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Abstract
Difficulty in the early stages of second language listening is sometimes said to derive from
too heavy a reliance upon bottom-up information. Less experienced listeners supposedly focus
so much attention upon identifying sounds and words that they have no time or mental ca-
pacity left for building higher-level units of meaning. However, there is contrary evidence
which indicates that non-native listeners make considerable use of top-down processes. This
paper suggests that listening to a foreign language may be assisted by an interactive-com-
pensatory mechanism already available in L1, which compensates for gaps in understanding.
Two major questions are then raised: If top-down and bottom-up information are in apparent
conflict, which one prevails? And how do learners deal with new items of vocabulary when
they crop up in a listening passage? Three experiments attempted to find answers.
2004 Elsevier Ltd. All rights reserved.
Keywords: Listening; Bottom up; Top down; Language processing; Context; Speech signal; Lexis
1. Background
The terms ‘bottom up’ and ‘top down’ occur frequently in the literature on second
language listening and reading. They are often used to mark a distinction between
*
Tel.: +44-20-7483-4568.
E-mail address: jcf1000@dircon.co.uk (J. Field).
0346-251X/$ - see front matter 2004 Elsevier Ltd. All rights reserved.
doi:10.1016/j.system.2004.05.002
364 J. Field / System 32 (2004) 363–377
information derived from perceptual sources and information derived from con-
textual ones. 1 Strictly speaking, however, the terms refer not to particular levels of
processing but to directions of processing. In a ‘bottom-up’ process, small (‘lower
level’) units are progressively reshaped into larger ones; in a top-down process, larger
units exercise an influence over the way in which smaller ones are perceived. Con-
sider, for example, the vocabulary effects which potentially occur in both first and
second language listening, where the listener’s interpretation of a string of phonemes
is constrained by the knowledge that a particular word exists. They qualify as a top-
down process, since information from one level (the word) shapes the interpretation
of information at a lower level (the phoneme). I shall return to this point in due
course.
The term ‘contextual’ as used in relation to ‘top-down’ processing is also some-
what misleading. Writers use it to refer to the impact of world knowledge upon
processing; but they also use it to refer to the impact of information gleaned from
earlier content in the conversation or reading passage (what Brown and Yule, 1983:
46 term ‘co-text’). This paper considers both types of context but attempts to keep
the two distinct.
A further confusion arises when ‘bottom up’ and ‘top down’ processing are
represented as if they were alternatives. This is clearly not the case. The kind of co-
textual information that might be used ‘top down’ to assist interpretation can only
be achieved by, in the first instance, processing what is actually there in the input. To
give a simple example of the power of perceptual data, assume that, early in a
conversation, an L2 listener mishears I won’t go to London as I want to go to London.
He/she is likely to construct incorrect expectations as to the direction that the
conversation will take, and may even be at some pains to reshape what comes next to
make it conform to this early misunderstanding.
The relationship between ‘bottom-up’ and ‘top-down’ processing is a complex one
based upon a considerable degree of interdependence, a fact that has been recognised
by a number of recent commentators (e.g., Tsui and Fullilove, 1998). What is at issue
when investigating this aspect of second language listening and reading is not which
path is chosen but which of the two processing routes is preferred over the other. To
put it another way: If top-down evidence conflicts with bottom-up, which of the two
is the second language learner most likely to trust? This is the central issue addressed
in the series of pilot experiments reported here.
One established view of the problems faced by the second language listener or
reader takes the following form: Weaker second language learners worry about not
1
Greatly preferable are the terms lower-level processing (for decoding what is in the speech stream) and
higher-level processing (for the building of meaning). However, they have to be used with some
circumspection in discussions of L2 listening since they easily become confused with references to lower
and higher levels of learner (indicating degree of competence in the target language).
J. Field / System 32 (2004) 363–377 365
understanding each word of the input. They focus their attention at word level and this
occupies much working memory capacity, preventing them from building the words into
higher-level meaning.
A slightly different take on this ‘bottom-up dependency’ view is provided by
Gernsbacher’s (1990) Structure Building theory, based on findings in first-language
reading. Gernsbacher suggests that it is a characteristic of less skilled readers that
they build small-scale units of meaning and are unable to integrate these units into
larger ones. It is interesting to consider whether this might also apply to the per-
formance of L2 listeners with a limited knowledge of the target language.
Certainly, there is ample evidence of learners with limited L2 competence drawing
heavily upon perceptual data. After testing 235 learners for both detailed and global
understanding of academic material, Hansen and Jensen (1994, p. 265) interpreted
their findings as ‘indirect evidence that low proficiency students rely heavily on
bottom-up processing skills’.
However, there is also a contrary line of research, represented in (e.g.) Long
(1989), which takes it as axiomatic that top-down information plays an important
role in the final interpretation that is derived by the second language listener, and
maintains that such information supports the weaker listener as well as the more
advanced.
This paper attempts to establish more precisely the relationship between the raw
evidence extracted from the speech signal by an L2 listener and external information
drawn from (a) the listener’s world knowledge and (b) the listener’s recall of what
has been said in the conversation so far.
with perceptual processing. Low-level learners were found to have markedly more
difficulties of this kind than more advanced ones.
The evidence from second language reading supports the ‘bottom-up dependency’
view rather more strongly that that from listening. Indeed, the notion that language
learners focus too heavily upon details of the signal may have originated in reading
studies. The two skills are clearly very different at the perceptual level, but, given the
parallels between them at the conceptual level, it is worthwhile reviewing the evi-
dence briefly.
Clarke (1980) takes the view that the attention of lower-level readers is so focused
upon decoding that they are unable to transfer into L2 the kind of higher-level
processing that comes naturally to them in the native language. Cummins (1979)
advances the similar ‘threshold’ theory that a minimum language competence is
necessary before effective use of higher-level processes can be made. Further ‘bottom
up’ evidence comes from Cziko (1980) who analysed the errors made by learners of
French at two levels when they read aloud. He concluded that those less competent
in the language made less use of contextual information and showed signs of a de-
pendence upon the words of the text. One has, nonetheless, to exercise some caution
in drawing hard-and-fast conclusions about general reading skills from a perceptual
task such as reading aloud.
Not all reading researchers are in agreement. Stanovich (1980) adopts a very
different view (in this case, of L1 reading 2). He proposes that the relationship be-
tween top-down and bottom-up information is regulated by an interactive-compen-
satory mechanism. He argues that, when a message is degraded in some way (for
example, by bad handwriting), readers automatically compensate by relying more
heavily than normal upon contextual clues. In other words, the relationship between
input and context is not a constant one but can be varied according to the listener’s
confidence as to the reliability of each. It seems reasonable to suppose that the
principle can be extended to the case of an individual who is listening in conditions of
noise. This, as we shall see, can provide a useful perspective on L2 listening.
The interactive-compensatory view receives support from the work of Perfetti
(1985), referred to above. Perfetti believes that weaker L1 readers make considerable
use of contextual cues and that their problems derive chiefly from slower access to
word meanings because of their inability to decode accurately. He, like Stanovich,
argues that higher-level information is used compensatorily – not to reinforce
meaning that has already been derived from a text but to restore those parts which
have not fully been understood.
2
Writers such as Paran (1996) have drawn parallels between the weak L1 readers of Perfetti’s studies
and novice L2 readers.
368 J. Field / System 32 (2004) 363–377
There would, then, appear to be conflicting views as to how much use second
language learners make of top-down information. Two possible reasons might ac-
count for this lack of consensus.
Field (1997) cites evidence from learner-focused video which suggests that L2 lis-
teners tend to construct a schema relating to the topic of a listening text and to use this
to guide their processing of incomplete bottom-up information. The most striking
finding, however, was that some learners seem to place more confidence in their pre-
formed schema than in incoming data from the speech-stream. Instead of modifying the
former to fit the evidence, they appear inclined to do the opposite: to alter their version
of what they hear to fit it to preconceived ideas of what the text covers. Thus, in a text
about travel, one student converted the word mat into map and another chose not to
identify the word ledge as an unknown vocabulary item but interpreted it as bridge.
Two conclusions can be drawn from these results:
(a) that, in some cases, learners may place greater trust in top-down evidence than in
bottom-up. This may reflect an underlying lack of confidence in their ability to
process the sounds of the target language accurately.
(b) that, instead of always assuming that unrecognised words represent new items of
vocabulary, some learners prefer to match them very approximately to known
words which are supported by top-down evidence.
On point (a), other commentators have recognised the extent to which learners
can be misled by dependence on top-down information. Long (1990, p. 72) com-
ments that ‘schemata can... have dysfunctional effects on L2 listening comprehen-
sion’. Similarly, Lund (1991, p. 202) asserts that ‘The construction of inappropriate
contexts and schemas seriously interferes with comprehension of the actual text’.
3. The experiments
3.1. Design
In the target items, the onset of the last word was then changed to turn it into an
similar word which did not belong to the set (hot fi ‘got’).
Foils, where the last word had not been changed, were mixed in with the target
items. Subjects were asked to listen to each group of words and to write down the
last word in each. The purpose was to establish whether top-down influences (here
based on vocabulary sets) would so constrain the subjects that they would overrule
the ‘bottom-up’ evidence of their ears and substitute a semantically more appro-
priate item (HOT for got). If so, it would provide strong evidence of top-down de-
pendency – of an underlying view that inference was perhaps more dependable than
the learner’s ability to identify sounds and words accurately in the target language.
Experiment 2. Here, a semantically constraining sentence was provided in place of
a list of words. A highly predictable word at the end of the sentence was replaced by
one which differed from it by one phoneme. This substitute word was much less
predictable but nonetheless acceptable in the context. Both original word and sub-
stitute were of high enough frequency to be within the subjects’ vocabulary. Examples
I couldn’t listen to the radio because of the boys. [NOISE]
The people at the party were Germans, Italians, Spanish and some friends [FRENCH]
The sentences were played to subjects, who were asked to write down the last
word in each. The purpose was again to see to what extent the context (this time, the
propositional content of the sentence) encouraged them to write down a different
word from the one that they had heard.
Experiment 3. Low frequency words were chosen which were unlikely to fall
within the vocabulary of the learner but which phonologically resembled high-fre-
quency words they were likely to know. Sentences were then designed which pro-
vided a meaningful context for the low-frequency item but a contradictory one for
the high-frequency alternative. Examples:
They’re lazy in that office; they like to shirk. [not WORK]
When the plane didn’t arrive, the passengers were in a terrible plight. [not FLIGHT]
In most of the items, the target word occurred at the end of the sentence, and learners
were asked to write down the last word they heard. In seven items, the word was within
the sentence, and subjects were asked to write down the first word after a signal.
Here, the purpose was to see whether subjects opted for a known, frequent and
phonologically similar word despite the fact that it was inappropriate in the context,
or whether they were prepared to accept the presence of a new vocabulary item.
3.2. Subjects
The subjects for the three experiments were students at Eurocentre Cambridge, a
leading British EFL school. They were in four different classes, of which two
(N ¼ 31) had been graded as Lower Intermediate and two (N ¼ 17) were a high
Elementary. They were chosen because they represented a block of learners whose
familiarity with English could be regarded as limited; all had similar scores of
J. Field / System 32 (2004) 363–377 371
between 25 and 36 out of 80 on the school’s entry test. The experimental material fell
into two versions; each was presented to a group of 24 subjects in all, comprising one
class from each level. One of the Elementary students submitted a blank paper and
was omitted from consideration, leaving a total population of 47 subjects.
A range of first languages was represented. These were: German (9), Italian (3),
Korean (5), Arabic (6), Spanish (5), Portuguese (6), Cantonese (1), French (2),
Japanese (3), Russian (1) and Thai (6). At the time of the experiments, most subjects
had been in the UK for about eight weeks. Most had about 5-6 years of secondary
school English but none had resided in an English-speaking country before.
3.3. Procedure
The texts for each experiment were played once only on a cassette, using high-
quality equipment in a purpose-designed classroom with good acoustics. Answers
were recorded by subjects on an answer sheet. Each group of subjects was presented
with one version of Experiments 1 and 3 and with the 10 items in Experiment 2.
3.4. Results
The results from Experiments 1 and 2 are described briefly before going on to a
more detailed discussion of the results for Experiment 3.
Experiment 1. No evidence was obtained of subjects reinterpreting what they had
heard in order to fit it to the lexical set. Only one sequence showed any such effect. In
items ending summer – string, a minority (17.02%) of subjects recorded SPRING
instead of string. However, their reasons for doing so cannot be attributed with
certainty to the constraining influence of the lexical set; indeed nearly 30% of re-
sponses involved alternatives other than SPRING.
Closer examination of all mistranscriptions suggested that it had been an error of
experimental design to adjust the onset of the target word rather than the offset. In-
correct words recorded by subjects had a correctly transcribed onset in all but two cases
(2.8%). Where words had been misheard, it was the offset or the vowel which had been
changed. This result suggests that, like native listeners (Brown and McNeill, 1966;
Forster and Davis, 1991), non-native ones place great importance upon word onsets.
Experiment 2. More positive results were achieved than in Experiment 1. Though
the results were not consistent across items, words in seven of the 20 items were
substituted. The level of substitution ranged from 15% to 62% of responses.
Some of the changes were not those that had been expected. This provides further
evidence of the robustness of the word onset, to which even in a foreign language,
listeners seem to pay particular attention. Thus, in Item 1:
I couldn’t listen to the radio because of the boys. (Predicted: NOISE)
subjects preferred to substitute the word VOICE, whose onset shares labiality
with boys, even though this meant ignoring the voicing of the offset by substituting
/s/ for /z/.
372 J. Field / System 32 (2004) 363–377
Table 1
Mean percentage responses in transcribing new vocabulary items
Target Non-word Substituted word Blank
All responses
Mean 24.83 20.57 33.31 21.29
SD 22.79 13.94 17.48 11.04
Filled responses
Mean 30.23 27.38 42.39
SD 24.98 19.14 20.87
3
The majority of blank responses were assumed to be indicative of a situation where the subject had
failed to achieve an auditory match, but remained unclear as to whether the target word was a known one
that had not been identified or a new one. However, some may admittedly have occurred when a subject
recognised the presence of a new word but felt unable to transcribe it.
J. Field / System 32 (2004) 363–377 373
4. Conclusions
The three experiments presented here attempted, in different ways and with dif-
ferent degrees of success, to explore the relationship between top-down and bottom-
up information in the processing of second-language listeners.
Experiment 2 provided some evidence of top-down expectations overruling the
evidence of the listeners’ ears – but only when the sentential context was highly
constraining. It can be suggested, of course, that the sentences in question might
have the same effect upon native listeners. Indeed, the sentence which caused the
highest substitution of a contextually more predictable word was one which featured
in the author’s own corpus of native-speaker Slips of the Ear. But this is not a
374 J. Field / System 32 (2004) 363–377
4
Marslen-Wilson’s Cohort Theory (1987) and other sequential models of auditory processing would
also suggest that onsets are critical because it is at this point that a group of word candidates is opened up.
J. Field / System 32 (2004) 363–377 375
dependence. The truth may well lie between the two – and may, like most strategic
activity, be highly variable from one learner to another, from one text to another and
from one task to another.
Experiment 1
Set 1
1. jump big pen give take
2. wet cloudy dry cold got (hot)
3. tired end live cheap cupboard shelf
4. walk earn read night (write)
5. look shirt heavy hands meat (feet)
6. quiet bag push phone short tall
7. shoe broke angry car train
8. orange black red blue clean (green)
9. knife earth child dog hat (cat)
Set 2
10. thin name catch cup easy hard
11. friend ill lake buy tell (sell)
12. aunt man same hole drive fly
13. plate cup knife talk (fork)
14. high sorry small near wrong quite (right)
15. light time new key eat think (drink)
16. June March summer string (spring)
17. ten hurry sharp bag case
18. old young early wait (late)
Experiment 2
1. I couldn’t listen to the radio because of the boys. (noise)
2. The people at the party were Germans, Italians, Spanish and some friends.
(French)
3. We arrived at the airport on time, then we had to wait two hours for the train.
(plane)
4. You can go into the town when it’s day and when it’s light. (night)
5. He’s good at football, tennis and running ; you often see him in shorts. (sports)
6. I thought of the husband I had just buried. (married)
7. Number 7 ran very slowly, but Number 3 was last. (fast)
8. Do you know what books the children need? (read)
9. I’ve lived in the north and the east, but this place is best. (west)
10. I saw him climb on to the roof, then I heard him call. (fall)
376 J. Field / System 32 (2004) 363–377
Appendix A (continued)
Experiment 3
Set 1
1. We can’t go skating because there’s no ice in the rink. (drink)
2. They’re lazy in that office ; they like to shirk. (work)
3. There aren’t many children in the town; in fact, there’s quite a dearth. (birth)
4. When you’ve cut up the meat, add some spices. (slices)
5. The money disappeared to Switzerland as the result of a fraud. (afford)
6. We rode along the river to its source. (horse)
7. He argues a lot, but I like to hear his views. (lose)
8. When the plane didn’t arrive, the passengers were in a terrible plight. (flight)
9. He hardly ever smiles. I’d describe him as grave. (brave/great)
10. I’m sorry but the cheque is blank. (bank)
Set 2
11. After ten minutes in the rain the cigarettes were completely soaked. (smoked)
12. The water ran off the platform into a drain. (train)
13. Going to hospital fills me with dread. (bed)
14. More information about the soldier was never sought. (fought)
15. The ship’s carrying a freight that’s dangerous. (afraid)
16. I don’t know how he copes with all his problems. (hopes)
17. They travel at such a pace that they see very little. (place)
18. We need some wooden stools for the children. (schools)
19. He stood there and spat on the pavement. (sat)
20. The office workers had left litter all over the grass. (letter)
Bold typeface indicates target words; words in brackets are possible substitutes. Italic typeface indicates
words that potentially provide false co-textual cues.
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