongoing pressure from the English First lobby that contested the cost of providing translation and interpretation services, the U.S. Department of Justice released federal guidance for the implementation of EO 13166 in October 2001 (Spolsky 2004: 108). This guidance proposed a ‘four-factor analysis’ for determining the extent to which agencies were responsible for the provision of language assistance services: Recipients of federal financial assistance have an obligation to reduce language barriers that can preclude meaningful access by LEP persons to important benefits, rights, programs, information, and services [...] The starting point is an individual assessment that balances the following four factors: (1) The number or proportion of LEP persons eligible to be served or likely to be encountered by the program or grantee/recipient, (2) The frequency with which LEP individuals come in contact with the program, (3) The nature and importance of the program, activity, or service provided by the program to people’s lives; and (4) The resources available to the grantee/recipient and costs. (Civil Rights Division 2005)

The four factor analysis unevenly distributed the burden of LHP compliance and, thus, led to differential patterns of implementation. ‘Safety net’ providers, for example, by virtue of the greater likelihood of encountering LEP persons, assumed a greater responsibility in the provision of language assistance services. Because providers were asked to assess the nature and importance of the program to people’s lives, urgent care facilities and hospital emergency departments became more heavily burdened with the provision of language assistance services. By specifying cost and availability of resources as criteria for compliance with LHP, furthermore, the guidance made greater demands of healthcare organizations that serve more patients and, thus, have larger budgets.

Language-in-healthcare policy in the U.S.-Mexico border region The uneven burden of compliance and the differential patterns of implementation in LHP spawned by the Department of Justice guidance resulted in a geographic inequality where certain regions of the U.S. were more fully affected by the policy while others were less affected. The U.S.-Mexico border region, in particular, was disproportionately affected by LHP for at least three very salient reasons.

LENSO-21

23/1/09

258

12:32

Página 258

Glenn A. Martinez

First, the region is home to some of the highest proportions of LEP persons in the country, reaching as high as 60% in the Lower Rio Grande Valley of Texas. Second, the high proportion of uninsured and underinsured persons in the region creates greater reliance on hospital emergency rooms, federally-qualified health centers, Medicare, Medicaid, and SCHIP. In the Lower Rio Grande Valley of Texas, for example, 75% of the population has no private health insurance. Finally, the higher incidence of infectious disease such as tuberculosis and chronic illness such as diabetes produces greater stress on the healthcare system in the region. In the Lower Rio Grande Valley, diabetes accounts for three times as many deaths as in other areas of the state (Perkins et al. 2001). The unique rationality of governance in LHP unevenly stresses indigent-serving segments of the healthcare system and disproportionately focuses the burden of compliance on regions with high proportions of LEP, uninsured, and less healthy populations. The unevenness and disproportionality of LHP, therefore, demands a method of analysis that looks beyond the policy itself and focuses more fully on the “much more localized and often contradictory operations of power” in its implementation (Pennycook 2006: 65). In order to shed light on LHP’s actual improvement of access to health services for LEP patients, we must unpack its particular patterns of implementation in specific localities. The analytic scheme proposed by Spolsky (2004) was adopted to assess language policy implementation patterns. Following Spolsky, I distinguish three components of language policy: language practices, language ideology, and language intervention. In doing so, I recognize that language and language policy “both exist in highly complex, interacting and dynamic contexts, the modification of any part of which may have correlated effects (and causes) on any other part” (Spolsky 2004: 6). Thus, when language interventions are aligned with language ideologies, language practices can be transformed. However, when a fundamental misalignment exists between language interventions and language ideologies, the result often has a zero-effect on language practices. In this chapter, I use this framework to explore the effects of LHP on the provision of language assistance services in a particular segment of the healthcare system in the Lower Rio Grande Valley of Texas. I focus on proprietary healthcare organizations that accept Medicare, Medicaid, and SCHIP in the Texas-Mexico border region. Through my analysis, I set out to document the differential patterns of LHP implementation in the region and to gauge the language ideologies that naturalize and sustain these differentiated language assistance practices. By identifying differential patterns of implementation and their constitutive ideologies, I seek to show the need for more comprehensive language planning for healthcare along the U.S.-Mexico border and to highlight the critical role of scholars of Spanish in the U.S. in this endeavor.

LENSO-21

23/1/09

12:32

Página 259

Language in healthcare policy

259

FIGURE 1 Map of Texas highlighting the McAllen metropolitan area

Methodology In order to shed light on the patterns of LHP implementation in the Lower Rio Grande Valley, I developed the Language Assistance Assessment Survey (LAAS) in 2006 (see Appendix A). The instrument was applied to proprietary healthcare organizations located in the greater McAllen metropolitan area, some six miles north of the U.S.-Mexico border, as can be seen in Figure 1. The survey inquired about the presence of personnel who claim to be bilingual in the organization, the proportion of Spanish-speaking LEP persons served by the organization, patient reliance on federal reimbursement programs such as Medicare, Medicaid, and SCHIP, the mechanisms in place to provide language assistance services to speakers of Spanish, and the quality control measures in place for the continuous assessment of language assistance service programs. A profile of the mechanisms used by proprietary healthcare organizations in the provision of language assistance services emerged from the survey. The survey was delivered in person to physicians and administrators in 80 healthcare organizations randomly selected from the Rio Grande Valley telephone directory. Fiftysix physicians and administrators returned the survey yielding a response rate of 70%. Responding healthcare organizations clustered in three facility types: doctor’s offices/clinics, allied health organizations, and home health organizations. As shown in Table 1, home health organizations tended to be larger and to employ greater numbers of nurses, allied health professionals, and receptionists. Doctor’s

LENSO-21

23/1/09

12:32

Página 260

260

Glenn A. Martinez

offices and clinics tended to be smaller and to employ greater numbers of physicians, physician assistants, and nurse practitioners. Additionally, 67% of responding organizations were doctor’s offices/clinics, 14% were allied health organizations, and 19% were home health organizations. The results of the survey were tabulated in order to determine the relative frequency of language assistance measures utilized in the participating healthcare organizations. TABLE 1 Language Assistance Assessment Survey Respondent Organization Characteristics

Total Surveyed

Average Number of Physicians/Physician Assistants Employed

Average Number of Allied Health Professionals Employed

Average Number of Receptionists/Clerks Employed

Doctor’s Office/Clinic

38

2.60

4.32

3.50

Allied Health Organization

8

5.25

6.75

3.00

Home Health Organization

10

0.20

28.00

12.60

Total

56

8.05

39.07

19.10

Facility Type

The survey also asked for volunteers to participate in more extensive interviews and focus group sessions on the challenges of providing language assistance services in the Lower Rio Grande Valley. Sixteen of those surveyed (27%) agreed to participate in follow-up interview and focus group sessions. Interviewees consisted of physicians (25%), nurses (50%), and allied health professionals (25%). Eight interviewees (50%) were employed in doctor’s offices/clinics, four (25%) were employed in allied health organizations, and four (25%) were employed in home health organizations. (See Appendix C for a detailed list of interview and focus group participants). Interview sessions were conducted at the organization headquarters and lasted approximately 30 minutes each. Focus group sessions brought together three providers from different organizations and were carried out at a neutral location, lasting between 60 and 90 minutes. In these sessions, a question was posed to one participant and the remaining two participants were asked to follow-up. Sometimes the participants would give varying perspectives on a single issue and other

LENSO-21

23/1/09

12:32

Página 261

Language in healthcare policy

261

times all three would be in agreement. Both interview and focus group sessions elicited discussion on three major topics: health disparities among speakers of Spanish in the U.S., the CLAS standards, and border health (see Appendix B). A total of two focus groups and ten individual interviews were carried out. The qualitative interview/focus group data were transcribed and submitted to a codification analysis where key references to dominant language ideologies were identified and recorded. After conducting a comprehensive review of the entire corpus of transcribed data, language ideological claims were sorted into two major groups: ideologies about the preeminence of English and ideologies about widespread bilingualism. Specific statements dealing with the preeminence of English and widespread bilingualism were extracted from the data and sorted based on the occupational characteristics of the speaker and the organization that s/he represented.

Results Results from the LAAS revealed that in the Lower Rio Grande Valley of Texas, proprietary healthcare organizations serve large proportions of Spanish-speaking and LEP patients on a regular basis and that they are highly dependent on federal reimbursements through Medicare, Medicaid, and SCHIP. I found that 85% of organizations surveyed reported that more than half of their total caseload consists of monolingual speakers of Spanish and LEP persons, 88% reported that Spanish-speaking and LEP patients were seen on a daily basis, and 89% reported that Medicaid, Medicare, and SCHIP covered over three quarters of the total patient caseload.

PATTERNS OF LHP IMPLEMENTATION While the LAAS revealed that most organizations served a very similar patient profile, it also revealed significant differences in the staffing patterns of bilingual personnel. Table 2 illustrates that the majority of bilingual personnel in healthcare organizations were clerks, receptionists, and office managers, followed by licensed vocational nurses, medical assistants, and certified nurse assistants. The proportion of organizations reporting that at least half of their physicians, physician assistants, and nurse practitioners were bilingual was significantly lower. The largest proportions of bilingual personnel in the organizations surveyed, therefore, were found in the employment classifications that require the least amount of medical training and that are at the lowest end of the pay scale. Clerk,

LENSO-21

23/1/09

12:32

Página 262

262

Glenn A. Martinez

TABLE 2 Bilingual employees by classification Employment Classification

% Reporting at least half bilingual

Clerk, Receptionist, Office Manager

88%

Certified Nurse Assistant, Medical Assistant, Licensed Vocational Nurse

80%

Nurse Practitioner, Physician Assistant, Physician

55%

receptionist, and office manager positions often require no more than a high school diploma or GED and pay hourly rates at or near minimum wage. Certified nurse assistant, medical assistant, and licensed vocational nurse positions require training and certification programs lasting between 9 and 18 months and pay hourly rates equal to approximately twice the minimum wage. Nurse practitioner, physician assistant, and physician programs, on the other hand, require a minimum of a baccalaureate degree and normally involve between two and six years of post-graduate training including residencies and board certifications. Compensation is on an annualized salary basis and includes fringe benefits, bonuses, and other financial incentives. The differential staffing patterns observed in the survey results seemed to shape the strategies employed by the organizations in the provision of language assistance services. Each organization was asked to list its most commonly used strategy for ensuring effective communication with Spanish-speaking patients. The results in Table 3 demonstrate that while the use of bilingual personnel to interact directly with patients in their own language was the preferred strategy, other arrangements, such as the ad hoc use of allied health professionals and office staff as interpreters, accounted for over half of the responses. Despite the CLAS directive prohibiting the use of family members as interpreters, moreover, 9% of organizations surveyed claimed to continue to make use of family members to perform interpretation duties. At the same time that organizations adopted multiple strategies for meeting the language needs of their patients, they also revealed very little effort to provide continuous quality improvement in the implementation of language assistance services. Eighty percent of organizations surveyed reported no assessment of language proficiency for bilingual personnel. In fact, when I asked non-Spanishspeaking physicians how they gauged the language proficiency of their bilingual

LENSO-21

23/1/09

12:32

Página 263

Language in healthcare policy

263

TABLE 3 Language assistance strategy most commonly used Language assistance strategy most commonly used

% of Organization reporting “all of the time”

Bilingual personnel interact with patients in their native language

41%

Nurses and other allied health professionals interpret for the patient and the provider

31%

Clerks and receptionists are called in to provide interpretation services

19%

Family members are asked to serve as interpreters for the patient and the provider

9%

personnel, some stated that they simply asked the employee if s/he considers him or herself to be bilingual while others stated that prospective employees indicate language abilities on their applications for employment. On the other hand, 96% of organizations surveyed reported providing no additional training for employees who are required to perform interpreting duties. At the same time, 96% of the organizations surveyed reported offering no additional compensation for bilingual employees who treat Spanish-speaking patients or for those who perform interpreting duties on a routine basis. The proprietary healthcare organizations that I surveyed seemed to afford little importance to language assistance services. The low priority assigned to the language assistance service dimension of healthcare organizations was evident in three distinct practices. First, the presence of bilingual employees was most prominent in the lowest ranks of the organizations. This means that the more specialized and sophisticated the care provided, the less likely that the provider will be bilingual. Second, over half of the organizations surveyed routinely relied on the lower ranks within the organization to perform interpreting duties. This means that speakers of Spanish are not only more likely to face language barriers when seeking more specialized care, but also that, when they do encounter these barriers, they are more likely to receive language assistance services from employees who do not possess specialized knowledge of their condition. Third, compensation and continuous quality improvement were notoriously absent in the provision of language assistance services. This means that those bilingual employees who do provide language assistance services do not reap any benefits from pro-

LENSO-21

23/1/09

12:32

Página 264

264

Glenn A. Martinez

viding this service. They are not given additional training nor are they given additional compensation for it.

LANGUAGE IDEOLOGIES IN THE IMPLEMENTATION OF LHP In the interviews, I sought to shed light on the language ideologies that naturalized and sustained this unique pattern of LHP implementation. Providers displayed two contradictory language ideologies that together justified the particular patterns of LHP implementation found in the survey. On the one hand, providers systematically held up an idealized notion of the rightful preeminence of English in society, thus minimizing the moral obligation of providing language assistance services to speakers of Spanish. On the other hand, however, they pointed out that because the region is bilingual, there is no pressing need to focus on language access issues. In this way, they effaced the practical responsibility of improving access to services for LEP patients. The ideology of the preeminence of English was manifested on two levels. First, providers pointed to a generalized social failure in the enforcement of English language proficiency. When asked if she believed that health disparities would widen in the future, Interviewee 14, a bilingual female therapist, observed: There are a lot of programs now in place to help the Spanish-speaking population learn English [...] I can see it getting worse in the future if we continue down a path where –you’re in America, you need to speak English [...] instead of learning how to communicate with the Spanish-speaking population, enabling them to learn English. (I14, f, Hisp, therapist, bilingual, p. 3)

This provider viewed LHP as one component of a generalized social failure of English enforcement that perpetuates maintenance of Spanish at the expense of English acquisition. While the generalized social failure of English language enforcement appeared in the discourse of providers, the individual failure to learn English on the part of Spanish-speaking patients was a more common observation. When asked about cultural and communication barriers experienced in her practice, Interviewee 6, an English monolingual female nurse, noted: My thing is just like a lot of people, I mean, this is the States, let’s speak English here. I don’t know Spanish. I go to Mexico and I don’t expect those people in the stores to speak English to me. (I6, f, WNH, nurse, monolingual, p. 6)

This provider challenges the very claims of LHP by likening access to healthcare to other commercial encounters such as buying Mexican curios at a border mercado. A stronger version of this opinion surfaced in response to the same question by Interviewee 9, an English monolingual physician, who argued:

LENSO-21

23/1/09

12:32

Página 265

Language in healthcare policy

265

This is the U.S., patients seeking care should learn English or provide for their own interpreters –especially if Medicare or Medicaid is footing the bill. We live a few miles from the border. That is where the line was drawn. Anyone seeking medical care needs to remember that. (I9, m, Hisp, physician, monolingual, p. 5)

This provider, once again, grates against the fundamental premises of LHP. CLAS mandates that providers seeking Medicare and Medicaid reimbursement provide language access; however, the physician contends that, by receiving Medicare and Medicaid benefits, patients are morally obligated to demonstrate loyalty to the U.S. by learning English. Other providers contended that the abundant presence of Spanish in healthcare and other social services already constitutes reverse discrimination and creates unequal treatment for English-speaking patients. In response to the question about the cultural and communication barriers experienced in the practice, Interviewee 1, an English monolingual male nurse, observed: I think the medical field and any other services here in the Valley are geared towards the Spanish-speaking population. It seems to be that the predominantly English-speaking are the ones at a disadvantage. (I1, m, AA, nurse, monolingual, p. 13)

This view of reverse discrimination represents an incendiary extreme of previously expressed views on the moral failure of individuals to learn English and the social failure to properly enforce English. The mismatch between the ideal role of English in society and the realities of linguistic practice in the borderlands thus create a tension by which healthcare providers justify a piecemeal and cost-free implementation of LHP. Yet, even while providers pointed to an idealized role for English in society as a way to justify piecemeal language assistance services, they also suggested that widespread bilingualism and the persistent use of Spanish in the region obviate the need for more comprehensive language assistance services in healthcare. Some claimed that widespread bilingualism makes it more likely that personnel will know Spanish. In response to the question about the changes necessary to close the gap on health disparities, Interviewee 7, a bilingual Mexican-trained physician, noted that “it never was a problem because most of our staff here are bilingual” (I7, m, Hisp, physician, bilingual, p. 2). In response to the same question, Interviewee 13, a bilingual radiologist, stated “so, really that’s not too much of a problem because everyone here is bilingual” (I13, m, Hisp, radiologist, bilingual, p. 3). For other providers, however, widespread bilingualism obviated the need for language assistance services because the likelihood of a monolingual Spanish-speaking patient encountering a monolingual English-speaking provider

LENSO-21

23/1/09

12:32

Página 266

266

Glenn A. Martinez

was so rare. “The majority of people in this area are bilingual anyway”, Interviewee 2 remarked, “so I don’t see that that’s a big problem” (I2, f, Hisp, nurse, bilingual, p. 3). For some providers, therefore, the perception of widespread bilingualism in the region significantly reduced the need for language assistance services. For other providers, however, widespread bilingualism was compounded with a notion of a defective and deficient variety of Spanish spoken in the region. The deficient variety of Spanish spoken in the region, according to these providers, precludes the possibility of using trained medical interpreters and justifies the continued use of family members as ad hoc interpreters. In response to the question of what makes someone competent to provide language assistance services, Interviewee 6, a monolingual English-speaking nurse, stated: You’d hate to get a Spanish major to do interpretation around here because it’s just the type of Spanish spoken around here, they may not understand. It’s such a border lingo, TexMex-type lingo. So, for me it’s good to have a family member, just like I said, someone who knows the language here, the lingo here, the dialect here that that patient trusts and understands. (I6, f, WNH, nurse, monolingual, p. 10)

The notion of a widespread bilingualism thus becomes a common justification for the restricted language assistance services available in healthcare organizations in the Lower Rio Grande Valley. The opposing language ideologies of the idealized preeminence of English and widespread community bilingualism, furthermore, conspire to deflect the obligation of providing language assistance services and to shift responsibility from the provider to the patient. The ideologies interact to produce two salient technologies of language governmentality (Dean 1999, Inda 2006). On the one hand, the ideologies enact a technology of exclusion in which patients are seen to speak a sub-standard, defective variety of the language that is incommensurable with the standard varieties spoken by professional interpreters. Through this technology of exclusion, healthcare providers deflect the obligation of providing language assistance services. On the other hand, the ideologies also enact a technology of responsibilization where patients are made liable for not knowing English and where they thus become responsible for providing their own language assistance. Through this technology, healthcare providers not only deflect the mandate of providing language assistance services, but they also shift this responsibility down to the patients themselves.

Conclusion and recommendations This study highlights the uneven implementation of language policy for speakers of Spanish in the U.S. At the same time, it highlights the subtle interactions of

LENSO-21

23/1/09

12:32

Página 267

Language in healthcare policy

267

policy and ideology and suggests that Spanish sociolinguists must move beyond a policy advocacy role into a more analytical role that can bring forth lively data that will challenge prevailing language practices in the implementation of policies designed to benefit speakers of Spanish (Rubin 1985). My findings have shown that language assistance services mandated by LHP were implemented in piecemeal fashion in the lower Rio Grande Valley using the lowest-paid and least-trained employees in the organization. They also have demonstrated that this piecemeal implementation was nurtured and justified by two opposing language ideologies. The idealized preeminence of English, on the one hand, minimized the moral obligation of providing language assistance services and shifted the responsibility of language access down to the patient. The notion of widespread bilingualism, on the other hand, afforded a functional societal role to Spanish that presumably obviated the need for expansive language assistance services. By shifting responsibility onto patients, healthcare providers in the Lower Rio Grande Valley ensure a zero-effect for LHP in reducing language-based health disparities and improving the health status of LEP patients. The zero-effect, in my view, is largely the result of a lack of adequate comprehensive language planning in the healthcare sector. LHP is formulated in a way that places disproportional demands on local markets –especially those with high proportions of uninsured LEP patients– but, that at the same time, does not take into consideration the local configuration of languages and the ways in which these configurations may impinge on the provision of language assistance services. The data clearly show how local language ideologies such as the notion of a defective variety of Spanish and an idealized view of the preeminence of English conspire in local border markets in order to minimize the effects of LHP. The ideological conspiracy constructs professional registers of medical Spanish as incommensurable with local varieties of the language and shifts the burden of language access to patients themselves. Comprehensive language planning for healthcare in the border region must recognize the salience and impact of these language ideologies and develop mechanisms to counteract them. Comprehensive language planning must also consider the actual patterns of language assistance provision in local areas and respond effectively to the perceived gaps in these patterns. For example, the overrepresentation of bilingual personnel in the lowest ranks of the organization and the reliance on these employees in the provision of interpreting services suggest the need for Spanish language interpreting programs embedded within the training programs already in place for these employees. The lack of compensation could be addressed through the creation of a medical interpreter credential or license that medical assistants, med-

LENSO-21

23/1/09

12:32

268

Página 268

Glenn A. Martinez

ical office managers, and licensed vocational nurses could obtain in addition to their medical training and that would require a modest increase in their hourly pay rate. The under-representation of speakers of Spanish in more specialized ranks, furthermore, could also be addressed through comprehensive language planning. Spanish language programs in medical magnet high schools, community colleges, and universities could reconfigure their curricula in order to provide students who are interested in the healthcare professions a focused and robust language learning experience. At the same time, these programs could re-engineer their Spanish for Heritage Learners programs to develop high-level, targeted skill sets that will be useful in clinical encounters and partner with local healthcare organizations in order to allow students to perceive the immediate benefits of language assistance services in healthcare. In order for these comprehensive planning initiatives to succeed, however, it is imperative that the Spanish language teaching and research professions assume greater responsibility for the health of speakers of Spanish and interact more collaboratively with the professionals and organizations that provide these services.

References CATLIN, Aaron/COWAN, Cathy/HEFFLER, Stephen/WASHINGTON, Benjamin (2007): “National health spending in 2005: The slowdown continues”, in: Health Affairs 26, 142-153. CIVIL RIGHTS DIVISION (2005): Limited English proficiency: What federal agencies and federally assisted programs should know about providing services to LEP individuals. Washington: U.S. Department of Justice. DEAN, Mitchell (1999): Governmentality: Power and rule in modern society. London: Sage Publications. FLORES, Glenn (2006): “Language barriers to health care in the United States”, in: The New England Journal of Medicine 355, 229-231. INDA, Jonathan Xavier (2006): Targeting immigrants: Government, technology, and ethics. Cambridge: Blackwell. INSTITUTE OF MEDICINE (2003): Unequal treatment: Confronting racial and ethnic disparities in healthcare. Washington: The National Academies Press. KAWACHI, Ichiro/KENNEDY, Bruce (2002): The Health of Nations: Why inequality is harmful to your health. New York: The New Press. OFFICE OF MINORITY HEALTH (2001): National standards for culturally and linguistically appropriate services. Washington: U.S. Department of Health and Human Services. PENNYCOOK, Alastair (2006): “Postmodernism in language policy”, in: Ricento, Thomas (ed.): An introduction to language policy: Theory and method. Cambridge: Blackwell. PERKINS, Jimmy/ZAVALETA, Tony/MUDD, Gia/BOLLINGER, Mary/MUIRHEAD, Yvonne/CISNEROS , Josie (2001): The Lower Rio Grande Valley community health assessment. Houston: University of Texas Health Science Center.

LENSO-21

23/1/09

12:32

Página 269

Language in healthcare policy

269

RUBIN, Joan (1985): “Spanish language planning in the U.S.”, in: Elías-Olivares, Lucía/ Leone, Elizabeth/Cisneros, Rene/Gutiérrez, John (eds.): Spanish language use and public life in the U.S. Berlin: Mouton, 133-153. SPOLSKY, Bernard (2004): Language policy. Cambridge: Cambridge University Press.

LENSO-21

23/1/09

12:32

Página 270

270

Glenn A. Martinez

Appendix A LANGUAGE ASSISTANCE ASSESSMENT SURVEY Type of Facility a. Clinic/Doctor’s Office

b. Allied Health

c. Home Health Care

Facility Location: _________________________________________________________ Number of Physician/Physician Assistants Employed: ____________________________ Number of Nurses/Allied Health Professionals Employed:_________________________ Number of Receptionists/Clerical Professionals Employed: ________________________ Please circle the appropriate letter. Answer each question to the best of your ability. Approximate percentage of staff that is bilingual in English and Spanish Receptionists/Clerical Staff

a. 0-25%

b. 26-50%

c. 51-75%

d. 76-100%

Nurses/Allied Health Staff

a. 0-25%

b. 26-50%

c. 51-75%

d. 76-100%

Physicians/Physician Assistants

a. 0-25%

b. 26-50%

c. 51-75%

d. 76-100%

Approximate percentage of patients who Speak only Spanish

a. 0-25%

b. 26-50%

c. 51-75%

d. 76-100%

Limited English Proficient

a. 0-25%

b. 26-50%

c. 51-75%

d. 76-100%

Speak English Well

a. 0-25%

b. 26-50%

c. 51-75%

d. 76-100%

Approximate percentage of Spanish-speaking or limited English proficient patients who have Private health insurance

a. 0-25%

b. 26-50%

c. 51-75%

d. 76-100%

Medicaid/Medicare

a. 0-25%

b. 26-50%

c. 51-75%

d. 76-100%

No medical coverage

a. 0-25%

b. 26-50%

c. 51-75%

d. 76-100%

Does the facility receive supplemental funding through Federal grants

a. yes

b. no

State grants

a. yes

b. no

Private/Foundation gifts

a. yes

b. no

Approximately, how often does the facility see patients who Speak only Spanish

a. Everyday b. Once per week c. Less than 3 times per month

Limited English proficient a. Everyday b. Once per week c. Less than 3 times per month How does your facility deal with Spanish-speaking and limited English proficient patients? Does the facility: Use bilingual physicians

a. all of the time

b. sometimes

c. never

Use nurses as interpreters

a. all of the time

b. sometimes

c. never

LENSO-21

23/1/09

12:32

Página 271

Language in healthcare policy

271

Use clerical staff as interpreters

a. all of the time

b. sometimes

c. never

Use patient family members as interpreters

a. all of the time

b. sometimes

c. never

Use professional interpreters or telephonic interpreting services

a. all of the time

b. sometimes

c. never

If the facility relies on staff interpreters, does it Use quality control measures to determine the accuracy of interpretation

a. yes

b. no

Provide training for staff interpreters

a. yes

b. no

Provide monetary or other incentives to staff interpreters

a. yes

b. no

Informational materials on disease and treatment in Spanish a. yes

b. no

Does the facility provide

Medical history questionnaires in Spanish

a. yes

b. no

Insurance information forms in Spanish

a. yes

b. no

LENSO-21

23/1/09

12:32

Página 272

272

Glenn A. Martinez

Appendix B INTERVIEW/FOCUS GROUP PROMPT Discussion Topic 1 – Health Disparities 1. 2. 3. 4. 5.

Are you familiar with the recent literature on health disparities? If so, do you find it convincing and trustworthy? Have you seen the results of health disparities in your own practice? Do you think that disparities will continue to widen in the future? What kinds of changes do you think are necessary to close the gap on health disparities?

Discussion Topic 2 – Culturally and Linguistically Appropriate Services (CLAS) 1. Are you familiar with the National Standards for CLAS? 2. If so, how did you learn of them? 3. Do you think that requiring all providers to offer interpreter services can put additional financial strain on the already rising cost of healthcare? 4. What alternatives do you foresee? 5. Standard 6 talks about competence of language assistance. What do you think makes someone competent to provide language assistance services? 6. What do you think are the dangers with allowing children, family members or friends to translate? Discussion Topic 3 – Border Issues 1. Do you think that culturally and linguistically appropriate medical services are sometimes taken for granted in the Valley? 2. Do you think that the border has any effect on health disparities among Hispanics in the Valley –either positive or negative? 3. What role do you think health providers on the other side of the border play in developing knowledge about health care and disease prevention for the Spanish-speaking population in the Valley? 4. Have you had experience with patients who have been treated on the other side of the border? 5. If so, what is your assessment of their own knowledge about their condition?

LENSO-21

23/1/09

12:32

Página 273

Language in healthcare policy

273

Appendix C INTERVIEW RESPONDENT CHARACTERISTICS Interviewee Number

Facility Type

1

Home Health

Nurse

Male

African American

English monolingual

2

Home Health

Nurse

Female

Hispanic

English/Spanish bilingual

3

Home Health

Nurse

Male

Hispanic

English/Spanish bilingual

4

Home Health

Nurse

Female

White NonHispanic

English monolingual

5

Doctor’s Office/Clinic

Nurse

Female

Hispanic

English/Spanish bilingual

6

Doctor’s Office/Clinic

Nurse

Female

White NonHispanic

English monolingual

7

Doctor’s Office/Clinic

Physician

Male

Hispanic

English/Spanish bilingual

8

Doctor’s Office/Clinic

Physician

Male

Hindu

English monolingual

9

Doctor’s Office/Clinic

Physician

Male

Hispanic

English monolingual

10

Doctor’s Office/Clinic

Physician

Female

Hispanic

English monolingual

11

Doctor’s Office/Clinic

Nurse

Female

Hispanic

English/Spanish bilingual

12

Doctor’s Office/Clinic

Nurse

Female

Philipino

English monolingual

13

Allied Health

Radiologist

Male

Hispanic

English/Spanish bilingual

14

Allied Health

Therapist

Female

Hispanic

English/Spanish bilingual

15

Allied Health

Therapist

Male

Hispanic

English/Spanish bilingual

16

Allied Health

Therapist

Female

Hispanic

English monolingual

Position

Gender

Ethnicity

Language Proficiency

LENSO-21

23/1/09

12:32

Página 274

LENSO-21

23/1/09

12:32

Página 275

PEDAGOGÍA Y POLÍTICA EDUCATIVA

LENSO-21

23/1/09

12:32

Página 276

LENSO-21

23/1/09

12:32

Página 277

THE UNTOLD STORY OF LAU V. NICHOLS RACHEL F. MORAN University of California at Berkeley

The story of Lau v. Nichols (1974) is not an easy one to tell. Although the United States Supreme Court’s decision protecting English language learners from discrimination in education has endured for over thirty years, there is a hole at the heart of this case, the place where Kinney Kinmon Lau and his mother should be. The Laus have remained largely silent about the lawsuit. Although Kinney and his mother helped to rectify an injustice and so made civil rights history, they have not laid claim to their legacy and are in fact deeply ambivalent about –indeed, even estranged from– their role in the case. The reasons for the Laus’ distance and detachment are complex, but then so is the case itself. This was a lawsuit with many agendas, only some of which were realized. The Laus just wanted a better education for Kinney, but litigation delays limited how much he would benefit. The Laus’ lawyer, Edward Steinman, was eager for a dramatic constitutional victory but instead prevailed on narrow statutory grounds. The Chinese community in San Francisco was in turmoil, buffeted by an influx of immigrants and by newly mobilized Chinese-American college students seeking social justice for Chinatown. Lau offered an opportunity to join together in demanding respect for linguistic and cultural autonomy. Faced with escalating conflict, city officials simply wanted the case to go away. In the turbulent 1960s and 1970s, the school system faced desegregation challenges, labor unrest, and protests over the neglect of Chinese and Latino students’ special needs (Kirp 1982: 82-116). Eventually, a fragile peace would come but at a price.

A time of transition At the time Lau was filed in 1970, the nation, the state of California, and the San Francisco Unified School District were grappling with demographic, social, and legal change.1 The United States Supreme Court had declared official segrega1

A fuller account of the history of Lau v. Nichols can be found in Rachel F. Moran’s “The story of Lau v. Nichols: Breaking the silence in Chinatown”, in: Olivas, Michael A./Greff

LENSO-21

23/1/09

278

12:32

Página 278

Rachel F. Moran

tion in the public schools unconstitutional in Brown v. Board of Education (1954), but this stirring declaration prompted few changes until Congress and administrative agencies backed up the Court’s pronouncement. The Civil Rights Act of 1964 was especially critical in making equal educational opportunity more than mere rhetoric. With the implementation of reform came new battles over the meaning of Brown’s desegregation mandate and the scope of federal authority over state and local school districts. When Lau was litigated, there were several important unanswered questions about Brown’s legacy. First, it was unclear whether the Justices wanted to eradicate all segregation in the public schools or whether they were concerned only with segregation that resulted from purposeful, official state action. In desegregation cases in the South, federal courts had confronted school assignment laws that explicitly separated children on the basis of race. This de jure segregation was part of a Jim Crow caste system that openly relegated blacks to a position of inferiority. As advocates of school desegregation turned to the North and West, they found that racially identifiable schools often resulted from residential housing patterns rather than race-based student assignments. Nearly two decades after Brown, the Court had not decided whether this de facto segregation could be held unconstitutional in the absence of proof of discriminatory intent by the school board (Strauss 1989: 946-950). These issues were pressing because the Lau plaintiffs faced special challenges in proving that they were victims of wrongful discrimination. There certainly had been a history of anti-Chinese legislation in California (McClain 1994: 9-76, 79144). However, many Chinese-speaking students in San Francisco were recent immigrants whose families had not been subject to these past abuses. Moreover, in the post-World War II era, San Francisco officials prided themselves on their liberal tolerance, and school administrators considered themselves on the cutting edge of experiments with bilingual instruction. Not only did city and school officials disclaim any ill will, but the Chinese community itself rejected the premise that all school segregation was inherently pernicious. When the local branch of the National Association for the Advancement of Colored People began to press for a busing plan in San Francisco in the late 1960s and early 1970s, Chinatown’s residents fought to keep neighborhood schools intact as a way to preserve students’ language and culture (Lembke 1971b, Trout 1971). Angry Chinese parents staged demonstrations and even

Schneider, Ronna (eds.) (2008): Education law stories (111). New York: Foundation Press, 115-157.

LENSO-21

23/1/09

12:32

Página 279

The untold story of Lau v. Nichols

279

chased the school superintendent out of a meeting (Bess 1971, Johanesen 1971, Lembke 1971a). ‘Freedom schools’ were created to serve Chinese students, who boycotted their public school assignments in droves (Lum 1978: 60-67). The message seemed clear: The ethnic enclave of Chinatown did not necessarily fit a model of discrimination forged in the Jim Crow South. Despite these uncertainties, the plaintiffs in Lau had reason to be hopeful. At the time the lawsuit was filed, some courts were sympathetic to the view that de facto segregation violated equal protection (Jackson v. Pasadena City School District 1963, Crawford v. Board of Education 1976, 1982, Kirp 1982: 96-97). Moreover, the Court’s desegregation mandate in Brown had prompted congressional action and the rise of federal agencies devoted to civil rights enforcement. Title VI of the Civil Rights Act of 1964 adopted a broad principle of non-discrimination that was not narrowly limited to state-mandated segregation but potentially covered a wide array of exclusionary practices. These practices might include the educational neglect of non-English-speakers, many of whom were non-white (Moran 1988, San Miguel 2004). During the Lau litigation, the Office for Civil Rights (OCR) prepared a 1970 memorandum that extended Title VI’s protections to students excluded from meaningful access to the curriculum on the basis of language –at least where language was a proxy for race, ethnicity, or national origin. This memorandum later played a pivotal role in Lau’s resolution (Identification of Discrimination and Denial of Services on the Basis of National Origin 1970). A second possible avenue of reform turned on interpreting Brown as designed not only to combat racial inequality but also to enshrine a right to education (Balkin 2001: 56-59). Although there was no express right to education in the Constitution, the Court had recognized some unenumerated rights, like the right to travel and the right to privacy, as essential to preserve other constitutional guarantees. Activists argued that education easily stood on a par with these implied rights (Gottlieb 1988: 926-932, Bitensky 1992: 574-642, Fleming 2003: 338-342). California was at the forefront of efforts to recognize a right to education. In Serrano v. Priest (1971), advocates argued that the per-pupil disparities in public school expenditures offended the state constitution’s promise of equal protection because, among other reasons, education was a fundamental right. Lau was filed the year before the California Supreme Court spoke to these issues. Even so, when the state’s high court found that students were constitutionally entitled to an equitable system of school finance, the victory buoyed hopes that a right to language assistance might be similarly protected. These hopes would be dashed just two years later when the United States Supreme Court in a 5-4 decision rejected similar arguments in San Antonio Independent School District v.

LENSO-21

23/1/09

280

12:32

Página 280

Rachel F. Moran

Rodriguez (1973). Despite this setback, the plaintiffs in Lau would pursue a writ of certiorari and win a surprising, unanimous victory before the Court. Meanwhile, San Francisco’s Chinatown was undergoing changes and challenges of its own. The city had been a principal destination for Chinese immigrants since the mid to late 1800s. In the 1950s and 1960s, after the Communists took control of mainland China, the number of immigrants coming to San Francisco increased. Chinatown’s traditional leadership, most notably the Chinese Six Companies, profited by opposing Communism and developing trade relationships with Taiwan. At the same time, the influx of immigrants offered a ready pool of cheap labor for local entrepreneurs. Because the newcomers were consigned to long hours and low wages, the Great Society programs of the 1960s seemed to offer possibilities to improve conditions in Chinatown. Yet, the community’s established leaders fully expected to control the flow of federal money to fight poverty, even as they exploited the immigrant workforce (Wang 1969, Takaki 1990, Chang 2003). These leaders had not reckoned on a newly mobilized cadre of Asian-American youth. The Bay Area during the 1960s and 1970s was a hotbed of civil rights and antiwar activism. Asian Americans on college campuses joined protests against social injustice. Eventually, these activists began to focus on issues related to their own communities. Young and idealistic, the college-educated reformers took on both the white and Chinese establishments. Influenced by new voices in Chinatown, teenagers responded by protesting conditions in their high schools. As the college contingent did community outreach, immigrants themselves organized to demand improved working conditions, expanded social services, and better schools (Wang 1969; Kwong & Miscevic 2005, Wang 2006). Amid this turmoil, Chinatown was thrown into even greater upheaval by efforts to desegregate the public schools. The Chinese community had demanded programs to address students’ linguistic and cultural needs. As a result, the school district obtained federal grant money for a Chinese bilingual program. These linguistic and cultural reforms were targeted at neighborhood schools in Chinatown and were designed to supplement private after-school programs that already taught students to read and write in Chinese. Faced with the prospect of busing, residents resorted to angry protests and boycotts, and the Chinese Six Companies petitioned to intervene in the desegregation litigation. The United States Supreme Court rebuffed efforts to exempt the Chinese from busing. In doing so, Justice William O. Douglas pointedly cited Yick Wo v. Hopkins, a case from the late 1800s that struck down a California law that discriminated against Chinese laundries. Noting that Brown “was not written for blacks alone”, the Court seemed to

LENSO-21

23/1/09

12:32

Página 281

The untold story of Lau v. Nichols

281

be saying that Jim Crow had come to Chinatown and so would desegregation (Guey Heung Lee v. Johnson 1971: 1216). Although Lau was filed a few months before the San Francisco desegregation case, the juxtaposition of the two lawsuits posed interesting questions about equal educational opportunity. Lau sought equal access to the curriculum through the acquisition of English as well as sensitivity to Chinese-speaking students’ special linguistic and cultural needs. The case said nothing about taking children out of Chinatown. At the heart of Lau was a deep ambiguity. Did full assimilation require both integration and special language instruction? Or could the Chinese preserve their identities in racially identifiable schools, yet be fairly included in the American dream through programs that taught them English? The uncertain relationship between racial integration and linguistic and cultural autonomy later would lead to confusion and misunderstanding. The price was the Laus’ alienation from the very lawsuit that bears their name.

Finding a voice: The Lau litigation When Mrs. Kam Wai Lau came to the Chinatown Neighborhood Legal Services office in 1970, she was not concerned with these complex questions of equity and inclusion. Like many Chinese-speaking immigrants, Mrs. Lau was too poor to afford a lawyer and needed free legal advice after a disagreement with her landlord. While describing her problem through an interpreter, she mentioned that her son Kinney was having difficulty in school because his classes were conducted entirely in English. Kinney, who had come to the United States from Hong Kong at the age of five, spoke Chinese as his first language and could not follow the bulk of what his teachers were saying (Burke 2002). Mrs. Lau’s comments about her son’s schooling caught the ear of Edward H. Steinman. A recent graduate of Stanford Law School, Steinman had been selected as a Reginald Heber Smith Fellow, or ‘Reggie’. The fellowship program had been created to attract high-quality attorneys “to undertake activities calculated to have a broad effect on the problems of poverty instead of taking a regular caseload of routine legal problems affecting only the individual client” (Johnson 1974: 179-180). For a Reggie like Steinman, Mrs. Lau’s complaint about Kinney’s educational neglect was a perfect opportunity to take aim at practices that entrenched poverty. Steinman had been monitoring similar complaints in anticipation of test-case litigation (Gorney 1985). He thought Kinney would make an excellent lead plaintiff and persuaded Mrs. Lau to sue on her son’s behalf. Although many of San Fran-

LENSO-21

23/1/09

12:32

Página 282

282

Rachel F. Moran

cisco’s students were speakers of Spanish in need of special services, Steinman was certain that the lawsuit had to be “Lau, not Lopez” (Steinman, personal communication, October 10, 2006). Before Lau was filed, he convinced a legal services lawyer in San Francisco’s heavily Latino Mission District that the case should be brought solely on behalf of Chinese-speaking students. Steinman believed that the situation facing the Chinese children was starker than that confronting Latino students based on the relative numbers who received little or no assistance. Moreover, Chinatown was perceived as a self-sufficient community, and Asian Americans had achieved notable academic success without the benefit of affirmative action. As a result, they had become the ‘model minority’, and so Steinman thought that a request for special assistance by Chinese-speaking students might get a more sympathetic hearing in the courts than one by Spanishspeaking clients (Steinman, personal communication, October 10, 2006). Having identified Kinney Kinmon Lau as the lead plaintiff, Steinman thought it imperative to generate support in the Chinese community. Fortuitously for him, a young activist named Ling-chi Wang was working informally out of the legal services office. Born in China, Wang had come from Hong Kong to study Semitic languages, but as a graduate student at Berkeley in the late 1960s, he got caught up in activism on campus. Already instrumental in creating the Asian American Studies Department at Berkeley, Wang had been organizing immigrants in Chinatown to protest unfair working conditions. Fluent in Chinese and English, Wang’s bilingual skills conferred some unique advantages. His knowledge of Chinese gave him both access to and credibility with Chinatown residents, while his English allowed him to communicate effectively with white officials. With Wang’s help, Steinman recruited other parents who allowed their children to join the lawsuit (Steinman, personal communication, October 10, 2006; Wang, personal communication, November 15, 2006). Like the Laus, these families came from the ranks of Chinatown’s working poor. Most were mothers concerned about their children’s future.

The District Court Proceedings: An uphill battle On March 23, 1970, Steinman filed a class action on behalf of 14 named plaintiffs in federal district court. The president and members of the San Francisco school board, the superintendent of schools, and the president and members of the San Francisco board of supervisors were named as defendants. Steinman alleged that “plaintiffs and at least 2,850 other Chinese-speaking students languish in San Francisco Unified School District classrooms, unable to either understand or communicate in the English language” (Complaint for Injunction and Declaratory Relief 1970: 2).

LENSO-21

23/1/09

12:32

Página 283

The untold story of Lau v. Nichols

283

Steinman’s complaint divided the students into two sub-classes: at least 1,800 who, like Kinney Kinmon Lau, received no special instruction whatsoever; and 1,050 who received some help. Even those receiving special instruction had teachers who generally did not speak Chinese. In fact, in the Chinese Bilingual Education Program, about two-thirds of the teachers spoke only English. According to the plaintiffs, the assignment of students to part-time, full-time, or no compensatory instruction in English was wholly arbitrary because the district never conducted tests to determine which students needed help (Complaint for Injunction and Declaratory Relief 1970, Memorandum of Points and Authorities 1970). As Steinman put it, “the school board showed me everything they were doing, which was nothing” (Steinman, personal communication, October 10, 2006). Steinman saw these facts as a way to make constitutional history. Although the complaint alleged that the San Francisco school district had violated federal and state law, both constitutional and statutory, the legal analysis emphasized that education was a fundamental right under the Constitution. Citing Brown v. Board of Education as authority, Steinman asserted that: “The right to an education in this society is most fundamental and vital. Without an education, an individual is confronted with almost insurmountable barriers in seeking not only an adequate livelihood, but also self-respect” (Memorandum of Points and Authorities 1970: 2). Steinman concluded that the constitutional mandate was unambiguous: There is no longer any question or doubt that the opportunity to attend a public school is of such critical importance as to warrant protection by the Constitution of the United States. Education is essential to the enjoyment of both political and economic rights in American society. Without it, individuals are not able to earn an adequate livelihood nor fulfill their public duties and responsibilities. (Memorandum of Points and Authorities 1970: 6)

If education qualified as a fundamental right, the school system’s programs were subject to strict scrutiny. That is, they had to be necessary to promote a compelling state interest. According to Steinman, there was no plausible pedagogical reason for the neglect of Chinese-speaking children, and expense alone could not justify imposing such a grossly disproportionate burden on them. Steinman went even further, asserting that the lack of assistance was so arbitrary and capricious that it could not withstand even an extremely lenient test that asked only whether the district’s practices were rationally related to a legitimate state interest. Although Steinman clearly hoped for a constitutional victory, he hedged his bets by including a discrimination claim based on Title VI of the Civil Rights Act of 1964. As a recipient of federal funds, the school district had an affirmative duty to rectify past discrimination based on race, ethnicity, or national origin and to

LENSO-21

23/1/09

284

12:32

Página 284

Rachel F. Moran

ensure equal opportunity in all aspects of the instructional process. Because English-only classes excluded the Chinese-speaking students from full participation, Steinman argued that the school district had engaged in impermissible discrimination (Memorandum of Points and Authorities 1970: 25-26). These two claims –the right to an education and the right to be free of discrimination– formed the key arguments in the litigation. Thomas M. O’Connor and Raymond D. Williamson, the city attorney and deputy city attorney respectively, represented the defendants. Irving G. Breyer, legal adviser to the Board of Education, was of counsel on the case. O’Connor and Williamson had no special expertise in education law and relied on Breyer to get a clear picture of the school district’s policies and practices (Pimsleur 1998, Williamson, personal communications, October 10, 2006, and December 15, 2006). Because Breyer served as a liaison throughout the lawsuit, Williamson “never met with school board officials nor appeared before them” (Williamson, personal communication, October 10, 2006). Apart from consultations with Breyer, the deputy city attorney was largely on his own in crafting a strategy in the case. No one was “looking over his shoulder” or “proofread[ing] his briefs” (Williamson, personal communications, October 10, 2006, and December 15, 2006). When Williamson wrote the defendants’ brief, he was juggling a heavy caseload. Even Steinman admits that the deputy city attorney was “swamped with cases brought by lawyers like me” (Steinman, personal communication, October 10, 2006). Overburdened and perhaps confident that this was an easy win for the defense, Williamson conceded a great deal of ground. His brief did little to dispel the stark picture of thousands of pupils being relegated to classes taught in a wholly unintelligible language. In fact, Williamson accepted Steinman’s account of the lack of special assistance for Chinese-speaking students (Stipulation 1970). Steinman’s complaint had relied on statements, surveys, and reports prepared by the school district itself, and Williamson says that he would have confirmed Kinney Kinmon Lau’s placement in a class where he was “asked to learn English by the seat of his pants” (Williamson, personal communication, October 10, 2006). Once Williamson verified the plaintiffs’ factual allegations with Breyer, they were accepted as correct and the focus shifted to legal arguments. On questions of law, the city conceded that the Chinese-speaking students had a right to education but denied that it was being violated. School officials were “employing all means available limited only by the availability of funds, buildings and qualified personnel to provide as fine an education as possible for all pupils of this School

LENSO-21

23/1/09

12:32

Página 285

The untold story of Lau v. Nichols

285

District” (Response to Order to Show Cause 1970: 4). According to the defendants, there was no denial of a public education because: The same courses of instruction, books, teaching aids and facilities are offered at all of these schools and are available to plaintiffs just as they are available to other students in their same classes and schools. Furthermore, no contention has been made that the schools which plaintiffs attend are inferior to other schools in this School district (Response to Order to Show Cause 1970: 5).

According to the defense, the Chinese-speaking students were seeking not an equal educational opportunity but “special instruction designed for a unique and uncommon [...] problem” (Response to Order to Show Cause 1970: 5). City officials conceded that bilingual education “would provide a fine opportunity for a broad-based education for those who would take advantage of such a program”, but rejected any claim that this type of program was constitutionally or statutorily mandated (Response to Order to Show Cause 1970: 6). In the plaintiffs’ reply brief, Steinman was quick to point out that the defense agreed that education was a fundamental right and that bilingual education was desirable. He attacked the board’s argument that children with different needs could be treated alike. According to Steinman, Brown plainly rejected this type of “surface equality” by striking down “separate but equal” schools (Plaintiffs’ Reply Brief 1970: 3). After Brown, special programs were mandated for those with “physical, mental, and other educational handicaps. [Defendants] should not discriminate against students of Chinese ethnicity with language handicaps” (Plaintiffs’ Reply Brief 1970: 6). Although some of Steinman’s arguments were novel, he was confident that he could win Lau in the generally liberal Northern District of California. His optimism faded when Judge Lloyd H. Burke was assigned to the case. Both Steinman and Wang recall that Burke made his career as a United States Attorney who prosecuted Chinese immigrants facing deportation as part of the war on Communism waged in the 1950s. Wang believes that the federal judgeship was a reward for these efforts (Wang, personal communication, November 15, 2006). Steinman considered Judge Burke “a monstrosity”, explaining that on the Northern District bench, “there were six certified liberals, one moderate, one conservative, and one far right-winger. I got the far right-winger” (Steinman, personal communication, October 10, 2006). Judge Burke is not alive to defend himself against these charges, but his partisanship does come through in the proceedings. At the outset, he made plain his skepticism that Chinese-speaking students had any right to special language assistance, even if they had a right to education. The judge suggested that a sweeping

LENSO-21

23/1/09

286

12:32

Página 286

Rachel F. Moran

judicial mandate was inappropriate because there was no evidence that the school district was responsible for the Chinese-speaking students’ dilemma. As he explained, “their need is something which is unrelated to their participation in School Board-controlled activities” because, there was “no willful attempt to discriminate. We have what amounts to the product, almost, of a birth defect, if you use the term in its broad sense, that their birth was under such circumstances so as to deprive them of the opportunity to become susceptible of instruction in the English language”. As unfortunate as their situation might be, it “certainly was no fault of the members of the School Board or the Board of Supervisors” (Reporter’s Transcript 1970: 15-18, 31). Without evidence of past discrimination, Judge Burke believed that the plaintiffs’ claims should be directed to legislators and school officials, not the courts. He worried that any right to language assistance could not be limited to Chinesespeaking students (Reporter’s Transcript 1970: 5-7). Moreover, he “seriously question[ed] the right of this Court to select –by reason of pleadings brought before it, of course– a group of students, find a need and then follow that with a finding of a right which will be met by the Court in the form of preliminary injunction. I just find the whole theory of such litigation to be a Pandora’s box” (Reporter’s Transcript 1970: 28-29). Of course, it was precisely this theory of litigation that lay at the heart of Steinman’s mission as a Reggie and put him at loggerheads with Judge Burke. Williamson has a very different recollection. He describes Judge Burke as an experienced jurist who was “courteous” and “reasonable”, especially given that the overburdened attorney was so busy that “he barely had time to button his shirt” before coming to court. For the defense, Judge Burke was a “very nice man, not one that peppered you with questions” (Williamson, personal communication, October 10, 2006). The record bears out Williamson’s account. Having grilled Steinman extensively, Judge Burke turned to the deputy city attorney to see if “there [is] any argument that you think you can make that I haven’t already made for you”. Williamson then complimented the court for having “done admirably for the position that we were taking” (Reporter’s Transcript 1970: 37). Although Steinman wanted further fact-finding, Judge Burke declined to hold a full-scale trial because he did not believe that the plaintiffs had presented a viable case under state or federal law. With the district court litigation coming to an abrupt conclusion, Steinman asked for an additional day to submit exhibits. As he later recalled, Judge Burke was suspicious of the request and agreed to the extension so that Steinman would have just enough rope to hang himself (School District’s Memorandum of Points and Authorities 1978: 6-7 n.4; Steinman, personal

LENSO-21

23/1/09

12:32

Página 287

The untold story of Lau v. Nichols

287

communication, October 10, 2006). In fact, Steinman knew that federal officials were about to release a memorandum that for the first time “defined [the OCR’s] policies with regard to possible discrimination against national origin minorities” (HEW News 1970: 1). Under the memorandum, the Civil Rights Act of 1964 mandated “that where inability to speak and understand the English language excludes national origin minority group children from effectively participating in a school district’s educational program, the district must take positive steps to correct the language deficiency in order to open the program to these students” (HEW News 1970). Despite Steinman’s last-minute maneuvering, Judge Burke ruled against the plaintiffs. Even if they had a right to education, he concluded that “[the Chinesespeaking students’] special needs, however acute, do not accord them special rights above those granted other students. Although this Court and both parties recognize that a bilingual approach to educating Chinese-speaking students is both a desirable and effective method, though not the only one, plaintiffs have no right to a bilingual education” (Order 1970: 3). Once the order was issued, Steinman promptly filed an appeal, and the case was on its way to the Ninth Circuit (Order Granting Leave to Appeal 1970).

The Ninth Circuit: more bad news If Steinman thought that Judge Burke had been an unfortunate draw at the district court level, the lawyer felt he had another round of bad luck before the Ninth Circuit. Chief Judge Richard Chambers assigned the case to himself and Judge Ozell Trask as well as to Judge Irving Hill, a federal district court judge sitting by designation. Chambers and Trask were the only two members of the court from Arizona, a state that had done almost nothing about bilingual issues. Steinman could not believe that it was mere coincidence that out of seventeen judges, he got two likely to be so unreceptive to his case. After facing Burke’s hostility, Steinman recalls thinking to himself “here we go again” (Steinman, personal communication, October 10, 2006). Though disappointed with the panel, Steinman persevered with his appeal. The arguments on each side remained largely the same (Appellants’ Opening Brief 1970, Brief of Appellees 1970, Appellants’ Reply Brief 1971). The defense did add a brief reference to federalism concerns (Brief of Appellees 1970: 17-18), while Steinman included a section that drew on the OCR memorandum. The United States, acting as an amicus curiae or friend of the court, filed a brief asserting that the memorandum was “entitled to be given great weight by the

LENSO-21

23/1/09

288

12:32

Página 288

Rachel F. Moran

courts” and clearly required the district to take affirmative steps to address the Chinese-speaking students’ language needs. The United States was careful, however, to remain agnostic as to remedies, which “will no doubt depend on a variety of considerations, including financial and other resources available to the school district, the efficacy of various alternative compensatory language training programs, and the feasibility of implementing them”. The United States suggested a remand so that the Office of Education could work cooperatively with the school district to formulate an appropriate plan (Memorandum for the United States as Amicus Curiae 1971: 13-17, 22, 24-25). The Center for Law and Education submitted an amicus brief as well. Located at Harvard University, the Center was funded by the Office of Economic Opportunity to provide research that would bolster test-case litigation brought by legal services lawyers like Steinman (Johnson 1974: 180-182). The Center’s brief described linguistic barriers to education as a significant problem that had generated a number of complaints nationwide. The Center concluded that “no support could be found in the literature for simply allowing non-English speaking youngsters to sit, uncomprehending in the classroom without making intensive efforts to communicate with them”. Indeed, the Center concluded that “[t]his Court needs no experts to recognize that plaintiffs do not receive the same education as other students” (Brief Amicus Curiae Center for Law and Education 1972: 3, 9, 15). Interestingly, no one spent much time analyzing the history of anti-Chinese sentiment in California when arguing before the court of appeals. At the district court level, the failure to offer proof of intentional discrimination might have been an artifact of Judge Burke’s decision to dispense with a trial. At the Ninth Circuit, though, it became clear that Steinman and his allies were making a strategic choice. Steinman did not believe that he could show discriminatory intent because English-language instruction had been a longstanding and universal requirement that was not targeted at a particular group (Steinman, personal communication, October 10, 2006). Steinman’s hopes for a constitutional victory rested heavily on the California Supreme Court’s school finance decision in Serrano v. Priest in 1971. Handed down after Judge Burke’s decision in Lau, Serrano had recognized education as a fundamental right under the state constitution and ordered the equalization of per-pupil school expenditures. Steinman argued that this approach was steadily gaining momentum and should be adopted under the federal Constitution. Despite the plaintiffs’ sense of urgency after Serrano, the court of appeals took over two years to hold oral argument in Lau due to a backlogged docket. In a 2-1 decision affirming the district court, Judge Trask and Chief Judge Chambers held

LENSO-21

23/1/09

12:32

Página 289

The untold story of Lau v. Nichols

289

that Brown’s mandate was narrowly limited to undoing officially imposed segregation, the very type of discrimination that Steinman and the amici had spent little time addressing. Without evidence of discriminatory intent, the Ninth Circuit insisted that there was no basis for interpreting Brown as imposing “an affirmative duty to provide [a student] special assistance to overcome his disabilities, whatever the origin of those disabilities may be”. Indeed, the majority found such a “reading of Brown [...] extreme, and one which we cannot accept” (Lau v. Nichols 1973: 794-795, 797). The opinion noted that the school system’s choice of English as the language of instruction was “intimately and properly related to the educational and socializing purposes for which public schools were established. This is an English-speaking nation. Knowledge of English is required to become a naturalized United States citizen” and to participate in civic activities. As a result, “[t]he classification claimed invidious is not the result of laws enacted by the State presently or historically, but the result of deficiencies created by the appellants themselves in failing to learn the English language”. The court could not intervene simply because special assistance for Chinese-speaking students was “commendable and socially desirable”. As for Title VI and the OCR memorandum, the Ninth Circuit disposed of them in a brief sentence: “Our determination of the merits of the [equal protection] claims [...] likewise dispose of the claims made under the Civil Rights Act” (Lau v. Nichols 1973: 795, 798-799). Steinman and his clients could take some comfort from the dissent. According to Judge Hill, the majority’s wooden interpretation of equal protection was “too narrow” and ignored the realities facing the students. As the dissent explained: “The majority describe the plight of these children as being ‘the result of deficiencies created by the appellants themselves in failing to learn the English language’. To ascribe some fault to a grade school child because of his ‘failing to learn the English language’ seems both callous and inaccurate” (Lau v. Nichols 1973: 805). Judges on the Ninth Circuit who shared Hill’s view sought en banc review, that is, an opportunity for all seventeen members of the court to reconsider the case. The petition was rejected over a vigorous dissent by Judges Shirley Hufstedtler and Walter Ely. They argued that the school district should be held accountable because officials compelled students to attend school and then placed them in classes that “insulate […] the children from their classmates as effectively as any physical bulwarks. Indeed, these children are more isolated from equal educational opportunity than were those physically segregated blacks in Brown; these children cannot communicate at all with their classmates or teachers” (Lau v. Nichols 1973: 806).

LENSO-21

23/1/09

12:32

Página 290

290

Rachel F. Moran

When the petition for en banc review was denied, Judge Trask wrote a separate concurrence to defend the disposition of the case. In doing so, he relied heavily on the United States Supreme Court’s recent decision in San Antonio Independent School District v. Rodriguez (1973). In Rodriguez, the Justices rejected Serrano’s approach and refused to recognize a fundamental right to equal educational opportunity. However, the Court left open the possibility of a right to be free of an absolute deprivation of education. Judge Trask observed that the Chinesespeaking students’ need for special help did not mean that they were receiving no educational benefit in English-speaking classrooms. As a result, the plaintiffs did not suffer an absolute deprivation. In Trask’s view, the majority opinion properly denied the plaintiffs’ claims because equal protection did not require “absolute equality or precisely equal advantages”, particularly in light of the “infinite variables affecting the educational process” (Lau v. Nichols 1973: 808). A student’s native language was simply one of those variables.

The Supreme Court decides: A surprising victory The Court’s decision in Rodriguez was very much on Steinman’s mind as he petitioned the United States Supreme Court for certiorari in Lau. Aware that the Court’s recent ruling did not bode well for his clients, Steinman nevertheless pursued Supreme Court review because he was confident that an adverse ruling could be limited to the situation of Chinese-speaking students in San Francisco. Steinman expected the outcome to be close and framed his arguments to appeal to two swing votes, Justices Potter Stewart and Lewis Powell. The majority opinion in Rodriguez left little room for hope, but Steinman believed that if the Justices agreed to hear Lau, they would use the facts to clarify what amounted to an absolute deprivation of education. For that reason, the certiorari petition focused on children like Kinney Kinmon Lau who received no assistance of any kind (Steinman, personal communication, October 10, 2006). Rodriguez did not present similar obstacles to Steinman’s discrimination claim. In Lau, the Chinese-speaking students were claiming mistreatment on the basis of national origin as well as race and ethnicity. Because these traits were associated with a history of abuse, their use by the government triggered vigorous constitutional protection. Unfortunately, in the lower courts, the plaintiffs had not offered evidence of intentional discrimination, and it was not clear that differential treatment based on language was tantamount to racial, ethnic, or national origin discrimination. In particular, the Court had emphasized that discrimination based on race, ethnicity, or national origin was especially pernicious because these traits were ascribed at birth and could not be changed. By contrast, a person

LENSO-21

23/1/09

12:32

Página 291

The untold story of Lau v. Nichols

291

who did not speak English could learn the language and so was not consigned to a perpetually inferior position. As a result, the Court might conclude that language was not on a par with immutable traits that triggered the most searching judicial review. Steinman responded in two ways. First, even under a lenient test that asked whether a law was rationally related to a legitimate state objective, the school district’s decision to provide no special assistance was arbitrary and capricious. Second, the school board’s inaction had the effect of excluding students based on race, ethnicity, or national origin and therefore violated Title VI, as interpreted in OCR’s memorandum (Petition for Writ of Certiorari 1973: 12-16, Brief for the Petitioners 1973: 4448, Petitioners’ Reply Memorandum 1973: 3, Reply Brief of Petitioners 1973: 14). As Steinman struggled with the implications of Rodriguez, the defendants made the most of it. According to San Francisco officials, Steinman previously had demanded perfect equality for his Chinese-speaking clients. Now, the defendants complained, he was changing his theory at the eleventh hour by suddenly focusing exclusively on students who received no special assistance. The defense also took Steinman to task for invoking the OCR guidelines to evade Rodriguez’s fatal effect (Brief for Respondents in Opposition to Petition for Writ of Certiorari 1973: 2-4, 11-12, Brief of Respondents 1973: 13-20). After criticizing Steinman for offering new theories on appeal, the defendants themselves elaborated significantly on the importance of state autonomy and local discretion. The defense insisted that “the Fourteenth Amendment was not enacted with the intention of destroying the federal system. Nor do the courts view the Fourteenth Amendment as a tool which enables the courts under the auspices of the federal constitution to control the administration of government by the states” (Brief of Respondents 1973: 31). In fact, San Francisco officials had good reason to worry that the United States government was undermining local control of the schools. After all, as a Reggie, Steinman was paid by the federal government to bring the case. Throughout the appeal, the Center for Law and Education received federal support to generate expert evidence to bolster Steinman’s claims. Finally, the United States was directly involved in producing the OCR memorandum and using it to strengthen the plaintiffs’ Title VI argument. As Steinman put it, “the case should been United States v. Nichols” (Steinman, personal communication, October 10, 2006). Given the high stakes, Steinman enlisted the support of influential allies before the Court. His efforts generated ten amicus briefs. By contrast, no amici wrote in support of the school board’s position. Among the amici, the United States had a

LENSO-21

23/1/09

292

12:32

Página 292

Rachel F. Moran

particularly significant stake because the court of appeals, in a brief aside, had summarily dismissed the OCR’s interpretation of Title VI. As Assistant Attorney General J. Stanley Pottinger observed, the district court “did not in fact [...] give reasonable consideration to Title VI” (Transcript of Oral Argument 1973: 23). The amicus briefs filed by the United States made clear to the Court that it could decide the case on narrow statutory grounds by invoking OCR’s authority to enforce federal anti-discrimination law (Memorandum of the United States as Amicus Curiae in Support of the Petition 1973, Memorandum of the United States as Amicus Curiae 1973). Steinman felt that Rodriguez constrained him to focus on the question of whether his clients were suffering a total deprivation of education. He bolstered this claim with briefs that contended that minimum access to education was a fundamental right (Brief Amicus Curiae of the Center for Law and Education 1973, Brief Amicus Curiae of the Childhood and Government Project 1973, Brief for the National Education Association and California Teachers Association as Amici Curiae 1973). Steinman also hoped that the amicus briefs would supplement his arguments by providing historical background, a picture of the abysmal state of instruction for English language learners, and an overview of possible remedies. Racial and ethnic organizations filed briefs that focused on questions of discrimination. The brief by the Chinese Six Companies and other organizations in Chinatown was a rare instance of cooperation with the new breed of activists who threatened the established power structure. Once certiorari was granted, traditional leaders undoubtedly realized that they could no longer be bystanders to a lawsuit with potentially momentous consequences for the Chinese community. Already rebuffed by the Supreme Court in the desegregation litigation, the Chinese Six Companies in particular could not lose face yet again. The Chinatown establishment did not want to be upstaged in a legal challenge related to language, culture, and education, particularly one brought by low-income residents who could not even afford a lawyer. Both the Chinese Six Companies’ amicus brief and that of the San Francisco Lawyers’ Committee for Urban Affairs emphasized a history of discrimination against the Chinese in California (Brief of Amici Curiae The Chinese Consolidated Benevolent Association et al. 1973: 9-13, Brief for San Francisco Lawyers’ Committee for Urban Affairs 1973: 10). The American Jewish Congress along with two other Jewish organizations filed an amicus brief that reviewed a history of discrimination against a range of racial and ethnic groups to bolster the plaintiffs’ equal protection claim (Brief of American Jewish Congress et al. 1973: 7-33). Steinman singled out the Chinese and Jewish organiza-

LENSO-21

23/1/09

12:32

Página 293

The untold story of Lau v. Nichols

293

tions’ briefs as particularly compelling in conveying to the Court the hardships and discrimination faced by newcomers and dispelling the myth that all Jews and Asians had achieved the American dream (Steinman, personal communication, October 10, 2006). Although the lawsuit began as Lau not Lopez, Steinman did not believe that the fiction that Chinese-speaking students were the only affected group could be sustained before the Supreme Court (Steinman, personal communication, October 10, 2006). Latino organizations filed amicus briefs to remind the Court that Spanish-speaking students represented far and away the largest constituency in need of special assistance (Brief of Amici Curiae Mexican American Legal Defense and Educational Fund et al. 1973; Brief Amicus Curiae of the Puerto Rican Legal Defense and Education Fund, Inc. 1973). Attorneys from California Rural Legal Assistance filed a unique amicus brief that largely dispensed with legal arguments and instead told the stories of Spanish-speaking children in California public schools. Efrain Tostado’s story sounded very much like Kinney Kinmon Lau’s. Without bilingual teachers, aides, or materials, “Efrain is unable to follow what goes on in the classes. He cannot understand what the teachers or the other students say during the class. The teachers do not give him assignments or homework. They do not call on him. They do not help him”. As a result, “Efrain’s schooling amounts to no more than his physical presence in the classroom” (Brief of Efrain Tostado, et al. 1973: 4-6, 3-21). During oral argument, the Court gave some clues to how it would decide Lau. Steinman had split his time with the United States. He believed that an attorney from the Nixon administration would enjoy special credibility with the four Justices who were Nixon appointees (Steinman, personal communication, October 10, 2006). Steinman was to address equal protection issues, while Assistant Attorney General Pottinger would deal with questions about Title VI and the OCR memorandum. Instead, the Justices used their questioning to focus on the statutory claims. The Court wanted Steinman’s assurance that the district court had an opportunity to consider the OCR memorandum. Otherwise, it would not be part of the record on which the Court could rely. Having ascertained that the memorandum had been introduced in evidence before Judge Burke, the Justices then grilled Pottinger about what the memorandum meant. When City Attorney O’Connor spoke for the defendants, Justice Harry Blackmun posed a question that should have sent a chill through any good litigator: “Mr. O’Connor, if you lose this case, what will happen [...]?”. The Court wanted to be sure that the city would comply with a mandate to provide special language instruction under Title VI (Transcript of Oral Argument 1973: 16, 21-22, 25-27, 30-32, 47-50, 52-54, 57-58, 63-64).

LENSO-21

23/1/09

12:32

Página 294

294

Rachel F. Moran

Attorneys and scholars had expected the decision in Lau to be a close and difficult one, but the Court handed down a unanimous opinion just six weeks after oral argument. Steinman had wanted a constitutional victory, but the short opinion by Justice William O. Douglas held only that the school district had violated Title VI. Relying on the OCR memorandum, the Court found that the plaintiffs did not have to prove that the board acted with discriminatory intent. Instead, all that was required was evidence that the lack of special assistance had the effect of denying Chinese-speaking students meaningful access to the curriculum. The Court made clear that under the memorandum, no specific remedy was mandated (Lau v. Nichols 1974: 564-569). In retrospect, Steinman believes that the Justices spoke with one voice because they were still reeling from intense criticism of the Rodriguez decision and wanted to show that they had not abandoned Brown’s legacy of equal educational opportunity (Steinman, personal communication, October 10, 2006). To preserve unanimity, the Justices expressed their reservations in separate concurrences rather than in dissent. Justice Potter Stewart, Chief Justice Warren Burger, and Justice Harry Blackmun wrote separately to note that the OCR guidelines deserved deference and that, without them, Title VI would not necessarily be violated by a school district’s “laissez-faire attitude” (Lau v. Nichols 1974: 569-570). In another concurrence, Justice Blackmun and Chief Justice Burger insisted that “numbers are at the heart of this case” and that “when, in another case, we are concerned with a very few youngsters, or with just a single child who speaks only German or Polish or Spanish or any language other than English, I would not regard today’s decision [...] as conclusive” (Lau v. Nichols 1974: 572). Even with these caveats, the Chinese-speaking students had scored a decisive victory, though not on a grand constitutional scale.

On remand: Silent no more It is a legal truism that there is no right without a remedy. On remand, Judge Burke had to oversee the contentious process of crafting an appropriate plan to provide language assistance. Both Steinman and Wang wanted comprehensive programs that relied on native-language instruction. However, neither the Lau decision nor the OCR memorandum required this approach. Steinman was convinced that Judge Burke would fashion the narrowest possible relief because he was unsympathetic to the plaintiffs’ case, while Wang worried that the superintendent and school board members would resist real reform. To circumvent both the judge and the board, the two pursued a negotiated settlement process that would place substantial power in the hands of community representatives (Stein-

LENSO-21

23/1/09

12:32

Página 295

The untold story of Lau v. Nichols

295

man, personal communication, October 10, 2006; Wang, personal communication, November 15, 2006). In early February 1974, about two weeks after the Court’s decision, the President of the Board of Education welcomed community input and asked school district staff to develop an appropriate program to present to the court. The school district also promised to hold a public hearing on the master plan’s preparation. Shortly afterwards, Chinese for Affirmative Action (CAA), a local civil rights organization in which Wang was actively involved, wrote a letter proposing a Citizens Task Force on Bilingual Education that would help to craft the master plan. One month later, with no response from the school district, CAA again sent a letter and enlisted support from other local organizations as well as state and federal officials (Wang 1995: 67-68). With pressure mounting, the district’s Director of Bilingual Education called a meeting with invited community participants on April 15, 1974. At the meeting, school personnel presented a preliminary draft of the master plan that would be finalized and filed with the court in mid-May. The plan proposed to build on existing programs and would rely to a substantial degree on intensive English instruction (Waugh 1974). Community members were asked to join a special advisory committee that would endorse the plan. Dissatisfied by the inadequate weight given to native-language instruction, they declined the invitation and protested their role as nothing but a rubber stamp (Wang 1995: 68-69). As the planning process grew increasingly acrimonious, the United States decided to intervene to avert an impending crisis. Federal officials offered to provide guidance on how to comply with Title VI, thereby relieving Judge Burke of responsibility for setting minimum standards (Complaint in Intervention 1974: 34, United States’ Memorandum of Points and Authorities 1974: 3-9). The United States’ motion to intervene was granted the same day it was filed (Order 1974). Three days before the United States’ intervention, the school board agreed to establish a Citizens Task Force. The board also authorized funds for technical assistance from the Center for Applied Linguistics (Wang 1995: 70). The Citizens Task Force eventually prepared a plan that was submitted to school officials in December 1974. As Steinman and Wang had hoped, this plan called for bilingual-bicultural education whenever feasible and proposed bilingual schools to serve each major language group in San Francisco. For smaller groups, the plan recommended bilingual support. The Task Force asked school personnel and the Center for Applied Linguistics to provide details related to implementation (Wang 1995: 71-73). Although school administrators were initially cooperative, they eventually distanced themselves from the recommendations.

LENSO-21

23/1/09

12:32

296

Página 296

Rachel F. Moran

The relationship between community representatives and the administration grew increasingly strained (Waugh 1976). In a February 15, 1975 letter to the superintendent, the Task Force wrote: “Our goodwill and strict compliance with Board resolutions apparently was naiveté on our part; our good faith effort was rewarded with insult and rejection. The Superintendent clearly abused our trust” (Wang 1995: 77). Under pressure from the United States, the school board moved one month later to adopt a resolution that made some modifications to the Task Force recommendations but left the fundamental commitment to bilingual-bicultural education intact. The consent decree was finally filed in late October 1975 (Consent Decree 1975). By the time programs were in place, Kinney Kinmon Lau was getting too old to participate in them. Eventually, his family moved out of Chinatown (Burke 2002).

Conclusion Lau leaves a mixed legacy for those who began the case with high hopes. The Laus themselves became bitter and estranged from the lawsuit and their lawyer, Edward Steinman. Mrs. Lau wanted a better education for her son, but the delays in litigation meant that Kinney received relatively little direct benefit from the Supreme Court victory. After the family moved out of Chinatown, he struggled with English all through high school and mastered the language only when he attended San Francisco City College. Nor could he read Chinese, a skill that might have been useful to him as a software engineer when new markets opened up in Asia (Burke 2002). After years of silence, Kinney finally reflected openly on the case in 2002. Looking back, he could not say whether he was an unwitting hero or a pawn: “My mother told me that having equal opportunity was important, but I think this movement was brought on by other groups and they just needed a face, and that’s where we came in” (Burke 2002: A1). Interestingly, Steinman agrees with this assessment, saying that he did strategically pick Kinney to be the lead plaintiff. Even so, Steinman does not believe that this fact accounts for the Laus’ subsequent anger and alienation. Instead, he attributes their change of heart to a mistaken belief that the bilingual education lawsuit was part of the desegregation effort in San Francisco. Steinman is convinced that the Laus did not want to be associated with busing (Steinman, personal communication, October 10, 2006). Whatever the reason, neither Mrs. Lau nor her son has laid claim to the case. As Kinney sums it up, “I don’t know how many people the whole thing helped. If I knew, I would think it was great, and that we stood for something, that we did something to help people”. Yet, he adds: “I don’t know if bilingual education is better –I’m still trying to work it out” (Burke 2002: A1).

LENSO-21

23/1/09

12:32

Página 297

The untold story of Lau v. Nichols

297

As for Steinman, he is proud of his role in the lawsuit and continues to lecture about it widely. He is now a law professor at Santa Clara University, a position he has held since he represented the Laus before the Ninth Circuit. Although Steinman did not achieve a grand constitutional victory, he has come to appreciate the virtues of prevailing under Title VI. The lawsuit ensured special attention to the needs of English language learners. Debates over instructional methods persist and federal and state policies remain in flux, but doing nothing is no longer an option. Even if Steinman had prevailed on constitutional grounds, he is not sure that bilingual education would look different because “courts can’t overcome th[e] essentially political reality” of school systems (Steinman, personal communication, October 10, 2006). The Chinatown community wanted respect for its linguistic and cultural autonomy. Although Lau was a victory of sorts, residents like Mrs. Lau remained preoccupied with the desegregation mandate. In the ensuing years, the Chinese continued to challenge race-based school assignments, which limited their children’s ability to attend neighborhood schools. The desegregation plan also forced Chinese applicants to meet tougher standards than any other racial or ethnic group to gain admission to San Francisco’s premier high school (Ho v. San Francisco Unified School District 1997, 1998). Eventually, the Chinese community’s efforts culminated in success. The district ceased to consider race in making pupil assignments in 1999 (San Francisco NAACP v. San Francisco Unified School District 2005). Despite efforts to use socioeconomic status to preserve some degree of integration, public schools in San Francisco have grown increasingly identifiable by race. As a result, officials once again have begun to discuss ways to factor race into assignments, even though California has banned the consideration of race in state decision-making (Tucker 2005). Meanwhile, at a national level, Lau’s legacy has to a substantial degree been claimed by advocates for Spanish-speaking students. Most of the subsequent litigation about bilingual education has involved the very Latino children whom Steinman chose not to include as plaintiffs. In a few cases, Asian-language groups have been used to thwart Spanish speakers’ demands for native-language instruction. Just across the bay from San Francisco, the Berkeley Unified School District gathered statistics on small numbers of students who spoke Vietnamese, Cantonese, Laotian, Mandarin, and Tagalog, among others, and who enjoyed academic success in English as a Second Language classes. The statistics were used to refute Spanish-speaking plaintiffs’ arguments that their poor school performance was due to a lack of bilingual teachers and materials (Teresa P. v. Berkeley Unified School District 1989). The lawsuit once again cast Asian students in the role of model minority, and Latinos received a bitter reminder that the Supreme Court decided Lau, not Lopez.

LENSO-21

23/1/09

12:32

Página 298

298

Rachel F. Moran

The San Francisco school district appears to have achieved the peace, at least with respect to special language instruction, that it wanted. The case has not gone away, but the controversy largely has. The bilingual bureaucracy quietly generates reports for the district court, and the consent decree in Lau has enabled the school system to escape much of the turbulent politics surrounding language rights in the rest of the state. In this regard, Lau stands in marked contrast to San Francisco’s desegregation case, which still sparks intense debate over the meaning of educational equity and how best to achieve it. Though most have accepted the regime instituted under Lau, Ling-chi Wang still hopes for more. He would like to see a program of bilingual-bicultural education for every child in the city’s public schools (Wang, personal communication, November 15, 2006). In the intervening years, there have been a number of civil rights reversals, but Lau remains good law. Federal enforcement is no longer as vigorous, and access to the federal courts is more limited today. In addition, some states like California have opted for intensive English instruction that minimizes reliance on a child’s native language. Even so, students retain a right to special assistance, even if debates over the appropriate remedy continue to rage (Moran 1998, 1999, 2005). All in all, then, the compromise in Lau –a federal right with state and local discretion to craft instructional programs– has proven remarkably durable. If the case has not fulfilled everyone’s hopes, it also has not wholly succumbed to civil rights retrenchment. Much like Kinney Kinmon Lau himself, the lawsuit beat the odds –getting to the Supreme Court, generating unanimity, and enduring for over thirty years as a benchmark of basic decency for students who simply want the chance to learn.

References MONOGRAPHS AND ARTICLES BALKIN, Jack (ed.) (2001): “Rewriting Brown: A guide to the opinions”, in: What Brown v. Board of Education should have said. New York: New York University Press, 44-74. BESS, Donovan (June 3, 1971): “S.F. school busing plans are assailed”, in: San Francisco Chronicle 2. BITENSKY, Susan H. (1992): “Legal theory: Theoretical foundations for a right to education under the U.S. Constitution: A beginning to the end of the national education crisis”, in: Northwestern University Law Review 86, 550-642. BURKE, Garance (July 22, 2002): “Ambivalent in any language: Subject of landmark bilingual case uncertain of role”, in: Boston Globe, A1. CHANG, Iris (2003): The Chinese in America: A narrative history. New York: Viking. FLEMING, Tristan W. (2003): “Education on equal terms: Bilingual education must be mandated in the public schools for Hispanic LEP students”, in: Georgetown Immigration Law Journal 17, 325-346.

LENSO-21

23/1/09

12:32

Página 299

The untold story of Lau v. Nichols

299

GORNEY, Cynthia (July 7, 1985): “The suit that started it all; The Lau case: When learning in a native tongue becomes a right”, in: Washington Post, A12. GOTTLIEB, Stephen E. (1988): “Compelling governmental interests: An essential but unanalyzed term in constitutional adjudication”, in: Boston University Law Review 68, 917-978. JOHANESEN, Harry (June 6, 1971): “Chinese protest school bus plans”, in: San Francisco Chronicle, 3. JOHNSON, Earl (1974): Justice and reform: The formative years of the OEO Legal Services Program. New York: Russell Sage. KIRP, David (1982): Just schools: The idea of racial equality in American education. Berkeley: University of California Press. KWONG, Peter/MISCEVIC, Dusanka (2005): Chinese America: The untold story of America’s oldest new community. New York: New Press. LEMBKE, Daryl (June 27, 1971a): “S.F. integration plan evokes Chinese wrath”, in: Los Angeles Times, A5. — (September 12, 1971b): “School bussing plan starts today”, in: Los Angeles Times. LUM, Philip A. (1978): “The creation and demise of San Francisco Chinatown freedom schools: One response to desegregation”, in: Amerasia Journal 5, 57-73. MCCLAIN, Charles (1994): In search of equality: The Chinese struggle against discrimination in nineteenth century America. Berkeley: University of California Press. MORAN, Rachel F. (1988): “The politics of discretion: Federal intervention in bilingual education”, in: California Law Review 76, 1249-1352. — (1999): “Bilingual education, immigration, and the culture of disinvestment”, in: Journal of Gender, Race, and Justice 2, 163-211. — (2005): “Undone by law: The uncertain legacy of Lau v. Nichols”, in: Berkeley La Raza Law Journal 16, 1-10. PIMSLEUR, J. L. (July 29, 1998): “Former city attorney Thomas M. O’Connor”, in: San Francisco Chronicle, A20. SAN MIGUEL, Guadalupe (2004): Contested policy: The rise and fall of federal bilingual education in the United States 1960-2001. Denton: University of North Texas Press. STRAUSS, David A. (1989): “Discriminatory intent and the taming of Brown”, in: University of Chicago Law Review 56, 935-1015. TAKAKI, Ronald (1990): Strangers from a different shore. New York: Penguin. TROUT, Narda Z. (September 14, 1971): “Worry in Chinatown: ‘No one understands’”, in: Los Angeles Times, A3. TUCKER, Jill (October 5, 2005): “Berkeley; School District Sued Over Racial Policy”, in: San Francisco Chronicle, B1. WANG, Ling-chi (March 7, 1969): “Chinatown in transition” (unpublished manuscript on file with author). — (1995): “Lau v. Nichols: History of a struggle for equal and quality education”, in: Nakanishi, Don T./Nishida, Tina Y. (eds.): The Asian American educational experience. New York: Routledge, 58-91.

LENSO-21

23/1/09

12:32

Página 300

300

Rachel F. Moran

— (2006): “Major education problems facing the Chinese community (1972)”, in: Judy Yung et al. (eds.): Chinese American voices: From the gold rush to the present. Berkeley: University of California Press, 312-320. WAUGH, Dexter (May 27, 1974): “The legal struggle for bilingual education”, in: San Francisco Examiner, 1. — (February 1, 1976): “Bilingual education: 2 years later”, in: San Francisco Chronicle, 23.

LEGAL MATERIALS Cases Brown v. Board of Education, 347 U.S. 483 (1954). Crawford v. Board of Education, 17 Cal.3d 280 (1976). Crawford v. Board of Education, 458 U.S. 527 (1982). Guey Heung Lee v. Johnson, 404 U.S. 1215 (1971). Ho v. San Francisco Unified School District, 965 F. Supp. 1316 (N.D. Cal. 1997). Jackson v. Pasadena City School District, 59 Cal.2d 876 (1963). Lau v. Nichols, 483 F.3d 791 (9th Cir. 1973). Lau v. Nichols, 414 U.S. 563 (1974). San Antonio Independent School District v. Rodriguez, 411 U.S. 1 (1973). San Francisco NAACP v. San Francisco Unified School District, 413 F. Supp. 2d 1051 (N.D. Cal. 2005). Serrano v. Priest, 5 Cal.3d 584 (1971). Teresa P. v. Berkeley Unified School District, 724 F. Supp. 698 (N.D. Cal. 1989). Yick Wo v. Hopkins, 118 U.S. 356 (1886).

Statutes and Administrative Interpretations Civil Rights Act of 1964, 42 U.S.C. § 2000d. HEW News, HEW-Z7 at 1 (May 25, 1970). Identification of Discrimination and Denial of Services on the Basis of National Origin, 35 Federal Register 11,595 (1970).

Court Documents in Lau v. Nichols United States District Court for the Northern District of California (Civ. No. C-70 627 LHB) Complaint for Injunction and Declaratory Relief (Civil Rights) (March 25, 1970). Memorandum of Points and Authorities in Support of Motion for Preliminary Injunction (April 8, 1970). Plaintiffs’ Reply Brief to Memorandum in Opposition to Motion for Preliminary Injunction (April 27, 1970).

LENSO-21

23/1/09

12:32

Página 301

The untold story of Lau v. Nichols

301

Response to Order to Show Cause; Memorandum in Opposition to Motion for Preliminary Injunction; Motion to Dismiss (April 27, 1970). Reporter’s Transcript (May 12, 1970). Stipulation (May 12, 1970). Order (May 26, 1970). Order Granting Leave to Proceed on Appeal in Forma Pauperis (June 22, 1970). Complaint in Intervention (May 17, 1974). United States’ Memorandum of Points and Authorities in Support of Motion for Leave to Intervene as Party Plaintiff (May 17, 1974). Order (May 17, 1974). Consent Decree (October 22, 1975). School District’s Memorandum of Points and Authorities Regarding Reasonable Attorney’s Fee Award (December 13, 1978).

Ninth Circuit Court of Appeals (No. 26155) Appellants’ Opening Brief (October 2, 1970). Brief of Appellees (December 18, 1970). Appellants’ Reply Brief (January 4, 1971). Memorandum for the United States as Amicus Curiae in Support of the Appellants (April 15, 1971). Brief Amicus Curiae Center for Law and Education in Support of the Appellants (June 13, 1972).

United States Supreme Court (No. 72-6520) Petition for Writ of Certiorari (April 9, 1973). Brief for Respondents in Opposition to Petition for Writ of Certiorari (May 3, 1973). Petitioners’ Reply Memorandum (May 10, 1973). Memorandum of the United States as Amicus Curiae in Support of the Petition (May 18, 1973). Brief Amicus Curiae of the Center for Law and Education, Harvard University in Support of the Petitioners (July 24, 1973). Brief Amicus Curiae of the Childhood and Government Project in Support of Petitioner Children (July 25, 1973). Brief Amicus Curiae of the Puerto Rican Legal Defense and Education Fund, Inc., et al. (July 26, 1973). Brief for the National Education Association and the California Teachers Association as Amici Curiae (July 26, 1973). Brief of Amici Curiae The Chinese Consolidated Benevolent Association et al. (July 26, 1973). Brief of Efrain Tostado, et al. as Amici Curiae (July 26, 1973). Brief of Amici Curiae Mexican American Legal Defense and Educational Fund et al. (July 30, 1973).

LENSO-21

23/1/09

302

12:32

Página 302

Rachel F. Moran

Brief for San Francisco Lawyers’ Committee for Urban Affairs as Amicus Curiae in Support of Petitioners (July 30, 1973). Brief of American Jewish Congress et al. (August 3, 1973). Brief for the Petitioners (September 7, 1973). Brief of Respondents (October 6, 1973). Memorandum for the United States as Amicus Curiae (October 10, 1973). Reply Brief of Petitioners (November 26, 1973). Transcript of Oral Argument (December 10, 1973).

LENSO-21

23/1/09

12:32

Página 303

SPANISH LANGUAGE EDUCATION POLICY IN THE U.S.: PARADOXES, PITFALLS, AND PROMISES KENDALL A. KING University of Minnesota

The provision of appropriate education for Spanish-speaking and Spanish-learning students is among the greatest language policy challenges facing the United States today. This paper overviews current obstacles and opportunities concerning Spanish language education in the U.S., meaning K-12 academic and language instruction for speakers of Spanish as well as Spanish as a foreign/second language instruction for English speakers. It also updates previous discussions with a synthesis of recent demographic trends and policy initiatives. The first section of the paper overviews policy paradoxes in Spanish language education in the U.S., noting two opposing trends: as native language and bilingual education services for Spanish-speaking students have declined, the number of programs designed to promote early Spanish language learning among English speakers has increased. The next section of the paper argues that despite some specific setbacks of the last decade, language policy in the U.S. is poised for a paradigm shift in which linguistic diversity, and bilingualism in particular, is potentially valued as a national resource. This guarded optimism stems from developments in three areas: an explosion of federal-level language policy initiatives designed to promote second language learning, the growth of heritage language education as a field of study and practice, and increasingly positive public attitudes towards bilingualism. Each of these trends is outlined here. The paper concludes by considering how to best meet the challenge of maintaining this relatively new, popular enthusiasm for bilingualism and language learning while simultaneously ensuring that all language groups and all types of speakers benefit.

Introduction The provision of appropriate education for Spanish-speaking and Spanish-learning students is among the greatest language policy challenges facing the United States today. The formulation and implementation of a coherent language and

LENSO-21

23/1/09

12:32

Página 304

304

Kendall A. King

education policy for this group is critically important as Spanish is the most widely spoken language within the U.S. after English (U.S. Census Bureau 2000). There are more than 35 million Latinos in the U.S. and about 71% of this group (25 million) reportedly speaks Spanish at home (U.S. Census Bureau 2006). How we collectively manage this resource has major implications for the linguistic diversity of the U.S. By the same token, speakers of Spanish also are by far the largest minority language population in U.S. schools, comprising 77% of all English languages learners (ELLs) (Zehler et al. 2003). This group faces many well documented educational challenges (see Valenzuela 1999, Potowski & Carreira 2004). The academic success of speakers of Spanish and Spanish learners is of critical importance, both for these individuals as well as for the nation as a whole; the maintenance and cultivation of language skills are important steps in achieving this academic success (Dolson 1985, MacGregor-Mendoza 2000). This paper offers an overview of current obstacles and opportunities concerning K-12 Spanish language education in the U.S. The chapter aims to synthesize current demographic trends and recent policy initiatives and argues that despite the setbacks of the last decade, language policy in the U.S. is poised for a paradigm shift in which linguistic diversity, and bilingualism in particular, are valued as a national resource. The first section of the paper reviews policy paradoxes in Spanish language education in the U.S. The remaining sections highlight recent developments, potential opportunities and challenges ahead for policy makers, education professionals, and teachers. The overall goal of this paper is to integrate and summarize current and critical issues related to Spanish language education in the U.S., here meaning academic and language instruction for speakers of Spanish as well as Spanish as a foreign/second language instruction for English speakers, and to update previous discussions (e.g., Huebner & Davis 1999) in light of current events, recent data, and new and proposed policies.

Policy paradoxes in Spanish language education in the U.S. As has been well documented (e.g., Wiley & Wright 2004), the last ten years of K-12 Spanish language education policy and practice in the U.S. have been dominated by two major trends. On the one hand, we have witnessed the decline of native language and bilingual education services for Spanish-speaking students as the result of state policy measures such as Proposition 227 in California and Proposition 203 in Arizona. The data illustrating this decline in Spanish language educational services for speakers of Spanish are clear. For instance, between 1992 and 2002, the number of ELLs in grades K-12 grew by 72% nationwide, yet the percentage enrolled in bilingual programs declined from 37 to 17 (Zehler et

LENSO-21

23/1/09

12:32

Página 305

Spanish language education policy in the U.S.

305

al. 2003). Even more powerful than these state measures –and impacting a greater number of students– Spanish language education for speakers of Spanish has been undermined by the testing and accountability requirements of “No Child Left Behind” (NCLB) passed in December of 2001 (Wright 2005a).1 As Crawford (and others) have noted, “high-stakes testing in English has become a more insidious and, arguably, more substantial menace to bilingual education than the frontal assault of measures like Proposition 227” (2007: 3, see also Wright 2005b, 2007). NCLB requires annual tests in reading and math in grades 3 to 8, with one additional test in high school, and punishes any school that fails to demonstrate ‘annual yearly progress’ (AYP) towards the goal of making all students proficient by 2014. While many aspects of NCLB have drawn critical attention (e.g., Rothstein 2007), perhaps the most vociferous objections have been from advocates for language minority students (e.g., Neill 2005, ILEP 2007) who argue that NCLB’s focus on accountability and testing in English has created a “top-down, prescriptive, arbitrary, inequitable, and punitive system that blames under-achievement on educators alone” (ILEP 2007: 1). The effects of NCLB on K-12 ELLs have been well documented (e.g., Menken 2008), and include a narrowed curriculum which stresses basic, low-level skills and extensive use of standardized tests which are not valid nor reliable measures of ELLs’ academic progress. These high-stakes tests are employed to attempt to measure progress towards NCLB goals of AYP for the ELLs as a subgroup of students. As formulated in NCLB, this goal is neither mathematically possible (given that once an ELL is deemed proficient s/he is moved out of this subgroup, thus lowering the group’s mean scores), nor empirically realistic (given that students on average require 5-7 years to acquire academic proficiency in their second language) (Gottlieb 2003, Crawford 2004). This unprecedented emphasis on test scores has reinforced the view of ELLs as problem students and undermined efforts to promote additive bilingualism (see Wright 2005b). While the overwhelming focus on preparing ELLs to be tested in English has meant that Spanish language educational services for Spanish-speaking Latino students have sharply declined in recent years, during this same period, the number of programs designed to promote early Spanish language learning among speakers of English has increased dramatically. This is most evident in the growth of one-way immersion (for native English-speaking students) and of two-way immersion (for native English-speaking students and for speakers of a non-Eng1

Technically, the law expired on September 30, 2007, but was renewed automatically for one year.

LENSO-21

23/1/09

306

12:32

Página 306

Kendall A. King

lish language) across the country (Center for Applied Linguistics 2007, Lenker & Rhodes 2007). Spanish is the most commonly offered language in one-way immersion programs: 43% of programs operate in Spanish (Lenker & Rhodes 2007). Likewise, the vast majority of two-way immersion programs, approximately 316 out of 338 (more than 93%), function in Spanish and English with the goal of producing Spanish-English bilinguals and biliterates. Two-way immersion programs have doubled in number in the last decade alone (Center for Applied Linguistics 2007). While these are increasingly popular, with demand out-stripping supply in many cases (Montague 1997), it is estimated that fewer than 2% of ELLs nationwide are enrolled in two-way bilingual programs (Crawford 2007). In short, while Spanish-speaking students have fewer possibilities to be schooled in their native language and to expand their competence in their native tongue, English monolingual students have growing opportunities to learn Spanish in formal educational domains. Put another way, speakers of Spanish in the U.S. face an intensified version of the long-noted contradiction wherein bilingualism is treated as good for some (i.e., in this context, for native English speakers), but not for others (i.e., native speakers of Spanish) (Lambert & Tucker 1972, Grosjean 1982). This paradox is particularly salient in recent years given the massive shifts in migration, markets, and media that have brought native speakers of English and native speakers of Spanish in the U.S. into greater ‘real’ and greater ‘imagined’ contact. Intensified real contact, of course, is largely the result of increased rates of immigration of speakers of Spanish to the U.S. One measure of this growth: the percentage of the foreign-born population in the U.S. who came from Latin America roughly doubled every decade from 1960 to 2000 (Migration Policy Institute 2007). Greater contact is also the result of changing patterns of settlement. Spanish-speaking communities are now well established, not only in their traditional strongholds –the southwest of the U.S. and in large urban centers– but in middle, suburban and rural America (Passel & Zimmermann 2001, Fessenden 2007). Further, speakers of Spanish and other languages have moved into many whitecollar professions. For instance, while the great majority of foreign-born men age 16 and older work in construction (16%), manufacturing (14%) or service (19%) occupations, millions also work in white-collar positions such as business (7%), sales (7%) or science (9%), and thus are in greater everyday contact with English-monolingual, middle-class Americans (American Community Survey 2005). Greater imagined contact is apparent in the growing popular perception that English monolingualism is no longer ideal, nor sufficient. This is evident in the lan-

LENSO-21

23/1/09

12:32

Página 307

Spanish language education policy in the U.S.

307

guage-related recommendations by bodies such as the Committee for Economic Development (2006) which highlight, for instance, the need for increased professional development for language teachers, for greater employment of the resources of heritage-language communities, and for stronger incentives for foreign language study within professional schools, including those of business, engineering and medicine (Committee for Economic Development 2006). Similar concerns and sentiments are expressed by individuals in national surveys. For instance, nearly two-thirds of Americans recently reported that they wished they had taken more foreign language study (Scripps Survey Research Center 2007). Likewise, a Roper poll in 2005 found that young adults (aged 18-24) expressed the strongest support (75%) for greater funding for language education programs and instruction (Oleksak 2007). There is also recognition among at least some U.S. parents that their children will be part of an international work sphere in which multilingual skills will be advantageous if not required (King & Fogle 2006). The backdrop to this paradox –and to all discussions of Spanish language education in the U.S.– is the steady drumbeat of those denouncing the ‘immigration problem’ and demanding the ‘Americanization’ or expulsion of speakers of Spanish (Larsen 2007). This movement has (further) chilled the already hostile climate towards bilingual education and Spanish language education for U.S. Latinos, increasing pressures for linguistic assimilation and English-only education. Appadurai, a leading scholar of the anthropology of globalization, has argued that these sorts of cultural pressures towards assimilation can be linked to the economic forces of globalization (Appadurai, personal communication, March 14, 2007).2 For Appadurai, globalization means that few nations –even traditionally economically powerful and wealthy ones like the U.S.– are now economically independent or self-sustaining; for instance, China owned 400 billion dollars of U.S. debt in August 2007 (U.S. Treasury 2007). As a result of this economic dependency, cultural homogeneity becomes increasingly important and valued. Quantitative estimates of language shift patterns put these acculturation pressures in sharp relief. As an example, demographic data from Southern California’s large Latino population suggest that Mexican immigrants arriving to Southern California today can expect only 1 in 20 of their grandchildren to speak fluent Spanish (Rumbaut et al. 2006). Put another way, the probability that grandchildren of today’s Mexican immigrants will ‘not’ speak Spanish is 97%. Thus, if patterns hold constant, even in the nation’s largest Spanish-speaking enclave, Spanish skills will have all but disappeared by the third generation of U.S. resi2

Professor Arjun Appadurai delivered a lecture at Georgetown University entitled “Research as a human right” on March 14, 2007.

LENSO-21

23/1/09

12:32

Página 308

308

Kendall A. King

dence. A wide range of empirical studies similarly points to a rapid shift from Spanish to English in many parts of the country (see Potowski 2004). Such a shift is hardly surprising given the overwhelming pressure many speakers of Spanish feel to use English. A growing number of U.S. Latinos believe that discrimination is a major impediment to success in the U.S. (54% in 2007, compared with 44% in 2004), and language was the most frequently cited (46%) cause of discrimination against them (named over ‘immigration status’ [22%], ‘income/education’ [16%], and ‘skin color’ [11%]) (Pew Hispanic Center 2007, see also MacGregorMendoza 1998). Despite these tensions and contradictions, there is reason for guarded optimism concerning Spanish language education in the U.S. This optimism stems from developments in three areas: (1) an explosion of federal-level language policy initiatives designed to promote second language learning, (2) the growth of heritage language education as a field of study and practice, and (3) increasingly positive public attitudes towards bilingualism. The following sections address the future promises and potential pitfalls in each of these areas.

Language policy initiatives The last five years have witnessed unprecedented attention at the level of federal policy to second and foreign language learning. In 2007 alone, members of the 110th session of Congress proposed or considered more than a dozen languagelearning-related pieces of legislation (see Appendix for a summary of key pieces of legislation; for more details and recent updates see also Library of Congress [2007], JNCL-NCLIS [2007a]). Much of this legislation has aimed to expand foreign language skills among the U.S. population and to address the perceived shortage of well-trained bilinguals. For instance, recently proposed legislation seeks to develop an over-arching national language strategy (S.451; H.R.747), to encourage elementary and secondary students to study foreign languages (H.R. 678; S.761), to pay cash awards to employees who are able to use their bilingual skills effectively (S.372), and to remediate foreign language teacher shortages through loan forgiveness programs (H.R.1718) (see Appendix for details). These proposed initiatives are in addition to the existing “Foreign Language Assistance Program” (FLAP), the largest federal source of funding for foreign language programs in U.S. schools. FLAP provides support at both the state and local levels through competitively awarded grants with the aim of establishing, improving, or expanding innovative foreign language programs for elementary

LENSO-21

23/1/09

12:32

Página 309

Spanish language education policy in the U.S.

309

and secondary school students. In 2007, the Department of Education awarded 52 FLAP grants, involving 10 languages of instruction; notably, Spanish was the most widely represented with nearly half (24) of the awards supporting Spanish language instruction, as evident in Table 1 (JNCL-NCLIS 2007b). The total allocation for FLAP awards has grown steadily, with an annual appropriation increase of 4 million dollars in 2006, 2 million in 2007, and 2 million in 2008 (funded at 25.7 million in 2008). TABLE 1 Foreign Language Assistance Program (FLAP)-2007 Recipient Language Distribution Total number of grantees: 52 Language

Grantees Instructing in Language

Arabic

3a

Chinese

22

French

1

German

2

Hindi

1

Japanese

8

Korean

2

Russian

5

Spanish

24

Turkish

1

Languages of Instruction Total:

69a

a Some programs offer instruction in more than one language. Source: .

The bulk of this federal legislation is motivated by perceived national defense needs (Peyton et al. 2008), and much of the focus is on the development of the so-called ‘critical languages’. While more than 200 languages have been listed as critical by the U.S. government (Edwards, personal communication, May 3, 2007), many agencies, including the Departments of State and Defense, have given top priority to a handful of languages including Arabic, Mandarin, Russ-

LENSO-21

23/1/09

310

12:32

Página 310

Kendall A. King

ian, Persian, Hindi, and Korean. The National Language Flagship Program (NLFP), as an example, which provides funding for selected U.S. citizens “who are highly motivated to work for the federal government in an area related to U.S. national security”, focuses on Arabic, Korean, Mandarin, Persian, and Russian (NSEP 2007). As others have noted (e.g., Sandrock & Wang 2005), this narrow prioritization of a handful of select languages may well be short-sighted given that the languages in need will no doubt change very quickly in step with world events; a better long-range goal would be the active cultivation of a wider and deeper pool of Americans with second language skills of all sorts. Overall, the greater emphasis on language and education policy at the federal level is a double-edged sword for speakers and learners of Spanish. On the one hand, Spanish is typically not framed in these policies as a language critical to U.S. national competitiveness, defense, and security, and in contrast to languages like Arabic or Farsi, it has not been given priority for funding in recent years. And Spanish still suffers, at least in some circles, from the stigma of being perceived as the ‘easy’, default foreign language choice for those who need to fill a foreign language requirement (Leeman 2006). On the other hand, while Spanish language education is not prominent in most policy statements, it does benefit directly from federal funding initiatives such as FLAP, which have grown in prominence and budgetary allocation in recent years. For instance, although the June 14, 2007 press release from the Department of Education, entitled “$8.7 Million in Grants Awarded for Critical Foreign Language Instruction: Arabic, Chinese, Russian, Hindi, Farsi Among Languages Targeted for Learning”, the 2007 FLAP awards, touted the fact that the program helped meet national security needs, looking more closely, one sees that roughly half of the awards (24 out of 52) funded Spanish language education. Similarly, at the university level, the years between 2002 and 2006 saw a growing interest in foreign language study with enrollments increasing 13% in this period (a rate of growth which outpaced general course enrollment growth at 6.2%); while ‘critical’ or ‘less commonly taught languages’ increased in popularity, the bulk of the total expansion was due to Spanish language enrollment, which represented 52.2% of all foreign language enrollments in the U.S. during this period (MLA 2007). Thus, there is a notable ‘spillover’ effect in terms of the focus on and funding for foreign languages in general that benefits Spanish language education in particular. This greater focus on language competencies has also resulted in a growing recognition that an essential key to solving the U.S.’s current so-called language crisis entails making better use of the language skills already within our boundaries (Müller 2002).

LENSO-21

23/1/09

12:32

Página 311

Spanish language education policy in the U.S.

311

Heritage language as a field of study and practice The last five to ten years have not only seen increased emphasis on foreign language learning in general, but also a heightened awareness of the language learning needs of heritage language learners, the great majority of whom in the U.S. are of Spanish language background. The result is the development of a new academic area focusing on heritage language learners and, in a few places, the institutionalization at the university and secondary level of programs designed to meet their specific needs (e.g., Potowski 2002, 2003). There are now dozens of books and articles, as well as entire journals and conferences dedicated to analyzing the linguistic, educational, and social characteristics of heritage language learners; the challenges to meeting their particular pedagogical needs; and the teaching approaches which are most appropriate and successful for this group (see Valdés 1981, Krashen et al. 1998, AATSP 2000, Wiley & Valdés 2000, Peyton et al. 2001, Valdés 2001, Potowski & Carreira 2004, Hornberger 2005, Leeman 2005, Carreira 2007, Heritage Language Journal 2007, REACH 2008). This intensified focus on heritage language learners is also evident in myriad smallscale efforts, such as those by Valdés, Fishman, Chávez, and Pérez (2006) to document heritage Spanish programs in secondary schools and universities, as well as in much larger ones such as the formation of the National Heritage Language Research Center (NHLRC) at the University of California, Los Angeles. The NHLRC sponsors multiple projects, including those to develop online teaching manuals for heritage language instructors, to formulate a generic framework for curricular design for heritage language instruction, to create language-specific materials, to gather baseline data on heritage and refugee communities within the U.S., and to develop guidelines for a heritage language learner oral proficiency interview. These are significant advances; however, much more needs to be done, for instance, in the areas of teacher training, curriculum development, and institutionalization. As an example of the work ahead, it is estimated that 68% of U.S. post-secondary institutions do not offer any heritage language courses (González Pino & Pino 2000). Given the testing and accountability constraints and varied levels of access to professional development opportunities of K-12 teachers, elementary and secondary institutions which offer heritage language instruction are no doubt the exception rather than the norm. While calls for teacher training for heritage language learners date back more than 25 years (Valdés 1981), there are few programs or standards for training teachers to instruct Spanish to native speakers (Potowski 2003). And with a handful of exceptions (e.g., New Mexico State University, Hunter College in New

LENSO-21

23/1/09

12:32

Página 312

312

Kendall A. King

York City), teacher-training efforts generally remain ad hoc and workshop-based. This lack of systematic attention to heritage language issues can be linked to competing institutional pressures as well as the ideologies operating in many departments of foreign languages, where U.S. varieties of Spanish are devalued, where the ‘best’ Spanish is seen as that which is ‘pure’, formal and contact-free, and where monolingual native speakers of Latin American or European Spanish set the norm for correct use (Valdés et al. 2003). It can also be linked to the fact that the backgrounds, linguistic skills, and pedagogical needs of heritage language learners, or “L1/L2 users” as some have argued they should be called (Valdés 2005: 411), have traditionally fallen outside the domain of the research and practice of the fields of second language acquisition (SLA) and bilingualism. As the foundational assumptions and key terms in both the fields of SLA and bilingualism receive serious critical attention (e.g., Heller 2007), heritage language learners and learning will likely continue to be the subject of expanded research and development.

Attitudes towards bilingualism A third and final reason for optimism is the greater recognition in many parts of the U.S. of the value of knowing two languages. Among speakers of English, Spanish by far is the most popular choice, accounting for more than half of all foreign language instruction provided to students in the U.S. (NCELA 2007), a trend which may have less to do with the status of Spanish than what Leeman (2006: 38) describes as the “commodification of language and the contemporary fixation on the marketability of particular types of knowledge and education”. For reasons rooted in both practicality and familiarity, among those aiming to learn a second language in the U.S., Spanish is far and away the most popular choice. Concomitantly, language-minority parents, at least in some areas, are increasingly vocal about desires for their children to maintain their first language, and more assertive about educational rights and opportunities to do so (Peyton et al. 2001). For instance, research with Washington, DC, parents suggests that bilingualism (and in particular, Spanish-English bilingualism) is a goal for many middle and working-class parents (King & Fogle 2006). Both Spanish-dominant and English-dominant parents often refer to bilingualism as a ‘gift’ that they wish to impart and as an important advantage for their children (see Piller 2001). Yet, while parents have many reasons for raising their children bilingually, garnered from both the popular press and their own experiences, they have relative-

LENSO-21

23/1/09

12:32

Página 313

Spanish language education policy in the U.S.

313

ly little information about the processes and challenges of raising bilingual children (King & Fogle 2006). This is in part due to the limited coverage of research on these processes in the popular press, while much of the research that does find its way into the popular press is superficial, exaggerated or inaccurate (King & Fogle 2006). It is also due to the basic fact that in many areas there are no clearcut findings concerning, for instance, precisely how much of what types of exposure is needed to ensure children achieve something close to active, productive bilingualism. Parents could be better supported in terms of techniques and approaches with easier access to the existing and relevant research findings for parents (e.g., those which show that book reading is a more effective approach than video-viewing for very young second language users [Patterson 1998]); parents could also be better supported emotionally with more realistic expectations for child outcomes and more explicit recognition of the work involved in bilingual child-rearing (Okita 2002). Lastly, while researchers could do more to popularly disseminate findings that are directly relevant to bilingual parenting, these sorts of private language policy decisions are only one aspect of cultivating bilingualism. Public language and education policy, and programs to implement that policy, are also critical (Piller 2005). These shifts in attitudes towards language learning, Spanish, and bilingualism are significant and suggest possible policy directions. For instance, Potowski (2004) found that among teens and young adults in Chicago, positive attitudes towards Spanish was a factor mitigating shift towards English. Further, there is evidence that parents’ personal language attitudes and goals concerning bilingualism can directly impact Spanish language education policy. There are myriad examples across the country where parents have advocated successfully for language programs to promote bilingualism or, for instance, in the case of Colorado, have successfully resisted restrictive anti-bilingual state-wide referenda. The growth of foreign language immersion programs in the U.S. –the largest number of which operate in Spanish– is due at least in part to “strong parental pressure for quality language programs with goals of high levels of proficiency” (Lenker & Rhodes 2007: 2). According to press accounts, in some cases English monolingual parents have convinced their school districts to open Spanish immersion or two-way programs (King & Petit in progress). In Washington, DC, for instance, Spanishspeaking parents were the driving force behind the establishment of the Latin American Montessori Bilingual School (Encinas, personal communication, August 23, 2002). These sorts of ‘bottom-up’ language planning efforts in schools and communities provide evidence of increasingly positive attitudes towards both Spanish and bilingualism generally; they also provide the foundation for the road ahead.

LENSO-21

23/1/09

12:32

314

Página 314

Kendall A. King

Looking ahead These shifts in national-level policy, in institutional priorities and practices, and in public attitudes are interconnected. Taken together, they suggest that we might be beginning to move beyond the antagonistic, simplistic and futile debate between advocates of English-only and supporters of bilingual education.3 One of the biggest overall challenges as we move ahead will be, on the one hand, to maintain this relatively new, popular enthusiasm for bilingualism and language learning, while, on the other, to ensure that all language groups and all types of speakers benefit. Meeting this challenge will require creativity, commitment, and carefully crafted language policies. It will also require looking beyond our own borders and examining other countries’ (more) successful language plans and policies for promoting bi- and multilingualism (Commission of the European Communities 2003, Beacco 2007). For instance, while the European Union does not have an official language policy, since 2003, the European Commission has had an ‘Action Plan’ for the promotion of language learning and linguistic diversity (Commission of the European Communities 2003). The plan outlines specific, agreed-upon steps for spreading the benefits of multilingualism to all European citizens through lifelong language learning starting at a very young age; for encouraging mobility and intercultural contact among language students and teachers; for providing for high quality language teaching through enhanced professional support; and for making public spaces more language friendly through bilingual and sub-titled signage. As a parallel step, 22 nations have ratified the European Charter for Regional or Minority Languages (Council of Europe 2005), which aims to support the historical, regional or minority languages of Europe with the twin goals of promoting Europe’s cultural heritage and protecting the right to use one’s language in both public and private domains. With these EU aims as a contrastive backdrop, what could we hope for, and what might we advocate for, in terms of future Spanish language education policies in the U.S. at federal, state, and local levels? First, given the large number of speakers, massive course enrollments and unique historical status, Spanish would be recognized as a special cultural, educational, and communicative resource for both the individual and the nation as a whole (Ruiz 1984). Second, given the grassroots enthusiasm for early language learning and widespread concern over

3

A small indication of such a trend: many representatives of both groups supported NCLB in its foundation and early years, but are now united, albeit for different reasons, in condemning it as a failure.

LENSO-21

23/1/09

12:32

Página 315

Spanish language education policy in the U.S.

315

‘language readiness’ of the country, bilingualism for both English-dominant and Spanish-dominant students would be an explicit educational goal. And third, based on these two priorities, federal-level programs would be established to assist local and state agencies to: (1) design programs at the K-12 and university level to support heritage language education for speakers of Spanish; (2) increase the number of two-way programs for both native speakers of English and native speakers of Spanish; and (3) support institutionalized and permanent teachertraining programs for heritage language and two-way teachers, and provide incentives for state and local agencies to develop appropriate certification programs, curricula, and learning standards. ‘Strong’ maintenance or developmental bilingual education has all but disappeared in most parts of the U.S., leaving only ‘weak’ or short-term, transitional programs, or more often, English-only approaches, in its place. In light of current political and policy constraints, embracing and promoting two-way programs for native speakers of Spanish and for native speakers of English is the best option. In an increasing number of two-way programs, many or all participating students are Spanish-language background Latinos, some English dominant, and others Spanish dominant; thus these programs have the potential to meet the needs of heritage language learners as well. There are dangers inherent in making the provision of bilingual education or native language instruction for ELLs dependent upon the support and participation of non-ELLs. Yet two-way programs –in contrast to most other practiced forms of (transitional) bilingual education– aim to cultivate bilingualism and biliteracy, and thus put Spanish, as well as Spanishspeaking students, on stronger ground than any other option presently available. For sure, this is an ambitious agenda; however, funding, planning, and implementing such programs are facilitated by the fact that Spanish-speaking students tend to be concentrated. For instance, we know that the great majority (53.7%) of ELL students are enrolled in a small number of districts with very large ELL student populations –5,000 or more LEP students each (Zehler et al. 2003). All of the advances listed above rest on the continued development of grassroots, bottom-up planning, and in particular, clearly delivered and well orchestrated demands by researchers, parents, teachers, and community activists for bilingual programming for all learners. For researchers, this means continuing to work to make research on bilingualism and language learning meaningful, accessible and relevant for the public (e.g., King & Mackey 2007). For parents, researchers and activists, this means engaging in positive, goal-oriented advocacy as aggressively as (and perhaps even borrowing tactics from) English-only, anti-bilingual, and anti-immigrant organizations such as English First (2007) and English for the Children (2007).

LENSO-21

23/1/09

12:32

316

Página 316

Kendall A. King

In advocating for such an agenda, it is helpful to note that such an approach not only benefits individual students (Howard et al. 2003), but would do much to help the U.S. keep pace on the international stage. For instance, England has recently revised its language education policy to require that every child learn a foreign language in primary school from the age of seven through fourteen (Andalo 2007). At present, the U.S. by comparison lags far behind. As Peyton et al. (2008: 178) summarize: “two trends in the U.S. education system inhibit development of language proficiency –the squandering of the language proficiencies of U.S. residents […] and lack of foresight in strategically selecting languages to be taught in schools, developing and documenting excellent language programs that are appropriate for the students involved, and determining the levels of language proficiency to be reached”. It has long been noted that one of the keys to solving the U.S. language crisis is the cultivation of ‘homegrown’ language skills. Taking seriously the educational needs of speakers of Spanish, as well as the growing importance for all students to learn and use Spanish, is a solid first step in the right direction.

References AATSP [American Association of Teachers of Spanish and Portuguese] (2000): Spanish for native speakers: Professional development series handbook for teachers K–16. Fort Worth: Harcourt Brace. AMERICAN COMMUNITY SURVEY (2005): Occupational distribution of recently arrived foreign-born men age 16 and older. http://www.migrationinformation.org/Feature/display.cfm?id=603 (July 15, 2007). ANDALO, Debbie (2007): “All primary schools to teach foreign languages by 2010”, in: The Guardian. http://education.guardian.co.uk/schools/story/0,,2032012,00.html (August 22, 2007). BEACCO, Jean-Claude (2007): Reviving multilingual education for Europe, 1-10. http://ec.europa.eu/education/policies/lang/policy/report/beacosum_en.pdf (January 11, 2008). CARREIRA, Maria M. (2007): “Teaching Spanish in the U.S.: Beyond the one-size-fits-all paradigm”, in: Potowski, Kim/Cameron, Richard (eds.): Spanish in contact: Policy, social, and linguistic inquiries. Amsterdam: John Benjamins, 61-79. CENTER FOR APPLIED LINGUISTICS (2007): Directory of two-way bilingual immersion programs in the U.S. http://www.cal.org/twi/directory/index.html (August 22, 2007). COMMISSION OF THE EUROPEAN COMMUNITIES (2003): Promoting language learning and linguistic diversity: An action plan 2004 – 2006, 1-29. http://ec.europa.eu/education/ doc/official/keydoc/actlang/act_lang_en.pdf (January 9, 2008). COMMITTEE FOR ECONOMIC DEVELOPMENT (2006): Education for global leadership: The importance of international studies and foreign language education for U.S. economic

LENSO-21

23/1/09

12:32

Página 317

Spanish language education policy in the U.S.

317

and national security, 1-58. http://www.ced.org/docs/report/report_foreignlanguages. pdf (January 9, 2008). COUNCIL OF EUROPE (2005): “European charter for regional or minority languages”, in: CETS 148, http://conventions.coe.int/Treaty/Commun/QueVoulezVous.asp?NT= 148&CL=ENG (January11, 2008). CRAWFORD, James (2004): No Child Left Behind: Misguided approach to school accountability for English language learners, 1-10. http://www.nabe.org/documents/policy_ legislation/NABE_on_NCLB.pdf (January 9, 2008). — (2007): The decline of bilingual education: How to reverse a troubling trend, 1-6. http://users.rcn.com/crawj/langpol/Crawford_Decline_of_BE.pdf (August 22, 2007). DOLSON, David. P. (1985): “The effects of Spanish home language use on the scholastic performance of Hispanic pupils”, in: Journal of Multilingual and Multicultural Development 6(2), 135-155. ENGLISH FIRST (2007): Official home page. http://www.englishfirst.org/ (January 12, 2008). ENGLISH FOR THE CHILDREN (2007): English for the children. http://www.onenation.org/ (January 12, 2008). FESSENDEN, Ford (2007, December 16): “No Child Left Behind? Say it in Spanish”, in: The New York Times. http://www.nytimes.com/2007/12/16/nyregion/nyregionspecial2/16Rschool.html?_r=1&ref=education&oref=slogin (January 9, 2008). GONZÁLEZ PINO, Barbara/PINO, Frank (2000): “Serving the Heritage speaker across a fiveyear program”, in: ADFL Bulletin 32, 27-35. GOTTLIEB, Margo (2003): Large-scale assessment of English-language learners: Addressing educational accountability in K-12 settings. Alexandria: Teachers of English to Speakers of Other Languages, TESOL Professional Papers 6. GROSJEAN, François (1982): Life with two languages. Cambridge: Harvard University Press. HELLER, Monica (2007): Bilingualism: A social approach. New York: Palgrave. HERITAGE LANGUAGE JOURNAL (2007): Special issue on TESOL and heritage language education, 5(1). http://www.heritagelanguages.org/ (January 9, 2008). HORNBERGER, Nancy (ed.) (2005): “Heritage/Community language education: US and Australian perspectives”, in: International Journal of Bilingual Education and Bilingualism 8(2-3), 101-108. HOWARD, Elizabeth/SUGARMAN, Julie/CHRISTIAN, Donna (2003): Trends in two-way immersion education: A review of the research (Report No. 63). Baltimore: Center for Research on the Education of Students Placed as Risk. HUEBNER, Thom/DAVIS, Kathryn Anne (eds.) (1999): Sociopolitical perspectives on language policy and planning in the USA. Amsterdam: John Benjamins. ILEP [Institute for Language and Education Policy] (2007): Reauthorizing the No Child Left Behind Act: Recommendations by the Institute for Language and Education Policy, 1-4. http://www.elladvocates.org/documents/nclb/ILEP_NCLB_Recommendations.pdf (January 9, 2008). JNCL-NCLIS [The Joint National Committee for Languages and The National Council for Languages and International Studies] (2007a): 2007 FLAP grantees. http://www. language policy.org/grants/FLAP/2007_FLAP_grantees.html (January 12, 2008). — (2007b): Welcome. http://www.languagepolicy.org/ (January 12, 2008).

LENSO-21

23/1/09

318

12:32

Página 318

Kendall A. King

KING, Kendall A./FOGLE, Lyn (2006): “Bilingual parenting as good parenting: Parents’ perspectives on family language policy for additive bilingualism”, in: International Journal of Bilingual Education and Bilingualism 9(6), 695-712. KING, Kendall A./MACKEY, Alison (2007): The bilingual edge: Why, when, and how to teach your child a second language. New York: Harper Collins. KING, Kendall A./PETIT, Deborah (in progress): Bilingual education and two-way immersion in the media. KRASHEN, Stephen/TSE, Lucy/MCQUILLAN, Jeff (1998): Heritage language development. Mahwah: Lawrence Erlbaum. LAMBERT, William E./TUCKER, Richard (1972): Bilingual education of children: The St. Lambert experiment. Rowley: Newbury House Publishers. LARSEN, Solana (2007): “The anti-immigration movement: From shovels to suits”, in: NACLA News. http://nacla.org/node/1471 (August 22, 2007). LEEMAN, Jennifer (2005): “Engaging critical pedagogy: Spanish for native speakers”, in: Foreign Language Annals 38(1), 35-45. — (2006): “The value of Spanish: Shifting ideologies in U.S. language teaching”, in: ADFL Bulletin 38(1-2), 32-39. LENKER, Ashley/RHODES, Nancy (2007): Foreign language immersion programs. Features and trends over 35 years. CAL Digest. Washington: Center for Applied Linguistics, 14. http://www.cal.org/resources/digest/flimmersion.html (August 22, 2007). LIBRARY OF CONGRESS (2007): Thomas. http://thomas.loc.gov/ (January 12, 2008). MACGREGOR-MENDOZA, Patricia (1998): “The criminalization of Spanish in the United States”, in: Kibbee, Douglas A. (ed.): Language legislation and linguistic rights. Amsterdam: John Benjamins, 55-67. — (2000): “Aquí no se habla español: Stories of linguistic repression in southwest schools”, in: Bilingual Research Journal 24(4), 333-345. MENKEN, Kate (2008): English learners left behind: Standardized testing as language policy. Clevedon: Multilingual Matters. MIGRATION POLICY INSTITUTE (2007): Foreign-born population by region of birth. http://www.migrationinformation.org/DataHub/charts/fb.1.shtml (August 22, 2007). MLA [Modern Language Association] (2007): New MLA Survey Shows Significant Increases in Foreign Language Study at U.S. Colleges and Universities. http://www. mla.org/pdf/enrollment_survey_release.pdf (January 9, 2008). MONTAGUE, Nicole S. (1997): “Critical components for dual language programs”, in: Bilingual Research Journal 21(4), 334-342. MÜLLER, Kurt E. (2002): “Addressing counterterrorism: U.S. literacy in languages and international affairs”, in: Language Problems and Language Planning 26, 1–21. NCELA [National Clearinghouse for English Language Acquisition and Language Instruction Educational Programs] (2007): What is the status of foreign language instruction in U.S. high schools? http://www.ncela.gwu.edu/expert/faq/17foreign.html (August 22, 2007). NEILL, Monty (2005): Assessment of ELL students under NCLB: Problems and solutions. http://www.fairtest.org/files/NCLB_assessing_bilingual_students_0.pdf, 1-10 (June 2, 2008). [From the website of the National Center for Fair and Open Testing].

LENSO-21

23/1/09

12:32

Página 319

Spanish language education policy in the U.S.

319

NSEP [National Security Education Program] (2007): National Flagship Language Program. http://www.iie.org/programs/nsep/flagship/default.htm (January 12, 2008). OKITA, Toshie (2002): Invisible work: Bilingualism, language choice, and childrearing in intermarried families. Amsterdam: John Benjamins. OLEKSAK, Rita (2007): “Ensuring America’s place in the global economy by building language capacity in the schools: Testimony of ACTFL to the Senate Subcommittee on Oversight of Government Management, the Workforce and the District of Columbia”, in: ACTFL. http://www.actfl.org/files/public/testimonyoleksak.pdf (July 15, 2007). PASSEL, Jeffrey S./ZIMMERMANN, Wendy (2001): Are immigrants leaving California? Settlement patterns of immigrants in the late 1990s. Washington: The Urban Institute. http://www. urban.org (August 22, 2007). PATTERSON, Janet L. (1998): “Expressive vocabulary development and word combinations of Spanish-English bilingual toddlers”, in: American Journal of Speech-Language Pathology 7, 46-56. PEW HISPANIC CENTER (2007): English usage among Hispanics in the United States. http://pewhispanic.org/files/reports/82.pdf (January 9, 2008). PEYTON, Joy Kreft/CARREIRA, Maria/WANG, Shuhan/WILEY, Terrence G. (2008): “Heritage language education in the United States: A need to reconceptualize and restructure”, in: King, Kendall/Schilling-Estes, Natalie/Fogle, Lyn W./Lou, Jia J./Soukup, Barbara (eds.): Endangered and minority languages and language varieties. Washington: Georgetown University Press, 173-186. PEYTON, Joy Kreft/RANARD, Donald A./MCGINNIS, Scott (2001): Heritage languages in America: Preserving a national resource. Washington: Delta Systems and Center for Applied Linguistics. PILLER, Ingrid (2001): “Private language planning: The best of both worlds?”, in: Estudios de Sociolingüística 2(1), 61-80. — (2005): Review of Suzanne Barron-Hauwaert (2004): Language strategies for bilingual families: The one-parent-one-language approach, Clevedon: Multilingual Matters, 2004, in: International Journal of Bilingualism and Bilingual Education 8(6), 614-617. POTOWSKI, Kim (2002): “Experiences of Spanish heritage speakers in university foreign language courses and implications for teacher training”, in: ADFL Bulletin 33(3), 35-42. — (2003): “Chicago’s Heritage Language Teacher Corps: A model for improving Spanish teach development”, in: Hispania 86(2), 302-311. — (2004): “Spanish language shift in Chicago”, in: Southwest Journal of Linguistics 23(1), 87-116. POTOWSKI, Kim/CARREIRA, Maria (2004): “Towards teacher development and national standards for Spanish as a heritage language”, in: Foreign Language Annals 37(3), 421-431. REACH [Recursos para la Enseñanza y el Aprendizaje de las Culturas Hispanas]. http://www.nflc.org/REACH/ (January 9, 2008). ROTHSTEIN, Richard (2007, December 17): “Leaving No Child Left Behind Behind”, in: The American Prospect. http://www.prospect.org/cs/articles?article=leaving_nclb_behind (January 9, 2008).

LENSO-21

23/1/09

320

12:32

Página 320

Kendall A. King

RUIZ, Richard (1984): “Orientations in language planning”, in: NABE Journal 8(2), 15-34. RUMBAUT, Rubén G./MASSEY, Douglas S./BEAN, Frank D. (2006): “Linguistic life expectancies: Immigrant language retention in Southern California”, in: Population and Development Review 32(3), 447-460. SANDROCK, Paul/WANG, Shuhan C. (2005): “Building an infrastructure to meet the language needs of all children”, in: The State Education Standard. Journal of the National Association of State Boards of Education, 24-31. SCRIPPS SURVEY RESEARCH CENTER (2007): “Americans wistful for foreign language in high school”, in: Newspolls.org. http://www.newspolls.org/story.php?story_id=65 (August 22, 2007). U.S. CENSUS BUREAU (2000): 2000 Census. http://www.census.gov (August 22, 2007). — (2006): 2006 American Community Survey. http://factfinder.census.gov/servlet/ ACSSAFFFacts?_event=&geo_id=01000US&_geoContext= 01000US&_street= &_county=&_cityTown=&_state=&_zip=&_lang=en&_sse=on&ActiveGeoDiv= &_useEV=&pctxt=fph&pgsl=010&_submenuId=factsheet_1&ds_name=null&_ci_nb r=null&qr_name=null®=null%3Anull&_keyword=&_industry= (January 9, 2008). U.S. TREASURY (2007): Major foreign holders of U.S. treasury securities. http://www.treas. gov/tic/mfh.txt (January 9, 2008). VALDÉS, Guadalupe (1981): “Pedagogical implications of teaching Spanish to the Spanishspeaking in the United States”, en: Valdés, Guadalupe/Lozano, A./García-Moya, R. (eds.): La enseñanza del español a hispanohablantes: Praxis y teoría. Boston: Houghton Mifflin, 8-44. — (2001): “Introduction”, in: Spanish for native speakers, Volume 1. AATSP Professional Development Series Handbook for Teachers K-16. New York: Harcourt, 1-20. — (2005): “Bilingualism, heritage language learners, and SLA research: Opportunities lost or seized?”, in: The Modern Language Journal 89(3), 410-426. VALDÉS, Guadalupe/FISHMAN, Joshua/CHÁVEZ, Rebecca/PÉREZ, Davis William (2006): Developing minority language resources: The case of Spanish in California. Clevedon: Multilingual Matters. VALDÉS, Guadalupe/GONZÁLEZ, Sonia V./LÓPEZ GARCÍA, Dania/MÁRQUEZ, Patricio (2003): “Language ideology: The case of Spanish in departments of foreign languages”, in: Anthropology and Education Quarterly 34(1), 3-26. VALENZUELA, Angela (1999): Subtractive schooling: U.S. Mexican youth and the politics of caring. New York: State University of New York Press. WILEY, Terrence G./VALDÉS, Guadalupe (2000): “Editors’ introduction: Heritage language instruction in the United States: A time for renewal”, in: Bilingual Research Journal 24(4), 1-5. http://brj.asu.edu/ (January 9, 2008). WILEY, Terry G./WRIGHT, Wayne E. (2004): “Against the undertow: Language minority educational policy and politics in the age of accountability”, in: Educational Policy 18(1), 142-168. WRIGHT, Wayne E. (2005a): “English language learners left behind in Arizona: The nullification of accommodations in the intersection of federal and state language and assessment policies”, in: Bilingual Research Journal 29(1), 1-30.

LENSO-21

23/1/09

12:32

Página 321

Spanish language education policy in the U.S.

321

— (2005b): “Evolution of federal policy and implications of No Child Left Behind for language minority students”, in: Educational Policy Studies Laboratory. Tempe, Arizona, 1-52 http://epsl.asu.edu/epru/documents/EPSL-0501-101-LPRU.pdf (January 9, 2008). — (2007): “Heritage language programs in the era of English Only and No Child Left Behind”, in: Heritage Language Journal 5(1). ZEHLER, Annette M./FLEISHMAN, Howard L./HOPSTOCK, Paul J./STEPHENSON, Todd G./PENDZIK, Michelle L./SAPRU, Solani (2003): Descriptive study of services to LEP students and to LEP students with disabilities; Policy report: Summary of findings related to LEP and SpEd-LEP students. Arlington, VA: Development Associates, 1-58. http://www.devas soc. com/pdfs/lep_policy_report.pdf (August 22, 2007).

LENSO-21

23/1/09

12:32

Página 322

322

Kendall A. King

Appendix EXAMPLES OF LEGISLATION OF THE 110TH CONGRESS CONCERNING FOREIGN LANGUAGES4

1) H.R.678. National Security Language Act (Introduced: 1/24/2007, Sponsor: Rep. Rush Holt [D-NJ]): To strengthen the national security through the expansion and improvement of foreign language study. The bill would appropriate $48,000,000 for FY 2008 to fund grants for this program. This legislation contains provisions that address numerous aspects of language education in the U.S. Section 2 discusses early foreign language instruction through partnership programs between local educational agencies and institutions of higher education. The bill would appropriate $48,000,000 for FY 2008 to fund grants for this program. Section 4 of the legislation calls for a marketing campaign to encourage high school and college students to study a foreign language, with emphasis on less-commonly taught languages. The next section requires the establishment of an international flagship language initiative within the National Security Education Program. It would expand grant program authority by awarding grants to colleges and universities to carry out activities of the International Flagship Language Initiative. All of these grant programs are able to give preference to programs that teach the less commonly taught languages or ‘critical foreign languages’. Also, the last section of the bill proposes to grant loan forgiveness to students who have obtained an undergraduate degree in a critical foreign language and who go on to teach a critical language in an elementary or secondary school.

2) S.372. Intelligence Authorization Act for Fiscal Year 2007 (Introduced: 1/24/2007, Sponsor: Sen. John Rockefeller [D-WV]): To authorize appropriations for fiscal year 2007 for the intelligence and intelligencerelated activities of the United State Government, the Intelligence Community Management Account, and the Central Intelligence Agency Retirement and Disability System, and for other purposes. Section 441 would authorize the Director of the Federal Bureau of Investigation to pay a cash award to employees who use foreign language skills to protect against international terrorism or clandestine intelligence activities (or maintains foreign language skills for this purpose).

3) S.451 / H.R.747. National Foreign Language Coordination Act of 2007 (Introduced: 1/31/2007, Sponsor: Sen. Daniel Akaka [D-HI]): To establish a National Foreign Language Coordination Council that would be responsible for overseeing, coordinating, and implementing NSLI, developing a national for4

Source: .

LENSO-21

23/1/09

12:32

Página 323

Spanish language education policy in the U.S.

323

eign language strategy, conducting a survey of the status of the Federal agency foreign language and area expertise and needs for such expertise, and monitoring the implementation of this strategy. This bill would also create the position of National Language Director to be appointed by the President.

4) S.761. America Creating Opportunities to Meaningfully Promote Excellence in Technology, Education, and Science Act (Introduced: 3/5/2007, Sponsor: Rep. Harry Reid [D-NV]): To invest in innovation and education to improve the competitiveness of the U.S. in the global economy. In addition to expanding programs and funding for math, science, engineering, and technology, the America COMPETES act would develop and implement programs for bachelor’s and master’s degrees in critical foreign languages with concurrent teaching credentials. It would also expand critical foreign language programs in elementary and secondary schools in order to increase the number of students studying and becoming proficient in these languages.

5) H.R. 1718. To provide additional student loan forgiveness to teachers of foreign languages (Introduced: 3/27/2007, Sponsor: Rep. Dennis Moore [D-KS] and Rep.Christopher Shays [R-CT]): To provide teachers of foreign languages the same loan forgiveness opportunities as teachers of math and science. This would make teachers of foreign languages eligible for loan forgiveness up to $17,500 if they teach in eligible Title I elementary and secondary schools for five years. This bill addresses the teacher shortages in foreign languages and is designed to expand the number of teachers entering the field.

LENSO-21

23/1/09

12:32

Página 324

LENSO-21

23/1/09

12:32

Página 325

RECEPTIVE BILINGUALS’ LANGUAGE DEVELOPMENT IN THE CLASSROOM: THE DIFFERENTIAL EFFECTS OF HERITAGE VERSUS FOREIGN LANGUAGE CURRICULUM SARA M. BEAUDRIE University of Arizona

This chapter1 focuses on the Spanish language development of heritage language (HL) learners who are receptive bilinguals. Although it is widely acknowledged that the linguistic, academic, and affective needs of HL learners of all proficiency levels cannot be properly addressed in foreign language (FL) courses, few universities so far have incorporated HL courses for receptive bilinguals into their programs. Carreira (2004) contends that the affective needs of receptive bilinguals are better served in the HL classroom. The linguistic aspect of their HL development, however, still needs to be explored to determine whether they would achieve greater gains with a HL or FL curriculum. The current study examines the effects of these two types of curricula on the linguistic development and other language-related variables of three groups of learners: one group of HL learners enrolled in the HL track, another HL group in the FL track, and a group of FL learners in the FL track after one semester of instruction. The data collection consisted of a series of written and oral elicitation tasks and online questionnaires at the beginning and end of the semester. The students’ output was coded for fluency, accuracy, and complexity, and analyzed using a three-way mixed ANOVA. All groups significantly improved most aspects of their writing fluency and complexity but mixed results were obtained for the differential effects of the type of curricula on each measure. Partial gains in the linguistic, cultural, and affective domains support the inclusion of receptive bilinguals in HL programs as well as the adoption of certain FL pedagogies that may be beneficial for these students.

1

I would like to thank the editors and anonymous reviewers for their insightful comments and valuable suggestions. I am also grateful to the teachers and the students that participated in this study on a voluntary basis.

LENSO-21

23/1/09

12:32

326

Página 326

Sara M. Beaudrie

Introduction Post-secondary Spanish language programs across the United States increasingly offer language courses for heritage language (HL) learners. This trend reflects the widely-accepted belief that this population has unique language needs and abilities usually not addressed in foreign language (FL) courses. Although HL learners include individuals with a wide range of language abilities, most courses only accommodate learners at the intermediate and advanced levels. Those who fall towards the lower end of the bilingual range (Valdés 2001), namely ‘receptive bilinguals’, are generally placed in beginning-level FL courses.2 Indeed, a look at Spanish HL programs in the Southwest reveals that the incorporation of receptive bilinguals into their courses is limited. Out of the 166 Spanish programs offered by four-year universities in the region, there are 67 programs offering HL courses; of those only 7 institutions provide Spanish courses for receptive bilinguals. The rest of the universities offer between one and five courses for HL learners with intermediate or advanced proficiency in the language. The HL literature has not yet produced clear guidelines as to the most appropriate way to meet the language needs of this subgroup of HL learners. From a language proficiency perspective, Potowski (2005) suggests that their low-level productive abilities may indicate that they should be placed in the FL classroom. As she explains, “Los alumnos que han adquirido un sistema extremadamente reducido del español (por ejemplo los que Lipski, 1993, llama los ‘bilingües transicionales’) quizás se beneficiarían más de un curso de español como [segunda lengua]” (p. 43). Lipski (1993) questions the inclusion of transitional bilinguals in Spanish for native-speaker (SNS) classes, arguing that these classes focus on issues such as the eradication of Anglicisms and archaic forms, which may not be relevant for learners who still need to develop their language skills.3 Lipski

2

3

The term ‘receptive bilinguals’ refers to individuals who, primarily due to infrequent use of their productive skills in the language, have developed a receptive ability in the language which allows them to comprehend oral and perhaps written language but have significantly more difficulty when producing the language (Myers-Scotton 2006). They exhibit receptive proficiencies in their HL which are stronger than the receptive proficiencies acquired by beginning and perhaps intermediate learners of a FL (Valdés 2005). Their production is more limited, although it may sometimes be difficult to assess due to the psychological constraints that frequently inhibit these learners’ use of the language. Transitional bilinguals are individuals who can understand all varieties of the language and can carry out conversations although with many errors. In some respects, this population is similar to the population under investigation in the present study although transitional bilinguals, as described by Lipski (1993), may be at a higher point of the bilingual continuum with respect to both receptive and productive abilities in Spanish.

LENSO-21

23/1/09

12:32

Página 327

Receptive bilinguals’ language development in the classroom

327

admits that transitional bilinguals have linguistic abilities that are different from those of native speakers and resemble more closely those of FL learners. At the same time, he acknowledges that they are superior to all FL learners with the exception of advanced FL learners and have comprehension skills that parallel those of native speakers. The FL classroom, Lipski suggests, may not be the ideal learning environment for these students who usually resent the dominant focus on grammar and end up failing the course. From an affective perspective, Carreira (2004) argues that, although receptive bilinguals may have similar linguistic needs as FL learners, they also possess affective, identity, and intellectual needs that are rarely addressed in the FL classroom. She argues that placing these students in the FL track only negates their HL identity. FL courses “exacerbate feelings of insecurity and outsider status in these students” (p. 15). In a similar fashion, Beaudrie and Ducar (2005) contend that receptive bilinguals should have a place in HL programs given that their attitudes, needs, and cultural background parallel those of more advanced students in university HL programs. The disagreement over the inclusion or exclusion of receptive bilinguals in Spanish for HL learners programs highlights a key issue that still remains to be explored, namely, the minimum level of language competence for students to benefit from a HL course (Alonso 1997, Carreira 2004). As Carreira points out, “the dividing line should be drawn between students who benefit from being in SNS courses and those who would do better in [FL] courses” (2004: 15). Learners with a heritage motivation but no linguistic abilities in the language (see Van Deusen-Scholl 2001) have already been excluded from HL programs, mainly for pedagogical considerations. Should this policy also be applied to receptive bilinguals in HL programs? The main goal for a HL program should be to include all HL learners whose language learning needs cannot be fully addressed in the FL classroom and who possess abilities that may otherwise be underutilized in such a class. In order to achieve this goal, it is absolutely essential to empirically determine the differential benefits of an FL versus an HL curriculum for this population of students. Determining the most appropriate line of separation will allow program administrators, practitioners, and researchers alike to make more sound pedagogical and curricular choices when deciding who to accept or leave out of HL classes. The present chapter attempts to fill this gap in the research by reporting on a study that examines the Spanish language development of three groups of HL and FL learners. Although prior research suggests these learners may have different affective and cultural needs than their FL counterparts, the linguistic aspect of

LENSO-21

23/1/09

12:32

328

Página 328

Sara M. Beaudrie

the HL development of receptive bilinguals still needs to be explored. To this effect, this study investigates, among other things, the role the language classroom plays in their language development process by assessing the effects of two different types of curricula on the students’ language accuracy, complexity, and fluency after one semester of instruction.

Study RESEARCH SETTING The data was collected at a large southwestern university as part of a larger study (Beaudrie 2006). This university offers a well-developed Spanish for HL learners program that includes a course specifically for receptive bilinguals.4 The completion of either FL or HL courses fulfills the university second-semester proficiency requirement. Students are placed in each track by a computerized language placement exam that first distinguishes HL from FL learners with a survey and then offers a different test for each group to determine their level and appropriate course. In practice, a certain number of HL learners enroll in FL courses every semester for a number of administrative and logistical reasons. Although academically equivalent, the HL and FL courses have two different curricula. The HL course for receptive bilinguals uses the HL textbook El mundo 21 hispano, while the FL course uses ¡Dímelo tú!, a textbook for FL learners. Table 1 shows the objectives for these two courses as stated in the syllabi. The HL curriculum covers fewer language skills than its FL counterpart. While the former concentrates on the expansion of the students’ speaking and listening abilities, the latter emphasizes all four language abilities with a stronger focus on writing. Further, while the HL curriculum seeks to emphasize confidence-building in oral skills, the FL curriculum aims to help students develop communication skills in practical situations. The two curricula present striking disparities with respect to course topics. The FL curriculum deals with topics related to learning Spanish as a FL, such as preparing students for a trip to a Spanish-speaking country. Meanwhile, the HL curriculum deals with topics relevant to Hispanics in the U.S., such as Englishonly laws, bilingual education, human rights and immigrant issues, code-switching, identity, and language maintenance and loss. According to the HL course instructor, the textbook is not frequently used due to the inadequacy of some of 4

‘Well-developed’ here refers to the high number of courses for HL learners, a total of six, offered by the university at the first, second, and third year levels.

LENSO-21

23/1/09

12:32

Página 329

Receptive bilinguals’ language development in the classroom

329

TABLE 1 Course objectives HL Curriculum 1. Develop students’ conversation skills 2. Expand students’ vocabulary 3. Strengthen students’ listening skills by being exposed to different registers of Spanish 4. Introduce students to the main linguistic varieties and cultural patterns of the Spanish speaking world 5. Build students’ confidence in their oral skills in the HL and their own variety of Spanish FL Curriculum 1. Develop students’ speaking, listening, reading, and writing 2. Develop students’ ability to communicate satisfactorily in everyday situations 3. Introduce students to the Spanish language and Hispanic cultures

the readings. In contrast, the FL curriculum makes use of the textbook regularly with a certain number of pages to cover in each lesson. A final difference is that only the HL curriculum encourages students to use Spanish outside the classroom by incorporating activities that require, for example, interviewing a community or family member in Spanish. Regarding grammar, the HL course covers considerably fewer grammar features than the FL course. In addition, the HL curriculum first focuses on addressing other issues besides grammar. The first part of the HL course includes confidence-building activities and discussions of topics relevant to the students. The second part deals with six grammar structures (articles and nouns, present tense, ‘ser/estar’, ‘gustar’, preterit, and imperfect). Students are made aware of the use and forms of these features as they discuss cultural topics and later complete written exercises in the course workbook. The most typical activities in this course are pair or group conversations about either personal or cultural topics. Students are encouraged to use Spanish but they can use English if needed to get their message across. Grammar is assessed in the mid-term and final exams with fill-in-the-blanks passages but does not have a heavy weight in the grading of oral assignments, which are evaluated graded primarily for communicative effectiveness. Writing and orthography are not part of this HL course but they are included in more advanced courses in the HL program. The FL course places a special emphasis on grammar, which extends to every course section at this level. The course covers 12 different grammatical features:

LENSO-21

23/1/09

12:32

330

Página 330

Sara M. Beaudrie

‘gustar’ present tense (indicative mood), direct/indirect objects, ‘ser/estar,’ preterit, imperfect, conditional, future, present perfect, expressions with ‘hacer’, present (subjunctive mood), and ‘por/para’. Students are presented with detailed explanations for each structure, followed by written or oral controlled exercises to practice them. Grammar is heavily weighted in every assignment students do, with the workbook being the only exception. Besides the grammar sections in the three exams containing fill-in-the-blanks passages, the compositions and oral assignments are graded partially for grammar accuracy.

PARTICIPANTS The study involved three groups: HL learners in the HL track (HLH group), HL learners in the FL track (HLF group), and FL learners in the same courses in the FL track (FLF group). HL and FL learners in the FL track were selected from the same courses. A total of 1294 students participated in the first survey. Out of this large sample, 42 HL learners were identified as HL learners and agreed to continue with the study. Seventeen FL learners were randomly selected from the pool of students who indicated they were able to understand Spanish but 13 completed the study. From the 42 HL learners, only 16 met the requirements from the second and third screening instruments and completed the study. The HL learners in the HL track were initially 24 but only 16 met all the requirements of the second and third screening phases and completed all the stages of the study. The final sample consisted of 45 participants who volunteered to participate in this out-ofclass study, divided into three groups: 16 in the HLH group, 16 in the HLF group, and 13 in the FLF group. Among the 45 participants, there were 33 females and 12 males. Their age range spanned from 18 to 36 with a mean of 19.78. The sample population is typical of a first-year course at the university where the majority of students are 18-year-old freshmen. It is also typical in terms of the female/male distribution. The HL program at this university, for example, normally has a 4 to 1 female/male ratio. The HL learners were all born in the United States. Seven of them reported being second-generation Americans (22%; 9% in the HLF group and 12% in the HLH group); eight reported being third-generation Americans (25%; 16% in the HLF group and 9% in the HLH group), and eight reported being fourth-generation in the U.S. (25%; 7% in the HLF group and 19% in the HLH group). The remaining nine (28%; 16% in the HLF group and 12% in the HLH group) were not sure about who immigrated to the U.S., which may indicate that they were beyond the fourth generation. Overall, there was a fairly even although not perfect distribution of participants across the groups according to their immigrant generation;

LENSO-21

23/1/09

12:32

Página 331

Receptive bilinguals’ language development in the classroom

331

approximately half of the participants in each group belonged to either the second or third generation and the other half to the fourth generation and beyond. The family origin of the participants was predominantly Mexican (29 students –91%) while only three had other Latin American background: Peru, Honduras, and Guatemala.

RESEARCH DESIGN This study employed a causal-comparative research method in order to answer the following research question: What differential gains are there between the receptive bilingual HL learners enrolled in the HL track, those enrolled in the FL track, and FL learners enrolled in the FL track after one semester of instruction with respect to their language output development in measures of fluency, accuracy, and complexity as well as other language-related variables? This design attempts to identify cause-effect relationships between variables but does not provide true experimental data (Gay & Airasian 2000). An experimental design with random assignment was not feasible due to ethical and logistical limitations. The data collection consisted of an online questionnaire and four tasks administered at the beginning and end (pre- and post-tests) of the fall and spring semesters of 2006. The two oral tasks consisted of a guided personal narrative about the students’ family, friends, daily routines, weekends, and favorite foods and places and a picture story –Frog Goes to Dinner (Mayer 1974). The two written tasks consisted of a personal letter to a friend about topics such as their classes at school, their weekend routines, and past summer activities and another picture-story– One Frog Too Many (Mayer 1969). In addition, participants completed a series of instruments implemented to identify receptive bilinguals: an 11-item survey, a listening proficiency exam (“Contextualized listening assessment for low-intermediate level”, part of the “Minnesota Language Proficiency Assessment”) and a self-report survey about their early Spanish language contact with family members and the community (included in the online questionnaire).5 These instruments were administered outside of class in an individual meeting between the researcher and each participant that lasted approximately one hour.

5

This survey is identical to the one used by the university to distinguish HL from FL learners and it was used for the same purpose in this study. It consists of 11 items inquiring about the students’ childhood and current language contact.

LENSO-21

23/1/09

12:32

332

Página 332

Sara M. Beaudrie

Study results The written and oral output, with a corpus of 25,079 and 42,102 words respectively, was analyzed for fluency, accuracy, and complexity measures. Following previous studies, it was assumed that language development would manifest in more fluent production, with fewer errors and more grammatically and lexically complex sentences. Such constructs have been extensively used in second language acquisition (SLA) studies to measure the effect of program, task, feedback, planning, audience, topic, and time (Wolfe-Quintero et al. 1998). Three indicators were obtained to compare language development in the three groups in fluency: number of T-units (Hunt 1965), MLT-unit (mean length of Tunit), percentage of English words (improvement will show a decrease in the participants’ reliance on English), and speech rate only for oral output (number of words per minute).6 For complexity, many items were analyzed, such as depth of clause, lexical diversity (type/token ratio) with samples of equal length, and tense/aspect use complexity. The tense/aspect use complexity consisted of counting the change in the use of the following grammar structures in the subjects’ production: present, present progressive, preterit, imperfect, and other tenses. Three indicators were obtained for gains in accuracy: gender agreement, number agreement, and subject-verb agreement. The oral corpus was coded and analyzed following the same procedures for the written corpus. A different analysis was not considered necessary due to the monologic nature of the oral discourse. Independent coding between a second coder and the researcher was conducted with 10% of both the written and oral data with an average percentage of agreement of 95.53% and 95.2% respectively, which was considered robust evidence of the reliability of the coding protocols. The data was analyzed using a three-way mixed ANOVA with two levels of task (Task 1 and Task 2; within subjects), two levels of time (beginning and end; within subjects) as independent variables, and 3 levels of group (HLH group, HLF group, and FLF group; between subjects). Partial Eta squared was also calculated for effect size and is reported as ηp2.

WRITTEN OUTPUT The first set of results presents the means obtained for the fluency, accuracy, and complexity measures for the pre- and post-tests for Task 1 and 2 combined (Table

6

The T-unit (minimal terminable unit) is the shortest unit which a sentence can be reduced to and consists of one independent clause together with whatever dependent clauses are attached to it (Hunt 1965).

LENSO-21

23/1/09

12:32

Página 333

Receptive bilinguals’ language development in the classroom

333

2). For fluency, the ANOVA yielded significant main effects of time for all three indicators. Participants as a group produced more T-units, F (1, 41) = 27.1, p < 0.001, ηp2 = .39, longer T-units, F (1, 41) = 9.58, p < 0.005, ηp2 = .19, and used less English at the end of the semester, F (1, 41) = 23.15, p < 0.001, ηp2 = .36. All effect sizes were moderate. There were no significant interaction effects of group by time. A significant interaction effect would suggest that there were differences in the amount of change among the groups. As seen in Table 2, these differences are very small except for use of English words where slightly larger differential improvement was obtained. The FLF group achieved the greatest gain with a change of 8.1, followed by the HLH group, 5.9, and lastly the HLF group, 1.8. This last group’s initial reliance on English, however, was low and this limited the possibilities for improvement. Regarding accuracy, the results for subject-verb agreement show that the HLH group is the only group that improved significantly. This is seen in the significant interaction effect of group by time, F (1, 41) = 6.61, p < 0.01, ηp2 = .24. Tests for simple effects show that the HLH group made the highest gains, F (1, 15) = 7.95, p < 0.03, ηp2 = .35. Interestingly, the FLF group decreased significantly, F (1, 12) = 5.13, p < 0.05, ηp2 = .3. The HLF group did not show significant improvement, F (1, 15) = .058, p > 0.05. For gender and number agreement, the main effects of time were not significant, suggesting no improvement at the end of the semester. It should be noted, however, that accuracy rates are high for number agreement, with the HLH group having the highest. A ceiling effect confound may have limited student improvement over the semester. The HLF group (3.1%) and the FLF group (2.2%) improved but not the HLH group who decreased accuracy by –3.9%. Lastly, participants as a group significantly increased writing complexity by producing more dependent clauses, F (1, 38) = 9.42, p < 0.005, ηp2 = .19, although the effect size is small. Lexical diversity was maintained but not improved. For tense/aspect use complexity, all groups but especially the HLF and the FLF groups relied very heavily on the use of the present tense (Table 3 below).7 As its use decreased, the tense use became more complex. The HLF group obtained the highest difference, decreasing present tense use by 16.9%, followed by the FLF group with a decrease of 8.2%. The smallest change was for the HLH group with a difference of 6.2%, but their initial use of the present test was already low. The diversification of the tense use was achieved in different ways by the three groups. The HLF group achieved it by increasing the use of the preterit tense by 11.6% and so did the HLH (3.7%). The FLF group increased the use of the imper-

7

For the statistical analysis, only the reduction in present tense use was calculated.

LENSO-21

23/1/09

12:32

Página 334

334

Sara M. Beaudrie

TABLE 2 Mean fluency, accuracy, and complexity in written production Fluency Number of T-units

MLT-unit

Reliance on English Word

Accuracy

Group

Pre-Test

Post-Test

Change

HLH

11.9

14.7

2.9

HLF

16.2

19.5

3.3

FLF

10.7

14.4

3.7

HLH

7.2

7.7

.5

HLF

6.6

6.9

.3

FLF

6.3

7

.7

HLH

9.5%

3.8%

5.9%

HLF

3.9%

2.1%

1.8%

FLF

13%

6.4%

8.1%

Group

Pre-Test

Post-Test

Change

HLH

76.1%

84.4%

8.3%

HLF

85%

86.3%

1.4%

FLF

91.8%

86.2%

–5.6%

HLH

76.8%

75.2%

–1.7%

HLF

77.4%

77.8%

.4%

FLF

75.6%

77.4%

1.8%

HLH

94.7%

90.9%

–3.9%

HLF

90.8%

93.8%

3.1%

FLF

90.3%

92.5%

2.2%

Complexity Part I

Group

Pre-Test

Post-Test

Change

Depth of Clauses

HLH

1.13

1.17

.04

HLF

1.09

1.14

.05

FLF

1.05

1.1

.04

HLH

.7

.71

.01

HLF

.7

.7

.0

FLF

.65

.65

.0

Subject-Verb Agreement

Gender Agreement

Number Agreement

Lexical Diversity

LENSO-21

23/1/09

12:32

Página 335

Receptive bilinguals’ language development in the classroom

335

fect the most (6.7%). The ANOVA results show that the main effect of time was significant, F (1, 41) = 10.95, p < 0.01, ηp2 = .21. The differences in gains among the groups, however, were not significant. TABLE 3 Mean complexity in written production-part II Total # of conjugated verbs

Pre-Test

Post-Test

HLH

16.9

18.7

1.8

HLF

18.1

23.8

5.7

FLF

13.9

18.6

4.7

Pre-Test

Post-Test

Change

HLH

66

59.8

–6.2

HLF

85.5

68.6

–16.9

FLF

81.8

73.6

–8.2

Pre-Test

Post-Test

Change

% of present tense use

% of present progressive use

Change

HLH

4.5

3.9

–.6

HLF

4.5

2.5

–2.0

FLF

.4

.9

.5

% of preterit use

Pre-Test

Post-Test

HLH

19.4

23.6

3.7

HLF

8.7

20.3

11.6

FLF

15.7

12.1

3.6

Pre-Test

Post-Test

% of imperfect use HLH

5.1

HLF FLF

Change

Change

8

2.9

.9

4.4

3.6

0.0

6.7

6.7

LENSO-21

23/1/09

12:32

Página 336

336

Sara M. Beaudrie

Oral output For fluency, the means (in Table 4 below) show that there were small changes in the groups’ pre- and post-tests. In the number of T-units, both HL groups made higher gains than the FLF group. This trend was repeated for gains in speech rate. For reliance on English, the HLH gains were considerably higher than the other groups. No major differences among the groups were obtained with respect to the MLT-unit. The ANOVA yielded significant results for the main effect of time for the four indicators. Subjects as a group produced significantly more T-units, F (1, 41) = 57.92, p < 0.001, ηp2 = .59, and longer T-units, F (1, 40) = 32.84, p < 0.001, ηp2 = .45 at the end of the semester. They also produced fewer English words, F (1, 40) = 33.91, p < 0.01, ηp2 = .46, and more words per minute, F (1, 39) = 47.4, p < 0.001, ηp2 = .55. The effect sizes are large for these indicators. The only significant interaction of time by group was for T-units, indicative of a difference in the groups’ performance. Tests for simple effects show that all groups improved significantly (the HLH group= F (1, 15) = 18.91, p < 0.01, the HLF group= F (1, 15) = 44.52, p < 0.001, the FLF group= F (1, 12) = 8.79, p < 0.05). However, the HLH group (change: 7.7) and the HLF group (change: 8.9) improved significantly more than the FLF group (change: 3.3). For the accuracy indicators, the main effect of time was not significant nor were there any significant interaction effects. TABLE 4 Mean fluency, accuracy, and complexity for oral output Fluency Number of T-units

MLT-unit

Reliance on English Word

Speech rate (wpm)

Group

Pre-Test

Post-Test

Change

HLH

19.7

27.4

7.7

HLF

18.2

27.1

8.9

FLF

12

15.3

3.3

HLH

7.3

8.2

.9

HLF

6.8

7.5

.7

FLF

5.4

6.5

1.1

HLH

29.4%

9.8%

19.6%

HLF

21.9%

8.4%

13.5%

FLF

35.8%

23.3%

12%

HLH

38.6

47

8.3

HLF

26

43.5

7.5

FLF

26.3

28.4

2.1

LENSO-21

23/1/09

12:32

Página 337

Receptive bilinguals’ language development in the classroom

337

TABLE 4 (Cont.) Accuracy

Group

Pre-Test

Post-Test

HLH

77.2%

80.2%

3

HLF

86%

86.4%

.4

FLF

82.8%

8.1%

.7

HLH

79.1%

80.5%

1.4

HLF

81.6%

81.6%

0

FLF

78.6%

81.2%

2.6

HLH

96.8%

95.8%

–1

HLF

96.9%

96.1%

–.8

FLF

95.6%

95.2%

–.4

Complexity Part I

Group

Pre-Test

Post-Test

Depth of Clauses

HLH

1.14

1.17

.03

HLF

1.09

1.13

.04

FLF

1.04

1.09

.05

HLH

.56

.57

.01

HLF

.54

.56

.02

FLF

.56

.54

–.02

Subject-Verb Agreement

Gender Agreement

Number Agreement

Lexical Diversity

Change

Change

For complexity (in Table 4 above), the ANOVA results indicate that the main effect of time was only significant for depth of clause, F (1, 41) = 13.46, p < 0.01, ηp2 = .25, and the effect was small. In the analysis of tense/aspect use complexity, the means (shown in Table 5) show a decrease in the use of the present tense in all groups at the end of the semester. The diversification of tense use was achieved mostly by the use of the preterit tense for which the HLH group obtained the highest increase, 12.9%, followed by the HLF group with 3.1% and the FLF group with 2.4%. The ANOVA shows significant interaction effects between time and group. Tests for simple effects show that the HLH group, F (1, 15) = 13.78, p < 0.01, and the HLF group, F (1, 15) = 44.52, p < 0.001, improved significantly but not the FLF group, F (1, 11) = 2.66, p > 0.05. However, the HLH group was the group with the highest improvement (change: 18.7) as opposed to the HLF group (change: 10.2) and the FLF group (change: 7.6). The HLH group outperformed both groups in this measure, achieving the highest gains.

LENSO-21

23/1/09

12:32

Página 338

338

Sara M. Beaudrie

TABLE 5 Mean complexity in oral production-part II Total # of conjugated verbs

Pre-Test

Post-Test

HLH

31.8

40.9

HLF

48.7

36

12.7

FLF

28.3

21

7.3

% of present tense use

Change 9.1

Pre-Test

Post-Test

Change

HLH

82.1

63.4

18.7

HLF

89.3

79.1

10.2

FLF

91.9

84.4

7.6

Pre-Test

Post-Test

% of present progressive use

Change

HLH

2.7

2.8

.1

HLF

2.1

6.5

4.4

FLF

.3

0

–.3

% of preterit use

Pre-Test

Post-Test

Change

HLH

10.4

23.3

12.9

HLF

5.2

8.4

3.1

FLF

6.9

9.3

2.4

% of imperfect use

Pre-Test

Post-Test

Change

HLH

2.5

4.3

1.8

HLF

.8

2.1

1.3

.6

.6

FLF

0

Course satisfaction Participants completed a questionnaire that inquired about their level of satisfaction on 10 items related to the content and materials used in their Spanish course

LENSO-21

23/1/09

12:32

Página 339

Receptive bilinguals’ language development in the classroom

339

and the course in general. Overall, the HLH group showed the highest level of satisfaction, agreeing with almost all statements, followed by the HLF group, who had an average slightly above the ‘somewhat agree’ level, and then the FLF group, who was at the ‘somewhat agree’ level. The highest discrepancy among the groups was found in the statement that asked students if the course content addressed cultural topics that were relevant to them. The HLH group had the highest level of agreement, followed by the FLF group, while the HLF had the lowest (see Beaudrie 2006, for more details). The students’ comments about the course, content, and material further corroborate these results. HL learners in the FL course were dissatisfied with learning about Spanish cultures in the classroom, which were seen as foreign cultures irrelevant to their personal experiences and interests. Learners in the HL course, on the contrary, were satisfied learning about Hispanic cultures in the U.S., their heritage, and other cultures represented in the classroom. In the FL course, students felt there was too much emphasis on grammar and felt confused by the grammar explanations. Also, students saw discrepancies between the linguistic variety they grew up hearing and the one taught in the class and by the book. These two feelings were not experienced by HL learners in the HL course, who felt that all varieties were respected and were taught the language with which they are most familiar. According to the students, the FL course did not provide them with sufficient opportunities to speak in Spanish while the HL course provided opportunities to speak in both English and Spanish, while always encouraging the use of Spanish. Finally, learners in the HL course felt comfortable and non-threatened by other students because they felt they all had similar proficiency levels, experiences, and struggles. Some students in the FL course felt that other students in the course were not motivated. They also felt at a disadvantage due to the extensive knowledge of the language FL learners were perceived to have.

Discussion This study set out to determine whether there were any differential gains between the receptive bilingual HL learners enrolled in the HL track, those enrolled in the FL track, and FL learners enrolled in the FL track after one semester of instruction with respect to their linguistic development in measures of fluency, accuracy, and complexity, as well as other language-related variables. The groups received Spanish instruction with two types of curricula. The HLH group was instructed with a curriculum that featured a limited number of grammar forms and deemphasized accuracy while highlighting authentic oral interaction, communication, and confidence-building activities. The HLF and FLF groups, however,

LENSO-21

23/1/09

340

12:32

Página 340

Sara M. Beaudrie

received instruction with a curriculum that included an intense grammar and accuracy focus and the presentation of a large number of grammar structures while covering all skills, but primarily emphasizing writing. Although a discussion of the results on the language-related variables goes beyond the scope of the present chapter (see Beaudrie 2006), it is important to note that the HLH group was the group with the most positive attitude towards Spanish at the end of the semester, including positive feelings about its status in relation to other foreign languages, the role of Spanish in the students’ cultural identity, the importance of being bilingual, maintaining Spanish, and speaking in Spanish to their children. When the data is examined for each individual group, the results show that all groups made language development gains. They gained more skill with regard to fluency and complexity in the written mode, including the expression of tense and aspect. The HLH demonstrated accuracy gains in the written mode for one indicator (subject-verb agreement) but not for the other two (number and gender agreement). Both the HLF and FLF groups made small gains in these last two indicators. For oral development, all groups made gains in fluency but not in accuracy. They all produced more complex output by increasing their clausal subordination but only the HL groups gained complexity in their use of tense and aspect. In sum, though the gains in accuracy for all groups were limited, language development occurred for all groups in the areas of fluency and complexity. The analysis of the pre- and post-tasks data produced mixed results regarding the groups’ differential improvement in written and oral language. As to the former, only one of the three accuracy indicators, subject-verb agreement, yielded significantly higher gains for the HLH group. The other two groups instructed with the FL curriculum made minimal gains (HLF group) or negative gains (FLF group). The HLH group’s improvement in subject-verb agreement may be the result of their exposure to fewer grammar features in their course, which may have allowed them more time to develop increased accuracy in those to which they were exposed. Interaction is another factor that was prominent only in the HL classroom and may explain the gains with a feature of high communicative value. A repeated comment of the instructor and students in the HL track was how they constantly learned from each other in group activities. Prior research in SLA has shown benefits for learner-to-learner interaction in language development (Long 1996, Mackey 1999, among others). The precise benefits of interaction should now be explored in the HL context, using research findings from SLA studies as a starting point (see Lynch 2003a, 2003b). The trends suggested by the means obtained for the other two accuracy indicators in writing indicate the HLH group accuracy gains did not extend to other areas.

LENSO-21

23/1/09

12:32

Página 341

Receptive bilinguals’ language development in the classroom

341

The HLF and FLF groups obtained increased benefits, especially for number agreement. These are small gains that did not attain significance but suggest a positive trend may be explained by the written feedback that only these groups received. For these two grammatical features of low communicative value, written feedback through coded errors in the students’ writing appears to have produced benefits. The benefits of error feedback and its role in the HL context have been largely unexplored so far but certainly merit further investigation both for language as well as writing development. For fluency and complexity in writing, there were no significant differences among group types. The means shows a slightly higher improvement for the FLF group for the three fluency indicators. Even though the HLF group received the same type of instruction, they did not attain the same degree of improvement. This may be the result of a curriculum that did not incorporate HL learner’s writing needs. They may have had to deal with orthographic issues that slowed their fluency and resulted in smaller gains. The HLF group did have higher gains in complexity with respect to tense and aspect use. This group diversified their repertoire of grammar features by incorporating the preterit tense to a higher degree than the other two groups. Again, these gains did not prove to be statistically significant but suggest that participants obtained small benefits from the type of grammar instruction in the FL course. As we evaluate these benefits, it is important to note the confusion explicit grammar explanations caused to HL learners. In the case of most HL learners, contact with the language occurs in natural contexts where only authentic interactions take place. A classroom that follows cognitive learning strategies requiring a certain degree of metalinguistic awareness may, in fact, not be the most suitable for this population. Given that a focus on form appears to be necessary, especially for certain grammar features, a type of grammar instruction that combines students’ prior language experiences with a focus on form (see Doughty & Williams 1998 for the SLA context) may be more appropriate. Further research is essential to shed light on the effectiveness of different types of grammar instruction with HL learners who are still developing the HL language. For oral development, one of the four fluency indicators yielded significantly higher gains for both HL groups. For two indicators, reliance on English and speech rate, there were small non-significant benefits for the HLH group. For speech rate, the HLF group also had higher gains than the FLF group. For accuracy, no major gains were attained by any of the groups except for the HLH group who made a small gain in subject-verb agreement and the FLF group for gender agreement. None of these gains were found to be significant. For complexity, there were significant group differences. The HLH group achieved the highest

LENSO-21

23/1/09

12:32

342

Página 342

Sara M. Beaudrie

level of complexity by diversifying their use of grammar forms. The type of curriculum in the HL course with a focus on oral production appears to have resulted in increased but modest benefits for the HLH group, especially with respect to fluency and complexity. The HLF group also made gains in their oral development, especially in their ability to produce more discourse. This suggests that the extensive written practice in their course may have allowed transfer into their oral production. Similarly, the HLH group attained accuracy, complexity, and fluency gains in writing even though writing practice in the course was minimal. The relationship between the simultaneous language development of oral and written modalities is an area that needs further exploration at this point (Weissberg 2000) since little is known about how practice in one modality impacts the other. The results of this study lend tentative support to the positive impact of practicing in one modality to the benefit of another.

Conclusions This study has taken the first steps in exploring the language development of receptive bilingual HL learners. More specifically, it explored the effects of the curricular practices in two tracks of a Spanish program on the learners’ oral and written language development. The results show advantages for the HL curriculum in terms of its ability to meet the learners’ cultural and affective needs. Regarding the learners’ linguistic development, the mixed results obtained for the fluency, accuracy, and complexity measures investigated preclude us from singling out one type of curriculum that produced the most linguistic benefits. Both types of curricula produced gains on certain aspects. It is reasonable to conclude that, as already argued by other researchers (Lynch 2003a, 2003b), HL instruction for receptive bilinguals should employ methodologies from both SLA and HLA. The HL learners in the FL track benefited to some extent from the FL curriculum but did not outperform the other groups in language development. This may indicate that certain aspects of what was done in the FL classroom were beneficial for HL learners. It is open to further investigation to determine exactly which SLA methodologies can be adopted in the HL classroom and which need to be adapted or discarded. On the other hand, the HL learners in the HL track also benefited from the curriculum but did not consistently outperform the other groups in language development. It is important to keep in mind that the HL instruction adopted in the HL course examined in this study, including grammar instruction, was not grounded on any theory of HL re-acquisition or development. In fact, such a theory does not exist at this point (Valdés 2007). As a result, HL instruction was based on the teacher’s own instincts on appropriate method-

LENSO-21

23/1/09

12:32

Página 343

Receptive bilinguals’ language development in the classroom

343

ologies for HL development. It is clear that further investigation needs to be conducted before we can begin to understand the complexities of HL learners’ language development and the precise pedagogical interventions that are most suitable for them. This study raises many questions for further investigation, some of which have already been discussed. A research agenda in this area should begin with a linguistic comparison of the similarities and differences among elementary-level FL learners and receptive bilingual HL learners. Only then can we explore the most effective ways to aid their language development without losing sight of the fact that, despite the similarities these groups may have in their production, their paths to acquisition/loss have been fundamentally very different. In this respect, the learners’ prior type of contact with Spanish (with overhearing, listening, or production opportunities) may have differential effects on their current language competence and needs to be investigated to determine how it impacts the learners’ passive knowledge and future language development. In sum, given the benefits of the HL curriculum in cultural and affective areas as well as the modest language gains obtained, the inclusion of receptive bilinguals in HL programs may be a desirable option for programs who can afford the expansion of their existing tracks. At the same time, the adoption of certain FL methodologies in the HL classroom for receptive bilinguals may be beneficial and should be further explored. It is hoped that this study sparks the interest of researchers and practitioners alike to search for the most appropriate ways to meet the pedagogical needs of this population of students and further investigate their linguistic competence and development.

References ALONSO, Ester (1997): “Testing the oral proficiency of bilingual speakers of Spanish according to ACTFL guidelines”, in: Hispania 80(2), 328-341. BEAUDRIE, Sara (2006): Spanish heritage language development: A causal-comparative study exploring the differential effects of heritage versus foreign language curriculum. Doctoral Dissertation. Tucson: University of Arizona. BEAUDRIE, Sara/DUCAR, Cynthia (2005): “Beginning level university heritage programs: Creating a space for all heritage language learners”, in: Heritage Language Journal 3, 1-26. CARREIRA, Maria (2004): “Seeking explanatory adequacy: A dual approach to understanding the term ‘Heritage Language Learner’”, in: Heritage Language Journal 2, 1-25. DOUGHTY, Catherine/WILLIAMS, Jessica (eds.) (1998). Focus on form in classroom second language acquisition. Cambridge: Cambridge University Press.

LENSO-21

23/1/09

344

12:32

Página 344

Sara M. Beaudrie

GAY, L. R./AIRASIAN, Peter (2000): Educational research: Competencies for analysis and applications. Upper Saddle River: Pearson Education. HUNT, Kellogg (1965): Grammatical structures written at three grade levels. Champaign: The National Council of Teachers of English. LIPSKI, John (1993): “Creoloid phenomena in the Spanish of transitional bilinguals”, in: Lipski, John/Roca, Ana (eds.): Spanish in the United States: Linguistic contact and diversity. New York: Mouton de Gruyter, 155-182. LONG, Michael (1996): “The role of linguistic environment in second language acquisition”, in: Ritchie, William/Bhatia, Tej (eds.): Handbook of second language acquisition. New York: Academic Press, 413-468. LYNCH, Andrew. (2003a): “The relationship between second and heritage language acquisition: Notes on research and theory building”, in: Heritage Language Journal 1, http://www.heritage languages.org. — (2003b): “Toward a theory of heritage language acquisition: Spanish in the United States”, in: Roca, Ana/Colombi, Maria Cecilia (eds.): Mi lengua: Spanish as a heritage language in the United States. Washington: Georgetown University Press, 25-50. MACKEY, Alison (1999): “Input, interaction, and second language development”, in: Studies in Second Language Acquisition 21, 557-587. MAYER, Mercer (1974): Frog goes to dinner. New York: The Dial Press. MAYER, Mercer/MAYER, Marianna (1969): One frog too many. New York: Penguin Young Readers Group. MYERS-SCOTTON, Carol (2006): Multiple voices: An introduction to bilingualism. Malden: Blackwell. POTOWSKI, Kim (2005): Fundamentos de la enseñanza del español a hispanohablantes en los EE.UU. Madrid: Arco Libros. SAMANIEGO, Fabian et al. (2006): ¡Dímelo Tú! Forth Worth: Harcourt Brace College Publishers. — (2005): El mundo 21 hispano. Boston: Houghton Mifflin. VALDÉS, Guadalupe (2001): “Heritage language students: Profiles and possibilities”, in: Peyton, Joy/Ranard, Donald/McGinnis, Scott (eds.): Heritage languages in America: Preserving a national resource. McHenry: Delta Systems, 37-80. — (2005): “Bilingualism, heritage language learners, and SLA research: Opportunities lost or seized?”, in: Modern Language Journal 89(3), 410-426. — (2007): “Making connections: Second language acquisition research and heritage language teaching”, in: Salaberry, Rafael/Lafford, Barbara (eds.): The art of teaching Spanish: Second language acquisition from research to praxis. Washington: Georgetown University Press, 193-212. VAN DEUSEN-SCHOLL, Nelleke (2001): “Towards a definition of heritage language: Sociopolitical and pedagogical considerations”, in: Journal of Language, Identity, and Education 2(3), 211-230. W EISSBERG , Bob (2000): “Developmental relationships in the acquisition of English syntax: Writing vs. speech”, in: Learning and Instruction 10, 37-53.

LENSO-21

23/1/09

12:32

Página 345

Receptive bilinguals’ language development in the classroom

345

WOLFE-QUINTERO, Kate/INAGAKI, Shunji/HAE-YOUNG, Kim (1998): Second language development in writing: Measures of fluency, accuracy, and complexity. Honolulu: University of Hawaii, Second Language Teaching & Curriculum Center.

LENSO-21

23/1/09

12:32

Página 346

LENSO-21

23/1/09

12:32

Página 347

THE SOUND OF SILENCE: SPANISH HERITAGE TEXTBOOKS’ TREATMENT OF LANGUAGE VARIATION CYNTHIA DUCAR Bowling Green State University

The present study undertakes a Van Dijk (1985) style critical discourse analysis (CDA) of the presentation and discussion of language in four of the most popularly used intermediate university Spanish Heritage Language (SHL) textbooks. The analysis focuses on textbook treatment of sociolinguistic processes and variation common to U.S. varieties of Spanish. Findings reveal that although lexical variation, subject pronoun variation, and regularization processes are discussed in the various textbooks, these discussions continue to marginalize U.S. varieties of Spanish by defining appropriate and inappropriate contexts for their use. A close CDA-based inspection of SHL textbooks reveals a favorable prejudice toward a pseudo-Castilian Spanish. The promotion of this dialect serves to silence students’ dialects by relegating their use to the home environment and effectively stifling such varieties in larger contexts of use. The current study concurs with the findings of Fonseca-Greber and Waugh (2002): textbook language should not be based on an idealized or prescriptive reference grammar, but rather should find its origins in the results of “rigorous corpus analysis” (p. 118). It is argued that a more in-depth discussion of language variation, with a specific focus on regularized grammatical practices present in U.S. Spanish-speaking communities combined with open discussions of the political and social underpinnings of language prejudice, is still lacking in today’s SHL textbooks. It is suggested that ethnographic approaches, inter-dialectal conversations, and bi-directional translation activities can be implemented in the classroom in order to address some of these concerns and provide a stepping stone for increased sociolinguistic competence in the SHL classroom.

Introduction The prominence of the Hispanic population in the United States is evident, but nowhere is its presence in more urgent need of attention than within the realm of

LENSO-21

23/1/09

348

12:32

Página 348

Cynthia Ducar

education (Valdés 1995, 2000, Peyton et al. 2001, Carreira 2003, Roca & Colombi 2003). As “Spanish textbooks are the central classroom literature that drives instructional scope and sequence” (Pardiñas-Barnes 1998: 230), a thorough evaluation of the textbooks employed in SHL classes is a must. Such an analysis is particularly pertinent at the university level, where many heritage speakers encounter their first interaction with academic and foreign varieties of Spanish. A glimpse at the literature and a step inside most university SHL classrooms reveal that a pressing goal in SHL classes, and indeed the most discussed topic in SHL research, is second dialect acquisition (Valdés et al. 1981, Valdés 1995, Hidalgo 1990, 1997, Aparicio 1993, Villa 1996, 2002, Martinez 2003). Although many researchers have engaged in macro-level discussions of the language being taught in SHL programs, to date no one has examined the specific language features taught in SHL textbooks. Although the teaching of a standard dialect in the SHL context remains a hot topic, no critical studies of the treatment of U.S. dialects of Spanish in SHL textbooks have been conducted. The absence of research in this area is alarming, considering that respect of student dialects and acquisition of a standard dialect are two of the most highly regarded and cited goals of the field.1

The study The present study addresses this gap in the research by using critical discourse analysis (CDA) to analyze the treatment of language in four popular intermediate university SHL textbooks: Español escrito by Valdés and Teschner (2003), La lengua que heredamos by Marqués (2005), Mundo 21 hispano by Samaniego et al. (2005), and Nuevos mundos by Roca (2005a, 2005b). These four texts were selected after surveying 34 institutions with established intermediate level SHL programs and/or classes (see Valdés et al. 2006 for corroborating information on popular SHL textbooks). Each text was analyzed following Van Dijk’s CDA methodology (1985), where CDA is defined as the linguistically-based analysis of texts to reveal the underlying discursive sources of power, dominance, inequality, and bias evidenced therein. Two research questions guided this analysis: (1) What sociolinguistic processes common to U.S. varieties of Spanish are addressed in the textbooks? and (2) Which varieties of Spanish are promoted or demoted by the texts?

1

I follow Lippi-Green (1997) in my discussion of the standard. She defines the standard language as “[…] a bias toward the abstract, idealized, homogenous spoken language which is imposed and maintained by dominant bloc institutions and which names as its model the written language, but which is drawn primarily from the spoken language of the upper middle class” (p. 64).

LENSO-21

23/1/09

12:32

Página 349

The sound of silence

349

Following Huckin (1997), the four texts were initially analyzed for sheer quantity of text devoted to discussions of any and all sociolinguistic features common to U.S. varieties of Spanish. After this initial analysis, the features treated most extensively across all textbooks were further analyzed to reveal the texts’ orientation toward different varieties of Spanish. All of the textbooks included extensive treatment of lexical variation (minimum of 5 pages per text), while pronominal variation and regularization of the second person singular preterit tense clearly received less extensive treatment. These three features, however, received the most treatment across all four textbooks analyzed. No other features common to U.S. varieties of Spanish (as per Silva-Corvalán 2001) were discussed in such explicit detail. The following table shows the quantity of text devoted to each topic. TABLE 1 A quantitative look at the treatment of variation in U.S. varieties of Spanish across textbooks Español escrito

La lengua que heredamos

Mundo 21 hispano

Nuevos mundos

Lexical variation

Extensive

across

all

texts

Subject pronoun variation (vos and vosotros)

one paragraph

one paragraph

one page

three pages

Regularization of the 2nd person singular form in the preterit tense

one footnote

one footnote

one footnote

not discussed

Each text was individually analyzed for its treatment of each of the aforementioned topics, as evidenced by lexical choice, grammatical structure, perspective (i.e. who addresses whom), implication (what the reader is being asked to do) and omissions. A CDA methodology was deemed to be more appropriate than a regular discourse analysis, as the intent of CDA is to demonstrate how discourses construe aspects of the world, in this case language, in inherently selective and reductive ways, thereby ‘condensing’ complex realities (Harvey 1996). The current analysis uses CDA not only to demonstrate what is occurring within the texts, but also to note what is absent from them. The analysis concludes with a discussion of the exercises that were employed in all texts as a summary of the respective textbooks’ underlying attitudes toward language variation while rais-

LENSO-21

23/1/09

12:32

350

Página 350

Cynthia Ducar

ing questions for future authors, publishers, and students. The debate raised here extends beyond the confines of the SHL context to the larger Spanish as a foreign language (SFL) reality, posing questions that we all must consider.

Previous research Though there are no previous studies looking at the treatment of language in SHL textbooks from a CDA perspective, several studies of foreign language textbooks provide insight into the questionable nature of the version of Spanish presented in typical SFL textbooks. Wieczorek’s analysis of 13 beginning to advanced level SFL textbooks finds that textbooks provide “varying or misleading intuitions about dialects of Spanish” (1992: 34). In fact, certain morpho-lexical elements of various dialects of Spanish are completely ignored (i.e. the ‘vos’ pronoun and corresponding conjugations). Wieczorek’s findings support the claim that today’s SFL textbooks continue to promote a Castilian-based dialectology of Spanish, and thus both obliterate and invalidate other dialects of Spanish. Research on a wide range of foreign language (FL) textbooks has called for an analysis of the language employed therein. Rings’ (2000) analysis of German textbooks concludes that real language, unlike textbook language, is not “produced in a vacuum” and argues for the inclusion of extra-linguistic material to aid in meaning comprehension (2000: 187). Fonseca-Greber and Waugh (2002, 2003) contrasted a corpus-based data set of spoken French with the French found in FL textbooks, focusing specifically on subject pronouns. The authors conclude that “the spoken French taught in American classrooms is a fiction, based on ideas about how people should speak, not on how they do speak” (2002: 118, my emphasis). The researchers contend that textbook language should not be based on an idealized or prescriptive reference grammar, imparting an elusive mythical standard, but rather should derive from “rigorous corpus analysis” (2002: 118). Clearly, corpus-based textbooks are necessary in both heritage language (HL) and FL contexts if we want our students to develop as active participants in the sociolinguistic reality that surrounds them.2 Another concrete example of the need for more sociolinguistically informed textbooks can be found in Mason and Nicely’s research on textbook treatment of the Spanish subject pronominal system (1995). Similar to Wieczorek (1992), they cite misrepresentations of the Spanish subject pronominal system, finding

2

The alternative is to develop a passive competency in a variety of ‘book Spanish’ that may not be as useful for their everyday lives.

LENSO-21

23/1/09

12:32

Página 351

The sound of silence

351

that, though treatment of ‘vosotros’ was extensive across texts, the ‘vos’ pronoun was all but absent from the 37 first year Spanish textbooks analyzed. In fact, only 16% of the texts studied mention the pronoun ‘vos’. As the researchers point out, Given that the population of Spain is approximately 39.1 million and the combined populations of the eight countries where vos is dominant is over 69.1 million, students are at least as likely if not more likely to have contact with a native speaker who uses vos than one who uses vosotros. (Mason & Nicely 1995: 361)

Due to the increasing number of voseo users in the U.S., and particularly in SHL classrooms, it is imperative that this issue be addressed in SHL texts.3 Lastly, the recent study by Leeman and Martinez (2007) both addresses and simultaneously demands the need for further research on SHL textbooks. Their study, investigating the language ideologies projected in SHL textbooks’ titles and prefaces across the span of the last 30 years, finds that the ideological focus in such textbooks has shifted from the local and issues of identity to the global marketability of Spanish. Interestingly, these researchers found that the one constant in both past and present SHL textbooks is the imposition of a standard language ideology (Lippi-Green 1997). The current study corroborates this finding, as there is little or no discussion of the numerous regional varieties of standard Spanish across the texts studied. In fact, the language presented in recent SHL textbooks mimics a sterilized, global variety of Spanish akin to the mystical notion of standard Spanish.

Results LEXICAL VARIATION: SE DICE VS. NO SE DICE In the current study, all four SHL texts studied do address some aspects of linguistic variation. These texts continue to focus on lexical aspects of variation perhaps due to its saliency, emphasizing borrowings from English in U.S. varieties of Spanish while cautioning against using these words in monolingual contexts. While Español escrito treats lexical variation within narrated stories, the rest of the textbooks all treat cases of so-called ‘false cognates’ extensively, spending multiple

3

See United States Bureau of the Census 2005 data at http://factfinder.census.gov/servlet/ DTTable?_ bm=y&-geo_id=01000US&ds_name=ACS_2005_EST_G00_&mt_name= ACS_2005_EST_G2000_ B03001. Whereas well over three million people identify themselves as being from known voseo-using nations, well under one million self-identify as being of Spanish origin.

LENSO-21

23/1/09

352

12:32

Página 352

Cynthia Ducar

pages listing ‘problematic’ words. As Mundo 21 hispano declares, “el aprender el verdadero significado de estos cognados los va a ayudar muchísimo a evitar situaciones vergonzosas […]” (Samaniego et al. 2005: 198, my emphasis). This idea is reiterated across the texts, while the appropriate usage of these same words in bilingual communities is ignored. As SHL teachers, researchers, authors, and publishers, we must bear in mind that our students have been using these words their whole lives. Equating students’ use of Spanish with embarrassing situations does not begin to explain the complex sociolinguistic reality behind lexical variation. La lengua que heredamos is the only text to address the numerous forms that lexical variation can take. In what seems to be a partial summary of Silva-Corvalán’s work on lexical variation in U.S. Spanish, the Marqués text addresses three types of lexical variation: (1) English words that have been ‘Spanish-ized’ (hold-up à ‘jolopo’), (2) semantic extension of pre-existing Spanish words (cavity à ‘cavidad’), and (3) literal translation (to run for office à ‘correr para representante’). Again, misunderstandings are cited as the main reason for learning the ‘standard’ meanings of such phrases: “Aquí nos ocuparemos de los préstamos que ocurren en el español que se habla en los Estados Unidos y que los otros hispanohablantes no familiarizados con ellos tendrán dificultades en comprender” (Marqués 2005: 50).4 With the exception of Nuevos mundos, the burden of making one’s self understood consistently rests with the SHL student. It is his or her variety of Spanish which is assumed to be confusing and needing repair. Mundo 21 hispano, in addition to addressing the topic of false cognates, also addresses the topic of ‘arcaísmos’. Yet, even the title of the section in which the discussion unfolds is telling: Variantes coloquiales: lengua campesina. Such ‘arcaísmos’, though prominent in the Spanish of many major U.S. cities, are thus equated with the language of farmers or rural people and are considered both antiquated and uneducated, as “hoy se han dejado de usar en las grandes metrópolis” (Samaniego et al. 2005: 128). Simply because the evolutionary patterns of U.S. Spanish do not mirror those of its peninsular counterpart does not mean that one is more archaic or modern than the other. In fact, one could argue that the vast amount of borrowing in the technology domain of U.S. Spanish makes the language more modern than its peninsular counterpart. Lexical variation, as portrayed in these textbooks, is both problematic and archaic, despite the fact that such variation is widespread across all Spanish-speaking communities. As linguists have argued time and again, though lexical variation is the least systematic of all variation, lexical variants pose little difficulty in actual commu-

4

I have collapsed Marqués’ 3rd and 4th points into one, following Silva-Corvalán (2001).

LENSO-21

23/1/09

12:32

Página 353

The sound of silence

353

nicative circumstances. A mere paraphrase clears up most lexical confusion in cross-dialectal conversations. As Carreira points out; With their nearly exclusive focus on […] the lexicon, existing linguistic activities are limited in their ability to demonstrate three important linguistic principles. These are: (a) the nonlinguistic basis of language prejudice, (b) the linguistic validity of all dialects of a language, and (c) the relatively small number of linguistic differences that separate the variants of Spanish. (2000: 4)

These principles are at the heart of SHL teaching and learning. Rather than basing the discussions within the texts on the extensive and growing body of sociolinguistic research focused on borrowings, calques, and code-switching, the texts align themselves with the preferred terminology of SFL instruction by using the term false cognates. Moreover, the texts fail to acknowledge the extensive body of research on lexical variation altogether,5 thereby ignoring the long-standing distinction between established borrowings and nonce borrowings.6 All the texts focused on what sociolinguistic researchers’ term established borrowings; such words are considered a legitimate part of the typical U.S. Spanish-English bilingual lexicon. Yet the well-established nature of these words is masked by the terminology used to discuss them in the textbooks. The texts’ overbearing focus on the lexicon obfuscates the commonalities that hold across all varieties of Spanish (cf., Carreira 2000).

THE PRONOMINAL SYSTEM: VOSOTROS AND VOSEO, VYING FOR A VOICE The question arises then as to what variety of Spanish is presented in SHL textbooks? Before continuing with this discussion, let us first look briefly at the subject pronominal system in Spanish (see Table 2). Rarely, if ever, do textbooks (SHL and SFL alike) present the Spanish pronominal system in this way. In fact, most textbooks, and indeed most Spanish classrooms, tend to ignore the use of ‘vos’ altogether (Mason & Nicely 1995). Yet, this second person singular pronoun is widely used (see Lipski 2000). The current analysis reveals that Wiezoreck’s (1992) and Mason and Nicely’s (1995) findings are very much mirrored by SHL textbooks; the language promoted in SHL textbooks emulates a Castilian-based variety of Spanish, as evidenced

5 6

For those interested in this topic, the following readings may serve as a point of departure: Weinreich (1953), Poplack et al. (1988), Smead (1998), Silva-Corvalán (2001). I follow Poplack et al. (1988) in her definition of nonce borrowings.

LENSO-21

23/1/09

12:32

Página 354

354

Cynthia Ducar

TABLE 2 The Spanish subject pronominal system English

Spanish Singular

Spanish Plural

I/we

Yo

Nosotros(as)

You

Tú (familiar) Vos (familiar) Usted (formal)

Vosotros(as) (familiar) Ustedes (familiar and formal)

Él/Ella

Ellos/Ellas

He/She/They

by the presence of the ‘vosotros’ pronoun and its corresponding verbal forms. All of the textbooks analyzed mention ‘vosotros’. In some cases, the textbooks require student production of the form in formal exercises, while in others, recognition or comprehension of the form is all that is required. TABLE 3 Treatment of the vos pronoun in four SHL textbooks Español escrito

La lengua que heredamos

Mundo 21 hispano

Nuevos mundos

Explicit discussion of vos and vosotros

1 paragraph

1 paragraph

1 page

3 pages

Vosotros in verb conjugations

ø

Presented with all verb conjugations

Presented with all verb conjugations

ø

Vos in verb conjugations

ø

ø

ø

ø

The imposition of the ‘vosotros’ form in an SHL environment is questionable, as the use of ‘vosotros’ is restricted to peninsular varieties (see Lipski 2000). In contrast, ‘vos’ is dominant in at least eight Spanish-speaking countries, and used by a minimum of 69.1 million people (Mason & Nicely 1995). The probability that students will come in contact with ‘vos’ is in fact far greater than the likelihood of contact with ‘vosotros’ (Mason & Nicely 1995). This is even truer in the SHL context where students have increased interactions with the Spanish-speaking community of the U.S., a community much more likely to use ‘vos’ than ‘vosotros’.

LENSO-21

23/1/09

12:32

Página 355

The sound of silence

355

A discussion of the treatment of Spanish subject pronouns would not be complete, therefore, without addressing the issue of the voseo. ‘Vos’, like ‘vosotros’, is addressed in all the SHL textbooks studied. Yet, unlike the treatment of ‘vosotros’, the corresponding grammatical forms for the ‘vos’ pronoun are not discussed in three out of the four SHL textbooks. In general, the textbooks acknowledge the existence of ‘vos’ without an in-depth explanation of its use and forms. One example of the treatment of ‘vos’ can be found in the workbook that accompanies the Nuevos mundos text. The following excerpt shows how the voseo is presented to the students: El voseo: El vos se usa en lugar de tú o ti en ciertas regiones de América Latina, sobre todo en Argentina, Uruguay, Paraguay, en partes de México, y también en Centroamérica (Costa Rica, Nicaragua, Guatemala). Observe cómo cambia el uso de los verbos en el segundo ejemplo. –El regalo es para vos. (El regalo es para ti.) –Vos tenés muchísima suerte, ¿lo sabés? (Tú tienes muchísima suerte, ¿lo sabes?) –Quisiera ir al cine con vos esta noche. (Quisiera ir al cine contigo [...]) (Roca, 2005b: 9)

Though the notion that ‘vos’ is used in numerous countries is conveyed, its complex sociolinguistic reality is masked by this brief treatment. In light of the fact that there are a growing number of voseo users present in the U.S., a more indepth treatment of the complexity of this pronominal form and its morphological repercussions is glaringly absent across all texts studied. The treatment of the voseo in Mundo 21 hispano is the most in-depth grammatical treatment, yet it is one of the weakest sociolinguistically. The text initially (misre)presents the pronoun ‘vos’ as lexical variation. It then goes on to state that verbal forms are affected by the use of the pronoun, offering the most common endings in the present indicative (-ás, -és, -ís) the present subjunctive (comprés, vendás, vivás), and the imperative forms (comprá, queré, vení). In a footnote, the text acknowledges that variation is possible in the verbal endings used with ‘vos’. Yet despite this comparatively extensive grammatical treatment, there is no explanation of the use of the ‘vos’ form; it is merely mentioned as a possible choice instead of the ‘tú’ form. Of course, this is a gross simplification of a complex sociolinguistic decision. As Lipski points out, “in at least some part of every Latin American nation except for Puerto Rico and the Dominican Republic, the pronoun ‘vos’ is used instead of or in competition with ‘tú’ for familiar usage; at least six different sets of verbal endings accompany voseo usage” (2000). The complexity of this linguistic situation cannot be watered down to a mere two-

LENSO-21

23/1/09

356

12:32

Página 356

Cynthia Ducar

page mention, as is the case here, or worse yet, to the paragraph or footnote style explanation offered in the other texts. The prominence of the voseo is growing, as are the number of immigrants from the voseo region of Central America to the U.S. Textbooks need to address and validate this form, and acknowledge its prominence in the Spanish-speaking world. The absence of the voseo in all other parts of the textbook and its virtual absence across textbooks show a continued bias toward outside, peninsular varieties of Spanish (see also Wieczorek 1992, Mason & Nicely 1995). Clearly, this is an issue that needs to be addressed not only in SHL textbooks, but in SFL texts as well. The limited usage of the ‘vosotros’ form is acknowledged in La lengua que heredamos: “Vosotros, vosotras se usa en ciertas regiones de España como plural de tú, pero es de poco uso en Hispanoamérica, donde se prefiere la forma ustedes” (Marqués 2005: 360). However, despite this acknowledgement, the textbook includes the ‘vosotros’ form for all verbal conjugations. Though students are not asked to produce the form in any of the follow-up exercises, its omnipresence in the text is indicative of its perceived elevated status. The relative absence of the pronoun ‘vos’ and its corresponding grammatical forms is again glaring. The only mention of the form comes in a reading on the history of the evolution of the Spanish language: Otras peculiaridades propias del español que se habla en América son el voseo y el yeísmo. El uso del vos en sustitución del tú y ustedes está muy difundido en algunas regiones de Centro y Sudamérica. En la Argentina el voseo tiene una modalidad especial (vos sos). Si usted ha visto alguna película argentina o conoce a algún argentino, probablemente haya notado este uso. (Marqués 2005: 7, my emphasis)

Again, the complex nature of the ‘vos/tú’ distinction is obliterated by the simplified definition provided by the text and its continued invisibility therein. The use of the noun, peculiaridades, emphasizes the unusual nature of this pronominal variant, rather than highlighting its widespread usage. According to this text, and many of the others, the voseo is unworthy of study. Español escrito provides their readers with a schema of subject pronouns that does not include either the ‘vosotros’ or the ‘vos’ forms that have been discussed to this point. The text does acknowledge both forms in the following way however: Hay dos pronombres personales de sujeto que aquí no se presentaron: vosotros/vosotras y vos. Vosotros y vosotras –pronombre personal de segunda persona familiar plural– se emplean profusamente entre españoles; los hispanoamericanos, en cambio, no los usan. Vos–pronombre personal de segunda persona familiar singular– se usa en lugar de tú en la Argentina, el Uruguay, Costa Rica, Nicaragua, Honduras y El Salva-

LENSO-21

23/1/09

12:32

Página 357

The sound of silence

357

dor y se usa conjuntamente con tú en Guatemala, Chile y Ecuador. (Valdés & Teschner 2003: 152)

The only other mention of ‘vos’ occurs in a footnote in a narrated story, much later in the text, where similar information is reiterated. Español escrito chooses to address the issue of subject pronoun variation briefly, emphasizing what the authors perceive to be the most widely used forms in the language. The privileging of ‘vosotros’ over ‘vos’ is one of the more observable aspects of linguistic discrimination present not only in SHL texts, but in SFL texts as well. Additionally, the lack of discussion of the variation inherent in the Spanish subject pronominal system highlights the importance of equipping newer textbooks with relevant sociolinguistic research and information. In order for students and teachers alike to make the most educated and informed decisions about which sort of Spanish they wish to use in diverse situations, something as salient as pronominal variation could easily be addressed and used as a point of departure for a discussion on the tangible effects of sociolinguistic variation. The absence of the ‘vos’ pronoun and its corresponding grammatical forms and the continued predominance of the ‘vosotros’ form despite its restricted area of use, serve to reinforce the prejudices against U.S. varieties of Spanish, while strengthening the importance of an already powerful variety of the language. The discussion of pronominal usage in Spanish and its manifestations across SHL textbooks serves to show us just how these structures of power can affect our own understandings of what is correct and appropriate Spanish. The continued promotion of Castilian Spanish is brought into question here not because it is not a valid form deserving discussion in its own right. Indeed it is! However, its utility as the main variety of Spanish in the SHL context (and even in SFL contexts) is questioned. A more in-depth sociolinguistic discussion of the realities of pronominal variation in the Spanish-speaking world in today’s textbooks should be used as a point of departure for furthering both students’ and teachers’ understandings of the complex and powerful nature of sociolinguistic variation. A small restructuring of the presentation of varieties of Spanish in SHL textbooks could result not only in a textual form of validation for U.S. varieties of Spanish, but also in increased awareness of the potent role of sociolinguistic variation in society at large.

REGULARIZATION PROCESSES IN U.S. SPANISH: ¿A DÓNDE FUISTES? Though the processes of regularization and rule-generalization are again welldocumented in the sociolinguistic literature, the SHL textbooks, which choose to

LENSO-21

23/1/09

358

12:32

Página 358

Cynthia Ducar

treat this topic, do so briefly, with no reference to the research which has been done in the field. As Silva-Corvalán states, “en situaciones de contacto de lenguas, los bilingües desarrollan diversas estrategias con el propósito de hacer más liviana la carga cognitiva” (2001: 272). One of the strategies Silva-Corvalán discusses in-depth is that of over-generalization of linguistic forms which tend to follow a regularization pattern. This is the case of the 2nd person singular (‘tú’) verb endings in the preterit tense in many varieties of Spanish, including those of U.S. origin. As Silva-Corvalán points out, the addition of an –s to the 2nd person singular preterit form (‘fuistes’), or the elision of an –s in this same form (‘fuites’) is not characteristic of U.S. Spanish alone, but rather of vernacular varieties of Spanish in general (2001: 320). In fact, what the textbooks make out to be an idiosyncrasy of U.S. Spanish is, in fact, a widely attested phenomenon in both bilingual and monolingual parts of the Spanish-speaking world. The three SHL textbooks, which treat the topic of 2nd person preterit regularization, all do so in brief notes directed toward their readers. In La lengua que heredamos, the issue is treated in a footnote: “Debe ponerse cuidado en no agregar s a la segunda persona del singular. Debe decirse dijiste y no dijistes” (Marqués 2005: 248). Again, this de-contextualized reprimand does not begin to explain the wide-spread sociolinguistic reality of this phenomenon. Nor does it explain to students why such a usage is stigmatized in certain realms. In fact, it even discourages students from continuing to use this form within the home context. According to the text, ‘dijistes’ should not be used, period. In Mundo 21 hispano, the regularization of the 2nd person singular preterit form is treated in one of the notes directed at hispanohablantes accompanied by the following warning: “Es importante evitar este uso fuera de esas comunidades y en particular al escribir” (Samaniego et al. 2005: 168, my emphasis). This treatment, again, does not begin to acknowledge the wide-spread realities of this phenomenon, and in fact, treats it as it does all other language-related variation by confining the use of the variable to those communities in which such a variety of the language is used. The use of the demonstrative adjective ‘esas’ serves to differentiate the authors from their readers, while simultaneously prohibiting the use of this form outside of those communities. Follow-up exercises require students to choose between the two variants: ‘pasaste vs. pasates’; naturally, the text accepts only one correct answer, reaffirming the notion that the students’ Spanish is somehow wrong or inferior. Rather than using this variant as a point of departure for a discussion of language variation, the appropriateness argument of the text is again reiterated, and the corrective method is again employed. Unlike lexical variation, syntactic regularization processes are quite systematic and even predictable across language varieties. Yet rather than using this as a teachable

LENSO-21

23/1/09

12:32

The sound of silence

Página 359

359

moment, the text chooses to correct the variant and dismiss it as a peculiar behavior of certain Spanish-speaking communities, ones to which the authors do not belong. In fact, this same disturbing warning (Es importante evitar este uso fuera de esas comunidades y en particular al escribir) is found in the text 72 different times. The harsh message sent to SHL students rings through loud and clear.7 The treatment of the same phenomenon in Español escrito is much less prescriptive, and in fact, acknowledges the widespread use of the form, again, in a footnote: El uso […] de estas formas populares [de la segunda persona singular informal del pretérito] está muy extendido en la sociedad actual. Hasta puede decirse que es la forma preferida del habla coloquial. Sin embargo, el español escrito (que se basa siempre en el uso normativo) no lo admite a menos que el escritor procure imitar el lenguaje coloquial en citas directas. (Valdés & Techsner 2003: 191)

Although this explanation is the only one that goes to any length to describe the widespread use of the phenomenon in question, it remains buried in the text as a footnote, likely to be ignored by the student reader. Lastly, Nuevos mundos does not treat this particular process of regularization and that too is important to acknowledge. By not even acknowledging the existence of such a common form in the language, the text both denies the form’s existence and ignores an important process of language variation present in the language varieties of many SHL students. The fact that common practices, such as the regularization of the 2nd person singular preterit form, are either ignored by texts or addressed in a footnote, does little to promote an increased appreciation of the variety of Spanish students bring to the classroom. Although such processes could easily result in critically-based discussions of language variation and sociolinguistic processes, none of the texts take advantage of the opportunity at hand. Indeed, mention of the widespread nature and the regularity of processes like these could also aid the SHL teacher, who might not be privy to such sociolinguistic knowledge. By adding a component like this, textbooks could address two issues prevalent in today’s SHL classrooms; namely, they could (1) combat students’ linguistic insecurities by validating student varieties using sociolinguistic data and (2) raise teachers’ sociolinguistic awareness. The pedagogical benefits of such a change would be far-reaching. Corpus-based textbooks are essential not only to provide our stu-

7

In this case, and in all cases, I am not insinuating that such a comment is intentional on either the part of the authors or the publishers. Rather, I am calling for more care in the language used when dealing with sensitive sociolinguistic issues in future texts.

LENSO-21

23/1/09

12:32

Página 360

360

Cynthia Ducar

dents with a more accurate language base, but also to validate student varieties while increasing both students’ and teachers’ sociolinguistic awareness.

ONE WAY TRANSLATION: OURS IS BETTER THAN YOURS As shown here, language variation is discussed to some degree in all four of the SHL texts under investigation. Three of the texts also share the common thread of incorporating identical style activities to raise students’ awareness of the differences that exist between monolingual and bilingual varieties of the language. After a brief explanation of the type of variation present in a given variety of Spanish, the textbooks then present their readers with an exercise written in that type of Spanish (though all are quick to mention that writing in such a variety is rare, and used predominantly for stylistic purposes in literature). In each case, the written exercise requires the students to ‘translate’ from the local variety into ‘more formal’ Spanish (see Appendix A for a sample activity). Such unidirectional translation practices go directly against the premises of critical language awareness. As Leeman states, “Crucially, instructors need to avoid the one-way ‘translation’ of non-prestige forms into more normative linguistic features” (2005: 41). Exercises of this nature serve to silence language variation yet again. Leeman points out that this silencing is “enacted in part through a unitary focus on the norms of the standard language” (2005: 41), and is representative of a hidden linguistic prejudice. As Carreira states: Activities that focus on issues such as dialectal variation and linguistic prejudice against U.S. Spanish have been argued to be powerful and much-needed tools in promoting effective communication among the dialectically diverse communities of Spanish speakers in the United States, and in enhancing the linguistic self-esteem of students. (2000: 3)

Rather than emphasizing the differences that exist between standard varieties and U.S. varieties of Spanish, textbooks and programs should be focusing on the similarities between the two. The major differences that exist between language varieties are typically not linguistic in nature, but rather social and political, yet these topics remain ignored in many of the SHL textbooks.

Pedagogical implications This study does not intend to belittle the texts that we currently have available in the SHL context. Rather, it is intended to help those texts grow and evolve in order to more adequately meet the needs of the population they are intended to

LENSO-21

23/1/09

12:32

The sound of silence

Página 361

361

serve. I am by no means suggesting that the authors of these texts have intentionally framed the treatment of U.S. varieties of Spanish in a negative manner. I am, however, suggesting that the discourse surrounding U.S. varieties of Spanish reiterates the dominant discourse on this topic found in wider political, media, and educational realms. This discourse utilizes certain repetitious aspects that have become ‘naturalized’ and which in fact aid in the rapid and unquestioning consumption of the ‘facts’ and ideas presented therein. Clearly, there is room for improvement in the treatment of language not only in SHL textbooks but in SFL textbooks as well. In part, a simple heightening of awareness of the complexity of linguistic issues would serve to create a more balanced presentation of language across such texts. The following pedagogical suggestions will hopefully bring us closer to presenting a more realistic picture of linguistic variation in future SHL and SFL textbooks alike: Inclusion of sociolinguistic research and corpus-based information and data in the preparation of textbooks and their treatment of language variation and standard language.

First and foremost, textbook authors need to base their presentation of language on actual research, rather than intuitions. There is a plethora of corpus-based research available which could be used to better inform the textbooks’ language. Not only could such research be used to present a more accurate understanding of the standard, but it could also be used to show the widespread regularity of linguistic variation. Most importantly, such research could be used as a catalyst for the discussion of the socially based nature of linguistic prejudices. By using sociolinguistic research, textbooks would become more credible sources of information for students while concurrently highlighting the socially-contingent nature of language use. In addition to creating more sociolinguistically informed textbooks, such texts could also include activities which promote sociolinguistic awareness. One example of such an activity would include ethno-linguistic observations, much like those discussed in Martinez (2003). These observations would require students to look at a specific variable (i.e. lexical variants) and simply note their own observations regarding the use of certain words by a given community of speakers. This provides students with the opportunity for language input while also allowing them to decide how differing forms are used, rather than merely reading about the contexts of use. Additionally, students could be asked to keep a linguistic journal, documenting their own current language use and their observations of friends, family, and community members. Such an activity will help students to achieve a wider understanding of the role of language in society. By asking students to observe both their own language practices and those of others, students can critically look at

LENSO-21

23/1/09

12:32

Página 362

362

Cynthia Ducar

language practices in the communities surrounding them, and reflect on how their own practices mirror or differ from those observed. The end result may allow students to see that the forms used in their textbooks are indeed the dominant forms in their communities, or they may find that the language of their community is not reflected in the textbook. The key factor in such an activity is the active involvement of the student, versus the passive consumption of information. By using a sociolinguistically informed textbook, students would have a clearer picture of the reality of the language variation that is currently only treated as a geographic side-note in the texts. The inclusion of the ‘vos’ pronoun, for example, would be a first step in responding to Hidalgo’s (1990) call to institutionalize U.S. varieties of Spanish. By acknowledging the prevalence of ‘vos’, and including it as an element worthy of study, we are simultaneously legitimizing varieties of Spanish which employ the pronoun. Not only will our students be better informed, but some of the stigma attached to such elements will be diminished by their inclusion in a textbook which the students deem factual.

2-WAY TRANSLATIONS Although current texts present translation activities for students, such activities continue to require that students translate from a local variety into a standard variety (Leeman 2005). These same activities could easily be reversed, showing the utility of all language varieties, rather than privileging one over all others. By asking students to translate into standard and regional varieties of Spanish, we emphasize the value that different varieties carry in varying contexts. By making such activities bi-directional, we show the importance of acquiring a standard dialect, while simultaneously respecting the importance of regional varieties; thus equipping students with the linguistic abilities of their monolingual counterparts: namely, the flexibility to shift in and out of standard and regional varieties of the language when they see fit.

Conclusions Historically, the in-classroom focus both in foreign and heritage language classes has been one of grammatical correctness; this in turn has led to an obsession with and an imposition of outside prestige varieties (Peyton et al. 2001).8 This focus

8

‘Outside’ here refers to Spanish from outside of the U.S. (i.e.: Spain, Central and South America, Mexico, etc.).

LENSO-21

23/1/09

12:32

The sound of silence

Página 363

363

on grammatical correctness presupposes one standard, leading to the fallacy of converting what is essentially an abstract notion into a seemingly realistic truth. As has been shown, the resulting intolerance toward non-conforming, stigmatized speech forms is magnified in SHL textbooks, where the imposition of a prestige variety onto a non-prestige-variety is prevalent. Importantly, this partiality does not end in the textbook. As Valdés et al. (2003) have pointed out, such ideologies are thoroughly entrenched in language departments as well: “Both directly and indirectly, such departments transmit ideologies of nationalism (one language, one nation), standardness (a commitment to linguistic purity and correctness), and monolingualism and bilingualism (assumptions about the superiority of monolingual native speakers)” (2003: 24). As has been shown, these textbooks approach variation from two perspectives: (1) as divergent from some unspecified norm, and (2) as an error in need of correction. In some sense, all of the textbooks treat U.S. Spanish as problematic. Nowhere is this more evident than in the texts’ treatment of variation processes typical of U.S. varieties of Spanish. The current study shows that few pages are devoted to complex sociolinguistic issues in current SHL textbooks. The overwhelming textual focus on the lexicon highlights variation that has been extensively studied, yet this reality is masked by the textbooks’ reference to established borrowings as false-cognates. Such terminology belittles normal lexical variation into a list of words in need of correction. Additionally, textbook treatment of pronominal variation continues to highlight the peninsular ‘vosotros’ while giving minimal treatment to the more widely used ‘vos’ pronoun. Unfortunately, the pronominal system as presented in these SHL textbooks does not reflect the sociolinguistic reality of the Spanish-speaking world. Lastly, regularization of the 2nd person singular preterit form is either ignored by texts or addressed in a footnote, again serving to marginalize the variety of language that students bring to the classroom while simultaneously masking the widespread nature of this process in the larger Spanish-speaking world. Thus, textbook ‘silencing’ of U.S. varieties of Spanish is achieved primarily through a marginalization of student varieties coupled with an overwhelming focus on a pseudo-peninsular standard (see Leeman 2005). This singular focus on the standard is both overtly and covertly addressed in the texts under study. All of the texts mention the need to learn the standard and use it in appropriate contexts. Yet this unitary focus on the standard is further reinforced by activities which require students to translate or decipher U.S. varieties of Spanish into so-called standard Spanish. The promotion of a pseudo-Castilian dialect of Spanish serves to stifle student dialects by relegating their use to the home environment and effectively silencing such varieties in larger contexts of use.

LENSO-21

23/1/09

12:32

364

Página 364

Cynthia Ducar

Martinez’s (2003) conception of ‘classroom based dialect awareness’ (CBDA), not only addresses the need to appreciate dialect differences, but also addresses the need to critically evaluate their sociolinguistic underpinnings and political motivations. This critical aspect is glaringly missing in the textbooks studied. Under the CBDA framework, students are made aware that the linguistic equality among languages and dialects is mismatched by the underlying social inequalities which language both marks and masks. By informing students from both a linguistic and a critical sociolinguistic perspective, students themselves will be more able to make their own informed decisions about which variety they would like to use within a given context. The hope is that including a critical framework of this nature in SHL textbooks and classrooms will empower students to make their own decisions based on an informed understanding of the sociolinguistic reality of the many ‘Spanishes’ present in today’s world.

References APARICIO, Frances (1993): “Diversification and Pan-Latinity: Projections for the teaching of Spanish to bilinguals”, in: Roca, Ana/Lipski, John (eds.): Spanish in the United States: Linguistic contact and diversity. Berlin: Mouton de Gruyter, 183-197. CARREIRA, María (2000): “Validating and promoting Spanish in the United States: Lessons from linguistic science”, in: Bilingual Research Journal 24(4). Available at: http:// brj.asu.edu/v244/articles/art7.html — (2003): “Profiles of SNS students in the twenty-first century: Pedagogical implications of the changing demographics and social status of U.S. Hispanics”, in: Roca, Ana/Colombi, M. Cecilia (eds.): Mi Lengua: Spanish as a heritage language in the United States. Washington: Georgetown University Press, 51-77. FONSECA-GREBER, Bonniebeth/WAUGH, Linda (2002): “Authentic materials for everyday spoken French: Corpus linguistics vs. French textbooks”, in: Arizona Working Papers 9, 114-127. — (2003): “On the radical difference between the subject person pronouns in written and spoken European French”, in: Leistyna, Pepi/Meyer, Charles (eds.): Corpus analysis: Language structure and language use (5). Amsterdam/New York: Rodopi, 225-240. HARVEY, David (1996): Justice, nature, and the geography of difference. Oxford: Blackwell. HIDALGO, Margarita (1990): “On the question of ‘standard’ versus ‘dialect’: Implications for teaching Hispanic college students”, in: Bergen, John (ed.): Spanish in the United States: Sociolinguistic issues. Washington: Georgetown University Press, 110-126. — (1997): “Criterios normativos e ideología lingüística: Aceptación y rechazo del español de los Estados Unidos”, in: Colombi, M. Cecilia/Alarcón, Francisco (eds.): La enseñanza del español a hispanohablantes: Praxis y teoría. Boston: Houghton Mifflin, 109-120.

LENSO-21

23/1/09

12:32

The sound of silence

Página 365

365

HUCKIN, Thomas (1997): “Critical Discourse Analysis”, in: Miller, T. (ed.): Functional approaches to written text. http://exchanges.state.gov/education/engteaching/pubs/ BR/functionalsec3_6.htm (March 6, 2005). LEEMAN, Jennifer (2005): “Engaging critical pedagogy: Spanish for native speakers”, in: Foreign Language Annals 38(1), 35-45. LEEMAN, Jennifer/MARTINEZ, Glenn (2007): “From identity to commodity: Discourses of Spanish in heritage language textbooks”, in: Critical Inquiry in Language Studies 4(1), 27-48. LIPPI-GREEN, Rosina (1997): English with an accent: Language, ideology and discrimination in the United States. New York: Routledge. LIPSKI, John (2000): “The role of the city in the formation of Spanish American dialect zones”. http://www.personal.psu.edu/faculty/j/m/jml34/city.pdf#search=’voseo%20 percentage%20use (November 30, 2004). MARQUÉS, Sarah (2005): La lengua que heredamos: Curso de español para bilingües. Hoboken: John Wiley and Sons. MARTINEZ, Glenn (2003): “Classroom based dialect awareness in heritage language instruction: A critical applied linguistic approach”, in: Heritage Language Journal 1(1). Available at: http://www.heritagelanguages.org/. MASON, Keith/NICELY, K. (1995): “Pronouns of address in Spanish-language textbooks: The case for vos”, in: Foreign Language Annals 28(3), 360-370. PARDIÑAS-BARNES, P. (1998): “Twentieth-Century Spanish textbooks: A generational approach”, in: Hispania 81, 230-247. PEYTON, Joy/RAYNARD, Donald/MCGINNIS, Scott (2001): Heritage languages in America: Preserving a national resource. Washington: Delta Systems and Center for Applied Linguistics. POPLACK, Shana/SANKOFF, Daniel/MILLER, Christopher (1988): “The social correlates and linguistic processes of lexical assimilation”, in: Linguistics 26(1), 47-104. RINGS, L. (2000): “Modifying first-year textbook dialogues along a Hymesian model of meaning: A theory of in-depth language processing for the L2 classroom”, in: Foreign Language Annals 33(2), 181-188. ROCA, Ana (2005a): Nuevos mundos: Cuaderno para estudiantes bilingües. Hoboken: John Wiley and Sons. — (2005b): Nuevos mundos: Lectura, cultura y comunicación, curso de español para bilingües. Hoboken: John Wiley and Sons. ROCA, Ana/COLOMBI, M. Cecilia (2003): Mi lengua: Spanish as a heritage language in the United States. Washington: Georgetown University Press. SAMANIEGO, Fabián/ROJAS, Nelson/OHARA, Maricarmen/ALARCÓN, Francisco (2005): Mundo 21 Hispano: Instructor’s Annotated Edition. Boston: Houghton Mifflin. SILVA-CORVALÁN, Carmen (2001): Sociolingüística y pragmática del español. Washington: Georgetown University Press. SMEAD, Robert (2000): “English loanwords in Chicano Spanish: Characterization and rationale”, in: Bilingual Review 23(2). UNITED STATUS BUREAU OF THE CENSUS (2005): Hispanic or Latino origin by specific origin. http://factfinder.census.gov/servlet/DTTable?_bm=y&-geo_id=01000US&-ds_

LENSO-21

23/1/09

366

12:32

Página 366

Cynthia Ducar

name= ACS_2005_EST_G00_&-mt_name=ACS_2005_EST_G2000_B03001 (July 13, 2007). UNIVERSITY OF CALIFORNIA (2001): Heritage language research priorities conference report. Los Angeles, CA. http://www.cal.org/heritage/priorities.html (June 28, 2007). VALDÉS, Guadalupe (1995): “The teaching of minority languages as ‘foreign’ languages: pedagogical and theoretical challenges”, in: Modern Language Journal 79(3), 299-328. — (2000): “Bilingualism and language use among Mexican Americans”, in: McKay, Sandra/Wong, Sau-ling (eds.): New immigrants in the United States. Cambridge: Cambridge University Press, 99-136. VALDÉS, Guadalupe/FISHMAN, Joshua/CHÁVEZ, Rebecca/PÉREZ, William (2006): “Postsecondary Spanish heritage programs in California”, in: Valdés, Guadalupe/Fishman, Joshua/Chávez, Rebecca/Pérez, William (eds.): Developing Minority Language Resources. Clevedon: Multilingual Matters, 187-235. VALDÉS, Guadalupe/GONZÁLEZ, Sonia/LÓPEZ, Dania/MÁRQUEZ, Patricio (2003): “Language ideology: The case of Spanish in departments of foreign language”, in: Anthropology and Education Quarterly 34(1), 1-26. VALDÉS, Guadalupe/LOZANO, Anthony G./GARCÍA-MOYA, Rodolfo (1981): Teaching Spanish to the Hispanic bilingual: Issues, aims, and methods. New York: Teachers College Press. VALDÉS, Guadalupe/TESCHNER, William (2003): Español escrito: Curso para hispanohablantes. New Jersey: Prentice Hall. VAN DIJK, Teun (1985): The handbook of discourse analysis. Orlando: Academic Press. VILLA, Daniel (1996): “Choosing a ‘standard’ variety of Spanish for the instruction of native Spanish speakers in the U.S.”, in: Foreign Language Annals 29, 191-200. — (2002): “The sanitizing of U.S. Spanish in academia”, in: Foreign Language Annals 35, 222-230. WEINREICH, Uriel (1953): Languages in contact. The Hague: Mouton. WIECZOREK, Joseph (1992): “Classroom implications of pronoun (mis)use in Spanish”, in: The Modern Language Journal 76(1), 34-40.

LENSO-21

23/1/09

12:32

Página 367

The sound of silence

367

Appendix SAMPLE TRANSLATION ACTIVITY FROM NUEVOS MUNDOS (ROCA 2005a: 56-57).

En grupos de dos o tres estudiantes, lean la siguiente carta y fíjense en los neologismos, falsos cognados y otros giros que suelen utilizarse [sic] algunas comunidades bilingües de los Estados Unidos. Luego, vuelvan a escribirla dirigiéndose a una persona que no comprenda inglés. Comparen su versión con las de otros grupos de la clase. Querido Johncito: Tengo un chance bueno para ti, pues hay aquí un cuarto fornido con quicineta, muy cerca de la marqueta y con uindo para la yarda, aunque está algo escrachao. Lo malo es que no dan muchas blanquetas pero como no hace frío no importa. El estimjí también es malo. Abajo hay un lonchrun en donde puedes lonchar. No he visto más a Charli y oí que la otra noche lo jolopearon, pero afortunadamente estaba broque y no tenía más que una cuora. El consiguió un yob en una grocería de un relativo de él que antes era colector. Yo estoy trabajando de guachimán de noche y mi bos es muy bueno, pero tengo que manejar un guinche y chequearle el agua a un tanque y esto es un trabajo bien tofe. Mi mujer siempre toqueando todo el tiempo y cuando mi familia fastidia mucho la mando para el cho, pero por lo demás oqué. Yo estoy supuesto a trabajar los domingos pero si vienes nos vamos a la barra un rato. Bueno, viejo, solón.

LENSO-21

23/1/09

12:32

Página 368

LENSO-21

23/1/09

12:32

Página 369

CON TODOS: USING LEARNING COMMUNITIES TO PROMOTE INTELLECTUAL AND SOCIAL ENGAGEMENT IN THE SPANISH CURRICULUM JUAN ANTONIO TRUJILLO Oregon State University

Responding to a growing lack of engagement by second language (L2) learners and continued marginalization of the native and heritage speakers in its Spanish program, an Oregon State University faculty team implemented an annual learning community course. The course is built around elements of critical pedagogy theory, current research on student engagement and success, and an expanded version of the National Standards Project that includes Consciousness as a sixth standard. Work products from the program point to increased awareness of the domestic Latino community from L2 learners and a sense of validation and empowerment from native and heritage learners. Questions of long-term sustainability of such a program are discussed, and directions for future research and development are identified. Todas las voces, todas, todas las manos, todas, toda la sangre puede ser canción en el viento. Canta conmigo, canta, hermano americano, libera tu esperanza con un grito en la voz. –Canción con todos Armando Tejada Gómez (1973) 2006 Learning Community theme song

Introduction Several years ago a study was conducted in the second-year Spanish courses at Oregon State University (OSU) to explore the notion that students who have a

LENSO-21

23/1/09

370

12:32

Página 370

Juan Antonio Trujillo

negative view of speakers of Spanish sabotage their pronunciation in order to avoid appearing overly sympathetic to Latinos (Trujillo 2003). No statistically significant correlations were found between pronunciation characteristics and attitudes toward Latinos, but the data highlighted another phenomenon that, in retrospect, should have been obvious. When asked general questions about their willingness to interact with speakers of Spanish in different social contexts, nonLatino students generally provided answers consistent with a favorable view of Latinos. However, when asked behavioral questions –whether, for example, they had visited the home of a Spanish-speaking person, dated a Spanish-speaking person, or spoken Spanish with a native speaker in a public place– it became clear that the language and culture of Latinos were abstract, theoretical constructs to them. They had, as a rule, avoided any social contact whatsoever with the domestic Spanish-speaking population. Once they venture beyond the handful of courses that comprise the Spanish for Native Speakers program at OSU, our Latino students –a mix of heritage learners (HL) and native speakers– also encounter a strong dissonance between the language and culture discussed in the classroom and their own lived experience. One U.S.-born HL, who I will call Rosa, described her experience in the fourthyear capstone language skills sequence as follows: My father is from a little pueblo called [X] in Jalisco ... When I decided to study Spanish is when I came to OSU, and for the purpose of me wanting to teach children who speak Spanish as well as being able to communicate with their parents ... Growing up, I understood how to –I understood the language like nothing, like, anybody could talk to me and I understood what they were saying. And I could speak Spanish a little bit, and I spent a lot of my time speaking Spanish with my father’s family and my friends ... I was taking [advanced Spanish] and the problem was that I was, um, I was expected to be able to identify all the proper grammatical vocabulary ... and I was told that if I was not able to indicate those certain things in grammatics [sic] I was not going to be able to be a [primary-level] teacher ‘cause I was told that teachers needed to know that stuff and I would not be successful. So that was a pretty hard thing, you know, because my dream and my devotion is to children and to teach ... So my experience was just –it was hard ‘cause I was just lost every time I went to class ... I didn’t want to write a paper for [the instructor] because I was just scared, because I knew that when I had to write that paper we would have to go into class and we would have to circle verbs and circle nouns and underline adjectives, and I just, I would just sit there in class looking around and watching everybody else do it ... It made me not want to do homework for that class. I didn’t want to write papers or anything.

Although there might arguably be some academic value to parsing sentences, the net effect of the program on Rosa was to leave her feeling that her native intuition and fluency were more of a liability than an advantage and that her linguis-

LENSO-21

23/1/09

12:32

Página 371

Con Todos: Using learning communities

371

tic variety was unsuitable for the Spanish-speaking children and parents she wanted to serve. The analytical orientation toward language of her non-native, second language (L2) learner classmates is what was valued and cultivated in her classes. Language programs occasionally see shifts in focus in response to a variety of internal and external pressures. Unfortunately, the student experience in language programs for both L2 learners and native/heritage speakers is more frequently shaped by cuts and consolidations made on the fly in response to endemic budget shortfalls than by a deliberate and thoughtful process that considers advances in language acquisition theory, recognized best practices, scholarship in the area of student success, or, as this article emphasizes, ideological concerns. What the 2003 attitude study and cases like that of Rosa highlight is a resolute adherence to a curriculum designed primarily to prepare non-Latino students from the dominant Anglophone culture to interact with speakers of Spanish as foreigners. This still-predominant focus, although consistent with the history of Spanish-teaching in the United States, completely ignores changing demographics and the pressing need to help learners from ethnically diverse backgrounds develop the skills and knowledge required to participate fully in an increasingly multicultural, multilingual domestic environment in which Spanish plays a prominent role.1 What should today’s Spanish courses look like if the aim is to prepare learners for increased communication and cultural understanding in a rapidly changing population? This chapter describes the effort of a small team of faculty to step away from familiar educational paradigms and to explore ways in which our courses could be better harmonized with our understanding of good educational practice and our shared commitment to social equity, by moving the linguistic and cultural experiences of U.S. Latinos to the center of the curriculum.2 Fortunately, the recent ADFL Bulletin article by Alonso (2006) is a clear sign that we are not alone in thinking that it is time to have some serious conversations about our future. Alonso’s many years of close observation of the language teaching profession have led him to what many will view as radical conclusions, but they are generally consistent with the principles we have identified in the critical

1 2

See Leeman (2006) for a recent discussion of the ideologies historically associated with Spanish education in the United States. I must acknowledge the support of past and present members of the learning community team, María E. Olaya, Susana Rivera-Mills, and especially Loren Chavarría who coauthored the version of this paper presented at the Spanish in the U.S. meeting. I also wish to acknowledge Eileen Waldschmidt, Moira Dempsey, Larry Roper, and Joseph Krause for their early and vigorous support of our project.

LENSO-21

23/1/09

12:32

Página 372

372

Juan Antonio Trujillo

pedagogy and student success literature, and are very much in tune with the observations of Villa (1996, 2002), Leeman (2005), and others who highlight the disservice done to the growing native and heritage speaker populations in our language programs. One of Alonso’s suggestions is that Spanish faculty recognize “that they are responsible for teaching and producing scholarship about an increasingly national cultural reality rather than a foreign one” (2006: 19). He goes on to encourage a broader examination of the interdisciplinary connections we could be making and a dismantling of the internal boundaries and hierarchies that have emerged in Spanish programs. Finally, Alonso proposes that Spanish programs “represent” in a more comprehensive way the cultural reality of Latinos in the U.S., making use of technology and other channels to create a “meaningful relation” with local Hispanic communities (2006: 20). To summarize, then, this is the story of a new curricular experiment that combines equal numbers of native and advanced L2 speakers in an intensive, learnercentered course in which we explore topics of political and social significance. Particular attention is given here to our efforts to harness the ideological potential of the national standards project, current research on student retention and success, key elements of critical pedagogy theory, and recent work in the area of pedagogies of engagement. This is not presented as a ‘one size fits all’ model, but rather as a starting point for a broader conversation about ways in which language educators may be able to transcend the ideological limitations that plague so many of our institutions.

Learning communities Spurred on by family members and friends who had experienced the non-traditional educational environment at The Evergreen State College in neighboring Washington state as well as by well-respected colleagues and guests on our own campus, the three faculty members originally involved in the project decided early on to use the learning community as the basic framework for our own exploration of engaged pedagogy. Learning communities began in the late 1920s and were the product of the influential educational theorists John Dewey and Alexander Meiklejohn in response to fears that universities were in danger of losing their sense of social purpose and responsibility (Spear et al. 2003: 8). Learning communities were from their inception an educational model that promotes a humanitarian perspective, integration between disciplines, and a collaborative environment for learners and faculty.

LENSO-21

23/1/09

12:32

Página 373

Con Todos: Using learning communities

373

FIGURE 1 Learning community models (Engstrom and Riemer 2005)

Many of the practices now prevalent in learning communities were developed at The Evergreen State College, and the model was later refined and disseminated largely through the Washington Center for Improving the Quality of Undergraduate Education established in 1984 on the Evergreen campus (Spear et al. 2003: 12). According to Engstrom and Riemer (2005), learning communities in academic institutions generally take one of three forms. These forms differ in terms of the amount of coordination between courses and the extent to which the learning experience is a shared one (see Figure 1). In the most loosely-coordinated model, most students may be unaware that their course forms part of a learning community experience. Each professor teaches his/her own subject, and a small subset of the enrolled students meets together in a separate course where discussion and

LENSO-21

23/1/09

12:32

Página 374

374

Juan Antonio Trujillo

synthesis take place with a facilitator. This is the approach frequently used in programs for first-year students who require support and study skills training, and the discussion groups are often led by more advanced peers rather than by fulltime faculty. A second model exists in which program faculty still teach separate classes, but they coordinate topics, readings, and projects in such a way that at least some students (and perhaps all of them in some implementations) are offered a more integrated experience. The final model –coordinated studies– is an intensive, team-taught course in which all students and instructors are full-time participants. This is the model that seemed most appropriate for the upper-division Spanish students –mostly majors and minors– with whom the project faculty has been working. The Spanish learning community program at Oregon State does not break new ground in the way the course itself is structured –it is the full-time course load for all student participants and the faculty team. It does, however, expand the model beyond exclusive use in first-year experience programs on the OSU campus and, based on conversations with Washington Center staff, may be moving the coordinated studies model into disciplinary territory where it had not been used previously.

Defining objectives SOURCES OF INSPIRATION In addition to addressing the disconnect between the curriculum and the changing needs of native speaker and L2 learners, the faculty team initiated the project with the goal of incorporating a number of other professional and institutional objectives. Our goals are specifically informed by the National Standards Project’s “Five Cs” (2006), studies on retention and conditions for student success by research such as Tinto (1994) and Kuh et al. (2005), and aspects of critical pedagogy described by Shor (1996), Finkel (2000), Freire (2000) and hooks (2003). University guidelines governing writing-intensive courses also needed to be incorporated into our plan so that students who were majoring in Spanish would be assured of meeting their general education requirements. Although our inspiration came from a variety of unrelated sources, the final set of objectives can be characterized as efforts to engage learners intellectually as students of Spanish language and cultures and socially as active participants in the building of a democratic, multicultural society.

LENSO-21

23/1/09

12:32

Página 375

Con Todos: Using learning communities

375

CONDITIONS FOR STUDENT SUCCESS Student engagement is among the topics that have been discussed at great length by university administrators during the past few years, but it receives little attention in language departments. The institutional definition of engagement is a broad one, covering both social and intellectual dimensions. The most widelyrecognized measurement is the National Survey of Student Engagement (NSSE), which draws on research defining best practices in undergraduate education in order to provide individual institutions “an estimate of how undergraduates spend their time and what they gain from attending college” (2007). The survey elicits information about the level of academic challenge, amount of active and collaborative learning, degree of interaction with faculty, the campus environment, and the availability of enriching educational experiences. My university’s most recent participation was in 2005, and although tabular data from the report are not readily accessible for public dissemination, it is clear that the results were highly disappointing to administrators. Among the weaknesses divulged in interim accreditation reports to the Northwest Commission on Colleges and Universities were poor scores in active and collaborative learning and enriching educational experiences, with respondents identifying excessive use of memorization rather than problem-solving for learning and low involvement in class discussion and student presentations. OSU matched the mean of peer institutions in areas such as faculty contact and administrative services. The university’s response to its poor showing on the 2005 NSSE has been to facilitate campus discussions with leaders in the field of student engagement. The seminars sponsored by the university not only provided insight into areas of research that were of value in our ongoing curricular reform discussions, but also allowed us to identify allies within the institution and to pool resources. Tinto’s 2005 OSU seminar was an important moment in the development of this project. His research on student retention is generally aimed at administrative levels, but several of the principles of institutional action he discusses in his workshop and publications require department-level cooperation. Among these are the charge to provide students with the skills needed for success, to facilitate contact with students beyond the traditional academic setting, to maintain a “deeply embedded commitment” to students, and to have social and intellectual growth as the guiding principle of retention programs (1994: 138-140). Kuh also conducted a seminar on the OSU campus that helped us frame the parameters of our courses. His workshop covered the conditions for student success described by Project DEEP (Documenting Effective Educational Practice), a

LENSO-21

23/1/09

12:32

Página 376

376

Juan Antonio Trujillo

research collaboration between NSSE and the American Association for Higher Education. Those conditions are as follows (Kuh & Kinzie 2005: 1): I. II. III. IV. V. VI.

A “living” mission and “lived” educational philosophy Unshakeable focus on student learning Environments adapted for educational enrichment Clear pathways to student success Improvement-oriented ethos Shared responsibility for educational quality and student success

According to Kuh, institutions that follow these six principles are often able to achieve a greater level of success than one would believe possible given their available resources.

CRITICAL PEDAGOGY Another major source of inspiration for the structure of the Spanish learning community was exposure to critical theory. Critical pedagogy is a form of education dedicated to fighting oppression through the process of conscientização or consciousness-raising. Because it is such a rigorously introspective and complex field, it is only with difficulty that concrete practices can be extracted from the literature. The points we raise here should by no means be taken as an authoritative distillation of the whole movement. Critical pedagogy draws on the work of a number of educational theorists and practitioners, but no figure is more central than the late Brazilian educator Paulo Freire. He is particularly well known for his rejection of the “banking” concept of education in which a teacher turns students into “‘containers,’ into ‘receptacles’ to be ‘filled’ by the teacher”. The role of the student in the banking model is to “receive, file, and store the deposits” (2000: 72). By treating the students as objects, the oppressive power structures of the outside world are recreated in the classroom. Freire’s problem-solving alternative, as described in Faltis’ paper advocating a Freirian model for the instruction of bilingual native speakers of Spanish, creates an environment where “the teacher is no longer the merely onewho-teaches, but one who is himself taught in dialogue with the students, who in turn while being taught also teach” (1990: 119). In setting forth an argument for the application of critical theory to Spanish for Native Speaker (SNS) programs, Leeman (2005) underscores the call from critical pedagogues “to recognize the inherently political nature of education and to investigate how certain educational practices socialize students to comply with and uphold existing class and social divisions” (p. 35). In particular, she notes

LENSO-21

23/1/09

12:32

Página 377

Con Todos: Using learning communities

377

that SNS programs enforce academic linguistic norms on a group of native speakers who are already socially and economically marginalized. The message to learners is, as Leeman puts it, “that Spanish is not really theirs but instead belongs to some other group of speakers who get to decide the rules about what is appropriate” (2005: 38-39). In the case of U.S. institutions, those other speakers are usually not speakers of the variety of Spanish used by students in their home environments, and frequently they are not native speakers of Spanish at all. Shor (1996) elaborates on the benefits and risks of another key tenet of critical pedagogy, which is the reconfiguration of power structures in the classroom. He acknowledges that authority sharing can be an “unpredictable experiment” and that many students will find power sharing arrangements and collaborative decision-making unworkable, but describes the potential benefits in glowing terms: By opening the process to student authority, power-sharing repositions students from being cultural exiles to becoming cultural constituents, from being unconsulted curriculum-receivers to becoming collaborative curriculum-makers. In this way, a negotiated syllabus challenges the Siberian Syndrome, creating the option for students to become leaders and stakeholders in the process, which means they can occupy the enabling center of their educations, not the disabling margins. (p. 200)

Finkel’s Teaching with your mouth shut (2000) presents a practical technique designed to reinforce the agency of learners and discourage faculty from dominating the discourse within the classroom. His open-ended seminar is governed by three principles: 1) the purpose is to gain greater understanding about something that they have already examined, 2) the instructor must allow for truly open discussion that may not lead to the expected outcome, and 3) the teacher must avoid the role of “telling”, instead requiring that the students do “the hard work of inquiry” (p. 33). One of the most persistently upbeat and hopeful voices in the critical pedagogy movement is that of bell hooks (2003), who advocates the creation of a “spirit of joyful practice” in the classroom and the treatment of learning as something that is part of life rather than a contrived set of actions restricted to a formal classroom environment (p. 44). As hooks explains, “[...] the democratic educator breaks through the false construction of the corporate university as set apart from real life and seeks to re-envision schooling as always a part of our real-world experience, and our real life” (p. 41).

EMBRACING AND EXTENDING THE NATIONAL STANDARDS Although they were originally created with the K-12 learner in mind, many language departments in colleges and universities are tying their assessment metrics

LENSO-21

23/1/09

378

12:32

Página 378

Juan Antonio Trujillo

to the “Five Cs” defined in Standards for Foreign Language Learning in the 21st Century (2006). These standards now also form the core of the performance criteria used by the National Council for Accreditation of Teacher Education (NCATE) for programs that grant language teaching endorsements to public school teachers. Most language professionals are familiar with the national standards, so we will present only a brief review. The Five Cs are as follows: 1. 2. 3. 4. 5.

Communication. Communicate in languages other than English. Cultures. Gain knowledge and understanding of other cultures. Connections. Connect with other disciplines and acquire information. Comparisons. Develop insight into the nature of language and culture. Communities. Participate in multilingual communities at home and around the world.

Each of these topics is then broken down into at least two sub-elements, which still does not provide the level of granularity required for effective program assessment. As the authors of the standards note, they “must be used in conjunction with state and local frameworks and standards to determine the best approaches and reasonable expectations...” (National Standards in Foreign Language Education Project 2006: 28). Of all the criteria we have discussed thus far, it is probably the Five Cs that are most widely recognized and accepted in everyday professional practice by both administrators and classroom teachers. This is, at least, the case at Oregon State. University administrators have come to expect each language program to report student learning outcomes using the terminology of the Five Cs, and the department has hosted training sessions for faculty on Integrated Performance Assessments (Integrated Performance Assessment Project 2003) and other measurements tied to these standards. In formulating a planning and assessment model for the learning community program, we have taken advantage of the explicit invitation to contextualize the national standards in a way that suits local needs. Specifically, we chose to explain and justify the social equity aspects of the learning community project by adding a sixth ‘C’ to the equation. Although the standards document describes communication as being at the “heart of second language study” (National Standards 2006: 31) the Five Cs are depicted in figures as equal, interlocking elements (p. 32). The testing materials produced for the influential National Assessment of Educational Progress (NAEP) (National Assessment Governing Board 2000), however, include illustrations of an arguably more sophisticated relationship among the five elements of the stan-

LENSO-21

23/1/09

12:32

Página 379

Con Todos: Using learning communities

379

dards. As seen in Figure 2, communication is depicted as a central function that is carried out in specific ways within an environment defined by culture, comparisons, connections, and communities.

FIGURE 2 The Five Cs as represented by the National Assessment Governing Board (2000)

FIGURE 3 Illustrating the Five C + 1 concept

We have extended the model for participants in the learning community program and some other advanced courses. For these courses we now use a set of standards described as the Five Cs + 1. The extra ‘C’ in this localized version stands for consciousness, a term inspired by Freire’s conscientização. The full text of the new standard presented to them is as follows: 6. Consciousness: Recognize your role in systems of privilege and promote equity. 6.1. Students recognize the role of language and culture in systems of privilege and oppression. 6.2. Students use language and culture to promote equity and social justice.

The explanation given to students is that in much the same way that communication takes place in a context defined by cultures, comparisons, connections, and communities, those systems in turn emerge from an environment framed by socially and politically-constructed hierarchies of power and privilege. This new layer of curricular focus is illustrated by adding an additional concentric ring to the NAEP configuration as seen in Figure 3 above.

LENSO-21

23/1/09

12:32

Página 380

380

Juan Antonio Trujillo

Describing and assessing the learning community experience PUTTING OBJECTIVES INTO PRACTICE This discussion has covered a great deal of theoretical ground, but few concrete facts about the form our project has taken have been described. It is important to keep in mind that this description is meant as an illustration of one direction departments might explore as they attempt to respond to the curricular needs identified, not as a turn-key solution that could be implemented successfully in this exact form at other sites. The starting point each year has been the identification of a broad theme that can be approached from a variety of disciplinary perspectives. After some discussion, the faculty agreed upon the theme of ‘media as an instrument of social change’ for the first cycle. This allowed us to work with learners on the full range of communication skills expected by the department and to delve into a critical exploration of systems of power and privilege visible in contemporary propaganda, literature, film, media images, corporate control of media access, and national language policy debates. The second program cycle was named Fronteras and was centered on an examination of the physical, social, linguistic and psychological boundaries between socially constructed groups. The theme that is currently under development is SABOR, an acronym taken from the words sustento, agricultura, biodiversidad, orígenes, and resistencia. As one might infer from the name, the topic of study is food and several related political, ecological, and economic systems. The actual course, in the two complete academic cycles that have been completed at this point in time, has started with a one-day Saturday retreat in January or February worth one hour of academic credit. This retreat is where program faculty members have introduced the pedagogical model and collaborated with learners to refine objectives, select primary learning resources, and agree upon the artifacts and evaluation criteria that would be used to assess mastery. The learning community itself has been scheduled as a 10-week course that meets every Monday, Wednesday, and Friday from 9:00 a.m. until 1:50 p.m., with a break for lunch at the noon hour for unstructured social interaction in smaller groups. In addition, the participants have been expected to complete eight hours per week of a service-learning activity on their own time and to participate in co-curricular events on one or two weekends or evenings. After the first year, the number of credits associated with the course was raised from 12 to 15 to encourage participants to focus exclusively on the learning community. Although the number of contact hours is in itself remarkable compared to the traditional approach to language coursework, what is of much greater significance is what takes place dur-

LENSO-21

23/1/09

12:32

Página 381

Con Todos: Using learning communities

381

ing that time. Perhaps the clearest way to describe the details of the program is to summarize in tabular form what our intended objectives were and how we believe we have begun to meet them in our nascent curricular revolution (see Appendix). The first column of the table in the Appendix lists the program objectives discussed previously in a consolidated, simplified form. The second column provides examples of structures or practices that have emerged in response to those objectives. The third column identifies examples of specific challenges that the program faculty has identified during the years that the learning community project has been under development.

ASSESSMENT OF LEARNING COMMUNITY OUTCOMES The issue of assessment has proven to be a challenging one for the learning community program faculty. There is clearly a practical need to convince colleagues in our department that whatever happens in a learning community environment yields academic success that is at least equal to the success seen in classes taught using a traditional model. However, our definition of success now diverges significantly from that of our colleagues. As in the rest of the programs in the department, the Five Cs play a central role in the way we describe our intended outcomes, so an evaluation of participants based on standard measurements of achievement in a language class –whether the learners speak better, read better, or write better– would not be entirely irrelevant. But we are also concerned about a wide array of other objectives, and indeed, rank many of them well above the mechanical aspects of communication valued by most faculty members in our program. When asked once on fairly short notice to identify and assess in an anecdotal fashion some of the program’s less cognitively-oriented objectives, two principal questions emerged: 1) how aware did students from the dominant culture become of the Spanish language as it is really used in the community and of the diversity of life experiences around them? and 2) to what extent did the Latino students feel that their language and experiences were recognized and valued in the curriculum? The best way to demonstrate gains the program faculty has identified is to reach into learner portfolios and share examples of written work. The quantity of this type of data is in itself impressive; the portfolios from two years would easily occupy over two linear meters of shelf space. Yet even the approach of sharing portfolio samples is an imperfect one at best, given the array of affective and collective objectives for the program and the wide variety of forms that learning community participants’ work has taken. That being said, the work produced in

LENSO-21

23/1/09

12:32

Página 382

382

Juan Antonio Trujillo

the learning community, while not always conforming to idealized ‘standard’ language forms, stands in dramatic contrast to the experiences of Rosa and the disengaged L2 learners described earlier.

SECOND LANGUAGE LEARNERS The final self-assessment written by Lisa illustrates the new-found ability of L2 learners to see Spanish as a relevant skill within the local environment rather than something to be used only when abroad.3 Lisa also demonstrates that she has internalized the less-hierarchical relationship between learner and teacher promoted in the learning community: Comunidades: Mi trabajo voluntario en la Escuela [X] me ha ayudado crecer mucho como estudiante, maestra, y persona ... En la escuela, ayudo a los niños con proyectos de lectura, arte y ciencia y ellos me enseñan mucho sobre cómo ser una mejor maestra. Con este trabajo tuve la oportunidad de desarrollar relaciones no sólo con los niños de la escuela, sino también con sus padres y los otros maestros de la escuela.

Jim, whose most important formative experiences with Spanish had been in a study abroad program in Spain, responded to a reading on the North American Free Trade Agreement (NAFTA) in the form of a poem. This work sample, which is part of a piece of spontaneous, ungraded writing activity, exemplifies the students’ willingness to take creative risks as well as their awareness of the social and political effects of U.S. foreign policy: Soy campesino de México. Vivo a lado de una fabrica que vino despues de NAFTA La fabrica produce venenos para matar los ratones. Normalmente la fabrica produce los cantidades tan grande que malgastan la mitad de lo que produce. Lo que no necesitan, se echan en el rio. Tengo mascotas que son ratones y beben el agua del rio. Todos han muertos.

In a response to the same reading, intermediate-level student Susan, who hails from a conservative political background, sets aside the ideology she brought to

3

All students are referred to by pseudonyms and certain identifying details are redacted. Their original spelling and grammar are retained except as noted.

LENSO-21

23/1/09

12:32

Página 383

Con Todos: Using learning communities

383

the class and examines the issue of trade from another perspective. Her language accuracy is characteristic of her proficiency level, but the ambitiousness of her narrative and the level of understanding and empathy that she conveys are far better that what we typically see in intermediate classes: Vivo en un lugar en donde el sol está blanco y caliente, brillante sobre el río verde y iridiscente que corre tras mi barrio. No, la vida no es fácil –pero yo y mis tres hijos están vivas y tengo mi trabajo ... Comparativamente, es un trabajo bueno. He oído habla que un nuevo tratado entre los EEUU y México va a crear más trabajos aquí –más maquiladoras ... ¿Quién va a limpiar nuestro río? ¿TCLAN? Sí, hará más cajas de cartón para construir nuestras casas. Unas veces piensa en la gente de EE.UU. ¿Cómo están sus casas? Siento invisible. ¿Cómo es este país? ¿Qué tipo de gente viva acá?

NATIVE AND HERITAGE LEARNERS What is immediately observable in the work submitted by native and heritage speakers is the appearance of the actual language behavior that is seen in authentic bilingual communities, but that is typically kept hidden from second language learners. The speakers of Spanish appear to relish the opportunity to finally share the language and culture that they know –to have their experience at the center of our discourse. Aida is a native speaker who described her transnational, multicultural identity in this fragment from a class writing assignment: Vengo de Enchiladas de espagueti plato hondureño Honey ham de hickory farms en vez de la turki Lego my eggo mis hermanos y yo peleamos Vengo de Mudarme cada a[ñ]o de casa a casa La estrella gnóstica que nos saluda a la entrada El poema de dios “donde hay fe” Vengo de Violencia Paz Diversidad Homogeneidad Policía, policía, policía

LENSO-21

23/1/09

12:32

Página 384

384

Juan Antonio Trujillo

Victoria also described her identity in terms the second language students had seldom heard before participating in the learning community. Note that like Aida, Victoria’s most intimate revelations to her classmates require the use of both English and Spanish, something that is not tolerated in the traditional classroom: This may sound weird, but I am two people ... Yo vengo de las montañas donde el aire frío ma acompaña. I am two cultures. So llena de libros, cuentos Y gradas (stairs), donde cada día, pintaba con mi prima Gaby. I am two languages. Donde palabras como cargosa o mucha Don’t have an English version Or where lust and random no se dice en español. So much laughter and love. Pero también hay tristeza y lagrimas because now I am here, alone.

The writing samples from both groups of students, fragmentary though they may be, clearly illustrate that the students are responding positively to the changed learning environment and the shift in curricular focus. Department and college administrators are certain to ask for assessment that is more aligned to the metrics used by traditional classes, and a certain amount of that kind of data may prove useful as we seek to refine our program. But the consensus of the program faculty is that the affective outcomes we find most aligned with our transformational objective are unlikely to be evident in the types of data that are valued by administrators and many fellow practitioners.

Looking ahead SERVICE-LEARNING As the first learning community course reached its conclusion, the program faculty moved forward with a series of extended discussions about our experiences together. Our conversations led us to explore additional areas of scholarship that would contribute to our future learning community planning and assessment.

LENSO-21

23/1/09

12:32

Página 385

Con Todos: Using learning communities

385

One area of scholarship that had attracted attention on campus is engaged pedagogy, a field with somewhat flexible boundaries that includes research on subjects such as service-learning and civic engagement. The Spanish coordinated studies course has a significant service requirement, amounting to approximately 80 hours over a 10-week period. Placements include public schools, university extension offices, public health programs, and local diversity-related community organizations. Our original implementation of service-learning was guided by a University of California, Berkeley model, which requires courses offered as service-learning options to meet three broad criteria: 1) a formal, academic curriculum based on the discipline, 2) organized activities in which students meet a community need, and 3) opportunities to connect the service activities to the course content (University of California at Berkeley Faculty Policy Committee on Service-Learning 2002: 1). We have since learned of the advisability of including the completion of a deliverable product in the service-learning component of the course (Louisiana State University Center for Community Engagement, Learning, and Leadership 2007: 4) and of the importance of guiding students toward a process of ongoing written reflection that helps them make meaning of the community-based experience (2007: 9). Intuitively, the program faculty did include ‘deliverables’ in the course requirements during the first two years. The media theme included the production of short videos for dissemination on video-sharing sites on the Internet, and the Fronteras learners created original interpretations of border themes in the form of poetry and photographs that are being compiled into a short, self-published book. Participants also engaged in significant amounts of reflective writing as part of the course assessment process. However, these projects and reflections were not specifically tied to the service element of the course and thus escaped the scrutiny of the local Latino population to which we desire to hold ourselves accountable. Attention to this aspect of the course will make the third cycle of the program all the more effective.

CIVIC ENGAGEMENT The most influential research in the area of civic engagement for us thus far has been that of Kirlin (2006), who defines engagement as “working with others, over time, to get something done for mutual benefit” (p. 1). The typology of civic engagement skills identified by Kirlin (2003) describes four primary areas of required proficiency: organization, communication, collective decision making, and critical thinking. She further defines each of the proficiency areas as follows: communicating involves oral and written communication; organizing deals with

LENSO-21

23/1/09

12:32

Página 386

386

Juan Antonio Trujillo

acquiring resources and planning tasks; critical thinking encompasses activities such as identifying and describing, analyzing and explaining, and formulating positions; and collective decision making includes the ability to express opinions, understand the preferences of others, and to compromise when necessary for the collective good (2006: 2). Although we again feel we have displayed good instincts when planning civic engagement-related tasks for the learning community, the typology and metrics identified by Kirlin will undoubtedly prove beneficial as we move forward with the project.

COMMUNITIES OF PRACTICE Structures somewhat akin to learning communities are known to emerge spontaneously in situations where individuals find themselves in consistent, ongoing interaction in a particular context. Wenger, McDermott, and Snyder (2002) refer to these groups, both formally named and recognized and informally constructed and largely unacknowledged, as ‘communities of practice’. Whether the groups involved are craft guilds, artists that frequent the same coffee shop, or some other grouping, these structures share with disciplinary learning communities an emphasis on the dynamic and collective construction of knowledge (p. 4-5, 10). The strategies for the cultivation of these repositories of knowledge proposed by Wenger and his colleagues could prove helpful. Perhaps even more important for those of us developing learning communities are the observations Wenger, McDermott, and Snyder share about “community disorders” that could just as easily be found in academic learning communities as in corporate communities of practice. Among the pitfalls identified are collective narcissism, marginalization within the broader institution, factionalism, an egalitarian ethos that inhibits individual distinction and risks, dependence on a charismatic leader figure, stratification, overly superficial collective identity leading to individuals losing their commitment to the group, and excessive localism that limits outward growth (p. 140-146). Another concept that may merit further consideration is Lave and Wenger’s notion of legitimate peripheral participation that describes a process by which learners become fully engaged participants in a community of practice (1991). The situational and collaborative-constructivist aspects of the model do mesh well with our conceptualization of knowledge. However, efforts to fit the different types of Spanish learning community participants into one or another of Lave and Wenger’s categories –L2 learners playing the apprentice role to the community of native/heritage learners, or all learners playing apprentice to the program

LENSO-21

23/1/09

12:32

Página 387

Con Todos: Using learning communities

387

faculty, for example– seem to reinforce hierarchical, asymmetrical power roles that appear contradictory to the Freirian perspective we have espoused.

THE 2008 LEARNING COMMUNITY Student feedback has been uniformly positive, even in the case of students who ended up with lower course grades than they anticipated. The learning community program has also attracted attention at national conferences and in the local media. These initial successes have encouraged the Department of Foreign Languages and Literatures at Oregon State University to continue offering the program to advanced students as well as to the small cohort of MA students. The program faculty has begun to see a pattern in the way topics are being selected –the themes have thus far been centered on specific points of highly visible but misunderstood cultural contact. Having explored the nature of cultural and ethnic representation in the media as well as the physical point of contact in the Fronteras course, we have begun to examine other contexts in which the citizens of Oregon from diverse linguistic and cultural backgrounds find themselves together. The idea for the 2008 course, SABOR, emerged from a casual discussion about the role of Latinos in the local restaurant and hospitality industry. As determined by the student in the winter planning retreat, we will be exploring this cultural and linguistic nexus by reading food-themed literature, discussing both local and transnational systems of production and consumption, and examining the economic and political struggles of agricultural workers in Oregon. Participants in the course will be collaborating with the county OSU Extension office on a research study on food security and dietary acculturation in the Latino community, and they will be working in teams to produce short documentaries about the Latino experience in the mid-Willamette region. Two graduate students will be involved in the course and will assist the faculty team in tracking learning outcomes for the participants.

REMAINING CHALLENGES As seen in the summary of program goals and outcomes (Appendix), there are some significant theoretical and practical issues that have emerged within the program, and the faculty team continues to explore solutions. Not all of the problems we face are internal, however, and we continue to question whether the program will remain viable in the long term. Institutionalization of curricular trans-

LENSO-21

23/1/09

388

12:32

Página 388

Juan Antonio Trujillo

formation is, in fact, one of the key challenges described in the learning community literature. Spear et al. 2003 write: The initial learning community experiments described here tended to be short-lived because they existed on the fringes of their institution, because they depended for their energy on the drive and charisma of a single leader, because they could not work their way into the core structure of the institution, including its personnel allocations, budgetary processes, and degree requirements, and because they exacted enormous personal costs from their founders. (p. 13)

Learning communities have typically been associated with small liberal arts colleges, and it appears that our large Carnegie-ranked research institution may not be ready for coordinated studies programs across the curriculum. Although there has been generous support from the language department chair and a few wellplaced individuals within the administration, the future of the project is not guaranteed, and the snowball effect the initial team hoped for did not materialize. Rather than join us, our more senior colleagues in Spanish have displayed reactions ranging from indifference to mild hostility. They express doubt about the work load and the academic rigor of the experience and surreptitiously discourage students from applying to the program. The department’s increased reliance on adjuncts with low salaries and very limited job security certainly provides some valid justification for the lack of faculty participation –how can we ask those very capable adjuncts to subject themselves to the risk that our project entails? Lamentably, discussions about any kind of team-teaching simply appear to be off limits with even the most securely situated faculty. Educators do not embark on a path such as the one we have taken without a certain idealistic passion. Although most of our colleagues seem committed to maintaining the status quo, the learning community faculty is prepared to continue insisting on an ongoing critical dialog with other faculty about how our department should operate. There are also significant institutional hurdles to overcome, primarily bureaucratic in nature. Curriculum proposals, for example, are handled through a lengthy, multi-tiered committee process that depends on a computerized application system with rigidly-defined parameters, and there is simply no way to propose a course with the characteristics of a typical coordinated studies program. Other administrative tasks are similarly challenging. It is necessary to request scheduling exemptions a year in advance in order to occupy a single room for a five-hour block; there’s no clear-cut way to calculate the workload of team-taught courses for productivity reports; the actual content of the course does not make it onto transcripts; and required student evaluations of teaching become a complicated

LENSO-21

23/1/09

12:32

Página 389

Con Todos: Using learning communities

389

affair given our rejection of notions about the student-teacher relationship assumed by the questions.

Conclusion It is indisputable that the educational needs of our students and the broader community we serve are changing as the Spanish-speaking population grows. Despite this dramatic growth in the size and visibility of Spanish-speaking populations, the language and culture of those who belong to this uniquely U.S. Latino identity group are not receiving adequate attention in our university language programs. Whether the response takes the form of learning communities such as the one described here or some other curricular transformation, it is the hope of the OSU faculty team that institutions of higher education will begin to recognize the positive role they can play in fostering dialog between diverse groups and in supporting the needs of our emerging multilingual identities. As just described, there are numerous challenges that threaten the long-term viability of the program we have initiated, and a setback with this learning community would seriously delay our overarching objective of profound curricular transformation in the service of social justice. The outcomes of this experiment continue to inspire the team, however, despite the lack of quantitative evidence of success. There are photographs, sculptures, and videos produced by the program participants, but they cannot be disseminated easily in assessment reports. An academic article cannot share the dramatic readings and skits, music, political marches, funerals and baby showers, tears and laughter, and long conversations on the lawn, yet all are evidence of a level of authentic engagement and connectedness that no member of the learning community –faculty or student– had ever experienced before in an academic setting. It is clear to us now that the way to move forward is together –con todos.

References ALONSO, Carlos J. (2006): “Spanish: The foreign national language”, in: ADFL Bulletin 37, 15-20. ENGSTROM, Cathy McHugh/RIEMER, Stacey (2005, May): Developing and sustaining learning communities at Oregon State University. Handout presented at workshop on learning communities, Corvallis, Oregon. FALTIS, Christian J. (1990): “Spanish for native speakers: Freirian and Vygotskian perspectives”, in: Foreign Language Annals 23, 117-126.

LENSO-21

23/1/09

390

12:32

Página 390

Juan Antonio Trujillo

FINKEL, Donald L. (2000): Teaching with your mouth shut. Portsmouth, NH: Boynton/ Cook. FREIRE, Paulo (2000): Pedagogy of the oppressed: 30th anniversary edition. New York: Continuum. HOOKS, Bell (2003): Teaching community. New York: Routledge. INTEGRATED PERFORMANCE ASSESSMENT PROJECT (2003): ACTFL Integrated Performance Assessment. Alexandria, VA: American Council on the Teaching of Foreign Languages. KIRLIN, Mary (2003): The role of civic skills in fostering civic engagement. CIRCLE Working Paper 06. http://www.civicyouth.org/PopUps/WorkingPapers/WP06Kirlin. pdf (March 11, 2007). — (2006, November): Creating engaged citizens: The central role of civic skills. Handout presented at workshop on civic engagement, Corvallis, Oregon. KUH, George D./KINZIE, Jillian (2005): Promoting student success: What the media and the general public need to know (Occasional Paper No. 2). http://nsse.iub.edu/institute/ documents/briefs/ (March, 11 2007). KUH, George D./KINZIE, Jillian/SCHUH. John/WHITT, Elizabeth (2005): Student success in college: Creating conditions that matter. San Francisco: Jossey-Bass. LAVE, Jean/WENGER, Etienne (1991): Situated learning: Legitimate peripheral participation. New York: Cambridge University Press. LEEMAN, Jennifer (2005): “Engaging critical pedagogy: Spanish for native speakers”, in: Foreign Language Annals 38, 35-45. — (2006): “The value of Spanish: Shifting ideologies in U.S. language teaching”, in: ADFL Bulletin 38, 32-39. LOUISIANA STATE UNIVERSITY CENTER FOR COMMUNITY ENGAGEMENT, LEARNING, AND LEADERSHIP (2007): Service-learning student partner handbook. http://appl003.lsu. edu/slas/ccell/studentinfo.nsf/$Content/Handbook+for+Students/$file/Handbook+for +Students+6-07.pdf (August 15, 2007). NATIONAL ASSESSMENT GOVERNING BOARD (2000): Framework for the 2004 foreign language National Assessment of Educational Progress. http://www.nagb.org/pubs/FinalFramework PrePubEdition1.pdf (January 17, 2007). NATIONAL OPINION RESEARCH CENTER (1972-2006): General social surveys. Chicago: National Opinion Research Center. NATIONAL STANDARDS IN FOREIGN LANGUAGE EDUCATION PROJECT (2006): Standards for foreign language learning in the 21st century (3rd ed.). Lawrence, KS: National Standards in Foreign Language Education Project. NATIONAL SURVEY OF STUDENT ENGAGEMENT [NSSE] (2007): National Survey of Student Engagement: Quick facts. http://nsse.iub.edu/html/quick_facts.cfm (March 11, 2007). OREGON STATE UNIVERSITY OFFICE OF INSTITUTIONAL RESEARCH (2007): Enrollment summary fall term 2006. http://oregonstate.edu/admin/aa/ir/enrollment/ES_Fall_2006.pdf (August 15, 2007). OREGON STATE UNIVERSITY OFFICE OF ACADEMIC PROGRAMS (2006): OSU interim accreditation report 2006. http://oregonstate.edu/ap/assessment/NWCCUassessreport_06.pdf (March 11, 2007).

LENSO-21

23/1/09

12:32

Página 391

Con Todos: Using learning communities

391

SHOR, Ira (1996): When students have power: Negotiating authority in a critical pedagogy. Chicago: University of Chicago Press. SPEAR, Karen/ARNOLD, J. David/CORNWELL, Grant/WALSH STODDARD, Eve/GUARASCI, Richard/MATTHEWS, Roberta S. (2003): Learning communities in liberal arts colleges. National Learning Communities Project Monograph Series. Olympia, WA: The Evergreen State College, Washington Center for Improving the Quality of Undergraduate Education, in cooperation with the American Association for Higher Education. TEJADA Gómez, Armando (1973): Canción con todos. On Canción con todos [LP]. Buenos Aires, Argentina: Trova Industrias Musicales, S.A. TINTO, Vincent (1994): Leaving college: Rethinking the causes and cures of student attrition (2nd ed.). Chicago: Chicago University Press. — (2005, February): Taking student success seriously. Handout presented at workshop on student success, Corvallis, Oregon. TRUJILLO, Juan Antonio (2003): “Ethnic attitudes as affective filter: Intermediate Spanish at Oregon State University”, in: Spectrum 34(3), 7-9. UNIVERSITY OF CALIFORNIA AT BERKELEY FACULTY POLICY COMMITTEE ON SERVICE-LEARNING (2002): Criteria for service-learning course review at UC Berkeley. http://www. servicelearning.org/lib_svcs/lib_cat/index.php?library _id=6455 (March 13, 2007). VILLA, Daniel (1996): “Choosing a ‘standard’ variety of Spanish for the instruction of native Spanish speakers”, in: Foreign Language Annals 29, 191-200. — (2002): “The sanitizing of U.S. Spanish in academia”, in: Foreign Language Annals 35, 222-230. WENGER, Etienne/MCDERMOTT, Richard/SNYDER, William M. (2002): Cultivating communities of practice: A guide to managing knowledge. Boston: Harvard Business School Press.

LENSO-21

23/1/09

12:32

Página 392

392

Juan Antonio Trujillo

Appendix OBJECTIVES AND IMPLEMENTATION DETAILS OF THE OSU LEARNING COMMUNITY4

4

Curricular Objective

Current Implementation

Remaining Challenges

Provide the skills needed for success

Class time is allotted for interpersonal communication (conflict resolution, open dialog); training in identifying social and academic resources (library visits, technology training) and time management

Learners still need more information from faculty about how to measure success under our theoretical framework

Encourage student/faculty contact beyond academics

Course includes theater trips; social events (picnics, baby shower, funeral, meals)

Certain activities may exclude low-income, working students or those with family obligations

Deep commitment to students

Ongoing personal advising; advocacy; referrals for psychological, academic assistance

Commitment not shared by all department faculty; resources limit the program to one small cohort per year

Philosophical grounding in the social and intellectual growth of students (Tinto) Focus on student learning (Kuh)

Grades are minimized and academic rigor maximized by using holistic, narrative assessments

Empirical proof of growth in targeted areas may soon be required to justify the program’s costs

‘Lived’ philosophy

Faculty behave as learners, equal members of the community in determining content and policy

Contradictory roles are prescribed by the institution (grading, faculty evaluations that emphasize teacher as ‘teller’)

The first column lists the program objectives discussed previously in a consolidated, simplified form. The second column provides examples of structures or practices that have emerged in response to those objectives. The third column gives examples of specific challenges that the program faculty has identified during the years that the learning community project has been under development.

LENSO-21

23/1/09

12:32

Página 393

Con Todos: Using learning communities

393

Curricular Objective

Current Implementation

Remaining Challenges

Provide an enriching environment

Course is diverse in ethnicity, age; learning takes place outside classroom; classes and activities are open to colleagues, family, or friends of participants at nearly any time

There is a persistent gender imbalance (more females); additional alternative learning spaces are needed (public library, arboretum)

Have clear pathways to success

Goals, outcomes, and assessment criteria defined by students before term

The planning retreat could be earlier, with more background reading

Improvementoriented ethos

Portfolios allow for unlimited revisions; conversations are held to revise, refine goals and assignments; no grades until final report card

A post-trimester retreat with all or selected students focused on assessing the program could prove useful

Student success a shared responsibility; students as ‘curriculum makers’

Peer review; faculty feedback in oral and written form; selfassessments (even final grades are self-assessed); students select activities, assessment criteria, final grades

There is faculty resistance to self-graded courses; rarely, a student will select an egregiously inappropriate final grade

Avoid ‘banking’ model, ‘telling’; use instead problem solving, dialog

Program emphasizes studentled seminars, presentations, projects, mentorship

Uncertainty remains about the role of ‘experts’, institutional authority

We include readings on Awareness of the linguistic hegemony; oppression of discussion of language normative variation and change; activities approaches to language behavior use a wide range of registers and regional styles

Faculty without linguistics training resist challenges to the prevailing normative approach

We emphasize learning as the practice of freedom, empowerment; free coffee

Joy is hard to maintain in fivehour blocks

Spirit of joy

LENSO-21

23/1/09

12:32

Página 394

394

Juan Antonio Trujillo

Curricular Objective

Current Implementation

Remaining Challenges

Treat learning as a Family and friends attend class; discussion of life events normal life incorporated activity Communication

Activities include all modes: interpersonal, interpretive, presentational in speaking and writing

Cultures

Process-oriented discussion focused on perspectives, products

Connections

Interdisciplinary treatment of themes; acquire new knowledge using Spanish

Comparisons

Languages and cultures contrasted in course assignments, discussions, video projects

Communities

Service; use of Spanish as part of group identity

Consciousness

Observe or participate in direct Room must be made for political political action (e.g., 2006 difference without immigration marches); write compromising the underlying letters to editor; political issues social justice framework (discussed repression, propaganda, NAFTA)

Service connected to discipline; Service that meets community need; Service relevant to issues/topics studied in course

Placements focused on education, language, culture (pre-K-12, adult GED, health)

Better integration of service with classroom discussions and assignments; better synthesis between theory and praxis; more relevant ‘deliverables’

LENSO-21

23/1/09

12:32

Página 395

Con Todos: Using learning communities

395

Curricular Objective

Current Implementation

Remaining Challenges

Organization

Event planning; significant group projects requiring management of personnel, time, resources

More time for group work is always needed, even though it is far more prevalent in this course than in others

Collective decision making

Course planning; group work from the beginning

Teach Spanish as a second language, not as a foreign one

Use Spanish in ‘real world’ settings, on ‘real’ issues, and with ‘real’ people

Invite even more frequent contact with local speakers of Spanish

Cross-disciplinary approach

Participation from Depts. of Ethnic Studies, Philosophy, Political Science, Sociology, etc.

Involve even more instructors from within/beyond the university; have more full-time faculty assigned to the course

Restructure internal department hierarchies (e.g. Peninsular vs. Chicano vs. Cono Sur vs. linguistics) Reach out to Digital video projects; serviceexisting domestic learning component Latino populations (e.g., through emerging technologies)

Address ongoing division between literature/area specialists and those with integrative, global perspectives

Use additional technologies: blogs, podcasts, on-demand publishing; visual and performing arts

LENSO-21

23/1/09

12:32

Página 396

LENSO-21

23/1/09

12:32

Página 397

LOS AUTORES

Editores Manel Lacorte Profesor titular asociado de lingüística aplicada y director del programa de lengua en el Departamento de Español y Portugués de la Universidad de Maryland. Su investigación analiza aspectos sociales y culturales de la interacción en el aula de español como segunda lengua o lengua heredada, cuestiones sociopolíticas en metodología y formación de profesores de lengua, y el desarrollo de la lingüística aplicada del español. Con artículos en revistas como Language Teaching Research, Foreign Language Annals, Spanish in Context, Heritage Language Journal, Hispania y Cultura & Educación, su trabajo más reciente es el volumen editado Lingüística aplicada del español. Jennifer Leeman Associate Professor of Hispanic Linguistics at George Mason University in Virginia. Her research focuses on ideologies of language, nation and race in the United States, the sociopolitics of language in academia, critical pedagogy and the teaching of Spanish as a heritage language, and second language acquisition. She has published in journals such as Critical Inquiry in Language Studies, Foreign Language Annals, Hispania, Journal of Language and Politics, Language Learning, and Studies in Second Language Acquisition, as well as in several edited volumes. Autores Sara M. Beaudrie Assistant Professor and Director of the Spanish for Heritage Learners program in the Spanish and Portuguese Department at the University of Arizona. She teaches graduate and undergraduate courses in Applied Linguistics and Heritage Language Pedagogy. She has published articles and presented in national and inter-

LENSO-21

23/1/09

398

12:32

Página 398

Los autores

national conferences on heritage language pedagogy and development, heritage language maintenance, and heritage language program and curriculum development. She is currently working on the acquisition of orthography by heritage language learners and heritage language program development issues. María Cecilia Colombi Profesora y jefa del Departamento de Español en la Universidad de California, Davis. Su investigación incluye la sociolingüística del español en los Estados Unidos, la lingüística sistémica funcional del español y la adquisición del español como segunda lengua y lengua heredada. Sus publicaciones más recientes son Palabra abierta (2ª ed.), con Jill Pellettieri y Mabel Rodríguez; Mi lengua: Spanish as a Heritage Language in the United States, con Ana Roca; Developing Advanced Literacy in First and Second Languages: Meaning with Power, con Mary J. Schleppegrell, y La enseñanza del español a hispanohablantes: praxis y teoría, con Francisco X. Alarcón. Cynthia Ducar Assistant Professor of Spanish Linguistics at Bowling Green State University in Ohio. Her research focuses on Spanish heritage language learners, computer mediated communication and Spanish in the United States. Her most recently published pieces include: “Bilingual and heritage language education: Invisible linguistic hegemony in the U.S.” (2006) and “Student voices: The missing link in the heritage language debate” (Foreign Language Annals 2008). Arturo Fernández-Gibert Profesor titular asociado de lengua española en la Universidad Estatal de California en San Bernardino. Obtuvo su doctorado en la Universidad de Nuevo México en 2001. Su principal interés investigador es la sociolingüística histórica del español en los Estados Unidos y, en particular, Nuevo México. Ha publicado varios artículos sobre esta materia en los últimos años, en los que ha estudiado el papel de la lengua en la sociedad neomexicana durante el período previo a la admisión de este territorio como estado de la Unión americana. MaryEllen García Faculty in the Department of Modern Languages and Literatures at the University of Texas at San Antonio. She holds a MA in Hispanic Linguistics (Indiana University) and a Ph.D. in Linguistics (Georgetown University). Her research and publications examine the Spanish and English of Mexican Americans in the U.S. Southwest: phonological, morphological, syntactic and semantic variability, maintenance of Spanish and code-switching. Issues of language contact in the

LENSO-21

23/1/09

Los autores

12:32

Página 399

399

U.S. are of personal as well as professional interest to her as a third generation Mexican American. Her expertise has been sought in interviews with media such as The New York Times, Univisión, and National Public Radio. Kendall A. King Associate Professor, Second Languages and Cultures, University of Minnesota. Her research addresses ideological, interactional and policy perspectives on L2 learning and bilingualism, and practices related to language use among minority populations in Latin America and Spanish speakers in the U.S. She has examined home-school-community contexts of linguistic contact, language use and identity production in the rural Andes, urban centers of Chile and Sweden, and the U.S. Her work has appeared in journals such as First Language, Journal of Child Language, Journal of Sociolinguistics, and Annual Review of Applied Linguistics. She is an editor of the journal Language Policy and co-editor of the recent book Sustaining Linguistic Diversity. Carol A. Klee Professor of Hispanic Linguistics in the Department of Spanish and Portuguese Studies, Director of the National Resource Center on Western European Studies (2006-10), and Assistant Vice President for International Scholarship (20092010) at the University of Minnesota. Her research interests include Spanish sociolinguistics, language contact, and second language acquisition. She is coauthor of Lingüística aplicada: la adquisición del español como segunda lengua (Wiley 2003) and El español en contacto con otras lenguas (Georgetown, forthcoming 2009). She has also published articles on Spanish-Quechua language contact, Spanish in the U.S., and second language acquisition. Naomi Lapidus Shin Assistant Professor of Spanish/Applied Linguistics at the University of Montana. Her research with monolingual Spanish-speaking children in Mexico explores the development of sensitivity to discourse factors predicting pronoun use. As an active member of the CUNY Project on the Spanish of NY, she has published articles such as “Overt nonspecific ellos in Spanish in New York” (Spanish in Context 2005) and “An adaptive approach to noun gender in New York contact Spanish” (in Cameron, López & Núñez-Cedeño, A Romance Perspective on Language Knowledge and Use 2003). Clare Mar-Molinero Professor of Spanish Sociolinguistics and Head of Modern Languages at the University of Southampton. She teaches and has published widely on language poli-

LENSO-21

23/1/09

400

12:32

Página 400

Los autores

cies and on global Spanish. Her publications include: The Politics of Language in the Spanish-speaking World; The Spanish-Speaking World: Introduction to Sociolinguistic Issues; Nationalism and the Nation in the Iberian Peninsula, co-edited with Angel Smith; Language Ideologies, Policies and Practices: Language and the Future of Europe, co-edited with Patrick Stevenson; and Globalization and Language in the Spanish-Speaking World, co-edited with Miranda Stewart. She is chair of the International Association for the Study of Spanish in Society (SiS). Glenn A. Martinez Associate Professor of Spanish and Director of the Medical Spanish for Heritage Learners Project at the University of Texas Pan American in Edinburg, Texas. He is the author of Mexican Americans and Language: Del dicho al hecho, co-editor of Recovering the U.S. Hispanic Linguistic Heritage: Sociohistorical Approaches to Spanish in the United States, and author of numerous research articles in journals such as Language Policy, Language Problems and Language Planning, Critical Inquiry in Language Studies, and Language Teaching Research. His current research focuses on the sociolinguistic and sociopolitical dimensions of limited English proficiency in the United States. Jim Michnowicz Assistant Professor of Spanish at North Carolina State University. He obtained his doctorate in Hispanic Linguistics from The Pennsylvania State University in 2006. His research focuses on the dialectology and sociolinguistics of the Spanish-speaking world, with a particular emphasis on non-standard varieties of Spanish and linguistic expressions of regional identity. He has investigated these areas in the Spanish of Yucatan, Mexico, and El Salvador. His latest publication is “Final nasal choice in Yucatan Spanish” (Spanish in Context 2008), and he is currently working on projects concerning standardization in Yucatan Spanish and ceceo in Salvadoran Spanish. Rachel F. Moran Robert D. and Leslie-Kay Raven Professor of Law at Berkeley Law School (University of California) as well as a Founding Faculty member at the University of California, Irvine School of Law. She is the author of Interracial Intimacy, coauthor of Educational Policy and the Law (4th ed.) (with Mark G. Yudof, David L. Kirp, and Betsy Levin), and co-editor of Race Law Stories (with Devon W. Carbado). Moran’s recent publications include: “The Story of Lau v. Nichols: Breaking the Silence in Chinatown” in Education Law Stories (M. Olivas and R. Schneider, eds.), and “Undone by Law: The Uncertain Legacy of Lau v. Nichols,” 16 Berkeley La Raza Law Journal.

LENSO-21

23/1/09

Los autores

12:32

Página 401

401

Ricardo Otheguy Professor of Linguistics at the Graduate Center of the City University of New York (CUNY). His theoretical work has been in the fields of functional grammar, sociolinguistics, language and dialect contact, and the analysis of Spanish in the U.S. His applied work has centered around bilingual education and the production of textbook materials for the teaching of Spanish as both an L1 and an L2. He coordinates the CUNY Project on the Spanish of New York and is Director of the Research Institute for the Study of Language in Urban Society (RISLUS). Luis A. Ortiz López Profesor del Departamento de Estudios Hispánicos y del Programa Graduado de Lingüística de la Universidad de Puerto Rico. Su investigación incluye sociolingüística, contacto de lenguas y adquisición de segundas lenguas. Además de artículos en revistas y libros editados, ha publicado Huellas etno-sociolingüísticas bozales y afrocubanas, El Caribe hispánico: perspectivas lingüísticas actuales (editor) y Contacto y contextos lingüísticos: el español en los Estados Unidos y en contacto con otras lenguas (co-editor). En la actualidad, investiga la adquisición del español como L2 en niños haitianos y dominico-haitianos, bilingües simultáneos y secuenciales (español-criollo haitiano) y coordina el proyecto de variación sociolingüística PRESEEA de Puerto Rico. Darren J. Paffey Faculty in Modern Languages at the University of Southampton, UK, where he teaches Spanish Linguistics. He recently completed a Ph.D. thesis which investigated language ideologies and standardization in the discourse of the Spanish Language Academy, particularly in the Spanish national press. He has published articles in the journal Language Policy and in a forthcoming volume on language ideologies and the media to be published by Continuum. Darren is currently involved in establishing a centre for Research and Educational Collaboration between Southampton and Mexico. Claudia Parodi Profesora e investigadora en el Departamento de Español y Portugués de la Universidad de California en Los Ángeles. Ha investigado la evolución histórica del español en América, el español de Los Angeles y la formalización de la sintaxis del español en el marco de la gramática generativa. Últimamente analiza la relación entre lingüística y literatura. Algunas de sus obras son Orígenes del español americano (1995), “La colonia y los estudios posmodernos” (2006) y Key Terms in Syntactic Theory, con Silvia Luraghi (2008). Tiene en prensa “Estudios de semántica cultural” (UNAM) y “Tensión lingüística en la colonia: Diglosia y bilingüismo” en Historia de la sociolingüística en México (Colegio de México).

LENSO-21

23/1/09

402

12:32

Página 402

Los autores

Robert Train Associate Professor of Spanish at Sonoma State University in California, where he also directs the Language and Culture Learning Center. Articulating an interdisciplinary and socially-engaged approach to language in education, his research and publications have brought together insights from sociolinguistics, applied linguistics, historiography of the language, critical theory, and anthropology to consider the contours and consequences of ideologies in the lives of speakers. A philologist by training, he is currently investigating the foundational texts of Spanish language education in the United States from a postcolonial perspective. Juan Antonio Trujillo Assistant Professor of Spanish and Linguistics at Oregon State University. His work deals with Spanish in the United States from both applied and theoretical perspectives. In addition to examining the integration of the language and culture of domestic Spanish-speaking populations in the U.S. college Spanish curriculum, he researches the role of social identity in the development of pre-statehood New Mexico Spanish. Daniel J. Villa Professor of Spanish in the Department of Languages and Linguistics at New Mexico State University. His teaching and research interests include language maintenance and shift, the demographics and economic presence of U.S. Spanish speakers, the sociolinguistic study of Southwest Spanish, and the teaching of Spanish to heritage speakers. His work has been published in journals such as Foreign Language Annals, Language Learning and Technology, Southwest Journal of Linguistics, and Spanish in Context, as well as in a number of edited collections.

LENSO-21

23/1/09

12:32

Página 403

Colección LENGUA Y SOCIEDAD EN EL MUNDO HISPÁNICO ÚLTIMOS VOLÚMENES PUBLICADOS 11. Noll, Volker; Zimmermann, Klaus; Neumann-Holzschuh, Ingrid (eds.): El español en América. Aspectos teóricos, particularidades, contactos. 2005 12. Fairclough, Marta: Spanish and Heritage Language Education. Struggling with hypotheticals. 2005 13. Kluge, Bettina: Identitätskonstitution im Gespräch. Südchilenische Migrantinnen in Santiago de Chile. 2005 14. Olbertz, Hella; Muysken, Pieter (eds.): Encuentros y conflictos: bilingüísmo y contacto de lenguas en el mundo andino. 2005 15. Schrader-Kniffki, Martina (ed.): La cortesía en el mundo hispánico. Nuevos contextos, nuevos enfoques metodológicos. 2005 16. Marcos Marín, Francisco A.: Los retos del español. 2006 17. Valle, José del: La lengua, ¿patria común? 2007 18. Schrader-Kniffki, Martina; Morgenthaler García, Laura (eds.): La Romania en interacción: Entre historia, contacto y política. Ensayos en homenaje a Klaus Zimmermann. 2007 19. Morgenthaler García, Laura: Identidad y pluricentrismo lingüístico. Hablantes canarios frente a la estandarización. 2008 20. Lipski, John: Afro-Bolivian Spanish. 2008

Iberoamericana Editorial C / Amor de Dios, 1 E-28014 Madrid

Vervuert Verlag Elisabethenstr. 3-9 D-60594 Frankfurt

visite nuestra página y haga su pedido en... www.ibero-americana.net / [email protected]

LENSO-21

23/1/09

12:32

Página 404

LENSO-21

23/1/09

12:32

Página 405

ESPAÑOL EN ESTADOS UNIDOS – PUBLICACIONES DE IBEROAMERICANA VERVUERT LUIS A. ORTIZ LÓPEZ, MANEL LACORTE (eds.) Contactos y contextos lingüísticos: El español en los Estados Unidos y en contacto con otras lenguas 2005. 355 p. Lingüística Iberoamericana, 27 ISBN 9788484891970 Este texto propone miradas alternas, teóricas y aplicadas, al estudio de lenguas en contacto en escenarios con diversos grados de bilingüismo, con especial atención al español en los Estados Unidos. FRANCISCO A. MARCOS-MARÍN Los retos del español 2006. 222 p. Lengua y Sociedad en el Mundo Hispánico, 16 ISBN 9788484892748 Analisis de los retos del español lengua internacional: identidad, internet, el español en los Estados Unidos y la inmigración. La metodología es empírica y cuantitativa y la perspectiva hispánica. Aprovecha los más de treinta años de experiencia del autor. MARTA FAIRCLOUGH Spanish and Heritage Language Education in the United States. Struggling with hypotheticals 2005. 164 p. Lengua y Sociedad en el Mundo Hispánico, 12 ISBN 9788484891451 The study examines the effects of formal instruction on the acquisition of standard Spanish, looks at the expression of conditionality and suggests pedagogical implications based on the findings. IBEROAMERICANA EDITORIAL VERVUERT C/ Amor de Dios, 1 E-28014 Madrid Tel.: + 34 91 429 35 22 Fax: + 34 91 429 53 97 www.ibero-americana.net

VERVUERT VERLAGSGESELLSCHAFT Elisabethenstr. 3-9 D-60594 Frankfurt am Main Tel.: + 49 69 597 46 17 Fax: + 49 69 597 87 43 [email protected]

LENSO-21

23/1/09

12:32

Página 407

LENSO-21

23/1/09

12:32

Página 408