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Human Communication
A Journal of the Pacific and Asian Communication Association
Volume 10, Number 3
Human Communication publishes experimental, theoretical and speculative articles in
the artistic, humanistic and scientific areas of communication. A blind review process is
used with editorial associates reading and reviewing each manuscript. Manuscripts must
conform to the APA Publications Manual (5th edition, 2001). Articles must be sent in
Microsoft Word on a disk, with two hard copies, to Dr. Virginia Richmond, Department
of Communication Studies, The University of Alabama at Birmingham, 1055 BLDG,
Suite 117, 1530 3rd Ave, S., Birmingham, AL 35210-4480, USA. Each article should
include a carefully planned abstract.
Human Communication is free to download. Scholars are free to copy and distribute
this journal to their students and colleagues under the “fair use” guideline of U.S.
copyright law.
EDITORIAL BOARD
Editor
Virginia Richmond
University of Alabama at Birmingham, USA
Layout and Design
Jonathan Howard Amsbary, University of Alabama at Birmingham, USA
PACA Liaison
James C. McCroskey, University of Alabama at Birmingham, USA
© 2007, Pacific and Asian Communication Association
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Table of Contents
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163
Participation in Decision-making and Job Satisfaction: Ideal and Reality for Male
and Female University Faculty in the United States
Jerry L. Allen and Ben B. Judd
__________
187
Mayor, Cheerleader, Lawyer, or Juggler? An Exploratory Study of
CAO Leadership Metaphors and Challenges
G.L. Forward and Kathleen Czech
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205
Revisiting Teacher Immediacy in the HBCU and PWI Context:
Do Teacher Immediacy and Interpersonal Communication
Satisfaction Influence Student Retention?
Mary L. Rucker and Joanna M. Davis-Showell
__________
219
Communication Experiences of Korean Expatriates in the U.S.:
A Study of Cross-Cultural Adaptation
Yang_Soo Kim
__________
239
Nollywood: The Influence of the Nigerian Movie Industry on African Culture
Uchenna Onuzulike
__________
251
The Impact of Gender on Instructor Nonverbal Communication from the
Perspectives of Learner Affect and Learners’ Perceptions of Instructor
Melinda Findley and Narissra Punyanunt-Carter
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267
Leader-Member Exchange and Cooperative Communication Between Group
Members: Replication of Lee (1997, 2001) Study on Malaysia Respondents
Hassan Abu Bakar, Che Su Mustaffa, and Bahtiar Mohamad
__________
285
Proxemics and its Relationship with Malay Architecture
Abdul Muati Amad, Arbai’e Sujud, and Hamisah Zaharah Hasan
__________
299
Psychologically Abusive Relationships and Self-Disclosure Orientations
Jacqueline A. Shirley, William G. Powers, and Chris R. Sawyer
__________
313
Extroversion versus Similarity: An Exploration of Factors Influencing
Communication Accuracy of Social Cognitions
David Dugas, William G. Powers, and Chris Sawyer
__________
321
Communicating with College Students about STIs:
Assessing Message Effectiveness and Preferred Source and Channel
Marian L. Houser, Michael E. Burns, and Nicholas R. Driver
__________
339
Audience Reactions to Negative Campaigns Spots in the 2005 German National
Elections: The Case of Two Ads Called “The Ball”
Jürgen Maier and Michaela Maier
__________
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357
A Comparison of Role Models
Among Japanese, Korean and Chinese University Students
Masao Nakabayashi, Yumi Hasegawa, and Yang Yi
__________
387
The Relationship Between Self-Deception and Extrinsic-Personal Religiosity
Amanda J. Norris, Larry Powell, and Mark Hickson, III
__________
395
Laughing Before Takeoff: Humor, Sex, and the Preflight Safety Briefing
Jason S. Wrench, Brenda Millhouse, David Sharp
__________
Human Communication. A Publication of the Pacific and Asian Communication Association.
Vol. 10, No. 3, pp. 153 – 186.
Participation in Decision-making and Job Satisfaction: Ideal and Reality for Male and
Female University Faculty in the United States
Jerry L. Allen
University of New Haven
Ben B. Judd
University of New Haven
Jerry L. Allen (Ph.D., 1978, Southern Illinois University-Carbondale) is professor and chair,
and Ben B. Judd (Ph.D., University of Texas-Arlington, 1978) is professor in the Department of
Communication and Marketing at the University of New Haven.
Address correspondence to the first author in the Department of Communication, University of
New Haven, West Haven, CT 06516 (jlallen@newhaven.edu) (203-932-7132 telephone, 203931-6055 fax).
Participation in Decision-Making 164
Abstract
Communication literature has established that participative decision-making (PDM) influences
job satisfaction. Discrimination against women in the workplace has also been well documented.
This study investigated differences in how male and female faculty members in the U. S. view
opportunities to participate in decision-making, and how such participation differently affects
their job satisfaction. Results obtained from PDM and job satisfaction scales administered to
male and female faculty indicate that female faculty members do not differ from males in desire
for PDM but report lower actual PDM and lower job satisfaction than males. Contrary to
expectation, it was found that increasing levels of actual PDM results in greater job satisfaction
for female, but not for male faculty. This suggests that women faculty may view the role of PDM
differently than men. Although women had taught for fewer years, held lower faculty rank and
fewer had tenure, they had a slightly higher rate of refereed publications, and none of these status
indices confounded the PDM-job satisfaction findings. Implications for diversity in the
academic workplace are discussed.
165 Jerry L. Allen and Ben B. Judd
Introduction
“The rationale for extensive faculty participation in institutional decision-making rests on
reasoning drawn from generic organization theory related to a broad range of organizations and
on reasoning related more directly to the specifics of the faculty role in higher education” (Floyd,
1985, p. 1). Employee participation in organizational decision-making in the United States has
been found to be directly related to increased job satisfaction and performance (Jablin, 1982;
Redding, 1973; Richmond & McCroskey, 1979; Richmond, McCroskey, Davis, & Koontz, 1980;
Richmond, Wagner, & McCroskey, 1983; Tannenbaum & Schmidt, 1958). Also, in the U. S.,
Faculty expertise in subject matter has historically been used to justify faculty supremacy in
academic decision-making, and faculty habitually question the legitimacy of institutional
decisions made without faculty input. However, faced with the tasks of controlling costs,
increasing productivity, diversifying work forces, and streamlining operations, college and
university administrations have resorted to tenure and promotion quotas, hiring and wage
freezes, program and personnel cuts, and increased managerial decision-making based upon
fiscal accountability in addition to educational efficacy (Kolodny, 1998).
The support and cooperation of all constituencies is essential if U. S. institutions of
higher learning are going to successfully compete for qualified students and necessary funding.
However, in the face of the Yeshiva court decision which restricted faculty participation in
unions and structural changes in institutional governance, many faculty members feel that they
are being asked to support crucial organizational decisions that affect the quality of their work
without opportunities for meaningful input. Analysts have noted that faculty disillusionment is
reflected by a shift from concern with issues such as curriculum, class size, faculty load, etc. to
issues related to job security and greater access to policy making power and autonomy (Callan,
1993; Floyd, 1985; Getman & Franke, 1988; Kolodny, 1998; Lazerson, 1997; Scott, 1996;
Williams & Zirkel, 1989). In a 2000 report of the American Council on Education only 37
percent of the university administrators surveyed said that they would rate the level of faculty
morale on their campuses as "excellent" or "very good."
The lack of a participative role in organizational decisions would be expected to affect
the job satisfaction and commitment to organizational goals for faculty generally, but such
effects could be multiplicative in the case of female faculty. Numerous observers have indicated
that sex or gender-role stereotyping often limits women’s participation in organizational
decision-making.
Given the current state of higher education, and efforts to dismantle affirmative action
programs, it is propitious to examine women faculty member’s participation in decision-making
in higher education. The purpose of the study reported here was to determine how male and
female faculty members in the U. S. view their participation in university decision-making.
Given previous conclusions that women have lower expectations and goals, differences in female
and male faculty members' reports of desired and actual levels of participation in decisionmaking, and their affects on job satisfaction were also investigated. The results of this study have
wider implications related to women’s participation in decision-making in the work force
generally.
Women's Participation in Higher Education
In 1993, the annual survey of the American Council on Education revealed that women
had less than "adequate" representation in decision-making in higher education, and some
Participation in Decision-Making 166
claimed that estimates of female participation are grossly exaggerated (Leatherman). In 1981, the
National Advisory Council on Women's Educational Progress concluded, "...the glass remains
half-empty" relative to the full participation of females in academia in the U. S., and over the last
two decades, data has shown that fewer women hold senior faculty ranks; they publish less; they
are less likely to receive tenure; and they are paid lower salaries than men (Cole & Zuckerman,
1987; Davis, 2001; Fogg, 2003; Hickson, Stacks, & Amsbary, 1989, 1992, 1993; Moses, 1997;
Sandler 1986, 1993; Schneider, 1998; West & Curtis, 2006; Williams , 2000a; Wilson, 2004). In
the field of communication alone, women authors have been found to be underrepresented
proportionally to the number of female faculty members, and few women have edited or served
on the editorial boards of communication journals (Bodon, Powell, & Hickson, 1999; Cooper,
Stewart, & Friedley, 1989; Davis, 2001; Hickson, Stacks, & Amsbary, 1992). In 1993 only 12
percent of the institutions of higher education in the United States had women presidents, and
only four percent of the presidents at doctorate-granting institutions were women (Leatherman).
By 1998, the percentage of women presidents had increased to only 19 percent, and recent data
reflects that the numbers remain at that level (Dowdall, 2003). Most of the increase was at twoyear colleges, and fewer than a dozen women were presidents of doctorate-granting institutions
(Lively, 2000).
Data presented in the AAUP Report on Gender Equity Indicators 2006 reports that in
2005-06 women held only 39 percent of the full-time faculty positions at American colleges and
universities, and that only 23 percent of the full professors were women. A disproportionate
number of women teach full-time at doctoral-level and four year schools—34 percent are women
to 66 percent men.. In 2005-06 women held only 31 percent of tenured academic posts in the U.
S., and women occupied 52 percent of the non-tenure track positions (West & Curtis, 2006).
Across academic departments, only ten percent of the chairs were women in 1993
(Gmelch and Miskin), and the situation is little better in the field of communication. DeWine
(1987) reported that only 20 percent of the chairs of communication departments were women.
Over the last two decades, a considerable body of communication research been
concerned with differences in the ways that men and women communicate in the U. S., and
conclusions from that research has supported that social and occupational outcomes in the U. S.
often turn on perceptions directly related to expectations attached to those differences (Bem,
1993; Ivy & Backlund, 2000; Maltz & Borker, 1982; Mulac, Bradac, and Gibbons, 2001;
Tannen, 1990). In 1974, Rosen and Jerdee in a study of 1500 Harvard Business Review readers
reported that there was a prevailing bias toward sex stereotyping which precluded women's full
participation in managerial decision-making. Kovach found an almost identical pattern of sex
stereotyping among male and female senior college business students in 1985. The curious thing
was that female respondents also stereotyped women so as to deny them full participation in
decision-making. In a 1992 replication, Allen and O'Mara verified that such stereotyping still
existed. Women were denied full participation in decision-making by both male and female
middle managers in varied corporations. Others have also observed that gender-related
differences have been significant factors in women not being placed in decision-making roles
(Burrell, Dononhue & Allen, 1988; Dowdall, 2003; Guyot, 2001; Kushell & Newton, 1986;
Richmond, McCroskey, & Roach, 1997; Weider-Hatfield, 1987); Winter & Green, 1987).
LeClair and Steinblom (1989) concluded that sex-role socialization, organizational structures,
and individual perceptions of men and women explained the dearth of women's participation in
organizational decision-making roles. When it comes to women's participation in organizational
leadership, Reardon (1995) argued that the few women who have positions allowing for
167 Jerry L. Allen and Ben B. Judd
participation in decision-making “are supposed to look like they are not using power” (p. 124).
In fact, it is argued that when it comes to advancing women into decision-making positions in
higher education, interpretations related to more a more responsive communication style and
“softer” presentation trumps “objective” qualifications, such as previous experience, academic
accomplishments, etc. (Dowdell, 2003). Participation in organizational leadership and decisionmaking by women faculty members is likely more acerbic.
Title IX legislation was passed by the U. S. congress in 1972 for the expressed purpose of
prohibiting sex discrimination in educational programs receiving federal funding. However,
currently, efforts are underway to dismantle affirmative action apparatus in higher education.
Though not supported by prima facie evidence, the argument has often made that women and
minorities are benefiting disproportionally to their qualifications. Further, the argument is
advanced that women have been precluded from greater organizational advancement by mindsplits between mutually exclusive goals related to career and motherhood, or femininity and
intellectual achievement. It has been contended, that women often sacrifice career goals for
socially acceptable goals, and therefore lack the motivation to succeed (Evans, 2003; Fogg,
2003; Matthews, 1999; Sandler, 1993; Wilson, 2001). Testing the supposition that women are in
disadvantageous bargaining positions in organizations because of sex-role stereotypes, goals and
expectations, self-perceptions, and behavioral orientations, Nadler and Nadler (1989) found that
women did, in fact, have lower expectations regarding satisfactory outcomes. They concluded,
“(E)equivalent perceptions of success for men and women do not necessarily mean equivalent
outcomes of success” (p. 8). Others have concluded that women’s career goals have been
delayed, subordinated or lowered by their husbands’ career pursuits and women’s primary
responsibilities to their families (Davis, 2001; Drago, 2007; Evan, 2003; Schneider, 1998; West
& Curtis, 2006; Williams, 2000a, b; Wilson, 2004) Matthews (1999) suggested that women are
socialized to be more supportive in relationships, and are likely to avoid administrative and
decision-making roles because such roles are antithetical to their nature. This could be
interpreted to imply that women in higher education may be participating in decision-making
and achieving success at their desired level.
Communication and Decision-making
Participative decision-making (PDM) has been viewed as a communication dimension of
managerial climate (Redding, 1973; Richmond & McCroskey, 2001), and has been traditionally
conceptualized to include subordinate-superior collaboration, information sharing, and problemsolving (Gordon & Infante, 1991; Richmond et al., 1997), or interactionally as value and goal
building and sharing process in which the focus is on the centrality of communication (Caldwell,
Chatman, & O'Reilly, 1990; Allen, 1992).
Harrison and Laux (1987) argued that the traditional approach to conceptualizing
participation in decision-making holds that PDM is a management prerogative, and that
participation occurs when superiors invite subordinates' opinions, and take those opinions into
account when making decisions. Theoretically, their approach integrated two dimensions, both
viewed as under the control of the supervisor: (1) the communication dimension where employee
input is valued, and what subordinates say is considered as important; (2) and the influence
dimension where employee input is viewed as an opportunity to fulfill the needs of subordinates
to express themselves, though their opinions may be disregarded at the option of superiors. The
superior unilaterally controls both dimensions. The degree to which the superior is participative
Participation in Decision-Making 168
is determined by the quantity and quality of superior-subordinate communication and the extent
to which subordinate's opinions are reflected in the final decision (Likert, 1967; Richmond &
McCroskey, 1979, 2005; Richmond, McCroskey & Roach , 1997; Tannenbaum, Weschler, &
Massarik, 1961; Vroom & Yetton, 1973). To the extent that work conditions allow and choice
exists, participation may be limited by lack of subordinates' desire to share decision- making
(Dienesch & Liden, 1986; Hespe & Wall, 1976). Additionally, some subordinates may lack the
personality characteristics (Abdel-Halim & Rowland, 1976; Anderson, 1984; Stake & Stake,
1979; Shimanoff & Jenkins, 2003; Vroom, 1960), communication competency or skill
(Richmond & McCroskey, 1979; 2005; Reich & Wood, 2003) to participate. However, the basic
assumption of traditional approaches is that participation is a managerial style which is
administered consistently across subordinates. It is presumed that managers' election to use
participative approaches are operationalized through communication that energizes subordinates
to be involved in decision-making, and that joint decision-making results in increases in
interaction and information sharing (Allen, Judd, & Ceruzzi, 2003; Harrison, 1985; Harrison &
Laux, 1987; Gouran & Hirokawa, 2003; McCroskey & Richmond, 2000; Richmond &
McCroskey, 1979; Richmond et al., 1997).
On the other hand, the interactional approach conceptualizes PDM as one aspect that
emerges from the relationship between superiors and subordinates. From this perspective,
control and power are seen as derived from the hierarchical component of the superior and
subordinate relationship, which is objectively structured for both participants. The hierarchical
component of the superior-subordinate relationship is viewed as secondary to the interpersonal,
and it is held that issues emanating from the hierarchical component are negotiated
interpersonally as definitions of the relationship are advanced through interaction (Kassing,
2000; McCroskey & Richmond, 2000; Myers & Kassing, 1998; Richmond & McCroskey, 1979;
Richmond et al., 1997). The extent of PDM is dependent on formulation of a unique definition of
the superior-subordinate role. It is contended that higher levels of PDM result from relational
negotiation involving both superiors and subordinates. Harrison and Laux state, "Superiors
cannot 'share' decision-making without the active contributions of the subordinate" (p. 8). The
subordinates' definition of the situation is viewed as crucial, and it is argued that participation
will not be realized unless subordinates perceive that a relationship is conductive to participative
behavior (Richmond, McCroskey, & McCroskey, 2005). While the interactive approach accepts
that organizational contingencies such as the personality traits of individuals involved and the
characteristics of decision-making situations may affect participation norms, it is assumed that in
large measure the variance in participation will be as a consequence of superiors and
subordinates' unique understandings and differentiated responses because of different individual
capabilities, communication styles, and personality characteristics (Harrison & Laux, 1987;
McCroskey & Richmond, 2000; Richmond & McCroskey, 1979; 2005; Richmond et al., 1997).
In the interactive model, communication has both relational and pragmatic functions.
Through communication superiors and subordinates define their relationship and negotiate
definitions of respective roles, and pragmatically speaking, it is through communication that
decision-making is shared and influence is exercised. This process is framed by how much desire
subordinates have to influence decisions, and how much influence subordinates perceive that
superiors are willing to accept (Harrison & Laux, 1987).
In communication research the tendency has been to view decision-making as a
management prerogative, and the extent of subordinates participate has been viewed as
dependent upon the communication style of the supervisor. Richmond and McCroskey (1979),
169 Jerry L. Allen and Ben B. Judd
building on the work of Tannenbaum and Schmidt (1985) and Sadler (1970) conceptualized
management communication style as a continuum ranging from boss centered to subordinate
centered, with employees more satisfied with supervisors’ communication when a more
participative style is employed (consults or joins) and less satisfied with supervisors’
communication when less participative styles (tell or sell) are employed. In a more interactive
perspective, some researchers have advocated that in addition to the amount of participation in
decision-making allowed by supervisors, management communication style may be valenced by
the amount of participation desired by subordinates. Wheeless and his associates (1984)
concluded that lower level employees may exactly desire less autonomy in order to avoid added
responsibility, and therefore, a moderate amount of participation may result in maximum
satisfaction.
Communication and Job Satisfaction
The study of job satisfaction, defined as an employee's affective response to various
aspects of the work environment (Wheeless, Wheeless, & Howard, 1984), has been investigated
from the perspective of need fulfillment (Schaffer, 1953), Herzberg's Two-Factory model
(Herzberg, Mausner, & Synderman, 1959; Locke, 1973), discrepancy theory (Locke, 1969;
Locke & Schweiger, 1979), and equity theory (Adams, 1963). The traditional approach is too
measure job satisfaction by focusing on the attitudes of subordinates toward work, supervisor,
pay, promotions, and co-workers as conceptualized by Smith, Kendall, and Hulin (1969).
In the U. S., much of the research focusing on job satisfaction has been concerned with
subordinates' perceptions of supervisors (Downs, 1979; Jablin, 1979; Pinus, 1986), and has
concluded that open, trusting, and participative subordinate-supervisor relationships culminate in
greater subordinate satisfaction (Falcione, 1974a, Falcione, 1978; Falcione, Daly, & McCroskey,
1979; McCroskey & Richmond, 2000; Muchinsky, 1977; Pincus, 1986; Richmond &
McCroskey, 2000; Richmond, Wagner, & McCroskey, 1983). Relationships have been found
between job satisfaction and openness in communication (Burke & Wilcox, 1969), supervisors’
perceived credibility and attractiveness (Falcione, 1974b; McCroskey & Richmond, 2000),
listening and supervisor's receptivity (Daly, Falcione, & McCroskey, 1978), levels of employee
communication apprehension and perception of supervisor (Falcione, McCroskey, & Daly, 1977;
Richmond, 1999), tolerance for disagreement (Richmond & McCroskey, 1979; McCroskey,
Richmond, & Davis, 1981), initiating personal communication (Cummings, Lewis, & Long,
1980), management communication style (Richmond & McCroskey, 1979; Richmond,
McCroskey, Davis, & Koontz, 1980; Richmond, McCroskey, & Davis, 1982; Richmond,
Wagner, McCroskey, 1983), communication style (Allen, Rybczyk, & Judd, 2006; McCroskey
& Richmond, 2000), nonverbal immediacy (Richmond & McCroskey, 2000), and the use of
power, compliance gaining, and affinity-seeking strategies (Richmond, Davis, Saylor, &
McCroskey, 1984; Richmond, McCroskey, Davis, 1986).
Communication climate is another variable that has been found to relate to job
satisfaction (Jablin, 1980; Goldhaber, 1993), and decision-making has been conceptualized as a
dimension of communication climate (Redding, 1970). When employees' perceive a discrepancy
between a company's climate and their own values, they have been found to be less committed
to their jobs; less satisfied with their jobs, career progress, pay; and less inclined to contribute to
decision- making (O'Reilly, Chatman, & Caldwell, 1991; Shockley-Zalabak & Morley, 1989;
Weatherly & Beach, 1996).
Participation in Decision-Making 170
Participation in Decision-making and Job Satisfaction
While the recent tendency has been to view PDM as a continuum, Wheeless and his
associates (1984) contend that it should be viewed in terms of (1) the amount of participation
allowed, and (2) the discrepancy between the amount of participation allowed, and the amount
desired. Utilizing Richmond and McCroskey’s (1979) conceptualization of manager
communication styles as an independent variable to examine the affects of decision-making on
job satisfaction, they reported that PDM in consort with other communication variables
accounted for a significant amount of the variance (76 percent) of job satisfaction, but PDM
alone did not make a significant contribution to job satisfaction. They also examined the
discrepancy between the amount of PDM reported, and the subjects' desired level of PDM. The
expectation was that the discrepancy between the amount of participation allowed and the
amount desired would be negatively related to job satisfaction, but neither actual nor desired
participation contributed unique variance to job satisfaction. It was concluded that lower level
employees may desire less autonomy, and, therefore, a moderate amount of participation may
result in maximum satisfaction. Floyd (1985) arrived at a similar conclusion, maintaining that
many faculty members, especially the very junior and the very senior, may not want to
participate in institutional level decision-making. Her reasoning was that senior faculty often do
not want to become involved because of time constraints. She surmises that younger faculty
members and those with fewer years of service may be advised or may choose to avoid campus
governance for fear that it would take time from professional development activities or cause
difficulties at promotion and tenure time.
The nonlinear relationship between PDM and satisfaction might have a more general
alternate mechanism. Alutto and Belasco (1972) studied desired PDM, actual PDM, and the
degree of discrepancy, and speculated that too much actual PDM compared to desired PDM
results in decisional overload. Conversely, too little PDM compared to desired PDM results in
decisional deprivation. Both of these conditions are likely to result in less satisfaction than
decisional congruence, where actual and desired PDM are closely matched.
A number of studies have found that the amount of PDM is related to job satisfaction in
the U. S. (Vroom, 1964; Falcione 1974 a, b; Smolen, 1983; Gordon, Infante and Gordon, 1985a,
b, 1987); Gordon, Infante, & Graham, 1988; Gordon, Infante, & Izzo, 1989; Allen, 1992), and
Richmond and her associates (Richmond & McCroskey, 1979; Richmond, McCroskey, Davis, &
Koontz, 1980) found management style to be a positive contributor to job satisfaction. It should
be noted, however, that the management style instrument used in this study (Richmond &
McCroskey, 1979) was intended to measure subordinates' perceptions of their supervisors' style
of management (participative or non-participative), and not as a measure of how much
subordinates actually see themselves participating in decision-making.
Hypothesis
The above rationale and review suggests that the contribution of PDM to employees’ job
satisfaction in the U. S. has been perceived as heuristic. Though PDM has received considerable
attention, the focus has not always been clear. This study was undertaken to clarify that focus.
While previous studies have focused on subordinates impressions of their supervisors’ preferred
decision-making styles, in this study the emphasis was on respondents' perceptions of their
PDM. Moreover, previous studies have not investigated the possibility of sex differences in
decision-making and their effects on job satisfaction. Given the urgent decision-making
171 Jerry L. Allen and Ben B. Judd
imperatives, which exist in higher education today, the unique dilemmas faced by faculty
generally, and women faculty in particular, the following hypotheses were tested:
H1: Increased PDM by faculty results in increased job satisfaction.
H2: Male and female faculty members will differ in their actual level of PDM.
H3: Male and female faculty members will differ in their desired level of PDM.
H4: Male and female faculty members will differ in satisfaction with their jobs.
H5: The affect of PDM on job satisfaction will be different for male and female faculty
members.
H6: Actual and desired levels of PDM will vary with academic rank, years teaching,
possession of tenure, number of publications, achievement of refereed publications.
Faculty members with senior rank, more teaching experience, tenure and publications are
accorded greater prestige in the academic world, and consequently it would be expected that they
would entitle the holder to more involvement in university managerial processes.
H7: Actual and desired levels of PDM will vary for ale and female faculty members will
with academic rank, years teaching, possession of tenure, number of publications,
achievement of refereed publications.
Method
Participants
Questionnaires were mailed to 500 faculty members at four urban private universities
located in the northeastern United States, and 269 responses were received back. Although the
cover letter described the questionnaire as a study of participation in decision-making, no
mention was made of any investigation of sex differences in PDM or job satisfaction.
Measuring Instruments
Participation in Decision-Making (PDM). Scales for academic PDM originally
developed by Alutto and Belasco (1972) and modified by Conway (1976) were used to measure
desired and actual PDM. Participants were asked to rate how frequently they were consulted
(actual participation) and how frequently they wished to be involved (desired level of
participation) relative to 11 types of decisions affecting faculty. Since each decision situation is
scored from one to four, scores can range from 11 to 44. In this study, the coefficient alpha for
actual participation was .80, and the alpha for desired participation was .75.
Job Satisfaction. The short form of the Job Descriptive Index (JDI), developed by
Smith, Kendall and Hulin (1975), was used to measure job satisfaction. This version is
composed of 27 items used to measure satisfaction with work, supervision, co-workers, pay and
opportunity for promotion. Participants are asked to assign each item a score ranging from 0 to
3, with higher numbers indicating greater satisfaction. Reliability coefficients ranged from .83 to
.90 for the five scales.
Demographics. Participants were asked to indicate their age, sex, years teaching, salary
level, academic rank, tenure status, number of publications, and number of refereed publications.
Participation in Decision-Making 172
Statistical Analysis. Hypothesis one was analyzed by examining Pearson Correlations,
and hypotheses two, three, and four were analyzed with t-tests. Pearson correlations, with zscores to determine the strength of differences, were used to study hypotheses four and five.
Hypothesis six was analyzed using Pearson correlations, and chi-square was employed to test
hypothesis seven.
Results
Based on previous studies that found that participation in decision-making or job
autonomy increased job satisfaction, greater actual participation was expected to be associated
with greater job satisfaction (H1). As the correlations reported in Table 1 show, this hypothesis
was moderately supported. Actual PDM was significantly related to each of the dimensions of
job satisfaction. The correlations ranged from .214 to .350, indicating that actual PDM accounted
for four to ten percent of the variance in job satisfaction. It was also expected that a faculty
member's desired level of PDM would increase as their achieved PDM increased. There was
moderate support for this speculated relationship (r = .381, p < .001). However, as can be seen in
Table 1, faculty members’ level of desired PDM was unrelated to the dimensions of job
satisfaction.
Table 1: Correlations of Actual and Desired Participative Decision-Making and Job
Satisfaction Job satisfaction
____________________________________________________________________________
Actual Participation
Desired Participation
____________________________________________________________________________
Work
.269*
.068
Supervision
.260*
-.105
Pay
.350*
-.064
Opportunity for promotion
.225*
-.084
Co-workers
.214*
-.027
______________________________________________________________________________
Note: *p < .001.
Based on frequent reports that women are discriminated against in employment and
higher education in the U. S., it was expected that women faculty members would report lower
levels of actual PDM than men (H2). This hypotheses was supported by a significant difference
of about six percent (of the scale range) in mean PDM scores, as reported in Table 2 [t(268) =
2.72, p < .01].
Because of social pressures for women to be more passive, women’s greater family
responsibilities, and the greater instructional demands of lower level faculty positions in which
many women might find themselves, it was expected that women faculty members would not
desire as high a level of PDM as men (H3). Since, as is also reported in Table 2, the mean
desired PDM scores for male and female faculty were not significantly different [t(268) = .29, p
.73], hypothesis three was not supported. However, the desired level of PDM was significantly
higher (by at least 10 percent) than the achieved level for males [t(179) = 11.27, p < .001] and
females [t(88) = 9.5, p < .001] considered separately or combined, t(268) = 14.65, p < .001.
173 Jerry L. Allen and Ben B. Judd
Table 2: Participative Decision-making means for male and female faculty Participative
decision-making
_____________________________________________________________________________
Male faculty
Female faculty
______________________________________________________________________________
Actual participation
26.32
33.80*
Desired participation
30.95
31.15
______________________________________________________________________________
Note: *p < .01.
Given frequent reports that women are paid less than men both in business and industry
(U. S. Bureau of Labor Statistics, 1994; Wage Gap, 1996) and in higher education in the U. S.
(Fogg, 2003), it was expected women faculty would report less satisfaction than men with their
faculty positions (H4). The mean scores for job satisfaction reported in Table 3 show that this
hypothesis was partially supported. Women were significantly less satisfied with work [t(268) =
3.53, p < .001], pay [t(268) = 4.14, p < .001], and opportunity for promotion [t(268) = 2.67, p <
.01], but male and female faculty members did not differ in satisfaction with supervision [t(268)
= .19, p .87] or with co-workers [t(268) = 1.16, p .08].
Table 3: Means for Job Satisfaction for Male and Female Faculty Job satisfaction
______________________________________________________________________________
Male faculty
Female faculty
______________________________________________________________________________
Work
38.46
33.80**
Supervision
39.45
39.20
Pay
11.67
7.75**
Opportunity for promotion
13.12
10.20*
Co-workers
39.08
37.13
______________________________________________________________________________
As Table 1 indicates, male and female faculty members combined reported that job
satisfaction increased with actual PDM. Hypothesis five was constructed to determine whether
the level of PDM afforded men and women faculty members differently affected their job
satisfaction. Hypothesis five was supported in an unexpected manner by the findings reported in
Table 4. For male faculty members, the correlation between actual PDM and pay was significant
(r = .214, p < .05), but contrary to prediction, actual PDM was not significantly related to the
other dimensions of job satisfaction. On the other hand, for women faculty members there were
significant correlations between actual PDM and satisfaction with work (r = .449, p < .001),
supervision (r = .535, p < .001), pay (r = .541, p < .001), opportunity for promotion (r = .305, p
< .05), and co-workers (r = .397, p < .001). The differences in these correlations were tested by
a method developed by Fisher (Ferguson, 1966, p. 188), in which r-values are converted to
normal curve values (z-scores), subtracted, and compared by a t-test. The difference z-scores and
significance level of the t-tests are reported in Table 4. The PDM to job satisfaction correlations
Participation in Decision-Making 174
were significantly higher for women in satisfaction with work [t(268) = 3.45, p < .001],
supervision [t(268) = 4.31, p < .001] and co-workers [t(269) = 3.17, p < .01], but men and
women faculty members did not differ on PDM and satisfaction with pay or opportunity for
promotion.
Table 4: Correlations and z Scores between Actual Participation of Male and Female
Faculty and Job Satisfaction
______________________________________________________________________________
Job satisfaction
Male faculty
Female faculty
z scores
Work
.108
.449
.375**
Supervision
.175
.535**
.420**
Pay
.214*
.541**
.003
Opportunity for promotion
.146
.305*
.168
Co-workers
.095
.397**
.325*
_____________________________________________________________________________
Notes: * p < .05. ** p < .01.
Hypothesis six predicted that actual and desired amounts of PDM for male and female
faculty combined would vary with academic rank, years teaching, tenure, number of publications
overall, and number of refereed publications. Table 5 reveals the correlations between actual and
desired PDM and these indices of faculty status. Actual PDM was significantly related to
academic rank (r = .281, p <. 001, years teaching (r = .277, p. <.001), and tenure (r = .225, p
<.001), and together those variables accounted for 58 percent of the variance related to PDM.
Surprisingly, the number of publications overall and the number of refereed publications were
not related to perceptions of actual PDM. Even more surprising, the desire for PDM was not
related to any of those variables usually used as indices of faculty status—rank, years of
experience, tenure, number of publications, or number of refereed publications
.
To determine if discrimination against women faculty exists in the U. S., it was important
to examine whether women faculty have achieved equality with men in academic status (H7). To
evaluate this, a series of chi-square tests were performed with sex as the independent and the
individual dimensions of faculty status—rank, years of teaching experience, tenure v. nontenure,
number publications overall, and the number of refereed publications as the dependent variables.
Since the variables are at least ordinal, the results are depicted in the last column of Table 5 as
correlations to suggest the strength and direction of effect. In comparison to male faculty
Table 5: Correlations between Participative Decision-Making or Sex and Indices of
Faculty Status
______________________________________________________________________________
Participative Decision-Making
___________________________
Indices of
faculty status
Actual
Desired
Sex
______________________________________________________________________________
Academic rank
.281**
.050
.311**
175 Jerry L. Allen and Ben B. Judd
Years teaching
.277**
.037
-.199*
Tenure
.225**
.075
-.269**
Number publications
-.012
-.052
-.122
Refereed publications
.064
-.025
.127
______________________________________________________________________________
Note: Significance levels of X 2: *p < .05; **p < .01; **p < .001.
members, women were found to have lower academic rank (χ2(3, N = 269) = 33.76, p <. 0001 ),
fewer years of teaching (χ2(5, N = 269) = 14.44, p <. 01), less tenure (χ2(1, N = 269) = 19.78, p
<. 0001), but a higher percentage of refereed publications (χ2(1, N =269) = 4.12, p <. 05). Male
and female faculty did not differ in the number of publications overall. As can be seen from the
correlations for PDM and sex presented in Table 5, the relationships of academic rank, teaching
experience, tenure, and the number of refereed publications accounted for 42 percent of the
variance related to PDM. Years of teaching experience appears to be the primary variable, since
fewer years of teaching reduces opportunities for tenure and promotion. In this sample, 43
percent of the women had been teaching for less than ten years compared to 25 percent of the
men. Thus, status differences may disappear or become less important over time.
Table 6: Means for Actual Participation in Decision-Making by Faculty Members’ Years
Teaching and Sex
Years teaching
______________________________________________________________________________
Sex of
faculty
0–5
6 – 10
11 – 15
16 – 20
21 – 24
25+
______________________________________________________________________________
Males
22.4*
25.0*
27.4*
27.9*
28.0*
27.1
Females
21.7*
23.1*
24.6*
25.1*
27.0*
27.4
Combineda
44.1
48.1
52.0
53.0
55.0
54.5
Notes: Means in the same column designated by an asterisk (*) are significantly different at p <
.05.
a
Means in this row (Combined) are significantly different from each other at p < .05.
The dual finding that female faculty had fewer years of teaching and less actual
participation in decision-making suggests a possible confounding of the finding reported in
Table 2. Was the lower participation of female faculty due to sexual bias or merely due to
women having been faculty members for fewer years on average? To answer this question, a
post hoc analysis was performed with a two-way ANOVA (2 x 6), with actual PDM as the
dependent variable and sex and years of teaching as the independent variables. The relevant
means are reported in Table 6. As expected, years of teaching was a significant influence on
PDM, (F(1, 268) = 4.85, p < .001), but sex was also significant (F(1,268) = 3.77, p < .05).
PDM was significantly less for females who had less than 25 years of teaching experience (Table
6).
Discussion and Conclusions
Participation in Decision-Making 176
For nearly three decades, evidence has indicated that women in the U. S. are constrained
by a “glass ceiling” in the workplace, so that their participation in the upper echelons of
management is out of proportion with either their actual numbers in the workplace or the
proportion of males in management positions (Allen & O’Mara, 1992; Guyot, 2001; Ivy &
Backlund, 2000; Kovach, 1985; Pepper, 1995; Rosen & Jerdee, 1974; Weider-Hatfield, 1987). In
higher education, data indicates that proportionally fewer women hold full-time faculty
positions; fewer women are granted tenure; they publish less; fewer women are likely to be
employed in administration; and women faculty are paid less (Cole & Zuckerman, 1987; Davis,
2001; Dowdall, 2003; Fogg, 2003; Hickson, Stacks, & Amsbary, 1989, 1992, 1993; Leatherman,
1993; Sandler, 1993; West & Curtis, 2006; Williams, 2000a; Wilson, 2001, 2004). In the field of
communication, fewer women have served on the editorial boards of journals (Bodon, Powell, &
Hickson, 1999; Cooper, Stewart, & Friedley, 1989; Hickson, Stacks, & Amsbary, 1992), and as
chairs of departments (DeWine, (1987; Hanson, 1996)). Speculation, supported by sparse
research, has been that mind-splits related to motherhood, femininity, husband’s careers, and
social standards reinforced by sex-role stereotyping results in lowered career expectations; and
that women are likely to avoid administrative, decision-making roles because of less desire to
participate in decision-making (Davis, 2001; Fogg, 2003; Matthews, 1999; Nadler & Nadler,
1989; Sandler, 1993; Schneider, 1998; Wheeless, Wheeless, & Howard, 1984; Williams, 2000a,
b). The purpose of this study was to determine if male and female faculty members have
different levels of desired and actual PDM, and whether either desired or actual levels of PDM
differently impacts job satisfaction for either women or men.
Results show that actual PDM is significantly, but modestly, related to all the dimensions
of job satisfaction (work, supervision, pay, opportunity for promotion, and co-workers) for men
and women faculty members combined, but surprisingly, desired PDM is not significantly
related to the dimensions of job satisfaction (hypothesis one). This finding is particularly
revealing in that some researchers have speculated that when actual levels of PDM exceed
desired PDM job satisfaction will be lower because of decision-making satiation or overload
(Alutto & Belasco, 1972; Wheeless, Wheeless, & Howard, 1984). In this study, only 10 percent
of the males and seven percent of the females reported actual PDM exceeding desired PDM. The
actual PDM level was on average somewhat lower than desired. Thus, neither male nor female
faculty members seem to experience job dissatisfaction due to PDM saturation. This indicates
that attention to increasing actual PDM is warranted for both male and female faculty.
It is revealing that a moderate relationship (r = .38, p .001) was found between actual
and desired PDM for men and women combined, and in analyzing hypotheses two and three,
both men and women reported a desire for more PDM than they were actually allowed (Table 2).
While men and women faculty members do not differ in the levels of PDM desired, men, in fact,
report that they engage in more actual PDM than women. It is not possible to explain the
suppression of female faculty member’s desire for more PDM, but it seems apparent that
speculation that women have lowered career expectancies and consequently have achieved an
optimum level of PDM is not the case.
Not surprisingly, results indicate that female faculty are less satisfied with their jobs, pay,
and promotion opportunities than are male faculty (hypothesis 4), but in stark contrast, female
faculty report strong relationships between actual PDM and the dimensions of job satisfaction
(hypothesis 5). The explanation for this finding is uncertain. Contrary to expectation, the
variances (range) of the PDM scale and all of the job satisfaction scales do not significantly
differ in homogeneity of variance tests. It may be that a ceiling effect has occurred for male but
177 Jerry L. Allen and Ben B. Judd
not for female faculty, but examination of the scatter plots did not suggest this. In addition,
since female faculty members do not report a lower desired level of PDM, women should differ
from men in tolerance for the responsibilities of greater PDM. A remaining plausible explanation
is that due to sensitization from a history of discrimination females are more sensitive to the
value of participation in decision-making when judging job satisfaction. Still, this does not
explain why male faculty members give less weight to PDM.
Results of testing hypothesis 6 indicate that desire for PDM is not impacted by rank,
years of teaching, number of publications, or refereed publications for men and women faculty
members combined. Actual PDM was greater for faculty who had higher academic rank, more
years of service, and/or tenure. However, the testing of hypothesis 7 reveals that women have
lower academic rank, fewer years of teaching, and are less likely to be awarded tenure.
Surprisingly, despite this, women report having more refereed publications. Years of teaching
may the primary variable affecting this finding, since fewer years of teaching reduces
opportunities for tenure and promotion. In this sample, 43 percent of the women had been
teaching less than 10 years, and only 25 percent of the men had been teaching less than 10 years.
This suggests that status differences may disappear over time. The question here is two-fold.
First, are women in the field less than ten years because they have not been granted tenure and/or
promoted, and secondly, since the women in this study reported more refereed publications, are
men held to a lower standard relative to tenure and/or promotion? These questions should be
explicated in a future study. In this study post hoc analysis revealed that women who have been
in their teaching career less than 25 years consistently report less PDM.
The results of this study provide additional evidence for the claim of discrimination
against women faculty. Female faculty members have lower rank (and the associated pay), fewer
achieve tenure, participation less in decision-making, and as a consequence, they are less
satisfied with their work. The interpretation of the findings requires further consideration.
One interpretation, which is inconsistent with some of the results, is that women have
achieved less status and participation in decision-making due to outside pressures limiting their
job performance. For example, women subjected to the "mommy track" may have delayed their
studies, have been in the profession fewer years, and as a consequence, would have achieved less
across the board (Drago, 2007; Fogg, 2003; Sandler, 1993; West & Curtis, 2006). Arguing
against this interpretation is that women faculty members in this study indicate that they want the
same levels of participation as men but are accorded lower PDM at all years of service. Further,
women faculty members have produced a greater number of refereed publications than men,
indicating, at least in the case of refereed publications, professional achievements comparable to
or greater than male faculty.
A second but non-novel interpretation is that women in the U. S. continue to be
discriminated against in many forms. One of those forms is a management style in academia akin
to that found in workplaces generally that denies women a chance to participate in decisions
affecting the quality of their work life (Fogg, 2003; Ivy & Backlund, 2000; Pepper, 1995;
Reardon, 1995). These data support such a conclusion and is consistent with other findings of
slow progress for women in achieving job equality (Fogg, 2003; Leatherman, 1993; Wilson,
2001, 2004).
Likely a better interpretation would be that women may actually view their jobs and the
salient aspects of their working environment differently than men. Even without exhibiting a
tendency for a higher level of desired PDM, women in this study gave much greater weight to
participative decision-making in judging satisfaction with their work. This would imply a need to
Participation in Decision-Making 178
more explicitly address the unique perceptions of women so that they are included more in
decision-making (Ivy & Backlund, 2000; Pepper, 1995; Reardon, 1995; Reich & Wood, 2003;
Shimanoff & Jenkins, 2003).
An interactional model of PDM would likely more appropriately address the uniqueness
of female faculty members and enhance their job satisfaction (Harrison & Laux, 1987). While a
traditional approach assumes a generic, across-the-board approach to PDM, which is controlled
by superiors (Harrison & Laux, 1987), an interactional approach views higher levels of PDM as
emerging from relational negotiation between supervisors and subordinates. The primary
assumption of such negotiation is that superiors and subordinates have to develop unique
understandings and differentiated responses because of individual differences in personality,
competency, and communication styles (Harrison & Laux, 1987, McCroskey & Richmond,
2000). It is obvious from casual observations, verified by the results obtained in this study, that
women faculty members are de facto denied participation in the interactional equation by lack of
full-time, tenure-track positions. As a consequence, the unique needs of female faculty members
are not being addressed as would be expected if administrations were operating on an
interactional model (Drago, 2007; West & Curtis, 2006).
Alutto and Belasco (1972) argued that employees would report more actual PDM than
desired PDM, and that this predicted difference would result in dissatisfaction from satiation or
overload in decision-making. The results of this study do not support that contention. As was
stated above, only ten percent of males and seven percent of the females reported actual PDM
exceeding desired PDM, and the actual PDM level was on average somewhat lower than desired.
Thus, job dissatisfaction due to PDM saturation does not seem to be a factor. Stated differently,
attention to increasing actual PDM still seems warranted.
Some have argued that in an evolutionary, if not, revolutionary sense more women are
being admitted to the higher professional ranks, and that gradually salary gaps between men and
women are declining. Still others have argued that much of the salary gap is related to the fact
that more women go into the lower paying areas of the arts, humanities and education as opposed
to engineering, sciences and mathematics (Fogg, 2003). An extension of these arguments is that
women’s participation in decision-making in academe in the U. S. is directly related to either
increased levels of satisfaction or career choices that lead to greater emphasis on teaching,
advising, and grading papers, as opposed to “hard” research and institutional-related prestige
markers (Drago, 2007; West & Curtis, 2007). Future research should explore this further.
Specifically, it should be determined if the areas where women teach and the labor expectations
in those areas affect their PDM.
It has been argued that women participate less in management decision-making generally
because of the masculine style manifest in management hierarchies generally (Pepper, 1995;
Reardon, 1995; Richmond et al., 1997). The contention is that women’s communication style
does not generally lend itself to challenging the more aggressive conflict and decision-making
style of their male counterparts (Reich & Wood, 2003). Fogg (2003) points out, “Some female
scholars feel that academe places too much value on factors that favor men” (p. A14). However,
Reich and Wood (2003) counter, “Deeply ensconced cultural views of how women and men
should communicate affect perceptions of how they actually communicate and how appropriate
and effective they are” (p. 227). Future research needs to further investigate the communication
styles of men and women specific to acceptance in a wide-range of decision-making scenarios in
business as well as higher education.
179 Jerry L. Allen and Ben B. Judd
Summary
This study found differences in participation in decision-making and job satisfaction
related to sex. Women faculty members in the U. S. participate less in decision-making, have
lower academic status, and are less satisfied with their jobs than male faculty members. While
women's lower participation in decision-making is closely tied to lower job satisfaction,
surprisingly, differing degrees of participation in decision-making among male faculty members
did not yield differences in job satisfaction. Differences between men and women in full-time
appointments, tenure and faculty rank are hindrances and disincentives for women faculty to
participate in decision-making. Women face as many or more obstacles as faculty in higher
education as managers in corporations, and their lack of participation places serious limitations
on the success of educational institutions. The implication of this study for all employers, and
most especially those in higher education is that participation in decision-making needs to be
recognized as an important aspect of employees’ job satisfaction, and that there is need to more
explicitly address the unique perceptions of women so that they are included equally with their
male counterparts in decision-making in their perspective organizations.
Participation in Decision-Making 180
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Mayor, Cheerleader, Lawyer, or Juggler? An Exploratory Study of
CAO Leadership Metaphors and Challenges
G.L. Forward
Point Loma Nazarene University
Kathleen Czech
Point Loma Nazarene University
G. L. Forward (Ph.D., The Ohio State University) is a Professor in the Department of
Communication and Theatre at PLNU. Kathleen Czech (Ed.D, University of San Diego)
is an Associate Professor in the same department.
Address all correspondence to: GLForward@pointloma.edu .
The authors wish to thank Patrick Allen, former Chief Academic Officer and Provost of
PLNU for financial support and encouragement in the completion of this project.
CAO Leadership 188
Abstract
Two-hundred-twenty-four CAO members of the Council of Independent Colleges
completed a survey suggesting metaphor to describe their position and assessing their
own leadership style and communication behavior. The solicited metaphors (N=148)
were sorted into four clusters labeled hierarchy, paradox, competence, and relational.
These four clusters were then arranged in a 2 x 2 matrix reflecting ontological orientation
(realist or idealist) as well as approach to interpersonal influence (macro or micro).
CAO’s were also asked to identify the greatest challenge to their leadership effectiveness.
The resultant answers were sorted into a four category typology consisting of political,
relational, competence, and resource challenges to effectiveness.
KEY WORDS: Leadership, Metaphors, Communication, Higher Education
Administration
189 G.L. Forward and Kathleen Czech
Introduction
Colleges and universities are a ubiquitous, integral, and influential part of modern
society and the nexus of many individual aspirations. In spite of this importance
personally and socially, schools in the U.S. according to Ackerman and MaslinOstrowski (2002, p. 5) “are facing a dearth of leaders capable of providing good
leadership.” Compounding the problem is the fact that the study of management in higher
education has been relatively neglected in favor of studies focusing on the business sector
(Mech, 1997). However, nascent research in higher education administration suggests
that academic leaders specifically find themselves in a unique position with a leadership
role that has no clear parallel in business or industry due to its dualistic nature. Although
most organizations require shared governance between individuals or groups, with
sometimes inconsistent and even incompatible goals, “dualism” is the defining
characteristic of academic leadership as the responsibilities and interests of trustees,
administrators, and faculty are continuously negotiated through bureaucratic maneuvers
(Edelstein, 1997, p. 58). As a result, according to Gmelch (2000), academic leaders may
occupy the least studied and most misunderstood management position in America.
The foregoing is troubling indeed given the pervasive belief that leadership is the
single most critical component of organizational success (Birnbaum, 1992). Fortunately,
disillusionment with traditional leadership models and the realization that leadership must
be practiced in a troubled, complex, and crisis-ridden context has led to a new wave of
leadership studies in academe. In this project we will contribute to this literature in two
distinct ways. First, we solicited academic leadership metaphors from our sample in an
effort to create a leadership typology and uncover taken-for-granted assumptions about
the CAO role and the interpersonal dynamics inherent in that role. This creation of a
leadership metaphor typology, and a resultant 2 x 2 matrix predicated on underlying
ontological assumptions and influence strategy, helps to bring these dynamics into
sharper focus. Secondly, we solicited a list of leadership challenges that enabled us to
create a second typology and relate that typology of challenges to the leadership
metaphor types previously identified.
Literature Review
University Governance
Organizational types. Martin and Semels (1997, p. 64) suggest that US
universities tend to cluster into four organizational types that they label “collegial,
archaic, political, and bureaucratic.” The collegial model is most likely found in small,
liberal arts colleges with very direct and immediate communication linkages between
organizational members. The archaic structural style represents the “organized anarchy”
sometimes found in huge, “flagship” state universities with massive numbers of students
and a long, rich history which sometimes ossifies historic practices. The political model
is distinguished by a diffusion of formal power, the dominance of unions and entrenched
committees, and the proliferation of special interest groups often found in complex state
university systems. Finally, the bureaucratic university is characterized by centralized
decision making, the proliferation of rules and policies, and a highly structured
organizational environment. This last organizational type is by far the most prevalent
CAO Leadership 190
model of university governance in the US and often is a dominant characteristic of the
other three organizational types as well (Martin & Semels, 1997).
The Chief Academic Officer. The position of the chief academic officer (CAO)
is especially challenging and deserving of attention. Traditionally the titles Academic
VP, Provost, and Dean of Faculty were used interchangeably to identify broadly those
responsible for academic oversight at US colleges and universities. The more recent use
of titles such as VP for Academic Affairs and Chief Academic Officer (CAO) reflects the
more complex organizational structure and management responsibilities currently
expected of academic leadership (Martin & Samels, 1997). This increasing complexity of
the CAO role often results in high job stress, role ambiguity, and high rates of turnover.
As a result, CAO’s frequently report low job satisfaction and leave administration to
return to the classroom.
One explanation for this phenomenon concerns the scope of the CAO’s position
which is often wider and more complex than that of the president (Bright & Richards,
2001). CAO’s, more than any other leader, link the central administration with academic
departments and become the crucial backbone of university decision-making (Wolverton,
Wolverton, & Gmelch, 1999). Every CAO must be prepared to deal with a bewildering
variety of developing relationships, priorities, and problems. CAO’s are frequently
caught between the expectations of individual faculty, college departments, and those of
the central administration (Wolverton, 1984). According to Bright and Richards (2001),
the CAO is “invoked as the cause and explanation of unpopular campus policies, as the
reason for a failed promotion, and for other sources of discontent. In short, the provost is
“like a dean but even more remote and terrible” (Bright & Richards, 2001, p. 233). A
role of this scope and imagery requires a leadership style that will ultimately cultivate
these working relationships and motivate and maintain continued development of faculty
and staff (Mech, 1997). Unfortunately there is a temptation to say more than we know
about leadership in higher education when our assumptions are predicated on models
inappropriately gleaned from other organizational contexts.
Leadership Paradigms in Higher Education Administration
Leadership in academia. Following Wolverton and Gmelch (2002, p. 33), we
define academic leadership as “the act of building a community of scholars to set
direction and achieve common purposes through the empowerment of faculty and staff.”
Leadership of this type requires movement away from coercion and bureaucratic
manipulation toward a collaborative orientation that holds everyone accountable to a
higher vision of the organization. In the process of working collaboratively,
opportunities will also be created to involve, reward, resource, recognize, and empower
faculty in ways that transcend traditional bureaucratic hierarchy. Lastly, this
conceptualization of leadership entails the mutual negotiation of a joint vision that
elevates priorities above the ordinary and mundane in a way that inspires our best efforts.
Next we will contrast bureaucratic approaches to leadership with the possibilities
revealed by transformational leadership when applied to higher education administration.
Traditional bureaucratic models. The leadership dilemma noted previously
stems both from the nature of the job itself as well as the leadership model routinely
embraced in higher education. Leadership in colleges and universities is problematic
because of the dual control systems, conflict between professional and administrative
authority, unclear goals, and other professional organizations (Bensimon, Neumann, &
191 G.L. Forward and Kathleen Czech
Birnbaum, 1989). However, many institutions seem by default, to develop a bureaucratic
model of leadership in an effort to establish “strict boundaries” and keep things “neat and
tidy” (Ackerman & Maslin-Ostrowski, 2002, p. 5). Leaders who employ a bureaucratic
framework emphasize setting priorities, making orderly decisions, and communicating
through established lines of authority (Birnbaum, 1992). In a study by Lees, Smith, and
Stockhouse (1994), higher education administrators most often defined leadership as “a
one way approach whose purpose was getting others within the organization to conform
to or comply with the leader’s directives by using various sources of social power”
(p.12). The bureaucratic leader can control the institution, but this style of leadership
does not motivate the faculty and the staff, who must approve or at least implement new
programs and other changes if they are to be successful (Wolverton, 1984). Until a new
leadership paradigm can be implemented, CAO’s will be placed in the position of
needing to create change in an environment with little motivation or commitment to do so
(Montez & Wolverton, 2000).
Transformational leadership. Over the past several years, much attention has
been given to the notion of transformational leadership as a contrast to traditional
bureaucracy (Tracey & Hinkin, 1998). Burns (1978) characterizes transformational
leadership as a process that motivates followers by appealing to higher ideals and moral
values. Transformational leadership seeks to raise followers’ levels of consciousness
about the importance and value of specified and idealized goals and moving followers to
address higher-level needs (Covrig, 2000). This type of leadership is concerned with
follower’s values and beliefs, and asks followers to respond to a higher level of moral and
ethical conduct (Northouse, 2001). Transformational leadership utilizes this
commitment to emphasize the inspirational aspects of the relationships between leaders
and followers (Brown & Moshavi, 2002).
Communication in Higher Education Administration
In order to create organization change and motivate the constituents of any
organization, competent communication is essential. According to Zorn and Violanti
(1996) communication is central to organizational function and to the daily goals of
individuals in the organization. A major part of the CAO’s role is establishing effective
relationships and a major part of that task involves effective communication (Hickson &
Stacks, 1992). When viewing leadership as an influential relationship, a communicationbased perspective of leadership becomes paramount. Hackman and Johnson (2000)
define leadership as human communication that modifies the attitudes and behaviors of
others in order to meet shared group goals and needs. Leadership styles inherently display
a distinct set of communication behaviors.
Many CAO’s have expressed a desire to become more competent communicators.
In a study by Townsend and Bassoppo-Mayo (1996), almost half of the respondents
desired skills and knowledge in communication competence. The need for traditional
communication skills of listening, speaking and writing, as well as the ability to mediate
and resolve conflicts were expressed. Administrators must be able to arbitrate between
several possible moral codes, and at the same time, portray a unified moral front to keep
the organization on course (Covrig, 2000). If administrators can combine communication
competencies with a transformational leadership style that inspires and elevates faculty
CAO Leadership 192
and staff to higher levels of innovation, critical thinking, and morality, the revolution that
higher education is calling for may begin. Therefore, in this study we will include
several measures of communicator style, social support, and role negotiation in an effort
to foreground “how” CAO’s are doing what they are doing as they interact with others.
Metaphors and Leadership
Perusal of the relevant literature reveals a rich history of discourse analysis in the
organizational communication discipline (Bantz, 1993). As Fairhurst (2001, p. 407)
notes, communication scholars are especially interested in analyzing symbolic forms of
communication in order to identify recurrent themes, tensions, goals, and sense-making
devices in organizational life. As such, a useful method for understanding the leadership
role of the CAO is through the use of metaphor analysis (Forward, 2001).
The importance of metaphor analysis as a methodology is highlighted by Foss
(1989, p. 359) who summarized the arguments of I. A. Richards and Kenneth Burke with
the assertion that “all thought is metaphoric.” Metaphor, according to these scholars, is
an omnipresent attribute of thought and is logically prior to meaning and indeed is
necessary to the generation of ideas and the discovery of “truth.” Metaphors serve as
structuring principles that enable us to construct a particular reality based on the language
we use to describe that reality (Foss, 1989). As such, metaphor analysis can be used as a
diagnostic tool to analyze what is happening interpersonally in an organizational context
and to surface taken-for-granted assumptions about normative behavior and expectations
(Morgan, 1997).
According to Fairhurst and Sarr (1996) leadership is preeminently “a language
game.” Therefore a linguistic analysis provides a meaningful look at how individuals
view thier roles, relationships, and orientation toward power (Linstead, 2001). The
metaphors that individuals use to describe their roles may be indicators of deeply held
organizational meanings, values, and proscribed actions (Putnam & Fairhurst, 2001).
They are significant indicators of how CAO’s view themselves as leaders and the
relationships that characterize leadership within higher education. Therefore, CAO’s
were asked to describe their position in terms of a metaphor (simile) by completing the
phrase: “A CAO is like a _______________ .”
Research Questions
To gain more insight into the unique dynamics of the CAO role, the following
research questions are presented.
RQ 1: What types of metaphors do CAO’s use to describe their role?
RQ2: What types of leadership challenges do CAO’s identify in their work?
193 G.L. Forward and Kathleen Czech
Method
Research Participants
The subjects in this study (N = 225) ranged in age from 31 to 76 with a mean age
of 54 (SD = 8.7). Sixty-two percent (n = 139) were male and 38 % (n = 85) were female.
The sample was predominately white (90.2 %, n = 202) but included 14 (6.3 %)
individuals who identified themselves as Black/African-American. Many of the CAO’s
were relative neophytes. Examination of the descriptive statistics revealed that a majority
of the respondents (73.5 %, n = 165) had been in their present assignment for five years
or less. The entire sample had a mean tenure in their present assignment of 4.8 years (SD
= 5.5, Median = 3.0) with an average of 15 years teaching experience (SD = 8.3) prior to
moving into an administrative post.
A plurality of respondents (42.2 %, n = 95) serve as Chief Academic Officer in
institutions that enroll between one to two thousand students. Only 14 (6.3 %) work in
institutions that enroll five thousand or more students whereas 51 (22.7 %) serve schools
that enroll fewer than one thousand students. Most survey respondents taught full-time
prior to assuming administrative responsibilities. They listed more than fifty academic
specialties which cluster broadly into nineteen disciplinary domains (Table 1). However,
five academic disciplines including Literature, Education, History, Psychology, and
Chemistry/Biology, account for over half of the sample (55 % n = 123).
Research Procedures
This research focuses on Chief Academic Officers in higher education. The
sample frame was established by securing a membership directory from the Council of
Independent Colleges headquartered in Washington, D.C. The CIC is a professional
organization comprised of private, four-year colleges and universities in the U.S. One of
the authors of this paper is a CIC member and attends their annual meeting. The
membership directory identified 479 affiliated CAO’s at the time of this study.
A survey packet was constructed consisting of a cover letter, survey, SASE, and
separate response card so that names could be removed from the mailing list in
preparation for a second mailing to non-respondents. The mailing list was prepared by
removing the names of the 30 CAO’s included in a pilot test, as well as removing the CIC
member co-author and two others who had vacated their positions. This resulted in an
initial mailing sent to the 446 CAO’s remaining. One-hundred-eighty surveys were
returned (40.4 %) following this first mailing. An identical second packet was sent to
those remaining on the list approximately 5 weeks later. This mailing generated an
additional 46 (10.3 %) surveys for an accepting sample of 50.7 % (N = 226 with 1
unusable survey). This is an acceptable response rate for survey research in general and
is especially robust given the top management tier of a university CAO (Baruch, 1999).
As part of a larger project, respondents completed a four- page survey measuring
variables of interest and soliciting leadership metaphors and challenges to leadership in
academia. The final section of the survey collected demographic data about the
respondents (e.g., age, sex, ethnicity), their personal history (e.g., discipline, teaching
history, tenure as CAO), and institutional enrollment.
CAO Leadership 194
Table 1: Academic Discipline of Origin for CAO’s (n = 223)
Academic Discipline
N
%
Humanities
90
40.4
39
20
13
12
6
17.5
9.0
5.8
5.4
2.7
53
23.7
Education/Administration/Curriculum 28
Business/Management/Operations
10
Nursing/Medical/Physiology
9
Physical Education
3
Food Nutrition
2
Law
1
12.6
4.5
4.0
1.3
.9
.4
Literature/English
History
Bible/Ethics/Philosophy
Music/Art/Photography
Languages
Professional Studies
Social Sciences
Psychology/Counseling
Political Science
Communication
Sociology
Natural Sciences
Chemistry/Biology
Mathematics
Physics/Engineering
Geology/Geography
48
21.5
19
14
9
6
8.5
6.3
4.0
2.7
32
14.3
17
11
2
2
7.6
4.9
.9
.9
195 G.L. Forward and Kathleen Czech
Results
CAO Role Metaphors
The first research question sought to identify the types of metaphors CAO’s use to
describe their academic role. Survey recipients responded to the following prompt: “A
CAO is like a _______________ .” One hundred forty eight CAO’s supplied a metaphor
and a brief explanation in response to this request. Each metaphor and explanation was
placed on a separate card with the intention of identifying any thematic patterns that
might emerge (Boyatzis, 1998). Using the constant comparative method (Rubin &
Rubin, 1995), the entire stack of cards was sorted into clusters. The first author utilized
key terms and ideas from the raw information to inductively construct four data-driven
categories focusing either on hierarchical placement, relational influence, expert
knowledge or competence, or irony and paradox. (Boyatzis, 1998). The second author
then re-sorted all 148 cards into these previously supplied categories. Following McGee
and Cegala (1998), a conservative measure of inter-rater reliability was employed
yielding a coefficient of .90 for the entire data set. Table 2 lists the four metaphor types,
representative examples, frequencies, and inter-rater reliabilities for each individual
category.
Table 2: CAO Metaphors
________________________________________________________________________
Metaphor Type
N
%
Reliability
________________________________________________________________________
Hierarchy/Legitimate Authority
(Including COO, Senior Manager,
CEO, and Mayor)
52
35.1
.88
Relational Influence
(Including Coach, Pastor, Parent,
and Cheerleader)
47
31.8
.88
Competence/Expert Knowledge
(Including Attorney/Judge, Broker,
and Teacher)
26
17.6
.80
Irony/Paradox
23
15.5
.76
(Including Herder of Cats, Juggler,
Circus Ringmaster, and Playground
Monitor)
________________________________________________________________________
Note. Inter-rater reliability was calculated using the formula:
Agreements minus Disagreements
Agreements plus Disagreements
CAO Leadership 196
A plurality of responses (n = 52, 35.1%) identified the CAO role in terms of
placement in the organizational hierarchy either as the central figure or “number two”
person in support of the president. Central figure metaphors included images like CEO,
mayor, hospital president, and high school principal. These metaphors tended to focus on
the enormous responsibility for budgeting, daily decisions, and internal management of
the organization. The most common metaphor highlighting the role of a “number two”
person was COO. Explanations for this designation tended to focus on managing the
academic life of the university on behalf of the President or Board of Trustees who
establish university policy and vision.
Another large subset (n = 47, 31.8 %) focused on relationships and facilitating
faculty member growth by building interpersonal relationships and encouraging the
development of others. This relational emphasis was expressed in two ways in this
subset. The first used metaphors that expressed relational and developmental functions
like servant or cheerleader. The second cluster described the same functions but did so in
terms of specific jobs like coach or conductor. However, the explanations for these
metaphors highlighted a concern for the feelings, gifts, and needs of others.
An additional 26 (17.6 %) CAO’s described their role in terms of a knowledgebased expertise. These metaphors emphasize skills, credentials, or professional roles
(e.g., lawyer) that allow CAO’s to utilize specialized knowledge in the service of others
and yet remain somewhat independent. Finally, twenty-three respondents (15.5 %) took
an ironic view by using something “inappropriate” to capture the unique ethos of the job.
This group used humor and paradox to highlight the unpredictable and uncontrollable
aspects of life in an academic bureaucracy. Herder of cats, juggler, and playground
supervisor were representative images of this fourth group of metaphors.
Challenges to Effective Leadership
In analyzing the second question the same procedures were utilized, placing each
challenge on a card, and sorting the cards for themes. Key terms were identified and
again themes emerged among the plurality of responses. While not originally predicted,
clear parallels were discovered between the role metaphor categories and the CAO’s
reported greatest challenge to their leadership. The same category types used to
conceptualize leadership were utilized to classify the CAO’s leadership challenges. The
leadership challenge types, examples, and frequencies are summarized in Table 3 and
their relationship to the leadership metaphor types are represented in Figure 1.
The first set of challenges dealt with issues relating to organizational hierarchy
and legitimate authority (n=47, 22.9%). From this cluster several sub-categories were
identified. Several CAO’s listed the president as their single greatest challenge to their
leadership. Often in this context the president was further described as a
“micromanager”. The organizational structure also referred to specific interactions with
the Board of Trustees. The final subset dealt with the overall power and politics in the
organization as manifested in traditional policies and practices. These challenges
included knowing the “law of the land” and dealing with “unwritten policies and
procedures”.
CAO’s also reported several interpersonal relationship aspects (n = 70, 34.1%)
that effected their leadership. These relational issues tended to deal almost exclusively
197 G.L. Forward and Kathleen Czech
with faculty relationships. Three sub categories were apparent within the relational
issues identified. CAO’s repeatedly reported the development of trust as one of their
greatest challenges. CAO’s felt that earning the “trust of the faculty” was a crucial
dynamic affecting their leadership. The next relational issue CAO’s dealt with was
conflict. Conflict cumulated in many forms, including conflict among faculty,
departments, and staff. Most conflict issues expressed a fragmented view of the purpose
of the academic institution as a whole. Dealing with change was the third reoccurring
theme. CAO’s felt that “faculty resistance to change” was a major hurdle in their quest
for effective leadership.
.
Figure 1: CAO Leadership & Metaphor Matrix
Challenges
President, Trustees, Tradition
Challenges
Preparation, Training,
Personality
Techno-Social
(Realism)
Hierarchy
Competence
Systemic
(Macro-Influence)
Referent
(Micro-Influence)
Paradox
Challenges
Money, Time, Resources
Extreme
Relational
Moral-Aesthetic
(Idealism)
Mid-Range
Challenges
Interpersonal Trust,
Conflict, Resistance
to Change
Balanced
CAO Leadership 198
As with the leadership metaphors, CAO’s expressed competency based concerns
with the demands of their position (n = 16, 8%). This third category addressed CAO’s
challenges in two specific areas. The first was with job preparation and training. Some
felt that little had been done to prepare them for their role, especially if they only had a
“teaching background”. Along with preparation, many cited their own personality traits
as hindering their leadership potential. For example, one CAO noted his own sense of
“humor and irony” as off-putting to some people and a subsequent hindrance to his
performance and ability to relate to those people
The final category we developed for greatest CAO leadership challenge revolved
around limited resources, both tangible and intangible. This resource category was
compared to the fourth metaphor role category of paradox. The rationale for this was
simply the irony of needing more by way of resources than one will ever be able to
obtain. This theme was mentioned quite often by our respondents (n = 72, 35.1%). The
issues here centered on inadequate money or time to do the job. Furthermore, the
workload of the job was reported as one that is simply “impossible to do”. A general lack
of support was also identified by several as impacting effective CAO leadership.
Discussion
The purpose of this study was to specifically explore CAO conceptualizations of
their leadership role through metaphor analysis. In addition, we sought to contribute to
the extant literature by identifying challenges to leadership effectiveness as experienced
by those responsible for providing direction in academic administration.
CAO Role Metaphors and Challenges
One of the most frequently studied sense-making devices in qualitative
communication research concerns the use of metaphor (Lindlof, 1995). The metaphors
that individuals use to describe their roles and are indicators of deeply held organizational
meanings, values, and proscribed actions (Putnam & Fairhurst, 2001). As such, they are
significant indicators of how CAO’s view themselves as leaders and the relationships that
should characterize their leadership in the academy. All metaphors tend to foreground
certain aspects of organizational life, while simultaneously minimizing and deemphasizing others (Putnam & Fairhurst, 2001).
The four metaphor clusters identified in this research can be meaningfully
arranged in a 2 x 2 matrix on the basis of two underlying dimensions including
ontological orientation and focus of power and influence (see Figure 1). The first
dimension, as explicated by Gowler and Legge (1996), contains two contrasting
ontological orientations. The techno-social or “realist” orientation tends to foreground
issues relevant to the economic, mission-related goals of the organization. This approach
focuses on serving the legitimate interests of the organization as traditionally understood
in bureaucratic institutions like higher education. The hierarchy metaphor cluster does
this by highlighting the CAO’s position and authority in the bureaucratic structure. The
competence cluster does so by focusing specifically on the knowledge, skills, and
abilities most likely to add value to the organization and further organizational interests.
199 G.L. Forward and Kathleen Czech
The moral-aesthetic or “idealist” ontological orientation tends to foreground
issues related to truth, beauty, and implicational meanings. The paradoxes and irony
inherent in modern organizational life have long been obscured by the “myth of
rationality” or treated as dysfunctional behavior to be corrected (Trethewey & Ashcraft,
2004). Instead, paradox brings into focus incongruous structures, policies, and practices
that exist in all organizations and may even be necessary to function effectively (Tracy,
2004). The paradox cluster of metaphors does this by bringing practical dilemmas into
sharp focus and highlighting the limitations inherent in supposed rationality. Pearce
(2004, p. 175), reflecting on her tenure as an interim dean, concluded that typical
academic governance “…puts adjectives like Byzantine, red tape, bureaucratic, ossified,
and Kafkaesque to shame.” The use of paradoxical metaphors can bring into sharp focus
the inevitable disparity between the real and ideal in everyday organizational practices
(Stohl & Cheney, 2001). According to Putnam and Fairhurst (2001), irony and paradox
can be liberating, empowering, a source of counterintuitive insight, and a means of
encouraging discussion and diversity.
The relational metaphor cluster represents moral-aesthetic idealism by focusing
on interpersonal dynamics highlighting nurture, servanthood, and personal supportiveness
in CAO-faculty interaction. A relational style foregrounds the people in the organization
and how they actualize and grow, in addition to the ways they can contribute to the
organization and corporate goals. The assumption here is that investing in the
development and growth of individuals will both motivate and enable them to make
greater contributions to their department and the university.
Table 3: Challenges to CAO Leadership
______________________________________________________________________
Challenge Type
N
%
_______________________________________________________________________
Political Challenges
47
22.9 %
(President, Trustees, Tradition)
Relational Challenges
(interpersonal trust, conflict,
change)
70
34.1 %
Competence Challenges
( preparation, training,
personality traits)
16
7.8 %
Resource Challenges
(money, time)
72
35.1 %
The second underlying dimension in the 2 x 2 matrix reflects the ground of power
and influence in an organizational context. This dimension is parsed on the basis of
orientation toward impersonal organizational structures and processes or orientation
toward personal relationships, in exercising influence. Both the hierarchy and paradox
CAO Leadership 200
metaphor clusters operate at the macro-level of organizational structure either by
endorsing or resisting the implications of bureaucracy. The competence and relational
clusters focus on the micro-level of interpersonal dynamics focused either on self
(competence) or other (interpersonal relationship).
This matrix can also be used to help create a more complete picture of the
challenges, role, and system in which CAO’s operate on a daily basis (Table 3). When
used in this way, the findings of the matrix resonate with the literature characterizing the
CAO role as one full of conflict and ambiguity (Wolverton, Wolverton, & Gmelch,
1999). The matrix has further implications for the effectiveness of the CAO’s leadership
style. The matrix (see Figure 1) can be viewed through three additional lenses borrowed
from family communication research (Olson, Russell, & Sprenkle, 1989). The first lens
is located in the center of the diagram which calls for a balance of all four dimensions. In
this inner circle, the goal of the CAO is to find a balance between the realist and idealist
by using both legitimate and referent forms of influence and power. This balance would
indicate a leadership style that is able to focus on the ideal vision of the institution while
simultaneously maintaining a realistic or pragmatic orientation that may temper the ideal.
This perspective would further recognize the use of both systemic and individual referent
power to maintain relationships, build trust, and pursue needed change. This area of
balance would incorporate all of the numerous roles of the CAO while still dealing as
effectively as possible with the challenges identified.
As one moves out of the area of balance on the figure into mid-range, the
leadership and role challenges CAO’s face become more difficult to overcome. This is
the area in which CAO’s exhibit over-reliance on the behaviors of certain dimensions and
the concomitant under-utilization of the opposite dimension (Swenson & HenkelJohnson, 2002). Finally the extreme areas of the figure represent a system where
leadership is possibly pre-defined and influence and power only come from one source
resulting in either rigid or chaotic, and enmeshed or disengaged leadership as behavior
gravitates toward the extremes (Swenson & Henkel-Johnson, 2002). These extremes
would likely exacerbate the challenges of the opposite quadrant and lead to little to no
effectiveness for the CAO. This phenomenon lends support to the provocative notion
that the skills organizations reward with promotion to higher office may not be the skills
needed to keep one there (Richmond & Martin, 1998).
Conclusion
Johnson (1999) cites data suggesting that a majority of employed adults work for
someone with poor leadership skills. There is no reason to conclude that academics are
an exception to this generalization since many CAO’s are selected on the basis of skills
and criteria that do not reflect the demands of their administrative assignment (Bogue,
1994). As such, there are three practical implications that can be drawn from this
research to aid in understanding how CAO’s function in their administrative role. First,
this project highlights the fact that metaphor analysis is a useful method for exploring
meaning in organizational life. One way it does this is by explicating metaphors in order
to surface sub rosa conceptualizations of how CAO’s view themselves as leaders and the
dynamics that should characterize their interactions (Forward, 2000). Metaphor analysis
201 G.L. Forward and Kathleen Czech
also helps in developing conceptual frames and typologies necessary to understand the
inherent tensions and paradox in organizational life (Ashcraft & Trethewey, 2004).
Secondly, communication matters for educational leaders and their followers. A
brochure produced by the Educational Management Network (2002) concludes that the
skills most essential for academic administrator success are effective interpersonal
communication and team-building abilities. Effective communication creates an
organizational environment in which CAO’s can receive needed emotional and
information support and where followers are listened to and engaged in an active process
of role negotiation.
Lastly, this research hints at a link between leadership style and challenges to
leadership. Pascarella (1996, p. 9) has argued: “We need a spiritual foundation for
working together to manage our technical capabilities and our human faults.”
Unfortunately, long emergent assumptions and practices have accumulated to shape
workplaces that often stifle the human spirit and discourage displays of our humanity and
spirituality (Pascarella, 1996). As Bogue (1994, p. xi) notes, “a few collegiate leaders
would appear to suffer not only from a paucity of ideas but a poverty of ideals” including
integrity, candor, stewardship, humility, and compassion. This project makes a beginning
contribution to the literature by suggesting there is a link between communication,
challenges, and leadership.
CAO Leadership 202
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Revisiting Teacher Immediacy in the HBCU and PWI Context:
Do Teacher Immediacy and Interpersonal Communication
Satisfaction Influence Student Retention?
Mary L. Rucker
Wright State University
Joanna M. Davis-Showell
Central State University
Mary L. Rucker (Ph.D., Purdue University, 2000), Associate Professor in the Department of
Communication, Wright State University, Dayton, OH. Joanna M. Davis-Showell (Ph.D.,
Howard University, 1998), Assistant Professor in the Communication Department, Central State
University, Wilberforce, OH
All correspondence regarding this study should be addressed to Dr. Rucker,
mary.rucker@wright.edu.
Revisiting Teacher Immediacy 206
Abstract
The purpose of this study was to investigate the influence verbal and nonverbal teacher
immediacy and interpersonal communication satisfaction have on student retention in two
historically black colleges and universities (HBCUs) and a predominantly white (PWI). Two
hundred seventy four students (140 HBCU students, 134 PWI students) participated in this study.
The results indicated that verbal and nonverbal immediacy were not significant predictors of
student retention. Hypotheses 1 and 2 were not supported. The paired t-test for the combined
sample produced some significant results between interpersonal communication satisfaction and
student retention.
207 Mary L. Rucker & Joanna M. Davis-Showell
Introduction
The purpose of this study was to investigate the relative influence verbal and nonverbal
teacher immediacy and interpersonal communication satisfaction have on student retention in
both predominantly white and historically black universities. In particular, four communication
constructs were the focus of this study: 1) verbal teacher immediacy, 2) nonverbal teacher
immediacy, 3) interpersonal communication satisfaction, and 4) student retention.
Teacher Immediacy
Extant literature extends our understanding of the different factors that influence
communication satisfaction, and there is a growing demand in higher education to investigate
and address issues of student retention and faculty-student communication satisfaction. Even
though research has addressed teacher immediacy in both the HBCU and PWI context (Gendrin
& Rucker, 2002, 2004), it has not addressed the relationships between teacher immediacy and
interpersonal communication satisfaction and student retention. Rucker and Gendrin (2003)
assert that affective and cognitive behaviors of instructors influence interactions between
teachers and students, and the importance for instructors to know the impact their
communication behaviors have on students.
Communication theory and research suggest that verbal and nonverbal messages
function differently in social interactions. Verbal messages function to convey
the content of the message, whereas nonverbal messages function to establish the
relationship. Thus, verbal messages appear to have their primary impact on
cognitive responses, whereas nonverbal messages have their primary impact on
affective responses. (Mottet, Beebe, Raffeld, & Paulsel, 2004, p. 2)
Teacher verbal and nonverbal communication behaviors and students’ reactions to them
can influence relationships (Paulsel & Chory-Assad, 2004).
Verbal immediacy focuses on speech that provides “feedback, uses humor, gives personal
examples in discussions, and addresses the individual student by name” (Gorham, 1988 as cited
in Mottet, Beebe, Raffeld, & Paulsel, 2004, p.2). Nonverbal immediacy includes using eye
contact, smiling, body positioning and movement or lack thereof, and instructors’ use of a
variety of vocal expressions while talking to the class (Arbaugh, 2001; Gorham, 1988).
Beyond this, some studies have reported that “communicators who engage in nonverbally
immediate behaviors with others are seen by those others in a more positive way than they see
people who do not engage in those communication behaviors” (Richmond, McCroskey, &
Johnson, 2003, p.1). Immediacy is therefore conceptualized by Mehrabian (1966) as a behavior
that communicates approachability and closeness between interactants (Mottet & Richmond,
1998), where the interactants construe the meaning of the interaction. Simonds (2001) contends
that teacher immediacy, noted as behavior that can signal approachability and warmth, is relative
to student communication satisfaction initiated in the cognitive and affective behaviors.
In a classroom context, teacher immediacy is evident in the verbal and nonverbal processes
by which teacher-student relationships begin to form, which suggests that communication
satisfaction can begin to be realized when interactants’ verbal and nonverbal communication
behaviors are accepted. Overall, this research determines that teacher immediacy underscores
the vital premise for understanding the behaviors that create and maintain teacher/student
relationships. As interpersonal communication satisfaction is inherent in the communication
Revisiting Teacher Immediacy 208
event or activity and the social interactions in which teachers and students are engaged, this
research adheres to the concept of interpersonal communication satisfaction to provide
orientation into the messages that devise relationships.
Interpersonal Communication Satisfaction
Hecht (1978) “conceptualized [interpersonal] communication satisfaction as the positive
reinforcement provided by a communication event that fulfills positive expectations” (p. 217)
and argues that interpersonal satisfaction is a communication outcome. Hecht goes on to say that
immediacy is a contributing factor to liking. Other scholars’ studies make a similar claim. That
is, Hess and Smythe (2001) claim that immediacy is the causal mediator of relationship
development between teachers and students. Graham (2004) contributes to this line of thinking
and contends that teacher immediacy positively correlates with student satisfaction. She also
argues that “instructors who help students feel good about themselves . . . contribute to the
communication satisfaction of their students” (Graham, 2004, p. 217). By doing so, instructor
interpersonal communication satisfaction provides the landscape for predetermining positive
immediacy.
Furthermore, positive immediacy is implicit in behaviors that engage satisfying
communication. Congruent with this view, Hecht devised the Interpersonal Communication
Satisfaction Inventory (Com-Sat Inventory) to assess one’s communication satisfaction in actual
and recalled conversations. While the Com-Sat Inventory ascertains the verbal behavioral
perspective of communication satisfaction, Proctor II & Wilcox (1993) assert the importance of
understanding that we express our awareness of meanings in messages. They further argue that
communication satisfaction is reflected in our thoughts and statements.
Overall, Hecht developed an important point connecting the circumstances surrounding
communication satisfaction that attends to the continuum of immediacy behavior and meanings
in messages and notes that communication satisfaction is embedded in the “communication
event” also known as the social interaction. Therefore, the social interactions between teachers
and students facilitate relationship development.
Student Retention
Student retention is a major problem for the academic community (Lau, 2003). Instructors
do not necessarily bear understanding of affective behaviors relative to students’ communication
satisfaction and immediacy needs. Both faculty and student interactions and relationships are
very significant to student retention (Schulte, Franklin, Hayes, Noble, & Jacobs, 2001). Pruitt
(2005) defines retention as “retaining a student for consecutive regular semesters [and quarters].
Retention refers to students who enroll at a college or university and stay there until they
graduate. Retention rates are generally measured by the percentage of first-time, full-time
students who return for the following semester [or quarter]” (p. 50). Speaking to the issue of
retention performance indicators for institutions, Pruitt also informs us that retention is
Everything the institution undertakes to improve the quality of student life and
learning for its students. It is a measure of how much student growth and learning
occurs. It is a measure of how valued and respected students feel on your campus.
It is a measure of how effectively your campus delivers what students expect,
need, and want. (p. 53)
209 Mary L. Rucker & Joanna M. Davis-Showell
Retention is important to institutional image, faculty/student morale, improved recruitment and
retention of faculty and staff, and improved learning outcomes for students. Beyond this,
retention is a contributing factor to students’ satisfaction with a school’s responsiveness to
diverse populations, computer technology, campus life, support services, campus climate,
concern for the student, registration effectiveness, instructional effectiveness, academic advising,
and students’ overall college experience (Noel-Levitz, 2004).
Lau’s (2003) research on factors affecting student retention suggests that teacher/student
relationships can significantly motivate students to stay in school. Conversely, Tinto’s (1987)
dynamic “Model of Institutional Departure maintains that retention is dependent on student
satisfaction” (as cited in Lau, 2003, p.1). While documented research validates that student
communication satisfaction and learning correlate with faculty interaction (Cascarilla &
Terenzini, 1991), this research determines that teacher immediacy and interpersonal
communication satisfaction are useful constructs in depicting factors that contribute to student
retention.
Classroom interaction and social interaction between instructors and students are important
correlates to student retention. Communication scholars have examined that verbal and
nonverbal communication behaviors are instrumental to facilitating positive interpersonal
relationships between faculty and students, but they have not focused their research on whether
teacher immediacy and interpersonal communication satisfaction influence student retention.
This study extends the literature to include and/write in student retention in the teacher
immediacy and interpersonal communication satisfaction literature. Therefore, the following
hypotheses constitute this study:
African American students will report that verbal and nonverbal teacher
immediacy influences student retention at HBCUs.
H2: Euro-American students will report that verbal and nonverbal teacher immediacy
influence student retention at PWIs.
RQ1: What is the relationship between verbal and nonverbal teacher immediacy and
interpersonal communication satisfaction for both African American and EuroAmerican students?
RQ2: What is the relationship between interpersonal communication satisfaction and
student retention for both African American and Euro-American students?
H1:
Method
Participants
Two hundred seventy four students (140 African American students attending two HBCUs
in the Midwest, 134 Euro-American students attending a PWI located in the Midwest)
participated in this study. Ages ranged from 17 to 38 (m = 19.9, sd = 2.79). Student
participation in this study was one means of receiving extra credit from their professors.
Procedure
During the last two weeks of the 2006 Summer Session B at the predominantly white
institution and the end of the first week during Fall Semester 2006 at the historically black
universities, participants were asked to complete a questionnaire asking their perceptions of
Revisiting Teacher Immediacy 210
verbal and nonverbal teacher immediacy, interpersonal communication satisfaction, and student
retention. The authors asked their fellow colleagues’ permission to survey students in 10
different classes at both HBCUs and the PWI. One of the authors teaches at one of the HBCUs
and the other author teaches at the PWI. The authors collected 422 survey questionnaires, 200
from the two HBCUs and 222 from the PWI. Data was collected from two HBCUs located in the
Midwest because each school has a small population of students. After the data were collected,
the authors entered the gender and race of the HBCU and PWI students into separate SPSS file
and ran a random sample procedure. If a number 2 appeared after the student’s name, then that
student’s survey data was used for this study. As a result, 140 African American students and
134 Euro American students’ names were drawn from the sample.
Measures
Teacher Immediacy Scales: Teacher immediacy was measured using Gorham’s (1988)
20-item measure of verbal immediacy such as “My instructor ask questions that solicit view
points or opinions” and “My instructor asks questions or encourages students to talk,” and
Richmond et al.'s (1987) 14-item measure of nonverbal immediacy such as “My instructor sits
behind the desk while teaching” and “My instructor smiles at individual students in the class.”
Participants were asked to evaluate the frequency with which the instructor teaching the course
immediately preceding the one for which they were filling the questionnaire used the immediacy
behaviors. Each item was rated on a 5-point Likert-type scale ranging from 0 = never to 4 = very
often. The reliability estimates for the verbal and nonverbal immediacy scales were: α = .81 and
α = .92, respectively.
Interpersonal Communication Satisfaction Scale: Communication satisfaction was
measured using Hecht’s (1978) 16-item measure of interpersonal communication satisfaction
such as “The other person let me know that I was communicating effectively” and “I was very
satisfied with the conversation.” Each item was rated on a 7-point Likert-type scale ranging
from 1 = disagree to 7 = agree. The reliability estimate for the interpersonal communication
satisfaction scale was: α = .87.
Student Retention Scale: Student retention was measured using Noel-Levitz (2004)
national conference on student retention materials 11-item measure of retention such as “I am
satisfied with the school’s responsiveness to diverse populations,” “I am satisfied with academic
advising,” and “I am satisfied with my overall college experience.” Each item was measured
using a 5-point likert scale ranging from 1 = not satisfied at all to 5 = very satisfied. The
reliability estimate for the scale was α = .90.
Data Analysis
Hypotheses 1 and 2 were tested using simple regression analyses. The first research
question was answered using a simple regression analysis, and the second research question was
answered using t-tests.
Results
Regression Analyses
Hypothesis 1 predicted that African American Students will report that verbal teacher
211 Mary L. Rucker & Joanna M. Davis-Showell
immediacy influences student retention at the two historically black colleges and universities
(HBCUs), and hypothesis 2 predicted that Euro-Americans will report that verbal and nonverbal
teacher immediacy influences student retention at the predominantly white institution (PWI). To
explore the relative influence of verbal and nonverbal teacher immediacy on student retention,
simple regression analyses were conducted. Verbal immediacy and nonverbal immediacy were
the explanatory variables (independent) and student retention was the response variable
(dependent). The results of the analyses are presented in Table 1 for the African American
sample and Table 2 for the Euro-American sample.
For the African American sample, the results indicated that verbal immediacy
(standardized b = .24, t = 1.764, p. > .05) and nonverbal immediacy (standardized b =
-.25, t = -1.847, p. > .05) were not significant predictors of student retention at the two HBCUs,
and explained three percent of the variance. The hypothesis was not supported (see Table 1).
Table 1: Regression Analysis: Verbal and Nonverbal Immediacy and Student Retention:
African American Sample
Variables
Student Retention
Verbal Immediacy
Nonverbal Immediacy
Beta
.24
-.25
t
1.764
-1.847
Sig.
Adj. R2
Model Sig.
.12
.03
p. > .05
F
2.193
p. > .05
p. > .05
For the Euro-American sample, the results indicated that verbal immediacy (standardized b
= .09, t = .669, p. > .05) and nonverbal immediacy (standardized b = .08, t = .580, p. > .05) were
not significant predictors of student retention at the PWI, and explained less than one percent of
the variance. The hypothesis was not supported (see Table 2).
Table 2: Regression Analysis: Verbal and Nonverbal Immediacy and Student Retention:
Euro-American Sample
Variables
Beta
t
Sig.
Adj. R2
Model Sig.
F
.48
-.008
p > .05
.750
Student Retention
Verbal Immediacy
.09
.669
p. > .05
Nonverbal Immediacy .08
.580
p. > .05
______________________________________________________________________
The first research question investigated the relationship between verbal and nonverbal
teacher immediacy and interpersonal communication satisfaction for both African American and
Euro-American students. The results are indicated in Table 3. For the African American sample,
the results indicated that instructor verbal immediacy (standardized b = -.05, t = -.326, p. > .05)
and nonverbal immediacy (standardized b = -.10, t = -.683, p. > .05) behaviors were not
significant predictors of interpersonal communication satisfaction for students attending the two
Revisiting Teacher Immediacy 212
HBCUs. However, for the Euro-American sample, the results indicated that instructor verbal
immediacy (standardized b = .61, t = 5.804, p. < .01) and nonverbal immediacy (standardized b =
-.386, t = -3.320, p. < .01) behaviors were significant predictors of interpersonal communication
satisfaction for students attending the PWI. The results are indicated in Table 4.
Table 3: Regression Analysis: Verbal and Nonverbal Immediacy and Interpersonal
Communication Satisfaction: African-American Sample
Variables
Beta
t
Interpersonal Communication Satisfaction
Verbal Immediacy
.-.05
-.326
Nonverbal Immediacy
-.10
-.683
Sig.
Adj. R2
.48
-.01
Model Sig.
p > .05
F
.519
p. > .05
p. > .05
Table 4: Regression Analysis: Verbal and Nonverbal Immediacy and Interpersonal
Communication Satisfaction: Euro-American Sample
Variables
Beta
t
Interpersonal Communication Satisfaction
Verbal Immediacy
.61
5.084
Nonverbal Immediacy -.39
-3.230
Sig.
Adj. R2
.000
.27
Model Sig.
p < .01
F
13.33
p. < .01
p. < .01
Paired T-tests
The second research question investigated the relationship between interpersonal
communication satisfaction (ICSI) and student retention for both African American and EuroAmerican students. Paired t-tests were used to answer this question for the combined sample.
The results of the analyses are presented in Tables 5.
The results indicated that ICSI3 [I would like to have another conversation like this one
with my instructor] (t = 7.153, p < .001); ICSI 4 [The instructor genuinely wanted to get to know
me] (t = 2.856, p < .01); ICSI5 [I was very dissatisfied with the conversation with my instructor]
(t = -1.693, p < 001); ICSI6 [I had something else to do besides personally communicating with
my instructor after class] (t = 7.330, p < .001); and ICSI10 [The instructor expressed a lot of
interest in what I had to say] (t = -4.418, p < .001) produced significant results between
interpersonal communication satisfaction and student retention
213 Mary L. Rucker & Joanna M. Davis-Showell
Table 5: Paired t-tests between Interpersonal Communication Satisfaction and Student
Retention
African Americans
Euro-Americans
___________________
___________________
Student Retention
M
SD
n
M
SD
n
1. The other person let me know
that I was communicating
effectively
2. Nothing was accomplished
3. I would like to have another
conversation like this one**
4. The other person genuinely
wanted to get to know me***
5. I was very dissatisfied with the
Conversation***
6. I felt that during the conversation
7. I felt that during the conversation I
was able to present myself as I
wanted the other person to view me
8. I was very satisfied with the
conversation.
9. The other person expressed a lot
of interest in what I had to say.
10. I did not enjoy the conversation*
11. The other person did not provide
support for what he/she was
saying*
12. I felt that we could laugh easily
together.
13. We each got what we wanted.
3.29
1.009
140
3.37
.813
134
2.03
3.71
1.103
.950
140
140
2.06
3.55
.625
.840
134
134
4.83
6.833
140
3.52
.877
134
2.20
1.211
140
3.74
1.099
134
3.74
3.83
1.099
.884
140
140
3.87
3.82
.757
.695
134
134
3.80
.910
140
3.84
.828
134
2.06
1.062
140
2.13
1.057
134
2.56
3.96
1.137
3.308
140
140
2.46
3.66
1.020
.993
134
134
3.87
.833
140
3.85
.783
134
4.01
.843
140
4.01
.707
134
14. The conversation flowed smoothly 3.90
15. The other person frequently said
2.81
things which added little to the
conversation
16. We talked about something I was 2.26
not interested in.
*p < .01, **p < .001, *** p < .0001
3.90
1.195
140
140
3.70
2.76
.888
1.129
134
134
.988
140
2.24
.854
134
.
Discussion
This study investigated the perceptions of African American students in two HBCUs and
Euro-American students in a PWI on verbal and nonverbal teacher immediacy and student
retention, the relationship between verbal and nonverbal immediacy and interpersonal
Revisiting Teacher Immediacy 214
communication satisfaction, and the relationship between interpersonal communication
satisfaction and interpersonal communication satisfaction and student retention.
To test the first hypothesis, regression analyses indicated that instructor verbal and
nonverbal immediacy behaviors did not influence student retention. Specifically, instructor
verbal and nonverbal immediacy behaviors were not predictive of African American or EuroAmerican students’ retention in college, and only a small amount of the variance in student
retention was accounted for by instructor verbal and nonverbal immediacy behaviors (3 percent
for the African American sample, and less than one percent for the Euro-American sample. As a
result, it will be important for future research to consider other variables such as students’
motives for communicating with their instructors in both HBCUs and PWI contexts, which may
contribute to African American and Euro-American students' self perceptions of their academic
performance and interpersonal communication satisfaction with their instructors, since these
variables are important constructs to student retention. Perhaps the results were not significant
for both samples because the study used a matched-race method, which delimits students’
interpersonal experiences with instructors, in most case, who might share the same ethnicity.
That is, when African American students attend an HBCU and Euro Americans attend a PWI,
students have certain expectations of their instructors. For example, Gendrin and Rucker (2006,
in press) conducted a matched-race study and their results indicated that African American
students, in particular, have certain expectations of their instructors in the HBCU context than
their Euro counterparts. Therefore, the results are not surprising. Gendrin and Rucker’s study
also indicated no significant results for Euro-American students attending a PWI.
To test the second hypothesis, regression analyses did not predict a link between instructor
verbal and nonverbal immediacy behaviors and African American students’ perceptions of
interpersonal communication satisfaction, but predicted a link between these constructs for EuroAmerican students. Woodside, Wong, and Wiest (1999) claim that “a possible explanation for
[these] result may be that out-of-class self-concept domains such as social acceptance,
intellectual ability, and [student] overall self-worth cannot be predicted by in-class instructor
behavior” (p. 730) for African Americans. A second possible result may be that institutional
structures and classroom interpersonal communication satisfaction based on interpersonal
relations play an important part in shaping Euro-American students’ roles, feelings, attitudes,
norms, and societal expectations toward learning (Giroux, 1997).
The first research question investigated the relationship between verbal and nonverbal
teacher immediacy and interpersonal communication satisfaction for both African American and
Euro-American students. The results indicated no relationship between these two constructs.
According to research, “Euro American students attending PWIs and African American students
enrolled in HBCUs apply different sets of formal and informal rules to interact successfully with
instructors” (Gendrin & Rucker, 2002, 2004; Neuliep, 1995; Rucker & Gendrin, 2003, as cited in
Gendrin & Rucker 2006, in press), “to manage academic and social expectations effectively, and
to take advantage of educational opportunities” (Brower & Ketterhagen, 2004; Pascarella &
Terenzini, 1991, as cited in Gendrin & Rucker, 2006, in press).
The second research question investigated the relationship between interpersonal
communication satisfaction and student retention for both African American and Euro-American
students. The t-tests indicated that interpersonal communication satisfaction for the combined
sample produced significant results between interpersonal communication satisfaction and
student retention. When students say “I would like to have another conversation like this one” or
“The other person wanted to genuinely get to know me,” the results indicated that both African
215 Mary L. Rucker & Joanna M. Davis-Showell
American and Euro-American students perceived having positive interpersonal communication
satisfaction which influenced their retention at their respective universities. One possible
explanation for students’ interpersonal satisfaction is that Chen (2002) argues that derived
“communication satisfaction . . . [is] an affective construct that reflects [individuals’] emotional
reaction toward their interaction in terms of the degree it had met or failed to meet their
expectations. The more [an individual’s] communicative expectations were met in an
interaction, the more the person reports feeling satisfied” (p. 134).
The results of this study are consistent with previous work that highlights the importance of
faculty-student relationships with respect to interpersonal communication satisfaction. This study
also provides some evidence that faculty-student interpersonal communication satisfaction is
significantly associated with students' overall college experience. The approaches to using these
communication constructs was first to discern instructor verbal and nonverbal immediacy with
respect to overall interpersonal interactions with students. Second, the interpersonal
communication satisfaction scale delineates how meaning derives from the interactions initiated
from an interpersonal context between instructors and students. Third, this study suggests that
when students are satisfied with teachers’ communication practices and behavior toward them,
then relationships develop. Therefore, as student satisfaction is determined in the development
of interpersonal communication relationships with instructors, interpersonal communication
satisfaction becomes the core contributor to student retention.
Future research should investigate out-of-class interpersonal relational communication
between faculty and student and how it influences student retention. If scholars examine both inclass and out-of-class interactions between instructors and students, perhaps a comprehensive
understanding of how instructor-student interactions affect student retention. Moreover, future
work should examine traditional and non-traditional students individually since student retention
may differ significantly between these two groups at HBCUs and PWIs (c.f., Donohue & Wong,
1997).
Since this study appears to be the first direct study on the influence of instructor verbal and
nonverbal immediacy and interpersonal communication satisfaction and their relative influence
on student retention in both HBCU and PWI settings, these results should be interpreted with
caution. Even though extant literature has addressed instructor verbal and nonverbal immediacy
in both the HBCU and PWI contexts, but have yet to address these constructs in relation to
student retention, these research findings will need to be confirmed or disconfirmed.
Revisiting Teacher Immediacy 216
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Vol. 10, No. 3, pp. 219 – 238.
Communication Experiences of Korean Expatriates in the U.S.:
A Study of Cross-Cultural Adaptation
Yang_Soo Kim
Middle Tennessee State University
Yang-Soo Kim, Ph. D. (University of Oklahoma, 2003) is an Assistant Professor in the
Department of Speech & Theatre at Middle Tennessee State University. Direct all
correspondence to: yskim@mtsu.edu
Cross-Cultural Adaptation 220
Abstract
The present study examines the communication experiences of Korean expatriates in the
United States. Y. Y. Kim’s (1988, 2001) Cross-cultural Adaptation Theory provides the basis
for offering an explanation of the linkage between communication competence and
psychological health of Korean expatriates vis-à-vis American sociocultural milieu. The analysis
uses portions of verbal transcripts obtained through 20 in-depth personal interviews between
February and September 2002. The results show that host language competence, cultural
knowledge, and cultural differences reflected on verbal behavior and work styles are important
sources of psychological challenge for the Korean expatriates. While Korean expatriates are
involved in different communication activities with host nationals and deal with different
realities in and outside work, the positive and genuine relationship with co-workers contribute to
their positive life experience overseas. As Kim’s theory predicts, the overall outcome of the
study affirms that communication is the central force in the adaptation of expatriates by
promoting psychological health in an unfamiliar host cultural environment.
221 Yang_Soo Kim
Introduction
The business environment is becoming increasingly global. To implement global
corporate strategies and manage subsidiaries, many companies dispatch employees, particularly
managerial and professional personnel, on overseas assignments. The number of expatriate
assignments has been increasing and this trend is expected to continue (Windham International,
1998). In 1999, 80% of midsize and large companies sent professionals abroad, and 45%
planned to increase the number of employees on foreign assignment (Black & Gregersen, 1999).
Like other sojourners, business expatriates immerse themselves in a new, unfamiliar cultural
environment. For such employees and their families, adjusting to life overseas poses a
significant hurdle (Black & Gregersen, 1991; Tung, 1988).
Nearly 40% of American expatriates return early (Kealey, 1996), owing to the inability to
adjust to a foreign cultural environment rather than to a lack of technical competence (Stroh,
Dennis, & Cramer, 1994; Kramer, Wayne, & Jaworski, 2001). This retention failure incurs
serious costs to both companies and individual employees. Early termination of just one
expatriate costs an American company as much as $1 million (Shannonhouse, 1996), in addition
to various non-financial costs such as damaged reputation, lost business opportunities, and lost
market or competitive shares (Black & Gregersen, 1991; Copeland & Griggs, 1985; Naumann,
1992; Shannonhouse, 1996). Withdrawal from international assignments is found to be costly
for expatriates and their families as well, resulting in diminished self-esteem, impaired
relationships, and interrupted careers, in addition to a possible adverse impact on qualified coworkers (Stroh, 1995; Tung, 1988).
Practical concerns such as these have been the primary driving force behind an extended
body of sojourner studies. Many studies have approached the phenomenon of expatriate
adjustment from the perspective of “culture shock” (e.g., Oberg, 1960; Ward, Bochner, &
Furnham, 2001). Some studies have generated conceptual models to examine the process and
mechanisms of expatriate adjustment, highlighting the roles of attribution, uncertainty reduction
and expectations (e.g., Black & Mendenhall, 1991; Black, Mendenhall, & Oddou, 1991; Black,
1992). Other studies have identified specific factors that promote expatriate adjustment,
including personality traits (e.g., Harrison et al., 1996; Shaffer et al., 2006;), spousal or family
adjustment (e.g., Black & Gregersen, 1991; Torbiorn, 1982), cultural novelty (e.g., Dunbar,
1994; Stroh, Dennis, & Cramer, 1994; Van Vianen et al., 2004), organizational support (e.g.,
Black & Gregersen, 1991; Gomez-Meija & Balkin, 1987; Kramer & Wayne, 2004; Krell, 2005),
previous international experience (e.g., Selmer, 2002; Takeuchi et al., 2005), and job
characteristics (e.g., Aycan, 1997; Guy & Patton, 1996).
However, driven primarily by practical needs and interests such as selection, training and
repatriation, most expatriate adjustment studies have been descriptive and atheoretical (Aycan,
1997). Factors of interpersonal and mass communication activities and of the host environment
itself have not been examined. As noted by Shaffer, Harrison, and Gilley (1999), such studies
have tended to address only a small number of factors as antecedents while excluding many
other factors that are likely to influence the sojourner adaptation process.
The present study investigates the communication experiences of Korean business
expatriates in the United States to explore qualitative insight into their process of cross-cultural
adaptation. The study examines how the Korean expatriates’ communication experiences are
related to their psychological well-being vis-à-vis their host cultural milieu (i.e., American
society). Specifically, the important related issues were posed as the following three research
Cross-Cultural Adaptation 222
questions: 1) What kinds of contact and communication activities do Korean expatriates have
with local people?; 2) What kind of communication-related difficulties do Korean expatriates
face?; and 3)What is the overall feeling and life experience of Korean expatriates in their host
cultural milieu? The present analysis utilizes verbatim transcripts from face-to-face, in-depth
interviews, conducted in the United States between February and September 2002.
Theoretical Grounding
Guiding this investigation is Y.Y. Kim’s (1988, 2001, 2005) Cross-cultural Adaptation
Theory. Grounded in an open systems perspective, Y. Y. Kim’s theory (1988, 2001, 2005)
approaches cross-cultural adaptation not as a specific analytic unit (or variable) but as the
entirety of the evolutionary process an individual undergoes vis-à-vis a new and unfamiliar
environment. Cross-cultural adaptation is therefore explained in terms of a dynamic interplay of
the person and the environment. By placing adaptation at the intersection of the person and the
environment, Y. Y. Kim defines cross-cultural adaptation as “the entirety of the phenomenon of
individuals who, upon relocating to an unfamiliar sociocultural environment, strive to establish
and maintain a relatively stable, reciprocal, and functional relationship with the environment”
(Y. Y. Kim, 2001, p. 31). Implicit in this definition is the goal of achieving an overall personenvironment “fit” that entails “almost always a compromise, a vector in the internal structure of
culture and the external pressure of environment” (Sahlins, 1964, p. 136).
Based on this systemic conception of cross-cultural adaptation, the theory addresses two
basic questions: (1) What is the essential nature of the adaptation process individual settlers
undergo over time? and (2) Why are some settlers more successful than others in attaining a
level of fitness in the host environment? The first question is addressed in the form of a process
model that presents a three-pronged psychological movement Y. Y. Kim refers to as the stressadaptation-growth dynamic — a movement in the generally forward and upward direction of
increased chances of success in meeting the demands of the host environment. The stressadaptation-growth dynamic is not explained as playing out in a smooth, steady, and linear
progression, but in a dialectic, cyclic, and continual "draw-back-to-leap" pattern. The spiral
model explains that humans, as open systems, have the natural tendency to resist evolution
accompanied by the destruction of the old structure. This tendency manifests itself in various
forms of psychological resistance, such as selective attention, denial, avoidance and withdrawal,
as well as in compulsively altruistic behavior, cynicism and hostility. Yet, no open system can
stabilize itself forever. If it were so, nothing would come of evolution. The state of misfit and a
heightened awareness in the state of stress serve as the very same forces that propel individuals
to overcome the predicament and partake in the active development of new habits. What follows
the dynamic stress-adaptation disequilibrium, according to the theory, is subtle growth. Periods
of stress pass as settlers work out new ways of handling problems, owing to the creative forces of
self-reflexivity of human mentation.
Building on the process model, the theory turns to the second basic question: “Why do
some settlers adapt faster than others?” or “Given the same length of time, why do some settlers
attain a higher level of adaptation?” Integrating various factors addressed by different
investigators as constituting and/or predicting differing levels or rates of adaptive change, Y. Y.
Kim (1988, 2001, 2005) addresses this question in a structural model, depicted in Figure 1. The
core of this structure is the dimension of personal communication, or host communication
competence (Dimension 1), which is defined as the cognitive, affective and operational capacity
223 Yang_Soo Kim
to communicate in accordance with the host communication symbols and meaning systems. This
dimension serves as the very engine that pushes individuals along the adaptive path. Inseparably
linked with host communication competence are the activities of host social communication
(Dimension 2), through which strangers participate in interpersonal and mass communication
activities of the host environment. Activities of ethnic social communication (Dimension 3)
provide distinct, subcultural experiences of interpersonal and mass communication with fellow
co-ethnics. Interacting with the personal and social (host, ethnic) communication activities are
the conditions of the host environment (Dimension 4), including the degrees of receptivity and
conformity pressure in the local population as well as the strength of the ethnic group. The
individual’s predisposition (Dimension 5) — consisting of preparedness for the new
environment, proximity (or distance) of the individual’s ethnicity to that of the natives, and the
adaptive personality attributes of openness, strength, and positivity — influences the subsequent
development in personal and social communication activities.
Together, all of the factors identified above directly or indirectly contribute to explaining
and predicting differential rates or levels of intercultural transformation (Dimension 6) within a
given time period. The theory identifies three key facets of intercultural transformation:
increased functional fitness, psychological health and the emergence of an identity orientation
that reaches beyond a single culture. The level of intercultural transformation, in turn, helps to
explain and predict the levels of all other dimensions. The six dimensions of factors together
constitute an interactive and functional model, in which all the linkages indicate mutual
stimulations (and not unidirectional causations), identified in 21 theorems (see Y. Y. Kim, 2001,
pp. 91-92).
Methods
The present study is based on an analysis of verbatim transcripts from in-depth personal
interviews with Korean expatriates conducted in the U.S. between February and September
2002.
Participants
The participants in this study were Korean expatriate employees working in the U.S. The
Korean expatriate group for this study was comprised of Korean-born employees of U.S.
subsidiaries, joint ventures, overseas branch offices, and multinational corporations located in the
United States.
This study’s aim was to investigate individual expatriates and their
communication and adaptation experiences when they were new to a different host culture; thus,
Korean Americans who were born and raised in the U.S. were not considered for this study.
For the interview, participants were selected by using a quota sampling method. Twenty
Korean respondents were chosen from among those who had completed a questionnaire survey,
based on the respondents’ age and length of stay. (A survey of 106 Korean expatriates was the
first stage of research; findings from the survey are not included for this analysis) (See Y.S. Kim,
2003; Kim & Kim, 2005; Kim & Kim (in press) for findings from the survey). All twenty
Korean interviewees were male. The average age of the Korean interviewees was 39.7 years old
(SD = 5.2 years; Range: 32–50 years) while the average length of stay was 3.5 years (SD = 2.1
years; Range: 5 months - 10 years). Fifteen interviewees had a bachelor’s degree (75%) and five
had a master’s degree (25%). Nine interviewees (45%) had lived in a foreign country before
coming to the U.S. and six had had prior intercultural training (30%).
Cross-Cultural Adaptation 224
The Interview Procedures
All interviews were conducted by the author in Korean, based on a Korean version of the
interview questionnaire. The shared background of the interviewer with the interviewees (ethnic
origin and experience as an expatriate) helped to draw more frank and candid opinions and
Figure 1: Y. Y. Kim’s Structural Model: Factors Influencing Cross-Cultural Adaptation
(Source: Y. Y. Kim, 2001, p. 87). impressions of American people and society from the
respondents. All interviews took place in a conference room or reception hall at their place of
work, during working hours, and took approximately 40 minutes each. Interviews began with an
exchange of personal information (i.e., age, gender, length of stay, education, etc.) after each
interviewee had signed the consent form. All interviews were audiotaped and transcribed in their
entirety, with the written consent of the interviewees.
Interview questions were originally written in English. Interview questions were then
translated into Korean and the Korean version was back-translated into English by a bilingual
Korean. Among the topics covered in the interview, open-ended interview questions dealt with
the main research variables: communication ability and communication-related difficulties with
local people (“host communication competence”), experiences of interacting with local people
(“interpersonal communication”), and overall feelings and positive/unpleasant life experiences in
the host country (“psychological health”).
Regarding host communication competence, questions included different communication
styles the interviewees found between communicating with co-ethnics and communicating with
host nationals: “It is likely you have opportunities to interact with American people both in and
outside of your work. Do you find any differences between communicating with Koreans and
communicating with Americans?” and communication-related difficulties they experienced when
interacting with local people both at work and outside the workplace: “Have you ever
experienced difficulties in communicating with American people in or outside of the work
environment?”. Based on the responses, follow-up questions were used to elicit specific
incidents and typical experiences illustrating these differences and difficulties, along with coping
strategies used to deal with these difficulties.
With respect to interpersonal communication, one question was asked to indicate the
amount of daily interaction with host nationals both at work and outside the workplace: “Of all
your daily conversations (at work or outside work), approximately what percentage of them do
you have with American people?” Another question was asked about the purpose and nature of
these interactions: “In what capacities and for what reasons, both in and out of work, do you
interact with American people?” followed by a question about the types of social activities with
host nationals: “What kinds of socializing do you do with American people?”
225 Yang_Soo Kim
.
Concerning psychological health, the interviewees were asked to describe their positive
and/or unpleasant life experiences while living in the host country: What are some of the
Cross-Cultural Adaptation 226
positive/unpleasant experiences you have had while living in the U.S. so far?” their general
feelings about their life in the host country: “Overall, how are you feeling about your present life
in the U.S. as regards your life experiences interacting with Americans in and outside work?”
and their desire to return to the country after this assignment: “If you have another chance to
work overseas in the future, would you like to come back to the U.S.?”. Follow-up questions
were used to allow the respondents to provide specific reasons why they wanted or did not want
to return to the host country.
Results
Interview data were analyzed based on a portion of the qualitative verbal responses which
were relevant to the interviewees’ personal adaptation experiences in the host environment. The
interviewees’ comments and testimonials in response to the interview questions serve as the
basis for addressing the three research questions posed above: 1) to identify the communicationrelated difficulties that Korean expatriates experience in relating to local people; 2) to investigate
the kinds of contact and communication activities that Korean expatriates have with local people;
3) to identify the overall feelings that Korean expatriates have in their life overseas.
In analyzing qualitative interview data, all questions and responses to open-ended
questions were transcribed in their entirety by the investigator in Korean. After transcription, the
verbatim data were grouped into common categories based on emerging themes of
communication difficulties, interpersonal contact and communication, and overall feelings and
intercultural experiences in the U.S. Before being presented, the findings from the Korean
interviews were translated back into English by the investigator and verified by a Korean
bilingual.
Profiles of Interviewees
A brief profile of five of the twenty interviewees is presented in the following. These five
respondents represent all 20 respondents in terms of geographical area and line of business.
Interviewee #1. He is a male in his mid-forties. He has been in the U.S. for more than
three years. He has a bachelor’s degree and is general manger of a Korean shipping company
and in charge of general administration. He lived in the Netherlands for two years before his
career in the U.S., but has not taken any intercultural training. He commented that his interaction
with local people is limited to coworkers at the shipyard. In addition, the fact that his American
coworkers are all employees under his supervision might affect his relationship with them and
their mutual interaction. He says that as short-term sojourners, expatriates have an experience
merely on the surface, unlike long-term immigrants.
Interviewee #2. He is a forty-year-old male. He earned his master’s degree in the U.S.
and has been in the U.S. for four years. He is the general manager of a shipping company and is
in charge of coordinating the shipping between the Seoul headquarters and overseas customers.
He had never been in a foreign country and never received any intercultural training before he
came to the U.S. He mentioned that one of the most interesting things in his intercultural
experiences is the strong and clear boundary between private and public affairs in business.
Interviewee #3. He is a male in his late forties. He had been in the U.S. for three years
during his first international assignment prior to this one, and had been in the U.S. for nine
months at the time of this interview. He has a bachelor’s degree and is general manager of a
Korean bank, where he handles loans and letters of credit. He had never lived in other foreign
227 Yang_Soo Kim
countries before coming to the U.S. and had not received any intercultural training prior to this
international assignment. He has a positive perception of American society. He commented that
to be mainstreamed into the American society, migrants need to master the host language and
culture. He gave insightful comments on the interview questions as well.
Interviewee #4. He is a male and forty years old. He has a bachelor’s degree and is a
manager of a Korean company. His job includes procurement within the aerospace industry. He
had been in the U.S. for almost three years at the time of the interview. He had never been in
foreign countries and had not received any intercultural training prior to this international
assignment. Due to his work assignment, he mostly interacts with American coworkers daily.
He pointed out that one of the most positive things in his life in the U.S is the well-developed
public education system.
Interviewee #5. He is a male in his early forties. He is a general manager of a Korean
electronics company, in charge of the business and technology division. He had been in the U.S.
more than three years at the time of the interview. Before his current job assignment, he took
part in a company-sponsored overseas language program and on-the-job training in the U.S. for
three months. Although during that overseas program he described his interaction with local
people as “a bad experience,” he described his current overseas life as “a really positive
experience.” Like other Korean interviewees, his interaction with local people is largely limited
to coworkers at work and business relationships.
Communication-related Difficulties
Almost all of the Korean interviewees reported that cultural differences, reflected in
verbal behavior and work style, contribute strongly to difficulties in their interactions with host
nationals. Regarding verbal behavior, one Korean interviewee commented on the informality in
interactions with his supervisor:
Here [in the U.S.], people call each other by their name. I saw people addressing their
supervisor directly [calling their first name]. . . . I am envious of them. . .In Korea, we
almost forget about our name and we go by our titles. . .Besides when they sit talking
with their boss. . .with their feet on the table and listening to their boss. . .and they finish
when they are done. . .There is a clear-cut boundary between private and public setting
[in supervisor and subordinate relations].
One interviewee mentioned the individualistic/direct communication style of American coworkers. This communication style is frustrating because this is different from a Korean style:
I have lived in Korea more than 30 years and I am used to Korean styles [indirect
communication]. . .Sometimes. . . .even if I need him [American coworkers] and want to
ask him questions. . . . if he has no time and it’s not in his scope of work. . . .he turns
down my request very coldly. . . .I wouldn’t be able to follow this part. . . .because this is
not our [Korean] style that we are used to.
Along with different verbal behaviors, cultural differences are reflected in work styles.
According to the Korean interviewees, the American approach to management, based on logic
rather than hierarchy, creates conflicts between Koreans and Americans.
One interviewee commented:
Cross-Cultural Adaptation 228
This might be a cultural difference. In Korean business style, sometimes, prompt
changes should be done by the direction from the top management. It is kind of one way
communication without any explanation. . .However, Americans constantly ask questions
(why?) and seek logical explanation or justification on the issue. . .They [Americans]
want us to follow American business style. . .This might cause some conflict between
two sides. . .Different business practice and way of thinking [Asian style] – Americans
have difficulty understanding it. . ..
Different styles of maintaining business relationships were reported as well. The abrupt
attitude change of an American partner was a great surprise to Koreans, who are familiar with
relationship-oriented business. One interviewee explained:
Even though Americans okayed whatever I say, in some point [there is no more
consensus], they turned away and ceased the business relationship. . .We have worked
together and had a business relationship for a couple of years. . .Koreans tend to try to
work on the contract and business relationship. . .Americans look okay and get along
with business partners well. . .All of sudden. . .they turn away. . .To me it is very cold and
merciless. . .It is different.
Culture differences were also seen in a clear sense of time dividing work from other
times. One interviewee stated, “They [Americans] have a strong sense of privacy. . .a clear
boundary between their private life after work and public life at work. . .So, I should not violate
this. . .For example, after five, it is not a good idea to ask for people [American workers] to go to
dinner even if I am a boss.”
This different work value provides a kind of shock to typical Koreans, who are accustomed to a
corporate system which values hierarchy and has less rigid boundaries between in- and out-ofwork contexts.
Another difference was reported by one Korean interviewee regarding attitudes about
how to deal with an unclear job situation. He explained his difficulty in dealing with American
co-workers:
While Koreans are likely to cope with unexpected situations once they receive job orders,
the Americans always request clear and complete information such as instructions or job
descriptions. For example, they ask, “give me a clear job description. The clear scope of
work or boundary of my authority is not given to deal with things under these
circumstances.” Even though this might be attributed to cultural differences, I think there
is considerable difference in work style between Americans and Koreans.
In addition to verbal behaviors/work styles, another source of intercultural challenges
reported by Korean interviewees is insufficient host language competence and cultural
knowledge. One interviewee explained: “Most of all, it [communication difficulty] is English
[language competence]. Even though expatriates who have a good English competence were
dispatched to the U.S. and had language training, we [expatriates] cannot say our English is
perfect. Setting aside discussing business issues with co-workers at work, we cannot fully
express ourselves when we have a social conversation at the party, which poses a hurdle for us to
get involved in more in-depth conversation.”
One interviewee revealed his frustration related to this language issue:
[W]hen I take the driving license test or when I go to a market. . .Americans believe that
if you are here you should be able to speak English. . .In Korea, if an American speaks
229 Yang_Soo Kim
Korean, Koreans pay more attention to him and try to help him. . .Just because an
American tries to speak Korean, Koreans try to figure out the meaning based on the
context. . .Americans, here when they interact with Koreans or me, they speak English
with the same native tone and accent without considering my position [as a
foreigner]. . .If I don’t understand their English, this is my problem. . . .
Host language competence is not only related to stress and frustration but also related to how
expatriates are treated by local people. One interviewee explained: “As I told you before. . .if we
have trouble communicating with each other. . .then they are unwilling to. . .interact with people
who cannot speak fluent English.”
Another interviewee explained his experience:
When I went to visit the southern part, I could feel that. . .it is an unfamiliar place. . . .
Because of my [accented] English, I feel like they look down on me. . .particularly at the
hotel. I believe that this treatment comes from mainly the lack of language competence.
Of course, there are other factors like skin color. But language is the prominent factor. If
you do not speak the host language [English] fluently, along with your appearance [ethnic
marker], you will be treated based on that.
Along with host language competence, the degree of cultural knowledge is related to difficulty in
Korean expatriates’ interaction with host nationals. One interviewee reported:
In doing business in Korea, we don’t have much social talk after getting into contract.
Here in the U.S., before making a business deal, we need common knowledge to have
social conversation. . . .When I am talking about the current issues that most Americans
are interested in, such as sports, politics, and culture. . . if I do not know much about
these issues, I feel like I am having a wall between me and them [Americans] and our
conversation becomes boring. . . So, I think I should have knowledge about those issues.
Host Interpersonal Communication Contact and Communication Activities
As short-term sojourners, Korean expatriates reported relatively limited interactions and
personal relationships involving host nationals. They reported that their contact with host
nationals was generally limited to coworkers at work or with business partners (e.g., buyer or
seller). They socialized during activities such as golf, a company party or going to church. (See
Kim & Kim, 2005).
Since expatriates work at the company and carry their daily lives outside the organization,
their interaction with host nationals occurs in two different contexts—i.e., in and outside work.
While the Korean interviewees reported positive relationships with coworkers mostly at work,
they also reported different challenging experiences when they interacted with local people
outside work.
One interviewee commented about his positive life experience associating with his
coworkers or business partners:
I believe America is the nice place to live. . . .It is a free country. As long as you keep
the boundaries, you have freedom to do anything. . . . Another thing is our staffs and
coworkers. . . . I don’t know whether my higher position in this company might
contribute to this nice treatment. . .but I know there are many nice people. I am really
grateful for them. . .They [American staff and co-workers] treat me really well. They
Cross-Cultural Adaptation 230
never perceive me as a foreigner but take care of me as part of the team/family at work. I
think that I have such good people at my work.
Another Korean interviewee observed:
I heard Americans are individualistic. So, I presumed that it is very difficult to have a
relationship with Americans because of cultural differences. . . .It takes a while to build
up a close personal relationship apart from business. On the contrary, in my staying here,
if I open my heart first, they open their heart too. I met many people like that. . .
becoming friends. . . .Once we get acquainted. . .become friends. . .I cannot feel any
difference between Americans and Koreans. . . .If I do my best in treating others, that will
work anywhere. It is the same here [in the U.S.]. Our co-workers are like that.
Along with their positive and genuine feelings about interaction with Americans at work,
some other interviewees reported different attitudes and treatment from local people outside
work. One interviewee commented on his life experience when his status is or isn’t disclosed:
In my relationship with people [Americans], in most cases, I meet with people on
business and we exchange our business cards. They are very generous. . . .I could not
have feeling that they treat me differently. If I meet people in another context [outside
work without identifying my position as business person]. . .probably I could sense that
[different treatment]. For example, when I went to play golf by myself, I happened to
team up with some Americans that I have not known.. . . .I could not join their
conversation. . . .something different. After I disclosed myself and position at the
company, they seemed to show interest to me.
Some other interviewees reported unpleasant experiences with local people outside of work.
One interviewee explained:
I have no problem at all when I interact with Americans at work on business. Most of
them treat me favorably and kindly. However, outside work, it might be different. For
example, I had a car wreck. I was turning left on my signal and the other car hit my car
carelessly. It was his fault. Nonetheless, he treated me real badly. I sensed that he
looked down on me and mistreated me because I am an Asian.
Another interviewee reported a similar unpleasant life experience:
. . .At the airport, when I go through the immigration process. . . .well. . . .I believe it is
the same process applicable to everybody. On the one hand, however, if I were an
American, they would not be treating [bothering] me like this, I assume. I felt like they
treat me as if I was desperate to come to this country. . . .I was one of those people
[refugees]. . .As a stranger. . . .as a Korean living in the U.S., this is the part I should
embrace as long as I live in this country. . ..
Most of the Korean interviewees enjoyed their status as expatriates and this played an
important part in their relationship with people at work. However, outside work, when their
minority status with relatively less powerful ethnic group strength stood out, they faced the
reality of unexpected or different attitudes from local people. This might suggest that in
communication activities involving host nationals, expatriates dealt with dualistic worlds – in
and outside work – and they had different feelings depending on the context.
231 Yang_Soo Kim
Psychological health
Most of the interview respondents had very positive impressions about American
society/culture in general. They described their images toward American society/culture as: “a
land of opportunity that hard work should be paid off,” “not corrupted society,” “convenient
societal system for everybody, including minorities,” and “positive individualistic culture
respecting individual rights and privacy.” Coupled with these positive images about the host
society, regarding their overall life in the U.S., the Korean interviewees generally perceived their
intercultural life experience overseas as rewarding and positive.
Almost all of the interviewees replied that they would come back if they have a chance in
the future, because of the positive aspects of American culture/systems and the good living
conditions.
As one of the positive experiences, almost all of the interviewees highly appreciated the
good public education system. One interviewee explained:
I am hoping to come back. . . .The most positive thing is public education. . . .When I
drive my kid to school, I have a chance to talk with teachers. . . .They are so nice. I don’t
know if they treat me kindly because I am a parent. . . .I could not find any discrimination
against my child. . . .If my kid is pretty good at something, they [teachers] always give
compliments and encourage him. There is a big difference in teaching styles between the
U.S. and Korea. Thus, we can raise our kid very ideally in the U.S. here, I
believe. . . .For educational environment. . . it is worthwhile to work overseas like this.
Along with public education, one Korean interviewee indicated the better quality of life in the
U.S. as a rewarding life experience:
I wish I could have a chance to come back again. . .Speaking of the life in the U.S., I
would like to say this, in Korea, with relation to the life and work, I could not have the
chance to self-actualize myself. . . .too much tied up with work. . . .no time to look back
over myself. . . .spend time with coworkers drinking after work. So, the life was very in a
rush. Here, even though I work as much as I did in Korea, I have more time with family.
This is the precious opportunity for me.
Another interviewee reported his adaptive experience:
I think my life is very positive. . . .First time I began my life here in the U.S., I was
feeling uncomfortable. But when I get to know about societal system and adjust myself
well, it is very convenient living. The American lifestyles and customs are very
convenient and comfortable in many aspects. There is no reason for us to reject it.
Along with the predominantly positive experiences, some expatriates commented on their
concerns, such as family (spouse) adjustment, as important challenges during their sojourn:
My wife had a hard time [when she was here first]. . .She is happy now upon hearing that
we will be leaving soon. . . .She is more adapted now. . . .She had a hard time in her first
six months. . . .We lived in a place where there were no friends nearby. . . .She stayed at
home by herself. . . .It is best for Koreans to live in Korea. . . .I see many [Korean]
immigrants. . . .They are rich and own good homes. . . .but I think their life is
hard. . . .Even if I have a chance to immigrate, I would not do that.
Cross-Cultural Adaptation 232
Other interviewees showed concern about the reentry issue for himself and his family after
completing his assignment. Two respondents explained their concerns:
This [America] is the best place for education for children to spend their childhood. One
thing is that they should go back home someday. . . .If they continue to live here, it would
be good. . . .I am really worried about my child at the thought of their readjustment to the
school system in Korea. . . .I am afraid my kid. . .has more difficulty readjusting than
me. . . .This is my concern.
It was a great experience to me. . . .It is positive [about the life in the U.S.]. . .One issue
is that I spent 3 years overseas. . . .connected to [people in] Korea via internet or
phone. . . .In 3 years I have to return, not live here permanently. . . .There is some
disconnection. . . .how this will affect my life at work back home. . . .This is my concern.
Discussion
The purpose of the present analysis has been to examine the communication experience
of Korean expatriates in the U.S. in the process of individual adaptation. Y. Y. Kim’s (1988,
2001) Cross-cultural Adaptation Theory has served as the basis for examining communication
activities which have been posed as three research questions: 1) What kinds of contact and
communication activities do Korean expatriates have with local people? 2) What kind of
communication-related difficulties do Korean expatriates have? and 3) What is the overall
feeling and life experience of Korean expatriates in their host cultural milieu?
The present analysis is based on the data from face-to-face in-depth personal interviews
conducted in the United States between February and September 2002. The results of the study
show that for Korean interviewees, cultural differences have played out in different verbal
behaviors and work styles, which present intercultural challenges. In verbal behaviors,
individualistic/direct communication and informality are revealed as sources of communication
difficulty. Culture differences are also reflected in work styles as there is a clear distinction
between life in and outside work, which presents a challenge to Korean interviewees who are
more used to a collectivistic/relationship-oriented culture which has less-clear boundaries
between private life and public affairs (i.e., work). This cultural orientation even played out
during the interview process. When this investigator conducted the interviews, most of them
took place at the respondent’s workplace during their working hours. This reflects the Korean
culture, which sees private life and organizational tasks holistically.
In addition, two important sources of psychological challenges were revealed – host
language competence, which is related to the quality of treatment by local people, and cultural
knowledge, which could inhibit effective business communication.
In their interaction with host nationals, Korean expatriates seemed to deal with two
worlds in their relationship to host nationals: within- and outside work. Coupled with their
expatriate status, these two different settings presented different realities: Korean expatriates
perceive their interaction with co-workers inside work as meaningful, which contributed to the
positive life experience in their life overseas, but they reported more frustration when they dealt
with Americans/host environment outside of work. This status was also an important factor
influencing the limited perception of expatriates as short-term sojourners, which was reported by
some of the Korean interviewees. One interviewee commented about this limited perception
colored by a “traveler’s mentality”:
My perception [about host interpersonal ties and the host environment] is very positive.
233 Yang_Soo Kim
However, my viewpoint may be skewed. I mainly interact with American managers at
work and have no interaction with the Korean community. The reality other immigrants
face in daily context might be totally different from mine. . . .In 2-3 years, as short-term
sojourners, we are going back home [Korea]. We do not take the life here serious that
much regardless of life situations. . .kind of life of sojourners. . . .Therefore, we might be
in the position to perceive the American society in rather more positive light.
Most of the Korean interviewees perceived their life overseas as very positive and rewarding.
They reported on the public education system and privileges they could enjoy from the host
system as expatriates, as well as on some concerns, like family adjustment and reentry shock.
Theoretically, even though expatriates as short-term sojourners might have different
motivations as compared with long-term immigrants, the study clearly shows that cross-cultural
adaptation occurs through communicative interaction vis-à-vis their host cultural milieu. Most
of the Korean interviewees said that the promotion of their host language competence and host
cultural knowledge is related to their overall psychological well being in their life overseas. In
addition, although the context and interaction partner might be important factors for Korean
expatriates’ interaction with local people (i.e., in and outside business), meaningful ongoing
relationships with co-workers at work is related to the overall positive life experiences of Korean
expatriates. As predicted by Kim’s cross-cultural adaptation theory, it shows the centrality of
communication in the process of adaptation in their expatriation. There is a reciprocal
relationship between communication and psychological health. One Korean interviewee
explained his adaptive change in the process of adaptation:
It has been changed a lot. At that time [when he began his life in the U.S.], the life in the
U.S. . . well. . .I was scared. It has not been long since I came to the U.S. . .
uncomfortable. . . . When I interacted with Americans, if something unexpected happens,
how could I deal with the situation?. . .I was nervous. What should I do? Now two years
have passed. I might be able to deal with the unexpected situation. . . .I can express
myself clear. . . .I [can] get what I want to get. . . .Even in hard situations, I can explain
my situation effectively. So, as compared with before, I cannot feel any difficulty
anymore.
Methodologically, the present study uses interviews to describe the communication and
life experiences of Korean expatriates in the American cultural milieu. This emic perspective of
using in-depth personal interviews yields richer information on the practical aspects of
participatory experience in the field and allows the researcher to have a clearer understanding of
the participants’ reality, i.e., the personal and authentic experiences of expatriates living in a
different host cultural milieu. This provides accounts from the expatriates themselves, which is
closer to the interviewees’ own reality and helps illuminate some relevant facets of the concrete
everyday reality in which expatriates find themselves.
Practically, the present study provides some insights into the adaptation experiences in a
different host cultural environment. The findings show that the expatriates’ knowledge and
understanding of their host culture and active involvement in interpersonal communication with
host nationals will help them to meet intercultural challenges arising from the process of
adjustment. Given that for Koreans host language competence constitutes an important factor in
successful adjustment, and enhancement of active involvement in host interpersonal
communication and treatment by local people beyond a work context, training programs for
Cross-Cultural Adaptation 234
international firms should focus on knowledge and understanding of the host culture and
communication systems, particularly with respect to the language and cultural practices of the
host society. As some of the interviewees reported, family adjustment is another significant
issue in their life overseas. Therefore, companies should take this factor into account when they
dispatch their employees—such as by incorporating it into the training program. Reentry shock
has also been revealed as one of the concerns that Korean expatriates have. Thus, international
companies should seriously consider long-term planning in expatriates’ management, which
incorporates reentry and repatriation. The globalizing trend in business organizations makes the
need for cross-cultural competency more important than ever before (Gertsen, 1990; Mendenhall
& Oddou, 1985; Nauman, 1992). International firms could improve retention by offering
comprehensively designed, extensive training programs to their employees, leading to more
successful overseas business experiences.
Because of the small sample size, the present findings are to be interpreted and
generalized with some caution. They can, however, be made less problematic as consistent
findings are obtained over time across different studies involving a wider ranger of nationalities
working in different countries (e.g., American employees in Indonesia or Swedish employees in
Japan). Furthermore, studies can be done regarding different types of sojourner groups (e.g.,
refugees, immigrants, and international students) in different countries (particularly, a nonWestern cultural context). Also, in addition to communication activities, the study would be
more complete if predisposition and environmental factors were included in future studies.
235 Yang_Soo Kim
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Nollywood: The Influence of the Nigerian Movie Industry on African Culture
Uchenna Onuzulike
Clark University
Uchenna Onuzulike ia a Candidate for Masters of Science in Professional
Communication at Clark University. Please direct all correspondence to:
Uchelike@hotmail.com
Nollywood Influence 240
Abstract
Since its emergence at the turn of the twenty-first century, the Nigerian movie industry
“Nollywood” has had a profound influence on African culture. The Nigerian accents,
style of dress, and behavioral idiosyncrasies, all of which are distinctly Nigeria, are now
being transmitted as images around the globe. The medium of film has come to be
directly associated with the culture industry. In Nigeria such a role for the film industry is
still evolving. However, certain factors are altering the profile of what could be regarded
as the country's culture, while the film industry itself is undergoing a crucial transition.
The corpus of songs and oral literature, festivals, rituals, the traditional religion,
performing arts, music, dance, and indeed, the entire range of artifacts constituting
traditional oral performance of Nigerian culture are represented in Nigerian movies.
241 Uchenna Onuzulike
Introduction
This work highlights the Nigerian movie industry and demonstrates how it
impacts and influences African culture. “We are often reminded that film is a powerful
medium of entertainment and the transmission of cultural values” (Orewere, p.206). In
this study, Nigerian films will be viewed through a relevant theoretical framework deeply
rooted in Nigerian cultural traditions and social texts and a comprehensive methodology
that focuses on the intervening mediations between community life and representation.
Cultures are the creation of human interaction. Culture is something we learn; we
are not born with it. He writes that changes in human society reflect the dynamism of
culture. This dynamism is responsible for constant change in patterns associated with
given cultures, and the multicultural character of most, if not all, societies substantially
widens the range for influence on such cultures (Hall, 2005).
The meeting of cinema and television has created a new reality called videofilm.
There are numerous reasons why Nigerian movie production shifted from celluloid to
videofilm including political, cultural, and economic reasons. However, a primary reason
was concern for safety, as Faris (2002) of Time International noted, “With cities plagued
by armed robbers, few wanted to risk a nighttime outing just to see a movie” (p.1).
Celluloid roll film, also known as motion picture film or raw film stock, consists of long
strips of perforated cellulose acetate on which a quick succession of still photographs
known as frames can be recorded (Barsam, 2004). As the term videofilm implies,
Haynes (2000) says “they are something between television and cinema, and they do not
fit comfortably within the North American structures of either” (p.1). In many ways,
videofilm itself stands for an example of technology that can be used for cultural
explorations and representations mostly for the individuals or groups who cannot afford
celluloid. Nigerian videofilms provide videofilmic (I define videofilmic as relating to or
resembling motion pictures just like cinematic or filmic) representations of Nigeria.
Nigerian videofilms are deeply rooted in Nigerian cultural traditions and social
texts that focus on Nigerian community life. Nigerian videofilm stories are told using
African idioms, proverbs, costumes, artifacts, cultural display, and the imagery of Africa.
The common Nigerian videofilm genres include horror, comedy, urban legend, mythic
parable, love and romance, juju, witchcraft, melodrama, and historical epic. Movie
production helps to determine the differences and transformations that have occurred in
Nigeria. As Roger (1995) states that every society changes over time. Some change
rapidly; others seem to stay virtually unchanged for generations. However slowly, change
does occur.
Haynes (2000) affirms, “The study of Nigerian video films does not fit easily into
the structures of African film criticism in still another way. Studies of African film have
tended to be pan-African, for marketing as well as ideological reasons” (p.9). Pearson
(2001) notes that Nigeria is one of only three countries, alongside India and the U.S.,
where domestically produced movies dominate local viewing.
The emergence of the Nigerian videofilm industry “Nollywood” is a cultural
phenomenon and Nigerian movies serve as a representation of Nigerian culture. The
movie Living in Bondage produced by Ken Nnabue in 1992 set the pace for emergence of
Nollywood (Haynes, 2005; Mbamara, 2004; Onuzulike, 2007; Servant, 2001).
Nollywood is the name given to the Nigeria film industry and it is the highest grossing
Nollywood Influence 242
movie-making industry behind Hollywood and the Indian film industry, “Bollywood,”
respectively (Mbamara, 2005). Though no one could claim exactly how and when the
first time the name “Nollywood” was conceptualized or used to describe the Nigerian
movie industry, according to Haynes (2005), the name “Nollywood” was invented by a
non-Nigerian, first appearing in an article by Matt Steinglass in the New York Times in
2002 and continued to be imposed by foreigners to Nigeria. Haynes (2005) states that
Nollywood is an example of Nigeria living up to its potential role as the leader of Africa.
According to the Nigeria Censor Board, 1,080 videos have been marketed between 1997
and 2000. Most are shot in Pidgin, Ibo, Yoruba, or Hausa - the main languages of
Nigeria’s 250 or so ethnic groups-and then subtitled in English. In this regard, some
locally made films are known to fit this cultural agenda. While Amadi - a 1975 product of
Ola Balogun - demonstrated the beauty of the Igbo Language, Ajani Ogun, also by Ola
Balogun, demonstrated the richness of the Yoruba language and Sheu Umar by Adamu
Halilu, that of the Hausa language (Owens-Ibie, 2005). Nigerian movies hold a very
prominent place in the minds and hearts of most Africans and among the broad variety of
Africans or those of African descent that have been exposed to Nigerian videofilms.
Influence on Ghanaians
Faris (2002) in his article, Hollywood, Who Really Needs It? quotes Chico Ejiro,
who says that Ghanaians and Nigerians are like cousins in terms of their common
experience of being colonized by the British. Nigerian and Ghanaian cinemas are usually
grouped together because of their common colonial history and because their industries
developed in a somewhat similar manner. Nwachukwu Ukadike (1994) in his work Black
African Cinema, states:
Ghana and Nigeria are identical twins. In times of prosperity both
countries have competed against each other or rallied together for a
common cause in the pan-African spirit. In times of adversity both have
expelled each other’s nationals, but even in hard times they still celebrate
an annual soccer competition. Both have experienced successive military
coups and coups d’etat, inept government, and unprecedented looting of
government treasuries by officials, whether clothed in civilian garb or
military uniforms. (p.127)
In his remarks, Chico Ejiro says that in eight years he has directed 80 "home
videos,” and declares that Nigeria also exports its videos, with particular success in
Ghana. The names of the actors and actresses, as well as the roles that they play, are well
known.
Norimtitsu Onishi (2002) of the New York Times in his article “Step side, L.A. and
Bombay, for Nollywood,” a popular Nigerian actress, Kate Henshaw-Neattall, says that
when she visited Ghana, she was surprised about her popularity outside Nigeria and she
said, “I was shocked. People came up to me and said. Aren’t you the Nigerian actress?”
(p. 10). This is evidence of the diverse African audience who patronize Nigerian movies.
This illustrates the impact and the influence of Nollywood on Africans and its culture.
Not all the response has been favorable, McLaughlin (2005) notes, “Nollywood's
influence is so strong across Africa that there's been a backlash against Nigerian movies
243 Uchenna Onuzulike
in nearby Ghana, where police have reportedly been raiding shops selling Nollywood
videos, though it's not clear what laws have been breached. In interview with Williams
says, “They're struggling not to be colonized by Nigerian movies’ (p.1). McLaughlin
states that other countries in Africa are hustling to copy Nigeria: “Uganda is trying to
jumpstart ‘Ugandawood’” (p.1).
Influence on Africans in Africa
Ofe Motiki (2006) of In Mwegi, Botswana's only independent daily newspaper
says that many people love Nigerian videofilms and find them irresistible mostly because
of their familiar story lines. He says that Nigerian movies are a household name all over
Botswana. “Although the whole cinematography of the movies is not of the best quality,
a lot of people are in love with them” (p.1). He notes that the common incorrect use of
adjectives, nouns and verbs are all ignored and laughed at as in most homes people
remain glued to their television sets when these movies are showing. Some say that the
reason they love them is that they can easily relate to them. Motiki writes:
All the movies that are aired on Mnet Africa can be found in various shops
in Francistown [Botswana, a country in Africa] and are so in demand that
even the street hawkers at the bus ranks [bus stations] are cashing in. The
names of the movies are not only appealing but catchy too, names like, the
Corridors of Power, Father and Son, Sharon Stone and many others. (p.1)
Motiki (2006) quotes a Francistown, Botswana resident Kobamelo Mosheno who says
that she began watching them last year and has never stopped:
I don't think I will ever stop watching them and I now know the real
names of all the actors and actresses. I have quite a collection of Nigerian
DVDs at home and when I have enough money to subscribe to DSTV, I
always make it a point to watch Channel 102 because of all the channels
that DSTV offers that is where action happens. (p.1)
Commenting on Nollywood’s influence on African culture on BBC Focus On Africa
magazine, Muchinba (2004) notes:
Nollywood films are packed with simple but dramatic storylines "Ah, you
want to kill me now!" - the woman yanks her hair wildly, her facial
expression alive and contorted dramatically. "No, not me, not today!" Her
body shudders and in seconds, she is transformed into a vicious sleek
mongrel, emitting blood-curdling growls. (p.12)
She goes on to say that this is a scene from a typical Nigerian movie - and in many subSaharan countries, their popularity is growing tremendously, leaving fans burning with a
longing for more. Muchinba adds that the stories tend to be rather plain although very
dramatic and full with emotions: the women wail and are covetous money lovers; the
men are just as emotional and very revengeful:
Throw in a gibbering bone-rattling juju man and Bible-waving preacher
and what you have is a brew of conflict, revenge, trials and tribulations -
Nollywood Influence 244
the likes of which are keeping most Zambians, especially in the capital
city, Lusaka, glued to TV screens for hours on end. (p.12)
Oliver Mbamara (2000), a native of Nigeria and an Administrative Law Judge
with the State of New York, notes that the film industry in Nigeria has grown
tremendously and has established a presence in many African countries. He says that
today, the industry is exporting itself strongly to other parts of Africa.
Mbamara writes that a group of Nigeria actors and filmmakers including Fred
Amata, Olu Jacobs, Genevieve Nnaji, and Omotola Jolade Ekeinde, visited Sierra Leone
and were hosted by the President, Ahmad Tejan Kabbah, and the people of the country. It
was the country’s way of showing appreciation for the role the Nigerian movie industry
has played in helping the Sierra Leoneans heal from the scars of the civil war they went
through in the past several years. Mbamara further states that recent reports show Sierra
Leonean affection for Nigerians and they hold the Nollywood stars in high esteem.
Nigerian filmmakers are now extending their activities to Sierra Leone and other African
countries in order to help build the film industry in any of these countries. Mbamara
states: “Reports have it that the Nigerian film industry is the second highest revenue
earner in Nigeria today” (p.3).
During a BBC (2006) interview with Martin Mangenda, a Zambian citizen, he
said that the main problem with Nigerian movies is that they show too much witchcraft
and black magic, adding that he did not think that all Africans are like that. He stated,
“Mind you, these films are watched by children. Their minds get affected. He said he has
stopped his family from watching them” (p.1).
Influence on the African Diaspora
In an article, Nigerian Film Industry Grows, Adebambo Adewopo (2005),
director general of the Nigerian Copyright Commission, reported that Nigerian
movies are showing real promise...away from home. Nigerian movies provide an
alternative to Western-made movies. The Nigerian movie industry has generated
over $200 million in international sales between 1992 and 2005.
Washington Post staff writer Steven Gray (2003) in his article “Nollywood
Films’ Popularity Rising Among Emigrants” quotes Joy Oreke-Arungwa, a
Nigerian-born consultant now living in Laurel, who has written extensively on the
evolution of sub-Saharan African media, ‘“For us parents, it becomes a reference
book,” she recalled scenes in various Nigerian movies she made a point of
showing her own children. Our kids, when they get here, they get lost, too
Americanized,” she says “These movies show them the other side”’ (p.1). Gray
(2003) resonates with the fast growing emergence of Nollywood in the Diaspora.
He attests:
These English-language Nigerian movies are gaining popularity among
the nation's fast-growing African immigrant population, offering their very
Americanized children a glimpse of African life, particularly the clash of
modernity and traditionalism. (p.1)
245 Uchenna Onuzulike
Interview
In May 2006, I conducted an interview with Ms. Vida Causey, a Ghanaian native,
who resides in the United States, in order to get a perspective on how Nigerian movies
influence African culture. Causey, says that Nigerian movies are fun and interesting. She
states that Nigerian traditional attire is very influential. “I like the elegance of it and I can
relate to Nigerian culture”, she declares. “We discuss about the movies all the time”, she
adds. Furthermore, she claims “the influence of Nigerian movies is too much; even the
pastors are becoming afraid. She says her pastor (an African in the Unites States)
preaches against watching Nigerian movies because that is what everybody is doing
now.” She attests:
A pastor advised us instead of watching Nigerian movies; we should buy
the Sunday sermon and listen to it or keep them to give as a gift to others.
There is competition over there, the pastors want to sell their church CDs
and preaching tapes. The pastors know that their items do not sell as fast
as they wish; therefore, they condemn anything that is not anybody’s fault.
(V. Causey, personal communication, May 27, 2006)
She says further that “100 percent of my friends are dying for the latest Nigerian movies.
You call them on the phone that is what they have been watching,” she declares. She
adds:
I’m concerned about my husband watching those Nigerian movies because
he thinks that everything in the movies is real. Since my husband is from
the United States and does not speak my native language, he thinks that
watching Nigerian movies will teach him and help him connect with
African cultures. (V. Causey, personal communication, May 27, 2006)
Causey says that she does not interact with Nigerian people as much (in the
United States), so Nigerian movies give her an insight about Nigerian culture. She adds,
“Nigerian movies are just like soap opera. Most of the movies depict lives beyond our
reach. Like riches and how to make quick money. They influence our way of thinking
and out way of life.”
This shows how citizens from African countries admire and cherish Nigerian
creativity. Causey says that Nigerian movies are fun and interesting, and give insight
about Nigerian culture. She says that the Nigerian traditional way of dressing is very
influential. She acknowledges that she like the classiness and she can relate to it. She also
says that even the pastors are becoming afraid that Nigerian movies’ influence would
deprive church congregations of time to perform other activities.
The effect Nigeria has on the rest of African culture through the videofilm
medium, which is a unique means of communication and social transformation, cannot be
underestimated.
Movie Analysis
Many people believe that Nigeria is just the way it’s depicted in these Nigerian
videofilms. Most of the videofilms have a supernatural and religious theme including
“juju” and the clash of modern religion with African Traditional Religion. Juju is a cult
Nollywood Influence 246
that is consulted for one reason or another when in need. It is largely psycho-medical
buttressed with the power of the supernatural (Kwabena-Essem, 2006). According to
Ukadike (2002), “Certain elements and codes resonating from a particular culture may
influence film form and film style” (p.22), for example, Mbiti (1999) says “Africans are
notoriously religious and each group has its own religious system of life so fully that it is
not always easy or possible to isolate it” (p.14). The movies such as Christian Marriage
(2002) and Pestilence (2004) show that the Nigerian movie industry is saturated with
religious overtones and undertones. In the movie Christian Marriage the theme has
religious connotations with Christian songs throughout the movie. Also, the same movie
shows commercials and clips of upcoming movies and recently released movies, all of
which show some implications of religion and cults.
Christian Marriage
The movie Christian Marriage (2002) is based on religious and parental influence
in regard to their children’s marriages. Uche, Loretta, and Angela are sisters and their
parents reject any suitor who is not a Roman Catholic. The mother says that that they
must never marry a man who is not a Roman Catholic and that if they marry outside their
church she will die. Uche and Loretta agree and abide to their parents’ view and marry
men they do not love because they worship at the same church and to make their mother
happy. Their marriages later disintegrate and they are unhappily married. Angela refused
to let her parent stop her from marrying a man of her dreams, because of church
affiliation. Despite her parent’s objection, she went ahead and married a man of her
choice. Other denomination’s parents, such as Anglican and Grace of God have similar
problem by refusing their children’s from marring out of love instead church affiliation.
Since Christianity came to Africa, this kind of problem has been an issue. At the end of
the movie, one of the actresses who plays the mother speaks that the lesson of the movie
is parents not to intervene in their children’s marriages and relationships based on
religion.
Pestilence
Pestilence (2004) is said to be based on a true story about a village called
Obinuzo, which was drenched by calamity and disasters because the village had gone
contrary to the law of their ancestors and gods. The villagers were concerned about the
disaster that had befallen them. Consequently, the men of the village met at the village
square to discuss what to do about the mishaps. The village sends ten men to the “evil
forest” to inquire from the gods what they should do to stop the disaster. Out of ten men
who are sent to the evil forest, only three make it back. The other seven died on their way
back from attacks of some sort of spirit in the forest.
The content of these movies show that Nigerian movies are embedded with
religious themes. This is due to the African cultural heritage, which is rooted in religion.
According to Hall (2005), the fact that culture is a symbolic system gives culture both the
power to change and the power over change.
247 Uchenna Onuzulike
Symbolic Convergence Theory
The symbolic convergence theory is used to explore the religious overtones in the
Nigerian movie industry. It offers a possible explanation for similarities between movie
“myths” and opinion trends. The symbolic convergence theory, often known as fantasytheme analysis, is a well-developed theory by Ernest Bormann, John Cragan, and Donald
Shields dealing with the use of narrative in communication (Littlejohn & Foss, 2005).
According to Griffin (1991), "Through symbolic convergence, individuals build a sense
of community or a group consciousness” (p. 34). Since it is difficult to make a causal link
between the fantasy themes of the movies and the parallel trends in public opinion, the
symbolic convergence theory offers a potential explication with at least face validity
(Littlejohn & Foss, p.158). This theory suggests that repeated exposure to the myths and
themes of the movies on Nigerian cultures should influence an individual's perceptions of
Nigerians and African as a whole. Perhaps the better way to evaluate fantasy themes,
then, is in their artistry the creativity, novelty, and wisdom with which they are used,
combined, and formed into visions.
One can recognize a fantasy theme because it is repeated again and again. In fact,
some themes are so frequently discussed and so well known within a particular group or
community that the members no longer tell the whole episode, but abbreviate it by
presenting just a “trigger” or symbolic cue, for example, the depiction of juju in Nigerian
movies. This theory suggests that the repeated exposure to the myths and themes of the
Nigerian movies should eventually influence individual perception of Nigerians and the
reality of Nigerian culture.
Conclusion
Outside Africa’s shores, many stores, web sites, magazines, community
newspapers, and journals are making a remarkable endeavor to promote African culture
in the lands alien to Africans and create awareness to Africans abroad so that while in
their sojourn abroad, Africans would not lose touch with their heritage. This work shows
that Africans and the Diaspora are embracing Nigerian cultural heritage through watching
Nigerian videofilms. The analysis of this work suggests that Nigerian movies are capable
of influencing Africans, impacting their lives.
Given the great influence that Nollywood has over African culture, such effect is
reinforced by a massive consumption of Nigerian movies by Africans living in Africa and
off the shores of Africa. It was proved in this study that many Africans all over the world
watch Nigeria movies. For example, according to the interviews I conducted and the
interviews gathered by the BBC radio that were used in this study, there is interest in
watching Nigerian movies by Nigerians and other Africans both within African and
outside the African continent. Many Nigerian videofilms are filled with religious
overtones; therefore, many Africans see most Nigerians as juju people and other negative
attributions based on what are portrayed in Nigerian movies. These interviews show that
the rest of African countries believe that Nigerians are what are depicted in Nigerian
movies. As would be expected, these films portray values rooted in their countries of
origin. Non-Nigerians (other Africans than Nigerians) think that Nigerian movies are
realistic and they assume that Nigerian movies depict what all of Nigeria really is like.
Nollywood Influence 248
Nigerian videofilms as a representation of Nigerian culture have a great influence on an
entire population of Africans due to similar cultural practices.
Africans are proud of their artistic culture and heritage; as a result, they are
showing appreciation for the significance of their cultural elements by acknowledging
and patronizing the Nigerian movie industry and other related interests of Africa. Movies
that are made in Africa and about Africa help to bridge continents and the people who
live on them, providing critically important points of reference for immigrant people who
are struggling to reconcile dual identities as citizens of their countries of origin and the
new society in which they are trying to adapt and build new lives.
249 Uchenna Onuzulike
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Human Communication. A Publication of the Pacific and Asian Communication Association.
Vol. 10, No. 3, pp. 251 – 266.
The Impact of Gender on Instructor Nonverbal Communication from the
Perspectives of Learner Affect and Learners’ Perceptions of Instructor
Melinda Findley
Texas Tech University
Narissra Punyanunt-Carter
Texas Tech University
Melinda Findley (E.Ed. Texas Tech. University), was a Doctoral Candidate at Texas Tech
University. Narissra Punyanunt-Carter (Ph.D. Kent state University) is an Assistant
Professor in the Department of Communiation Studies at Texas Tech University. Direct all
correspsondence to Melinda Findley; melinda.findley@ttu.edu
Nonverbal Instructional Communication 252
Abstract
Past research on instructor nonverbal behaviors has focused on the effects of immediacy and
dominance on cognitive learning, affective learning, and learners’ perceptions of instructor. This
study built on that research by removing the focus on immediacy and dominance behaviors;
rather, the authors compiled a broad list of nonverbal behaviors representative of those
instructors use in the classroom. Furthermore, student respondent gender and instructor gender
were coded to determine their impact on findings. Key findings included few gender differences
in the student responses; instead, the major difference occurred in the nonverbal behaviors
students identified for male and female instructors.
253 Melinda Fin and Narissra Punyanunt-Carter
Introduction
A girl bats her eyelashes at a boy she’s interested in. A man puts his arm around his
elderly father’s shoulders. A mother raises her eyebrows at her unruly child. Each of these
behaviors exists within the context of a relationship and has meaning in that relationship. In the
same way, a teacher’s nonverbal behaviors have meaning within the context of a teacher-student
relationship (Grant & Hennings, 1971). In fact, “because the teacher is vitally concerned with the
communication of meanings, in the encounter between teacher and student physical motions are
even more significant than in the non-structured encounter between persons” (Grant & Hennings,
1971, pgs. 3-4).
In their 2001 study, Semykina and Rsyhova looked at the extent to which teachers
understand the specific features of nonverbal behaviors. They found that 56 percent of the
teachers in their study recognized only one feature of nonverbal communication, while ten
percent of the teachers could not recognize any features of nonverbal communication. This
demonstrates a need for teachers to better understand what nonverbal behavior is, and how it
impacts their classroom communication.
According to Witt and Wheeless (2001, p. 327), “the communication behaviors employed
by teachers play a strategic role in student learning outcomes.” In the past, teachers’ nonverbal
behaviors have been explored for the role they have on affective learning, cognitive learning, and
student perception of teacher (Andersen, 1979, 1985; Richmond et al., 1987; Witt and Wheeless,
2001; Witt, Wheeless, & Allen, 2004; Mehrabian, 1969, 1971, 1981; Rodriguez, Plax, &
Kearney, 1996; Burgoon, 1994; Coker & Burgoon, 1987; Patterson, 1983; Chamberlin, 2000;
Cappella, 1985; Dovidio & Ellyson, 1985; Harper, 1985; Schwartz, Tesser, & Powell, 1982;
Spiegal & Machotka, 1974; Chesebro, 2003; Thweatt, 1999; Rocca, 2004; and Hendrix, 1997).
For instance, Witt and Wheeless (2001) looked at both verbal and nonverbal immediacy and
their effect on recall, learning loss, and affective learning. Witt, Wheeless, and Allen (2004)
conducted a meta-analysis of 81 studies to examine teachers’ verbal and nonverbal immediacy
and the effect on learning outcomes. Rocca (2004) studied instructor nonverbal immediacy and
verbal aggressiveness as it applied to student attendance. Chamberlin (2000) considered both
immediacy and dominance nonverbal behaviors and the way they affect a teachers’ perceived
trustworthiness.
These studies seem to have a narrow focus on nonverbal immediacy (sometimes paired
with a verbal variable) and / or nonverbal dominance (sometimes paired with a verbal variable).
While the findings of these studies definitely advance scholars’ understanding of the effects of
instructor nonverbal behaviors, the narrow focus of the studies may have caused certain
nonverbal behaviors and their effects to be ignored. The field seems to be lacking in studies that
look at universal nonverbal behaviors, affective learning, cognitive learning, and students’
perceptions of instructor. Furthermore, there appear to be few studies that consider demographic
characteristics of instructors and how those characteristics differentiate the way their nonverbal
behaviors are received. There are a few studies of note that have branched out into this area:
Hendrix (1997) explored nonverbal communication and students’ perceptions of black and white
professors; Arbuckle and Williams (2003) considered age and gender stereotypes when they
looked at the way students evaluate verbal expressiveness and nonverbal vocal qualities of
speakers of varying age and gender; Menzel and Carrell (1999) studied perceived learning,
willingness to talk, verbal immediacy, and nonverbal immediacy and grouped their responses by
student and teacher gender.
Nonverbal Instructional Communication 254
This research is intended to build on the earlier research, while stretching to allow new
information to emerge. The authors followed the lead of earlier scholars in focusing on learner
affect and learners’ perceptions of instructors. The authors veered from previous research in that
the nonverbal behaviors studied were not limited to immediacy or dominance behaviors; rather,
the authors attempted to compile a broad list of nonverbal behaviors that were representative of
those any instructor might use in the classroom. The authors also coded the gender of the student
respondent and the instructor gender so that those variables could be analyzed for their impact on
the findings. It is the authors’ hope that the findings presented in this paper will serve the
scholarly community by adding in a constructive way to the body of knowledge about the effects
instructor nonverbal behaviors. Furthermore, the intent of this research is to provide instructors
with the knowledge to become aware and manage their nonverbal behaviors more effectively. In
effect, instructors may be able to use the findings to develop a prioritized growth plan for their
nonverbal behaviors, based on the emotions they want to foster or avoid, as well as the
perceptions they want to foster or avoid.
Review of Literature
In the following review of literature, previous research has been organized into the
following categories: nonverbal behaviors, instructor nonverbal behaviors and learner affect, and
instructor nonverbal behaviors and learner perceptions of teaching effectiveness.
Nonverbal Behaviors
As humans interact, they commit a steady stream of verbal and nonverbal actions that
send messages about their attitudes, feelings, and personality; conversely, those they
communicate with are left to figure out what the messages mean (Knapp & Hall, 2002). The
spoken word falls into the category of verbal communication and its related studies; all other
actions, including the way verbal language is expressed, fall into the category of nonverbal
studies. Nonverbal communication includes the way humans use social and personal space; the
way humans move their body parts; the way the vocal cords change the quality of the human
voice; and the sounds emitted from the pharyngeal, oral, or nasal cavities (Knapp & Hall, 2002).
Argyle (1988; as cited by Knapp & Hall, 2002) explained that humans use nonverbal
behaviors to express emotion, express an interpersonal attitude, portray their personality, and
manage conversational elements such as demonstrating attention and taking turns in
conversation. Even when a person has an intended message to send using nonverbal behaviors,
the receiver may interpret the meaning in a different way. Mehrabian (1969, 1971; as cited by
Knapp & Hall, 2002) noted three categories of meaning that could be applied to nonverbal
behaviors. The first was immediacy, which he described as a human tendency to evaluate the
behavior as good or bad, positive or negative. The second category of meaning was status;
receivers determine our status, or social position, based on our nonverbal behaviors. The final
category of meaning Mehrabian described was responsiveness; this category describes the
human perception of activity as slow or fast, active or passive.
Grant and Hennings (1971) specifically looked at teachers, and divided teacher nonverbal
behaviors into two categories: instructional and personal. Instructional behaviors are those which
facilitate teaching, such as reading materials for teaching or directing student attention (Grant &
Hennings, 1971). Instructional motions can be further broken down into subcategories:
conducting motions, such as those which control participation or get attention; acting motions,
such as those which emphasize, illustrate, or pantomime; and wielding motions, such as those
255 Melinda Fin and Narissra Punyanunt-Carter
which include “interaction with objects, materials, or parts of the room” (Grant & Hennings,
1971, p. 13). Personal behaviors, on the other hand, include individualized mannerisms or
adjustments, such as tugging on an earlobe when nervous or adjusting a skirt that has ridden too
high (Grant & Hennings, 1971).
Nonverbal Behaviors and Learner Affect
Mottet (2000) discussed learners’ nonverbal responsiveness in terms of immediacy,
because immediacy has been shown to improve affective learning in the classroom (Andersen,
1979; as cited by Mottet, 2000). Mottet (2000) referenced Richmond et al. (1987) as having
identified 14 nonverbal immediacy behaviors including smiling at students, moving around the
classroom while teaching, using a variety of vocal expressions, and having a relaxed body
position while teaching. Andersen, 1985; Burgoon, 1994; Coker & Burgoon, 1987; Mehrabian,
1971; Patterson, 1983 (as cited by Chamberlin, 2000) identified physical closeness, increased
direct body and facial orientation, eye gaze, smiling, head nods, and frequent and animated
gesturing as behaviors that elevate immediacy and involvement in the classroom.
Witt and Wheeless (2001) explained that immediacy has its roots in approach-avoidance
theory. Approach-avoidance theory states that “people approach what they like and avoid what
they don’t like” (Mehrabian, 1981, p. 22; as cited by Witt & Wheeless, 2001). Rodriguez, Plax,
& Kearney (1996) conducted a study to find out how immediacy behaviors impact affective
learning and cognitive learning. The authors found support for the Affective Learning Model,
which states that the connection between teacher nonverbal immediacy and cognitive learning is
mediated by the students’ affective learning (Rodriguez et al., 1996). In effect, teachers use
immediacy nonverbal behaviors in order to get students to like them, which opens the door for
approaching students and increasing their learning (Rodriguez et al., 1996).
Chamberlin (2000) explained that while immediacy nonverbal behaviors can have
positive consequences for teachers, dominance nonverbal behaviors can have the opposite effect.
The author described dominance nonverbal behaviors as those “that reinforce the traditional
hierarchical nature of the teacher-supervisor relationship” (Chamberlin, 2000, p. 355). Nonverbal
behaviors associated with dominance are using a relaxed posture, indirect body orientation,
physical placement (at front of classroom, behind a lectern, etc.), using larger amounts of
physical space, limited eye contact, protection of territory (Cappella, 1985; Dovidio & Ellyson,
1985; Harper, 1985; Mehrabian, 1971; Schwartz, Tesser, & Powell, 1982; and Spiegal &
Machotka, 1974; as cited by Chamberlin, 2000).
Menzel and Carrell (1999) studied perceived learning, willingness to talk, verbal
immediacy, and nonverbal immediacy and grouped their responses by student and teacher
gender. They conducted research with 256 undergraduate students and found that a student’s
willingness to talk in class was positively associated with instructor verbal immediacy and not
related to gender. The amount of learning the student perceived to have taken place, however,
was positively associated with both instructor verbal immediacy and the sex of the instructor
being the same as the student.
Based on the research literature, research question one was posed:
RQ1: If learners are given a list of emotions they experience while in a
classroom, what nonverbal instructor behaviors would they identify as
causing those emotions?
Nonverbal Instructional Communication 256
Nonverbal Behaviors and Learner Perceptions of Teaching Effectiveness
Chamberlin (2000) reported that teachers who displayed nonverbal behaviors of
immediacy and involvement were perceived as likeable, warm, accessible, approachable, having
a positive attitude. Chamberlin (2000) expanded on those findings, and linked nonverbal
behaviors of immediacy and involvement to positive student-teacher relationships, positive
impressions of instructor competence, increased student motivation, increased teacher credibility,
positive teacher evaluations. Thweatt, 1999 (as cited by Rocca, 2004) found instructor
immediacy behaviors to positively affect students’ perceptions of an instructor as competent,
caring, and trustworthy.
Hendrix (1997) explored nonverbal communication and students’ perceptions of black
and white professors. The study participants defined credible instructors as either knowledgeable
or knowledgeable and a good teacher (Hendrix, 1997). In terms of perceived differences in black
and white instructors, the students listed the same verbal and nonverbal behaviors demonstrating
credibility for both black and white professors (Hendrix, 1997). Hendrix (1997) did report that
students looked for more evidence of academic and experiential credentials before deeming
black instructors credible.
Arbuckle and Williams (2003) considered age and gender stereotypes when they looked
at the way 352 undergraduate students evaluate verbal expressiveness and nonverbal vocal
qualities of speakers of varying age and gender. The authors controlled for visual cues by using
an audiotape of a professor speaking, and presenting the material identically (Arbuckle &
Williams, 2003). Students’ evaluations of speaking enthusiastically and using a meaningful voice
tone during class lecture were higher for instructors they perceived as young and male than they
were for instructors they perceived as young and female, old and male, and old and female
(Arbuckle & Williams, 2003).
One concept that has not been discussed with relevance to students’ perceptions of
teachers is that of communal and agentic characteristics. These terms come from the study of sex
stereotypes and social roles. Traditionally, women have been thought to exhibit communal
characteristics which cause them to be viewed as warm, giving, cooperative, and focused on
interpersonal relationships; men have been thought to exhibit agentic characteristics which cause
them to be viewed as independent, task-oriented, dominant, and competitive (Bem, 1974, Eagly,
1987, and Gilligan, 1982; as cited by Myers et al., 2005). This raises questions about whether
students’ perceptions of teachers can be limited to an immediacy/dominance categorization
without a sub-categorization for teacher sex.
From this body of research, research question two was created:
RQ2: If students are given a list of perceptions they might have of an instructor,
what nonverbal instructor behaviors would they identify as causing those
perceptions?
257 Melinda Fin and Narissra Punyanunt-Carter
Method
Participants
Participants in the present study were 149 students from a large Southwestern university. Of the
149 subjects, 79 (53.0%) were men, 70 (47.0%) were women. The sample consisted of 30
(20.1%) first year students, 37 (24.8%) sophomores, 34 (22.8%) juniors, 33 (22.2%) seniors, and
15 (10.1%) that identified themselves as “other”. In addition, 5 (3.4%) were African-American,
120 (80.5%) were Caucasian, 15 (10.1%) were Hispanic, 3 (2.0%) were Asian/Pacific Islander
and 6 (4.0) classified themselves as “other”. All participants received course credit for their
participation.
Measures
Instructor Nonverbal Communication Questionnaire. In order to assess the
importance of nonverbal communication in the classroom, a questionnaire was created to address
learners’ emotions based on instructor nonverbal behavior and learners’ perceptions of the
instructor based on the instructor’s nonverbal behavior. Participants were randomly given a
questionnaire concerning either a male or female instructor. In addition, participants were
instructed to reflect on how their instructor’s nonverbal communication affects their feelings and
their view of their instructor.
Students were asked 20 fill-in-the-blank statements about their perceptions of their
instructor. The authors used a ten-item, bi-polar design to assess learner affect (feel
important/feel unimportant, feel frustrated/feel content, feel engaged/feel bored, feel nervous/feel
confident, feel comfortable/feel uncomfortable) and a ten-item, bi-polar design to assess
learners’ perceptions of instructor (competent/incompetent, organized/disorganized,
caring/uncaring, trustworthy/untrustworthy, effective/ineffective). For instance, one statement on
the questionnaire stated: “I feel important when instructors _____, _____, and _____.” Each
question had three blanks so that students could pick the top three nonverbal behaviors that they
perceived to answer that particular question. Each statement dealt with one of the feelings or
perceptions listed above.
Students were given a word bank that contained 39 nonverbal behaviors that teachers
typically display in the classroom. The word bank included both instructional motions, such as
moving around the classroom while teaching and nodding head at a student, and personal
motions, such as blushing and drumming fingers. Students could pick from any of the 39
nonverbal behaviors to complete their questionnaire. Cronbach’s alpha for the scale was .70.
Data Analysis
In order to identify differences for each of the statements, a multiple response analysis
was conducted. Each of the three nonverbal behaviors were categorized together in order to
develop frequencies for each statement. In addition, multiple response cross-tabs were computed
to look at the differences between the sex of the instructor and perceptions of the nonverbal
behavior.
Nonverbal Instructional Communication 258
Results
The first research question looked at which nonverbal behaviors instructors use to make
the students feel a certain way. When students were asked what nonverbal instructor behaviors
make them feel important, the top three answers were show attention on face when I speak, make
frequent eye contact with me, and smile at me. When the students were asked about feelings of
unimportance, the top three answers were frown at me, drum their fingers, and mumble. When
students were asked about feelings of frustration, the top three answers were mumble, drum their
fingers, and use non-words. When students were asked about feeling content, the top three
answers were speak with varied tone, speak loudly, and stand with relaxed body posture. When
students were asked about feelings of being engaged, the top three answers were moving around
the classroom while teaching, speak with a varied tone and show attention on face when I speak.
When students were asked about feelings of boredom, the top three answers were speak with the
same tone, stand behind desk or podium, and pause in speech. When asked about feelings of
nervousness, the students’ top three answers were shrug, make extended eye contact with me,
and touch my shoulder/arm. When asked about feelings of confidence, the top three answers
were smile at me, show attention on face when I speak, and nod their head at me. When asked
about what nonverbal behaviors instructors use to make students feel comfortable, the top three
answers were smile at me, stand with relaxed body posture, and more around classroom while
teaching. When asked about what nonverbal behaviors instructors use to make students feel
uncomfortable, the top three answers were make extended eye contact with me, touch my
shoulder/arm, and frown at me.
The responses of male and female students were very similar across all emotions. Some
differences did exist, however, in the data gathered for female instructors and male instructors. In
reference to feeling important, unimportant, engaged, bored, confident, and uncomfortable, the
differences between the nonverbal behaviors of male and female instructors were minor. In all of
these cases, students agreed on two of the three top nonverbal behaviors they used to describe
male and female instructors. For two of the emotions, frustration and comfortable, students listed
the exact same top nonverbal behaviors for both male and female instructors. The biggest
differences were found in the nonverbal behaviors students referenced as causing feelings of
contentment and nervousness. These differences are illustrated in Figures 1 and 2.
259 Melinda Fin and Narissra Punyanunt-Carter
Male / Female
Learner Affects
Content
Top three nonverbals (overall):
• Speak with varied tone
• Speak loudly
• Stand with relaxed posture
•
•
•
Female Instructors
Move around room
Smile at student
Speak loudly
•
•
•
Male Instructors
Move eyes around room
Move around room
Stand with relaxed back
Figure 1. Differences in the nonverbal behaviors students identify from male and female
instructors as causing students to feel content.
Nonverbal Instructional Communication 260
Male / Female
Learner Affects
Nervous
Top three nonverbals (overall):
• Shrug
• Extended eye contact
• Touch my shoulder/arm
•
•
•
Female Instructors
Point at student
Extended eye contact
Tap feet
•
•
•
Male Instructors
Lean toward student
Point at student
Touch my shoulder/arm
Figure 2. Differences in the nonverbal behaviors students identify from male and female
instructors as causing students to feel nervous.
The second research question looked at the nonverbal behaviors instructors demonstrate,
and the resulting perceptions students form of those instructors. When asked about perceiving an
instructor as competent, the students’ top three answers were move around the classroom while
teaching, speak loudly, and speak with a varied tone. When asked about perceiving an instructor
as incompetent, the top three answers were pause in speech, use non-words, and grunt. When
asked about perceiving an instructor as organized, the students’ top three answers were move
around the classroom while teaching, stand up straight, and speak loudly. When asked about
perceiving an instructor as disorganized, the top three answers were mumble, use non-words, and
drum their fingers. When asked about perceiving an instructor as caring, the top three answers
were smile at me, show attention on face when I speak, and touch my shoulder/arm. When asked
about perceiving an instructor as uncaring, the top three answers were frown at me, grimace, and
drum their fingers. When asked about perceiving an instructor as trustworthy, the top three
answers were smile at me, show attention on face when I speak, and make frequent eye contact.
When asked about perceiving an instructor as untrustworthy, the top three answers were
mumble, grunt, and smirk at me. When asked about perceiving an instructor as effective, the top
three answers were speak loudly, move around the classroom, and gesture with their arms/hands
while talking. When asked about perceiving an instructor as ineffective, the top three answers
were mumbling, speak with same tone, and use non-words.
The responses of male and female students were very similar across all perceptions.
Some differences did exist, however, in the data gathered for female instructors and male
instructors. In reference to perceiving instructors as incompetent, organized, trustworthy, and
untrustworthy, the differences between the nonverbal behaviors of male and female instructors
were minor. For each of these perceptions, students agreed on two of the three top nonverbal
261 Melinda Fin and Narissra Punyanunt-Carter
behaviors they used to describe male and female instructors. For five of the perceptions –
competent, disorganized, caring, effective, and ineffective – students listed the exact same top
nonverbal behaviors for both male and female instructors. The biggest difference was found in
the nonverbal behaviors students referenced as causing a male or female instructor to be
perceived as uncaring. These differences are illustrated in Figure 3.
Male / Female Learners’
Perceptions of Instructor
Uncaring
perceived as uncaring.
Discussion
•
•
•
Top three nonverbals (overall):
• Frown at student
• Grimace
• Drum fingers
Female Instructors
Frown at student
Tap feet
Drum fingers
•
•
•
Male Instructors
Grimace
Drum fingers
Shrug
Figure 3. Differences in the nonverbal behaviors students identify from male and female
instructors as causing instructors to be
Findings
Overall, participants in this study indicated there were certain instructor nonverbal
behaviors that students perceive as beneficial and some that are unhelpful, regardless of the
gender of the instructor. Instructor behaviors that were generally perceived as positive are
smiling, vocal variation, moving around the classroom, showing attention on face, making eye
contact with students, and standing with a relaxed posture. Instructor behaviors that were
generally perceived as negative are frowning at students, drumming fingers, mumbling, and
using non-words. Students were generally more varied in the nonverbal behaviors they identified
as negative.
These findings seem to partially support the body of research on immediacy, perhaps
providing richer information and insight on behaviors that have not been considered immediate
nonverbal behaviors previously. These findings also support the consideration of a category of
behaviors connected to instructor incompetence; this would encompass the nonverbal behaviors
students referenced when perceiving an instructor as incompetent, disorganized, or ineffective.
The behaviors students listed were neither wholly immediate nor wholly dominant in their
characteristics.
Nonverbal Instructional Communication 262
Also, results revealed that students perceived differences among the nonverbal behaviors
that male and female instructors display in the classroom and the influences of these behaviors
on students’ feelings and perceptions. These differences were particularly evident for students’
feelings of contentment and nervousness and students’ perceptions of instructors as uncaring.
While the gender differences in these areas are striking, so is the lack of difference that was
evident in students’ feelings of frustration and comfort and students’ perceptions of instructors as
competent, disorganized, caring, effective, and ineffective.
Limitations
This study is limited in its generalizability. Due to the fact that all participants were
enrolled in a university at either the undergraduate or graduate level, these findings are limited to
the relationship between college students and their instructors. Furthermore, the results are
limited to the southwest, as nonverbal behaviors and the resulting learner affect and learner
perceptions of instructor may be regional. Finally, the participants in this study were
overwhelmingly Caucasian. There may be differences in the perception of nonverbal cues among
students of other races or cultures. This should be considered in future studies.
This study is also limited in the statistical inferences that can be drawn from its data. The
researchers purposely developed a multiple response survey to increase the depth of data
gathered for each variable. The result of this choice, however, was an inability to analyze the
data using any statistical method more complicated than frequencies and crosstabs. This lessens
the researchers’ ability to speak to strength and power in relation to the findings.
Implications
This study builds on previous research in the areas of nonverbal immediacy and
dominance (Richmond, Gorham, & McCroskey, 1987; Rocca, 2004). Behaviors, such as smiling
at students, moving around the classroom while teaching, using a variety of vocal expressions,
and having a relaxed body position, were verified as being positive by virtue of their connection
to positive learner affects and positive perceptions of instructors. Conversely, this study casts a
shadow of doubt on some behaviors that were previously considered to be immediate nonverbal
behaviors. Participants in this study were conflicted on behaviors such as moving nearer a
student, touching a student on the arm or shoulder, eye contact with students, and gesturing. It
seems these behaviors may sometimes have a negative connotation. This study also raises
questions about whether immediate and dominant nonverbal behaviors alone constitute the full
range of important nonverbal behaviors that instructors should consider. There seemed to be
similarities in the nonverbal behaviors that caused students to perceive an instructor as
incompetent, disorganized, or ineffective.
This study also points to important differences in the gender of the instructor sending the
nonverbal messages. Although the findings of this study don’t point to the reasons the genders
are viewed differently, the findings do cast doubt on the idea that immediacy behaviors have
universal appeal. These findings demonstrate that the gender of the instructor has some bearing
on whether the nonverbal behaviors have positive or negative effects.
Future Research
In order to build on the findings of this study, qualitative research should be conducted to
gain a better understanding of the way students perceive gender differences in instructor
nonverbal behaviors. In-depth interviews or focus groups would provide more specific
information to describe this phenomenon. Furthermore, qualitative methods could also shed light
263 Melinda Fin and Narissra Punyanunt-Carter
on the reason students perceive some nonverbal behaviors in both positive and negative lights. In
order to determine the strength and significance of these findings, future research should attempt
to triangulate findings with quantitative research that can be examined with a Chi-Squared
analysis or by determining strength of correlation or causation.
Summary
Overall, this study raises questions about the practice of labeling a set of behaviors as
positive or negative. Participants in this study indicated that certain instructor nonverbal
behaviors could actually work in both positive and negative ways to impact learner affect and
learner perceptions of instructors. Furthermore, participants in this study revealed important
differences in the way they perceive differences among the nonverbal behaviors that male and
female instructors display in the classroom. These findings indicate a need for further research
into college students’ perceptions of the nonverbal messages male and female instructors display
in the classroom.
Nonverbal Instructional Communication 264
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Human Communication. A Publication of the Pacific and Asian Communication
Association. Vol. 10, No. 3, pp. 267 – 284.
Leader-Member Exchange and Cooperative Communication Between Group
Members: Replication of Lee (1997, 2001) Study on Malaysia Respondents
Hassan Abu Bakar
Universitiy Utara Malaysia
Che Su Mustaffa
Universitiy Utara Malaysia
Bahtiar Mohamad
Universitiy Utara Malaysia
Cooperative Communication 268
Abstract
This study attempts test the affects of superior-subordinate relationships on group
cooperative communication. Based on the Tukey’s HSD multiple comparisons test
indicates that there are significant differences in subordinates’ perceptions of cooperative
communication between in-group and out-group; mid-group and out-group; and between
mid-group and in-group. This study also reveals that the impact of superior-subordinate
relationships were grater on cooperative communication behavior between group
members in Malaysia compared to US respondents. Thus, in a relation-oriented society
like Malaysia, the supervisor may be a more important factor in influencing employee
behavior and attitudes at work group than organization as an impersonal entity. The
consequences of these results were elaborated in details.
269 Hassan Abu Bakar, Che Su Mustaffa and Bahtiar Mohama
Introduction
Very little research has attempted to empirically test the applicability of
management theories such as LMX theory, developed in the US, to other nations. A good
theory is described as having the ability to replicate. However, replication has not been
adequately recognized as a valuable part of theory development (Tsang & Kwan, 1999).
Tsang and Kwan (1999) offer six types of replications along with two dimensions. The
first dimension concerns whether replication employs the same method of measuring
constructs and analyzing data. The second dimension is about the source of data. In this
dimension researchers may conduct a replication just on the data generated or employed
by the study. A combination of the two dimensions produces six type of replication,
which is: 1. Checking of analysis. In this type of replication, the researcher employs
exactly the same procedures used in a past study to analyze the latter’s data set. 2.
Reanalysis of data. The researcher uses different procedures to reanalyze the data of a
previous study. 3. Exact replication. This is the case where a previous study is repeated
on the same population by using basically the same procedures. 4. Conceptual extension.
This type of replication involves employing procedures different from those of the
original study and drawing a sample from the same population. 5. Empirical
generalization. Repeating a past study on a different population, a researcher conducting
an empirical generalization tests how far the results of the study are generalizable to
another population. 6. Generalization and extension. The researcher employs different
research procedures and draws a sample from a different population of subjects. They
further argue that replications do help to support or discredit theories, although they do
not lead to conclusive verification of falsification.
This study attempt to retest the effect of Leader-member exchange theory (LMX)
and cooperative communication based on Lee (1997) study on Malaysia respondents. We
are aware that there are several attempts to test LMX in a country context outside the US,
such as in China (Hui & Graen, 1997; Hui, Law, & Chen, 1999), and Japan
(Wakabayashi & Graen, 1984). For example in Hui et al.’s (1999) study, the authors
contrasted the effects of LMX with the effects of perceived job mobility on in-role
performance and organizational citizenship behavior (OCB) through matching data from
supervisor and subordinates in a major battery manufacturing company in southern
China. Their study replicates studies conducted by Settoon et al. (1996) and Wayne et al
(1997). In both of these studies LMX was found to be related to OCB (Settoon, Bennett,
& Liden, 1996; Wayne, Shore, & Liden, 1997). In another study, based on structural
equation analysis Hui et al. (1999) found that both LMX and perceived job mobility
predicted OCB. This finding is also in line with Tsang and Kwan (1999) argument that
replication of a study could support or disconfirm theories. The impact of LMX quality
and communication behaviors in Malaysian organizations is under researched. This study
will follow Lee (1997) construct and methodology in order to find the generalizability of
his study. In particular this study seeks to verify the LMX and cooperative
communication construct. Similarly this study tests the cross-cultural external validity of
findings reported by Lee (1997) that LMX has a direct impact on cooperative
communication.
Cooperative Communication 270
Review of Literature
Superiors are limited in their time and resources and share their personal and
positional resources differently with their subordinates for job performances (Graen &
Scandura, 1987; Graen & Uhl-Bien, 1995; Graen & Wakabayashi, 1994; Graen,
Wakabayashi, Graen, & Graen, 1990; T. A. Scandura, Graen, & Novak, 1986). As a
result, leaders tend to develop and maintain LMX relationships with their subordinates
that vary in quality ranging from high (in-group), medium (mid-group) and low (outgroup) (Dansereau, Graen, & Haga, 1975; Terri A. Scandura & Graen, 1984; T. A.
Scandura et al., 1986). High-quality exchange relationships sometimes called in-group,
cadre, or partnership are demonstrated by a high degree of mutual positive affect, loyalty,
contribution or obligation to exchange, professional respect, and trust. In contrast, the
opposite is observed in low-quality exchange relationships sometimes called out-group,
hire hands or manager ship (Liden & Maslyn, 1998).
Leader-member exchange (LMX) theory indicates that subordinates in highquality LMX relationships received and report more favorable outcomes than their peers
in low-quality LMX relationships. Duarte et al. (1994) found that poorly performing,
high LMX employees were given favorable ratings, despite their actual performance.
Moreover, Dinesech and Liden (1986) found that high LMX members consistently
received more formal and informal rewards than low LMX members. Low-quality
exchange members may experience a sense of unfairness which gives rise to feelings of
second-class status (Dienesch & Liden, 1986; Duarte, Goodson, & Klich, 1994). In a
separate study, findings suggest that supervisors may afford differing behavior, and thus
possibly use different communication tactics with subordinates in higher quality
exchange relationships than with those in lower quality relationships (Yrle, Hartman, &
Galle, 2003). Subordinates perceptions of superior communication behavior can be
influenced by the outcomes individuals receive. Therefore, compared to subordinates
involved in low-quality LMXs, subordinates in high LMXs are likely to report favorable
communication behavior in their interactions with superiors.
Hypothesis Development
In Lee (1997) study cooperative communication in the work group refers to the
message exchange behaviors designed to facilitate the joint achievement of work group
goals. Tjosvold, Andrews and Jones (1983) suggest that as individual become more
cooperative in attaining work-related goals with other group members, they exchange
more information, more cooperative in resources, show concern and interest in what
others want to accomplish, and provide assistance (Tjosvold, Andrews, & Jones, 1983).
Further it is also argued that individuals’ personalities also affect the cooperative
behavior in working group (Lepine & Dyne, 2001; LePine & Van Dyne, 1998). In
addition, Lee (1997) argued that the one potential influence for cooperative
communication between group members is the quality of leader-member exchange
(LMX) between superiors and subordinates. The cooperative behavior among
organizational members plays an important role in contributing organizational
effectiveness and social relationships. For example, LePine and Van Dyne (2001) study
found that employee initiative through constructive change-oriented behavior contribute
271 Hassan Abu Bakar, Che Su Mustaffa and Bahtiar Mohama
to contextual performance. In another study in health organization settings a cooperative
communication skills intervention program among nursing home staff found to improve
relationships with patient family members (Pilemer et al., 2003). These studies suggest
that the important of cooperative communication behavior in influencing various
organizational outcomes.
Findings from several empirical studies suggest that LMX quality has a strong
impact on social interaction. The differential qualities of LMX have been found to affect
variety communication behaviors between superior and subordinate (Fairhurst, 1993;
Krone, 1992; Mueller & Lee, 2002; Waldron, 1991; Yrle, Hartman, & Galle, 2002).
Earlier research explicated how the quality of LMX affects subordinates’ and superiors’
communication areas such as discourse patterns, upward influence, communication
expectations, cooperative communication, perceived organizational justice, and decisionmaking practices (Fairhurst, 1993; Fairhurst & Chandler, 1989; Krone, 1992; Lee, 1997,
2001; Lee & Jablin, 1995; Mueller & Lee, 2002; Yukl & Fu, 1999). In addition to this, a
recent study indicates LMX and the magnitude of change interact to predict employee
rationality (Olufowote, Miller, & Wilson, 2005). Thus, the quality of relationships that
subordinate have with their superior will determine the types of interactions in the
relationships.
Sias and Jablin (1995) found that differences in the quality of a superior’s
communication exchanges with his or her subordinates have an impact on co-worker
communication. Co-workers are aware of the differential treatment and, in fact, talk
about it. Furthermore, individuals in low versus high quality LMX relationships with
their superior have more conversations about differential treatments with their peers. Sias
(1996) also found that a co-worker conversation about differential treatment by their
superiors serves to create and reinforce social perceptions about differential treatment in
the work group (Sias, 1996; Sias & Jablin, 1995). Superior interaction patterns in highquality LMX relationships typify “open” communication exchanges (leadership) in which
subordinates are afforded greater amounts of trust, confidence, and attention, inside
information, negotiating latitude, and influence without resources to authority. In
contrast, low-quality LMX are “closed” communication systems (supervision) in which
superior use formal authority to force member to comply with prescribed role (Jablin,
1987; Terri A. Scandura & Graen, 1984). As a result, subordinates in low-quality LMX
are restricted in their opportunities to influence decisions, and, hence complain of their
superior’s resistance and unresponsiveness in their attempts to affect change. Based on
these findings it is likely that LMX could affect cooperative communication among group
members.
Although the majority of these studies on the impact of LMX and communication
behaviors take place in the US, a number of studies have also been conducted outside the
US. The findings from these studies have mixed results on the impact of LMX quality
and communication. For example in a cross-country comparisons study based on
communication satisfaction and organizational commitment, Downs et al. (1995)
compared results obtained in US, Australian, and Guatemalan organizations. The
measurement instruments used for this cross-cultural study were: The Down’s
Communication Satisfaction Questionnaire, and the Cook and Wall’s Organizational
Commitment Instrument. The findings of this study suggest that satisfaction with
supervisory communication is a much greater predictor of organizational commitment
Cooperative Communication 272
than that of any other factor such as satisfaction with horizontal communication,
communication climate and top management communication (Downs et al., 1995). These
findings suggest that supervisory behavior is a one of the major factors in effecting
various organizational outcomes, such as organizational commitment.
Findings from another study between communication practices and organizational
commitment in Guatemalan organizations were significant only in an education industry
context. (Varona, 1996). Also, a cross-country study investigating supervisory style and
supervisors’ upward influence with worker satisfaction in the US, Spain, and Mexico
found that there was a relationship between perceived upward influence of the immediate
supervisor and satisfaction of the employees. In this study, however, only Mexican
supervisor influence had an impact on workers satisfaction regardless of the immediate
supervisor’s particular style of management (Page & Wiseman, 1993). Although these
findings based on Spanish speaking countries, but it provides support for the assumptions
that there are cultural differences in superior-subordinate relationships. These
inconclusive findings raise the important issue of the use of research instruments in crosscultural studies. As Varona (1996) argues, more cross culture studies are needed to
develop a better understanding of the influence that cultural factors and organizational
characteristics may have on the internal reliability and factor structure of research
instruments created in a another culture.
Malaysia is a multicultural country in which the major ethnic groups are Malays,
Chinese, and Indians. They cooperate harmoniously in their everyday living. Each of
these ethnic groups maintains its own ethnic identity, practicing their own cultures,
customs, behavior, the language they speak, norms, values and beliefs (Abdul Rashid &
Ho, 2003). Malaysia is fully engaged in the international economy, it retains a distinctive
mix of Asian cultural values. Malaysia cultures are mainly influenced by the Malay social
structure that overlaid by Islamic principles and leavened with British colonial
management philosophies and Chinese and Indian religious and cultural values
(Kennedy, 2002). Generally, all these ethnics groups in Malaysia are motivated by their
affiliation to groups, families, and individuals. Studies indicate that Malay, Chinese, and
Indian Malaysians do not differ significantly. For example there is no significant
differences between Malaysian Malay and Chinese in work related values (Lim, 2001); in
term of cultural differences between ethnics in Malaysia only religiosity construct were
reported to be different (Asma & Lim, 2001); and all Malaysian respond better to
productivity increases if they see benefits ensuing not only to the organization but also to
their family, community and nation (Asma, 1992).
In Malaysian organizational setting study it shows that there is significant
relationships between participation in decision making and organizational commitment
(Razali, 1996); two factors of quality work-life which is development and pay and benefit
were significant in explaining organizational commitment (Razali, 2004); perceived
information cues substantially contributed to job satisfaction; task content properties of
identity, significance and autonomy as well as the interpersonal task attribute of dealing
with others were significant contributors of organizational commitment (Pearson &
Chong, 1997); and the ‘mercenary’ and network culture positively influence the attitudes
toward change among manufacturing employees in Malaysia (Abdul Rashid,
Sambasivan, & Johari, 2003). It also argued that interpersonal relationship and collective
behavior plays an important role in a Malaysian country context than in a US country,
273 Hassan Abu Bakar, Che Su Mustaffa and Bahtiar Mohama
thus we predict that LMX are more likely to influence cooperative communication
behavior among group members (Kennedy, 2002).
Lee’s (1997, 2001) studies among 279 students with work experiences and 270
respondents from various organization found LMX quality has a significant impact on
perceived use of cooperative communication among co-workers. We are also aware that a
few studies based on multiple comparison analysis, found that the quality of LMX has a
direct impact on communication behavior (Lee, 1997, 2001; Lee & Jablin, 1995; Mueller
& Lee, 2002; Yrle et al., 2002, 2003). Based on these findings, it is predicted that LMX
quality may have a similar impact within the Malaysian country context. Thus, in this
study based on Lee’s (1997) study we hypothesize that:
Hypothesis: LMX quality in the Malaysian country context as perceived by
subordinates will have a direct impact on subordinates’ perceptions of a
cooperative communication.
Method
Participants in this study are employees of a media organization in Kuala Lumpur.
The organization is allowed to sell its services to various organizations in Malaysia. The
majority of this organization’s clients are from the local and international media. It
involves in media activities such as providing in-depth reporting that is sold to other
media and business organizations such as banking and information provider agencies. We
choose this organization because English is used as a medium of interactions among its
members.
Survey packets were sent directly to 312 to executives and journalists. The sample
is made up of 205 journalists (65.7%) mainly located in Editorial and Audio Visual
Department and 107 (34.3%) executives who are drawn from various departments. The
rationale for choosing this sample is that all respondents reporting to a specific supervisor
perform essentially identical roles. These roles include covering and reporting events for
journalists and performing various marketing and administration job for executives. A
total of 200 respondents (64.4% rate of return) returned the survey packet. 108 (54%)
respondents were journalists and 92 (46%) were executives. Approximately 52.5% (n =
105) were male and 47.5% (n = 95) were female. Approximately 7% (n = 14) of
respondents worked for the organization for less than one year, 13% (n = 26) have
worked for one to three years, 23.5% (n = 47) have worked between four to six years,
28% (n = 56) have worked between seven to ten years and 28.5% (n = 57) have worked
for more than ten years.
Measurement
The measurement of LMX quality in this study relies primarily on scales from
LMX theory (Liden & Graen, 1980). LMX-7 scale items are used as a measure of LMX
quality. This scale is widely used in the communication literature (Fairhurst & Chandler,
1989). Each item in the scale is measured with a five-point Likert type scale. Pre-test
results for this measurement show that Cronbach’s alphas are .87. Subjects were asked to
indicate the extent to which they agreed with each item on a scale from 1 = strongly
disagree to 5 = strongly agree. Overall the higher the score, the higher the quality of
Cooperative Communication 274
LMX. The mean score of LMX in the present study was 3.38 (Median = 3.43, SD = .72).
Following Lee (1997, 2001) we inspect of the frequency distribution to three equal
proportions. The LMX quality as perceived by subordinates is grouped into three
levels—in-group, middle-group, and out-group. 28.5% respondents are in out-group (n =
57), 34% are in middle-group (n = 68) and 37.5% in in-group (n = 75). Details of this
comparison are shown in Table 1. In addition to this data were test for coding/data entry
errors and tests for normality were conducted for each of the survey items as well as the
constructs that are created by computing individual items. Tests for normality include
kurtosis measures, skewness measures, and visual inspection of histograms. The majority
of items appear to be within normality with kurtosis measures below one, skewness
measures around zero, and normal-shaped histograms.
Table 1: Mean and Standard Deviation Of Out-Group, Mid-Group and In-group
Based on LMX-7 items in Lee (1997, 2001) Studies
Group
N (Lee 1997,2001) M (Lee 1997,2001)
SD (Lee 1997,2001)
Out-group
57 (97, 88)
2.86 (22.19, 3.88)
.37
Mid-group
68 (87, 80)
3.14 (25.38, 4.98)
.41
In-group
75 (95, 92)
3.50 (27.37, 5.56)
.62
The instrument used to quantify cooperative communication in this study was
sourced from Lee (1997). The participants were asked to indicate the degree to which
they agreed with the statement that describe cooperative communication in their overall
interactions with peers in the work group on a scale 1 = strongly disagree to 5 = strongly
agree. Pre-test results for this measurement show that Cronbach’s alphas are .78. The
mean score of LMX in the present study was 22.4 (Median = 22.00, SD = 4.36). The
correlation matrix on LMX and cooperative communication is presented in Table 2 along
with alpha coefficients. All the measures in this study and in the context of this paper
both of LMX constructs and cooperative communication demonstrate good internal
consistency ranging from .87 to .78.
Table 2: Means, Standard Deviations, Reliabilities and Inter-correlations among
study variables
Variables
M
SD
1
2
1. Leader-member exchange (LMX)
23.6 5.04
(.87)
2. Cooperative communication
22.4 4.36
.41* (.78)
*p<.05
Results
This research hypothesis is concerned with the impact of LMX quality on
perceptions of cooperative communication among group members. The participants’
responses were analyzed by an ANOVA procedure. Analyses showed a significant effect
of the quality of LMX on group cooperative communication behaviors, F (3, 197) =
26.79, p < .005 (see Table 3). Result based on raw score of LMX also shows a similar
results, F93, 197) = 17.64, p < .005 (see Table 3).
275 Hassan Abu Bakar, Che Su Mustaffa and Bahtiar Mohama
Lee’s (2001, 1997) studies based on various US organizations (e.g., financial,
education, chemical, communications, high-tech, retail and entertainment) found that
members of in-group LMX relationships perceived their cooperative communication
differently than their middle-group counterparts who in turn, reported significantly
Table 3: Analysis Of Variance
Sum of Squares
Between Group
Within Groups
13.65
45.87
df
Mean Square
F
6.83
.255
26.79*
3
197
greater amounts of cooperative communication than their out-group peers. Tukey’s HSD
multiple comparisons test is applied to gauge the level of similarity between Lee’s (1997,
2001) findings for the US context and the findings in this study in large a Malaysian
organization. The Tukey’s HSD method enables researchers to keeps the Type1 error rate
at .05 for the entire sets of comparison (Pagano, 2001). Result of Tukey’s HSD multiple
comparison test at .05 (see Table 4) indicates similar findings to Lee’s (2001, 1997)
findings, that there are significant differences in subordinates’ perceptions of cooperative
communication between in-group and out-group t (200) = .644, p<. 05, mid-group and
out-group t (200) = .266, p <. 05 and between mid-group and in-group t (200) = .378, p <.
05.
Table 4: Mean Difference Between Group Members Using Tukey’s HSD Multiple
Comparison Compared to Lee’s ( 1997, 2001) Studies
Present Study
Group
Mean 1
Mean 2
Mean 3
Out-group (1)
.266*
.644*
Mid-group (2)
.378*
In-group (3)
*p < .05.
Discusion
As predicted, the quality of LMX affected cooperative communication among
group members. The hypothesis is accepted as predicted and one-way ANOVA test
indicates that the LMX quality has a direct, positive impact on subordinates’ perceptions
of cooperative communication among group members. Lee (2001) describes this finding
as subordinates in low-quality LMX perceived fewer exchanges or less sharing of
information, ideas, and resources with their work group colleagues. On the other hand,
subordinates in high-quality LMX perceived themselves sharing information, ideas and
resources with their colleagues. In addition, this finding enhances and reconfirms our
understanding that perceptions about quality of relationship between subordinate and
their superior do affect frequency of information exchange, sharing ideas and resources,
showing concern and interest in what others want to accomplish, being supportive and
open to each other’s needs, and consulting and discussing issues to reach mutually
satisfying agreements in the work group. Additionally, this finding also endorses
Cooperative Communication 276
pervious findings that suggest in-group and out-group members would form strong
relationships among themselves (Sherony & Green, 2002)
The findings for this study have broadened our understanding of the impact of
cross-country contexts for LMX. Similar to the US country context, our findings suggest
that LMX quality in the Malaysian country context, as perceived by subordinates, will
have a direct impact on subordinates’ perceptions of cooperative communication among
group members. The higher the quality of LMX, the more subordinates report favorable
cooperative communication behavior. These findings are consistent with the theoretical
perspective and prior empirical findings of LMX to communication behaviors and
activities in the superior-subordinate relationship (Graen & Uhl-Bien, 1995; Yrle et al.,
2002, 2003). As with the results from the US country context, subordinates in high
quality relationships enjoy frequent information exchange, sharing ideas and resources,
showing concern and interest in what others want to accomplish, being supportive and
open to each other’s needs, and consulting and discussing issues to reach mutually
satisfying agreements In addition, similar to findings in the US country context, the
respondents in this Malaysian study also experience frequent information exchange,
sharing ideas and resources, showing concern and interest in what others want to
accomplish, being supportive and open to each other’s needs, and consulting and
discussing issues to reach mutually satisfying agreements. As a matter of fact, the quality
of LMX appears to compare greatly to that in the US country context with respect to how
individual subordinates feel about their cooperative communication experiences.
Additionally, this finding raises some interesting possibilities for theoretical
extension of LMX. LMX researchers has not made clear what balance of high and low
quality LMX relationship is optimal for a leader (Graen & Uhl-Bien, 1995; Sparrowe &
Liden, 1997). Although a supervisor might best use their limited time by fostering highquality relationships with only a handful of work group members, there is also an
argument to be made for each member of a team being afforded equal time and similar
opportunities to form high quality relationships. In fact as indicated in this study, LMX
influences the relationship quality among group members, thus it would seem advisable
for managers to develop high-quality LMX relationships with all subordinates. In doing
so, leaders would foster positive work group cooperation such as better information
exchange, sharing ideas and resources, showing concern and interest in what others want
to accomplish, being supportive and open to each other’s needs, and consulting and
discussing issues to reach mutually satisfying agreements which favorably affect other
work attitudes such as organizational commitment or job satisfaction (Harris, Kacmar, &
Witt, 2005)
The finding in this study is also consistent with Kennedy (2002) argument that
Malaysian people seem to put emphasis on interpersonal relationships and collectiveness.
These interpersonal relationships are important determinants of interpersonal interactions
for Malaysian people. Kennedy (2002) asserts that Malaysians are known to value
interpersonal relationships. Therefore, the finding in this study affirms Kennedy (2002)
notation that interpersonal relationships play an even more important role in a Malaysian
country context than in a US country context. This is because this finding suggests that it
is possible that in the Malaysian country context, there is a stronger relationship between
LMX and cooperative communication behaviors than for the US country context
(Kennedy, 2002).
277 Hassan Abu Bakar, Che Su Mustaffa and Bahtiar Mohama
This result also provides external validity for Lee’s (2001, 1997) studies. In
particular, the results of this study support the proposition that LMX exchange quality has
a direct impact on cooperative communication in the Malaysian country context. In
contrast to this finding, some authors argue against external validity across country. For
example, Hui et al. (1999) argued that patterns of relationships identified in one country
cannot be assumed to be invariant across country. The similar findings in both the US and
Malaysia suggest that LMX quality and cooperative communication can transcend
country boundaries. Future, research would benefit from similar studies using samples
from various cultures and nationalities. Further, we also echoing Tsang and Kwan (1999)
that good theory should have an ability to replicate as a valuable part of theory
development that has been demonstrated in this study.
Leader-member interaction is important to organizations. Unfortunately, such
exchanges can also be a leading cause of employee distress. Recent research calls for
leaders to develop higher quality relations with their members, which in turn can increase
communication satisfaction. Scholars have also suggested additional research that focuses
on interaction between leaders and members to better understand how leaders can and
should manage such relationships. However, there is considerable evidence that leaders
and members do not agree about the quality of their relationship. In this article, we
address how leaders can build better relations with their members. Specifically, we
explain how leaders might improve the quality of their relationship with members by
focusing on an interpersonal communication strategy. First, we focus on a competing
values framework to clearly establish the importance of relationship building in effective
management Second, we define communication strategies for building better leadermember relationships by borrowing concepts from rapport management in
sociolinguistics. Finally, we demonstrate how our model of leadership communication
(based on a synthesis of competing values and rapport management theory) explains the
quality of leader-member exchanges.
Conclusions and Suggestions
Findings reported in this study have important practical and theoretical
implications that extend LMX to an Asian context. LMX theory suggests that superiors
are largely responsible for the development of their superior-subordinate exchange
relationships (Danserau, Graen, & Haga, 1975; Danserau & Markham, 1987; Graen &
Scandura, 1987; Graen & Uhl-Bien, 1995). Accordingly, superiors strongly influence
types of communication experiences that subordinates will have by developing and
sustaining different LMX relationships and thus, are primarily responsible for
subordinates’ affective responses to them. Therefore, to improve effective
communication among their subordinates, a superior could offer opportunities to develop
and maintain higher-quality LMX relationships with as many subordinates as possible
(Mueller & Lee, 2002). For example a superior can increase feedback on jobs done by
subordinates. A superior could also facilitate more upward communication and open
communication with all subordinates regardless of their relationship quality or cultural
background.
Cross-culturally, subordinates too can learn about and actively engage in
communication behaviors that positively affect the quality of the LMX relationship with
Cooperative Communication 278
their superiors. They could provide greater competence and performance in tasks by
asking for feedback on their performance from their superiors. They may also do things
that may increase liking and trust and utilize impression management strategies (Mueller
& Lee, 2002). Since the results of this study support the previous findings on LMX
especially in the US country context, they also indicate that in the Malaysian country
context, by improving the quality of LMX with superiors, subordinates are likely to
experience more informal rewards—in this case quality communication behavior from
their superior as an exchange for high perceived LMX quality from subordinates.
Although our study supports LMX and communication research in the US country
context, there are at least two limitations in the current study. First, communication
literature relies heavily on the uni-dimensional LMX-7 scale—that focuses on latitude—
as an indicator of LMX quality. Future research could explore the multidimensionality
issues of LMX—for example communication in organizations and LMX dynamics. As
suggested by Uhl-Bien, Grean & Scandura (2000) and Maslyn and Uhl-Bien (2001),
researchers must begin to empirically test issues related to social exchange in leadermember relationship and by nature communication. This suggestion relates especially to
dyadic communication that is a means of social exchange in the daily operation of
organizations (Maslyn & Uhl-Bien, 2001; Uhl-Bien, Graen, & Scandura, 2000).
Furthermore Dienesch and Liden (1986) describe leader-member relationship
development as a series of steps that begins with initial interaction between the members
of the dyad. Therefore exploring other LMX dimensions such as contribution, loyalty and
affect can guide us to better understanding how LMX evolves in a Malaysian
organization setting.
Secondly, this study was conducted in an organization that has direct involvement
with the Malaysian government. Future research could also consider conducting a study
in a multinational corporation (MNC) or private organization in Malaysia. Such study can
explore whether comparisons between government and private organizations will help us
to better understand cross-cultural effect of LMX.
In sum, the evidence of LMX theory and relationship communication patterns
based on the Malaysian country context in this study improves our fundamental
understanding of LMX effects in communication in differing country contexts. Results
from this study further extend previous findings by empirically testing the cross-country
external validity of existing LMX quality and communication behaviors scales. The result
suggests that LMX quality and communication behaviors are similar in differing country
contexts. Even though the US and Malaysia organization are different—the US has more
emphasis on the individual while in Malaysia there is greater emphasis on collective
culture—this result suggests that the quality of the relationship between superior and
subordinate will have an impact on communication regardless of the country context and
cultural background. The cross-country finding further emphasizes the importance of
communication behavior to an effective work.
This finding also presents some interesting similarities with findings of US
studies. In terms of the LMX association and communication behavior, this finding
supports the results of earlier studies (Lee, 1997, 2001; Lee & Jablin, 1995; Yrle et al.,
2002, 2003). These earlier studies indicated that the quality of a relationship between
superior and subordinate has an impact on a subordinate’s perceptions of their leader’s
communication behavior. In a relation-oriented society like Malaysia, the supervisor
279 Hassan Abu Bakar, Che Su Mustaffa and Bahtiar Mohama
may be a more important factor in influencing employee behavior and attitudes at work
than organization as an impersonal entity.
We hope that our study may contribute to universal understanding of LMX and
superior-subordinate communication in two ways:
1. The LMX-7 scale employed in the current study may serve as a comprehensive
and meaningful measure of leader-member exchange quality.
2. A supervisor as an agent of a system may be as important as an organization in
influencing employees’ perceptions.
In any organization, regardless of the context of institutionalism, a supervisor may
still be psychologically and physically more proximal to employees than impersonal
system. In turn, employees’ attitude towards a supervisor will have stronger impact on
interpersonal communication than employee attitude towards overall communication
system in organization. In an increasingly globalize economic and social environment,
systematic research in different country contexts is needed to test the generality or limits
of existing theories and models that were largely developed in countries like the US with
Anglo-Saxon Western culture and tradition.
Cooperative Communication 280
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Proxemics and its Relationship with Malay Architecture
Abdul Muati Amad
Universiti Putra Malaysia
Arbai’e Sujud
Universiti Putra Malaysia
Hamisah Zaharah Hasan
Universiti Putra Malaysia
Abdul Muati Amad, Ph.D ,Arbai’e Sujud, Ph.D, and Hamisah Zaharah Hasan are faculty
of Modern Languages and Communication in the Communication Department at
Universiti Putra Malaysia. Direct all correspondence to: abmuati@putra.upm.edu.my
Hasan
Proxemics and its Relationship with Malay Architecture 286
Abstract
Proxemics refers to the use of physical space in interactions between
communicators. Obviously, it is fascinating to see how people use the physical space
surrounding them when they communicate or interact in their house. This is especially
true since most communication interactions occur in a place where they inhabit. The
same goes to the Malays, the predominant inhabitant of Malaysia. Traditional Malay
houses were built with distinctive characteristics. The division of the compartments in the
house, the arrangement of the furniture and decorations provide huge space for the
inhabitants to move. Each space determines the content of communication and who are
the participants. For instance what kind of interactions can take place at the porch, the
verandah, the living room, the kitchen and the passageway? This paper attempts to
discuss the relationship between the space in a Malay house and their proxemics.
287 Abdul Muati Amad, Arbai’e Sujud, and Hamisah Zaharah
Introduction
Who are the Malays?
The Malays are ethnic group who inhabit the Malay Archipelago. This region
covers the Peninsula of Malaysia, part of Indonesia, South Thailand, Brunei Darussalam,
and South of the Philippine. Some sources recorded that the ancestors of the Malays were
originally from the lowlands of Cambodia and the Mekong River Delta of South
Vietnam, migrated down south due to shortage of cultivation land and natural resources,
population overcrowding and opportunity to settle in new lands.
The Malays formed the largest population group of multi-racial Malaysia. Out of
the total of 23 million people, the Malays account for about 60 percents, the Chinese 30
percents and the Indians 10 percents.
Malaysia’s constitution penned after gaining its independent from the Great
Britain in 1957 decrees that all Malays are born Muslim. Thus the Malays are devout
Muslims. Even before the formation of Malaysia, Islam has influenced the life of the
Malays for a long time. In fact, the history of Islam in the Malay Archipelago goes back
to the fourteen century. With such a long influence of the religion in their lives, the traces
of Islamic teachings and decrees can be found obviously in their daily routines and
activities. This includes their names, foods, language, attire, arts, songs, dances and
architecture especially their mosques and houses.
The traditional Malay houses
Traditional Malay architecture employs relatively sophisticated architectural
processes ideally suited to tropical conditions such as wide roof overhangs and highpitched roofs. Building on stilts allows cross-ventilating breezes beneath the dwelling to
cool the mosque or house whilst mitigating the effects of the occasional flood.
Additionally this will also ensure safety from possible attack by wild animals such as
snakes and insects in the vicinity of the village.
Figure 1: The Traditional Malay house in a village. (Source: Lim Jee Yuan, The traditional
Malay house. http://tcdc.undp.org/sie/experiences/vol4/Malay house.pdf )
Hasan
Proxemics and its Relationship with Malay Architecture 288
Traditional Malay houses are mainly constructed from natural materials such as
various kinds of timber and bamboo and thatched palm-leaves. The Malays often
constructed their dwellings without any use of metal including nails. Instead they used
pre-cut holes and grooves to fit the timber building elements into one another.
A traditional Malay timber house is almost always in at least two parts: the main
house and the kitchen annex. There is also at least one raised veranda attached to the
house for seated working or relaxation or where non-intimate visitors would be
entertained, thus preserving the privacy of the interior.
For ventilation purposes, the elevation of the house on the stilts and also the wide
windows, holed carvings and slatted panels around the walls plus the high thatch or clay
tile roofs all contribute to the cooling ambience.
Hitherto, these traditional Malay houses can still be seen forming typical scenery
in the rural areas of Malaysia. However, some of these houses in the sub-urban areas
have been renovated to suit modern living. Normally, additional annexation has been
added to the main structure to get larger built-up area. Thus, more rooms could be added
to accommodate bigger and more extended families.
Proxemics
The term proxemics was coined by Edward T. Hall in 1963 (Sheppard, 1996).
Proxemics basically refers to the use of space around us. Ickinger noted that Hall has
defined proxemics in various ways over the years. For instance, in 1963 Hall regarded
proxemics as “… the study of how man unconsciously structures microspace – the
distance between men in the conduct of daily transactions, the organization of space in
his houses and buildings, and ultimately the layout of his towns.” Later in 1964, Hall
redefined proxemics as “… the study of the ways in which man gains knowledge of the
content of other men’s minds through judgements of behavior patterns associated with
varying degrees of spatial proximity to them”. Two years later in 1966 he defined
proxemics as “… the interrelated observations and theories of man’s use of space as a
specialized elaboration of culture.” Finally in 1974, Hall redefined proxemics as “… the
study of man’s transactions as he perceives and uses intimate, personal, social and public
space in various settings while following out of awareness dictates of cultural
paradigms”.
In short from Hall’s definitions, we can conclude that proxemics bring together
the concept of use of space around us and the cultural influence of such usage. Hence
different culture will have different manifestations of proxemics.
Nevertheless, there are two types of proxemics, i.e. physical territory and personal
territory. Physical territory refers to any area controlled and defended by an individual or
group of individuals with emphasis on physical possession (Leather, 1978 and Vargas,
1986). Public territories are places that anybody can enter such as restaurants and
libraries. Home territories are premises that can be entered only by members such as
family members and affiliates of a club or organization. Physical territory also includes
how a boundary is set around a space and the way furniture is arranged in the space.
On the other hand, personal territory refers to “… an area with invisible
boundaries surrounding a person’s body into which intruders may not come” (Sommer,
1979:26). Gershaw (1986) quoted Hall’s four divisions of personal territories. The four
289 Abdul Muati Amad, Arbai’e Sujud, and Hamisah Zaharah
areas are public space, social space, personal space and intimate space. Public space
ranges from 12 to 25 feet. This space is suitable for formal speeches, lectures and
business meetings. Social space refers to distance from 4 to 12 feet, and is used for
communication amongst business associates. This space is also meant for social
gatherings and separating strangers in public areas such as beaches and bus stops
(Sheppard, 1996). Personal space ranges between 1.5 to 4 feet. We normally use this
space to talk to friends and family members. Queuing up at banks and post-office
counters are normally done in this distance. Intimate space however refers to distance
within 1.5 feet. This close range involves a high probability for touching. Thus, the
distance is reserved for telling secrets, whispering, embracing, comforting others and
lovemaking (Gershaw, 1986 and Sheppard, 1996).
Note that physical territory come with visible boundaries whereas personal
territory come with the invisible one.
Proxemics and the Malay Architecture
Researches found that different cultures will have different use of space. One of
the most frequent used of space is definitely in a person’s house. Matela stated that some
cultures believe that space inside the house is important. A house is not only a private
place for the house owner and his family but also more often than not they receive guests.
Thus there is the consideration of social zones within a personal environment in a house.
Therefore in various cultures, the houses will have various designs to produce such
zones. Hence there are rooms for public gatherings, rooms for close friend and relatives,
and private rooms that are even preserved for certain family members only. The same
Figure 2: A layout of a typical traditional Malay house. (Source: Lim Jee Yuan,
The traditional Malay house. http://tcdc.undp.org/sie/experiences/vol4/Malay house.pdf )
Hasan
Proxemics and its Relationship with Malay Architecture 290
goes to the Malays. In constructing their houses, the Malays took into considerations the
various compartments and their functions. A sketch below shows rooms or sections in a
typical traditional Malay house and its functions.
From the layout we can see that a Malay house can be divided into two main
parts, namely the main house and the kitchen annex. The main house is the most
important building block. It consists of the main room, the verandah and the landing.
Activities wise, the main room is used for congregation. Since the Malays are devout
Muslim, they normally pray together in the house. Muslims must offer prayer five times a
day. Besides praying, the main room is also used for meeting and discussions with family
members or relatives, feasts, and adult sleeping. The Malays normally have several
feasts a year like ushering new Muslim year, paddy harvesting, wedding, circumcision
etc. All these important occasion are held in the main room. However, the verandah,
normally attached to the main house is used for entertaining guests and child (boy)
sleeping. Landing, the outer most section of a house is used for relaxing and also
entertaining strangers.
Since the Malays like to sit on the floor and pray in their house, the floor of their
houses must be kept exceptionally clean. Therefore, they must take off their shoes before
getting into the landing area. Shoes are normally left at the staircase. The main house is
mainly for men.
Figure 3: A traditional Malay house showing a main house, a kitchen annex and a
washing place.
The kitchen annex is a place strictly for women. Activities taken place in this
section are like preparing food, cooking and family dining. Guests will be served at the
main house. Kitchen is a restricted area for men. Even the house owner cannot enter the
kitchen when there are women guests in the kitchen. When a couple (husband and wife)
come for a visit, the husband will enter the house from the main entrance at the landing
and be entertained at the verandah by the husband or the eldest son of the house owner.
291 Abdul Muati Amad, Arbai’e Sujud, and Hamisah Zaharah
The wife however will enter the house through the kitchen and be entertained by the wife
of the house owner or the eldest daughter in the family.
Figure 4: A floor plan of a typical Malay house.
The main house is connected to the kitchen by a passage way. This passageway is
used by the ladies for chit-chatting or for some casual discussions between husband and
wife. More often than not this small section of the house is also a place for kids to play
indoor games.
The Malay houses in different areas in Malaysia will have slightly different
design. Nevertheless, the functions of every section remain the same. These differences
even though are not so significant have formed some sort of uniqueness and created
special identity to the regional architecture.
The houses from the northern region for instance have elevated floors and
partitioned hallways to mark the boundaries of certain sections. Nonetheless, the
hallways partitions are opened without any doors, except for the private rooms.
Figure 5: A floor plan of a Malay house from the northern region.
Hasan
Proxemics and its Relationship with Malay Architecture 292
Figure 6: A typical Malay house from the northern region.
Figure 7: A dining place in a Malay house from the northern region. Note the
hallways without doors leading to another section of the house.
However, Malay houses in the eastern region of Peninsular Malaysia were built
with more apparent elevated floors and partitioned with wall and doors. It is noted that
the people from this part of the country are considered more close minded, conservative
and tend to be more closed communities. Thus they prefer to have more privacy in their
Figure 8: A floor plan of a Malay house from the eastern region.
293 Abdul Muati Amad, Arbai’e Sujud, and Hamisah Zaharah
own homes. Nevertheless the houses in this region have a kitchen annex combined to the
main house and seemed like formed of only one block.
Figure 9: A verandah of a Malay house from the eastern region. Note the elevated
floor and wall with doors to separate sections.
On the other hand, the Malay house from the central region shares more or less
the same layout with the houses in the north. The different sections in the house were
separated only by elevated floors and in some cases partitioned hallways. Similar to those
from the northern region, the partitioned hallways are left open without doors except for
the private rooms such as the bedrooms. However houses in this part of the country have
the kitchen annex attached to the main house. Thus the main house and the kitchen annex
looked like one unit.
Figure 10: A floor plan of a Malay house from the central region.
Hasan
Proxemics and its Relationship with Malay Architecture 294
Figure 11: A hallway leading to a free area from a verandah in a Malay house from
the central region. This is an example of a hallway without door or partition
separating sections in the house.
Nonetheless, the Malay houses in the south show some notable differences from
those in the north and central peninsular. In fact the houses in the south are more similar
to those in the eastern peninsular when come to separation of sections. The houses in the
south use walled partitions with doors to separate sections in the main house. However
elevated floors are used to separate sections in the kitchen. The kitchen annex is also
attached to the main house, thus made the two sections integrated.
Figure 12: A floor plan of a Malay house from the southern region.
295 Abdul Muati Amad, Arbai’e Sujud, and Hamisah Zaharah
Figure 13: A Malay house from the southern region. Note the grand stairway to the
house.
Most of the houses in the south are equipped with an attic. The attics were used to
store foods and other household necessities. At times girls were asked to ‘hide’ in the
attic when the family was having feasts. This is because in the past girls were supposed to
be less social and should not be seen mingling around with the guests especially strangers
and outsiders.
Figure 14: A staircase leading to the attic.
Another distinct feature of a Malay house from the south is the concrete main
stairway. The stairways are normally constructed with bricks and cements and decorated
with clay tiles. In the past, some rich house owners even imported the tiles from China.
Thus the main stairway served as a symbol status. The richer the house owner, the bigger
and more elaborate the stairway of his residence.
At any rate, when a person visits a Malay house, he must realize his status. If he is
a stranger to the house owner, he can only be at the landing section. If he is a friend to the
house owner, he can advance up to the verandah. If he has some family ties with the
house owner, he can enter the main room. At any rate, the kitchen remains as a restricted
area unless he is a family member to the house owner or join the family as a son in-law.
Hasan
Proxemics and its Relationship with Malay Architecture 296
A stranger visiting a Malay house will be entertained in the landing area. If he is
alone, he will be sitting cross legged on the floor facing the house owner. If the strangers
come in a group of three or more, they will be sitting in a circle. They can even sit next to
the house owner, close enough until their knees touches each others’ knees. For the
Westerners especially Americans this probably has violated their intimate space. But for
the Malays sitting cross legged this close even with strangers are acceptable. This shows
the Malay’s hospitality as Islam urges Muslims to respect and be kind to their visitors and
to treat their guests openhandedly. But still the boundary is the landing area.
Figure 15: The Malays sit cross legs on the floor in their house.
Conclusion
Observably people from different culture communicate differently. The Malays
are not spared from this uniqueness. The Malays has shaped their culture since the past
thousand years, incorporating several influences such as the Hindus during the Sri Vijaya
and Majapahit Era, the Muslims from the Arab world and India, the Chinese from
mainland China, and finally the Europeans from the West. These cultural influences can
be obviously evidenced in their verbal and non-verbal communication, including their
proxemics. Since most of their communication interactions occur in their living place, the
Malays have their own way of setting up rules and norms patented by the architectural
designs of their houses. Understanding the designs will lead us to appreciating the way
the Malays communicate.
297 Abdul Muati Amad, Arbai’e Sujud, and Hamisah Zaharah
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Human Communication. A Publication of the Pacific and Asian Communication Association.
Vol. 10, No. 3, pp. 299 – 312.
Psychologically Abusive Relationships and Self-Disclosure Orientations
Jacqueline A. Shirley
Texas Christian University
William G. Powers
Texas Christian University
Chris R. Sawyer
Texas Christian University
Jacqueline A. Shirley (M.S., Texas Christian University, 2004) is an adjunct Instructor in the
Department of Communication Studies at Texas Christian University, Fort Worth, TX 76129.
William G. Powers (Ph.D., University of Oklahoma, 1973) is a Professor, and Chris R. Sawyer
(Ph.D., University of North Texas, 1992)is an Associate Professor in the same department.
Direct all correspondence to: w.powers@tcu.edu.
Abusive Relationships 300
Abstract
This study examines gender differences with respect to the relationships between
perceived psychological abuse experienced in dating relationships and several dimensions of
self-disclosure. One hundred sixty-six (62 male, 104 female) undergraduate students completed
the Revised Self Disclosure Scale (RSDS) and the Psychological Abuse Scale (PAS) referring to
their most recent former unpleasant dating partner. Openness, control of depth, positiveness, and
honesty/accuracy dimensions of self-disclosure were negatively related to the level of
psychological abuse experienced during dating. Moreover, the correlation between the level of
psychological abuse and the amount of self disclosure differed for male and female respondents.
Implications for future research in the area of psychological abuse and communication are
presented.
301 Jacqueline A. Shirley, William G. Powers, and Chris R. Sawyer
Introduction
Relational abuse frequently involves inherently communicative acts, such as verbal and
physical expressions of dominance, that result in feelings of guilt, fear and powerlessness among
the victims of abusers (Tolman, 1992). Likewise, social humiliation, hostile interaction, and
issuing orders are other communication actions considered to represent relationally abusive
activity (Hoffman, 1984; Kasper, 1982; Walker, 1979). Described as the “most powerful
coercive technique experienced in a battering relationship” (Walker, 1979, p.172; see also Okun,
1986; Tolman & Bhosley, 1991; Walker, 1984), verbal battering and threats of humiliation or
violence can only occur through acts of communication (O’Leary, 1999). Thus, it is clear that
the psychological dimension of abusive relationships is communicative in its very nature.
Although many researchers agree that effective communication is essential for healthy
intimate relationships (Babcock, Waltz, Jacobson, & Gottman, 1993, Noller 1981; Sabourin,
1991), the lack thereof may permit abusiveness in dating relationships. Consequently,
understanding the association between communicative orientations and perceived relational
abuse would have extensive heuristic significance relative to the initiation and evolution of abuse
in interpersonal relationships. The specific purpose of this study is to examine gender
differences relative to the relationship between perceptions of psychological abuse in
relationships and self-disclosure orientations.
Theoretical Perspective
Psychological Abuse
Recently, a substantial number of studies have examined the communication
implications of psychological abuse (Marcus and Swett, 2002; Harned, 2002; Follingstad and
Dehart, 2000; Katz, Arias and Beach, 2000; O’Leary, 1999). While numerous definitions have
been offered for this construct, psychological abuse is often described as a form of mind control
that employs threats to the physical and social well being of the victim (Hoffman, 1984). For
example, Follingstad and Dehart (2000) report that the psychological abuse displayed by males
to their female spouses tend to cluster into five categories: threats to physical health, control over
physical freedoms, general destabilization (intimidation, degradation,
isolation/restriction/monopolizing, destabilizing perceptions), dominating-controlling
(jealousy/suspicion, isolation/restriction/monopolization, control of personal behavior, emotional
withholding/blackmail, verbal abuse, treatment as inferior), and ineptitude (rigid gender roles,
role failure). Clearly, while there are numerous manifestations of psychological abuse most
reflect “direct infliction of mental harm” or “limits to the victim’s well-being” (Gondolf, 1987, p.
97). Specifically, Loring (1994) indicates that psychological abuse occurs when the essential
ideas, feelings, perceptions, and personality characteristics of the victim are constantly belittled.
Psychological abuse research has focused on a range of relationship levels: high school/
courtship relationships (Foshee, 1996; Bergman, 1992), college-level dating partners (Pipes and
LeBov-Keeler, 1997; Kasian and Painter, 1992; White and Koss, 1991), pre-marital couples
(McLaughlin, Lenord, Senchak, 1992; Makepeace, 1989), and married couples (O’Leary and
Jouriles, 1994; Marshall, 1994). White and Koss (1991) report 80% to 90% of women
experience some type of psychological abuse. Harned (2002) further reports that 82% of women
and 87% of men reported experiencing psychological aggression from a dating partner. For 18-
Abusive Relationships 302
24 year olds, 20% of the dating population reported the presence of violent behaviors (Stets and
Straus, 1990). Further, prevalence of abuse is noted more in relationships where couples are
more committed and have dated longer (Sugarman and Hotaling, 1989; Sharp and Taylor, 1999).
Psychologically abusive relationships are said to have a direct negative impact on
women’s emotional health (e.g., Molidor, 1995; Raymond and Bruschi, 1989). Women in
abusive relationships often report that the psychological impact of belittling and threatening
verbal behaviors have a continuing negative impact on their emotional well-being (Greenfield et
al., 1998; McFarlane, Wilson, Malecha, & Lemmey, 2000; Follingstad, Rutledge, Berg, Hause
and Polek, 1990; Foster, Veale, and Fogel, 1989). In addition, many victims report that the level
of psychological abuse they experienced in these relationships was more damaging than the
physical abuse they endured. Tolman and Bhosley (1991) found that psychological abuse was a
powerful predictor of women’s psychosocial problems. Reports from battered women suggest
that the harmful effects of psychological abuse on self-esteem and recovery are more prolonged
and emotionally devastating (Dobash and Dobash, 1981; Okun, 1986; Walker, 1984). Straus,
Sweet and Vissing (1989) report the more verbal aggression a woman experiences from her
spouse, the greater the probability that she will be depressed. In essence, victims of
psychological abuse have lower self-esteem and negative self-views (Katz, Street and Arias,
1997).
Self-Disclosure
Self-disclosure occurs when one person reveals thoughts, feelings and ideas to another
(Rosenfeld, 1979; Cozby, 1973; Wheeless & Grotz, 1976). The tendency to engage in these
behaviors is predicated on the notion that the target of disclosure is a person of good will
(Jourard, 1971), as typically found in successful dating relationships. Self-disclosure tends to
build trust and increases the likelihood of intimacy in relationships (Rosenfeld, 1979). Trust in
one’s dating partner is clearly antecedent to a willingness to disclose personal information (e.g.
Jourard, 1971; Wheeless and Grotz, 1977; and Wheeless, 1978). Intimacy involves revealing
positive or negative feelings in relationships (Prager, 1995). Intimate relationships are based on
high degrees of depth and intent of self-disclosure.
Self-disclosure is associated with many benefits that are essential to the development and
maintenance of good interpersonal relationships (Rosenfeld, 1979). Self-disclosure has been
associated with need fulfillment and maintaining harmony in close relationships (Prager, 1995).
Additionally, self-disclosure promotes mental health by decreasing self-alienation (Gergen,
1971). Other benefits of self-disclosure include increased attraction, liking, loving (Egan, 1970).
Self-disclosure also involves risks and may result in avoidance. Perceived harmful
consequences form a basis for avoiding self-disclosure. Rosenfeld (1979) found that women
avoid self-disclosure when they wish to avoid personal hurt and problems with the relationship;
and men may avoid self-disclosure to maintain control that would be hampered by selfdisclosure. Baxter and Montgomery (1996) identified four risks associated with self-disclosure:
rejection, reduction of personal autonomy and integrity, loss of control or self-efficacy and
hurting or embarrassing the listener.
Thus, it would be reasonable to assert that generally self-disclosure indating
relationships is precipitated by positive perceptions of one’s dating partners and expectations
ofpositive outcomes from self disclosure. Moreover, this can be further delineated by the five
factors associated with the self-disclosure concept by Wheeless and Grotz (1977): intention (or
303 Jacqueline A. Shirley, William G. Powers, and Chris R. Sawyer
openness), amount, control of depth, positive/negative, and honesty/accuracy. The authors go on
to conclude that higher individualized trust in targets of disclosure (as opposed to lesser trust) is
related to more consciously intended disclosure and greater amounts of disclosure. Wheeless
(1978) found that the amount, depth, and honesty factors were positively related to the perceived
trustworthiness of the partner. Varying degrees of disclosure are clearly related to varying
degrees of perceptions of trustworthiness. Reasoning that as psychological abuse escalates, the
self-disclosure pattern will be appropriately adjusted as a function of decreased trust, the
following hypotheses covering the five factors of self-disclosure were generated:
H1: Perceived psychological abuse and openness of self-disclosure will be negatively
correlated.
H2: Perceived psychological abuse and amount of selfdisclosure will be negatively correlated.
H3: Perceived psychological abuse and depth of selfdisclosure will be negatively correlated.
H4: Perceived psychological abuse and positiveness of
self-disclosure will be negatively correlated.
H5: Perceived psychological abuse and honesty/accuracy of
self-disclosure will be negatively correlated.
Sex Differences
Historically, psychological abuse literature has focused on women’s’ experiences of
abuse. Foshee (1996) indicates that females report more victimization than males. No gender
differences in the amount of victimization from threatening behaviors were found. For males
and females, the most common type of psychological abuse received was emotional
manipulation followed by monitoring (Foshee, 1996). Additionally, females reported more
perpetration than males of emotional manipulation. Reports of psychological abuse may be
minimized by women as a mechanism to reduce stress and anxiety or in fear of retaliation from
her partner (Tolman, 1992). Also, non-traditional women perceived more abuse than traditional
women (DeGregoria, 1987). Men also claim to be victims of abuse, when confronted with their
abusive behavior towards their partner (Foshee, 1996). Tolman (1989); Straus et al. (1989)
report that men are more likely than women to minimize reports of psychological maltreatment
at intake, as compared with their partner’s reports.
Rubin, Hill, Peplau, and Dunkel-Schetter (1980) generally support the notion that women
self-disclose more than men. Additionally, men were found to reveal their strengths while
women are more likely to reveal their fears. Clearly, women are more frequently negatively
impacted by experienced psychological abuse than men.
On the basis of the preceding literature review reflecting the potential impact of sex
differences in the context of psychological abuse, the following generalized research question
was generated:
RQ: To what extent do males and females differ with respect to the relationship between
perceived psychological abuse and self-disclosure factors?
Abusive Relationships 304
Method
Procedures
As part of a larger study, participants were asked to write down the initials of their most
recent former, unpleasant dating partner. Responses to questions about their self-disclosure
patterns and the perceived psychological abusive behaviors displayed by their former dating
partner were then answered relative to that specific relationship. Participation was voluntary and
took place during regular class time. Credit toward a departmental research requirement in the
aforementioned course was awarded for participation in this study.
Participants
Participants (N=166) were recruited from an undergraduate communication studies class
at a southwestern university. There were 104 females and 62 males volunteered for the study.
The mean age for these survey respondents was 19.2 years. The average time since terminating
the negative relationship described above was 12.9 months. The distribution of study
participants by class was; Freshman = 95, Sophomore = 50, Junior = 15 and Senior = 6.
Measures
Psychological Abuse Scale (PAS). The PAS is a 15-item instrument constructed by
Pipes and LeBov-Keeler (1997) reflecting one partner’s perception of the amount of
psychologically abusive activity by their partner. This scale contains items from Straus’ (1979)
Conflict Tactic Scales (CTS) and those published by Hoffman (1984)and Howard, Blumstein,
and Schwartz (1986). The PAS allows for the participants to endorse, on a seven-point Likerttype scale (0 = never; 1 = once; 2 = twice; 3 = three to five times; 4 = six to ten times; 5 = eleven
to twenty times; more than twenty times) how many times their recent, unpleasant former dating
partner behaved in psychologically abusive manners. Pipes and LeBov-Keeler (1997) reported
acceptable reliability for the PAS ( = .89). In the current study, internal consistency was also
acceptable ( = .88).
Revised Self-Disclosure Scale (RSDS). The RSDS measured each respondent’s report of
their self-disclosure to a targeted former dating partner during/following psychological abusive
activity. RSDS is a five-factor self-disclosure instrument with a 7-step Likert-type response
pattern where 1 = Strongly Disagree and 7 = Strongly Agree (Wheeless, 1978). In the Wheeless
(1978) study, internal consistency for the five dimensions ranged from .84 to .91. In the present
study, coefficients for each scale were as follows: Openness of Self-Disclosure = .71, Amount
of Self-Disclosure = .78, Positive/Negative Self-Disclosure = .82, Control of Depth of SelfDisclosure = .76, Honesty/Accuracy of Self-Disclosure = .81, and Psychological Abuse = .87.
Results
Openness of self-disclosure (see table 1) was significantly, negatively correlated with
perceived psychological abuse for the entire sample (r = -.31, df = 165, p < .05), and for males (r
= -.28, df = 65, p < .05) and females (r = -.35, df = 103, p < .05). No significant difference was
305 Jacqueline A. Shirley, William G. Powers, and Chris R. Sawyer
indicated between male and female correlations (Z = .85, p > .05). The analysis provided
substantial support for H1.
Table 1: Openness of Self-Disclosure
________________________________________________________________
Open-All Open-Males
Open-Females
Abusive Actions
Insulting
-.16*
-.07
-.21*
Spiteful
-.18*
-.22*
-.17*
Critical
-.18*
-.02
-.29
Sulked
-.04
-.02
-.05
Stomped Out
-.06
-.16
-.02
Your Guilt
-.21*
-.31*
-.17*
Restrict Yr Interactions -.30*
-.38*
-.27*
Disregarded Yr Feelings
-.27*
-.13
-.24*
Denied Your Perceptions
-.23*
-.15
-.26*
No tenderness
-.08
-.04
-.11
Accused You of Cheating
-.12
-.34*
.00
Issued Orders
-.29*
-.33*
-.30*
Degraded You
-.27*
-.23*
-.30*
Took No Responsibility
-.18*
-.20
-.16*
Unreliable
-.25*
-.17
-.29*
Total Psychological Abuse -.31*
-.28*
-.35*
* p< .05
________________________________________________________________
Amount of self-disclosure (see table 2) was not
Table 2: Amount of Self-Disclosure
_________________________________________________________
Abusive Actions
Amt.-All
Amt.-Males Amt.-Females
Insulting
.02
.20
-.09
Spiteful
.01
.13
.07
Critical
-.04
.19
-.20*
Sulked
.10
.20
.04
Stomped Out
.01
.08
-.04
Your Guilt
-.00
.18
-.10
Restricted Yr Interactions .06
.12
.03
Disregarded Yr Feelings
.06
.29*
-.09
Denied Your Perceptions
.05
.18
-.02
No tenderness
-.02
.18
-.15
Accused You of Cheating
-.01
.13
-.09
Issued Orders
-.01
.03
-.05
Degraded You
.03
.28*
-.15
Took No Responsibility
.14*
.25*
.08
Unreliable
.10
.29*
-.01
Total Psychological Abuse .06
.28*
-.10
__________________________________________________________
• p< .05
Abusive Relationships 306
significantly, negatively correlated with perceived psychological abuse for the entire sample (r =
.06, df = 165, p > .05) nor for females (r = -.10, df = 103 p > .05). However, a significant
positive correlation was indicated for males (r = .28, df = 65, p < .05). A significant difference
was indicted between male and female correlations (Z = -2.31, p < .05). Thus H2 was not
supported.
Control of Depth of self-disclosures (see table 3) was
Table 3: Control of the Depth of Self-Disclosure
_________________________________________________________
Cont-All
Cont-Males Cont-Females
Abusive Actions
Insulting
-.09
-.10
-.07
Spiteful
-.10
-.09
-.11
Critical
-.10
-.13
-.08
Sulked
-.24*
-.30* -.20*
Stomped Out
-.11
-.11
-.12
Your Guilt
-.03
-.04
-.02
Restricted Your Interactions -.08
.04
-.15
Disregarded Your Feelings -.06
-.22* .05
Denied Your Perceptions
-.07
-.16
-.02
No tenderness
-.05
-.23*
.07
Accused You of Cheating
-.04
-.11
.01
Issued Orders
-.01
.04
-.05
Degraded You
.01
-.08
.09
Took No Responsibility
- .17*
-.18
-.18*
Unreliable
-.15*
-.18
-.13
Total Psychological Abuse -.15*
-.19
-.12
______________________________________________________
* p< .05
significantly, negatively correlated with perceived psychological abuse for the entire sample (r =
-.15, df = 165, p < .05) and for males (r = -.19, df = 65, p > .05). The female correlation (r = .12) was directionally supportive but did not approach significance (df = 103, p > .05). No
significant differences were indicated between male and female correlations (Z = .42, p > .05).
The analysis provided support for H3.
Positive self-disclosure (see table 4) was significantly,
negatively correlated with perceived psychological abuse for the entire sample (r = -.22, df =
165, p < .05) and for females (r = -.26, df = 103, p < .05). The correlation for males (r = -.18, df
= 65, NS) was not significant. No significant differences were detected between male and
female correlations (Z = .85, p > .05). The analysis provided support for H4.
307 Jacqueline A. Shirley, William G. Powers, and Chris R. Sawyer
Table 4: Positive/Negative Self-Disclosure
_______________________________________________________________
Abusive Actions
Pos-All
Pos-Males
Pos-Females
Insulting
-.13*
-.10
-.14
Spiteful
-.10
-.14
-.08
Critical
-.19*
.00
-.31*
Sulked
-.12
-.04
-.15
Stomped Out
-.20*
-.15
-.25*
Your Guilt
-.18*
-.07
-.23*
Restricted Yr Interactions -.16*
-.05
-.22*
Disregarded Yr Feelings
-.11
-.12
-.09
Denied Your Perceptions
-.09
-.13
-.05
No tenderness
.03
-.13
.10
Accused You of Cheating
-.11
-.25*
-.04
Issued Orders
-.16*
-.21*
-.16*
Degraded You
-.24*
-.22*
-.27*
Took No Responsibility
-.07
.00
-.08
Unreliable
-.20*
-.21*
-.19*
Total Psychological Abuse -.22*
-.18
-.26*
_______________________________________________________________
* p< .05
The honesty/accuracy of self-disclosure (see table 5) was
Table 5: Honesty/Accuracy of Self-Disclosure
_________________________________________________________
Abusive Actions
Hon-All
Hon-Males Hon-Females
Insulting
-.07
-.12
-.04
Spiteful
.00
-.13
.07
Critical
-.15*
-.19
-.13
Sulked
-.01
.02
-.15
Stomped Out
-.15*
-.09
-.19*
Your Guilt
-.12
-.09
-.13
Restricted Yr Interactions -.13*
-.14
-.14
Disregarded Yr Feelings
-.02
.02
-.03
Denied Your Perceptions
-.06
-.04
-.07
No tenderness
.01
-.02
.03
Accused You of Cheating
-.14*
-.20
-.11
Issued Orders
-.09
-.01
-.17
Degraded You
-.16*
-.21* -.12
Took No Responsibility
-.09
-.09
-.08
Unreliable
-.17*
.07
-.30*
Total Psychological Abuse -.15*
-.12
-.17*
_________________________________________________________
p< .05
Abusive Relationships 308
significantly, negatively correlated with perceived psychological abuse for the entire sample (r =
-.15, df = 165, p < .05) and for females (r = -.17, df = 103, p < .05). The male correlation (r = .12, df = 65, p > .05) was not significant. No significant differences were indicated between
male and female correlations (Z = -1.90, p > .05). The analysis provided support for H5.On four
of the five correlations between self-disclosure factors and perceived psychological abuse no
significant differences were detected in the correlations for males and females. However, males
and females differed with respect to the amount of disclosure. For males the correlation between
the amount of disclosure and perceived psychological abuse by a dating partner was positive (r =
.28) while the correlation for females was weak and negative (r = -.10).
Discussion
As predicted, there were significant negative relationships between the amount of perceived
psychological abuse and the amount of openness of self disclosure, the degree that one controls
the depth of disclosures, the nature of the positive-negative orientation of self-disclosures, and
the extent of the honesty/accuracy in one’s disclosures. Only the amount of self-disclosure was
not correlated with the amount of abuse over the entire sample, likely the result of the differences
in directionality for male and female correlations. It appears that some aspects of disclosure
provide both an opportunity and rationale for abuse by a partner so inclined. Conversely, the
abusiveness by a partner may produce a pattern of caution in self-disclosure by the abuse target.
The relationship between self-disclosure patterns and psychological abuse deserves further
investigation. The effect of abuse on related constructs, such as the impact of abuse on the selfesteem of the abused partner, and the role of coping styles such as repression-sensitization, merit
further examination in this context.
Although four of the five self-disclosure factors were significantly and negatively
correlated with the amount of psychological abuse, the degree of correlation was quite modest.
To further explore this unexpected result, a more detailed examination of the different types of
psychological abuse contained in the measure was conducted by examining each abuse item in
the measure. Each of the four self-disclosure factors related to overall perceptions of abuse was
significantly related to only some of the abusive behaviors—and rarely the same abusive
behaviors. Table 6 displays the number of
Table 6: Self-Disclosure and Psychologically Abusive Actions
______________________________________________________
Disclosure
Number of Related Overall Factor
Factor
Abusive Actions
Correlation
Openness
10
-.31*
Amount
1
.06
Control
3
-.15*
Positive
8
-.22*
Honesty
6
-.15*
_________________________________________________________
* P<.05
309 Jacqueline A. Shirley, William G. Powers, and Chris R. Sawyer
individual abuse actions that maintained a significant negative correlation with each selfdisclosure factor relative to the possible number of 15 abuse actions. A more detailed analysis is
contained in Tables 1—5 in which individual scale items were correlated with the number of
times each abusive action occurred, indicate that some facets of self-disclosure orientation are
associated with particular abuse actions than are others. Future research should attempt to
examine the impact of psychological abuse on particular types of self disclosure behavior.
In addition, future researchers should shift from cross-sectional and descriptive research,
such as the one employed in this study, to more elaborate and experimental designs. The focus of
these studies would be to more fully explicate the causal relations between abuse and selfdisclosure. Moreover, differences in male and female reactions to the abuse of a dating partner
merits further detailed examination. Finally, the emergence of same-sex dating partners as well
as opposite-sex dating partners requires further research to pursue the extent to which the sex
combinations within a dating relationship may impact the evolution and response pattern
associated with abuse and self-disclosure.
Abusive Relationships 310
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Extroversion versus Similarity: An Exploration of Factors Influencing Communication
Accuracy of Social Cognitions
David Dugas
Texas Christian University
William G. Powers
Texas Christian University
Chris Sawyer
Texas Christian University
David Dugas (B.S., Texas Christian University, 2001), graduated as an honors seminar student in
the Department of Communication Studies, Texas Christian University, Fort Worth, TX 76129.
William G. Powers (Ph.D., University of Oklahoma, 1973) is a Professor and Chris R. Sawyer
(Ph.D., University of North Texas, 1993) is an Associate Professor in the same department.
Direct all correspondence to: w.powers@tcu.edu
Sawyer Basic Communication Fidelity: Extroversion 314
Abstract
Although extroversion has been linked to effectiveness in numerous communicative situations, it
is unclear whether this dimension of personality promotes communication competence because
of enhanced levels of expressiveness or through other processes, such as perceived similarities.
Expanding on this theoretical divide, two contrary predictions were advanced representing both
perspectives, i.e., amount of information versus similarity. In the current study, the view that
source extroversion promotes interpersonal accuracy based upon amount of information was
supported rather than the similarity prediction. Implications for future research are discussed.
315 David Dugas. William G. Powers, and Chris
Introduction
Misunderstandings are experienced at every level of human interaction and in every
context, in part, due to the quality of the communication presented by the source (Brandt &
Powers, 1980, Powers and Lowry, 1984a,b). Although many misunderstandings are
inconsequential, some ultimately have serious impact upon the quality of life. Identifying and
understanding the factors that contribute to misunderstandings, or conversely communication
accuracy, is essential to increase the potential for satisfying social relationships.
Powers and Lowry (1984a) defined basic communication fidelity (BCF) as the “degree of
congruence between the cognitions of two or more individuals following a communication
event” (p. 58). The degree of congruence establishes the level of communication accuracy.
Measures of interpersonal communication accuracy, such as BCF (Powers & Spitzberg, 1986),
represent one of the foundational elements of communication competence (McCroskey, 1984).
Early BCF studies involved the communication of tangible cognitions, such as geometric shapes
(Brandt & Powers, 1980, Powers and Lowry, 1984a,b) as the test bed for this construct.
However, the attention of BCF researchers soon turned to social cognitions. This expanded
focus on social cognitions established the reliability and validity of measuring the
communication accuracy of such images in social and professional contexts (Powers & Love,
1989; Powers & Spitzberg, 1986). Later, Kopecky and Powers (2002) found both gender and
relationship level to be factors impacting the communication accuracy of social cognitions. The
current study seeks to enhance understanding of the communication accuracy of social
cognitions by examining two competing explanations related to the ability to acquire higher
levels of self-identity communication accuracy (personality and similarity) in the social
cognition context.
Theoretical Perspective
Extroversion and Interpersonal Accuracy
Since Eysenck's (1967) seminal work, extroversion has been viewed an integral part of
personality and is said to have many manifestations in social life including assertiveness,
gregariousness, cheerfulness, and energy (John & Srivastava, 1999). Extroversion measures an
individual’s tendency to be gregarious, assertive, and sociable while introversion, its bipolar
opposite, describes the tendency to be reserved, timid, and quiet (Antonioni, 1998).
Headey and Wearing (1989) suggest that extroversion predisposes individuals to have
favorable life events in friendship and work, and that these traits lead to a positive sense of wellbeing. McCrae and Costa (1986) argue that extroverts adapt to stressful events more efficiently
than introverts do. Extroverts experience more positive emotions and less negative sentiments
than do introverts (Moberg, 1999). In addition, extroverts are seen as more socially oriented
people. Brown and Hendrick (1971) found that extroverts are generally more popular due to the
fact that they are seen as more interesting, warm, and more influential than do introverts. These
studies point to the idea that extroverts may communicate more effectively with others simply
because they send out more interpretable cues and information than introverts.
Extroverts tend to have strong social skills and a desire to work with others (Antonioni,
1998; McCrae & Costa, 1987). These individuals exude more confidence and assertiveness.
They tend to seek social support from friends when faced with different forms of stress
Sawyer Basic Communication Fidelity: Extroversion 316
(Amirkhan, Risinger, & Swickert, 1995). They draw energy from other people and things
outside themselves. They think by talking out loud and need the company of others to maintain
emotional balance (Kurcinka, 1994). Introverts draw energy from within and need time to reflect
on their experiences to understand them. They need opportunities to watch or listen before
carrying out an act and need time alone before they are ready to share their experiences. This
information supports a proposal stating that extroverts convey more information in a
communication event.
Numerous studies point to specific communication outcomes or behaviors directly related
to differences along the extroversion-introversion continuum. Extroverts talk more than do
introverts (Campbell & Rushton, 1978; John & Srivastava, 1999). Thorne (1987) notes that
introverts and extroverts have distinctive communication styles and tendencies. Extroverts spend
less time pausing before speaking in a conversation. They tend to speak more than introverts,
although they do not self-disclose any more than introverts. People who speak more quickly are
often extroverts while those who speak at a slower than average rate are usually introverts.
Siegman (1956) argues that the greater amount of pausing and less speaking among introverts
results from a higher cognitive activity and less impulsivity. Other research indicates that
extroverts are more expressive than introverts (Giles & Street, 1994). In either case, more
evidence is presented that different levels of the extroversion trait denote specific communication
behaviors.
In regards to communicative events, extroverts display a wide range of topics and claims
of common ground. In contrast, introverts engage in fewer, more focused conversations
(Thorne, 1987). Previous studies of interpersonal perception and extroversion (Kenny, 1994;
Kenny, Horner, Kashy, & Chou, 1992; Malloy & Albright, 1990) suggest that extroverts
maintain higher levels of interpersonal accuracy than do introverts.
Perceived-Similarity and Communication Accuracy
A contrary explanation for communicative accuracy stems from the concept of similarity
as proposed in Byrne's (1997) law of interpersonal attraction. According to this position,
humans are attracted to others with whom they share similar characteristics such as attitudes,
beliefs, values, and personality traits. Because such similarities are self-confirming and
rewarding in nature, people recognize and communicate these similarities in an on-going
manner. Furthermore, Kenny and Kashy (1994) suggest that as a function of interpersonal
communication, such as self-disclosure, humans discover the shared attitudes and perspectives
held with their partners. These, in turn, strengthen their social bonds leading to increased
interpersonal accuracy.
It would stand to reason that conversation partners communicate more accurately with
one another when they possess similar personality traits. Consequently, partners of similar
extroversion levels would communicate more accurately than would partners with dissimilar
levels. Thus, there are two clear lines of thought that are in competition with each other. On the
one hand, literature clearly supports the notion that extroverts should produce greater
communication accuracy than introverts due to their increased communication cues. On the
other hand, a significant body of literature supports the notion that people of similar levels of
extroversion/introversion should produce greater communication accuracy of their extroversion
or introversion regardless of that level due to the ease of recognition.
317 David Dugas. William G. Powers, and Chris
Hypotheses
Based on the preceding theoretical perspective, the following contrasting hypotheses
were advanced:
H1: Individual sources in pairs with similar levels of extroversion will have significantly
higher BCF regarding self-identity social cognitions than will individual sources in
pairs having dissimilar levels of extroversion.
H2: Individual sources with high extroversion will have significantly higher BCF than
will individual sources with low extroversion regardless of the partner’s level of
extroversion.
Method
Participants
Participants in this study were 111 (40 male, 71 female) undergraduates enrolled in an
introductory-level college speech communication courses. All participants were volunteers for a
study of communication effectiveness and were given credit toward completion of the course in
exchange for their involvement.
Procedures
Participants first completed a questionnaire containing demographic questions and a
measure of extroversion (Francis, Brown, & Philipchalk, 1992) (Alpha = .91). Each person then
selected one of three identical research sessions to attend approximately one week later. A
median split of extroversion scores classified participants as either high or low extroversion.
Pairs of participants were randomly assigned to one of three group categories based on their
classification as demonstrating either High or Low Extroversion: 25% of the pairs were placed
into the High-High category, 50% were placed into High-Low category, and 25% were placed
into the Low-Low category. At each of the three sessions, partners were brought together and
given a sheet of general conversation topics and instructed to get to know each other better over
the next 10 minutes.
After the communication event had concluded, partners were separated and seated on
opposite sides of the room to complete the final questionnaire. The first section of the
questionnaire used the same extroversion measurement form as previously completed a week
earlier but now asked the participants to indicate how they portrayed themselves in the
communication event (Alpha = .94). The second section was distributed upon completion of the
first. Each participant then reported his/her perception of the extroversion displayed by his/her
partner using the same extroversion form (Alpha = .92). Thus for each pair, the cognition of
extroversion that was intended to be communicated to the partner could be compared to the
cognition developed by the partner. The absolute difference score was computed and treated as
representative of each person’s communication accuracy (BCF) in this context with this partner.
Sawyer Basic Communication Fidelity: Extroversion 318
Results
The mean and standard deviation for self-reported extroversion was 29.61 (6.11) with a
median of 31. Means and standard deviations for the extroversion and BCF by treatment groups
appear in Table 1. A 2 x 2 ANOVA in which actor extroversion (high v. low) and partner
Table 1: Means and Standard Deviations for BCF Treatment Groups.
Actor x Partner Extroversion
Low Actor, Low Partner
Low Actor, High Partner
High Actor, Low Partner
High Actor, High Partner
Mean
6.88
7.14
4.14
3.82
Standard Deviation
3.91
3.23
2.46
2.36
Note: In this study, a lower BCF number represents greater accuracy while a higher BCF number
indicates less accuracy.
extroversion (high v. low) were predictors of dyad level BCF yielded one significant main effect
(F1,1,120 = 30.34; p <.0001; eta2 = .203). Scheffé t-tests detected a significant difference in BCF
for actor extroversion (p < .0001) and no significant difference in BCF for partner extroversion
(p = .68). There were no interaction effects. Pairs in which the actor had high extroversion
communicated with high accuracy regardless of the partner’s level of extroversion. Pairs in
which the actor had low extroversion communicated with lower accuracy regardless of the
partner’s extroversion level.
Discussion
After the results of the experiment were analyzed, only one of the hypotheses was
supported. The first hypothesis, that paired individuals with similar extroversion levels will
communicate more effectively than dissimilar personality pairs, was not confirmed. This result
does not support the claim that individuals will communicate more effectively with others who
have similar extroversion scores. It is important to note that the results of this test do not rule out
the possibility that other similar social cognitions and characteristics do directly relate to
communication fidelity.
The second hypothesis, that regardless of their partner extroversion level, high
extroversion speakers will communicate their personality traits more effectively than low
extroversion speakers, was unequivocally sustained. Test results show overwhelming support
for the hypothesis that high extroverts are more effective communicators than low extroverts.
This finding is consistent with previous studies of interpersonal perception and extroversion
(Kenny, 1994; Kenny, et al, 1992; Malloy & Albright, 1990) and provides support for the second
of the two competing hypotheses.
These results support the idea that extroverts reveal more social cognition related cues
than introverts and therefore produce higher BCF, irrespective of their partner's extroversion.
Given this finding, scholars should recognize that encoding more information when
319 David Dugas. William G. Powers, and Chris
communicating can lead to more effective communication of at least one element of self-identity.
This result is significant because it allows researchers to analyze communication events more
efficiently and will lead to a better understanding of improved communication methods. By
discovering one of the keys to more effective communication, scholars can take another step
towards understanding how and why some communication events result in success while others
leave the receiver with a drastically flawed interpretation of the sender’s original message.
These findings lead researchers to new questions and concerns. Questions arise quickly
about a maximally beneficial level of information that avoids over/under loads of information
and the role of personality and communication accuracy. If extroversion can affect
communication effectiveness, what other personality traits might have the same effect? There is
enough previous evidence in other experiments and research to warrant the extended study of
how similar characteristics between individuals in a communication event are related to
communication outcomes. Many areas involving personality and its connection with BCF
remain unexplored. The concept that more contextual cues encoded in an event leads to a better
understanding between sender and receiver is significant in that it clearly identifies a major
factor related to the potential for misunderstanding in human relationships.
Sawyer Basic Communication Fidelity: Extroversion 320
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Communicating with College Students about STIs:
Assessing Message Effectiveness and Preferred Source and Channel
Marian L. Houser
Texas State University-San Marcos
Michael E. Burns
Texas State University-San Marcos
Nicholas R. Driver
Texas State University-San Marcos
Marian L. Houser (Ph.D., University of Tennessee) is an Assistant Professor, and Michael E.
Burns and Nicholas R. Driver (MA, Texas State University-San Marcos) are graduates in the
Communication Studies Department at Texas State University-San Marcos.
Direct all future correspondence to Marian L. Houser, Department of Communication Studies,
Texas State University-San Marcos, 601 University Drive, San Marcos, TX 78666, Email:
mh53@txstate.edu, Phone, 512-245-3137, Fax: 512-245-3138).
Communicating About STIs 322
Abstract
This quasi-experiment explored effectiveness of message types (fearful, informative, or
humorous) used to educate students about Sexually Transmitted Infections (STI) and preferred
sources and channels for receiving them. STIs are a top health risk for 18 to 25 year olds
(Synovitz, Herber, Kelly & Carlson, 2002) with numbers increasing across college campuses
(Summerfield & Steinhoff, 1996). One hundred fifty undergraduate students responded to one of
the three message types. Utilizing protection motivation theory (Rogers, 1975, 1983) as a
theoretical lens, results revealed significant differences in effectiveness of message type with
fearful being the most effective. Effectiveness also varied according to channel and source.
323 Marian L. Houser, Michael E. Burns, and Nicholas R. Driver
Introduction
Sexually Transmitted Infections (STIs) are considered one of the top health risks for
college students between the ages of 18 and 25 (Synovitz, Herber, Kelley & Carlson, 2002). The
Center for Disease Control and Prevention (CDC) reported (2000) that more than 65 million
Americans have incurable STIs such as HIV, human papillomavirus (HPV) and gonorrhea, with
15 million infected every year. According to the Bacchus Gamma Peer Health Education
Network (2006) two-thirds of all STI cases in the United States occur in people 25 years of age
or younger, the age of a traditional college student. In fact, the rise in STIs has become a major
concern on college campuses (Summerfield & Steinhoff, 1996). Afifi and Weiner (2006)
described an astounding rate of STIs on college campuses with 40% of sexually active students
infected with HPV, the most prevalent STI. One of the primary reasons for this high
susceptibility is young adult college students tend to engage in riskier sexual behavior leading to
increased risk of STIs (Abdullah, Fielding, & Hedley, 2003; Meekers & Klein, 2002). The
persistent threat calls into question whether they are receiving messages regarding the prevalence
and threat of STIs and if so, whether they understand them and feel capable of responding.
Protection motivation theory (PMT) has been widely used to study the role of perceived
efficacy in specific health communication issues (Rogers, 1975, 1983) and the motivations for
handling a possible risk. Communication efficacy reflects an individual’s perceived ability to
communicate and obtain needed information (Afifi & Weiner, 2004). PMT contends if
individuals understand the degree of risk involved, they will be motivated to protect themselves
from that risk (Youn, 2005). With STI messages, therefore, it becomes important to determine
the most effective means to reach college students. According to Cheah (2006), research aimed
at young adults and focusing on message development for sexual health campaigns has been
relatively nonexistent. In line with this, Bull, Cohen, Ortiz and Evans (2002) suggested the
majority of STD campaign materials are based on untested assumptions. Therefore, investigating
STI messages along with the sources and channels college students view as most effective and
with which they are most responsive could help universities develop long term health campaigns
aimed at educating them about STIs and protection. Many students are simply not educated on
the topic because they do not understand its importance or personal relevance, especially if they
abstain from sexual activity (Fields, 2002). Whether they are sexually active, however, is not the
primary issue; being aware of the information will help them make educated decisions in the
future and perhaps assist them in helping a friend locate needed help. Active education is the key
to lowering the high STI rates on college campuses (Van Haveren, Blank, & Bentley, 2001)
therefore this study’s overarching goal was aimed at helping health educators on college
campuses understand what communication tactics are seen as most effective by their primary
audience: college students. The purpose of the present quasi-experiment was to determine the
most effective and comfortable message, source, and channel for educating students about STIs.
This could provide the first step to discovering a new way to relate the importance of protection
and available services.
Review of Literature
Communicating to educate U.S. college students about sexually transmitted infections
and prevention is becoming more important as it has become a critical health issue (Synovitz et
Communicating About STIs 324
al., 2002). The American Social Health Association (ASHA) suggests social stigma and lack of
STI awareness are the primary discussion inhibitors (ASHA, 1998). Unfortunately, the CDC
continues to report a rise in STIs. The incidence of genital herpes infections, for example, has
increased by 30 percent since the late 1970’s (CDC, 2006) and there was a 6.5% increase in
cases of Chlamydia between 2001 and 2002 (CDC, 2002). According to the Guttmacher Institute
(1994) each year one in four U.S. teens contracts an STI with about half of all STIs in 2000
reported in young people between the ages of 15 and 24 (Weinstock, Berman, & Cates, 2004).
These numbers translate, unfortunately, to a rising incidence of STIs among college students,
prompting universities to consider different message tactics, sources, and channels for
communicating the importance of protection and prevention rather than abstinence (Summerfield
& Steinhoff, 1996). Studies have, in fact, shown college students lack knowledge about STIs
(Synovitz et al., 2002) and believe they are invulnerable (Ku et al., 2002). This view has,
unfortunately led to the rise in STI incidence among young adults in the U.S. (Cheah, 2006),
creating an increased need for the development of effective sexual heath education. Television
has typically been the major source of effective health message campaigns, issuing warnings
about topics such as AIDS, drug abuse, drinking and driving, and smoking (Block & Keller,
1995). However, it has been reported that today’s college students spend less time watching
television and more time on computers (Davis, 2006; Story, 2007). A majority of students
according to one study spend less than three hours per week watching television (Davis, 2006). If
television is not a prime message outlet, other more effective means must be discovered to
disseminate STI information.
Sheer and Cline (1995) suggested prevention education programs and active awareness
on college campuses are important methods of educating students on STIs. In addition, they
advocated these programs over persuasive appeals aimed at changing risky behavior. Fields
(2002) reported a need for formalized programs on campuses as the majority of sex education
outreach is based on unwanted pregnancy and assault with significantly less time spent on STI
education. Though the federal government’s mandate that sexual assault prevention efforts be
conducted on all college campuses is vital, it is primarily targeted for women and fails to
incorporate STI education (Anderson & Wiston, 2005). A reduced focus on STI education
creates a need for colleges to discover the most viable means to spread the word if it is to reach
students at all. According to Van Haveren et al. (2001) active education is the most successful
means to inform students that fall in the age range of 18 to 25. Choosing an effective message
and means of communication is the key to convincing a college student they may be at risk yet
have control over protecting themselves from becoming infected with an STI (Van Haveren et
al., 2001).
This study utilized Rogers’s (1975, 1983) protection motivation theory (PMT) as a
theoretical lens to help explain college students’ perceptions of STI messages, sources, and
channels. PMT contends individuals must perceive something to be risky or harmful to be
motivated to protect oneself. Rogers asserted that this motivation to protect is behavior inducing.
This theory creates a logical link to STI communication and education due to the connection
between message understanding and value, self-efficacy, and the outcome behaviors college
students have following exposure to STI messages. It is important for them to understand the STI
risk as well as their ability to take control of their sexual behavior and protect themselves (Van
Haveren et al., 2001). Weinstock et al. (2004) reported half of all new STI’s in 2000 occurred
among young people between the ages of 15 and 24 and the practice of unprotected sex on
325 Marian L. Houser, Michael E. Burns, and Nicholas R. Driver
college campuses has resulted in a high percentage of students infected with STIs. Therefore,
effective health campaigns or messages are invaluable for educating and inducing behavior.
Past research connecting the use of fear and self-efficacy in health campaigns offers a
direct link to the current study as the use of fear alone has not been shown to adequately
persuade people to change their attitudes (Witte, 1994). It is through feelings of self-efficacy that
individuals are motivated to change their attitudes or behaviors (Witte, 1994). Threatening
messages combined with alternative solutions allows individuals to feel in control (e.g., efficacy
to promote condom use). Witte (1994) utilized this method in an experiment investigating fear in
AIDS-related messages and confirmed the combined effectiveness of fear and message selfefficacy. In an investigation of fear appeals in the college classroom, Sprinkle, Hunt, Simonds,
and Comadena (2006) reported positive effects (learning) of fear and efficacy together compared
to the use of fear alone. Other studies, however, have reported negative effects of fear (Hastings,
Stead, & Webb, 2004), recommending the use of positive reinforcement appeals in social
marketing campaigns. Beaudoin (2002) explored antismoking ads and reported enhanced
effectiveness with humor in youth-oriented advertising and fear for adult-oriented advertising.
Earlier research by Booker (1981), however, found mixed effects for fearful messages in
advertising with highly correlated, positive effects for humor and straightforward information
messages. Focus group research by Cheah (2006) suggested college students have preferences
for message type, channel, and source and that STI information should be gradually relayed to
them through a variety of means and communication channels. While informative, this finding
fails to create an understanding of what actually works best. With STI information, therefore, the
initial step must be to determine the most effective messages.
Mixed findings regarding STI messages for college students stimulated the development
of three message variations: humor, informative, and fearful. Rogers’s (1975, 1983) protection
motivation theory was incorporated as a lens to explain the perceived effectiveness of the three
messages according to their ability to induce motivation for handling the risk associated with the
STI messages (e.g., campus specific statistics illustrating the prevalence of STIs), self-efficacy
(e.g., information on how and where to get protection) and response efficacy (e.g., I will go to
the health center for purchase of latex and testing). Atkin and Freimuth (1989) explain that
formative evaluation research, as in the current study, is important when creating a health
campaign aimed at prevention to develop messages that will not only appeal to the target
audience, but will also create a realistic connection between the audience and the health risk. As
past research has reported differential impacts of message type, the following hypothesis was
created:
H1: Fearful, humorous, and informative message types will differ in level of perceived
effectiveness.
In addition to message type, source and channel may also impact student responsiveness
and overall message effectiveness (Rimal, Flora, & Schooler, 1999). Marin and Marin (1991)
suggested the value of investigating source and channel credibility in AIDS health messages.
Their findings indicated manipulation of sources and channels used in a campaign can affect
message effectiveness. Marshall, Smith, and McKeon (1995) also supported the value of source
and channel with their investigation of health messages regarding cervical and breast cancer.
They discovered within group commonalities for persuasive strategies, sources, and channels
along with overall differential group preferences (Marshall et al., 1995). Cheah’s qualitative
analysis (2006) suggested a broad range of channels for receiving STI messages was preferred by
Communicating About STIs 326
college students. Channels such as mandatory classes, the web, public service announcements,
posters, exhibitions, campus sexual awareness events, and pamphlets were suggested (Cheah,
2006). Credibility of the source disseminating this information, however, was also a strong point
of consideration. Previous research has consistently shown that credibility enhances message
acceptance (Chebat, Filiatrault, & Perrien, 1990) and has consistently reported the persuasive
effects of highly credible sources (Greenberg & Miller, 1966; Greenberg & Tannenbaum, 1961).
Gaining a clearer overall understanding of the source from which students prefer to receive STI
information as well as how or where they receive it will allow active communication and,
ultimately, education to begin. This will enable campuses to offer students numerous
opportunities for message exposure. With this past research in mind, the key to reaching college
students may be discovering source and channel preferences for receiving different types of STI
messages (fearful, informative, and humorous). Therefore, the following hypothesis was created:
H2: Preferred source and channel will differ according to message type (fearful,
informative, and humorous).
To assist university health programs in developing a more complete understanding of
channel and source effectiveness in regard to message type, it was also important to discover
why students found specific sources and channels more effective or comforting. In an effort to
accomplish this, an open-ended section of survey questions was provided to participants. Keyton
(2006) posited that the use of qualitative data could provide considerable support for quantitative
findings. Therefore, the following research question was created to develop a more complete
understanding of participants’ preferred sources and channels:
RQ1: What reasons do students provide for rankings of their most and least preferred
source and channel?
Method
Participants
Full-time undergraduate students at a large southern university were asked to complete
the study’s survey instrument. After obtaining IRB approval, instructors of the basic
communication course (a required university course) allowed surveys to be completed in their
classes. All participants were debriefed on the study and signed consent forms indicating their
agreement to participate. Three separate surveys measuring the effects of message type (fearful,
informative, and humorous) source, and channel were created. One hundred-fifty total surveys
were completed with 50 surveys for each message type. Surveys were randomly distributed with
even numbers of each message type distributed to each class. Each student was only presented
one message type. All 150 surveys were completed to measure message type with nine surveys
eliminated from the source and channel analyses due to missing information. Participants
consisted of 89 females and 61 males and 39 freshman, 42 sophomores, 30 juniors and 39
seniors.
Variables
In order to measure the effectiveness (self-efficacy, and response efficacy) of STI
messages and the subsequent preference for source and channel, several variables were
327 Marian L. Houser, Michael E. Burns, and Nicholas R. Driver
incorporated. The independent variable representing the study’s health campaign approach was
the type of message provided to participants (fearful, informative, and humorous). These
messages were written to reflect their respective communicative tone or approach to STI
warnings. Preferred source and channel for receiving the message and message effectiveness
represented the dependent variables as impacted by message type. To measure effectiveness,
students were asked to reveal how persuasive they perceived the messages to be along with their
ability (self-efficacy) and likelihood of following the STI message recommendations (response
efficacy). Source and channel variables were also examined with a follow-up qualitative section
of the survey instrument to justify and explain participants’ first and last choices for source and
channel. Specific sources and channels were chosen based on past study results where college
students reported in focus groups the most preferred source and channel for receiving STD
information (Cheah, 2006). Sources incorporated in the present survey were as follows: medical
doctor, health center official, certified peer educator, guest lecturer, instructor/professor, resident
advisor, hall director, campus posters and orientation leader. Channels included in the survey
were as follows: large lecture, small class, dorm lobby, orientation, voluntary information
session, health fair and one-on-one discussion.
Message Development
The fearful and humorous messages utilized in the current study were adapted from
existing messages developed and used by Ohio University’s Department of Health Education and
Wellness. According to Kopchick, head of this department, “there has been a significant increase
in the number of students who have come to the health center to be tested for STIs since using
these messages” (C. Kopchick, personal communication, October 15, 2005). Due to the reported
success of these messages, the authors chose to use them as a basic framework for the present
study. This information along with research supporting the use of a variety of message types for
developing health campaigns (Beaudoin, 2002; Booker, 1981; Cheah, 2006), led to the creation
of three new messages (fearful, neutral—strictly informative, and humorous) developed and
specifically adapted to the university where the research was conducted.
Manipulation Check
To determine the successful development of message types, a manipulation check was
conducted. Researchers designed three messages (fearful, informative, and humorous) and
enlisted 285 undergraduate students, unfamiliar with the study, to indicate, on three 5-point
Likert-type scales, the extent to which they which they thought a message was fearful,
informative, humorous (see Appendix). Each student was provided only one message and asked
to indicate their perceptions of its fear, information provided, or humor. The informative or
neutral message was created by stating the information about STIs and the campus health center
in a very straightforward manner without using any obvious message tone. The humorous
message used rhyming phrases with slang terms that encouraged the use of latex protection while
also providing ways to get more information about STIs from the campus health center. The final
message used fear by applying the campus’ STI statistics.
A one-way ANOVA was computed comparing the perceptions of one of each of the STI
message manipulations (fear, informative, humor). A significant difference in message
perception was found among the three STI messages: Fearful (F(2,282) = 55.95, p<.001),
Communicating About STIs 328
Informative (F(2,282) = 11.88, p<.001), and Humorous (F(2,282) = 220.92, p<.001). Tukey’s
HSD was used to determine the nature of the different message perceptions. This analysis
revealed that students who viewed the fearful message perceived it to be significantly more
fearful (M=4.10, SD=.93, p<.001) than either informative (M=3.08, SD=1.22) or humorous
(M=2.36, SD=2.37). Students who viewed the informative STI message perceived it to be
significantly more informative (M=4.18, SD=.80, p<.001) than either fearful (M=3.69, SD=1.21)
or humorous (M=3.42, SD=1.19). Finally, students who viewed the humorous message found it
to be significantly more humorous (M=4.16, SD=1.03, p<.001) than either fearful (M=1.60,
SD=.88) or informative (M=1.68, SD=.94). With the significance of these results, it appears the
tone of each message was properly manipulated.
Survey Instrument
The entire survey was separated into three sections. The first section measured student
perceptions of the effectiveness (persuasiveness, self-efficacy, and response efficacy) of one of
the three message types. The second section asked students to indicate their rankings of preferred
source and channel for the respective message they received in the first survey section (fearful,
informative, or humorous). The final qualitative section asked students to describe their
reasoning for the rank order of their most and least preferred source and channel selections.
Message effectiveness. The first section of the survey in this quasi-experiment
incorporated an instrument to measure message effectiveness (persuasiveness, self-efficacy, and
response efficacy) developed from a series of studies by Keller and Block (1997). Their general
purpose was to measure the persuasiveness of a health campaign message to determine how able
and likely subjects would be to use the information shown in health campaign brochures. They
reported alphas ranging from .78 to .84 (Keller & Block, 1997). In the 12-item scale items one
through four were Likert-type items ranging from one (strongly disagree) to five (strongly
agree). These items focused on whether or not the subjects found the information presented to be
beneficial in their future efforts to protect themselves from becoming infected with an STI. Items
five through nine were Likert-type items with scores ranging from one (very unlikely) to five
(very likely). These items were used to measure the likelihood that subjects would feel capable
of engaging in the immediate behaviors recommended by the message (self-efficacy) and their
intent to actually engage in this behavior (response efficacy). Items ten through twelve utilized a
semantic differential scale (useful-useless, helpful-not helpful, persuasive-not persuasive)
ranging from one to seven. These three items were used to measure whether subjects found the
information presented as useful, helpful, and persuasive.
Possible scores on the entire instrument ranged from a low score of 12 to a high score of
66. Higher scores on the instrument indicated greater message effectiveness due to feelings of
being persuaded, motivated, and the likelihood of responding to the message recommendations.
Minor adjustments to the scales’ items were made by adapting them to an STI and protection
content. For example, items that previously stated, “I believe the pamphlet is persuasive” and “I
am likely to follow the recommendations in the brochure” were altered to read, “I believe the
STI message provided is persuasive” and “I am likely to follow the recommendations in the STI
message provided.” The adapted scale for this study produced an alpha coefficient of .81.
Source and channel. The second section of the survey focused on specific sources and
channels for health campaign messages. Two separate lists of channels and sources were created
to represent an exhaustive possibility of options for the specific campus represented in the study.
329 Marian L. Houser, Michael E. Burns, and Nicholas R. Driver
Based on previous studies’ procedures (Rimal et al., 1999; Witte, 1994) and information
provided by Ohio University’s Department of Health Education and Wellness, participants were
asked to rank order the nine source options and seven channel options. To assist college and
university health campaigns hoping to educate the greatest number of students on STI risk and
prevention, the third survey section incorporated open-ended questions. Following each list of
rank-ordered source and channel, students were asked to justify their first and last choices.
Results
Hypothesis one predicted differential levels in student perceptions of effectiveness for
fearful, informative, and humorous STI messages. A one-way ANOVA was conducted and
significant differences were discovered in STI message effectiveness for the three messages
(F(2,147) =19.83, p<.001). Follow-up post-hoc analysis (LSD) revealed the fearful message
(M=52.70, SD=6.84) was found to be significantly more effective (p<.001) than the humorous
message (M=44.18, SD=7.52) and the informative (p<.05) message (M=49.68, SD = 6.14). In
addition, the informative STI message (M=49.68, SD=6.14) was significantly more effective
(p<.001) than the humorous message (M=44.18, SD=7.52). Students appear to perceive
differences in the effectiveness of STI messages with fearful having the greatest effect.
Hypothesis two predicted differential source and channel preferences based on message
type. After students rated the effectiveness of their particular STI message (fearful, informative,
or humorous), they were asked to rank order the preferred source and channel for receiving this
message. Sources were ranked from one to nine with one being the most preferred and nine the
least preferred; channels were ranked from one to seven, one being the most preferred and seven
the least preferred. Frequency distributions were obtained to discover preferred sources (1=most
preferred; 9=least preferred) and channels (1=most preferred; 7=least preferred). Examining
mean scores (see Table 1) for each enabled researchers to determine which sources and channels
were preferred by the participants for each message type.
A Kruskal-Wallis test was conducted on this ordinal data to compare the preferred
channel, or location, for receiving STI information when presented with fearful, informative, or
humorous message types. Significant results were found for the dorm lobby, large lecture class,
and health fair (see Table 1). Preferred message types significantly differed for the dorm lobby
(H(2)=7.45, p<.05) with the informative message receiving the lowest mean ranking of 60.78 or
most preferred message, the humorous message averaging 69.13 and the fearful message
receiving the highest mean ranking or least preferred message type with M=83.40. In other
words, students did not want to hear a fearful message about STIs in their dorm lobby. Preferred
message type also significantly differed in the large lecture class (H(2)=6.35, p<.05) with the
fearful message receiving the lowest mean ranking of 62.39 or most preferred message, the
humorous message averaging 67.94 and the informative message receiving the highest mean
ranking of 82.55. Students perceived the fearful message to be more effective in the large lecture
class. Finally, preferred message type significantly differed in the health fair channel (H(2)=5.87,
p<.05) with the informative message receiving the lowest mean ranking of 61.43 or most
preferred message type, the fearful message averaging 69.93 and the humorous message
receiving the highest mean ranking or least preferred message type with M=81.40. Students
prefer straightforward information in the health fair setting. It appears, therefore, that students
have differential preferences for the type of STI message received in at least three locations:
dorm lobby-informative, large lecture-fearful, and health fair-informative.
Communicating About STIs 330
Table 1: Kruskal-Wallis Results for Preferred Channel and Source of Fearful, Informative,
and Humorous STI Messages
______________________________________________________________________________
Fearful
Informative
Humorous
______________________________________________________________________________
CHANNEL
M SD Mean
M SD Mean
M SD Mean
Rank
Rank
Rank
______________________________________________________________________________
Dorm Lobby**
3.89 1.92 83.40*
4.61 1.98 60.78
3.49 2.13 69.13
One-On-One
4.81 2.51 64.37
4.63 2.27 78.16*
5.29 2.38 70.34
Orientation
3.92 2.20 70.76
3.96 2.17 72.27*
4.02 1.91 69.99
Large Lecture**
3.27 1.36 62.39
3.13 1.44 82.55*
3.89 1.63 67.94
Small Class
3.52 1.65 62.42
3.17 1.66 80.19*
3.98 2.01 70.22
Health Fair**
4.54 1.99 69.93
4.00 1.96 61.43
3.58 1.91 81.40*
Voluntary Info.
4.15 1.87 79.73*
4.48 1.88 61.52
3.79 1.46 71.92
Session
SOURCE
Medical Doctor
2.02 2.44 69.88
1.76 1.69 74.51*
2.53 2.89 68.64
Peer Educator
3.38 1.77 63.96
3.11 1.61 73.04*
4.11 2.34 69.40
Health Center
3.56 1.61 62.38
3.15 1.58 76.74*
3.91 1.97 73.64
Guest Lecturer
4.63 1.89 77.63*
5.11 2.05 66.77
4.62 1.70 68.79
Professor
4.92 2.21 74.63*
5.37 2.10 73.04
5.28 1.89 65.52
Hall Director
6.38 1.77 72.41*
6.54 1.55 71.34
6.45 1.80 69.31
Posters
6.63 2.32 76.49
6.55 2.39 58.82
5.29 2.87 77.67*
Orientation Leader 6.65 1.83 74.84*
6.91 2.23 71.73
6.55 2.58 66.60
Resident Advisor** 6.79 2.10 68.87
6.54 1.55 65.69
6.26 2.05 78.24*
______________________________________________________________________________
* Indicates highest mean ranking within message type; ** Significant at p< .05
A Kruskal-Wallis test was also conducted on the ordinal data to compare the preferred
source for receiving fearful, informative, or humorous messages about STIs. Only one significant
result (see Table 1) was found for posters around campus (H(2)=6.49, p<.05), with the
informative message type receiving the lowest mean ranking or most preferred message type
with M=58.82, the fearful message receiving an average ranking of 76.49 and the humorous
message type receiving M=77.67. As message type only significantly varied with the posters
around campus source, it appears fearful, humorous, or informative messages are perceived
acceptable to be delivered by most all sources provided.
Research question one produced qualitative data based on the respondents’ justifications
for their most and least preferred sources and channels according to message type received. A
thematic analysis (Strauss & Corbin, 1998) was undertaken in order to code common themes
students provided for the two source and channel rankings. The three authors in the current study
separately coded themes emerging from participant responses using a consistent comparison
method. As the themes emerged from the data, labels were assigned (Glaser & Strauss, 1967).
Once separate themes were designated, a comparative analysis was conducted and a .86
intercoder reliability for themes of source and channel was achieved. Qualitative results revealed
similar justifications for all three messages presented in the experiment. Three common themes
331 Marian L. Houser, Michael E. Burns, and Nicholas R. Driver
appeared when justifying source: Comfort Level (“I hate my dorm’s resident assistant and I don’t
want to talk to her about sex.”), Credibility Concerns (“Doctors or someone else certified are
educated and more credible sources.”), and Exposure (“Posters will catch people’s attention and
will reach a lot more people.”). Four common themes resulted when evaluating channels:
Comfort Level with Location Size (less embarrassment in large vs. small classroom groups),
Comfort Level with Others (being with familiar individuals decreases involvement), Familiarity
of Channel (greater comfort with information provided in familiar surroundings), and Exposure
Capabilities (information presented in environments requiring attendance).
Discussion
Protection motivation theory (Rogers, 1975, 1983) was used as a lens to help explain
college students’ perceptions of STI messages, sources, and channels. PMT contends individuals
must perceive something as risky or harmful to be motivated to protect oneself. Rogers asserted
that this motivation to protect is behavior inducing. In this case, college students exhibited a
preference for receiving fearful, humorous, or informative STI messages via specific sources and
channels. Their expressed preferences were based on perceptions that they could successfully
engage in communication (e.g., talking to a friend or peer counselor) or the behavior (e.g., visit
the health center, attend a campus voluntary information session) to get the required information
(self-efficacy) and the likelihood they would follow the message recommendations from the
preferred source and channel (response efficacy). Recognizing the rising incidences of STIs for
students age 25 and younger (Bacchus Network, 2006; Summerfield & Steinhoff, 1996) it is
imperative they are not only alerted to STI issues and concerns, but also offered possible
attitudinal and behavioral options.
The first hypothesis investigated the message type college students would see as the most
effective (fearful, informative, or humorous) for receiving information about STIs and with
which they would feel most capable following recommendations. Results indicated that the
fearful message was seen as the most effective. The informative message scored a close second
in level of effectiveness and the humorous message was perceived as least effective. This
appears to reflect the findings of Witte (1994) and Sprinkle et al., (2006) who reported
threatening messages combined with alternative solutions allows individuals to feel in control. In
this case students who read the fearful message were also told where to go to get assistance or
more information and when asked whether they would do so, responded they felt persuaded and
it was likely. As PMT suggests (Roger, 1975, 1983) perceived risk is a motivating factor
especially when delivered via a fearful message combined with message self-efficacy. What was
less expected was for the informative message to be perceived as more effective in relaying STI
information than the humorous message. This result may be supported by Beaudoin’s research
(2002) with humor and fear in antismoking ads. He reported enhanced effectiveness with humor
in youth-oriented advertising and fear working best for adult-oriented advertising. With the topic
of STIs, college students may be considered young adults, as they are typically sexually active
and engage in more risky sexual behaviors (Abdullah, et al., 2003; Cheah, 2006; Meekers &
Klein, 2002). In addition, this result is in line with Booker’s (1981) study reporting more positive
effects for straightforward information and humor messages. Ultimately, these results appear to
indicate that although fearful messages were perceived as most effective it may be prudent to
blend the use of fearful with informative STI messages. A mix of channels increases the
Communicating About STIs 332
exposure of the messages by giving students options on how they would like to receive the
information (Metzler, Weiskotten, & Morgen, 2000).
The results of hypothesis one are also supported by the findings for hypothesis two
where, in most cases, little mean differences were discovered for preferred message type with
specific sources and channels. The effectiveness of humorous messages, however, was
consistently perceived to be less effective, indicating it should not be considered the sole
message type to use in conveying STI warnings to college students. Prevention educators should
consider this finding when developing STI campaigns.
The second hypothesis predicted differential source and channel preference for the three
STI messages. Students reported differential message preferences for some locations or channels.
In the two larger locations, health fair and dorm lobby, students preferred to receive STI
education in a straightforward, informative manner. However, in the large lecture classroom,
they perceived fearful messages would be effective. Though this result is somewhat curious, the
humorous message type received a very similar mean ranking, indicating, perhaps, that students
desire or expect professors in their large lecture courses (100-300 students) to offer a more
dramatic presentational style by incorporating humor or even threats. These results also appear to
confirm Cheah’s (2006) focus group findings where students indicated an overall desire for a
variety of channels to receive STI information. With student responses in the present study, it
appears they visualize some benefits of each message type depending on the particular location.
In regard to specific sources, however, students did not appear to have a strong
preference for message type presented. This is essentially good news for anyone selected to
present STI information on campuses as students have no clear expectations of individuals
offering the message. Campus posters were the only source students appeared to perceive
needing a more informative approach. Within this source, the significant ranking difference
between informative, and humorous and fearful is important as campus health officials
frequently place signs around campus to warn students about STIs. The preference for posters
disseminating informative messages lends support to Cheah’s (2006) findings that students
preferred to anonymously receive the information on campus via posters and pamphlets in
“community” bags. Ultimately, however, Cheah reported they expressed an overall desire to
avoid STI discussions.
With the desire for anonymity, it is important to note the value placed on credibility as
discovered in the qualitative portion of the study. This student sample does not want to see jokes
made or threats delivered about various sexually transmitted infections. When they read it on a
poster they want the facts. They view this as more credible. This could be related to their desire
to feel comfortable when receiving STI messages (Cheah, 2006). According to these results they
prefer a straightforward presentation combined with some fear tactics. Earlier research by
Booker (1981) reported more positive effects for the straightforward message in specific and
public contexts. In this environment, humor may simply seem inappropriate and messages less
credible when used to communicate STI prevention and risk messages.
More specifically, in regard to credibility of valued sources in the open-ended responses,
participants revealed they would believe someone who had specific education or certification in
this area, such as a doctor, certified peer health educator or health center official. These results
suggest campuses should consider highly credible sources such as these when communicating
with students about STIs because the messages will be perceived as more effective with students
more likely to seek out information and assistance. Comfort level with source was also a concern
for participants. Many explained that people like orientation advisors are sources they barely
333 Marian L. Houser, Michael E. Burns, and Nicholas R. Driver
know and they need more time to get to know someone before talking about such personal
information. As previous studies have indicated (Cheah, 2006) college students preferred not to
discuss their sexual health, but a direct link exists between information seeking and safer-sex
behavior (Afifi & Weiner, 2006). PMT presents the pivotal role of efficacy, making it imperative
for students to understand the risk and realize their behavioral options. Colleges and universities,
therefore, need to determine the appropriate time for a source to discuss these types of messages.
A relationship needs to be developed first before using what students feel might be a less
credible source. The final qualitative theme, exposure, was primarily linked to posters as a
source. Many students thought posters would work if they were linked to other sources like peer
educators or utilized to advertise not only the message but an event where more information
would be provided—again, linking the message to perceived self-efficacy and response efficacy.
Student rankings for preferred channel also produced interesting results as students
provided open-ended responses to justify selections. In regard to a concern for their own comfort
level, students made statements like,
In a large group it wouldn’t be embarrassing to hear, but in a small classroom I wouldn’t
feel comfortable with just a few people.
You see these people you live with everyday and would be more reluctant to ask
questions.
With channel familiarity and exposure capabilities, typical responses were statements such as,
I would feel most comfortable in a surrounding I am most at home in like my dorm lobby.
Every student is expected to go to orientation therefore every student will have to hear
STI information.
The qualitative results concurred with those in previous studies (Metzler et al., 2000; Perreira et
al., 2002) that, overall, students prefer a variety of channels. There was great variety in locations
students perceived they would feel comfortable, thus using many channels to increase exposure
could result in student attentiveness and understanding.
Limitations and Conclusions
The importance of STI education is supported by the growing number of students at risk
and the abundance of studies regarding the issue (Summerfield & Steinhoff, 1996; Synovitz et
al., 2002). Focusing on education and prevention can be very beneficial to anyone whether or not
they are sexually active. However, though the importance of education is recognized by the
research literature, the current study did not ask participants if they felt STIs were a problem on
their campus or if they felt a need for more education about STIs and prevention. Students were
asked to evaluate a hypothetical message in a particular context. It is possible, if they have no
concern for STIs, that imagining such a scenario was difficult or unrealistic. In addition, several
messages for each message type could have been used in order to avoid any confusion students
may have had based simply on the message content rather than type. A final limitation, as with
many studies, was sample size. More participants will only make a study more generalizable and
expanding the number of participants above 150 could produce stronger conclusions.
The results of this study open the door to future endeavors that would help researchers
understand what students see as the most effective modes of education about STIs. Universities
and colleges could use these findings as a pilot study for the internal development of campus
health campaigns. Future research could test the effectiveness of mixed message campaigns as
well as the effectiveness of the sources and channels used to send them. A pre-test / post-test
measuring students’ STI knowledge and responses toward STI messages might also be a
Communicating About STIs 334
profitable future investigation to better determine if the campaigns are successfully educating
them.
Though this quasi-experiment was specific to the university in the study, it is important to
note that the survey instrument was designed to be easily adapted to any campus and their
available resources. Overall, it can provide a starting point for university officials when trying to
develop educational programs or health campaigns about STIs on campus. The conclusions
revealed significant differences in levels of effectiveness with each message type; students felt
more comfortable and capable of taking action with messages from specific sources and in
particular contexts. Using informative and fearful message types in a blended manner could
prove most effective as well as educational. The humorous message may be most helpful in a
secondary, supportive role with them. The qualitative data may, itself, serve as an educational
tool as it revealed participants saw some importance in receiving an STI education via specific
channels and sources. Protection motivation theory (Rogers, 1975, 1983) provides a lens to help
university sexual health educators understand how to frame and present STI education and
prevention materials to appeal to the greatest number of college students.
335 Marian L. Houser, Michael E. Burns, and Nicholas R. Driver
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Communicating About STIs 338
Appendix
Fearful Message
Since 1 in 4 students at _____________ (insert name of school) are infected with sexually
transmitted infections, that means:
• 8 students in your ________ (insert class name) are infected.
• 12 students riding on the bus are infected.
• 100 students in your large lecture are infected.
• 7000 students at ________ (insert name of school) are infected.
Scared? You should be. Are you protected?
To get more information about Sexually Transmitted Infections (STI’s) contact the
__________________ (insert name of student health center and phone number) or make a
visit Monday, Wednesday, or Friday from 8 A.M-5P.M or Tuesday and Thursday between 9
A.M. and 6 P.M.
Informative Message
Sexually Transmitted Infections (STI’s) are one of the top health issues concerning people
ages 18-25.
STI’s can be transmitted from one individual to another through sexual activity such as
vaginal, oral, or anal intercourse as well as digital manipulation. The most effective way to
reduce transmission is the use of latex protection. The only protection that is 100 percent is
abstinence.
To get more information about Sexually Transmitted Infections (STI’s) contact the
____________________________ (insert name of student health center and phone number)
or make a visit Monday, Wednesday, or Friday from 8 A.M-5P.M or Tuesday and Thursday
between 9 A.M. and 6 P.M.
Humorous Message
Bag It Before You Shag It
Wrap It Before You Tap It
Don’t Be Silly, Protect Your Willy
However you want to say it, protect yourself from Sexually Transmitted Infections (STI’s).
But like they say, practice makes perfect; so next time your at the grocery store pick up an
extra banana.
To get more information about Sexually Transmitted Infections (STI’s) contact the
______________________ (insert name of student health center and phone number) or make
a visit Monday, Wednesday, or Friday from 8 A.M-5P.M or Tuesday and Thursday between
9 A.M. and 6 P.M.
Human Communication. A Publication of the Pacific and Asian Communication
Association. Vol. 10, No. 3, pp. 339 – 356.
Audience Reactions to Negative Campaigns Spots in the 2005 German National
Elections:
The Case of Two Ads Called “The Ball”
Jürgen Maier
University of Kaiserslautern
Michaela Maier
University of Koblenz-Landau
Jürgen Maier, Faculty of Social Sciences, Department of Methods of Empirical Social
Research, University of Kaiserslautern; Michaela Maier, Faculty of Psychology, Institute of
Communication Psychology, Media Pedagogy, and Speech, University of Koblenz-Landau.
Correspondence concerning this article should be addressed to Jürgen Maier, Department of
Methods of Empirical Social Research, University of Kaiserslautern, Pfaffenbergstrasse,
Building 6, 67663 Kaiserslautern, Germany. E-mail: maier@sowi.uni-kl.de
AUDIENCE REACTIONS TO NEGATIVE CAMPAIGNS SPOTS
340
Abstract
For the 2005 German national elections the Social Democratic Party (SPD) and the
Christian Democrats (CDU/CSU) each produced a TV-ad called “The Ball” (“Die Kugel”).
Both ads were unusual for German campaigns for two reasons: they explicitly attacked the
political opponent, and one ad referred to the other. The question this paper focuses on is:
How did German voters react to these negative spots. In order to test the impact of the spots,
an experiment was conducted with 51 citizens using written pretest- and posttestquestionnaires as well as real-time response measurement. The major finding of this paper is
that both spots received negative evaluations; they were not able to damage the image of the
political opponent but instead led to a negative backlash for the own party respectively the
own candidate.
341 Jürgen Maier and Michaela Maier
Introduction
After the senior partner of the governing coalition in Berlin, the Social Democratic
Party (SPD), had lost nine state elections between 2003 and 2005, Chancellor Gerhard
Schröder announced on May 22nd, 2005, that he was seeking a re-election of the German
national parliament (“Bundestag”) in order to receive a new electoral mandate for his politics.
On July 1st, he asked the parliament for a vote of confidence (“Vertrauensfrage”) – the only
(but a highly controversial) possibility provided by the German constitution to call for early
elections ahead of schedule. As intended, Schröder lost the role-call vote; only 151 of 600
representatives voted for him. Three weeks later, Federal President Horst Köhler announced
that the early election would be held on September 18th, 2005.
As demanded by the constitution, a very short election campaign of a maximum of 60
days followed the dissolvement of the parliament. Although the parties already started to
campaign on the day of Köhler’s decision on July 21st, last doubts about the scheduling of the
election day were not resolved until the decision of the Federal Constitutional Court on
August 25th (i.e. 25 days before election day), dismissing an action of two members of the
parliament. But aside from the tight schedule and the fact that for the very first time a woman
and an East German politician in the person of Angela Merkel was running for chancellor, the
course of the campaign was quite normal and included the traditional spectrum of political
advertisement (i.e. interpersonal communication with voters in public places or public events,
posters, television advertising) as well as one televised debate.
In order to promote their top candidates, the campaign teams of the two major parties,
the SPD and the Christian Democrats (CDU/CSU), each produced an ad called “The Ball”
(“Die Kugel”) in a television format. Both ads were exceptional for German election
campaigns. On the one hand, the spots were remarkable because they referred to each other:
The SPD spot was a parody of the CDU spot. Interaction between campaign spots is not
common in Germany because of the specifics of the television system. In 1984, the
broadcasting system was split up into public and private channels. According to a series of
decisions by the Federal Constitutional Court, the two public TV channels (ARD and ZDF)
have to fulfill the task to inform the public. To do so in the context of elections, public
television does not only cover the campaign but also provides free airtime for the campaign
spots of every political party allowed to participate in an election. In national and European
elections, each channel provides air time for eight spots with a maximum length of 90
seconds for the two major parties CDU and SPD, four spots for all other parties represented
in the national parliament, and two spots for small parties not represented in the national
parliament (see Holtz-Bacha, 2000). Because the number of free spots is strictly limited, the
number of spots produced for the campaigns is very small – usually, the parties produce only
a single spot. As a consequence, televised campaign ads do not refer to each other. Parties are
also allowed to air campaign spots on private TV channels, where they have to buy
commercial time at regular market prices. Because this is very expensive, only the two major
parties regularly make use of this opportunity. But in order to keep the costs within
reasonable limits, they usually shorten the spots produced for public TV.
On the other hand, the two spots were extraordinary for German campaigns because
of their degree of negativity. German campaign spots generally have a positive tone. Longterm studies show that criticizing statements or attacks against the political opponent appear
only in about three out of ten spots aired in the context of national elections (see HoltzBacha, 2000; Holtz-Bacha & Kaid, 1995). Critical statements are very seldom found in the
spots of the two major parties. Between 1957 and 1998, the CDU and SPD expressed critique
in only 15 respectively 23 percent of the sequences in their campaign spots. Of course, the
number of critical statements was even lower at the times when the CDU or respectively SPD
AUDIENCE REACTIONS TO NEGATIVE CAMPAIGNS SPOTS
342
were in government and above average when they were in opposition (see Holtz-Bacha,
2000). In contrast, the CDU version of “The Ball” contains 13 verbal statements, eight of
which (62 percent) are critical of or attack the government. The rebuttal of the SPD consists
of six verbal statements; five of them (83 percent) were a direct attack on Angela Merkel.
The unusualness of both versions of “The Ball” raises the question how voters reacted
to these commercials. This paper focuses on the perception, evaluation, and impact of these
spots on attitudes towards parties and candidates which are analyzed on the basis of an
experimental study conducted with a sample of German citizens. To do this, we start with a
brief review of the research on the impact of televised ads in Germany. After a description of
the data and the stimuli shown to the participants of our study, we analyze the perception and
evaluation of the two spots. Finally, we focus on the impact of the campaign spots on party
and candidate evaluation.
Research on Televised Ads in German Elections
For German voters, televised campaign spots are one of the sources of information
used most frequently in the course of election campaigns (see, e.g., Holtz-Bacha, 2000;
Kliment, 1994; Schmitt-Beck, 2002; Semetko & Schönbach, 1994). Because campaign spots
are broadcasted directly before or after the major evening newscasts as well as in between
entertainment programs they usually draw a large audience. Generally speaking, the reception
of political television advertising is not related very strongly with voters, demographic or
political characteristics (see Holtz-Bacha, 1990). Although there is a greater probability that
people with a high level of political interest will watch campaign ads, a major part of the
reached audiences consists of voters with low levels of political interest (see Holtz-Bacha,
2000). Müller (2002) shows that about two thirds of the electorate saw at least one spot aired
at prime time on public TV during the last four weeks of the 2002 German national election
campaign; the average number of spots seen by the voters was 4.4. Compared to other
countries like, e.g., the United States, this number is rather small. In fact, it is only about one
quarter to one half as many contacts per ad as recommended by American campaign
managers in order to have effects on political attitudes (e.g., Filzmaier & Plasser, 2001). As a
consequence, in Germany it is unrealistic to expect any great changes of opinions by
watching campaigns spots. Maybe this is the reason why most of the German campaign
managers think that televised ads are not a very important type of advertising (see Müller,
2002).
The low expectations concerning the impact of campaign spots might be an
explanation why only few studies have focused on this particular topic within the context of
German election campaigns. Research on the effects of televised political advertising in
Germany started with a study of Holtz-Bacha (1990) on the European Union parliamentary
elections in 1984 and 1989. Based on survey data, her findings suggested that exposure to
campaign ads had a substantial positive impact on the attitudes toward the EU as well as
toward the European integration process. In addition, voters who frequently watched
campaign spots had a more favorable opinion about the campaign than voters who were not
exposed to that kind of advertising. Experimental research on the 2004 European Union
parliamentary election conducted with a student sample showed that the reception of
campaign spots negatively affected the evaluation of the political parties as well as the
attitudes toward EU membership (see Esser, Holtz-Bacha, & Lessinger, 2005). In contrast,
watching campaign spots had no impact on political involvement, on most of the attitudes
toward the EU and the European integration process, as well as on voting intentions. Esser,
Holtz-Bacha, and Lessinger (2005) concluded that campaign spots do not change but
reinforce political attitudes. Based on an experiment with a citizen sample, Maier and Maier
343 Jürgen Maier and Michaela Maier
(2005) observed that watching campaign spots increased the knowledge about the top
candidates and changed the perception of the parties’ position toward the European
integration process. Although no effects were found on the voters’ agenda of the most
important problems, the reasons for voting for a particular party (but not the voting decision
itself) changed after the respondents had watched the spots. In addition, Maier and Maier
(2005) found that exposure to campaign ads tended to decrease political involvement. In
another experiment with a student sample, they showed that especially for politically
unaffiliated voters the impact of political ads on interest in the campaign depends on the
evaluation of the spots (see Maier & Maier, 2006). In general, the studies on the impact of
European election campaign spots made clear that televised political advertising can alter
political attitudes but those effects are – all in all – rather small.
The very first studies on the impact of televised ads aired during German national
elections campaigns were conducted in 1990. Based on a panel study of West German voters,
Semetko and Schönbach (1994) found only weak evidence that exposure to televised ads
increased interest in the election. In addition, effects of TV spots on attitudes toward the
political parties and their top candidates only occurred for the post-communists, the PDS (see
Schönbach & Semetko, 1994; Semetko & Schönbach, 1994). In contrast to this, experimental
studies with student samples showed that watching campaign ads caused only minor changes
of the overall evaluation but had larger effects on the image of the chancellor candidates. The
direction and the size of the effects depended on gender as well as on the fact if the students
lived in East or West Germany (see Holtz-Bacha & Kaid, 1995; Kaid & Holtz-Bacha, 1993a,
1993b). In addition, Kaid and Holtz-Bacha (1993a) showed that watching televised ads
evoked feelings about the spot. Those feelings moderated the impact of the party
commercials: While positive feelings, like optimism, or excitement caused positive changes
of the candidates’ images, negative feelings, like concernment, resulted in the deterioration of
the images of the top candidates.
In the context of the 2005 German national election, Kaid and Postelnicu (2006)
realized an online experiment with German students who watched either the CDU or the SPD
version of “The Ball” or both spots. They showed that the CDU spot had a significant,
negative impact on the evaluation of Gerhard Schröder. In contrast, neither watching the SPD
ad nor exposure to both spots significantly changed candidate orientations. Kaid and
Postelnicu (2006) concluded that the SPD spot obviously cancelled out the negative effect of
the CDU ad. In addition, they could not prove an impact of the spots on political cynicism but
were able to show that the CDU spot substantially increased internal efficacy.
In summary, research has generated some evidence that campaign ads aired in the
context of German national elections can affect attitudes toward the top candidates. In
addition, the only study published so far on the impact of the two versions of “The Ball”
indicates that negative ads seem to work in the intended way, i.e. they damage the image of
the political opponent.
Data and Stimuli
In order to test the impact of televised campaign spots on political attitudes and
behavior, on August 31st (i.e. one week after the launch of the campaign ads and 19 days
before the election for the German parliament) an experiment was conducted among 51
citizens from Landau, a small city in Rhineland-Palatinate.1 In addition, a control group of 20
1
Recruitement of subjects took place according to a previously set up sampling plan which
controlled for sex, age, and education. Whereas men and women were represented almost
equally among the participants (49 vs. 51 percent), there were some divergences in reference
AUDIENCE REACTIONS TO NEGATIVE CAMPAIGNS SPOTS
344
citizens was recruited. 2 Six campaign spots from the parties represented in the national
parliament were shown to the participants of the experiment. The second last spot shown was
the CDU version, the last spot the SPD version of “The Ball”. After each spot, the subjects
were asked to fill out a short questionnaire regarding their impressions of the particular ad,
specific political attitudes, as well as their voting intentions. In addition, before the reception
of the very first spot and after the last spot participants had to fill out an extensive
questionnaire about their political involvement, their attitudes towards the political parties,
the candidates, and the political issues relevant in this campaign, about their voting behavior,
media diet, and demographics. Finally, 50 participants were able to place second-by-second
responses to the spots during the reception (“real-time response measurement”). To do so,
they were provided with 7-point dials with a scale from -3 (“very bad impression of the
spot”) to +3 (“very good impression of the spot”) which transmitted the ratings by the
respondents to a central computer every second.
The content of the CDU spot shown to the participants of the study may be
summarized as follows: A man drops a metal billiard ball on a conference table located in a
dusky room. The ball rolls over the table, hits several objects like, e.g., pencils and a glass of
water, and leaves them in disorder or broken. As the ball moves, a male voice from the off
speaks about the poor economic performance of the government during the last seven years.
Shortly before the ball falls from the table, Angela Merkel stops it with her hand, talks about
leadership and her political goals, and asks for political support in the upcoming election.
The spot of the SPD was only provided in the internet and not aired on television. 3
This spot was a rebuttal to the CDU spot and shows a woman juggling with a metal billiard
ball similar to the one in the CDU spot. Although the face of the woman is not shown, it is
obvious from the clothes that she wears that this woman is supposed to represent Angela
to participants’ age (18-29: 43 percent; 30-44: 28 percent; 45-59: 22 percent; 60 and above: 8
percent) and education (elementary education: 10 percent; modern secondary school
education: 22 percent; A levels/high school: 55 percent, still in school: 14 percent). In
reference to party affiliation, which was not assessed beforehand, it was found that
government supporters participated in the survey significantly more often than supporters of
the opposition parties (CDU/CSU: 33 percent; SPD: 22 percent; FDP: 0 percent; Bündnis
90/Die Grünen: 26 percent; PDS: 2 percent; no party identification: 14 percent, no answer to
this question: 4 percent). All participants applied for the study in response to ads published in
the daily newspaper “Die Rheinpfalz” as well as in a free weekly local newspaper and
received an incentive of 15 Euros. For further details about the design of the study see Maier,
Maier, & Klietsch (2006).
2
The control group was recruited from visitors of a movie theatre, while the experimental
study was conducted at the University. The composition of this group is as follows: men: 50
percent; 18-29 years: 70 percent, 30-44 years: 25 percent, 45-59 years: 5 percent, 60 years
and older: 0 percent; elementary education: 20 percent; modern secondary school education:
30 percent; A levels/high school: 45 percent, still in school: 5 percent; identification with
CDU/CSU: 40 percent, SPD: 15 percent, FDP: 5 percent, Bündnis 90/Die Grünen: 20
percent, Die Linkspartei. PDS: 0 percent, no party identification: 20 percent. None of the
differences between experimental and control group are statistically significant on the level of
p<.05. All participants of the control group received an incentive of 10 Euros.
3
The SPD spot can still be downloaded (e.g., http://www.spd.de/prjspdwkportal05/mediabrowser/html/tv_spot03.html).
3
The SPD spot can still be downloaded (e.g., http://www.spd.de/prjspdwkportal05/mediabrowser/html/tv_spot03.html).
345 Jürgen Maier and Michaela Maier
Merkel. The spot starts when the woman catches the ball falling from the table and begins to
toss the ball back and forth between her hands. From the off, a male voice describes Merkel
as a flip-flopper, who cannot decide about her political goals. Finally, the woman looses
control over the ball, it falls down and the voice states that Merkel is not able to decide what
to do, but the voters can.
Perception of the Spots
In the sample of West German citizens, both versions of “The Ball” left unfavorable
impressions. 4 Immediately after having watched each spot, the participants of the study were
asked how they liked the particular ad. Most people did not like them: 26 percent enjoyed the
CDU spot and 38 percent disapproved of it. On average, the spot received a negative rating of
-.20 on a 5-point scale from -2 (“did not like the spot at all”) to +2 (“liked the spot very
much”). The evaluation of the SPD ad was, on average, even worse. 38 percent rated this spot
positively, but 50 percent had negative feelings; the average evaluation was -.30.
More detailed information about the impressions that both spots evoked was provided
by the real-time response measurement applied in this study. As Figure 1 shows, the
1
0,5
0
-0,5
CDU
SPD
-1
0
10
20
30
40
50
60
Time in seconds
Figure 1. Perception of the Spots: Data from Real-time response measurement (7-point
scale from -3 to +3).
4
It is unlikely that a larger number of participants of the study had had the chance to
develop an attitude toward the spots beforehand because the CDU as well as the SPD ad were
largely unknown in the sample. Only 14 percent of the participants of the study had seen the
CDU version of “The Ball”. Eight percent had taken a look at the parody of this ad provided
on the web site of the SPD. Only one person had watched both spots.
AUDIENCE REACTIONS TO NEGATIVE CAMPAIGNS SPOTS
346
evaluation of the CDU as well as the SPD version of “The Ball” continuously dropped during
the course of the spot. At the end of the 30-second spot of the SPD, the average rating was .49. The CDU spot, which was twice as long as the SPD ad, showed an almost similar trend
up to the moment when Angela Merkel stopped the ball (second 31) and started to talk about
what would have to be done in Germany by the future government. After that, the spot
evaluation went up and down. The most negative average rating the spot received was -.80.
During the last 20 seconds, the spot rating dramatically improved. At its end, the average
rating of the spot was -.15. Obviously, the participants of the experiment did not appreciate
the attacking parts of the ads, but when the CDU spot started to talk about what would have
to be done in the future and the Christian Democrats claimed that they could solve the
problems, the average spot evaluation sharply increased. The explanation for this reaction is
that there is no culture of negative or comparative advertising in Germany. This is not only
true for political advertising but also for regular consumer products for which comparative
advertising was forbidden by German law and regarded ethically condemnable until
European law allowed it in 1997. 5 First attempts to introduce comparative and therewith
negative advertising in Germany only caused negative reactions in the public and thus were
abandoned. Having this in mind, it’s easy to understand why the participants in the study did
not like this way of advertising.
Even if the CDU spot created somewhat more favorable (but on average still negative)
impressions toward its end, Table 1 shows that the mean score measured with help of the
real-time response technique was almost the same for both spots (-.34 vs. -.31). This result
supports the findings of the spot evaluation by the questionnaires. 6 Females perceived both
spots more negatively than males. While in the case of the CDU spot, younger participants
had the most negative impressions, the SPD received its worst evaluations from older
persons. In both cases, subjects with a medium level of education gave the most
Table 1: Mean Value of Real-time Response Measurement by Social and Political
Groups
CDU spot
SPD spot
N
Total sample
-.34
-.31
50
Male
-.25
-.01
24
Female
-.43
-.59
26
18-29 years
-.45
.14*
21
30-44 years
-.48
-.38
14
45-59 years
-.01
-.98
11
60+ years
-.25
-.66
4
Low education
.12
-.68**
5
Medium education
-.58
-1.06
11
High education
-.34
-.02
34
Identification SPD or Green Party
-1.12***
-.07*
24
Identification CDU/CSU or FDP
.96
-.78
16
No/other party identification
-.58
-.50
10
Note. Data from Real-time response measurement; 7-point scale from -3 to +3.
Level of significance: * p<.1, ** p<.05, *** p<.01.
5
For the European law see EU-Richtlinie 97/55/EG from October 9th 1997. For the German
implementation see UWG (2004).
6
The mean values of the real-time responses measurement were strongly correlated with the
general spot evaluation reported in the questionnaires. For the CDU the correlation was .78
(p<.001), for the SPD .66 (p<.001).
347 Jürgen Maier and Michaela Maier
negative ratings. Finally, spot evaluation heavily depended on party attachment in the
expected direction (i.e. supporters of the governing parties had a positive impression of the
SPD and a negative impression of the CDU spot, while the evaluations by supporters of the
opposition were opposite). Persons without party identification perceived both ads as clearly
negative.
The all in all negative evaluations of the two ads are not only to be seen as a function
of social or political characteristics of the respondents of the study but also a consequence of
the strong deviation of the spots from the German notion of an “ideal” campaign spot (Table
2). Such an ideal spot, according to the statements of the test persons, should provide
credible and convincing information presented in an interesting (but serious) way. In
addition, it should cast a favourable light on politicians. The last thing what a campaign spot
in Germany should do is to be provoking, aggressive, or to attack the political opponent.
Both, the CDU and the SPD spot, differed significantly from the ideal televised ad on almost
all dimensions. In the case of the CDU, the difference was especially large with respect to
attacking the political opponent. For the SPD spot (which in sum showed a significantly
stronger deviation from the ideal spot than the CDU ad), the most salient differences were
the lack of credibility and the high amount of aggression.
AUDIENCE REACTIONS TO NEGATIVE CAMPAIGNS SPOTS
348
Table 2:Characteristics of an ideal campaign spot, the CDU spot, and the SPD spot
An ideal campaign spot…/
the CDU (SPD) spot…a
Ideal spot
CDU spot
SPD spot
.08***
.33***
.90***
.66***
.78***
.60***
.58***
…should be/was credible
1.70
…should be/was convincing
1.51
…should/did provide information
1.50
.02***
…should be/was interesting
1.22
.00***
…should be/was not boring
1.16
…should/did show responsible politicians
.96
…should have/had style
.88
…should/did show competent politicians
.78
…should/did show energetic politicians
.38
…should show/showed congenial politicians
.36
…should show/showed no pessimism
.34
…should/did show appealing pictures
.32
.52***
.12***
.16***
.42***
.30***
.53***
.65
…should be/was imaginative
…should be/was entertaining
…should have/had good music
.24
.04
-.04
.22***
-.02
-.14
-
…should be/was not worrying
-.13
-.42
…should be/was funny
-.22
1.18***
…should be/was provoking
-.76
.78***
…should be/was aggressive
-1.04
.63***
…should/did attack the political opponent
-1.14
Mean squared difference to ideal spot
N
50
1.24**
*
3.92**
*
50
.86***
.30***
.84***
.04
.02
.86***
-.04
1.50**
*
1.36**
*
5.26
50
Note. a 5-point scales from -2 (“does not apply at all”) to +2 (“fully applies”). - = Item was
not asked for the SPD spot.
Levels of significance: * p<.1, ** p<.05, *** p<.01.
349 Jürgen Maier and Michaela Maier
Party identification and the perceived difference of the ads from an ideal spot were
the most powerful variables explaining the general spot evaluation (Table 3). In both cases,
the impact of the discrepancy between the spots shown to the participants of the study and
their notion of an ideal campaign spot was clearly stronger than the effect of their party
attachment. All other variables (i.e. sex, age, education) had no statistically significant
effects on spot evaluation.
Table 3: Determinants of the evaluation of the CDU and the SPD spot
CDU spot
SPD spot
2
Adjusted R
.39
.42
Sex
.17
-.16
Age
-.06
-.14
Education
-.04
.10
Strength of party identification
.32**
.33***
Mean squared difference to ideal spot
-.51***
-.41***
N
50
50
Note. Presented are the results of an OLS-regression analysis, standardized regression
coefficients.
Levels of significance: * p<.1, ** p<.05, *** p<.01.
Impact of the Spots
As the final aspect of this paper, the impact of the campaign spots on the attitudes
towards parties and candidates will be analyzed. The impact of the spots on the evaluation of
the two parties CDU/CSU and SPD was rather small and always insignificant (Table 4). Both
the CDU and the SPD spot had slightly negative consequences for the evaluation of the
Social Democrats. After having watched both versions of “The Ball”, the evaluation of the
Table 4: Impact of the CDU and the SPD spot on party and candidate evaluation
CDU spot
SPD spot
After both spots
a
SPD
Pretest
.30
.22
.30
Posttest
.22
.12
.12
Difference
-.08
-.10
-.18
CDU/CSUa
Pretest
.26
.18
.26
Posttest
.18
.22
.22
Difference
-.08
+.04
-.04
Schrödera
Pretest
.02
.10
.02
Posttest
.10
.06
.06
Difference
+.08
-.04
+.04
Merkela
Pretest
.10
-.16
.10
Posttest
-.16
-.06
-.06
Difference
-.26*
+.10
-.16
N
50
50
50
Note. a Scales from -5 (“does not like [party, politician] at all”) to +5 (“like the [party,
politician] very much”).
Levels of significance: * p<.1, ** p<.05, *** p<.01.
AUDIENCE REACTIONS TO NEGATIVE CAMPAIGNS SPOTS
350
SPD dropped about -.18 scale points. In the case of the CDU, the original spot had a small
negative impact, while the rebuttal had a small positive effect. After the reception of both
spots, the participants had only a slightly more positive feeling about the CDU (+.04).
Looking at the evaluations of the two chancellor candidates, the picture of the limited
impact of the two spots does not change very much. In the case of Schröder, the CDU spot
had a small positive effect, while the SPD spot had a minor negative influence. After subjects
had watched both ads, Schröder received slightly better evaluations from the participants of
the experiment (+.04). The CDU spot had a significantly negative impact on Merkel, while
the SPD had a small positive effect. After having watched both spots, Merkel’s image had
suffered (-.16) instead of improved.
All in all, it appears that the CDU spot damaged the image of the Christian Democrats
and their top candidate Angela Merkel instead of improving her standing before the elections.
At the same time, the SPD spot had a negative impact on the Social Democrats as well as on
Schröder. Considering this backlash effect, the main intention of both spots – namely to
damage the image of the political opponent – did not work very well. Only in one case (the
impact of the CDU spot on the evaluation of the SPD), an ad was successful in this respect.
Reactions to the campaign spots, of course, were not uniform, but the responses of the
participants depended on their spot evaluation. At the same time, the reactions did not always
follow a common, clearly visible pattern. Again, there were only few significant effects of the
two campaign spots (Table 5): First, for those respondents who liked the CDU spot an
Table 5: Impact of the CDU and the SPD spot on party and candidate evaluation by
spot evaluation
CDU spot
SPD spot
SPDa
Total sample
-.08
-.10
Negative evaluation
-.09
-.15
Neutral evaluation
-.17
-.50
Positive evaluation
.00
+.11
CDU/CSUa
Total sample
-.08
+.04
Negative evaluation
-.11
+.03
Neutral evaluation
-.11
-.17
Positive evaluation
+.23*
-.11
a
Schröder
Total sample
+.08
-.04
Negative evaluation
+.09
-.05
Neutral evaluation
+.06
-.50
Positive evaluation
-.08
+.05
Merkela
Total sample
-.26*
+.10
Negative evaluation
-.31*
.00
Neutral evaluation
-.06
+.33
Positive evaluation
+.08
+.16
N
50
50
Note. a Scales from -5 (“does not like [party, politician] at all”) to +5 (“like the [party,
politician] very much”).
Levels of significance: * p<.1, ** p<.05, *** p<.01.
increase of +.23 for the sympathy rating for the CDU/CSU occurred. Second, for those who
had negative impressions from the CDU ad, a strong backlash effect for Angela Merkel can
351 Jürgen Maier and Michaela Maier
be observed (-.31). In addition, there are two interesting relationships between spot
evaluation and the direction of their effects: On the one hand, attacking the political opponent
generally did not have the intended consequences. In three out of four cases, a positive
evaluation of a spot did not lead to poorer evaluation of the attacked party or person. On the
other hand, there is a tendency that unfavorably rated televised ads damaged the image of
parties and politicians – of those who were target of the attack and of those who produced the
spot.
Some studies in the field of political communication argue that negative campaign ads
increase the voter’s skepticism about the political system and its representatives. In the
context of this analysis, this would mean that the acceptance of both parties, respectively both
candidates, should suffer from the reception of the spots. In order to measure those effects, an
composite measure based on the score of the best-rated party (and in analogy to this, an index
based on the score of the best-rated candidate) was created (see, e.g., Rattinger, 1993; Maier,
2000). This indicator is very common in Germany to measure dissatisfaction with political
parties. The logic behind this index is that the evaluation of political parties largely depends
on individual party attachments. Persons who have a specific party identification usually
evaluate “their” party more favorably than other parties. Although those people have negative
feelings toward many other parties, they are not dissatisfied with the political parties because
they have a clear-cut picture of the political world. Because of the selective perception and
processing of information, it would be no surprise if watching campaign spots would increase
the positive image of the party a voter is attached to and at the same time lead to more
negative evaluations of other parties. If, in contrast to this, the reception of negative
campaign spots would be followed by a decline of the created composite measures that would
be a strong indicator for political cynicism caused by negative campaign spots.
After watching the two versions of “The Ball”, none of the six possible effects
analyzed here were statistically significant (Table 6). Nevertheless, after the exposure to the
Table 6: Impact of the CDU and the SPD spot on best party/best candidate evaluation
CDU spot
SPD spot
After both spots
a
Best party evaluation
Pretest
2.56
2.44
2.56
Posttest
2.44
2.46
2.46
Difference
-.12
+.02
-.10
Best candidate evaluationb
Pretest
2.12
2.16
2.12
Posttest
2.16
2.20
2.20
Difference
+.04
+.04
+.08
N
50
50
50
Note: a Index based on the best evaluation for CDU/CSU and SPD; index ranges from -5
(“does not like both parties at all”) to +5 (“likes at least one of the parties very much”). b
Index based on the best evaluation for Schröder and Merkel; index ranges from -5 (“does not
like both candidates at all”) to +5 (“likes at least one of the candidates very much”).
Levels of significance: * p<.1, ** p<.05, *** p<.01.
CDU spot, the index score dropped somewhat (-.12) ad rose negligibly after the reception of
the rebuttal (+.02). In sum, both spots slightly weakened the positive feelings toward the two
parties (-.10). In the case of candidate evaluation, the opposite effect occurred. Both spots
caused a small, but uniform increase of candidate evaluations (each +.04). In sum, watching
the two negative campaign ads strengthened the feelings toward the candidates (+.08).
AUDIENCE REACTIONS TO NEGATIVE CAMPAIGNS SPOTS
352
When we, once again, put aside the assumption that all participants of the experiment
reacted in the same way to the campaign spots and analyze the effects of the ads by spot
evaluation, the effects of the campaign spots on citizens’ satisfaction with the major political
parties and the chancellor candidates became stronger. Interestingly, the effects on the index
of best party evaluation for the single spots are not very strong and not consistent (Table 7).
Table 7: Impact of the CDU and the SPD spot on best party/best candidate evaluation
by spot evaluation
CDU spot
SPD spot
After both spotsc
a
Best party evaluation
Total sample
-.12
+.02
-.10
Negative evaluation
-.37
+.04
-.89
Neutral evaluation
-.11
-.17
-.07
Positive evaluation
+.23*
+.05
+.15*
Best candidate evaluationb
Total sample
+.04
+.04
+.08
Negative evaluation
+.05
-.08
-.44
Neutral evaluation
.00
+.50
+.29
Positive evaluation
+.08
+.05
+.15
N
50
50
50
Note. aIndex includes the best evaluation for CDU/CSU and SPD; index ranges from -5
(“does not like both parties at all”) to +5 (“likes at least one of the parties very much”).
b
Index includes the best evaluation for Schröder and Merkel; index ranges from -5 (“does not
like both candidates at all”) to +5 (“likes at least one of the candidates very much”). cIndex of
best spot evaluation, includes the best evaluation for the CDU and the SPD spot; index ranges
from -2 (“does not like both spots at all”) to +2 (“likes at least one of the spots very much”).
Levels of significance: * p<.1, ** p<.05, *** p<.01.
The only exception from this is the impact of the CDU spot: After watching this ad, persons
with a positive spot evaluation showed a significant increase of the best party evaluation. In
contrast to this, participants who passed a negative sentence about the spot evaluated the
party more negatively after than before watching the ad. However, this picture changes
considerably if we analyze the impact of the campaign ads after the reception of both spots.
For participants who had a positive impression about at least one of the spots, the image of
the two major parties as well as of the chancellor candidates somewhat improved (+.15). In
the case of the parties, this increase is statistically significant. Those subjects who evaluated
both spots negatively also rated parties and candidates more negatively after watching the ads
(-.89 and -.44, respectively). Although both effects are not statistically significant, this seems
to be a clear indication that negative campaign spots can foster political dissatisfaction.
Summary and Conclusion
The two campaign spots examined in this paper were exceptional for Germany
because of their explicit attacks on the political opponent and the fact that one referred to the
other. German campaign spots primarily have a positive valence and due to the small
numbers of spots produced and aired in the course of a campaign, rebuttals are unfamiliar to
German voters. Thus, the question in focus of this paper was how German voters reacted to
these spots. The short answer is: not very favorably. Both spots received, on average,
negative evaluations by a sample of German citizens who watched the ads in an experimental
353 Jürgen Maier and Michaela Maier
setting. In addition, real-time response measurement showed that negative feelings toward the
spots occurred as long as the political opponent was being directly attacked.
Although the average ratings of the two spots were negative, the impact of the ads on
party and candidate orientations was quite limited and only in few cases statistically
significant. Nevertheless, it was obvious that both, the CDU and the SPD spot, were not able
to damage the image of the particular political opponent but rather caused a negative backlash
on the evaluation of the own party respectively the own candidate. This pattern is, of course,
the opposite of the results reported by Kaid and Postelnicu (2006) for young German voters.
A differentiation of the impact of the two ads by positive, neutral, and negative spot
evaluations made clear that even in the case of positive assessments of the ads, negative
campaigning did not work in the intended way (i.e. damaging the image of the political
opponent). Moreover, in the case of negative evaluation the ads tended to belittle the
reputation of both parties and both chancellor candidates.
This observation leads to the question whether negative campaign spots foster
dissatisfaction with parties and politicians in general. The results of the simple pretestposttest comparison yielded no effects. Again, after analyzing the effects for those
participants who liked the spots and for those who did not, a much clearer pattern emerged –
especially if we take a look at the changes of party and candidate evaluations after the
reception of both spots. For those persons who liked at least one of the ads, the image of the
parties as well as of their top candidates slightly improved. In contrast to this, for those
participants who rejected both spots, dissatisfaction with parties and politicians increased.
This result also differs from the findings of Kaid and Postelnicu (2006) reporting that the two
negative ads did not create political cynicism among young voters.
This study (like most of the other studies in this field, too) has, of course, its
limitations – limitations which are typical of experimental research. In addition, we have to
admit that the subsequent viewing of both versions of “The Ball” was highly unlikely for
German voters, as the SPD spot was only available in the internet. Although the reception
situation created in this experiment was not very realistic, the results presented in this paper
confirm other analyses reporting that campaign spots are able to influence German voters. As
the findings of previous studies on the impact of televised advertising in the course of
German election campaigns are very mixed, further research on this topic is strongly
recommended.
AUDIENCE REACTIONS TO NEGATIVE CAMPAIGNS SPOTS
354
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Human Communication. A Publication of the Pacific and Asian Communication Association.
Vol. 10, No. 3, pp. 357 – 386.
A Comparison of Role Models
Among Japanese, Korean and Chinese University Students
Masao Nakabayashi
Former Kansai Gaidai College
Yumi Hasegawa
Daejin University
Yang Yi
Kansai Gaidai University
A Comparison of Role Models 358
Abstract
The purpose of this paper is to clarify the common and different views concerning role
models respected by university students in Japan, Korea and China, based on the survey of
questionnaires. This paper reports the analysis of one question regarding the respected role
models, “Write the names of three people you respect in the order that you respect.”
The results were compared among the countries and derived some interesting tendencies.
Japanese students respected “present Japanese (e.g., Ichiro),” while Korean and Chinese
students respected “historical people (e.g., Lee, Sun-Shin).” From the viewpoint of
Confucianism, many different factors were found and some suggestions were described based
on the detailed analysis.
359 Masao Nakabayashi, Yumi Hasegawa, and Yang Yi
Introduction
The aim of this paper is to clarify the common and different views concerning role
models (public figures) respected by university students in three Asian countries (Japan,
Korea and China), based on the survey of questionnaires. A modern society is said to have
multiple and diversified values. As this term suggests, it is pointed out that the variation in
living environments has weakened human traditional values and world-view and also the
bondage with life styles. On the other hand, there is a weak point that this variation may make
people destroy the conviction toward their own value as well as life styles and useful life. In
short, in a society putting much emphasis on individualization and diversification, there is a
fear that people might lack common ideal, values and norms.
How do those three countries once having had a common cultural background evaluate
the feature of multiple values? Generally speaking, when the values of the three countries are
compared as an attitude toward seniors, Chinese and Korean people put more emphasis on
duty to their parents while the Japanese highly value loyalty. In other words, from the senior
author’s studies, it is a common view that “owing to the effect of Confucianism, Chinese and
Koreans continue to have dutiful spirits, while the Japanese have maintained a loyalty spirit
since the feudal period, both of which fundamentally have never changed.”
The respondents were 162 Japanese, 102 Korean and 100 Chinese university students,
totaling 364 students. Two questions were asked: write the names of three people you respect
in the order that you respect the most and is either of your parents included among them? Tell
the reasons why. If the result of this survey concerning respected people by the students in the
three countries is reviewed, is this common view appropriate? The category is explained at the
beginning, respected people by students of the three countries are broken down, and the
features of every country are compared. Finally, the reasons for the common and different
views and their background will be reviewed and analyzed.
This paper is the analysis of two questions concerning the respected role models to
them. All the data obtained were carefully analyzed and examined from the viewpoints of
their values. Finally, the results were compared among the three countries and derived some
interesting tendencies. For instance, Japanese students respected “present Japanese,” while
Korean and Chinese students respected “historical people.” From the viewpoint of
Confucianism, many different factors were found and some suggestions were described based
on the detailed analysis.
Method
The questionnaires consist of fifteen questions, which were translated into Korean and
Chinese from a Japanese text (Appendix 1). The questions adopted for this paper are only No.
A Comparison of Role Models 360
6 as follow.
6. Please write the names of three people you respect in the order that you respect the most.
(1) First
(2) Second
(3) Third
Examinees are listed below and the survey in Korea was carried out in March 2005, in
Japan in April 2005 and finally in China in November 2005.
Japanese students: Kansai Gaidai College = 49
Kwansei Gakuin University = 113
Total= 162 students
Korean students: Daejin University = 102 students
Total= 102 students
Chinese students: Guanxi Normal University = 50
Nanjing University = 50
Total= 100 students
Grand Total = 364 students
Note: Most students are freshmen and sophomore. Junior and senior are a few.
Categories and Results
The detailed results of this survey are shown in the Appendix 2 as follows and the
graphs of comparison are shown in the middle of this paper.
Table 5: Summary of Role Models Respected by Students in the Three Countries
(Appendix2)
Table 6: Respected Role Models in Japan (Appendix 2)
Table 7: Respected Role Models in Korea (Appendix 2)
Table 8: Respected Role Models in China (Appendix 2)
Based on the analysis, the outline of role modes for each country is described and a
comparison among the three countries is made to highlight some different points.
As to the question No.6, the students in the three countries were requested to write
three people from first to third. However, some students except Korean students named more
or less than three people. Actually Japanese students named 488 people, Korean students
chose exactly 306 people and Chinese students named 301 people. As many as 1,095 people
were named and classified by groups in order to understand which kinds of role models are
respected by the students.
361 Masao Nakabayashi, Yumi Hasegawa, and Yang Yi
Categories
Concerning the category, the following procedure was carried out. First, the large
group was divided into two groups; Group 1 in Table 1 and Group 2 in Table 2. The former is
the group consisting of individuals, families, intimate friends, and no answers. The role
models in this group (excluding unclear or no answer) are mainly those persons that students
know very well through their experiences. Therefore, those persons become respected persons
for students after having met and/or talked with them.
Table 1: Category Group 1
family with blood relation = f
former teacher or present teacher = t
personal acquaintance = k
oneself = m
no answer = z
Answered but unclear = x
On the contrary, those role models in Table 2 are the group of people who are difficult
or impossible for students to have a chance to directly meet and/or talk with. It can be said
that those persons become respected figures after students come to know them as the result of
seeing them through the media such as books, newspapers, televisions and/or the Internet, or
being informed of them by other people. Further, the role models in Group 2 are divided into
three sub-categories. The first category is alive or dead, in other words, contemporary or past
persons. The next one is nationality. This category clarifies whether they are native people or
non-native people (foreigner). Finally, the third group is the main occupation and contribution
of those role models.
However, there are some people that have multiple contributions, for example, a
person that was once famous as an activist (active in politics) became a politician. Some may
want to respect their growth itself. This time, however, the main contributions of respected
people were categorized.
For example, for Japanese, Ichiro, a Japanese baseball player, belongs to pr-na-4,
because he is a contemporary baseball player who is very active in the Major League. In other
words, he is a contemporary native (Japanese) baseball player. Further, in the case of Korea,
Lee, Sun-Shin is a historical native person (Korean) classified in pa-na-9. Lee, Sun-Shin was
a famous general who defeated Japanese navy in 1592
A Comparison of Role Models 362
Table 2
Category Group 2
First Category(alive)
pa = historical people
pr = present people
px = unclear
Second (Nationality)
na = native
nn = on-native
nx = unclear
Third Category (Occupation)
1= scholar
2= politicians
3= activist
4= sports player, athlete
5= national symbol, top-leader
6= religionist
7= celebrity, singer, star, comedian
7= artist, novelist, photographer etc.
9= serviceperson, general
10= financier, manager
11= philosopher, thinker, educator
0= others
.
3.2 Results – Outline –
The Graph 1 to 5 are showing the results of the survey (more details, Table 5-8 in
Appendix 2).
Graph 1
Ratio of Respected Role Models
40
30
% 20
10
0
Japan
Korea
China
parents/
fam ily
32
33.3
35.5
acquaintance
teacher
oneself
6.5
2.3
0.7
5.6
2.9
6.3
0
1.6
0.7
363 Masao Nakabayashi, Yumi Hasegawa, and Yang Yi
Graph 2
Historical People or Present People?
60
40
%
20
0
Japan
Korea
China
historicalpeople present people
14.3
30.7
46.2
15
8.5
3.7
unclear
0.8
0
1
Graph 3
Native or Non-native?
60
40
%
20
0
Japan
Korea
China
native
16.1
33.7
43.2
non-native
13.4
5.6
6.6
unclear
0.6
0
1
A Comparison of Role Models 364
Graph 4
Historical or Present Native or Non-native
40
30
% 20
10
0
Japan
Korea
China
pa-na
6.5
26.1
40
pa-nn
7.8
4.6
6.3
pr-na
9.6
7.5
3.3
pr-nn
5.1
1
0.3
pa-na = historical people and native
pa-nn= historical people and non-native
pr-na= present people and native
pr-nn= present people and non-native
Graph 5
Occupation and Performance of Respected
35
30
25
%
20
15
10
5
0
Japan
Korea
China
C.1
1.6
2
7
C.2
0.7
2.9
31.2
C.3
3.8
3.9
0.3
C.4
6.7
0
0
C.5
2.5
14.4
2.7
Japan
C.6
0.4
1
0
Korea
C.7
6.3
0.3
0.3
C.8
2.9
1.3
3.7
C.9
1.6
7.8
1.7
C.10 C.11
0.9 1.1
4.2 0.7
0
3.7
C.0
0.4
0.7
0.3
China
3.2.1 Role Models Japanese Students’ Respect – Outline –
Those people whom Japanese students respect most are the people with family blood
relations (father or mother and parents). These students who respect family blood relatives are
nearly 32 % and almost all of them say they respect fathers or mothers and parents.
365 Masao Nakabayashi, Yumi Hasegawa, and Yang Yi
Concerning other respected role models, historical people account for 14.3% and present
people account for 15 %, which are very close in percentage. For nationality, native people
(Japanese) are 16.1%, which is a little bit higher than non-native people 13.4%.
Further if historical and present people are added to nationality, respected historical
native people (Japanese) are 6.5% and respected historical non-native people are 7.8%, while
respected present native people are 9.6% and respected present non-native people are 5.1%.
After family blood relatives, the category of role models the Japanese most respect is “present
Japanese” which are higher in number.
If we take a look at occupations, regardless of the period or place in the world, sports
players and athletes are most respected, followed by celebrities, singers, stars and comedians.
It is characteristic that they are centered on those people whom students can freely watch their
performances through media like television. The respected figures participants named the
most except for people they know are “Japanese athletes (pr-na-4) now playing actively”
which reached 16 players. For example, Ichiro and Matsui playing in American Major League
are nominated because their performances are reported everyday by sports news and their
every single batting is watched and paid attention to. It seems that Japanese students cheer and
respect those young Japanese players now playing actively and beautifully in foreign
countries.
Role Models Korean Students’ Respect
Those people whom Korean students respect most are also the people with family
blood relations. These students comprise nearly 33 % and almost all of them say they respect
a father or a mother and parents. Concerning other respected role models, historical people
account for 30.7% and present people only 8.5 %, which is a very low percentage. In the case
of nationality, native people (Korean) are 33.7%, that is much higher than non-native people
5.6%.
Further if historical and present role models are added to nationality, respected
historical native people (Korean) are 26.1% and respected historical non-native people are
only 4.6%, while respected present native people are 7.5% and respected present non-native
people are the lowest (1%). Except for family blood relatives, the object of Korean respect is
“Historical Koreans,” and it is an overwhelmingly high number.
If we take a look at occupations, the highest number is 14% for national symbols and
top leaders, followed by 8% for servicepersons and generals. Other role models are those
persons actively working and contributing to the mother country.
Role Models Chinese Students’ Respect
Those people whom Chinese students respect the most are also the people with family
A Comparison of Role Models 366
blood relations, which are the same as Japanese and Korean students. However, the ratio is
35.5%, that is higher than Japanese and Korean. They raised some reasons; parents give lives
to them, become fostering benefactors, foster with profound love, greatly influence their
morality and value and so on.
Concerning other respected role models, historical people are 46.2% and present
people are simply 3.7%. As for historical people, China is the highest but concerning present
people, China is the lowest among the three countries. Further, if historical and present people
are added with nationality, respected historical native people (Chinese) are 40% and respected
historical non-native people are only 6.3%, while respected present native people are 3.3%
and respected present non-native people are the lowest 0.3%. The object of role models
Chinese students respect is “Historical Chinese,” which shows the highest percentage among
the three countries, even exceeding Korea.
If we take a look at occupations, the highest number is 31.2% for national politicians
such as Mao, See-dong, Thou, En-al, and Ding, Ciao-pin. It is noteworthy that sports players,
athletes, religionists, leading financiers and managers are less respected than national
politicians.
Comparison
Comparison of the Three Countries (outline)
Those people whom all Japanese, Korean and Chinese students respect most are the
people with family blood relations with each ratio different. Thirty-two percent of Japanese
students respect the people with family blood relations, but 33% of Korean students say they
respect them. Compared with the other two countries, Chinese students showed the highest
ratio at 35.5%. This may indicate that the family style in the three countries might be different
from each other.
At this point, a focus is put on historical and present people, or native and non-native
people (foreigners). A big difference was found in historical people and present people. In the
case of Japanese, both numbers are fifty-fifty, but in the case of Koreans, historical people
tremendously surpassed present one. And in the case of Chinese, the ratio exceeded two
countries and overwhelmingly historical people are the object of respect.
Also concerning native or non-native people, it was found that the object of respect is
definitely native people for Korean and Chinese students exceeding Japanese students. In the
case of Japanese students, the ratio of present native people (Japanese) and non-native people
(foreigners) are higher than Korean and Chinese students. Particularly, respected present
non-native people by Japanese students are 5.1%, compared with Chinese students 0.3%.
From this data, Japanese students do not show any significant number and only present people
seem to be the object of their respect.
367 Masao Nakabayashi, Yumi Hasegawa, and Yang Yi
Next, taking a look at occupations and main fields regardless of historical or present
people, the result is reviewed. The occupations and fields of role models Japanese students
respect are mainly sports players and athletes, including baseball players, soccer players,
fighters etc. Then, celebrities, singers, stars and comedians who are actively performing in the
media like television, follow the respected people. This trend is the result of mass media,
particularly television, through which people can watch their activities of the above two fields
after the end of World War II.
On the contrary, role models respected by Korean students are national symbols and
top leaders, followed by servicepersons and generals. In this case, president and premier are
included in top leaders. National symbol and top leaders have a common point to
servicepersons and generals, that is related to “politics” and “nation.” We conclude that
Korean students tend to respect those persons that have contributed to national politics.
The responses of the Chinese students were quite different from the Japanese, but
were similar in some respect to the Koreans. Unlike Japanese students, no sports players or
athletes are named and only one star is nominated. On the other hands, there are some
common aspects to Korean. In other words, national politics and top-leaders is the object of
their respect. Besides national politicians, however, they raised scholars as the second figures.
That is the reason why there remains a conventional Chinese recognition that those who
become bureaucrats are to pursue scholarship and those who endeavor for scholarship are to
become bureaucrats.
Since old days, the Japanese have the spirit of Confucianism to some extent. Recently
there are less Japanese with it compared with Chinese and Korean people. But the peculiar
value “the spirit of wa (harmony)” is still alive in Japan. In the field of education, there is
some conflict between the young and middle-aged generation; the Japanese should follow this
concept. Concerning respect for parents, the old, and teachers, Japanese students pay less
respect than Korean and Chinese students do. Recently, many atrocious crimes of the young
people are seen in Japan and in this sense, the Japanese have to tackle this problem more
seriously.
Comparison of the Three Countries (in details)
The most commonly respected people in the three counties are family blood relatives
(=family members). The order of ratio ranking is China (No.1), Korea (No.2) and Japan
(No.3). There were some Korean and Chinese students who said that they respected
themselves, but no Japanese students did.
Also, there is a significant difference in category k (personal acquaintance); friends,
seniors, persons at a part-time job place, etc. The figure among Japanese students showed
6.5%, while among Korean students 2% and Chinese students only 0.7%.
Further, it is a matter of surprise that 5.6% of Japanese students chose teachers (t) as
A Comparison of Role Models 368
respected role models, which is higher than Korean students. They are teachers in cram
schools, junior and senior high schools. The figure among Chinese students was 6.3 %, which
is higher than among Japanese students, while among Korean students the figure is only 2.9%.
It might be a tendency for Japanese students to respect people around them more than
Korean and Chinese students. The following table is the detailed analysis of respected role
models excluding people around, family members, teachers who have personal relationship
with them. In the category of respected people, the top three categories are shown and the top
ranking of historical and present people are also shown.
Table 4: Comparison of the Three Countries
Category of Respected
Japanese
Korean
Role Models
No. 1
pr-na-7
pa-na-5
No. 2
pr-nn-4
pa-na-9
No. 3
pr-na-4
pr-na-10
Historical people
pa-nn-3
pa-na-5
Present people
pr-na-7
pr-na-10
Chinese
pa-na-2
pa-na-1
pa-na-5, pa-na-11
pa-na-2
pr-na-8
Starting from the Japanese side, all respected role models from category 1 to 3 are present
people (pr), with No.1 Japanese (na) and No.2 foreigners (nn). No. 1 includes celebrities,
singers, stars and comedians (7) and those of No.2 and No.3 are sports players and athletes
respectively (4). In summary, the persons respected by Japanese students range from sports
players and athletes now playing actively to celebrities, singers, stars, comedians, and even
foreigners are targets of their respect. Concerning historical people, activists (active persons in
politics) seem to be respected (3), while there is no difference between native and non-native
people.
In the case of Koreans, the top groups of respected role models were historical people
(pa) and Koreans (na). As to occupations (third category), No.1 was national symbols and
top-leaders (5) and No.2 was servicepersons and generals (9). All of them contributed to the
benefits of their own country. No.3 was present people (pr) and financiers and business
managers were named. To be more precise, they are representatives of Korean financial
groups.
This result may be affected by the fact that those university students surveyed were
influenced by the 1997 financial crisis while in junior high school, which led to Korea
receiving monetary support from the IMF. During the crisis, for example, some students could
not bring their lunch boxes, while others saw parents lose jobs. Therefore, they were probably
forced to be sensitive to the economical success. As the feature of Korean students, respected
role models from No. 1 to No.3 were all native people (Korean), reflecting those people who
contributed to the nation of today and in the past.
In the case of Chinese students, the targets of respected role models by them were all
369 Masao Nakabayashi, Yumi Hasegawa, and Yang Yi
historical people (pa). The most popular category was politicians followed by scholars (No. 2)
and No.3 includes top-leaders as well as philosophers, thinkers, and educators. It can be said
that Chinese students typically respected those people who contributed to politics or culture
and historically became famous. Unlike the result of Japanese students, people around them
were not a target of their respect. Further, there was also some difference from Korean
students. Although students of both countries named those people who contributed to the
development of the nations, Korean students respected those economically successful persons,
while Chinese students are apt to neglect any economical success focusing on both politics
and thought. This tendency to respect leaders in politics (politicians) and thought (thinkers)
can be said to be a traditional way of thinking in China and it seems that Chinese university
students still have this traditional way of thinking.
It is interesting to find a tendency that Japanese students respected “present Japanese,”
while Korean and Chinese students respected “historical people.” Japanese students respected
not only present Japanese but also present foreigners (=non-native) Media exposure may
effect their choice and could account for them not putting much emphasis on nationality.
Concerning their ages, those respected people are elder only by a generation or the same age
as the students. It seems that those people of the same age now actively performing in the
world become easily a target of their respect.
In the case of Korean students, it is a strong tendency that historical people are a target
of their respect. It is possible for them to know the activities of respected persons
by TV programs, textbooks and books. Unfortunately, however, it is impossible to
watch them live in action. Further, because of historical people, they cannot identify for
themselves how true their activities were, making it very difficult to observe objectively.
Those people named as respected persons coincide with those people taught in school
education. This history education in schools seems to effect the result to some extent.
Interpretation and Significance
Description of Concept on “Respect”
How is the concept of “respect” used and understood? From the results described
above, it seems that students of the three countries have both common and different feeling
toward the concept of “respect.” Literally, “respect” consists of son and kei, the meaning of
which is almost the same such as to esteem or to look up to. From a social standing, it seems
that the object of son is ranked higher than oneself and that of kei is ranked lower than
oneself.
Judging from the role models named, it is easily supposed that respect has a very
important concept and vital meaning in Korea and China. People in the two countries tend to
more formally use it in an official environment rather than in a private environment. In short,
A Comparison of Role Models 370
it is firmly established in a value as a uniform and unified concept.
On the contrary, although in Japan son and kei had the same vital meaning as in Korea
and China, there is a drastic change among the younger generation and it is unofficially used
as a light meaning judging from the role models nominated. They tend to lightly say “I
respect” as a spoken language, which often shows a sense of closeness towards their
opponents. In other words, there is no unified concept and the concept of “respect” seems to
be determined by their way of living. It has become a concept used not in an official
environment but in a private environment.
What can be seen from the level of understanding the word “respect” in three
countries? The cause is investigated based on the results of the survey.
4.2 Emphasis on Duty Spirits Based on Confucianism
From the data obtained, it can be safely asserted that students of the three countries
have a common spirit because many of them put down parents as people of respect, although
there was some difference in the proportion of numbers.
It seems that respecting one’s parents is influenced by duty spirit. From this point of
view, an idea of duty to parents seems to be still alive in the daily life of the three countries.
They raised such reasons as indebtedness for being brought up, giving birth to and fostering.
This is the traditional Confucianism moral that has become a socially accepted idea. A
favorable family with parents respected by children is an indispensable factor for a society to
establish a stable base.
However, concerning other family members besides parents, different numbers were
found in the three countries regarding people in the community and acquaintances. In the case
of Japanese students, more of them put down other people besides parents than the Korean
and Chinese students did. This is derived from the concept of respect peculiar to the Japanese.
In other words, there is no unified concept and the concept of “respect” seems to be an
intimate feeling towards other people starting from interpersonal communication. Although
the concept of respect itself is vague and loose compared with the two other countries, their
respect towards others besides family members indicates that the concept of respects includes
an intimate feeling. In the strict meaning of respect, they cannot respect sports players or
celebrities, but they can do so from the viewpoint of intimate or close feeling. Therefore, a
sense of closeness is very important for the Japanese when considering those whom they
respect.
It is worth while to investigate the reason why grandparents and seniors were less
respected than parents. In China where nuclear families are increasing in number, children are
communicating less and less with grandparents. As a result of the one-child policy carried out
since 1979, “four-two-one” families have been increasing; four grandparents, two parents and
one child. Six adults surround one child but the frequency of communication among them has
not increased in proportion to the number of families. One of the reasons for this is the fact
371 Masao Nakabayashi, Yumi Hasegawa, and Yang Yi
that their parents put more emphasis on child’s education than communication with
grandparents. As a result, Chinese students in their 20’s did not write down grandparents as
the role model of respect. Further, they did not put people around them like uncles or aunts
either. It is thinkable that the traditional Chinese blood relations are at risk of destruction. In
short, it cannot be said easily that many students respecting parents are following and
succeeding the sound concept based on Chinese tradition of social common idea.
In Confucianism, it has been a must for children to respect their parents in order to
belong to the blood relations. Respecting parents meant to maintain mutual order among those
seniors besides parents and brothers/sisters. Today in China, however, only parents are
respected tremendously and other aged people like grandparents and the seniors in the
communities are rarely respected. This trend in China is also true in Korea and Japan.
Separation of Loyalty Spirits in Confucianism
From the data obtained, another feature is the fact that the proportion of students who
respect national leaders and politicians in Korea and China is much higher than in Japan. As
mentioned above, the term “respect” in Korea and China has connotations of value and is not
used as a general word. The role models of their respect are those people who have
contributed to the benefits of the nation and society, performing a certain role and
responsibility. As they don’t have any close feelings, sports players, athletes and celebrities do
not command their respect.
It can be said that there exists the duty spirit of Confucianism behind their high
appreciation for the people who contributed to the nation. “Loyalty” is connected to the
relationship between parents and children, which rules private relations, while “duty”
prescribes official and political relations. In other words, there is no unified concept and the
concept of “respect” seems to be determined by their way of living. It has become a concept
used not in the official environment but in the private environment. What is the relation
between voluntary “respect “ and heteronomous “duty”? If we look into this matter from an
educational point of view, this relation will be understood easily.
The role of politics should not be forgotten if we try to voluntarily plant a
consciousness to respect politicians. It is through education that the attractiveness of
individuals is taught to more people. Behind the education it is predictable that there is the
purpose of duty to the nation. It is the purpose of education to foster such useful persons for
nations and societies. Those students fostered or educated under this purpose are
self-motivated and have a value in compliance with the educational purpose. In this sense,
duty (political value concept) and respect (private voluntary consciousness) are connected to
the process of education. As far as duty is concerned, there was some distance between
Korea/China and Japan, and the data showed that Chinese and Korean students differed from
Japanese students concerning the importance of duty.
A Comparison of Role Models 372
Chinese students respected leaders who had contributed to Chinese political life. Mao,
Zhe-Dong, Zhou, En-Lai, and Deng, Xiao-pin. This can be attributed to education but the ratio
from the data is not satisfactory. Although Zhou, En-Lai gathered almost half numbers,
Sun-bun, the pioneer of modernization, is respected less than more recent leaders such as Mao,
Zhe-Dong, and Deng, Xiao-pin. This may be an indication of students’ apathy in political
issues as well as in the nation. However, 79 out of 100 students named historical Chinese
politicians, as role models shows that the duty to the nation and politicians is still alive in
China, although enthusiastic admiration for the leaders that was evident 30 years ago has
disappeared.
On the contrary, in the case of Korea, politicians are respected in the same way as in
China. Referring to the names of role models Korean students respect, they are Lee, Sun-Shin
(pa-na-9), King Se-Jong (pa-na-5), Park, Jung-Hee (pa-na-5), Kim,Gu (pa-na-3), King
Gwang-Ge-Do(pa-na-5) who were reported in The Chosun Ilbo. (2005, May 15th) as the
country’s representative heroes. According to an article of the same paper, Lee, Sun-Shin is
said to be very similar to Park, Jung-Hee, which means Lee, Sun-Shin must be the most
respected figure as well as a hero. That is the reason why many Korean university students
wrote those names. Although Park, Jung-Hee is the target of their respect, some dislike him
because of his military and political power.
Further, Park, Jung-Hee, former president, was appointed a chief executive officer as
the most suitable person among successive presidents. A survey was carried out by
Employment PORTAL, which asked, “Who is the most proper person to be a CEO among
successive presidents?” to 4,264 female and male adults. It is interesting to know that 59.2%
of the total respondents nominated him as a CEO (The Chosun Ilbo, 2005, May 3rd).
Although Park, Jung-Hee former president is a politician, he was nominated as the most
appropriate person, because he is considered to be good at management and economic issues.
This fact would be common to the occupations of respected present people, who are in
business and are managers.
From the viewpoint of loyalty in Confucianism, what factors can be obtained? Today
China is enjoying economic growth and, needless to say, those people who have succeeded in
the business field are the admiration of every Chinese student. However, those people were
not a target of their respect, although they are much admired. This concept seems to have been
derived from a traditional idea of Confucianism concerning “politics” and “commerce.” This
idea still remains alive in China today.
Originally, Confucianism tended to make light of commerce, based on the reason that
commerce is an individual work and does not have any connection with large-scale
undertakings of the nation. On the other hands, those people engaging in politics are versed
with history and classic studies and the destiny of the nation is rested on those people with
Confucianism knowledge. In the Chinese society where public officials are highly ranked, the
road to an officer is to succeed in imperial examinations. It is well known that this
373 Masao Nakabayashi, Yumi Hasegawa, and Yang Yi
examination is based on classics and excludes economic knowledge. In short, a different
dimension existing between politics and commerce has never disappeared from today’s China.
The loyalty to the nation of Chinese students is shown, in a sense, as a form of their respect
toward politicians.
In the case of Korean students, however, those people who contributed to the nation is
a target of their respect regardless of political and economic matters. Economics should not be
separated from politics and considered an essential means to construct the nation. If
economics is combined with politics, the goal of modernization will be achieved more
effectively. This combination of economics and politics is a reformed concept of
Confucianism. In this sense, it can be safely asserted that the current style of loyalty is not
uniform, but transformed into a different style unique to the individual country.
In Korea, commerce has been also looked down as a service job since the old days, but
the way of thinking has changed recently. Particularly, many corruption cases of politicians
were widely reported by newspapers and politicians are less respected people than before. In
addition, those young people, who were born in the 1960s and university students in the 1980s,
established continuously venture enterprises and succeeded in business with a single idea.
Therefore, an old idea that only a big financial group succeeds is collapsing today. In short,
like Chinese students, Korean students typically respected those people who contributed to the
development of the nation whether it is in the political or economic field.
Compared with the two countries, politicians and business managers commanded little
respect from Japanese students. This indicates that Japanese students tend to neglect ideas that
have contributed to the nation. As described above, they have their own respect with intimate
feeling. It is worth considering the reason why there exists such a big difference.
First of all, the Japanese educational system dramatically changed after World War II,
following American system through the guidance of GHQ. It is true that Japan had been
enjoying democratic politics but there were problems. That is the lack of moral education and
appropriate education of Japanese history, which caused many social and political conflicts.
Another aspect we should point out is the fact that Japan introduced so many
products and cultures mainly from Europe in the Meiji era and from the USA after World War
II. In a sense, Japan was Westernized and Americanized much earlier than Korea and China,
and turns becoming an economically and technologically strong country. This trend might
affect the spirit of the Japanese, changing even their values. In other words, the Japanese are
more liberal than the other two countries.
Conclusions
The survey carried out in the three Asian countries covers only narrow areas and we
should bear in mind that only one concept was surveyed. From the results of the
questionnaires, the values and awareness of the issues among the students in the three
A Comparison of Role Models 374
countries are carefully reviewed and found out to some extents.
By comparing their respected role models, it seems that not only the common and
different points were clarified, but also these background and causes were revealed to some
extent. Although the true meaning of respect is a little bit different from each country, it can
be safely said that Confucianism still remain as vital currents in the society of the three
countries, whether it is recognized or not.
Judging from the role models named, it was found that students of the three countries
have both common and different feeling toward the concept of “respect.” People in Korea and
China tend to more formally use it in an official environment rather than in a private
environment. However, the younger generation people in Japan tend to more informally use it
in a private environment. This trend may affect the results of the role models and should be
further investigated in the future.
We found also that role models named were different among three countries. The
proportion of students who respect national leaders and politicians in Korea and China is
much higher than in Japan. The role models of their respect are those people who have
contributed to the benefits of the nation and society, performing a certain role and
responsibility. However, Japanese students respected many sports players, athletes and
celebrities rather than national leaders and politicians. This finding is very important to
reconsider a proposition that the Japanese have maintained a loyalty spirit.
Finally, students of the three countries have a common spirit because many of them
put down parents as people of respect, although there was some difference in the proportion of
numbers. It seems that respecting one’s parents is influenced by duty spirit in Confucianism. It
is noteworthy that an idea of duty to parents seems to be still alive in the daily life of the three
countries. We are sure that the traditional Confucianism is still followed and kept by the
younger people in the three countries. It is a good subject to further investigate the
background of this value.
Confucianism was born in China and it spread to Korea and Japan later. It was said
that before Confucianism was introduced to Japan, education in Japan was non-sense and
unawake. But after it was brought to Japan, Japanese awoke education of morality and
idealism. It affected politics, economy and culture and particularly effect to social ethics has
continued until today. In this sense, we cannot neglect the important role of Confucianism and
how it was influenced Korea and Japan. These three countries are called “the Confucianism
cultural sphere”, from the view point that the three countries have a common base of spirit.
From the viewpoint of duty and loyalty, which are basic to Confucianism spirit, it was
found that the spirit has succeeded with modern sense created while its traditional aspects are
being reserved. As time passes and develops, Confucianism cannot be fixed and universal
truth and it is endowed with new meanings to comply with a new age.
Recently, there are so many political and economical conflicts among the three
countries. As the results of this survey indicate, people of the three countries have the
375 Masao Nakabayashi, Yumi Hasegawa, and Yang Yi
common value and should talk more frankly to cooperate as the leaders in Asia based on
revised Confucianism.
A Comparison of Role Models 376
References
Huang, J. , & Guo, J. , (2003) . Research on the Basic Problems in the Tradition and
Modernization of China Education, Beijing Normal University
Kawai, T. , (2004) English Education Policy of Korea, Kansai University
Mizuno, S., (2003) Want to know the Korean Young, Iwanami Junior Shisho
Nakabayashi, M., (2001) Exploring the Undercurrents of being the Japanese, Kansai Eigo
Eibei Bungaku-kai
Nishio, K., (2000) History of the Nation, Sankei Shimbunsha
Numata, H.,(1995) A Comparative Study of the Aims of Education, Publication Dept. of
Tamagawa University
Samuel D. H., (1999) The Clash of Civilization. (S.Suzuki. Trans), Shueisha
Shi, Z.,(1999) Cultural Character of Pedagogy, Shan Xi Education Publiction
Takahashi, T., (1929) .Educational History of Japan, Educational Society
Tanakam, K., (1999) .World Trend of Multi-culture Education, Nakanishiya
Brezinka, W., (1992) Education in Value Diversification Age, Publication Department of
Tamagawa University
Yamazaki, T., ed.(2004) Invitation to Pedagogy, Bukkyo University
Hoobler, T&D., (2003) . Confucianism, Seidosha URL Korean Fork Village Web Site.
(2006). http://www.koreanfolk.co.kr/main.asp The Chosun Ilbo. (2005, May
5th)http://japanese.chosun.com/site/data/html_dir/2005/04/15/20050415000045.htmlT
he Chosun Ilbo. (2005, May 3rd)
http://japanese.chosun.com/site/data/html_dir/2005/05/03/20050503000014.html
377 Masao Nakabayashi, Yumi Hasegawa, and Yang Yi
Appendix 1
QUESTIONNAIRES ON VALUES
This is a survey on the values of Japanese, Korean and Chinese university students. Please
frankly answer the following questions and circle the item you wish choose.
Personal Information:
Age:
years
Sex: male
female
Grade:
1. Do you respect your teachers?
(1) most (2) more (3) average (4) less
(5) least
2. Do you respect your parents?
(1) most
(2) more (3) average (4) less
(5) least
3. Do you respect elderly people?
(1) most
(2) more (3) average (4) less
(5) least
4. Do you think friendship is necessary?
(1) very necessary (2) a little (3) average (4) less necessary (5) unnecessary
5. Are you proud of the culture of your country?
(1) most
(2) more (3) average (4) less
(5) least
6. Please write the names of three people you respect in the order that you respect the most.
(1) first
(2) second
(3) third
7. Among them, is either of your parents included?
The reason why:
Yes
No
8. Will you care for your parents as they get older?
(1) definitely yes (2) a little (3) average (4) less
(5) definitely not
9. Suppose you are working or studying away from your own house. This morning, your
mother calls and tells you your father fell down. What would you do?
(1) go home immediately (2) go home later (3) undecided
(4) stop working (5) continue working
10. Answer as if you were an office worker. What do you think about lifetime employment?
(1) very agreeable (2) agreeable a little (3) average
(4) disagreeable a little (5) very disagreeable
11. At the end of a fiscal year, you are ordered to transfer. What would you do ?
(1) accept soon (2) accept later (3) undecided (4) try to refuse (5) definitely refuse
12. One of your co-workers cannot attend the funeral ceremony of his/her mother.
Which idea do you support?
(1) There is nothing you can do about it because of the important job at the company.
A Comparison of Role Models 378
(2) How undutiful your co-worker is! The co-worker should attend the ceremony and forget
about the job.
(3) It is thoughtless of a company not to allow the co-worker to attend the ceremony.
13. If you are married, think about your spouse and if you are unmarried, think about your
parents. Mainly who does the following housework?
(1) cooking
( husband wife )
( father
mother )
(2) washing
( husband wife )
( father
mother )
(3) cleaning the toilet
( husband wife )
( father
mother )
(4) cleaning rooms
( husband wife )
( father
mother )
(5) taking out the garbage ( husband wife )
( father
mother )
14. Who is in charge of the family budget? (not earning, but the right to manage)
In case of a married male: (1) yourself (2) wife (3) both
In case of a married female: (1) yourself (2) husband (3) both
In case of single:
(1) father (2) mother (3) both
15. What do you think about the saying “A wife should obey her husband”?
(1) very agreeable (2) agreeable a little (3) average
(4) disagreeable a little (5) very disagreeable
Thank you for your cooperation.
379 Masao Nakabayashi, Yumi Hasegawa, and Yang Yi
Appendix 2
Table 5 Summary of Role Models Respected by Students in the Three Countries
Country(Total )
Category
f
k
t
m
z
x
Japan total=448
Ans. No.
156
32.0
29
6.5
25
5.6
0
0
138
30.8
5
1.1
Korea total=306
Ans. No
102
33.3
7
2.3
9
2.9
5
1.6
57
18.6
6
2.0
China total=301
Ans. No.
107
35.5
2
0.7
19
6.3
2
0.7
15
5
3
1
pa
pr
px
64
67
4
14.3
15.0
0.8
94
26
0
30.7
8.5
0
139
11
3
46.2
3.7
1
na
nn
nx
72
60
3
16.1
13.4
0.6
103
17
0
33.7
5.6
0
130
20
3
43.2
6.6
1
pa-na
pa-nn
pr-na
pr-nn
pr-nx
px-nn
px-nx
1
pa-na-1
pa-nn-1
pr-na-1
29
35
43
23
1
2
2
7
3
3
1
6.5
7.8
9.6
5.1
0.2
0.4
0.4
1.6 0.7
0.7
0.2
80
14
23
3
0
0
0
6
1
3
2
26.1
4.6
7.5
1.0
0
0
0
2 0.3
1
0.7
120
19
10
1
3
0
0
21 17
3
0
40
6.3
3.3
0.3
1
0
0
7
0
3
0
0
0
0
6
9
2
0
0.7 0.7 9
0
0
0
0
3.8 1.3 12
2.0
0.4
0
3
2
0
3
1
10
1
1
0
2. 1
9 0.7
0
1
0.3
3. 3.3
9 0.3
0.3
1
79
8
1
6
0
1
0
0
12
17
1
3
6
6.7 2.7 0
3.8
0.2
2.5 0.6 44
1.3
0
0
0
41
3
0
2
3
4
5
px-nx-1
pa-na-2
pa-nn-2
px-nx-2
pr-na-2
pr-nn-2
pa-na-3
pa-nn-3
pr-na-3
pr-na-4
pr-nn-4
pr-nx-4
pa-na-5
pa-nn-5
3
17
30
12
0
0
0
1 13.4
4. 1
94
1
0
8
0
0
0
8
0
31.2
0.3
0
2.7
5.6
1
0
0.3
26.2
2.7
0.3
2
0
0.3
0
0
0
0
0
2.7
0
A Comparison of Role Models 380
pr-na-5
6
7
pr-na-6
pa-na-6
pa-nn-6
pa-na-7
pa-nn-7
10
pr-na-7
pr-nn-7
px-nx-7
pa-na-8
pa-nn-8
pr-na-8
pr-nn-8
pa-na-9
pa-nn-9
pa-na-10
11
pr-na-10
pr-nn-10
pa-na-11
8
9
0
x
pa-nn-11
pr-na-11
pa-na-0
pa-nn-0
pr-na-0
px-nx-0
pa-na-x
px-nn-x
pa-nn-x
3
2
0.6
0
4
0
0
2
0
0
5
0.4 0
3
0.4
0
6.3 0
1
1.1
1
1
1
1
0
1
4
16
6
2
4
4
5
0
4
3
3
3.6
1.3
0.4
2.9 0.9 4
0.9
1.1
0
1.6 0.9 24
0.7
0.9 0.7 13
0
0
0
1
0
3
0
21
3
0
5
1
0
0
0.2
0.2
1.1 0
2
11
2
1
0
0
0
1. 0.3
3 0
1
0
7. 6.9
8 1
4. 0
2 3.6
3
2
0
1
1
0
1
2
1
0.7
0.4
0.4 0
2
0.2
0.2
0
0.9 0.2 0
0.4
0.2
1
0
0
0
2
0
0
0
0
29
13
7
2
4
0.3
0.3
0.3
0. 0.3
3 0
0.7
0. 0.3
7 0.3
0
0. 0
7 0
0.7
0
0 0
0
0
0
0
1
0
0
0
0
0
0
1
0
0
4
3
3
1
3
2
0
11
0
0
8
11
5
1
0
3
0
0
0
0
1
0
0
0
0
0
0.3
0
0
0
0
0
0
0.3
0
0
1.3
1
1
0.3
1
0.7
0
3.7
0
0
2.7
3.7
1.7
0.3
0
1
0
0
0
0
0.3
0
0
0
Table 6 Respected Role Models in Japan
Country(total
Category
f
Japan total=448
Ans.
156
32.0
k
29
6.5
t
m
z
x
25
0
138
5
5.6
0
30.8
1.1
pa
pr
px
64
67
4
14.3
15.0
0.8
Sample Figures
Father, mother, parents, grand parents, elder
sister, younger sister
Friend, girl friend, senior, person at
part-time job place
Teacher
381 Masao Nakabayashi, Yumi Hasegawa, and Yang Yi
na
nn
nx
72
60
3
16.1
13.4
0.6
pa-na
pa-nn
pr-na
pr-nn
pr-nx
px-nn
px-nx
1
pa-na-1
pa-nn-1
pr-na-1
px-nx-1
2
pa-na-2
pa-nn-2
px-nx-2
pr-na-2
pr-nn-2
3
pa-na-3
pa-nn-3
pr-na-3
4
pr-na-4
pr-nn-4
pr-nx-4
5
pa-na-5
pa-nn-5
pr-na-5
29
35
43
23
1
2
2
7
6.5
7.8
9.6
5.1
0.2
0.4
0.4
3
3
1
0
3
0
0
0
0
6
9
2
12
17
1
3
6
3
1.6 0.7
0.7
0.2
0
0.7 0.7
0
0
0
0
3.8 1.3
2.0
0.4
6.7 2.7
3.8
0.2
2.5 0.6
1.3
0.6
Ryuma Sakamoto
Mother Teresa
Sadako Ogata
Ichiro, Tomokazu Miura
Jidan, Beccam
Sports Player same age
Kakuei Tanaka
President Kennedy
Premier Koizumi, Emperor
6
2
0
2
0
0
5
0.4 0
0.4
0
6.3 0
1.1
John Lenon, Audrey Hepburn
7
8
9
pr-na-6
pa-na-6
pa-nn-6
pa-na-7
pa-nn-7
3
17
30
12
29
pr-na-7
16
pr-nn-7
px-nx-7
pa-na-8
pa-nn-8
pr-na-8
pr-nn-8
pa-na-9
pa-nn-9
6
2
4
4
5
0
4
3
13
7
3.6
1.3
0.4
3.1 0.9
0.9
1.1
0
1.6 0.9
0.7
Hideo Noguchi
Yung, Descartes
Hayao Kawai
Shouzou Tanaka
Takuya Kimura, MisterChildren, Hitoshi
Matsumoto
Eric Clampton
Musician
Ryoutaro Shiba
Edgar Allan Poe
Shokatsu Koumei
Shingen Takaeda
A Comparison of Role Models 382
10
11
0
X
pa-na-10 4
3
0.9 0.7
pr-na-10
pr-nn-10
1
0
0.2
0.2
pa-na-11 5
pa-nn-11
pr-na-11
pa-na-0 2
pa-nn-0
pr-na-0
px-nx-0
pa-na-x 4
px-nn-x
pa-nn-x
0
3
2
0
1
1
0
1
2
1
1.1 0
0.7
0.4
1.1 0
0.2
0.2
0
0
0.2
0.4
0.2
Kounosuke Matsushita
Takafumi Horie
Tom Ford
Helen Keller
Osamu Mizutani
Note: Japanese figures’ name: First name and family name.
Table 7 Respected Figures in Korea
Country(total)
Category
f
Korea (total=306)
Ans.
102
33.3
k
t
m
z
x
7
9
5
57
6
2.3
2.9
1.6
18.6
2.0
pa
pr
px
94
26
0
30.7
8.5
0
na
nn
nx
103
17
0
33.7
5.6
0
pa-na
pa-nn
pr-na
pr-nn
pr-nx
px-nn
px-nx
1
pa-na-1
pa-nn-1
80
14
23
3
0
0
0
6
26.1
4.6
7.5
1.0
0
0
0
2
0.3
1
1
3
Parents, father, mother, elder sister, elder
brother
Friend
Teacher
Oneself
Jung,Mong-Ju
Nobel, Newton
383 Masao Nakabayashi, Yumi Hasegawa, and Yang Yi
pr-na-1
2
3
4
5
6
7
8
9
10
px-nx-1
pa-na-2
pa-nn-2
px-nx-2
pr-na-2
pr-nn-2
pa-na-3
pa-nn-3
pr-na-3
pr-na-4
pr-nn-4
pr-nx-4
pa-na-5
pa-nn-5
pr-na-5
pr-na-6
pa-na-6
pa-nn-6
pa-na-7
pa-nn-7
pr-na-7
pr-nn-7
px-nx-7
pa-na-8
pa-nn-8
pr-na-8
pr-nn-8
pa-na-9
pa-nn-9
pa-na-10
2
9
12
0
44
3
1
4
24
13
pr-na-10
pr-nn-10
11
0
x
pa-na-11
pa-nn-11
pr-na-11
pa-na-0
pa-nn-0
pr-na-0
px-nx-0
pa-na-x
px-nn-x
pa-nn-x
2
2
0
0
3
2
0
3
0.7
2.9
0
1
0.7
0
1
Hwang,Wu-Suk
Kim,Gu
Lee,Myung-Bak
1
10 3.9
1
1
0.3
3.3
0.3
0.3
Condoleessa Rice
An,Jung-Geon, Yu,Gwan-Sun
Mother Teresa
Han,Bi-Ya
0 0
0
0
41 14.4
3
0
1 1
1
0
0
0
13.4
1
0
0.3
0.3
King Gwang-Ge-Do, King De-Jong
Lincoln, Qin Shi-Huang
1
1
0
0.3
0.3
0.3
0
0
0
0
1 1
0
3
0
21 7.8
3
0 4.2
0
0
0
0.3
0
1
0
6.9
1
0
11
2
3.6
0.7
Lee,Gun-Hee Jung,Ju-Young
Bill Gates
0.7
0
0
0
0
0.3
0.3
0
0
0
Sin-Sa-Im-Dang
2
0
0
0
0
1
1
0
0
0
0.7
0.7
0
Beop-Jung (Buddhist Priest)
Jesus Christ
Chaplain
Lee,Hyo-Lee
Yoon,I-San
Cho,Se-Hyun Shin,Yong-Bok
Lee,Sun-Shin Chang,Bo-Go
Shokatsu Koumei, Caesar
Officer
Volunteering people
A Comparison of Role Models 384
Note: In the case of An, Jung-Geon, An is the surname and Jung is the first name and usually
it is written An, Jung-Geon in English. A comma is put after the surname and the two words of
the first name are connected by a hyphen. Historical figures are written with the surname first
and the first name last, because it has become a proper noun. However, it is also possible to
change the order to Jung-Geon An. Although the rule of Romanization is established, the
standardization is not kept so that every body can write, as he/she likes.
Table 8 Respected Role Models in China
Country(total(
Category
f
k
t
m
z
x
China total=301
Ans.
%
107
35.5
2
0.7
19
6.3
2
0.7
15
5
3
1
pa
pr
px
139
11
3
46.2
3.7
1
na
nn
nx
130
20
3
43.2
6.6
1
pa-na
pa-nn
pr-na
pr-nn
pr-nx
px-nn
px-nx
1
pa-na-1
pa-nn-1
pr-na-1
120
19
10
1
3
0
0
21 17
3
0
40
6.3
3.3
0.3
1
0
0
7
px-nx-1
pa-na-2
pa-nn-2
px-nx-2
pr-na-2
pr-nn-2
pa-na-3
pa-nn-3
1
79
8
1
6
0
1
0
2
3
94
1
31.2
0.3
parents, father, mother, grand-parents
Acquaintance
Teacher
Oneself
5.6
1
0
Li Bai Du Pu
Albert Einstein
0.3
26.2
2.7
0.3
2
0
0.3
0
Scholar
Mao,Zhe-Dong Zhou,En-Lai
Lincoln Napoleon
Zhu,Rong-Ji
Li,Zi-Cheng
385 Masao Nakabayashi, Yumi Hasegawa, and Yang Yi
pr-na-3
4
5
6
7
8
9
10
pr-na-4
pr-nn-4
pr-nx-4
pa-na-5
pa-nn-5
pr-na-5
pr-na-6
pa-na-6
pa-nn-6
pa-na-7
pa-nn-7
pr-na-7
pr-nn-7
px-nx-7
pa-na-8
pa-nn-8
pr-na-8
pr-nn-8
pa-na-9
pa-nn-9
pa-na-10
0
0
8
0
1
11
5
0
pr-na-10
pr-nn-10
11
0
X
pa-na-11
pa-nn-11
pr-na-11
pa-na-0
pa-nn-0
pr-na-0
px-nx-0
pa-na-x
px-nn-x
pa-nn-x
0
0
0
8
0
0
0
0
0
0
0
1
0
0
4
3
3
1
3
2
0
0
0
2.7
0
0.3
3.7
1.7
0
0
0
11
1
0
8
3
0
0
0
0
1
0
0
0
0
0
0
2.7
0
0
0
0
0
0
0
0.3
0
0
1.3
1
1
0.3
1
0.7
0
Liu Che Kang Xi
Liu De-Huang
Lu Xun
Beethoven Yasunari Kawabata
Shi,Tie-Sheng
Takeshi Kitano
Yue Fei
Guan Yu
Nobunaga Oda
Maresuke Noki
0
0
3.7
0.3
0
2.7
Confucius
1
0
0
0
0
0.3
0
0
0
Kant
Karl Marx
Person with morality
Note: The English spelling of Chinese people used in China sometimes differs from that of
Chinese people used in other countries.
Human Communication. A Publication of the Pacific and Asian Communication Association.
Vol. 10, No. 3, pp. 387 – 394.
The Relationship Between Self-Deception and Extrinsic-Personal Religiosity
Amanda J. Norris
University of Alabama at Birmingham
Larry Powell
University of Alabama at Birmingham
Mark Hickson, III
University of Alabama at Birmingham
Amanda J. Norris is a business manager in Birmingham, Alabama and a former undergraduate
communication studies major at UAB. Larry Powell and Mark Hickson are professors of
communication studies at UAB. They can be contacted at: Communication Studies Department,
UAB, 1055 11th Street South, #117A, Birmingham, AL 35294.
The Relationship Between Self-Deception and Extrinsic-Personal Religiosity 388
Abstract
This study examined the relationship between self-deception and religiosity in two
different samples: (1) fifty members of a non-denominational church, and (2) 54 students at a
state university. The participants responded to Allport and Ross (1967) Religious Orientation
Scale and the Paulhus (1984, 1998) Deception Scale. The results indicated that the nature of the
relationship depends upon at least three factors: (1) the type of extrinsic religiosity being
measured (personal or social), (2) the gender of the individual, and (3) whether the individual is
affiliated with a religious institution. The form of self-deception identified as impression
management was inversely associated with extrinsic-personal religiosity. Further, although this
association was present in the total sample, it could only be verified for females and for those
respondents who were affiliated with a church. This latter relationship might be described as the
“Plain Mary” who establishes a personal image based on her religious activities rather than her
appearance.
389 Amanda J. Norris, Larry Powell, and Mark Hickson, III
Introduction
Self-deception has been identified with such topics as alcoholism (Strom, & Barone, 1993),
psychology (Johnson & Burroughs, 2000; Shapiro, 1996), religion (Leak & Fish 1989; Hall, 2000),
science (Mele, 1997), and marital relationships (O’Rourke & Cappeliez, 2005). Some researchers
have attempted to explain it as apparent ignorance about a belief that is formed by an individual’s
motivations or an influence of an individual’s desire to protect themselves from various beliefs that
may threaten their self (Statman, 1997).
Some scholars view self-deception as a normal activity and a means of communicating with
ourselves (Fingarette, 1998; Patten, 2003). Moomal and Henzi (2000), however, have noted a
paradox in that concept because it is logically inconsistent to believe without believing at the same
time. Similarly, Kirby (2003) noted that self-deception has a built-in paradox in that the individual
being deceived is also the deceiver. The issue is further complicated by trying to distinguish
instances of self-ignorance, or wishful thinking, from self-deception (Levine, 1998). Regardless, the
hypothesis that typical self-deceivers do not intentionally deceive themselves has gained support
(Mele, 1999).
Verkasalo and Lindeman (1994) noted that self-deception is associated with an individual’s
ingratiation and exemplification goals. People who deceive themselves cannot consider the situation
in an objective manner because there is a suspension of the normal objective interest in reality. Thus
the process of self-deception must include a way of hindering in advance the consciousness of
adverse tendencies or feelings and doing so without self-awareness (Shapiro, 1996).
Some authorities describe self-deception as a psychological coping device. Hagedorn (1996)
linked it to happiness and life satisfaction. Lewis (2004) argued that self-deceivers distort the past so
that they can live more comfortably in the present. That approach is similar to the view that selfdeception is a defensive mechanism that protects the individual’s ego (Norem, 2002). Others view
self-deception as an ego-enhancement device (Tester & Gleaves, 2005), a concept that is supported
by research that links self-deception to impression management (Pauls & Crost, 2004).
Another research approach has identified a potential link between self-deception and moral
behavior. Tenbrunsel and Messick (2004) identified self-deception as an enabling device that
promotes unethical behavior. Paulhus and John (1998) argued that self-deception develops from both
egoistic and moralistic motives. Von Hippel (2003) argued that self-deception is a component in
self-serving biases. Johnson (1997) identified self deception as a source of fallible moral judgments.
Levy (2004), however, argued that self-deceivers were not necessarily morally responsible for their
deception since it “is simply a kind of mistake and has no more necessary connection to culpability
than have other intellectual errors” (p. 294).
Regardless, the potential link of self-deception and morality suggests a possible relationship
between the concept and religiosity. Indeed, several sources have reported a potential link in selfdeception and religious beliefs (Saroglou & Galand, 2004), including beliefs about the soul (Johnson
& Burroughs, 2000), salvation (Hall, 2000), religious conversion (Jones, 1998), and hypocrisy
(Statman, 1997). Other studies have looked at the links of religiosity to self-esteem (Pradhan, 2001),
depression (Wink, Larsen, & Dillon 2005), and well-being (Glenn, 1997; Krause, 2003), while
The Relationship Between Self-Deception and Extrinsic-Personal Religiosity 390
Williams, Francis and Robbins (2006) found a positive relationship between low self-esteem and
rejection of Christianity.
Burris (1994) noted that intrinsic religiosity (the internalization of religious beliefs and
values) and extrinsic religiosity (behavioral manifestations of religiosity) were inversely related and
that both variables are related to self-deception and impression management. Burris and Navara
(2002) looked directly at the relationship between religiosity and depression and identified a positive
correlation between self-deception and intrinsic religiosity. Similarly, Leak and Fish (1989) found a
link between intrinsic religiosity, impression management, and self-deception. They concluded that
intrinsically religious individuals have “tendencies toward distortions in the way they see themselves
and in the way they intentionally present themselves to others” (p. 355).
What is missing from these findings is support for Burris’ (1994) contention that there is a
relationship between extrinsic religiosity and self-deception. Given the strong relationship between
self-deception and impression management, such a relationship would be anticipated. Extrinsic
religiosity, after all, is a form of impression management within the religious context, but the only
support for this contention is Burris’ reporting of an inverse relationship.
Two factors may account for this negative finding. First, the results may be contaminated by
testing extrinsic religiosity as a uni-dimensional concept. Paulhus’ (1984, 1998) version of extrinsic
religiosity includes both a personal and social dimension, with the personal dimension closely
related to impression management. This creates the possibility that self-deception could be related to
extrinsic-personal religiosity even if the social dimension is unrelated. Further, the lack of
association with one dimension could mask the relationship with the second, if extrinsic religiosity is
measured only from a unidimensional perspective.
Second, the results may be limited by samples that have not distinguished adequately in
terms of varying degrees of religiosity. Past studies have typically used convenience samples from
student populations or from religious institutions. Both approaches have the disadvantage of
potentially constricting the range of responses. As such, the lack of a significant association based
on high or low religiosity may be due to the fact that one sample is dominated by low religiosity
scores (student samples) while the other may suffer from little variation among high religiosity
scores (church samples). Either way, the lack of significant variation in the samples could result in
little variation in participants’ responses, and thus little ability to measure the relationship between
the variables. This study sought to re-test the relationship of religiosity to self-deception using
samples from both a secular and a religious setting. In addition, previous studies have not
differentiated between male and female respondents. Thus the following hypotheses were tested:
1. There will be a negative relationship between extrinsic-personal religiosity and selfdeception.
1a. The relationship will differ for male and female respondents
1b. The relationship will differ for secular and religious samples.
2. There will not be a relationship between extrinsic-social religiosity and self-deception.
2a. The relationship will not differ for male and female respondents
2b. The relationship will not differ for secular and religious samples.
3. There will not be a relationship between intrinsic religiosity and self-deception.
3a. The relationship will not differ for male and female respondents
3b. The relationship will not differ for secular and religious samples.
391 Amanda J. Norris, Larry Powell, and Mark Hickson, III
Method
The participants were 104 adults and students (46 males, 58 females). Fifty (50) were
members of a non-denominational church in Alabama, and 54 were students at a state university.
These participants responded to a question that included the Allport and Ross (1967) Religious
Orientation Scale to test intrinsic religiosity, social extrinsic religiosity, and personal extrinsic
religiosity. The participants also responded to the Paulhus (1984, 1998) Deception Scale (formerly
the Balanced Inventory of Desirable Responding, BIDR) to test self-deception and impression
management. Pearson’s correlations between religiosity, self-deception, and impression management
were used to test the hypotheses.
Results
Hypothesis 1 was supported. Self-deception was negatively associated with impression
management (-.49, p < .01). Impression management, in turn, was negatively associated with
extrinsic-personal religiosity (-.28, p < .01).
Hypothesis 1a, which predicted a gender difference in the relationship, was supported. For
females, self-deception was negatively associated with impression management (-.31, p < .05) and
impression management was negatively associated with extrinsic-personal religiosity (-.35, p < .01).
For males, self-deception was negatively associated with impression management (-.67, p < .01), but
impression management was not associated significantly with extrinsic-personal religiosity (-.21).
Hypothesis 1b, which predicted a difference in the secular/church subsamples, was also
supported. Within the sample from the church group, self-deception was negatively associated with
impression management (-.47, p < .01); impression management was also negatively associated with
extrinsic-personal religiosity (-.39, p < .01). For the student sample, self-deception was also
negatively associated with impression management (-.53, p < .01), but impression management was
not associated with extrinsic-personal religiosity (-.10).
Hypothesis 2. The null hypothesis of no relationship between self-deception and extrinsicsocial religiosity was verified. There was no significant correlation between the two variables (.10).
The null hypothesis 2a, which predicted no difference between males and females on this
relationship, was supported. There were no significant associations between self-deception,
impression management and extrinsic-social religiosity.
The null hypothesis 2b, which predicted no difference between the two samples on this
relationship, was verified only for the student sample. There was a significant correlation between
self-deception and extrinsic-social religiosity for the church sample (-.37, p < .01).
Hypothesis 3. The null hypothesis of no relationship between self-deception and intrinsic
religiosity was verified. There was no significant correlation between the two variables (.03).
The null hypothesis 3a, which predicted no difference between males and females on this
relationship, was supported. There were no significant associations between self-deception,
impression management and intrinsic religiosity for either gender subsample.
The null hypothesis 3b, which predicted no difference between the two samples on this
The Relationship Between Self-Deception and Extrinsic-Personal Religiosity 392
relationship, was also verified. There were no significant associations between self-deception,
impression management and intrinsic religiosity for either gender subsample.
Discussion
The results indicate that the relationship between self-deception and religiosity is somewhat
more complex than previous studies have indicated, particularly as it applies to extrinsic religiosity.
Specifically, the nature of the relationship depends upon at least three factors: (1) the type of
extrinsic religiosity being measured (personal or social), (2) the gender of the individual, and (3)
whether the individual is affiliated with a religious institution.
The form of self-deception identified as impression management was inversely associated
with extrinsic-personal religiosity. Further, although this association was present in the total sample,
it could only be verified for females and for those respondents who were affiliated with a church.
Thus individuals, particularly church-going women, who score higher on impression management
will tend to have lower scores on extrinsic-personal religiosity.
One possibility is that those who enter the religious environment with high impression
management needs might view extrinsic religiosity behaviors as unnecessary. Conversely, those with
low scores on impression management will have higher scores on extrinsic-personal religiosity. For
these individuals, the personal religious behavior may fill an impression need that is not met by their
own impression management behavior. This latter behavior might be described as the “Plain Mary”
who establishes a personal image based on her religious activities rather than her appearance.
One explanation may be that both high-impression management females and high extrinsic
personal religiosity females are “presenting” themselves to an homophilous audience. Additional,
membership in particular religions may affect both the demonstrated religiosity and the low
impression management. Such a approach is likely to be taken by conservative religions with two
values: (1) low tolerance for media images, especially as they relate to sexuality; and (2) what might
be referred to as a “dress code” for its members. Thus, both groups may be controlling their
impressions – just in different ways for different audiences.
The results also indicated that higher scores on self-deception are associated with lower
scores on impression management. This supports previous research and may indicate that people
who are deceiving themselves make less effort to control the impression they make on others.
Regardless, future research is needed to verify these concepts. Is the “church-going
wallflower” an accurate description of this phenomenon are merely a convenient stereotype? To
what extent is this effect gender-based and influenced by religious affiliation? More research in
broader contexts and in different religious environments are needed.
393 Amanda J. Norris, Larry Powell, and Mark Hickson, III
References
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Kirby, S. (2003). Telling lies? An exploration of self-deception and bad faith. European Journal of
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Leak, G.K., & Fish, S. (1989). Religious orientation, impression management, and selfdeception: Toward a clarification of the link between religiosity and social desirability.
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Levine, M.P. (1998). No-self, real-self, ignorance and self-deception: Does self-deception
require a self? Asian Philosophy, 8(2), 103-110.
Levy, N. (2004). Self-deception and moral responsibility. Ratio, 17(3), 294-311.
Lewis, J. M. (2004). How much self-deception helps? Psychiatric Times, 21(7), 35-37.
Mele, A.R. (1997). Real self-deception. Behavioral and Brain Sciences, 20(1), 91-136.
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O'Rourke, N., & Cappeliez, P. (2005). Marital satisfaction and self-deception: Reconstruction of
relationship histories among older adults. Social Behavior & Personality, 33, 273-282.
Patten, D. (2003). How do we deceive ourselves? Philosophical Psychology, 16, 229-246.
Pauls, C. A., & Crost, N. (2004). Effects of faking on self-deception and impression management
The Relationship Between Self-Deception and Extrinsic-Personal Religiosity 394
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Strom, J., & Barone, D.F. (1993). Self-deception, self-esteem, and control over drinking at
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Tenbrunsel, A. E., & Messick, D. M. (2004). Ethical fading: The role of self-deception in unethical
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Human Communication. A Publication of the Pacific and Asian Communication Association.
Vol. 10, No. 3, pp. 381 – 412.
Laughing Before Takeoff: Humor, Sex, and the Preflight Safety Briefing
Jason S. Wrench
Ohio University – Eastern
Brenda Millhouse
Ohio University - Eastern
David Sharp
Ohio University – Chillicothe
Jason S. Wrench (EdD - West Virginia University, 2002) is an assistant professor in the
Communication & Media Department at SUNY New Paltz. Brenda Millhouse (BSS - Ohio
University, 2006) is a master’s student in Applied Politics at University of Akron/Bliss Institute.
David Sharp (BS in Communication - Ohio University, 2006) works for Federal Express.
Correspondence to: Jason S. Wrench, CSB 51, New Paltz, NY 12561, USA. Email:
wrenchj@newpaltz.edu
Laughing Before Takeoff 396
Abstract
The current study experimentally examined the effect of the use of humor in preflight safety
briefings (standard script vs. humorous script) and the biological sex of the flight attendant who
delivered the preflight safety briefing (female vs. male). Humorous preflight safety briefings
were perceived as less rational; resulted in less content and flight attendant affect; resulted in
lower levels of participant liking of the flight attendant; and resulted in lower levels of perceived
flight attendant credibility. The participants in this study perceived male flight attendants to be
more arousing, but viewed female flight attendants as more rational, more affective (both
personally and in the preflight safety briefing content), more likeable, and more credible
(competence, caring/goodwill, & trustworthiness).
397 Jason S. Wrench, Brenda Millhouse, and David Sharp
Introduction
On January 15th, 2005, the left nose wheel of Airbus 320 detached during takeoff, and
after being placed in a holding pattern for two hours the airplane safely landed at London
Gatwick Airport (AAIB Bulletin, 2005). While the flight crew was unharmed and there were
only minor injuries reported by the 176 passengers on the airplane, the significance of this flight
was less about the damaged airplane than about how the passengers responded during the
emergency situation. According to a 2005 article in Flight Safety Australia covering the Airbus
320 event, most passengers did not know what to do when the oxygen masks were deployed as a
result of a peaked cabin pressure during the emergency, “Recollection was [weak] – 20-30
percent – on topics of securing the mask by pulling the elastic band tight, fitting the mask first
before helping others and breathing normally once the mask had been fitted” (“Most passengers
need prompting,” (p. 40). In fact, in a survey after the incident, 95 percent of the passengers
reported a lack of confidence in the operation of the emergency oxygen system. In essence, there
was a considerable amount of passenger confusion on how to respond during an emergency
situation.
The confusion during the Airbus 320 flight is a clear indication of a larger problem
currently seen in today’s commercial airline industry (“Most passengers need prompting,” 2005);
the public does not know how to respond during airline emergencies. Studies in the airline
industry have consistently shown that despite the inflated public perception that airline safety is
“common sense,” most people do not know how to properly respond during an emergency
(NTSB, 2000). In a widely cited study within the airline industry, the National Transportation
Safety Board (2000) found that of passengers who had been involved in an airplane emergency
landing only 48 percent of passengers said they watched at least 75 percent of the preflight safety
briefing. Of those who had not watched the briefing completely, 54 percent reported that they
had seen it before while 7 percent thought the briefing contained “basic knowledge.” In an
airplane, the only other mode of safety instruction besides the preflight safety briefing is the
safety card that resides in the seatback of every passenger seat. However, the NTSB (1985)
found that 68 percent of flight passengers do not read the safety card while 44 percent reported
that they did not read the safety card and did not listen to the preflight safety briefing.
Furthermore, Silver, and Perlotto (1997) found that when people are actually quizzed over the
information in safety cards, only 67 percent of the participants understood the meaning of half of
the pictures on the safety card. In essence, the cards may be mandated by the FAA (2003), but
they may not be the most useful way for providing information to airline passengers about how
to handle themselves during a flight emergency. Therefore, the preflight safety briefings given
by the flight attendants prior to take off serve as the number one source of information.
One proposed method for handling the preflight safety briefing has been pioneered by
Southwest Airlines who encourages the incorporation of humor into preflight safety briefings
delivered by the flight attendants (“Creative Methods,” 2001; Freiberg & Freiberg, 1998; HofferGittell, 2005). Kathy Pettit, Southwest Airlines Director for Customer Service, was cited as
saying, “We encourage [our flight attendants] to be casual and forthright. We are not afraid of
song or humor during the presentation because when our flight attendants use their personalities,
talents and sense of humour this results in a better relationship with customers” (“Creative
Methods,” 2001, p. 37). While this method has proven fairly successful to Southwest Airlines
qualitatively, “The airline does not have scientific data to support its policy on humour”
(“Creative Methods,” 2001, p. 37). In fact, some argue that humor during the preflight safety
Laughing Before Takeoff 398
briefing can actually be detrimental, “The technique is not without potential risks. Some
passengers may respond negatively, perceiving this technique as unprofessional behaviour.
Critics have also said that joking might diminish the authority of flight attendants” (“Creative
Methods,” 2001, p. 37). Based on the need to scientifically study the use of humor as a way to
draw attention to preflight briefings, the current study set out to experimentally test the use of
humor during preflight safety briefings on passenger’s reported levels of arousal, perceptions of
the preflight safety briefing’s rationality, affect towards the content of the preflight briefing and
flight attendant, liking of the flight attendant, and perceptions of the flight attendant’s credibility.
Rationale
The goal of this section is to pose a series of hypotheses and research questions about the
influence of humor in preflight safety briefings. First, this section is going to explore a series of
dependent variables that have been chosen to examine the influence of humor in preflight safety
briefings (arousal, rationality, affective learning, liking, & source credibility). This will be
followed by a discussion of the possible influence of flight attendant biological sex in the
preflight safety briefing.
Dependent Variables
Arousal. Arousal can be defined as the act of stirring up or making something exciting
(Mehrabian & Russell, 1974). In the case of the current research, arousal will be utilized to
measure the arousing effects of the preflight briefing. Consistently, research has shown that
humorous artifacts lead to increased states of arousal (Chapman, 1973, 1974, 1996; Cooper,
Fazio, & Rhodewalt, 1978). Furthermore, research in education has noted that infusion of humor
into an otherwise traditional lecture makes the situation more exciting for students, which in turn
leads to an increase in cognitive learning (Townsend & Mahoney, 1981; Wanzer & Frymier,
1999; Wrench & Richmond, 2004; Ziv, 1976, 1988). Based on this previous research, we can
therefore predict:
H1:
Participants exposed to a humorous preflight safety briefing will experience a heightened
state of arousal compared to those participants exposed to a standard preflight safety
briefing.
Rationality. Perceived rationality is the quality of being perceived as consistent with or
based on reason (Hirschman, 1986). Hirschman found that when customers perceive an
organization’s communication as rational, they are more likely to financially support that
organization. However, humor is a double edge sword because some people may perceive the
humor as fun while others see it as frivolous (Young & Frye, 1966). As a result, the impact of
humor on passenger perceptions of the preflight safety briefings’ rationality is uncertain.
Therefore, the following research question is posed:
RQ1: What is the impact of humor on passenger perceptions of the preflight safety briefings’
rationality?
399 Jason S. Wrench, Brenda Millhouse, and David Sharp
Affective Learning. Affective learning is “an increasing internalization of positive
attitudes toward the content or subject matter” (Kearney, 1994, p. 81). While the preflight safety
briefing is not education in its most traditional sense, the basic purpose of the briefing is to
educate passengers on how to effectively manage themselves during an emergency situation
(NTSB, 2000). Bloom, Englehart, Furst, Hill, and Krathwohl (1965) purport that there are three
primary domains in which learning occurs (affective, behavioral, & cognitive), and Richmond,
Wrench, and Gorham (2001) noted that affective learning is the basic path to the other two types.
McCroskey (1994) believed that affective learning in the instructional process could be broken
down into a series of different concepts. For the purpose of the current study, the two most
important ones in the preflight safety briefing are affect toward the teacher (flight attendant) and
affect toward the content of the course (the content of the preflight safety briefing). In a metaanalysis of the research examining humor and learning, Martin, Preiss, Gayle, and Allen (2006)
found a moderate effect size for the relationship between student perceptions of humor and
affective learning. If the preflight safety briefing functions in the same way as a traditional
classroom lecture, then the following hypothesis can be posed:
H2:
Participants exposed to a humorous preflight safety briefing will report higher levels of
both flight attendant and preflight safety briefing content affect compared to those
participants exposed to a standard preflight safety briefing.
Liking. There is a breadth of research examining the effect of humor on interpersonal
relationships (Mettee, Hrelecm & Wilkens, 1971; O’Connell, 1969; O’Quin & Aronoff, 1981;
Wanzer, Booth-Butterfield, Booth-Butterfield, 1996). As a whole, the research on humor in
interpersonal relationships has consistently shown that humor in an interpersonal relationship
leads to increased levels of liking and popularity (Wanzer, Booth-Butterfield, Booth-Butterfield,
1996). Furthermore, there is a clear relationship between affective learning in a classroom and
liking of one’s teacher (Wanzer & McCroskey, 1998). Therefore, the following hypothesis is
posed:
H3:
Participants exposed to a humorous preflight safety briefing will report higher levels of
liking of the flight attendant who delivered the preflight safety briefing compared to those
participants exposed to a standard preflight safety briefing.
Source Credibility. McCroskey and Teven (1999) proposed that credibility is the
combination of three factors: competence, trustworthiness, and goodwill. Competence is the
extent that an individual truly knows what he or she is discussing. The second component of
credibility is trustworthiness, which is the degree to which one individual perceives another
person as being honest. The final component of credibility, goodwill, is the perceived caring that
a receiver sees in a source. Out of all of these, goodwill may be the most important aspect of
ethos (McCroskey, 1998). Research in the instructional setting has found that teachers who use
humor in lectures are perceived as more credible (Wrench & Richmond, 2004), which was then
replicated by Wrench and Punyanunt-Carter (2005) in the graduate advisor-advisee learning
context. Since there is a clear relationship between use of humor and perceived credibility, the
following hypothesis is posed:
Laughing Before Takeoff 400
H4:
Participants exposed to a humorous preflight safety briefing will report higher levels of
perceived flight attendant credibility (competence, caring/goodwill, & trustworthiness)
compared to those participants exposed to a standard preflight safety briefing.
Flight Attendant Biological Sex
The first reported flight attendants were actually men circa 1911 and were labeled “cabin
boys” or “stewards.” The first female flight attendant, Ellen Church, was a nurse who was hired
by United Airlines to provide both in-flight medical care and basic service to the passengers, and
Church coined the position as the flight’s “stewardess” (Omelia & Walkdock, 2006). The need
for flight attendants to be registered nurses was set aside during World War II since most nurses
were needed for the war effort. By the 1950s, stewardesses were considered “wives-in-training,”
and were expected to be equally adept at mixing drinks and taking care of children. Stewardesses
really became highly sexualized during the 1960s and 1970s when they were actively used in
airline advertisements as a way to gain businessmen’s travel business. Freiberg and Freiberg
(1996) wrote that Southwest Airlines purposefully hired females who could exude sexuality to
the airline’s predominantly male clientele, “Imagine this scene: Three long-legged Raquel Welch
look-alikes in hot pants and white, high-heeled go-go boots serving Bloody Marys with a smile
to a predominantly male group of wide-eyed, wide-awake commuters on Southwest’s 8:00 A.M.
‘Love Bird’ flight from Dallas to Houston” (p. 38). To make sure that Southwest Airlines flight
attendants were adequately trained, one of the recruitment coordinators was the trainer for Hugh
Hefner’s Playboy jet. In fact, Southwest’s whole motif was “Love” oriented. “Aboard the Love
Bird, drinks were Love Potions peanuts were Love Bites, drink coupons were Love Stamps, and
tickets came from Love Machines. In June 1971, the ‘Somebody Else Up There Loves You”
airline began proudly promoting service within its Love Triangle” (Friedberg & Friendberg,
1996, p. 40). While early service of Southwest Airlines is more reminiscent of the short lived
Hooter’s Air, Southwest Airlines eventually grew into one of the most powerful airlines in the
United States. The success of Southwest Airlines is a culmination of many different factors, but
clearly the sexualization of the Airline during its early years was very effective (Hoffer-Gittell,
2003). Early flight attendants were required to fit into a very specific mold including height,
weight, age, biological sex, and marital status restrictions. The enactment of Title VII in 1965 of
the Civil Rights Act of 1964 required these restrictions be forcibly lifted and male flight
attendants started re-joining flight crews during the 1970s (McLaughlin, 1995; Omelia &
Walkdock, 2006).
Today the flight attendant industry is still over 80 percent female (Young & James,
2002). According to Gamble and Gamble (2003), any occupation where more than 75 percent of
the workers belong to one specific biological sex is considered sex segregated. As a result of this
sex segregation, people of the minority sex are perceived as “oddities” because they violate
workplace norms. The norm within the airline industry still perceives women as flight attendants,
and those flight attendants epitomize middle-class perceptions of heterosexual femininity
(Hochschild, 1983). Where females are the epitome of heterosexual femininity, their
counterparts, the pilots, represent the epitome of heterosexual masculinity (Mills, 1995). Male
flight attendants then pose a break from the heterosexual fantasy created by traditional airlines
(Butler, 2004), so people create the assumption that the violators of the heterosexual fantasy
must be gay (Lock & Kleis, 1998; Patel & Long, 1995). While the exact number of gay flight
attendants is not known, one study found that often heterosexual male flight attendants undergo
401 Jason S. Wrench, Brenda Millhouse, and David Sharp
serious amounts of sexual harassment based purely on their perceived sexual orientation
(Williams, 2003; Young & James, 2002). Since there is a bulk of research that supports the
notion that violators of sex-role expectations are deemed as aberrant, the following hypothesis
can be made:
H5:
There will be a significant difference between female and male flight attendants on the
study dependent variables (arousal, rationality, affective learning, liking, & source
credibility).
Method
Participants
Participants in this study included 154 undergraduate students in a variety of majors who
were approached in a variety of academic classes from two different campuses in a large midwestern university campus system. Students on these campuses tend to be older than your
traditional college age sample, which is reflected in the mean found in the current study (M =
29.20, SD = 10.32). The sample consisted of 57 males (37%), 96 females (62.3%), and 1 person
who did not respond to the biological sex question.
Procedures
The purpose of the study was to measure the impact of humorous preflight safety
briefings on passenger perceptions of flight attendants. Using the requirements for preflight
briefings issued by the Federal Aviation Administration (2003) in Advisory Circular 121-24C,
the researchers created a preflight briefing that would sound very typical across airlines today
(Appendix A). This preflight briefing was then given to two professional flight attendants to
ascertain the realism of the script. Both professional flight attendants agreed that the script was
realistic. Once the realism of the standard preflight safety briefing was determined, a second
script was also created injecting humor throughout the entire script (Appendix B). Furthermore,
the biological sex of the flight attendant was also controlled in the experiment.
Participants were given one of four scripts (female standard, female humorous, male
standard, or male humorous), and asked to read the script and then respond to a series of
questions asking the participants to indicate their perceptions of the flight attendant who
delivered the experimental script. Immediately after reading the script, the participants were
asked to rate the script from “0” not humorous to “9” very humorous. An independent t-test was
utilized to make sure the manipulation of the humorous script was effective. The independent ttest indicated that participants in the humorous script condition (M = 4.31, SD = 3.07) found the
script more humorous than those in the standard script condition (M = 2.23, SD = 2.57); t (144) =
4.46, p < .0005, Cohen’s d = .69, which is considered a medium effect size (Green & Salkind,
2005). Overall, participants clearly indicated that the humorous script was more humorous than
the standard preflight safety script.
Laughing Before Takeoff 402
Instrumentation
Arousal. The Arousal Scale was devised by Mehrabian and Russell (1974) and later
validated by Holbrook et al. (1984) to examine how stimulated people feel during a specific
situation or as a result of being exposed to a specific artifact. The scale consists of six oppositely
worded adjective pairs (stimulated/relaxed, excited/calm, frenzied/sluggish, jittery/dull, wideawake/sleepy, & aroused/unaroused) measured with seven steps with the range existing from 6 to
42, which was seen in the current study. The alpha reliability of the Arousal Scale was .84 (M =
24.71, SD = 6.31). Items are coded so that higher scores equate to higher levels of reported
arousal.
Rationality. The Rationality Scale was devised by Elizabeth Hirschman (1986) to
measure the utilitarian and rationality of a stimulus. The scale consists of five oppositely worded
adjective pairs (logical/not logical, educational/not educational, informative/not informative,
factual/not factual, & useful/not useful) measured with seven steps with the range existing from
5 to 35, which was seen in the current study. The alpha reliability of the Rationality Scale was
.93 (M = 23.71, SD = 7.65). Items are coded so that higher scores equate to higher levels of
perceived rationality.
Affective Learning. The Affective Learning instrument was designed by McCroskey
(1994) to mimic the objectives of the affective domain of learning original discussed by
Krathwohl, Bloom, and Masia (1956). The measure examines the level of affect a student has for
the course, subject matter, teacher, recommended behaviors, the desire for further courses in the
area, and actually taking courses in the subject area. Each aspect of affective learning is
measured by four 7-item bi-polar scales with a range existing from 4 to 28, which was seen in
both of the subscales used in the current study. For the purposes of the current study, only those
items for affect towards content in the preflight briefing were kept and affect towards flight
attendant. The alpha reliability for affect towards content in the preflight briefing was .90 (M =
18.33, SD = 5.97), and the alpha reliability for affect towards flight attendant was .94 (M =
17.77, SD = 6.23). Items are coded so that higher scores equate to higher levels of passenger
affect.
Liking. The liking scale was devised by Bond, Chiu, and Wan (1984) and revised by
Bresnahan, et al. (2002) to measure the degree to which a person likes another person. The scale
consists of six oppositely worded adjective pairs (friendly/unfriendly, disagreeable/agreeable,
pleasant/unpleasant, unkind/kind, unlikable/likeable, & cold/warm) measured with seven steps
with the range existing from 6 to 42, which was seen in the current study. The alpha reliability of
the Rationality Scale was .94 (M = 28.83, SD = 7.37). Items are coded so that higher scores
equate to higher levels of liking.
Credibility. The Credibility Measure was designed by McCroskey and Teven (1999) to
test an individual’s perception of a communicator’s credibility (competence, trustworthiness, &
caring/goodwill). Since the original measure was designed to be used in a number of situations to
examine a communicator’s credibility, the measure used in this study did not have to be re-tooled
to examine passenger perceptions of flight attendant credibility. The measure is a series of
eighteen oppositely worded adjectives with a seven step bi-polar scale that is broken into three
factors with 6 items on each factor. Each factor has a range from 6 to 42, which was seen in this
study. The alpha reliability for competence in this study was .92 (M = 27.84, SD = 8.38);
trustworthiness was .90 (M = 27.18; SD = 7.68); and caring/goodwill was .93 (M = 24.92; SD =
403 Jason S. Wrench, Brenda Millhouse, and David Sharp
8.21). Higher scores indicated that a communicator was perceived as highly credible by her or
his receiver.
Data Analysis
To analyze the study’s data in the most parsimonious way, a series of factorial univariate
ANOVAS and MANOVAs will be conducted. The two factors being analyzed will be flight
attendant sex (male vs. female) and preflight safety briefing script (standard vs. humorous),
which will be used as the independent variables, and passenger’s reported levels of arousal,
perceptions of the preflight safety briefings rationality, affect towards the content of the preflight
briefing and flight attendant, liking of the flight attendant, and perceptions of the flight
attendant’s credibility as the dependent variables.
Results
A Univariate Factorial ANOVA was conducted using flight attendant sex (male vs.
female) and preflight safety briefing script (standard vs. humorous) as the independent variables
and arousal as the dependent variable. Main effect results revealed that the humorous (M =
25.19, SD = 5.74) and the standard (M = 24.26, SD = 6.83) preflight safety briefing scripts did
not lead to differing levels of arousal among the participants, F (1, 149) = .72, p > .05. Main
effect results did indicate a significant difference in participant arousal based on whether the
flight attendant delivering the script was a female (M = 23.33, SD = 6.35) or male (M = 26.26,
SD = 5.93), F (1, 149) = 8.42, p < .005, η2 = .05. Lastly, the interaction between preflight safety
briefing script and flight attendant biological sex was not statistically significant, F (1, 149) =
.24, p > .05.
A Univariate Factorial ANOVA was conducted using flight attendant sex (male vs.
female) and preflight safety briefing script (standard vs. humorous) as the independent variables
and rationality as the dependent variable. Main effect results revealed that the humorous (M =
21.96, SD = 7.69) and the standard (M = 25.42, SD = 7.25) preflight safety briefing scripts led to
differing perceptions of rationality by the participants, F (1, 150) = 8.11, p < .005, η2 = .05. Main
effect results also indicated a significant difference in participant rationality based on whether
the flight attendant delivering the script was a female (M = 26.05, SD = 7.43) or male (M =
21.12, SD = 7.07), F (1, 150) = 18.03, p < .0005, η2 = .11. Lastly, the interaction between
preflight safety briefing script and flight attendant biological sex was not statistically significant,
F (1, 149) = .24, p > .05.
A two-way MANOVA was conducted to determine the effect of flight attendant sex
(male vs. female) and preflight safety briefing script (standard vs. humorous) on content affect
and flight attendant affect. MANOVA results indicated that that the humorous (M = 17.37, SD =
6.32) and the standard (M = 19.27, SD = 5.48) preflight safety briefing scripts did not
significantly affect the combined DV of content effect and flight attendant affect, Wilks’ Λ = .97,
F (2, 149) = 2.23, p > .05. However, MANOVA results indicated that the flight attendants’
biological sex significantly effect the combined DV of content affect and flight attendant affect,
Wilks’ Λ = .90, F (2, 149) = 8.16, p < .0005; so univariate ANOVA post hoc tests were
conducted. ANOVA results indicate that participants viewed their affect towards the content of
the preflight safety briefing differently depending on whether the flight attendant was a female
(M = 20.10, SD = 5.61) or male (M = 16.36, SD = 5.72), F (1, 150) = 16.33, p < .0005, η2 = .10.
Laughing Before Takeoff 404
ANOVA results also indicated that participants viewed their affect towards the flight attendant
differently depending on whether the flight attendant delivering the preflight safety briefing was
a female (M = 19.33, SD = 5.95) or male (M = 16.03, SD = 6.10), F (1, 150) = 11.45, p < .005, η2
= .07. Lastly, an interaction effect between script and sex was not statistically significant, Wilks’
Λ = .99, F (2, 149) = 1.07, p > .05.
A Univariate Factorial ANOVA was conducted using flight attendant sex (male vs.
female) and preflight safety briefing script (standard vs. humorous) as the independent variables
and liking as the dependent variable. Main effect results revealed that the humorous (M = 28.37,
SD = 7.30) and the standard (M = 29.28, SD = 7.46) preflight safety briefing scripts did not lead
to differing levels of flight attendant liking among the participants, F (1, 150) = .45, p > .05.
Main effect results did indicate a significant difference in participant liking of the flight attendant
based on whether the flight attendant delivering the script was a female (M = 30.15, SD = 7.11)
or male (M = 27.37, SD = 7.43), F (1, 150) = 5.46, p < .05, η2 = .04. Lastly, the interaction
between preflight safety briefing script and flight attendant biological sex was not statistically
significant, F (1, 150) = 1.02, p > .05.
A two-way MANOVA was conducted to determine the effect of flight attendant sex
(male vs. female) and preflight safety briefing script (standard vs. humorous) on the three factors
of perceived flight attendant credibility (competence, caring/goodwill, & trustworthiness). First,
MANOVA results indicated that the preflight safety briefing script significantly affected the
combined DV of source credibility, Wilks’ Λ = .93, F (3, 146) = 3.71, p < .05; so univariate
ANOVA post hoc tests were conducted. ANOVA results indicate that participants viewed the
flight attendant who delivered the preflight safety briefing’s level of competence, F (1, 148) =
9.93, p < .005, η2 = .06, and trustworthiness, F (1, 148) = 4.53, p < .05, η2 = .03, differently
based on the script they read, but not the flight attendant’s level of caring/goodwill, F (1, 148) =
2.91, p > .05. Means and standard deviations are located in Table 1. Second, MANOVA results
indicated that the biological sex of the flight attendant delivering the preflight safety briefing
significantly affected the combined DV of source credibility, Wilks’ Λ = .84, F (3, 146) = 9.11, p
< .0005. ANOVA post hoc results indicate that participants viewed the flight attendant who
Table 1: Means for Source Credibility by Flight Attendant Sex and Preflight Safety
Briefing Script
Competence
Caring/Goodwill Trustworthiness
M
SD
M
SD
M
SD
Flight Attendant Biological Sex
Female
Male
30.49
24.77
6.95
8.93
27.81
21.46
6.77
8.40
29.81
24.05
6.26
8.01
Script
Standard
Humorous
29.88
25.71
8.06
8.28
26.01
23.65
8.11
8.15
28.43
25.77
7.45
7.72
delivered the preflight safety briefing differently based on the flight attendant’s biological sex on
all three levels of credibility: competence, F (1, 148) = 20.09, p < .0005, η2 = .12;
caring/goodwill, F (1, 148) = 26.45, p < .0005, η2 = .15; trustworthiness, F (1, 148) = 24.74, p <
.0005, η2 = .14. Means and standard deviations are located in Table 1. Lastly, an interaction
405 Jason S. Wrench, Brenda Millhouse, and David Sharp
effect between script and sex was not statistically significant, Wilks’ Λ = .99, F (3, 146) = .58, p
> .05.
Discussion
The findings of this study are clearly intriguing and definitely need to be examined as to
their actual significance for communication research. To examine these findings, it is most
prudent to examine the use of humor in preflight safety briefings and flight attendant biological
sex separately, which will be followed by a discussion of the limitations and directions for future
research.
Humor in Preflight Safety Briefings
As a whole, the results for the preflight safety briefings are quite intriguing and contrary
to previous research that has examined the use of humor in various contexts. Humorous preflight
safety briefings were not found to be more arousing, but were perceived as less rational; resulted
in less content and flight attendant affect; resulted in lower levels of participant liking of the
flight attendant; and lower levels of perceived flight attendant credibility. These results are
contrary to the predictions made in this study. One may think that the manipulation in the study
possibly had not occurred, but the independent t-test used to test manipulation did find that the
study participants found the humorous script significantly more humorous than the standard
script. However, the effect size was only medium, but even at a medium effect people clearly
found the humorous script funny. So why then would the participants find the script humorous,
but react more favorably to the standard script? Two theoretical lines of thought will be
discussed to explore methodologically why the results could occur, and one theoretical line of
thought will be discussed to explore how these results could be generalized to the real world.
First, Attardo (1994) in his text Linguistic Theories of Humor puts forth the notion of
canned versus conversational joking. Canned jokes are jokes that are created jokes that can be
used in a variety of contexts without regard of the actual situation where the joke is used; where
as, conversational jokes are jokes that are inherently situationally based and do not transfer easily
to other communicative contexts. The jokes utilized in this study were designed to be
conversationally based, but presented in a canned, non-organic manner. A conversational “joke
that hinges on a very situational-specific element will be (nearly) impossible to use outside of
that situation. The only strategy available to the speaker is to try and reconstruct the situation
verbally …, so as to make the situational joke exportable to another context” (Attardo, 1994, p.
297). While the humor used within the scripts in this study was designed as conversational, the
research context is realistically more canned than situationally based. While the humorous script
was intended to be read as conversational, reading humorous jokes is highly decontextualized.
Furthermore, the humor used in the preflight safety briefing was designed to mimic
conversational patterns, but Attardo (1994) notes that read jokes are read as singular instances of
joking, which is more similar to canned jokes; whereas, conversational jokes “often build on
previous jokes and seem to acquire an extra degree of funniness by doing so” (p. 299). In
essence, it is theoretically plausible that the reaction to the scripts in this study has less to do with
the humor used than it does with the manner in which the jokes were presented in this study
through the read scripts.
Laughing Before Takeoff 406
A second theoretical reason for the contrary results surrounding the humorous preflight
safety briefing scripts in the current study could be due to the lack of a shared experience.
Humor, as it exists in actual preflight safety briefings, like those seen on Southwest Airlines, is a
shared experience had by many; where as, the scripts read in this study were individualized
experiences. Previous research summarized by Sheehy-Skeffington (1977) noted the impact on
humor caused by other people’s laughter. Basically, the sound of other people’s laughter has
been shown to increase the mirth experience and the impact humor has on people. SheehySkeffington theorizes that “laughter serves as a situational cue, conditioning the listener to search
for a humorous interpretation of the material” (p. 448). Furthermore, Chapman (1996) noted that
humorous artifacts presented within a group situation are considerably more arousing than when
presented to an individual in isolation. As Provine (2000) notes, “The ability of laughter to elicit
contagious laughter raises the intriguing possibility that humans have an auditory laugh-detector
– a neural circuit in our brain that responds exclusively to laughter” (p. 149). Not only do people
respond to laughter in a clear fashion, the actual act of laughing also has neurological functions,
specifically the release of various neuropeptides, including endorphins, and the neurotransmitter
serotonin (McGhee, 1999). In essence, the actual act of laughing alters the neurological state,
which could in turn alter how someone views the humorous artifact. Overall, the shared
experience of humor is extremely important, and since this study relied on textual based scripts,
there really was not a shared experience, which could be a causative factor of the results seen in
this study.
The last theoretical perspective that could explain the nature of the results seen in this
study stems out of the notion of the preflight safety briefing context. The current study was
conducted on post 9-11 air travel. As Sparks, Kreps, Botan, and Rowan (2005) note, “Terrorism,
not surprisingly, has become a significant topic in crisis management, academe, industry, and in
our communities” (p. 1). People in the United States feel the aftermath of 9-11 every time they
fly because of the new heightened security standards at the nation’s airports. 9-11 could be an
event that is seen as non-joking event, and humor in the preflight safety briefing could be seen as
frivolous and inappropriate by many passengers. Lundgren and McMakin (2004) warn risk
communicators to avoid using humor during risk communication because it is seen as
insensitive. In the same way, flight attendants are essentially communicating the possibility of air
travel risk and what actions to take if a crisis occurs. Based on this notion, it is theoretically
plausible then that the preflight safety briefing is a context where passengers simply do not
perceive the humor as appropriate.
Flight Attendant Biological Sex
The second category of results examined in this study relates to the impact that a flight
attendant’s biological sex had on the study dependent variables. The results in this study
indicated that passengers perceived male flight attendants to be more arousing, but participants
viewed female flight attendants were more rational, more affective (both personally and in the
preflight safety briefing content), more likeable, and more credible. Based on the understanding
that eta-squared should be interpreted as either small (0.01), medium (0.06), and large (0.14)
(Cohen, 1988), there was a minimal effect for arousal; a moderate effect for rationality, content
affect, flight attendant affect, liking, and competence; and a large effect for caring/goodwill and
trustworthiness. In essence, participants in this study clearly perceived the female and male flight
attendants differently in this study based on nothing more than being given a biological sex and
407 Jason S. Wrench, Brenda Millhouse, and David Sharp
the flight attendants name (Amy or Fredrick). In fact, there appears to be a very clear
discriminatory position taken by the participants in this study that favors female flight attendants
and devalues male flight attendants.
These findings actually reinforce the notions from Gamble and Gamble (2003) that
minority individuals in sex-segregated professions, or as Young and James (2002) labeled male
flight attendants as the “token majority,” struggle to be taken seriously as fully participating
workers. One possible reason for why male flight attendants are not valued as highly as female
flight attendants could be because male flight attendants violate Hochschild’s (1983) notions of
middle class heterosexuality. In essence, there is this myth in the general public that females
should be flight attendants while males should be pilots (Mills, 1995), and as Judith Butler
(2004) reasoned, people who violate the heterosexual myth are seen as deviants not to be trusted.
Or in the case of male flight attendants, people generally reason that they must be gay (Lock &
Kleis, 1998; Patel & Long, 1995). Based on research concerning people in the United States’
overarching homonegativity, finding that people would automatically view men who they
perceive as violating heterosexual norms by being flight attendants would be subject to scorn and
ridicule or at least be perceived as untrustworthy. These results are similar to the findings of
Mottet (2000) who found that people predicted higher outcome values, higher levels of
communication, and higher levels of liking when a target was explicitly labeled as heterosexual
than when the target was explicitly labeled as homosexuality. Since there is this overarching
stereotype that male flight attendants are gay, the current study’s findings may be viewed as an
extension of the findings of Mottet (2000).
Limitations
This study has a number of limitations that need to be examined. First, the study relies on
scripted scenarios for the experimental design employed. While the read scripts cannot be
completely blamed for the lack of findings related to humor, as discussed earlier, the reading of
humor is distinctly different than witnessing humor as a shared experience. The results in this
study related to humor could be an outcome of the method, and not the actual impact of humor
during preflight safety briefings.
Second, the study relied on college students and not people sitting in a realistic airline
environment. While the college students employed in this study are older than traditional age
college students, this study still depended on students in an educational environment and not
passengers on an actual airplane.
Lastly, based on the questions asked in the current study, there really is no way to
ascertain if people in the study actually viewed male flight attendants as gay men. While
previous literature has suggested that passengers assume male flight attendants are gay
(Williams, 2003; Young & James, 2002), without questioning the participants’ perceptions of
male flight attendants as a group, we are basing our analysis of these findings not on concrete
fact but on theoretical relationships that may not exist.
Future Research
First, future research in the area of humor in preflight safety briefings should compare
read scripts, video taped enactments of scripts, and live enactments of scripts. While it is
suspected that there is a difference between the three, the only way to know for sure would be to
Laughing Before Takeoff 408
compare the delivery of the three methods. This information would be useful for future
experimental designs examining humor.
Second, ideally, this study should be replicated in an actual airline situation with real
flight attendants not using fabricated scripts. While the humorous script was perceived as more
humorous than the standard script in this study, the script was still considerably more canned and
less conversational because of the nature of the study. Furthermore, future research should
survey actual airline passengers. While this research would probably be more survey design than
experimental, real survey data form actual passengers would be considerably more valid and
generalizable than experimental designs in a contrived college classroom.
Lastly, future research examining the differences between female and male flight
attendants should examine people’s perceptions of both female and male flight attendants’
sexuality. These perceptions of sexuality could then be used to determine if it is the stereotyping
that causes female flight attendants to be more valued than male flight attendants, or some other
intervening variable. Furthermore, controlling for a participants’ level of homonegativity and
ethnocentrism could also be very telling.
Conclusion
In 2005, 745.7 million passengers flew on both domestic and international flights from
the United States, a 4.6 percent increase from the previous year (Smallen, 2006). As more and
more passengers fly, the numbers of in-flight emergencies naturally increase (NTSB, 2000). As
airlines, the NTSB, and the FAA look to find out how to increase passenger awareness of inflight safety procedures, two variables that appear to be relevant to this discussion based on the
findings in this study are humor use during the preflight safety briefing and the biological sex of
the flight attendant who delivers the preflight safety briefing. While the current project hopes to
initiate a new line of research for communication scholars examining cabin crew-passenger
communication, the results of the current project are mixed. If the preflight safety briefing had
been more thoughtfully delivered on Airbus flight 320, maybe 95 percent of the passengers
would not have expressed a lack in confidence about in-flight safety procedures.
409 Jason S. Wrench, Brenda Millhouse, and David Sharp
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Laughing Before Takeoff 412
Appendix A
Preflight Safety Briefing (Standard)
Instructions: Please read the following pre-flight briefing given by a female (male) flight
attendant prior to the take-off of the aircraft.
Hello and welcome aboard flight 475 with nonstop service to LAX, my name is Amy (Fredrick)
and I would like to welcome you aboard Generic Airlines.
Before we begin our flight today, Generic Airlines would like you to be aware of the following
safety instructions:
To fasten your seatbelt please press both ends of the buckle together until you hear the click, and
pull on the strap to tighten. Your seatbelt should be snug against your waist while seated. To
unfasten your safety belt, lift up on the seatbelt buckle. Once we reach our cruising altitude the
captain will turn off the fasten seatbelt light and you are free move about the cabin. However,
please keep your seatbelt fasten at all times while seating. In case of turbulence, the captain will
turn on the fasten seatbelt light, and you will need to refrain from moving about the cabin. Please
notice that the fasten seatbelt light is currently on and will stay lit through both takeoff and
landings. During take offs and landings please refrain from using portable electronic devices.
Once we are in the air, the captain will signal when it’s safe to use portable electronic devices.
To see a list of approved electronic devices, please see page 76 of the in-flight magazine located
in the seatback pocket in front of you.
Our emergency exits are located in row one, sixteen, and twenty-three. During an emergency
landing, guide lights will help you find the nearest emergency exit. If you are seated in an exit
row, please review the safety card located in the seatback in front of you concerning the
requirements and responsibilities of sitting in an exit row. If you do not meet the requirements or
do not feel comfortable meeting the responsibilities, please inform a member of the flight crew to
be moved to a non-exit row seat.
In the event of a water landing, your seat cushions may be used as a flotation device. If our
aircraft should loose cabin air pressure, oxygen masks will deploy from the ceiling. Place the
oxygen mask firmly on your head, pull on the straps to tighten the mask, and then breathe
naturally. If you are traveling with small children, please place your oxygen mask on first before
trying to assist others. Once again, please review the safety card located in the seatback in front
of you for further information about our emergency procedures.
As per Federal Aviation Administration regulations, this is a non-smoking flight, so smoking is
strictly prohibited aboard our aircraft. Tampering with, disabling, or destroying smoke detectors
in the airplane or lavatories is punishable under Federal Law. Once you have exited our aircraft
and entered into the airport terminal, you may smoke in designated smoking areas only.
When it comes to flying, we know that you have a choice, and thank you for choosing to fly with
Generic Airlines. We hope you enjoy your flight. If there is anything our flight crew can do to
make you more comfortable please let them know. We will be departing shortly.
413 Jason S. Wrench, Brenda Millhouse, and David Sharp
Appendix B
Preflight Safety Briefing (Humorous)
Instructions: Please read the following pre-flight briefing given by a male (female) flight
attendant prior to the take-off of the aircraft.
Hello and welcome aboard flight 574 with nonstop service to the arctic circle… no, sorry, wrong
airplane… Welcome abroad flight 475 with nonstop service to LAX, my name is Fredrick (Amy)
and on behalf of our flight crew and recent Microsoft Flight School grad captain Earhart, no
relation so don’t worry, I would like to welcome you aboard Generic Airlines.
Before our flight today, please be aware of the following safety instructions:
If you were fortunate enough to be seated in a seat equipped with a safety belt please press both
ends of the buckle together until you hear the click to fasten your seatbelt, and pull on the strap
to tighten. Your seatbelt should be snug against your waist while seated. To unfasten your safety
belt, lift up on the seatbelt buckle. Once we reach our cruising altitude the captain will turn off
the fasten seatbelt light and you are free to move about the cabin. However, in the event of a
midair collision, please keep your seatbelt fasten at all times while seated. In case of turbulence,
the captain will turn on the fasten seatbelt light, and you will need to return to your seat and
refrain from shouting expletives. Please notice that the fasten seatbelt light is currently on and
will stay lit during takeoffs and landings. During takeoffs and landings please refrain from using
portable electronic devices, especially devices that are necessary for your entertainment or
business use. Once in flight, the captain will signal when it’s safe to use portable electronic. To
see a list of approved electronic devices, please see page 10,076 of the abbreviated in-flight
handbook located in the seatback pocket in front of you.
Our emergency exits are located in row one, sixteen, and twenty-three. The exit in row twentynine was done away with after the plane’s accident and a new shorter tail section was attached.
During an emergency landing, guide lights will help you find the nearest emergency exit. If you
are seated in an exit row, please review the safety card located in the seatback in front of you
concerning the requirements and responsibilities of sitting in an exit row. If you do not meet the
requirements or do not feel comfortable meeting the responsibilities, please inform a member of
the flight crew to be moved to a non-exit row seat. You should know the survival rate of
passengers sitting in an exit row is just as good as any other passenger on the plane.
In the event of a water landing, your seat cushions may be used as a flotation device. If our
aircraft should loose cabin air pressure, oxygen masks will deploy from the ceiling. Place the
oxygen mask firmly on your head, pull on the straps to tighten the mask, and then breathe
naturally. If you are traveling with small child, or someone acting like a child, please place your
oxygen mask on first and assist your favorite child next. Once again, please review the
abbreviated in flight handbook located in the seatback in front of you for further information
about our emergency procedures.
As per California emission laws, this is a non-smoking airplane, so smoking is strictly prohibited
aboard our aircraft. Tampering with, disabling, or destroying smoke detectors in the airplane or
Laughing Before Takeoff 414
lavatories is punishable under Federal Law. Once you have exited our aircraft and entered into
the airport terminal, you may smoke in designated smoking areas only, breathe un-recycled air,
and/or pay ridiculous prices for any item you may have forgotten to pack.
When it comes to flying, we know that you have a choice, and thank you for choosing to fly with
Generic Airlines despite our safety record. We hope you enjoy your flight. If there is anything
our flight crew can do to make you more comfortable please let them know. Please note we are
presently out of pillows, blankets, and we will be unable to make any seating changes as it is a
hassle. We will be departing shortly. Thank you.