Emerging from the echo chamber: an activity theory perspective on L2 teachers of adult emergent readers

The surge in second language adult emergent readers and the push for professionalization in the field of adult education has shifted conversations among language teacher educators, program administrators, teachers and researchers alike in the direction of mutual understanding and collaboration in an effort to target the needs of both teachers and learners. There are many strands of these conversations that present tensions, especially those related to funding and policy; however, on the whole, the energy around this topic is conducive to qualitative transformation in the fields of L2 teaching and L2 teacher education. This ethnographic case study explores the teaching worlds of two ESL teachers of adult emergent readers. Guided by an activity theory framework (Engeström, 1987, 1991, 1999), this dissertation uncovers prominent relationships and inherent tensions within the activity systems of the teachers. In doing so, the important role of teachers' personal practical knowledge and beliefs are revealed along with the inextricable reality of the teaching and learning context within which they develop their teaching practice. Principle findings include the following: 1) professional learning opportunities are critical components to teacher development and teacher empowerment, but the structure of these opportunities factors heavily into their efficacy, and 2) empowering teachers through collaborative decision-making within programs, creating space for peer interaction, and promoting professional growth are paramount to a healthy, satisfied teaching force within a program.

EMERGING FROM THE ECHO CHAMBER: AN ACTIVITY THEORY PERSPECTIVE ON L2 TEACHERS OF ADULT EMERGENT READERS by Rachel Elizabeth Farrelly A dissertation submitted to the faculty of The University of Utah in partial fulfillment of the requirements for the degree of Doctor of Philosophy Department of Linguistics The University of Utah May 2012 Copyright © Rachel Elizabeth Farrelly 2012 All Rights Reserved The University of Utah Graduate School STATEMENT OF DISSERTATION APPROVAL The dissertation of Rachel Elizabeth Farrelly has been approved by the following supervisory committee members: Steven R. Sternfeld , Chair 1/5/2012 Date Approved MaryAnn Christison , Member 1/5/2012 Date Approved Martha Bigelow , Member 1/5/2012 Date Approved Rachel Hayes-Harb , Member 1/5/2012 Date Approved Thomas Huckin , Member 1/5/2012 Date Approved and by Ed Rubin , Chair of the Department of Linguistics and by Charles A. Wight, Dean of The Graduate School. ABSTRACT The surge in second language adult emergent readers and the push for professionalization in the field of adult education has shifted conversations among language teacher educators, program administrators, teachers and researchers alike in the direction of mutual understanding and collaboration in an effort to target the needs of both teachers and learners. There are many strands of these conversations that present tensions, especially those related to funding and policy; however, on the whole, the energy around this topic is conducive to qualitative transformation in the fields of L2 teaching and L2 teacher education. This ethnographic case study explores the teaching worlds of two ESL teachers of adult emergent readers. Guided by an activity theory framework (Engeström, 1987, 1991, 1999), this dissertation uncovers prominent relationships and inherent tensions within the activity systems of the teachers. In doing so, the important role of teachers' personal practical knowledge and beliefs are revealed along with the inextricable reality of the teaching and learning context within which they develop their teaching practice. Principle findings include the following: 1) professional learning opportunities are critical components to teacher development and teacher empowerment, but the structure of these opportunities factors heavily into their efficacy, and iv 2) empowering teachers through collaborative decision-making within programs, creating space for peer interaction, and promoting professional growth are paramount to a healthy, satisfied teaching force within a program. TABLE OF CONTENTS ABSTRACT ....................................................................................................................... iii LIST OF FIGURES .......................................................................................................... vii ACKNOWLEDGEMENTS ............................................................................................. viii Chapters 1 INTRODUCTION .........................................................................................................1 Problem Statement ...................................................................................................2 Scope of Dissertation ...............................................................................................4 2 LITERATURE REVIEW ..............................................................................................6 Teacher Knowledge .................................................................................................8 Teacher Learning ...................................................................................................22 Community-based Adult Education - Framing the Context ..................................29 Conclusion .............................................................................................................42 3 ACTIVITY THEORY ................................................................................................44 Foundations of Activity Theory .............................................................................45 The Evolution of Activity Theory with Engeström ...............................................49 Activity Theory in Educational Research Settings ................................................58 Operationalizing Activity Theory ..........................................................................64 Conclusion .............................................................................................................68 4 METHODOLOGY ......................................................................................................69 Design and Rationale .............................................................................................70 Context ...................................................................................................................73 Participants .............................................................................................................83 Data Collection and Analysis.................................................................................91 Trustworthiness ......................................................................................................95 Researcher Positionality.......................................................................................103 Ethical Considerations .........................................................................................107 vi 5 CONTEXT AND METHODS OF ANALYSIS ........................................................109 Modeling the Activity System .............................................................................109 Representing the Activity Systems ......................................................................115 Conclusion ...........................................................................................................118 6 EXPLORING RELATIONSHIPS IN THE ACTIVITY SYSTEMS ........................119 Uncovering Tensions within Activity System Relationships ..............................119 Primary Contradictions ........................................................................................120 Secondary Contradictions ....................................................................................132 7 CONCLUSION ..........................................................................................................167 Implications of the Findings ................................................................................167 Limitations of the Study.......................................................................................169 Contributions of the Study ...................................................................................170 Future Research ...................................................................................................181 Conclusion ...........................................................................................................183 APPENDIX ......................................................................................................................184 REFERENCES ................................................................................................................187 LIST OF FIGURES Figure Page 2.1 Borg's framework for teacher cognition ..................................................................13 2.2 Teacher knowledge development throughout career ...............................................15 3.1 The mediational model ............................................................................................46 3.2 The structure of human activity ...............................................................................47 3.3 Engeström's Triangles .............................................................................................50 5.1 Sofia's activity system at the Bright Future Academy ..........................................116 5.2 Nancy Ann's activity system at the Global Partnership Program..........................116 ACKNOWLEDGEMENTS I have so many people to thank for supporting me along this journey. I would like to first thank my supervisors for their patience and guidance along the way. My chair, Dr. Steven R. Sternfeld, was an invaluable resource to me academically and emotionally. Steve, I knew our styles of communication and ways of being in the world were complimentary and to me, that was an essential component for my success. Thank you for the many opportunities for growth that you provided me over the years, most importantly the chance to be involved with Project ‘New Eyes' in the Czech Republic. I also wish to thank Dr. MaryAnn Christison for her unyielding belief in me. You are the reason I returned for my doctorate in Linguistics. I am very grateful for the leadership opportunities and creative freedom you afforded my colleagues and me. My professional development will never be as great as during the years I worked closely with you and the other graduate students. Dr. Martha Bigelow, you were an unexpected and delightful addition to my supervisory committee. I'm so fortunate that you came to our University to speak on second language acquisition by adult emergent readers. I knew the moment I met you that we were meant to work together. Thank you for the guidance and wisdom to conduct this research in a meaningful way. I thoroughly enjoyed all of my time with you in Minnesota and I'm so happy we'll be colleagues for life in this field. Dr. Rachel Hayes-Harb served as the silent force that drove me to the finish line. Thank you for your attention to the important details surrounding deadlines and policies; these are areas I ix have yet to master. I appreciate your support and your encouragement and I hope you know you had more to do with me finishing than you probably realize. I first met Dr. Thomas Huckin in a discourse analysis class during my Masters program. It was an instantaneous connection for me because you had just the right combination of wit, edge, intellect and compassion. Taking part in your rather politically charged class during the presidential elections of 2000 opened my eyes to a whole new understanding of the power of language and the power of action. Underlying this study is an empowerment element that was certainly ignited deep down by your influence. I also want to thank my early mentors in the program and others in the department who have supported me along the way and celebrate this triumph with me. I especially wish to thank Dr. Adrian Palmer for being a silent, but steady supporter. I have to extend warm thanks to my participants ‘Sofia' and ‘Nancy Ann'. A teacher is never more vulnerable than when someone is observing them in action. I am so grateful to you and your students for letting me into your classrooms. Thank you for being so willing to meet me for interviews and conversations about your teacher knowledge and practice. It was a pleasure to work with you during this research process and I know we will collaborate again in the future! I am indebted to my colleagues in the Linguistics program with whom I have grown over the years. We had countless celebrations and faced various challenges; we grew professionally, personally and emotionally through this endeavor. You've seen me at the best and worst of times. You've talked me out of quitting and celebrated with me as I've reached various milestones and experienced breakthroughs. You've taught me the most out of everyone during this ultimate climb. The memories will guide me for years to x come and the experiences will inform my work with future students, colleagues and administrative staff alike. I love you girls - Zuzana, Ellen, Tamrika, Kristen, Anna, Mara, Karen, Sara and Eleonore! I also want to thank my new colleagues at the Center for Teaching and Learning Excellence. I was hired right as I rounded the bend in this long process. Thank you so much for supporting me as I made the final writing push, as I prepared for my oral defense and as I finished the final edits for the thesis department. Beverly, you saved me in the end and I'm so grateful and touched by your support. Vanae, thank you for always being willing to reach out and help in any way possible! I'm so lucky to be working with such a wonderful team. The greatest support a doctoral student can receive along this journey is emotional support. For the majority of my emotional support, I have to thank my family, friends and, of course, my furkids. Mom and dad, you have been relentless in your support and love. I am surprised myself that you continued to believe in me, even as I faltered and second-guessed myself. Thank you for everything. Without you both, I honestly would never have reached this goal. This PhD is yours, too! Dad, I'm honored to share the title Dr. Farrelly with you. To my brother Johno, from a distance you gave me a strange motivation to finish. If we get a second round at this life, try not to one-up me so much. (wink!) To all of my friends, the cheerleading over the years and constant reminders to enjoy the sunshine, the trails, the rock and the snow - well, it certainly added some time to this process, but it was time that I would never take back. The memories of summits, xi rock faces, deep powder and numerous fabulous adventures abroad served as the food for my soul when it began to feel hunger. I love you all more than I can express. To my beloved furkids Seamus and Ronan, I owe you a lifetime of romps in the mountains for that is what you've given me. Thank you for getting me out of the house and away from the books for appropriate chunks of time. You kept me fit and happy and reminded me that life in the hills is the good life, after all. You're both with me forever! CHAPTER 1 INTRODUCTION Increasing numbers of English language learners (ELLs) who have not yet developed literacy skills due to interrupted or unavailable formal schooling in their home countries are being enrolled in community-based adult English as a second language (ESL) programs. Many of these second language (L2) adult emergent readers1 are immigrant populations who may have had up to a fourth grade education or less. In addition to these voluntary immigrant populations, there are many ELLs arriving regularly through refugee resettlement programs. Many of these newcomers are also adult emergent readers, who have not yet had the opportunity to acquire literacy in any language, including their mother tongue (L1). In some cases, this phenomenon exists because the L1 does not exist in written form and in other cases it is because they did not have the opportunity to attend school due to nomadic lifestyles, poverty, political unrest or a number of other reasons. 1 L2 refers to any language learned after the native language. Given that the context of this study is the English as a Second Language (ESL) classroom, the learners in question will be referred to from this point as adult emergent readers. In addition, this collective of students will often include learners who are beginning readers as class levels in language programs often mix the two groups together. The common denominator is that they had undeveloped or underdeveloped literacy skills when they arrived to the United States. 2 The surge of adult emergent readers to the United States in recent decades is due to large numbers of refugee populations being resettled in the United States from countries with exceptionally low literacy levels nationwide, such as Somalia or from refugee camps where there were no educational opportunities. This is the case of many camps in Tanzania, which have housed Burundi refugees since 1972. Many refugee populations have lived their entire lives in refugee camps, never having known an educational system or having held a job prior to resettlement. According to the office of the United Nations High Commissioner for Refugees (UNHCR, 2008), the United States received 50,700 new asylum claims2 in 2007 (almost 10% of all claims worldwide). In Salt Lake City, Utah, the site for the current study, there are two refugee resettlement offices, which resettle up to 800 new refugees annually. In addition to large numbers of individuals with refugee status, Utah has seen a tremendous increase in immigrant populations in recent years. According to one source,3 between 1997 and 2006, the state of Utah received 8,353 individuals with refugee status and 41,885 immigrants. Problem Statement In addition to adding rich diversity and often newfound vitality to their new communities, newcomers with immigrant or refugee status have an impact on various systems within their local community, including public schools, workforce services, 2 A refugee may seek a new asylum claim if he or she is experiencing persecution in the home country on the basis of nationality, race, religion, membership in a particular social group or political affiliation. The rights of refugees and the underpinnings of asylum claims were determined at the United Nations Convention relating to the Status of Refugees in Geneva during 1951 and amended only once in the Protocol relating to the Status of Refugees established in New York in 1967. More information is available at www.unhcr.org. 3 www.fairus.org 3 housing and community-based ESL service providers. In addition to the basic need to acquire English to live in the US, newcomers are often required by resettlement organizations to participate in ESL programs until they have secured employment in the local community. Many of the community-based service providers have long waiting lists of ELLs who are seeking ESL classes or a one-to-one ESL tutor. In many programs, there are not enough ESL teachers to serve the growing number of adult student populations. In addition to this situation is a general sense of helplessness experienced by many ESL teachers and service providers relative to using instructional practices that are appropriate and effective for adult emergent readers. Many ESL teacher education programs focus on techniques and strategies that have been successful with literate learners and those with formal education experience. While some of these strategies, such as Total Physical Response (TPR) (Asher, 1969), are successful with adult emergent readers in promoting oral language development and building vocabulary, the majority of the strategies that have been developed based on research with literate learners are often not effective with adult emergent readers. This dissertation study was born of a simple desire to make sense of the classroom practices of L2 teachers of adult emergent readers, to better understand how the practices interact with their existing teacher knowledge, and to discover how teachers make choices about their practices. In addition, I hoped to uncover the challenges they face as they develop both their practice and their knowledge base in this relatively new teaching context. 4 Scope of the Dissertation This dissertation describes the classroom practices and practical knowledge base of adult ESL teachers of emergent readers as they navigate challenges within the larger systems in which they work. I have chosen to use activity theory in order to provide a more holistic view of the context of adult ESL programs that serve adult emergent readers and to better understand how this multilayered context impacts the teachers. Guided by the work of activity theorists (Cole & Engeström, 1993; Engeström, 1987, 1991; Sannino, Daniels & Gutierrez, 2009) and researchers who have applied activity theory (Blin, 2005; Kim, 2011; Mwanza, 2001;Tsui, 2007), I have investigated the following research questions from a sociocultural, interpretive perspective within an activity theory framework: 1. What characterizes the classroom practices of L2 teachers of adult emergent readers 2. What constitutes the professional knowledge of L2 teachers of adult emergent readers? 3. What context-dependent relationships and tensions shape both knowledge and practice for the teachers in this study? 4. In what ways can a better understanding of these classroom practices and context-dependent relationships and tensions inform professional development specific to teachers and learners in this context? This dissertation is organized into seven chapters. The first chapter provides an introduction to the purpose of this study, highlighting the need to explore teacher knowledge and practice, as well as teacher learning and development within the domain of teaching adult emergent readers. Chapter 2 provides a review of the literature on 5 teacher knowledge and teacher learning and professional development in both mainstream education and language teaching settings. Chapter 3 discusses activity theory, which is the conceptual framework and analytical tool guiding this study. Chapter 4 outlines the qualitative methodology chosen for the present study. Chapter 5 presents a description of the modeling of the activity systems under investigation, namely two ESL classes for adult emergent readers. Chapter 6 reveals the findings of the study through a discussion of relationships and tensions uncovered in the two activity systems. Finally, Chapter 7 summarizes the dissertation with a discussion of the limitations and contributions of the study and recommendations for future research. CHAPTER 2 LITERATURE REVIEW This study aims to makes sense of teachers' classroom practices and professional knowledge through the use of activity theory, which highlights relationships and tensions that contribute to a more holistic view of the teachers' lived experiences. I set out to investigate what teachers do in the adult ESL literacy classroom so that I could better understand the strategies they employ and why they employ them, determine how they integrate learning from teacher education and professional development opportunities in the classroom and discover what challenges they face in doing so. In the early stages of this inquiry process, I uncovered certain political realities that I knew existed at the institutional level, but I was initially unaware of the extent to which they would factor into my study. As it became clear that exploring classroom practice would not be as simple as observing what teachers do and investigating their decision-making process, I shifted my focus to exploring teachers' interactions with institutional macrostructures to allow for the complexities and richness of the story that will unfold in this dissertation. To situate my study in the existing literature on L2 teacher education, professional knowledge and professional development, I highlight research that allows for a better 7 understanding of the interplay among teacher cognition,4 teacher learning, teacher classroom practices and teacher development in both mainstream and language teaching contexts. The term teacher cognition is often used interchangeably with teacher knowledge, the former being a larger term that often encapsulates a range of topics including teachers' decision-making, teachers background knowledge, teachers' practical knowledge, teachers' beliefs and knowledge structures that will be noted in this dissertation (Borg, 2003; Kagan, 1990). Given the breadth of research available on teacher knowledge, learning, practice and development, this review will focus primarily on studies conducted with in-service teachers, rather than preservice teachers; however, in order to target the early stages of knowledge formation in teacher education programs, I will need to review some studies involving preservice teachers. Research on teacher cognition spans a wide range of areas that address and impact teacher learning, practice, and development. Studies can be categorized in numerous ways reflecting various subtopics (e.g., beliefs, decision-making) (see e.g., Bailey, 2006; Borg, 2003; Burns, 1996; Phipps & Borg, 2008; Qing, 2009) or levels within one topic (e.g., content knowledge, pedagogical knowledge, and practical knowledge) (Shulman, 1987). Researchers have focused on what teachers actually do in the classroom as compared to what teachers report they do (see e.g., Farrell & Lim, 2005). Some studies have explored the role of experience in teachers' abilities to access teacher knowledge 4 Teacher Cognition is often used interchangeably with Teacher Knowledge, the former being a larger term that often encapsulates a range of topics including teachers' decision-making, teachers background knowledge, teachers' practical knowledge, teachers' beliefs and knowledge structures that will be noted in this dissertation (Borg, 2003; Kagan, 1990). Unless otherwise specified, teacher knowledge and teacher cognition are general terms that capture what teachers know and believe. 8 and theorize practice (see e.g., Dahlman, 2010; Johnson, 1996; Tsui, 2003). Teacher knowledge itself is so vast and all encompassing. Shulman (1987) states Indeed, properly understood, the actual and potential sources for a knowledge base are so plentiful that our questions should not be, Is there really much one needs to know in order to teach? Rather, it should express our wonder at how the extensive knowledge of teaching can be learned at all during the brief period allotted to teacher preparation. (p. 7) To Shulman's point, the ensuing review of literature on teacher knowledge in both mainstream and language teaching settings supports that teacher knowledge cannot be fully acquired and developed in a teacher education program, but will continually develop and evolve throughout the career of the teacher. Teacher Knowledge The study of language teacher knowledge is strongly informed by research on teacher knowledge conducted in general education settings dating back to the 1960s. At that time, it was recognized that in order to know more about how learners learn, researchers would have to go beyond observing classroom practices and explore the teacher thinking that informed those practices. Initially, much of this research was focused on teachers' interactive decision-making in the classroom and applying these findings to teacher education (Clark & Peterson, 1986). This focus on decision-making was limited in that it had strong undertones of behaviorism and seemed to limit the understanding of teacher knowledge to discrete behaviors and student outcomes without giving consideration to the various factors that influenced decision-making, including unanticipated problems in the classroom, teachers' educational backgrounds, context, and teachers' beliefs. 9 Elbaz (1981) moved the research agenda forward into an exploration of teachers' practical knowledge, which has remained an important domain for research on teacher cognition to this day (Meijer, Verllop & Beijaard, 2001; Tsui, 2003). Her work on practical knowledge created space for a more holistic exploration of what teachers do in the classroom and why, taking into account the context and practical problems faced by teachers. Exploring practical knowledge caught on with researchers working in the field of teacher cognition and soon became a well-established orientation for inquiry within this field. As the field of teacher cognition evolved through the 1970s and 1980s, researchers focused on the socio-psychological context within which teachers' actions took place (Borg, 2008). Borg reviews an examination of the field of teacher cognition by Clark (1986) and summarizes Clark's view that "a decade earlier teachers were seen as rational decision-makers, akin to physicians in diagnosing and solving problems; whereas, in 1986 the view of the teacher was more that of the constructivist, reflective ‘sense-maker' (Borg, 2008, p. 15). At this point in time, the enthusiasm to explore teacher knowledge was rising and researchers wanted to investigate the notion of a ‘knowledge base' for teaching. In the 1980s there was a move to reform the knowledge base of teachers to improve teaching in the United States. This was predicated on the belief that there was an existing standard to which teaching could be raised to improve the quality of teaching and bring teaching into its own as a respectable, rewarding profession (Shulman, 1987). However, Shulman argued, "the rhetoric regarding the knowledge base … rarely specifies the character of such knowledge" (1987, p. 4). He further states that The actions of both policymakers and teacher educators in the past have been consistent with the formulation that teaching requires basic skills, 10 content knowledge, and general pedagogical skills. Assessment of teachers in most states consist of some combination of basic-skills tests, an examination of competence in subject matter, and observations in the classroom to ensure that certain kinds of general teaching behavior are present. In this manner … teaching is trivialized, its complexities ignored, and its demands diminished. Teachers themselves have difficulty in articulating what they know and how they know it. (p. 6) Shulman (1986) argued that exploring only the practical knowledge of teachers was problematic because it did not take into account the important theoretical knowledge that teachers rely on to inform their teaching. Going beyond the dichotomous view of teacher knowledge as either declarative or procedural (practical), Shulman and his colleagues broadened the conceptualization of the knowledge base for teaching into seven categories: subject-matter content knowledge, pedagogical content knowledge, curricular knowledge, general pedagogical knowledge, knowledge of learners and their characteristics, knowledge of educational contexts, and knowledge of educational ends (1986, 1987). Given the complexity involved in identifying the various components of teacher knowledge, this organizational framework was a valuable contribution that served to broaden the scope of inquiry in the field. Another significant influence in the research agenda was the work of Donald Schön (1983, 1987), which reinvigorated interest in teacher thinking and in particular, centralized the reflective process in studies of teacher cognition. His seminal work, The Reflective Practitioner (1983), began shifting the field of education away from a view of teachers as individuals who mastered a neatly packaged skill set for systematic application in the classroom. He stressed that teachers actually reflect both on and in practice in order to ‘reframe' or better understand what it is they do and why. Similar to research on practical knowledge, work with a reflective orientation investigated teacher 11 practices to understand how teachers theorize their practice (i.e., connect theory to practical application and real world teaching) by thinking about what they do before, during, and after their classes. As explorations of teacher cognition proliferated, a focus on teacher beliefs emerged. Pajares (1992) made the most significant contribution in this area with a review of literature on teacher beliefs to show that the construct of beliefs was too diluted in studies to be extracted as a point if inquiry in the field. Pajares deconstructed the idea of teachers' beliefs from a general whole to the specific parts that could more easily be studied, setting an agenda for research that would explore: Beliefs about confidence to affect students' performance (teacher efficacy), about the nature of knowledge (epistemological beliefs), about causes of teachers' or students' performance (attributions, locus of control, motivation, writing apprehension, math anxiety), about perceptions of self and feelings of self-worth (self-concept, self-esteem), about confidence to perform specific tasks (self-efficacy) [and] educational beliefs about specific subjects or disciplines (reading instruction, the nature of reading, whole language). (Borg, 2008, citing Pajares, 1992, p. 316) Teacher cognition research continued to burgeon through the 1980s and 1990s and developments in the field resulted in studies exploring a range of topics including subject-matter knowledge, craft knowledge, attitudes and beliefs, practical knowledge, pedagogical knowledge and learning to teach. Verloop, Van Driel and Meijer (2001) note that the overarching label ‘teacher knowledge' encompasses various cognitions, including teachers' beliefs, values, and attitudes in complement with factual information, such as subject-matter and pedagogical content knowledge. Ongoing tensions and debates in the field of teacher knowledge center on issues of the relationship between teacher knowledge and learner outcomes, the place of teacher beliefs, values and attitudes in relation to teacher knowledge, and the issue of excessive and overlapping definitions 12 within the field (e.g., situated knowledge, subject-matter knowledge, pedagogical knowledge, professional craft knowledge, practical knowledge, personal practical knowledge, pedagogical content knowledge, and many others) (Borg, 2008). However, for the most part, the knowledge base that has been developed on the topic of teacher knowledge supports continued explorations into the rich and complex realm of teacher knowledge. Following an extensive review of the mainstream educational research on teacher knowledge, Borg (2008) provides a schematic representation of teaching with teacher cognition at the center (see Figure 2.1). It demonstrates the critical role of teacher knowledge in teachers' lives, demonstrating how it is shaped by their early schooling experiences as students and later professional coursework in teacher education programs. It accounts for the impact of contextual factors on the development of their cognitions and highlights the important interactions between teacher knowledge and classroom practice that take place during the reflective process and as they theorize practice. Researchers have also acknowledged the fact that teachers develop knowledge over time, noting that teachers at varying stages of their careers possess an ever-growing body of knowledge that incorporates different types of interacting knowledge. Snow, Griffin, and Burns (2005) chart knowledge representation at three points of a teacher's career to demonstrate how preservice, novice, and master teachers possess different levels of similar types of knowledge (see Figure 2.2). They outline these different types of knowledge (see Table 2) and propose that knowledge develops over time beginning with a strong foundation in declarative knowledge and moving toward a well-rounded distribution of knowledge with a greater representation of reflective knowledge. They 13 Figure 2.1: Borg's framework for teacher cognition (Borg 1997, 2003). Reprinted with permission. 14 stress that these are not meant to be stages of knowledge acquisition but rather a trajectory of knowledge development over time with different types of knowledge overlapping and merging throughout the course of a teacher's career. Explorations into L2 teacher knowledge surged through the 1990s and into the new millennium, generating a large base of information about teacher knowledge and development from which to build new theories. Many of the investigations parallel those in general education, with theories of teacher knowledge emerging on topics of L2 teachers' decision-making, reflective processes, level of expertise, and the range of types of L2 teacher knowledge. Borg (2008) notes that the range of contexts and concepts explored contribute to a seemingly fragmented perspective of language teacher knowledge. He notes, "these cognitions have been described in terms of instructional concerns or considerations teacher have, principles or maxims they are trying to implement, their thinking about different levels of context, the pedagogical knowledge they possess, their personal practical knowledge and their beliefs" (p. 87). Other studies of in-service L2 teachers have explored the relationships and tensions between teachers' cognitions and classroom practices. Some of these studies (Flores, 2001; Richards, Tang, & Ng, 1992) I would argue, are only partially valuable as they consider teachers cognitions in isolation of their classroom practices. Connections were made between teachers' beliefs and a list of factors, such as years of teaching, language learning experience, and professional training. Reported findings, such as the fact that teachers' beliefs and reported classroom practices are consistent with one another can only be taken at face value without actual classroom evidence. Moving 15 Figure 2.2: Teacher knowledge development throughout career (Snow, et al., 2005, p. 7). Reprinted with permission. 16 Table 2: Different types of knowledge (Snow, et al., 2005). Reprinted with permission. Type of Knowledge Description Declarative Knowledge Knowledge gained from books and lectures about what a teacher should do in certain situations; often includes knowledge about child development, instructional strategies, etc. and forms the foundation for novice teacher knowledge. Situated, Procedural Knowledge Knowledge that is developed through contact hours in the classroom and is shaped through interactions with learners and other teachers; represents functional knowledge of appropriate behaviors and actions to take in the class, which varies depending on several contextual factors (homogeneity of students, resources, institutional structure, etc.). Stable Procedural Knowledge Knowledge of how to rely on declarative knowledge to function effectively in the classroom under ‘normal circumstances' such as with students who are mostly at the same level, from the same linguistic, cultural and socioeconomic background. Expert, Adaptive Knowledge Knowledge of the experienced teachers who can navigate various instructional challenges, problem solve even in the absence of external support, identify relevant research to support and theorize practice, etc. Teachers with this knowledge should be involved in mentoring and supporting novice teachers, serving in leadership roles and consulting with students who pose particular challenges to their teachers. Reflective, Organized, Analyzed Knowledge Knowledge of the master teachers who can evaluate available knowledge from research, books, conferences in terms of their applicability to the learning context in which they work. These teachers should ideally be involved as leaders of professional development opportunities in their department, school and/or district. 17 studies into the classroom, however, did reveal a connection between teachers' cognitions and classroom practices. Borg (2008) presents a summary of cognitive influences that impact the L2 teachers' classrooms and establishes the following six central themes in research of L2 teachers' cognitions and practices: 1) reasons for making instructional decisions (Breen, 1991; Gatbonton, 1999; Nunan, 1992, Bailey, 1996; Woods; 1991, 1996); 2) departures from lesson plans (Richards, 1998; Bailey, 1996); 3) collective principles and practices (Breen et al., 2001);, 4) cognitive change during in-service training (Freeman, 1992, 1993); 5) practicing theories of CLT (Sato & Kleinsasser, 1999; Mangubhai et al., 2004); and 6) narrative studies of teacher cognition (Golombek & Johnson, 2004; Hayes, 2005). In highlighting these themes, Borg (2008) acknowledges that he is attempting to create a framework from which to consider L2 studies of language teacher cognition. It is beyond the scope of this dissertation to dive into these studies; however, I will discuss studies that consider teacher cognitions in relation to teacher experience, as a better understanding of teacher cognitions is pertinent to this study. Knowledge Studies Based on Teacher Experience Important contributions to the research on L2 teachers' cognitions have contributed to a better understanding about the role of teacher expertise, through comparing and contrasting the knowledge and dispositions of novice teachers and experienced teachers (Johnson, 2003; Nunan, 1992; Richards, 1998; Richards, Li & Tang, 1998; Tsui, 2003). These findings illuminate the trajectory of teacher knowledge development over time. 18 Studies of teachers in their first year of teaching reflect the important role that contextual factors play in a novice teacher's ability to access and implement what he or she learned in the language teacher education program. The type of language program in which novice teachers teach determines the extent to which the teachers have freedom to develop curriculum that allow them to exercise the knowledge they are bringing in from their coursework and their practicum experiences. The work of Spada and Massey (1992) relates the experiences of two novice ESL teachers who had starkly differing experiences due to the different settings of their respective schools. On the one hand, the student who took a job in a private school with small class sizes and mostly well behaved students was able to incorporate a variety of activities and instructional strategies from her teacher education program. Another novice teacher in the study was predominantly occupied with classroom management and, therefore, often deviated from his lesson plans to manage student behavior. In addition to classroom management issues, the sense of obligation to cover a set amount of material in a given school year or semester was found to exert pressure over novice teachers, thus resulting in their divergence from lesson plans and even teaching philosophies. Richards and Pennington (1998) found this to be the case with novice teachers in Hong Kong who abandoned their communicative language teaching strategies in order to move more quickly through the material, blend into the culture of teaching in the school, and bend to the students' preference for traditional approaches to teaching and learning. Another factor that can steer novice teachers away from using the principles and approaches from their teacher education programs is the clash between the ideal or 19 ‘vision' of what it will be like with the ‘reality' he or she ultimately experiences. This vision-reality clash, often cited in both mainstream and language education research as the theory-practice gap, has been documented in L2 studies of preservice language teachers in the L2 practicum who have yet to develop sufficient practical knowledge to link theory and practice in the classroom (Johnson, 1996). Dahlman (2010) explored the perceived theory practice gap in a case study of student teachers to explore the extent to which their underlying beliefs about language teaching and learning shaped their relationship with theory and ability to theorize practice. For novice teachers, the tensions between vision and reality are compounded as a result of workloads far greater than during their practicum, potential lack of collegial support in the school, classroom management issues, and administrative responsibilities added to teaching responsibilities (Farrell, 2003). An extensive study by Tsui (2003) implemented a case study methodology to trace the development of cognitions and practice of four ESL teachers in Hong Kong. She found that novice teachers evolve greatly over time and after years of teaching, demonstrate an ability to negotiate classroom norms, establish routines, and deliver lessons more effectively than they did in their early years. Her findings include key differences between novice and experienced teachers in their ability to manage and organize learning, maximize resources and class time, motivate students, and establish rapport. She also found that experienced teachers were more adept at theorizing practice through reflection on practice and attempting to make sense of it. Tsui (2003) argues, "in the development of expert teacher knowledge, conscious deliberation and reflection on 20 experience are central" (p. 259). In her discussion on expert teachers' ability to theorize practice she cites this apt commentary by Shulman (1988): Teachers will become better educators when they can begin to have explicit answers for questions, "How do I know what I know? How do I now the reasons for what I do? What do I ask my students to perform or think in particular ways?" The capacity to answer such questions not only lies at the heart of what we mean by becoming skilled as a teacher; it also requires a combining of reflections on practical experience and reflection on theoretical understanding. (p. 260) In much of the work on experienced teachers, researchers have found that they differ from novice teachers particularly in their practical knowledge. For example, they may be less concerned about students making grammatical errors as long as communication is taking place (Gatbonton, 2008). Drawing on the work of Tsui (2003), Richards and Farrell (2005) list the following characteristics as particular to "expert" (experienced) teachers:  a rich and elaborate knowledge base,  ability to integrate and use different kinds of knowledge,  ability to make intuitive judgments based on past experience,  desire to investigate and solve a wide range of teaching problems,  deeper understanding of students' needs and students' learning,  awareness of instructional objectives to support teaching,  better understanding and use of language learning strategies,  greater awareness of the learning context,  greater fluidity and automaticity in teaching, and  greater efficiency and effectiveness in lesson planning (cited in Rodriguez & McKay, 2010). 21 Teacher Learning Teacher learning is considered a domain within teacher cognition that attempts to connect the important psychological and social factors involved in becoming a teacher with the processes involved in learning to teach (e.g., lesson planning, classroom management, mastering subject matter knowledge, examining learner characteristics, etc.) (Borg, 2008; Calderhead, 1988). Viewing teacher learning as a strand of teacher knowledge inquiry has strengthened the connection between teacher knowledge and teacher education (Borg, 2008). Similar to Johnson and Golombek, (2002), I view teacher learning as a reflection of the process that takes place when teachers are developing their teacher cognitions, including their beliefs, attitudes, sense of self, and various types of knowledge. Teacher learning involves the sense making that teachers employ when mapping their knowledge to their practice while continually reflecting on the interactions between them. Teacher learning is not a process that ends with the culmination of a teacher education program or training session but is an on-going endeavor that spans the length of a teacher's career. Given that the context of the present study is adult education, the ensuing discussion will center on issues related to professional learning by teachers in this context. However, I will first frame the discussion against the backdrop of traditional, university-based teacher education programs for both mainstream and language teachers. The two participants in this study emerged from these cultures of teacher education; therefore, an understanding of these approaches to teacher education is relevant when considering the ways in which the participants theorize practice. I discuss the teacher 22 preparation and on-going professional development of teachers in the ABE and adult ESL contexts. Contextualizing Theory and Practice for Pre-Service Teachers As pre-service teacher learners enter the field of education they may struggle to theorize their practice and find themselves feeling unprepared by their teacher education program for the actual classroom experience. This sentiment is often reflected as the byproduct of a perceived theory-practice gap that is marked by the apparent failure of theory to align with practice, the lack of authority given to teachers' practical knowledge, and the experience of transfer shock by teachers in the classroom during their first year out of the teacher preparation program (Johnson, 1996; Korthagen, 2001). This tension has received a great deal of attention in general teacher education (Cohn, 1981; Korthagen, 2001; Laursen, 2007; Loughran, 2006) and also, to a slightly lesser degree, in L2 teacher education (Bartels, 2002; Dahlman, 2010; Golombek, 1998; McKeon, 1998). The typical framework for L2 teacher preparation at the university level5 is similar to that of general education (theoretical and pedagogical courses followed by a practical component). The theoretical basis of the coursework often includes linguistics courses in second language acquisition theory (SLA), syntax, phonology, and pragmatics. These may be followed by a selection of the following: L2 methodology (required), curriculum development, program management, discourse analysis, L2 research design, language testing (L2 assessment), cross-cultural communication and pedagogical 5 In this paper, university level L2 teacher education generally refers to programs of study resulting in any of the following: TESOL Certificate, ESL endorsement and BA/MA TESOL. The described framework of a program refers specifically to a complete program, which would result in a BA or MA Linguistics with a TESOL emphasis. 23 grammar.6 Following these courses, teacher-learners participate in a language teaching practicum where they are placed in a language classroom to work closely with an experienced cooperating (mentor) teacher (Bailey, 2006; Tomaš, Farrelly & Haslam, 2008). During the practicum, the expectation is that theoretical and pedagogical knowledge will be put into practice. The effectiveness of the practicum has been questioned in light of the myriad variables that can impact a practicum experience, including levels of feedback from the mentor teacher, opportunities for accessing mentor teachers' practical knowledge (Tomaš et al., 2008; Zanting, Verloop & Vermont, 2003), opportunities for reflection on lessons, and the relationship between the mentor teachers and the university supervisors of the practicum (Hascher, Cocard & Moser, 2004; Smedly, 2001). In addition, mentor teachers may not be trained to act as teacher-learner supervisors, may not give teacher-learners the freedom to experiment with new approaches, and may not see the concepts that the teacher-learner brings to the class as relevant or fitting (Bailey, 2006). More research on the effectiveness of the practicum course to enhance teacher-learners' abilities to incorporate theoretical and pedagogical knowledge is urgently needed. However, while concerns about the effectiveness of the practicum exist, it is arguable that factors in the structuring of the practical component play a role (e.g., choice of cooperating institution, choice of mentor teacher, length of the practicum, etc.). Experience with the practice of teaching and the interactions in the classroom are widely viewed as integral components to teacher preparation. "The problems of practice must emerge and be explained in the experiences of practice so that 6 This list is not exhaustive, but is a representative sample of many programs (Richards, 1987; Tedick & Walker, 1994) from the 1980 and 1990s. 24 both students and teachers of teaching together can examine the tacit aspects of teaching" (Loughran, 2006, p.38). Unfortunately, leaving the practicum course until the end of the program results in limited access to the notion of practice and, therefore, presents conceptual challenges when students are asked to theorize their practice. Language teacher preparation often depends too heavily on using methods that are separated from their theoretical underpinnings and from the context for which they are most appropriate (Tedick & Walker, 1994). Methods are often presented in a vacuum and methodology courses are treated like a "pedagogical catch-all" for teacher preparation programs, with an emphasis on a selection of particular accepted approaches (e.g., the Natural Approach or Structured Input/Output) (Tedick & Walker, 1994, p. 307). In a best-case scenario, theory may be tied into the methods course at the surface level with an introduction to prominent theories such as Comprehensible Input, Schema Theory, Interaction Hypothesis, and Noticing. Given that many programs have only one methods course, there is a lot of pressure on the instructors of this course to cover many theories. Course designers, assuming the goal is to impart expert knowledge to the teacher-learners, often decide which theories to teach prior to meeting their students. In this way, course design takes place without consideration of teacher-learners' previous teaching and learning experiences or the teaching contexts in which they have been or will be working (Johnson 1996; Korthagen, 2001). Honoring and Building Upon Teachers' Existing Knowledge Teacher educators must take into consideration the various types of knowledge that teacher-learners will need to be successful in their respective contexts and provide them 25 with the tools for theorizing practice in an effort to make obsolete the perception of a theory-practice gap. In considering what type of knowledge is integral within the context of language teacher education, Freeman and Johnson (1998) propose a reconceptualization of the knowledge base. It is now widely acknowledged in both general and language teacher education programs that practicing teachers and the professional knowledge they possess are the cornerstone to improving teaching and, thereby, teacher preparation programs (Burton, 2000; Clarke, 1994; Gore & Gitlin, 2004). Additionally, teacher-learners' prior knowledge and beliefs should not be extracted from the teacher preparation process (Burns, 1996; Gatbonton, 2008; Tsui, 2003). Rather than solely transmitting ‘expert' knowledge and educational theory, teacher educators should focus on the ongoing development of practical knowledge and highlight the existing knowledge that teacher-learners have available to them through prior educational experiences. Approaches to teacher education to augment the teacher-learner's ability to theorize practice, should incorporate reflection and provide opportunities for teacher-learners to experiment with theory construction by exploring the interpersonal, curricular, and methodological interactions in actual classroom practice (Prahbu, 1990). Along these lines, Richards and Nunan (1989) call for a move toward experience-based theory building, which would rely on an examination of the various relationships and interactions present in the classroom as evidenced through the interplay among teachers, students, materials, assessment, and instructional strategies. In an attempt to better understand the role of teachers' cognitions during interactions with theory, Dahlman (2010) notes that "teachers' reluctance to use theoretical 26 knowledge arises during the process of interpretation" during which they attempt to draw connections between the theory and their existing practical and personal knowledge, as well as their beliefs (p. 39). Given that teachers' classroom practices are shaped by teachers beliefs about teaching and learning (Johnson, 1999, 1994) and beliefs about knowledge (Woods, 1996), Dahlman set out to explore the extent to which knowledge and beliefs further impacted their ability to theorize practice. Her multiple case study of three student teachers revealed an interplay between teachers' cognitions about theory and their ability to access the theory and connect it to their practice. The three student teachers varied in the extent to which they related to the theoretical knowledge and found it useful to them. One student teacher showed relative ease with the analysis and synthesis of theoretical knowledge, finding complimentary relationships between said knowledge and her practical knowledge. Another student teacher also interacted positively with the theoretical knowledge and could cite sources and theories to fit situations; however, she had a more ‘affective' relationship with the theory and approached classroom practice more from ‘what feels right' rather than what the theory would predicate in this situation. Finally, the third grappled with theoretical knowledge and believed that the best way for a teacher to develop was to simply spend time in the classroom. Her use of theoretical knowledge was functional and served to provide her with ideas for classroom activities. This study presents an interesting perspective on the perceived theory-practice gap in language teacher education and provides insight as to how this gap may in fact exist at the level of interpretation. The interactions of these three teachers with theoretical knowledge "raises an interesting question, namely whether teachers who do not seem to 27 engage with theory analytically can be taught to engage with it in more analytical ways" (Dahlman, 2010, p. 70). Dahlman proposes three ways in which language teacher education programs can "support teachers' engagement in the higher-level cognitive processes during interpretation of new information" (p. 71). In brief, she suggests: 1) promoting reflective practice so that teachers can tie theory to their practice regularly and consider the relevance in doing so; 2) cultivating a sense of unity among all components in a teacher education program such that teachers value both theoretical courses and practical experiences on an equal level as mutually inclusive of one another; and, 3) acknowledging that a teacher's ability to interact with theory through "higher-level cognitive processing during interpretation" is not guarantee that she will make use of the theory in practice (72). In this case, teacher educators should ensure that the theory not only makes sense to teachers but also relates to their personal practical knowledge and lived experiences. In sum, Dahlman promotes encouraging teachers to "take an active role as consumers of theoretical knowledge" while at the same time suggesting that teacher educators embrace the opportunity to positively shape the views teachers hold regarding theoretical knowledge (p. 72). If teacher educators accept the value of teachers' knowledge in teacher development, teacher education programs must be reformulated to integrate and balance theory (conceptual knowledge) and practice (practical knowledge) (Freeman & Johnson, 1998; Korthagen, 2001; Laursen, 2007). In addition, programs should actively promote honoring the importance of teachers' practical professional knowledge (Gore & Gitlin, 2004) and give more credence to the beliefs, assumptions and values that they bring to the teacher education experience. Freeman and Johnson (1998) argue that "for the 28 purposes of educating teachers, any theory of SLA, any classroom methodology, or any description of … English language as content must be understood against the backdrop of teachers' professional lives, within the settings where they work and within the circumstances of that work" (p. 405). For teacher learners who are not currently practicing, teacher educators must provide opportunities to develop critical skills for theorizing practice. Connecting theory to a context for reflection can be provided through the provision of classroom case studies, videos of actual teaching and of course, sustained opportunities to cooperate with a mentor teacher in the classroom, not only at the end of the program during the final practicum, but throughout the program. "When students predict, criticize, and analyze their mentor's teaching, they start to ‘theorize practice'. This is the starting point for connecting theory to reality" (Zanting, et al., 2003, p. 200). They will tap into this ‘theorizing practice' skill set regularly throughout their careers as they move through various teaching contexts, encounter diverse learner populations, attempt to explore emerging theories on teaching and learning and all the while, attempt to find their voice and shape their identity as teachers. Community-Based Adult Education - Framing the Context Adult education programs (e.g., Adult Basic Education (ABE) 7 and adult ESL programs) offer classes to both native English speakers and ELLs to help them achieve 7 Presently, research on L2 teacher preparation for work with adults is often embedded within the context of Adult Basic Education (ABE). Relevant research and theories related to ABE are a rich source of information about the field of adult ESL instruction and teacher professionalization because adult ESL and ABE are often housed together. From here on, it is implied that reference to ABE includes adult ELLs in the discussion. 29 goals related to literacy, job skills, family, transportation, and further education (Young, 2009). In the case of ELLs, relevant life skills classes offer the content through which oral and literacy skills in English are developed. Entities that provide adult literacy and ESL services include "…local educational agencies, institutions of higher education, community-based organizations, libraries, public or private nonprofits, public housing authorities, correctional agencies, family literacy providers, or consortia of for-profit agencies" (Sabatini, Ginsburg, & Russell, 2002, p.19). There are many challenges faced by these service providers, but perhaps the most dominating challenge, which exacerbates all others, is securing funding for programs and staff (see Sabatini, et al., 2002 for a discussion of funding issues, stakeholders and consequences of accountability for ABE.). The growing demand to professionalize the field of ABE in the face of limited funds presents a conundrum for these organizations, yet, they persevere with the strength of dedicated program administrators, staff, and teachers who are all committed to providing educational services to adults within their communities. The changing learner profiles of adults acquiring ESL and literacy skills has resulted in an increase in students who have little to no formal education experience and in many recent cases (e.g., certain newly arrived refugee populations), no first language literacy skills to build upon when acquiring English oral and literacy skills (Young, 2009). Critical to successful teaching with adult ELLs who have experienced interrupted formal schooling or for whom no formal schooling was available is an understanding of background information that may impact their learning, such as formal education experience, native language literacy level, religious and cultural issues, war-related trauma, gender-based expectations related to education, goals and motivation for learning 30 English, length of time in the US, and a number of personal issues related to their resettlement agency, such as job placement and family, housing, and transportation issues (Young, 2009). This partial list of issues that ELLs must deal with is representative of only a few that a teacher needs to know about. Being able to solve such a wide range of issues requires high levels of creativity and sensitivity. Teachers with strong formal educational backgrounds and decades of experience with print literacy can scarcely relate to the issues that many adult emergent literacy learners face, yet it is imperative that teachers attempt to at least try their best to make sense of it all. They can do so through prolonged and meaningful exchanges with learners, engagement with the emerging research within this context, collaborations with peers and mentors in the field, and continued involvement in context specific professional learning opportunities that support sustained development. Themes that emerge from the literature related to the theory-practice gap in ABE and adult ESL center on issues related to the professionalization8 of the field. Among these issues are concerns about the thoroughness of teacher preparation, the availability of on-going teacher development, and the need for credentialing teachers. Professionalization of teachers within the domains of ABE and adult ESL has received significant attention in the last decade (Crandall 1994; Sabatini, et, al., 2002; Schaetzel, Peyton & Burt, 2007). Professionalization can be defined as "the movement in any field toward some standards of educational preparation and competency" (Sabatini, et al., 2002, p. 2). Within the field of ABE a move toward professionalization of adult literacy practitioners is of particular interest with consensus in the field being that some level of 8 Professionalization is often the term used to encompass teacher education, teacher training, teacher development, and teacher preparation in discussions on ABE and adult ESL teachers. 31 teacher standards and certification is needed. Research confirms that teachers are a huge determiner of learner outcomes; thus, it is imperative that professionalization in the field of adult ESL and literacy teaching become a priority for all stake holders (policy makers, program administrators, funding agencies, teachers, learners, and researchers) (Carey. 2004; Haycock, 1998; Smith & Gillespie, 2007). Currently, the absence of clear standards for teachers working in this context impacts the level to which teachers are carefully selected and adequately prepared to teach adult ELLs. Many practicing teachers in community-based ABE and adult ESL programs are part-time employees or volunteers with varying educational backgrounds and a range of ESL teaching and cross-cultural experience. They usually do not have contracts or benefits accompanying their teaching positions (Crandall, 1994; Schaetzel, et al., 2007; Smith & Gillespie, 2007; Young, 2009). Young provides recent statistics from the U.S. Department of Education regarding the employment status of teachers within ABE. For the 2004 - 2005 program year, 49% were part-time employees, 35% were volunteers, and 15% were full-time paid teachers. Some are newly trained preservice teachers, who want the adult education experience. Others are retired or former teachers with a K-12 background who may or may not have specific training for work with adult ELLs (or adults in general). Many are not specifically trained to teach literacy; for some, the teacher preparation opportunities provided by the community-based organizations are the only teacher preparation they receive (Crandall, 1994; Smith & Gillespie, 2007). There are numerous issues related to policy and funding that factor into these statistics; it is not the case that programs selectively hire inexperienced teachers. 32 Recently, the Center on Advancement of Adult Literacy released an extensive report on credentialing of teachers in adult education (see Smith & Gomez, 2011). In this report, they review the importance of credentialing and certification, discuss standards that should be in place, review teacher preparation in state and university programs, provide an overview of requirements by each state and argue for the gains from increased professionalization of the field. One of the most striking findings presented in this report was a table (Smith & Gomez, 2011, pp. 16-18) presenting the requirements from state to state for adult education practitioners and additional requirements by each state for ESL certification. Of particular note, 18 states have no mandated degree or credential in place for working with adults and 38 states have no preservice ESL credential requirements, although some states require endorsement within a certain timeframe after being hired. Additionally, Smith and Gomez (2011) note, In the states that require adult education teachers to get in-service certification, qualifying for certification seldom demands very much of a teacher. It often means attending a short new teacher orientation or 10-15 hours of other professional development each year, activities undertaken by many teachers in other states with no certification benefit. It is ironic that volunteer tutors may enter into an adult education teaching situation with more training than a paid teacher. (p. 18) Of course, failure of some state policies to promote critical professionalization of the field does not mean that all programs in those states accept the status quo. In fact, many programs establish their own credential and professional development requirements for pre-service and in-service teachers alike. Volunteers have been key players in general adult education for many years, dating back to large-scale federally funded literacy movements in the 60s and 70s (Sandlin & St. Clair, 2005). Volunteers come to the task of adult literacy education with 33 the best of intentions, grounded in humanitarian interests and a desire to contribute to improved literacy levels nationwide. Traditionally, volunteers work in one-on-one pairings as private tutors; however, with the rapid increase in the ELL population, the demand for teachers is moving some programs to entrust small classes to volunteers. Heavy reliance on volunteers in adult literacy has been questioned with some educators arguing that they should only operate as assistants to qualified teachers (Sandlin & St. Clair, 2005). This criticism stems from the fact that volunteer teacher preparation and previous experience is often limited and may be insufficient given the task at hand. Research investigating volunteer literacy teachers' practices indicates that they infrequently employ effective instructional strategies for teaching reading, often rely on their own learning experiences to inform their practices, and, even after a training course, may resort to their original ways of teaching (Sandlin & St. Clair, 2005). Community-based approaches to language teacher preparation are generally very brief and characterized by an over-reliance on ‘tips and tricks' and best practices, often with little consideration for the relevant theoretical underpinnings (Sandlin & St. Clair, 2005; Smith & Gillespie, 2007). Approaches to teacher preparation differ from program to program, but most entail an initial training (ranging from 8-18 hours in surveyed programs). Given the insufficiency of this preparation, it is not surprising that teachers "still feel underprepared, have a sense of isolation once they begin their tutoring and suffer from retention problems" (Sandlin & St. Clair, 2005, p.133). On the upside, the strength of community-based teacher preparation is the extent to which teacher learning is contextualized (Schaetzel, et al., 2007). This is because the preparation of teachers is often conducted by the program itself and is, therefore, closely guided by the profiles of 34 the actual learners they serve. In addition, in-service teachers and tutors for respective programs can be invited to present their practical ideas in these trainings. Nonetheless, short one-shot orientations cannot establish the knowledge base needed for working with adult ELLs. As evidenced in Table 2.2, requirements for credentialing and certification are minimal nationwide, and, therefore, there is no incentive for programs to prioritize teacher preparation or professional development. Additionally, given oppressive budgetary restrictions, many programs simply do the best they can with limited resources and hope that the teachers will also do their best. The critical agenda for educating teachers in adult ESL programs lies in establishing sustainable, community-driven approaches to professional learning. Knowledge Base for Teaching Adult Emergent Readers Inseparable from the discussion of professional learning and professionalization in the field of adult ESL are the theories fundamental to the knowledge base for teaching adult emergent readers. An extensive list of widely accepted practices grounded in second language acquisition theory is available as a resource for teachers of adult ELLs who are L1 literate (e.g., jigsaw and instant expert activities). However, when considering theories directly applicable to teaching adult emergent readers, the research base is minimal. Low Educated Second Language and Literacy Acquisition (LESLLA) is an international organization dedicated to conducting and sharing empirical research on L2 acquisition by adolescent and adult emergent readers. During the keynote address at 35 the LESLLA symposium in Minnesota, the presenters held up the two SLA ‘bibles'9 of over 900 pages each, noting that neither contained a single theory based on work done with adult emergent readers. The research agenda has been set in motion and studies are leading to theories of oral language processing and the impact of literacy on language acquisition (Bigelow, delMas, Hansen, & Tarone, 2006; Bigelow & Tarone, 2004; Tarone & Bigelow, 2005a; Tarone & Bigelow, 2005b). As this field of inquiry grows, so will its place in the handbooks of SLA and in teacher education programs. Additional insights for teaching reading to adult ELLs are grounded in the research on teaching L1 literacy to both children and adults. This body of research provides a starting point for testing theories and designing approaches for work with L2 adult emergent readers. A critical contribution from this field, for example, is the list of five components identified in the literature as integral to the development of literacy: phonological awareness, phonics, orthographic awareness, fluency, vocabulary development, and reading comprehension (Kruidenier, 2002; Burt, Peyton & Schaetzel, 2008). Burt, et al. (2008) acknowledge that the research base on instructional strategies for working with L2 adult emergent readers is scant. However, they list the following strategies grounded in SLA theory, reading research, and general learning theory, as useful in addressing the above-mentioned four key components for literacy development:  build on and develop learner motivation;  build on learners' knowledge and experiences;  provide a real-world context for literacy activities in class; 9 The two SLA ‘bibles' were The Handbook of Second Language Acquisition (Doughty & Long, 2003) and The Study of Second Language Acquisition (Ellis, 1994). Of note, The Handbook of Research in Second Language Teaching and Learning (Hinkel, 2005) does briefly address issues of L2 literacy in an early section of the book. 36  teach specific strategies for approaching and understanding passages;  teach word recognition skills and alphabetic literacy;  build vocabulary;  create opportunities for peer-to-peer communication about written texts;  consider direct feedback, rather than teacher recasts, to help learners acquire correct grammatical forms; and  involve learners' family members in literacy activities (pp. 3-5). A continued effort is required by all engaged teachers and researchers invested in teaching ELLs with emerging literacy to continue exploring and contributing to the knowledge base of the field. As the research base grows and is informed by practice and strengthened through theory testing, efforts to professionalize the field will continue to pick up momentum. Promoting Professional Learning for Practicing Teachers in Adult Education Clearly, teacher education programs and community-based approaches for teacher preparation are only the beginning, and it is well beyond the capacity of these efforts to do more than provide an initial foundation upon which to continue building. As teachers transition into their careers, develop their identities as practitioners, and increase their knowledge base, it is imperative that they are given ample opportunities for professional development through on-going teacher learning. Britzman (2003) honors the challenges faced by mainstream teachers, which mirror those of language teachers across contexts. They all bring their own stories and trajectories of teacher learning to the teaching experience. She explores the ‘struggle for voice' that teachers undergo as they face the 37 unexpected tensions of the teaching profession. She notes, "teachers are confronted with a difficult existential truth about education rarely discussed and, more often than not, actively avoided: trying to teach is deeply unsettling and conflictive because experience itself - … ‘practice' - is a paradox, an unanticipated social relation, and a problem of interpretation" (p. 3). As teachers embark into their new professional world, their take on the theories and propositions from their teacher education programs will continue to grow and morph alongside their practice, through their interactions and in negotiating the contradictions they encounter in their professional reality. As we move into a discussion of the situated practices and professional learning of in-service teachers, it becomes apparent that theorizing practice is at the heart of what teachers should be doing, and, therefore, providing support to do so is a paramount responsibility of program directors. A team of researchers working with literacy volunteers found that they value support from trainers and staff within the organizations as much as they value materials and teaching resources (Cook, Dooley & Fuller, 1994). Programs have attempted to respond to the needs of tutors by increasing the frequency of in-service trainings and providing on-line forums for sharing classroom activities and lesson plans, information on the cultural backgrounders on learners, and practical ideas for classroom management. However, these approaches are still limited in scope and fail to provide teachers with a sense of belonging within a community of practice. Effective professional development should promote sustained and ongoing opportunities for professional learning (see the Appendix for additional professional development resources). When considering the best approaches to professional development for teachers in general and teachers of adult ELLs in particular, it is widely accepted that they should be 38 collaborative and teacher-directed. Johnson (2009) promotes an inquiry-based approach to professional development that gives teachers the chance to interact with both theory and practice. In fact, she promotes abandoning this dichotomy altogether to embrace the more "fluid construct of praxis" (Johnson, 2009; Freire, 1970). Further supporting inquiry-based professional development, Sharky (2010) says, Teacher knowledge is generated in inquiry and is facilitated by learning communities. Teacher learning involves teachers and others engaged in critical inquiry into their experiences, beliefs and assumptions, as well as policies and practices in schools and communities. (p.135) According to Cochrain-Smith and Lytle (1999) the aim is to "ultimately alter practice and social relationships in order to bring about fundamental change in classrooms, schools, districts, programs, and professional organizations" (p .272). Johnson (2009) adds that situating professional development in communities of practice is in keeping with a sociocultural perspective because peers can scaffold one another's learning. In the next section I will review a few options for professional development that rely on community, inquiry and relevance to teachers' contexts. Models of Inquiry-Based, Teacher-Directed Professional Learning Study circles aim to link practice and theory. They are comprised of "a group of practitioners reading and discussing research and considering its implications for classroom and program practice" (Burt, et al., 2008, p.6). Study circles can also be implemented as a follow-up to workshops as a means of processing the content, reflecting on theory and discussing suggested methodological approaches. As a tool for ongoing professional learning they contribute to developing a community of practice within a program or region. The National Center for the Study of Adult Learning and Literacy 39 (NCSALL) promotes study circles as an opportunity for teachers to read relevant research related to adult education, discuss the findings in relation to their teaching context, design and subsequently implement approaches for applying the research-based findings in their classrooms (NCSALL, 2006). Mentoring, coaching, and peer observations are useful approaches that allow novice and expert teachers to draw from the practices of one another in order expand upon their practical and pedagogical knowledge base for teaching adult ELLs. The goal is stimulating conversation about teaching practices, sharing insights on the learners, and engaging in the reflective process (Burt, et al., 2008). Serving as a mentor or coach to new teachers is a great approach for reinvigorating experienced teachers who might be experiencing burnout (Richards and Farrell, 2005). Also, as noted previously, the ability of a teacher to access a mentor teacher's practical professional knowledge will contribute to a greater understanding of the cognitive processes that take place and why a mentor teacher chooses certain approaches or teaching styles (Zanting, et al., 2003). Lesson Study (Takemura & Shimizu, 1993) is another fruitful approach to professional learning that stands out for its direct application to the context of the teachers. A community of practice working with lesson study chooses a particular content area or class to focus on. Together, they collectively develop a lesson based around research, shared knowledge, the experience of those involved, and innovative practices they would like to implement. Once the lesson has been designed, a teacher elects to pilot the lesson with his or her class, allowing others in the group to observe in person or videotape for later reflection. Johnson (2009) recommends that observers be trained to look for particular aspects of the instructional practices that both focus on the teacher and 40 the students. Following implementation, the teachers discuss the lesson and feedback from both observers and the acting teacher. Supporting Teachers as Professional Learners Sustained professional learning opportunities need the support of the administration because they require time and resources for implementation. Program administrators are responsible for myriad duties including grant writing, hiring and training teachers and staff, ensuring that student intake and assessment runs efficiently and that program evaluation takes place, and, in some cases, designing and implementing teacher preparation workshops and evaluations (Christison & Stoller, 2012; Young, 2009). Program administrators are the driving force behind the success of community-based adult education, an acknowledgement that brings with it both praise and criticism. In a study of ABE and adult ESL teachers, Smith and Hofer (2003) surveyed participants about their professional development experiences. Teachers indicated concerns about infrequent observations, insufficient feedback on their practices, and limited support from program administration. While program administrators are not expected to fulfill all their administrative duties and fully partake in teacher education, they should have a hand in the professional development of their teachers (Soppelsa, 1997). Additionally, while program administrators cannot be expected to know everything that is relevant to adult ESL teaching and learning there are certain theories that should be accessible to administrators as they support teachers' professional learning and determine the best course of action toward professionalization. Young (2009) suggests that certain underlying theories should form a minimum knowledge base for 41 program administrators. Her suggestion includes knowing relevant reading research on adult ELLs, seeking guidance on multilevel instruction, gaining information on teaching speaking and listening skills, and having access to instructional and assessment resources for ESL teaching. Perhaps one of the most generous contributions a program administrator can provide for the professional development of teachers is time. The unfortunate reality is that many programs are severely limited financially and, thus, cannot often provide contract positions with benefits. At the minimum, however, they should attempt to provide valued time for teachers to collaborate with one another. In a study on how adult education teachers changed over time, Smith, Hofer, Gillespie, Solomon and Rowe (2003) found that the most significant factors at the institutional level were teachers' access to benefits and preparation time. Succeeding these factors slightly in significance, but still emerging as important determiners of change, were teachers' access to paid professional development time and opportunities for collaboration with peers. Conclusion In this chapter, I have attempted to provide an overview of the literature encompassing research on teacher cognitions and teacher learning in both mainstream and language teacher education to frame this study on teacher development for work with adult emergent readers. Teacher education and preparation at both university-based and community-based levels are discussed to provide background on the experiences that have shaped the teacher knowledge of the two ESL teachers in this study. The importance 42 of ongoing teacher learning is emphasized as an essential component in the development of teachers and models for professional learning.CHAPTER 3 ACTIVITY THEORY This study is influenced by the sociocultural perspective of human learning and, therefore, embraces the epistemological stance that cognitive development can only be explored and understood in relation to the context, culture, and communities within which the development takes place (Vygotsky, 1978; Wertsch, 1991). This perspective also takes into account that all human action is mediated through the use of cultural artifacts and tools. The present study explores teachers' situated practices and investigates how they use and develop their knowledge bases as tools for mediating activity and negotiating meaning in the classroom and within the larger macro structures that comprise their teaching context. As such, a sociocultural perspective seems fitting. Johnson (2009) posits, "a sociocultural perspective on human learning transforms how we understand teacher learning, language, language teaching, and the enterprise of L2 teacher education" (p. 2). She further discusses the shift in recent decades from a positivist, scientific method approach in educational research to one that embraces the interpretive perspective. She states, Rather than attempting to predict what teachers do or should do, interpretative research is interested in uncovering what they already know and are able to do, and how they make sense of their work within the contexts in which they teach. In that sense, interpretative research focuses on what teachers know, honors what they know, and helps to clarify and resolve the dilemmas they face. (p. 9) 44 The sociocultural perspective considers the prime unit of analysis to be mediated action with the focus of research being the individuals carrying out the activities (Wertsch, 1995). While the present study does explore the situated practice (i.e., the mediated action) of ESL teachers of adult emergent readers (i.e., the individuals), I have chosen to broaden the perspective through the use of activity theory as an analytical tool and conceptual framework. Activity theory allows for richer conceptualizations of individual experiences, acknowledging that human activity takes place in collective practice, communities, and institutions and, therefore, is shaped and influenced by multiple viewpoints, relationships, tensions, and histories. Activity theory originated in sociocultural theory through the early work in the 1920s and 1930s by Vygotsky (1978), Leont'ev (1981) and Luria (1976). In the following section, I will discuss of the evolution of activity theory, beginning with a review of the foundational work by Vygotsky and Leont'ev. Next I will introduce the reformulations of early theories into the contemporary model of activity theory and its five key principles (Cole & Engeström, 1993; Engeström, 1987, 1991, 1999). Foundations of Activity Theory Activity theory is a theoretical framework that can be applied to analyze and make sense of human practices within a given culture and context. Human practices or actions are revealed through their interactions with their environment and explored through the basic unit of ‘activity' or ‘what people do' (Engestrom, 1987, 1991, 1999; Kuuti, 1996). Activity theory is often viewed as an evolved theory with contemporary variants grounded in the early work of Lev Vygotsky (1978). Vygotsky posits that 45 humans interact with their environment through the use of tools and cultural artifacts that mediate efforts to achieve certain goals or objectives. As we strive toward our goals, we are transformed and develop as individuals within a society and culture (Cross & Gearon, 2004; Engeström, 1987; Leont'ev, 1978; Scribner, 1985). This notion has come to be known as the mediational model, which Vygotsky (1981) diagrammed using a triangle to show the association between a stimuli (S) and response (R) as mediated through the use of a tool (X) (see Figure 3.1). The meditational model stresses that the interactions between humans and goals are not direct, but rather require the mediation of tools. His work centered on the higher psychic functions of children as they communicated with adults, using tools such as signs and early formulations of language to help them successfully convey a message or be understood. Vygotsky's theory placed a great emphasis on the meditational tools involved but did not address the notion of activity. His student, A.N. Leont'ev (1978) saw this exclusion of activity from a theory of mediation to be problematic. He expanded upon Vygotsky's theory to incorporate human activity and the interactions within practical activity, which arguably influence the choice of meditational tools. S R X Figure 3.1: The mediational model (Vygotsky, 1978, p. 40). Reprinted with permission. 46 Leont'ev viewed all activity as being comprised of actions carried out by a subject through the use of tools, which result in particular operations aimed at a certain goal or motive, represented as the object (Engeström & Miettinen, 1999; Lektorsky, 2009). Leont'ev's conception of activity is depicted in Figure 3.2. To give an example from education, the teacher (subject) uses a Think-Pair-Share exercise (tool) in order to help her students achieve certain learning objectives (object). Key to this theory is the idea that activity is carried out within a given context and the ability for the subject to reach his or her goal is determined by the availability of necessary tools or the ability of the subject to effectively realize the tools in order to mediate actions within the activity system. The Significant History of Activity Theory The actual history of the development of activity theory is significant because it has given activity theory its power as a catalytic research tool. As noted above, activity theory is grounded in the early work of several Russian psychologists. It is best appreciated against the political backdrop that shaped it in Soviet Russia during the early 20th century. Sannino, Daniels and Gutierrez (2009) provide an excellent overview of the history of activity theory, which was overshadowed by the societal turmoil experienced by its primary founders, Vygotsky, Luria, and Leont'ev, during the Russian Revolution. Activity  Motive Action  Goal Operation  Conditions Figure 3.2: The structure of human activity 47 Included in this history is the practice turn by scholars, which can be attributed to Marx's notion of revolutionary practice wherein "theory is not only meant to analyze and explain the world, but also to facilitate practices and promote changes" (p. 3). Many activity theorists have incorporated a practice orientation in their work over the past eight decades through interventionist research (i.e., research that identifies new tools and suggests changing existing approaches within a given activity). Early examples of interventionist research include, the educational impact of Vygotsky's work with homeless children, the impact on healthcare of Luria's neuropsychological work with patients who suffered head trauma, and the societal impact of Leont'ev's work with injured soldiers (Sannino, et al., 2009). The propensity toward transformation and innovation in theoretical work associated with activity theory is deeply rooted in this history. Activity theory is one that develops as an integral part of the historical turmoil in which activity theorists live. Perhaps today's movements advocating global justice, the rights of ethnic minorities, and ecological sustainability will be the ground for the next generation of activity theorists. The identity of activity theory stands on the ability of those who work within this framework to establish fruitful connections between the classic heritage of the theory, present societal challenges, and orientations toward the future. (Sannino, et al., 2009, p. 11) During the student movements of the 1960s, the foundational tenets of activity theory reached the rest of Europe and began to be explored by progressive academics and researchers in the United States. Sannino, Daniels and Gutierrez (2009) argue for the legitimacy of activity theory. They state, As a unified theory, activity theory has shown consistent viability throughout its history, beginning in the 1930s when Leont'ev formulated its basic principles and proposed the structure of activity. In addition, activity theory today attracts more interest globally than ever before. The term ‘unified' does not refer to a closed and fixed theory. However, it rules out an interpretation of activity theory as an eclectic grouping of multiple theories. (p. 1) 48 In particular, the activist work of Yrjo Engeström and his colleagues in Finland moved activity theory from a little-known theory to a tool for research that promotes changing societal practices (Sannino, et al., 2009). The contributions to activity theory by Engeström will be discussed in the next section. The Evolution of Activity Theory with Engeström Engeström viewed early versions of activity theory as lacking the potential to represent actions as elements of a collective activity system (Engeström, 1999). He envisioned a model of activity theory would account for the historicity, multiple perspectives, and interactions and offer potential for development inherent to collective activity. Activity theory, according to Engeström (2001) can best be summarized through an explanation of five key principles. The five principles to be extrapolated here are: 1) the prime unit of analysis is a collective object-oriented activity system mediated through the use of tools; 2) activity systems are multivoiced; 3) activity systems have historicity; 4) contradictions are central to transformation and development; 5) long term expansive cycles of transformation are possible in activity systems. As a result of Engeström's work in redefining activity theory, it is now commonly applied to the study and analysis of organizations, institutions, businesses, educational entities, and other activity systems to identify the potential for transformations in the collective practice. In the next section, I will expand upon each of the five key principles to provide further support for the choice of activity system as an ideal analytical tool for the present study. 49 Activity System as Prime Unit of Analysis The first principle specifies that in order for an activity theoretical analysis to take place, a specific object-oriented activity system must be the prime unit of analysis. He notes that the minimum elements for an activity system must include subject, object, mediating tools, rules, community and division of labor (Cole & Engeström, 1993; Engeström, 1987). These are represented in what is referred to as Engeström's triangles (see Figure 3.3). Engeström (2001) notes, "goal-directed individual and group actions, as well as automatic operations, are relatively independent but subordinate units of analysis, eventually understandable only when interpreted against the background of entire activity systems" (p. 136). In the present study, analyzing the entire activity system of each participant allows for a more comprehensive view of reality as framed by the various relationships, interactions and tensions present. Figure 3.3: Engeström's Triangles (Engeström, 1987, p.78). Reprinted with permission. 50 In an activity system, the subject10 is the doer of the action or the actor in the activity system. Analysis of the activity system takes place from the point of view of this individual or group. In other words, given the activity system of a language classroom, if the analysis is exploring what the teacher does in the classroom, the teacher would be the subject (e.g. Kim, 2011). However, if the focus of the analysis is investigating the way in which language learners use a new instructional tool for learning, such as computers, the learners would be the subject (e.g., Blin, 2005). The object of the activity system can be conceived of as that which the activity system is acting upon or toward which it is directed. By extension, there is an outcome component in the activity system that is generally conceived of as the goal (motive) of the activity system. As the activity acts upon the object, the aim is transformation of or within that object such that the outcome is reached. The tools are integral in the transformation of the object toward reaching the outcome. They are constructed and transmitted as per the cultural norms and cognitive forms that created them (Blin, 2005). They may be physical or material, such as textbooks and handouts; however, they may also include psychological or cognitive artifacts, such as language, beliefs, knowledge, and procedures. Tools either help or hinder the subject in carrying out the actions, depending on their availability, their usefulness for certain applications or their effect on the interactions between the subject and object. 10 The use of the term ‘subject' in this study will always be in reference to that component of the activity system. While the participants in this study are the ‘subject' of their respective activity systems, I will not refer to them as subjects in the experimental research sense. However, I will refer to ‘subject' in discussions of the interactions among activity system components. To the extent possible, I will refer to Sofia and Nancy Ann by name or as participants. 51 The community within an activity system includes anyone who participates in the environment of the activity system and has an interest in the outcome. As noted by Cross and Gearon (2004) "community situates activity within a wider context by recognizing that it only has meaning as part of a larger social setting" (p. 10). The division of labor within the activity system refers to the distribution of tasks and power within the activity system, which may be horizontal or vertical. Horizontal divisions of labor may be exemplified by the work of teachers working with learners at a similar level within the same program. Vertical divisions of labor are often related to power and status and may be reflected in the relationships between teachers and administrators in a program (e.g., Roth & Tobin, 2002). The division of labor acknowledges that different members of the community contribute to the goal in distinct, but important ways; each has an impact, direct and indirect, on the actions within the activity system. The rules refer to the norms, conventions and expectations, both implicit and explicit that are prevalent in the activity system. The rules constrain the actions and interactions within the activity system and determine the extent to which certain tools can be used toward the outcome. The community creates the rules based on expectations of acceptable behavior within the activity system. Multi-Voicedness The second principle of activity theory highlights the multi-voicedness of activity systems. This recognition of "multiple points of view, traditions and interests" stems from the awareness that all activity is collective and, therefore, inherently involves a 52 community rich with variety and even tensions (Engeström, 2001, p. 136). An activity system incorporates the voices, expectations, traditions, beliefs, histories, and so much more as inseparable components of the individuals and groups involved in the activity system. In an educational setting, those components will be reflected in the actions and interactions carried out by teachers, students, administrators, stakeholders, and the students' family members. No classroom, teacher, or group of students exists in a vacuum sheltered from these various influences The division of labor in an activity creates different positions for the participants, the participants carry their own diverse histories, and the activity system itself carries multiple players and strands of history engraved in its artifacts, rules and conventions. The multi-voicedness … is a source of trouble and a source of innovation, demanding actions of translation and negotiation. (Engeström, 2001, p. 136) Activity theory makes paramount an effort to create a space in which these influences and perspectives can make noise and be recognized, thus promoting the expansive learning that will be addressed as principle five. Historicity The third principle of activity theory is historicity. In addition to the multiple perspectives and realities that are brought into an activity system by its participants is the vast history that shapes each activity system over time. It is only against the backdrop of this history that an activity system with its various "problems and potentials" can be fully understood (Engeström, 2001, p. 137). The historicity of en educational activity system takes into account the local history of policy making, program development, cycles of power shifting with the coming and going of administrators and teachers, curricular decision making, professional development for teachers and of course the ever-evolving 53 learner profiles of incoming refugee and immigrant populations. In this light, the civil wars in Burundi, Sudan, and Somalia can be considered part of the history of an English language program that now serves adult emergent readers from those regions. Contradictions The fourth principle of activity theory is the essential function of contradictions as catalysts for transformation within the activity system. "Contradictions are historically accumulating structural tensions within and between activity systems" that can lead to both conflicts and innovations (Engeström, 2001, p. 137). They arise with the evolution of an activity system and the resultant interactions among components within the activity system. For example, they may occur with the introduction of a more advanced tool to the activity system, such as technology in the classroom, which initially may complicate the activity or limit the capacity of teachers or students to carry out tasks. Contradictions are a critical tenet to activity theory and their centrality speaks to the inherent nature of conflict, contradiction, and tension in human activity. In his review of activity theory, Kuutti (1996) explains, Activity theory uses the term contradiction to indicate a misfit within elements, between them, between different activities, or between different developmental phases of a single activity. Contradictions manifest themselves as problems, ruptures, breakdowns, and clashes. Activity theory sees contradiction as sources of development; activities are virtually always in the process of working through contradictions. (p. 34) The opportunities for development that exist when contradictions are identified support the notion that they do not reflect failure in a system and should not be seen as obstacles or signs of weakness. Rather, they can be seen as the "illuminative hinges through which participants in an activity can reflect on their activity system's developmental trajectory 54 and understand its dynamics" (Foot, 2001, p. 12). It is the power of activity theory to acknowledge the dynamic nature of activity systems that makes this analytical tool idyllic for the present study. Engeström identifies and explains four levels of contradiction within an activity system. They are represented in the triangle model by a lightening bolt between the elements experiencing the tension. The next section delineates the levels at which contradictions can occur within an activity system. Identifying contradictions at each level outlined below serves as the basis for analysis of the activity systems in this dissertation. A level one or primary contradiction is that which occurs within a single component of the activity system. It is akin to an internal conflict and may occur when an individual in the system, for example, has to take on a dual role or is coerced into taking a particular stance on an issue that is in contrast to his or her epistemology. For example, Kim (2011) used an activity theoretical approach to study L2 teaching practices by an EFL teacher in South Korea. Kim discovered that the subject of the activity system, a Korean EFL teacher, had a striking primary contradiction because her classroom practices appeared to be at odds with her beliefs about teaching language structures. In this study, the teacher employed communicative activities in the classroom but attested to her belief that certain structures should be learned mechanically and repetitively. Addressing primary contradictions requires a level of reflection and introspection that will promote evaluation of practices and ultimately, a shift toward new approaches that move the activity system to a culturally more advanced version of itself with appropriate object-oriented actions. A level two or secondary contradiction is a tension that arises within a 55 relationship between two elements or components of the activity system, such as subject and tool, subject and community or community and rules as they interact. An example of this contradiction uncovered in the aforementioned study (Kim, 2011) was that between subject (the EFL instructor) and community (her students). The instructor included communicative activities in her class but they were not always received well by the students in her class who viewed these activities as irrelevant for their success on the high stakes national exams. Relationships throughout the activity system will naturally entail tensions at some point. Negotiating these tensions requires a level of relational agency, which is the "capacity to work with others to expand the object that one is working on and trying to transform by recognizing, examining, and working with the resources that others bring to bear as they interpret and respond to the object" (Edwards, 2009, pp. 208-209). Through employing relational agency to resolve contradictions between components in the activity system, participants in the activity tap into the distributed intelligence and expertise available in the system. A level three or tertiary contradiction occurs between the activity system and a more advanced or further developed version of the central activity (Engeström, 1987). I would argue that ‘more advanced' is perhaps an unfair judgment that automatically puts one version of the central activity system in a place of inferiority to another, but at the same time it does acknowledge that activity systems evolve over time and often at different rates from one another. An example of a tertiary contradiction in a language classroom might emerge if a new technology or approach is introduced into the language teaching activity, resulting in tensions within the system (Blin, 2005). For example, if a language teacher wishes to introduce the use of technology into the classroom but the 56 students resist the use of this new tool, there will potentially be breakdowns in the system that the teacher and students will have to address. A level four or quaternary contradiction occurs between two neighboring and interacting activity systems that share an interest in the same object and outcome. No activity system exists in isolation from other activity systems. In fact, all activity systems are engaged in a process of development and transformation that hinges on one another. For example, the activity system of a community-based language program may experience tensions resulting from interactions with the activity system embodied by the state level entities that determine assessment policies and funding for the language program. This level of contradiction is the focus of much recent work by Engeström in what is termed the third generation of activity theory. It is beyond the scope of this dissertation to thoroughly explore additional activity systems as they interact with those I have analyzed; however, it is noted as a critical future direction for this study, the importance of which will be explained in Chapter 7. Expansive Cycles The fifth principle of activity theory "proclaims the possibility of expansive transformations in activity systems" (Engeström, 2001, p. 137). It is perhaps the most critical principle according to Engeström, who views transformation and expansive learning to be the goal of this practice-based, historical and future-oriented theory. Engeström has asserted throughout his work on developing activity theory that "it is essential that researchers not rest content merely to pass their research findings back to those who are affected by them, but that they remain active in helping to turn new ideas 57 in to practices" (Blackler, 2009, p.34). The identification of contradictions and attempts to reformulate the "raw material" of the object is what leads to the potential expansive learning. Engeström (2001) acknowledges that expansive learning is an iterative process. Activity systems move through relatively long cycles of qualitative transformations. As the contradictions of an activity system are aggravated, some individual participants begin to question and deviate from its established norm. In some cases, this escalates into collaborative envisioning and a deliberate collective change effort. An expansive transformation is accomplished when the object and [outcome] of the activity are reconceptualized to embrace a radically wider horizon of possibilities than in the previous mode of the activity. (p. 137) To some degree, activity theory as a framework is ideally suited as a tool for empowerment. In considering the complicated history of the founders of activity theory and the societal challenges they faced during their time, it is no surprise that Engeström (1999) wrote, "activity theory has the conceptual and methodological potential to be a pathbreaker in studies that help humans gain control over their own artifacts and, thus, over their future" (p.29). In choosing an activity theoretical framework, researchers should be committed to challenging societal and cultural norms, shifting perceptions, addressing contradictions, and facilitating dialogues that target expansive learning. Activity Theory in Educational Research Settings Activity theory has been applied in several domains to explore activity systems and identify opportunities for growth and transformation. It has been used as a transformative tool to reconceptualized teacher education and professional development (see e.g., Roth & Tobin, 2002; Tasker, 2011; Tsui, 2007). Researchers have employed activity theory to make sense of teachers' classroom practices (see, e.g., Ahn, 2011; Kim, 2011) and to evaluate the impact of instruction on learning (see, e.g., Yamazumi, 2009). I 58 will briefly discuss two studies to demonstrate how activity theory has been applied to the educational setting. The first presents an activity theoretical approach to examining the use of ‘lesson study' as a tool for mediating the learning of EFL teacher learners in the Czech Republic. The second study uncovers the tensions explored in the activity system of an EFL teacher in Korea to set the stage for the current study of ESL teachers. Lesson Study as Mediational Space for EFL Teacher Development in Czech Republic Lesson study (Fernandez & Yoshida, 2004; Takemura & Shimizu, 1993) is an approach to professional development that promotes teacher collaboration in an effort to target student learning. Tasker (2011) explored the use of lesson study in the Czech Republic by three EFL teachers working in a large private school. The study traced the expansive transformation of the teachers' activity systems. The dominant contradiction being addressed was that between the two activity systems as characterized by a mismatch between the expectations of teachers for student use of English outside of class and the students' actual use of English, resulting in frustration among teachers and a perception that students were not making progress in English. The study, which spanned 14 weeks, began with initial interviews of the teachers to establish components of the activity system and identify central tensions. Over the course of several meetings, the researcher was actively involved in the lesson study as a facilitator to monitor teachers' contributions and identify critical incidents. Critical incidents are used in Developmental Work Research (Engeström, 1999, 2007), which is often employed within an activity theoretical framework to create a mediational space for participants and researchers to reshape practices. In this study, Tasker identified emotive 59 comments by the participants as critical incidents and used them to bring teachers' attention to the contradictions at hand. As they worked together to analyze these incidents, they began a cycle of expansive learning centering on their collective articulation of an overarching goal. They moved from sentiments of frustration over what the students were not doing to a stance on what the students could take responsibility for, namely their learning. From that point, they were able to jointly construct activities that would serve as a revised instructional tool for the activity system, giving voice and choice to the students and thereby promoting their investment and involvement with English outside of class. Through the lesson study, the teachers were able to modify their conceptualization of student responsibility for learning and do something with this new perspective. This study demonstrated that as the teachers generated their own theories, tested them in the classroom, and expanded upon them with colleagues, they ultimately transformed their practice. This research both speaks to the useful role of lesson study for professional development and activity theory as a transformative research tool. Negotiating Curricular Reform in Korea Communicative language teaching (CLT) has been a prominent approach to language teaching throughout the world over the past two decades. CLT is an approach to language teaching grounded in the notion that classroom interaction promotes language learning and should therefore be implemented by language programs. In Korea, the Ministry of Education embraced CLT and designated it as the core of English language curriculum in secondary schools. In addition, to this curricular reform, they have put into 60 place a Teaching English Through English (TEE) policy which mandates that English language classes be taught solely in English. Not surprisingly, this reform has had quite an impact on teachers in Korea. Kim (2011) employed an activity theoretical approach to investigating to what extent CLT and TEE impacts teachers through the case study of Hee-Won, a Korean in-service teacher. Kim sought to understand how Hee-Won "has constructed her perceptions of and practices within these curricular mandates and, at the same time, how these same perceptions and practices serve to construct the contexts from which they have been derived" (p. 225). Her analysis uncovered numerous contradictions within Hee-Won's activity system, highlighting the complex relationship between policy and those it impacts. In modeling the activity system, Kim identified the following three objects in Hee-Won's activity system: 1) covering the text; 2) preparing her students to pass school exams; and 3) maintaining students' motivation. Several rules and tools served to mediate the activity of Hee-Won's system, but her interactions with them manifested primary, secondary, and tertiary contradictions. Kim uncovered a key internal conflict (primary contradiction) caused by discord between the communicative approach to language teaching and Hee-Won's beliefs about how language should be learned. On the one hand, she believed students needed more opportunities to practice in English, but on the other hand, most of her lessons were teacher-centered, and she supported mechanical practice. Secondary contradictions were present at multiple layers of her activity system reflecting many tensions. I will list a few to show the impact of curricular reform on this teacher: 1) conflicts between teacher and student attitudes toward CLT; 2) teacher's inability to use text communicatively; and, 3) inability to draw correlations between communicative 61 activities and discrete, textbook-based exam items. Finally, a key contradiction was that between Hee-Won's activity system and the TEE policy set forth by the government. This contradiction was particularly impactful on her because she lacked confidence in her English because it was not native-like. In fact, Kim found that Hee-Won only used English occasionally, such as when reading from the text. During interactions with students, she spoke Korean. Applying the activity theory lens for a closer look into a teacher's classroom practice allowed Kim to identify significant factors impacting instructional practice, and in the case where practice has not been impacted, the study reveals ‘violations' of a government policy. As Kim notes, this study "provides valuable insights for those involved in curriculum reform. In this study, the beliefs of the teacher contradicted the mandates of the Ministry of Education, and the teacher was left to determine how to deal with those contradictions" (p. 236). Kim acknowledges that this study reflects the experience of one individual, but she suggests that a more holistic picture of the impact of curricular reform could be revealed through the experiences of individuals working within various affected contexts. The bottom line in this study is that curricular reform is complicated and situating teacher practice to understand the impact is crucial. Activity Theory to Explore Teacher Knowledge and Practice These studies demonstrate the effectiveness of activity theory a conceptual framework and analytical tool for educational research. For this dissertation, in particular, activity theory is ideal because it promotes context-embedded inquiry, transformation and researcher involvement. This approach encouraged me to go beyond situated teacher 62 practice to seek out and identify relationships and tensions within the larger system in order to recognize opportunities for transformation. As Cross (2004) states, ‘Teaching' has no meaning in and by itself, and there is no ‘one teacher' that has sole authority over absolutely everything related to the act of teaching. Teachers, their work (goal, activities) and how they do their work is derived from where they are situated within a wider social, cultural and historical context. (p. 34) Activity theory allows for a holistic view of the situation being explored, making context paramount to the inquiry, thus aligning with the epistemology of the interpretivist research paradigm. "Human life is fundamentally rooted in participation in human activities that are oriented toward objects. Thus, human beings are seen as situated in a collective life perspective, in which they are driven by purposes that lie beyond a particular goal" (Sannino, et al., 2009, pp. 2-3). Exploring the human activity of the teachers and learners within the greater context of the school demands an approach that allows for this ‘collective life perspective.' Additionally, it operates from the standpoint that research should be transformational, not only transactional. In other words, research should involve the participants and ultimately give back to the community in a meaningful way (Engeström, 1999). This particular study was born from my interests in teacher education and teacher practice with specific relation to the teaching and learning of L2 adult emergent readers. As noted in Chapter 2, there are many challenges that face teachers of these learners, not the least of which is a feeling that they are unprepared for this teaching context and at times unsupported in their professional growth. Through my personal teaching experiences in various community-based ESL programs, as well as my conversations with teachers in these contexts, I recognized that there were not only issues related to teacher preparation, professional development, and 63 resource availability, but there was an often unspoken power differential between classroom teachers and other entities, such as program administrators and researchers. At the outset of this study, my hope was to be able to make better sense of the ‘what', ‘how' and ‘why' of teachers' classroom practices. However, early in the research process, I realized that this study would go beyond simple observations and reports; it would additionally take that information and move forward to embrace and promote change in systems and empowerment of teachers. Activity theory is a practice-based theory that urges deep involvement of the researcher in the activity of the participants. The power in this study, therefore, is the selection of activity theory as the theoretical framework. Operationalizing Activity Theory As reviewed above, various researchers working in diverse contexts have employed activity theory; however, there has been little consistency in applications and interpretations of the framework. In fact, activity theory has been criticized for its lack of a standardized methodology for implementation (Mwanza, 2001; Nardi, 1996). In an effort to address this criticism, Mwanza (2001) demonstrates an effort to operationalize activity theory through the creation of a methodology that centers on an Eight-Step Model for examining human activity. It was developed during a project, which analyzed work practices in order to inform the design of a computer system as an improved tool to mediate the activity in the workplace. Her approach provides a way to systematically use activity theory to guide research and has subsequently been applied by other activity theorists. As the present study uses this methodology, I will extrapolate the basic tenets of her approach. 64 The activity theory methodology includes six stages for applying this framework. Within these stages, the Eight Step Model is activated at Stage One. It will be expanded upon below. First, the six stages are the following: 1) Model the situation being examined (using the Eight-Step Model). 2) Produce an Activity System of the situation. 3) Decompose the situation's Activity System. 4) Generate research questions. 5) Conduct a detailed investigation. 6) Interpret findings. The present study passed through each of the six stages of this methodology; however, it did not happen in a linear fashion. For example, formulating the research questions (stage four) occurred prior to modeling the situation and, subsequently, to producing and decomposing the activity system. I had determined what I wanted to investigate before deciding that activity theory was the most appropriate analytical tool for the inquiry. However, the research questions did evolve as the activity system was produced and decomposed. In addition, there were many questions that were generated based on this methodology (i.e., guiding questions in the Eight-Step Model) that did not serve as core research questions but rather as tools for data collection and analysis. Another deviation from the linear nature of these stages involved Stages Five and Six. While preliminary interpretations could be made about the components of the activity system prior to investigation, data collection and preliminary analysis were necessary to generate an accurate model of the situation and produce a representative activity system. For example, I could not determine the object and outcome of the activity system without 65 some initial observational and interview data to ascertain the perspective of the ‘subject' in relation to those components. The methodology is best understood when implemented and will, therefore, be illuminated in Chapter 4 of this dissertation when I expand on its application in this study. However, it is useful for this discussion to present the Eight-Step Model here. It consists of eight open ended questions that target the components of the activity system so that they can be mapped onto the triangle (i.e., subject, object, tools, rules, division of labor, community) to represent the activity system. The questions are: 1) Activity of Interest a. What sort of activity am I interested in? 2) Object or Objective of activity a. Why is this activity taking place? 3) Subjects in this activity a. Who is involved in carrying out this activity? 4) Tools mediation the activity a. By what means are the subjects carrying out this activity? 5) Rules and regulations mediating the activity a. Are there any cultural norms, rules, or regulations governing the performance of this activity? 6) Division of labour mediating the activity a. Who is responsible for what, when carrying out this activity, and how are the roles organised? 7) Community in which activity is conducted 66 a. What is the environment in which this activity is carried out? 8) What is the desired Outcome of the activity? (Mwanza, 2001; italics and British spelling in original11) The knowledge produced from answering these questions is the raw material for building the activity system based on Engeström's (1987) triangle model (Figure 3.3). Mwanza (2001) suggests breaking down the larger triangle into manageable chunks or ‘sub-activity triangles' for analysis. She provides an Activity Notation (see Table 3.1) and three ‘rules-of-thumb' to facilitate this process. According to Mwanza, "the rules-of-thumb state that each combination within the activity notation shall consist of: 1) An ‘Actor' represented by the Subject or&