Running Head: TSOL 531 RESEARCH PAPER 1

Research Paper: The Affective Filter Hypothesis

Joy Iris-Wilbanks

TSOL 531

Seattle University

November 16, 2013

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Introduction

A filter is something that acts as a way to strain or block material from reaching a

container. For example, a coffee filter is placed above the cup, where placed inside are coffee

grounds. When hot water is poured over the grounds the filter acts as an intermediary turning

the dense bitterness of the material into a savory liquid. An affective filter can be thought of

in a similar way. Where for example, the “cup” is the language learners themselves, however

they aren’t simply empty vessels waiting to be filled. They have linguistic devices that are

accomplishing feats of language acquisition. The “filters” in this sense are a number of

variables (such as their emotions) that either allows input to pass through, or stands in the

way, thus filtering out certain input. This is a very simple visual of the affective filter in

language acquisition but it illustrates an important point that instructors need to be reminded

of, that their students have a layer of variables that can either hinder or help second language

acquisition. Students of all ages come to their language classes with various filters in action,

whether they are feeling anxious to take a test or are feeling excited to speak. These factors

will affect the way they interact with the instruction, but most importantly what will be

retained and acquired. As instructors of ELL’s we need to ask:

What variables cause a high affective filter?

Is there evidence for affective filters hindering language acquisition?

What instructional means can be used to lower the affective filter?

Is there evidence that lowering the affective filter can aid in effective language

acquisition?

What contradictions can be found in the Affective Filter Hypothesis?

The goal of answering these questions is to understand how the Affective Filter

Hypothesis can point to ways of providing meaningful instruction so students can acquire

language better.
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Theoretical background

The affective filter comes from the idea that there is an intermediary source that

hinders the processes of language acquisition. Aligned with Krashen’s (1982) theory of

comprehensible input is the thought that no matter how much input is provided the affective

filters stands in the way of effective acquisition. In Krashen’s (1982) work “Principles and

Practice in Second Language Acquisition” he posits, “The filter hypothesis explains why it is

possible for an acquirer to obtain a great deal of comprehensible input and yet stop short…of

the native speaker level” (p. 32). The following figure from Krashen’s article (1982)

illustrates this concept:

Figure 1. Affective Filter diagram. This figure illustrates the affective filter.

The degree to which the filter is high or low can determine its strength in blocking certain

input. Krashen (1982) also believes that it determines the level of accomplishment in

language acquisition. He says that

“Those whose attitudes are not optimal for SLA will not only tend to seek less input,

but they will also have a high or strong affective filter – even if they understood the

messages, the input will not reach the part of the brain responsible for language

acquisition.” “Those with attitudes more conducive to SLA will not only seek and

obtain more input, they will also have a lower or weaker filter” (Krashen, 1982, p.

31).

In a sense what Krashen (1982) is saying is that if someone’s filter is too thick than the input

will have far more trouble reaching the devices of language acquisition, but if the filter is thin

enough (weakened) than acquisition is more likely.

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So then what are the variables that make the consistency of one’s affective filter?

Before going in depth about this, first a brief description of Krashen’s (1982) variables will

be considered. The three main variables Krashen (1982) identifies are “motivation”, “self-

confidence” and “anxiety” (p.31). It is important to keep these main variables in mind when

analyzing the Affective Filter Hypothesis because for the most part “anxiety” is what has

driven most of the studies for this theory.

Variables of the Affective Filter

When thinking of what is making the filter weak or strong it is important to consider

that there is not just one variable occurring at a singular moment. Instead, the filter consists

of many variables and across varying contexts. A closer examination of these variables can

serve as a way to narrow down which ones need the most attention when instructing.

Furthermore, an examination of these variables will point to their evidence in hindering or

fostering second language acquisition.

What is anxiety? When thinking about language learning one might think that anxiety

only comes up for students when they will be evaluated. However, anxiety occurs in

language learners in diverse ways. In MacIntyre and Charos’ (1996) study “Personality,

Attitudes, and Affects as predictors of Second Language Acquisition” they say that language

anxiety “…is the situation-specific apprehension generated in second language contexts” and

that “With respect to communicating it has been shown that speaking in the second language

can be especially anxiety provoking” (p. 6). We all know that speaking is a major part of an

ELL’s learning career. Even the most advanced and skilled ELL can still show signs of

anxiety when it comes to speaking.

However, speaking is not the only realm in which anxiety can be provoked. In Kilic

and Ucken’s (2012) study “Listening Text Type as a Variable Affecting Listening

Comprehension Anxiety” they examined the influence of a certain kind of listening exercise
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on its relationship to anxiety. They argue that “…FL listening may provoke anxiety, for it

may sometimes be incomprehensible for the learner” and that “When listening

comprehension becomes harder, listening anxiety present in the learner becomes more

prevalent. This creates a cycle which needs to be broken to allow for the proper

comprehension…” (p. 55). It makes sense that both speaking and listening would be a form

of anxiety for the ELL and thus create a thick filter. That’s because one of the major

functions of language learning is listening and speaking. Furthermore the “listening text-

types”, which are recorded scripts of spoken dialog, do create anxiety in the learners. The

study showed this by using 130 participants who were adult students in intermediate classes.

Here they gave them different types of passages, which were lectures, radio talk shows and

informal dialogs. To account for their anxiety they gave students something called an

“anxometer” where they were “asked to grade their anxiety levels on a scale of 1 – 10 after

listening to texts of different types (p. 58). The following figure illustrates the anxometer

given to the students from this study.

Figure 2. Anxometer. This figure illustrates what an anxometer looks like.

The findings shows evidence for listening anxiety but most importantly that a certain type of

listening-text causes the most results. “While lecture and radio talk show created the higher

levels of anxiety…informal dialog…caused the least anxiety…” (Kilic and Ucken’s, 2012, p.

61). This finding points to that anxiety can present itself during the lesson according to what
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activity is occurring. Understanding what types of listening exercises can provoke anxiety in

students is important towards helping students acquire the language better.

Another important aspect of anxiety is the area of communication. In Galajda’s

(2013) study “Anxiety and perceived communication competence as predictors of willingness

to communicate in the ESL / EFL classroom” it was noted, “High apprehensives tend to

withdraw from communication because of uneasiness…Such anxiety results in a state in

which people tend to avoid communication acts…” (p. 36). In this case anxiety towards

communicating causes the ELL to not participate thus hindering the amount of practice they

experience. This study compared communication apprehension and anxiety between formal

and informal contexts and between L1 and FL contexts. The results show that using L1 can

lower the filter, depending on the context. This may be helpful to instructors where by

incorporating the L1 in the classroom can help lower student’s filters. Galajda (2013) states

“As communication in formal contexts seem to be hard for the students, they prefer to choose

L1 as a language of communication…to convey the message in an easier way” (p. 44 – 45).

There are other aspects that create filters for students, such as within the context of

classroom learning. The area of learning grammar can be a major part in provoking high level

Affective filters in students. Indeed, even as an instructor it can be anxiety inducing to

present a lesson on a very complicated grammar point, or to answer random and obscure

questions about grammar from students. In the study “Communication apprehension and

second language acquisition among Vietnamese and Mexican immigrants: a test of the

affective filter hypothesis” by McCann, Hecht and Ribeau (1986) it was reasoned that “since

a second language learner is overtly criticized for grammatical errors in the learning model

but not in the acquisition mode, the latter mode should reduce anxiety about

communication…” (p. 35). In other words, students are being criticized for their poor usage

of grammar in the “learning model” or in class, and this raises their affective filter. Thus,
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lowering the filter or being mindful that grammar correction can cause anxiety in students

can make way for better acquisition processes. Krashen (1982) also supported this viewpoint

that grammar instruction has an affect on one’s filter by saying it puts students “on the

defensive” also that “A sure method of raising the filter is attempting to correct errors…” (p.

75 & 129).

These are only a few examples that show evidence of variables for a high affective

filter in language learners. Since these variables are complex and can be triggered in different

ways, the task of lowering these filters might seem daunting. The following will be an

examination of what instructional means can be done to aid in the process of lowering

student’s filters. Overall, lowering the filter begins with looking at the environment students

learn in and our goals for instruction. Krashen (1982) points this out by saying “The

Affective Filter hypothesis implies that our pedagogical goals should not only include

supplying comprehensible input, but also creating a situation that encourages a low filter” (p.

32).

Instructional means to lower the Affective Filter

When considering how to lower student’s affective filter the role of the instructor, the

methods of instruction and the learning context become very important. Krashen’s (1982)

suggestions for lowering the filter include considering these roles, but he also provides

several techniques that can be quite useful. Other studies will be presented that will show

there are a variety of means to lower the filter. In addition, a final study will be presented that

suggests it’s not only the student’s filters that should be considered but also the instructors.

If a heightened Affective Filter were in place, then wouldn’t it be the assumption that

it is the instructor’s role to lower this? Krashen (1982) says, “In the second language

classroom, we have the potential of supplying a full 40 – 50 minutes per day of

comprehensible input…that will encourage language acquisition” (p. 58). Therefore the role
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of the instructor is to provide input and execute it in a manner that keeps filters low or

perhaps in better control. Generally, the input provided should be made comprehensible but

also less anxiety provoking. “If the topic being discussed is at all interesting, and if it is

comprehensible, much of the ‘pressure’ normally associated with a language class will be

‘off’, anxiety will be lowered, and acquisition will result (p. 74). The following are three

approaches to language instruction that Krashen (1982) suggests for successfully lowering

students filter and enhancing language acquisition.

1.) The Natural Approach: In this approach the goal is to “enable students to talk

about ideas, perform tasks and solve problems” in a way that is not pressured onto

them (Krashen, 1982, p. 138). In other words it’s a way of easing the lesson material

onto the students instead of bombarding them with loads of input. An example would

be to use topics interesting and relevant to students, instead of ones completely

outside their frame of reference.

2.) TPR: Total Physical Response is posited as a great tool to lower language learner

anxiety because it is based upon that students do not have to produce (speak) the

language. It aids in lowering the speaking anxiety (as mentioned before) and also in

helping students become comfortable with listening. Krashen (1982) encourages this

technique by saying “TPR makes one very important contribution to lowering student

anxiety: students are not asked to produce in the second language until they

themselves decide they are ready” (p. 141).

3.) Suggestopedia: This technique utilizes a variety of means to reduce student’s

filter. Basically providing realia, natural forms of speech, games and even music or

exercise during the lesson can reduce the filter. “Practically every feature of

Suggestopedia is aimed at relaxing the student, reducing anxieties…building

confidence” (p. 144).

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Krashen’s (1982) instructional suggestions for lowering students affective filter can

be quite useful and in some cases demonstrate direct effects on the student. But the following

study, “The Affected Filter and Negotiated Interaction: Do our language activities provide for

both?” by Schinke-Llano and Vicars (1993), show us that there are specific forms of activity

that can either provoke a high filter or create a lowered filter. Their study “was designed to

determine learners’ levels of comfort with language activity types allowing different degrees

of interaction” (Schinke-Llano and Vicars, 1993, p. 325). Interaction is a practical necessity

in the language learning class. This study shows us that there are varying degrees of

interaction that have an effect on student’s filters. There were four activity types used in this

study and presented to a group of first year undergraduate students at a university in Illinois.

These are (Schinke-Llano and Vicars, 1993, p. 326):

1. “Teacher-fronted activity with group responses.”

2. “Teacher-fronted activity with individual responses.”

3. “Small group problem solving activity.”

4. “Dyadic activity with a two-way information gap questions” (role-play)

Looking at these four activities it can be assumed that ones that weren’t “teacher fronted”

created the best results for lowering student’s affective filter. Indeed, their study found that

“…activity two is never ranked highest, and activity three (provides a great deal of negotiated

interaction) is never ranked lowest” (p. 327). This shows that students enjoyed the interaction

that took place in activities 3 and 4, meaning they felt less stress or hindrance on their

learning. From this study we can see that the different types of interaction have an effect on

lowering student’s filter, and the best formula would be for more student-to-student activity.

However, exactly when can an instructor know student’s filters are high or low? Does

the instructor spend a lot of time keeping an eye on student’s body language or facial

expressions? Even still a student could be feeling anxious but still fake a smile to get through.
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What if there was a form of technology that could tell the instructor, in real time, whether or

not a student’s filter is showing signs of being too high? The following study, “Emotion

recognition and communication for reducing second-language speaking anxiety in a web-

based one-to-one synchronous learning environment” by Chen and Lee (2011) attempts to

use technology to see if the affective filter can be both detected and also lowered at the same

time. They state their purpose as

“…this study employed a sensor, signal processing, wireless communication…and

machine learning techniques in developing an embedded human emotion recognition

system based on human pulse signals for detecting three human emotions –

nervousness, peace and joy - to help teachers reduce language-learning anxiety of

individual learners in a web-based one-to-one synchronous learning environment” (p.

417).

The gist of this study is that the researchers created their own hardware and software to detect

emotions, which align with the variables associated with a high filter. Then they used this

technology during real-time chat sessions between students and an instructor. During the live

chat, the student is wearing a device to capture their pulse rhythms and this is being

processed into emotional output readings, which are shown to the instructor on the other end

of the monitor. The interaction took place via the software “JoinNet” and done so with voice

only. The whole things works in the following way:

“The user interface can synchronously convey real-time learner emotions of peace,

nervousness and joy to teachers during English conversation training via the audio

channel of JoinNEt…” “The teacher can then refer to the emotions of individual

learners and provide appropriate feedback or guidance to assist learners and reduce

second-language speaking anxiety (Chen and Lee, 2011, p. 430).

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The study was implemented with four students and one English teacher at a senior high

school in Taiwan. These students took questionnaires before and after the experiment. All of

the participants “were asked to wear an ear microphone, sit in two different language-

learning rooms and speak to each other in English via the JoinNet audio channel” (p. 430).

The results of this study point to that high affective variables are real and also that

lowering them are very much possible. The results show that learner number 4 experienced

the most nervousness. “Learners no.1 and no.3, which had good English speaking skills, had

lower percentages of nervousness than…no.2 and no.4, who had poor English speaking

skills” (p. 433 – 444). This shows evidence that nervousness correlates with one’s skills at

speaking English. The following example of the conversation had in this study with learner

no. 3 demonstrates both when the nervousness takes place (the filter is heightened) and how

the teacher lowers this anxiety (p. 435).

Teacher: When did you start to learn to dance?

Learner no. 3: Four years ago.

Teacher: In the fourth grade in elementary school?

Learner no. 3: No, four years old.

Teacher: When you were four years old you started to dance?

In this example, learner no. 3 “became nervous when the teacher misunderstood the meaning

he was trying to convey” (p. 435). The teacher reduces this anxiety by offering guidance to

help in the communication. The instructor responded to these signs of anxiety by looking at a

real time output of the student’s emotion on their computer monitor, which looked like the

following image:
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Figure 3. Monitoring of emotions display. This figure shows what the instructor sees using

this study’s software.

Also, the teacher commented on using this platform “that the embedded human emotion

recognition system could aid in her comprehension of student emotions, thus allowing her to

provide appropriate learning feedback…” in the context of online learning (p. 437).

Although this study shows us that it is possible to technologically measure student’s

human emotions and pinpoint where it happens in the instruction, it can’t be expected that

this is a practical tool for the classroom. The reality is that instructors can mostly guess as to

what affective filter variables are occurring in their classroom, but this study could show us

that lowering the filter does physically occur with instruction.

Another area of instruction that can reduce high levels of affective filters is to

consider more closely the role of the instructor. For example, if an instructor is having

personal problems outside of class and arrives with a downtrodden face and a poor attitude,

will this not have an affect on the students? Li’s (2012) study, “The improvement of Foreign

Language Teacher’s affective variables in Universities for ethnic minorities” takes on this

point of view saying that, “Teacher’s affective variables will influence students’ affective

variables directly in class. Thus influencing students’ learning results” (p. 71). By

interviewing 40 English majors in a Mongolian class utilizing five questions this researcher
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was able to make the conclusion that change within the instructor’s affective variables is just

as important as the students. The five questions asked were:

1. Are you interested in all your English courses?

2. What factors will influence your interest on the class?

3. Do you think the teachers’ affections can influence your study?

4. What affective variables of teachers will have an influence on you?

5. Could you give some examples?

The results show that these students do believe that if their teacher’s are showing a positive

attitude that they felt more welcomed to learn. It also found that “If teachers show poor

affective variables in class, it may lead to students’ fully losing interest of the subject and

even have a negative feeling about language learning” (p.72). Students can feel more

comfortable in class, and have a lowered affective filter, if the instructor projects this positive

and friendly attitude.

However, this study suggests that teachers should be like “actors” and as an

experienced instructor this is quite disturbing. “Teachers are like actors, sometimes. No

matter you are happy or not… when you enter the classroom you must behave happily” (p.

73). Certainly projecting a depressing attitude onto students is not useful, but “acting” happy

is a different thing. Instead, instructors should project genuine motions, which just might be

happiness. It might be that they are having a hard day, but instead can show an emotion of

courage or optimism for the class ahead. That’s not really acting, that’s providing a positive

attitude. In the end, this study is a useful reminder that as instructors we need to keep in mind

that our manner of being has an affect on students’ own affective filters.

Contradictions

The Affective Filter hypothesis would be moot if it weren’t for the account that

certain variables create a high filter and when you reduce them you create a low filter. These
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variables for the most part are a language learner’s emotions. It is often thought of that just

the negative emotions are what impact a student’s affective filter. But what if we considered

both negative and positive emotions and that they work together to aid in the process of

language acquisition. The study “Emotions in SLA: New Insights From Collaborative

Learning for an EFL Classroom ” by Imai (2010) wants us to take a closer look at emotions

in a different light by saying, “…emotions do not merely facilitate, filter or hinder an

individual’s inner cognitive functioning; rather, they can in any forms mediate development,

especially when learning is embedded in interpersonal transaction…” (p. 278). From this

point of view one must consider better the role of emotions in the Affective Filter Hypothesis

and that the filter (which consists of these emotions) isn’t really meant as a blockage device.

This point of view takes on that emotions are a response to the social world around

language learners. “…it is important to understand the synthesis of an individual’s cognition,

emotion, and behavior within social interaction and with their environment” (p. 281). By

examining a group of Japanese university students doing group work outside of class, this

researcher looks for how emotions come into play when students work on and reflect on

teacher instruction. The group work was done in their native language. The results of this

study show that, “various emotions, such as confusion, boredom, frustration, regret, and

empathy were verbally manifested” as the participants talked about their tasks and learning

experiences from class (p. 288). Also the observations point to that the emotions manifested

themselves in a way that “led them to exercise their agency as readers and regulators of the

information in setting a new goal in their activity” (p.288). Through showing the dynamic

way emotions play out, in-group conversations, this research shows that affective variables

are part of the phenomena of conversing and being a part of the learning process.

When looking at emotions closer it is also important to remember that L2 learners

might display or verbalize them in different manners due to their differing backgrounds. This
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is important towards understanding the affective filter because one’s assumptions and

personal views of the students’ emotional signals might not accurately match what they are

feeling or experiencing. In Piasecka’s (2013) study “Identification and verbal expression of

emotions by users of English as foreign language” it was stated “emotion concepts and their

linguistic expression may vary across languages and cultures” (p. 154). This study aimed to

find out how students express their emotions linguistically and it found that “advanced adult

learners…as a foreign language…are able to decode, name and express emotions” (p. 162).

This reminds us that the lower level students might not be equipped to express their emotions

in the L2 and that it is essential to keep this in mind and incorporate instruction that teaches

student’s emotional expressions and language.

Conclusion

Whether the variables of the affective filter are definite or not this research shows that

learning within the ESL / EFL context is an emotional task. Understanding this shows that

students not just have their own emotions towards language learning but factors within the

learning process can create filters too. The affective filter hypothesis shows that considering

these variables in instruction is important, but furthermore knowing that certain areas, such as

certain listening contexts or error correction can create even more hindrances towards

acquisition. Instead of constantly trying to keep an eye out for anxiety, for example,

developing lessons and materials with the filter in mind can be of more use to lower student’s

filters. This research thus shows evidence for the affective filter and important pedagogical

implications to lower it and increase second language acquisition.

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References

Chen, Chih-Ming and Lee, Tai-Hung. (2011). Emotion recognition and communication for

reducing second-language speaking anxiety in a web-based one-to-one synchronous

learning environment. British Journal of Educational Technology, (42)3, 417-440.

doi: 10.1111/j.1467-8535.2009.01035.x

Galajda, Damara. (2013). Anxiety and perceived communication competence as predictors of

willingness to communication in the ESL/EFL classroom. In Danuta Gabrys-Barker

Editor and Joanna Bielska Editor (Eds.), The Affective Dimension in Second

Language Acquisition (35 – 65). Great Britain, MPG PrintGroup Ltd.

Imai, Yasuhiro. (2010). Emotions in SLA: New insights from collaborative learning for an

EFL classroom. The Modern Language Journal, (94)2, 278-292.

Kilic, Kilic and Uckun, Berrin. (2013). Listening text type as a variable affecting listening

comprehension anxiety. English Language Teaching, (6) 2, 55-62. doi:

10.5539/elt.v6n2p55

Krashen, Stephan D. (1982). Principles and practice in Second Language Acquisition.

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Piasecka, Liliana. (2013) Identification and verbal expression of emotions by users of English

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