Theories of Human Communication Second Edition Stephen W. Littlejohn . . M HI II IM >!» Theories of Human Communication SECOND EDITION Theories of Human Communication SECOND EDITION Stephen W. Littlejohn Humboldt State University Wadsworth Publishing Company Belmont, California A Division of Wadsworth, Inc. Communications Production: Del Designer: John Editor: Kristine Clerkin Mar Associates Blumer. Copyright© 1969. Reprinted by permission of Prentice-Hall, Inc. 60 — 65 , 71 : From Communication Rules: Theory and Research by Susan B. Shimanoff. Copyright© 1980 by Sage Publications. Reprinted by permission of Sage Publications. 66- 67, 69 - 70 , 72 From Communication Action and Meaning 1980 by Praeger by W. Barnett Pearce and Vernon Cronen. Copyright : © by permission of Praeger Publishers. 69 From Genetic “The Development of Listener Adapted Communicafrom Different Social-Class Backgrounds,” by Kerby T. Alvy. Copyright ©1973. Reprinted by permission of The Journal Press. 78 84 From The Psychology of Language byj. A. Fodor, et al. Copyright 1974 by McGraw-Hill, Inc. Used with permission of McGraw-Hill Book Company. 87- 88 From Kinesics and Context by Ray Birdwhistell. Copyright© 1970 by the University of Pennsylvania Press. Reprinted by permission of the University of Pennsylvania Press. 96- 97 From Philosophy in a New Key by 1942 by Harvard University Press. Reprinted by Susanne Langer. Copyright Publishers. Reprinted Odam : Psychology Monographs, tion in Grade-School Children Copy Editor: Jerilyn Emori , : © Technical Illustrator: Stephen Harrison : : © 1983 by Wadsworth, Inc. All rights reserved. No part of this book may be reproduced, stored in a retrieval system, or transcribed, in any form or by © any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of the publisher, Wadsworth Publishing Company, Belmont, California 94002, a division of Wadsworth, Inc. permission of Harvard University Press. 99 From American Psychologist, “On Understanding and Creating Sentences,” by Charles Osgood. Copyright 1963. Reprinted by permission of The American Psychological Association and the author. 101 From The Measurement of Meaning by C. Osgood, G. Suci, and : © : © 1957 by the Board of Trustees of the University Tannenbaum. Copyright of Illinois. Reprinted by permission of the University of Illinois Press. 116 118 From The Mathematical Theory of Communication by Claude Shannon and Warren Weaver. Copyright© 1949 by the Board of Trustees of the University of Illinois. Reprinted by permission of the University of Illinois Press. 123 124 P. , of : Appleton-Century-Crofts. Reprinted by permission of Prentice-Hall, Inc. 168 , From Explorations in Interpersonal Communication, “A Relational Approach to Interpersonal Communication,” by Frank E. Millar and L. Edna 170 , 172 Printed in the United States of America 7 8 9 10—87 : : From Communication: The Study of Human Interaction, “Human Information Processing,” by C. David Mortensen. Copyright© 1972 by McGraw-Hill. Reprinted by permission of McGraw-Hill Book Company. 135 From Studies Rhetoric and Public Speaking in Honor ofJames Albert Winans, “The Literary Criticism of Oratory”, by Herbert Wichelns. Copyright© 1925 by : Rogers. Copyright ©1976. Reprinted by permission of Sage Publications 171 From Human Communication Research, by Malcolm Parks. Copyright© 1977. Reprinted by permission of International Communication Association and the : From Leaders of Schools: FIRO Theory Applied to Administrators by Will Schutz. Copyright© 1977. Reprinted by permission of University Associates. 174 , 175 177 From Firo: A Three-Dimensional Theory of Interpersonal author. 174 : , : Behavior by William Schutz. Holt, Rinehart and Winston, 1958. Reprinted as The Interpersonal Underworld. Copyright© 1966, Science and Behavior Books. — Reprinted by permission of Science and Behavior Books. 178 179 From Frame ISBN : An Essay on the Organization of Experience by Erving Goffman. Copyright© 1959 by Erving Goffman. Reprinted by permission of Doubleday and Company. 179 - 180 From The Presentation of Self in Everyday Life by Erving Goffman. Copyright© 1959 by Erving Goffman. Reprinted by permission of Doubleday and Company. 182- 184 From Self and Others by R. D. Laing. Copyright© 1969. Reprinted by permission of Tavistock Publications. 185187 From The Psychology of Interpersonal Relations by Fritz Heider. Copyright 1958. Reprinted by permission of the author. 187 190 From American Analysis: : Library of Congress Cataloging in Publication Data : : Littlejohn, Stephen W. © Theories of human communication. : Psychologist, “The Process of Causal Attribution,” by Harold Kelley. Copyright ©1973. Reprinted by permission of The American Psychological Association and the author. 193 - 195 From Of Human Interaction by Joseph Luft. Copyright : © 1969 by the National Press. Reprinted by permission of Mayfield Publishing Company (formerly National Press Books). 202—203 From The Acquaintance Process by Theodore M. Newcomb. Copyright© 1961. Reprinted by permis- Bibliography: p. Includes index. 1. 001.5 Communication 82-21938 ISBN : I. Title. P90.L48 0-543-01280-9 211 -213 From “A Transactional Paradigm of Verbalized Social Conflict”, by C. David Mortensen. Copyright© 1974. Reprinted by permission of Prentice-Hall, Inc. 217— 218 222— 227 From Group Dynamics: The Psychology of Small Group Behavior by Marvin E. Shaw. Copyright© 1981. Reprinted by permission of McGraw-Hill Book Company. 232—235 From Small Group Decision Making by B. Aubrey Fisher. Copyright© 1980. Reprinted by permission of McGraw-Hill Book Company,. 237 239 From Vic1972. Reprinted by permistims of Groupthink by Irving L. Janis. Copyright sion of Houghlin Mifflin Company. 255- 256 258 From Communicating and Organizing by Farace, Monge, and Russell. Copyright© 1977. Reprinted by permission of Addison-Wesley. 266- 268 From The Medium is the Massage by Marshall McLuhan and Quentin Fiore, produced by Jerome Agel. Copyright© 1967. Reprinted by permission of Bantam Books. 266 269 From Understanding Media by Marshall McLuhan. Copyright© 1964. Reprinted by permission of McGraw-Hill Book Company. 291 -293 From Communication Research, “A Dependency Model of Mass Media Effects”, by S. J. Ball-Rokeach and M. L. De Fleur. Copyright© 1976. Reprinted by permission of Sage Publications. sion of Holt, Rinehart and Winston, Perspectives on Communication CBS College Publishing. : in Conflict, : , : : © Acknowledgments 13 15- 16 From The Conduct of Inquiry by Abraham Kaplan. Copyright© : , 1964. Reprinted by permission of Harper & Row Publishers. 41 42 , 71 : From Communication Quarterly, “Alternative Perspectives for the Study of Human Communication: Critique and Response,” by Jesse Delia. Copyright© 1977. 30 - 32 : From The Ghost in Quarterly. Reprinted by permission of Communication 1968 by Arthur Koestler. Rethe Machine by Arthur Koestler. Copyright printed by permission of Macmillan Publishing Co. and A. D. Peters and Co. Ltd. 50 -52 : From Symbolic Interactionism: Perspective and Method by Herbert © , : : : : Contents PARTI INTRODUCTION 1 | Chapter 1 The Nature of Communication Theory 3 What Is Communication Theory? 3 Why Study Communication Theory? 4 The Academic Study of Communication 4 Defining Communication 5 An Organizing Framework 6 | | | | | | Chapter 2 Theory in the Process of Inquiry 9 The Process of Inquiry in Communication A Basic Model of Inquiry 9 | 9 | | Types of Scholarship 10 The Nature of Theory 12 The Functions of Theory 13 Theory Development and Change Concepts in Theories 16 | | | 14 | | 16 Explanation in Theories Philosophical Issues in the Study of Communication Communication Metatheory 18 19 Issues of Epistemology Issues of Ontology 21 Issues of Perspective 22 How to Evaluate a Communication Theory 23 | 18 | | | | | | 23 Theoretical Scope | Appropriateness 24 24 Heuristic Value | | 24 Parsimony 24 Validity | | What Do We Know about Communication Theory? 24 | CONTENTS PART II GENERAL THEORIES 27 | Chapter 3 General System Theory and Cybernetics Fundamental System Concepts 29 29 | | What What 29 33 Is Cybernetics? General System Theory as an Approach to Knowledge 37 Communication as a System 39 41 Criticism of System Theory What Do We Know about Communication as a System? 43 Is a System? | | | | | | Chapter 4 Symbolic Interactionism and Rules Theory 45 Symbolic Interactionism 45 Foundations: George Herbert Mead 47 Herbert Blumer and the Chicago School 50 Manford Kuhn and the Iowa School 53 The Dramatism of Kenneth Burke 55 58 Criticism of Symbolic Interactionism The Rules Approach to Communication 60 Approaches to Rules 61 Shimanoff’s Integrative Approach 62 Coordinated Management of Meaning 66 Criticism of the Rules Approach 71 What Do We Know about Communication as Symbolic | | | | | | | | | | | | 72 Interaction? | PART III THEMATIC THEORIES 75 | Chapter 5 Theories of Language and Nonverbal Coding Theories of Language 77 77 | | 78 Generative Grammar 80 Classical Linguistics | | 85 Criticism of Generative Grammar Theories of Nonverbal Communication 86 Structural Theories 87 Functional Theories 90 | | | | Criticism 93 What Do We Know about Language and Nonverbal Coding? | vi 93 | CONTENTS Chapter 6 Theories of Meaning 95 Representational Theories of Meaning 95 The Approach of Richards 95 Langer’s Theory of Symbols 96 Osgood’s Theory of Meaning 99 103 Criticism of Representational Theories Ordinary Language Philosophy 103 Foundations: Wittgenstein and Austin 104 104 Searle's Theory of Speech Acts 107 Criticism of Ordinary Language Philosophy Language and Experience 107 108 Cassirer’s Philosophy of Symbolic Forms | | | | | | | | | | | | 109 Theory Linguistic Relativity | Criticism of Experiential | What Do We Know about Meaning? 111 111 | 112 Postscript | Chapter 7 Theories of Information and Information Processing Information Theory 115 1 16 Technical Information Theory Semantic Information 119 An Effectiveness Approach to Information 120 122 Criticism Theories of Information Processing 123 “Standard Theory” 123 126 Criticism of Standard Theory 126 Cognitive Complexity 131 Criticism of Cognitive Complexity What Do We Know about Information? 132 | | | | | | | | | | | Chapter 8 Theories of Persuasion 133 Humanistic Foundations: Rhetorical Theory 133 Aristotelian Rhetorical Theory Contemporary Approaches 135 136 Criticism | 133 | | | | Contemporary Applications: The Yale Tradition An Organizing Model 136 The Persuasibility Problem 137 136 | | | 141 Criticism Information-Processing Theories of Persuasion 141 Information-Integration Theory | | Social Judgment 144 Theory | 141 | CONTENTS Theories of Cognitive Reorganization and Persuasion Social Learning Theory 147 Theories of Cognitive Consistency 148 146 | | | What Do We Know about Persuasion? 156 | PART IV CONTEXTUAL THEORIES 159 | Chapter 9 Interpersonal Contexts I: Theories of Relationship, Presentation, and Perception 161 161 | Introduction | Contexts of Communication 161 Interpersonal Communication? 161 Functions of Interpersonal Communication 162 Relational Communication 164 Origins of Relational Theory 165 Extensions: The Palo Alto Group 166 Recent Developments 168 Criticism 172 Theories of Self- Presentation 173 | What Is | | | | | | | | Schutz’s Psychological Approach 177 | Goffman’s Social Approach Criticism 180 177 | | Interpersonal Perception and Attribution Perception and Metaperception 182 181 | | Heider’s Attribution Theory | Kelley’s Attribution Theory 185 187 | 190 Criticism [ What Do We Know about Relational Communication? 191 | Chapter 10 Interpersonal Contexts II: Theories of Disclosure, Attraction, and 193 Conflict | Theories of Disclosure and Understanding Johari Window 193 Rogers's Theory of Congruence 195 193 | | | 196 Self-disclosure | 198 Criticism | Rhetorical Sensitivity as an Alternative View 199 | viii CONTENTS Interpersonal Attraction and Relational Maintenance 201 | Mehrabian's Concept of Immediacy 201 | Newcomb’s Approach 202 Byrne’s Reinforcement Approach 204 Thibaut and Kelley’s Theory of Exchange Criticism 207 Social Conflict 209 Game Theory 209 Transactional Approach 211 Persuasion and Conflict 213 Cognitive | | 205 | | | | | | 214 Criticism | What Do We Know about Factors of Interpersonal Communication? 215 | Chapter 11 Interpersonal Contexts III: Theories of Groups and Organizations 217 Theories of Group Communication 217 | | Group Dynamics 218 Theories of Group Interaction | | 227 Theories of Interpersonal Effects in Groups 236 Theories of Organizational Communication 240 Weber’s Classical Bureaucratic Theory 241 Human Relations School 243 | | | | The Systems Approach 252 What Do We Know about Communication in Groups and | Organizations? 261 | Chapter 12 The Mediated Context: Theories of Mass Communication Theories of Audience and Diffusion 264 Theories of Mass Society 264 Theories of Diffusion 274 Communication Effects and Functions 280 The Reinforcement Approach 281 The Agenda-setting Function 284 Early Functional Theories 284 | | | | | | | Uses and Gratifications Approach 285 Dependency Theory 291 What Do We Know about Mass Communication? | | IX | 294 263 | CONTENTS PART V CAPSTONE 297 | Chapter 13 The Status of Human Communication Theory 299 The Study of Human Communication 299 The Multitheoretical Tradition 299 300 Multidisciplinary Roots The Emergence of Communication as a Field 301 The Status of Communication Theory 301 Types of Theory 301 Philosophical Issues 302 302 Definitions of Communication Strengths and Weaknesses 303 Major Issues in Communication Theory 304 General System Theory and Cybernetics 304 Symbolic Interaction and Rules 304 Language 305 Meaning 305 Information 306 Persuasion 306 Interpersonal Contexts: Dyadic Communication 306 Interpersonal Communication: Groups and Organizations Mass Communication 308 The Future of Communication Theory 308 | | | | | | | | | | | | | | | | | | | | 310 Bibliography | Author Index 335 | 338 Subject Index | X 307 | Preface study of human communication involves copious and diverse scholarship. This is both a blessing and a curse. It is a blessing because it philosophical issues, which sets the stage for analysis are because it has led to disarray and confusion about what is known. The field of communication badly needs integration. This book is the The aim of the project is to make available, in which theoretical contributions can be compared, evaluated, and integrated. first edition of Theories of was an edition initial Human Com- step in this direction. summarized and organized many theories related to various themes of communication. Two major weaknesses were first apparent in that edition. First, were organized according although theories to topic, little gration resulted. Second, theories were overcome I attempted to took the role of was not readily critic to develop theories in an area. In addition, the capstone chapter has been completely revised. Its new aim is to present an assesssment of the status of communication theory at this time. It is a very personal statement with which others may or may not agree. these difficulties. Here I present my analysis of the field of communication, the status of communication treated separately, so that the student can and contribution of each. Extensive footnotes and references provide tools for further exploration of the theories and clearly see the focus theory at this time including weaknesses, and its strengths and a projection for the future of communication theory. You topics included. Several new features have been added to the enhance its usefulness. After looking through the present edition, you will not doubt will notice in this edition that the topics text to that I criticism inte- This second edition retains the essential features of the first. It summarizes a large number of theories from several disciplines. Each theory is and these are sum- marized, but no evaluation was presented. This edition seeks to 2, At the end of each chapter is a new section summarizing what we know about the chapter’s theme. These sections are not intended as point-by-point summaries. Nor are they detailed lists of facts or suppositions about aspects of communication. Rather, these brief sections are intended to present in general form the consensus of most knowledgeable scholars about the theme of the chapter. In other words these sections present points of general agreement or abstractions supported by the majority of the framework The Chapter original evaluation. of these theories more accessible to the The where such cases student of communication and to provide a munication in capture the spirit of published criticism, but in of a project begun about ten years ago to bring together in a single volume many of the major theories of communication from various insights developed applied directly or indirectly to the theories in each chapter. For the most part result fields. of theories. Perhaps the most important addition is the evaluation of the theories. Evaluative criteria has provided a rich source of ideas and insights into an elusive theme of human life. It is a curse of the earlier version most of remain intact, presented in roughly the same order. However, there is considerable shift in emphasis from one theme major reworking of the The discussion of theory in the first two chapters has been expanded and updated; to another. For example, theories of interpersonal communication, relevant to dyadic interaction, have been expanded into an important addition two chapters it constitutes a original. is the discussion of xi to reflect the relative increase in I PREFACE the amount of theory building in that area. In fact the conceptualization of communication contexts has been reworked slightly, as reflected in chapter titles, because of what I believe are changing perspectives in the field. Theories of Human Communication is a highly wish to present enough mateof the field and to allow the student to see similarities and differences among theories, but to include all major theories related to communication would have been impossible. The need to remain current selective effort. rial I to depict the breadth required that several The addition of this Kevin Howat and Sammy Reist for their keen attention to documentary detail; and to Charlotte Brown for a beautiful manuscript. I am especially indebted to Richard N. Armstrong, State University of New York, Brockport; Fred L. Casmir, Pepperdine University; Kenneth N. Cissna, University of South Florida, Tampa; Forrest Conklin, University of Northern Iowa; John E. Crawford, Arizona State University, Tempe; Frank Dance, new theories be added. new material along with and evaluation required that other theories be dropped for space reasons. I felt that University of Denver; Loren Dickinson, Walla Walla College; Robert Emmery, California certain old theories should be retained, because they were either highly influential or foun- Even though such theories are no however, possible. veys of ments I I to have kept the book as up to date as use of anthologies, sur- sippi State Diego made heavy as possible to experts in San Rebecca Rubin, Cleve- University; Stephen King, State University; land State University; R. C. Ruechelle, Cali- and other secondary treatguide my selections and summaries, much State University; Blaine Goss, versity of development. In the main, literature, deferring as Fullerton; Lawrence Frey, UniOklahoma; Mark Hickson, Missis- State University, Wayne longer in vogue, they provide a sense of tradition and theory fornia State College, Stanislaus; logical Brigham Young University. Mostly, I would like to thank a colleague, and wife In summary, I see the second edition as a and necessary step in the development of long-term project on the integration of human the people who Roger Smitter, Albion College; John Sutterhoff, California State University, Chico; and Gordon Whiting, each area. communication theory. I would like to express of the their analysis dational. for his faith in the value Sandra Craig and Nancy Sjoberg for book sense and managerial skills; to Jerilyn Emori for her tireless editorial eagle eye; to John Odam and Steve Harrison for their design and artistic talents; to Karen Massetti-Miller project; to my best friend, Karen Foss for her encour- agement and concern, urging and respite, my cism and confidence. appreciation to helped create this book: to xii criti- PART I INTRODUCTION Chapter 1 The Nature of Communication Theory Chapter 2 Theory in the Process of Inquiry CHAPTER The Nature of Communication Theory I As long as people have wondered about the world, they have been intrigued by the mysteries of their own nature. The most common- to devise explanations place activities of our lives exercise because human nature we — those take for granted puzzles of the largest magnitude munication professors often ask their students of certain aspects of communication. This task is a theory-building realms of — become when we is The study of how people one another has occupied a major porof the world’s mental energy. conceptualize them. relate to tion Communication intertwined with is all At these times we may modify what think the world is like. Although the word theory can be used to describe the educated guesswork of laypersons, are flawed. life. Any study of human activity must touch on communication processes in one form Some scholars treat we communication while others take communication for granted without making it the focus of their as central, academics use the word somewhat differently. lar idea book we are concerned with the of communication as central to human life. is Our guiding question how scholars in a wide and explained In a sense this time. but how some of the pieces have been tutes an adequate theory this of their philosophical assumptions, their claims about what communication involves, and their strengths and weaknesses. You will find a basis for making your own decisions about which theories should and. should not be included in our body of knowledge about communication. What Is Communication Theory? phenomenon is to explain or represent a theory. As discussed in the next chapter, tualization of communication. In will read about a wide variety of These theories are discussed in terms book you theories. a communication theory usually refers body of theories that makes up our understanding of the communication process. Much disagreement exists about what constito the shaped and joined. one sense any attempt the scholar’s best repre- required. The term does present several answers that have been proposed. In other words this book does not complete the puzzle of communication In is will see in the next chapter, theory is not an easy task. A great deal of focused observing, hypothesizing, and revising is it but illustrates As you building it is a synthesis of many contemporary theories of communication. The book does not provide the answer to questions we ask about communica- tion, in this sense sentation of the state of affairs at any given describes a part of our quest to understand ourselves. Specifically, is like, Theory human communication. book what an experibased on systematic observation. the scholar’s construction of ence variety of traditions have conceptualized, described, make it their work to study a particukind of experience with a keen eye. A theory Scholars study. In this is involves stating clearly what guide us in making decisions and taking actions. Sometimes we are wrong; our theories of human or another. it believed to be happening in communication. Indeed, everybody operates by theory much of the time. Our theories consist of ideas that try to a theory is someone’s concepof an observed set of events. Com- 3 — INTRODUCTION paper, the cartographer a picture of a ter- on Why Study Communication Theory? rain. Besides fulfilling the student’s curiosity about the student sees confused and — communication meeting the need to know the study of communication theory is valuable on other grounds. Communication is one of our most pervasive, important, and complex of behavior. The clusters ability to Looking at a bubble-chamber photograph, broken lines, the physicist a record of familiar subnuclear events .” 2 The basic justification for studying of communication is that they provide of useful conceptual tools. theories a set communi- on a higher level separates human beings from other animals. Our daily lives are strongly affected by our own communication with others as well as by messages from distant and The Academic Study of Communication Communication theory is diverse because persons. If there is a need to know about our world, that need extends to all aspects of human behavior, especially commu- munication cate communication itself complex. Looking for unknown a nication. Specifically, an toward becoming a the student asks how to a better theory A is a way theoretical An that man who many sees 2. Thomas S. book represent Kuhn, The a wide array of Structure of Scientific Revolutions (Chicago: University of Chicago Press, 1970), p. 111. and become increasingly adaptable and flexible. To borrow some analogies from Kuhn: “Look- 3. For an excellent case in favor of multiple approaches to communication, see John Waite Bowers and James J. Bradac, “Issues in Communication Theory: A Metatheoret- ing at a contour map, the student sees lines ical Patterns of Discovery departments, just as the theories de- scribed in this else has seen hitching of blinders, helps one transcend habits N. R. Hanson, a tra- nary cooperation is essential. University courses related to communication are found in before .” 1 This widening of perception, the un- University Press, 1961), one should avoid identification with ditional discipline but only that interdiscipli- “The paradigm observer is not man who sees and reports what all normal writes: what no one is view communication from the narrow confines of specific academic disciplines. Because disciplines are somewhat arbitrary, disciplinary divisions do not necessarily provide the best method of packaging knowledge. This statement is not meant to suggest to obtain this understanding. in familiar objects 3 . obstacle to a multitheoretical approach the tendency to The study of communication observers see and report, but the approach to the complex process of communication study of communication theory will cause the student to see things never seen before. N. R. the of from clusters useful for the work to be undertaken. We should welcome rather than avoid a multi- colleague of mine used to say that the Hanson numerous more ing communication and an ability to adapt to circumstances. process consisting of and each theory provides insights of its own. Of course, all theories are not equally valid or useful, and any particular investigator may find a specific theory or theories more competent, adaptive when com- a different angle, communicator, the teacher provides a list of recipes. This approach is a beginning, but the communication process is too complex to be approached entirely on the level of simplistic guidelines. Although recipes may help, what the student needs to learn about sending and receiving messages and relating to others is an understanding of what happens dur1. become always present and behavior. Each theory looks at the process understanding of systematic is an important step theories of communication individual. Often is the best theory of not particularly useful inasmuch as communication is not a single, unified act but is Analysis,” in Communication Yearbook 5, ed. Michael Burgoon (New Brunswick, (Cambridge: At the 1982), pp. 1-28. p. 30. 4 N.J.: Transaction Books, THE NATURE OF COMMUNICATION THEORY As Dean Barnlund disciplines. make traditional themes support rather than dominate the study of communication. The field of communication is characterized not only by its focus on communication per se but also by its interest in the entire breadth of communication concerns. The work of the International Communication As- indicates: the scholarly coin to “While many disciplines have undoubtedly benefited from adopting a communication model, it is equally true that they, in turn, have added greatly to our understanding of human interaction .” 4 you they Remember that when people tell communication experts, they are Their primary interests may be in the sciences or the arts, mathematics or literasaying are little. biology or politics ture, 5 Although scholars from a number of disciplines share an interest in communication, the scholar’s first loyalty is tion is Communica- itself. generally considered subordinate. For example, psychologists study individual behavior and view communication as a particular kind of behavior. Sociologists focus on society and social process, seeing communication as one of several social factors. Anthropologists are interested primarily in culture, investigate communication they aspect of a broader theme. from this that and communication is if they an eclectic approach. This situation is changing, however, and in a few years we will see more less significant direct theorizing about communication. In discussions of theories in this book, the relevance 6. of each theory to the broader study of human communication is explained. an academic study than behavior, society, and culture? Of course we do not. In recent years scholars sized it have recognized the of communication and have emphaand theory. Some of in their research these scholars plines. were trained Defining Communication Because of its complex, multidisciplinary na- in traditional disci- Others learned in academic departments communication or speech communication. Regardless of their original academic homes, these scholars have come together in the new field of communication. They have flipped called 4. ture, word (New Interpersonal Communication: Survey and York: Houghton Mifflin, 1968), p. v. George Gordon, The Languages of Communication (New York: Hastings House, 1969), p. ix; Franklin Knower, “The Development of a Sound Communicology” (unpublished manuscript); C. David Mortensen, Communication: The Study of Human Interaction (New York: McGraw-Hill, 1972), p. 22; Kenneth Sereno and C. David Mortensen, “A Framework for Communication Theory,” (New York: Harper Row, difficult to define. abstract and, The like all The term communica- For discussions of the multiple meanings of the term communication, see as example sen, Human Interaction ; Gordon, Thomas Languages-, Morten- “On Defining R. Nilsen, Communication,” Speech Teacher 6 (1957): 10-17. One hun- dred twenty-six different definitions of communication can be found in Frank E. X. Dance and Carl E. Larson, The Functions of Human Communication (New York: Holt, Rinehart Winston, 1976), Appendix A. in Foundations of & is concepts behind the term. The Communication Theory is communication . multidisciplinary nature of the study of communication is emphasized in numerous sources, including 5. communication words, possesses multiple meanings 6 Scholars have made many attempts to define communication, but seeking a single working definition may not be as fruitful as probing the various Dean Barnlund, Studies in this it as an conclude treat Do we as centrality Communication happening is Although many theories relate to aspects of communication, only a few deal with communication itself. Most of our understanding of communication arises from theories produced in the traditional disciplines. This book includes theories that relate directly to communication as a process and those that contribute to our understanding of communication less directly. The field of communication is so young that it has not produced much theory, so our knowledge of communication still relies primarily on usually to the general concepts of the discipline sociation and the Speech Association typifies what field. . & 1970). 5 . . . INTRODUCTION can be used legitimately in a number of ways. Frank Dance takes a major step toward fifteen distinct concept. He discovered conceptual components in the 1.1 summarizes the components and provides an example for each. In addition Dance found three points of “critical conceptual differentiation,” which form the basic dimensions along which the various various definitions. Table process. The The second dimension nitions include only intentional is signed to capture the general nature or essence of communication. The second type includes those that deal with certain thematic theories, communicaThe third pervasive themes present in most the inclu- Some of communication, theories de- general theories The first is level of observation Definitions vary in level of abstractness. Some definitions are broad and inclusive; others are sion or exclusion of intentionality book are divided into The first type includes theories in this three types of domains. definitions differ. restrictive. systematically from one aspect of communication to another. After all, the goal of this book is not merely to summarize a number of theories but to build an understanding of communication in the 7 muddy clarifying this moving the different theories, tion tion events regardless defi- message send- type consists of of the setting. theories that context theories, particular setting of ing and receiving; others preclude intention. Third is the factor of normative judgment. Some apply specifically to of evaluation; other definitions do not contain such implicit judgments of quality. Dance’s conclusion is important: “We are trying to make the concept of ‘communication’ do General theories appear in Part II of this book. Three classes of general theories are too much work concepts. The for us.” 8 He calls for a family covered: system theory, symbolic interactionism, and rules theory. System theory captures the holistic, relational nature of the tion process, emphasizing of ments theories included in the following interrelate ways communicawhich ele- in to establish an indivisible whole. Symbolic interactionism stresses the ways in which humans define themselves, chapters, seen collectively, represent a step in the direction of specifying the a communication definitions include a statement members of this others, family of concepts. and situations by exchanging messages. Rules theory deals with socially derived guidelines for An Organizing Framework Communication number of ways. Part cial, We could, meaning, information, and persuasion. Language includes verbal and nonverbal signs. for example, divide would probably not be bols. domain. theory’s Mass communication Organizational domain is its topic or subject, or communication covered by the theory. This method of organizing theories is advantageous because it allows us to employ elements of communication as guides for using communication Small group communication Dyadic communication Frank E. X. Dance, “The ‘Concept’ of Communica20 (1970): 201—10; also Dance tion,” Journal of Communication and Larson, Functions. 8. Dance, “Concept,” Figure p. 210. 6 to sym- Information consists of how messages are book the aspect of 7. all Meaning involves the human response benefi- as discussed earlier. Instead, in this theories are organized according to A contexts: language, munication that apply to theories according to the disciplines in which they were developed. However, such an or- ganizing pattern communication behavior. presents four broad themes of com- III theories can be classified in a 1.1. Hierarchy of contexts. THE NATURE OF COMMUNICATION THEORY TABLE 1.1 Conceptual components 1. Symbols/Verbal/Speech 2. Understanding 3. Interaction/Relationship/ “Interaction, even Social Process tion; communication in “Communication the verbal interchange of thought or idea” (Ho- is ben, 1954). “Communication by which we understand others and in turn endeavor to be understood by them. It is dynamic, constantly changing and shifting in response to the total situation” (Anderson, is the process 1959). otherwise on the is a kind of communicacould not occur” (Mead, reprinted biological level, common acts 1963). 4. Reduction of Uncertainty 5. Process “Communication effectively, to arises out of the need to reduce uncertainty, to act defend or strengthen the ego” (Bamlund, 1964). “Communication: the transmission of information, idea, emotion, skills, etc., by the use of symbols words, pictures, figures, graphs, etc. It is the act or process of transmission that is usually called communication” (Berelson and Steiner, 1964). — 6. Transfer/Transmission/ Interchange “The connecting thread appears to be the idea of something’s being from one thing, or person, to another. We use the word ‘communication’ sometimes to refer to what is so transferred, sometimes to the means by which it is transferred, sometimes to the whole process. In many cases, what is transferred in this way continues to be shared; if I convey information to another person, it does not leave my own possession through coming into his. Accordingly, the word ‘communication’ acquires also the sense of participation. It is in this sense, for example, that religious worshipers are said to communi- transferred cate” (Ayer, 1955). 7. Linking/Binding “Communication living 8. Commonality 9. Channel/Carrier/Means/ is the process that links discontinuous parts of the world to one another” (Ruesch, 1957). is a process that makes common to two or what was the monopoly of one or some” (Gode, 1959). “The means of sending military messages, orders, etc., as by tele- “It (communication) several Route phone, telegraph, radio, couriers” ( American College Dictionary). Memories 10. Replicating 11. Discriminative Response/ “Communication is the process of conducting the attention of another person for the purpose of replicating memories” (Cartier and Har- wood, Behavior Modifying Response 12. Stimuli 1953). “Communication is the discriminatory response of an organism to a stimulus” (Stevens, 1950). “Every communication act is viewed as a transmission consisting of a discriminative stimuli, (Newcomb, from of information, a source to a recipient” reprinted 1966). 13. Intentional 14. Time/Situation “The communication process 15. Power “Communication “In the main, communication has as its central interest those behavioral situations in which a source transmits a message to a receiver^) with conscious intent to affect the latter’s behaviors” (Miller, 1966). is one of transition from one structured situation-as-a-whole to another, in preferred design” (Sondel, 1956). (Schacter, 1951). 7 is the mechanism by which power is exerted” , INTRODUCTION used to reduce uncertainty and to make predictions and decisions. Persuasion encompasses the communication within the ways two in which individuals change in addition trans- actions with others. aim cation group, organizational, and mass communica- mass conducted through is mediated; that is, an intervening channel. Communication conare conceived of as a hierarchy. Each higher level includes important aspects of lower levels within it. Mass communication, for scholars would add context to this analysis: intrapersonal a or Contextual theories Language Meaning Thematic theories Information Persuasion Figure 1.2. it cuts across all this other all the themes operate. Thematic theories cover topics relevant to the rows, and context theories cover topics relevant to the columns. General theories attempt to capture the general nature of the process, cutting across both columns and rows. the hierarchy of contexts. Many communication Certainly, this Second, intrapersonal communi- so pervasive that contexts in which example, necessarily involves organizational communication, group communication, and dyadic communication. Figure 1.1 illustrates fifth self. not included here for meaning, information, and persuasion. Part III of the book itself might be considered a summary of intrapersonal communication theories. To further visualize the contextual model of domain, consider the two dimensions of domain illustrated in Figure 1.2. The vertical dimension consists of themes that cut across contexts, and the horizontal dimension includes Dyadic, group, and organizational con- texts are basically interpersonal, while the texts it is few theories address contexts, contextual domains are included: dyadic, context is First, making it a universal theme. Communication theories most relevant to intrapersonal communication deal with language, of commu- to explain aspects nication appearing in particular settings. Four tion. valid, but level directly. Part IV deals with contextual theories, theories that is reasons. Theoretical domains. 8 CHAPTER Theory 2 of human communication, I n the study branches of knowledge, it is in the Process of Inquiry to inquiry that involves three stages as in all How did we we begin is this book because each of the chapters role in its generation. First we . them .” 2 These common types of questions asked by the scholar. Questions of definition call for concepts as answers, seeking to identify what is shall we observed or inferred (What is it? What call it?). Questions of fact ask about what is observed (What does it consist of? How does it relate to other phenomena?). Questions of value probe properties and relations in will discuss in- will take a closer . . authors outline quiry as a general process, including the nature we . plined, systematic answers to at truth. This chapter discusses the pro .ess of developing knowledge. Knowledge does not just spring into being. Rather, it is the product of hard work, with scholarship taking a central of scholarship. Then . . presents a kind of truth. Every theorist repre- sented here has taken a stab first inquiry is “nothing more than the process of asking interesting, significant questions and providing disci- fact, believe that particularly important place to a The tions. come to profess what we know or think know? The questions of truth, discovery, and inquiry 1 . and guiding stage of all inquiry is asking quesGerald Miller and Henry Nicholson, in appropriate, even compelling, to ask ourselves: look aesthetic, pragmatic, theory as a part of inquiry. Later we will examine central philosophical issues related to communication theory, concluding with a discussion of the criteria for evaluating theories. at and ethical qualities of the observed. Such questions result in value judg- ments about phenomena effective? Is it (Is it beautiful? Is it proper?). The second stage of inquiry is observation. Here the scholar experiences the object of in- Methods of observation vary signififrom one tradition to another. Some scholars observe by examining records and artifacts, others by personal involvement, others by using instruments and controlled experiment, others by taking testimony. Whatever form is used, the investigator employs some planned method for answering the questions. The third stage of inquiry is constructing anquiry. The Process of Inquiry in Communication cantly A Basic Model of Inquiry Inquiry involves processes of systematic, disciplined ordering of experience that lead to the development of understanding and knowledge. Inquiry is what scholars do to “find out.” Inquiry is not just one process, of course. Many modes are used, but all are distinguished from mundane cused; and it or common experience. Inquiry is swers. stage, which is to define, to make judgments. This the focus of this book, is usually referred to as theory. never sure of the exact outcome of inquiry and can anticipate only the general form or nature of the results. gator Here the scholar attempts describe and explain, to fo- involves a planned means or method has an expected outcome. The investiit is These scholars also share a general 1 The process of inquiry is described in Gerald E. Miller and Henry Nicholson, Communication Inquiry (Reading, Mass.: Addison-Wesley, 1976). . approach 2. 9 Ibid, p. ix. INTRODUCTION Students naturally tend to think of the stages of inquiry as linear, occurring one step at a time, but inquiry does not proceed in this fashion. Each stage affects and is affected by the others. Observations often stimulate tions, new new questions, and observations are structured in by existing the interaction sults. Science apart many in gen- ignoring the distinctions between types of inquiry. These types stem scientific. 3 arship share the all common the form and structure between individual obin wait of discovery. sits is is why objectivity or so important in science. If all trained observers report the same results, we can be assured that the phenomenon has been accurately observed. Because of the emphasis humanistic, and social of these forms of schol- have major on discovering a knowable world, scientific methods are especially well suited to problems of nature. associated Humanistic Scholarship. While science is associated with objectivity, the humanities are elements discussed in the previous section, they also The world replicability scientific, Although is not always consistent with the philosophical differences observers. This reliance different of scholarship: is Where the scholar has reason to believe that a phenomenon exists in the world, the goal is to observe that phenomenon as accurately as possible. Since no divinely revealed way exists for knowing how accurate one’s observations are, the scientist must rely on agreement among methods of observation and lead to different forms of theory. Methods of inquiry often are grouped into three broad forms from is from servers. eral terms, the it position that the world has the stages of inquiry. Types of Scholarship The preceding section discusses inquiry that such objectivity achieved. theories. Figure 2.1 illustrates among Remember goal-ideal of science but that ques- and theories are challenged both by ob- servations and questions. Theories lead to part Replications of a study will yield identical re- differences. Scientific Scholarship. Science often is associated with subjectivity. with objectivity. This association is valid or not, depending on how you view objectivity. If by objectivity you mean suspension of values, then science definitely ever, if is not objective. standardize observation; How- reduce by objectivity you mean standardiza- the is indeed objective; or, more aims to be objective. The scientist at the world in such a way that all other observers, using the same methods, will see the same thing in a given observation. tion, 3. An excellent, though somewhat different, is whit is to observed, is to understand indi- is an “out there” activity, humanities stress the “in here.” Science focuses on the discovered world; humanities focus on attempts to look scholarship can be found in Ernest G. differences in While science it Research in the Communicative Arts aim of science vidual subjective response. then science accurately, human aim of the humanities Science aims to the humanities seek creative individuality. If the Questions discussion of Bormann, Theory and (New York: Holt, & Winston, 1965). For more detailed discussions of the forms of scholarship presented in Bormann, see Rinehart Nathan Glazer, “The Social Sciences in Liberal Education,” The Philosophy of the Curriculum, ed. Sidney Hook (Buffalo: Prometheus Books, 1975), pp. 145-58; James L. Jarrett, The Humanities and Humanistic Education (Reading, in Mass.: Addison-Wesley, 1973); Gerald Holton, “Science, Science Teaching, and Rationality,” in The Philosophy of the Curriculum, ed. Sidney Hook (Buffalo: Prometheus Books, 1975), pp. 101-18. Theory Observation -» Figure 2.1. 10 The stages of inquiry. THEORY IN THE PROCESS OF INQUIRY the discovering person. Science seeks consen- havioral science and social science, the former referring to individual behavior and the latter to humanities seek alternative interpretations. sus; Humanists often are suspicious of the claim that there is an immutable world to be discovered. human interaction. For our purposes these two branches are combined. The humanities scholar tends not to separate the knower from the known. The classical humanistic position one sees. is that who one is In order to understand scholar determines what do Because of its emphasis on the subjechumanistic scholarship is especially well suited to problems of art, personal experience, and values. This discussion is not intended to lead you to on what is observed. Once phenomena are accurately obmust be explained or interpreted. Interpreting may be confounded by the fact that the object of observation, the itself human subject, is an active, knowing being. Unlike objects world, the human subject is capa- in the natural mentwo of having knowledge, of possessing values and making interpretations. Can “scientific” explanation of human behavior take place without consideration of the “humanistic” knowledge of the observed person? This question is the central philosophical issue of social ble groups of scholarship; points of cross-over also exist between them. At times the scientist is a humanist, using intuition, creativity, interpretaIronically, the scientist as must served, they tioned relate to the primary thrust of the and insight. must be the behavioral any program of research and theory building some aspects of both scientific and tion, behavior, the establish consensus includes differences human If behavioral patterns havioral scientist, like the natural scientist, believe that science and humanities are so far apart that they never come together. Almost The it. objective as possible. In other words, the be- tive response, humanistic scholarship. must observe in fact exist, then observation must be subjective in creating the mechanisms that science. will eventually lead to objective observation. Controversy about the nature of inquiry into human Research design is a creative process. At times the humanist, in turn, must be scientific, seek- life is common in social science. In pre- vious years the majority of social scientists believed that scientific methods alone would ing facts that enable scholars to understand the experiences to which ultimately they will re- suffice to spond subjectively. As we shall see in the next section, where science leaves off and humanities begin is not always clear. rience. while of uncover the mysteries of human expe- Today most social scientists realize that methods are an important aspect scientific their scholarship, a strong humanistic ele- ment The Special Case of form of scholarship the Social Sciences. is social science. A is present as well. Specifically, the individual subjective response must be considered in understanding how people think and third Many so- would not separate this type of from science, seeing it instead as an extension of natural science. In fact, numerous methods used by social scientists are borrowed from physics. Social science, however, is a world apart. Paradoxically, it includes elements evaluate. of both science and humanities, but methods. The theories covered in this book, as examples of social science, vary significantly in their use of the languages of science and cial scientists The study of communication scholarship ent it is differ- human beings as objects of study. They seek to observe and interpret patterns of human behavior. In practice scholars distinguish It have in creating, is a social sci- how people be- exchanging, and interpreting messages. Consequently, communication inquiry combines both scientific and humanistic from both. Social scholars attempt to understand involves understanding ence. humanities. Traditionally in the field of speech communication, humanistic theories of communication have been referred to as rhetorical between be- 11 . . INTRODUCTION theory and theory. This distinction ful. scientific theories as communication All of the theories will discuss deal human communication; both between the concepts of model and distinctions actually are miscon- distinctions theory. 5 not particularly use- is we with Most ceptions, he believes. humanistic and and explanation a He defines a theory as an model as a representation worthy of inclusion in our body of knowledge about human commu- For him, models merely represent aspects of the phenomenon without explaining the inter- nication. relationships scientific theories are of communication there is no on the limits of science and In the field humanities. We are far from consensus on among the parts of the modeled process. universal agreement In this will not pursue the dis- between theories and models of com6 The purpose of the book is to tinctions the book we questions that can and should be approached munication and those that should be the focus of humanistic methods. In the final analysis scholars defend the traditions in which they are trained and which they enjoy the most. These issues of scholarship are taken up in more detail later in the chapter under the heading of represent a wide range of thought about the scientifically theory used in is nication process. may As you the term range when phers the term 4. Theory is is of as is contrasted with writers, in the process from model thus encounter models of the conceived is of communication. made about generalizations can be First, all theories are abstractions. cess being conceptualized. theory In is partial; process human at a Theories result every on certain aspects of the the expense of other aspects. This truism about theory and planes. On the conceptual models that represent ideas and processes. Such models may be graphic, verbal, or mathematical. In any case a model is usually viewed as an analogy to some real-world phenomenon. Thus models are interpreted metaphorically so that the model builder attempts to draw symbolic parallels between structures and relationships in the model and those in the modeled event or process 4 Leonard Hawes reviews several common As every theory leaves something out. Theories focus figure, trains, is important because it re- 5. Leonard Hawes, Pragmatics of Analoguing: Theory and Model Construction in Communication (Reading, Mass.: Addison-Wesley, 1975), pp. 122-23. level are 6. For definitions of the terms theory and model, see Dean C. Barnlund, Interpersonal Communication: Survey and (New York: Houghton Mifflin, 1 968) p. 18; Bormann, Communicative Arts, p. 96; Karl W. Deutsch, “On Studies , Communication Models in the Social Sciences,” Public Opinion Quarterly 16 (1952): 357; Calvin S. Hall and Gardner Lindzey, Theories of Personality (New York: Wiley, 1970), pp. 9—10; Gerald R. Miller, Speech Communication: A Behavioral Approach (New York: Bobbs-Merrill, 1966), pp. 52—53; C. David Mortensen, Communication: The Study of Human Interaction (New York: McGraw-Hill, 1972), p. 29; Frank E. X. Dance and Carl E. Larson, The Functions of Human Communication (New York: Holt, Rinehart & Winston, 1976), p. 3; Hawes, Pragmatics, pp. 28-29. . Max many are attempts of of communication are not themselves the pro- used differently. often distinguished all theories. fact. and philoso- broad sense the term model can apply to any symbolic representation of a thing, process, or We exist. will see in the following pages, important Two a idea. commu- not to distinguish various scholars to represent what his pullets People sometimes use the term theory to mean any unsubstantiated guess about somerelativity. scientists, is most general form, however, from will start laying eggs to Einstein’s theory Too, theory often broadest sense as any conintent conceptual representations are available. In their farmer Jones’s theory about Even among The between those representations called models and those called theories, though technical differences thing. its ceptual representation or explanation of the philosophical issues. The Nature of Theory What is theory? Uses of . communication process. Therefore the term Black, Models and Metaphors (Ithaca: Cornell Uni- versity Press, 1962), chap. 13. 12 . THEORY IN THE PROCESS OF INQUIRY veals the basic inadequacy of theory. No single theory will ever reveal Truth. The creator of a theory attempts to point out and explain what is but that any given “truth” can be represented in a variety of ways, depending on the reality, theorist’s orientation. believed to be important, nothing more. 7 The Functions of Theory must be viewed as constructions. Theories are created by people, not ordained by God. Theories represent various ways in which observers see their environSecond, all theories ments, but theories themselves are not Many Eight important and overlapping functions of theory can be identified: (1) the organizing and summarizing function, reality. . A theory must somehow an important sense its own.” 8 . jreyr.istic tion, . Let us take an analogy from biology. Two observers using microscopes may see different points of view. retical One on their theo- observer sees Knowledge is organized into a body of theories, and the investigator begins a study with the organized knowledge of genera- The first viewer stresses the of an amoeba that resemble prop- cells. properties erties of all other cells — the tions of previous scholars. The second function is that of focusing. Theories, in addition to organizing data, focus wall, the nucleus, The second observer concenanalogy between the amoeba and the cytoplasm. trates on the first investigation. a one-celled animal; the other sees an organism without function, (7) the communicative func11 (8) the control function. function of theory is to organize and summarize knowledge. We do not see the world in bits of data. Humans need to organize and synthesize the world. Patterns must be sought and connections discovered. Theories and models are one way of accomplishing this organization of knowledge. An added benefit of this function is theory’s contribution to cumulation in knowledge. The student, practitioner, or scientist does not have to start anew with each creates things in an amoeba, depending and The God’s world, but a world of fit it the focus function, function, and students often are trapped by the conception that reality can be seen in this or that theory. Abraham Kaplan writes: “The formation of a theory is not just the discovery of a hidden fact; the theory is a way of looking at the facts, of organizing and representing them. in (2) the clarifying function, (4) the observational (5) the predictive function, (6) the (3) readers and theorists forget this principle, attention on important variables and relation- other whole animals. This observer sees ingestion of food, excretion, reproduction, mobility. ships, as a Neither observer communities, picnic grounds, and shopping centers. To the persistent question of “What will I look at?” the theory points out areas for is wrong. Their surface a theoretical frameworks simply stress different aspects of observed object. 9 Because of the fact that theories and models are constructions, ques- the 10. tioning a theory’s usefulness tioning truthfulness 10 its . is investigation. wiser than ques- This statement is map depicts terrain. From the overall map points out recreation spots, Third, theories provide the advantage of clarifying what is observed. The clarification not only helps the observer to understand rela- not intended to imply that theories do not represent tionships in 7. For discussions of the partial nature of theories, see p. 52; Lee Thayer, “On Theory-Building in Miller, Speech interpreting, explaining, 8. Abraham Kaplan, The Conduct Chandler, 1964), to interpret provide guideposts for and understanding the complexity of human relations. Communication 13 (1963): 217-35. cisco: communication but specific events. Theories , Communication: Some Conceptual Problems,” Journal of Fourth, theories offer an observational aid. of Inquiry (San Fran- p. 309. This listing is a synthesis of functions gathered from a of sources. See Bamlund, Interpersonal Communicap. 18; Irwin B. J. Bross, Design for Decision (New York: Macmillan, 1953). 1 1 9. Examples from N. R. Hanson, Patterns of Discovery (Cambridge: At the University Press, 1961), pp. 4-5. variety tion, See Hall and Lindzey, Theories pp. 10—11. , 13 INTRODUCTION communicative function. Most investigators want and need to publish their observations and Closely related to the focus function, the observational function points out not only how observe but to observe. what to speculations for other interested persons. Especially for Theory provides those theories that provide operational definitions, the theorist gives the a framework nication and provides an open most precise indicameant by a particu- commu- for this forum for discus- and criticism. Through the communication of numerous explanations of the phenomena we study, comparison and theory what is lar concept. Thus by following directions the reader is led to observe details elaborated by the sion, debate, theory. improvement become possible. The eighth function of theories is control. This function grows out of value questions, in which the theorist seeks to judge the effectiveness and propriety of certain behavior. Such tion possible about The function of theories, to predict, fifth is one of the most widely discussed areas of sciento Many inquiry. tific make theories allow the inquirer predictions about outcomes and effects This in the data. in the applied ability to predict is communication theory important areas such as per- often referred to as normative in that is , seeks to establish it norms of performance. Much suasion and attitude change, psychotherapy, theory, of course, does not seek to fulfill this small group dynamics, and organizational communication. Teachers work toward devel- function at remaining on the descriptive all, level. and abilities to improve communication competence. Various communication oping skills Theory Development and Change Although it is to substitute well-founded predictions for theory an abstraction from guesses. the functional relationship theories aid this process The sixth theoretical function, the heuristic function, iar by enabling the student good is axiom also frequently discussed. is that a A also necessary. entity with famil- good theory generates ence. re- search. The speculation forwarded in theories of communication often provides a guide as to the direction the research will take and thus aids in furthering the investigation. This heuristic function of aiding discovery is vital to the growth of knowledge and is in a sense an outgrowth of each of the other functions of theory. Seventh, theories serve an indispensable From Design for Decision by Irwin Bross. Copyright is important to understand that the Theory little is is purely abstract a relationship to actual experi- In fact, theory and experience interact continually for the ultimate both. reality, realizing between the two not improvement of Irwin Brass’s excellent model of this theory-experience relationship is shown in Figure 2.2. 12 From search), 12. original experiences we Figure 2.2. 14 formulate our symbolic models. We Bross, Design, pp. 161—77. © 1953 by the Free Press, the publisher. (including re- a corporation. Reprinted with permission of THEORY IN THE PROCESS OF INQUIRY are able to think through and manipulate vari- lutions, describes the third process of change, Over time researchers in an area of study increase their knowledge through exten- ables in our heads, while at the same time focusing on specified parameters in the real world. From the interaction of these two, predictions revolution. 15 sion and intension. At some point an extraordinary case is discovered that runs counter to made, tested, and verified. Over time the models change, grow, and improve, as illusare more extended diagram shown trated in Bross’s prevailing assumptions of the theory in use. At this point a crisis develops, leading to the de- Figure 2.3. Thus good theory development is a constant process of testing, formulating, and velopment of retesting. ing This testing-retesting process stresses the need for research, which is vital to theory de- original theory. velopment of the in in three interconnected search allows for (1) new of ical new facts that are singled out as important, (2) testing the theory’s predictive usefulness on real events, and (3) further developing and articulat- in bit. This is new scientific Kaplan, Conduct From , by Irwin Bross. Copyright revo- © who when a approach is being formulated, support the old approach become of work that may many be years or entire at stake. scientific revolution described by Kuhn The the exterior of the box from above later sees its interior from below.” 16 Theory in any field, including communication, is crucial for the formal investigation of phenomena. Kaplan states this idea: “What is p. 305. Design for Decision the publisher. more and more members becomes the primary theoret- man who saw 13. Thomas S. Kuhn, The Structure of Scientific Revolution (Chicago: University of Chicago Press, 1970), pp. 25-27. 14. it fore the revolution are rabbits afterwards. ing of concepts or single bits of knowledge. 14 monograph on accepted by knowledge. Previous areas of study may die; others may be born; new weddings may occur. “What were ducks in the scientist’s world be- , a that often requires redefinition of an entire field of On the other hand, the second way, growth by intension is the process of developing an increasingly precise understandin way of lookcompetes with the a different way theoretical The concepts to the old. Kuhn, is field until The Gradually, the revolutionary defensive, protecting their three important the process of adding theoretical approach. approach. Often during the years lifetimes may change first is growth by extension. Here knowledge is expanded piece by piece, moving from an understanding of one bit of reality to an adjoining the world, a theorists ing the theory. 13 Theories ways. The new theory represents at theory ways. Re- specific investigating a 15. Kuhn, 16. Ibid., p. 111. Structure. 1953 by the Free Press, Figure 2.3. 15 a corporation. Reprinted with permission of INTRODUCTION rooted in the particularity of fact comes to or else it flower in the generalization of theory — fails viding only a Our concept-processing beings. entire sym- — everything known — stems from Kuhn concept formation. writes: “Neither sci- nor laymen learn to see the world both scientists entists piecemeal or item by item; . . labels terns. The fulness of them according goal of theory its is known scholars believe concepts interrelate. These explanations . why and laymen sort out whole areas together from the flux of experience.” 18 Although the process of conceptualizing is complex, basically it consists of grouping things and events into categories according to observed commonalities. The communication theorist observes many variables in communication and classifies and many that in world the concepts interrelate taxonomies are not theories.) Introductory communication texts often include basic models that list the “parts” of the communication process, including such concepts as source, message, receiver, feedback, and so forth. The best theories, however, go beyond concepts to provide explanations, statements about how Theories The first and most basic aspect of a theory is its set of concepts. We as persons are by nature bolic how (Note that as taxonomies. Concepts of concepts and definitions list without explaining or affect one another. Such theories are to seed.” 17 at tell us variables are connected. Theories that stop the concept level are primitive at best, since the goal of theory building understanding of how a is to provide an phenomenon operates. Explanation in Theories The Principle of Necessity. A phenomenon is explained to the extent that regularities in the to perceived pat- relationships to increase the use- among concepts are identified. explanation designates concepts. Kaplan describes the ables that process: makes some force among outcomes particular An vari- necessary. Explanations vary according to the type of a particular subject-matter grows, our conception of that subject-matter changes; as our concepts become more fitting, we can learn more and more. Like all existential dilemmas in science, of which this is an instance, the paradox is resolved by a process of approximation: the better our concepts, the better the theory we can formulate with them, and in turn, the better the concepts for the next It is only through such succesimproved theory. sions that the scientist can hope ultimately to achieve As knowledge of . . necessity believed to exist. Causal necessity occurs in a causal relationship. Here the theory states that an antecedent event determines the behavior of event: A is subsequent a believed to cause B. This kind of 20. explanation involves if-then reasoning. Sup- . pose, for example, that why success. 19 you wished important part of conceptualizing is We mark our concepts by symbols, usually words. Hence, an integral part of any theory is the set of terms that captures the theory’s concepts. Concepts and definitions cannot be separated. Together they tell us what the theorist is looking at and what is considered different from what they Kuhn, 19. Kaplan, Conduct, beliefs as quite One theory caused by high statements by others. (This theory in detail in Chapter Based on P. is discussed 8.) Achinstein, Laws and Explanation (New York: Oxford University Press, 1971); see also Donald P. Barnett Pearce, “Generality and Necessity in Three Types of Theory about Human Communication, with Special Attention to Rules Theory,” Human Communication Research 3 (1977): 344-53. Cushman and W. 18. is ego involvement. In other words, when an individual’s central ego beliefs are threatened, that person will accept only a very small range of theories stop at the concept level, pro- Kaplan, Conduct, p. 119. own believe. explains that this occurrence important. 17. to explain people sometimes perceive statements that actually are similar to their An labeling. Some There are three types. 20 Structure, p. 28. p. 53. 16 THEORY IN THE PROCESS OF INQUIRY The second type of explanation employs practical necessity. Because teraction, theories. it human is often used in way may 5. to 6. One’s choice is affected by a from self, others, and situation. In causal necessity behavior is determined by previous conditions, with the person responding passively. In practical necessity the person actively selects courses of action to achieve some future state. is cal necessity. difficult to A explained by assumed: A you series; a Chapter theory typology neat, is differences. 21 it trichotomy causes is prevalent in the literature, explanation. Law believed to rely primarily theories are embodying They make ify universal causal relations when which from the behavior of another. rules are on among variables. 22 practical necessity, more humanistic, claiming is well summarized in Ernest Bormann, Communication Theory (New York: Holt, Rinehart & both understood and accepted by the Winston, 1980), chap. 22. is rely 21. This controversy the relational partners. Power on the spirit of sci- use of covering laws that spec- are believed to be 3. we will it briefly. However, the next section, on theory typology, covers a system that is superior for analyzing theory based on modes of discuss causal necessity, when has been criticized in recent Because the laws-rules-system Rules theories, This condition exists detail in years for presenting a false picture of theoretical the behavior of one person follows naturally 2. more on their primary method of explanation. Although such a ence. exists presented in Laws, Rules, and Systems. Traditionally in the of communication, theories have been sep- theoretical statements: complementary relationship is 9.) arated into three types, depending of internally consistent definitions and a set of correlations or correspondences among events. As an example consider the following series of A neces- necessary relationship exists field B, or A leads to B. In logical necessity such is not the case. Logical necessity relies on a series 1. is believe the other statements in the logical, tions. (This theory using logical is above example each statement sary if cause of the logic of the whole system of defini- of interlocked statements about a phenomenon. One state of affairs is seen as a logical consequence of the acceptance of other statements. In the other two forms of explanatime In the is made to seem necessary not because of an established consistent link between one event and another in time but be- series tion, a linear link in complementary relationship the person consistently behaves in a one-up fashion This correlation you would necessity as a basis for explanation consists of a In a statements. Further, this series of statements leads us to accept a positive correlation between power, one-up behavior, and control. form of explanation relies on logiThis form of explanation is more understand. behavior accepts control by the among because they wish to achieve identification with an audience. (This theory is discussed in Chapter 4.) third over the re- has the power. be using practical necessity if you explained that people construct messages in particular ways The One-down who In causal explanation the subsequent event is explained by the antecedent event. In practical the subsequent event. For example, asserts control other in a relationship. choose meet goals. variety of pressures explanation the antecedent event One-up behavior lational rules. social in- communication suggests that a person It to behave in a particular 4. form of expla- this nation applies primarily to the Study of rules. 7. For discussion of this approach, see Charles R. Berger, “The Covering Law the ability to control relational Perspective as a Theoretical Basis for Human Communication,” Quarterly 25 (1977): 7-18. 17 Communication INTRODUCTION edly relies on logical necessity. This type of as a composite of finely screened The aim of such theory is to reduce whole down to its knowable parts. Synthetic theories are more abstract, focusing on general patterns and interrelationships 25 Analytic and believed to center on the logical rela- synthetic theories can be further divided into that people actively choose and change understood rules. Rules theorists are seen as doubting the viability elements. of covering laws in communication. 23 In be- the tween lies theory tions is the systems approach among which purport- , elements of a holistic system. Such theories stress the intercorrelation different types, among depending on the method of Although analytic theories explanation used. events. 24 tend to be causal and synthetic theories tend to be practical, crossovers often occur, A Theory Typology. utility of Differences Doubt has been cast on the may as we shall see momentarily. Figure 2.4 outlines eight re- laws-rules-systems trichotomy. this of theory, including two types sulting types not be as clear as suggested by that are nonexplanatory. advocates. Although the covering law ap- its proach clearly embodies a scientific epistemol- Philosophical Issues in the Study of ogy, the difference between systems and rules appears to be Communication more a matter of generality or method of explanation. Be- abstractness than sides, there are nation even Communication Metatheory important differences in expla- among Metatheory, theories that are classed as systems or those classed rules theorists disagree as rules. among as the prefix meta- suggests, is a body of speculation on the nature of inquiry that goes beyond the specific content of given theories. It addresses such questions as what For example, themselves as to how much power rules exert over people’s acand system theorists equivocate about whether systems relations are causal, correla- should be observed, tions, take place, and how observation should what form theory should take. are not Metatheoretical debates are a natural conse- and systems. (In fact, this book has chapters on both rules and systems.) The problem lies in using these labels together as a trichotomy to designate particular forms of explanation. Therefore, this book does not discuss theoretical differences in terms of laws, rules, and systems. Rather, two dimensions are used: differences in method of explanation and differences in generality. On the generality dimen- quence of uncertainty over the status of knowledge in a field. In the last decade or so, metatheory has dominated the communication field. Communication scholars have come to question the adequacy of their methods, pre- tional, or both. Keep in mind discarding the terms laws, sion, ic two types of theory theories assume that that we rules, cisely is best 25. This analysis adapted Leslie from Vernon E. Cronen and K. Davis, “Alternative Approaches for the Commu- nication Theorist: Problems in the Laws-Rules-Systems For a discussion of this approach, see Donald P. Cushman, “The Rules Perspective as a Theoretical Basis for the Study of Human Communication,” Communication 23. Trichotomy,” Human Communication Research 4 (1978): 120-28. Quarterly 25 (1977): 30-45. For another discussion of metatheory, see John Waite Bowers and James J. Bradac, “Issues in Communication Theory: A Metatheoretical Analysis,” in Communication Yearbook 5, ed. Michael Burgoon (New Brunswick, N.J.: Transaction Books, 1982), pp. 1—28. 26. For a discussion of this approach, see Peter R. Monge, “The Systems Perspective as a Theoretical Basis for the Study of Human Communication,” Communication Quar- 24. terly earlier in this chapter. 26 as a discipline deals with problems of knowledge and reality. Philosophy questions the basic assumptions and methods of proof used in generating knowledge in all walks Philosophy are presented. Analyt- any phenomenon because of the problems of social science summarized 25 (1977): 19-29. 18 THEORY IN THE PROCESS OF INQUIRY of life. Thus the kind of metatheoretical discussion that has occurred in communication in recent years constitutes an important philosophical analysis of communication research and theory. This philosophical examination is somewhat complex, yet it can be grouped into three major themes: epistemology, ontology, and perspective. These areas are discussed below. Because of the diversity of disciplines involved in the study of communication and the of thought about research and theory, epistemological issues are important in this field. Some of the most basic of these issues can be expressed as questions 27 To what extent can knowledge exist before experesultant divergence . rience? Many theorists believe that all knowl- arises from experience. We observe the world and thereby come to know about it. Yet edge Issues of Epistemology 27. This analysis Epistemology is the branch of philosophy that studies knowledge. Epistemologists ask how humans know what they claim to know. Epistemologists question observations and claims as a way of understanding the nature of knowledge and the processes by which it is gained. Any good discussion of inquiry and theory will inevitably come back to epistemological issues. from Stephen W. Littlejohn, “Epistemol- the Study of Human Communication” (Paper delivered at the Speech Communication Association, ogy and New York City, November 1980). See also Littlejohn, “An Overview of Contributions to Human Communication Theory from Other Disciplines,” in Human Communication Theory: Comparative Essays ed. Frank E. X. Dance (New York: Harper & Row, 1982), 247-49. For a somewhat different approach, see W. Bennett Pearce, “Metatheoretical Concerns in Communication,” Communication Quarterly 25 , (1977): 3-6. Generality dimension Analytic theories Type Causal explanation Logical explanation Synthetic theories Type 2 1 Theories low in level of abstraction using causal explanation Theories high in level of abstraction using causal explanation Type Type 3 Theories low in level 4 logical explanation Theories high in level of abstraction using logical explanation Type Type of abstraction using Explanation dimension Practical explanation Nonexplanatory 5 6 Theories low in level of abstraction using practical explanation Theories high in level of abstraction using practical explanation Type 7 Taxonomies low Type 8 Taxonomies high in level of abstraction Figure 2.4. Types of theory. 19 of abstraction in level INTRODUCTION there something in our basic nature that provides a kind of knowledge even before we experience the world? Many philosophers believe is so. This kind of “knowledge” would consist of inherent mechanisms of thinking and perceiv- For example, strong evidence exists that do not learn language entirely from Rather, they may acquire it spoken. ing. children hearing what idea more in language by using innate models to they hear. (We will discuss this Chapter 5.) To what extent is test knowledge universal? Is knowledge certain, there for the taking by whoever is able to ascertain it? Or is knowledge relative and changing? The debate over this issue has persisted for hundreds of years. Communication theorists vary in terms of assumptions about the certainty of truth. Those take a universal stance will admit to errors in their theories, but they believe that these and operate as a system. Analysts, on the other hand, believe that knowledge consists of understanding how parts operate separately. To what extent is knowledge explicit? Many philosophers and scholars believe that you cannot know something unless you can state it. Knowledge claim that is thus seen as explicit. Others is hidden, that much of knowledge people operate on the basis of sensibilities that are not conscious and that they may not even be able to express. Such knowledge is said to be tacit. 28 The way in which scholars conduct inquiry and construct theories depends largely on their epistemological assumptions. Many basic positions arise from the issues just described. These fine distinctions can be made among errors are merely a result of not yet having broad opposing world views that 29 ing about communication. discovered the complete truth. Relativists would have us believe that knowledge will never be certain because there is no universal cist World View can be comprehended. and tinct these posi- but our discussion groups them into two tions, reality that Numerous positions can be called world views. who I. This tradition rationalist ideas. It is affect think- based on empiri- treats reality as dis- from the human being, something that assumes process does knowledge arise? This extremely complex, and the debate on the issue lies at the heart of epistemology. people discover outside themselves. There are at least three positions on the issue. Mentalism or rationalism suggests that knowledge arises out of the sheer power of the human mind. This position places ultimate faith in Discovery is important in this position; the world is waiting for the scientist to find it. Since By what question human a physical, is reasoning. Empiricism states that in life. Michael Polanyi, Personal Knowledge (London: Routledge and Kegan Paul, 1958). 28. See knowl- is supported in part by Georg H. von Wright, Explanation and Understanding (Ithaca: Cornell University Press, 1971) and Joseph Houna, 29. This particular two-fold analysis “Two they experience. Constructivists believe that phenomena in the world can be fruitfully con- many different being what the person has Is knowledge knowledge general, indivisible understandings. lieve that phenomena Scientific Theorizing,” in Communication Burgoon (New Brunswick, N.J.: 1978); Kenneth Williams, “Reflections on a Human Science of Communication,” Journal of Communication 23 (1973): 239-50; Barry Brummett, “Some Implications of or ‘Intersubjectivity’: Postmodern Rhetoric,” Philosophy and Rhetoric 9 (1976): 21—51; Gerald Miller, wholes? consists of lan, ways, knowledge made of the world. best conceived in parts or Gestaltists teach that true Ideals Yearbook 5, ed. Michael Transaction Books, 1982), pp. 29-48. Many other schemes have been devised to classify epistemological approaches. See for example Stephen Pepper, World Hypotheses (Berkeley: University of California Pres?, 1942); B. Aubrey Fisher, Perspectives on Human Communication (New York: Macmil- in order to function pragmatically People project themselves into what ceptualized It reality that is self-evident to the trained observer. edge arises in perception. We experience the world and literally “see” what is going on. Constructivism believes that people create knowledge knowable ‘Process’ of The Current They be- Status of Theory and Research personal Communication,” are highly interrelated 4 20 (1978): 175. in Human Communication Inter- Research THEORY IN THE PROCESS OF INQUIRY knowledge is viewed as something acquired from outside oneself, World View I is often called the received view. Objectivity is all impor- this reason perceptual and interpretive processes of the individuals are important objects for study. with investigators being required to define the exact operations to be used in observing events. Most mainstream physical science is versal laws but to describe the rich context in World View that World View tant, I, and science follow suit. hypothesizing a It is humanistic in stresses the individual subjective re- Knowing is interpreting, an activity is believed to engage in. Many communication take a World View II stance, being based on the assumption that communication itself is a vital vehicle in the social construction of reality. 30 In sum, the following qualities characterize the communication theory and research of World View II. First, interpretation is stressed, of affairs and carefully through observation. everybody theories of Further hypotheses are then deduced. Bit by bit theory is developed and knowledge grows. World View 1 aims to make lawful statements about phenomena, developing generalizations that hold true across situations and over phenomena appear and how they work. it sponse. testing the hypothesis time. Scholars in this tradition try to reveal attempts not to uncover uni- which individuals operate. much behavioral and social The method used involves state II how In so rather than objective observation. Second, tacit highly analytical, attempt- ing to define each part and subpart of the object processes as well as overt behavior are uncovered. Third, research and theory in this tra- of interest. dition emphasize social doing the scholar is What, then, characterizes communication theory and research in World View knowledge via symknowledge is bolic interaction. In other words, First, seen as arising from the use of symbols in such research tends to use behavioristic methods cultured in psychology. Researchers communication with other people. Further, this research and theory tends to be humanistic, follow stressing individual strict I? operations so that actual behavior can be observed. Second, World View I munication theory seeks covering laws. comIt view attempts tempts to come up with universal statements about communication. Third, communication down kind of theory and research seek causal, mechanistic explanations of com- munication events. Fifth, human this research and being as a reactive object. World View II. This tradition takes a different turn by relying heavily on constructivism, viewing the world in process. In this view people take an active role in creating knowledge. A world of things exists outside the per- this See for example Peter Berger and Thomas Luckmann, The Social Construction of Reality (Garden City, N.Y.: Doubleday, 1966); Alfred Schutz, The Phenomenology of the trans. George Walsh and Frederick Lehnert (Evanston, 111.: Northwestern University Press, 1967). 30. Social World son, but the individual can conceptualize these Knowledge from between knower and known. For things in a variety of useful ways. , For a discussion of ontology, see Alasdair MacIntyre, “Ontology,” in The Encyclopedia of Philosophy ed. Paul Edwards (New York: Macmillan, 1967), vol. 5, pp. 542-43. 31. therefore arises not out of discovery but interaction Finally, While epistemology is the study of knowledge, ontology is the branch of philosophy that deals with the nature of being, or more narrowly, the nature of the phenomena we seek to know. 31 Actually, epistemology and ontology go hand in hand, since our conception of knowledge depends in part on our notions about the nature of the knowable. In the social sciences ontology deals largely with the nature of human existence. Thus ontological issues in the study of the process into small pieces. Fourth, this theory images the differences. capture communication as Issues of Ontology research and theory in this tradition tend to be analytic, breaking to process. at- , 21 INTRODUCTION communication deal with the nature of human people create meanings and use these meanings to interpret social interaction. way a theorist conceptualizes depends nicator measure on in large Although numerous ontological positions can be seen in communication theory, this book groups them into two basic opposing positions: actional and nonactional. Actional theory assumes that individuals create meanings, they communication how the commu- viewed. All communication theories is begin with assumptions about being. Issues in this area reflect disagreements about the na- ture of human important Three experience. and understand situations in which they find themselves. Ontological issues are important because the have intentions, they make issues are 32 actional . view rests on real choices. a teleological base, make The which To what extent do humans make real choices? Although all investigators probably would says that people agree that people perceive choice, there a tional tradition are reluctant to seek covering long-standing philosophical debate on whether laws because they assume that individual be- real choice is possible. On are the determinists, who caused by one side is decisions that are de- signed to achieve goals. Theorists of the ac- havior of the issue is not governed by universal prior assume that people behave events. Instead, they state that people’s multitude of prior con- differently in different situations because rules and that humans are basically reactive and passive. On the other side of the debate are behavior to meet future goals. This school change from one situation to another. Nonactional theory assumes that behavior basically is determined by and responsive to past pressures. Covering laws are usually viewed as sees people as decision-making, active beings appropriate in this tradition; active interpreta- behavior is a ditions who the teleologists, their who affect their own claim that people plan destinies. Middle posi- tion by the individual is downplayed. tions also exist, suggesting either that people make choices within a restricted range or that some behavior is determined while other be- Issues of Perspective havior coverage of theories of communication. In other words, the perspective of a theory is its Perspective involves the proper substantive is a matter of free will. To what extent is communication contextualized? The question whether behavior is governed by universal principles or whether it depends on situational factors. that human by looking angle or focus. Perspectives to a large extent are is life at Some correlated with epistemology and ontology be- philosophers believe is perspective A perspective is a point of view, a way of conceptualizing an area of study 33 Earlier in . chapter you learned that this abstractions and constructions. humans Any a particular from which the process can be viewed. ational factors. are knowledge and theory of communication provides richly contextual To what extent the theorist views being affects the perspective of the theory. universal factors; others believe and cannot be generalized beyond the immediate situation. The middle ground on this issue is that behavior is affected by both general and situthat behavior how cause and action are best understood tion interpreting beings? of a theory all theories are The configura- depends on the perspective of This issue relates to problems of meaning. Some theorists believe that humans behave in the theorist. This perspective guides the theorist accordance with stimulus-response principles, out, strictly reacting to pressures in from the environ- ment. Others believe that people are thinking interpreters. theory, see Bowers and Bradac, how to explain the process, is and how to observed. Aubrey Fisher states the idea: “Clearly, a According to the second view, 32. For an ontological discussion choosing what to focus on and what to leave conceptualize what concept that is trivial or irrelevant or even ignored in one perspective of communication 33. For a discussion of perspective, see Fisher, Perspectives pp. 57-85. “Issues.” 22 , THEORY may suddenly leap into importance IN THE PROCESS OF INQUIRY when one Theories of the transactional perspective stress applies an alternative perspective .” 34 In fact, a four labels best describe the major divisions of words communication is viewed as highly situational and as a dynamic process that fulfills individual and social functions. This perspective emphasizes holism, imagining communication to be a process of sharing meaning. Transactional theories tend to espouse World View II assump- the field 35 tions, fuller, more complete context, process, and function. In other picture of the process can be obtained by switching perspectives, which is one of the methods of this book. Although theoretical perspectives can be con- certainly number of ways, ceptualized in a the following . This perspective, which comes from the behavioral school of psychology, stresses stimulus and response. and they use actional explanations 36 . Behavioristic Perspective. Communication How to Evaluate a Communication Theory As you encounter theories of communication, you will need a basis for judging one against another. Here is a list of some criteria that can theories that use this perspec- emphasize the ways that individuals are affected by messages. Such theories tend to conform to World View I assumptions, and tive tend to be applied to the evaluation of any theory Remember they are usually nonactional. that no theory is perfect; Therefore the following faulted. all 37 . can be are criteria goal-ideals. Transmissional Perspective. Transmissional view communication as the transfer of information from source to receiver. They use a linear model of movement from one location to Theoretical Scope communication media, time, and sequential elements. Generally it is based on World View I and nonac- principle theories A is its comprehensiveness or on the of generality 38 This principle states that a theory’s explanation must be sufficiently general to cover a range of events beyond a single observation. People continually provide theory’s scope inclusiveness. Theoretical scope relies another. This perspective stresses tional assumptions. explanations for events, but their explanations Interactional This perspective rec- Perspective. are not ognizes that communicators respond reciprocally to is one another. While the metaphor of the a not always theoretical. When mere speculation about an explanation a single event, a theoretical explanation. it is However, when captures the interactional approach. Feedback amexplanation goes beyond a single instance to cover a range of events, it is theoretical. Nor- and mutual mally, the transmissional perspective is^the line, the circle effects are key concepts. Such more Two types general a theory, the better it is. World View II; they may be actional or nonactional, depending on the coverage of a broad domain. Theories that meet degree to which communicators are thought to the test of generality in this be active choice makers. phenomena. theories typically are Transactional Perspective. es sharing. It sees thing in which all as some- way The first is deal with the many most thorough discussion of this perspec- 36. Perhaps the participants actively engage. tive can be found in Mortensen, Communication. discussed in greater depth in Bross, DeDeutsch, “On Communication Models,” 362-63; Hall and Lindzey, Theories, chap. 1; Kaplan, Conpp. 312-22; Kuhn, Structure, pp. 100-101, 152-56; Mortensen, pp. 30-34. 37. Evaluation is sign pp. 161-77; 34. Ibid., 61. 35. Adapted from David M. Jabusch and Stephen Littlejohn, Elements of Speech Communication (Boston: Houghton Mifflin, 1981), pp. 12-24. Fisher’s ( Perspectives ) model is somewhat exist. A communication theory that meets this test would explain a variety of communication-related behaviors. A theory This perspective stress- communication of generality duct, 38. Achinstein, different. 23 Laws; Cushman and Pearce, “Generality.” INTRODUCTION need not cover a large number of phenomena to be judged as good, however. Indeed, many fine narrow spawned much research and has further theoriz- ing about group communication. Such theories possess the second type of generality. Although they deal with a narrow range of events, their explanations of these events apply to a large number of situations. Such theories are said to theories are in coverage. critics find his ideas useful as develop new Even Bales’s springboards to concepts. Validity Validity often implies truthfulness. In evaluat- be powerful. ing theories, however, validity is better conceived of as consistency, since the truthfulness of a theory may never be known. Two forms of Consider two contrasting examples. The theory of Kenneth Burke, (discussed in Chapter as a theory that covers a broad range of is a good example of the first type of generality. Many aspects of communication can be explained by the categories of Burke’s 4) consistency can be evaluated in a theory. Inter- phenomena, nal consistency theory. His categories, however, rely of is the degree to which the tenets theory are consistent with the researcher’s a observations. External consistency on under- to which the theory’s claims is the degree are supported by standing specific aspects of particular situations. other theories in the same domain. External Although theory follows the principle of generality in terms of breadth of coverage, it consistency also does attitudes, beliefs, little this 7, covers very few munication-related themes, but its internal An com- As such, it is a good example of it has many propositions, a highly consistent web of claims. At same time the theory receives much support from other theories of cognition, attraction, the self-concept, and attitude. the Parsimony The test of parsimony may be called logical simplicity. If two theories are equally valid, the second kind of generality. Appropriateness Is and values is strong in both and external validity (see Chapter 8). intricate theory, forming propositions measuring the capacities of communication channels and the requirements of messages apply in a large number of transmission situfor ations. be called concurrent or consensual validity. Milton Rokeach’s theory of to explain specific behavior across situations. In contrast, information theory, as explained in Chapter may the theory’s perspective appropriate for the theory with the simplest logical explanation theoretical questions the theory addresses? For example, the behavioristic perspective is not appropriate for questions related to meaning. Some theories of meaning, which are indeed behavioristic (see Chapter 6), can be faulted for is be the best. For example, although clasinformation theory can be faulted on other grounds, it is highly parsimonious. A few core said to sical assumptions and premises lead logically to a variety of claims about channels, signals, messages, and transmission. of appropriateness. Their epistemological assumptions are inadequate for the domain they lack purport to cover. What Do We Know about Communication Heuristic Value Does Theory? In summary, what can we the theory have potential for generating research and additional theory? One of the cation theory? pri- mary functions of theory is to help investigators decide what to observe and how to observe it. Theory is say about communi- an integral part of the process of inquiry, which also includes asking questions and making observations. These three elements are strongly interconnected. In- For example, a major contribution of Bales’s interaction process theory (Chapter 11) is that it quiry and theory vary depending on the type of 24 THEORY scholarship with which they THE PROCESS OF INQUIRY Human- an object of study; it social science inquiry methods nication literature. is The which are appropriate for revealing human behavior. What is a theory? We know that a constructed by a human observer. A theory is theory is I is commubasically ways in which knowledge about communication can be “received.” World View II is basically humanistic, emphasizing the ways in which individuals create knowledge for personal and social use. The two basic ontological positions in communication are the actional and nonactional. Ac- chief problem of the degree to World View scientific in orientation, stressing the as includes elements of both science and humanities. scientific human being general epis- temological positions are apparent in scholarship stresses subjectivity. Social sci- ence attempts to understand the Two tology, and perspective. are associated. Sci- entific scholarship stresses objectivity. istic IN tional theories stress humans as choice-making always abstract and always leaves something out of its observations. Theories function to beings; nonactional theories present people as organize and summarize knowledge, to focus parent in communication theory: observation, to clarify what havioristic perspective, is seen, passive and reactive. Four perspectives are ap- and to pro- They also help to predict, to generate research, to communicate ideas, and to control. Theories are not immuta- vide methods for observation. ble: stimulus and response; perspective, grow by which perspective, mutual intension, extension, and revolution. Theories are based on concepts and explana- (3) sending and the interactional which includes feedback and effect as central concepts; transactional perspective, Concepts are groups of observations sharing common elements and a common name. Explanations point out the relationships among concepts, relying on causal, practical, or logical necessity. Theories can be compared according to their levels of generality and methods of explanation. Philosophical issues in the study of communication are reflected in metatheory. Metatheory deals with issues of epistemology, on- the be- the transmissional stresses linear receiving of messages; Because of research, theories change and (1) which focuses on (2) and (4) the which centers on shared meaning. tions. As you proceed through this book, keep in mind the basic criteria for judging theories: scope or generality, appropriateness or suitability, heuristic value or research-generating abili- ty, validity or consistency, and parsimony or we begin our survey of theories by examining system theory and cybernetics. logical simplicity. In the next chapter, 25 PART n GENERAL THEORIES Chapter 3 General System Theory and Cybernetics Chapter 4 Symbolic Interactionism and Rules Theory . CHAPTER 3 1 his book is organized around three broad domains of communication theory: general thematic theories, and contextual theories, theories. Part II covers three general theoretical approaches that attempt to capture the communication process as a whole. This chapter deals with system theory and the next chapter discusses symbolic interactionism and rules theory. System “theory” is more a perspective or general approach than a theory per se. It provides a way of looking at the world that can help us better understand communication. 1 The system approach is discussed in the domain of general theory because it is especially useful in capturing the general nature of the tion process. It is communicadomains as which is dis- useful in narrower well, such as information theory, General System Theory and Cybernetics One of the most common distinctions is between closed and open systems. 2 A closed system one that has no interchange with its environment. It moves toward progressive internal is chaos (entropy), disintegration, and death. The closed-system model most often applies to physical systems, which do not have lifesustaining qualities. An open system receives matter and energy ment and from is its passes matter and energy to one that environits envi- ronment. The open system is oriented toward life and growth. Biological, psychological, and systems follow an open model. General system theory deals with systems primarily social from this open perspective. systems in this chapter, with the open model. we When we speak of are concerned only cussed as a theme of its own in Chapter 7. Nearly every chapter that follows includes From the simplest perspective a system can be said to consist of four things. 3 The first is theories that use system concepts. Interperson- objects. The objects are the parts, elements, or members of the set. These objects may be phys- al, group, and organizational settings are espeserved by system theory. cially well ical or abstract or both, depending on the nature of the system. Second, a system consists of In this chapter we will take a brief look at the system concept, with particular focus on general system theory and cybernetics. The latter portion of the chapter outlines qualities attributes, of communication. Other system- oriented theories are presented in or the qualities or properties of the system and its objects. Third, a system must possess internal relationships among its objects. some system This characteristic is a crucial defining quality upcoming chapters. “The Systems Perspective as a Theoretical Basis for the Study of Human Communication,” Communication Quarterly Fundamental System Concepts 2. 25 (1977): 19-29. A. D. Hall and R. E. Fagen, “Definition of System,” in Modem Systems Research for the Behavioral Scientist ed. Walter Buckley (Chicago: Aldine, 1968), pp. 81-92; Anatol Rapoport, “Foreword,” in Hall and Fagen, “Definition,” pp. xiii— xxv. For an excellent short description of open , What A Is a System? system of objects or entities that interrelate with one another to form a whole. is a set versus closed systems, see Ludwig von Bertalanffy, General System Theory: Foundations, Development, Applications (New York: Braziller, 1968). 1 For excellent discussions of general system theory (GST) and other systems approaches, see Peter Monge, 3. 29 Hall and Fagen, “Definition.” GENERAL THEORIES of systems and a primary theme in this chapter. A relationship between objects implies a mutual 4 This effect (interdependence) and constraint idea will be elaborated later. Fourth, systems also possess an environment. They do not ex. vacuum in a ist but are affected by their sur- roundings. The advocates of general system theory maintain that biological, psychological, and so- systems possess certain common qualities. fundamental ways these signposts define the system concept. These qualities are not mutually exclusive; they obviously overlap and to a cial In large degree help to define one part of the system will produce changes throughout the system. The idea of interdependence is easily illus- in trated in a family situation. If a family is a system of interacting individuals, each member is constrained by the actions of the other members. While each person has freedom, the members are also more or less dependent on one The behaviors in a family are not independent, free, or random, they are patterned and structured. What one family member does another. or says follows from or leads to an action of another. one another. One of the most important qualities of a system is hierarchy 6 This principle is the theme of Arthur Koestler’s The Ghost in the Hierarchy. Wholeness. A system by definition constitutes a 5 Part and parcel of the system the attitude of holistic thinking. In unique whole concept is . . Machine, order to understand this idea, examine for a moment the opposite view physical summa- merely its the In the summative model the whole is with no unique qualities of a box of stones. But in a system a collection own, like whole is an Interdependence. integration of parts. The reason we must view a system as a whole is that its parts interrelate and affect one another. Elements A and B may be separate when viewed apart from the system, a mutual interaction is presbetween them, the result of which is differfrom each element individually. The parts of a system are correlated, and the correlation can be thought of as a constraint. An object, person, concept, or other part of a system is but in combination ent — ent always constrained by its interdependence with other parts. In a summative model this interde- pendent relationship does not exist. Instead, parts are conceived of as independent elements. (Dependence-independence actually should be thought of as a continuum, with various parts in the system having differing degrees of freeAs a result of interdependence, a change son, eral dom.) the 4. For excellent discussions of hierarchy, see Donna Wil“Forms of Hierarchy: A Selected Bibliography,” GenSystems 14 (1969): 3-15; Arthur Koestler, The Ghost in Machine (New York: Macmillan, 1967); W. Ross Ashby, Walter Buckley, “Society as a Complex Adaptive SysModem Systems Research, pp. 490-513. “Principles of the Self-Organizing System,” in Principles of Self-Organization, ed. Heinz von Foerster and George Zopf Rapoport, “Foreword”; Hall and Fagen, “Definition.” (New tem,” in Buckley, 5. following excerpt: There were once two Swiss watchmakers named Bios and Mekhos, who made very fine and expensive watches. Their names may sound a little strange, but their fathers had a smattering of Greek and were fond of riddles. Although their watches were in equal demand, Bios prospered, while Mekhos just struggled along; in the end he had to close his shop and take a job as a mechanic with Bios. The people in the 6. argued for a long time over the reasons for this town development and each had a different theory to offer, until the true explanation leaked out and proved to be both simple and surprising. The watches they made consisted of about one thousand parts each, but the two rivals had used different methods to put them together. Mekhos had assembled his watches bit by bit rather like making a mosaic floor out of small coloured stones. Thus each time when he was disturbed in his work and had to put down a partly assembled watch, it fell to pieces and he had to start again from scratch. Bios, on the other hand, had designed a method of making watches by constructing, for a start, subassemblies of about ten components, each of which held together as an independent unit. Ten of these sub-assemblies could then be fitted together into a — tivity. as reflected in the 30 York: Pergamon Press, 1962), pp. 255-78. GENERAL SYSTEM THEORY AND CYBERNETICS sub-system of a higher order; and ten of these subsystems constituted the whole watch. Now it is easy to show mathematically that if a watch consists of a thousand bits, and if some disturbance occurs at an average of once in every hundred assembling operations then Mekhos will take four thousand times longer to assemble a watch than . . contained whole; the face turned upward toward the apex, that of a dependent part. One is . the face of the master, the other the face of the servant.” 8 — Koester’s coined term for a system (hierar- chy) Bios. Instead of a single day, it will take him eleven years. And if for mechanical bits, we substitute amino ical; some and so between time-scales becomes astronom- calculations indicate that the whole holon. — . attributes a of and Control. System theory pro- is the philosophy that happenings to future goals or pur- poses. Systems are most often viewed They What happens oriented organisms. are purposes. in a as goal- governed by their system is controlled by its aims, and the system regulates its behavior to achieve the aims. The parts of a system must behave in accordance with its rules or canons and must adapt to the environment on the basis of feedback. This aspect of system in Figure 3.1. Koestler describes system hierarchy as the hierarchy, like Roman god Janus, all have two faces looking in opposite directions: the face turned toward the subordinate levels is that of a selfthe 7. is cells, part described in Chapter 2, Every complex system consists of a number of subsystems. The system therefore is a series of levels of increasing complexity. The idea of system hierarchy can be illustrated by the “tree” “The members of a of is vides a teleological perspective. Teleology, as method and proceeds hierarchically, from simple sub-assemblies to more complex ones 7 effect: body and the larger group, culture, and society. Self-regulation verted to Bios’ model individual in society life- time of the earth would be insufficient for producing even an amoeba unless he [Mekhos] becomes con- Janus The organs, organ systems, and acids, protein molecules, organelles, on, the ratio is social holon, consisting hierarchically functioning, up Koestler, Ghost, 45-47. 8. Ibid., p. 48. Figure 3.1. System hierarchy. 31 known as cybernetics, will in detail in the next section. be taken . GENERAL THEORIES Thus systems Fagen describe three kinds of structured change that might occur over time in the process of morphogenesis 13 The first is progressive segregation a process of movement from wholeness can be included in the system or the environment depending on the focus of the observer. toward summativity, movement along the continuum of dependence-independence toward division among subsystems. This kind of change may lead to greater differentiation of An open Interchange with the Environment. tem by definition interacts with ment. takes in It and lets its sys- environ- out matter and energy. are said to have inputs and outputs This concept follows logically from the ideas of hierarchy and cybernetics. A particular element . , element in the environment will affect the elements of the system in the same way that a suprasystem would affect its subsystems and subsystem function. Progressive systemization is movement toward interdepenthe opposite dence among parts. Both kinds of changes can environment; occur in the same system simultaneously or An The system vice versa. the environment affects the system affects the — sequentially. Progressive centralization (or decen- 9 . may tralization) Another quality of systems Balance. or homeostasis 10 . This quality is balance related to self- is regulation and system organization. In order to increasing avoid the fate of a closed system entropy — — the open system must maintain stay in balance, hold do this. One of its own. is able of sensing deviations tems that from of maintaining particular this aspect and may subsystem tends to become more and in guiding the system; with more depen- more important other subsystems thus becoming dent on this leading part. This quality of adaptability and change points up the dynamic nature of the complex, open system. cap- the “assigned” correcting these tendencies. on cybernetics covers to many The system must be balance in the system. section 9. must work the primary tasks of interacting subsystems norm and of It itself, also occur in systems take place simultaneously with segregation or systemization. In progressive centralization a Equifinality. The Finality is the goal achievement or task accomplishment of a system. Equifinal- of sys- ity means accomplished in in detail. may be many ways and from many The adaptable system, that a particular final state different starting points. which has Change and Adaptability. Because it exists in a changing environment, the system must be adaptable 11 This adaptability often is accomplished by the homeostatic quality described above. In complex systems such as sociocul- final tural systems, adaptability involves may tor change and reorder themselves on the basis of environmental pressures. Homeostasis designates the equilibrium maintenance feature of puts) can achieve that variety of different environ- relate the in different same ways basic information (into achieve the in Personality ities of wholeness, interdependence, hierarchy, environmental interchange, self-regulation, Ashby, “Principles.” equilibrium, adaptability, and equifinality. and Fagen, “Definition,” Buckley, “Adaptive System”; Koestler, Ghost. 11. Hall 12. Buckley, “Adaptive System,” same answer to our initial question, “What is a system?” we can now answer: An open system is a set of objects with attributes that interrelate in an environment. The system possesses qual- Theory,” in Buckley, Modem Systems Research, pp. 343-50; Hall and Fagen, “Definition.” 10. a In . “The Open System in results (outputs). systems; morphogenesis designates the structure-changing aspect 12 A. D. Hall and R. E. Allport, a final state as a goal, . more than homeostasis. Advanced systems must be able to Gordon state mental conditions. Inputs never equal outputs. The system is capable of processing inputted 14 In data in different ways to produce its output classroom instruction, for example, an instruc- . p. 493. 32 13. Hall and Fagen, “Definition,” pp. 85-86. 14. Bertalanffy, General System Theory, chap. 3. GENERAL SYSTEM THEORY AND CYBERNETICS What Cybernetics? Is is the study of regulation and consystems, with emphasis on the nature of feedback. 15 An important feature of open sys- tems, as we have just seen, is that they are regulated, that they seek goals, and that they therefore are purposeful. This special area of system functioning is claimed as the territory of cybernetics. output to gauge effect and make necessary ad- The simplest cybernetic device con- of a sensor, sists a comparator, and an activator. The sensor provides feedback parator, which to the for the field. ... entire field of Cybernetics. 18 Obviously, feedback mechanisms specifiand behavior in general vary in their degree of control complexity. In an early article cally source of the energy involved in the behavior. com- The in turn The activator. sence of any name Rosenbleuth, Wiener, and Bigelow provide a model of this increasing complexity. 19 In the model (Figure 3.2) the most basic distinction is between active and passive behavior. An organism displaying active behavior is the primary Cybernetics deals with the ways systems (along with their subsystems) use their own justments. concerning these problems, and by the abcommon terminology, or even a single We have decided to call the of control and communication theory, whether in the machine or in the animal, by the name literature Cybernetics trol in provides guidance to the activator in turn produces an active organism itself provides the stim- ulus. In passive behavior the output that affects the environment in some way. This fundamental process of outputfeedback-adjustment is the central theme of cybernetics. organism receives inputs or stimuli. Passive behavior is primarily response to outside energy. Within the category of active behavior, a further division can be made between purposeless, or random, and a The field of cybernetics was developed by Norbert Wiener and his associates. 16 Wiener’s primary discipline was mathematics, but he purposeful behavior. Purposeful behavior is directed toward an objective or aim; random be- considers cybernetics to be an interdisciplinary is “The most area: fruitful areas for the havior growth of the sciences were those which had been neglected as a no-man’s land between the various established fields.” 17 Wiener’s early work on less computers and neurology led him to see patof control behavior, which he believes to be significant. Wiener discusses the beginnings ing. [We] had already become aware of the essential unity of the set of problems centering about communication, control, and statistical mechanics, whether in the machine or in living tissue. On the other hand we is found baud, What Is 7, 17. York: systems, however, use positive itself. more dictive behavior no. 6 (1964). Supplementary in- 18. Gordon Pask, An Approach to & Row, 1961); G. T. GuilCybernetics? (New York: Grove Press, 1959). MIT model. to adjust and adapt durThis dynamic level will be detail in the discussion of feedback loops and networks. Further, complex systems may be predictive or nonpredictive. Pre- in is based on anticipated position Ibid., p. 11. Arturo Rosenblueth, Norbert Wiener, and Julian Bigelow, “Behavior, Purpose, and Teleology,” Philosophy of Science 10 (1943): 18-24 (reprinted in Buckley, Modern 19. York: Harper 16. For a historical review see Norbert Wiener, Cybernetics or Control and Communication in the Animal and the Machine (New Complex explained in Rollo Handy and Paul Kurtz, “A Current Appraisal of the Behavioral Sciences: Communication Theory,” Ameri- (New as indicated in the ing the action were seriously hampered by the lack of unity of the formation complex, and negative feedbacks 15. Cybernetics indicated, cybernetics uses feedback in a restricted sense but does not modify or adjust behavior in the course of act- in the early 1940s: can Behavioral Scientist As we have not. Purposeful behavior may be further subdivided into complex and simple feedback mechanisms. 20 In the simple condition the organism terns of cybernetics is interested in purposeful levels of behavior in systems. All purposeful behavior requires feedback; the nature of the feedback may be more or Systems Research, pp. 221—25). 20. Press, 1961), pp. 1-29. I have changed the original nomenclature here to avoid confusion and inconsistency with previous Ibid., p. 2. this chapter. 33 The authors’ intent is word usage unchanged. in . GENERAL THEORIES or response rather than actual position or response. As a good hunter knows, you do not running animal; rather, you anticipate where it will be when the bullet reaches it. aim at the Finally, prediction itself is as indicated model, by the more or less final accurate, distinction in the The next model as a illustrates a simple switch such thermostat or circuit breaker. model third which A chooses a channel or position on the basis of criteria. In a guided missile, for example, the guidance system may specify turning in one on feedback from direction or another, based orders of prediction The illustrates selection control in simple model of feedback is represented in Figure 3.3. As previously indicated a part of the output from the system is returned as feedback, the target. and certain internal controls or adjustments take place. In Figure 3.3, B is an energy source di- system must possess certain control guidelines. A recting outputs to C. A is the control mechan- ism responding to feedback from C. Depending on the complexity of the system and the nature of the directedness of output, the control mechanism itself is restricted in the kind of control it can exert. Figure 3.4 possibilities. The illustrates some 21 model where the first in Figure 3.4 illustrates a signal itself is modified (for example, amplified) by A. The high-pitched squeal in a loudspeaker system is an example. situation The process of system regulation through feedback involves several facets. The regulated The control center must “know” what envi- ronmental conditions to respond to and how. It must possess a sensitivity to aspects of the envi- ronment that are critical to its system responds to it.*Negative feedback is an error message indicating deviation; the system adjusts by reducing or counteracting the deviation. Negative feedback is the most important type of feedback in homeostasis, for the princi22. Walter Buckley, Sociology and 21. Adapted from Guilbaud, (Englewood Cybernetics. goalseeking. 22 Feedback basically may be classified as positive or negative, depending on the way the Modem Systems Theory Cliffs, N.J.: Prentice-Hall, 1967), pp. First, Predictive > etc., 52—53. second, orders of prediction Complex Purposeful Active Behavior i Nonpredictive * Simple -< Nonpurposeful (random) * Passive From Philosophy of Science, “Behavior, Purpose, and Teleology,” Bigelow. Copyright by Arturo Rosenblueth, Norbert Weiner, and Julian © 1943 by The Williams & Wilkins Co. Reprinted by permission of the publisher. Figure 3.2. Model of cybernetic complexity. 34 GENERAL SYSTEM THEORY AND CYBERNETICS pie of deviation-counteracting is the focus of traditional cybernetics .• A system can also respond by amplifying or maintaining deviation. of interaction is important morphogenesis, or system growth (for that subsystems respond to one another in mutual interdependence. As a result the concept of feedback is expanded for complex systems. In a complex system a series of feedback loops exist within and among subsystems, forming networks. At some points the feedback loops example, learning). The inflationary cycle in economics is an example of positive feedback effects. The growth of a city is another. In communication when a speaker receives negative feedback from a listener, the speaker knows ways, consistent with the basic feedback principle, system output returns as feedback input. No matter how complicated the network, one always comes back to the beginning. When this happens, the feedback is said to be positive. This kind in he or she from a is are positive, at other points negative. missing the aim. Negative feedback fellow communicator usually calls for a gap between how shift in strategy to close the the speaker wants the listener to respond and the actual response. Whether in mechanical or human systems, the response to negative feed- is “Cut back, slow down, discontinue.” Response to positive feedback is “Increase, maintain, keep going.” Our discussion of feedback thus far has given the impression that a system responds as a unit to feedback from the outside. This impression back realistic is a only for the simplest systems such heater-thermostat arrangement. As as of advanced systems are more complex. A subsystem at any moment may be part of the larger system or part of the environment 23 Further, we know a series hierarchically ordered subsystems, . Magoroh Maruyama, “The Second Cybernetics: Deviation-Amplifying Mutual Causal Processes,” American Scientist 51 (1963): 164-79 (reprinted in Buckley, Modem Systems Research, pp. 304-138. 23. Selector Figure 3.3. A simple feedback model. Figure 3.4. Illustrative control models. 35 But al- . GENERAL THEORIES A simple illustration of a system network is cybernetics is a central concept in system 24 In the example of urbanization in Figure 3. 5. theory. Feedback and control relate inextricably this figure the pluses represent positive relation- to the essence ships, the minuses negative relationships. In of open-system theory. The cybernetic elements of control, regulation, and feedback provide a concrete explanation of such system qualities as wholeness (a portion of the system cannot be understood apart from its loops between subsystems); interdependence (subsystems are constrained by mutual feedbacks); self-regulation (a system maintams balance and changes by responding appropriately a positive relationship the variables increase or decrease together. In a negative relationship as one increases, the other decreases. For example, as the number of people in the city (P) increases, modernization also increases. With increased modernization comes increased migration, which in turn further increases the population. This relationship feedback loop. trated by the A an example of is of the effect to positive and negative feedbacks); interchange a positive negative relationship number of is with the environment (inputs and outputs can be illus- of feedback loops). Although these cybernetic concepts origi- largely explained in terms diseases (D) on population (P) As our discussion up to this nated in the fields of physiology, engineering, and mathematics, they have tremendous impli- point indicates, 24. Ibid. N umber of people From American Scientist, + “The Second Cybernetics,” by Magorah Maruyama. Copyright© of the publisher. Figure 3.5. A simplified feedback network. 36 1963. Reprinted by permission , GENERAL SYSTEM THEORY AND CYBERNETICS cations in the behavioral and social sciences as well. 25 As Wiener states, “This principle [feed- elements, not on the type of necessity employed. This idea is controversial, as we shall back] in control applies not merely to the Panama locks, but to states, armies, and indi- see in the criticism section of this chapter. vidual human feedback beings. . This matter of social . . of very great sociological and an- is Systems Theory as an Approach Knowledge ’’•^General thropological interest.” 26 to Principles of cybernetics lead to one of the purported advantages of system theory; namely, that it is broad enough to allow various alternative explanatory logics. 27 As Peter General system theory (GST) Monge puts “Systems theory provides an explanatory framework that is capable of incorporating both behavioral and action posi- known tions. 28 He phenomena. 30 Here scribes GST: it, believes this incorporation because the basic teleology of systems, possible by their cybernetic functions, of two types. First, the system may is so made may sity developed Ludwig von Bertalanffy, a wellbiologist 29 Basically, postulates primarily by GST concepts governing systems in general and applies these generaliations to numerous how is Bertalanffy de- It seems legitimate to ask for a theory, not of systems of a more or less special kind, but of universal principles applying to systems in general. to negative feed- In this way we postulate a General System Theory. much as a heater responds to a thermoThis off-on behavior displays causal necesand follows nonactional ontology. Second, back, stat. GST was the system concept. be achieve an end or goal by responding automatically is a broad, mulapproach to knowledge based on tidisciplinary . . new discipline called . General System Theory, therefore, is a general science of “wholeness” which up till now was considered a vague, hazy, and semi-metaphysical concept. In elaborate form it would be a logico- some systems or subsystems may behave with one of many possiof action to arrive at an end state. intention, actively choosing mathematical discipline, ble courses applicable to the various empirical sciences. 31 Human social systems, in contrast to physical Bertalanffy systems such as the thermostat or guided misare viewed as purposeful in this way. This kind of explanation employs practical necessity is highly actional in ontology. Hence, purpose ,may be explained by two alternative logics, and system theory is believed to ac- World War Man and Society,” 387-400. 26. in promoted of these. “Toward Buckley, Norbert Wiener, The a in II his the did he feel comfortable about view primarily through war he lectures and symposia. Bertalanffy describes the cism he faced: The proposal of system theory was criti- received incredulously as fantastic or presumptuous. Either it Cybernetic Model of Modem Systems Research pp. For — biographical and bibliographical sketch of Ber“Ludwig von Bertalanffy,” General Systems 17 (1972): 219-28. 29. a talanffy, see Human Use Cybernetics and Society (Boston: of Houghton Human Beings: 30. For an example of formalized GST, see Masanao Toda and Emir H. Shuford, “Logic of Systems: Introduction to a Formal Theory of Structure,” General Systems 10 (1965): Mifflin, 1954), pp. 49-50. For a listing of these logics, see Peter Monge, “The Systems Perspective as a Theoretical Basis for the Study of Human Communication,” Communication Quarterly 25 27. 3-27. (1977): 19-29. 28. GST publicizing his system ideas. After the Therefore what distinguishes system theory from other approaches is its high level of generality and emphasis on interrelationships among 25. See Karl Deutsch, conceived of At that time he began to think about biology in organismic terms, but this proved an unpopular approach. Not until after and either purely formal but early 1920s. 32 sile, commodate first in itself Ibid., p. 28. 31. Bertalanffy, General System Theory, pp. 32-37. 32. For a brief survey of the history of GST, see Ber- talanffy, General 37 System Theory, chap. 1. . GENERAL THEORIES — was argued it was trivial because the so-called isomorphisms were merely examples of the truism they are taken seriously and . . . . . tween two models or between an abstract model and an observed phenomenon. Two sys- . Bertalanffy persisted, however, and in 1954 tems that are widely different are said to be isomorphic if their behaviors are governed by the same principles. A generalized model such was GST is not a singular theory developed by one person. GST itself was promoted by Bertalanffy, work in other fields. The two most important cognate areas, which GST attempts to elucidate these principles. While as others were doing similar Following exponential law of growth applies to certain cells, to populations of bacteria, of animals or humans, and to progress of scientific research measured by the number of publications in genetics or science in general. The different. same the entities in . . . . . are completely The need for greater integration of knowlmany areas such as communication is Kenneth Boulding provides a compelling argument for the use of GST as an integrator of knowledge: The need for general systems theory accentu- is by the present sociological situation in science. crisis of science today arises because of the increasing difficulty of such profitable talk among ated allied area is systems sci- sciences are applied tech- . The . nological fields, including systems engineering scientists as a (development of people-machine systems), operations research (control of personnel, machines, materials, and money), and human en- Communication between whole. Specialization has outrun Trade. the disciplines becomes talanffy took these fields to be evidence for the of his more general perspective: “Con- . cepts like wholeness, organization, teleology, ness sci- . . means that someone who ought to know somesomeone else knows isn’t able to find it out for lack of generalized ears. It is one of the main objectives of General System Theory to develop these generalized ears 37 Ibid., p. 14. For a thorough review of GST criticism and rebuttal, see Ludwig Bertalanffy, “General System A Critical Review,” General Systems 12 (1962): I- 20 (reprinted in Buckley, Modem Systems Research, pp. 33. . — 35. Bertalanffy, II- 30). 34. . . thing that ence to be unscientific or metaphysical. Today Theory is breaking up into isolated subcultures with only tenuous lines of communication between them. One wonders sometimes if science will grind to a stop in an assemblage of walled-in hermits, each mumbling to himself words in a private language that only he can understand. The spread of specialized deaf. and directiveness appeared in mechanistic in- creasingly difficult, and the Republic of Learning gineering (work-efficiency development). Ber- viability is critical. . The systems question Nevertheless, the mathematical law . 36 . edge in chapter. ence. an example: is An were developed almost simultaneously with Bertalanffy’s work, were Norbert Wiener’s cybernetics and Shannon and Weaver’s information theory. In fact, these three approaches so completely support one another that they are like tributaries of the same river. Since information theory is a narrower approach, we will consider it separately in Part III. Keep in mind, though, that it is part of the broader GST perspective. Cybernetics, on the other hand, is clearly a macro approach and is so closely tied to system theory that we must consider it in this Another closely to primary aim of GST is to integrate accumulated knowledge into a clear and realistic framework. General system theorists attempt to do this through the principle of isomorphism An isomorphism is a structural similarity be- research 33 born. 34 Like most other movements, amenable A . the Society for General Systems Research as scientific analysis.” 35 mathematics can be applied to all sorts of things ... or it was false and misleading because superficial analogies camouflage actual difference. Or, again, it was philosophically and methodologically unsound because the alleged ‘irreducibility’ of higher levels to lower ones tended to impede analytical that The Society’s yearbook, General Systems, has been lished annually since 1956. theoretical It is and applied work in pub- “A Critical Review,” 36. Bertalanffy, General System Theory, p. 33. 37. Kenneth Boulding, “General Systems Theory an excellent compilation of Skeleton of Science,” in Buckley, GST. p. 4. 38 p. 14. Modem —The Systems Research, GENERAL SYSTEM THEORY AND CYBERNETICS individual, are not considered to be basic in Communication as a System System theory and cybernetics person-to-person contact. Rather, external acts are abstract words, they provide a set of logics about things in general without specifytheories. In other ing what those things are. They do not become communication theories until someone applies them human to interaction per se. He does not mean imply that internal variables such as atand emotions are not important. In large measure they shape how an indito titudes, values, Many have done precisely that. In this book of communication are presented. Most of these, however, deal with theorists vidual behaves. From a system point of view, however, the behavior itself is what counts. Consider for example, an assembly line worker in a factory. This worker has many feelings, several system theories communication settings. For examChapter 9 on interpersonal communithe work of the Palo Alto group is discussed. Their theory, based on system prinparticular ple, are the sole vehicles for linking individuals in the communication system. Fisher refers to this principle as externalization. in thoughts, emotions, attitudes, and values that are important in determining her behavior. cation, thinking on communication in relationships. In Coworkers and superiors, however, have no to know what is happening inside this person except by observing her actual be- Chapter haviors. ciples, lays the 11 groundwork for much of our way on group and organizational com- munication, two important system approaches are discussed. Fisher’s ideas nication deal with the ways and tive, ual behavior the (New Fisher, Perspectives on is not sufficient for understanding communication system. Instead, one must Two Comcom- methods of analyzing behavior in communication situations have been employed. 39 The first is the human system model. Here one observes munication in what he calls the pragmatic work, summarized in this system view of communication. From his pragmatic perspective Fisher emphasizes four aspects of communication: individual behavior, sequential interaction patterns, content and relationship dimensions, and the social system. Behavior is important as the smallest unit of analysis in the communication system. Individuals communicate by behaving in ways that have potential for eliciting meanings in others. Since communicators have no direct access to the thoughts, feelings, and meanings of other Aubrey sequential interaction consider sets of acts that are linked to one another in the stream of interaction. individual behaviors in an attempt to reveal an section, constitutes a general 38. B. is Although individual behavior is the most basic unit of analysis, observing individ- perspective. 38 His which focus of the pragmatic perspec- according to Fisher, patterns. tion networks. Clearly, system theory has had a major impact on the field of communication. One of the strongest advocates for the system approach to communication is B. Aubrey people, these variables, says. The second that interaction in groups follows system patterns and phases. The approach of Farace, Monge, and Russell deals with organizations as systems of communica- Fisher. In his book Perspectives on Human munication he applies system concepts to Through observation other workers meaning to some of what she does will assign on group commu- understanding of the person as a subsystem of communication. Fisher prefers the second method, the interact system model, which takes of analysis the interact, a set of as the basic unit linked acts. Analysis of this kind is necessary for understanding actual communication. The of acts, is one person’s behavior followed by the behavior of another. Such beinteract, or set havior usually statement is is verbal; that is, one individual’s followed by another individual’s statement. Nonverbal acts also count. interact are internal in the is a set A double of three statements, a triple Aubrey Fisher and Leonard C. Hawes, “An Interact System Model: Generating a Grounded Theory of Small 39. B. Human Communication York: Macmillan, 1978). Groups,” Quarterly Journal of Speech 57 39 (1971): 444-53. . GENERAL THEORIES of four. Theoretically any number of statements in we interact a set look at freedom to allow for adjustment or adaptation to changing circumstances. could row a as a Content and relationship dimensions, the third unit of analysis, although in practice single and double interacts generally are human ob- all a part of Fisher’s application, work of relationship early server can process. Fisher emphasizes two The related elements of ter 9). the idea of sions. comes from the Chaptwo dimen- theorists (see Any communication act has Punctuation of interactional sequences is the The first relays information content; the second provides information about the relationship between the participants. The latter kind of natural grouping of interacts. Interaction is not information interaction analysis. punctuation, the second is first is stochastic probability. tells the participants just a string of acts. Rather, acts cluster into pret the content message. groupings that help the observer make sense out of the communication event. For example, worker begins suppose that our hypothetical factory worker often tells jokes to the people working around her. Whenever she says, “Have you heard the she one about ...” the others grimace. Her introduction to the joke is followed by nonverbal relationship level they level, ahead, The Remember that parts correlated or constrained in of by some way or an- nature of the communication system the ways in which other act. Or, to will be followed is acts are connected. act has a particular probability the coin, an antecedent act by a is known approach is is dis- the That communication involves inpeople should be amply clear among this point. Further, Communication is therefore so- is created. can be viewed words, the system can the social system be understood subsequent act with pre- in terms of at least three levels: subsystem, system, and suprasystem. In Fisher’s terms the subsystem is the individual as a stochastic relationship. In a human being, the system is interacting group, and the suprasystem is the larger organization acts are linked with greater frequency than others. In the preceding example the coworkers’ grimaces almost always follow the introduction of a joke. The communication system certain or social context in which the interaction takes The system can also be viewed in terms of a hierarchy of repetitive interactions. Acts are part of interacts; interacts proceed in phases over time; and phases are repeated in cycles. For place. system in the factory is structured or patterned by a large and complex set of interacts that vary in their degree of predictability. Ideally the example, the factory workers proceed through various phases of interaction. When a new communication system has enough structure or predictability to in Fisher’s hierarchically. In other dictable frequency. This antecedent-subsequent link element others, a social system given of following an- flip your jokes,” but on the may be saying, “Yes, go joke around.” This intriguing between individuals; it does not rely on their internal states. Thus our factory worker herself is not a communication system in Fisher’s eyes. But when she interacts with to note A Her teraction Thus the system has structure. One ways of conceptualizing the patterned patterned. of the is funny story but friendliness. cial. system are not random, but other. Events in a a Although machines can assist in the communication system, the human element is its essence. Further, a social system relies on in- one prinsystem are that a like to final teraction Stochastic probability refers to the patterned is own expressions say on the content are tired of social system interact in this situation. of systems we facial to inter- element of interpersonal communication cussed in greater detail in Chapter 9. mean, “Oh, no, not another corny joke.” These two acts are paired because they are a meaningful whole; they constitute a natural ciple “We how So when our factory joke, she not only a projecting her is coworkers’ to nature of interaction. tell preparing the others to hear expressions from the others that are taken facial to remain stable but sufficient 40 GENERAL SYSTEM THEORY AND CYBERNETICS worker joins the group, for instance, the group may go through a phase of friendly acceptance, followed by a checking-out phase. This period could be followed by a phase of testing the new employee, followed by the phase of full integration into the work group. This series of phases over time would be repeated in cycles as new employees entered the scene. “General System Theory manifests a fundamental ambiguity in that at points it seems to a substantive perspective making specific theoretical claims and at other points to present present a general abstract language devoid of specific theoretical substance for the unification of alternative theoretical views.” 41 The second issue relates to the first. Does the theory’s openness provide flexibility of thought or confusing equivocality? This concern relates Criticism of System Theory to the criterion of theoretical appropriateness. Detractors claim that the theory embodies what Delia calls “a fancy form of the fallacy of System theory has been attacked on several fronts, although its supporters remain undaunted. 40 Six major issues have emerged: (1) Does the breadth and generality of system theory provide the advantage of integration or the disadvantage of ambiguity? (2) Does the equivocation.” In other words, by permitting a variety of substantive applications in different theoretical domains, sistencies theory’s openness provide flexibility in application or confusing equivocality? (3) Is system another. 42 Supporters answer that this openness is are without categories 43 The can be fruitfully applied it is everything, it is really nothing. its cake and eat it too. Either it If all perspective or vides as must way of basis for Human Communication: a general framework without explaining real-world events, or it must abandon general integration in favor of making substantive claims. Jesse Delia expresses this concern: nication jan, conceptualizing, knowing why it pro- things occur Study of Critique and Response,” CommuSee also Edgan Tasch- Quarterly 25 (1977): 51. “The Entropy of Complex Dynamic Systems,” Be- havioral Science 19 (1975): 3. 42. Delia, “Alternative Perspectives,” pp. 51-52. 43. For arguments supporting system theory, see especially “A Critical Review”; Buckley, Sociology, Fish- Wayne Beach, “Stocktaking Open-Systems Research A Critique and Proposals for Action” (Paper delivered at the meeting of the Western Speech Communication Association, Phoenix, Arizona, November 1977). and Theory: Bertalanffy, Monge, “Systems little they do. Fisher agrees: 41. Jesse Delia, “Alternative Perspectives for the remain er, Perspectives' third issue ateness. phenomena follow the same system principles, we have no basis for understanding anything apart from anything else. Along the same line, some critics point out that system theory cannot have imposing arbitrary theoretical is also a matter of appropriSome critics question whether the systems approach is a theory at all, claiming that it has no explanatory power. While it gives us a broad range of phenomena. Others, howsystem theory merely confuses. ever, claim that If one of the main advantages of system theory: It does not bias the researcher with an a priori notion of what to expect. Consequently, it promotes research that looks for things as they issue clearly relates to theoretical From the beginning supporters have claimed that system theory provides a common vocabulary to integrate the sciences. It estabto a system theories can employ various logics, are not necessarily consistent with one which scope. 40. Two framework may even the supposed unity brought about by system theory? This problem is exacerbated by the fact that theory help to simplify, or does it make things more complicated than they really are? lishes useful logics that cannot prevent incon- is tem theory generated useful research? (5) Is the system paradigm an arbitrary convention, or does it reflect reality in nature? (6) Does system first it these applications. contradict each other. Where, then, Delia asks, theory merely a philosophical perspective, or does it provide useful explanation? (4) Has sys- The among theories using a system Perspective.” 41 GENERAL THEORIES dilemma. These principles are quite abstract (that is to say, general). Consequently, they can be applied in numerous ways by differing theorists with equally different results. In fact, system “theory” is probably a misnomer. ... In short, system theory is a loosely organized and highly abstract set of principles, which serve to direct our thinking but which are subject to numerous really there. ing a its we same thing the . . . the same.” 47 Bertalanffy objection the “so what?” argument: If calls this ability to gener- find an analogy between two events, it is meaningless. 48 The system theory is parsimony. Adherents claim that the world is so complex that a sensible framework such as system theory is necessary to sort out the elements of world processes. Critics generally doubt that events are that complex. They claim that sys- research.” 45 Again, critics return to the extreme generality of the approach as the basis of their criticism. They claim that the theory sim- ply does not suggest substantive questions for investigation. final issue of tem theory overcomplicates events the contrary advocates claim that the sentially simple. Charles by system theory at points out: “[Events] them make them does not a perspective new ways of looking vocabulary for orderattributed similarities As Delia explanations; calling ical To It have different referents; they require different According to Donald Cushman, which has produced more staunch advocates than theoretical empir- suggests invalid. the theory events are only semantic and are there- those events. ate research. fresh perspective provided is it events that are not fore useless for providing understanding of fourth issue relates to system theory’s is a useful complex world, among theory could be highly explanatory. “systems among on the other hand, If, provides merely interpretations. 44 heuristic value, questioning they really are, as posits similarities System advocates probably would agree with this assessment of general system theory but point out that any given substantive system The theory attempts to describe If the phenomena Berger that are es- states the case against overcomplication: old problems and thus is highly heuristic. Beach points out, for example, that a great deal of fruitful research followed Fisher and Hawes’s 1971 article on small group systems. 46 Fisher himself has done research on small group interaction. This work is presented in Chapter 11. The fifth issue relates to the validity of system theory. Critics question whether system theory was developed to reflect what really happens in nature or to represent a useful con- In the behavioral sciences of what ... we may be the victims Irrelevant variety call irrelevant variety. I is generated by the presence of attributes in a situation do with the phenomenon we are studying but which give the impression that what we Merely because are studying is very complex. which have little to . . . persons differ along a large number of physical, psychological, and social dimensions, does not mean that all of these differences will make a difference in terms of the phenomena we are studying. ... probably the case that relatively few variables mately can account for most of the action. 49 It is ulti- vention for conceptualizing complex processes. The system advocates themselves differ in views of the function of the approach in Critics place system theory in a In fact, their down criticism to two against system theory boils basic problems. First, system this regard. 47. Delia, “Alternative Perspectives,” p. 51. 44. Fisher, Perspectives, p. 196. See also Bertalanffy, “Critical 48. Review.” Bertalanffy, “Critical Review.” 49. Charles Berger, “The Covering Law Perspective as a 45. Donald Cushman, “The Rules Perspective as a Theoretical Basis for the Study of Human Communication,” Theoretical Basis for the Study of Human Communication,” Communication Quarterly 75 (1977): 7-18. See also Communication Quarterly 25 (1977): 30-45. Gerald R. Miller, “The Pervasiveness and Marvelous Complexity of Human Communication: A Note of Skepticism” (Keynote address delivered at the Fourth Annual Conference in Communication, California State University, Fresno, May 1977). See also Beach, “Stocktaking. Aubrey Fisher and Leonard Hawes, “An Interact System Model: Generating a Grounded Theory of Small 46. B. Group Decision-Making,” (1971): Quarterly Journal of Speech 58 4430-53. See also Beach, “Stocktaking.” 42 GENERAL SYSTEM THEORY AND CYBERNETICS theory is said to be so general as to be void of theoretical value. Second, there is disagreement and ambiguity about what the role of system theory is or should be in communication inquiry. This latter criticism is perhaps unfair, in theory for what We it is, time should recognize system a general approach to the second major element of communication process is self-regulation, which is accomplished by feedback and adaptation. Third, communication is organized hierarchically. The principle of hierarchy states that whatever is observed is always part of a larger picture. Hierarchical organization has long been used to analyze communication events, as we shall see repeatedly propriate. throughout this text. Fourth, dynamism or change is an important aspect of communica- What Do We Know about Communication as a System? summary, system theory presents the — — study world. Let the critics examine particular theories of communication that have taken a system approach. The following chapters summarize this second kind of criticism as ap- In communication process interrelate to form a whole that is not divisible into parts. System theory states that to isolate any single part for which, ironically, we do all the distorts the nature of the whole. The that system theory in the general sense is not intended to represent the substance of particular objects of study. process nature of communication. The first of these is holism, which suggests that parts of the tion. Processual events move; they are not static. Any system, including a communication system, constantly works to maintain homeostasis, but it also realizes morphogenesis or most and complete discussion of communication from a general process point of view. Four key elements in system theory highlight the direct movement from one 43 state to another. CHAPTER Symbolic 4 Interactionism and Rules Theory In the previous chapter we reviewed system theory, which represents a popular tool of communication. This chapter covers two other general Symbolic Interactionism for explaining the process nature in Symbolic interactionism contains a core of premises about communication and Jerome Manis and Bernard Meltzer published a compilation of articles within the area in which they isolate seven basic theoretical and methodological propositions from sym- respects and thus are easily integrated bolic interactionism, each identifying a central common theoretical orientations: symbolic interactionism and rules theory. These bodies of theory, which capture the symbolic nature of communication, many are consistent with one another society. into a single chapter. concept of the tradition: Symbolic interactionism, a formulation primarily from the field of sociology, is the broadest overview of the role of communication in society. 1 . The meaning component in human conduct: Dishuman behavior and interaction are carried on medium of symbols and their meanings. The social sources of humanness: The individual tinctly through the provides an excellent launch It 2. pad for scores of other theories of interaction. In fact, proponents of symbolic interactionism maintain that many of the more specific becomes humanized through 3. Society as process: theories of fully socialization are 4. communication, language, and subsumed under this broader framework. It will become apparent in this chapter that symbolic interactionism not a theories may fall. which numerous This point the previous chapters, for is voluntaristic component is most use- human conduct: beings are active in shaping their own Human in A dialectical conception of mind: Consciousness, or thinking, involves interaction within oneself. 5. 6. from The constructive, emergent nature of human Human beings construct their behavior in the course of its execution. conduct: illustrates that theories cannot be viewed as a series of independent explanations of some phenomenon. Theories interrelate, overlap, and fall into patterns. It is often hard to know where one theory ends and another begins. The necessity of sympathetic introspection: An understanding of human conduct requires study of the actors’ covert behavior. 1 7. For purposes of discussion the symbolic inmovement can be divided into trends. we will look at the foundations of sym- teraction The rules perspective became popular in communication circles during the 1970s. Rules theorists have gone beyond symbolic interactionism to discuss the specific mechanisms at work society conceived as consisting of people in interaction. The really specific a transition it Human behavior. is theory but a theoretical perspective or orientation under interaction with other persons. First, bolic interaction in the early oral tradition. Sec- ond, we will cover the growing out of these everyday interaction. They teach that people generate rules for interaction and use these rules to govern social behavior. in 1. Jerome G. Manis and Bernard N. Meltzer, bolic Interaction 45 two competing schools earlier foundations. eds., Fi- Sym- (Boston: Allyn and Bacon, 1978), p. 437. GENERAL THEORIES nally, we will list specific subareas interactionism, one of movement cal — we which of symbolic that a person’s behavior could not be studied apart from the setting in which the behavior occurred or apart from the individual’s perception of the chapter. Manford Kuhn divides the time line of sym- bolic interactionism into two major The the oral tradition, first, They maintained their social situation. — the dramaturgi- will discuss later in the which he calls environment. was result method as a research of concern was that this 3 . — when the primary foundations of symbolic interaction developed. Following During the age of inquiry the years that followed the publication of Mind, Self, and two divergent schools began to develop within the arena of symbolic interac- the early period posthumous publication of George Herbert Mead’s Mind, Self, and Society, the second period, which may be termed the age of inquiry, came to flower 2 Of course, the ideas of symbolic interaction did not emerge overnight from the mind of a lone thinker. They can be traced to the early psychology of William James. the Society — The original formulations of Mead were not altogether consistent, leaving room for divergent interpretation and extension. As a result the Chicago and Iowa schools developed. The Chicago School, led primarily by Herbert Blumer, continued the humanistic tradition begun by Mead. Blumer above all believes that the study of humans cannot be conducted in the same manner as the study of things. The goals of the researcher must be to empathize with the subject, to enter the subject’s realm of experience, and to attempt to understand the value of the person as an individual. Blumer and his followers avoid quantitative and scientific aptionism. . The primary A these early interactionists favored case histories portions. interactionists in the early tradi- tion were Charles Cooley, John Dewey, I. A. Thomas, and George Herbert Mead. Before Mead’s ideas on communication were pub- found life and sustenance primarily through oral transmission, especially in Mead’s classroom. Although Mead did not publish his ideas during his lifetime, he is considered the prime mover of symbolic interactionism. During this early Meadian period, the important ideas of the theory were developed. Mead and other interactionists departed from earlier sociological perspectives that had distinguished between the person and the society. Mead viewed individuals and society as inseparable and interdependent. Early interactionism stressed both the importance of social development and innate biological factors as well. Further, the early symbolic interactionists were not as concerned with how people communicated as they were with the impact of this communication on society and individuals. Above all, the early interactionists stressed the role of the shared meaning of symbols as the binding factor in society. The early theorists were strongly concerned with studying people in relation to lished, the interactionist perspective proaches to studying stress life histories, studies, diaries, letters, views. Blumer human behavior. They autobiographies, case and nondirective inter- particularly stresses the impor- tance of participant observation in the study of communication. Further, the Chicago tradition sees people as creative, innovative, and free to define each situation in individual and unpredictable ways. Self and society are viewed as process, not structure; to freeze the process would be to lose the essence of person-society relationships. The Iowa School proach to i fs more scientific apstudying interaction. Manford Kuhn, takes a leader, believes that interactionist concepts can be operationalized. While Kuhn admits the process nature of behavior, he advocates that teraction 3. Bernard N. Meltzer and John W. Petras, “The Chicago and Iowa Schools of Symbolic Interactionism," in Human Nature and Collective behavior, ed. Tamotsu Shibutani (En- Sociological Quarterly 5 (1964): 61-84. glewood 2. Manford H. Kuhn, “Major Trends in Symbolic InTheory in the Past Twenty-Five Years,” The 46 Cliffs, N.J.: Prentice-Hall, 1970). — SYMBOLIC INTERACTIONISM AND RULES THEORY the objective structural approach is more All of Mead’s work was collected and edited death in 1931. As a result his books appear poorly organized. In fact, his best- fruit- than the “soft” methods employed by Blumer. As we will see later in the chapter, Kuhn is responsible for one of the primary measurement techniques used in symbolic interacful after his known work, lected Mind, Self, from students’ and Society, was col- class notes. The Phi- tion research. 4 losophy of the Present, published in 1932, Largely because of the basic split that grew out of the attempt to resolve ambiguities left by group of lectures on the philosophy of history. Mind, Self, and Society, the “bible” of symbolic interactionism, followed in 1934. Movements of Mead, a number of since about 1940. tributaries have formed lists six major subareas: group theory, social per- Kuhn role theory, reference Thought Whether all of the theorists in these subareas would pledge allegiance to symbolic interactionism remains to be seen. All of these areas likely have been influenced by the writings of the major symbolic interactionists. In this chapter we will discuss Mead, Blumer, Kuhn, and is Burke. social act which nearly Foundations: George Herbert Mead Although it would be a mistake to attribute all of the basic ideas behind symbolic interac- processes the primary generator of movement. 6 Like nearly every their thinking rehearsal, form Pragmatists such as Kuhn, “Major Trends.” 6. Mead’s primary work Mind, Self, Press, 1934). built upon one weighing of alternatives in one’s In its most basic a social act involves a three-part relation- from one individual, a response to that gesture by another (covertly or and overtly), a result of the which is perceived or imagined by both parties. In a holdup, act, for example, the robber indicates to the victim these predecessors. Ibid. complete unit of and are ship: an initial gesture in 5. a head, and consummation. toward the evolutionary perspec- 4. is perception and assignment of meaning, covert turned pull together ideas and sociology act another in hierarchical form throughout a lifetime. Acts begin with an impulse; they involve Mead attempted to from biology, psychology, viewing the person as an evolutionary being. Yet, in fundamental ways Mead departed from and added to the work of tive. The plan. Acts interrelate theorist, product of his time, following others in the predominant thought of the day. Following Darwin’s theory of biological evolua tion, philosophers in related disciplines an umbrella concept under other psychological and social is all fall. conduct, a gestalt, that cannot be analyzed into specific subparts. An act may be short, such as tying a shoe, or it may be the fulfillment of a life tionism to a single person, George Herbert the 19th Century, lectures in the his- in the the notion that people are actors, not reactors. The Mead was a tory of ideas, followed in 1936. In 1938 Philosophy of the Act was published. The three cardinal concepts in Mead’s theory, captured in the title of his best-known work, are society, self, and mind. These categories are not distinct, however. Rather, they are different aspects of the same general process, the social act. Basic to Mead’s thought ception and person perception, self-theory, interpersonal theory, and language and culture. 5 Mead was no doubt is what is intended. The victim responds by giving money, and in the initial gesture and response, the defined result in symbolic interactionism is (a holdup) has occurred. and Society (Chicago: University of Chicago For outstanding secondary sources on Mead, With mind, let us look more closely at the first facet of Meadian analysis society. Society, or group life, is a cluster of cooperative behaviors on the part of society’s members. Lower animals have societies too, Bernard N. Meltzer, “Mead’s Social Psychology,” in Symbolic Interaction, ed. Jerome Manis and Bernard Meltzer see (Boston: Allyn and Bacon, 1972), pp. 4-22; and Charles Morris, “George H. Mead as Social Psychologist and Social Philosopher,” in Mind, Self, and Society, “Introduction.” 47 this outline in GENERAL THEORIES but they differ from human mental ways. Animal societies, the bee, are based society in funda- such on biological are physiologically determined. as those tion (to strike him). of assigns distinguishes Human human is it, then, that trates the responsive, adaptive, process of figuring predictable, may Or a dog will growl and lift minology significant meaning lip No a In Mead’s gesture with shared meaning teris a symbol. In short, society arises in the significant symbols of the group. Because of the ability to vocalize symbols, we literally can hear ourselves and thus can respond to the others respond to us. like to receive our We own self, as can imagine what it is we can messages, and empathize with the listener and take the listener’s role, mentally completing the other’s response. programmed, the upper possess shared meaning for the individuals in society. This interplay between responding to others and responding to self is an important concept For example, a mother cluck and her chicks will run to her. encountering another hostile dog. cooperative na- This idea of society as a series of cooperative, symbol-using interactions has another aspect. The symbols used must instinctive responses. hen was of conscious, symbol-using behavior. If our two characters had been dogs and one had encroached on the other’s territory, the outcome would have been more predictable. of “feeling out” the other person is assessing what that person will do next. Thus cooperation consists of “reading” the other person’s actions and intentions and responding in an appropriate way. Such cooperation is the heart of interpersonal communication. This notion of mutual responding with the use of language makes symbolic interactionism a vital approach to communication theory. Animals may communicate in elementary ways, but symbol-using behavior is what distinguishes human communication. Subhuman species are said to go through a conversation of gestures. These gestures, however, are only sigelicit own It ture ture, part they his me. and painful, experience. Of course, this example is of a simple social act, but it illus- out what actions one will undertake in the fu- nals, for hit rassing, the intentions of the other communicator. Since a interprets the symbols, them, and plans “Oh, don’t an accident.” His adaptation prevents an embar- a result an cooperative behavior? is He As cooperation requires understanding “minding” or thinking to responds, reply. animal society behaves in predictable, stable, and unchanging ways. What meaning He necessity; they in when Mead’s theory, and it provides an excelsecond member of the lent transition to the internal troika — the self. To state that a person has a self present in these acts for the animals implies that the individual can act toward self as Animals do not assign conscious meaning to gestures; they do not “think through” their responses. The signal type of communication in animals takes place quickly, without interruption. Humans, on the other hand, use symbols in their communication. People consciously conduct a process of mental manipulation, delaying of response, and assigning meaning to the gestures of the other. The symbol is interpreted by the receiver. Assume for a moment that two men are sitting next to one toward others. A person may react favorably to the self and feel pride, happiness, encouragement; or one may become angry or disgusted with the self. The primary way that a person comes to see self as others see it (possess a self-concept) is through role taking. Of course, this act would not be possible without language (significant symbols), for through language the child learns the responses, intentions, and definitions of others. Mead describes two explicit phases of selfdevelopment and an initial implicit phase. The 7 first stage is the preparatory stage Here the infant imitates others by mirroring. The baby is in question. another picks at a bar. The first back, and says, man accidentally The other man is draws his arm .” The first man “Why you. up the wrong drink. incensed; he tightens his sees the gesture; . fist, . . not Mead's. It is supplied by Meltzer in “The Chicago and Iowa Schools.” 7. he perceives the other’s inten- 48 This label is SYMBOLIC INTERACTIONISM AND RULES THEORY may pick up the paper, or put on daddy’s shoes, or stab of meat with at a piece a fork. adaptive behavior and the I to explain creative, This phase unpredictable impulses within the person. The purely preliminary, in which the child does not possess meanings for the acts imitated. Lais the play stage self, or the ability to act toward the The self, by lower creates a situation not encountered the child literally plays the fighter or symbols to respond to oneself leads to the possibility of inner experience and thought that may or may nurse, the child empathizes with the definitions not be consummated in overt conduct. This ter, in role , animals. of significant others in the environment. In playing mother and father or Mead of these others. describes fire how a child in latter idea constitutes the third part the play stage will pretend to be another person and is will act toward really oneself. that each role The is play stage theory who hypothetical receiver a taken separately, much as an crucial to In the game individual responds in a generalized eral others simultaneously. Mead life, for it is part of every act. hesitating (postponing meaning to the stimuli. Mind often arises around problem situations in which the individual must think through future actions. The stage the way as self, is overt action) while one consciously assigns maintained, and the child does not develop a self. human “Minding” involves It is marked by disorganization and sporadic movement from one role to another. No unitary viewpoint singular concept of which develops along with the ability, actor playing out prescribed parts. is of Mead’s — the mind. The mind can be defined the process of interacting with oneself. This sequential in is ability to use significant person imagines various outcomes, selecting to sev- and testing possible alternative actions. The reason that mind is important for uses the anal- ogy of the baseball game, in which each player must envision simultaneously all nine roles and adapt accordingly. At this stage the person must is that Mead provides the rationale for seeing per- it generalize a composite role of all others’ defini- sons as actors rather than reactors. Human beings literally construct the act before they tions of self. consummate The concept of the generalized other is one of Mead’s main contributions. The generalized other is the unified role from which the individual sees the self. It is our individual perception of the overall way that others see us. The self-concept is unified and organized through internalization of this generalized other. Your generalized other is your concept of how others in general perceive you. You have learned this self-picture from years of symbolic interaction with other people in your life. controlled before they are enacted. The self has two facets, sential function in the is the being’s life. The tion act vides direction and guidance. Mead rat in trial and reflection before the person ever begins Normally, in the bombarded by human animal world the organism stimuli from the environment, the organism life makes objects out of the stimuli. Because people possess significant symbols that allow them to name person can transform mere do not exist from people. The object is always defined by the individual in terms of the kinds of acts that a person might make toward the object. A pencil is a pencil if I can write with it. A sea- their concepts, the stimuli into real objects. Objects / apart Every begins with an impulse from the I and the driving force in action, while the and but in The me is the made up of the organized and quickly becomes controlled by the me. beings this to act. is predictable part of the person. consistent patterns shared with others. The a trial-and-error pro- human error can take place covertly through imagina- the impulsive, unorganized, undirected, un- generalized other, Responses can be designed and whereas in cess, each serving an es- human it. maze goes through scape The / is me pro- is a seascape bottle of bourbon drinking it, when is I value looking a liquor or not drinking when it. I at it. A conceive of Objects become the objects they are through the individual’s uses the concept of me to explain socially acceptable and symbolic minding process; 49 when the individual GENERAL THEORIES envisions new or different actions toward an object, the object sees the person as a organism with biologically advanced capable of rational thought. and becomes an object to nificant gestures the self as others see Through it. the things he encounters.” 11 As we sig- one is, The person internalizes and behaves consistently preparation for interaction with others. Herbert Blumer undoubtedly was Mead’s foreapostle. In fact, as , Blumer coined the term Mead him- an expression never used. Blumer refers to somewhat “a how caught on.” 8 this label barbaric neologism that human beings. What is distinctive about other I The term someAlthough Blumer published coined in an offhand way. . . . view of meaning throughout his career, not until his 1969 publication of Symbolic Interactionism: Perspective and Method did a unified view of his thought articles become available. 9 In his first chapter clearly states his debt to to Mead and his interpretation. person object. dealing explicitly with his writing on symbolic in- “Human be- (1) internal conversaton: “The actor you will recall, same as Mead’s concept of mind. Blumer stresses the importance of this definition of meaning for the symbolic interactionist perspective. Blumer’s three premises on meaning form the skeleton for his thought, and the meat is provided by what he calls “root images.” The root images cover the topics of group basis jects, life, social interaction, the nature persons as actors, the nature of of ob- human and interlinkages of individual actions in society. Let us discuss each of these in turn. Blumer reiterates Mead’s view that society arises from individual interactions. No human action, 8. Herbert Blumer, Symbolic Interactionism: Perspective and Method (Englewood Cliffs, N.J.: Prentice-Hall, 1969), p. 1. 9. This process of handling meanings the is of the meanings that the things have for them”; (2) “the meaning of such things is derived from, or arises out of, the social interaction that one has on the on conscious meaning for the when tion.” 12 This internal process, as many concerned.” 10 Blumer begins the interactionist stress suspends, regroups, and transforms the meanings in light of the situation in which he is placed and the direction of his ac- were only implicit in the 10. thought of Mead and others, and covering critical topics with which they were not teraction with three premises: its selects, checks, crucial matters that ings act toward things is object has the point at becomes an devotion Blumer’s formulations are consistent with those of his mentor, but he does not merely repeat Mead: “I have been compelled to develop my version, An the individual consciously thinks about or interprets the Blumer furthering the interactionist perspective. own of number meaning takes a central role in the social process itself. Meaning is a product of social life. Whatever meaning a person possesses for a thing is the result of interaction with others about the object being defined. A person has no meaning for something apart from the interaction with Herbert Blumer and the Chicago School self critical a of behavioral science undercut the importance of the concept of meaning. Many theories ignore meaning completely, and others place it in the general subordinate category of antecedent factors. In symbolic interactionism, though, son plans and rehearses symbolic behavior in most Blumer has been on of counts, the first of which is the treatment of meaning. Blumer shows how most theories sees the process of mind, the per- symbolic interactionism will see, the mainstream of social science the person role taking, oneself; that used by the person in dealing with tive process brain a Through it. this general self-view with with one’s fellows”; (3) “these meanings are handled in, and modified through, an interpre- changed. is summary Mead In Ibid. 1 1 . Ibid., p. 2. Ibid. 12. Ibid., p. 5. 50 SYMBOLIC INTERACTIONISM AND RULES THEORY action stands apart from interaction. Nearly all is and does is formed in the proof interacting symbolically with others. Hence it is incorrect to congroup conduct as independent from the in individual acts. that a person sider cess individual actions of the participants: Society results from each person’s coordinating one’s ticipants own conduct with that of others. Thus both group life and individual conduct are shaped through the ongoing process of symtreats objects in essentially the police officer in a ghetto may mean something different to the citizens of that area than a police officer means to the inhabitants of a posh residential area because interactions among of the different the residents of these matter how it is still is solid a group action apthat mately in diverse ways, but contrary to popular network or an institu- sociological thinking, “a tion does not function automatically because of some inner dynamics or system requirements: it functions because people at different points do something, and what they do is group action and takes steps to define it. What seen as societal or group action is merely the to act .” 16 Blumer’s third observation ties together the two. With an understanding that groups in based in individual symbolic in- is first individuals fitting a society are one another. A joint action of a group of people consists of an interlinkage of teraction, their separate actions, joint action that occurs. Blumer’s their actions to but group action is actions. not uals’ a Such is we may come based Ibid., p. 14. 51 to realize that individ- backgrounds are important repetitiously described, and church worship are joint actions. Group action of how a result they define the situation in which they are called on the importance of institutions as marriage, trade, war, life may be connected through complicated networks. Distant actors may be interlinked ulti- sponds to the play of factors on or through it, the human being is seen as an organism that has to deal with what it notes .” 13 13. One of the primary areas in which Blumer extends Mead’s thinking is group or societal mere summation of the individual human rooted in individual the social process in group and upholds the rules, not the rules that create and uphold group life .” 15 The second observation Blumer makes about groups is the pervasive and extended nature of some interlinkages. Individual actions cause they possess a self and, to reiterate Mead, an individual has the ability to act toward self as many No creates an object. This capacity to act implies that the individual can deal with problem situations: “Instead of being merely an organism that re- extended process of tion. selves: “It Blumer’s treatment of action is essentially the same as Mead’s. Blumer sees persons as actors, not reactors. People are able to act be- Blumer recognizes of highly recurrent and stable patterns. These group actions possess common and preestablished meanings in a society. Because of the high frequency of such patterns, scholars have tended to treat them as structures or entities. Blumer warns us not to forget that new situations present problems requiring adjustment and redefinition. Even in highly repetitious group patterns nothing is permanent. Each case must begin anew with individual acpears to be, two vastly different geographical areas. action. acts three basic observations consists meaning through symbolic interaction. Objects may hold different meanings for different people, depending on the nature of others’ actions toward the person regarding the defined A par- about linkages. First, he notes that the largest portion of group action in an advanced society same way as does Mead. For Blumer objects are of three types: physical (things), social (people), and abstract (ideas). Objects come to have object. “The have to guide their respective Blumer makes bolic interaction. Blumer still by forming and using meanings .” 14 14. Ibid., p. 17. 15. Ibid., p. 19. 16. Ibid. is in the kind of main that societal point, groups GENERAL THEORIES and institutions are not structures all their own. First and foremost they are interlinkages of individual symbolic interactions. Another broad area in which Blumer goes beyond Mead is methodology. Since methodology is the primary, and dramatic, difference between the Chicago and Iowa schools, prior picture of what the ascertain patterns data collected. how vital this topic is to him. Although Mead does not emphasize method, findings out realizing is captured in its method. Blumer’s opinions on this topic are strong. According to Blumer, the most basic foun- world: “This empirical world must forever It is of relationship among the interpretation of the Fifth, necessary. departure and the point of return in the case of character; the construction empirical science .” 17 However, cal Consistent with symbolic interac- tionist perspective, reality exists human only through experience. In Blumer’s words, “It is of a characof the ‘world of reality’ that is not cast the form of human imagery .” 18 impossible to cite a single instance terization in In this empirical context are dangers for research. The first is two potential . the conception world is immutable and exists to be “discovered” by science. Another related danger is the belief that reality is best cast in terms of physics. Both conceptions already have played havoc with social science research: “To force all of the empirical world to fit a scheme that has been devised for a given segment of that world is philosophical doctrinizing and does not represent the approach of that reality in the empirical These approaches ideal fail as empirical validation. aspects. First, the researcher . methods use four of research (d) Ibid., p. 22. Ibid. 20. Ibid., p. 23. 21. Ibid. 52 Ibid., pp. 26-27. for in replication on the testing of employing so-called oper- ational procedures .” 21 18. methods are “(a) adhering to engaging studies, (c) relying hypotheses, and 19. realistic They a scientific protocol, (b) the empirical world. Research cannot be approached on abstract levels that do not include a 17. . generalized procedures, according to Blumer. form involves six major must possess and make use of some framework or model of its as . All of these traditional genuine empirical science .” 19 Inquiry in as of logical and mathematimodels, all too frequently guided by the criterion of elegance; the elaboration of formal schemes on how to construct concepts and theories; valiant application of imported schemes, such as input-output analysis, systems analysis, and stochastic analysis; studious conformity to the canons of research design; and the promotion of a particular procedure, such as survey research, as the method of scientific study. I marvel at the supreme confidence with which these preoccupations are advanced as the stuff of methodology. Many of these preoccupations are grossly inadequate on the simple ground that they deal with only a limited aspect of the full act of scientific inquiry, ignoring such matters as premises, problems, concepts, and so on. More serious is their almost universal failure to face the task of outlining the principles of how schemes, problems, data, connections, concepts, and interpretations are to be constructed in the light of the nature of the empirical world under study 20 not underestimate the role of the observer in empirical testing. the investigator the following: the devising and use of sophisticated research techniques, usually of an advanced statistical the point of we must Sixth, The overwhelming bulk of what passes today methodology is made up of such preoccupations dation for behavioral science must be the empir- be the central point of concern. is must conceptualize what has been discovered. Blumer levels a biting criticism of the mainstream of social science method in the following words: sym- bolic interactionism ical like. is can be obtained. Fourth, the researcher needs to reviewing Blumer’s ideas on method is particuimportant. One cannot read Blumer with- that the very nature of world framed as problems. Third, the kind of data to be sought must be determined and a realistic appraisal made of the ways in which that data larly Blumer maintains real Second, the researcher needs to ask questions about the world, which eventually must be SYMBOLIC INTERACTIONISM AND RULES THEORY If the usual means of research are inadequate, what does Blumer propose as an alternative? Blumer maintains that researchers must de- be Hickman and Kuhn’s Individuals, Groups, and Economic Behavior, published in 1956. 22 (For an velop firsthand participative knowledge of the excellent short synthesis see Charles Tucker’s phenomena investigated. participative knowledge a The published world is like. call critique. 23 ) it is Kuhn’s theoretical premises are consistent with Mead’s thought. KuhriVronceives of the basis of all action as symbolic interaction. The child is socialized through interaction with others in the society into which he or she is born. The person has meaning for and thereby Blumer calls exploration. Exscanning technique wherein the investigator uses any ethical method of getting information. In the explor- ploration a is flexible deals with objects in the environment through the naming of an is a way of conveying the object’s meaning in communicable terms. Kuhn agrees with his colleagues social interaction. ing stage the investigator should move from technique to technique in a flexible and com- object fortable manner in order to get a broad picture of the area being investigated. Techniques may range from direct observation to interviewing, from listening in on conversations to surveying life histories, from reading To Kuhn important, for naming active planner. He is not a passive reactor but an reinforces the view that indi- viduals undertake self-conversations as part of the process of acting. Kuhn also reiterates the letters importance of language in thinking and communicating. Like Mead and Blumer Kuhn discusses the importance of objects in the actor’s world. The object can be any aspect of the person’s reality: a more focused. After ascertaining the general nature of the phenomenon, the researcher begins inspection. The primary differis is that the individual and diaries to consulting public records. No formal guidelines are followed, and whatever procedures are used should be adapted to the situation. The second stage may may scientist This sort of method consists of stage closest “soft,” but actually rigorous process of finding out what the real two stages. The first work. The a truly unified thing, a quality, an event, or a state of affairs. ence between exploration and inspection is depth and focus. Inspection is “an intensive focused examination,” according to Blumer. This The only requirement examination must be done in the context of the area under investigation. the totality of their social objects. an object for a person represent it for is something to become that the person name symbolically. Reality for persons Kuhn with other interactionists that meaning it, is agrees is so- Meaning is assigned to an object from group norms regulating how people deal cially derived. Manford Kuhn and the Iowa School Manford Kuhn and his students, while maintaining basic interactionist principles, take two new steps not previously seen in the old-line interactionist theory. The first is to make the interactionist concept of self more concrete; the with the object in question. A second concept important to Kuhn is the A plan of action is a person’s total behavior pattern toward a given object, includ- plan of action. ing whether to seek or avoid second, which makes the first possible, is the use of quantitative research. In this latter area is thought to behave (since the person will behave Iowa and Chicago schools part company. Blumer strongly criticizes the trend in the bethe it, this feelings about the object as titudes constitute a subset havioral sciences to operationalize; 22. a Groups, and Economic Behavior Kuhn makes point to do just that! As a result Kuhn’s work moves more toward microscopic analysis than how it the object determines toward the is object), how and defined. At- of the plan of action. C. A. Hickman and Manford Kuhn, Individuals, (New York: Holt, Rinehart and Winston, 1956). 23. does the traditional Chicago approach. Like many of the interactionists, Kuhn never Charles Tucker, “Some Methodological Problems of Kuhn’s Self Theory,” The 53 Sociological Quarterly 7 (1966), GENERAL THEORIES attitude indicates “There are twenty numbered blanks on the page below. Please write twenty answers to the toward which action will be directed as well as the evaluation of the object. Because attitudes are verbal statements, they can be ob- Just give twenty different answers to this question. Answer as if you were giving the answers served and measured. to yourself, not to Attitudes are verbal statements that act as blueprints for one’s behavior. The the end A third concept important to Kuhn is orientational other. Orientational others are who have been particularly son’s life. They simple question, those influential in a per- whom the individual is emo- a different aspect of self. Here Kuhn’s primary theoretical formulations. and psychologically committed. Second, they are the ones who provide the person with general vocabulary, central concepts, and method tapping categories. Third, they provide the individual ual’s plans tionally with the basic distinction between self are First, the self-conception and Fourth, the orientational others’ communications continually sustain the indi- Such self-conceptions vidual’s self-concept. Orientational others may for they act as one’s that the individual comes to see the seen as the individ- are anchoring attitudes, most common frame of reference for judging other objects. All subse- be in the present or past, they may be present or absent. The important idea behind the concept is is of action toward the self as an object. This self-concept consists of the individual’s identities (roles and statuses), interests and aversions, goals, ideologies, and self-evaluations. others, including one’s perceived role differ- entiation. I?” in the blanks. somebody else. Write the answers in the order that they occur to you. Don’t worry about logic or ‘importance.’ Go along fairly fast, for time is limited .” 25 A number of potential ways are available to analyze the responses from this test, with each the possess four qualities. First, they are people to “Who am quent plans of action stem primarily from the world self-concept. Two major aspects of the self may be termed through interaction with particular other persons who have touched one’s life in important the ordering variable and the locus variable. ways. The — the sible for a technique example, test. if the person lists “Baptist” a great The locus variable developing this procedure is stated succinctly: “If as we suppose, human behavior is organized and directed, and if, as we further suppose, the affiliation. organization and direction are supplied by the idiosyncratic, subjective qualities. it which the subject may A consists A would be confronted with twenty blank spaces preceded by the following simple instructions: Manford Kuhn and Thomas McPartland, “An EmpiriInvestigation of Self-Attitudes,” American Sociological tends to place statements in one of two categories. may be said to be consensual if it of a discrete group or class identification, such as student, girl, husband, Baptist, from Chicago, premed, daughter, oldest child, studying engineering. Other statements are not descriptions of commonly agreed-on cate- subject taking the “twenty-statements” test Review 19 (1954), the extent to way In scoring the self-attitude test, the analyst ought to cal is in a general identify with consensual groupings rather than be of crucial significance to social psychology to 24 be able to identify and measure self-attitudes .” 24. may conclude that the person identifies more readily with religious affiliation than with family His rationale for individual’s attitudes toward himself, ob- by the deal higher than “father,” the researcher Kuhn is primarily responknown as the “twenty- statements” self-attitudes It is subject in the “twenty-statements” task. For self, teractionist thinking. the relative salience of servable in the order of statements listed self. revolve around is identifications the individual possesses. we come to Kuhn’s most important Kuhn’s theory and method and it is in this area that Kuhn most dramatically extends symbolic inFinally, concept ordering variable 25. p. 68. 54 statement Ibid., p. 69. SYMBOLIC INTERACTIONISM AND RULES THEORY gories. Examples of subconsensual responses are happy, bored, pretty, good student, too heavy, good The number of wife, interesting. ments in the consensual group is quences that block achievement of interaction By studying these attempt to isolate general principles of symbolic interaction. Such principles may objectives are accounted for. areas, they state- the individ- ual’s locus score. The form the idea of locus important to Kuhn: “Persons vary over a rather wide range in the relative volume of consensual and subconsen- components sual in their self-conceptions. our empirical investigation has given the greatest advance over the purely deductive and more or less literary formulations of George Herbert Mead.” 26 The interactionism is distinguished by the use of the dramatic metaphor. The dramaturgists see people as actors on a metaphorical stage playing out roles in interaction with others. Several between the Chicago and Iowa work of Kuhn become so estranged from mainstream symbolic interactionism that it has and conflict is among support basic tenets those who sense, lacks the unity required to call a of the movement. Kuhn’s methods result a group of followers, about “new” Iowa School. One of its leaders, is more appropriate the use of the TST test] and allied instruments. There was an increasing awareness that this set of procedures was not generating the data re- 28. with is quired for serious testing, revision, and elaboration of the theory. Some turned to naturalistic . Some gave up it most He has written widely in many areas of thought from creative writing, to literary and rhetorical criticism, to social psychology, to linguistic unanticipated conse- Also, unlike most other This work is summarized in Carl J. Couch and Robert Hintz, eds., Constructing Social Life (Champaign: Stipes Publishing Co., 1975); and Clark McPhail, “Toward a Couch, “Symbolic Interaction and Generic Sociological Principles” (Paper presented at the Interaction, Boston, 1979), p. 9. analysis. symbolic interactionists, Burke’s concepts are work of Mead and the not derived from the 26. Ibid., p. 76. 27. Carl J. movement, In fact, unlike pline. began studying the by using videotaped sequences. They have produced research on how interaction begins (openings) and ends (closings), how disagreements are how movement. identified his associates and the symbolic interactionist of the symbolic interactionists, Burke has not with any particular academic disci- the search; structure of coordinated behavior negotiated, to treat his theory at length in doubtful that he would align himself exclu- sively with the others foundered.” 27 Couch and dis- Part IV on contextual theories.) The other two primary dramaturgical interactionists, who have taken different approaches from Goffman, are Kenneth Burke and his advocate in the field of sociology, Hugh Duncan. Although Burke’s concepts are consistent Carl [twenty-statements . is microscopic and takes a different turn interactionists. (Although Goffman known as a symbolic interactionist, it seems from other Couch, describes the situation: “By the mid1960s most of us affiliated with Kuhn had be- . The individuals present themselves to tinctly come disenchanted with observation. how others in rolelike behavior. His theory who believe in both the central ideas of symbolic interactionism and the expressed need to examine social life in concrete ways, has emerged as the Three a school. Erving Goffman, has written extensively first, simply are not adequate for investigating probehavior, an essential element of interac- As it dramaturgists seem to lead the movement. espouse the cessual tion. might be termed dramaturgical in this but dramaturgical theory in actuality theorists apparent. In fact, the his associates has lost its grounded theory of sym- The Dramatism of Kenneth Burke The so-called dramaturgical school of symbolic It is in this finding that schools basis for a bolic interaction in the future. 28 is Theory of Collective Behavior” (Paper presented at the Symposium on Symbolic Interaction, Columbia, South Symposium on Symbolic Carolina, 1978). 55 GENERAL THEORIES other early sociologists. Some of his most im- Burke with the publication of Mead’s ideas. On the other hand, it would be incorrect to exclude Burke from the mainstream of symbolic interactionist thought, for while he has maintained his independence, his theory is sees the act as the basic concept in dramatism. His view of portant works, in fact, appeared concurrently sistent human action is con- with that of Mead, Blumer, and Kuhn. Specifically, Burke distinguishes between action and motion. All objects and animals in the universe can be said to possess motion, but only human beings have action. Action consists of highly consistent with the others presented in this purposeful, voluntary behaviors of individuals. chapter. Dramatism is the study of action in this sense; the study of motion is mechanism. Burke be- Kenneth Burke is no doubt a giant among symbol theorists. He has written profusely over a period of fifty years, and his theory is the most comprehensive of all the interactionists. Hugh Duncan wrote, “It may people be said without to 1966. 30 Unfortunately, clarity Burke of style. His theory is is not scattered however, the coherence and unity of the theory become apparent. Fortunately, a number of Hugh Duncan, “Communication it. With this perspective let verbal elements as well. Especially intriguing Burke is the notion that a person can symOne can talk about speech and can write about words. This second-level activity is a distinguishing characteristic of for bolize symbols. in Society,” Arts in symbol Society 3 (1964), 105. major works include Counter-Statement use. In addition (New York: Harcourt, Brace & Company, 1931); Permanence and Change (New York: New Republic, 1935); Attitudes toward History (New York: New Republic, 1937); The Philosophy of Literary Form (Baton Rouge: Louisiana State University, 1941); A Grammar of Motives (1945) and A Rhetoric of Motives (1950) all behavior cannot be properly — scholars have provided written interpretations of Burke’s ideas.31 In surveying Burke’s communication theory, we will begin with a summary of his concept of dramatism; then we will turn to his central concepts of humanity, language, and communication; and finally we will sketch Burke’s method. 30. Burke’s in Burke views the individual as a biological and neurological being, who possesses all of the animalistic characteristics of lower species. Consistent with Mead, Burke distinguishes humans by their symbol-using behavior, the ability to act. People are symbol-creating, symbol-using, and symbol-misusing animals. They create symbols to name things and situations; they use symbols for communication; and they often abuse symbols misuse them to their disadvantage. Burke’s view of symbols is broad, including an array of linguistic and non- and often appears ambiguous. When a scholar takes the time necessary to know Burke’s work, 29. human us look at Burke’s seminal ideas. echoing something said by Burke.” 29 Burke noted for needed understood without has published eight major books spanning from 1931 is plines, for exaggeration that anyone writing today on communication, however ‘original’ he may be, is view of of the “human” disci- lieves that a dramatistic (teleological) creators. and arate sees people as instrument create a variety of mechanical lower animals, septheir natural condition. People through the symbolic screen. For them from filter reality (Englewood Cliffs, N.J. Prentice Hall); A Rhetoric of Beacon Press, 1961); Language as Symbolic Burke They social tools that, unlike is, but for humans reality mediated through symbols. Burke agrees with Mead that language functions as the vehi- : an animal reality just Religion (Boston: is Action (Berkeley and Los Angeles University of California Press, 1966). I would like to express my particular appreciation to friend and colleague Peter Coyne for the continued insights he has given me on Kenneth Burke. See Peter Coyne, “Kenneth Burke and the Rhetorical Criticism of Public Address” (Doctoral dissertation, University of Utah, 1973). For a comprehensive overview on Kenneth Burke, see Wil- 31. cle for action. Because of the people to cooperate social in their actions, need for language and shapes behavior. Language, as seen by Burke, is always emotionally loaded. No word can be affectively neutral. As a result a person’s attitudes, judgments, and feelings arises liam Rueckert, ed., Critical Responses to Kenneth Burke (Minneapolis: University of Minnesota Press, 1969). 56 SYMBOLIC INTERACTIONISM AND RULES THEORY invariably are in that person’s language. Lan- that guage is by nature selective and abstract, focusing attention on particular aspects of reality at trine the expense of others. While language nomical, guage it is formal in that is is fundamentals, or essence of any thing. Substance must be viewed in holistic terms; it is eco- ambiguous. Further, lan- also it not tends to follow certain tinct, overriding consideration for all of work is his concept of guilt. The term Burke’s all-purpose word mere summation of the parts or aspects of Each person is dispossessing separate substance. Crucial to Burke’s theory Burke’s guilt is a the thing in consideration. patterns or forms. An of substance, or in Burke’s words the docof substance. Substance is the general na- ture, is the understanding that the two persons always overlap The overlapping is not perfect, though, and thus prevents ideal communicasubstances of any for any feeling to of tension within a person: anxiety, embarrassment, self-hatred, disgust, and so forth. For Burke guilt is a condition caused only in humans by their symbol-using nature. He identifies three interrelated sources of guilt arising out of language. The first is the negative. Through language people moralize (animals do not). They construct a myriad of rules and some tion. extent. Whatever communication occurs between is a direct function of their con- individuals substantiality (sharing of common substance). Consubstantiality, or commonality, allows for necessarily are breaking another, creating guilt. communication because of the shared meaning it creates for the symbols used. When Barney and Joe are relaxing next to the swimming pool on a warm summer morning, they communicate with one another in a free and understanding manner because they share meanings for the We language in use. They proscriptions. Now, consistent. tirely these rules are never en- In following one rule, will see that Burke’s concept sense is nance guilt is guilt. mans similar to the idea (see Chapter of guilt in this of cognitive disso- The second 8). you substantial. Bob reason for the principle of perfection, or categorical Swiss restaurant, they To combine Mead and Burke, a sigsymbol is one that allows for shared meaning through consubstantiality. Another important concept of Burke is identification. As generally conceived, identification is the same as consubstantiality, or the sharing of substance. The opposite of identification of perfection. Then, by their very nature, they spend their lives striving for whatever degree of this perfection they set for themselves. nificant Guilt arises as a result of the discrepancy be- der, real and the ideal. A and in a feel frustration individual. state guilt may boy because of their lack of shared meaning with this People are sensitive to their failings. Huimagine (through language) a are able to tween the con- are, so to speak, On the other hand, when Mary ask a question of a harried bus third reason for is the principle of hierarchy. In seeking orpeople structure society in social pyramids is or hierarchies (social ratings, social orderings). This ranking of course, is a symbolic phenome- Division and the guilt it produces primary motives for communication. division. are the Through communication, non. Competitions and divisions result between classes and groups in the hierarchy, and guilt results. For Burke guilt is the primary motive identification is in- creased. In a spiraling fashion as identification shared meaning increases, thereby improving understanding. Identification thus increases, behind all action and communication: We communicate to purge our guilt. In discussing communication Burke uses can be a means to persuasion or improved communication or an end in itself. Identifica- several inseparable terms: persuasion, iden- or accidental. tification, consubstantiality, communication, how these concepts are and rhetoric. Let us see integrated in his theory. The underlying con- cept behind Burke’s ideas on communication tion can be conscious or unconscious, planned Three overlapping sources of between people. Material from goods, possessions, and things. Idealistic identification results from ideas, attitudes, feelings, and values. Formal identification exist identification results is 57 . . GENERAL THEORIES from the form or If two people who identification results rangement of the act. ar- proved useful are literary introduced shake hands, the conventional form of handshaking causes some identification to take place. Speakers can identify better with their audiences if they provide a form that is meaningful to the particular audience. Before we proceed, let us look at a couple of cautions. First, identification is not an either-or occurrence but Some matter of degree. a con- merely by humanness of any two per- substantiality will always be present virtue of the shared sons. Identification can be great or small, and it which the component is can be increased or decreased by the actions of in Second, although iden- the communicators. that when successful identification is greater is interesting phenomenon to contradict Burke’s that view of might seem identification and as rhetorical analysis of speeches, was act The carried out. third the agent, the actor, including all known contributing factors. than division. An — the about the individual. The agent’s substance reaches all aspects of his or her being, history, personality, demeanor, and any other and division exist side by side between any two persons, communication is tification more such in areas criticism poems, books, and other rhetorical devices. Burke’s most basic methodological paradigm is the dramatistic pentad Pentad, meaning a group of five, is in this sense an analytical framework for the most efficient study of any act. The first part is the act, what is done by the actor. It is a view of what the actor played, what was accomplished. The second part is the scene, the situation or setting in which the act was accomplished. It includes a view of the physical setting as well as the cultural and social milieu component, is the The the fourth agency, means or vehicle the agent uses in carrying out the act. is Agency may in- that people clude channels of communication, devices, in- identify stitutions, of lower strata in a hierarchy often with godlike persons at the top of the hierarchy, despite tremendous apparent division. This kind of identification can be seen, for example, in the mass following of a charismatic leader. Two overlapping factors explain its purpose strive for. oc- the perfection they themselves Second, the mystery surrounding the library, — the your desk and room, the sphere of your school, and phenomenon may be called identification through the reason for the act rhetorical of the act. For example, in writing a paper for your communication theory course you, the agent, gather information and present it to the instructor (the act). Your course, your university, your charismatic person simultaneously tends to hide the division that exists. This or messages. Fifth, the goal, the hoped-for effect or result currence. First, individuals perceive in others an embodiment of is strategies, scene; the format agency. mystification In striving for happiness, each person adopts ing, in of identification. Strategies are analogous to Kuhn’s concept of plans of action. You have all a more social atmo- constitute the of the paper itself is the variety of purposes, includ- likelihood, getting a good grade. certain strategies They Criticism of Although many specific objections have been raised against symbolic interactionism, for the most part they can be combined into three major criticisms 32 First, symbolic interac- are the tactics for living, the plans for communicating with another. Burke does not attempt to outline all available strategies for relating to others, because the indefinitely long. makes One of would be list communi- cators use to increase their identification. a For reviews of specific objections to symbolic interactionism, see Jerome G. Manis and Bernard N. Meltzer, “Appraisals of Symbolic Interactionism,” in Manis and Meltzer, Symbolic Interaction, pt. IV, pp. 393-440; Bernard N. Meltzer, John Petras, and Larry Reynolds, Symbolic Interactionism: Genesis, Varieties, and Criticism (London: Routledge and Kegan Paul, 1975). 32. (communica- tive) act is to assess the strategies the provides . the suggestions he for analyzing a rhetorical Burke full-blown methodology for study- ing rhetorical acts. His method, in fact, Symbolic Interactionism has 58 SYMBOLIC INTERACTIONISM AND RULES THEORY tionism is said to be nonempirical. That is, one cannot readily translate its concepts into observable, researchable units. Second, it is said to be overly restrictive in the variables it takes into account. Critics have charged that crucial psychological variables societal variables on the it theses, of the movement, points out that interactionists do engage in research, but that their obser- ignores it vations do not cast light uses concepts in an inexact, inconsistent way. Let us look at each of these objections more closely. In so, we will relate the objections to the categories for evaluating theory outlined in The emerged out of a need for interactionists to do “serious sociological work.” 34 The second major criticism is that interactionism has either ignored or downplayed im- 2. major criticism of symbolic interactionism has broad implications. Despite Blumer’s protestations to the contrary, critics first portant explanation variables. Critics say maintain that in actual practice the researcher know what to look for in observing it leaves out the emotions of the individual on one end and societal organization on the other. These arguments as a whole make clear that does not interactionist concepts in real life. This problem seems to stem from the vague, intuitive claims of early interactionists. What is mind, for example? How can this concept be observed? We on the theory’s key making revision and elaboration Couch believes this circumstance need not be so, and the “new” Iowa tradition has concepts, difficult. doing Chapter research has been produced. little have been unable to elaborate and expand their thinking. Carl Couch, a leading proponent (and house critic) on one end and other. Third, and Interactionist scholars thus interactionism cover already have noted Kuhn’s failure to oper- is overly restrictive in scope. much of social as interactionism life as it must take structures as well as individual feelings. ationalize interactionist concepts problem ing up it without givassumptions about the process nature of behavior. Most basically, this criticism its casts To pretends to do, into account social The is not one merely of scope, of course; doubt on the validity of the tradition as well. questions the appropriateness of symbolic interactionism to lead to a more complete under- deal with social organization standing of everyday behavior. As such, for interactionists. Social organization or struc- believe more appropriately to be it losophy, which events, but may social phi- little structure John activities: ing] . . . . . eral research power. 35 . descriptive case studies and interac- Somewhat tionism. 33 As interactionism It of has been done in the is not thought to be adequately bolic interactionism, although they claim that has generated few testable hypo34. in work now generally agree that feelings have been neglected by sym- this alleged failure, John Lofland, “Interactionist Imagery and Analytic Interruptus, less symbolic area of emotions. Interactionists a result heuristic. and since about 1965 sevprograms have begun to look at tionist perspective, [making] slightly more [and connect- imagery, normally a matter of power, and have been loath to admit to power inequality. However, the concept of power can be investigated from an interac- “doctrinaire reiteration of the master’s teachings, specific the general is interactionists Lofland’s criticism is especially biting. He claims that interactionists participate in three main of symbolic interactionism to is a major concern removes individual prerogative, a highly valued idea in old-style interactionism. Social concrete con- for explaining the events. failure ture guide our thinking about which provides 33. ceptualization The critics Human Tamotsu Shibutani (Englewood Couch, “Symbolic Interaction.” of work is discussed in Peter M. Hall, “Structuring Symbolic Interaction: Communication and Power,” 35. This line Nature and Collective Behavior, ed. Communication Yearbook 4, ed. Dan Nimmo (New Brunswick, N.J.: Transaction Books, 1980), pp. 49-60. Cliffs, N.J.: Prentice-Hall, in 1970), p. 37. 59 . GENERAL THEORIES interactionism not antithetical to the study of is polite or The dom, of symbolic inconcepts are not used is consistently. As self, role, that its a result such concepts as and others are vague. This is a I, me, confederation of ideas that are recognizable . is a is not a unified theory. Rather, general framework, and as a valid criticism we have seen, not a fair picture Interactionists of early interactionism, it proach it main still body of research and is a loose evolving as a As a theory. is not possible. Let us look briefly at the theoretical branches of the rules approach, emphasizing two recent rules theories of communication. it is of the movement today. have not been daunted by The movement their critics. ran- result discussing rules theory as a unified ap- has different versions. Therefore, although this is at the result Unfortunately the rules approach prob- lem of both internal validity and parsimony 36 However, we must keep in mind that symbolic interactionism to insult, to greet, and so forth. If would be chaos rather than communication .” 37 third general criticism teractionism how every symbol user manipulated symbols feeling or affect. Despite its diversity the rules approach held together by certain tions 38 has adjusted and matured. It is too early to tell what will happen to symbolic interactionism, although it appears is common assump- Although these are not . identical to the premises of symbolic interactionism, they interactionism 36. with and add to the latter framework. The action principle, which is central to symbolic interactionist thought, generally is considered to be a primary assumption of the rules approach. Although some human activity is mechanical and determined by uncontrollable factors, the most important behaviors are considered to be actively initiated by the individual. People are thought to choose courses of action within situations to accomplish their intentions. You recall that this action principle is opposed to the motion principle, in which human behavior is seen as determined by prior causes. Rules theorists agree that the motion principle, which gives rise to laws of nature, is appropriate in the science of teractionism objects but that are consistent grand movement will be replaced by a of middle-range theories that provide that the series concrete explanations of social behavior consistent with the general tenets of old-line sym- bolic interactionism. Rules theory ise for filling this shows prom- gap. The Rules Approach to Communication of ideas, two different strands of thought sometimes are found to be consistent In the history with one another, and they converge to the benefit of both. Each tradition enhances or improves the other. Such is the case with symbolic and rules theory. Symbolic inus of the importance of inmeaning in human experience; the rules approach gives form and substance to this interaction-meaning cycle. Susan Shimanoff tells teraction and exist, two or 38. they have rules for individual symbols, but they must also agree on such mattake turns at speaking, how The similarities and differences criticism, see the analysis among Donald P. rules theories Cushman, “The Communication: Varieties, Limitations, and Potentials” (Paper presented at the Speech Communication Associa- tion, to be New York City, 1980); Stuart munication Rules from As an example of this reason the rule- this Rules Perspective as a Theoretical Basis for the Study of Human Communication,” Communication Quarterly 25 (1977), 30-45; W. Barnett Pearce, “Rules Theories of NoFonTymust how to For are discussed in such sources as m ore interacting in- dividu als must share rules for using symbols ters as not useful for understand- life. Susan B. Shimanoff, Communication Rules: Theory and Research (Beverly Hills: Sage Publications, 1980), pp. 31-32. “In order for communication to or continue, it is social 37. discusses the importance of rules in symbolic interaction: human ing of the J. Sigman, a Social Perspective,” “On Com- Human ComCommu- munication Research 7 (1980), 37-51; and Shimanoff, concept of self in Meltzer, Petras, and Reynolds, pp. 94-95. nication Rules. 60 . SYMBOLIC INTER ACTIONISM AND RULES THEORY governed approach to communication theory often is set in opposition to the law-governed approach. of rules. The native speaker acquires these life, based on maturation of innate rules early in The generative grammar school, an important aspect of communication theory, Chapter 5. A second major rules application is that of the previously mentioned philosophers of the action tradition. These scholars relate actions to abilities. Another basic assumption of most theories basis is that social behavior is rules structured and will be discussed in organized. Certain behaviors recur in similar situations. Social interaction patterns, however, vary in different settings. Although these patterns are organized, they are not universal, but highly contextual. Thus most rules theories consider the relationship between the way people act and the culture and situation wherein intentions via rules; people accomplish objectives by applying particular rules. Thus rules are seen as practical tools for accomplishing intentions. the action occurs. In fact, rules scholars criticize One branch of this tradition nary language philosophy, which is is ordi- responsible law-governed theories precisely because of their for the original failure to reflect This tradition deals with the ways people create speech to fulfill intentions (see Chapter 6) such variation. Rules are considered to be the mechanism through which social action is organized. The A structure of interaction can be understood in rules approach began in others, by Wittgenstein, Austin, is discussed in greater depth in Approaches to Rules The rules perspective includes Rule-following Approach. view rules are Pearce calls such rules weak laws because they are cast in the form of a statement of what is expected to happen under certain circumstances. This approach is highly descriptive but does not explain why particular patterns recur. one of the important Here the concept of grammatical rules has been developed to explain how speakers can generate any novel sentence from minimal exposure to the language. Sentences are generated and understood on the Cushman, “The Rules In this seen simply as observed behavioral regularities. A recurring pattern is said to happen “as a rule.” find lists main groups of rule conceptions.42 applications of rules theories. Shimanoff, Communication Rules, pp. 33-34, of the seminal figures in these fields. several defi- nitions. 41 Barnett Pearce outlines three three major research and theory programs, described in the following paragraphs. 40 40. become more behaviorally adaptive. and Chapter in depth would be impossible. Fortunately, Donald Cushman has distilled this work into 39. childhood and that an individual’s ability to grasp and use rules becomes increasingly com- Searle, Other fields of study have taken up the banner, including speech communication, anthropology, linguistics, psychology, and sociology. 39 Discussing all of these applications we in cognitive devel- plex, allowing the individual to 6. In linguistics is believe that rules are learned gradually during the field of philosophy in what has become known as ordinary language philosophy. That tradition, spirited third rules tradition rules. opment. Philosophers and psychologists of this tradition study how people conceptualize and solve problems and how their behavior is affected by cognitive processes. These scholars terms of the rules governing it. Rules affect the options available in a given situation. Because rules are thought to be contextual, they explain why people behave similarly in similar situations but differently in different situations. The work on communication 41 . See Shimanoff, Communication Rules, for comparison of various definitions as well as a discussion of the differences between rules and other similar concepts such as norm. some 42. Pearce, “Rules Theories.” See also Joan Perspective.” Systematic Study (The 61 Hague: Mouton, Ganz, Rules: 1971). A GENERAL THEORIES It broader rule-using approach aims only to catalogue predictable behaviors. Linguistic theories typically are of this type, mar with a high degree of regularity. Of all this group least supports and other heterogeneous rule situations. Although these approaches may appear to compete for explaining actions, they need not be considered such. Various types of human the basic assumptions of the rules tradition. Here better suited for ter, approaches to rules, Rule-governed Approach. is understanding the preparation of a speech, the organization of a meeting, the writing of a let- suggesting that speakers follow rules of gram- action can be classified properly under each cat- rules are beliefs rule-governed approach attempts to uncover The problem for the theorist is to decide what level is most appropriately defined as communication “rules,” and on this matter people’s intentions and to define the socially there about what should or should not be done to achieve an objective in a given situation. The egory. ture their intentions. verbally. To would be the desired conversation we have discussed the general na- of rules. how will look at helps us understand the nature of rules in The second approach. the rules differ. actor potentially rules for is confronted with how which . more rules to follow (or treatment of rules. Shimanoff surveyed the properly, to use) in carrying out an intention. erature As that incorporates a rules critic the individual reflects on rules, on rules following some and discarding others. This ap- thinking in the proach thereby provides in what choices a a basis for person makes evaluating in a social situa- tion and even allows for people to create options. It a new how and rules to plan an interaction strategy. In homogeneous situation such as break- highly ing into a cocktail party conversation, the rules are way field. as to She added to make it rules theory particularly applica- communication. Her work is integrative in that it critically considers and analyzes the divergent literature. Shimanoff does not, indeed could never, incorporate all notions of rules, but she explains her chosen position by comparing and contrasting it with others. Finally, she takes a first step toward developing a rules theory of communication that has the po- well a person sorts through the matrix of objectives such a lit- and formulated an overview to be the best what she judges ble to also enables the theorist to discuss communication competence by observing useful for seeing rules operate in ShimanofF s Integrative Approach Susan Shimanoff s work is presented for several reasons 43 It is perhaps the most recent general of accomplishing various intentions. The actor chooses is ongoing interaction. Later in the chapter we will examine some of the ways these theories are similar and ways they The a variety it theory, that of Barnett This view is consistent with the rule-governed approach except that it situation. We com- munication, providing an excellent conceptual Rule-using Approach. social the rules approach Susan Shimanoff’s work because Pearce and Vernon Cronen, more complex some recent from one can be applied to communication theory. and have the power to follow or to violate them. It also assumes that people usually act consciously, intentionally, and rationally. posits a Two are rather different another, will illustrate could prevent know agreement. rules approach, let us turn to which theories, from occurring. This approach presumes that people that of the specific applications interrupt or to break in too quickly a rules violation that is little Now in which people accomplish For example, if a person wishes to engage another person in conversation at a party and the other person is talking with someone else, one would approach the two individuals and not speak until recognized non- ways acceptable few and simple. Here the rule-governed suffices to explain what occurs. The approach 43. Shimanoff, Communication Rules. 62 . SYMBOLIC INTERACTIONISM AND RULES THEORY tential of clarifying and unifying the thought in Shimanoff defines a what behavior apply in is obligated, preferred, or prohibited in certain contexts.” 44 This definition incorporates the many The “apology their control; they rule” just mentioned applies in and situations is it is therefore broad in contextual in that when one person it applies some you can probably think of situwhich apologizing is uncalled for and bothers another in fact, ations in potentially annoying. Rules specify appropriate behavior. tell what us to do or not do. how we must cannot follow an impossible rule. This statement does not imply that people are is Still, way. In One Behavior all scope. only are fulfilled. For example, you are not following a rule by running out of a burning building. On the other hand, rules must deal with the indifferent to rules. almost (4) choice in a course of action, then a “rule” is not being followed. The laws of nature are not “fol- possible. different occurrences; pobe broad enough to cover Hence, rules can be under- may situations. stood in terms of their range or generalizability. Rules must be followable. This criterion implies that actors can choose whether to follow or to violate a rule. If a person has no lowed” by the objects under two at least tentially they following four elements. (1) a position in the middle. Since rules are a vehicle for understanding organized, recurring behavior, they must rule as “a followable prescription that indicates Shimanoff takes situations. all this area. think, They do not They specify or interpret. For a rule may require an apology, but it cannot require the apologizer to feel sorry. In order to identify a rule properly, an obfeel, example, greatly affected by rules, as the following criterion indicates. (By the way, you perhaps have noticed that Shimanoff uses the word follow differently obligated, from Pearce’s rule-following category de- The server must be able to specify its context and its or prohibited behavior. preferred, must be rule also form that followable. Shimanoff stated in a scribed earlier.) demonstrates that By this Shimanoff of action is called for and that the failure to abide by the rule can be criticized. Prescriptions may state what is obligated, preferred, or prohibited, but in any case negative evaluation may ensue if the rule is not followed. Thus rules cannot “prescribe” per- believes that the if-then format allows the ob- (2) means Rules are prescriptive. that a course ponents: If should). If mitted behaviors because no criticism would if such behaviors were not chosen. For example, while telling a joke is permissible in certain situations, joke telling is not prescribed and therefore not rule following. One is obligated to apologize, however, after accidentally bumping another person, and may . by specifying four com- then one (must, must not, ., . . . The is if clause specifies the nature not the owner or guest of the owner, is prohibited from being in the land marked off by this sign. one is playing bridge and one must bid first. If If one is the violation of wearing a hat and is is the dealer, then entering a church, then one must remove his/her hat. result in criticism. If one Rules are contextual Shimanoff points out that theories vary in the degree of contextuality is playing chess and one’s chess pieces are white, then one must 45. Some Ibid., p. 79. move his/her piece first. 45 Shimanoff adapted these rule examples from Gidon Gottlieb, Logic of Choice: An Investigation of the Concepts of Rule and Rationality (New York: Macmillan, 1968), p. 11; Max Black, Models and Metaphors (Ithaca: Cor- theories state that rules are idiosyncratic, that each situation has its set of rules. Others seek broad, almost universal, rules that cover nearly 44. one then one (3) believed to exist in a rules situation. . of the prescription and the prescribed behavior. Consider the following examples: follow this rule is it server to identify rules University Press, 1962), p. 106; Raymond D. Gumb, Rule-Governed Linguistic Behavior (Paris: Mouton, 1972), p. nell Ibid., p. 57. 21; 63 and Ganz, Rules, p. 13. GENERAL THEORIES From Communication Rules: Theory and Research, by permission of the publisher. by Susan B. Shimanoff. Copyright Figure 4.1. Decision tree to identify rules from 64 © 1980 by Sage Publications. Reprinted observed behavior. SYMBOLIC INTERACTIONISM AND RULES THEORY Notice that Shimanoffs use of if-then does not imply causal reasoning in which the antecedent of these are causes a consequent. Rather, the antecedent deviating. Let us look at these in pairs, begin- serves as the context in which the ning toward the center of the figure. Rule- To tifies rule applies. verify a rules theory, a researcher must be Shimanoffs model rule is Some explicit. nounced, for instance, on rule book. Most rules are must be from inferred ticipants. Such a sign or in a (1) Is game though, and in terms of the behavior controllable (to assess the degree to which the underlying followable)? the behavior criticizable (to assess naively opens a door for a woman. He is unaware that he has followed a rule, but the woman might respond by saying, “What a gentleman you are.” This behavior is rule fulfilling because the boy didn’t know he was following a prescription. On the other hand, had the boy failed to open the door in ignorance of the rule (rule-ignorant behavior), the woman might whisper to the boy’s parents, “You need to teach your child good manners.” the behavior of the par- Behavior can be examined three criteria: (2) Is whether the underlying rule is behavior contextual tive)? (3) Is the whether people behave differently rule behaviors involve prevalent rule in who rules are an- implicit, rule-ignorant knowing the rule. For example, some situations is for men to open doors for women. Imagine a little boy a rules are easy to see in operation because they are conforming, and four are rule acting without accu- rate, one will be able to apply her rule criteria to any episode and thereby identify the rules in force. rule and fulfilling able to observe rules in operation in everyday interaction. If eight types of rule-related behavior. Four is prescrip(to assess in various situations)? Applying these easy. criteria is not necessarily For example, consider how difficult it to determine whether an action is would be criticized. We know to evaluation that rule behavior is open and that compliance may be is punished. Overt sanc- praised while violation tions are easiest to identify in observing interactions because they involve verbal or nonverbal rewards and punishments. Sanctions may range from simple frowns or smiles to a stern lecture about rule violation. In addition to noting sanctions, observers can also look for repairs. Here a rule violator will that a rule behave in a way that reveals was violated. Apologizing is an example. In the absence of overt sanctions or repairs, the observer can ask participants whether a given behavior was appropriate or not. Figure 4.1 is a decision tree illustrating how to identify rules is = = noncontrollable, noncriticizable, or = d = noncontextual rule-governed, but no knowledge of the rule tacit knowledge of a rule conscious knowledge of a rule interesting contri- e her model of rule behavior, which indicates the a b c from observed behavior. 46 One of Shimanoff s most butions Key: = conscious knowledge, plus evaluation of a rule ways people relate to rules in actual interaction (Figure 4. 2) 47 This model iden46. Shimanoff, Communication Rules, pp. 106-7. From Communication Rules: Theory and Research, by Susan B. Shimanoff. Copyright© 1980 by Sage Publications. Reprinted by permission of the publisher. 47. Ibid., p. 127. Figure 4.2. 65 Rule-related behavior. GENERAL THEORIES Conforming or error behaviors definitely are governed by rules, although the rule is not noted consciously by the individual at the time it integrates work from symbolic in4), system theory (Chapter speech acts (Chapter 6), and relational communication (Chapter 9). This theory is interesting not only because it integrates and theory, teractionism (Chapter 3), followed or not followed. Men often unconsciously open doors for women, and frequently they fail to do so, not out of ignorance it is but because they are not thinking about it builds on a great deal work but because at the moment. The first instance is an example of conforming behavior, the second of error it is of previous theoretical broadly applicable. It is one of the few general theories of communication per se. behavior. Rule-following behavior is conscious compli- Communication ance with the rule. To pursue our example, rule following would apply when a man intentionally steps ahead of a woman and opens a door. Rule violation, on the other hand, is may the door for his not man may feel like opening interaction companion. it. first. open a does not espouse feminist may make point to open the door be- a mon on reflection, he believes that the rule is a good one. The primary value of Shimanoff s treatment the clear, operational definition of rule that provides. The following treatment of rules logic of interactional rules the rules. Any positive rules coordination. Importance of Context. Communication systems must be viewed holistically. Individuals’ meanings are part of a hierarchy of meanings. (See it is from Shimanoff s in that it does not on the definition of rule but on how different center what find salient. Initially, at outcome of communication, including mutual understanding, depends first and foremost on cause, is precisely may rules governing the behavior of participants. In other words, participants must develop a com- door A man who values is communication events are uncoordinated, and the primary task in all communication is to achieve and later sustain some form of coordination. Such coordination may or may not include mutual understanding (shared meaning), but it must minimally involve a meshing of the The women’s move- take the initiative to individual least, ment questions many social rules, such as men’s opening doors. A feminist male may consciously choose not to open the door for a woman, precisely because of his evaluation of what the gesture implies about sex roles. Or a woman may knowing other participants Reflective behavior involves positive reflection or negative reflection (following or violating) of a rule after evaluating An interactional rules. intentional violation of the rule. For instance, a be tired and simply as Coordination. of many systems, each with its own set of Over time individuals internalize some of these rules and draw on them to guide their actions. The basic problem of communication is that no two individuals enter an part Chapter 3 for the concept of hierarchy.) In other words, the person is a whole entity but is part of a larger context as well. Pearce and Cronen individuals use rules in communication. envision a rather complex hierarchy of meaning Coordinated Management of Meaning The theory of the coordinated management of meaning, developed by W. Barnett Pearce, Vernon Cronen, and during the 1970s as communication. 48 48. a emerged comprehensive theory of A meaning-centered rules dinated Management of Meaning,” in Comparative Human Communication Theory, ed. Frank E. X. Dance (New York: Harper & Row, 1982); W. Barnett Pearce, “The Coordinated Management of Meaning: A Rules Based Theory of their colleagues, Interpersonal Communication,” in Explorations in Interper- sonal Communication, ed. Gerald R. Miller (Beverly Hills: Sage Publications, 1976), pp. 17-36; Vernon Cronen, W. Barnett Pearce, and Linda Harris, “The Logic of the Coordinated Management of Meaning,” Communication Education 28 (1979), 22-38. W. Barnett Pearce and Vernon Cronen, Communication (New York: Praeger, 1980); Vernon Cronen, W. Barnett Pearce, and Linda Harris, “The CoorAction and Meaning 66 SYMBOLIC INTER ACTIONISM AND RULES THEORY contexts within which communication takes The is the message itself, the and paralinguistic elements of content level The nature of this hierarchy varies from system to system. Pearce and Cronen’s depic- actual linguistic tion (Figure 4.3) shows the hierarchy as a hypothesized, idealized form. 49 One chooses signed to fulfill a theory covered in Chapter place. the utterance. on the basis of the perceived conof the interaction. The communicator may use any level of abstraction as the context of the is Speech acts are messages desimple intention. (Speech act rules partially the defined requirements text episode moment; how one behaves depends the context in operation. levels presented in greatly by we on will discuss an example. 49. Pearce and Cronen, Communication , of the 6.) Contracts are relationship. An sequence of speech acts perceived participants to constitute a unit of interaction. Life-scripts are sets of episodes taken by the individual to be consistent with selfconcept. Finally, archetypes are accepted images of how things are, a person’s basic logic of Let us explain the Figure 4.3, then a is the universe. p. 131. Consider, for example, a marriage in which the Archetypes husband and wife tend conflict. On to withdraw from the content level an observer would concentrate on the actual utterances of husband and wife, looking closely at the at the grammatical At the speech act level the observer the types of words used and structure. would Life-scripts assess the interactional rules, perhaps when the wife objected or disagreed with the husband, he would withdraw or fail to respond. At the level of contracts, one discovering that might note that the couple maintained an implicit agreement not to argue with each other. Episodes we would say that this agreement was requirement or “contract” of the relationship. In a sense a In analyzing episodes one would look for repet- behavior patterns. The observer might note that the husband’s withdrawing in the face itive Contracts of disagreement occurs over and over, and at a higher level one might infer that conflictavoidance is an important part of his life-script. Finally, as an archetype the couple might believe that harmony and happiness should pervade all human relationships. Speech acts Rules. Content theory and and regulative rules make them from speech of their a central part In speech act theory constitutive what a given act should be taken to “count as”; regulative rules refer to how one rules define © A constitutive act treatment. From Communication Action and Meaning, by W. Barnett Pearce and Vernon Cronen. Copyright 1980 by Praeger Publishers. Reprinted by permission of the publisher. Figure 4.3. Pearce and Cronen borrow the concept of should behave within a given context. These two kinds of rules are intimately related. Pearce and Cronen take a major step in the develop- model of hierarchically organized meanings. 67 GENERAL THEORIES ment of they are how how by demonstrating communication and rules theory rules are involved in managed by Regulative rule: (Notice that this approach to rules is the husband wife insults, substanepisode of playful banter from Shimanoffs treatment.) tially different When should cry. participants in interaction. [husband demonstrate the operation of rules, Pearce and Cronen developed a set of symbols denoting rule structures. Three are In order to insults wife’s family > wife playfully hits husband] fun important here: In play it is husband = in the context of Wife should respond to husband’s Regulative rule: | by “hitting” him. insult > = counts considered fun for the wife to “hit” the he insults her family. after as Constitutive rule: = The first if, This sequence of events is to be taken as fun. then symbol denotes the context of an These examples are simple, but complex acts be diagramed in the same fashion. Wheresimple examples are used here for clarity, most significant interactions are far more complex. Notice also that the bracketing of context is important for determining the rules in may act, as the second applies to a constitutive rule, and the third is used in regard to a regulative rule. Con- sider the following examples: operation. One’s P la Y > insult rule system provides a logical force for acting, a pressure to act in certain ways. joke One | behaves in In the context of play, an insult is a manner sumptions about the rules in force. Two types of logical force operate in communication. to be taken as a joke. Prefigurative force Constitutive rule: An > is an antecedent-to-act link- age in which the individual insult counts as a joke. ways is behave in certain tions. Practical logical force certain way “pressured” to because of prior condi- is an act-toconsequent linkage in which one behaves in a conflict insult consistent with one’s as- put-down ' | in order to achieve a future condiany communication encounter an indisystem for that context presents a of “oughts” that guide interpretations, tion. In In the context of conflict, an insult is to be taken as a vidual’s rule put-down. series Constitutive rule: An responses, and actions. insult counts as a put-down, (Do not become con- fused by the use of terms here; prefigurative and practical force are similar to the concepts husband insults wife’s family of causal and practical force referred to in Chapter episode of an argument wife cries 2, | but logical force here is a broader concept than that referred to in the earlier chapter.) When Coordinated Management. arguing, the wife typically cries after the husband insults her family. sion 68 is The foregoing discus- preliminary to the heart of coordinated . SYMBOLIC INTERACTIONISM AND RULES THEORY management rules until people actually achieved. theory, which deals with how mesh their rules. The key problem of coordination is this: Each individual must use his or her rules to guide interpretation of and response to the actions of others, but within time a short tem must develop so a new interpersonal sys- Constitutive rule: If stem mand successful. make say, “Is this ball I yours?” in a My act, taken as anger, will elicit crying and apologies. I in turn will become less angry and will give back the ball. how enmeshment occurs. 50 perhaps overly simple in order to the process clear.) Person A acts in a is way is fashion, this act will be taken as anger, a defor a confession, and a threat. Regulative rule: Figure 4.4 shows (The model of coordination level adult begins with the following rule structure: that the interactions are some point participants must become enmeshed for communication to be coordinated. At particular some Consider the simple example of a child trying to get back a ball after accidentally having thrown it through a neighbor’s window. 51 The The in response to prior conditions child, on the other hand, has a very differ- ent set of rules: (prefigurative force) or to achieve a consequent The (practical force). act is by Person B, who uses Constitutive rule: When the neighbor says, “Is this your ball?” he is asking for information. My statement, “Give it back,” will be taken as a request. taken as a message constitutive rules to interpret the message. Person A’s act thus be- tion, is.” by Neighbor: “Is consequent event t act] Action and Meaning, Publishers. Reprinted act] . . .* 3 consequent -) * Solid arrows denote constitutive rules. Broken arrows denote the coorientational state of message to the anticipated consequent event in anticipation of the next act. From Communication 3 message I . [antecedent event t [antecedent event (time sequence back.” in Grade-School Children from Different Social Class Backgrounds,” Genetic Psychology Monographs 87 (1973), 33-104. message Person B: ball?” it Communication Ibid., p. 174. 3 your Give The example is adapted from Pearce and Cronen, Communication, pp. 162-64. Originally it was developed in K. T. Alvy, “The Development of Listener Adapted represent the consequent intended, and they will readjust their act] this it is. 51. son’s behavior does not [antecedent event ID will will say, Child: “Yes, operating with substantially different rule structures, they quickly will discover that one per- Person A: I Now observe the actual conversation: A thus becomes a consequent to A’s initial act. A will then compare B’s act with the intended consequent. If A and B are 50. I back. the standpoint of A’s constitutive rules. B’s act as interpreted When the neighbor requests informarespond with a factual answer, “Yes, it “Give it back,” and he will give it Regulative rule: comes an antecedent event to which Person B responds, based on B’s regulative rules. B’s act is in turn interpreted by A as a message from comparing the subsequent by W. Barnett Pearce and Vernon Cronen. Copyright by permission of the publisher. Figure 4.4. Enmeshment process 69 © 1980 by Praeger GENERAL THEORIES Obviously, the neighbor did not get the expected response and will interpret the child’s remark control, and negative valence. In the successful would have felt that the interacwas coherent. The neighbor would have good deal of control, while the child probably would have felt little control. Both parties probably would have felt positive valence. version both impudence rather than the simple request intended by the child. At this point the as tion felt a is not coordinated. Now the neighbor must adjust the regulative rule by trying a interaction different approach: Neighbor: “Give Do you know it back? This ball hit ture to provide options, he successful Communication Competence. The foregoing window. analysis If the child has a sufficiently ordination my that?” complex may People not be achieved. Consider: outcome (coordination I mean didn’t to as achieved): do it, and I Any communication which the degree to ball.” The first is coherence or make is within and cocreating or are delineated. Minimal competence, the inability to comanage meanings with others in a system within which one must exist, can result from an overly simple episode can be evalu- participants move the various systems s/he comanaging .” 52 Three levels of competence ated in terms of three variables related to coor- dinated management. “the person’s ability to among will be careful in the future.” Neighbor: “Okay. Here’s your can choose facilely tions in interpreting events Neighbor: “Get out of my yard, kid.” Child: “I’m sorry. communicator. in effectiveness as a who among rule opand acting within situations will achieve coordination of meaning more often than people who have a more restricted repertoire of rule systems. Pearce and Cronen define this communication competence If not, co- Unsatisfactory outcome (no enmeshment): Child: “Give my ball back. I’ll tell daddy if you don’t give it back.” Successful shows clearly that an individual’s manage a variety of rule systems is important adjust so that a outcome can be achieved. may ability to rule struc- cognitive system that has restrictive constitu- sense of can also result from inability to the sequence of events in the interaction. Lack tive rules. of coherence occurs when one or more participants feel they do not know what is going on. Lack of coherence is the epitome of the lack of adapt one’s rules to context or from inability to take other individuals’ rule systems into coordination. The second the degree to which one or more feel make able to variable, control, account. competence enables a person to system at hand, Optimal competence is the ability to understand the boundaries, strengths, and weaknesses of a system in comparison with other systems and to actively choose whether to become enmeshed in a particular system or to remain outside. An optimally competent person can enter or exit a system at will. Satisfactory is communicate participants a sufficiently they may choices that affect the se- complex select rules still In other situations rule structure so that and affect the course of the maintaining coordination. one or more participants (even all participants) may feel highly coordinated but limited or programmed, such that they have little effect on the outcome. The third variable Criticism of the Rules and the child. In the unsuccessful version would have felt Approach Criticism of rules theory typically has centered valence or the degree to which partichappy with the interaction. Consider the two versions of the example of the neighbor is around two conceptual coherence and explanatory power. Let us consider each of ipants are participants effectively in the usually achieving coordination with others. quence of acts in the interaction. In some situations one or more participants are able to enact encounter while It issues: these in turn: both low coherence, low 52. Pearce 70 and Cronen, Communication , p. 187. SYMBOLIC INTERACTIONISM AND RULES THEORY First, is rules theory conceptually coherent? Berger’s view The answer to this question is a resounding no. Even its adherents admit that the rules tradition lacks unity objection in strong terms: terrain covered whole is, The of chaotic. At the least, it covered able, approaches cannot be explanafail to develop generic tory as long as they behavior without indicating any form of neces- To identify the rules in operation within a particular conprinciples that cut across contexts. is Rule-governed approaches explain in terms of practical necessity, although their genis somewhat limited. Pearce believes that the rule-using approach, while presently limsity. not sufficient to explain communication erality some point one must go beyond the description of ‘what the rules are’ and ask why some rules are selected over others [and] what social forces produced the kinds of conventions and appropriate modes of behavior we now observe.” 54 . . Human Communication: 54. a ited, has the highest potential for explanatory power in terms of both practical and logical . 53. Jesse Delia, “Alternative Perspectives for the nication Quarterly necessary. generality. Barnett Pearce discusses rules approach in terms of these criteria. 56 Rulefollowing approaches tend not to be explanatory because they merely describe recurring are rules theories sufficiently explanatory? Critics generally be- processes. Berger believes that “at is believes critic Shimanoff disagree on the of generality necessary for adequate explanation. We must also keep in mind that different rules theories possess different levels of explanatory power. Recall from Chapter 2 that explanation is made possible by principles of necessity and approach. For them rules apply not only to overt behavior but to internal meanings as well. text not whether what kind of explanation the level place constitutive rules at a central place in their lieve that rules is rules theories are explanatory but Clearly, Berger and of coherence. Shimanoff is firm in stating must deal with overt behavior. She believes that the concept should not apply to interpretation. Pearce and Cronen, however, that a rule is, and perhaps not possible, rules theories The appropriate question here illustrate this lack The second question rules explanations, in contrast to laws should seek reason-giving explanations that cover relatively broad classes of situations, even to the point of allowing for prediction. 55 theoretical substance. 53 we have most explanations can be generalized. While developing universal explanations would not be desir- clear that there theories rules advocates do not go along with argument, of course. Shimanoff points out that Behaviors are explained in terms of their practical impact on creating desired outcomes. Such rule construct, The two this explanations, are teleological or reason giving. “rules” territory taken as a in fact, little short is Most is no unifying conception of the of the domain of phenomena to which the construct has reference, of whether rules have generative power in producing and directing behavior, ... or of the proper way to give an account of some domain of phenomena utilizing the construct. The idea of “rules” as a general construct represents only a diffuse notion devoid of specific is law approach in disguise. by notions of “rules,” then, is broad, grossly diffuse, and imprecisely articulated. And the real problem for any position purporting to be a general rules perspective is that the meaning of “rule” does not remain constant either within or across these domains. that a covering tempts of rules theorists to provide generic principles are nothing more than covering laws and coherence. Jesse Delia verbalizes this The is ultimately necessary to provide explanation; at- Critique and Response,” necessity and generality. Shimanoff s theory Study of heuristic Commu- is Charles R. Berger, “The Covering Law basically descriptive, As such it is highly methodological standpoint. It rules in a social situation. 25 (1977), 54. Theoretical Basis for the Study of is providing detailed guidelines for identifying from a also strong in providing conceptual guidance Perspective as Human Communica- 55. tion,” Communication Quarterly 25 (1977), p. 12. Shimanoff, Communication Rules, pp. 217-34. 56. Pearce, 71 “Rules Theories.” GENERAL THEORIES understanding rules. Shimanoffs theory, however, does not present much explanation. in Little basis exists for ular kinds understanding shows meaning periential Shimanoff’s framework have to see what theorists do with is Of course, shared largely a function of constitutive rules, but and meaning agreement on also has an ex- referential aspect as we shall see in Chapter 6. This theory could be strengthened by showing how other aspects of meaning enter potential for developing explanation, but shall explain coherence. itself to partic- of communication behavior occur in various situations. we why in the coordination process. Instead of assuming, Although Pearce and Cronen do not present firm guides for identifying rule behavior, their theory of coordinated management is a step standing always follows coordination, the theory could elaborate ways in which mutual understanding may sometimes prefigure coor- toward providing explanation of rule-using be- dination. it the future. as in this The theory appears to be quite heuristic way. The authors have demonstrated how can be tested with havior. it a variety What Do We Know about Communication of research methods. 57 This theory has potential for as Symbolic Interaction? The unifying idea behind this chapter is symbolic interaction. The term is chosen as an integrating concept because the theories of this domain all deal with ways people interact to stimulating a series of studies that could un- cover new dimensions of communication the process. The power of Pearce and Cronen’s theory results primarily from elaboration of the its operations by which coordination The is create social entities. Society requires social in- achieved. teraction. theory’s concepts help structure an ob- server’s perceptions of what is happening in will take issue with meaning. Although shared meaning is important, Pearce and Cronen believe that it is not communication and essence of social life is in the commu- of symbols. Interaction is both the precursor and the product of shared meaning, and shared meaning makes all aspects of society possible. In short, the work of this domain demonstrates that communication, above all else, is a symbolic, rule-governed Pearce and Cronen’s subordination of shared crucial for successful requires social order and The nity through the use a sufficiently complete set of hypotheses to enable the observer to predict the course or outcome of an interaction. no doubt also coming together of human beings not yet generated critics It shared meaning. any communication event. However, the theory has Some Pearce and Cronen do, that mutual under- activity. Two groups of theory are presented in this The first, symbolic interactionism, with the ways in which human life, both private and public, is affected by symbols and meaning. The second, rules theory, gives us a that chapter. coordination always precedes understanding. Their postulate that rules coordination is essen- deals for successful communication may well be but critics will point out that the degree and rapidity with which rules mesh may detial valid, means for understanding how social order is research re- among humans, who, unlike lower make choices. These two sets of theory demonstrate a ported by Pearce and Cronen indeed provides strong evidence that rules coordination is neces- handful of generalizations that have become so popular as to assume the status of truisms. First, maintained pend on the degree of shared meaning already established within the system. The animals, are able to sary for interaction coherence, but these studies symbolic interaction do not imply ciety. 57. Ten that coordination studies ranging widely in is sufficient method Pearce and Cronen, Communication, chap. by is the binding force of so- Second, symbolic interaction is vital to human development. The roles we take in society and the images we have of ourselves are are reported in 7. 72 SYMBOLIC INTERACTIONISM AND RULES THEORY shaped through interaction with other people. Third, people create their own worlds through shared also with system theory, stems from the general nature of the first two domains (Chap- the use of symbols and meanings. ters 3 to most of the Fundamental theories in this chapter is realities. Fourth, thinking is merely an extension of symbolic interaction with others. Fifth, social behavior is largely governed by rules that, unlike causative laws, are others. specific contexts; indeed, they often are, as guidelines for individual choice. is will see repeatedly to theories in this that they are abstract Admittedly, most of the theories of communication without postulating specific relationships within given situations. They have been grouped together because of this shared goal. Do not misinterpret however, that these general theories cannot be applied to Thinking, or internal conversation, is based on meanings learned through interaction with group 4). in these own The primary objection and two chapters are not discriminating, for they are designed to capture the general essence the belief that people are active builders of their throughout the text. you Evalua- tions of the specific symbolic interactionist and diverse in rules theories related to various and themes and con- Rules theorists do not even agree texts are presented in the appropriate chapters. a rule is; their definitions vary from extremely mechanistic to highly humanistic. Like general system theory, symbolic interactionism and rules theory are most valuable for their claims. on what Symbolic interactionism is sometimes vague and the researcher can never be sure, based on these theories, precisely what guiding our thinking about the nature of communication events rather than for directing our to observe in at- observations of specific finely tempting to verify claims. This criticism, 73 combed events. PART m THEMATIC THEORIES Chapter 5 Theories of Language and Nonverbal Coding Chapter 6 Theories of Meaning Chapter 7 Theories of Information and Information Processing Chapter 8 Theories of Persuasion CHAPTER Theories of Language and 5 Nonverbal Coding Essentially every theoretical approach to plies to all communication recognizes as a basic fact that communication takes place through the use of signs. Roughly, a sign is a stimulus that embodies a meaning beyond itself. Signs that elicit cially pertinent here. are sometimes Other signs are complex, evoking a rich variety of meanings and conceptions. Such signs, important to most of the known as signals. discussion in this chapter two broad areas. The first is human to theories in this chapter, are often referred to as interest symbols. 1 This chapter and the next are devoted to theories that attempt to describe and explain the role of symbols in communication. Our turies. is behavior that of social scientists divided into to linguistics field thus con- two large, overlapping branches. Historical linguistics is the study of how language changes over time and particular languages, how it has evolved into language groups in the world. Descriptive or nonverbal, elements of communication are also important. The second section of the chapter presents some and how ily linguistics is how book we will discuss primar- the twentieth-century theories of descriptive linguistics. The theories presented in this sec- tion address three significant sets (1) the study of they are structured they are used. (Several subbranches also exist.) In this prominent theories of nonverbal communication. The next chapter covers theories of meaning, a topic that is intimately intertwined with the subject matter of the present chapter. A casual reading of this chapter may leave the impression that it provides a complete picture of theory in language and nonverbal commu- How is language structured? of questions: What are the and relations within a sentence? language used? What mental or be- syntactical units (2) How is fine textbooks on language study. A John B. Carroll, The Study of Language (CamAt the University Press, 1953). More recent texts include Lois Bloom, Language Development: Form and Function in Emerging Grammars (Cambridge: M.I.T. Press, 1970); 2. No brief treatment could ever accomplish such a synthesis. Indeed, the areas of language and nonverbal communication consist nication. There are many classic is bridge: of specialties and subspecialties that have produced a copious quantity of research and theory. B. G. Blount, ed., Language, Culture, and Society: A Book Winthrop Publishing, 1974): Yuen Ren Chao, Language and Symbolic Systems (New York: Cambridge University Press, 1968); Phillip S. Dale, Lan- of Readings (Cambridge: issues within these fields are subtle, has captured the and the breadth of the large, cation, sometimes it and scholars for cen- The number of approaches primary element of most human communication. Although language is central to communi- The espe- fusingly broad. 2 Basically, linguistics has covers language, the certain nonlinguistic, it is Theories of Language Linguistics, the study of language, is one of the most important theoretical areas related to human communication. Language is so central programmed responses singular, of the chapters in the book, numerous, and always more complex While this qualification ap- Perspectives on Persuasion (Boston: guage Development: Structure and Function (Hinsdale, 111.: Dryden Press, 1972); Joseph A. DeVito, ed., Language: Concepts and Processes (Englewood Cliffs, N.J.: PrenticeHall, 1973); Paul Garvin, Method and Theory in Linguistics (New York: Humanities Press, 1970); Archibald Hill, ed., pp. 52-68. Linguistics than implied here. 1. This analysis taken from Wallace Fotheringham, Allyn and Bacon, 1966), 77 Today (New York: Basic Books, 1969). THEMATIC THEORIES — phemes are free they can stand alone as a in a sentence. Other morphemes are bound they must be combined with other morphemes to form words. On the syntax level words are combined according to rules to form havioral processes are involved in the production and reception of speech? (3) How is word lan- guage acquired? Classical Linguistics A revolution occurred in the study of language after the came mid-1950s. Many grammatical phrases, which are linked together into clauses and sentences. This structural approach provides an orderly classification of language parts. Actual observed segments are put language scholars grammar to conceptualize quite differ- ently than they had before. Still, many elements of the old grammar have lived on in various forms. Let us review the salient features of classical linguistics, tive grammar — of into classes given type (phoneme, mor- a pheme, and so forth), and these segments are sequenced in a sentence-building process. At each level of analysis is a finite set of classes (for then turn to the newer genera- in the next section. standard model of sentence structure was de- example, phonemes or morphemes) that can be observed in the native language. Sentences are always built up from the bottom of the hierar- veloped between 1930 and 1950 in the chy, so that succeeding levels depend on the Structural Linguistics. structural period. 3 What Numerous has become the classical formation of lower linguists contrib- uted to this model, but the most important include Leonard Bloomfield, Charles Fries, and scription Zellig Harris. 4 Basically, explain down question, far a sentence into While this model breaks component parts in levels. this approach provides a useful deof the structure of language, it fails to how people use language. This more central to Sounds and sound groups combine to form word roots and word parts, which in turn combine to form words and than language structure, has phrases. Phrases are put together to make clauses or sentences. Thus language can be analyzed on various levels, roughly correspond- knowledge of ing to sounds, words, and phrases. quired? hierarchical fashion. The the at- tention of psycholinguists since about 1950. know must possess an that people We intuitive language in order to produce meaningful, grammatical speech. What is of the nature of sounds involves the study of phonetics. An isolatable speech sound is a phone. Phones of a particular type are grouped into a sound family called phoneme, which is the basic building block of any language. Any dialect of a language contains a number of phonemes. These phonemes are combined according to rules to produce morphemes, the smallest meaningful linguistic unit. Some mor3. latter communication demanded How their this is it knowledge? How is it acThese important actualized? questions have been addressed by psycholin- first level The literature work is extensive, guists in the last three decades. that has emerged from this controversial, and highly technical. Grammar. The earliest attempt to people produced sentences was the approach. No serious language scholar of today uses this approach because it was proved invalid years ago. Reviewing it briefly is instructive, however, to illustrate the development of language theory and to provide a contrast with modern grammar theory. Basi- Finite-State explain how finite-state An excellent summary and critique of this period can be found inj. A. Fodor, T. G. Bever, and M. F. Garrett, The Psychology of Language: An Introduction to Psycholinguistics and Generative Grammar (New York: McGraw-Hill, 1974). 4. Leonard Bloomfield, Language (New York: Holt, Rinehart and Winston, 1933); Charles Fries, The Structure of (New York: Harcourt, Brace & World, 1952); Zellig Harris, Structural Linguistics (Chicago: University of cally, Chicago providing finite-state theorists tences are produced English word Press, 1951). 78 at a from believed that senleft to right, time, with the selection of each a set one word of choices for the next word. THEORIES OF LANGUAGE AND NONVERBAL CODING The obvious weakness of finite-stace grammar provided no simple, parsimonious exhow human beings could produce an infinite number of novel sentences. In other words, it allowed for little creativity on the part of speakers. is that it planation for This process continues until all units of the sentence are accounted for, including small parts such as the articles the or an. These analyses are often illustrated Figure by a tree diagram, as shown in 5.1. of Classical Linguistics. The primary objection to classical linguistics is that although Criticism Grammar. This approach, a mainstay in grammar theory for many years, is no longer believed to be adequate by itself to Phrase-Structure explain the generation of sentences. 5 Its it is useful as a taxonomic, or descriptive, ap- proach, essential is A how language simple example will suffice to this weakness. Phrase-structure it is powerless to explain generated. however, are still used as part of a larger explanatory framework, which is ex- illustrate plained in the next section. Phrase structure breaks down a given sentence into phrases. A tences exactly the features, grammar would sentence is a hierarchy of components, with each successively larger component being generated by a set of rewrite rules. For example, a sentence may be broken down according to the following rewrite rule: sentence <-> different: 6 origins must be John is easy to please. John is eager to please. Although easy and eager have different semantic meanings, these sentences have entirely differ- noun phrase + verb phrase ent syntactical meanings. In the Or, to use an actual example: The two sensame way, even though the analyze the following slightest inspection reveals that their syntactical first sentence John is the object of the infinitive to please. In the second John is the noun phrase of the sen- girl hit the ball tence. Regular phrase structure provides no Information Theory, vol. IT-2 (1956): 113-24; and Jerry Fodor, James Jenkins, and Sol Saporta, “Psycholinguistics and Communication Theory,” in Human Communication Theory, ed. Frank Dance (New York: Holt, Rinehart and Winston, 1967), pp. 160-201. 6. The verb phrase can be broken down according to the following rewrite verb phrase <- verb + noun rule: The phrase Or, to continue the example: hit the ball 5. For an explanation and critique of phrase-structure Models grammar, for the Description Examples from Gilbert Harmon, On Noam Chomsky: (Garden City: Anchor Books, 1974), p. 5. Critical Essays further finite-state and Noam Chomsky, “Three of Language,” Transactions on see 79 girl hit the ball . THEMATIC THEORIES way easy to explain these different grammatical description. Second, the objective of generative meanings. grammar problem involves theoretical The nature of classical lin- Basically, this appropriateness is to isolate a set of rules that will parsimoniously explain how any sentence could be generated. Parsimony is the key. Inventing a guistics makes it inappropriate as an explanatory device; yet, the most important questions of language demand that the theorist go beyond mere description of sentences as uttered. Questions to be answered include the following: What constitutes a necessary and sufficient grammar, such that a speaker competent in the grammar of a language can produce an infinite number of novel sentences? By what cognitive process are sentences generated and understood? How is syntactical ambiguity to be accounted for? How is language acquired? To answer questions such as these, generative grammar has been developed. new rule for each construction is not workable. Indeed, the brain is finite and cannot operate on an infinitely expanding set of linguistic rules. Yet people can produce and understand an in- number of sentences. An adequate grammar must explain this paradox. The answer lies number of rules that can be finite in a relatively small used over and over again to produce novel sen- The third essential feature of generative grammar is the transformation. (In fact, generative grammar is alternatively named transfortences. mational grammar.) key element We Transformations are the in the generative shall see the role grammar system. mo- of transformations mentarily. Generative Grammar Noam Chomsky the primary force behind is As generative grammar. 1950s, Chomsky sical theorists to has become parted develop an approach that since contemporary any theoretical tradition grammar now generative built a cluster of The essential ideas. is Three of grammar Standard rests structures are Original generative theory components of grammar. Deep believed to be underlying sentence models constructed by the use of base phraseThe deep structure of any sentence is modified by transformation rules, result- structure rules. Chomsky’s works include: Syntactic Structures (Hague: Mouton, 1957); Aspects of the Theory of Syntax (Cambridge: 7. ing in an uttered (or utterable) surface structure. A M.I.T. Press, 1965); Cartesian Linguistics: Chapter in the History of Rationalist Thought (New York: Harper Row, 1966); Topics in the Theory of Generative Grammar (The Sentence generation proceeds along the follow- & ing lines. Hague: Mouton, 1966); Language and Mind (New York: Harcourt Brace Jovanovich, 1968); The Sound Pattern of English (New York: Harper & Row, 1968); Current Issues in Linguistic Theory (The Hague: Mouton, 1970); Problems of Knowledge and Freedom (New York: Pantheon Books, 1971); Studies on Semantics in Generative Grammar (The Hague: Mouton, 1972); Reflections on Language (New York: Pantheon Books, 1975); The Logical Structure of Linguistic Theory (New York: Plenum Press, 1975); Essays on Form and Interpretation Theory. posits four basic on the believed centrality of sentence generation, which is seen as far more important than sentence generative many standard theory, which for linguistics. these ideas warrant discussion. First, first is years represented the mainstream of thought in has several positions although the tradition as a whole it, on freely admits, transformational grammar does not yet solve all of the mysteries of language. Consequently, various versions have emerged as alternative explanations of language processes. We will cover two of these. a young linguist in the company with the clas- the foundation of linguistics. 7 Like within As Chomsky Deep structure is The deep structure is tal created with base rules. a sentence model, structure, not utterable as speech. a men- It is a model of sentence parts resembling a simple declarative form. The rules used to generate the deep structure are rewrite rules that follow lines originally developed in phrase-structure (New York: North Holland, 1977); Rules and (New York: Columbia University Press, grammar. Representations Next, a surface structure 1980). 80 is generated by : THEORIES OF LANGUAGE AND NONVERBAL CODING transformation rules. Unlike rewrite rules transformation rules are instructions of movement: Move component x to location y. For example, the active transformation moves components so + VP that they appear in the order (Sally hit the ball). The John loves Mary. Mary The NP be by deleting and placing the adjective in John loves Mary. Mary is pretty. John loves pretty Mary, (adjective) Suppose you wish to generate the sentence, Ripe mushrooms are loved by hobbits. 9 You would do this in two stages. First, with the phrase-structure rules deep tree, as shown you would generate passive trans- of the sentence. All of the basic logical grammatical relations are present, and the meaning of the sentence is set. Don’t worry that this deep structure does not resemble the intended formation inverts the noun phrase and verb adds the preposition by surface structure. Several English transformations are explained in brief 'Peter Salus, Linguistics (Indianapolis: Bobbs- The deep structure is an ab- form by Merrill, 1969)y From Linguistics, 9. by Peter H. Salus. Copyright Example from ibid. © 1969 by The Bobbs-Merrill Company, the publisher. Figure 5.2. An a in Figure 5.2. This deep tree provides the basic semantic interpretation phrase, puts the verb in the passive form, and 8. form front of the noun: tion rules: the passive transformation and the The loved by John, (passive) the verb passive transfor- mation prescribes NP + auxiliary + VP + NP (The ball is hit by Sally). A sufficient, but parsimoniously small, number of phrase-structure and transformation rules will permit the generation of any proper sentence. Since this book is not a linguistics text, we will not cover the range of possible transformation rules of English. In order to understand the basics of the theory, however, we will look at an example. Our example uses two transformaadjective transformation. 8 is adjective transformation occurs example of deep 81 structure. Inc. Reprinted by permission of THEMATIC THEORIES stract entity from which the components: actual sentence will The surface tree — the actual sentence — described above, passive and adjective. Figure 5.3 illustrates the surface tree. With rules number of a relatively small and transformation rules, a rewrite speaker can generate any novel grammatical sentence. (She) 4- VP (teaches dancing). — is two transformations generated by applying the NP The other is transformed from a deep structure of two clauses (1) NP (She) + VP (dances), and (2) NP (She) + VP (teaches) that have been combined into a single deep structure of the following form: NP (She) + S (who dances) + VP (teaches). These deep structures would be diagrammed as indicated in Figure 5.4. Obviously, this theory explains surface am- be generated in the next stage. The — is generated on the deep or abstract level with phrase structure, and sentences are generated by subjecting the under- biguities, while the classical structure cannot. lying structure to transformations. In essence Chomsky basic semantic structure this process what is “knows” about a also illustrates that in standard theory must always be located veloped and controversial. Trace Theory. from If an uttered sentence has more a separate example, the sentence, She has two possible meanings. , imate better to Trace theory, or extended standard was developed in an attempt to approxpeople assign interpretations grammatical structures. Advocates of trace theory ingful sentence structure has one, and only one, derivable however, that not sufficient to explain all is a parsimonious and descriptively adequate explanation of how the speaker uses this knowledge. An essential feature of standard theory is that a singular correspondence exists between a surface structure and its deep structure. Any mean- than one syntactical meaning, each meaning to believe, is It meaning the deep level. meaning structures. He therefore has developed a new approach, which is as yet unde- The two-stage sentence-generation model deep structure. come has deep grammar alone speaker intuitively the language. at how theory, including Chomsky, add an additional is deep structure. For is a dancing teacher, No analysis of sur- face structure alone can explain this paradox. The two interpretations stem from separate deep structures with different configurations. One stems from a structure with the following dancing teaches Ripe mushrooms are loved by A. Deep structure for first interpretation. B. Deep structure for second interpretation. hobbits © 1969 by From Linguistics by Peter H. Salus. Copyright The Bobbs-Merrill Company, Inc. Reprinted by , permission of the publisher. Figure 5.3. An example of a surface Figure 5.4. structure. 82 Two illustrative deep structures. . . THEORIES OF LANGUAGE level to sentence production. 10 Deep AND NONVERBAL CODING through structures their traces, and surface elements are of meaning. are generated by base rules, and transformations are applied, resulting in S-structures combined S-structures possess the basic structure of the Language Acquisition. Some of Chomsky’s most revolutionary and controversial ideas re- uttered sentence, except that they contain in the attribution “traces” of components in former positions before being moved by transformation rules. late to Traces are seen strictly as mental representations of deep sentence structure that aid in stitutes surface interpretation. knowledge comes from. nological rules. The scholars immediately began to ask S-structures are trans- lated into actual utterable sentences is the logical form or LF-structure Consider the following sentence as an example: Who do you want to visit? This question is ambiguous. It could mean (1) What person do you wish to go to? or (2) What person do you wish to come to you? The first interpretation stems from the deep structure, You wish to visit The second comes from, You Applying transformation speaker moves the element who to who. visit. the sentence, but a mental trace location is left wish who rules, in the S-structure, as follows: who do you want want t to visit. to visit t, and (2) who stimuli. intellectual scandal.” 13 10. is (1) do you is Chomsky . Trace theory is Examples from , 92; Learning Theory and the Symbolic Processes John Wiley and Sons, 13. (New York: Logical Structure of Linguistic Theory, 14. One learning theory approach, contextual generaliza- tion, was developed to explain this phenomenon. See Martin D. Braine, “On Learning the Grammatical Order of Words,” Psychological Review, 70 (1963): 323-48. For a debate on the basic issues, see ibid.; T. G. Bever, J. A. Fodor, and W. Weksel, “A Critique of Contextual Generalization,” Psychological Review, 11 (1965): 467—82; Martin Braine, “On the Basis of Phrase Structure: A Reply to Bever, Fodor, and Weksel,” Psychological Review, 72 (1965): 483-92; T. G. Bever, J. A. Fodor, and W. Weksel, “Is Linguistics Empirical?” Psychological Review, 72 (1965): 493-500. that in the latter, Chomsky, Chomsky, The 1960). p. 40. words, deep elements, explained in approaches language acquisition The, best known behavioristic treatment of language learning is Skinner, Verbal Behavior (New York: Appleton-Century-Crofts, 1957). For an integrated learning theory of language, see Arthur Staats, Learning, Language, and Cognition (New York: Holt, Rinehart and Winston, 1968). Finally, see H. Hobart Mowrer, “The Psychologist Looks at Language,” American Psychologist 9 (1954): 66012. Rules and Repre- sentations, pp. 155-81. 1 1 behaviorists’ expla- does not explain the ability to produce and understand novel sentences that the child has never heard before. 14 attributed at the S-level, not the In other The is inadequate on two counts. It cannot adequately account for the extremely rapid acquisition of language in early childhood, and it . level. of associations and nation interpretation, you would utter these two words distinctly and avoid using wanna 11 The important difference between standard meaning a series Generative theorists find this explanation weak. Chomsky calls it “a dead end, if not an to the ongoing speech phonological rules allow you to make a distinction between these two meanings in the way you utter the sentences. For example, one such rule allows you to contract want and to to wanna, if and only if these two morphemes are contiguous. In the S-structure of the first sentence they are contiguous and thus you could say, Who do you wanna visit? But in the second sentence the trace of the former placement of who separates want and to. Thus to properly get across the second theory and trace theory Through reinforcements, the child’s responses are repeated and shaped to form language. In deep this highly developed, but blank, cerebral cortex, responds randomly to various environmental the front of of its former (t) where The behaviorists had a ready answer. For them language is learned in the same fashion as is any other behavior. 12 The child, born with a by pho- spoken sentence resultant language acquisition. Once Chomsky system of grammar that conan individual’s linguistic knowledge, identified the rich ibid. 83 ” THEMATIC THEORIES with the assumptions that language is a fundamental cognitive element and that cognition, any other physiological/anatomical process form and content of linguistic rules is the best one the language from which the corpus is drawn 16 for . like a biological function. is basic language Thus knowledge for Chomsky innate. According born with various kinds of linguistic information 15 This information is universal and is not related to any partic- Chomsky, to the child is is Our understanding of language acquisition is The innate information the is same regardless of the culture into which the child is born. Chomsky believes that the child brings to language learning a basic knowledge of all the possible universal phonetic sequences (as opposed to impossible sequences), ble deep structure trees (as ble trees), and all possi- opposed to impossi- possible transformations (as opposed to impossible ones). The child knows the difference between what is possible in any language (a ing. The alternative theory we have just disis abstract and vague. In the future we be able to see advances in understanding of cussed may this interesting language universal) and grammars. Further, the child what is not. born with is a standard routine for testing the utterances heard. This recognition device allows the child to match what is heard against all possible sequences until the grammar of the language is triggered by experience. improved knowledge of Generative is “Chomsky between this process of a field linguist: in the has let Chomsky’s view, task analogous to that of is to his task empty-handed: sion of a linguistic theory”. problem is that ideally, bears directly Yet, curiously, generative theory has tle interpretation and summary is provided Psychology of Language, pp. 470—72. of language primarily as a tool of communica- phenomenon of import in and Needless to say, this claim is controand we shall return to it in the section itself. criticism. is is philosophically interest- Its blend of philosophical provocative as Justin Leiber points out: . talistic . . character, belonging to the paradox menhuman mind. The resolved by recalling that it is the infinite capacities of human thought, the infinistic and abstract character of man’s linguistic competencies, that infinitely by Fodor lit- ideas present] a peculiar, but explicable, paradox; namely, that man has a kind of free creative nature that Chomsky believes depends on the highly constraining innateness, and derived ... In either case the that satisfy universal constraints had many scholars interested in comChomsky prefers not to conceive impact on munication. [Chomsky’s in posses- Aspects of the Theory of Syntax, p. 30. on problems of human cognition. on is purport to establish that Chomsky, has be- it views . of discovering which of the many grammars It especially important in psycholinguistics, since ing and complex. faced with a both are in- states, a single come versial, confronted with an alien language. Both are required to construct a characterization of the regularities underlying a certain set of phonetic strings where the relevant form of characterization is a generative grammar. Like the field linguist, the child does not come . is . on a field linguist . fields all Harmon Gilbert us see that there tion but a natural make an analogy child and the work then, the child human thought affects lated interest in other fields as well. Chomsky’s work In basic subject of language and mind which crosses departmental boundaries 17 This theory grew out of the field of linguistics but rapidly stimu- of Fodor, Bever, and Garrett 15. grammar terested in language. native lan- not “learned” but develops and will be dis- processes. guage is “discovered.” This sorting process involves the child’s hypothesizing about the native grammar and testing the hypothesis. Thus phenomenon. What covered about language acquisition particularly and language behavior generally may lead to an all This amounts to an enumeration of all possible nativists believe that the lan- a child acquires in the first few years is too rich to be explained solely in terms of learn- . ular language. The primitive. guage man is by nature beyond An et al., 84 16. Fodor 17. Gilbert Flarmon, et al., Psychology of Language, p. 472. On Noam Chomsky, p. vii. a . THEORIES OF LANGUAGE AND NONVERBAL CODING behaviorist or determinist viewpoint. One needs a strong, built-in capacity, as it were, before full, free nores or downplays semantics. Primarily creativity can manifest itself as choice within this dividual lexical units and their meanings are infinite, discrete range. . . . The freedom Chomsky . In treating the study science, Chomsky World View lieves that Second, critics are bothered by the failure of generative grammarians to consider problems of language as used in everyday life. Generative grammar treats language as an abstraction, claiming that an understanding of the anomalies of language use is unimportant to an understanding of language itself. This approach makes a sharp distinction between language competence and language performance The former is knowledge of grammar; the latter is language use. Generative grammarians steadfastly have maintained that performance is not a linguistic concern. Consequently, they are not interested in how language is used in social interaction. The theory therefore does not account for local and cultural variations of 18 pects of of mind displays I. as a natural some obvious as- He be- (See Chapter 2.) elements of language and mind are universal and available for discovery. He is analytical in approach, seeking inherent mechanisms of mind. However, in fulfilling his view of the individual as distinctly human and creative, he follows actional assumptions. He strongly believes in the a priori nature of knowl- edge and that much knowledge is tacit or im- He follows the notion that knowledge from an application of innate categories onto the world of experience. 19 In short, Chomsky is a champion of a point of view that has not been popular in this century rationalism. He has revived the basic idea of Rene Descartes of the seventeenth century, that the mind is given its power by a priori qualities and that knowledge arises from the use of this plicit. arises language, nor does power in true ment itself lished? been described as a Chapter 2). It is Much chapter is meaning estab- that meaningful- may not be adequate meaning. Trace theory itself it is controversial uncertainty exists, of course, about Innatism is although its a position that strength lies in grammar. cannot be proved, the fact that we it has already have pointed out, alternative explanations of lan- guage acquisition have failed. Even if basic language mechanisms are innate, we are far from understanding their nature or (Boston: , by not yet been disproved. As grammar generally igNoam Chomsky: A Philosophical Overview Rules and Representations shown the innatist arguments of generative its scope and its validity. problems of scope warrant discussion Twayne Publishers, 1975), p. 182. Chomsky discusses features of his epistemology has and sketchy. Its here. First, generative 19. deal of disagree- 20. grammar has its weaknesses. Basicalgrammar has been criticized on 18. Justin Leiber, good presents an answer, but as yet fronts, Two A for the establishment of generative two Chomsky yet deep analysis (see and behavioristic linguistics major strengths are usually seen as its parsimony and explanatory power. However, language presents us with one of our most difficult intellectual puzzles, and even ly, validity. ness cannot reside strictly at the surface level, tions that classical generative its exists within the generative movement about the locus of meaning. Where in the process of sentence generation generally praised as providing answers to ques- could not handle. commonly Much of the criticism of generative grammar questions Grammar linguistics has Kuhnian revolution account for the speech. understanding experience. Chomskian it observed phenomenon of ungrammatical — Criticism of Generative a ignored as unimportant. 20 wishes to emphasize is the freedom of a being with infinite and reasoned choices when so unrestrained by external force it is theory of grammar, of syntax; problems of in- how they oper- This criticism is discussed by John Searle, “Chomsky’s Revolution in Linguistics,” in Harmon, On Noam Chomsky, in pp. 2-33. 6. 85 THEMATIC THEORIES ate. The claims of generative grammar are still speculative. processes. cation, in fact, has isolated “mediated” mes- sages as a special Transformational theory’s key problems result from the difficulty of observing generative must Linguists rely on inferences made from observing spoken sentences. Classimake this inferential leap form of nonverbal code. 21 widespread application in all of these contexts, nonverbal coding is included here as a thematic domain. Actually, we touch on theories of nonverbal Because of its cal linguistics failed to communication from observed behavior to hidden processes, and thus it fell short. As a result of its strong reliance on inference, generative theory operates primarily from logical force (see Chapter 2). Its explanations rest on the strength of the Here we cover five well-known theories of nonverbal coding. The theories that relate non- logical connections among inferences. also It in two places in this book. verbal processes specifically to interpersonal comin Chapters 9 and 10. Although research and writing on nonverbal communication are copious and diverse, nonmunication are included relies heavily on reasoning from “residues.” In other words, alternative explanations are attacked and shown to be inadequate. What can- verbal scholars have not been quick to produce theory. Judee Burgoon comments on the field: not be disproved, the residue, If nonverbal communication in the 1950s and 1960s was regarded as the foundling child of the social is taken as the best explanation. Linguistic writings are filled sciences construction. necessity, The use of inference, logical and residues in the development of is not inherently weak, and it the only available method — identifiable area generative theory is — disdained, neglected, even nameless the 1970s marked a transition toward a legitimate and of scholarship. An increasing consciousness and conscientiousness regarding nonver- with demonstrations of how this or that explanation will not work in explaining a particular for developing bal communication was reflected in the publication of literally thousands of articles related to it, in its emergence as a topic for courses and textbooks, and in its skyrocketing popularity with the lay public. 22 theory in the absence of direct observation. to Most scholars central element may that language is a of human communication; yet be verbal (linguistic) the term Scholars disagree about is. Defining not easy, as Randall Harrison points The term “nonverbal communication” has been applied to a broad range of phenomena: everything from facial expression and gesture to fashion and or nonverbal; Randall Harrison, “Nonverbal Communication,” Handbook of Communication, eds. Ithiel de sola Pool et (Chicago: Rand McNally, 1973). 21. verbal signs. Nonverbal communication, an important aspect of coding and messages, is a cousin area in al. Judee K. Burgoon, “Nonverbal Communication Research in the 1970s: An Overview,” in Communication Yearbook 4, ed. Dan Nimmo (New Brunswick, N.J.: Transaction Books, 1980), p. 179. In addition to this excellent 22. to linguistics. For this reason it has been included in this chapter. In addition, nonverbal communication relates strongly to interpersonal communication and therefore applies to group and organizational communication as well. Students of mass communication are inof media. is out: most communication involves messages that contain a complex web of both verbal and non- terested in nonverbal aspects difficulties. what nonverbal communication would agree communication involves much more than language. The signs that are used in communication Nonverbal communication theory is difficult summarize because it has been plagued by conceptual Theories of Nonverbal Communication review, see also Mark Knapp, Nonverbal Communication in Human Interaction (New York: Holt, Rinehart and Winston, 1978); Mark Knapp, John Wiemann, and John Daly, “Nonverbal Communication: Issues and Appraisal,” Human Communication Research, 4 (1978): 271-80; Robert G. Harper, Arthur Wiess, and Joseph Motarozzo, Nonverbal Communication: The State of the Art (New York: John Wiley and Sons, 1978). One well-known textbook of nonverbal communi- 86 THEORIES OF LANGUAGE AND NONVERBAL CODING opment deal with the improvement of nonverbal status symbol, from dance and drama to music and mime, from the flow of affect to the flow of traffic, from the territoriality of animals to the protocol of diplomats, from extrasensory perception to analog computers, and from the rhetoric of violence to the rhetoric of topless dancers elements of message sending and receiving. last two reveal the . Are acts The To what ing. scholars of units that are unintentional tion process. these last chapter problems many of the prominent communication fall into is categories, this section of the organized around the structure- Structural Theories must the meanings of acts communication? Finally, disagree on what constitutes meaningful Among the various theories of nonverbal communication, certain structural approaches stand out clearly. These theories can be classified according to Abne Eisenberg and Ralph as What kinds of signs Since two function distinction. third issue involves shared mean- analysis. which nonverbal messages on the theories of nonverbal are to be included in nonverbal communication? Two in Functional approaches, show how nonverbal actions are used and how they operate in the communica- other hand, extent be shared to count ways are structured. communicative? Are acts that are not perceived by a source as intended to be considered as communication? The second issue is awareness. Must communicators be aware of communicative acts? Or do acts of which either source, receiver, or both are unaware count as communication? Structural ap- proaches classify nonverbal behavior in order to 23 . Four major conceptual issues are evident 24 The first is intent. Are all communication acts intentional? The categories are especially useful for theories surveyed in this text. Smith’s three-point analysis: kinesics, the study of bodily activity; proxemics, the study of space; and paralanguage, the study of voice 26 from these issues. First, one is never sure what to count as nonverbal communication. Our discussion will not take sides in this debate, but you will see that the various theories included define somewhat different behaviors and acts as important. Two Second, classifying or organizing the diversity of work in nonverbal communication presents a theory One of the most useful classification schemes is that created by Judee Burgoon, who divided the writings in this area into five of theory on the structure of nonverbal communication. analytical arise . Birdwhistell’s kinesic theory of proxemics. . The analytic tradition. late first is research in the variable A third representative G. L. Trager’s on paralanguage. These Theory of Kinesics. Ray Birdwhisone of the most important theorists and on body movement, has led the field of kinesics for over thirty years 27 As the inventor of the term, he is considered the father of kinesics. An anthropologist interested in lan- Birdwhistell’s This research attempts to isohow certain nonverbal vari- tell, and understand ables relate to aspects is three views provide an excellent representation problem. categories 25 become Ray theory and Edward Hall’s anthropological theories that have standards in nonverbal communication are researchers of communication. Such . research tends to be experimental, behavioris- and nonactional. Context research examines the behavior of people in different situations, correlating nonverbal behavior with the demands of the situation. Writings on skill devel- tic, 23. Randall Harrison, “Nonverbal Communication,” Handbook of Communication, eds. (Chicago: Rand McNally, 1973). 24. Ithiel de sola Pool et This analysis from Burgoon, “Nonverbal guage, Birdwhistell uses linguistics as a model for his kinesic in fact, kinesics is popu- although cri- 26. Abne M. Eisenberg and Ralph R. Smith, Nonverbal Communication (Indianapolis: Bobbs-Merrill, 1971). al. 27. Birdwhistell’s Communica- major works include Introduction to of Louisville Press, 1952); of Pennsyl- Kinesics (Louisville: University tion Research.” 25. work. In larly referred to as body language, Kinesics and Context (Philadelphia: University Burgoon, “Nonverbal Communication Research.” vania Press, 1970). 87 THEMATIC THEORIES doubt the validity of the language analogy. Let us look at the foundation ideas of Birdwhistics tell’s theory. the most important connections is the link between bodily and language, called the linguistic- activity Communication, complex process, as a is a multichannel phenomenon. It makes use of all sensory channels, and a complete analysis must encompass all channels in use. Birdwhistell describes the continuous process: “While no single channel in constant use, one or more channels are always in operation. Communication is the term which I apply to this continuous is process .” 28 Although developing methodologies for studying each channel is important, the theorist must always keep an eye on the whole. So, while Birdwhistell has concentrated work on the visual channel, he has also attempted to complex. relate his findings to the larger his One of Birdwhistell found kinesic analogy. This analogy extends classical linguistics into the realm of kinesics: This original study of gestures gave the first indication that kinesic structure is parallel to language structure. By the study of gestures in context, it became clear that the kinesic system has forms which are astonishingly like words in language. The dis- covery in turn led to the investigation of the components of these forms and to the discovery of the larger complexes of which they were components. ... It has become clear that there are body behaviors which function like significant sounds, that combine into simple or relatively complex units like words, which are combined into much longer stretches of structured behavior like sentences or even paragraphs. 30 The In Kinesics and Context Birdwhistell lists seven assumptions on which he bases his kinesics to that theory. problem of the of living physiological systems those groupings of movement which are of significance to the communicational process and thus to the interactional systems of particu- While the possible limitations imposed by particu- lar social recognized, until other- wise demonstrated, the systematic body motion of members of a community is considered a function of the social system to which the group belongs. the Visible ity, body systematically influences the behavior of other particular group. Until otherwise demonstrated such behavior will be considered to have an investigable communi- other words, range of such behavior .” 32 In a range of motions or posi- motion or position. A perceptible movement of the eyelid or a turn of the hand are examples of kines. What is defined as a kine in one cultural group may not be in investigated. 7. The particular biological system and the special experience of any individual will contribute idiosyncratic elements to his kinesic system, but the individual or symptomatic quality of these elements can only be assessed following the analysis of the larger system of which he is a part. 29 life another. Kines are further grouped into kinemes, elements that display differential communicative function. Like the phoneme in linguistics, 28. Birdwhistell, Kinesics, p. 70. Ibid., pp. it is tions seen as a single are functions both of the behavior and of the operations by which 29. communication. Such movements are trast to a different cational function. it is tional in “A kine is an abstraction of that range of behavior produced by a member of a given social group which, for another member of that same group, stands in perceptual con- members of any The meanings derived therefrom groups .” 31 Out of the thousands of perceptible bodily motions produced in a short period of time, certain of these emerge as funccalled kines: activity, like audible acoustic activ- 5. 6. which are characteristics Like other aspects of human behavior, body posture, movement, and facial expression are patterned and, thus, subject to systematic analysis. 4. is similar to that of the concerned with abstract- ing from the continuous muscular shifts 2. lar biological substrata are kinesicist linguist: “Kinesics is 1. Like other events in nature, no body movement or expression is without meaning in the context in which it appears. 3. of hierarchical structure in of linguistics is striking. The similarity 183-84. 30. Ibid., p. 80. 31. Ibid., p. 192. 32. Ibid., p. 193. 88 , . , THEORIES OF LANGUAGE AND NONVERBAL CODING the kineme able kines. a group of relatively interchangeFor example, up to twenty-three use of senses in interaction and interpersonal is Another reason distances. of the eyelids may be discerned, but they can be grouped into about four kinemes. Kinemes, like phonemes, occur in context. A complex combination of kinemes throughout the body may be called a kinemorph. different positions (kines) tions vary among tion of the self. that proxemic rela- cultures involves the defini- People in most western cultures through the skin and however, place the self deeper in learn to identify the self clothes. Arabs, the middle of the body. For these reasons, then, the people of a parHall’s Theory of Proxemics If Birdwhistell is the ticular culture structure their space in particular of kinesics, Edward Hall is surely the father of proxemics. 33 Hall shares the view of his fellow anthropologist Birdwhistell that communication is a multichannel affair. Hall believes that just as language varies from cul- ways. Hall defines three basic types of space. Fixed-feature space consists of the unmovable structural arrangements around us. Walls and father ture to culture, so do the other rooms are examples. Semifixed feature space way the interacting that movable obstacles such ture are arranged. Informal space is media. Specifically, proxemics refers to the use of space in communication. “Proxemics is the territory term sonal distance between individuals. specific definition is of culture.” 34 “the study of unconsciously structures microspace tance between men in with a American culture utilizes four discernible distances: inti- A more mate (zero to eighteen inches), personal (one and one-half to four feet), social (four to twelve feet), and public (over twelve feet). When people are engaged in conversation, how man — the that travels person. Informal space determines the interper- have coined for the interrelated observations and theories of man’s use of space as a I specialized elaboration around the body is as furni- the personal dis- conduct of daily transof space in his houses actions, the organization eight possible factors are involved in the dis- and buildings, and ultimately the layout of his towns.” 35 Although this definition of proxemics is broad, most of the work in the area has been limited to the use of interpersonal space. These definitions make clear that the way tance between them. Hall space is used in interaction is very much lists these factors as primary categories: 1. Posture-sex factors: These include the sex of the participant and the basic position (standing, sitting, lying). a cul- tural matter. In different cultures various sen- 2. sory modalities assume importance. In some implies discouragement of interaction; sociopetal American, sight and hearother cultures, such as the implies the opposite. This dimension refers to cultures, such as the ing predominate; in Arabian, smell rely is also important. on touching more than do case, a necessary relation is Some person. any 3. The Hidden Dimension, p. may be facing each other, is the closeness of the be in physical contact or within close distance, they may be outside body contact dis- may be positioned anywhere in between these extremes. This factor also includes the positioning of body parts as well as which parts are touching. tance, or they 22 (1972): 443-59. “A System Kinesthetic factors: This uals Directions in Proxemic Research,” Journal of Communica- Hall, may individuals in terms of touch-ability. Individ- Random House, 1966). Excellent summaries can be found in Eisenberg and Smith, Nonverbal Communication pp. 85-88; Knapp, Nonverbal Communication in Human Interaction, pp. 186—90; and O. Michael Watson, “Conflicts and 35. speakers be back to back, or may be positioned toward any other angle in the radius. Edward Hall’s major works include Silent Language (Greenwich, Conn.: Fawcett, 1959); “A System for the Notation of Proxemic Behavior,” American Anthropologist 65 (1963): 1003-26; and The Hidden Dimension (New York: 34. Hall, The may present between the 33. tion, sociofugal the angle of the shoulders relative to the other cultures others. In The word Sociofugal-sociopetal axis: 1. for Notation,” p. 1003. 4. 89 Touching behavior: People may be involved THEMATIC THEORIES in any of the following tactile relations: caress- excellent general model of nonverbal signs. 37 their work on kinesic ing and holding, feeling, prolonged holding, They have concentrated pressing against, spot touching, accidental brushing, or no contact. behavior (for example, face and hands). Their goal has been ambitious: “Our aim has been to Visual code: This category includes the manner of eye contact ranging from direct (eye-to- increase understanding of the individual, 5. feelings, Thermal code: This element involves the perceived heat from the other communicator. Olfactory code: This factor includes the kind and degree of odor perceived in the conver- 7. sation. Voice loudness: The loudness of speech relates directly to interpersonal space. Paralanguage. behavior is The third category of nonverbal paralanguage, or the use of vocal signs in communication. but It raising as a response to surprise known work in this area is is innate, that territoriality is species constant, and that shaking the head back and forth to indicate no is culture specific. language but are not included directly in language. Trager’s well personality, across cultures, groups, and individuals. As examples, one could speculate that eyebrow forms the borderline between the verbal and nonverbal aspects of interaction. The sounds we make in speaking relate to his and attitudes, and of any given interpersonal interaction, the nature of the relationship, the status or quality of communication, what impressions are formed, and what is revealed about interpersonal style or skill.” 38 These authors have approached nonverbal activity from three perspectives: origin, coding, and usage. Origin is the source of an act. A nonverbal behavior may be innate (built into the nervous system), species constant (universal behavior required for survival), or variant 6. 8. mood, to increase understanding no contact. eye) to not as as the other theories in the chapter, Coding an important contribution to our understanding. 36 Trager divides paralinguistic is the relationship of the act to its An act may be arbitrary, that is, no meaning is inherent in the sign Head nodding is a good example. By meaning. it is indication of cues into four types: voice qualities, vocal characterizes, vocal qualifiers, and vocal segre- itself. gates. range, quality of articulation (forceful or re- ding is an indication of yes, but this coding is purely arbitrary. Other nonverbal signs are and rhythm. Vocal characterizers include such noises as laughing, crying, yelling, yawn- nified. Voice qualities include such cues convention, in our culture as pitch laxed), ing, spitting, belching. 36. uttered. Iconic signs resemble iconic. agree that nod- what is being sig- For instance, we often draw pictures in the air or position our hands to illustrate what Vocal qualifiers include manner the we in which words and phrases are For example, a word may be spoken with high pitch; a phrase may be we are talking about. coding softly or is intrinsic. The of coded cues con- third category Intrinsically meaning within them; such cues are themselves part of what is being signified. Crying is an example of intrinsic coding. Crying is tain their drawled or clipped. Finally, vocal segregates include the rhythmic factors that contribute to the flow of speech: “uh,” “um,” pauses, and other Ekman and Friesen’s major works include “Nonverbal in Psychotherapy Research,” in Research in J. Shlien, vol. Ill (Washington, D.C.: American Psychological Association, 1968); “The Repertoire of Nonverbal Behavior: Categories, Origins, Usage, and Coding.” Semiotica, 1 (1969): 49-98; Emotion in the 37. interruptions of rhythm. Behavior Psychotherapy, ed. Functional Theories Ekman and Paul rated Friesen. Ekman and For nearly twenty years Human Wallace Friesen have collabo- on nonverbal research G. L. Trager, “Paralanguage: A First Face: Findings that has led to an Face Approximation,” 38. Studies in Linguistics, 13 (1958): 1-12. (New Guidelines for Research and an Integration of York: Pergamon Press, 1972); Unmasking the Cliffs, N.J.: Prentice-Hall, 1975). (Englewood Paul Ekman and Wallace Friesen, “Hand Movements,” Journal of Communication, 22 (1972): 353. 90 THEORIES OF LANGUAGE AND NONVERBAL CODING a sign of emotion, but emotion itself. The third way it is also part of the outlining space), by tions), pictographs to analyze a behavior is rhythmic movements (pacing motions), kinetographs (depicting physical ac- usage. This category includes variables related to circumstances. involves such factors as It . external conditions around the behavior, awareness or nonawareness of the act, reactions from others, and the type veyed. A of information con- helpful subanalysis of usage (drawing a picture in the air), and emblematic movements (illustrating a verbal statement) These types are not mutually exclusive; some motions are combinations of types. Illustrators are informative or communicative may be interactive. and occasionally in use degree to which a nonverbal behavior is intended to convey information. A communicative They are also learned. The third type of nonverbal behavior is the adaptor, which serves to facilitate release of is the one used deliberately to convey meaning. bodily tension. Such actions as hand wringing, Interactive acts are those that influence the behavior of the other participants. An act will be both communicative and interactive if it is in- head scratching, or foot jiggling are examples of adaptors. Self-adaptors which usually occur tentional and influential. For example, if They may act is deliberately wave , in you to a friend as a sign of greet- ing and the friend waves back, your cue would other’s body. things. In to avoid way. may duck haviors. meeting an acquaintance coming your person sees the avoidance, is If the other type social is the of group. sage. The are normally used communicate “V” and the black power fist The origin of emblems is cultural emblems may be either arbitrary or The tions. the second kind of nonverbal They are intentional, though is cultural learning. final The face is particularly rich for affect display, although other parts of the body also may have a high relation to speech since they are used to illustrate what is being They Regulators are primarily interactive. coded intrinsically or iconically, and category of behavior is the affect These behaviors, which may be in part innate, involve the display of feelings and emo- cues. Illustrators may communica- display. iconic in coding. said verbally. are rarely are their origin victory Illustrators are is the person they are sometimes interactive and often sation. They mes- are examples. learning; the individual when Regulators, the fourth type of behavior, are used directly to regulate, control, or coordinate interaction. For example, we use eye contact to signal speaking and listening roles in a conver- in a delib- a particular Although they alone. tive, emblem. Emblems have a verbal meaning for a erate fashion to be iconic or informative. a rather precise They are directed at may They may occur when occur with greater frequency All nonverbal behavior is one of five types, depending on origin, coding, and usage. The first case, adaptors communicating with another, but they usually into a hallway your behavior has been informative even though you did not intend to communicate. translation Object-adaptors any Rarely are they intentional, and one is usually not aware of one’s own adaptive be- that nevertheless provide than friendly, you body. groom- intrinsic. information for the perceiver. Such acts are said to be informative. On a day when you are feeling less include scratching, stroking, ing, squeezing. Alter-adaptors are directed to an- be communicative and interactive. A third category of behaviors are those not intended to be communicative but own are directed to one’s private, be involved. Affect displays are intrinsically coded. They are rarely communicative, we often interactive, and always informative. not always be directly aware of them. include eight types: batons (movements Dittmann’s Theory of Emotional Communication. Allen Dittmann provides an important functional theory of emotional communication. His theory has three parts: emotional that accent or emphasize), ideographs (“sketch- ing” the direction of a thought), deictic move- ments (pointing), spatial movements (depicting or 91 THEMATIC THEORIES information, emotion signs, and channels for communicating emotion Following the tion, 39 . classical definition of emoterms of Dittmann explains emotion in That is, whether perceived behavioral deviation. by self or others, an deviation from judge emotional expression some baseline behavior. person’s emotion a the behavior is different is a We to be perceived. This ceptance rience with universal behavior patterns, cultural placed in the category the affect display. in to to see variable forms two continuums, with laughter. The final division of Dittmann’s theory deals with channels of emotional communication. In any face-to-face interaction a number of modal- meaning and tend to express one’s feeling in idiosyncratic terms. In our culture shrugging the shoulders is a sign The second dimension fails has a strong urge to laugh in an inappropriate setting and fakes a cough to cover up the municative cues are relatively specific in terms of what they relay to the perceiver. Messages at a so slight that the listener fail perhaps tions are controlled and monitored. (As in the case of the other factors, intentional control is always a matter of degree.) A good illustration of an extreme case of control is when a person variable, communicative speccontinuum between the extremes of communication and expression. Messages on the communication end of this spectrum possess “coded” or agreed-upon meaning. Comfirst ificity, is a of uncertainty, possessing communicative specificity. Or The third dimension of the emotional message is intentional control. In some circumstances a person tends to express feeling fully and spontaneously. At other times emo- of awareness, and intentional control. These variables extend Ekman and Friesen’s concept of sign use. specificity, level the other end have less social is might the listener frown and other. His analysis contains three major factors: communicative The moment, awareness as one extreme and either repressed unconscious or subliminal unconscious as the the nature of emotional signs? Dittmann provides a useful and interesting is of nonverbal frown this havioral deviation being observed. analysis that it because it is subliminal. At the other end of the scale, however, the listener might be mildly or strongly aware of the frown. In summary, (fear, anger, sadness, and so forth) that the perceiver has learned to associate with the particular be- What is psychologically not strong enough realize the other speaker’s dislike. well as the observed person’s idiosyncratic behavioral patterns. Once emotional expression is is at repress awareness of the expression, and social structure, as it is dimension of awareness can apply to either the sender, the receiver, or both. Suppose in a conversation a speaker is expressing dislike for another person by a slight frown. If the listener has a strong need for ac- knowledge of baseline behavior in relation to various situations in which emotions occur. Such knowledge stems from expeintuitive perceived, Either the behavior repressed, or the stimulus seen in this individual and culture. This explaof course, assumes that people have modes of the other is either subliminal unconscious or repression. A person may be more or less aware of a particular behavior. If the behavior is done without awareness, one of two conditions exists: on the basis of how from what is usually nation, some level of awareness, actually is two variables. On one end of the spectrum is full awareness; on ities high degree of are used. of behaviors We know is that a rich assortment communicated in the form of bodily activity, space, voice, and so forth. In an ongoing conversation these behaviors blend together into a kind of gestalt image. Certain Dittmann’s model, 39. Allen T. Dittmann, Interpersonal Messages of Emotion (New York: Springer Publishing, 1972). Dittmann’s approach is based on information theory, which we will not pursue here. See chaps. 2 and 3. Information theory is covered separately in this book in Chapter 7. behaviors will be more salient for the receiver than others, depending on the situation and cul- Thus the primary channel of emotional communication in a given conversation deture. 92 THEORIES OF LANGUAGE AND NONVERBAL CODING pends on what the receiver perceives from the strongly to approach a synthetic topic in an complex analytic way by focusing on particular behaviors to the exclusion of others. Again, this Dittmann describes three stimuli. broad classifications of channels: audible, visual, and psychophysiological. Audible channels problem include language and paralanguage; visual channels include facial expression and body one of appropriateness and scope. is Finally, there move- is the fallacy of nonverbal preemi- Nonverbal communication is often assumed to be the most important aspect of any message. Language is reduced to a lesser role. Some writers on nonverbal communication have actually stated as much 41 Most, however, imply undue importance by separating and concentrating on aspects of nonverbal codes apart from the entire coding complex. In most nence. ment; psychophysiological channels are those cues emanating from bodily functions (for example, breathing, eyeblinking, and so forth). . Criticism Certainly the work of nonverbal communica- tion has helped us realize the complexity and communication codes. The various categories suggested by theory have been transactions language producing an impressive quantity of research. The major problems of nonverbal varies subtlety of communication theories lie com- munication process and in their narrowness of scope 40 theories to separate and classify bodily activity. The functional approaches tend to be less segmental in their treatment of verbal and nonver- . We can express the major criticism of these theories as a series of fallacies. fallacy of the linguistic analogy. superficial similarities tween language and may The first is the bal codes. Although some The attempt to move from finite description of nonverbal communication behavior to an explanation of how it functions in ongoing in- be observed be- kinesics, probably more differences than similarities exist. Language teraction is presented sequentially and involves discrete signs; nonverbal codes are not presented solely in a sequential work is is manner and rarely consist of Although language is organo good evidence shows a necessary step. Yet this a is what functions problem. functions way may fore the theoretical we by nonverbal moment several more comprehensive theory is nonverbal communication. Heretowork has been fragmented needed always used consciously; nonverbal may any given we know In short, a (despite Birdwhistell’s linguisticlike categories). sumptions of language at can be involved. Language codes often are not. Thus How are being served behaviors? Indeed, nized hierarchically, is kind of fraught with difficulties. First, accurate observation discrete behaviors. that nonverbal acts are organized in this absolutely central, but from situation to situation. These fallacies are especially apparent in structural theories of nonverbal communication, and they arise from the tendency of such in their appropri- ateness for explaining intricacies of the is the relative importance of any part of the code heuristic in in and limited. The functional theories take a step even these could be more comprehensive in considering the larger issue of coordinated coding in general. see that the as- not be appropriate in the right direction, but domain of nonverbal behavior. The second problem is the fallacy of analysis. Most of the structural theorists admit that mesto the sages consist of inseparable complexes of verbal and nonverbal codes, yet these theories tend What Do We Know about Language and Nonverbal Coding? Of all the communication domains language and meaning are perhaps the most elusive; yet For a more complete analysis and critique of several approaches to nonverbal communication, see Judee Burgoon and Thomas Saine, The Unspoken Dialogue: An Introduction to Nonverbal Communication (Boston: Houghton Mifflin, 1978), chap. 2. See also Knapp, Wiemann, and Daly, “Nonverbal Communication.” 40. 41. A. Mehrabian, “Communication without Words,” Psychology Today, 2 (1968): 51-52. 93 THEMATIC THEORIES lie at the heart of communication symbolic activity. Earlier simplistic models of language no longer are considered adequate ironically they language is strictly a learned behavior. Rather, they believe that children are born with an in- as a to explain how language is acquired and nate how organizing link the among semantic units, is how this it is still Although several notions addition to our it key element of language. Generally acamong linguists today is the belief that the generation and reception of sentences can- reveals about the coding complex. not occur on the surface level alone. Deeper coding processes must be examined. Unfortu- linguistic cues. from certain what these deep processes are. The mainstream of linguistic thought states that sentences are created and understood by the use of a parsimonious set of rules that can be combined in numerous ways to create or understand an infinite number of bodily, and spatial cues. Few also linguistics set of vocal, facial, Some communication all. Clearly, nonverbal elements of communica- tion are highly functional, relating emotional meaning, management, and releasing tension. Nonverbal cues also augment the linguistic code, adding nuance to the meaning of verbal messages. remains an unstill are not uttered in isola- of a bigger takes place without language at sentences. Language acquisition Words tion but are part nately, linguists are far solved puzzle. of unknown. Nonverbal communication is an important body of theory because of what Although language is the essence of communication, meanings are communicated by messages that consist of a complex set of linguistic and non- vital in communication of meaning. Therefore centered on syntax cepted linguistic structure that enables process occurs have been posed, basically speed. much work in linguistics has as the model of the child to acquire a native language with great Meaning is not simply a matter of individual word denotations and connotations. Grammar, as an sentences are generated and understood. believe that 94 facilitating interaction CHAPTER 6 One cannot logically separate the topics of language and nonverbal communication from Theories of Meaning for his work in literary criticism and rhetorical theory. His lifelong pursuit of improving communication led him to consider the nature of words, meanings, and understandings in all kinds of discourse. In the introduction to The meaning. Meaning is the concept that connects symbols with human beings. It is an elusive theme, of which several interpretations exist. The theories presented in this section attempt to describe or explain this concept. For purposes Philosophy of Rhetoric he writes, “We struggle all our days with misunderstandings, and no apology is required for any study which can prevent or remove them.” 2 For Richards language is a system of signs that, because of its centrality to human life, is supremely important as a field of study. A sign is anything that stands for something else. It of discussion, these theories are divided into several groups according to similar assumptions and claims: representational theories, ordinary language philosophy, and experiential theories. Representational Theories of Meaning The first sense of meaning is representational. Here meaning is seen as the “representation” of elicits in an object, event, or condition by a sign. Each theory in this section explains how signs are munication, language signs are designated spe- used to stand for things in the minds of people. The first theory is that of I. A. Richards. Richards shows how three elements the sym1. To aid in understanding the nature of symbol meaning, Richards and Ogden developed their famous triangle of meaning, illustrated in Figure 6.1. 3 This model stresses three senses of meaning: meaning in the symbol (What does bol, the referent, and the person — — interrelate in A closely related approach, which stresses the conception of the referent in the person, is that of Suzanne The the meaning of this in the thing?), referent and mean- University Press, 1936); Principles of Literary Criticism (New York: Harcourt, Brace, 1952). For excellent summaries of meaning of I. A. Richards and his colleague C. K. in The Meaning of Meaning, later elaborated by Richards in other works. 1 Richards, a scholar in the field of English, was most noted that Richards’s work, see Marie Hochmuth Nichols, “1. A. Richards and the New Rhetoric,” Quarterly Journal of Speech Ogden ing the tween the symbol and the thought or the referent and the thought, the relationship between the symbol and the referent is indirect. It is an within the person. to is ing in the person (What does this mean to you?). While there is a direct relationship be- of the semantic theory of Charles Osgood, which attempts to define the nature of meaning is word mean?), meaning (What section concludes with a discussion The Approach of Richards One of the best known approaches image of a broader con- cially as symbols. establishing meaning. Langer. the person an which the sign was originally perceived. Further, as instruments of thought and comtext in 44 (1958): 1-16; Marie Hochmuth Nichols, Rhetoric and (Baton Rouge: Louisiana State University Press, 1963), chap. 7; Richard L. Johannesen, ed. Contemporary Theories of Rhetoric (New York: Harper & Row, 1971), pt. 3. Criticism C. K. Ogden and I. A. Richards, The Meaning of Mean(London: Regan, Paul, Trench, Trubner, 1923). I. A. (New York: Oxford Richards, The Philosophy of Rhetoric 95 2. Richards, Philosophy of Rhetoric, 3. Ogden and p. 3. Richards, The Meaning of Meaning, p. 11. THEMATIC THEORIES arbitrary relationship that holds only because of the common denominator of thought word person. Let’s use the The cat as share a certain degree of past experience. This general aim exists for both emotive and scien- in the an example. tific three elements include the animal itself (re- ferent), the symbol image of the animal mind when the the ings and attitudes; with scientific description that arises in the person’s one hopes to elicit an accurate and factual image. According to Richards, rhetorical criticism must involve the detailed study of words and the ways these kinds of understandings occur. In short, it must become a science of meanings in communication. word is heard. The connection between the sign and the referent can only occur through the image of the animal in the person. The relationship between cat and the actual thing is therefore indirect, even though either will elicit the thought in the person. With this basic three-way distinction as a base, Richards discusses the is used. When it is communication. With emotive discourse communicator hopes to elicit similar feel- and the thought or cat, ways Richards’s most valuable contribution is his notion that the important meaning is in the per- The relationship between the person and symbol is arbitrary and is mediated by the thought of the person. Thus communication that language used primarily to son. communi- the of the referent, the statement is scientific. When language is used primarily to communicate one’s feeling about something, it is emotive. And in the middle is a mixed range of statements. In any'case communication is an attempt to elicit meanings in another person. The goal of communication is to create a similar mental experience in the other, a goal that can be achieved only when the communicators cate description must be viewed ings, not giving great impact cation. It is as a process of eliciting meanmeanings. This thesis has had a on the study of human communia view that has been promoted by each of the theories in this section. discussion of this notion is that A further of Suzanne Langer. Langer’s Theory of Symbols One of the most important topics of philosophy Thought or reference in the past century has been the relationship between language and meaning. It is clear that any investigation of knowledge or epistemology must include a view of these central issues. A most useful concept of language is that of Suzanne Langer, whose Philosophy in a New Key has received considerable attention by students of symbolism 4 Langer considers symbolism to be the key issue of philosophy, an issue that underlies all human knowing and understanding: “So our interest in the mind has shifted more and more from the acquisition of experience, the domain of sense, to the uses of sense-data, the realm of conception and expression .” 5 All animal life is . 4. Susanne Langer, Philosophy in a New Key (Cambridge: Harvard University Press, 1942). See also Mind: An Essay on Feeling (Baltimore: Johns Hopkins Press), vol. 1, From The Meaning of Meaning, by C. K. Ogden and I. A. Richards. Copyright 1923. Reprinted by permission of © Human Harcourt Brace Jovanovich and Routledge and Kegan Paul. Figure 6.1. Ogden and 1967; vol. 2, 1972. Richards’s meaning triangle. 5. 96 Langer, Philosophy in a New Key, p. 26. THEORIES OF MEANING dominated by feeling, but human feeling in- Like Richards, Langer conceives of meaning cludes the additional ability to conceive of ob- relation among the symbol, the and the person. As she puts it: “If there one thing meant and one mind for which it is meant, then there is not a complete symbols and language. Langer distinguishes between signs and symbols, using sign in a narrower sense than did our discussion in the last chapter. For her a sign is a stimulus that indicates the presence something object, not is corresponds highly with the actual signified event or object. A symbol is more complex: “Symbols are not proxy of their The Symbols allow a person to think about something apart from its immediate presence. Langer therefore calls the symbol “an instrument of thought .” 7 We can see how this idea We Not only do people have an basic need to symbolize apart of necessities living. . we call life, it accurately that against practical human is nestled — — tion, logical entailment, the propositional structure that is inherent in the conception of fact, and the correlative, largely emotional disposition of the whole mind, belief. The depth to which the influence of language goes in the organization of our perception and apperception becomes more impressive the of ideas which makes symbols out of little as further one pursues it 11 . its How, forms .” 8 Elsewhere in this book we have treated kind of sign. Langer uses the term sign more Ibid., p. 61. as a brown dog lowing passage: more in little 9. Language draws so many other mental functions into its orbit very deep and phylogenetically ancient processes of emotive and instinctive character and lifts them from their animalian state to a new, peculiarly human level. It also engages all sorts of higher, larger cortical mechanisms, producing distinct forms of memory, sequences of recall, logical contradic- response necessary to examine The my foot. makes us human. Through language we communicate, we think, and we feel. The significance of discursive symbolism in human life is captured in the fol- osition 6. symbols complex symbol In this sense language truly — out of marks on paper, the we interpret ‘words,’ or knees — the quality of meaning, several aspects and a unified picture: anything bended is of something. The word its combination with other words in a proposition provides a has a Further, the symbol- squeaks and grunts proposition increased ca- and exhibit the respective , is A that presents a picture conceptions of symbolism [lan- ritual] . dog brings up a conception, but Langer calls ritual. In the following passage Langer indicates the importance of studying meaning in symbolism: “In order to relate these distinct . bolic role. behavior in terms of meeting the symbolic need. Symbolic acts involve speech (the use of language) and nonverbal symbolization, which two Words name grammatical structure plays an important sym- of go making process is a continuous function in humans tantamount to eating and sleeping. We therefore must explain a good deal of human guage and discourse. they assert nothing, preclude nothing say nothing .” 10 By tying words together, tions, human from the parts they play in that general of language, however, things, but “before terms are built into proposi- signs and symbols momentarily. First, let’s back to the broader issue of human mentality. pacity to use symbols, but the real significance not in words, but in is Richards’s idea of meaning will return to the function and and referent and the psychological the relation between the symbol and the person. jects .” 6 Ogden and a logical psychological sense of symbol meaning, the logical being the relation between the symbol objects, but are vehicles for the conception of ob- supports at least meaning .” 9 Thus we have both of else. It in the person. complex as the jects in their absence via concept narrowly. then, does language communicates is Ibid., p. 56. 7. Ibid., p. 63. 10. 8. Ibid., p. 52. 11. Langer, 97 a work? Any propconcept. The form common the general idea, pattern, or Ibid., p. 67. Mind, p. 324. THEMATIC THEORIES embodied by a proposition. It is, in short, common meaning among communicators. But each communicator also will have a private image or meaning, which fills in the details of the common picture. This private image is the person’s conception. Meaning therefore consists concept: “A concept conveys. But just symbolized to it up us, is all that a symbol own mal, , which we is ing the presence of is a meaning of a Earlier we mentioned that two important types of symbols involve language and ritual. Langer denota- sign. A tion sign, these discursive and presenta- labels symbols involve the combinaof smaller units (for example, words and some phrases) into larger ones. to its The is the complex Individual word meanings are combined into larger concepts. Such symbols are linguistic. In presentational symbolism individual units may not have distinct meaning. Such forms may not be translat- object. Signification one-to-one relationship between of the symbol details in the conception. simple stimulus announc- sign and object. Denotation tion more tional. Discursive the as defined earlier, is a therefore puppy, but little hierarchy of abstraction, each a successive term leaving out tion, connotation. Signification always leaves some- which is an animal an animal is a living which is an object. All of these terms can they constitute is of abstraction .” 12 Three terms help to explain Langer’s ideas: signification, it be used to symbolize the furry imagination dresses in a private, personal conception incomplete; is ; thing, can distinguish from the public concept only by a process conception, a connotation, but this con- The more abstract the symbol, the more sketchy the conception: A dog is a mam- really quickly as the concept as our a thing out. common of the individual’s conception and the For example, the word dog brings to situation. mind ception rela- object via the concep- of a symbol is the direct relationship between the symbol and the conception itself. For example, the denotation of the symbol dog is its relation to the fluffy little pup at my feet. This relationship occurs only in my mind through conception. able or definable in other terms. Even when While other philosophers have excluded presentational forms from rationality, Langer believes that all experience, including thought (discursive symbolism) and feeling (presentational symbolism), is rational. Some of the 14. most important human experiences are emotional and are best communicated through presentational forms such as art and music. Langer summarizes her quest in the following passage: “The continual pursuit of meanings wider, tion in the person. the puppy is The meanings of presentational forms are understood only through the whole. Nonverbal rituals and forms constitute “a simultaneous integral pre- connotation not present, I sentation .” 14 of it because of the relationship between the symbol and conception the connotation of the word. Connotation includes all of one’s personal feelings and associations attached to a symbol. Langer notes that humans possess a built-in tendency to abstract. Abstraction, which leads to the ability to deal with concepts, is a crucial human function. It is the essence of rationality. Consistent with her notion of meaning, Langer defines abstraction as “a process of recognizing the concept in any configuration given to experience, and forming a conception according- — ly .” 13 Ibid., pp. 71-72. 13. Ibid., p. 72. commence- clearer, more meanings — tal sometimes life; is negotiable, philosophy. in It more articulate permeates all men- conscious form of metaphysical thought, sometimes in the is a process of leaving out conceiving of an object, event, or 12. Catholic mass or illustrates this idea. — Abstraction details in A ment ceremony can think free, confident manipulation of established ideas to derive their more and sometimes Ibid., p. 97. 98 — precise, detailed implications, in the greatest creative peri- THEORIES OF MEANING ods — in the form of passionate mythical, and devotional expression.” 15 to ritual, respond to the new stimulus in the same way For example, Pavlov’s dog learned as to the old. to salivate to the Osgood’s Theory of Meaning The other theories in this section ing in terms of the association bol and its Osgood referent. new S-R meanbetween a symdefine learning how basic association process and to isolate the psychological dimensions of connotation. As a behaviorist Osgood is especially interested in how meanings are learned and how they relate to internal and ex- He on the semantic is well known differential, a the internal (s-r) level. is somewhat complex. He proposes a three-stage behavioral model, illustrated in Figure 6.2. 17 This model can be used to analyze any behavior, but he applies it to language and approach of Chomsky, which was reviewed in the last chapter. meaning in particular. Three basic processes are involved: encoding (receiving stimuli), Osgood’s theory, you sponses), may need a little background in learning theory. follows the classical learning tradition, which teaches that learning is a process of de- association (pairing stimuli and re- and decoding (responding). These processes occur on one of three levels, depending on the complexity of the behavior involved. Osgood The projection level is the simple neural pathway system between sensor and effector organs. Be- internal or external behavioral In this tradition learning theory havior on this level is begins with the assumption that individuals respond to stimuli in the environment. The link jerks and eye blinks. between stimulus and response often referred On Most learning theorists such as Osgood agree that predispositions in the individ- link is this Osgood’s model of this internal-external relationship structural new more complex responsible for the sponse, the lowercase letters 5 and r designate the internal representation. Meaning occurs on should explain the interaction between language and other human activity. Clearly his approach differs significantly from the purely veloping is mental stimuli, they also have a representation of the stimulus and response that is internal in the organism. While the symbols S and R are used to represent the overt stimulus and re- work method for for his context, and that theories of psycholinguistics associations. process model of establishment of meaning. Although individuals can respond overtly to actual environ- measuring meaning. His theory is one of the most elaborate of the behavioral theories of language and meaning. 16 Osgood believes that language should not be studied apart from actual ongoing behavior, that language is used in In order to understand By this ways. Osgood, however, believes that this association arises ternal behavior. bell. simple, and psychologists agree that learning does occur in other, The theory of Charles seeks to explain sound of a links are established. This is response 17. to as S-R. reflexive, such as knee Here the stimulus and are linked automatically and directly. the integration level the stimulus-response is not automatic. Stimulus and response paired or associated must be integrated by the brain through perceived association. An example is the routine greeting ritual: “How are you?” “I am fine.” The representational level is the level on which meaning occurs. The stimulus from the environment is projected onto the brain, where an with the original stimulus, the organism learns internal response leads to an internal stimulus how ual affect the person will respond to the stimulus, and so they revise the S-O-R, which refers model to read to stimulus-organism- response. When a new stimulus is (meaning), which in turn leads to the individ- 293-94. 15. Ibid., pp. 16. Charles Osgood, “On ual’s overt response. Understanding and Creating Sentences,” American Psychologist 18 (1963): 735-51. Ibid., p. 740. 99 The internal response or THEMATIC THEORIES meaning is a you learned association between certain and a sign of the word, perhaps) will elicit a particular meaning or set of meanings, which stem from the association of the sign and object. Thus the object. the sign To suppose you the chair, real life (a process. and it immediate future a picture of the sight of another similar chair, or in a small fragile chair, words “small fragile chair” will elicit an image (r m ) in your head that influences how the is part of your meaning for the sign. In meanings are more complex than in this example, but they are formed, Osgood believes, through the same basic associational use a rather dramatic example, sit collapses. In the will respond. This internal response (fear or pain) actual responses to the object In summary, Osgood level as sensory, the second sees the first as perceptual, and the third as meaningful. The development of meaning by a sign trated associating with an environmental stimulus in is illus- Figure 6.3. This figure shows the Processes Decoding Encoding Association Representational s.. Integra tional s Projection r s (1) s refers r Sensory R to internal stimuli, r to internal responses, both differentiated by level. stimulus and response. Figure 6.2. Perception (3) (2) S *The symbol r (6) (5) (4) Meaning n (9) (8) (7) Levels Three-stage mediation model of behavior. 100 S and R refer to external . THEORIES OF MEANING development of a sign S as the result of its association with a natural stimulus S. A portion of one’s complex response to the natural stimulus R t becomes represented in the form of an internal response r m which in turn becomes an internal stimulus to a new but related , R x Meaning overt response . mediating process represented r m > m is the internal in Figure 6.3 as Such meaning, since it is inthe person and unique to the person’s own side s . experience with the natural stimulus, is said to be connotative Osgood presents a good example of this process. For a particular person a spider (S) elicits a word spider might be son’s . When the associated with the object as is it m , each of which meanings elicits in These signs are associated with another new sign, I SI, and their internal responses (meanings) “rub off” on the new sign (r ma ). To continue our example, imagine that the child who had already established internal re(r ). sponses to the words spider, big, tened to a story about and hairy lis- a tarantula. In the story was characterized as a “big, hairy spider.” Through association the child will now have a meaning for the new word tarantula. This word may also carry some mixture of the connotations earlier attached to the other words the tarantula because of association with these words. If its small child, a portion of the the child associated spider with fear, big with becomes associated with the This internal meaning mediates the perresponse to the word, even when the ac- potentially dangerous, and hairy with feeling response label. complex response R T S signs, the individual because of previous associations in Rm tual object is a (fear) might well react to a real or imagined tarantula by running away. In this creepy, then the child not present. 18 Most meanings are not learned as a result of with the natural stimulus. In other words, they are learned by associations direct experience between one sign and another, a process that occur in the abstract out of physical contact with the original stimulus. Figure 6.4 is Osgood’s illustration of this more complex process. 19 This figure depicts a series of may 18. in ISI (tarantula), when words, comes to of avoidance (r stimulus (R xa ) (s ma when ) associated with the other elicit m a)> the internal response which itself becomes to cause the child to run tarantula. Osgood, “The Nature and Measurement of Meaning,” The Semantic Differential Technique, ed. James Snider and Charles 19. Osgood (Chicago: Aldine, 1969), pp. 9-10. Ibid., p. 11. S Rx From The Measurement of Meaning, by Charles Osgood, George Suci, and Percy Tannenbaum. Copyright© 1957 by the Board of Trustees of the University of Illinois. Reprinted by permission of the University of Illinois Press. Figure 6.3. Development of a sign. a away threatened by a real or imagined From The Measurement of Meaning, by Charles Osgood, George Suci, and Percy Tannenbaum. Copyright 1957 by the Board of Trustees of the University of Illinois. Reprinted by permission of the University of Illinois Press. © Figure 6.4. Development of an assign. — THEMATIC THEORIES Osgood perhaps best is known and strong. In any case one’s connotative meaning for mother will depend on learned associations in the individual’s life. (Keep in mind that for the seman- differential technique, a method for measuring meaning. 20 This measurement technique assumes that one’s meanings can be expressed by the use of words. The method begins by finding a set of adjectives that could be used to express individuals’ connotations for some stimulus or sign. These adjectives are set against one another as opposites, such as good/bad, tic high/low, slow/fast. Individuals are given meaning are not dichotomous but continuous variables.) Osgood and others have done semantic differential research on a variety of sign types, including word concepts, music, art, and even sonar sounds. 22 In addition they have done research among a number of groups of people representing a wide range of cultures. Osgood believes that the three factors of meaning evaluation, potency, and activity apply across all people and all concepts. 23 If this is true, then Osgood has significantly advanced our understanding of meaning. Osgood’s mediational approach has been especially well applied by social psychologists to persuasion and attitude research. Osgood the three dimensions of a word, or other stimulus and are asked to on a seven-point scale how they associate the stimulus with the adjective pairs. A sample scale looks like this: topic, indicate good : : : : bad : : — The subject places a check mark on any space between these adjectives to indicate the degree of good or bad associated with the stimulus. The subject scales for statistical may fill many as fifty such Osgood then uses a out as each stimulus. himself has participated in developing technique called factor analysis to find the basic dimensions of meaning that are operat- ing in peoples’ connotations of the stimulus. His findings in this research have led to the theory of semantic space. 21 One’s meaning for any sign is given sign, perhaps a activity, word and potency. or concept, theory of view is expressed in Charles Osgood, “Semantic Differential Technique in the Comparative Study of Cultures,” in The Semantic Differential Technique, ed. James Snider and Charles Osgood (Chicago: Aldine, 1969), pp. 303-32); and Cross Cultural Universals of Affective Meaning (Urbana: University of Illinois Press, 1975). 23. This point said to be located in a metaphorical space of three major dimensions: evaluation, a A sampling of studies illustrating the applications can be found in Snider and Osgood, Semantic Differential. This work also includes an atlas of approximately 55 concepts and their semantic profiles. 22. A elicits a reaction in the person consisting of a sense of Good evaluation (good or bad), activity (active or inactive), and potency or strength. The person’s connotative meaning will lie somewhere in this hypothetical space, depending on the responses of the person on the three factors. Figure 6.5 illustrates semantic space. Take the concept mother, for example. For any given person this sign will elicit an internal response embodying some combination of the One person might judge mother as good, passive, weak; another as good, active, three factors. 20. Ibid. 21. More recently Osgood has hypothesized that bipolarity a basic factor in all language and human thought. See Charles Osgood and Meredith Richards, “From Yang and Yin to and or but," Language 49 (1973): 380-412. is Figure 6.5. 102 Three-dimensional semantic space. — THEORIES OF MEANING of attitude change. His semantic differential technique has often been used in attitude re- criticism, related search because his concept of meaning ness of semantic differential technique for of to that attitude. again in Chapter An We is similar will return to this issue 8. interesting epistemological division is mainly to validity. 25 Although most behavioral researchers admit the useful- measuring ing, they question the of connotative meanview that the factors of meaning potency, and activity a certain aspect — evaluation, found among the theories in this section. Langer and Richards stress the importance of concepts, and cultures. Although these factors individual interpretation and the personal nature of meaning. Osgood’s theory, however, is have appeared in an amazingly diverse set of studies, they do not always appear; to suggest behavioristic and posits universal factors of that they are universal meaning. His semantic tion. diffetential epitomizes are invariant and universal across differential arise “measuring” dimensions of existing ical how reality. illustrates clearly gross overgeneraliza- problems. First, somewhat assumptions about knowledge shape the sort of claims made and methods used. Richards and Langer, assuming rich indi- from the use of vidual differences in personal knowledge, attempt to capture idiosyncratic aspects of representational meaning. Osgood, in contrast, seeks presented with a theorist’s a Problems of validity in the use of semantic from at least two methodolog- the behaviorist penchant for “discovering” and This fundamental difference is situations, similar responses may result a highly structured stimulus The semantic situation. differential always in- volves adjective scales, and subjects are often many of the same scales in study may respond more to the after study. Subjects The basic criticism form of the instrument than to the real meanings of the concepts. Second, the semantic differential relies heavily on a statistical procedure called factor analysis. This technique shows how the several scales intercorrelate to form factors, but the researcher must subjectively as a group interpret the generalized forms of meaning that cut across situations and cultures. i Criticism of Representational Theories there is of representational theories one of scope. No one denies that of truth in these theories, but a grain is as they are indicted for being overly simple. The notion that words are taken to represent referents is critics. us factors. If a theorist such believes that three factors are univer- strong tendency may develop to interpret the factor structure in just that way. In short, the claim that factors of meaning are universal obvious and uninteresting, according to These theories are word-centered and 24 may of how meaning arises and develops communicative process. Critics believe that the most important aspects of meaning are beyond the word level. Langer identifies the tell and name the Osgood sal, a be the result of a self-fulfilling prophecy. little in the as a reac- tion to guage philosophy represent one attempt to deal with meaning on a higher level. other was the tradition of propositional mean- its two earlier movements. One was the representational approach to meaning, and the ing. Osgood’s theory ofsematic space, because of method, has incurred a different kind of 24. This criticism developed extensively by Bernard Introduction to the Philosophy of Language (New York: St. Martin’s Press, 1979). See also Stanley Deetz, Words without Things: Toward a Social Phenomenology of Language,” Quarterly Journal of Speech 59 (1973): 40-54. Harrison, * Ordinary Language Philosophy Ordinary language philosophy began higher discursive level but does not develop it. In the next section theories from ordinary lan- is As you have just seen in the last section, representational theories center on the relation- Criticisms, including both positive and negative evaluations of the semantic differential, are summarized in 25. An Donald K. Darnell, “Semantic Differentiation,” in Methods of Research in Communication ed. Philip Emmert and William Brooks (Boston: Houghton Mifflin, 1970), pp. 181-%. , 103 THEMATIC THEORIES ship between symbols and referents. The propmean- ositional school looks to the sentence for ing; it logical finds the source structure of meaning to be the is It equivalent to the utterance itself without considering the speaker’s intentions. Philos* ophers of the propositional school center of propositions, or claims. on the their efforts This approach does not consider how a statement is actually being used in interaction. Or- the force of dinary language philosophers believe that the illocution most important aspect of meaning is not found in the reference of words or in formal logic but in the way language is used. Speech acts, not forms, are the most important factors of com- is of such analysis communicating an taken as a warning, intention. a of An An compliment, reprimand, a promise, and so forth. locutionary act is one designed a all acts. involves saying something with illocutionary act A per- to affect the feel- of listenacts, which are most important for Austin, are marked by the use of certain performative verbs. These ings, attitudes, beliefs, or behaviors ers 28 . munication meaning. The two types of latter clearly Foundations: Wittgenstein and Austin Ludwig Wittgenstein, a German philosopher, was the originator of ordinary language philosophy. His early works were strongly in verbs literally by the name utterance. the act being accomplished Such verbs as name, assert, promise, ask or thank guide the observer to un- derstand the intentions of the speaker. These the propositional tradition, but he repudiated concepts are discussed in approach in one of the most dramatic turnarounds in modern philosophy 26 He later taught that the meaning of language depends on the context of use. Further, single words by themselves are rarely meaningful. Language, as section this on speech more detail in the next acts. . Searle’s acts. laid by Wittgenstein and Austin, John Searle developed the wellknown theory of speech acts 29 Although Searle is not solely responsible for speech act theory, he is clearly the leader of the movement, and his used in ordinary life, constitutes a language game. In other words, people follow rules for accomplishing verbal Theory of Speech Acts Building on the foundation . Giving and obeying scribing events are examples of ordinary uses of name is most often associated with the theory. The speech act is the basic unit of language for language that follow rules and hence constitute expressing meaning. language games. presses an intention. While the philosophical groundwork of ordinary language philosophy was laid by Wittgenstein, J. L. Austin developed the basic concepts of what his protege, John Searle, later a sentence, but orders, called asking and answering questions, de- speech acts 27 . types of speech acts. long as A work was is or phrase, so in Wittgenstein’s undeveloped in speech act literaFor a development of this concept, see Robert N. Gaines, “Doing by Saying: Toward a Theory of Perlocution,” Quarterly Journal of Speech 65 (1979): 207-17. 29. early the speech act word follows the rules necessary to ac- ture. Tractus John Searle, Speech Acts: An Essay in the Philosophy of Language (Cambridge: Cambridge University Press, 1969); Searle, “Human Communication Theory and the Philosophy of Language,” in Human Communication Theory, ed. Frank Dance (New York: Holt, Rinehart and Winston, 1967), pp. 116-29. Good secondary sources include John Stewart, “Concepts of Language and Meaning: A Comparative Study,” Quarterly Journal of Speech 58 (1972): 123-33; Paul N. Campbell, “A Rhetorical View of Locutionary, Illocutionary, and Perlocutionary Acts,” Quarterly Journal of Speech 59 (1973): 284-96; Gaines, “Doing by Saying”; and Silverman and Torode, The Material Word, pp. 203-25. and Kegan Paul, work, which forms the foundation for ordi- Logico-Philosophicus (London: Routledge 1922); his later a complish the intention (or locutionary act involves known an utterance that ex- It is Normally can be 28. Perlocutionary acts are Austin designates three saying something that has referential meaning. 26. Wittgenstein’s best it it nary language philosophy, is Philosophical Investigations (Oxford: Basil Blackwell, 1953). I have relied on the excellent summary by David Silverman and Brian Torode, The Some Theories of Language and Its Limits (London: Routledge and Kegan Paul, 1980). Material Word: 27. J. L. Austin, How to Do Things with Words (Cambridge: Harvard University Press, 1962); Austin, Philosophy of Language (Englewood Cliffs, N.J.: Prentice-Hall, 1964). 104 THEORIES OF MEANING terms, to play the language game). We will effects or discuss rules in speech acts momentarily; for now let speech acts. When one consequences in other peoples’ be- havior. Since the difference between illocution and perlocution is sometimes hard to grasp, let’s pursue it a little further. us turn our attention to the nature of speaks, one performs an The act may involve stating, questioning, commanding, promising, or any of a number An act. illocution is primary concern an act in which the speaker’s that the listener understand is A of other acts. Speech therefore is conceived of as a form of action or intentional behavior. If we the speaker’s intention. relate this discussion to the tener to understand but to act in a particular we Chomsky see that while in previous chapter, is way interested in lan- as intention. thing, when he and the performing of a speech to act is an attempt Now let us pursue propositional acts and illocutionary acts in content of an illocution. act theory does not of symbols but a whole. If you make a event. The cake the intent of the act as Her name promise, you are communicating an intention about something you will do in the future; but viewed the to of as part tion. Searle body, examples of proposibe evaluated in terms of speech act theory, illocutionary act is deter- a larger context, the illocu- would be the following: warn you that association one designed to the mined in part by establishing how the speaker wishes others to take the stated proposition. Hence, for Searle, propositions must always be I ask salt is interested in acts such as whether the cake is good; I harmful to the body; I state name is Karen. What the speaker is doing with the proposition is the speech act, and how the proposition is to be taken by the that her designed to fulfill an intention vis-a-vis another person. Here one uses the speech act to elicit response in another. Finally, is harmful all earlier. In The meaning of an is the perlocutionary act Karen are is speaker intends to do by uttering a proposition. between a subject and verb or to designate an object and refer this object to something else. An illocutionary act some designates however, truth and logic are not considered important. Rather, the question is what a utterance of a sentence with the intention of expressing a reference. In other words, the in- make an good, Salt school referred to Such acts are the simple pronunciation of words, singly or in combination. Here the intention is to utter, nothing more. An example is an actor doing voice exercises. The propositional dividual wishes to The proposi- one aspect of the It their truth value. The logical relationship of one proposition to another can also be examined. These are the proper tasks of the propositional Austin’s but slightly different, divides speech acts into four types. The first is an utterance act. It is is is tions. Propositions can more importantly, you are expecting the other communicator to realize from what you have said what your intention is. Searle’s classification, essentially the same as refers to as a locution. detail. quality or association of an object, situation, or stress the individual referents what Austin more tion can be understood as speaker’s intention. Unlike the representational act is lis- say, “I tered simultaneously. that the recipient understand the view of meaning, speech I ment expecting you to bring me a glass of wamy act is perlocutionary. These four kinds of acts are highly interrelated and often are ut- communicate one’s intention to another perAn important part of the meaning of a is because of that understanding. If ter, act, son. speech act an act thirsty,” with the intention of having you understand that I need a drink, I am performing an illocutionary act. If I make the same state- The speaker means some- or she performs a speech is am guage competence, Searle is interested in language performance. What, then, is meaning from the standpoint of speech act theory? Meaning is roughly the same perlocution which the speaker not only expects the audience is the illocutionary force of the statement. You could, for example, state the proposition The cake is good in such a way as to have have 105 THEMATIC THEORIES you were speaking ironiimply just the opposite: This the listener realize that meaning cally, cake is to the worst I ever stitute” a sufficient set to Searle states fundamentally that “speaking a language is engaging in a of Two rules theory. as a named types of rules are speaker and hearer necessary for the act to take game exists only by that the listener When you following a certain game of football therefore tell of set The rules rules, observe people you what The sincerity rule requires the speaker to mean what is said. (In the case of insincere illocutions, the act is presented in such a you know the way presumes the speaker actually intends what he or she says is essential rule states that the act being played. These rules is The some condi- in parentheses above. of the referenced object. Preparatory rules involve the presumed preconditions in the .'; virtue of its rules. act the basic tion place. constitute the game. must have propositional content rule specifies rule create new forms of behavior; that is, acts are created by the establishment of rules. For example, football as a important. Constitutive of conditions for an promise. illocutionary act kinds of rules rule-governed form of behavior.” 30 In Chapter 4 we mentioned that speech act theory is one of the primary applications count Any ate. intended.) is The indeed taken by the hearer and speaker to represent what it appears to be on the face. Of course, many acts are not successful in these ways, and speech acts can be evaluated in terms of the degree to which they meet these criteria. Searle believes that to interpret as football. In speech acts, one’s intention is largely understood by another person by virtue of constitutive rules, because these rules tell others what to as a particular kind of act. An example is provided in the next paragraph. The second kind of rule is regulative. Regulative rules pro- speech acts vide guidelines for acting out already estab- illocutionary acts, including at least requesting, count lished behavior. The behaviors are guest who is rules, let us clearly states the intention, other speech acts are leaving. look at indirect. one of family constitutive analyses of a speech act, the act of making be a promise. Promising involves five basic rules First, promising involves uttering a sentence act {propositional content rule). tence is do the would not do it Finally, a Searle, Speech Acts, p. say, “Is a request. of illocutionary called assertives. An assertive is a clude, believe, and so forth. Directives are il- locutions that attempt to get the listener to do something. They are commands, requests, pleadings, prayers, entreaties, invitations, and so forth. Commissives promise involves the commit the speaker to a They consist of such acts as promisvowing, pledging, contracting, guaranteeing, and so forth. Expressives are acts that future act. establishment of an obligation for the speaker to do the act ( essential rule). These five rules “con30. first is it is tion. a Fourth, the speaker must intend to do the act (sincerity rule). The statement of might the face this appears to In direct form such acts might contain such performative verbs as state, affirm, con- rather {prepa- promise only when it would not otherwise be obvious to the speaker and hearer that the act would be done in the normal course of events {preparatory rule). is On but in actuality proposition that commits the speaker to advocate the truth of the proposia Second, the sen- act than statement acts. do some future uttered only if the listener that the speaker ratory rule). Third, a to the table, a father a question, Searle outlines five types . that indicates the speaker will For example, in requesting that his come anybody hungry?” extended Searle’s a questioning, thanking, advising, warning, greeting, and congratulating. Although many speech acts are direct; involving the use of an explicit proposition that tell As an example of the use of calls These constitutive wide variety of asserting, and the one how to use the behaviors to accomplish a particular intention. For example, a host often opens the door for a regulative rules be defective; Austin rules are believed to apply to a known and available before being used in the act, may defective act an infelicity. ing, communicate some aspect of 22 106 the speaker’s . THEORIES OF MEANING psychological They state. congratulating, condoling, wel- Finally, a declaration signed to create a proposition that, by assertion, makes it so. don automatically include thanking, apologizing, coming, and others. is its Austin claims de- constitutes an illocution, as does. it The very Examples include ap- even could observe the difference if one readers, these concepts, tute a useful conceptual given speech act philosophy is that it takes the analysis of language out of the realm of the formal and structural and into the arena of actual use. Ironically, its primary weakness may be that it has not done enough to show how language-in-use operates in ongoing communication 31 This problem is discussed in terms of three related criteria of theory evaluation: scope, validity, and intents ent for example, rules among now Austin has, in structure that is in research on communication awaits future investigation and development. Language and Experience meaning take the posimost important aspect of meaning between language and experience. All of these theories share the thesis that language strongly influences the ongoing life and experience of the person. Meaning thus is conceived as the person’s knowledge of reality, as shaped by language. Unlike the representational approaches, these theories do not Experiential theories of “And tion that the is criticized for A thorough and rather biting critique of Austin can be in Campbell, “Rhetorical View”; see also Gaines, Critical commentary can also be found Silverman and Torode, The Material Word, and Harrison, found “Doing by Saying.” in the relationship separate the sign, the referent, and the person. Introduction Campbell, “Rhetorical View,” Little 33. 31. 32. of on the face, language-in-use would seem to be of great interest. Perhaps the main contribution of this line of theory is a basic idea, an idea that being unclear. Critics question the utility of locution as a concept if the utterance of a locu- in are constitutive in the sense processes has resulted from the ideas of Wittgenstein, Austin, and Searle, even though judgment, erected a imminent danger of colis no longer theories. my lapse .” 32 His three-fold analysis apply lidity is locutionary, illocutionary, and critic states: may directly to types These apparent weaknesses of scope and vahave lessened the heuristic value of these is the apparent inherent One may be fulfilling a variety of be taken in a variety of differ- different listeners. Conceptually, new acts. Hence, rules that regulate can be taken as constitutive, and rules that constitute an act also regulate it. perlocutionary acts has been severely criticized this standpoint. may creating conceptual categories of speech act theory are vague or meaningless. Austin’s three-fold dis- from for guiding of force and effects than of acts per se. The distinction between regulative and constitutive rules is equally fuzzy 33 The problem here is that once any act becomes standardized, as in the case of almost all illocutionary acts, with speakers’ actual purposes in using those verbs or with listeners’ actual interpretations. Although some critics agree that intentions are an important aspect of meaning, that speech constitutes a form of action, and that speech acts are governed by rules, they argue that the tinction and ways by more Critics point out that despite its broad claims and qualifications to the contrary, speech act analysis is^narrow in scope. It focuses on the structure of utterances as indicators of their in- Austin, framework the terms illocution and perlocution heuristic value. implications of performative verbs than he among doubtful that they consti- to types . more concerned about it is equally point out that our understanding of speech acts. It would perhaps be more fruitful to recogize that any Language Philosophy strength of ordinary language tentional meanings. between is many forth. The obvious who unclear to pointing, marrying, firing, resigning, and so Criticism of Ordinary distinction illocutionary and perlocutionary acts Susan B. Shimanoff, Communication Rules: Theory and CA: Sage 1980), pp. 84-83. p. 287. Research (Beverly Hills, 107 THEMATIC THEORIES They place the three as being so closely intertwined that they must be viewed together. There are numerous experiential approaches to meaning. Two major experiential theories are presented here for illustration: Cassirer’s theory of symbolic forms and Whorf s theory of lin- must adapt be saying to “reality.” What that language is Cassirer seems to and nature interact. Our language and other symbolic forms influence how we perceive; at the same time, what we perceive may influence our symbolic forms A guistic relativity. 36 culture’s predominant symbolic forms shape both the culture’s expression and percepCassirer’s Philosophy of Symbolic Forms Ernst Cassirer is one of the best-known language philosophers of our age. Cassirer was a German philosopher who wrote during the first As an epistemologist he believed that the human mind can be under- The Philosophy of Symbolic Forms, discusses four major forms: myth, art, tion. Cassirer, common in language, and science. 37 like primitive feeling-centered forms. stood only through an investigation of symand he devoted his life to exploring this topic. The Philosophy of Symbolic expresses include Forms, published in the 1920s, derstanding of concepts but to bolic processes, is his largest single work and the one most concerned with language and meaning. 34 An Essay on Man, perhaps his best known work, also deals in part with symbolism. 35 For Cassirer language is intimately tied to human mind. The important human quality of language is meaning. Cassirer believes that the language cannot be studied from afar as a natural object might be studied. It must be ap- proached phenomenologically through the mind and meanings of the person. Human beings experience the world through symbols; symbolic representation is inherent to our perception. Languages and other symbolic forms structure reality for us, but we are not stuck in an inflexible position because of some preordained linguistic straitjacket. People must confront natural forces, and thus their language Myth and Myth nonlogical, value-centered form. life, (Berlin: Bruno The Philosophy of Symbolic Forms, 3 Cassirer, 1923, 1925, 1929). Concept of Dame Man as felt theme of the symbol-mediated na- ture of reality, Langer continues: “This not of a radically different ‘given fact,’ but is the way phenomena are given to naive apprehension.” 39 At this level the person sees the meaning of the symbol as intrinsic in the form itself: “In savage societies, names are treated as though they were physical proxies for their bearers.” 40 36. myth much about art, — highly personal and myth nor but feel- forms are forms their art This interpretation is further developed in Itzkoff, Emst Cassirer, pp. 115-18, 138. Explanations of these can be found in Susanne K. Langer, “On Cassirer’s Theory of Language and Myth,” in 37. The Philosophy of Ernst Cassirer, ed. Paul Schlipp (New York: Tudor Publishing, 1949), pp. 387-90; Itzkoff, Ernst Urban, “Cassirer’s Philosophy of Language,” p. 420-30. pp. 403-41. 38. Langer, Man (New Haven: is ‘make-believe,’ not a willful or playful distortion Cassirer, pp. 105-8; Essay on is an inherent power.” 38 Recalling Cas- sirer’s basic vols. Several sec- (Notre Dame: University of Notre An it evil, objects or places or being, and their import Cassirer did not write Press, Cassirer, values a deep sense of among the people of a culture. As Langer describes it: “Mythic symbols do not even appear to be symbols; they appear as holy 1971); Paul Schilpp, ed., The Philosophy of Cassirer (New York: Tudor Publishing, 1949). For a short overview see Wilbur Urban, “Cassirer’s Philosophy of Language, in Schlipp, The Philosophy of Emst Cassirer, Emst The power, violence, identification ing centered. Neither Emst 35. primitive, and death. These values are emotionally charged. Myth, therefore, does not lead to un- art is similar to ondary sources are available, including Carl H. Hamburg, Symbol and Reality (The Hague: Martinus Nijhoff 1970); Seymour W. Itzkoff, Emst Cassirer: Scientific Knowledge and the a is very abstract. Unlike scientific 34. Ernst Cassirer, art, language, are highly personal and half of this century. “On 39. Ibid., p. 389. Yale University Press, 1944). 40. 108 Ibid., p. 390. Cassirer’s Theory,” p. 388. THEORIES OF MEANING meanings are rather fixed in the feeling of the moment. Science, the highest symbolic form, devel- ops late in the evolution of a culture. Unlike the primitive mythical form, it facilitates abstract thought. Scientific forms mediate reality just as primitive forms do, but the scientist recognizes this fact. form, that Mathematics, the ultimate scientific a glass spontaneously fourth form, language, actual act things. The themselves so distant from the sensory experience symbolizes pure relations rather than is it person is bound to the immediate sensory experience. Here is an example: “The contrast between normal man, who lives in a world of mediated signs and meanings, and the apractic, who must aim at a direct goal for his actions, is exemplified by the fact that many apractics who under ordinary conditions could not pour is intimately re- lated to the other three. Cassirer shows how of water when asked, do so thirsty. The multitude of when individual and mediated symbolic steps between the request to pour the water and the is too overwhelming for them to in- tegrate and respond normally .” 41 language evolves from a primitive state similar to myth to an advanced state similar to science. portant attributes, Language passes through three processes: gestalt perception (seeing wholes mimetic stage, the language is stages. In the tied to individual perceptions of the moment-. Like mythical forms meaning at this stage varies little and Meaning mation and logical thinking. The second stage analogic. At this stage the language begins to move away from a strict one-to-one relationship with things. People begin to use sounds more in terms of analogy to the real world rather than identifying objects with sounds. The most advanced stage in language development is symbolic. At the symbolic stage grammar develops. Word meanings are broad enough to allow a range of conceptions to be possible. Thus perception itselfis widened. The person becomes more creative and adaptive. Only at this advanced stage can science develop. In summary the history of language is one of ever increasing abstraction. As language develops, meaning is broadened from a strict sensory, here-and-now identification to forms that allow for multiple meanings and interre- lationships. Cassirer’s notions on the relationship Our symbol-processing abilities apart tions. People processing who abilities At low have lost their In short, Cassirer sees vidual’s perceptual meaning as the indi- and thought worlds medi- ated by the predominant linguistic and nonlinguistic symbolic forms of the culture. Cassirer does not break completely with representa- tional theory, but he takes a broader view by showing how symbolic forms create meaning worlds in people by shaping their perception and thinking. Linguistic Relativity Another theory that supports this view that language shapes our very being is the Sapir- Whorf hypothesis otherwise known as the linguistic relativity. Although the method and origin of the relativity hypothesis is distant from that of Cassirer, its assumptions about language and meaning are much the same. This theory 42 is based on the work of Edward Sapir and his protege Benjamin Lee , theory of 41. Itzkoff, Ernst Cassirer, p. 132. 42. symbol- cannot operate on an ablevels from the immediate presence of the sen- suous object. Edward Sapir, Language: An Introduction to the Study of Speech (New York: Harcourt, Brace & World, 1921); Benjamin Whorf, Language, Thought, and Reality (New York: John Wiley and Sons, 1956). In the previous volume the following articles are most helpful: John B. Carroll, “Introduction,” pp. 1—34; “The Relation of Habitual Thought and Behavior in Language,” pp. 134-359; “Language, Mind, and Reality,” pp. 246-69. allow us to see relationships and to think through ac- stract level. possible of lan- guage to thought are largely influenced by his observations of aphasics at a neurological institute. made interrelationships) and thought or mental action lacks the abstraction necessary for concept for- is two imby symbolic and therefore seems to involve of abstraction, the 109 . THEMATIC THEORIES Whorf. Whorf is best known for his fieldwork in linguistics; his analysis of the Hopi is particu- Whorf discov- stead, the Hopi would refer to the passing or coming of a phase that is never here and now but always moving, accumulating. In our cul- ered that fundamental syntactical differences are ture three tenses indicate locations or places in a larly well present known. In his research among language The Whorfian groups. verbs have no tense in the same sense. Instead, verb forms relate to duration and order. In that the structure of a culture’s language determines the behavior and habits of thinking words of Edward the in that culture. their the Standard Average In Sapir: beings do not live in the objective world alone, nor alone in the world of social activity as ordinarily understood, but are very much at the mercy of the particular language which has become the medium of expression for their society. It is quite an illusion to imagine that one adjusts to reality es- Suppose is . If, a This hypothesis suggests that our thought way we see the world are shaped by the grammatical structure of the language. As one reviewer reacted, “All one’s life one has been tricked ... by the structure of language into a certain way of perceiving reality .” 44 however, the Hopi speaker wished to report past event of running the Hopi all , which repre- view of the world at large or macroOne area of Whorf s extensive analysis of Hopi thought is the analysis of time. While . examHopi conceive of Thus the Hopi language never objectifies time. A Hopi would not refer to summer as “in the summer.” Inple, cultures refer to points in time (for seasons) as nouns, the time as 43. a Quoted passage or process. in tation. Whorf, Language, Thought, and would it), a different (the form sentence, Again, it translate warikni, which as a statement of expecnot the location in past, is present, or future that is important to the Hopi, but the nature of validity (observed fact, re- or expectation). Another English runs [on the track team],” would warikngwe This latter Hopi form again refers to running, but in the sense of law called fact, 45. or groups the Hopi sents their many will run,” from memory The English “He translate illustrates the relativity cultural possess a thought-world microcosm cosm “He used, era wari. communicates running form, his life investigating the relationship of language and behavior. His hypothesis. Like a fact. hearer did not actually see processes and the work with running: presently occurring or happened in the past. would be much of “He is running.” word wari, which is a The same word report of past running, “He is would be used for a ran.” For the Hopi the statement of fact (validity) is what is important, not whether the event . spent as 4S use the statement of running as is Whorf visualize time as a more complex, that a speaker reports to a hearer that a third person specific . is following example The Hopi would without the use of language and that lanmerely an incidental means of solving problems of communication or reflection. The fact of the matter is that the “real world” is to a large extent unconsciously built up on the language habits of the group. We see and hear and otherwise experience very largely as we do because the language habits of our community predispose certain choices of interpretation 43 we The Hopi conception illustrated in the sentially . European languages (SAE), including English, line. Human guage and future. Hopi spatial analogy: past, present, hypothesis of linguistic relativity simply states condition. As a result of these Hopi and SAE cultures preparing activities. Experiences (getting pre- pared) tend to accumulate as time “gets later.” The emphasis is on the accumulated experience during the course of time, not on time as a point or location. In SAE cultures, with their spatial treatment of time, experiences are not accumulated in the Reality, p. 134. linguistic differences, will think about, per- and behave toward time differently. For example, the Hopi tend to engage in lengthy ceive, same sense. Elaborate and lengthy Adapted from Whorf, Language, Thought, and 44. Carroll, “Introduction,” p. 27. p. 213. no Reality, THEORIES OF MEANING preparations are not often found. The custom in objectified in space (recorded). Whorf and Sapir’s One commen- erates in cultural experience. SAE cultures is to record events (space-time analogy) such that what happened in the past is claims, however, are extreme. tator writes that this theory Whorf sum- promotes two hor- horror of helplessness, that people are rors: the marizes this view: “Concepts of ‘time’ and ‘matter’ are not given in substantially the same helplessly trapped form by experience to all men but depend upon the nature of the language or languages through communication across cultures 47 A good deal of linguistic research challenges the validity of the use of which they have been developed .” 46 these claims. by their language, and the horror of hopelessness, that there is no hope for . We have now looked at three senses of meaning. In the first meaning is universal from the seen as a representa- Theory studies as to constitute a Scholarship on meaning and it? How how do we separate it enough do researchers and This area is is controversial because a particular meaning often reflects a particular onset of beliefs about the nature of being. Much of this controversy is needless. Meaning itself is an abstract concept; and con- from to ap- sequently it can be applied legitimately in a variety of ways. Even everyday in the term in different ways. meaningful experience, or of as lan- ing that that a we word, or life we use We say that we had a we question the mean- we deny another person’s misinterpretation of our intentions mean it that way. Most theories of meaning contain it goes beyond philosophical claims to make theoretical generalizations about how language op- by saying didn’t a grain (or Joshua Fishman, “A Systemization of the Whorfian Hypothesis,” Behavioral Science 5 (1960): 323-39. 47. 46. not to suggest tology or own linguistic experience to understand the process as a whole? Experiential theories provide little in the way of substantive strength of Whorfian theory is idea of transcend their The own. meaning theory is trivial or unimportant. some of the greatest minds in philosophy have grappled with the nature of meaning. theorists understanding of the nature of language guage or of meaning processes. its highly speculative Indeed, study. They keep generalization and development of substantive theory out of reach. If meaning is so wrapped up in per- sonal experience, domain of is on philosophical argument and that them to phenomena under prehend rests largely anecdotal observation. This are not sure individual experience long are not de- to any communication event. People use language to share this experience. The correlation between language and experience is meaning, which is such a big part of communication where to deepen our understanding of the take be- What Do We Know about Meaning? The human being brings a wealth of experience toward language and meaning. Their strength is that they remind us of the centrality of individual human experience in meaning. The problem is that once we understand and we Chomsky meaning and that these definitely termined by cultural factors. Experiential theories provide a general attitude accept their premises, last chapter. of language are anything but culturally bound. Osgood too believes that he has found universal factors of lieves that the essential features of some object, occurrence, or condition. The theories that espouse this view outline three distinct elements: the object, the sign, and the person. The second approach views meaning as intention. Theories in the third approach stress the idea that symbols so heavily influence the experience of the person that they cannot be separated from human experience. Here we see a major departure from the traditional view that meaning is in the person and is elicited by signs. tion Criticism of Experiential Recall the concept of language Ibid., p. 158. Ill THEMATIC THEORIES boulder) of truth. They have greater potential for integrating the various notions of meaning Postscript than implied by their advocates. Such an integration can be accomplished by using a multidimensional model of meaning, Clearly language and meaning are domains that are central to the process consisting of difficult to understand. many of communication, yet They are multifaceted, at least three factors. involving meaning has a referential aspect. Clearly words and other symbols are taken to represent they present us with a paradox. First, objects, situations, conditions, or states. heart of Com- seem munication itself could not occur without shared symbolic references. The problem in meaning theory is not that the notion of meaning as reference is wrong, but that it is inadequate by itself to explain the complexity of meaning. Thus a second dimension needs to be added to the model, the experiential aspect of meaning. This dimension emphasizes that meaning is largely a matter of experience. How one experiences the world is determined in part by the meanings one attaches to symbols of objects in the world. At the same time that very experience shapes our meanings. We use symbols to affect and adapt to our environment by expressing our experience; at the same time meanings attached to language affect how we experience it is not surprising that these areas are epistemologically mixed. Most philosophi- of meaning now in vogue treat meaning as relative and subjective, recognizing the individuality of experiential meanings. However, this observation is not true of all cal theories philosophical approaches; some philosophers seek universal meaning structures. chologists too have treated tive event, cover its are at the yet they beyond our grasp to define and obvious from the material pre- to be just explain. It is two chapters that controverabound among theorists of language and Many of the issues are epistemologi- sented in the sies last meaning. Once again we faced with the realization that the most fruitful cal; others are substantive. way are to gain a fuller understanding and apprecia- tion for elements of human communication is of which to apply multiple perspectives, each presents particular insights that together enlighten the subject. With the full recognition that evaluative generalizations are difficult and risky in do- mains as huge as these, we can make some parting judgments. This area of theory contains a wide variety of related concepts. Yet, ironi- the theories of language, nonverbal codand meaning remain for the most part isoand separated from one another. In the domains of language and meaning we see a clear example of the disadvantages of single-discipline and overly specialized approaches to the ing, dimension complicates our conception even more. This is the purposive dimension, which implies that human’s intentions vis-a-vis others are an important aspect of meaning. We fulfill purposes in using language and other symbols, and our intentions shape the way symbols are understood. Given the extensiveness of the domains of language and meaning and their multidisciplithird nary nature, and thus They human communication, cally, the environment. A all different dimensions, attempting to meaning measure Some as it psy- an objec- and dis- operational characteristics. 112 lated study of communication. For example, many on the complexities of grammar, have ignored obvious connections between linguistic and other social processes. Language often is treated as a phenomenon apart from communication. Likewise, researchers of nonverbal communication too often separate nonlinguistic codes from the larger coding complex, focusing undue attention on small parts of an inseparable whole. Because of the heretofore disjointed nature of this work, integrative theories such as that of Pearce and Cronen (Chapter 4) are especially attractive. Of course any criticism of language and meaning must be tempered with the qualification that these phenomena are extremely linguists, in their focus THEORIES OF MEANING We will never be able to observe deep processes of language generation or what meaning largely semantic. The difficult to study. making kind of study a speculative business. Researchers must make inferences about unseen processes based on obdirectly, servable behaviors. The this trick is to do providing come up cause they cannot agree on what meaning Hopefully, these deal last two is! chapters have pro- modicum of clarity to an otherwise muddy river. We move now to a discussion of vided but more recent developments grammar have been successful in a credible is somemeaning theory are The major disagreements with the meaning of meaning. Indeed, meaning have not been able to agree on what to observe to make inferences about meaning be- a the effects of language and this, in generative Issues in theorists with a picture of underlying phenomena that account for patterns of observed behavior. Thus linguists must provide explanations that account for actual speech. Early language theory failed to challenge of meaning theory different. meaning realms of information and persuasion. theory of language. 113 in the I CHAPTER 7 Information is an important element in the communication process. The essential feature of all messages is information, and people use the information in messages to reduce uncertainty and thereby adapt to the environment. This chapter is divided into two parts. The first part reviews ideas that have been labeled'' infor- mation theory. Although information theory has less direct applicability to Theories of Information and Information Processing formation theory, which is designed as a tool for developing transmissional devices. The secpart deals with the semantics of information, and the third presents a theory of informa- ond tion effects. Information theory, which is primarily a mathematical formulation, grew out of the postwar boom in the telecommunications in- A perspective that focuses on the meait deals with the quanstudy of information in messages and the flow of information between senders and receivers. It has extremely practical applications communication than do some of the other theories in this book, it surement of information, establishes certain foundational definitions that titative the base of much of our current thinking about communication. The second part of the chapter reviews some theories of information lie at dustry. in the electronic sciences which deal with how humans handle information they receive from the environment. The first section provides important concepts of information as a commodity, and the second section helps us understand how people processing, use information in their lives. of communication that have a need for computing information quantities and designing channels, transmitters, receivers, and codes that facilitate efficient han- we get into the core concepts of information theory, let’s discuss the development of the movement. 2 dling of information. Before Information theory developed out of inves- 1. tigations in physics, engineering, Information Theory In an early article on the mathematical theory of communication, Warren Weaver suggests three fruitful areas of concern for information matics, and mathewhich were concerned with the organi- among occurrences. The common thread among these rather independent investigations zation was the realization that organization is a matter The first, the technical level of informaconcerns the accuracy and efficiency of information transmission. The second, the of probability. (One of the developments at this time was cybernetics. As you recall from Chap- semantic level, relates to the on communication engineering. 3 ) The primary work that crystallized information theory was theory. 1 tion, meanings of information to individuals. Finally, the effectiveness level deals with the influence of information on the receiver of communication. The first section of this chapter is organized into three parts corresponding to Weaver’s three levels of information. The first ter 3, that 2. Wiener’s work in this area relied heavily of Claude Shannon, a Several brief histories of the telecommunications movement are available. See, for example, ture as Wendell R. Gamer, Uncertainty and StrucPsychological Concepts (New York: John Wiley & Sons, 1962), p. part discusses classical in- 3. Warren Weaver, “The Mathematics of Communica- Norbert Wiener, Cybernetics or Control and CommunicaAnimal and Machine (Cambridge: M.I.T. Press, tion in the tion,” Scientific American 181 (1949): 11-15. 1948). 115 8. THEMATIC THEORIES engineer His at the Bell Telephone Laboratories. classic book with Warren Weaver, The Mathematical Theory of Communication, basic source for information theory 4 is quantification of stimuli or signals in a situation. On the . Technical Information Theory Basic Concepts. with Information theory provides ^ concept, entropy, borrowed from a related is randomness, or lack of organization in a situation. entropic situation is you cannot know the sky, you might you would probably be right. Because weather is an organized system, certain probable relationships (for example, clouds and predict rain, and On the situation causes you cannot preThe entropy existing in some uncertainty. In short, more entropy, the less organization and rain) exist. the other hand, What does Information is more this a have now related information to uncerand to the number of messages necessary There is yet a third way to view information. Information can be ^thought of as the number of choices or alternatainty have to do with information? measure of uncertainty, or entropy, greater the uncertainty, the When a situation completely predictable, no information ent. tives available to a The the information. Most people is results to reduce uncertainty. predictability. in a situation. way of thinking of it is to consider inforas the number of messages required to completely reduce the uncertainty in the situation. For example, your friend is about to flip a We dict rain conclusively. the An- it land heads up or tails up? You are you cannot predict. This uncertainty, from the entropy in the situation, will be eliminated by seeing the result of the flip. Now let’s suppose that you have received a tip that your friend’s coin is two headed. The flip is “fixed.” There is no uncertainty and therefore no information. In other words, you could not receive any message that would make you predict any better than you already have. In short, a situation with which you are completely familiar has no information for you. will come over in the situation. mation which as variable. black clouds it is amount of uncertainty uncertain, happen next. Entropy is best thought Most of the situations you are confronted with are partially predictable. If of sense as have said that information coin. Will totally unpredictable. Because of the entropy in the situation, what A We other a of information. Perhaps it is understand information by starting thermodynamics. Entropy appears. of informa- common not as distant from is first the precise definition easier to closer examination, this idea tion person in predicting the out- come of a situation. In a complex situation of many possible outcomes, more information is is pres- available than in a simple situation with associate information with few outcomes. In other words, a person would need more messages to predict the outcome of a knowledge; consequently, this definition from information theory can be confusing. As used by the information theorist, the of concept does not refer to a message, facts, or meaning. It is a concept bound only to the of certainty or complex situation than to predict the outcome a simple one. For example, there is more information in a two-dice toss than in the toss Claude Shannon and Warren Weaver, The Mathematical Theory of Communication (Urbana: University of Illinois Press, 1949). For a number of excellent brief secondary sources, see the bibliography. Two sources were particularly helpful in the preparation of this chapter: Allan R. Broadhurst and Donald K. Darnell, “An Introduction to Cybernetics and Information Theory,” Quarterly Journal of 4. Speech 51 (1965): 442-53; Klaus Krippendorf, “Information more information in a flip. Since informaof the number of alternatives, it reflects the degree of freedom in making choices within a situation. The more information in a situation, the freer you are to choose a single die and single-die toss than in a coin tion is a function alternatives within that situation. The idea of information will become clearer you understand the unit of information, Theory,” in Communication and Behavior, ed. G. Hanneman and W. McEwen (Reading, Mass.: Addison-Wesley, 1975), 351-89. after the 116 bit. Bit stands for binary digit. A bit is a unit THEORIES OF INFORMATION AND INFORMATION PROCESSING used for counting alternatives. Technically, the tion. In the number of bits in a situation of equally possible outcomes is equal to the number of times the outcomes would be halved in order to reduce were a others, based the uncertainty to zero. lows: Consider the following family tree. One of the members of this family has committed a murder for a crime syndicate. As far as you can tell, all members family How much information is are equally suspect. you might .05, A= = F example of the more probable on killer, killer suppose H than any of the past record. Hypothetically, distribute the probabilities as fol.05, B= G= .05, .05, .05, values into a formula C= H= .05, situation contains 1.88 bits D= .05, E= Plugging these .65. shows that the murder of information or uncertainty. Another important concept in this situation? is redundancy. Father (A) Son Grandson (D) (B) Son Grandson (E) Grandson you discover that Son (B) and his family (D and E) were on vacation on the other side of the world when the crime took place. They First, took Father (A) with them. This message provides one bit of information, since it eliminates half of the alternatives (A, B, D, and E). Fur- you discover were at home, that (F) fighting, at the time find out that G died a year ago, of the all alternatives are equally probable. Let’s 1.88/3= .62 or providing a is concept, Relative entropy is the proporof entropy present compared with the maximum amount possible. Entropy is maximum is 3. Therefore, the relative entropy in this situation is of information. Thus you see that this of information. This example is a combinatorial approach to counting bits. The approach, which assumes equally probable, Grandson (H) its sister tainty possible third bit is function of tion The redundancy situation has three bits that each alternative a relative entropy. when murder. This alibi provides a second bit of information, halving the possibilities again. Then you Grandson (G) (F) is look again at our example. The number of bits of uncertainty is 1.88. The maximum uncer- Son (C) and Grandson ther, Redundancy (C) 1 In qualitative 62% is - .62 = .38 or 38% terms redundancy is the proporof a situation that is predictable; it is a measure of certainty. In a relation if one alternative follows from another, it is predictable and ex- tion cellent for getting across the meaning of the information theorist’s conception of information, but it is not realistic. Often some alterna- therefore redundant. have a higher probability of occurring When this happens, the statistical approach is necessary for computing bits.5 The tives than others. statistical approach recognizes that as Information Transmission. summarized the certain theory, alternatives increase in probability, entropy or we can Thus the less equal the probability of occurrence, the less the informa- that we have of information of con- to the first area cern, the technical level, uncertainty decreases. Now basic concepts move which deals primarily with the accurate and efficient transmission of information. Technical information theory is not concerned with the meaning of messages, 5. For a good distinction between these, see Krippendorf, “Information Theory.” only with their transmission and reception. 117 THEMATIC THEORIES This application is particularly important in communication. model of communication developed by Shannon and Weaver is shown in Figure 7.1. 6 In this model communication begins at electronic The basic a measure of uncertainty definition sion we is in a situation. This general. In information transmis- are concerned which the message with the special case itself is the “situation.” in Like message, consisting of signs to be transmitted. transmitter converts the message into a set any stimulus field a message, consisting of symbols or signs arranged according to rules, has a degree of uncertainty or entropy. This uncertainty (information) is a result of the code of signals that are sent over or language into which the message The source formulates or the source. selects a The ceiver. The receiver a channel to a re- converts the signals into a Normally, a message is a is encoded. sequence of stimuli or Ordinary an example. This idea of message. This model can be applied to a variety of situations. In the electronic arena a television signs that hit the receiver serially. a good example. The producers, and announcers constitute the source. The message is transmitted by air waves (chan- information can be applied to the predictability message is directors, nel) to the home receiver, which converts elec- tromagnetic waves back into a visual impression for the viewer. In the interpersonal arena the speaker’s brain is the source, the vocal sys- tem the transmitter, and the air channel. The medium listener’s ear is the receiver the and the listener’s brain the destination. The model final is element in Shannon and Weaver’s is any disturbance in the noise. Noise channel that distorts or otherwise masks the signal. The disturbance may be, literally, noise in auditory communication, but any kind of interference is included. concept momentarily. We Will return to this First, let formation into the model domly, there would be 100 percent entropy. Decoding would be difficult because of the great amount of information in the message. But letters (or sounds in speech) are not organized randomly. Various predictable patterns are found. These patterns make decoding easier because there is less information, lower relative entropy, and high redundancy. For example, an adjective has a high probability of being followed by a noun. A q is always followed by a u in English. Thus the overall arrangement of a sentence On Shannon and Weaver, Mathematical Theory, is patterned and partially predictable. the other hand, a sentence does contain some information. Redundancy, is as p. 5. Signal received Signal Mathematical Theory of Communication, by Claude Shannon and Warren Weaver. Copyright of Trustees of the University of Illinois. Reprinted by permission of the University of Illinois Press. From The Figure 7.1. predictability, never 100 percent. If it were, there would be no freedom of choicy. Once the first letter was written, all other letters would follow auto- at this point. was defined is of a sequential arrangement such as a sentence. If the letters in the sentence were arranged ran- us integrate in- In the last section information 6. written language Shannon and Weaver’s model of communication. 118 © 1949 by the Board THEORIES OF INFORMATION AND INFORMATION PROCESSING matically. Language is blessed with moderate redundancy, allowing ease in decoding, with freedom of encoding. Language information is an example of a Markov process, in which subsequent alternatives bear a probability relationship to antece- dent occurrences in a chain. In a Markov prob- ability situation the probabilities of alternatives occurring vary from moment to moment. In English there is a 100 percent probability that u will follow q, but the probability is considerably less that an i will follow a t. Thus in we must talk in terms of average relative entropy and average redunThe average relative entropy-redunsequential messages dancy. dancy of English is about Whether the message fifty percent. is — sion is the same to reconstruct the message accurately at the destination. Any television viewer with poor reception is painfully aware of the problem. Accurate transmission would be no problem were it not for certain factors such as noise. Now you can begin to see the role of redunmessage. Redundancy compensates dancy in a As noise distorts, at a maximum masks, or replaces sig- nals, redundancy allows the receiver to correct fill in missing or distorted stimuli. For example, suppose you receive from a friend a or letter that has been smeared by rain. The first sentences might look like this: “How yo— ? I a ine. Or perhaps because of static, a sentence of radio news comes across as. The Pres ed States has —dared. . . . You can make some rate that will amount of noise is too not exceed channel also means using a code with redundancy to compensate the It sufficient much present in the channel. If there redundancy, transmission will be it will be inaccurate. inefficient; if too little, The major tion theory to contribution of classical informa- human sciences have used the technical model is that the latter as an analogue modeling interpersonal communication. Witness the fact that Shannon and Weaver’s model (Figure 7.1) is one of the most frequently reproduced depictions of communication in for textbooks. Except for coded into regular language, electronic signals, or some other verbal or nonverbal code, the problem of transmis- noise. mission? Accurate transmission involves coding capacity. this analogue function, informa- tion theory has little relevance to any domain outside information per se. It does relate to systems theory by suggesting that system parts one another through informa- are connected to tion transmission. side It also speaks to the technical of mass communication. However, as will be indicated in the criticism section, these incursions into other domains do not help us much to understand the human side of communication. Semantic Information To make information theory more relevant to human communication, the notion of semantic information has been developed. 7 To understand this concept, ing slightly. you must We know measure of uncertainty sage. From shift your think- that information in a situation or is a mes- technical information theory we learn that such information can be transmitted. Now sense out of these distorted sentences because of the predictability or re- at the semantic level we concentrate on the communication of information, which reduces the uncertainty in a situation. The information dundancy in the language. Another factor limiting accurate transmission is channel capacity. Channel capacity is usually defined in terms of the maximum amount of information that can be transmitted 7. In addition to the theories presented in this chapter, some notable attempts have been made to expand classical information theory into the semantic area. See Y. Bar-Hillel and R. Carnap, “Semantic Information,” British Journal of over the Philosophy of Science a 4 (1953): 147-57; and Krippendorf, Information Theory.” Material in this section is taken channel per second. What, then, is necessary for accurate trans- from Krippendorf. 119 . . THEMATIC THEORIES conveyed by message that reduces informaWhat is added is the human element of interpretation and understanding. Semantic information always relates to a specific aspect in the situation; it is about something. Further, it always reduces the number of sages. alternatives available in interpreting the situa- cause tion is a called semantic information The tion. Redundant, or unnecessary, information counteracts noise. part all When you the total world on the Herein a vacation at An two The tainty in a situation has been Of human is always being’s state of knowl- we have defined semantic information, we will see what happens when a person receives a series of messages about a situation. Two possibilities exist. The we is simplicity home some goal a person, is in desired and is system if it changes the purposeful state of Six concepts are related to the notion of pur- may now together provides a The first be any system in we a is on. Second, there the individual. This purposeful will refer to is it as a state, but for person from a course of action lead- ing to the third element, outcome. two Thus pur- posefulness consists, in part, of an individual’s choosing to achieve an outcome by taking a particular course of action. The fourth element More often, though, messages overlap in meaning. This occurrence is semantic redundancy. For example, you may learn that the vacation a system, such as the organism bits. took place and then find out in It is various unequal alternative ways exist for achieving the goal. Communication via messages poseful state. equalling a total reduction of A a purposeful state if of the suspects were on vacation provides one bit of information, while the message others were of informawith on the system. . purposeful state. that half bit, to Information levels most explicit approach of Russell Ackoff 8 Ackoff begins his theory with the notion of that completely different information. Such messages are additive. For example, the message two Approach see a particularly striking relation- affects the second understanding of in- of Weaver’s three third receive logically independent messages or redundant messages. Logically independent messages about the same situation convey that common cybernetics. Perhaps the individual may to reduce ship between information theory, systems, and terms of the perceived alternatives of the perthat is in the situation. find the contribution of information Effectiveness here that son receiving the message. Now we the be- net effect of semantic the impact of information edge. Information in this sense must be defined in The is that, removed tion theory, the effectiveness level, deals removed. course, semantic information relative to the situation. is formation. total amount of information in the situation to bits. When a person receives information about something, a certain amount of uncer- message in a amount of uncertainty theory to our you have received one of semantic information, thus reducing the on the semantic information information (receiving messages) the time of the killing, bit also facilitates learning transmitted to the person, it is from the are equally probable, receive the message that half of them were around It receiver. amount of information three bits of information are found in the situation. of the To summarize, gangland-killing example has eight possible killers. Since Redundancy plays the same role on the it does on the technical level. semantic level as to the theory at this point in the model is the probability that the individual will take the particular course second mes- efficiency is was on vacation while his son and grandson were home together, fighting. The information that the father was on vacation is redundant; it occurs in both mes- of action. Fifth, the likelihood that the specified out- sage that the father 8. Russell Ackoff, “Toward a Behavioral Theory of Communication,” Management Science 4 (1957-58): 218-34; and Russell Ackoff and Fred Emery, On Purposeful Systems (Chicago: Aldine, 1972). 120 . . THEORIES OF INFORMATION AND INFORMATION PROCESSING come will occur as a result The action. final purposefulness is of the course of concept crucial to the idea of value, which is the importance of the outcome to the individual. Next we information. will define a purposeful state. A formation purposeful state requires the following conditions: First, at least must be of action. Third, the message may motivate, changing the value of the outcome. We can easily relate the first are present in a purposeful state These must efficiencies There must be tive will a probability that the from either outcome of the courses, and person must want the outcome: The must have value for the person. Finally, the The woman is a the one has now as her choice efficiencies fects the outcome: joining the army or joining the peace and This message regarding the efficiency of army of the among given course will be chosen. The second kind of effect is instruction While a clearer basis for choice higher probability of leading to the goal, she then is in a purposeful state. She information provides make a choice that has a chance of getting her to foreign lands. But suppose she fails the physical examination for the army. The army is directly changes the efficiencies. This if a by making the can no longer an this available choice. theory, she state, since no is no longer in a purposeful is efficiencies known, instruction change is accomplished by providing the person with knowledge and competencies that will enable that person to achieve the outcome via a particular course of action. In our example the As conceived by alternative choice By the perceived alternatives, information af- purposeful state by altering the proba- bility that a available to her, increases the proba- she will join the Peace Corps. reducing the uncertainty ing foreign lands has value for her. She could take two courses of action to achieve the desired is that one alternabe chosen. For example, suppose our bility that interested in seeing the world. Visit- corps. If each course really outcome receiving information about the reduces the uncertainty involved, which changes the probability States. of purposeful state can be clarsimple example. Suppose a young definition with ified (efficiency), young world traveler is leaning toward joining the army when she receives information that most WACs are stationed at bases in the United the probabilities or efficiencies cannot be equal. goal of action and each has a probability of leading to the desired be viable choices for the person to use in achieving the desired outcome. Further, the courses of action must have some degree of efficiency: will be achieved kind of effect to semantic You will recall that semantic inequal to the reduction of uncer- tainty in a situation. If various courses two courses of action available to the individual. is woman may available. Another condition that might occur is for the efficiencies of the courses of action to be equal. In this case there is no basis for choice, and once again the young woman is out of a purposeful state. In short, she must have various ways of seeing the world, and one must be a more likely course. Recall Ackoff’s thesis, which is an answer to this third-level problem: Communication via messages affects the system if it changes the purposeful state of the organism. Messages may affect the purposeful state of the individual in three ways. First, a message may inform, in which case the probabilities of choice are altered. Second, the message may instruct, changing the efficiencies of the courses 121 be shown how to manipulate the assignment process in the WACs in order to be assigned overseas. This instruction increases the of the army for reaching her goal. of messages on a system is Motivation is the result of a change in value. The woman in our example would, of course, have several goals (outcomes) of value efficiency The third effect motivation is owning outcome of seeing the world owning a restaurant, she to her. Let us say that a different goal a restaurant. If the has a higher value than will pursue it with one of the courses of action may receive a message that described. But she increases the desirability rant, thus changing the poseful state. of owning a restauoutcome of her pur- THEMATIC THEORIES Ackoff s theory rounds out our brief survey of information theory. Classical information theory, which is primarily technical, deals with temological assumptions of the theory are not measurement of information for purposes of accurate and efficient transmission. The theory of semantic information shows how the receipt of information in messages reduces uncertainty. Finally, Ackoff s effectiveness theory broadens the scope of coverage to include the effect of messages on purposeful systems. The extensive literature on information theory has been touched but lightly here. This short summary of some key points briefly illustrates how information theory has added dimensions to our understanding of commu- ant captures the essence of the argument: the nication. many human communication. Roger Con- considered appropriate for understanding aspects of When voked Shannon’s theory first appeared it proof optimism, not only in the telephone for which it had clear technical applicabut also among biologists, psychologists, and a lot company tions, who hoped the like which it would illuminate the . . . Many critics have centered on the ill-advised symptom of this problem. The usage of the term Criticism is Its problems lie usefulness but in the claims indispensable for not in made its for it information theory technical as by some largely on information theory, we commonly term information about information it. One has critic as used by these theorists is so human communication, new definitions of the term under the old rubric of information that have caused even more befuddlement. 13 Of course, terminological confusion is only a symptom of the problems involved in stretching the concept to fit alien domains. Three such problems have been cited frequently now in the literature. The first is that information theory de- is signed as a measurement tool based on statistical full procedures. Human messages complexity are not easily broken in their down into Communication (Cambridge: Criticism of information theory can be found in on which Roger C. Conant, “A Vector Theory of Information,” in Communication Yearbook 3, ed. Dan Nimmo (New many my summary Brunswick, N.J.: Transaction Books, 1979), 177-96. Anatol Rapoport, “The Promise and Pitfalls of Information Theory,” Behavioral Science 1 (1956): 303-9; also Systems Research for the Behaviorist Scien- Buckley (Chicago: Aldine, 1968), 137-42; Rollo Handy and Paul Kurtz, “Information Theory,” in American Behavioral Scientist 7, no. 6 (1964), pp. 99—104; tist, at all theory relies: Modem not other scholars have developed ix. sources, including the following, reprinted in is understand to apply to difficult guage of physical science is inadequate for discussion of what is essentially human about human communication.” 9 Most criticism of information theory relates to the standard of appropriateness. 10 The episHuman such odds “theory of signal transmission.” 12 Because the argues in his 1978 third edition that “the lan- Colin Cherry, On M.I.T. Press, 1978), p. at suggested that the approach be retitled the of the original information theorists, system theorists, and scholars outside of these areas 9. who looked to information theory for answers it cannot provide. Its original formulators, Shannon and Weaver, hoped to use the theory as a covering model for all human and machine 10. communication. However, even Colin Cherry, whose famous 1957 treatise on communication was based is with popular meanings for information that a. great deal of confusion has resulted. Ironically, developing advanced electronic communication devices. in communication .* 1 use of the term information as a Clearly information theory ways animals, people, and perhaps even Although the theory has been put to use in these ways, the results have not been spectacular at all. Shannon’s theory provides practically no help in understanding everyday cells, societies use information. ed. Walter 11. Conant, “A Vector Theory,” 12. Yehoshua Bar-Hillel, “Concluding Review, tion Theory in Psychology, ed. Free Press, 1955), p. 13. 122 p. 178. in Informa- Henry Quastler (Glencoe, 111.: 3. See, for example, Krippendorf, “Information Theory.” THEORIES OF INFORMATION AND INFORMATION PROCESSING observable, measurable signals. Although the phonetic structure of language is amenable to analysis, when you add we move to a topic that has seen particularly fruitful applications in compresented. Next, munication research: theories of cognitive paralinguistic cues, not mention kinesic and proxemic features, information theory becomes virtually useless. Also, many of the codes used in human communication are continuous, not discrete; that is, literature they do not consist of off-on signals. Such codes are difficult to fit into the mathematical mense. The theories included here represent only a sampling of this work. So although the paradigm. theories to complexity. At A second problem of applying information theory to human communication is that the theory downplays meaning as the topic was developed in the are far ceived by a listener, point a qualification stated several of information processing summarized here from exhaustive. is The im- are important, they “Standard Theory” chapter. Even if we were amount of information rewe would know nothing of “Standard theory” last able to predict the this times in this text must again be reiterated. because the is placed in quotation marks work summarized in this section does not constitute a single theory. It was not organized by a particular scholar or group of the degree of shared understanding between the communicators or the impact of the message on scholars. Rather, this them. research findings of cognitive psychologists in information theory does not deal with the contextual or personal factors affecting an individual’s channel capacity. For example, this Finally, individual learning, to comprehend which changes one’s untouched certain types Newer chology one of the most dynamic research is ing, is fields in the is three-dimensional: encoding/decod- stages, and integration. Together these elements constitute a general framework for understanding cognition. Figure 7.2 depicts the three dimensions. 15 We deal with the first two received, organized, is taken up separately in the next section under cognitive complexity. Encoding refers to all of the activities in- here; integration and used. For the most part these As such they may not appear at first to relate to communication. Keep in mind, however, that the basic commodity of commuindividual. volved in transforming information into messages. Speech (and encoding information, and information processing on the intrapersonal level is an integral is part of the composite of based on the excellent synopsis of C. David Mortensen. 14 His model for organizing information-processing theories cover processes that occur within the nication is The following summary Theories of Information Processing This section covers a variety of theories that deal, not with the nature of information, but with the ways persons deal with informastored, a called “standard” behavioral sciences. in this area. — how information is does not imply that the findings reported here are universally accepted. Indeed, cognitive psy- is ap- proaches such as that of Ackoff help to improve tion is it represents the mainstream of psychological thought about the basic processes of cognition. Also, the use of the word standard of messages and in classical theory. work work only because ability ultimately one’s capacity to receive signals, left century. This 14. communication process. (New 15. 123 derivative, writing) are communication. Decoding C. David Mortensen, “Human Information Processin Communication: The Study of Human Interaction York: McGraw-Hill, 1972), 69-124. ing,” This discussion is divided into two parts. standard information processing theory is First, its activities in Ibid., p. 80. THEMATIC THEORIES involves the transformation of sensations into stages of information processing: meaning. In communication decoding activities include listening and reading. Perception of nonverbal signs is also a decoding activity. Here central processing, storage, we see an and sensation, recall. Sensation involves receiving signals from the environ- ment. These signals include energy that stimureceptor organs such as the eyes and ears. important distinction between lates psychological theories of information process- Actually, sensation is a rather complex process. ing and classical information theory. In classical Before any stimulation can enter the nervous theory information system, the receptor nerve fibers must be is thought to exist apart a quality of the signal. from the individual as Most cognitive psychologists, however, would agree that signals merely present sensory stimuli and that information results from the vated. is closely at the four primary From “Human Information Copyright which A a receptor receptor ceeding ten-to-fifteen hertz. Processing,” in Communication: The Study of Human Interaction, by C. David Mortensen. © 1972 by McGraw-Hill. Reprinted by permission of the publisher. Figure 1 .2. acti- cell “fires” cell will not minimum level of energy impinges upon it (light, sound, and so forth). For example, auditory nerves normally will not be excited until sound waves reach a level ex- processing activities of encoding and decoding more level at activate until a certain within the individual. Let us look The the arousal threshold. Information-processing model. 124 THEORIES OF INFORMATION Our AND INFORMATION PROCESSING sense organs are almost always being stimulated in one way or another, which means that the sensory systems tual The must cope with a vironslaught of stimulation most of the time. cocktail party situation illustrates this oc16 In a crowded room one must attend currence . to a single message We other stimuli. at a time, separating it from selectively filter stimulation. Although the research evidence on this point is ceptual organization direct the organizing process. Although we do not have space to explain these here, any general psychology text lists We are all aware that attitude and motiva- them. tion affect perception. and motives of the feelings, attitudes, affect well supported by research and rience. One mixed, stimuli appear to be filtered not only by the sense organs according to stimulus prop- not to example, loudness, brightness) but by the brain s use of previous experience to assign meaning and relevance to certain stimuli over others. Without the individual’s aware- “fits” into erties (for One’s moment how sensory stimuli are filtered and organized. This truism of the reasons you listen to someone cocktail party is your else’s common may it that the other conversation attitudinal or motivational state of the moment. Storage or memory formation processing. is the third stage of in- A great deal of research ness, the brain apparently screens out irrelevant on memory has been done stimuli and organizes sensations into potentially much of this work meaningful perceptual organization go hand in hand. units. For example, someone in a when you are talking with crowded room, your brain filters out extraneous stimulation from other conversations. One of the reasons for this is that your conversation is a coherent and organized in- and teraction, bits and pieces of other conversa- tions are not meaningful to this organized pattern. However, at times someone standing is expe- hard conversation at a find it is in psychology. clear that From memory and Our memories affect central processing, and in turn memory is facilitated by organization. Specific percepts are not stored independently in drawers of the brain. Rather, they are integrated into complex Memory webs of knowledge. hierarchical is thus facilitated by the anchor of context. Likewise, one never remembers just nearby says something that strikes a familiar note, and your brain takes your attention off your immediate conversation so that you tune one piece of data; it is remembered by association with something else. In other words, thinking and remembering are intimately tied together. For these reasons certain mnemonic into the outside devices, such as comment. Sometimes you may even fake attention to your partner while you are paying attention to someone else’s conversation. is The recall. The second stage of information processing central processing, or perception. Here data that to rules or laws first Our memories is are organized according with recall being closely tied The individual plugs certain recalled im- model and rebuilds an entire sequence of events. Often what you “remember” about an event is not what really happened but your construction of what logically could It is well known that the conof a stimulus, the background in which it is presented, is important to how the stimulus is of word out of the aid memory. pressions into the Sensations are text A number a list, of information processing our organization of past events. Long-term is therefore largely a matter of reconstruc- tion. ingful patterns. perceived. in a recall one another and organized into mean- related to final stage to event models, have entered the system are assigned meaning and prepared for entry into storage or memory. An important aspect of perception is the organization of the sensory field. making of each item letter have happened under the circumstances. Recall of per- is a vital link between decoding and 16. Colin Cherry, “The Cocktail Party Problem,” Discov- encoding. As messages are decoded, they are integrated into an organized structure of mem- ery, March ories 1962, p. 32. 125 where they reside in association with other THEMATIC THEORIES of the memory hierarchy. Encoding aspects volves the stimulation of a part of the in- number of studies applying sive memory plexity to interpersonal system so that appropriate data are recalled and used to formulate messages. theories are placed here because Theory Criticism of Standard lar theory would be unfair. In work in were a fact, until singu- The the past ters cognitive psychology area of standard theory good example of research done in bits is and tive . . the view of man as purely a domain, product of his — as reactive creature warding off diversity — becomes increasingly erroneous.” a 19 It is a mistake to think of cognition as a series of discrete events occurring over time. “Stages” should be interpreted Levels of Integration. Schroder, Driver, and Streufert have presented an appealing theory of loosely as overlapping processes that interrelate a . past chinelike fashion. form is complexity of the conceptual structure in- creases in regard to a given stimulus whole, to image information processing as a linear sequence of events that operate in a maa humans the field struct covering laws. Further, they tend to be process oriented, rejecting fine analysis. As Schroder and colleagues write: “As the integra- two cauAlthough many researchers leave standard theory, contributed to this field know otherwise, they have a tendency, in looking at the work as ularly two domains, of research to such areas as group communication, organizations, and media effects. Cognitive complexity theories attempt to uncover processes by which persons make sense of their surroundings. They seek correlations and patterns of behavior, but they do not con- who in chap- persuasion, section of this chapter. to their direct in the ripe for extensions however, a number of theoretical frameworks for understanding cognition have arisen. We will look at two of these in the next we fit on interpersonal communication. Although work has been done on cognitive com- plexity outside these a years, Before as easily little pieces without an overarching theory. In recent tions are in order. work could Crockett’s could be faulted for failing to develop middlerange theories to guide research on information processing. of relevance to information processing, although Criticizing standard theory as if it decade or so com- cognitive communication. 18 The concept of cognitive complexity is relevant to several themes of communication. These cognitive complexity. 20 This theory states that cognitive functioning involves two types of whole. Also, information processing is highly individual and is not particcomparable with machine behavior. 17 elements. The first are the content variables, what an individual knows the — 17. consisting of Cognitive Complexity person’s thoughts, attitudes, needs, and so In this section we will look at which cognitive complexity, of information processing One theory and his is two theories of forth. the third factor listed in identify these elements as dimensions of cognition. The second kind of element consists of structural variables, or how Figure 7.2. Harold Schroder colleagues and the other to Walter is The authors attributable to an individual processes the dimensions. structural variables are rules or The programs for Crockett. An active 18. This literature is reviewed in part by Claudia Hale, “Cognitive Complexity-Simplicity as a Determinant of Communication Effectiveness,” Communication Monographs 47 (1980): 304-11. group of speech communication scholars under the tutelage of Jesse Delia at the University of Illinois has produced an impres- 19. For an elaboration of criticism, see Geoffrey Information Processing,” in of Information Processing, ed. G. Underwood (New Underwood, “Concepts Strategies York: Academic Press, 1978), pp. 1—22. Harold M. Schroder, Michael Streufert, this in Human S. Driver, and Siegfried Information Processing: Individuals and Groups Functioning in Complex Social Situations Holt, Rinehart and Winston, 1967), p. v. 20. Ibid. 126 (New York: THEORIES OF INFORMATION AND INFORMATION PROCESSING combining or integrating the content variables. In short, dimensions are units of thought, and rules are relations among units. People vary in terms of the complexity of their cognitive systems. numerous and Where dimensions are of integration many, cogsaid to be high. Where dimensions are few and integration simple, levels nitive complexity is complexity is low. Although a correlation may be present between the number of content ele- ments and the degree of connections among dimensions, integrative complexity primarily is number of connections, including the variamong dimensions. is accomplished through a hierarchy of rules. The hierarchy can be simple the ety of rules, Integration Dimensions Relations A. Low integration index: relatively fixed B. Moderately low organization C. Moderately high integration index: combinations and higher-order rules integration index: few alternate combinations alternate D. High integration index: possibilities for relationships Figure 7.3. Levels of integration. 127 complex THEMATIC THEORIES The or complex. focus of this theory differences in integrative complexity. on is Where ing in- integration is high, numerous We we An important claim of this theory is that the of integration used in processing informadepends on both the predisposition of the individual and the conditions of the environment. In other words, how we process information in any given setting depends on the complexity of our cognitive system and the demands of the situation. This idea leads to Shroder and colleagues’ U curve hypothesis. discuss the levels of integration, should note that level of integration is level not tion viewed by Schroder and colleagues as a trait. A single individual has higher levels of integration in some areas than in others, and the degree of complexity in one’s knowledge, even in a single area, may change over time. Figure 7.3 contrasts varying levels of integration. 21 These models are not intended to represent discrete types but points along a continuum of complexity. The first figure (a) we see low integration; the dimensions are connected to one another via a single rule. The individual has no flexibility or freedom to among choose next figure Individuals generally reach their highest level of integration some optimal ty. comes the integration is moderately the next level in (c) Not only parent. hypothesize will reach their is are alternate rules for relating into use. At the highest level (d) an addiis added, and the hierarchical nature of the information-processing system becomes tional layer also apparent that increased com- ure 1 plexity of integration brings a greater potential . 6. 23 Let’s look at a simple ways two example. Consider the for abstract versus concrete thinking. Figure 7.4 different presents a simplified example of an integrative different traffic conditions. hierarchy. learning to drive. How force. level of integration in With low integration the person’s think22. Adapted from drivers Assume would respond One driver is to just this individual has a low level of integration in the area of driving. The other driver is experienced, having a high an individual processes information depends greatly on the of information (1) that individuals with higher of integration for a particular theme area peak of cognitive complexity at a higher point of environmental complexity than will people with lower integration hierarchies; and (2) the difference in complexity of processing between high and low individuals diminishes as the environment becomes either simpler or more complex, as illustrated in Fig- for relating first-level combinations It is illustrated in Figure 7.5. levels ap- comes apparent. is achieved an important difference dimensions possible, but another level of 21. metarules is Here the individual has a applying connective rules. At into play. little flexibility processing information at of environmental complexi- at point X, which is a moderately complex environmental situation. 22 The shape and position of the curve, however, are not the same for all individuals. The authors processing alternative interpretations. In the (b) in level This relationship In this figure the highest level low, the difference being that more than one rule creativity or creativity. momentarily. we little Thinking tends to be among competing comes freedom of choice, high levels of behavioral adjustment and adaptation, and will explore this idea in greater detail Before possible. is minimized since differences are not noted; conclusions are concrete; and compartmentalization is rife. With high integration integrated into an abstract hierarchy of relationships. is stimuli Where rules are used to dimensions, and rules themselves are relate the programmed, and black and white; conflict is cross the street; Fat people are jolly.) quite is self-initiative low, the dimensions are integrated by a single, simple rule. (For example. Never tegration ibid., p. 15, 18, 20, 22. Ibid., p. 37. 23. Ibid., p. 40. 128 THEORIES OF INFORMATION AND INFORMATION PROCESSING level of integration. In an extremely simple both drivers would process the sensory information at a low level. They would also cept to that of Schroder and his colleagues 24 His notion of cognitive complexity is not as ramified, but his main concern is to apply this aspect of information processing to interper- process information at an equally low level in a highly complex situation such as a traffic acci- ship being dent just ahead in heavy ing and communication behavior. sit- . uation, say a red light at an intersection in low traffic, traffic in foul weather. At moderate conditions in between these extremes, however, would be vast differences in the degree of integration with which the two drivers sonal perception. Here good see a direct relation- process- In fact, a of research has applied Crockett’s cognitive complexity idea to other communicadeal tion variables. would process information. Crockett, like Schroder, recognizes that a Cognitive Complexity and Impression Forma- 24. Walter In his well-known treatment of cognitive complexity, Walter Crockett uses a similar con- Research, ed. tion. Fruit we made between information H. Crockett, “Cognitive Complexity and Impression Formation,” in Progress in Experimental Personality Vegetables 129 Brendon A. Maher (New York: Academic Press, 1965), vol. 2, pp. 47-90. Meat THEMATIC THEORIES cognitive system consists of content elements realm of information processing in particular, person perception. He is interested in how indi- and relationships among elements. Complexity or simplicity in the system is a matter of the relative viduals process information about other peo- number of constructs (dimensions) and constructs. The number of constructs used relevant. follow: First, individuals with complex cognitive systems with respect to other people need not necessarily have complex systems with respect to other domains. Second, those individuals for whom interpersonal relations are functionally important should have more complex cognitive systems with respect to other people than those for whom interpersonal complex individuals are able to make more distinctions in a situation than cognitively noncomplex people. tively Crockett agrees that cognitive complexity is trait. Individuals vary in their own complexity across topics and over time. Further, cognitive complexity is a matter of human development. Small children typically are cognot a general rather global, relations are less important. Third, a particular indi- may show differential complexity in his interpersonal constructs with respect to different categories of other people, depending upon the extent of his interaction with them 25 vidual processing information in undifferentiated terms. growth and maturity they come With . to understand What, then, is the relationship between the cognitive complexity of interpersonal impressions and how information about others is processed? Crockett makes several claims. events with greater discrimination and with more sensitivity to the relationships pects of an event. Likewise, as adults develop familiarity and experience with a new more content area, they complex become more among work is especially The main hypotheses of the theory sonal interaction, this line of by an individual to organize a perceptual field is the degree of cognitive differentiation. More cogni- nitively simple, Since communication involves interper- ple. the degree of hierarchical organization of the as- First, cognitively a relationship Crockett is especially concerned about Figure 7.5. does not appear to exist between cognitive complexity and the in that area. one 25. U curve hypothesis. 130 Ibid., p. 54. ability to THEORIES OF INFORMATION AND INFORMATION PROCESSING How- accurately predict another’s behavior. ever, cognitively complex individuals seem Although these theories take toward a step impression understanding the structure of cognition, they do not go far enough in relating cognitive com- formation than do simple individuals. They plexity to other facets of information process- distinguish more between people assume in to between self and complex individ- seem to be less susceptible to stereotyping than are noncomplex individuals. In addition, cognitively complex individuals The work of Schroder and his colleagues centers almost entirely on the curve The work of Crockett and his followers extends the concept into the realm of person perception, which, although a first step tend to attribute both positive and negative in the right direction, also less similarity others. In brief, cognitively ing. U uals qualities to others, hypothesis. and they are therefore less good and bad is still somewhat limited. Such questions as the following are worth purdoes complexity affect perception How likely to divide people into suing: groups than would cognitively noncomplex individuals to take the perspective of another of complex stimuli? By what strategies do individuals with high (versus low) integration understand verbal and nonverbal messages? How is complexity of integration related to problem solving? What is the effect of integration on information storage and retrieval? How do developmental factors, including such predispositions as values and attitudes, affect cognitive complexity? Of course, the theorists should not be faulted for failing to touch every base in their original formulations, but the heuristic value of the theory could have been heightened by noting potential connections between cognitive complexity and other information-processing communicator. Thus variables. Ironically, these theories could Another correlation involves the reconof discrepant perceptions in another person. Because cognitively complex individpeople. ciliation uals are able to put perceptions into a broader network of understanding, they have a greater ability to reconcile contradictory attributes of others. As much indicated, discover how research has sought to cognitive complexity affects interpersonal communication. 26 The upshot of comnoncomplex general this research is that cognitively plex individuals are more able than their messages to others tend to be adapted to the other communicator’s constructs, making communication more selves be discussed at a higher level effec- themof integra- tive complexity. The second concern tive. hierarchy. Criticism of Cognitive Complexity Cognitive complexity theories are appealing for a variety of reasons. They meet almost all of the criteria for good theory. They provide structure for understanding information processing from an actional or constructivistic point of view. no cognitions for particular reason to believe that actual cogni- always this neat. In fact, the hierarchy of difficult to prove (or disprove, for and these authors seem to take it as self-evident. There is no doubt that cognitions tion present a reasonable explanation, without into mechanistic reasoning, hierarchical (as illustrated in Figure is This notion is appealing because it is parsimonious and aesthetically elegant. Yet there is 7.3). a basis They falling relates to the notion of Both of the approaches discussed here rest on the central claim that cognitive how is is that matter), humans differ in conceptualizing events and in making judgments about people. In considering ways these theories might better serve our understanding of cognition, we note two concerns. The first relates to scope, the second to consider the possibility of a network of clusters validity. of associated cognitions without 26. are organized, but that they are grouped syste- matically into increasingly abstract sets tain. Hale, “Cognitive Complexity-Simplicity.” As an chical order. 131 is uncer- alternative organizational model, definite hierar- THEMATIC THEORIES heavily by What Do We Know about Information Classical information theorists define information in terms of uncertainty. They present a theory whereby engineers can develop systems that will transmit messages from one location to another via signals along channels. Although the concepts of the technical theory of infor- mation are vital in understanding machine communication, they tell us little of the ways humans use information. More recent developments in information theory help us understand the role of information in human life. We know that semantic information helps individ- uals reduce uncertainty in the environment, facilitating adaptation to complex situations. This process involves removing unknowns in a stimulus situation. Information of this type has the potential for affecting in a number of ways the choices people make. Information can affect the individual’s perception of how well various options will work in achieving goals. It can help people affect systems in such achieve a goal also have more readily. a direct effect causing a redirection a way as to Information can on one’s goal priorities, of energy toward new goals. ranted. First, all cognition seems to be affected 132 but, second, memory is events. This fact suggests, third, that all cognitive processes are governed by organizing schemes. Thus, for example, perception is structured by certain organizing principles, and memory is consistent with our notions of how events should happen. Fourth, cognitions are never isolated but exist in a complex web of interrelationships. cesses seem Fifth, most cognitive pro- to be tied to language. categories affect tic how we Our linguis- perceive, recall, and think. Sixth, attitudes and emotions cannot be separated from cognition: Perception, mem- problem solving, and other cognitive processes are affected by these. ory, Unfortunately ing human information process- difficult to study. It suffers from some of same problems as does the work on language and meaning outlined in the last section. The basic problem is that we must infer from is the observed responses to unobservable processes. The alternative is to assume that human information processing is similar to machine information processing, which can be observed directly. Information processing consists of a complex set of interrelated processes. Several generalizations about these processes are war- memory; more than simple recall of stored data. Memory seems to involve organized reconstruction of However, great doubt exists as to whether this assumption is valid. Besides, even machines can process information in a variety of ways, and they therefore provide little clue to how humans actually think. CHAPTER 8 Theories of Persuasion Until the mid-1970s persuasion was most at these often conceptualized as a process by which one person or group affects, influences, or changes our understanding of communication processes in general and persuasion in particular go deep another person or group. Although social influence is still the central element of most into the historical soil. Typically, persuasion has persuasion, the unidirectional, changes-another-person concept one-personis now gener- ally seen as inadequate. 1 This approach has been replaced by an information-processing approach that focuses more on the information phenomena for centuries. The roots of been examined in two broad ways. The historical scholar has contributed by examining historical including treatises, papers, and artifacts, With the advent of modern pscyhology and the behavioral sciences in the twentieth speeches. short, per- century, persuasion began to be studied by behavioral scientists as well. Using empirical seen as a consequence of information processing. methods, psychologists and others have tested many hypotheses that grew out of theories of receiver than the sonal change message source. In is This chapter divides persuasion into four sections. The first provides a general humanistic the past. background began contemporary theories of persuasion. The second summarizes behavioristic research that springs from the humanistic tradition. for The two remaining sections divide the mainstream of contemporary persuasion theory into two basic groups. The first group, found in the third section of this chapter, are theories that link persuasion with information processing. The second group, found in the last section of the chapter, consists of theories of persuasion through cognitive reorganization. 2 We will attempt to experience the of both the humanistic theories that Greece and the contemporary flavor in ancient behavioral theories. When we think of theory as 1, we normally focus on Chapter type of the present century. Yet many of the in the book qualities described in the scientific it is clear that of theory outlined earlier are present in ancient explanations of communication. The most important historical theory of communication and persuasion is Aristotelian rhetorical theory. Aristotelian Rhetorical Theory Aristotle, considered to be a seminal figure in Humanistic Foundations: Rhetorical Theory The study of communication and not a new interest. philosophy, laid Humans have been is looking . ler Context (Beverly Hills: Sage, 1981), chap. 2. classical groundwork for much of modern persuasion For discussions of this conceptual shift, see Gerald Miland Michael Burgoon, “Persuasion Research: Review and Commentary,” in Communication Yearbook 2, ed. Brent Rubin (New Brunswick, N.J.: Transaction Books, 1978), PP- 29-47; and Kathleen Reardon, Persuasion: Theory and 1 a 1. philosophy. For years Aristheory was the primary conceptual framework used in the field of speech, and totelian many psychological investigations found their original hypotheses in the and his numerous lent integrative This organization and review rely heavily on the excel- 133 Human works of Aristotle interpreters. work of Mary John Smith, Action (Belmont, Calif.: Wadsworth, Persuasion and 1982). THEMATIC THEORIES was Aristotle and a great scientist, philosopher, of social interpreter works related to the nature nature of people. His work many classical of things and the most concerns that communication and persuasion This work During the his age. fourth century B.C., he produced is Rhetoric. 3 “generally considered the most is important single work in the literature of speechcraft.” 4 As a manual for speech making, Rhetoric relates most centrally to persuasion as a domain. In fact, Aristotle defined rhetoric as the faculty of discovering the available means of persuasion in any case. 5 For many years in the field of speech rhetoric was equated with persuasion. We need to keep in mind, of course, that this theory, along with the other persuasion apply to personal change in all theories, contexts al, —interpersonal, group, organization- and mass. Rhetoric is a description of the processes of speech making as well as a textbook on how to make by the speaker. Artistic proofs include three types: ethos, pathos, and logos. Ethos, ethical or personal appeals, in- cludes all of the ways a person projects personal on the part of the audience. Such factors as character, knowledge, qualities so as to elicit belief and goodwill can be projected as ethical proofs. Interestingly, much of the research since the late 1940s on source credibility has tested Aristotle’s original hypotheses about ethos. The second proof, pathos, consists of the emotional appeals brought to bear in the rhetorical act. The purpose of emotional proofs is to involve the audience’s feelings and to call on its sympathies. Aristotle spent considerable time in Rhetoric discussing emotions and how people’s lives. The was important to Aristotle theorists, for was seen they relate to third proof, logical appeal, and other classical mode of persuasion and mass commuwas public speaking. enthymemes. Examples help the audience see the It is important to nication in ancient times As and most other rhetorical theorists are primarily concerned with artistic proofs that are as the essence of reasoned discourse. Logic consists of the use of examples and speeches. primary totle directly controlled a result theorizing at that realize that the time dealt with validity it of generalizations about the speaker’s speech as a communication channel. For Aristotle rhetoric was essentially the same as persuasion is for us today. In fact, many topic. scholars, particularly in the fields ject.” 6 In Rhetoric Aristotle points out the of deduction in which concluon the of assumptions or premises. Syllogisms are used to demonstrate the truth or validity of conclusions that a scientist might make. The enthymeme, on the other hand, is a practical broad kinds of proofs or appeals that affect persuasion, artistic and inartistic. Inartistic proofs are the aspects of the situation and qualities of nication process. the speaker that are not directly controlled clude communication and English, term rhetoric more to still Enthymemes, partial syllogisms, are important in eliciting audience participation in the reasoning process. A syllogism is defined as a of speech logical device sions of a specific nature are inferred prefer the recent labels. Aristotle basis defines rhetoric “as a faculty the possible of discovering all means of persuasion in any subtwo by the speaker. Although inartistic proofs enter the process of persuasion in important ways, Aris3. Aristotle, Rhetoric Oxford University , trans. Press, Aristotle, Rhetoric Ibid. all The enthymeme does not inpremises and conclusions; instead it members mentally to fill in missing logical steps, and thus it stimulates involvement. Contemporary rhetorical scholars have discussed the enthymeme in depth and W. Rhys Roberts (New York: 1924). Other translations are have demonstrated that 4. Lester Thonssen and A. Craig Beard, Speech Criticism: The Development of Standards for Rhetorical Appraisal (New York: Ronald Press, 1948), p. 57. 6. is particularly useful in persuasion because of its appeal to listeners in the commu- requires audience available. 5. device that , most it is a device used in practical persuasion. Suppose, for example, that you are involved in a recycling campaign and want members of p. 1. your community 134 to see the value of recycling — . THEORIES OF PERSUASION aluminum cans. Your reasoning might follow The earth is worth protect- this syllogism: (1) Saving natural resources protects the earth; (3) Recycling helps save natural resources; (4) Therefore recycling helps protect ing; (2) the earth and is worthy. Since you probably would not state all of the steps in this reasoning, an enthymeme would suffice: (1) The earth is worth protecting, and requires a description of the speaker’s audience, and of the leading ideas with which he plied his his topics, the motives to which he appealed, the nature of the proofs he offered. These will reveal his own judgment of human nature in his audiences, and also his judgment on the questions which he discussed. Attention must be paid, too, to the relation of the surviving texts to what was actually uttered: in case the nature of the changes is hearers — known, there may be occasion to consider adaptation to two audiences that which heard and that which (2) Recycling saves naturesources. Or, to have the audience think through the reasons for recycling, you might read. Nor can rhetorical criticism omit the speaker’s mode of arrangement and his mode of expression, say: Protect the earth: Recycle. nor ral will fill The audience — his habit of preparation and his manner of delivfrom the platform; though the last two are perhaps less significant. “Style” in the sense which corresponds to diction and sentence movement must receive attention, but only as one among various means that secure for the speaker ready access to ery in the rest. In addition to the three kinds of proof, Aristotle also discusses three other aspects of public persuasion: delivery, style (the use of language), and organization. The principles of Aristotle have been discussed and expanded throughout the ages in many ways. Some theorists have focused on style, others on logic, still others on the responsibility of the speaker in different per- — the minds of his auditors. Finally, the effect of the discourse on its immediate hearers is not to be ignored, either in the testimony of witnesses, nor in the record of events. And throughout such a study one must conceive of the public man as influencing the men of his own times by the power of his discourse 8 . suasive situations. Aristotle has been rediscovered periodically. 7 One such rediscovery occurred early in this century. In the last century speeches were treated primarily as literature, but as the contemporary view of communication developed, it became of rhetoric that speeches should Contemporary Approaches Rhetorical theory has undergone considerable in the twentieth century. One of the most important contemporary theorists is development Kenneth Burke, whose theory is summarized in which stimulated a return to the Aristotelian model, was articulated most clearly by Herbert Chapter 4. The work of I. A. Richards, presented in Chapter 6, is also associated with rhetorical theory. Several other major figures have presented theories of rhetoric. Scholars often Wichelns make clear to scholars be seen from a functional in his classic viewpoint. 1925 article, The “The shift, Liter- ary Criticism of Oratory.” In the article he repudiates the literary study of speech making and tive. calls for a return to the rhetorical perspec- The following quotation, the heart of his discussion, outlines the basic parameters of neo-Aristotelian rhetorical theory as today: it is It 7 For a detailed survey of the development of rhetorical theory throughout history, see Nancy L. Harper, Human Communication Theory: The History of a Paradigm (Rochelle Park, N.J.: Hayden Book Co., books provide summaries. 9 The following cism is criti- limited to Aristotelian theory. 8. — to be. tion that seems false. We do not have space to pursue rhetorical theories here; several excellent Herbert A. Wichelns, “The Literary Criticism of Oratory,” in Studies in Rhetoric and Public Speaking in Honor of James Albert Winans (New York: The Century Company, used Rhetorical criticism is necessarily analytical. The scheme of a rhetorical study includes the element of the speaker’s personality as a conditioning factor: it includes also the public character of the man not what he was, but what he was thought a sharp distinction between “rhetorical” theory and “communication” theory, a distinc- 1925), pp. 212-13. 9. For excellent summaries of twentieth-century rhetoritheory, see Bernard L. Brock and Robert L. Scott, Methods of Rhetorical Criticism (Detroit: Wayne State University Press, 1980); James L. Golden, Goodwin F. Berquist, and William E. Coleman, The Rhetoric of Western Thought (Dubuque, Iowa: Kendall Hunt, 1976); Douglas Ehninger, Contemporary Rhetoric (Glenview, 111.: Scott, cal Foresman, 1972); Richard 1979). Theories of Rhetoric 135 (New L. Johannesen, Contemporary York: Harper & Row, 1971). .. THEMATIC THEORIES Criticism The goal of Aristotelian theory probably ways that communication variables operate within the attitude change situation. The investigators hypothesized that in addition to the the Yale program was to discover was effective in its problems result primarily from modern-day applications. Because the theory employs a linear model in which a strong distinction is made between rhetor (source) and audience (receiver), it leaves little room for interaction among communicators. As such it ne- dimensions were also present. This hypothesis arose out of the relatively commonsensical idea glects the process nature of communication. This failure is serious because of its adverse others, regardless day. Its specific that on much of our recent thinking about communication. In the next section you will see how this linear model is continued even in reeffect cent psychological research. This criticism and logic. Aristotle presents these three elements as descriptors but they probably more of message parts, accurately relate to di- mensions of perception that do not correspond perfectly with specific message appeals. This objection relates to our criterion of validity sion paradigm. The model begins on the left with observable communication stimuli and ends on the right with various kinds of persuasion effects. The two middle blocks and effect. These two factors are extremely im- portant in understanding persuasion, because they occur inside the person and facilitate or inhibit persuasion. The Yale studies, including the theories of persuasibility, illustrate well the deterministic, search. Tradition in persuasion was the Yale Communication and Change Program, conducted primarthe 1950s. This work is interesting to in the Yale program. study in conjunction with Aristotelian theory because it represents a contemporary oper- of the ationalization The monographs Hovland, Irving cation in the Yale linear series literature are readily available elsewhere. 12 model. 10 include Carl Change (New Haven, Conn.: Yale University Press, 1960); Muzafer Sherif and Carl I. Hovland, Social Judgment (New Haven, Conn.: Yale University Press, 1961). I. and Harold H. Kelley, Communi(New Haven, Conn.: Yale University Hovland et al. The Order of Presentation L. Janis, and Persuasion Press, 1953); Carl in classical I. 1 1 . Irving L. Janis et al., Personality and Persuasibility (New Haven, Conn.: Yale University Press, 1959). 12. For a brief summary of the findings of the Yale , (New Haven, Conn.: Yale University Press, Milton J. Rosenberg et al., Attitude Organization and Persuasion 1959); people do with information, while the latter focus on how people are affected by information. Much research on persuasion took place in Summarizing the work is beyond the scope of this book; reviews of the Attitude ily persuasion re- difference An Organizing Model programs much One immediately perceives a qualitative between the theories from cognitive psychology in the previous chapter and theories of social psychology, represented here by the Yale work. The former are concerned with what Contemporary Applications: The Yale 10. prolific research are particu- larly interesting, for they center on the mediating and predispositional factors between cause behavioristic quality of One of the most situation. excellent outline of the antecedent, intermediate, and outcome variables in the persua- its three-fold analysis of ethos, pathos, and logos. In actual practice separating information into these categories is difficult. feelings, are easier to persuade than of the topic or illustrated in Figure 8.1 outlines major types of persuasion variables investigated by the Yale group. 11 This model is an because of or appeal may, and probably variables affect- the is does, involve a combination of personal regard, some people The model primarily one of theoretical appropriateness Aristotelian theory has also been criticized Any argument communication-bound ing persuasion, certain general persuasibility search, see Smith, Persuasion, pp. 219-36. 136 re- THEORIES OF PERSUASION The Persuasibility Problem Of particular vary in terms of their general persuasibility, apart from any other specific communication- block related factor. at interest in Figure 8.1 is the small the top of the second column, labeled communication-free. People are hypothesized to Observable communication The Predispositional factors stimuli* original research in this area attempted Internal mediating Observable processes communication effects The categories and subcategories are not necessarily exhaustive but are intended to highlight the main types of stimulus variables that play a role in producing changes in verbalizable attitudes. Personality and Persuasibility by Irving Janis, et al. New Haven: Yale University Press, 1959. Reprinted by permission of the publisher. Figure 8A. Major factors in attitude change produced by means of social communication. 137 THEMATIC THEORIES to discover various personality correlates of The researchers wanted to know what kind of person tends to be persuasible or not persuasible. With a few exceptions, though, this line of research reached a dead end. It became painfully obvious that persuasibility is more a matter of internal processes than traits. Persuasibility appears to be a complex matter persuasibility. involving particular interactions among the mediational variables. In attempting to provide clearer direction for research, Irving Janis Carl Hovland developed suasibility a and theory of perof the to explain the complexity problem. 13 These authors hypothesize that inabilities and levels of motivation to process messages. Communication receivers have varying degrees of ability in dividuals vary in their four areas: attention, comprehension, anticipa- and evaluation. Attention involves focusing on the communication stimuli; it involves the ability to pay attention to aspects of the speaker and the message. Comprehension involves understanding the message. Anticipation tion, involves the ability to imagine or rehearse acceptance of a message. It requires the ability to see yourself in the position advocated by the and evaluation ties to attend, promote as an inhibiting factor. High abili- comprehend, and anticipate persuasibility, but a high will ability to evaluate will retard persuasibility. Of course, alone will not determine abilities which attention, comprehension, and evaluation will occur. Because able not only to do these things but be motivated to do them, abilities and motives are always considered together in the degree to anticipation, the person must be predicting persuasibility. Figure 8.2 is a contingency table outlining the various possible combinations of abilities and motives in persuasion. The table is an adaptation of Janis and Hovland’s outline of interrelationships among the basic factors in the model. The theorists’ assumptions, related to Figure 8.2, are lows: (1) A abilities will as fol- deficiency in the three facilitating decrease persuasibility. (2) A defi- ciency in evaluation ability will increase per- Low motivation to use facilitative abilities results in lower persuasibility. (4) High motivation to use the facilitating abilities suasibility. (3) results in higher persuasibility. (5) High moti- vation to evaluate leads to lower persuasibility. (6) When all four abilities are adequate and the speaker. Evaluation involves scrutinizing argu- level ments and identifying attempts to manipulate. will be selective, discriminating, and flexible in what the responding to persuasive messages. As an example imagine that you have given a speech to a community group on the topic of When you speaker is evaluate, you saying, in your These four criticize own mind at least. can be combined in two of analysis. The first part of the analysis looks at attention and comprehension together as learning factors and anticipation and evaluation as acceptance factors. In other words, if you are able to attend to the speaker and message and comprehend what is being ways abilities for purposes you are more apt to internalize or learn the material being discussed. Likewise, if you antic- said, going along with the speaker and you are not too critical of what the speaker is saying, ipate you are more apt to be persuaded. The second kind of analysis considers attention, comprehension, and anticipation as facilitating factors 13. Janis, Personality, chap. 12. of motivation is moderate, the individual recycling. In your speech you have presented a in favor of recycling, involving political, economic, and conservationist points. You might expect, according to this theory of persuasibility, to find three kinds of members in your audience. Some audi- number of arguments members would be easily persuaded by your speech. These people would be highly motivated and able to pay attention, to comprehend your speech, and to imagine themselves going to the recycling center. Such individuals probably would not be particularly able or motivated to evaluated your arguments. Another kind of person would be stubborn and ence resistant to persuasion. 138 Such individuals prob- — THEORIES OF PERSUASION ably would have low motivation and/or to attend, to Again, the issue ability comprehend, and to anticipate. Or might be highly motivated evaluate your arguments. A third these individuals ments and their needs. They probably would have a moderate motivation and ability to attend, comprehend, anticipate, and evaluate. This theory conceives of persuasibility as trait. Persuasibility number of interactions suggests exist in among mediating be automatically persuaded or resistant but a decision based on your argu- would make caused by any it is not a singular type, then situation. view by defining the main McGuire further contributes to principles in- volved in these mediational relationships. He outlines five such principles. These principles are important for our consideration because they illustrate once again that persuasion a may be among it variables within the person and this indeed communication — is hardly a simple cause-effect relationship. predispositional and mediating factors. If persuasibility is . and able to group of people in the audience would be adaptable and flexible. Such individuals would not condition, not a important, for that significant individual differences terms of being influenced across situations 14 We have already seen that influenceability is the consequence of complex relationships The must first principle of influenceability mediational principle. have several variations, depending on the individual combination of factors present in the is the This relatively simple what we have said above, that mediated by a number of inter- principle restates persuasibility persuasible or nonpersuasible person. is vening variables. Hovland and Janis’s theory of we must realize that this attempt One cannot understand the In reviewing persuasibility, William J. McGuire, “The Nature of Attitudes and Attitude Change,” in The Handbook of Social Psychology, vol. 3, ed. Gardner Lindzey and Elliot Aronson (Reading, Mass.: Addison-Wesley, 1969), pp. 136—314; see also McGuire, “Personality and Susceptibility to Social Influence,” in Handbook of Personality Theory and Research, ed. E. F. Borgatta and W. W. Lambert (Chicago: Rand McNally, 1967); McGuire, “Personality and Attitude Change: An Information-Processing Theory,” in Psychological Foundations of Attitudes, ed. Anthony G. Greenwald, Timothy C. Brock, and Thomas M. Ostrom (New York: 14. was the first to systematize an approach for the purpose of structuring research. In a more recent treatment William McGuire further amplifies the complexity of the matter of McGuire notes influenceability. that persuas- ibility is really part of the larger condition of general influenceability, whether in the form of persuasion, conformity, or suggestibility. Academic Press, 1968), pp. 171-95. Facilitative abilities: Inhibiting ability: Attention, comprehension, and anticipation High High Motives Persuasible Moderate Low Medium Evaluation Low High Not Not persuasible persuasible Adaptive Low Persuasible Adaptive Not Not Not persuasible persuasible persuasible Figure 8.2. Medium Persuasible Combinations of abilities and motives as they 139 Persuasible relate to persuasibility. Persuasible — . THEMATIC THEORIES relationship between personality and persuasibility without considering the ways various personality factors affect such mediators as intelligence, age, self-esteem, and anxiety. The second principle is that of compensation This principle states that various mediating factors will have opposing effects, thus tending to compensate or cancel out one another. An important corollary of the compensation principle is that the intermediate levels variables maximize is variable, a that another variable but all influenceability. The reason when for this on one first, of compensating a particular person is high compensating low level on may cancel out the effect of the com- relevant mediating variables bine optimally middle of the range. For an overly simple example, consider the at the hypothetical relationship ity: is among three vari- and influenceability. Imag- ables: age, anxiety, ine that age inversely related to influenceabil- Younger people more are easily influenced than older people. Imagine further that anxiety is positively related to influenceability: anxious people are more Now, relaxed people. More easily influenced than age and anxiety are negatively correlated (younger people tend to be more anxious), these variables will cancel each other out if extremes, and influenceability will be highest in the middle range at the among middle-aged people who are moder- ately anxious. The third principle principle, affects which is the situational-weighting states that the how much type of influence difference will be found in audience influenceability. McGuire discusses three types of influence: suggestion, conform- Conformity is An- mediating one searchers have found that self-esteem correlates negatively with persuasibility. But since self- esteem correlates differently with other variables such as depression and withdrawal, the investigator cannot really understand the net effect of self-esteem on persuasibility without knowing how it intercorrelates with the two variables. Suppose, for example, a who has low self-esteem is depressed and withdraws. Such a person would not exfirst other person pose himself or herself to many communicative messages and therefore would be a poor message receiver, thus lowering persuasibility. Fifth is the interaction principle, which con- cerns the mediating variables in the person that create individual persuasibility differences. These variables communication- interact with other external variables, such as source and message, to determine the final actual change. This principle, of course, argues against a strictly general persuasibility factor. What specific de- group pressure influence. People vary moderately in the degree to which they will be influenced by conformity pressure. By persua- McGuire means complex discourse this is that the another in different ways. For example, re- these principles mean interrelationships within that person. dif- fined as sion way of saying variables within a person will correlate with to our underis that which a person is influenced by a persuasive message depends on a number of ference between people in their degree of suggestion-influenceability. Fourth, the confounding principle states that variables cluster together into syndromes. other standing of persuasion and persuasibility and persuasion. By suggestion he means simple messages that require little attention on the part of the listener. Most people are easily is little suasion requires abilities to attend and comprehend and since people vary in these abilities, a great deal of difference exists among people in terms of how much they will be influenced by persuasive communication. the degree to ity, influenced by suggestion, and there involves message elements that are more difficult, such as rational argument. Since per- among We may the factors never be able to find strong singular correlates of persuasibility because of the numerous possible combinations of individual-difference variables within the person. The more approach thus seems broad principles involved in has done, and to hypothesize specific types of persuasibility, as fruitful to be to define the the process, as that 140 McGuire . . THEORIES OF PERSUASION And did Janis and Hovland. so, according to McGuire, you could not easily predict who would and who would not be influenced by your recycling speech on the basis of their simand motives, example. ple abilities earlier as suggested in the Criticism The Yale work because of Some its has been criticized primarily theoretical inappropriateness 15 . have observed, for example, that the Yale studies represent a modern-day, empirical elaboration of Aristotelian theory. As such the critics model employed by the Yale group is overly ignoring interaction and feedback. The linear, underlying model of this of causal fect. links work from message The work leaves little An attitude usually is defined as a pre- disposition to act in a positive or negative way toward the attitude object, although the correlation between attitude and behavior has been shown to be tenuous. At any rate much persuasion research has focused on attitude change. The information-integration approach is one of the most credible models of the nature of attitudes 16 . According to this theory, an individual’s atsystem can be affected by information that is received and integrated into the attitudetitude information system. All information has the potential of affecting one’s attitudes, but the degree to which suggests a series it affects attitudes depends on The first is valence. Valence is an judgment about the degree to information is good news or bad to receiver to ef- two room individual’s for been important in persuasion struct attitude has theory. human action, variables. since people are seen as behaving primarily in accord with external pressures and news. internal mediators. generally will be viewed as good; if not, On which the If it supports one’s beliefs and attitudes, it it probably will be seen as bad. Of course any particular piece of information will be evaluated in terms of a scale from very bad to very good. The second variable that affects the importance the other hand, this tradition has been its heuristic value. The original Yale monographs were filled with research ideas that for two decades stimulated a great deal of research on attitude change. Although the Yale studies seem simplistic by today’s standards, they were a landmark in taking a first step toward researching actual communication praised for of information to a person the weight as- is signed to the information. Weight of reliability. If tion is a function the person thinks the informa- probably higher weight will be assigned to the information; if not, a lower variables. is true, a weight will be given. Valence affects how information influences attitudes; weight affects Information-Processing Theories of Persuasion which signed weight is little effect, Information-Integration Theory it does so. When the aslow, the information will have the degree to no matter what its valence. For example, suppose that you have two one who is strongly in favor of increasing the United States’ nuclear strength and the General Background The informationintegration approach centers on the ways friends, people accumulate and organize information about some person, object, situation, or idea to other form friends are told that the president 15. attitudes toward that concept. My criticism of this work and the following theories is heavily influenced by the excellent distillation who is strongly in favor of unilateral arms reduction. Suppose further that The con- you and your is about to Contributors include Norman H. Anderson, “Integration Theory and Attitude Change,” Psychological Review 78 (1971): 171-206; Martin Fishbein and leek Ajzen, Belief, Attitude, Intention, and Behavior (Reading, Mass.: Addison-Wesley, 1975); Robert S. Wyer, Cognitive Organization and Change (Hillsdale, N.J.: Erlbaum 1974). 16. of Mary John Smith, Persuasion and Human Action I have also relied heavily on Charles A. Kiesler, Barry E. Collins, and Norman Miller, Attitude Change: A Critical Analysis of Theoretical Approaches (New York: John Wiley & Sons, 1969). 141 a i THEMATIC THEORIES announce that the United States will initiate a good-faith arms reduction with the hope that the Soviet Union will respond likewise. will this information affect your high weight to titudes it, and it attitudes to- belief, belief about, is the will affect their at- toward the president. One of your friends definitely will define the information as bad news, and his attitude become more will likely toward the president negative. However, your other friend will see this information as good, and her attitude toward the president may become more positive. it little is accurate weight. Con- sequently, regardless of your initial attitude, the information probably will not affect your at- toward the president one way or another. An attitude is considered to be an accumulation of information about the attitude object, each piece of information having been evaluated as we have just indicated. (The exact way that information is accumulated to form an attitude titude is in dispute. 17 ) because of new Thus attitude change occurs information or changing judg- ments of truthfulness or value. predicted probability that a particular relationship exists belief object Again, between the and some other quality or thing. this is a probability situation, and one’s belief is the predicted probability of the existence of a particular relationship. For example, one may believe may in God, also believe that God that God exists. One omnipotent is — probability statement of a relationship between God and You, on the other hand, don’t believe this information and therefore you assign belief in a thing. When one besomething, he or she predicts a high The second kind of probability of existence. ward U.S. arms policy? If your two friends accept this information as true, they will assign a what he terms lieves in How omnipotence. Attitudes differ from beliefs in that they are evaluative. Beliefs are probability statements of evaluation or judgment. Attitudes are corre- with beliefs and predispose a person to behave a certain way toward the attitude object. lated Attitudes are learned as part of one’s concept formation. They may change occur throughout sees life. as new learnings Furthermore, Fishbein attitudes as hierarchically organized. In other words, general attitudes are predicted from specific ones in a summative fashion. An attitude toward an object specific factors, is the sum of the including beliefs and evalua- tions, in the family hierarchy. This formula is represented algebraically as follows. 19 Fishbein: Beliefs and Attitudes. known and One of the respected attitude theorists tin Fishbein. 18 Fishbein’s tant because it contribution highlights the interactive nature of is is best- Mar- = 1 where According to Fishbein, there are two kinds of belief, both of which are probability statements. The first is attitudes. For a review of the issues Persuasion, 245-48. 17. Ao impor- complex and N 2 Bp in this dispute, see 19. A0 = = Bj Smith, the attitude toward object o the strength of belief i about o; that is, the probability or improbability that o is associated with some other concept xj Fishbein has published several articles on this topic. ai = Among these are “A Behavior Theory Approach to the Relations between Beliefs about an Object and the Attitude toward the Object,” “A Consideration of Beliefs and Their N the evaluative aspect of Bj- that ation of Xj = the 18. Role in Attitude Measurement,” and “The AB Scales: An The Operational Definition of Belief and Attitude.” These three articles are reprinted in Readings in Attitude Theory and Measurement, ed. Martin Fishbein (New York: John Wiley distinctive feature is, the evalu- o. of Fishbein’s formula is that it stresses the interactive nature of attitudes. Attitudes are a function of a complex factor that involves both beliefs (probability predictions) & Sons, 1967). For an excellent secondary source see David T. Burhans, number of beliefs about The Attitude-Behavior Discrepancy Problem: and evaluations. The example Revisited,” Quarterly Journal of Speech 57 (1971): 418-28. For a more recent treatment see Fishbein and Ajzen, Belief. Fishbein, 142 “A Behavior Theory,” in p. Table 394. 8.1 will THEORIES OF PERSUASION help to clarify this model. According to this conceptualization, attitude change can occur from any of three sources. Criticism. ATTITUDE OBJECT (o)-> JOGGING N = of doubt that one can measure the overall accumulated weight and value of a belief system TABLE 8.1 attitude hierarchy according to the Fishbein 6 of infor- beliefs is generally accepted, there is quite a bit value of a belief. Finally, information can add beliefs to the attitude structure. new example of an criticism of measurement. Although the idea that attitudes consist of accumulated and weighted idity can alter the believability (weight) of particular beliefs. Second, information can change the A simplified Most of the negative mation-integration theory relates to the val- information First, (NUMBER OF BELIEFS model IN SYSTEM! ASSOCIATED CONCEPTS W) (Bi) x x Cardiovascular health Bi J°gg in g promotes cardiovascular x 2 Disease B 2 Jogging reduces the chance of disease. B 3 Jogging reduces weight. B 4 Jogging promotes peace of mind. PROBABILITY OF ASSOCIATION EVALUATION (fli) a x Cardiovascular vigor good. is vigor. x 3 Obesity x 4 Mental health a2 Disease a3 Being overweight x 5 Friendship Bs B 6 Jogging Jogging introduces a person to bad. is bad. a 4 Letting off mental tensions is x 6 Physique is new good. a 5 Friendship is important. friends. Scale for B: 0 A unlikely association; 1 = : 0 = X4 X5 X6 body beautiful is appealing. disagree; 5 = strongly agree very negative attitude; 25 = very positive attitude PROBABILITY *3 A highly likely association HYPOTHETICAL NEGATIVE ATTITUDE TOWARD JOGGING X2 ab 1= strongly Scale for a: Scale for — very builds better bodies. Bx = B2 = .30 A0 = .30 (.30) EVALUATION 4 .95 ar a2 = = 5 .60 = a4 = = a5 3 .80 *3= a4 = as = 4 4 = 2 Bx = B2 = B3 = B4 = Bs = B6 = A0 = = 2 t a3 a6 4 (.20) 3 = PROBABILITY = a2 = a B 3 =.50 B 4 = .10 B 5 =-20 B 6 = .70 + + (.30) 5 (.70) + HYPOTHETICAL POSITIVE ATTITUDE TOWARD JOGGING EVALUATION (.50) 5 4 3 3 + (.10) 4 + 2 .80 .60 .50 (.95) 5 d6 + (.60) 5 (.60)4+ (.50)2 = 6.6 143 17.55 + 5 4 (.80) 4 + (.80) 4 + THEMATIC THEORIES with any degree of setting a researcher them reliability. would In the natural have to Sherif and his colleagues found that individ- with criticizing research judgments of things and people are highly and depend on one’s initial orientatoward the world. The psychological literature shows that people make judgments about things based on anchors or reference points. Suppose that you are involved in an experimental situation in which you are asked to judge the relative weight of five objects. On what would you base your judgment? If the experimenter handed you a weight and told you it was ten pounds, you would first feel the reference weight and then make judgments about the other objects based on the kinesthetic feeling you received from the known weight. In this case the known weight would act as an anchor, influencing your judgment of the method of observa- others. In fact, with a different initial weight, first ual isolate contributing to an attitude, measure beliefs situational and factor out the influence of other elements of the system. Since this process is accurately, difficult or impossible to do, most research in and conThis problem thus casts doubt on the this tradition is artificial, hypothetical, trolled. external validity The of the claims. other serious problem studies in this area about the exists tion to is form an is among research that serious disagreement way one attitude. accumulates informa- The research evidence equivocal on this point. This controversy casts doubt on the internal validity of the ap- proach. The difficulty methodology is that every you would judge the same tion, in the natural setting or in the laboratory, One has weaknesses. To demonstrate can always question the and validity of data collection. The fact is that this theory has been widely acclaimed in the field. Methodological problems aside, this theory provides a useful model for understanding the nature of attitude and attitude change from an information-processing point of view. reliability Social Judgment Social tion the is first with hot water, the second with cold hand hot water, the other in the cold water; and few moments, place both hands in the tepid water. Your perceptions of the tepid water will be different for each hand because each hand had a different anchor, or reference. after a Sherif reasons that similar processes operate primarily a product social psychologist judging communication messages. In social perception anchors are internal; they are based in Muzafer Sherif and his associates 20 This theory finds on its . past experience. roots in the early psychophysical research in erence point which persons were tested in their ability judge physical stimuli. Using this paradigm to way as others. an analogy, Sherif investigated the ways indi- psychophysics hold for social judgment as well. The first major work in this area was Muzafer Sherif and Carl Hovland, Social Judgment. See also Muzafer Sherif, Carolyn Sherif, and Roger Nebergall, Attitude and Attitude 20. Change: The Social Judgment-Involvement Approach (Philadelphia: W. B. Saunders, 1965). For a brief overview of the theory, see Muzafer Sherif, Social Interaction Process — and Products (Chicago: Aldine, 1967), chaps. 16, 17, 18. Several secondary sources are also available; see, for exam- and Miller, Attitude Change, chap. a The internal anchor or 6. 144 is ref- is always present and influences the person responds in communication with The more important the issue is to one’s ego, the stronger the anchor will influence viduals judge nonphysical objects or social stimuli. He learned that many principles of ple, Kiesler, Collins, objects differently. of anchors, you could Take three bowls. Fill water, the third with tepid water. Put one in the Theory judgment theory of the work of the this idea try a simple experiment. what understood. We will now look at the central concepts of social judgment theory. These include latitude of acceptance , rejection, the and noncommitment. judgment experiment you would be given a large number of statements about some issue. You then would be asked to sort these messages into groups according to similarity of position. You could use as many groups as you wished. Then you would order these groups in In a social THEORIES OF PERSUASION terms of position on a negative-positive scale, and you would indicate which groups are ac- you personally, which are not acand which are neutral. The first mea- ceptable to ceptable, sures your your latitude latitude of acceptance, the second of rejection, and the third your latitude We of noncommitment. can see that an individual will approach real-life messages in the same way. While a person has a particular attitude about the issue, there will be a range of statements, pro or con, that the person can tolerate; there will also be a range that one cannot accept. Another important concept from social judgment is ego-involvement. Previously, an attitude was thought to be measured primarily in terms of valence (direction, pro or con) and the degree of agreement or disagreement. But Sherif demonstrates that ego-involvement is from either of these other two dimensions of attitude. Ego-involvement is the significant apart degree to which one’s attitude toward something affects the self-concept. It is a measure of how important the issue is to the individual. For example, you may have read a great deal of material supporting the viewpoint that marijuana should be legalized. You may feel by the issue. But if you smoker and have been no doubt are a regular marijuana arrested for possessing the drug, you would be highly ego-involved. Egoinvolvement makes a great deal of difference in respond to messages related to the issue. There is a relatively high correlation between involvement and extremity, but it is not it is let The social judgment theory is occurs when individuals judge a message to it actu- is. The assimilation effect occurs when persons judge the message to be closer to their point of view than it actually is. ally Basically, when own to one’s a message sages, contrast is relatively close message will be of relatively distant mes- position, that assimilated. In the case is likely to occur. These assimila- tion and contrast effects are heightened by egoinvolvement. For example, if you were strongly in favor of the legalization of marijuana, a moderately favorable statement might seem like a strong positive statement because of your assimilation; while a slightly unfavorable statement might be perceived to be strongly opposed to one’s view because of con- you were highly ego-involved in the would be even greater. Supsomeone told you that they thought possession and smoking of marijuana should be legal but that growing the plant on a commercial basis should be against the law. If you were highly ego-involved in your belief that the drug should be legalized, you might perceive this statement to be trast. If which it is a judgment theory aids our understanding of communication is attitude change. The predictions made by social judgment theory are the following: (1) possible for a area in social Messages falling within the latitude of accep(2) If a message judged by the person to lie within the latitude of rejection, attitude change will be reduced or tance facilitate attitude change. what social judgment communication process. tion to our understanding . fect be farther from their point of view than The second us consider theory says about the internal anchors of position and egoOn a given issue, such as legalizaof marijuana, a person will distort the message by contrast or assimilation The contrast eftion rather middle-of-the-road position. person to be neutral on an issue, yet highly ego-involved. Now own involvement. strongly against marijuana, even though how you a perfect correlation. In fact, Sherif’s work that individuals judge the favorability of a message based on their pose, for example, that you have read. Thus you would have a strong positive attitude toward legalization, but your ego-involvement might be very low if your life relatively unaffected it explains two important behaviors of audiences in receiving messages. First, we issue, this effect strongly on the issue because of the literature is because know from is a fine contribu- boomerang effect may which the discrepant message actually nonexistent. In fact, a of communication occur 145 in . THEMATIC THEORIES reinforces one’s own position on the issue. (3) Within the latitude of acceptance and noncommitment, the more discrepant the message from the person’s own stand, A predict that Person would be the greater the expected influenced to shift the position in the direction However, once the message the latitude of rejection, change will of the message. Person B, on the other hand, probably would have a large latitude of rejection. Ego-involvement would cause this person to reject almost all messages discrepant from his or her own. Since the latitude of rejection is so large in Person B, most messages would not be acceptable, and attitude change would not be attitude change. hits A would be open to communications ranging from positive to negative on the issue. Person We would (4) The greater one’s egoinvolvement in the issue, the larger the latitude of rejection, the smaller the latitude of noncommitment, and thus the less the expected not be expected. attitude change. In summary, social judgment theory predicts a curvilinear relationship between discrepancy and attitude change, as indi- predicted. cated in Figure 8.3. Criticism. In our example of the legalization of two people receive the marijuana, imagine that same message opposing legalization. Assume this message is only moderately opposed. Person A believes that the possession of marijuana should not be a crime; Person B adamantly favors legalization and is highly ego-involved. These two people, while both on the positive side of legalization, would respond differently message opposing it. The first individual would have a large latitude of acceptance, a to the relative large latitude of noncommitment, and The major ment theory is its strength of social judg- parsimony It presents an intui- tively believable set of claims based on just a few important constructs. Although this theory is no longer in vogue, its aesthetic elegance elicited great popularity in the 1960s, and it stimulated a good deal of research, which speaks well for its heuristic value. Egoinvolvement, which the theory presented as a core construct, has since become a mainstay in persuasion literature. The basic problem with social judgment theory a is that it begs the question on some important claims. It fails to prove certain key assumptions. The theory assumes, for example, very small latitude of rejection. In other words, that there is a sequential, causal mechanism whereby judgment as a cognitive activity precedes attitude change. All of the claims of the theory follow from this assumption, which may not hold. For example, the theory claims that the judgment process may lead to distor- tion of a message, affecting latitudes of acceptance and thereby affecting the potential for attitude change. However, the same result could also be explained by other factors. This objection to social judgment theory casts doubt on its validity. Theories of Cognitive Reorganization and Persuasion The theories in this section share a common focus on reorganization of the cognitive system. All of these theories conceive of persua- Figure 8.3: Theoretical relationship between discrepancy and change. 146 . THEORIES OF PERSUASION sion as largely an intrapersonal event in which self-persuasion number of rewards that would result from not smoking. For instance, she might imagine that strictly her health Two a is the key. In short, persuasion is matter of cognitive reorganization. types of theory are presented: social learn- a Learning Theory 'sC-' Social Traditionally learning theory has been a deterministic approach that presumed that people’s behavior Perhaps she would go to a stopsmoking clinic or other program, or perhaps would stop cold turkey. She would then become conscious of the consequences of her she In traditional learning theory little freedom is accorded individuals to make choices about to respond in a situation. Behavior is con- behavior. If some of the imagined rewards actu- how less ally happened, she would be induced to remain nonsmoker; however, if negative consequences were experienced, she might decide to begin smoking again. For example, she might discover that she begins to gain weight as she reduces her smoking. Ultimately, her behavior will be affected one way or another by her own programmed. 21 Social learning theory teaches the a impor- tance of reinforcers, but unlike traditional learn- ing theory this newer approach postulates not only that people make choices about behavior but that they also control the reinforcers in their environment. Social learning theory is nitive cognitive interpretations of the consequences of her actions. If she attributed primarily to Albert Bandura. 2 2 _Bandnra’ s theory is a fails and returns to smoking, she will probably be reluctant in the near future cog- approach to learning. The paradigm to try stopping again. is stated briefly as follows: (lj) People establish Reinforcement goals that entail rewards or positive conse- two quences if achieved. (JZJ) People choose to behave in ways that have the potential for achieving the goals. would together. behaviors are thought to increase in frequency, while negatively reinforced behaviors decrease. more or that her life reinforcers that could help her change her own behavior. Next, she would develop a deliberate plan to reduce smoking and then stop al- shaped by associations and reinforcers in the environment. Positively reinforced is sidered to be would improve, be extended, that her house would not be filled with smoke, and that she would be more pleasant to other people. In other words, this individual would be setting herself up for positive ing and cognitive consistency theories. is in one’s environment serves The first The consequences of one’s ac- functions, according to Bandura. informational tions help the individual to learn the rules, in- People interpret the rewards or pun- favorable results and which actions lead to which do not. The learned Choices are affected by the perceived successes and failures of the past as well rules are guides for how ((3£) consequences of behavior ishments. as by anticipated consequences as structing the person about <(4) by other words, behavior trial come is shaped by interaction between external conditions and internal cogni- and error. what to learn reinforcement a woman who wants smoking. She has the ability within herself to set that as a goal, and she can imagine affected As an example consider the For a summary of traditional approaches to learning, is this process they proper to say or not say in The second function of motivational-, that is, choices are is the example about stopping motivated to behave in certain in ways because of her cognitive understanding of J. Kling and Lorrin Riggs (New York: Holt, Rinehart and Winston, 1971), pp. 551-613. Social Learning woman smoking, seej. W. Kling, “Learning: Introductory Survey,” in Woodworth and Schlossberg’s Experimental Psychology, ed. W. 22. Albert Bandura, is by perceived consequences. One is motivated to repeat rewarded actions and to avoid punished actions. An individual, such as to stop . Through different situations. tive processes. 21 to act in the future. Children, for instance, often learn social rules in the future. In the consequences of behavior. Clearly information from outside affects our Theory (Englewood Cliffs, N.J.: Prentice-Hall, 1977). internal cognitions to a large extent. This in- 147 THEMATIC THEORIES come from formation can direct experience, social knowledge. Both role playing and modeling are mechanisms for the social development role playing, or modeling. In direct experience one observes directly what happens as a consequence of a certain action. The smoker referred to put herself through of knowledge. This tion with a certain kind is mental identificaof behavior within a The person mentally not to argue that tations. result The point is that learning occurs as a of identification with others. re- hearses an action and imagines what the consequences would be. In trying to stop smoking, an individual might imagine what it would be like not to smoke and might anticipate the re- Criticism. The strength of social learning theory is its consistency with current trends in persuasion that emphasize the importance of individual interpretation and choice in making wards that could accrue. The difference between direct experience and role playing is that the former is real and direct, while the latter is imagined and indirect. Modeling, the third source of social learning, involves actually wit- changes. Its external validity ered to be strong. nessing another person’s actions and the consequences. The woman who wanted to stop possible sources of change, including the factors identified by other theories smoking might have been motivated because of a good friend who seemed to benefit from stopping. Modeling is perhaps the most com- ized in this chapter. The weakness of scope. While it From hypothesis little We think have done a good job and punishing ourselves believe we have let down. Self-esteem an important determinant of self-reinforcement because the higher our self-esteem, the more we value our own choices. This theory represents a major epistemologi- The of social Bandura provides help in understanding the relationship be- — tween what people say to others their messages and attitude and behavior change. — ^Theories of Cognitive Consistency General Background. The largest portion of work in psychology related to attitude, attitude when we learning theory. summar- communication we is cal shift in the field a major many of attitudes, and behavior. Surely reinforcement and rule learning must be affected by an important part of social learninternal standards act as reinapply these standards to our be- when we restricted ignores other beliefs, Our havior, rewarding ourselves is its it standpoint Bandura’s approach does not help us understand how verbal communication affects interaction with others, yet forcers. generally consid- identifies learning as a mon way adults learn. We have indicated that people often create own rewards and punishments. This is is the theory source of personal change, their ing theory. all is a matter of social consensus. Indeed, this theory stresses idiosyncratic interpre- stop smoking. Role playing particular situation. is knowledge a direct experience to change, and persuasion undoubtedly is conof these theories begin with sistency theory. All the psychology and same basic premise: People need to be con- sistent or at least see themselves as consistent. of The vocabulary and concepts change from learning and reinforcement on which this theory is based are deterministic; but by shifting theory to theory, and the hypothesized relation- original formulations among variables differ, but the basic assumption of consistency remains. In a PsycholToday interview one of the major conships the focus to cognitive choice and internal rein- forcement, Bandura has adopted and actional set of assumptions. How vidual construes and interprets events ered to be all ogy a teleological is an indi- sistency theorists, consid- the tendency knowledge. Further, a person’s understanding of behavioral consequences is largely a result of 148 Theodore Newcomb, discus- assumption: “I happen to have studied toward balance, but that doesn’t mean there is anything inherently good or desirable about it. Education, life itself, thrives on ses this important in determining personal THEORIES OF PERSUASION imbalances. Without them you would live like an oyster, utterly passive. Most kinds of fun and excitement begin with inconsistency, with the possible exception of unrequited love. The best scientist, for example, looks for the inconsistencies. . . . My point is not that seek inconsistencies, but that living with them for very long. we we don’t have trouble The direction of change is very likely to be toward balance.” 23 In system language, people seek homeostatis. In this theme of consistency can be related well to the system view that the goal of an fact, open system (Chapter is self-maintenance and balance 3). to be nonactional, as- basically are responsive environmental pressures. Behavior change results from information in the environment that disrupts balance of the cognitive system. These theories are also discovery oriented, relyto ing on research that aims to discover precisely what conditions lead to change and to predict the nature and degree of change. In short, knowledge is not something that one participates in actively; rather, one’s results knowledge of the from conditions of balance or im- balance. People are under pressure to see the in consistent ways. world The titude consistency theories of attitude and at- change began work of Fritz mid 1940s with the Over the following dec- in the Heider. ade several additions and modifications were made on to simplest possible communicative act: two people conversing about a topic of mutual interest. the basic idea of balance. Heider’s primary contribution to consistency theory is his introduction of the concept of balance and of research in this area. 24 One of the first important extensions of his initiation Newcomb then analyses this situation terms of the varying orientations of the communicators toward the topic and its effect on their attitudes and toward each other. 25 Another theory of cognitive consistency is in the congruity model, proposed in 1955 by Osgood and Tannenbaum as one application of their work on the measurement of meaning (see Chapter These theories tend suming that individuals world Chapter 10.) Newcomb’s contriis his application of Heider’s hypothesis communication. The model explains the at his ideas in bution 6) 26 This theory is in line with the work of Heider and Newcomb but extends these models by applying a measurement technique and attempting more precise predicearlier of outcome. This model involves three two objects of When the objects ofjudgment (concepts, people, and so forth) are brought into association with one another, then congruity or tion basic elements: a perceiver and judgment. incongruity will result. If the perceiver’ judgs ment, or evaluation, of the two elements is consistent, then congruity exists. If it is inconsistent, there is pressure to change. In the remainder of this section, two prominent theories of cognitive consistency are sum- marized. These were chosen because of their prominence in the field and their relative completeness of explanation. The first is the theory of cognitive dissonance by Leon Festinger and the second is the theory of attitudes, beliefs, and values of Milton Rokeach. The Theory of Cognitive Dissonance. Leon Fest heory of cognitive dissonance is the tinger’s Heider’s idea was that of Theodore Newcomb. Newcomb has been primarily interested most in interpersonal attraction. theories in the history of social psychology. (We Carol Tavris, “What Does College Do for a Person? Frankly, Very Little,” Psychology Today, September 1974, 23. 25. and impactful consistency one of the most important it is Theodore Newcomb, The Acquaintance York: Holt, Rinehart and Winston, 1961); p. 78. 24. significant theory. In fact, will look again Process (New “An Approach to the Study of Communicative Acts,” Psychological Review 60 Fritz Heider, “Attitudes and Cognitive Organization,” Journal of Psychology 21 (1946): 107-12; The Psychology of Interpersonal Relations (New York: John Wiley & Sons 1958). (1953): 393-404. 26. Charles E. 149 Osgood and Percy Tannenbaum, “The Principle of Congruity in the Prediction of Attitude Psychological Review 62 (1955): 42-55. Change,” THEMATIC THEORIES Over the years has produced a prodigious it function of the magnitude of dissonance present quantity of research as well as volumes of criti- in the cism, interpretation, and extrapolation 27 Fes- greater the need for change. Dissonance tinger broadened the scope of consistency of two antecedent variables, the importance of the cognitive elements and the number of elements involved in the dissonant relation. This latter variable is a matter of balance; the more equal the number of elements on the sides of the relation, the greater the dissonance. Consider two examples of a low-dissonance prediction. On a particular day you may be faced with a decision of whether to eat breakfast. Suppose you are expecting to meet a friend to go shopping, but your alarm didn’t go off and you are late. You can skip breakfast and be on time, or you can eat toast and coffee and be a little late. You will quickly decide to do one or the other, but in any case some dissonance will result. This dissonance probably will be small because neither eating breakfast nor being on time is important. But if your situation involves being late for work, a different variable is operating. You probably would choose to skip breakfast and be on time. The prediction is the same (a small amount of dissonance), but the reason is different. The deck is stacked; a number of important cognitive elements lie on the “getting to work on time” side of the relation. Not only do you have a sense of obligation to your work, you also have a need to make a good impression on your boss, to get work done that is stacked up on your desk from the day before, and to avoid having your pay . theory to include a range of what he called cognitive elements, including attitudes, perceptions, knowledge, and behaviors. Two cognitive elements (an attitude and a behavior, perhaps) will have one of three kinds of relationships. The of these first is null or irrelevant, the second consistent or consonant, and the third inconsistent or dissonant. Dissonance tionship in is a rela- which one element would not be It is impor- expected to follow from the other. tant to note that dissonance is a matter of psychological consistency, not of logical relationships. Dissonance and consonance therefore terms of a single individ- must be evaluated in ual’s psychological system. what own We must always ask consonant or dissonant for is psychological system. More a person’s formally, Fes- tinger defines cognitive dissonance as a situation in which the opposite of one element fol- lows from the other. Two overriding premises are found in disso- nance theory. The first is that dissonance pro- duces tension or stress that pressures the individual to change so that the dissonance thereby reduced. Second, when dissonance is is present, the individual will not only attempt to reduce but will avoid situations in which ad- it ditional dissonance might be produced. These tendencies to reduce dissonance and to avoid dissonance-producing information are a direct system; the greater the dissonance, the Leon Festinger, A Theory of Cognitive Dissonance (Stan- ford, Calif.: Stanford University Press, 1957). Many now ways in which we sonance produces Collins, and Miller, Attitude Change-, Robert Zajonc, “The Concepts of Balance, Congruity, and Dissonance,” Public Opinion Quarterly 24 (1960): 280-96; Roger Brown, “Models of Attitude Change,” in New Directions in can imagine a (New or York: Holt, Rinehart and Winston, 1962), Social Psychology (New York: Free For a readable exposition showing of cognitive dissonance theory, see Elliot Aronson, The Social Animal (New York: Viking Press, 1972), chap. 4. For a detailed examination of the theory and related research, see J. W. Brehm and A. R. Cohen, Explorations in Cognitive Dissonance (New York: Roger Brown, a tension for reduction, number of “methods” we for reduc- more of the cognitive elements. Second, new elements might be added to one side of the tension or the other. Third, one might the practical applications & can ing the dissonance. First, one might change one Press, 1965); chap. 11. John Wiley we deal with cognitive dissonance. Understanding that dis- Kiesler, pp. 1-85; these basic concepts in mind, turn to the short reviews of dissonance theory are available, including Psychology a docked. With 27. is result come to see the elements as less important than they used to be. Fourth, a person might seek con- sonant information. Fifth, the individual might reduce dissonance by distorting or misinterpret- Sons, 1962). 150 THEORIES OF PERSUASION One of the most examples of cognitive dissonance in- ing the information involved. common volves smoking. Smoking is a particularly Other things being equal, the Third, the greater the perceived attractiveness example because of the extensiveness of the smoking habit coupled with the large amount of information available on smoking and health. Suppose a smoker is reading and hearing a lot of facts about the health hazards of smoking. This occurrence is bound to less attractive the chosen alternative, the greater the dissonance. good of the unchosen alternative, the more the felt dissonance. Fourth, the greater the degree of between the alternatives, the less the dissonance. If one is making a decision between two similar cars, little dissonance similarity or overlap produce disso- potential exists. nance, which might be very great, depending on the importance of the habit and the person’s The second which dissonance situation in is apt to result is forced compliance or being induced to do or say something contrary to one’s on health and life. Here’s what a smoker could do. The smoker might change the cognitive elements by stopping smoking or by rejecting the belief that smoking is unhealthy. Or the person might add new cognitive elements, such as smoking filters. The importance of the elements involved in dissonance might be reduced. For example, smokers sometimes say that they want a high quality of life, not a long life. The smoker might seek out consonant information supporting the view that smoking is not all that bad. Finally, the smoker might devalues beliefs or values. This situation usually occurs when a reward is involved for complying or a punishment for not complying. Dissonance theory predicts that the less the pressure to conform, the greater the dissonance. If you were asked to do something you didn’t like doing but you were paid quite a bit for doing it, you would not feel as much dissonance as if you were paid very little. The less external justification (such as reward or punishment), the more one must focus on the internal inconsistency within the self. This is why, according to disso- cide to distort the information received, saying something like, “As I read the evidence, smoking is harmful only for people who are already sick anyway.” Much of the theory and research on cogni- nance theorists, the “soft” social pressures one encounters may be powerful in inducing rationalization or change. tive dissonance has centered dissonance theory. situations in Other around the various which dissonance is more likely to result. These include decision making, forced compliance, initiation, social support, and effort. Let us consider each of these dissonance-producing situations. The first, decision making, has received a great deal of research attention. Salespeople call this kind of dissonance “buyer’s re- greater group. from situational predictions are The theory commitment one will have to that The more social support one receives on an idea or action, the greater the pressure to believe in that idea or action. The amount of effort one puts into a more one will rationalize the value of greater the task, the that task. which nication theory because of is In short, the theory of cognitive dissonance has had a major impact in the field of persuasion. It has won an important place in commu- the importance of the decision. Certain may group, the friends morse.” The popular saying goes, “The grass is always greener on the other side.” The amount of dissonance one experiences as a result of a decision depends on four variables, the first of decisions, such as that to skip breakfast, made by predicts that the difficult one’s initiation to a what it says about messages, information, and persuasion. 3 be unimportant and produce little dissonance. Buying a house, seeking a new job, or moving to a new community, however, might involve a great deal of dissonance. The second variable is the attractiveness of the chosen alternative. Rokeach: Attitudes, that on of Milton Rokeach. One of and change and Values. Beliefs, the finest recent theories is attitude He has developed an extensive explanation of human behavior based 151 . . THEMATIC THEORIES on beliefs, attitudes, and values. 28 His theory builds on some pertinent extensions. theory the theories of the past and provides While Rokeach’s definitely a consistency theory, is it pro- with the object of belief and are reinforced by literally unanimous agreement among one’s peers. These beliefs are the truisms one counts on: The sun shines; With money I can buy vides a breadth of explanation and prediction not approached by any of the other theories in of belief, the area, with the possible exception of cogni- the first, tive dissonance. These are also learned by direct contact, but they are private and not confirmable by others. Rokeach conceives of a highly organized things; Mothers bear children. The second class which is somewhat less central than primitive beliefs with zero consensus. is which guides the behavior of the individual and supports the per- They involve son’s self-regard. Briefly, he describes the sys- stupid person; tem type of belief belief-attitude- value system, in the following way: “All these conceptually distinct components the countless beliefs, their organizations into thousands of attitudes, the several dozens of hierarchically — arranged terminal values form — are organized to a single, functionally interconnected belief system.” 29 Beliefs are the hundreds of thousands of statements (usually inferences) that we make about self and the world. Beliefs are general or specific, and they are arranged within the system in terms of their centrality or importance to the ego. At the center of the system are those well-established, relatively unchangeable beliefs that literally form the core view of self and world. At the periphery of the system lie the many unimportant, changeable beliefs. There are three hypotheses about the belief system. First, beliefs vary in terms of centralityperipherality. Second, the more central the belief, the change more resistant it is belief to change. Third, a in a central belief will produce more change overall change in the system than will a in a peripheral belief. Beliefs are divided into five kinds, ranging in centrality. The most central beliefs are primitive, with 100 percent consensus. This group of beliefs are axiomatic; they are taken for granted. Primitive beliefs are learned by direct contact 29. Rokeach, Human Values, p. 215. a Children to realize that they must at an rely on rounding out our conceptions of the world. Authority beliefs provide answers to the ques- whom tions, With Whom should I should believe? I identify? and They are less central than primitive beliefs and change from time to time. The fourth type of belief, stemming from authority, we is derived beliefs These are the beliefs from trusted sources. Finally, on the get periphery of the belief system are inconsequential beliefs, able. make which When are rather arbitrary and change- inconsequential beliefs change, they impact on the system. Table 8.2, from Rokeach’s book, lists several examples of little beliefs. 30 Groups of beliefs that are organized and predispose focal object in a particular way toward a around a person to behave that object are at- 30. titudes. If a belief system has hundreds of thouit likewise will have perhaps thousands of attitudes, each consisting of a number of beliefs about the attitude object. Figure 8.4 illustrates, in overly simple form, the organization of an attitude. sands of beliefs, Rokeach believes attitudes are of two tant kinds that situation is If a must always be viewed and attitude-toward-object toward-situation Rokeach, 152 God; I am a good boy. The third believe in I is authority beliefs. is the opinions of others in establishing their belief systems. Primitive beliefs only take us so far in tion. 1973). My son come early age These are 28. Milton Rokeach, Beliefs, Attitudes, and Values: A Theory of Organization and Change (San Francisco: Jossey-Bass, 1969); The Nature of Human Values (New York: Free Press, personal perceptions lying in a totally subjective realm: a One’s behavior function of these impor- together. attitude- in a particular two in combina- person does not behave in a given Beliefs, pp. 26-29. THEORIES OF PERSUASION situation congruently with the attitudetoward-object, it is probably because the atti- your tude-toward-situation does not facilitate a particular behavior at that time. A common example of this might be food preference. Your to attitude toward red meat may say: It is attitude ian may attitude Avoid. But toward eating red meat may are a guest. Thus the vegetar- eat meat, despite a private, negative toward This idea it. Fishbein’s conception, TABLE say: not socially acceptable to refuse food served you when you is consistent with summarized earlier. The 8.2 Examples of beliefs Type A: Type B: Type C: Primitive I Iam 3. My name Primitive years old. believe I Sometimes I I mother loves me. have a strong urge to kill myself. like myself. Authority 7. zero consensus my 4. 6. 8. in (real birthplace). is beliefs, 5. 9. unanimous consensus beliefs, was born 1. 2- beliefs The philosophy of Adolph Hitler is basically a sound one, and The philosophy of the pope is basically a sound one. The philosophy ofjesus Christ is basically a sound one. Type D: Derived beliefs 10. People can be divided into two distinct groups: the 11. Birth control is morally wrong. Type E: Inconsequential beliefs 12. ten commandments are weak and am all for it. the strong. of divine origin. think summertime is a much more enjoyable time of the year than winter. would never walk through a revolving door if I had a choice. The side from which I get out of bed in the morning really does influence how 13. I 14. 1 15. From The I Beliefs, Attitudes, and Values, by Milton Rokeach. Copyright© 1972 byJossey-Bass, Inc. Beliefs Figure 8.4. A simple example of the belief structure of an attitude. 153 I feel. Reprinted by permission of the publisher. THEMATIC THEORIES main point of both models is that behavior is a complex function of sets of attitudes. In Rokeach’s theory, then, the system consists of many beliefs ranging in centrality, which are clustered together to form attitudes that predis- and values constitute the components of the system, the self-concept is its guiding goal or purpose. With these four concepts Rokeach has tied together the theory into a cohesive pack- pose the person to behave in certain ways. At- complex evaluations of titudes are objects and situations. Rokeach believes that of the three concepts human behavior, value is the most important. Values are specific types of belief in explaining that are central in the system and TABLE 8.3 Value rankings (composite) for American and men women act as life guides. Values are of two kinds: instrumental and VALUES MEN WOMEN terminal. Instrumental values are guidelines for living on which we base our daily behavior. Terminal values are the ultimate aims of toward which we work. In his extensive search on Rokeach has values, isolated life re- what he considers the most common values in our society and has developed a ranking scale to assess individuals’ value systems. The ranking task is based on the hierarchical nature of the value system, in which values range in importance to the person. Table 8.3 lists the eighteen terminal and instrumental values isolated in the theory. 31 The numbers in the columns indicate the composite rankings for A world at peace is American men and women. the most important terminal value for men and women, and honesty is the most important instrumental value. Rokeach has conducted several studies with his scale and provides a breakdown of attitude rankings into various categories of age, race, and educa- tion. 32 One other component in the beliefattitude-value system that assumes great overall importance the self-concept. Self-concept con- is of one’s beliefs about the self. It is the individual’s answer to the question, Who am I? sists Self-concept is particularly important to the system because “the ultimate purpose of one’s total belief system, is to maintain which includes one’s values, and enhance ... the sentiment of Thus while beliefs, attitudes, self-regard.” 33 31. Rokeach, Human 32. Ibid., chap. 3. 33. Ibid., p. 216. Terminal Values: A comfortable life An exciting life A sense of accomplishment A world at peace A world of beauty Equality Family security Freedom Happiness Inner harmony Mature love National security 57-58. 18 1 1 15 9 2 15 3 5 13 14 10 3 8 2 5 12 14 11 17 16 Salvation Social recognition 12 6 16 4 6 17 True friendship 11 9 8 7 Self-respect Wisdom Instrumental Values: Ambitious 2 4 Broadminded 4 Capable 8 5 12 Cheerful 12 9 10 Courageous 5 Forgiving Helpful 6 6 2 Clean Honest 7 8 7 1 1 Imaginative 18 18 Independent 11 14 Logical 15 16 Loving Obedient 14 17 16 17 9 15 13 13 Intellectual Responsible Self-controlled 154 13 10 Pleasure Polite Values, pp. 4 18 7 3 3 10 11 THEORIES OF PERSUASION age. At the heart he one’s self-conceptions, and is filled out by the other components. the flesh Rokeach He is includes a basically a consistency theorist. final analysis, by a dissatisfaction. number of significant hypotheses about attitudes, beliefs, and values, but be significant, lasting change. The reason for this is that such contradictions increase self- in the he believes that people are guided need for consistency and that inconsistency Even in discussing consistency Rokeach has broadened his base far beyond the other consistency theories. Taking creates a pressure to change. regard Since maintenance of the self- aim of the psychological the overall is system, it is natural that this should be so. Rokeach’s theory of the attitude-belief-value system is complex and lengthy. We have only been able to sketch it here. Rokeach’s theory is somewhat more com- plex than dissonance theory and its precursors, the total system into consideration, he sees consistency as extremely complex. An individual ple, may be inconsistent on several different grounds. In all, ten areas in the psychological individuals can be actively involved in defining system interrelate and bear the potential for inconsistency. Table 8.4, reproduced from Rokeach’s book, is a matrix of all the possible relations among elements epistemology extreme. For examRokeach believes that people use values as criteria for making judgments, implying that its situations. less is However, methods his empirical and scientific. He calls for are firmly operational of values, analysis that distinguishes values from other cognitive elements, and ob- definition the belief- in and attitude-value system. 34 In the cells of the matrix are indications of the areas of study that jective research to find the true structure have focused on various of these relationships. One of the significant impressions we get from this matrix is the number of empty cells that have not been examined in any significant way, according to Rokeach. He criticizes consistency the values in individuals. Criticism. Consistency theory has had a major impact on our thinking about attitude and at- titude change. theories discussed can be regarded as a comprehensive theory of change. A of also hypothesizes that epitomizes the hypothetico-deductive method. theory: None of the He same few values operate in all people. Methodologically, then, Rokeach’s work for comprehensive many period it A years, parsimony and theory should ideally be able to address itself to the conditions that will lead to long-range as well as short-range change, behavioral change as well as cognitive change, personality change as well as cog- mainstay of social psychology it is appealing because of heuristic value. its For a twenty-year stimulated a great deal of research. popularity of consistency theory is The understand- cal given the goal of this field to discover a few important variables that would predict social behavior. Consistency theories do just that. They isolate certain elements of cognition and such issues, one that show how manipulations among able, and behavioral change, and a rising or lowering of self-conceptions as well as their maintenance. A major objective of this book is to build a theoreti- nitive framework that will, it is hoped, address itself to at least attempts to bridge the current gap between various personality, socialpsychological, and behavior theories that for the most part do not speak to each other 35 . sense of logic, providing an explanation for behavior that makes intuitive sense. At one time Furthermore, Rokeach believes that the most important inconsistencies in a person’s psychological system are those in row cognitions about the these variables can predict a person’s feelings, thoughts, or actions. They also appeal to the social scientist’s self. A consistency theories were so well accepted that debates centered not on whether people re- involving spond Only when incon- to dissonance but on ways to the precision of predictions based sistencies involve the self-conception will there improve on these theories. 34. Ibid., pp. 220-21. 35. In recent years, however, consistency theory Ibid., p. 224. has 155 become less popular. Several weaknesses THEMATIC THEORIES Press, Free The by 1 S * 1973 ECO c so-g o H >Copyright© system o E a o C -O c o c — " c £ O ~ belief z -£ J 2 Rokeach. U total I! 3 o oo 8 E £ PC M the Milton "S. by Values within I -a ° S a1.2 -o •2 § 8.4 Human possible of II TABLE Nature c ^ U CQ O o relations The u from Inc. contradictory Co., pa of Publishing Inc. Matrix Co., Macmillan behavior of 3 3 2 O <u O -Q -Q J3 *3 c/i o 2 c £ c 0 '2 U 2 O <D t/i 3 C C/5 3 r 23 % >- -2 H > C/i <U S V) o i-H > permission <d Macmillan s P '2 Publishing objects about C/) -3 -3 T3 O c o ^ 3 o 3 £ 1> a sc r . o 5 n X u u w »- •2 (TJ <Si QJ t/i > 3 >3 <u SP 3 3 ° .£P"« nonsocial with Cognitions of • 2r ^ of Reprinted Division CQ u O 156 J. . THEORIES OF PERSUASION have become apparent. These weaknesses revolve around three criteria: appropriateness, va- dissonance; if attitude change does not occur, one can say that dissonance did not exist. Fur- and scope. The following comments about these failures center on dissonance Basically, thermore, dissonance is such a general concept that it can take any number of forms. Thus the experimenter can claim that a particular result was caused by one kind of dissonance but that an entirely different result was produced by the dissonance hypothesis for change is overly simple. Chapanis and Chapanis capture this ob- another kind of dissonance. This circular reasoning results from the fact that dissonance re- lidity, theory. The objection to dissonance theory re- first lates to its theoretical appropriateness jection in harsh terms: “To condense most complex social situations into two, and only two, simple dissonant statements represents so great an abstraction that the model no longer bears any reasonable resemblance to reality.” 36 More searchers some question rectly observable at The on cognition and information processing (see Chapter 7) provides evidence that cognition is too complex to break theory down row cies. recent research to simple consistencies and inconsistenFor example, cognitive complexity theory posits that cognitions are organized in extensive do not measure dissonance per se but from behavior. Indeed, there is as to whether dissonance is di- infer dissonance all. third objection to dissonance theory re- Originally thought to apply to a wide range of cognitive activity, dissonance lates to its scope. is now seen as applying to a rather nararea of behavior. Rokeach’s work has taken a giant step to- hierarchies and that the individual’s understand- ward improving consistency theory. It overcomes virtually all of the weaknesses of the ing of environment earlier Another ateness is variable and adaptive. issue related to theoretical appropri- the question is of whether people are models. First, it is broadly based, including a variety of cognitive concepts. It explains why cognitions do not always change and why passive in responding to inconsistencies. Most research evidence of recent years indicates that some they are not. Cognitions do not theory come prepack- more apt to change than The major contribution of Rokeach’s cognitions are others. is that it broadens our understanding of aged in consistent or inconsistent forms. Individuals actively define and redefine situations, consistency and inconsistency. Rokeach shows that what may appear consistent on one level depending on the needs of the moment. The second basis for criticism of dissonance Table theory validity. is The may — and the theory of cognitive precisely — to be predictive theory dissonance such a is way that is its stated in unrealistic at best the and ludicrous at worst. Still, power of this theory should not be underesThe time may be right to modify timated. Rokeach’s approach so that wherein the dissonance theorist wins it is consistent with recent action-oriented, rules-based notions of no matter how an experiment comes out. If attitude change results from the manipulations, one can argue that the change was caused by 36. Natalia P. his all values to a standard list and to describe the value system in terms of a simple ranking is The problem with dissonance theory is that it can be used to explain various, contradictory results and cannot be proved wrong, which creates a situation is duce predictions. In falsifiable. 8.3). attempt to operationalize constructs that are not amenable to measurement. His attempt to re- that contradictory evidence could prove the theory wrong in other words, the theory must be be entirely inconsistent on another (see The major problem of Rokeach’s work basic standard for any human behavior. What Do We Know about Persuasion? Chapanis and Alphonse Chapanis, “Cogni- tive Dissonance: Five Years Later,” Psychological Bulletin 61 A (1964): p. 21. sion. Until 157 revolution has occurred in the field of persua- about 1970 persuasion research was THEMATIC THEORIES deterministic in orientation, assuming that theories of persuasion involve the first of these people were passive responders to environ- factors, tension reduction. mental pressures. The attitude and attitude change research tradition used a linear model that assumed that messages together with certain situational and predispositional factors in and/or values are changed to bring about the receiver caused change. Now persuasion is quence of environmental change, hut it now seems fo he an ar tive DrOCe ^ invnlving infor- is mation processing Social judgment is an important part of much communication. People and their stated beliefs, along with information from others, are judged by the receiver in terms of position (degree of positive or negative valence), value, and similarity to one’s own position. This process of judgment is an important aspect of the information processing that goes . volves change. Most of the theory that persuasion is in this section makes clear largely related to information processing. In fact the essence of persuasion less One major source of tension referred by these theories is inconsistency or dissonance. In the past learning through interaction with others was thought to be a passive conse to judged inadequate to explain how people deal with messages. It is viewed as overly simple and not explanatory. New approaches, which emphasize active involvement and information processing, have more potential for uncovering useful conceptions of how communication inOld-line attitude research attitudes, beliefs, tension. being viewed from an actional, teleological position. Here into personal change. Finally, interpersonal trust is an important factor in how an individual judges information from another. Our attitudes is on the intrapersonal system. People change by reorganizing their cognitions in the face of messages from others. the impact of information toward people are closely related to our attitudes toward things and situations. The importance of credibility appears in various ways throughout theories of persuasion. Several factors enter the persuasion process. These include tension reduction, learning, social judgment, and interpersonal trust. Many 158 : PART IV CONTEXTUAL THEORIES Chapter 9 Interpersonal Contexts I: Theories of Relationship, Presentation, and Perception Chapter 10 Interpersonal Contexts II Theories of Disclosure, Attraction, and Conflict Chapter 11 Interpersonal Contexts III: Theories of Groups and Organizations Chapter 12 Mediated Contexts: Theories of Mass Communication CHAPTER Interpersonal Contexts I: Theories of Relationship, 9 Presentation, filtered Introduction At this Part and I you learned about let us recap briefly. In the nature of theory, to the first set of actual theories was These were general theories of communication related to systems, symbolic interaction, and rules. Part III presented theories that deal with basic communication themes: language and nonverbal coding, meaning, information, and persuasion. In Part IV we will look at prominent theories that focus on contexts of communication. Here two kinds of II presented. context are included, interpersonal and mass. In essence these are through channels for mass consump- For the most part we can say that dyadic, group, and organizational communication tend tion. point in the book, in Part and Perception two end points on a spectrum of contexts. be interpersonal and that mass communicais mediated. However, this generalization tion Some dyadic communication is mediated, as in using the telephone. Organiza- has exceptions. tional communication often uses media (for example, employee newsletters), and mass communication sometimes occurs through word of mouth, which is primarily interpersonal. Grouping the contexts in this way does not imply mutual exclusion; it merely notes the primary emphasis of the contexts. This chapter discusses theories of relational communication. These theories apply especially to the dyadic context, but they provide insights Contexts of Communication for The of the book deal with basic processes common to most communica- well. In Communication always occurs in context, and the nature of communication depends in measure on this context. In Chapter 1 four theories apply especially well to the dyadic con- main contexts were described: dyadic communication, group communication, organizational communication, and mass communication. These contexts form a hierarchy in which each higher level includes the lower levels but adds something individual of its own. For example, mass communication is distinctive as a context, but it includes many of the features of dyadic, group, and organizational communication as to theories in this part group and organizational communication as Chapter 10 theories of disclosure, atand conflict are presented. These traction, tion. although they relate to other contexts too. Chapter 11 presents theories that relate directly text, large groups and organizations, and Chapter 12 covers theories of mass communication. What Is Interpersonal Communication? Dean Barnlund offers the following definition: “The study of interpersonal communication, then, is concerned with the investigation of rel- atively informal social situations in which per- sons in face-to-face encounters sustain focused well. interaction through the reciprocal exchange For purposes of discussion these contexts are two broad groups: interpersonal and mediated. Interpersonal contexts primarily verbal and nonverbal cues.” 1 This definition in- divided into cludes five criteria. First, there more people include direct face-to-face communication; 1 mediated contexts involve messages that are . proximity who per- Dean Barnlund, Interpersonal Communication: Survey and Houghton Mifflin, 1968), p. 10. Studies (Boston: 161 in physical of must be two or CONTEXTUAL THEORIES ceive the presence of one another. work, therefore, interpersonal individual Second, communication involves communicative interdependence. In other words, one’s communicative behavior is sequence of the other’s. Barnlund ity focused interaction, a direct con- calls this qual- is that the experience of the affected in a major way by the communication with others. Stated differently: “For in intraperson communication we find those unique characteristics of the human animal that distinguish us from other which implies concen- Our position will be that these unique characteristics manifest themselves atthe intrapersonal level, but are developed and sustained through interpersonal communi- mutual attention. Third, interpersonal communication involves the exchange of messages; fourth, these messages are coded in a variety of verbal and nonverbal ways. The final criterion is that interpersonal communication is relatively unstructured; it is marked by informality and flexibility. This definition is a good general guide, but you will quickly see that not all theories of interpersonal communication conform to these criteria. animal forms. trated The next cation.” 3 The authors name five attributes that charac- communication: “(1) symproduced by one individual, (3) according to a code, (4) with anticipated consumption by other(s), (5) according to the same code.” 4 These attributes constitute a definition of communication that guides the theory as a whole. We will discuss the followterize interpersonal bolic content (2) section presents a theory that ex- plains the functions is individual’s of interpersonal communi- cation. This theory provides a setting for the remainder of the chapter and for the next two. It helps us understand the role of interpersonal is ing functions outlined in this theory: linking, mentation, and regulation. communication in dyadic, group, and organizational contexts of human life. The Linking Function. The first function of communication is to provide a link between the person and the environment. In other words, the individual develops cultural, social, and psychological ties to the world outside the self. Functions of Interpersonal Communication The functional theory of Frank Dance and Carl Larson is a general theory that sets the stage for many of the theories that follow. 2 At first 2. As children develop, they begin to distinguish between the glance this theory presents an irony: It deals with interpersonal communication, but it focuses on the person alone. This apparent para- other conception arises largely out of interac- dox the sense of self-conception. is no inconsistency once you understand They wish to answer the the authors’ intent. question of what happens when self- to a child Although we un- through communication that the two are linked or related. Individuals learn communicate egocentrically (to themselves) and nonegocentrically (to others). Moving back and between egocentric and nonegocentric communication helps us organize concepts of the self, the other, and the self-other relationship. An important part of the self-concept is our perception of other peoples’ judgments of us. Most communication involves some self-disclosure, and one’s disclo- implies a dependency between one thing and Dance and Larson isolate some imporof communication within the in- tant functions An who communicate from the outer world, we strong relationship that occurs naturally between two or more elements. The relationship dividual. and other objects. This derstand the intrapersonal world as separate an individual communicates or, to be consistent with the title of the theory: How does communication function in the life of the individual? A function is a another. self tion with others, important assumption of their Frank E. X. Dance and Carl E. Larson, The Functions of York: Holt, Rinehart and Winston, 1976). Human Communication (New 162 forth 3. Ibid., pp. 31-32. 4. Ibid., pp. 32-37, 162. INTERPERSONAL CONTEXTS I: THEORIES OF RELATIONSHIP, PRESENTATION, AND PERCEPTION sures to others always risk being judged. As we communicate with others, we often shift our orientations from the content of what is being tering. said to the others’ rejections and/or acceptances creases the probability that of that content and, hence, of the self. Through communication, then, we relate the self to the environment. We do this largely to adapt to or to fit comfortably into the social/ cultural surroundings. We accomplish this goal through assimilation and accommodation. Assimilation is primarily a process of changing one’s perception or evaluation of aspects of the environment to fit one’s perception or evaluation of the self. For example, the theory pre- achieve understanding. Decentering allows one ment. The authors refer to Dance and Larson this process as decen- state that decentering in- communicators will mental image of what one believes is the perspective of the other person. This mental to create a image is the facilitating factor of empathy. The Regulatory Function. Interpersonal communication also serves to regulate. Regulation occurs on three levels: one’s behavior is regulated by others, one regulates one’s own beand one regulates the behavior of havior, dicts that an individual will reevaluate another others. In childhood these functions occur de- person velopmentally in sequence. Significant figures in a child’s life use language to regulate the if that other person has rejected a valued aspect of one’s Accommodation self. involves changing aspects of the self to fit one’s evaluations of others. For example, one may reevaluate the self in the face of rejection when the rejection is consistent with other responses frequently encountered. The child’s behavior. child, in turn, uses the communicated norms and limitations to reguSoon the child begins to use communication to affect others. In ongoing life all late the self. three forms of regulation occur concurrently, and they The Mentation Function. Broadly speaking, we can say that humans engage in two kinds of interrelate to support Self-regulation is one another. especially important. Our essary responses to environmental properties.” symbols egocentrically enables us to direct our own behavior. We respond to our own question, What am I going to do next? This question is a natural part of our need to Much reduce uncertainty. activity. Some behavior is animalistic in the sense of being “unmediated, uncontrolled, nec- of our behavior, however, is of a differ- ability to use ent class, including “conceptual thinking, in- course of action volving memory, planning, and foresight; and evaluative judgment .” 5 These higher activities Routines that involves conscious intent actor. Most important on at this generalization that mentation the part juncture made for a regulation principle, listening to others, following others, or staging. Staging involves playing a role that is consistent with what of the is It arises when the proper not defined from the outside. choose in response to this self-direction are ignoring, delaying, searching are called mentation. The key to distinguishing mentation from lower forms of behavior is that it is we may the others want, despite one’s own desires. Dance possible and Larson theorize that the individual uses of speech. We think because we communicate. Language and meaning enable the individual these self-regulating routines to influence others by the is internalization to possess imagination. In other can live a mental and now. We can life Ibid., pp. We relates most cencommunication, as they However, it has strong connections with other domains as well. First, it is themselves state is other than the place and activities of the 5, Dance and Larson’s theory trally to interpersonal not tied to the here on the past and we can can imagine locations that reflect plan for the future. as well. words people a mo- 6 . general theory dealing with the symbolic na- ture of communication. 165-66. 6. 163 Ibid., p. 48. The theory could easily CONTEXTUAL THEORIES be labeled symbolic interactions. As such would fit well into model (Chapter 4). that section It it of our domain also has applicability to toward language, meaning, information processing, and persuasion. Of these topics the theory, with concepts of mentation and regulation, relates its most strongly Chapter a to meaning as conceived in tion. Speech communication, once primarily emerged field interested in as a munication. major force speech skills, in the study a has of com- Several theories in this chapter have been developed by individuals associated with this field, for interpersonal communica- become one of its major interests. of the work of speech communication of Dance and Larson, tends to tion has Much elaborate conceptualization. Its Dance and Larson choose individual, explaining to focus on the how communication functions in the psychological life of the person. They leave another side of the coin largely untouched social and cultural functions. That communication could be shown to affect both social structure and cultural values. A whole realm of theory could be developed in — 6. This interpersonal communication theory is product of the field of speech communica- pedagogical more a limitations relate to scope, theoretical appropriateness, and validity. scholars, like that be integrative, bridging gaps among traditional disciplines. 7 is, this area, A expanding original scope. its second weakness propriateness. relates to theoretical ap- Dance and Larson take a rela- tively actional stance, emphasizing the proacof human life. Yet many of their hypotheses are in the form of predictive covering laws, implying little choice on the part of tive nature the individual. This inconsistency is trou- blesome. Another weakness Redetermined by the correspondence between a theory’s claims and actual observations. Many of this theory’s hypotheses are supported by research. Many, is related to validity. call that validity is partially Dance and Larson’s treatise is a welcome addition to communication theory beCriticism. cause it directs our attention to aspects that heretofore have been downplayed. Most theories of interpersonal communication are emphasizing what happens in communication. This theory redirects the focus to the consequences of communication. In a fresh way it aims to accomplish what symbolic instructural, however, are speculative, as the authors admit. This criticism is tempered by the fact that no theory can claim perfect validity; ulation is a vital part initial spec- of the theory-building process. teractions theories sought years ago, namely, ways communication most important facets of human life. to define the An important strength of parsimony. By relating its this Relational affects the The theory is small set of functions, this theory presents a and, inversely, communication patterns between people are shaped largely by the nature of their relationships. Theories of relational communication go back many years. We will cover a brief history of this work in three sections, emphasizing origins of relational theory, extensions, and recent developments. Theories of relational communication dem- and simple framework in which the interof variables can be understood. The weaknesses of this theory arise from its newness. Admittedly, the theory is a first step relationship For a is and maintained by interpersonal communication, theoretical claims to a clear 7. Communication essence of interpersonal communication relationship. Relationships are established its sampling of theoretical work in speech communi- Frank E. X. Dance, ed., Human Communication Theory: Comparative Essays (New York: Harper Row cation, see & 1982). onstrate clearly 164 how the tenets of system INTERPERSONAL CONTEXTS I: THEORIES OF RELATIONSHIP, PRESENTATION, AND PERCEPTION theory, symbolic interactionism, and rules theory can be applied to a particular aspect of our communication experience. Relational theories are firmly planted in the dyadic context, although one can easily extend their imgroup and organization as dominant behavior of one parfrom the is met by dominance, or submissiveness by submissiveness. relationships the ticipant elicits submissive behavior other. In We plications into the well. Although no one, done so to my knowledge, has explicitly, relational research findings symmetry, dominance will return to these thoughts momentarily. Although Bateson’s ideas originated in an- thropological research, they were quickly picked up psychiatry and applied to pathological relationships. Bateson himself teamed with colleagues in psychiatry to develop in could be made relevant to information processing and persuasion as well. Indeed, defining the relationship is an interpersonal information- relational theory further 10 Perhaps Bateson’s processing task, and relational control is related to regulation and therefore pertinent to double bind theory of schizophrenia persuasion. in this regard ing to this theory, schizophrenia Origins of Relational Theory Anthropologist Gregory Bateson is founder of the line of theory that has come to be known as communication 8 Bateson’s work led development of two foundational propositions on which relational theories still rest. relational . most famous contribution . is 11 is the Accord- . caused by social factors, most notable of which is the double bind. Significant persons in the schizophrenic’s life send contradictory messages, in which the command and report functions are no-win trap, inconsistent. This situation sets a to the such that the individual loses no matter what course of action is taken. For example, a parent The may state on the report level that he or she wishes to comfort a hurt child, but nonverbally, first is the proposition of the dual nature of messages. Every interpersonal exchange bears two messages, a “report” message and a ‘command” message. The report message contains the substance or content of the communication, while the on the command command message makes a statement about the relationship 9 These two elements have come to be known as the content message and the relationship message, or communication and metacommunication, respec- mental tively. We was rev- it suggested that not be caused as much by by interpersonal Bateson would have preferred to keep his work more general, but psychiatry, wanting to apply it to mental health, provided monetary support 12 Psychiatry and clinical psychology sections. . is by that com- their nature are interested in tion. plementarity or symmetry. In complementary 8. may social factors. will explore these concepts in greater upcoming Bateson’s second seminal proposition relationships can be characterized by illness internal personality factors as . detail in level, the parent tells the child to stay away. This double bind notion olutionary in psychiatry, for rely fers Bateson began to formulate his ideas on relationship in of the Iatmul tribe of New Guinea in Naven (Stanford: Stanford University Press, his field observations Not only do communica- therapeutic procedures often on communication, but communication ofa fruitful area of possible etiology in mental health. Several other theories in this chapter the 1930s. See 1958). See, for example, Ruesch and Bateson, Communication. 1 1 Gregory Bateson, Donald Jackson, J. Haley, and J. Weaklund, “Toward a Theory of Schizophrenia,” Be10. 9. This proposition was first presented in the classic theory of communication by Juergen Ruesch and Gregory Bateson, Communication: The Social Matrix of Society (New York: Norton, 1951). For space reasons a detailed summary . havioral Science 1 (1956): 251-64. Gregory Bateson, “A Formal Approach to Explicit, and Embodied Ideas and to Their Forms of Interaction,” in Double-Bind ed. C. E. Sluzki and D. C. 12. of this theory is not presented here. See the first edition of Theories of Human Communication (Columbus: Charles E. Merrill, 1978), pp. 43-47. Implicit, , Ransom (New York: Grune& 165 Stratton, 1976), p. xii. CONTEXTUAL THEORIES also stem from psychiatry and clinical psychology because of their interest in communication. or vice versa. zation may A status relationship in an organi- be observed in The verbal behavior. Extensions: The Palo Alto Group may pause at subordinate’s non- a subordinate, for example, the supervisor’s door to await an In the 1950s and 1960s Bateson led an active group of researchers and clinicians in a program invitation to enter. to further develop friendship, hateship, business relationship, love and apply ideas on relational communication. These scholars became known as the Palo Alto Group. Although their interests were primarily clinical, their work has had enormous impact on the study of interpersonal communication in general. About 1960 psychiatrist Paul Watzlawick joined the group and quickly became one of its leaders. This group’s work received wide publicity and popularity through the publication of Pragmatics of Human Communication. 13 Although this book does not express a complete picture of the Palo Alto Group, it is the most comprehensive single work of the group and has been treated as its basic statement of theory. form unique whole.) Part and parcel of a system is the notion of relationship, and in defining ina teraction, the authors stress this idea: “Interactional systems then, shall be two or affair, First, “one cannot not communicate.” 16 This axiom has been quoted again and again in textbooks on communication. Its point is important, for the axiom emphasizes that the very attempt to avoid interaction interaction. It able behavior is a kind of any perceiv- is itself also emphasizes that potentially communicative. Second, the authors postulate that “every communication has a content and a relationship aspect such that the latter classifies the former is therefore metacommunication.” 17 two people are talking, each is “commenting” on When relating informa- tion to the other, but simultaneously each is also the information at a higher This simultaneous relationship-talk (which often is nonverbal) is what is meant by metacommunication. For example, on the content level. level a teacher may tell you that a test will be Many possible metamessages given tomorrow. the content level. The instruc- may> be making any of the following im- tor pressions: Relationships emerge from the interaction between people. People set up for themselves interaction rules, which govern their communicative behaviors. By obeying the rules, behav- teach, I you have a am the authority in this classroom; I What I have lectured about is need feedback on your progress; I need to judge you; I want you to think I important; learn; I am fulfilling my role as professor; and so on. This axiom further substantiates the theorists’ idea that interaction is a constant process of ing appropriately, the participants sanction the defined relationship. In a marriage, for exam- dominance-submission relationship may emerge and be reinforced by implicit rules. The husband may send messages of command, which are followed by compliance by the wife, ple, a defining relationships. The third axiom of communication deals with the punctuation of communication se15. These axioms are summarized in Joseph DeVito, The Communication Book (New York: Harper & Paul Watzlawick, Janet Beavin, and Don Jackson, A Study of Interactional and Paradoxes (New York: Norton, 1967). Interpersonal 16. Watzlawick Ibid., pp. 120-21. 17. Ibid., p. 54. Pragmatics of Human Communication: Row, Patterns, Pathologies, 14. family, or whatever. may accompany more commu- nicants in the process of, or at the level of, defining the nature of their relationship ," 14 13. Such implicit rules are nuany ongoing relationship, be it a in In Pragmatics of Communication Watzlawick, Beavin, andjackson present five basic axioms. 15 and book Paul Watzlawick, Janet Beavin, and Don Jackson present a well-known analysis of communication based on system principles. (A system was defined in Chapter 3 as a set of In the objects that interrelate with one another to merous 166 1976). et al., Pragmatics, p. 51. INTERPERSONAL CONTEXTS I: THEORIES OF RELATIONSHIP, PRESENTATION, AND PERCEPTION quences. Interaction sequences, like word sequences, cannot be understood as a string of isolated elements. To make must be punctuated or grouped syntactically. In raw form an interaction consists of a move by one individual followed by moves from others. The objective observer would see a series of behaviors. Like the series of sounds in a sentence, sense, they Either resembles the significate (for example, it photo) or is intrinsic to the thing being sigSecond, an analogue is often continuous rather than discrete; it has degrees of intensity or longevity. Most nonverbal signs are ana- nified. logic. For example, prise not only but is these behaviors are not simply a chain. Certain behaviors are responses to others. Behaviors are sion thus grouped or punctuated into larger units, variable which in the whole help to define the relationOf course, any given string of behaviors might be punctuated in various ways. One source of difficulty between communicators facial distortion. when they punctuate differently. For example, consider a marriage involving nagging by the husband and withdrawing by the wife. This sequence can be punctuated in two ways. On the one hand, the wife’s withdrawing cation. For meaning ship. is expression of surof a feeling or condition of the surprise itself. Its a facial a sign is actually part is intrinsic. Further, the facial not an either-or sign. It is a expres- continuous between no expression and extreme While the digital and analogic codes are diffrom one another, they are used together and cannot be separated in ongoing communiferent occurs example, a word (digital) uttered in a variety of paralinguistic can be ways (loud, low; and so forth). The manner of utterance is analogic. Likewise, a written messoft; high, sage consisting of letters and words (digital) is presented on paper using various layouts, styles of handwriting or print, and other analogic may be a response to the husband’s nagging: nag/withdraw, nag/withdraw. On the other hand, the opposite may be occurring: withdraw/nag, withdraw/nag. In the first case the punctuation of nag/ withdraw implies an at- codes. Within the stream of behaviors in interacboth digital and analogic coding blend tion, But the husband’s punctuation of withdraw/nag implies ignor- together. Watzlawick and the others believe that ing/imploring. signs, tack/retreat relationship. Fourth, “human two serve different functions. Digital having relatively precise meanings, communicate the content dimension; while the analogic code, which is rich in feeling and these beings communicate both digitally and analogically .” 18 The authors describe two types of coding used in interpersonal communication. Each has two distinguishing characteristics. Digital coding is relatively arbitrary. In other words a digital sign represent a referent that bears don to the sign. The sign and the referent no strictly is the vehicle for the relationship (metacommunication) level. To axiom to the content-relationship used to second axiom, we relate this idea of the can say that while people are communicating intrinsic real- relationship is is meaning, between the digitally on the content level, commenting about their relationship on the metalevel. For example, they are imputed. Sec- analogically ond, the digital signs are discrete; they are “on” or “off,” uttered or not uttered. The most suppose a father at a playground sees his daughter fall and scrape her knee. Immediately, he common digital says, cry. tent is clear. code in human communication is language. Sounds, words, and phrases, arranged syntactically, communicate meanings. The ital analogic signs. It 18. code also has teristics. First, is quite different two from dig- her. distinguishing charac- an analogic sign is “Don’t meaning Daddy is coming.” The conThe child receives a mesis going to come to large number of relationship sage stating that her father Imagine the messages that might be sent analogically with body and not arbitrary. Ibid., p. 67. his 167 own voice. fear, The father might communicate worry, anger, boredom, or domi- CONTEXTUAL THEORIES nance. At the a same time he might communicate number of possible perceptions of his little including “careless person,” “attention girl, getter,” “injured child,” “provoker,” and so on. Truly this axiom captures the complexity of even the simplest interpersonal exchange. 19 The final axiom of communication expresses between symmetrical and complementary interaction. When two communicators in a relationship behave similarly, the relationship is a difference said to be symmetrical; differences are mini- mized. When communicator maximized, however, a differences are complementary rela- tionship is said to exist. In a marriage when two partners both vie for power, they are involved symmetrical relationship. Likewise, coworkers are communicating symmetrically when each abdicates responsibility for taking in a control of the job. relationship in ways would A complementary marital exist when the wife behaves that reinforce her submission, and the husband responds dominantly. In the work setting a complementary relationship would exist when one’s feelings of superiority shape the way one responds to another’s expressed low self-esteem. Ideally, an ongoing relationship includes an optimal blend of complementary and symmetrical interactions. Flexibility is communication since the early 1970s. In 1976 they presented a viewpoint in order to “stimudialogue about how to conceive of interper- late sonal relationships. Although the theory was presented as “suggestive rather than definitive,” remains one of the most cogent and heuristically valuable recent statements about relational communication. 20 The theory makes a major step toward codifying heretofore abstract it concepts. Millar and Rogers begin with the assumpcomplex. They use a symbolic interactionist and systems base in astion that relationships are suming human behavior.” 21 They is largely also follow earlier relational theorists in advocating that nication is commu- a reciprocal negotiating process of defining the relationship. Millar and Rogers’s model begins with a definition of the three dimensions of relationship; control, trust, and intimacy. Control is the distribution of power to direct the character of interaction or to define the nature of the relationship. In other words, control is a question of the key. that “since a person’s ‘reality’ of his or her own making, choice and change ... are two crucial themes that must be emphasized in any communication theory of a function who holds definitional rights. The second dimension 19. Recent Developments The ideas of the Palo Alto Group in recent years have been removed from a strictly clinical application, and much research has been done on the relational elements of Two normal interaction. relatively formalized statements are sum- marized below. is trust, the responsible acceptance of the control dimension. Trusting involves ad- mission of dependence, and trustworthiness is acceptance of the obligation not to exploit control in a dependency tachment in the sense own Millar and Rogers. Frank Millar and Rogers have been actively researching Coding is a complex concept. Two L. Edna relational ed. Gerhard Hanneman and William 20. glewood now we will cover this look briefly at the Frank E. Millar and L. Edna Rogers, “A Relational Approach McEwan at- behavior. variable last. Let us (Reading, Mass.: Addison-Wesley, 1975), pp. 98-118; and Randall Harrison, “Code Systems,” in Beyond Words (En- is Since control has received most attention by researchers of relational communication, in- cluding Millar and Rogers, additional sources that reflect the complexity of coding distinctions are Michael Nolan, “The Relationship between Verbal and Non-verbal Communication,” in Communication and Behavior, situation. Intimacy of using the other person It is reliance on the other person’s view of one’s own ego to limit one’s for self-confirmation. to Interpersonal tions in Interpersonal Communication,” in Explora- Communication, ed. Gerald Miller (Beverly Hills: Sage, 1976), pp. 87-103; quotations from p. 90. Cliffs, N.J.: Prentice-Hall, 1974), chap. 4. 21. Ibid., p. 88. 168 INTERPERSONAL CONTEXTS I: THEORIES OF RELATIONSHIP, PRESENTATION, two dimensions. Trust can be correlated with three other variables. The first is the vulother nerability pattern. Vulnerability involves placing AND PERCEPTION of embarrassment or shyness, as she did when they were first married. This example illustrates Mary’s lack of trust in Bob. In their relationship oneself in a situation wherein one may get hurt by the choices of the other. As a pattern vul- she was highly vulnerable and therefore greatly dependent. Because of their difference in vul- nerability varies in terms nerability, of the frequency that one places oneself in a vulnerable position. Millar and Rogers speculate that lower levels of the mark suspicion and dis- high frequencies in the vulnerability vulnerability pattern trust, that scale mean and risk taking, that middle-range positions reflect trust. The second correlate reward depenor the degree to which one person depends on another in a relationship. The wider is the difference in vulnerability patterns in a relationship, between the greater the reward dependency of the more vulnerable party. High dependency by one person, relative may to the other, lead to exploitation by the As reward dependability between persons becomes more equal, the relationship becomes more interdependent and trusted person. trust increases. The third related variable is the confidence pattern, the relative degree of confidence in the other person’s trustworthiness. In a unilateral relationship one party is far more confident than the other. In a cooperative relationship confidence and trust are mutual. Consider the example of Mary and Bob. Mary, her parents had just died and she was lonely. A shy person, Mary had few friends to confide in. She was swept off her When Bob met feet by Bob’s married. attention, Bob was a Bob into the habit fell power over Mary, trust. Later that she did not trust of exploiting further reducing her when Mary admitted in counseling Bob, he couldn’t under- He responded that he trusted her, and she should trust him. Bob failed to understand that stand. the vulnerability pattern in their relationsip of trust dability, two people his in little the vulnerable party, with his hav- to risk. Consequently, their confidence was such that Bob was more confident than Mary and was unaware that her ego was pattern risked in her trusting him. The next dimension of timacy. Two a relationship is in- variables are relevant. ferable-nontransferable continuum The refers degree to which the relationship is trans- to the unique. In a nontransferable relationship the partners almost always receive self-confirmation only from each other. This kind of relationship is highly intimate. In a transferable relationship one finds several other people with whom confirmation can be achieved. Such a relationship is not unique or intimate. In the example of Bob and Mary, the relationship for Bob was transferable; he had many other people who could as easily have met his needs as did Mary. Mary, however, had no one else to meet her needs in the relationship and soon they were young entrepreneur made Mary ing way that Bob did. For her the was nontransferable. The second of intimacy is degree of attachment, or the amount of interdependence in terms of mutual self-confirmation achieved in an import-export business and had many associates and a large circle of acquaintances. His high level of sociability gave Mary a false sense of social stimulation, but she remained shy and was not at ease around other people. Bob made fun of Mary to his friends, and she often became the brunt of their social jokes. She went variable the relationship. The greater the attachment, Bob and Mary’s mutual attachment was presBob received much ego confirmation out- the greater the intimacy. In relationship ent. little side the relationship, while on Bob along with their joking, but inside she felt one down. After a while Mary balked at going out with Bob. Rarely would she admit her feelings The Mary relied entirely for her self-confirmation. dimension of relationships, control, seems to be the pivotal dimension. Certainly it last has received the most research attention. Millar 169 CONTEXTUAL THEORIES and Rogers have elaborated this dimension. 22 Control is characterized by two variables. The first is the rigid-flexible continuum. flexible the relationship, the es more The more control pass- back and forth between the two 1 The more tern . parties. Stability-instability relates to the predictability the control shifts. Consider the following brief exchanges between Mary and Bob as examples of the nine types of transactions. of consistent the pat- of control over time, the more stable the Mary and Bob have a rigid Competitive symmetry (one-up/one-up) know I want you to keep the house picked up during the day. Mary: I want you to help sometimes! Bob: You Complementarity (one-down/one-up) control. Obviously, 2. but stable control pattern. Let us take a closer look Mary: With your of this. Bob: Yeah. at how control operates in a relationship. Following from the work of early relationship theorists, Millar and Rogers define control in terms of complementarity and symmetry. Control cannot be defined by examining a single message. Rather, one must look pattern of messages and re- at the sponses over time. Every message is a stimulus for the next message in the sequence. In other words when A makes a statement, B’s response defines the nature of the relationship at that moment. If control, B’s B responds in message responds in a way is a way that asserts said to be one-up. If that accepts A’s assertion B of B’s message is one-down. If B’s response neither asserts control nor relinquishes control, it, the message one-across. is A complementary exchange occurs when one partner asserts a one-up message and the other responds onedown. In a complementary relationship this kind of transaction predominates. A symmetrical exchange involves both partners presenting one-up or one-down messages, and a symmetrical relationship is marked by a pre- ponderance of such exchanges. transition, exists when A and Rogers have Millar and Rogers, “A Bob: Let’s get out of town work can get out if you are. this thing out. this weekend, so we can Okay? Mary: Okay. 5. Submissive symmetry (one-down/one-down) Bob: I’m so tired. What are we ever going Mary: Bob, don’t back out. I need you. 6. to do? Transition (one-across/one-down) Bob: What household chores do you think I should do? Mary: Whatever you want 7. to do. Transition (one-up/one-across) Bob: I definitely think we should not have any more kids. Mary: Why? 9. Transition (one-do wn/one-across) I m I Why sorry I don’t want to go out very often. do about it? don’t you like to go out? Neutralized symmetry (one-across/one-across) Mary: I think you should stay home more often, but really okay if you need to go out. Bob: Well, I do like to go out, but I should stay more, I guess. it’s on the work of Parks. associates as a basis for this conceptualization. See P. M. Ericson and L. E. Rogers, “New Procedures for Analyzing Relational Communication,” Family Process 12 (1973): 245-67; L. E. Rogers and R. V. Farace, “Analysis of Relational Communication in Dyads: New Measurement Procedures,” Human Communication Research 1 (1975): 222-39. 23. know we Complementarity (one-up/one-down) Bob: the partners’ responses relied in part 4. What can but not opposite. Table 9.1 illustrates nine control states generated by combinations of these types of control messages. 23 I Transition (one-across/one-up) Mary: third state, Bob, Mary: I’m willing to compromise Bob: No, I won’t give in. 8. are different (for example, one-up/one-across) 22. Millar 3. help, tarity home The foregoing concepts of complemenand symmetry are useful for understand- ing the configuration of relational patterns. Malcolm Parks has presented a set of axioms and theorems, based on research findings and These rely heavily on Mil- Relational Approach,” p. 97. clinical observations. 170 ) INTERPERSONAL CONTEXTS I: THEORIES OF RELATIONSHIP, PRESENTATION, AND PERCEPTION lar and Rogers’s taxonomy in Table 9.1 and can be viewed as an extension of this theory. At the 8. 9. greater the external threat, the less the quent 10. greater the role discrepancy, the less fre- communication about is The feelings 1 1 . The greater the complementarity, the greater the role specialization. 12. The The greater the complementarity, the greater the greater the competitive symmetry, the greater the frequency of unilateral action in a rela- mutual envy. tionship. 13. 2. The greater the competitive symmetry, the lower the probability of relationship termination. quency of disconfirming messages. 3. The 14. The 5. The greater the competitive symmetry, greater the frequency of open conflict. greater the competitive The greater the competitive 7. The the greater the fre- greater the rigidity, the greater the proba- of psychopathology. Theorems (derived from the above axioms) symmetry, the mes- 1 . The greater the role discrepancy, the greater the frequency of unilateral action in the relationship. 2. The 3. The greater the role discrepancy, the lower the probability of relational termination. symmetry, the greater the frequency of messages of rejection. competitive symmetry, the greater the with communication. less satisfaction greater the rigidity, The 15. The greater the rigidity, the less frequent are attempts to explicitly define the relationship. the greater the frequency of threat and intimidation sages. 6. The bility greater the role discrepancy, the greater the competitive symmetry. 4. toward the greater the complementarity, the less empathy. without comment: 24 Axioms 1. greater the role discrepancy, the greater the frequency of open 4. The 5. The conflict. greater the role discrepancy, the greater the frequency of threat and intimidation messages. See Malcolm Parks, “Relational Communication: Theory and Research,” Human Communication Research 3 (1977): 372-81. 24. greater the role discrepancy, the greater the frequency of messages of rejection. TABLE 9.1 Control configurations CONTROL DIRECTION OF SPEAKER B’S MESSAGE One-up (T) CONTROL DIRECTION OF SPEAKER A’S MESSAGE ONE-UP 1. (T) (IT) Competitive ONE-DOWN 4- (|) (Ti) Complementarity ONE-ACROSS 7. (T— Transition symmetry One-down (i) 2- (it) Complementarity 5. (U) Submissive 8- (1— Transition symmetry One-across (-) com- symmetry. The other. both Bateson and Watzlawick. Since the axioms and theorems are self-explanatory, they are listed The petitive same time Parks’s axioms are based on propositions from earlier theorists as well, including 3. (—»T) Transition (-1) Transition 6- 9. (— .) Neutralized symmetry 171 (->) CONTEXTUAL THEORIES 6. The greater the role discrepancy, the less satisfac- tion with communication. The greater the external threat, the greater the frequency of mutual or joint action in a relationship. 7. 8. The greater the external threat, the higher the probability of relationship termination. 9. The greater the external threat, the lower the frequency of open conflict within the relationship. 10. The greater the external threat, the lower the frequency of threat and intimidation messages within the relationship. 11. The greater the external threat, the lower the frequency of messages of rejection within the rela- tionship. 12. The greater the external threat, the greater the satisfaction with communication within the relation- ship. simony. Supporters have defended the work using the same categories. The two groups little on substance. Rather, an evaluation of these theories depends on one’s epistemological biases and research values. Supporters of the work on relational communication praise it in all categories. In scope clash they see it as providing a needed focus on one important aspect of interpersonal communication, the full coverage of the nature of relationships 27 It validly broadens scope from focus on individual to focus intrusive this Theories of relational communication tend to be actional in ontology 25 As Millar and Rogers on interaction. Supporters also see it as appropriately humanistic, following Bateson’s admonition against experimental, methods work had not 28 Although . stimulated until recently much research, it has been heuristic in stimulating clinical application and observation 29 Its external validity is . . state, their transactional approach to theory dynamic, emergent, holistic approach to the study of social behavior. It re“emphasizes a quires social scientists to look for multiple causes and multiplicative effects, rather than unidimensional and additive cause-effect sequences .” 26 For the most part the work of the Palo Alto Group relies on clinical interpretation of relationships as experienced by the partners in the relationship. Later research, however, uses objective observation and measurement in search of generalizations. however, researchers such supported by the clinical applications, which supporters view as successful 30 Finally, also . the theory can be the grounds that relational viewed as outcomes are explained elements of relationship by only a few 31 . Although the critics usually are sympathetic to what relational theorists have begun, they see serious problems in the overall work 32 Most of . the criticism can be boiled objections. The first is down to two main conceptual confusion. Typically, critics point out For the most part, as Parks develop parsimonious on many normal and abnormal two difficulties in this regard. The first conceptual problem is the premise, implied by Watzlawick, Beavin, and general axiomatic propositions that leave wide latitude for individual choice in relational first axiom, that all behavior is comThe objection is that by placing no on what is communicative, the concept becomes meaningless. Carol Wilder discusses Jackson’s municative. communication. limits Criticism Critics of dressed, ateness, relational communication have adeach of the directly or indirectly, criteria in our critical model: scope, appropri- heuristic value, validity, and par- For an excellent discussion of the epistemology of relacommunication, see Carol Wilder, “The Palo Alto Group: Difficulties and Directions of the Interactional View f°r Human Communication Research,” Human Interactional 30. See Paul Watzlawick, John Weaklund, and Richard Change: Principles of Problem Formation and Problem (New York: Norton, 1974). Fish, Resolution Communica- 31. Watzlawick, Beavin, 171-86. and Rogers, “A Relational Approach,” Gregory Bateson, “Slippery Theories,” See Paul Watzlawick and John Weaklund, eds.. The International View: Studies at the Mental Research Institute, Palo Alto, 1965-1974 (New York: Norton, 1977). tional 26. Millar Ibid. 28. 29. 25. tion Research 5 (1979): 27. Journal of Psychiatry 2 (1966): 415-17. 32. p. 90. The in detail 172 and Jackson, Pragmatics. criticism of relational communication by Wilder, “Palo Alto Group.” is discussed INTERPERSONAL CONTEXTS this I: THEORIES OF RELATIONSHIP, PRESENTATION, AND PERCEPTION problem with Paul Watzlawick in an ship. interview: WILDER: The first axiom in not communicate” has a fine aesthetic ring to it and brings to mind some of the tacit dimensions of communication, but some have argued that it expands the boundaries of what constitutes communication beyond any useful or meaningful grounds. — WATZLAWICK: boils down of communication?” If you are in- exchange of information on what we conscious or voluntary, deliberate level terested in the call a answer is “yes.” But, I would say, if you take our viewpoint and say that all behavior in the presence of another person is communication, I should think you have to extend it to the point of the then, indeed, the axiom logic, analogic matters worse, metacommunica- and digital, nonverbal, and both verbal and nonverbal. The accusation that theories of relational communication are conceptually confused strikes primarily at the internal validity or sistency of these theories. 33 The second main objection to relational communication theories is that the concepts are and therefore are not amenable to verification through research. This difficult to operationalize objection indirectly questions the appropriateness of the epistemological assumptions of the theories, their heuristic value, The . tion who is in control. sometimes the Palo Alto of lar, is way as to possible. The work of MilRogers, Parks, and their associates, sum- marized earlier, exemplifies While many believe this effort this is approach. a step in the right direction. Parks points out that the con- ceptual distinctions of one-up, one-across are still one-down, and rudimentary and need elab- oration 36 36. by Theories of Self-Presentation Most relational theories of communication recognize that people engage in two basic kinds of activities in encounters with others: They attempt to understand others, and they present their relation- — This problem epistemological, not sub- make measurement 28 (1978): 41-42. 34. is who are not members of Group have attempted to oper- ationalize relational concepts in such a Carol Wilder, “From the Interactional View A Conversation with Paul Watzlawick,” Journal of Communication 33. is stantive. Researchers Or, metacommunica- refers to explicit discussion issue here subjects. This issue Group, at different points in their writing, imply as many as three different meanings for metacommunication. (The use of various other labels, such as command message and relational message, is also confusing.) At points metacommunication refers to a verbal or nonverbal classification of the content message, in which one’s partner guides the coding of the content. At other times metacommunication refers to nonverbal statements about the relationship itself, such as indithat the Palo Alto individuals about the nature their external whether relational concepts are best tested through the clinical case study method or by objective observation of multiple munication 34 One critical treatment calls the concept “muddled and confusing .” 35 The probis and validity. Another area of conceptual confusion critics is the distinction between the report and command functions, or metacom- cating it . often mention lem con- At the same time questions parsimony, noting that the so-called few core concepts are really many. Yes, this has been said. And it usually to the question: “Is intentionality an es- sential ingredient would To make tion has been treated alternately as strictly anaPragmatics — “One cannot well discussed by William Wilmot, “Meta-communication: A Re-examination and Extension,” in Communication Yearbook 4, ed. Dan Nimmo (New Brunswick, N.J.: Transaction Books, 1980), pp. 61-69. themselves to others. This is the two-sided coin of perception-presentation. In this section we will look at theories in the latter group. In the Arthur Bochner and Dorothy Krueger, “Interpersonal Communication Theory and Research: An Overview of Inscrutable Epistemologies and Muddled Concepts,” in Communication Yearbook 3, ed. Dan Nimmo (New Brunswick, N.J.: Transaction Books, 1979), p. 203. 35. next section the coin. we will Parks, “Relational 173 examine the other The following side of theories present in- Communication.” CONTEXTUAL THEORIES teresting contrasting approaches to selfpresentation in interpersonal communication. is the degree of love needed. relates to others will manner of meeting Schutz’s Psychological Approach How a person that individual’s Schutz’s analysis of interpersonal needs In the last section we talked about theories that describe the nature of interpersonal relation- These theories imply the importance of human life. Another theory that need for communication is that of William Schutz: fundamental ships. relationships in more depend on these needs. clearly explains the is list of variables in Table 9.2. 39 or the need to have satisfactory reflected in his Inclusion, relations with others, is represented on a continuum between the two extremes of high interaction and no interaction. Acts of inclusion range from always originating or eliciting interpersonal relations orientation theory (FIRO). 37 Schutz writes that the human being interaction to never doing so. Feelings of inclu- has needs for social relationships with other people. Like biological needs social needs must ing interest from others. be feeling that avoid satisfied to illness and death. Schutz’s theory consists of four postulates. view each in turn. The first postulate, sonal needs, is We which defines will re- interper- the heart of the theory: “Every individual has three important interpersonal needs: inclusion, control, and affection. ... In- and affection constitute a sufficient set of areas of interpersonal behavior for the prediction and explanation of interpersonal phenomena.” 38 This listing of needs is necessary and sufficient to understand interperclusion, control, Each need is conceived as a variable some people needing a being met, one will feel between is com- of asis the person’s need and have power over others. Affection control self-respect. of control See William Schutz, Firo: A Three-Dimensional Theory of Interpersonal Behavior (New York: Rinehart, 1958); or The Interpersonal Underworld (Palo Alto, Calif.: Science and Behavior Books, 1966); Here Comes Everybody (New York: Harper & Row, 1973); Elements of Encounter (New York: ty, is with prom- a variable is As Schutz puts it: “Thus the flavor transmitted by behavior involving accomplishment, power, coercion, authoriintellectual superiority, high achievement, and independence, as well as dependency (for decision making), rebellion, resistance, and submission. It differs from in- Univer- For a brief summary of the theory, Lawrence Rosenfeld, “Conceptual Orientations,” in Interaction in the Small Croup (Columbus: Charles E sity Associates, 1977). clusion behavior in that prominence. Human Merrill, 1973), pp. 16-18, 47-48. Schutz, Firo, is influence, leadership, 37. 38. need On the feeling dimension a healthy relationship involves mutual respect for one’s competence and responsibility. The self-concept growing otit of the optimal fulfillment of this need is to affect see the understanding, interest, commitment, and participation. It is unlike affection in that it does not involve strong emotional attachments to individual persons. It is unlike sociation needed. Control 1975); Leaders of Schools (La Jolla, Calif.: is between strong control and no control. Acts of control range from controlling all of the behavior of others (or being controlled by others) to controlling no behavior (or not being controlled by others). fortable. Inclusion relates to the degree Bantam, satisfactory self- a viduality, The high degree of psychologically A worthwhile person. Schutz describes inclusion: “It has to do with interacting with people, with attention, acknowledgement, being known, prominence, recognition, prestige, status, and fame; with identity, indiis inence, not dominance.” 40 three needs. the quality, others needing less. If one’s need one control in that the preoccupation sonal relations. In other words how one behaves toward others is determined by these extremes, sion include being interested in others and elicit- concept emerging from optimal inclusion p. 13. 174 . . . it does not require Control behavior differs from 39. Schutz, Leaders, p. 29. 40. Schutz, Firo, p. 22. INTERPERSONAL CONTEXTS affection behavior in that power I: THEORIES OF RELATIONSHIP, PRESENTATION, has to do with emotional close- it relations rather than ance or equilibrium. This involves behaving in such a way that one feels comfortable in terms of inclusion, control, and affection. ness .” 41 The by a We have now examined the three needs in terms of observability (acts and feelings) and interpersonal affection need is expressed spectrum between closeness and distance. Acts of affection range from originating and eliciting no much love. directionality (originating or receiving). love to originating and eliciting dividual’s behaviors Satisfactory feelings of affection in- the flavor of affection situations is embodied states are desired, ideal, anxious, and pathological. Desired states are those that opti- of love, emotional closeness, personal intimacy. Negative affection is mally meet the individual’s needs. Ideal states are more than satisfactory; they are the health- - iest characterized by hate, hostility, and emotional rejection .” 42 needs 41 . 42. possible relations. Anxious states involve too much or too inclusion, control, or affec- little tion. Pathological states involve dysfunctional interpersonal relations and lead to various psychotic, psychopathic, or neurotic condi- of the person in meeting these three to strike an optimal psychological bal- task is tions. Ibid., p. 23. The Ibid., p. 24. TABLE FIRO theory make 1 inclusion activities theirs. anxious, and pathological FEELINGS efforts to include people in I ideal, 9.2 variables BEHAVIOR Expressed my and to get them to include me Other people in try to belong, to join social groups, and to be with people as much are important to me. I have a high regard for people as people, and I am very much interested in them. as possible. Wanted I inclusion activities person. if and interesting. want other people to include me in their and to invite me to belong, even I do not make an effort to be included. Expressed 1 control things. Wanted I want others to control and influence me. want other people to tell me what to do. control Expressed affection in- These in confidences, The An and feelings of inclusion, one of four states. control, and affection exist in clude adequate levels of closeness with others. The resultant self-concept says, I am lovable. “Thus AND PERCEPTION I try to exert control and influence over I take charge of things. I tell other people what to do. I I I make efforts to become close to people. want others to have a high regard for me as a I want them to consider me important want other people to feel that I am a competent, influential person, and to respect I my I capabilities. I see other people as strong I trust I feel I want people and rely on and competent. their abilities. people are likeable or lovable. express friendly and affectionate feelings. try to be personal and intimate. Wanted I affection tionate feelings want others become to express friendly close to toward me. me and affecand to try to affectionate. 175 to feel that lovable person who is I very am a likeable warm and or CONTEXTUAL THEORIES categories yield various types for each need. Within the anxious category are two subtypes: overactive and underactive. In the inclusion category are four subtypes: undersocial, overso- democrat the ideal type, is trols or is who controlled, pathological type as comfortably con- The appropriate. the psychopath or the is obsessive-compulsive. cial, social, and psychotic. The undersocial person tends to be introverted. He or she is neither underpersonal, overpersonal, personal, and interested in others, neurotic. him or superficially to others, avoiding her. As a nor are others interested in result of the inability to meet the inclusion need, the undersocial person may have anxieties of feeling worthless. Oversocial on the other hand, are extroverted. By erring in the opposite direction, they are attention getters. The ideal inclusion type is the sopersons, cial. This individual is comfortable being with others as well as being alone and has managed to achieve a balance in association with others. In pathological form, failure to meet the sion need will lead to psychosis, inclu- particularly schizophrenia. Likewise there are four affection subtypes: ing to have confidence in their own abilities. On the other extreme is the autocrat, who tends to dominate in social situations. Underlying this form of behavior is a basic mistrust of others. The TABLE underpersonal individual relates win affection. The personal relates com- fortably in various ways, developing close relationships and giving genuine affection. Personal individuals will maintain a satisfactory distance appropriate. as The pathological form Table 9.3 illustrates the various interpersonal anxiety types. cell The following of Table is a description SELF Anxieties about self-toward-others behavior Too much: Inclusion: Control: I Affection: Too am with people too much. am too dominating. I I get too personal. little: Inclusion: I do not mix with people enough. 9.3 TOWARD OTHERS FEELING LEVEL LEVEL Too much Inclusion Control Affection Too Inclusion little Control Affection 176 of 9.3. Types of interpersonal anxieties BEHAVIOR is neurosis. each For the control category, the subtypes are four: the abdicrat, the autocrat, the democrat, and the psychopath. The abdicrat is submissive, avoiding responsibility. Such individuals do not The emotional involvement. Such persons fear being unlovable. The overpersonal tends to be manipulative, seek- OTHERS TOWARD SELF BEHAVIOR FEELING LEVEL LEVEL . INTERPERSONAL CONTEXTS Control: I: THEORIES OF RELATIONSHIP, PRESENTATION, am not decisive enough. am too cool and aloof. I Affection: tions, usually Too much: me People do not leave Inclusion: alone enough. me tion to me We copy our own childhood be- havior or our parents’ behavior. atten- me. Control: People do not help early parent-child interaction. We may tion. little: do not pay enough is tend to pattern behavior in a situation after behavior recalled from a similar childhood situa- around too much. me. Affection: People get too personal with Inclusion: People with his parents .” 43 This postof interpersonal ulate explains that the origin behavior Control: People boss individual’s expressed interper- sonal behavior will be similar to the behavior he experienced in his earliest interpersonal rela- I Anxieties about others-toward-self behavior Too “An follows: AND PERCEPTION enough. Schutz’s third postulate, the postulate of compatibility, states that compatibility is im- portant in the efficient operation of a group 44 Compatibility is defined in terms of the inclu. Affection: People do not act personal enough with me. Anxieties about self-toward-others feelings Too much: Inclusion: I respect everyone’s individuality group members. Compatibility increases both the desire to communicate and cohesiveness, which in turn increase productivity. Schutz’s fourth postulate relates to group too much. Control: I respect everyone’s formation. As a group develops, it passes through a sequence of inclusion behavior, con- competence too much. Affection: Too I do not like trol, people enough. and affection. If the group anticipates that the association will end, little: I do not respect people enough. Inclusion: uals control, and affection behaviors of the sion, Control: the pattern as individ- do not trust people’s I through do not I like it then reverses passing again control phase and ending with inclu- sion. Thus a group’s history of predominant behavior follows the pattern inclusion-con- abilities enough. Affection: a before dissolving, trol-affection-control-inclusion. people enough. The focus of Schutz’s theory He is interpersonal Anxieties about others-toward-selffeelings needs. Too much: tempt to fulfill various needs via relating to others. His theory helps to explain why people Inclusion: People feel I am too important. Control: People respect my abilities too relate to others in particular much. planation of Affection: People like Too me too much. offered how we ways. Another exbehave interpersonally is by Erving Goffman in his theory of self-presentation little: Inclusion: People nificant sees interpersonal behavior as an at- do not feel that I am sig- Goffman’s Social Approach One of the most prolific sociologists of our day is Erving Goffman 45 As a symbolic interactionist of the dramaturgical tradition, Goffman analyzes human behavior with a theatrical enough. Control: People do not respect my abilities enough. . Affection: People do not like me enough. Now that we have discussed the three needs of Schutz’s first postulate, we will briefly summarize the other three postulates. The second is the postulate of 43. Ibid., p. 81. 44. Ibid., p. 105. 45. See the bibliography for relational continuity, stated as Goffman’s works. 177 Chapter 9 for a listing of CONTEXTUAL THEORIES metaphor. The ordinary interaction setting is a stage. People are actors, structuring their performances to make impressions on audiences. According to Goffman, interpersonal commu- nication is a presentation through which various aspects of the self are projected. Goffman’s analyses in his various books are highly detailed. Presenting all of his concepts here would we will look at his main be impossible. Instead, ideas and premises. Goffman’s observations of nearly twenty years are spread throughout his books, making synthesis difficult. Fortunately, vides a theoretical framework general approach to we review go back a human beginning set Goffman pro- that outlines his behavior. 46 After of premises, we will to material specifically related to inter- organized for the individual. What the frame framework) does is allow the person to and understand otherwise meaningless events; it gives meaning to the ongoing activities of life. A natural firamework is an unguided event of nature, with which the individual must is (or identify A social framework, on the other hand, is seen as controllable, guided by some intellicope. Thus humans have a sense of control when they enter the social frame. Of course, these two types of frameworks interrelate, since gence. social beings act on and are in turn influenced by the natural order. Goffman demonstrates the importance of frameworks for culture: “Taken all together, the primary ticular social of frameworks of a pargroup constitute a central element culture, especially insofar as understand- its personal communication. ings Goffman begins his reasoning with the assumption that the person faced with a situation must somehow make sense of or organize the another, and the events perceived. What emerges as an organized happening for the individual becomes that person’s reality of the moment. This premise states that what is real for a person’s definition ofi the person emerges situation. elaboration of a key concept in that (This idea is the question, What is going on here? The ations is consistent not only with the central of symbolic interactionism but with sevof meaning presented in Chapter 6. Primary framework is the basic unit of social life. Goffman points out that primary frames can be transformed or in detail various ways al- example, is modeled after a fight, but its purpose is different. A large portion of our frameworks are not primary at all, though they are modeled after primary events. Examples include games, drama, deceptions (both good and bad), experiments, and other fabrications. misunderstanding. The notion of a rereading is important for Goffman because he has observed that we are often deceived and deceive one another in our relations. Several terms highlight Goffman’s general any arbitrary sequence of activity. A firame is a basic element of organization used in defining a situation. Frame analysis thus consists of examining the ways experience 46. of forces and agents acknowledge to be loose in the world.” 47 This view that a culture is defined in part by its definitions of situ- tered so that similar organizational principles are used to meet different ends. A game, for the case of a practical joke, a mistake, or a A principal classes of that these interpretive designs from symbolic person’s definition of the situation provides an answer. Often the first definition is not adequate and a rereading may be necessary, as in approach. total eral theories A typical response of a person to a new situais sum ideas an interactionism as discussed in Chapter 4. tion emerge concerning schemata, the relations of these classes to one strip is Indeed, what happens in ordinary interpersonal communication often involves this kind of secondary activity, including dramatic presentations, fabrications, With base, and deceptions. approach as a Goffman’s central ideas on this general theoretical we come to communication. Communication activities, viewed in the context of like all activities, are Erving Goffman, Frame Analysis: An Essay on the Orga(Cambridge: Harvard University nization of Experience Press, 1974). 47. 178 Ibid., p. 27. INTERPERSONAL CONTEXTS THEORIES OF RELATIONSHIP, PRESENTATION, I: frame analysis. We will begin with the concept of face engagement 48 A face engagement or en- divides the self into a when people engage in focused engagement a particular interaction. Persons in a face engagement have a and a perceived mutual unfocused interaction people in public places acknowledge the presence of one another without paying attention to one another. In such an unfocused situation the individual is normally accessible for encounter with others. Of mutually sustained. Face enboth verbal and nonverbal, and the cues exhibited are important in signifying the nature of the relationship as well as a mutual definition of the situation. gagements is are People in face engagements of talk take turns presenting dramas to one another. Story telling recounting past events is a matter of impressing the listener by dramatic portrayal. This idea of presenting dramas is central to Goffman’s overall theory. — — am suggesting that often what talkers undertake to not to provide information to a recipient but to present dramas to an audience. Indeed, it seems that I do is versation. The parallel engagement of In unfocused interaction scenes . zations. Here is how he explains the self: A correctly staged and performed scene leads the audience to impute a self to a performed character, but this imputation this self is a product of a scene that comes off, and is not a cause of it. The self, then, as a performed character, is not an organic thing that has a specific location, whose fundamental fate is to be born, to mature, and to die; it is a dramatic effect — — from a scene that is presented, and the characteristic issue, the crucial concern, is arising diffusely whether it will be credited or discredited 51 . In attempting to define a situation, the person goes through a two-part process. First, the person needs information about the other people in expected of them. Usually, this exchange occurs indirectly through observing the behavior of others and structuring one’s own behavior to between stage and elicit conversation is much, much deeper than that. The point is that ordinarily when an individual says something, he is not saying it as a bold statement of fact on his own behalf. He is recounting. He is running through a strip of already determined events for the in the situation. Second, one needs to give infor- time not engaged in giving information but in giving shows. And observe, this theatricality is not based on mere displays of feelings or faked exhibitions of spontaneity or anything else by way of the huffing and puffing we might derogate calling theatrical. Even are presented to others 50 Goffman believes that the self is literally determined by these dramati- mation about oneself. This process of exchanging information enables people to know what is we spend most of our by involved in the characteriza- is course, the individual has opportunities to present the self in situations other than con- , develops and like in ordinary tion being presented. begins, a mutual contract engagement to some kind of termination. During this time a relationship Thus we have the actor and the characor the animator and the animation; the lis- ter, tener willingly exists to continue the role. conversation single focus of attention activity. In Once an engagement number of parts and the stage actor presents this or that character in , counter occurs AND PERCEPTION his listeners 49 . engaging others, the speaker presents a The person particular character to the audience. impressions in others. Self-presentation is a matter of impression management. much The person very tion influences the definition by projecting may wish them a particular of a situa- impression: “He of him, or to think that he thinks highly of them, or to perceive how in fact he feels toward them or to obtain no clear-cut impression; he may wish to insure sufficient to think highly harmony so that the interaction On the nature of face-to-face interaction, see Erving Goffrnan, Encounters: Two Studies in the Sociology of Interac- can be sustained, or to defraud, get rid of, confuse, mislead, antagonize, or insult them .” 52 (Indianapolis: Bobbs-Merrill, 1961); Behavior in Public Places (New York: Free Press, 1963); Interaction Ritual: Es- 50. 48. tion says on 1967); Face-to-Face Behavior (Garden City: and Relations in Public (New The best sources on self-presentation are Erving Goffman, The Presentation of Self in Everyday Life (Garden City: Doubleday, 1959); and Relations in Public. Doubleday, York: Basic Books 1971). 49. Goffman, Frame Analysis, p. 508. 179 51. Goffman, 52. Ibid., p. 3. Presentation, pp. 252-53. CONTEXTUAL THEORIES Since participants in a situation project all images, an overall definition of the situation emerges. This general definition is normally Once rather unified. pressure is the definition created to maintain it is set, moral by suppressing contradictions and doubts. A person may add to the projections but never contradict the image initially society is set. The very organization of based on this principle. when In consequence, an individual projects a definition of the situation and thereby makes an implicit or explicit claim to be a person of a particular kind, he automatically exerts a moral demand upon the others, obliging them to value and treat him in the manner that persons of this kind have the right to He also implicitly foregoes all claims to be things he does not appear to be and hence foregoes the treatment that would be appropriate for such individuals. The others find, then, that the individual has informed them as to what is and as to what they ought to see as the “is .” 53 expect. If the presentation falters or later scenes, the and to the is contradicted by consequence to the individual can be severe. social structure Goffman uses this basic stance in his many analyses of public life. He shows how self- presentation occurs in verbal and nonverbal beall public settings. For us Goffman havior in demonstrates the relevance of self-presentation to interpersonal communication. temology of Schutz, Goffman’s epistemology is humanistic 54 His epistemological biases are . Frame Analysis, which he expresses his belief that knowledge arises out of the interaction between the individual and the world outside the individual. Knowledge for Goffman is not ‘invested” by the person nor is it presented 53. Ibid., p. 13. anew by in nature. It is a St. Martin’s Press, 1980); see especially the following Randall Collins, “Erving Goffman and the cles: of reporting observations are interpretive Criticism Schutz theory has two clear strengths. s First, it parsimonious, explaining a great deal of interpersonal behavior in terms of a few variables. Second, it has been well validated, though not universally, by several research is studies 55 . As a corollary value the theory is rather heuristic. Problems of the theory are in scope and appropriateness. Many communication scholars would say that we can never adequately explain behavior on the basis of internal needs, although clearly these do have some explanasocial tory power. The theory can ontological grounds for room its also be faulted on failure to provide human for choice or change. Beyond immediate compatibility, it does not give us a way to understand how people adjust to one another in ongoing interaction. In fairness, however, we must note that no theory can be and Schutz’s work provides a understanding some aspects of a fairly all-inclusive, narrow range of behavior. Goffman’s work presents contrasting 55. strengths man s and theory faults to Schutz’s theory. is broad in scope, Goffproviding in- on numerous aspects of social life. His descriptions and analyses are intuitively valid sights and appropriate to many scholars and a large segment of the public who read his books. s work has been faulted primarily on two grounds. First, it has been viewed as noncumulative, scattered, and unparsimonious. In the extreme he is accused of being atheoreti- For excellent discussions of Goffman’s epistemology, see Jason Ditton, ed., The View from Goffman (New York- 54. ment of Modem his style Goffman product Still, rather than scientific. basis for In stark contrast to the deterministic epis- best stated in of both nature and social definition. Goffman’s theory leaves wide latitude for choice as well as assuming that cultural forces play a major role. Goffman’s methods and cal. arti- Consider the following indictment: “The Develop- Social Theory,” pp. 170-209; Steve Crook For a partial summary of research on this theory, see Marvin Shaw, Group Dynamics: The Psychology of Small Group Behavior (New York: McGraw-Hill, 1981), pp. 228- and Laurie Taylor, “Goffman’s Version of Reality,” pp. 233-51; Peter K. Manning, “Goffman’s Framing OrderStyle as Structure,” pp. 252-84. 180 INTERPERSONAL CONTEXTS I: THEORIES OF RELATIONSHIP, PRESENTATION, non-cumulative look of Goffman’s work is puzzling, and some of the blame is due to his continual shifts in concepts. This confusion is exacerbated by his applying more than one label to the same thing (for example, person and self). To make matters worse, Goffman’s predominant style is metaphorical and lacks precision. This section has given us an unusually good opportunity to see a diversity of communica- Goffman never re-uses earlier concepts in later works, manifest- from his own previous work; and he very seldom refers to his ing a kind of role-distancing work in any respect. Thus one never gets from Goffman himself any overview of his own theory, and one is left to figure out for oneself if one is to expect any theoretical unity or only a string of self-contained virtuoso perearlier Here vastly different in epistemology, scope, each with , presentation in fails we have two theories that are style, and and weaknesses, but both providing insights into selftion theory. formances .” 56 Although Goffman often AND PERCEPTION its special strengths human interaction. to take explicit theoretical stands, a close examination of his work reveals that he has indeed integrated im- Interpersonal Perception and Attribution In the last section we noted that self-presentation and interpersonal perception are like a portant sociological theories, as the same critic points out: “We have seen that he has continually drawn upon powerful intellectual traditions and upon wide-ranging empirical research both of his own rather innovative procurement, and of the best of his contemporaries. But Goffman two-sided coin. In a social situation of others through perception. Much work has been done in social psychology on tations hides his intellectual elitism behind a theory- interpersonal perception, far deprecating manner, producing a kind of un- summarized derground, hermetic theorizing beneath a popularistic-seeming surface .” 57 Frame Analysis does a great deal to integrate Goffman’s work into a theoretical framework. For the first time Goffman discusses in an abstract way to this field: and inner perception is not very qualities, the nature cial term per- perception, person perception, and inter- Broadly, two areas of research have develin interpersonal perception. The first has focused on the nature and accuracy of judgments made about other persons. The second imputations of others, but at other times he defines it as one’s own view of self. trend has dealt with the process of interpersonal perception. This latter area interests us in the p. 175. context of communication theory. Much of the research work perception is atheoretical. For comments on Frame Analysis, see Crook and Taylor, “Reality,” and Stephen Littlejohn, “Frame Analysis 58. and Communication,” Communication Research 4 485-92. For an elaboration of “Framing Order.” satisfactory, the oped self as the 59. to person personal perception, to mention only a few of the phrases used .” 60 . Goffman,” know and 60. cepts 59 He tends to create a new set of terms for each project and even uses some of these inconsistently. For example, he sometimes defines Ibid., p. 205. to The phrase being used in a loose way, most often meaning apperception and cognition. This topical area has been variously named so- . Collins, “Erving states. ception here Goffman’s career 58 57. man comes think about other persons, their characteristics, The second criticism of Goffman’s work is ambiguity and inconsistency in using con- 56. more than can be Renato Tagiuri introduces us “Person perception refers to the here. processes by which and principles of social life apart from the substance of specific human actions. For this reason Frame Analysis is a significant and pivotal work in people both present the self to others and take in the presen- this criticism, see in interpersonal An impressive (1977): Renato Tagiuri, “Person Perception,” in The Handbook of Social Psychology, vol. 3, ed. Gardner Lindzey and Elliot Aronson (Reading, Mass.: Addison-Wesley, 1969), p. 395. Manning, 181 CONTEXTUAL THEORIES amount of research on perceptual problems has been done but not a great deal of theorizing. 61 The major exception is a related field, known one’s perception (experience) of the relationship with the other communicator. to this general observation which matured Laing takes Because of its individual contribution to our understanding of interpersonal perception, we centrally to interpersonal analysis phenomenological approach to The basic datum for the experience of the person, or reality as experienced by a given individual. Laing will concentrate on attribution theory here. Although attribution theories a the study of human beings: in the 1970s, as attribution theory. is makes a distinction between experience and bewhich is the observable acof another, is public; experience* is private. Experience is the feeling that accompanies be- havior. Behavior, relate most tions communication, they of also apply to information processing because havior or the perception of another’s behavior. It consists of imagination, perception, and their cognitive basis. Attribution theory in particular deals with lay epistemology, or the ways memory. We can imagine the future; we can can recall the past. that individuals process information in order to perceive the present; generate information about Such experiences are internal in the individual and not directly accessible to anyone else. self, others, and sit- uations. many For years attribution theory went against the grain of mainstream psychology Behavior, on the other hand, can be ob- by served, but another’s experience cannot. Inferring experience from behavior is the heart of suggesting that an individual’s construction of reality is an important aspect of human behavior. With the shift in social psychology communication, but doing from own behavior, attribution theory has not and never have and never will see your experience of me.” 64 As implied in this quotation, experience is an intrapersonal matter, become firmly planted in social psychology and become one of the mainstays of the field. has Many social psychologists believe that attribu- tion processes social lie at the heart of but one’s experience most other relations phenomena. 62 wise, our experience communication. Another theory that adds depth to this analysis is R. D. Laing’s. Laing, a British psychiatrist, has written a number of books related to the process of perception in communication 63 Laing’s thesis is that one’s communicative behavior is largely shaped by marked by 62. havior. , ibid. For an excellent compilation of work in attribution, see Ickes, and Robert F. Kidd, eds., Directions in Attribution Research, vols. 1 and 2 (New 63. Laing s Interpersonal is further affected communication by be- is often a message will become clearer as we review his notion of interpersonal perception. 65 A person interacting with another has two levels of expelications, 1969); and R. D. Laing, H. Phillipson, and A. R. Lee, Interpersonal Perception (New York: Springer, 1966). New & by perceives or behave toward behavior-experience spiral. The foregoing paragraph states that behavior is related to one’s experience of the other and one’s experience of the relationship. Laing’s John K. Harvey, William J. York: John Wiley how one and the experience of the relationship. Like- Jackson provide an excellent general description of the relationship dimension of interpersonal supported in also affected largely How we another person is a function of two related experiences, the experience of the other person The axioms of Watzlawick, Beavin, and is is with others and experiences others. Perception and Metaperception 61. This conclusion this is difficult, as Laing points out: “I see you, and you see me. I experience you, and you experience me. I see your behavior. You see my behavior. But I do discovering the real causes of behavior to the interpretation of how people perceive the causes of their we Sons, 1976, 1978). 64. Laing, Politics of Experience works most concerned with communication 65. include The Politics of Experience (New York: Pantheon Books, 1967); Self and Others (London: Tavistock Pub- Laing summary et al. , 182 , p. 4. Interpersonal Perception. An excellent brief can be found in Rosenfeld, “Conceptual Orien- tations,” pp. 31-36. INTERPERSONAL CONTEXTS I: THEORIES OF RELATIONSHIP, PRESENTATION, AND PERCEPTION rience (perception), or perspectives. The person experiences the other individual in a direct perspective. One loves her, he also experiences the other’s ex- stood is is understood. But being undernot the same as feeling understood. The latter is defined as the conjunction between perience. In this second or metaperspective the Jack’s direct perspective and his communicator imagines, or spective. Ifjack infers that other person infers, own metaperJill believes he loves and he does, then he feels understood. Since communicators attempt to behave in what the feeling, perceiving, or thinking. is her, Laing describes the process: “I cannot avoid trying to understand your experience, because ways al- that, according to their metaperspectives, though I do not experience your experience, which is invisible to me (and nontastable, nontouchable, nonsmellable, and inaudible), yet I experience you as experiencing. I do not experience your experience. But I experience you experiencing. I experience myself as experienced by you. And I experience you as experiencing yourself as experienced by me. And so on .” 66 will affect others, spirals can develop wherein each person acts toward the other in such a way To him. that particular metaperspectives (for example, mistrust) trist tive). He also of Jill mistrusts Jill’s this A relationship then is defined by the communicator’s direct perspectives and metaper- Jill. Jack thinks Jill of Jill becomes more and more accentuA bilateral spiral occurs when both parties increasingly extreme metaperceptions. For example, Jack believes Jill wants too much from him. He judges her as greedy. At the same time Jill sees Jack as selfish. Both feel the other is withholding what he or she needs. Since both parties feel misunderstood, they retaliate, causing their metaperceptions of greed and selfishness to increase. Such spirals need to be broken before the system (dyad or person) is ated. move toward one often behaves in accordance with his or her metaperspectives. If Jack thinks Jill thinks he does not love her, he may imaged perception. The try to change metaidentity is Jill’s how the person believes others see one. (You may recall from symbolic interactionism the importance of another’s perceptions in establishing the self.) Of course, metaperspectives may or may not be accurate, and the health of a relationship is much determined by destroyed. Now that we have discussed Laing’s basic of experience, perception, and metaperwe can move to another part of his theory, which also adds to our understanding of interpersonal communication. In the second half of Self and Others, Laing presents a helpful analysis of the forms of interpersonal action 67 Some of these forms are growthful and positive; others are dysfunctional and therefore perceptual accuracy. ideas Three concepts are pertinent at this point. Understanding is the agreement or conjunction between Jack’s metaperspective and Jill’s direct ception, perspective. Ifjack correctly infers that Jill loves him, understanding results. Being understood is . the inverse. It is the conjunction of Jack’s meta-metaperspective and Jill’s metaperspec- tive. 66. Ifjack correctly infers that Jill believesjack Laing, Politics of Experience p. , attempt as covering up her lack of love. he perceives Jill as a liar. The spiral will trust loves him. Jack thinks thinks that he loves her, and so on. Further, since experience affects behavior, as a paranoid, Now Theoretically, metaperception can proceed indefinitely through higher levels. Jack Jill For example, Jack, Jill. He does not believe she loves then accuses her of having affairs with continue until the relationship is destroyed. This example is of a unilateral spiral. Jack’s mis- spectives. that accentuated. This idea of spi- explains various pathological re- Jill, in her metaperception of Jack’s mistrust, attempts to prove her love. Jack sees per- ceptions (metaperspective). loves He it other men. (direct perspec- or imagines infers because lationships. use Laing’s favorite characters, Jack per- ceives certain behaviors become has been important for Laing as a psychia- ral harmful. 67. Laing, Self and Others, part 5. 183 II. . CONTEXTUAL THEORIES The first form of action is complementarity the aspect of a relationship that allows one to fulfill one’s identity. person’s identity cannot , A be complete without complementary relations with others. Motherhood is not possible without a You cannot be child. a lover without someone to love. One cannot be an oppressor without the complementarity of submission. Laing defines this aspect of interpersonal relations: “One lead to pathology. Alto Group. A volves confirmation, or the affirmation of one’s an interaction communicators be- identity. In in ways and send messages that confirm A simple smile may host of verbal and nonverbal reinforcers. If Jack loves Jill and Jill recognizes the other’s self-perception. do it, as might and accepts On a confirmation takes place. his love, many the other hand, disconfirmation boy of , as in the interactions involve following example: “A five runs to his mother holding a big fat worm in his hand, and says, ‘Mummy, look what a big fat worm I have got.’ She says, You are filthy away and clean yourself im” mediately.’ 69 Since communication occurs on multiple levels, one can confirm another on one level and disconfirm simultaneously on yet anlittle — other level. A parent may console a hurt child plement each other. Still, to disclose oneself to is hard without confidence in oneself the other and trust in the other. Desire for confirmation This condition occurs incongruently with needs happens when a person does not feel like oneself. A person can put oneself into an untenable position, but one can also be put there by another person in a relationship. Laing uses everyday expressions to capture the essence of this kind of relation: “To put someone is similar to Bateson’s no- positions. Laing describes it on the spot; to give someone [no] room move; to have no elbow room; to be put an awkward small; to pull position; to know where one make someone is to in feel with someone; to someone or to be pulled in opposite direcscrew on; to know where one have the ground taken from under one’s feet; to be boxed in, tied in a knot, caught, sat upon, cornered, entangled, trapped, smothered .” 71 tions; to turn the stands; to The final class of interpersonal actions dis- and self-injunctions. This class of behavior is closely related to confirmation and disconfirmation as well as to false positions. self-attributions more than one person. as an unstated It behave. Attributions and injunctions are harmful when they contradict the individual’s own of the double bind. Another form of relationship is collusion. Collusion is mutual self-deception, which tion necessarily involves feelings. is attributions and injunctions Attributions are statements telling a person how to be; injunctions tell a person how to and kinesically communicating irritation and annoyance. Here Laing’s conception and cussed by Laing verbally, while tactilely 68. confirmation. when one behaves second important form of relating in- have false and untenable failure to find appropriate is is extremely frustrating and can Laing’s concept of com- gesture, action, of the other .” 68 A complementarity in a feeling, need, role, or identity is of collusion is how it happens: “Two people in relamay confirm each other or genuinely com- consistent with that of the Palo speaks of a gesture, an action, a an identity, being the feeling, a need, a role, relationship tion from each is present in both, but each is caught between trust and mistrust, confidence and despair, and both settle for counterfeit acts of confirmation on the basis of pretence. To do so both must play the game of collusion .” 70 Thus Jack and Jill continue to date long after they have fallen out of love. Neither wishes to hurt the other. Both fake love, thus faking confirmation of the other’s “love.” Another form of relationship involves false complement of a corresponding plementarity definition Here game. Another The previous example of two people Ibid., p. 67. 70. Ibid., p. 91. 69. Ibid., p. 85. 71. Ibid., p. 118. 184 in a rela- INTERPERSONAL CONTEXTS tion talking about their “love” I: THEORIES OF RELATIONSHIP, PRESENTATION, AND PERCEPTION an excellent is on the perceiver’s and behavior. The communi- tributed cause has impact illustration of the effect of attribution. (Be carenot to confuse Laing’s concept of attribution with that of the attribution theorists sum- own ful cator’s attributions marized and that of others. Scientific psychology attempts to ascertain the actual causes of behavior; naive psychology centers on the perceived causes of behavior in ongoing inter- Thus, attribution theory, while it relates directly to interpersonal communication, is supportive of several previous topics in this book, including symbolic interaction, meaning, and information processing. It also supplements some of the previous theories of this chapter, notably those of Laing and Goffman. Fritz Heider could easily be called the father of attribution theory. It was he who coined the term naive psychology. Heider’s early work has been extended by a number of later theorists. In Chapter 8 you saw that Heider’s balance action. theory meaning next section.) in the Heider’s Attribution Theory theory deals with the Specifically, attribution ways people theory ogy. It people infer the causes of behavior. This known alternatively is as naive come psychol- by which most explains the processes to understand their own behavior When question, puts it Why this interpret wonder why as they do. I may wonder how to a compliment a student makes of a lecture I recently gave, critical of they act why my a certain I often why my friend is common acquaintance, so project. These cause or (can) for it, — what causes to what is it, what is changes in the environment, they are able to and try to cause these changes, they have wishes and sentiments, they stand in unit to other and they are accountable accord- entities (belonging), ing to certain standards (ought). All these characteristics determine what role the other person plays responsible to be attributed?” 73 it psychology. The further elucidated and (wants) are questions about the attribution of the other person’s behavior is According to naive psychology people have an awareness of their surroundings and the events in it (the life space), they attain this awareness through perception and other processes, they are affected by their personal and impersonal environment, they colleague has not done his share of work on our joint classic in social theory: is tion with other people, a in them answer the he doing that? Harold Kelley way: “In the course of my interac- is The Psychology of Interpersonal Relations. 75 Heider summarizes the main points of his doubt, they look in for information that will help in large part the placed in the larger context of naive psychology people attempt to determine the causes of behavior. determine for the situation. notion of balance Attribution theory has three basic assumptions. 72 First, feelings in The our own life space and how we react to him 76 . second assumption of attribution theory is that people assign causes systematically. Kelley lik- Thus ens this occurrence to the scientific method: ceived in interpersonal communication. These “The lay attributor generally acts like a good scientist, examining the covariation between a given effect and various possible causes.” 74 The third assumption is that the at- are the . 72. The lined in . E. Jones et al., major concepts of his theory, Heider presents the important attributes per- . commonly perceived causes of behavior: being affected by, causing, can, trying, want- and may. distinguishes between diand indirect perception. Indirect perception occurs when one infers from overt behavior the ing, sentiments, belonging, ought, As Laing, Heider rect basic assumptions in attribution theory are out- Edward in the Attribution: Perceiving the Causes of Behavior (Morristown, N.J.: General Learning Press, 1972), p. xi. 73. Harold H. Kelley, “Attribution in Attribution: Perceiving the Causes in Social Interaction,” N.J.: General Learning Press, 1972), p. 74. Ibid., p. 2. 75. Fritz Heider, (New of Behavior (Morristown, 76. 1. 185 The Psychology of York: John Wiley Ibid., p. 17. & Interpersonal Relations Sons, 1958). CONTEXTUAL THEORIES causes of that behavior. Such causal perception mediated by psychological variables in the There is not a one-to-one relationship between the observed behavior and the is perceiver. A cause. as variety of behaviors stemming from versely, may or, be thought to conarise tion. from multiple possible causes. One of the tasks of the perceiver is to resolve such ambiguities inherent in the situation. For example, a supervisor in a company may notice that one em- ployee is particularly industrious. The supervisor must decide whether the employee’s drive can be attributed to personal dedication or to a desire to seek personal favors, since either of these elements could be the cause. Of course, every behavior is embedded in a and the naive psychologist makes the most of the context in resolving ambiguities. For one thing, we usually have the benefit of situation, exposure over time, as Heider points out: “It is probably fair to say that the stimulus fields basic for person perception are usually more extended in time than those relevant to thing percep- ... In most cases we cognize a person’s and especially his wishes, sentiments, or intentions from what he does and says, and we tion. traits, know considerably less what we can see of him The most important biguity is when we are limited to as a static object .” 77 factor in resolving meaning. The attributor’s meanings for stimuli are crucial in interpersonal percep- because of the use of language and speech, although Heider makes it clear that Basically, meanings as well. such a way sense. meanings makes the total attribution 77. lack Although Heider does not use the same minology as does Laing, he recognizes the ter- sig- nificance of metaperception in communication. In interpersonal perception one individual perceives the perceptions of another. Bob recognizes that Mary is an active perceiver and that her perceptions affect her. This recognition on Bob’s part also affects him. He may attempt to influence Mary’s perception in order to bring about results that are favorable to him. In addition his expectations of Mary are affected by his how she perceives the situation. his own attributions of Mary are affected. One of the most important attributions involves purposive action. When one perceives an assessment of Thus action to be purposive, (try). two underlying attri- These causal agents are necessary and sufficient conditions to explain purposeful be- havior. Trying means intention and exertion. Suppose, for example, that your friend fails to for a meeting. According to this show up you it wonder why. Here are the by the naive analysis of your friend was not able to make will (couldn’t), or she didn’t try. able, If she wasn’t something would have been wrong with her (for example, either didn’t process becomes integrated and consistent. The give illness), or some environ- mental factor (for example, snowstorm) prevented her appearance. If she did not try, she that causal attribution In short, may action. Either make sense of the world. Heider would agree with Goffman that the person sees situations in terms of well-integrated frames. From a need for consistency, the perceiver aligns tion.) possibilities as outlined us logical of accurate or erroneous percepHeider recognizes that any state of affairs rise to a number of interpretations, each of which seems true to the perceiver. priate to speak theory, are integrators in percep- tion, organizing percepts into patterns that help in we are not dealing here with or objective analysis, it is not appro- (Because scientific butes are recognized: ability (can) and attempt am- tion, especially we have meanings for nonlinguistic acts reasonable to expect idiosyncratic patterns of perception, which Heider calls perceptual styles. This notion introduces another variable in perception, namely, individual manners of percep- be perceived single cause, a one behavior may tween behavior and motive makes multiple interpretations of a given event possible. Thus it is (exertion). of one-to-one correspondence be- want Now was too lazy what happens in you to (intention) or you can see interpersonal perception. In this instance Ibid., p. 39. will infer the causes 186 of your friend’s behavior INTERPERSONAL CONTEXTS I: THEORIES OF RELATIONSHIP, PRESENTATION, according to your overall experience, your meanings, the situational factors, as well as your is own objective order. one perceptual style. the situation balanced is This example of the naive analysis of action valuable, included to illustrate Heider’s conception of gether, if p admires the person he likes attribution is can and try. The same is used in attributions dealing with desire and pleasure, sentiments, ought and value, benefit and harm, and others. Two of these attribu- etc.” moment. First, let we The attribution, is Theory is two that theories of the of Harold Kelley. 80 postulates about causal which apply to both self-perception and perception of others. The first postulate is the covariation principle: “An effect is attributed to one of its possible causes with which, over time, it covaries.” 81 This principle applies to situations in which the from more than one observation. The person sees which effects are associated (covary) with which causes. The second principle, which applies in the case of single observations, is the discounting effect: “The role perceiver has information will return to in of particularly interest- from the normal patterns is seen by the person as a demand from some suprapersonal source. The perceiver views the ought as an impersonal, objective demand, a truism. Further, the ought has interpersonal validity in that most people would agree that the demand is present. As Heider puts it, “One might say that ought it is, most prominent Kelley developed us look at the attributions ought attribution the process of attribution of ought and value. ing because likes if what really 79 One of area and whom he shares values, Kelley’s Attribution expanded further. of sentiments is important because it relates to Heider’s earlier work on balance (see Chapter 8). Basically, the sentiments we attribute to another person are consistent with our sentiments toward the other person and toward certain objects that we hold in common with the other. In interpersonal relationships we have a need to balance our various interrelated sentiments. In fact, Heider believes that people have a general tendency to balance the entire tional areas will be perceptual picture, a notion happiness and goodness go to- ought to be conforms with what cess The if the person with basic pro- if do what one ought to do, if one and enjoys the entities one believes are likes to likes the perceptual process. In this case the realm of a Thus AND PERCEPTION a given cause in producing discounted departs a given effect is if other plausible causes are also pre- sent.” 82 In other of attribution. The ought words, the perceiver tends to weigh possible causes in relation to one another. These two postulates describe attribution as a rational process in which the individual care- examines the various causal possibilities and generalizes on the basis of the best available fully data. 78. rises out of a tendency to equalize the life spaces of different persons as well as the different moments of the same life space.” 78 Thus a person says, “You ought to go to the dentist,” or “I ought to report the theft.” But oughts do not necessarily correspond with values. I may dread going to the dentist even though I think I ought to. However, people seek congruity among attributions; especially they feel a need for balance between oughts and values: “There exists a tendency to be in harmony with the requirements of the The covariation principle applies when the person has multiple observations from which to generalize. The perceiver goes through a naive version of analysis of variance. Analysis of variance is a statistical procedure often used in ex- perimental research. It allows the researcher to weigh the various sources of variation 79. 80. Ibid., in such a p.233. See the bibliography for Chapter 9 for a list of Kelley’s works. 81 . Harold Kelley, “The Processes of Causal Attribution,” American Psychologist 28 (1973): 108. Ibid., p. 222. 82. 187 Ibid., p. 113. CONTEXTUAL THEORIES way as to determine the causes in operation. same Analogically, the perceiver uses the basic pattern, treating possible causes as independent observed that most of your friends like music at this time of the semester since music tends to soothe anxieties. The attribution to time is illus- variables and effects as dependent variables. trated in Figure 9.2(c). All Figure 9.1 illustrates a three-way contingency model used in causal influence. 83 The three di- primary dimensions mensions in this model include the several per- sons observed, the various times in which observation took place, and some other objects (entities) that enter the situation. Suppose you learn particular record. your friend likes a Why? A number of reasons are possible. Perhaps that your friend generally recorded music and enjoys attribution is many to the person, Figure 9.2(a). If this record and is is likes records. This as illustrated in especially good enjoyed by most people, the attribution to the entity, as in Figure 9.2(b). A 83. is effects. In other is of these attributions words one of the three inferred to be the cause. Sometimes attribution is not so simple. In the parlance of analysis of variance, you may infer interaction effects. You might infer that the primary causal agents combine in certain ways to achieve effects. For example, you might have observed that your friend likes only one record, but that no one else likes that record. Thus you have attributed interaction between entity (record) and person (your friend), as illustrated in Figure 9.2(d). You are reasoning that peculiar aspects of the record interact with particular is third possi- something about the time is causing your friend’s enjoyment of the music. Perhaps this is final exam week, and you have bility are main that qualities in trated in Figure 9.2(e), is liking. interaction, A illus- what you might call attribution to circumstances. In this attribution you Ibid., p. 110. your friend to produce more complex three-way believe that your friend particular record at this time. enjoy it at enjoys it at this is enjoying Your this friend didn’t any other time, and no one Persons else or another time. In all of these cases the perceiver observes the covariation (association) of particular causes and effects in different situations over time. By putting these various observations together, the observer sees patterns emerge, and the causal Much of the we do not make multiple obdo not have the advantage of a inferences outlined above occur. time, however, servations. We complete data block such as that shown in Figure 9.1. Ergo, we use the discounting principle. The discounting effect applies when the per- must rely on a single observation. The various possible causes of an observed effect are ceiver weighed against one another, and an inferred The process itself is from the analysis of variance causal structure emerges. no From American “The Process of Causal by Harold Kelley. Copyright 1973 by the American Psychological Association. Reprinted by permission of the publisher and the author. Attribution,” different paradigm above. What Psychologist, the data block © is is Figure 9.1. Analysis of variance model of attribution. different is filled in. model most of the data (that assumed, not observed. is is, way causal patterns) One makes assump- tions about cause-effect relationships 188 the In the discounting on the INTERPERSONAL CONTEXTS I: THEORIES OF RELATIONSHIP, PRESENTATION, (e) From American Psychologist, “The AND PERCEPTION Attribution to circumstances Process of Causal Attribution,” by Flarold Kelley. Copyright Psychological Association. Reprinted by permission of the publisher and the author. Figure 9.2. Various attribution possibilities. 189 © 1973 by the American CONTEXTUAL THEORIES of past experience and learnings. As Kelit: “The mature individual has a basis ley puts . . perhaps you will use the schema of multiple sufficient causes, in . repertoire of abstract ideas about the operation by providing attributional analysis, fast framework within which bits reasonably good that either is able or the task was easy or both. Figure 9.3(b) illustrates this possibility. Other more complex schemata have been studied by Kelley, but these simple ones provide sufficient a and pieces of rele- vant informtion can be fitted in order to which you reason your friend and interaction of causal factors. These conceptions [enable one to make an] economical and of the process for our purposes here. Kelley summarizes the importance of the attribution process: “There is much evidence that attributions do matter. Man’s concern with illustration draw causal inferences.” 84 . By using experience and learning, the attributor brings various causal assumptions into the reasons for events does not leave play. The result is a causal schema in which assumed causes are placed in a contingent relation. A particularly good example of this occurs when you have both an assumed internal cause (in the person) and a (in the situation). For example, your friend has him . . ‘lost in thought’ about those reasons. Rather, his causal explanations play an important role in providing his impetus to action and in his decisions among competing external cause A on a term paper. You assume outcome occurred because of your assignment was of action. When the the person unand acthe absence of the causal alternative courses attributions doubtedly appropriate, are fares better in his decisions just received an tions than he that this analysis.” 85 would in friend’s ability or because the A easy. couple of causal schemata are possible Criticism here. If you follow the sary causes the A , you because he This schema 84. cess is schema of multiple necesyour friend got able and the task was easy. Laing’s theory will reason that is illustrated in Figure 9.3(a). proach. Or an intuitively appealing ap- one to the difference be- direct perception of behavior and inferences about the perceptions of others. weakness Harold Kelley, Causal Schemata and the Attribution Pro(Morristown, N.J.: General Learning Press, 1972), p. 2. 85. E= Present is sensitizes It tween the is that of scope. The theory is Its sugges- Kelley, “Processes,” p. 127. effect Present £ CAUSE B CAUSE B Absent Absent Absent Present Absent Present CAUSE A CAUSE A Multiple necessary Multiple sufficient causes causes (a) (b) From American Psychologist, “The Process of Causal Attribution,” by Harold Kelley. Copyright Psychological Association. Reprinted by permission of the publisher and the author. Figure 9.3. Causal schemata. 190 © 1973 by the American — INTERPERSONAL CONTEXTS of problems five tion, but it gives I: in interpersonal communica- will make to the theory presented in this chapter in various situ- ations. Its failure to operationalize concepts limits its tionship. The cation the essence of relationships. is tional theory heuristic utility. On AND PERCEPTION Clearly the key concept that provides unity basis for understanding little what choices people THEORIES OF RELATIONSHIP, PRESENTATION, the other hand, attribution theory pro- theories recognize that we know is rela- communiFrom rela- that people use commu- nication to define the nature of the relationship vides an excellent set of operational concepts for and describing and explaining a broad range of so- symmetrical, depending on the distribution of It has been immensely popular psychology because of its wide applicability in various social phenomena and power between the Communicating tremendous heuristic value 86 The major weakness of attribution theory for the field of communication is one of scope. One’s presentation of self to others perceptions. cial in social its yet is it this has dealt work little is in on the tion. tion is we know affected these are “phenomena tion theory is that direct almost exclu- much of our by emotional that I factors. by interpersonal needs is governed for inclusion, and Much communication indirect, verbal and nonverbal — is designed to present various aspects of the self that the on the model of the rational sively based person, yet is part situations as defined. of messages to attribu- In addition, the theory of in a relationship consists ations they encounter, and they adapt to those with interaction. The field theorize and conduct relation participants. control, and affection. People define the situ- largely interpersonal, ripe for scholars to research complementary or self-presentation and interpersonal perception. . Ironically, that relationships are communicator believes to be appropri- ate to the situation. Interpersonal perception percep- is a knowing other people by making Jones says process of inferences about qualities of others and the causes of their behavior. Communicators not only make direct don’t think attribu- well designed to handle .” 87 inferences about other people’s behavior, but they also infer what other people are perceiving What Do We Know about and thinking. Attribution, or the inference of the causes of behavior, is based on information about the person and the situation. Given a certain amount of experience with another individual, one will attribute certain causes to the other’s behavior by integrating information about the individual’s motives and about the Relational Communication? Interpersonal portant ways communication functions in imof the individual. Three in the life such functions are linking the individual to the environment, facilitating thinking, and regulating behavior. Social functions are also fulfilled situation in by interpersonal communication, most notably tion which the behavior occurs. number of Relationships consist of a the establishment, maintenance, and modificain of relationships. sonal perception. 86. Harvey, Ickes, and Kidd, New Directions, vol. 2, Some of these, which are taken up in the next chapter, include disclosure 376— and understanding, attraction and relational maintenance, and conflict. 77. 87. factors addition to self-presentation and interper- Ibid., p. 384. 191 CHAPTER Interpersonal Contexts Theories of Disclosure, Attraction, Interpersonal communication, the topic of chapters 9 and 10, is considered by most communication scholars to be highly central to the discipline study of communication. Consequently, group. erates much interest, and a substantial it gen- clinical among and several in psychology. orientation of body of The most humanistic psy- Humanistic theories stand They always with relationship jective discovery. 2 in opposition to the deterministic epistemology of behaviorism. Those most directly with relationships, although the theories presented in this chapter theories deal stress subjective response over ob- The key epistemological point of the humanistic school is that variable and generalizations about human behavior are trivial compared with the richness of analysis The division beis somewhat arbi- also contribute to this topic. tween these two chapters Conflict chologists remains the primary focus of this theory has been developed to explain it. The last chapter was devoted to theories that deal as a central concept. II: individual consequently, they should be read together to provide a fuller understanding of Johari interpersonal processes. We human experience. trary; we will look at a number of on three major topics: (1) understanding as a goal of communication and disclosure as a means of achieving that goal, (2) interpersonal attraction and other factors that lead to the development and maintenance of In this chapter theories centering and (3) social conflict and the speof communication in conflict situ- role ations. The begin with Joseph Luft’s model of human it provides a basic introduc- interaction because of disclosure and understandThis model, known as the Johari Window, widely used in textbooks on interpersonal communication. 4 The model, illustrated in Figtion to the ideas ing. 3 is ure 10.1, contains four quadrants that represent the person in relation to others. relationships, cial Window It awareness-understanding-disclosure Quadrant theories here, as those in the previ- ous chapter, deal most centrally with dyadic communication, but they also apply to group and organizational contexts. 1, is an model. the open quadrant, contains all the aspects (for example, feelings and behaviors) known to self and others. quadrant, is known Quadrant 2, the blind to others but not to self. The Hidden quadrant is known to self but not Abraham H. Maslow, The Farther Reaches of Human (New York: The Viking Press, 1971), p. 4. For an excellent analysis of the epistemology of humanistic psychology, see Harold G. Coward and Joseph R. Royce, “Toward an Epistemological Basis for Humanistic 1. Theories of Disclosure and Understanding Nature An important contribution to theory in interpersonal communication is that of humanistic psychology. Humanistic psychology arose in response to a perceived inadequacy in the two 2. Psychology,” in Humanistic Psychology: Concepts and CritiJoseph Royce and Leendert P. Mos (New York: Plenum, 1981), pp. 109-34. cisms, ed. giant branches of psychology, the psychoana- 3. and the behavioristic. As such humanistic psychology has come to be known as “the third lytic force.” 1 Today it retains its identity as 4. Of Human Johari refers to the first Interaction (Palo Alto: National names of the model’s creators, Joseph Luft and Harry Ingham. 193 i Joseph Luft, Press Books, 1969). one sub- CONTEXTUAL THEORIES to others. A presumed to exist, although unknown quadrant fourth, it also is cannot be ob- served directly. Lufos model about human based on eight assumptions is even though they are difficult to quantify. Sixth, the most important aspects of behavior are found in process and change rather than As structure. behavior. These assumptions are humanists of this assumption, the change and growth in their a result stress worth repeating here because they underlie most of the humanistic thinking, including all various teachings. Seventh, principles governing behavior should be discovered inductively human behavior What is im- by examining personal experience rather than by applying abstractions deductively. Again, theories in this section. First, should be approached holistically. portant in analyzing behavior is the we whole per- see a phenomenological orientation stress- son in context. Second, what is happening to a person or group is best understood subjectively ing personal experience over abstraction. Eighth, behavior should be understood in its terms of the individual’s perceptions and feelBecause of this premise, the humanists are sometimes considered to be phenomenologists. holistic nature Third, behavior first in complexity rather than in rigid simplicity. This final assumption brings us full circle back to the ings. is primarily emotional, not raThis assumption explains the emphasis on feelings in the humanistic approach. Fourth, the person and the group tend to operate with- and affects and is affected Window as expressed in the calls attention to by trust are highly important, disclosure occurs, moving feelings havior from quadrant 3 to quadrant Known to Not known self self 1 2 to Open is difficult to discover, become known the use to others and be1. Good communication also involves feedback, which causes feelings and behaviors to go from quadrant 2 to quadrant 1. The unknown area of quadrant 4 Known those known and those of awareness. More importantly from a communication point of view, it stresses the changes in awareness that occur over time. Ideally, quadrant 1 should increase in size with communication. If communication is good, that are out others. Fifth, qualitative factors such as acceptance, conflict, Johari aspects of the person that are out awareness of the sources of their behavior. Thus the humanists stress the need for increased awareness of how one of the person, assumption. The tional. of in retrospect through but it can reflection, certain drugs, projective technique, and dreaming. Blind Luft summarizes the importance of under- standing in the following excerpt. His words also justify the work of the entire humanistic school: 4 3 Efforts over time to increase man’s understanding of Not known Hidden the world and of Unknown to others life have apparently not sig- nificantly reduced his doubts about meaningfulness in the universe. derives Perhaps from human it is true that unless he interaction the special quality of understood, he will suffer the despair of meaninglessness no matter what he achieves and how well he understands everything else. Feeling understood appears then to be a necessary though perhaps not a sufficient condition for man to come to terms with the world and with himself. Hypothetically, feeling From Of Human Interaction, by Joseph Luft. Copyright Reprinted by permission of Mayfield Publishing Co., formerly National Press Books. © 1969 by the National Press. Figure 10.1. Johari Window. 194 INTERPERSONAL CONTEXTS II: THEORIES OF DISCLOSURE, ATTRACTION, AND CONFLICT every man can offer the gift of really feeling understood to someone, provided he can relate with him in a way that makes possible to co-experience it what is going on within. Being understanding, when one is able to do so, rewarding in its own right even though it is not the same as feeling understood. But when it is mutual, when you and I understand as well as feel understood at the moment to affect behavior. Consistent with the system approach, Rogers conscious describes the organism as a system in change As is simultaneously, then for that moment the world home and bread is baking in the oven. 5 is in one part affects the the child matures, phenomenal becomes field gestalt composed of perceptions of the characof the or ‘me’ and the perceptions of ‘I’ or ‘me’ to others and The Johari Window provides an to the full-blown theory of interpersonal relations by Carl Rogers. 6 Rogers is known as the father of client-centered therapy and of the encounter group. He is a giant in the field of psychology and one of the leaders of the “third force” of humanism. The self-theory of Carl Rogers is the most comprehensive theoretical statement relating the humanistic approach to interpersonal communication. his theory from Rogers begins a phe- the totality of one’s experience, and it resides in the person (organism). It is completely private and can only be inferred by others. Rogers believes with Laing (Chapter 9) that one can never reality as perceived and Human 5. Luft, 6. The theory centered best summarized gruence thus is a kind of internal consistency in moment. Incongruence the organism at a given when occurs the person does not fully behave or feel consistently with the totality of experience. Incongruence is much like Laing’s notion of the false and untenable position. Incongru- All of us have In other a tendency to actualize the words we seek experiences self. that will enhance the self, leading to autonomy and growth. This growth process is frustrated by 7. stemming from incongruence. our choices are not adequately symbolized (unclear), we cannot distinguish growthful from regressive behavior. Both the felt cause and cure of this consequence lie in inter- personal communication. communicating with others, we project positive and negative evaluations of the other’s self. Negative attributions and injunctions tend to create an incongruity between the person’s self and the phenomenal field. For example, if a In need not be Interaction, p. 145. is Rogers’s key concept is congruence, a correspondence or consistency between the conscious self and the phenomenal field. This con- When by the individual. At any moment one’s phenomenal field consists of those aspects that are conscious by virtue of symbolization and those that are unconscious. Rogers points out, however, that a particular experience of life, together with the values attached to these perceptions.” 7 Rogers depicts an actual self and an ideal self. the confusion experience another’s experience. Thus the person’s behavior results most directly from the in- — ‘I’ to various aspects ence leads to maladjustment; congruence reflects maturity and adjustment. nomenological position. The organism is the locus of all experience. The phenomenal field is ternal experience self. is central to Rogers’s theory. The “the organized, consistent conceptual teristics we move identified as the is self the relationships of the excellent in- portion of the This concept Rogers’s Theory of Congruence troduction to the theories that focus on disclosure and understanding. With this introduction which whole. a in Carl Rogers, Client- Therapy (Boston: Houghton Mifflin, 1951), chap. child 11; and "A Theory of Therapy, Personality, and InterperDeveloped in the Client-centered Framework,” in Psychology: A Study of Science, ed. S. Koch (New York: McGraw-Hill, 1959), vol. 3, 184-256. An excellent secondary source is Gardner Lindzey and Calvin S. Hall, Theories of Personality (New York: John Wiley & Sons, is told that overeating is wrong or is pun- may develop an untrue self-feeling. “Overeating is wrong” is incongruent with the experience of wanting to ished for overeating, the child sonal Relationships, as eat 1970), chap. 13. more. Rogers, 195 Two voices tug at the child. “A Theory,” p. 200. One CONTEXTUAL THEORIES says, “You eat.” Confusion love to eat.” results, The other which “Don’t and functioning frustrates the ac- the relationship says, tualizing tendency. What is therefore, tive is regard. moves needed in interpersonal relations, what Rogers calls unconditional posiSuch an interpersonal attitude re- the threat to congruency, thus ing the actualizing tendency. tings in which change of this promot- Two formal setsort can occur are client-centered therapy and the encounter group. Rogers would like to see all interpersonal relations at this process First, Rogers mutual parties; satisfaction in person enters a relationship “The classic article Characteristics of a Helping Relationship,” Rogers outlines ten qualities of a good helping relationship. 9 These are also the of interpersonal communication ideal qualities generally. able. postulates that the threat-free environment 2. promoted by positive regard allows the person to examine internal inconsistencies and restruc- They express their separate selves unam- biguously. 3. They ture the self-concept without fear possess positive attitudes of and caring for the other. to be accepting 4. Each partner keeps of judgment. At the same time the person increases the ability of others. Here lies the connection between self-regard and regard for others. People with the intent of facilitating growth on the part of the other, a helping relationship results. In his T The communicators are perceived by one another as trustworthy, or consistently depend- become more supportive. Now let us look more closely of growth via communication. When one both in 8 . his or her own warmth separate identity. who tend to be defensive (incongruent) lack self-regard as well as regard for others. As 5. Each partner permits the other to have a separate identity. one becomes more self-accepting (congruent), one more readily accepts the behaviors of others. A threat-free environment marked by acceptance allows the person to continually examine the self and to change throughout life. The helping relationship is marked by empathy. (Each communicator attempts to under- 6. stand the feelings of the other.) 7. The helper accepts the various facets of the other’s experience as Congruence is contagious through communication. If one person in a relationship behaves openly and congruently, with positive regard communicated by the other. 8. The partners respond with sufficient sen- sitivity to allay threat. and acceptance for the other, the other person will follow suit. Thus we have the main post- 9. ulate in Rogers’s theory: threat They are able to free themselves from the of evaluation by the other. Each person, recognizing that the other is changing, is flexible enough to permit change. 10. Assuming (a) a minimal willingness on the part of two people to be in contact; (b) an ability and minimal willingness on the part of each to receive com- Self-Disclosure munication from the other; and (c) assuming the contact to continue over a period of time; then the following relationship is hypothesized to hold true. Foundations: The greater the congruence of experience, awareness and communication on the part of one individual, the more the ensuing relationship will involve a tendency toward reciprocal communication with quality of increasing congruence; a tendency Sidney Jourard. The picture we have just discussed of the ideal relationship is one of disclosure and understanding in a threat-free environment. A theorist who has investigated this process of self-disclosure a toward 8. more mutually accurate understanding of the communications; improved psychological adjustments Carl Rogers, On Mifflin, 1961), p. 344. 9. 196 Ibid. is Becoming a Person (Boston: Houghton . , INTERPERSONAL CONTEXTS Sidney Jourard 10 Jourard . at is II: THEORIES OF DISCLOSURE, ATTRACTION, once social philosopher, clinical psychologist, and empiriHe has written at length about cal researcher. human the condition. As a clinician he has related the healthy state of the person to a willingness to explore the world openly, and as a researcher he has conducted numerous investigations of disclosing behavior. Jourard’s pre- human being scription for the is openness or transparency Transparency is a two-sided coin, involving in part the individual’s willingness to let the world of things and other people disclose themselves. Jourard sees the world in its many forms as constantly disclosing itself, receiver may or may means, on one as not be open to perceiving multiple world view. this but the person Being transparent allowing the world to disThe other side of the coin is side, close itself freely. the person’s willingness to disclose oneself to Thus the ideal interpersonal relationship acknowledgement (b) that the world has changed, shattering of the present experienced a ‘world structure,’ and Growth in this communicators self-disclose to one another their many changing faces. To accept one’s own changes requires verification via acceptance on the part of others. ‘low pressure’ where you who Rogers’s view; this philosophical position that they became healthy as a result of their willingness to dis- moving openness to the world. The sick person willing to experience the and is world is of not ways The growing come to new life in various Such change is the essense of personal growth. “The awareness that things are differis not growth, though it is a necessary condition of growth. A growth cycle calls for (a) an positions. to Himself (New my being happen me the inside, and to This notion, of course, is my be- strikingly like is it of Laing. Jourard, in fol- Transparency, thus, is a multifaceted mode of being it calls for a courage and a willingness to let the world be what it is, to let the other be who he is, and to let oneself be who one is. It calls as well for a commitment to truth, as it changeably presents itself. It calls for a readiness to suspend concepts and beliefs about self, others, and world, and to perceive what is. It calls for a willingness to suspend imagination, wish, and fantasy, a readiness to inform and revise concepts with fresh inputs of perception. That it calls for courage to disclose oneself to the world is selfevident 13 . Elaborations. Man let — to- ent Sidney Jourard, Disclosing can lowing passage: therefore fixed or stagnant. person, being transparent, will I me from studied with Laing for a time. Jourard summarizes transparency in the 10. as a direct result to fact, close themselves to the therapist. Thus Jourard equates sickness with closedness and health with transparency. person’s — also detect the influence He found a if others an extension of the basic humanistic idea. In Jourard’s work you may observing that his patients tended to be Jourard sees growth, grow receive the outside layer of fully. ward new ways of behaving, difficult to It is around you are not open to your disclosures of if you suspend any preconceptions you may have of me and my being, and invite me simply to be and to disclose this being to you, you create an ambience, an area of change. “But ing .” 12 Jourard conceived fashion relates closely to interpersonal communication, since the disclosing world is largely social. Ideally, growing simultaneously such that people allow others to experience fully and are open to experiencing others after restructuring, reto- ity .” 11 them closed to the world. (c) a of the world-structure which encompasses the new disclosure of changed realtalization, and be disclosed, to you and to others. is AND CONFLICT disclosure York: Van Nostrand, 1968); Self-Disclosure: An Experimental Analysis of the Transparent Self (New York: John Wiley Sons, 1971); The Transparent Self (New York: Van Nostrand Since Jourard’s ideas on self- were published, he and 11. Jourard, Disclosing & 12. Reinhold, 1971). , p. 154. Ibid., p. 162. 13. Jourard, Self-Disclosure 197 p. 182. several others CONTEXTUAL THEORIES have conducted research that elaborates the rudimentary notions. 14 Here are some of these highly intimate settings than in less intimate ones. (11) Satisfaction and disclosure have a research findings in general form: curvilinear relationship; that (1) Disclosure increases with increased relational intimacy. (2) Disclosure increases when rewarded. (3) Dis- faction closure increases with the need to reduce uncer- This tainty in a relationship. (4) Disclosure tends to be reciprocal (dyadic effect). (5) be higher disclosers than men. close men more with individuals they like, whereas more with people they trust. (7) is regulated by norms of appropri- disclose is related to positive dis- closure but not to negative disclosure. (9) Posi- is more likely in nonintimate or moderately intimate relationships. (10) Nega- tive disclosure tive disclosure occurs with greater frequency greatest at last finding, have relied on the excellent analysis , ed. Gerald Miller (Beverly Hills, Calif.; lications, 1976), pp. 197-216. Disclosure: A See also P. Sage Pub- W. Cozby, of dis- is to be sup- The humanists interesting in that tween call for a linear it satisfaction relationship be- and disclosure, such that the greater the disclosure the higher the satisfaction the relationship. This difference between from the distinction between normative theory and descriptive theory. The former states what should be, the latter what is. Shirley Gilbert suggests three in curvilinear and linear arises conditions necessary for Jourard’s ideal to occur in and summary of ShirleyJ. Gilbert, “Empirical and Theoretical Extensions of Self-Disclosure,” in Explorations in Interpersonal Communication levels which seems paints a different picture than Jourard’s ideal. in a relationship. I relational satis- is, moderate ported by several studies, Women tend to Women dis- (6) Disclosure ateness. 14. (8) Attraction is closure (see Figure 10.2). 15 “Self- Literature Review,” Psychological Bulletin 79 the participants must regard in the relationship. Gilbert describes in- timacy (1973): 73-91. First, have healthy self-concepts. Second, they must be willing to take relational risks. Third, they must be committed to unconditional positive in these terms: There are interpersonal price tags attached to intimate relationships. Intimacy, as a dimension of affection, may not be a unidimensional construct. It seems to be comprised of not only feelings (satisfaction) but also commitment (willingness to risk). In- timacy refers not only to the depth of exchange, both verbally and nonverbally, but also to the depth of acceptance or confirmation which characterizes a relationship. Thus, “intimate disclosure” and “intimate relationships” need to be clearly conceptualized and differentiated in future disclosure studies. While disclosure has been established as an index of communicative depth in human relationships, it does not guarantee an intimate relationship 16 . Criticism Adapted from ShirleyJ. Gilbert, “Empirical and Theoretical Extensions of Self-Disclosure,” pp. 197—216 As you can imagine, these theories have been controversial. Generally speaking, they have been challenged on two fronts: theoretical appropriateness and validity. First, their prescrip- in Gerald R. Miller, ed., Explorations in Interpersonal Communication, 1976 Sage Publications, Inc., with permission. tive © and holistic approach prevents productive investigation of actual communication process- Figure 10.2. Linear and curvilinear patterns in 15. Adapted from Gilbert, “Empirical,” self-disclosure. 16. Ibid., pp. 212-13. 198 p. 210. . INTERPERSONAL CONTEXTS II: THEORIES OF DISCLOSURE, ATTRACTION, AND CONFLICT These theories tell us in a general way how we ought to communicate with others, but they say little about the nature of ordinary commues. nication. This criticism also indirectly questions the heuristic value of these theories. (The work on is self-disclosure critic levels this One an exception here.) “Hu- objection in harsh terms: manistic psychologists make statements in- tended as contributions to psychological knowledge, as well as discussing the nature of psychological knowledge and how it should be sought. But this is not all that they do. They organize various forms of psychotherapy. They also publish a great deal of exhortatory and inspirational literature which is designed to help its readers live amounts more to attempted satisfactory lives. It thus psychotherapy of a mass audience .” 17 The first is them for preaching dysfunctional practices; namely, insensitivity to roles, stylized language, lack of rhetorical adaptation, insensitivity to information propriety, and inability to express ideas in multiple ways. Humanists predictably respond by accusing such critics of failing to understand the humanistic approach and oversimplifying summarize on incorrect assumptions about the needs of scholarship on behavior. Calling humanistic psychology a “protest movement,” Daniel Ber- 20 (This criticism led to the an Alternative View In criticizing humanistic approaches to under- standing, Roderick Hart and his colleagues have created an alternative conceptualization 21 For . these theorists effective communication does not arise from congruence and disclosure but rhetorical sensitivity categories of Relying on the Donald Darnell and Wayne Brockriede, Hart contrasts three general types of communicators 22 . Noble selves conform adapting or adjusting to others. Rhetorical of five elements of traditional psychology: the scientific method, empirical tors methodology, behaviorism, lack of holistic orientation, and inappropriate research questions 18 . He criticizes these protests as over- statements, if not as totally wrong. to Carl Rogers’s image. These people stick to their personal ideals without variation and without lyne believes that these theories are misguided in their protesting we in the following section.) Rhetorical Sensitivity as from two forms. The movement is based validity criticism has that the humanistic it . formulation of a competing theory, which will are individuals who, at reflec- the opposite ex- treme, are molding themselves to others’ wishes, with no personal scruples to follow. Rhetorically sensitive individuals, as a third type, moderate these extremes. Rhetorical sen- ous. Critics state that the prescriptions for im- embodies concern for self, concern for others, and a situational attitude. The theorists outline five attributes of rhetorical sensitivity. proved communication are wrong. One of the strongest statements of this point of view is that of Roderick Hart and Don Burks 19 Calling each individual The second validity challenge is sitivity more seri- . humanistic theories “the school of ‘expression, joy, and metaphor,’ ” Hart and Burks criticize 17. Daniel E. Berlyne, “Humanistic Psychology as a ProMovement,” in Humanistic Psychology: Concepts and Joseph Royce and Leendert P. Mos (New York: Plenum, 1981), p. 261. First, rhetorically sensitive people accept per- sonal complexity; that is, they understand that is a composite of many selves. Second, such individuals avoid rigidity in communicating with others. Third, the rhetori- cally sensitive person attempts to balance test Criticisms, ed. 20. Alan L. ern Speech 18. Ibid. 19. Roderick P. Hart and Don M. Burks, “Rhetorical Senand Social Interaction,” Speech Monographs 39 Sillars, “Expression and Control in Human on Humanistic Psychology,” West- Interaction: Perspectives 38 (1974): 269-77. 21. Roderick P. Hart, Robert E. Carlson, and William F. Communication and the AssessMonographs sitivity Eadie, “Attitudes toward (1972): 75-91. See also Abraham Wandersman, Paul PopDavid Ricks, eds., Humanism and Behaviorism: Dialogue and Growth (Elmsford, N.Y. Pergamon Press, ment of Rhetorical pen, and 47 (1980): 1-22. 22. 1976). municating 199 Sensitivity,” Communication Donald Darnell and Wayne Brockriede, Persons Com(Englewood Cliffs, N.J.: Prentice-Hall, 1976). . CONTEXTUAL THEORIES with the interests of others, self-interests sensitivity called interaction a ter 8, consciousness speech communication ity itself of the appropriateness of communicating or not cation as adaptive, communicating pected in particular ideas in different sit- uations. Fifth, such persons realize that an idea can be expressed in their message many ways, and The term rhetorical tradition. Fourth, rhetorically sensitive people are aware rooted in the is rhetorical sensitiv- implies a particular view of many communi- which would not be ex- other communication-related This view leads to one of the disciplines. strengths of this approach; namely, that they adapt to the audience in the particular situation. Many tion process. In order to better understand the rhetorically is it framed entirely from within the communicaas we have from other fields, on communication, theories seen, cast light sensitive person in contrast but in actuality they deal with secondary con- and rhetorical cerns. reflector, with the noble self Hart and his colleagues RHETSEN and 3000 students at 49 universities and to other groups as well. They recognize that most people have varying degrees of all three types within themselves but that a Speech communication created a questionnaire called disciplines that has administered focus. it to over given type predominates. They summarize their findings as follows: Our findings greatly amount ideological zeal As mentioned above, one of theory’s strengths set (1) people vary from members. 23 is placed final is its obvious and direct contrast with the theories of humanistic psychology. In addition Hart and Burks themselves apply their concept to interpersonal communication. However, their theory also applies to the domain of persuasion and, by extension, to all communication contexts, including mass communication. Hart and his colleagues work in the pline of speech communication. This fact it is sig- helps us to understand the orientation of this theory. 23. disci- As we saw in to achieve that is more it provides a effective advantage of the theory is its parsimony; Ibid., p. 19. 200 it of concepts from which much elabora- tive theorizing can follow in the future. The main weaknesses involve theory’s epistemology. The theory temological assumptions. exercise trait, little its has an interesting and not altogether consistent It set treats of episrhetorical implying that individuals choice over whether they are noble selves, rhetorical reflectors, or rhetori- Also the theory inmeasuring that is, objec- cally sensitive individuals. cludes a tively method for discovering — an — individual’s rhetorical tendencies. This theory’s aim of classifying individuals one of three groups is overly simple. In what ways can the individual change in rhetorical orientation, and how much of a role does proactive choice play? Another problem with into the trait approach to rhetorical sensitivity Chap- com- elegant in the sense of presenting a small cluster may here because of communication munication. The theory is also heuristic because of its involvement of the RHETSEN scale. A sensitivity as a sensitivity this deals specifically it a central of sensible principles that can be used by the communicator toward some of these in their attitudes The theory of rhetorical nificant because that is with message sending, concern. Another strength to at least this: from one another encoding interpersonal messages; (2) variances are partly a function of specific philosophical, economic, geographic, and cultural forces impinging upon people; (3) certain subcultural systems (families, ethnic groups, religious assemblages, etc.) reinforce and inhibit certain attitudes toward communication; (4) exceptionally “liberal” systems foster Noble Self predilections while especially “conservative” persons embrace Rhetorical Reflector attitudes; (5) rhetorical sensitivity seems to thrive in those middle-class environments which do not de- mand Criticism. is one of the few communication as its central is that does not allow us to understand whether, or under what conditions, a single individual may it INTERPERSONAL CONTEXTS act as noble self, II: THEORIES OF DISCLOSURE, ATTRACTION, rhetorical reflector, or rhetori- AND CONFLICT reacting to another person, cally sensitive person. tion of our look, our facial we shift the direc- expression changes, we converse, which in turnf involves how fast we speak, oarwocal expressiveness and and . . . Maintenance muf-speech volume. So, responsiveness to another is simply indexed by the amount of This section summarizes theories related to why people form relationships and why nela- change in facial and vocal expressions, the rate at which one speaks and the Volume of Interpersonal Attraction and Relational tioi/ship's . proaches are djxcuSsedl: Mehrabian V theory . The dimension -most related of immediacy, Newcombys^cognitive approach, Byrne’s learning theory, and Thibaut and Kelley’s social exchange theory. . £ech .” 25 are.nipntajned or dissolved. /Fpup ap- attraction to interpersonal isVhe itnmedWcy metaphopA Here is —Mehrabiain’s immediacy principle: A basic and transciiltural jifement of human liMTs that people approach and get more inydfved with things they like, things that^rfipeal to them Mehrabian’s Concept oflmmediacy Albert Mehrabian has proposed an insightful analysis of communication behavior, which and they avoid things that do not appeal to them, or that induce pain and fear .” 26 In inter- places attraction in a larger interactional con- personal communication, immediacy text 24 by many verbal and nonverbal behaviors. Liking is seen in a number of behaviors that increase the closeness and directness of the participants. Avoidance, on the other hand, can be seen in behaviors that decrease openness and directness between the communicators. There are several obvious immediacy behaviors. The most common relate to interper- According to Mehrabian, communicaby a threedimensional framework. The factors include liking (immediacy), dominance (power), and responsiveness. These factors are considered to . tion behaviors can be classified be universal across cultures. Actual verbal and nonverbal behaviors in any act of interpersonal communication can be understood in terms of these dimensions. Most relationships have a dominance or sonal distance. dimension, which explains certain behaviors by the participants. Such behaviors status constitute the factor Basically, this is the factor is 24. As Mehrabian points greater sensory which explains accompany liking and why vari- as angular axes of body position, accompany dislike. The media chosen for communication may also relate to immediacy. For example, a telephone conversation is less immediate than face-to-face talking, but communicating via letters is less immediate than conversing by telephone. reis Less obvious, perhaps, are the verbal aspects of immediacy. More immediate statements tend to reflect closer distance in time and space. For out, responsiveness primarily a matter of speed and loudness. “In 25. Ibid., p. 118. Albert Mehrabian, Silent Messages (Belmont, Calif.: Wadsworth, elicits higher incidence of eye contact and face- ous avoidance behaviors, such correlated with emotional arousal and stimulation. addition attraction to-face stances vary. The second communication definitely as opposed to leaning of attraction. Touching behavior part of the immediacy dimension. stimulation between people, why Lack of power or status may be observed in hunched shoulders, cramped gestures, or bodily tension. Like Mehrabian’s other two dimensions, this metaphor is standard across cultures, even though specific cultural behaviors may sponsiveness metaphor. a sign In being relaxed. right, using large gestures, or Leaning forward, back, is power metaphor. For example, correlated with standing up- power may be reflected We tend to stand closer to people we like. is is 26. Ibid., p. 113. 1971.) 201 CONTEXTUAL THEORIES example, “Here’s Kathy” is more immediate than “There’s Kathy.” Ambiguity is related to the consistency theories of change. lower immediacy in that ambiguous statements tend to be overinclusive. Thus “It was a pleasant evening” is less immediate than “I really enjoyed your company.” Another sign of im- interpersonal attraction. In this broader context mediacy is work Such speech has fewer qualifiers statements. For example, “I more immediate than “I want it to stay” is might be all in two Newcomb’s is theory of a Newcomb envisions a cognitive system in which various personal orientations interrelate. An orientation is a relationship between a person and some aspect of the environment. Orientation involves directedness, selectivity, and attention. If I am oriented toward something, I right if I stay a bit longer.” Mehrabian’s ideas are helpful elaborated form proach to attraction. and conditional suppose more can see the important contribution of his ideas. 28 His view is a well-known cognitive ap- said. is its we the apparent willingness of the speaker to take responsibility for what in tend to be directed to re- One it, attend to it in a selec- spects. First, they describe the behaviors tive traction; personal, concrete, or abstract objects. of atsecond, they place liking in the broader context of three-dimensional communication. plain the purpose two What Mehrabian phenomenon of we has not done is attraction. For this look to other theories. There are The cognitive approach tive or negative) uses a system paradigm to explain the interrelationships among the elements of the person’s cognitive system, one of which is orientations to- ward other people. The reinforcement approach relationships. respect to theoretical differences, it A per- and intensity (strong or weak). Newcomb cognitive content, or attributions made about Newcomb calls the offers the fol- lowing example of cognitive content: “One parent’s attraction toward a child may have strong cognitive components of pride and resemblance to himself, while for the other parent warmth of personal response may be a more important component.” 29 One’s orientations interrelate to form a cog- These approaches are not necessarily inconsistent with one another. Both contribute to our understanding of the process, as Byrne points out: “With number of Orientations also possess what object of orientation. explains attraction as a learned behavior based on stimulus-response can be oriented to a son has orientations toward other people, things, and concepts or ideas. An orientation has a number of qualities, including sign (posi- ex- general approaches to explaining interper- sonal attraction. way. nitive system. Specifically, three sorts of orienwe have orientations of These are interpersonal orientations. Newcomb uses the term attraction generally here to imply both positive and negative orientations toward objects or concepts. Finally, may tations interact. First, be noted that the established empirical relation- attraction. ships ... are interpretable in either cognitive or 27. reinforcement terms. In fact, the two theoretical approaches do not constitute alternative and mutually exclusive explanatory systems. Inwe have two broadly different interpretaschemas which utilize different languages there are one’s perceived orientations of others. and which apparently lead to somewhat ent types of empirical research.” 27 often in the theories of interpersonal Newcomb recognizes the concept of metaperception that we have encountered so Here stead, tional differ- commu- nication. two kinds of systems exist within Newcomb’s framework. The individual system is the person’s phenomenal system of orientaBasically, Newcomb’s Cognitive Approach You encountered the theory of Theodore Newcomb in Chapter 8. That chapter mentions his notion of straining toward symmetry as one of tion 28. Donn demic Byrne, The Attraction Paradigm (New toward another person and Press, 1971), p. 266. 29. 202 a relevant Theodore Newcomb, The Acquaintance York: Holt, Rinehart and Winston, 1961). York: Aca- Ibid., p. 6. Process ob- (New * INTERPERSONAL CONTEXTS II: THEORIES OF DISCLOSURE, ATTRACTION, AND CONFLICT between the of orientations Such a system is viewed through the eyes of the perceiver. The second type of system is collective and is viewed from outside the individuals involved. In both cases three elements are present: person A, person B, and object X. relationships In the individual system, illustrated in Figure to the self as well as to the other person. ject. 10.3(a), four orientations interact. These in- pairs as explained next. In the individual must be met. An system certain conditions individual system requires that the perceiver regard the object as relevant perceiver must individual system whether A toward A, A’s attitude toward X, B’s perceived attitude toward X. The collective system, illus- perception does not matter. It is trated in Figure 10.3(b), includes not only A’s exists. If both parties see the coorientation, orientations, but B’s orientations as well. broad bands The in Figure 10.3(b) indicate the inter- The attribute an attitude to B. In the clude A’s attraction toward B, B’s attraction has an accurate only necessary for the perceiver to believe that coorientation then model may be used. The collecmodel usually presumes communication, the collective tive either verbal or nonverbal, X. For example, suppose between the persons in regard to met woman a a man has He is in the library. recently attracted positively to her and admires her apparent interest in reading. In addition he believes she is Here we have an example of an individual system. This man has orientations toward the woman and toward positively attracted to him. reading. new X (a) Individual system of Person He also attributes orientations to his acquaintance. If the woman shares the per- ception of attraction and coorientation to reading, a A collective system You will recall exists. from Chapter 3 that one of is that they tend to be homeostatic (balanced). Changes that cause impressures for other changes that balance create the qualities of systems system to balance. In this way a system maintains itself. Such is the case with the cognitive systems described by Newcomb. will return the He explains this phenomenon: “In propositoward upon A to tional form, the stronger A’s attraction B the greater the strength of the force maintain minimal discrepancy between his (b) Collective system of Persons A and B and B’s ward From The Acquaintance Process by Theodore M. Newcomb. he perceives the same X; and, own latter, to- if positive attraction remains constant, the greater the perceived dis- © 1961 by Holt, Rinehart and Winston, Inc. Reprinted by permission of Holt, Rinehart and Winston, CBS College Publishing. Copyright attitude, as the crepancy in attitude the stronger the force to reduce it. We shall refer to this force as strain.” 30 *Arrows point from orienting person to person or object of orientation. Broken lines refer to orientations attributed by A to B; solid lines refer to own orientations of person from Thus strain toward symmetry is a function of the attraction of one person toward the other. Two other factors also relate. The importance of whom arrow stems. Broad bands refer to relationships between orientations connected by bands. Figure 10.3. Schematic representation of systems 30. 203 Ibid., p. 12. CONTEXTUAL THEORIES the object to the person the amount of our attention to the ways positively related to is strain, as the perceived is between the persons. To continue our example, if the man is highly attracted to the woman, if he values reading and sees it as important to his relationship with the woman, pressure is thus learned behavior. of meaning and the librarian — she was only — something tem. The man may come changing change increases in frequency; if punished, Byrne applies distort He may reduce the im- portance of his interest in reading. He may reduce is the woman this basic A than punishments. happens: ship. Finally conditional stimulus) woman. — and most important —he may become for the topic thus explained in terms is of the system dynamics involving the response). partici- pants’ various interrelated orientations. This analysis suggests that new information The opposite Here is what environment ( unbrings about pleasant or un( implicit affective This internal response or feeling is an intervening variable leading to an evaluation of the stimulus as New informacongruent with one of a person’s relevant and important orientations, will cause changes throughout the system. Newcomb to reinforcer in the pleasant feelings in the person less attracted to Attraction decreases. true in the case of dislike. the perceived relevance of reading to the relation- the it law of learning We when more rewards perception such that he continues to believe of this section we viewed tend to be attracted to a person our experiences with that person involve attraction. his likes to read. Chapter 8 when in a is learning discussed theories change the probability that certain behaviors will be evoked. If a behavior is rewarded, it in the sys- He may when we ways persuasion can be explained by learnYou may recall from those discussions that reinforcers in the environment to value reading less, toward X. his attitude attraction at ing theory. visiting her friend will looked briefly the him to attribute interest in reading woman. If he finds out that the woman does not read We theory in Chapter 6 created for to the which in develops. Byrne maintains that attraction rele- vance of the object to the relationship person is good or bad. Now, if another associated or paired with the original has great impact on the system. reinforcer, that person tion, if and evaluation responses. To illustrate this explanation, Byrne cites an experiment in which photographs of people were paired with statements that supported or opposed the sub- calls hand such pressures reality forces. are balance forces in the On system is it of dynamic tension under information either will be distorted, will cause change. Newcomb’s primary is that he of the system of contribution interrelated orientations. Attraction is, there- not an isolated attitude toward another person. demand It is to part of a complex of elements be viewed Newcomb shows how tational system is part as a jects’ attitudes. tions elicited The negative or positive evalua- by the statements “rubbed off” on the photographs, so that these pictures elicit came to similar evaluations. any given encounter with another person will take place in a context of numerous The various stimuli associated with the encounter will have positive and negative reinstimuli. forcing qualities. the individual’s orien- weighed of larger collective sys- his associate terms of its strength. the presence of a stimuli. G. L. Clore, in Let us return to our example of the in that ultimate attraction of one man and woman in the library. The man will be attracted to the woman if his association with her occurs Byrne’s Reinforcement Approach The reinforcement approach, notably The person to another will be determined more or less by a simple combination of stimuli, each that whole. Further, tems, in which interpersonal communication plays a major role. Donn Byrne and to elicit similar In reality places attraction in the context fore, Thus the in a state which new or the other system that create pressure to minimize discrepancies. comes affective of calls 31. 204 number of rewarding For example, the fact that they meet in which is a rewarding stimulus for the library, Byrne, Attraction Paradigm. INTERPERSONAL CONTEXTS II: THEORIES OF DISCLOSURE, ATTRACTION, AND CONFLICT him, will contribute to attraction. Perhaps they will go to a restaurant in which the atmosphere and food are rewarding. As these positive experiences mount, his attraction increases. the other hand, if their acquaintance is embarrassment. Such consequences follow is made more complex when interaction, which necessarily involves more than one person, takes On marked with various negative experiences, dislike place. may In dyadic interaction the behaviors of the Each person’s action on rewards and costs, and each participant must value the mutual activity above a particular occur. participants The of Mehrabian, Newcomb, and Byrne deal with interpersonal attraction, and they provide a basis for understanding the theories level in order for the relationsip to Ongoing relationships, however, obmore complex than simple attrac- One of the most prominent the actions involved in a be endogenous or exogenous. Exogenous consequences are those external to relationship explanations of relational maintenance is the economic approach, that emphasizes the costs and rewards of maintaining a relationship. The next section stemming from the person’s individual needs and values, would accrue from the action whether another person were involved or not. Endogenous factors, however, stem from the unique pairing of actions of both individuals in interaction. For theories. Thibaut and Kelley’s Theory of Exchange John Thibaut and Harold Kelley argue that example, in studying of the value of the consequences 32 The essence of relationship is interaction, which involves . dyadic behavior: One’s behaviors affect the other person. you could imagine If person apt to produce, is all of the behaviors you could behavior repertoire. a define the When this book, you might anreward of a high score on the test. If were an exogenous reward, it would result whether you studied by yourself or with another person. However, an added reward of studying with others might be a sense of gratification received if the other person gave you positive feedback (such as stating that he learned from you). Since such a reward depends on the established relationship, it is endogenous. Endogenous costs may result as well. One’s behavior may inhibit the performance of the ticipate the interpersonal relationships, like other kinds of behavior, are evaluated by the person in terms individuals’ may the relationship. Such consequences, up perhaps the best known of these takes be sustained. The consequences of viously are tion. are paired. yields a particular goodness of outcome, based stimuli that bring people together in relationships. all individual actions, but the situation people come together in a relationship, they choose various of these behaviors as part of their in- The extent to which a behavior is valued depends on the relative costs and rewards, or outcomes. Rewards include the plea- this other person. In the study group, for example, teraction. the failure of one member to read the material ahead of time could slow down the entire group. This analysis leads to the thesis of Thibaut and Kelley’s work: “Whatever the nature of the early exchanges between A and B, sure and gratifications associated with the behavior; costs include such inhibitory factors as physical or mental effort, anxiety, or perhaps they will voluntarily continue their association 32. J. W. Thibaut and H. H. Kelley, The Social Psychology of (New York: John Wiley & Sons, 1959). For an only Groups but extension and elaboration of their theory, see H. H. Kelley andj. W. Thibaut, Interpersonal Relations: A Theory of Interdependence (New York: John Wiley & this theory, see John J. La Gaipa, “Interpersonal Attraction and Social Exchange,” in Theory and Prac- Interpersonal Attraction, ed. Steve Academic experienced outcomes (or inferred unexperienced outcomes) are found But what determines adequacy? Here the two important concepts. The Sons, 1978). For commentary on tice in if the as yet to be adequate .” 33 theorists bring in comparison level (CL) Duck (New York: Press, 1971), pp. 129-64. 33. 205 is the criterion or standard Thibaut and Kelley, Social Psychology, pp. 20-21. CONTEXTUAL THEORIES of attractiveness used to judge the group. However, even if the person does not like a group (the costs are judged too high relative to rewards), association with the group still may be more desirable than any of the alternatives. Therefore the second concept to be considered is the other person Norms and the the comparison level of alternatives (CLalt), is the lowest level of outcomes tolerated CL Thus is without the costs of “unrestrained ad hoc use of power .” 35 By following norms, a person does not have to readjust and rethink each behavior anew, and the result is that overinterpersonal the above which the person is satisfied with is the level of outcome above which the individual will remain in the relationship. CL is a measure of attraction; CLalt is a measure of dependency. Outcomes vary over time, of course, and one’s judgment of a relationship also varies depending on the salient outcomes. As the CL goes up and down, the individual changes standards of judgment: “In other words, the person adapts to the presently experienced level the relationship. CLalt levels: after a shift upward new to a all downward the person has multiple roles and much energy The person and in dealing with the tasks at hand. one centers on an optimal manner of handling a task so that rewards can be maximized and costs minimized. However, when new the individual repeatedly suffers an factory she endogenous rewards and from the contingent relations between the behaviors of participants. A number of endogenous factors affect the outcome of the interaction. Some of those discussed by Thibaut and Kelley include power and dependence, norms and roles, tasks, and frustration and depindicated above, indicate that said to exist. In example, in such a added to the relation- Sometimes people are forced to remain in an undesirable relationship, in which the outcome of the interaction is below CL (comparison level) Such a situation may lead to frustration and deprivation. Under these circumstances the person may lower the CL so as to better cope with the outcome. If the individual perceives a good chance of succeeding, he or she may attack the group powers that have prevented rewards or increased costs. Coalitions may develop; perhaps ultimately the nature of the group will change. . results from interpersonal dependency. One person has power over another to the extent that he or she can manipulate the outcome of the other’s behavior. If the outcome of one’s behavior is contingent on the other’s behavior, a dependency is troller has fate control he or ship. briefly. power unsatis- a task, than one person works on such task, additional costs are costs result The authors outcome from working on particularly susceptible to social influence. is When more of these norms also encounters various costs Ideally accepted .” 34 rivation. Let us look at each must expend reconciling the various rewards level, the disappointment gradually wears off and the once dreaded outcomes be- As role is involved. lower come A person’s behavior, thus reducing costs, unless level, the shift to a costs are reduced in the interaction. of norms applying to a particular person or task. Like norms, roles help organize a a cluster once longed for outcomes gradually lose their attractiveness; after a dependent on your actions. a relationship. behavior adopted by the which considering other alternatives. is roles also affect the perceived A norm is a rule of members (or most of members) of a group. Norms are functional because they help to regulate group behavior outcome of a relationship the conover the controlled. For As groups grow in size, the complexity of relationships increases. Basically the your study arrangements with an- ciples by which a same prinis judged dyadic relationship other person you may discover that because you have more grasp of the material you have power over the other person. The outcome for (CL and CLalt) are used to judge group relationships. However, in groups of three or more 34. 35. the possibility always exists that subgroups will Ibid., p. 98. 206 Ibid., p. 147. INTERPERSONAL CONTEXTS II: THEORIES OF DISCLOSURE, ATTRACTION, AND CONFLICT develop. In making comparisons, the members approaches that have been employed. The theories also illustrate the key weakness of most theories of interpersonal attraction, that of limited scope. Each theory we have discussed focuses on only one element of attraction, putting aside all others. Mehrabian’s theory deals with signs of attraction without explaining the nature of liking or immediacy in relationships. of a group will consider the relative outcomes of subgroup possibilities. Whenever they perceive that mutual dependence will be more satisfying in the smaller subgroup, the cohesiveness of the larger group will suffer. Also, as groups become larger, they bring increased possibilities for enhancing rewards. By cooperation and interaction, joint cost cutting may occur. Members can produce rewards for each other, and they can enhance social facilitation of enjoyment. A number of contingent situations ferent power may each leading to exist, Newcomb all will lead to joint rewards. for this kind of group situation is synchroniza- of efforts. Synchronization of members’ behaviors can be difficult, and the larger the group the more difficult it becomes. Second, in a situation of partial correspondence of outcomes, the members may receive similar outcomes if they are willing to mesh their efforts. Otherwise, different outcomes may arise. Cooperation is necessary to maximize the outcome for The third situation involves low correspon- At the extreme only one pera favorable outcome; in the less extreme case some people may achieve an outcome at the expense of others. Queuing is typi- dence of outcomes. son can achieve cal in such groups, in which persons take turns receiving the favorable outcome. These three situations are illustrated by problem-solving group, and a rowing team, a debate team, re- a spectively. The theory of Thibaut and Kelley recognizes that interactional patterns likely that each of these factors enters into at- traction and relational maintenance? This The problem tion all. idea of cognitive bal- from the framework of economics. Doesn’t it seem of perfect correspondence of outcomes, the joint efforts of on the relational maintenance entirely a dif- relationship. First, in a situation relies Byrne stresses learning and reinforcement, and Thibaut and Kelley see attraction and ance. body of theory, perhaps more than any other in this book, illustrates the basic admonition about theory presented in Chapter 2, that theories are constructions and abstractions; each focuses on some aspect of the communication process to the neglect of other aspects. Mehrabian’s theory is valuable from the standpoint of relating attraction, and other variables, to communication behavior. Unlike any other, his theory shows us how people behave differently depending on the degree of immediacy, power, and responsiveness present in the communication situation. By providing a clear operationalization of communication behaviors, Mehrabian’s theory is heuristic, producing beneficial research ideas. Unfortunately, Mehrabian’s theory is narrow in scope and fails to provide any explanation of communication patterns. One might infer that the use of nonimmediate behavior would reduce depend on the per- is a attraction, or vice versa, but this chicken-egg issue that remains unresolved. for people to the degree that they result in out- we can question the validity of Mehrabian’s claim that the three factors of in- comes more favorable than group members would expect from other alternative relation- conclusion ceived rewards and costs. Groups are functional In addition teraction are universal and cross-cultural. This flies in the face of much research in anthropology that indicates that few behaviors ships. are universal. If they are universals, how Criticism ders The sponsiveness as a universal state theories in this section are representative of one won- significant they are. For example, re- may reflect the several theories of interpersonal attraction. only certain psychological and anatomical uni- They versals that reveal are chosen to give an idea of the different 207 little about internal mean- CONTEXTUAL THEORIES ings. That people, all would express regardless of culture, same ways liking in the tremely suspect, as Hall has shown is ex- Chapter 5). As a final challenge to the validity of Mehrabian’s claims, we cannot be sure about the claimed correlations between immediacy behaviors and actual attraction. Although Mehrabian’s theory is parsimonious, it (see may be overly simple. Surely additional variables enter into attraction. One variable, for example, might be the developmental stage of a relationship. Inti- macy and may lead to immediacy somewhat unconnected with familiarity behaviors that are At the same time people involved in the early stages of a relationship may not communicate with the directness characterized by immediacy, despite extreme attraction for one another. In short Mehrabian’s ideas are too actual liking. simple to adequately explain the complexities of social life. Consistency theories such as Newcomb’s present an intriguing hypothesis, one we examined in some detail in Chapter 8. The assump- of balance or consistency is appealing beit provides a parsimonious explanation people change or remain stable. To inject the notion of coorientation and attraction into this paradigm makes intuitive sense. Another strength of Newcomb’s theory is that it involves communication in the process of attraction in a central way. People become aware of their coorientations and make inferences about the other’s attitudes through the exchange of messages. According to Newcomb, messages therefore have a direct effect on the tion cause for why cognitive system. approach, however, has all of the weaknesses of the consistency theories out- Chapter 8. It takes away any power of choice on the part of the individual, employing deterministic explanation. It is also overly simple in its claim that the imbalance tions will tion and ter 8, that suggest a more individual creating one’s actional role own of the social reinforcers. Thibaut and Kelley present an appealing theory of interpersonal attraction and relational maintenance. This theory is highly explanatory because it presents a rationale for understanding many elements of relational behavior. Using a few basic concepts, Thibaut and Kelley explain just about any aspect of social behavior. The criticism is that this theory relies on the assumpof the rational person. Such factors as reinforcement and balance do not seem to enter the tion system. The theory suggests that people weigh and rewards in a deliberate and rational whether to sustain or dissolve a relationship. This theory relies on game theory costs way to decide as a base. (We detail in the that people will discuss game theory in more next section.) In brief it suggests make moves in a relationship, based on expected rewards and costs, just as they would in a game or war. Another criticism of this theory artificial. is that it is based on research that is This research, typically done in a lab- oratory, examines the choices people make in response to different reward and cost con- Newcomb’s lined in Although reinforcers in the environment must have some effect on our feelings toward other people, suggesting a primary effect between learning and attraction is surely a simplification of reality. Of all the theories in this section, this one has least to do with communication, ignoring one of the most central elements of social life. There is serious doubt as to whether social behavior is conditioned in the same ways as is physical behavior. Remember the ideas of Albert Bandura, presented in Chapindividual. have great force in among cogni- changing attrac- attitude. tingencies, using points or tokens as 208 out- We are not at all sure whether social rewards work in this way. 36 Finally, the theory, though highly relevant to communication, says comes. little about it. Thibaut and Kelley’s ideas could and in- easily be related to interaction, messages, formation, and the time to Byrne’s theory also relies completely on determinism. Little active choice is afforded the game 36. do is right for so. La Gaipa, “Interpersonal Attraction.” someone INTERPERSONAL CONTEXTS II: THEORIES OF DISCLOSURE, ATTRACTION, the probable costs of continuing the conflict outthe probable costs of ending the conflict. weigh Social Conflict The Like most topics in the chap- conflict. conflict ter, tion, but rooted in interpersonal interac- is also seen in other contexts. it is Most of the material presented here relates directly to the interpersonal context. Keep in mind, though, that it can also be applied to the higher of group and mass communication levels as well. Over One of of this chapter covers theories final section of social tion many approaches to the study as in most theo- the advantages of Watkins’s defini- that is includes the possibility for it conflict Speech Communication Association commisa conference on communication and conflict. The theoretical approaches included in sioned section are guided we sion. First, view. Then we move and ational definition 38 : finally to a Conflict requires at least two parties capable Conflicts arise due to the existence of a mutually Each party a game in a conflict has four possible types of action alternatives: to obtain the mutually desired objective, end the be conceptualized. Game theory was developed many Von Neumann and Morgenstern study economic behavior 40 Since to c. to invoke sanctions against the opponent, to game theory years ago conflict, communicate something by as a tool to inception its has provided a base for popular research tools in several disciplines. b. d. model These three approaches provide a fair representation of the ways communication in . a. theoretic to a transactional Game Theory desired but mutually unobtainable objective. 3. about of invoking sanctions on each other. 2. talk theory based on persuasion in conflict. conflict can 1. that com- . munication and conflict are chosen for discus- Charles Watkins offers an analysis of the essenconditions of conflict, which form an oper- by the work of conference 39 Three major approaches to retical areas, this work is not altogether consistent 37 As a result defining conflict is difficult. . com- many approaches to have neglected the communication aspect. In part to deal with this anomaly, the munication. Ironically, this the years of conflict have emerged, and tial AND CONFLICT For re- searchers studying the processes of decision making or choice making and goal competition to the opponent. game theory provides a possiAs a result it has been used exten- or cooperation, 4. Parties in conflict may have different value or perceptual systems. Each party has resources which may be increased or diminished by implementation of action alter5. natives. 6. Conflict terminates only satisfied that it has “won” when each party is or “lost” or believes that ble paradigm. sively to study conflict. Game theory includes several kinds of games. Two-person games, which are particularly useful in conflict research, consist of where two players take making choices that lead to payoffs. In all games the rational decision-making process is structured situations turns A number of reviews are available. An excellent analysis of the diverse assumptions of conflict theories can be found in Leonard Hawes and David Smith, “A Critique of Assumptions Underlying the Study of Communication 37. in Conflict,” Quarterly Journal of Speech stressed. 59 (1973): 423-35. A key question 39. Gerald Miller Thomas Steinfatt, “Communication and Conflict: of New Material,” Human Communication Re1 (1974): 81—89; and David Johnson, “Communicaand the Inducement of Cooperative Behavior in Conflicts: A Critical Review,” Speech Monographs 41 (1974): is how and Herbert Simons, See also Communication A Review Prentice-Hall, 1974). search 40. J. in Conflict players behave eds., Perspectives on (Englewood Games and Economic Behavior (Princeton, Unviersity Press, 1944). 64-78. Charles Watkins, “An Analytic Speech Monographs 41 (1974): 1-5. 38. also available. Model of Theory: Conflict,” Books, 209 Cliffs, Von Neumann and O. Morgenstern, The tion A See, Numerous for example, Morton Davis, Game Non-technical Introduction 1970). N.J.: Theory of N.J.: Princeton secondary sources are (New York: Basic CONTEXTUAL THEORIES in order to gain rewards or goals. Types of games vary in several ways, including the amount of information provided to players, the amount of communication permitted between prison for five years. If neither confesses, both go to prison for one year on a lesser charge. Figure 10.4 illustrates the choices. With no will how game theory is useful in studying conflicts: “Game theory is concerned with how to win a game, with strategies of move sequences that communication between players, they will not know the choice of the other. Each is in a dilemma on whether to trust and cooperate by remaining silent or to compete by confessing. If both are willing to cooperate by not confessing, the long-term payoff is maximized for both. But if one does not behave cooperatively, the maximize the other cannot cooperate. players, and the extent of cooperation versus competitive incentive built into the payoff matrix. Thomas minimize Steinfatt and Gerald Miller show player’s chance to chance for his loss. gain and Because ingredient in conflict situations is a most players major gain something one does not possess and to hold onto that which one does possess, certain games are analogous to particular conflict situations and game theory serves as a model to predict the behavior of persons in such conflict attempting to gain those ends.” 41 Since game theory stresses rational decision situations making, games a it moves the most commonly used games Dilemma. 42 This simple game game Steinfatt and Miller reviewed the literature in which games were used to investigate the process of communication in conflict. Their generalizations are a step toward a game theoretic analysis. Using games as an analogue, Steinfatt and Miller list three ways in which come to assess each other’s The first way is to observe the oppomoves over several trials. In games such as the Prisoner’s Dilemma, subjects play through a number of trials of the game. Typia player will observe the opponent’s will thereby judge one’s own subsequent moves. The second way of assessing strategy is to observe the total conflict situation. In so doing a player makes inferences from the cally moves and is is extremely useful because it illustrates a number of salient features of games in general. Also, it is interesting as a mixed-motive several trials nent’s punishments based on the moves of others. The object is to maximize gains and minimize losses. One of Over ultimately toward the strategies. (choices) that lead to rewards or the Prisoner’s move parties in conflict involves games of strategy. In such player makes will noncooperative strategy. the desire to since players may choose between cooperating or competand genuine reasons are present for choosing either. Here is the situation: Two people are ing, SUSPECT A Confess Silent arrested for a crime. After being separated, each must choose whether fesses one conand the other does not, the confessor will free, and this person’s testito confess. If be allowed to go mony will send the other to prison for years. If twenty both confess, both will be sent to 41. Thomas Steinfatt and Gerald Miller, “Communication Game Theoretic Models of Conflict,” in Perspectives on Communication in Conflicts ed. Gerald Miller and Herbert in Simons (Englewood Cliffs, N.J.: Prentice-Hall, 1974), pp. 14-75. 42. This game is Game Theory, pp. is an excellent source of real-world types of games. explained in Davis, 93-107. This book analogues for many Figure 10.4. Prisoner’s dilemma. 210 INTERPERSONAL CONTEXTS II: THEORIES OF DISCLOSURE, ATTRACTION, AND CONFLICT game the message is would study the matrix and try to what the opponent’s strategy is likely communicate. The situation to the opponent’s strategy. In a the player figure out that third aspect of the The third approach is The authors point out: makes it conflict at the stating how direct communication. communica- “Ideally, possible to conduct the entire symbolic level, tion with each player moves of the other. . . is the behavior of the person in the Thus people in conflict are in a situation that has the potential of providing mutually exclu- . By communicating their own tendencies Besides avoiding the hostility, disruption, and sive payoffs. subsequent losses resulting from actual moves, negotiations allow the parties to move away chauvinistically. In fact studies from this a may winner-take-all position toward a solu- tion that provides one .” 43 some rewards Steinfatt and Miller developed word ‘communication’ what tends to Pregame to happen. behave discus- occurs more open the fuller the communication, the a three-point the-ehannels, and the greater the resultant coop- conflict, eration. in as Now “We em- reflected in the following definition: ploy the is the parties have shown that sions increase cooperation. Dilemma game could communicate and agree to cooperate, both would receive lesser sentences. model of communication reduce The greatest effect when communication exists from the beginning of the conflict. Studies also show that for every- If the players in the Prisoner’s is situation. he would respond to the stated, rather than the actual, model result in nonsitua- We have already seen that symbolic exchanges do not affect the payoff matrix per se. What is affected by communicational consequences. to be. tion said to constitute an attempt to communication may that we have examined the basic game communication and theoretic concepts of to indicate the we use of mutually understood symbolic behavior conflict, such that the probability of engaging in a particular behavior (making a given move) is al- explain the process of communication in real tered via the exchange of symbolic move turn to conflict situations. two theories that attempt to The first is David Morten- sen’s transactional paradigm 45 se- . quences which carry no necessary consequences for the situation (the The formal game matrix ).” 44 point in this definition first communication is is Transactional Approach that the Unlike the reductionistic, behavioristic approach of game theory, the transactional paradigm explains situations and processes as 45. they emerge in the holistic experience of the symbolic in the sense that the stated intention does not carry the actual conse- quence of the real move. Although real moves might “communicate” in the broader sense, it is person. necessary to limit the definition here to distin- guish between a real player receives and understands a message from the that other, this will 43. Steinfatt els,” pp. 44. change moves in probability in Do we areas dis- conceive of the person as primarily responding to the as world presented or defining and acting on the is now apparent in the conflict literature as well. will take Game does not occur, and Miller, “Communication this philosophical communication world? This division change the likelihood “rational” competitive place. If a have encountered cussed earlier in this book. quences and symbolic moves. Second, communication changes the probability of moves. If a We division in several move with payoff conse- theory presents conflict-inducing situ- ations to subjects in order to observe their re- Game Mod- sponses. In ongoing life, according to Morten- 32-33. Ibid., p. 37. This definition is based on the C. David Mortensen, “A Transactional Paradigm of Verbalized Social Conflict,” in Perspectives on Communication in Conflict, ed. Miller and Simons (Englewood Cliffs, N.J. work of T. C. Schelling, The Strategy of Conflict (Cambridge: Harvard University Press, 1960). Schelling was one of the first to deal with communication in the game theoretic perspective. Prentice-Hall, 1974), pp. 90-124. 211 CONTEXTUAL THEORIES sen, conflicts are not presented to people but increases in the person to perceive and verbalize emerge out of situations conflict. as defined by participants: For example, suppose that two people be- Conflicts are not objective situations; conflicts when the participants believe they A number of assumptions lie behind exist come exist. this proach. First, the participants in a conflict ac- communication define the tively chair, conflict. as interested in an antique chair at a sale. As each becomes aware of the other’s interest in the ap- move toward both tation. The increased social orien- potential buyers shift from a per- Second, the conflict emerges naturally from the sonal orientation to an awareness of each other communication between the and the other’s desire for the chair. At this point the parties may become aware of the conflict participants. Third, the communicators are relatively free to define their own rules. What, then, are the dimensions that give rise of conflict? Mortensen names five. The first is individual disposition. People who They become the fact that conflict may nication is the it more conflict salient commu- likely to occur. Mortensen believes typically antici- sensitive to arise in the situation. becomes, and this possibility vary in the degree to which they expect conflict. At one extreme are people potential of the sale. The more they think about to the definition that conflict comunica- pate conflict regardless of the social situation. tion behaviors can be described in terms of This form of disposition three dimensions: intensity, affect, and orien- generalized. who is situation-free At the other extreme or are individuals tational behaviors. Intensity These individuals do not begin to define conflict until particular situational circumstances call for it. The second dimension is orientation. Here Mortensen relies primarily on the work of Newcomb, summarized in the previous section of this chapter. In short, as one’s orientations become signs The last third factor is stressing patibilities their perceptions comparative, evaluative, accusatory, three dimensions of conflict are in- how these eight behavioral statements relate to the three dimensions described above. fre- 1 . Pressures to verbalize inner conflict increase with shifts (a) from generalized to highly differentiated from intrapersonal to social (c) from low-salient to other person, the greater the anticipation of conflict-laden cues, (b) conflict. objects of orientation, and this theory, these dimensions high-salient conflict-laden cues. give rise to conflict communication. Of particu- 2. According to concern in the The higher the level of verbal conflict, the greater the frequency of verbalization, the shorter the dura- experience of the person are tion, the greater the perceived shifts from generalized to situation- bound conflict amplitude and rate, and the less the level of fluency. from intrapersonal to social orienand from low to high occurrence of cues. As such changes occur, pressure states, tations, disjunc- and polarized .” 46 Mortensen summarizes the major propositions of this approach as follows. You can see tive, quent and compressed in time a person experiences or thinks about coorientation with an- lar is af- orientation. Partic- comparisons and incombetween their direct orientations and of the other’s orientations. As Mortensen expresses it, “Most of the claims are tations, tertwined. These include time, frequency, and more The second dimension people in conflict become more The ipants in conflict tend to verbalize their orien- likely to arise. salience or intensity. Basically, the intensity. emotional. one’s orientations toward objects and other more of fect. In short, person will experience conflict becomes greater. As a person becomes more and more aware of is the strength or behaviors increase in increasingly social, the chance that the people, conflict is potency of the behavior. As conflict escalates, rate, loudness, and other possess a completely situation-bound dispo- sition. 212 3. 46. The higher Ibid., p. 119. the level of verbal conflict, the more . INTERPERSONAL CONTEXTS II: THEORIES OF DISCLOSURE, ATTRACTION, variable and less synchronized the distribution of verbal acts becomes. 4. The higher the level of verbal conflict, the greater by the variability of speech acts, the asymmetricality of reaction times, and the dysfunctionality of overt changes between decoding and encoding). the degree of verbal disequilibrium (as measured 5. Changes shifts in in verbal intensity lead to corresponding . 4. The higher the level of verbal conflict, the greater primary affects, looking behavior, and dissynchronization between shows of affect and intensity. 8. The higher the level of verbal conflict, the more become the (a) shows of social comparison, frequent (b) (c) mentions of and noncommitment (with corresponding polarized social disjunctions, and rejection decreases in expressions of agreement). 47 . we The as from is neither a rhetoric serves serves rhetoric. 49 last it a particular action. known as threats Simons calls these commonly the carrot and the stick; they are and promises. Persuasion tradi- been defined as a different strategy which genuine, voluntary choice is extended tionally has in is most on information and to the other party. Persuasive influence often conceived as relying argumentation. While this three-fold distinction may be ap- propriate for various other communication uations, conflict. sit- Simons believes it is inappropriate for As he says: “I shall argue here that in conflict situations, persuasion, not so much broadly defined, an alternative to the power of it is an instru- ment of that power, an accompaniment to that power, or a consequence of that power .” 50 and artifacts constitute potential or Thus, even physical acts such as riots, bombings, and political payoffs may have symbolic meaning, apart from whatever direct imacts Conflict occurs when incompatible that have. Ibid., p. 121. Simons, “The Carrot and Stick as Handmaidens of Persuasion in Conflict Situations,” in Perspectives in Conflict, ed. Miller and Simons (En172—205. 213 a the parties’ interests are so struggle results. “power serves power .” 51 How is In such situations rhetoric and rhetoric serves this so? 48. Herbert on Communication Cliffs, N.J.: Prentice-Hall, 1974), pp. Repeatedly confrontational their contexts. assumption is particularly important reflects Simons’s major thesis. In of influence strategies are used together and cannot be separated from one another. Traditionally, however, three types of influence are distinguished. Inducements are promised rewards used to bait one’s counterpart into doing what is desired. Constraint or coercion is used to force an oppo- actual messages. glewood such constraints and inducements as may dimen- conflict situations the various types is 47. acts sense apart Influence in mixed-motive conflicts in that sumptions: pact they little power and power . human their social contexts. have seen that made nent into All potential or ac- a rhetorical these social conflicts, once again, Persuasion and Conflict Herbert Simons has presented an analysis that adds even greater depth to our understanding of conflict 48 Simons believes that communication in conflict situations is marked by attempts to influence. While Mortensen explains the conditions and behaviors of conflict, Simons explores the strategies of influence typically used. Simons’s analysis includes interpersonal conflict, and it extends to the levels of intergroup and institutional conflict as well. Behind Simons’s theory lie four basic as- 1 is matter of the raw imposition of power nor of a friendly meeting of minds; instead, it is an inextricably intertwined combination of persuasive arguments backed up by constraints and inducements. In The higher will be the variability in . protests affect display will shift 7. Thus, there behaviors. human on meaning from by characteristic levels of language intensity and the structure of the claims expressed by the conflict agents. the level of verbal conflict, the more from shows of pleasantness, and low activation to those of unpleasantness, attention, and higher activation. all Persuasive messages in social conflicts always take 3. perceptual and substantive indicants of social rejection, communicated messages have tual suasive effects. sion to conflict as manifested 6. All 2. AND CONFLICT 49. Ibid., p. 200. 50. Ibid., p. 177. 51. Ibid., p. 178. Simons for- CONTEXTUAL THEORIES wards two basic arguments. First, apparent acts of coercion or inducement must be supported by persuasion. At least, the receiver must be Another advantage of these theories is that each makes communication a central concept. This treatment is not universally the case in persuaded that the sender can and will institute sanctions. Second, apparent acts of persuasion are supported by an underlying power to con- theories of conflict. As a product of the speech communication field, these theories stress the importance of communication as a precursor strain or induce. Influence in conflict situations to, aspect of, a two-sided coin. Persuasion supports power, and power supports persuasion. In practice the is coin cannot be split. Simons discusses a number of ways in which power and persuasion interact. An agent using coercion or inducement must establish one’s own credibility; one must persuade the recipient that he or she has enough power to carry out the stated promise or threat and is willing to do so. On the other hand, coercion and in- ducement may be necessary or consequence of conflict. The theoretic approach, as modified by Steinand Miller, points out the role that communication can take in modifying the moves people make in conflict games. The trans- game fatt approach of Mortensen indicates that through communication Simons’s influence ap- actional conflict itself is defined among participants. proach states that conflict inherently involves attempts to influence through communication. We have discussed the game theory approach terms of relational maintenance. The advan- to gain the authority or ethos necessary to persuade effec- in tively. Also, the conflict nents, or create attitude change through disso- of conflict, the relation of conflict to decision making, and the effects of communication on conflict-producing or conflict-ameliorating ends or consequences of power and of persuasion are often mutually supportive. Each may create obligations, pacify oppo- nance reduction. A final area of overlap occurs when potential persuaders use coercive and re- ward influence to “buy” valuable communica- tion resources. For example, effective persuasion often requires money, access to decision centers, control of media, and other factors. tage of this approach to is that communication and helps us conceptualize the na- it ture The approach’s disadvantage is that it does not explain the process and behaviors of choices. communication in conflict. As Steinfatt and Miller state in their conclusion: “In the daily economic, and social conflicts we all mutually advantageous solutions are sel- political, face, dom Criticism Each approach summarized in this section adds a different slant to our understanding of communication in conflict. The game theoretic approach is structural, outlining the parameters of conflict and the nature of decision-making con- tingencies among conflict transactional approach is participants. tactical, stressing The How pends model is strategic in that it stresscomplex interrelationships among the strategies of influence occurring in conflict. As es is what outare seeking is not this simplified. people behave in real social conflict dein part on their self-concept, motives, influence and Miller, “Communication,” p. 70. For an of game theory in communicaBostrom, “Game Theory in Communication Research,” Journal of Communication 18 (1968): 369-88; and Thomas Beisecker, “Game Theory in Communication Research: A Rejoinder and a Reorientation,” Journal of Communication 20 (1970); 107-20. 52. the often the case in the we come by tual social life establishing exactly comes people the dimensions that give rise to conflict and the nature of conflict communication behaviors. The this sharply defined, and in seeking an communication serves a myriad of cognitive and affective functions .” 52 As we have seen, game theory relies on the assumption that people are always rational in making decisions, that they always want to maximize positive outcomes. However, in ac- acceptable solution, communication realm, to understand the phenomenon Steinfatt excellent debate on the value tion research, see Robert better a multitheoretical view. 214 INTERPERSONAL CONTEXTS II: mental health, individual life goals, and an array of other complex factors. Also, as indicated before, game theory relies on in sion in conflict consists of coercion, sanctions, and argumentation. Unfortunately, rather artificial laboratory research, since analysis of actual moves the natural setting is is just a beginning. of persuasion life extremely It this theory introduces us to the idea in conflict, but it does not develop any detail. It is hoped communication scholars will move into and continue the analysis of communication and conflict through research and theory specific propositions in difficult. The AND CONFLICT THEORIES OF DISCLOSURE, ATTRACTION, that view is an exceptionally fine approach to conflict and communication. It is actional in orientation and avoids universalist definitions of conflict. However, this approach stems from an experiential, phenomenological orientation to reality, which many communication scholars avoid. The criticism of the transactional approach is that in its holism, analysis of variables is difficult. This approach suffers some of the problems of system theory as covered in Chapter 3 and of experiential theories of meaning as explained in Chapter 6. transactional this area building. What Do We Know about Factors of Interpersonal Communication We are considering theories of interpersonal communication in three parts. The first group of theories, related most directly to relationship, was presented in the last chapter. The present chapter deals with theories related to Transactional theories provide an excellent gen- disclosure and understanding, attraction and re- view of processes, but they keep understanding of actual variable relationships out of touch. Mortensen presents some propositions in his theory. These are presented in the form of lational maintenance, lawlike statements, yet as laws they are incon- chapter present an interesting and important with the basic assumptions of the theory that individuals vary in the degree to which body of knowledge about interpersonal communication. We know from these theories that one of the goals of interpersonal communication is understanding. Understanding is achieved by assimilating information about eral sistent they define conflict and that they are relatively free to choose the rules by which conflict is expressed. This inconsistency points out the problem of the transactional approach in making propositional statements about events basic that are valid in The major all have summarized in this others and disclosing information about one- The nature of one’s disclosures to others and the receptivity of people to one’s disclo- self. sures appear to be strongly related to individual that it a great deal of communica- To many noncommuni- tion designed to influence other people. dimension, cation theories do, occurs in real we growth and personal adjustment. Disclosure, however, to be effective, must be adapted to the situation in which it occurs. The amount and kind of disclosure that occurs between people depends in part on the stage of the relationship and the nature of trust between the participants. marked by this theories recognizes that conflict typi- is cally remove The strength of Simons’s strategy ap- proach is situations. and conflict. In the next we will cover theories related to groups and organizations. chapter life. is as to eviscerate conflict as (Game theory is weak it in this way, but Mortensen’s transactional approach recognizes the importance of communication in the conflict situation.) Simons’s approach actually centers on this dynamic. Another strength of Simons’s theory is its recognition that types of influence cannot be realistically separated from one another in a conflict situation. Persua- 215 Rhetorical sensitivity is the ability of the indi- vidual to judge the situation and to sures in a way make disclo- that others will understand and accept. This quality also involves a recognition of many selves; how situation depends on the that an individual consists one communicates self that is in a appropriate for that situation. CONTEXTUAL THEORIES Attraction is related to the establishment and maintenance of relationships. Attraction is a function of a variety of factors, including at least cognitive balance, reinforcement, and cost-reward outcomes. Attraction in ship is outcomes of and alternative relation- ships. The chapter Interpersonal communication is element of relationships in social conflict. this Communication is a Conflict is marked by of conflict. of communication, and commubetween parties in a conflict situation can affect the outcome. Although conflict central aspect is sense of the basis for other contexts of communication. damental to group and organizational all nication; even final a cooperation rather than competition. a relation- relative to the partners’ aspirations the perceived communication tends to be emotional and to involve attempts to influence, it can bring about mutually desirable solutions and part on interpersonal chapters we It is contacts. In communication in turn. In the of we commu- next chapter certain kinds will discuss several theories related to nication in formal or structured situations group and the organization. in upcoming will consider these higher levels nication 216 fun- commu- mass communication depends — the — CHAPTER n Interpersonal communication includes dyadic, group, and organizational settings. In the two chapters we last discussed theories related di- Interpersonal Contexts Theories of Groups and Organizations III: and research related to small group communication is scattered and varied. Critics have singled out small group communication as 2 a confusing rectly to dyadic interaction. This chapter pre- area of study sents theories that apply particularly well to small group processes have emerged over the group and organizational settings. Remember, however, that the levels of communication years. In this chapter dyadic, group, organizational, and mass — are not discrete categories. Rather, they are a most the . Yet several good theories of interesting we and some of There can will look at insightful. be no doubt that the study of small group communication is important. For one thing the hierarchy in which each higher level includes small group apsects of the lower levels. Therefore organiza- Clovis Shepherd points out, the group communication includes many of the elements of group communication, and group 1. communication involves dyadic interaction as a essential foundation. groups with which they tional is a mary source of their crucial part of social As society. is mechanism of socialization and “an a pri- order.” People derive from the As a result values and attitudes largely identify. “the small group serves an important mediating function between the individual and the larger society .” 3 In essential agreement with Shepherd, Dorwin Cartwright and Alvin Zan- Theories of Group Communication In the last two chapters we looked at a number der outline four basic assumptions of groups: of the theories related to face-to-face interaction. One important setting for interpersonal communication is the small group. A number of contemporary source books on small groups reflect the breadth of work in this area 1 Theory 1. Groups 2. Groups mobilize powerful fects . 3. and ubiquitous. . . . . . ef- . Groups may produce both good and bad conse- quences. See, for example, Joseph E. McGrath and Irwin Altman, Small Group Research: A Synthesis and Critique of the (New York: Holt, Rinehart and Winston, 1966); Bernard L. Hinton and H. Joseph Reitz, eds., Groups and Organizations (Belmont, Calif.: Wadsworth, 1971); A. Paul Hare, Edgar F. Borgatta, and Robert Bales, eds.. Small Groups: Studies in Social Interaction (New York: Knopf, 1966); Lawrence Rosenfeld, Human Interaction in the Small Group Setting (Columbus, Ohio: Charles E. Merrill, 1973); Marvin E. Shaw, Group Dynamics: The Psychology of Small Group Behavior (New York: McGraw-Hill, 1981); Clovis R. Shepherd, Small Groups: Some Sociological Perspectives (San Francisco: Chandler, 1964); Dorwin Cartwright and Alvin Zander, eds., Group Dynamics: Research and Theory (New York: Harper & Row, 1968); Robert S. Cathcart and Larry A. Samover, eds. Small Group Communication: A Reader (Dubuque, Iowa: Brown, 1974). are inevitable forces that produce of utmost importance to individuals. . . . McGrath and Altman, Small Group Ernest G. Bormann, “The Paradox and Promise of Small Group Research,” Speech Monographs 37 (1970): 211—17; C. David Mortensen, “The Status of Small Group Research,” Quarterly Journal of Speech 56 (1970): 304—9; Carl E. Larson, “Speech Communication Research on Small Groups,” Speech Teacher 20 (1971): 89-107. A number of scholars have responded to this criticism by attempting to provide focus. See, for example, B. Aubrey Fisher and Leonard Hawes, “An Interact System Model: Generating a Grounded Theory of Small Groups,” Quarterly Journal of Speech 57 (1971): 444-53; Dennis Couran, “Group Communication: Perspectives and Priorities for Future Re2. Field See, for example, Research-, search,” Quarterly Journal of Speech 59 (1973): 22-29. 3. 217 Shepherd, Small Groups, p. 1. CONTEXTUAL THEORIES 4. A correct understanding of tainable from group dynamics (ob- research) permits the possibility that desirable consequences ately enhanced. Shepherd also uses interaction as the defining quality of the small from groups can be deliber- 4 group 7 . In addition he pro- vides four qualifications. First, as an organized group lies somewhere between the informality of social relations and the formality of organizations. Second, as groups increase in entity the What, then, distinguishes the group? After summarizing several other definitions stressing of groups, Marvin Shaw provides his own interactional definition: “A group different aspects teracting with character tends to change. Groups of more may appear quite different from dyads and triads. Third, there seems to be an upper size limit to the small group. After reach- that each person influences ing a certain each other person. mal is defined as two or more persons who are in- one another in such a manner and is influenced by A small group is a group having twenty or fewer members, although in most instances we will be concerned with groups having five or fewer members .” 5 This definition is a good one for our purposes because it includes a communication as the essential characteristic of the group. Shaw points out that the most interesting groups are those that endure for a relatively long period of time, have a goal or goals, and have a degree of interactheir classical treatment of group these authors point out a number of charac- of small groups: groups tend to establish for- size, rules, which characterize organizations. Fourth, small groups possess purposes or goals, norms, shared values, and communication patterns. role structure, Group Dynamics Most of what we know about groups and group communication stems from empirical re- search in social psychology. Collectively this work First, dynamics, Cartwright and Zander also stress the interactional quality of groups. In particular teristics four or is known summarized tional structure. In size, their as in group dynamics. This The next and the Lewin are pre- section includes a general or- ganizing model by Harold Collins, is the three following sections. the seminal ideas of Kurt sented. work Guetzkow and Barry final section presents a catalog of hypotheses arising from empirical research. seems likely, then, that when a set of people constione or more of the following statements will characterize them: (a) they engage in frequent interaction; (b) they define themselves as members; (c) they are defined by others as belonging to the group; (d) they share norms concerning matters of common interest; (e) they participate in a system of interlocking roles; (f) they identify with one another as a result of having set up the same It tutes a group, model — object or ideals in their super-ego; (g) they group to be rewarding; (h) they pursue promotively interdependent goals; (i) they have a collective perception of their unity; (j) they tend to act in a unitary manner toward the environment. 6 find the For Cartwright and Zander groupness is a variable, and the more of the foregoing characteristics that exist, being a the closer the body comes to Foundations: Lewin’s Field Theory. Kurt be one of the most brilliant figures contemporary psychology. His theoretical work have left an indelible mark upon the development of psychology .” 8 As a social psychologist interested in the nature of individual and group behavior, he is responsible for one of the most influential approaches to the study of behavior. Field theory is an organic approach that in its holistic his peers to in writings and experimental is consistent with the systems point of view. Lewin was also a phenomenologist in orientation group. 7. 4. Lewin was one of the most prominent psychologists of our century. Gardner Lindzey and Calvin Hall have written: “Lewin is considered by many of Cartwright and Zander, Research and Theory, 5. Shaw, Group Dynamics, 6. Cartwright and Zander, Research and Theory, p. 23. Shepherd, Small Groups. 8. Calvin S. Hall and Gardner Lindzey, “Lewin’s Field Theory,” in Theories of Personality (New York: John Wiley p. 10. & p. 48. 218 Sons, 1970), chap. 6. INTERPERSONAL CONTEXTS III: THEORIES OF GROUPS AND ORGANIZATIONS viewed behavior from the perspective of that he the person. Lewin’s work other reasons as well. is He For example, consider a important for two research should delve into the practical affairs of As a result he is responsible for research in which practical problems of groups and organizations are probed. In addition Lewin believed in the overriding value of theory. Good research must be guided by theory, and theory must be constantly built up by research. 9 people’s lives. pose that she drops much action that she cannot reach the We work girl at play. As the moves about among her toys, she will behave in accordance with the tensions arising out of the need to achieve some goal or goals. Supchild believed that social hole so deep bottom. Her immedi- a ball into a behavior will be seen as attempts to solve ate the problem. She may get a stick or perhaps call for an adult. After the ball is will continue playing, seeking life Lewin because of his group dynamics. Lewin was one of the The are interested in recovered, she new goals in the space. life space is a complex, interdependent, of the field. Third, the person has goals toward which one moves in the life space. Fourth, the which the person moves on the of the tensions of the moment. Another conceiving this space is as a field of energy. The forces in the field depend on the pressures of the environment and the wants of the person, two aspects that must be viewed as interacting variables. This approach demands that behavior be examined holistically; it also demands that behavior be examined in the here and now. We must remember that the individual’s life space includes groups. Individuals cannot be separated from the groups with which they identify. Groups, too, have a kind of life space. Lewin developed a theory that can be applied to all kinds of groups ranging from families to person’s behavior can be explained in terms of work in fluid field in first in the long line of researchers in this area. There can be no doubt that he was influential in shaping much of our thought about the nature of groups. In this section we first consider Lew- in’s orientation to the how person; then we basis way of discuss people relate to groups. Lewin begins thought with his what tions about people. First, study is is five assump- important to the perceptions of the person, or the individual’s psychological field or ond, the person tion in the at moment space. Sec- occupies a posi- space that can be best con- life ceptualized in any life its distance from the other objects attempting to reach the goals. Fifth, the field also contains barriers to the goals, barriers that the individual must surpass. 10 Lewin’s theory leads us to see the person in a psychological space, called life space. This field is tive number of cially the the person as a While objects that the individual wishes to approach or avoid, and in striving for goals, the person encounters vari- ous barriers. within the arising How the person behaves or moves life from the space is governed by tensions individual’s needs and wants. 9. For an interesting biography of Lewin, see Alfred Marrow, The Practical Theorist: The Life and Work of Kurt Lewin (New York: Basic Books, 1969). 10. ways in which these forces influence group member. group is a set of people, it is more than the sum of its members. When people join together in a group, a resulting structure evolves with its own goals and life space. The group is an excellent example of a system as outlined in Chapter 3 of this book. As Lewin puts it: “A group can be characterized as a ‘dynamical whole’; this means that a change in the state of any subpart changes the state of any other subpart. The degree of interdependence of the subparts of members of the group varies not an objective world, but the subjective world of the person. In this field are a Lewin studied groups from the perspecof their positive and negative forces, espe- sions. moving about the groups. His analysis includes large social groups such as communities or institutions as The term group dynamics implies that groups are products of various forces and ten- well. These assumptions are summarized by Shepherd, Small Croups. 219 a . CONTEXTUAL THEORIES all the way from loose mass to a compact unit. among other factors, upon the size, On group. depends, It group is the other hand, if the influence of the too weak, it will be less functional in organization, and intimacy of the group .” 11 Individuals are members of many groups at one helping the individual achieve goals in the which means that a person’s groups are an important part of the life space. Consequently, tion with one’s groups will create tensions in the As time, life — life. This impact has four qual- group provides stability to the person’s life. As Lewin states, “The speed and determination with which a person proceeds, ities. First, the his readiness to fight or to submit, and other important characteristics of his behavior depend upon the firmness of the ground on which he stands and upon his general security. The group person belongs to one of the most important constituents of this ground .” 12 Second, the group provides the person with a means for a achieving valued goals. It is a vehicle for approaching or avoiding objects in the life space. as part of the which he or she belongs. Fourth, life space, the person moves about within the group; the person aims for various goals in the group itself. enough freedom and the individual may is constantly adjusting and The most important cohesiveness mutual attribute Cohesiveness interest is of groups is the degree of among members. In a highly cohesive group, a strong mutual identification found among members. This quality is what a group together. Without it the group Mutual identification is a function of the degree to which members are mutually is keeps will dissolve. attracted to certain goals or mutually repulsed by certain negative forces. result Cohesiveness is a of the degree to which all members per- ceive that their goals can be met within the group. This does not require that the members have similar attitudes, but that they are interdependent, that they must rely on one another to achieve certain mutually desired goals. The a group, the more force it exerts on its members. The person is pressured by the group to conform to the group code. This theme has been elaborated over the years throughout small group research and theory. Lewin is placed first in this chapter because theory provides an excellent introductory approach to the study of groups. Field theory respects the needs of the individual, at the same time demonstrating how people and groups his The group is influenced by personal is affected by group stanLewin did not dwell on communi- needs; the person dards. While cation per se, he provides an excellent general toward group and organizational cannot begin to understand in groups without this more general orientation to the nature of groups and the group-person relationship. orientation behavior. We communication to pursue goals outside the group, dissatisfaction will result, groups a result of this interaction between person and group, both personal needs and behavior and group norms and demands will change. interact. While group pressures constrain the individthe person also has some degree of freedom. Group values and norms never coincide completely with individual needs. Groups seem to have an optimal level of freedom. If the ual, individual does not have life the person in face-to-face interac- more cohesive is Third, the person’s values and attitudes are greatly influenced by the values and norms of the groups to Thus adapting individual needs and group demands. space and therefore influence the movement of the person. Since the life space is fluid, the potency of a group for a particular person will vary from moment to moment. For example, when a person is at home, the family group generally exerts more influence than does the work group. Such may not be the case when the person is at work. At this point we begin to see one of Lewin’s most important themes the impact of groups on individual space. leave the Kurt Lewin, Resolving Social Conflicts: Selected Papers on Group Dynamics (New York: Harper & Row, 1948), p. 94. 11. 12. A General Organizing Model. Most of the work on group dynamics centers on Ibid., p. 86. 220 task groups. In INTERPERSONAL CONTEXTS most of fact III: THEORIES OF GROUPS AND ORGANIZATIONS whenever two or more people join together the theories in this part of the chapter deal directly with task groups. To a problem, interpersonal obstacles also Such obstacles include the need to make one’s ideas clear to others, to deal with conflict arise. accomplishment in groups, the integrative model of Harold Guetzkow and Barry Collins has been included (Figure 11.1). 13 Although this model is dated, it is still useful in outlining general components of the group decisionmaking process. The model may look complicated at Any glance, but first it is to handle help guide your thinking about the nature of task among participants, to handle individual ber differences, and so forth. discussion members Thus in mem- any group will be dealing simultane- ously with task and interpersonal obstacles. The basic distinction between task work and interpersonal relations has been an overriding simple. confronted with two types concern in the research and theory on small of problems: task obstacles and interpersonal group communication. Both types of behavior task obstacles. group is Task obstacles are the are important in accomplishing the task or in difficulties pre- Any analysis of group problem solving must deal with both task and interpersonal demands. The outputs of a group are affected by members’ task and achieving group productivity. sented to the group as the problem to be solved. Group members lem analyzing — lutions, it, suggesting possible so- and weighing alternatives. Such efforts are task-related 13. deal directly with the prob- group behaviors. However, Barry Collins and Harold Guetzkow, of Group Processes for Decision Wiley & Sons, Interpersonal and task factors interrelate, and group productivity results from both. Interpersonal relations can inhibit problem solving as well as enhance it. The performance of a group A Social Psychology Making (New York: John 1964), p. 81. SOURCE OF PROBLEM From A interpersonal efforts. OUTPUTS GROUP BEHAVIORS Social Psychology of Group Processes for Decision-Making by Barry Collins and Harold Guetzkow, John Wiley and Sons, publisher. Figure 11.1. A REWARDS simple working model of decision-making groups. 221 . CONTEXTUAL THEORIES depends primarily on members. When the and and resources of is done ability to integrate its organize the individual skills this integration which the group solution or product is superior to the individual work of even the best member. We effectively, an assembly effect occurs in will return to this notion on syntality when we is later usually posi- wards. On the other hand, “rewards” may Although there the consists are several recognized framework. Marvin Shaw has taken a step in by creating a series of hypotheses Fortunately, this direction about groups. His integration of the research realso data excellent, for it presents a relatively simclear summary of what is known in the of group dynamics. Because the list of hypotheses is long and because they are selfexplanatory, they are quoted in the following box on pages 222-226 without comment: be negative. In any case outcomes are evaluated ple by group members field as positive or negative re- wards, and these in turn affect future task and interpersonal efforts in the group, as indicated by the feedback arrows it single integrated rewarding to group members. In addiof conflict and successful tion the resolution communication often reap interpersonal that group communication, some of which were presented in the last two chapters, there are very few theories of group communication as a whole. Certainly we have no recent theories that attempt to bring together this research into a positive or negative. Successful goal achievement tively is unconnected body of theories related to certain aspects of in the chapter. Group rewards can be The disadvantage of group dynamics in research. discuss ideas and the groupthink hypothesis Research Findings. work largely of a vast, often in Figure 11.1. is and Small Group Research Hypotheses 14 Hypotheses about Individuals and Groups 1. The mere presence of others increases the motivation level of a performing individual when Proximity, contact, and interaction provide an opportunity for individuals to discover the need satisfactions that can be attained through affiliation with others. 2. the individual expects to be evaluated. 2. Group judgments are superior to individual judgments on tasks that involve a random error. 3. sonality similarity, (his function similarity, per- similarity, racial of the other person or her success or failure), and need com- Groups usually require more time to complete do individuals working alone, espewhen time is measured in man-minutes. Individuals desire to affiliate with others are equal to or greater than 4. cially whose abilities their own. Groups a positive patibility. a task than 5. is economic similarity, perceived ability alone. 4. Interpersonal attraction of physical attractiveness, attitude Groups usually produce more and better solutions to problems than do individuals working 3. learn faster than individuals. An individual will join a group if he or she finds the activities of the group attractive or 5. Group discussion often produces group polarimore risky or more cautious group decisions than decisions made by the average group member prior to 6. zation effects, leading to either rewarding. 6. An individual will join a group if he or she values the goals of the group. group discussion. There exists a need for affiliation which renders group membership rewarding. 7. Hypotheses about Group Formation and Development 1 People join groups in order to satisfy some An individual will join a group if he or she perceives it to be instrumental in satisfying needs outside the group. 8. individual need. Shaw, Group Dynamics, pp. 76-80, 114-17, 161-66, 202-9, 256-61, 307-14, 343-45, 383-89. 14. 9. Group development follows sistent pattern that involves a 222 a reasonably conperiod of orienta- INTERPERSONAL CONTEXTS III: tion, resolution of conflicts about authority 10. personal relations, and a productive period. Coalitions form in situations in which AND ORGANIZATIONS THEORIES OF GROUPS and plex problems, whereas a centralized network is most efficient when the group must solve simple 16. two problems. more persons can achieve greater rewards through joint action than can either acting alone. A or communication network centralized more vulnerable is to saturation than a decentralized network. Hypotheses about the Physical Environment of Groups The 1. physical aspects of the environment inter- with attitudes and group process. act beliefs to help determine The 3. which they defend against invasion. size of group . decreases with increasing group Individuals and groups typically assume a proprietary orientation toward certain geographi- 2. cal areas Hypotheses about Personal Characteristics of Group Members 1 The total amount of participation in the group territories varies members The 3. with the density of the locale and the interpersonal relationships among group members. Individuals typically have personal standards concerning appropriate interpersonal distances for various interpersonal relationships and activities. increases with increasing group probability that a leader will creases with increasing size size. emerge in- of group. Smaller groups are usually evaluated more positively than larger groups by group members. 4. 4. Reactions to unwanted approach by others vary with the personalness of the situation, the intimacy of the person-other relationship, and the size. Differences in relative participation by group 2. Conformity to 5. a unanimous majority size, at least up with increasing group increases to some maximum. 5. of the person status relative to the other. Unwanted proximity of another person 6. evokes discomfort and negative feelings which are revealed by various defensive reactions on the part of the victim, the person whose space is invaded. Male and female groups 7. react differently to variations in population density. High density 8. results in decrements in group performance under some conditions. There is a positive relationship between status and the favorability of spatial position in the group. 1 1 . Seating arrangement influences the quality of A interaction. is more likely to emerge in a cencommunication network than in a decen- tralized network. 13. Organizational development occurs more com- munication network. tralized than in centralized in decen- communication net- works. 15. A cal age to some maximum. 9. There is when level. tendency for the group leader to be members. Conformity behavior increases with chrono- logical age to about age 12, and decreases there- after. 1 . in Women are less assertive and less competitive groups than are men. 12. Women nication 13. 14. use eye contact as a form of commu- more Women frequently than men. more usually talk in groups than communication network is group must solve com- the 223 Females conform to majority opinion more than males. 15. There is a slight rior individuals to tendency for physically supe- become Leaders are usually leaders. more intelligent than non- leaders. 17. ally decentralized efficient a older than other group 16. Group members have higher morale most some maximum becomes more highly differcomplex with increasing chronologi- Social interaction entiated and leader rapidly in a centralized than a decentralized 14. chronological age to men. tralized 12. of group size upon group perfunction of the kind of task that the Social participation increases with increasing 7. 8. 1 10. Communication patterns in groups are determined, in part, by the seating arrangement in the group. effects formance are a group must complete. 10. 9. group The 6. The more intelligent group member is usumore active in the group than less intelligent group members. 18. The more intelligent group member is usu- CONTEXTUAL THEORIES more popular than ally less intelligent group members. More 19. than 20. intelligent persons are less less intelligent The conforming persons. individual High-cohesive groups are more effective than low-cohesive groups in achieving their respective 5. goals. Members of 6. who high-cohesive groups are generthan members of low-cohesive ally better satisfied possesses special skills (abilities, knowledge, information) relative to the group task usually is more active in the group, 7. makes more contributions toward task compleand has more influence on the group achieving group goals than are incompatible groups. tion, groups. Compatible groups are more decision. Members of compatible groups 8. The authoritarian is autocratic and ing of others in the group. 21. demand- The authoritarian conforms to the majority opinion more than does the nonauthoritarian. who are positively oriented to- ward other people enhance satisfied social interaction, co- hesiveness, and morale in groups, whereas individuals who are positively oriented toward things inhibit social interaction, cohesiveness, and morale. which enhance their group effectiveness. behave in ways acceptance in the group and members having form more 10. The more dependable the group member, the more probable it is that he or she will emerge as a leader and will be successful in helping the group achieve its goal. 26. The unconventional group member The well-adjusted group to effective groups composed of similar abilities. of men and women are by the sex composition of the interaction styles affected differently group. 11. 12. Sexually heterogeneous groups are more homogeneous groups. Members conform more than in same-sex groups. Racial heterogeneity tends to create interper- sonal tension which is reflected in the feelings and behaviors of group members. 14. Groups whose members are heterogeneous with respect to personality profiles perform more effectively than groups whose members are homogeneous with respect to personality profiles. Hypotheses about Group Structure 1. The perception that organization inhibits effective member ef- mixed-sex groups in inhibits group functioning. The anxious group member group functioning. 28. 29. The diverse, relevant abilities per- effectively than members having 13. Ascendant individuals are dominating and self-assertive in groups and generally facilitate group functioning. 25. are better members of incompatible groups. fective than sexually 24. Socially sensitive persons 27. than Other things being equal, groups composed of 9. 22. 23. Individuals effective in goal achievement is a facilitates determinant of group structure. contributes group functioning. 2. The formation of group structure is group members have to the extent that facilitated a need for structure. Hypotheses about Group Composition 3. 1 Individuals contribute differently to the group product, depending upon the particular other in. is 4. Members of high-cohesive groups communi- with each other to a greater extent than members of low-cohesive groups. group develops needs of the group that the influenced by the particular members. dividuals in the group. 2. The kind of structure is The kind of structure that the group develops influenced by the physical environment of the cate group. The pattern and content of interaction are more positively oriented in high-cohesive than in 5. A high-status group member may deviate from group norms without being sanctioned if his or her deviancy contributes to goal attainment. 3. low-cohesive groups. 6. High-cohesive groups exert greater influence over their members than do low-cohesive groups. 4. 224 The high-status person both initiates and remore communications than the low-status ceives person. INTERPERSONAL CONTEXTS III: AND ORGANIZATIONS THEORIES OF GROUPS Communications directed upward in the status hierarchy have more positive content than communications directed downward. Hypotheses about Leadership Role specifications may bias the perceptions and judgments of the role occupant by others. than those 7. 9. role occupant. 10. 11. Individuals differ in their predisposition to- who participate less in the group’s Possession of task-related abilities and skills enhances attainment of a position of leadership. Emergent authoritarian The more ambiguous the stimulus The source of the leader’s authority influences both the leader’s behavior and the reactions of other group members. 5. A groyp member is more likely to conform group judgment when other members are in unanimous agreement than when they are not. related abilities, sociability, 12. to Greater conformity occurs in groups with de- communication networks than in groups with centralized communication net- centralized works. varies positively with the per- competence. The by taskand motivation to be a Effective leaders are characterized leader. 6. Democratic leadership results in greater Leaders tend to behave in a more authoritarian manner in stressful than in nonstressful situations. 7. The degree to which the leader is endorsed by group members depends upon the success of the group in achieving its goals. 9. A task-oriented leader is more effective of personality, and additive within the normal situational, tionship-oriented leader is more effective when the group-task situation is only moderately favor- Conformity introduces order into the group process and provides for the coordination of indi- able or unfavorable to the leader. vidual behavior. Hypotheses about Group Task and Group Goals 16. Under certain circumstances, conformity frees the individual from the coercive influence of authority. Deviation from group norms usually elicits sanctioning behavior by other group members. Continued or habitual deviation may lead to rejection by other group members. 18. 1 . ter High-power group members are usually liked than low-power group members. bet- 2. The high-power group member of more deferential, is the target approval-seeking behavior similar to for the group. Tension systems can be aroused for avoidances for the group. Group success is followed by choice of a more followed by selection of an difficult task; failure is easier task. 5. The high-power person has greater influence the group than low-power group members. The high-power group member is more ways which the individual holds than low-power group members. 21. in Tension systems can be aroused for goals which the individual holds 4. 20. Individuals establish goals for their groups which influence their behavior the influence of personal goals. 3. 19. when is either very favorable or very unfavorable for the leader, whereas a rela- the group-task situation effects stimulus variables are ranges of conformity behavior. 17. mem- ber satisfaction than autocratic leadership. 8. Conformity ceived competence of the majority relative to the individual’s perception of his or her own 15. elected or appointed 4. situation, group. 14. more leaders tend to behave in a manner than leaders. group norms. the greater the probability that a group member will conform to the perceived norms of the 13. group of leadership actively participate in the likely to attain a position 2. 3. to more activities. Role conflicts will ordinarily be resolved in is most important to the favor of the group that ward conformity who Persons 1. are 8. Group members select relatively more difficult tasks if they learn that their past performance upon worse than the average for 22. they choose relatively less difficult tasks if highly attracted to the group than are low-power The more power learn that their past performance is is own; like their they better than the average of groups like their own. group members. 23. groups a group member has, the greater the probability that he or she will use 6. The group it. 225 greater the group members’ desire for success, the greater the preference for tasks CONTEXTUAL THEORIES perceived to be in the intermediate range of difficulty; the stronger the desires to avoid group failure, the greater the preference for tasks extremes of the difficulty range. at the 16. Groups composed wholly of persons with de- 7. achieve success stronger than their desires to avoid failure more often select tasks in the intermediate range of difficulty than groups composed wholly of persons whose desires to avoid sires to failure The 18. Group performance is better when the task is when it is conjunctive. The style of leadership that is most effective of group leaders varies with the kind of task faced by the group. 19. varies 20. quality of Reaction time decreases with increased task difficulty. 10. Group members attempt leadership more when the task is difficult than when it frequently is 1 1 When formity is task difficulty is low or moderate, con- curvilinearly related to the self-esteem The 13. The of group performance, as mea- task. 21. Goal clarity and goal-path clarity are posi- motivational characteristics of group members. 22. Goal clarity and goal-path clarity are posi- correlated with the efficiency of group quality of of group products vary of the group task. characteristics difficulty Interpersonal relations are generally more positive in cooperative than in competitive sit- 23. uations. Homogeneous group goals facilitate effective group functioning, whereas heterogeneous group goals hinder effective group functioning. 24. On difficult tasks, group performance is facilgroup members can freely communicate their feelings of satisfaction with the group’s progress toward goal achievement. 14. quality members. group performance decreases with increasing task demands. with the with task solution multiplicity. The sured by time and errors, is negatively correlated with the cooperation requirements of the group tively of the group member. 12. activity tively related to easy. . a The ing task difficulty. 9. of group products are 17. group performance, as measured by time and errors, decreases with increas8. characteristics function of the kind of task faced by the group. disjunctive than exceed their desires to achieve success. The 15. The kinds of leadership abilities that are required for effective group action vary with the type of task. itated to the extent that Ironically, the work of Kurt Lewin, which remains a foundation for contemporary research on group dynamics, is epistemologically and ontologically different from its Criticism. latter-day counterparts. Lewin’s theory tic, phenomenological, and cial psychological research since is fundamental concepts and findings that remain viable today, but he was instrumental in motivating social psychology as a field. Hall and Lindzey have written of him: holis- field oriented. Lewin tain So- for the Lewin’s theory was one of those that helped to revive the conception of man as a complex energy field, motivated by psychological forces, and behaving se- most lectively ratory oriented. plenished with psychological needs, intentions, hopes, and aspirations. The robot was transformed into a living human being. The crass and dreary materialism of behaviorism was replaced by a more humanistic picture of man. While “objective” psy- part has been analytic, scientific, and laboLewin took a systems view of group life, noting the integrated and interdependent nature of group variables. Most group researchers today are from the variable-analytic tradition, in which distinct factors are isolated for close scrutiny. Therefore these two groups of theories must be criticized separately. Lewin is recognized as a giant in the field of social psychology. Not only did he present cer- 226 and creatively. The hollow man was re- chology tailored many of its empirical propositions to be tested on dogs, cats, and rats, Lewin’s theory on human behavior as expressed in more or less natural settings. Children at play, adolescents in group activities, workers in factories, housewives planning meals, these were some of the led to research INTERPERSONAL CONTEXTS natural life III: THEORIES OF GROUPS which hypotheses derived theory were empirically tested 15 situations in from Lewin’s field . Lewin’s work was just a beginning, and although he made significant contributions to our AND ORGANIZATIONS Theories of Group Interaction Group outcome depends greatly on the nature of interaction in the group. Theories of group interaction are especially important in this book understanding of groups, most of these were general orientations and provided little substance about how groups actually operate. For a greater understanding of the variables of because of the central concern for communication as the base of group productivity. We will group dynamics, we must process analysis. rely on more recent research. 16 doubt, social psychological research on groups has contributed much to our understanding of group process and problem solving. The lengthy list of hypotheses by Shaw illusat a first, at two glance the tremendous scope and theories of group interaction. The an old standard, theory, No trates look is Bales’s interaction The second, more recent modifies Bale’s notion of interaction and takes interaction analysis a different in direction. Interaction Process Analysis. One of prominent small group theories most Robert the is Bales’s interaction process analysis. 17 Bales’s power of much of this research. Unfortunately, this work is nontheoretical. It consists of a large number of research findings in search of an nication per integrating framework. Consequently, Shaw’s search as a foundation, Bales has created a un- list is extremely unparsimonious. Most of the relate two or three variables with no connecting thread. General theories of groups hypotheses have the potential of providing parsimony by reducing the vast array of variables to certain basic factors and explanatory structures. Another criticism of social psychological work is that it consists largely of laboratory theory concentrates on interaction or ified se. Using and well-developed theory of small group It is centered around the idea that the comment. Bales’s aim, then, making conclusions about what needed, and is observed. needed badly in the small group field, is a kind of triangulation between the laboratory and the natural setting. is it is Ironically, research in this area to the type of needs to return work conducted by Lewin forty-five years ago. 15. to explain Bales explains the value of his system: “Interaction process analysis tively believes about What is the pattern of responses in the small task group. common-sense in commu- years of re- people act and react in groups. As one person makes a comment, another person responds to search condition of the limitations of our research tools. Observing more than a few variables at a time is difficult and leads to other kinds of error many interaction. research on artificial groups. Much more reon natural groups in the field setting is required. Most group research studies center on two or three variables, ignoring the holistic nature of group operations. This fault is a natural his base, be confirmed by perhaps, is that would suspect it is built on a very simple and much that one intuieveryday conversation can it. goes The surprising thing, much further than one in revealing basic attitudes of people, their personalities, and their positions in a group.” 18 Figure 11.2 illustrates the categories of in- teraction. These twelve categories are grouped into four broader sets, as outlined at the left of the figure. In addition the behavior types are paired according to typical action-response ex- Each of these pairs implies a particuproblem area for groups, as labeled. The pectations. lar 17. Robert F. Bales, Interaction Process Analysis: A Method for the Study of Small Groups (Reading, Mass.: AddisonWesley, 1950; Personality and Interpersonal Behavior (New Hall and Lindzey, “Lewin,” pp. 254-55. 16. For criticism of group dynamics, see Shaw, Group Dynamics, pp. 445-51. 227 York: Holt, Rinehart and Winston, 1970). 18. Bales, Personality, p. 95. CONTEXTUAL THEORIES figure also reflects the approximate percentage of comments in each category, according to gross norms. The four of behavior in the model can be We two The first in which relates addition to accomplishing a task, the group third classes can be con- sidered the task area. The section relate to the problem or interactions in this task of the lead to certain perceptions by the other group members. “One might expect utter chaos with this relativism all Bales has 1. 2. 3. Attempted 4. answers 5. 6. is of consensus on the way vidual and mixed of definition, but operating groups there found that typically the same group will have different kinds of leaders. The task leader, who facilitates and coordinates the task-related comments, directs energy toward getting the job done. The emergence of the task leadership role is important in group problem solving. Positive 8. 9. Negative and mixed 10. actions 12. 11. group is a function of These include the extent to which the individual is seen as striving for success and power (as opposed to devaluation of the three dimensions. 19. Ibid., p. 4. Gives suggestion (5%) Gives opinion (19%) Gives information (25%) Asks for information (5%) Asks for opinion (3%) Asks for suggestion (1%) a 3 1 Disagrees (4%) Shows tension (5%) Seems unfriendly (3%) of communication of evaluation of control of decision of tension reduction of reintegration Figure 11.2. Categories for interaction process analys 228 many members are perceived and evaluated .” 19 shown how the perception of an indi- vidual’s position in a Seems friendly (3%) Dramatizes (6%) Agrees (11%) a = Problems b = Problems c = Problems d = Problems e = Problems f = Problems in amount which most indi- a surprising in | 7. Questions im- person’s personality. Role is situational. It depends on the demands of the interpersonal dynamics of the group, including the expectations of others. The way a person behaves will group. In investigating leadership, Bales has two actions for The way a person behaves in a group depends on the role the individual takes and the must mesh psychologically, a goal that can be aided or impeded by socioemotional communi- The second and works group, concentrating on the earlier and fourth cate- to the interpersonal relations in the group. In cation. in the interactions in the positive and negative sectors. positive actions and negative actions, constitute the socioemotional area, proved relations of group classes have seen these theories in this chapter. gories, is the emergence of a socioemotional leader. Usually a second leader takes this role. This individual sets further synthesized into behavior. Equally important i i INTERPERSONAL CONTEXTS self), the opposed III: THEORIES OF GROUPS degree of equalitarianism expressed to individualistic isolationism), (as and the extent to which the individual supports conser- opposed to rejecting auThese factors are visualized in a AND ORGANIZATIONS ual’s position depends on the quadrant in which (for example, UPF); that individual appears one’s position within the quadrant vative group beliefs (as mined by thority). sented. Thus, for example, a shown in Figure the space are labeled three-dimensional space, as 11.3. The axes of positive-negative, upward-downward, and ward-backward. Bales uses these name for- spatial labels to the various position types in his theory. Within be placed a particular three-dimensional space, de- how the individual’s behavior re- lates to the factors. The UPF direction of an individ- various points in the space, depending on the degree of U, of P, and of F. Table 11.1 lists the behavior types and their value directions. When all of the group’s members are plotted on the works can be seen. The and net- larger the group, the greater the tendency for subgroups of coalitions These subgroups consist of individwith similar value dimensions. Obviously, to develop. uals U 229 deter- could appear spatial graph, their interrelationships group any member can in this pending on at is the degree of each dimension repre- CONTEXTUAL THEORIES affinity exists close in value between individuals who Not only can we predict the coalitions and networks of a group from a knowledge of the distribution of types, but Bales has shown that are dimension and direction, while distant individuals are not connected. Bales describes the typical pattern: behavior type that one’s behavior in a both personality and how Type AVE: Type U: Type UP: Type UPF: Type UF: Type UNF: Type UN: Type UNB: Type UB: Type UPB: Type P: Type PF: Type F: Type NF: Type N: Type NB: Type B: Type PB: Type DB: Type DPF: Type DF: Type DNF: Type DN: Type DNB: Type DB: Type DBP: Type D: From interaction of interac- Bales’s theory group role. 20. is determined by Table 11.2 shows related to value directions. 21 is is valuable in studying small group communication because it stresses interac- Ibid., p. 47. 21. Ibid., pp. 86-97. TABLE roles related to the nature initiates network of all members. There are normally three or four networks in a group of about twenty-five members, the largest one in the group ranging from about seven to sixteen members, the second largest from five to ten members, the third from three to six members, and the fourth from two to four members. All groups have had some isolates, ranging in number from three to five per group. The isolates are more likely to appear on the thinly populated negative side of the space, but they may appear in any region. 20 Types of group is The interaction that a person and receives depends in part on his or her behavior type. Keep in mind at this point tion in groups. No self-analytic group so far has shown a completely integrated 11.1 and value directions Toward a balanced average of all directions Toward material success and power Toward social success Toward social solidarity and progress Toward group loyalty and cooperation Toward autocratic authority Toward tough-minded assertiveness Toward rugged individualism and gratification Toward value-relativism and expression Toward emotional supportiveness and warmth Toward equalitarianism Toward altruistic love Toward conservative group beliefs Toward value-determined restraint Toward individualistic isolationism Toward rejection of social conformity Toward rejection of conservative group beliefs Toward permissive liberalism Toward trust in the goodness of others Toward salvation through love Toward self-knowledge and subjectivity Toward self-sacrifice for values Toward rejection of social success Toward failure and withdrawal Toward withholding of cooperation Toward identification with the underprivileged Toward devaluation of the self Personality and Interpersonal Behavior, by Robert Freed Bales. permission of CBS College Publishing. Copynght 230 © 1970 by Holt. Rinehart and Winston. Paraphrased by ’ . INTERPERSONAL CONTEXTS III: THEORIES OF GROUPS He emphasizes the ways people respond to one another verbally. We have seen how the character of interaction is manifest in social and task comments and in value statements. In you — will see that the way sion-making group research is the individual’s behavior. Fisher and Hawes refer to this as the human system model. 22 The human system approach has yielded a number of analyses of individual behavior variables. Many of the findings reported by Shaw, as summarized in the last section, are based on this approach. Clearly Bales’s method of analysis, though it is presented as “interaction” analysis, is really a human system approach. It focuses on single acts of individual group participants. Fisher and Hawes believe that a more sensible approach for the study of group communication is the interact system model, in which the basic unit of analysis is not an individual act, but an interact. An interact is the verbal or nonverbal act of one person followed by a reaction from another. Here the unit for analysis is a contiguous pair of acts. Fisher and Hawes explore the nature of behavior-response sets. Par- a patterns within the group. Fisher’s Interaction Analysis. and B. Aubrey Fisher have developed his associates a theoretical perspective on group phases and decision emergence that stresses interaction and uses a system orientation. Since their theory is communication-oriented and incorporates much material of previous theories, we will study it in some detail. In preview we will look at the general orientation of the interact system model. Next, we will discuss Fisher’s scheme for interaction analysis and the phases of decision emergence. We will conclude the section by recapping Fisher’s notion modification. The thrust of of decision and this discussion is 22. TABLE Relationship CATEGORY between Fisher and 11.2 interaction Hawes, “An in Interact System.” and type LOW HIGH LOW INITIATION INITIATION RECEPTION HIGH RECEPTION N P N P Dramatizes DF UB NF PB Agrees NB DB PF B F UF DN UP B F PF D UP Asks for opinion U DN N NB N Asks for suggestion UB DF B F P N DB DPB UF P N DPB UNF UNB UNF Seems friendly Gives suggestion Gives opinion Gives information Asks for information Disagrees Shows tension Seems unfriendly deci- tasks. Often the unit of analysis group develops the phases through which it passes depends greatly on the interactional — by which groups deal with the process tion the next section AND ORGANIZATIONS P 231 UF UP DPF P DB DN CONTEXTUAL THEORIES they have observed that interacts seem ticularly, to be organized over time in ion. Three The Fisher has concentrated a hierarchical fash- first level involves These are the acts observed interact categories. specific classes or types in of inter- classifies spond groups. For example, an as- serted interpretation of a proposal might be studied to determine into interact phases 1 . Fisher they re- scheme:23 Interpretation , how Favorable toward the decision proposal Unfavorable toward the decision proposal f. u. they tend to group ab. Ambiguous toward the decision proposal, containing a bivalued (both favorable and unfavorable) evaluation an. Ambiguous toward the decision proposal, containing a neutral evaluation the second level of analysis. study of interact phases reveals the pattern of development in the group as it progresses toward task accomplishment. The third level of analysis is cycles. As the group proceeds through a number of tasks, the phases repeat 2. Favorable toward the decision proposal Unfavorable toward the decision proposal f. Ambiguous toward the decision proposal, containing a bivalued (both favorable and unfavorable) evaluation ab. Let’s take a closer look at Fisher’s interaction analysis. Substantiation u. themselves in cyclical fashion. method of Fisher concentrates on Ambiguous toward an. interacts in groups. In other words, he looks at of contiguous acts. What his system classifies is an act and its response. Interacts can be classified on two dimensions, the content dimension and the relationship dimension. This containing pairs conceptualization tional theories may his classification is how The following a proposal. A statements in terms of to a decision proposal. outline fol- comment seeking clarification of the Over the entire discussion the frequency of such interact categories would be lowed by on the content dimen- Following the hypothesis that almost all in one sion. comments in a task group are related way or another to a decision proposal, levels are defined. recall is of the relaChapter 9. You similar to that summarized in that these theorists state that all communication messages have a content or information dimension and a relationship or metacommunication dimension. While a person is making a statement, the individual is also reflecting on the relationship in some way. The most common scheme for understanding relational messages, and Fisher follows suit here, is the three-fold analysis of one-up, one-down, 3. Clarification 4. Modification 5. Agreement 6. a neutral the decision proposal, evaluation Disagreement Two Bales’s differences exist essential and Fisher’s theories. given act First, between Bales classi- terms of task or socioemotional function. Fisher assumes that fies a any given act strictly in may fulfill its either or both func- tions simultaneously. (Actually, Fisher finds more appropriate relational to look at the content dimensions of acts, it and although these may in some ways be close to Bales’s and socioemotional categories.) Second, divisions task and one-across messages. In interaction analysis group members would be observed in terms of Bales classifies only single acts, while Fisher complementary (for example, one-up, one-down), symmetrical (for example, one-up, one-up), and transitional (for example, one-up, one-across) responses. (You may find it useful at this point to review relational theory from Chapter 9.) will create a matrix with twelve their Despite the potential analysis of the tains 144 cells, observing a group, Fisher rows and one for each potential type of interact. In other 23. B. of an interaction dimension in groups, utility relational classifies interacts. In twelve columns, corresponding to the twelve categories in his system. This matrix thus con- Aubrey words the observer Fisher, Small 1980), p. 117. 232 will clas- Group Decision Making: Com(New York: McGraw-Hill, munication and the Group Process INTERPERSONAL CONTEXTS sify the first act mark III: THEORIES OF GROUPS AND ORGANIZATIONS Do we and the second act, placing a between the two. A: in the appropriate cell In this way character and frequency of act pairs in a group discussion. Fisher believes this kind of data how useful for understanding how decisions are made, and A The results. clude As an observer you would notice members argue and attempt to persuade at Members also tend to form coalitions in the conflict phase. As people group together according to their common stands on the issues, polarization grows. ture and beginning to express points of street. A: C: auto-pedestrian accident. A: First of all, we decide whether it’s a case of liability or negligence. B: Yeah, negligence. A: It’s the same thing. In other words, you all feel that Roger Adams alone was negligent without the contributory negligence of Derby or was it Derby’s fault as much as Adam’s fault or was it either’s fault or was it just plain accident. C: Guilty or not guilty. A: It’s not just those two choices, though. We’ve got . — — three choices. D: What else can there be, though? I mean. A: It’s not a criminal action like whether he robbed a store. It’s just whether he is negligent, both of them . are negligent, or whether. D: Yeah, I see. Aubrey But there . . are . . still I certainly it. myself as an example. That doesn’t say that he wasn’t reasonable. B: Then we’re not going to get any place. You have some criteria. You can’t just say he wasn’t to give reasonable and let it go at that These coalitions tend 26 . to klings of cooperation begin to show. People are less tenacious in defending their viewpoints. As they soften their positions and undergo attitude change, ambiguity becomes apparent Comments are in their more equivocal as ambiguity functions to mediate the attitude Fisher, 233 disappear in the third phase. In the emergence phase the first in- interaction. only two verdicts. wouldn’t do Do you consider yourself reasonable? A: I’m not reasonable. I’ll admit it, too. But what does that have to do with it? I wouldn’t want to use . “Decision Emergence: Phases in Group Decision Making,” Speech Monographs Til (1970): 53—66; Fisher, Decision Making. 24. B. Observe the na- following excerpt: in the take another person’s word for it. C: Oh, come on now! There is only one car on the excerpt from a mock trial illustrates many The trial involves an — of the interaction A: The thing to decide is: Was Roger Adams in a hurry and did he act in such a manner that a reasonable, adult, mature person would? C. You have to consider him a reasonable, prudent person. He was waved on by another person who was going to make the turn, regardless of whether he was in a hurry or not. A: I would say that if he is reasonable, he wouldn’t orientational qualities. . The interacts in this phase tend to inmore disagreement and unfavorable this point. people grope for direction and interpersonal . great deal of that and comments are often designed to test the group. Thus positions expressed are both qualified and tentative. In this phase a a second phase begin to and much polarization evaluation. high level of agreement characterizes The following phase includes solidify their attitudes, this stage, understanding. conflict dissent. People in this involves getting acquainted, jury deliberation in how many compensation ? 25 how . view. all, uted to this negligence and therefore should receive is through phases as purposes this approach is exciting because it focuses directly and completely on interpersonal communication as no other group theory does. In his theory of decision emergence, Fisher outlines four phases through which task groups tend to proceed: orientation, conflict, emergence, and reinforcement 24 In observing the distribution of interacts across these phases, Fisher notes the ways interaction changes as the group decision formulates and solidifies. The clarifying, of groups function, groups pass decisions emerge. For our orientation phase money or not? people here feel that just give the plaintiff any First Roger Adams alone was negligent and that Alfred Derby, the person who was hit, in no way contrib- the researcher can actually see the 25. Fisher, Decision Making, p. 298. 26. Ibid., p. 300. . CONTEXTUAL THEORIES shifts the members are going through. The number of favorable comments increases until a group decision begins to emerge. The am- C: I feel sorry for him, and but Ijust don’t think I can. biguity characterizing this phase can be seen in the following excerpt: me A: Let Derby ask one (the plaintiff) more question. Do you think was in the crosswalk? toward his side. enough to it, though. As F: I think it I are going to get but And on an emotion we a . . — drunkard and shows us in the that. preceding analysis that changes over time. is that of decision it An important related topic modification 29 Fisher finds that groups typically do not introduce a single solution and pursue that solution until all members agree. Nor do they introduce a single proposal and continue to modify this in . should take into any account the beginning, either about characterize the nature of interaction as happened close any situa- reached. Rarely ical is it until consensus is parliamentary format the typ- pattern in small group discussion. Fisher theorizes on the basis of his group observations that decision modification they are important, too, is cyclical; several proposals are made, each discussed briefly, and 27 . it not. told us at being Fisher it. have to consider them. can’t base don’t think groups go through phases of development in their decision-making interaction. These phases Both of them. You can’t use the two prime subjects. You have to try and go on the witnesses. Of course they are witnesses, too, and you That’s just I out, No. Don’t even mention that. No. Don’t worry about it. C: No. 28 tion. F: Of course him F: Derby may have his own mean each would be looking out for Of course you You help B: himself. That’s only natural. D: B: D: C: I’d like to agree. Adams far as that goes, story too. I what they D: 1 don’t think so. C: No, I don’t. 1 don’t think that has too much to do with it, though. D: I agree. C: I know there are some statutes about the crosswalk, but I mean the fact that he was in ... 1 don’t know. That might be kind of important. D: He was on the roadway is really the issue. C: I don’t think it really happened exactly the way the defendant described it. 1 think he embellished it a little D: . of them reintroduced at a later time. Discussion of proposals seems therefore to proceed in spurts of energy. Proposal A will be introduced and discussed. Suddenly the group will drop this idea and move to proposal B. After discussing this, the group may introduce and discuss other proposals. Then someone will certain In the final phase, reinforcement, the group decision solidifies and receives reinforcement from group members. The group standing behind its solution. unifies, Comments are almost uniformly positive and favorable, and more on matters of interpreThe ambiguity that marked the third interaction occurs tation. revive proposal A, perhaps in modified form. 27. phase tends to disappear. The following illustrates the interaction typical The group finally will settle on a modified plan that was introduced earlier in the discussion in a excerpt of phase four: different form. Everybody saw the car coming. B: Besides that, he said his lights were on. C: His turn signal was on. It was obvious that he E: was coming. That would make it all the more Why does discussion usually proceed in such an erratic fashion? Probably because the interpersonal easier to see the car coming. D: Practically everybody saw that car coming. His demands of discussion require “breaks” from task work. In effect the attention a group is short because of the intense nature of group work. Such an explanation span of lights turning. That guy that was on the sidewalk. ... He saw this traffic, and he also saw Adams coming. That’s why he didn’t go. Why did Derby go? He has to be at E: all some 28. Ibid., p. 306. Ibid.; also B. Aubrey Fisher, “The Process of Decision Modification in Small Discussion Groups,” Journal of Com- 29. fault. Ibid., pp. 303-4. munication 20 (1970): 51-64. 234 INTERPERSONAL CONTEXTS III: suggests that “flight” behavior helps manage tension and conflict. The group’s need to work on interpersonal dynamics is supported by of groups, correlating interpersonal messages with other group factors. In other words interaction analysis provides a ideas Bales’s notion on interpersonal barriers of socioemotional (versus and task) a Fisher finds that in modifying proposals, more in a discussion “with “begin with tions trends a public health A group, as it common is value of understanding general group bought at the price of depth under- standing of particular events in groups mod- Bales’s theory of the contribu- which public health has made of nursing .” 30 The over. of a history leads to their individual acts (or interacts) scheme, rich idiosyncratic meanings are glossed specific language. non-threatening something” was a When are analyzed according to a classification nursing conference, an original idea to begin ified to which trade-off, weakness. groups tend to follow one of two patterns. If conflict is low, the group will reintroduce proFor example, to analyze both appropriate and interaction. posals in less abstract, way group communication. Thus these theories are heuristic. These advantages, however, have been gained at the price of other theories as well, including Collins and Guetzkow’s AND ORGANIZATIONS THEORIES OF GROUPS is 31 . an excellent beginning for understanding interaction in groups. His theory is highly parsimonious and internally con- to the field successively re- sistent. It is built on a sensible and intuitively num- turns to a proposal, seems to follow the pattern appealing conceptual base, from which a of stating the problem, discussing ber of propositions about group interaction are criteria for The solution, introducing an abstract solution, and derived. moving denced by the numerous studies based on the finally to a concrete solution. Keep in theory’s heuristic value evi- is own mind, however, that the group most likely will not move through these four steps with continuity. Rather, it will deal sporadically with these themes as members depart from and re- Bales categories, including Bales’s turn to the proposal in a stop-and-start fashion. weaknesses. First the theory The second typical pattern of modification occurs when conflict is higher. Here the group does not attempt to make a proposal more ented. In other on the very nature of the proposal, the group introduces substitute proposals of the same level of statements by other people. Fisher, in contrast, specific. Because disagreement University. Bales’s system has been criticized for tion response. will stand exists abstraction as the original. In the first pattern, which involves making proposals more the group task seems to be one of mutual discovery of the best specific implementation of a general idea. In this social conflict pattern the task is more of debate and persua- specific, sion among on words It its it fails is presumes that any statement own apart from contiguous shows how analyses that stop at the act level are The second problem of Bales’s system is that it separates the task and socioemotional areas of group discussion. Careful examination of groups in action shows that task and socioemotional functions are thoroughly mixed. One can fulfill both task and tions in a single statement, it is and social func- in classifying difficult to validly separate these functions. True, a given statement share a ness. common The strength is common weak- sequently Bales envisions the group as a that interaction analysis, whether of the Bales or Fisher type, allows us to look carefully at the communication behavior 30. Fisher, Decision Making, may be mostly task, or mostly social, but to separate them completely would be a mistake. Con- and Fisher’s theories strength and a two strictly act ori- to describe interac- not adequate. group behavior various alternative proposals. Criticism: In general Bales’s re- search over a twenty-year period at Harvard that 31. Ibid., p. 322. p. 155. 235 body swings between discussion of task matters of social matters, back and forth. to discussion CONTEXTUAL THEORIES Fisher, on the other hand, finds that groups do not operate in this way. Such criticism casts doubt on the validity of Bales’s approach. Fisher takes a major step toward correcting these problems, but his theory too has weaknesses. Although Fisher’s theory admits to the existence of the relational dimension of interacit makes no attempt to correlate the conand relational aspects of group discussion. second weakness is related to the first. Fish- aspects or panels for structure, and population traits. While personality describes the predictable behavior of an individual, syntality is the predict- of group behavior. Thus a group appear aggressive, efficient, isolated, able pattern may energetic, reliable. tion, structure, is tent relations Its method does not accommodate nonverbal elements of messages. (Bales’s method shares er’s weakness.) Consequently this many of the most central aspects of relational messages are ig- Anyone who has participated in a group discussion knows that the nonverbal element is nored. powerful form of communication, both of To be fair, of course, we must note how difficult it would be to accurately code nonverbal interaction, which undoubtedly is the reason Fisher has not ata so. Theories of Interpersonal Effects in Groups The theories discussed so far in this chapter present a variety of factors interacting to create an interpersonal dynamic in group communication. These factors include teraction patterns, phases, now consider two roles, norms, inand others. We will theories that concentrate on the nature of interpersonal effects in groups and integrate much of what already has been dis- cussed. The of group syntality, and the second is Janis’s groupthink hypothesis. Both theories attempt an answer to the question: What is the outcome of interpersonal communication in groups? Cattell offers a first is Cattell’s theory general answer, while Janis suggests a specific negative effect. sonality) has been influential group dynamics 32. Raymond 32 . Cattell, He in the history of suggests three defining “Concepts and Methods in the Mea- panel, internal modes of government, and patterns of communication. The third panel internal subgroupings, is population vidual traits, the traits of a group’s indimembers. In defining a group’s populayou would discuss the modal or tion traits, typical characteristics, including intelligence, and so forth. These three panels are interrelated; syntality a function of population traits and internal attitudes, is structure. This notion reinforces points made by Lewin about the interrelationships between the group and the individual. The theory as a whole can be summarized as follows: People with individual personalities and traits come together to achieve their goals more efficiently. they commit their energies to achieving group tasks and to maintaining the group. What the group accomplishes is a direct In so doing, amount of energy invested by members. The total group effect is function of the the separate of energy input and output. Let us look more closely at these relationships. a result its The key concept in group effect is synergy. Group synergy is the total energy input of the members. However, much of the energy put into a group does not directly support its goals. Because of interpersonal demands, energy must be expended to maintain relationships and overcome interpersonal synergy Theory of Group Syntality. Raymond Cattell’s theory of group syntality (group perCattell’s The second defined in terms of the interpersonal among the group members. Such characteristics may deal with status structure, content and relational dimensions. tempted to do group description: syntality traits, internal is the barriers. group energy remaining Effective after in- or group maintenance synergy is subtracted. While such intrinsic energy is productive in the trinsic it works toward group cohesiveness, does not contribute directly to task ac- sense that it complishment 33 . surement of Group Syntality,” Psychological Review 55 (1948): 48-63. 33. 236 This discussion helps us better understand Collins and INTERPERSONAL CONTEXTS THEORIES OF GROUPS III: The synergy of a group results from the of the members toward the group. To members have different attitudes don but ineffective output. Janis’s ideas give us more concrete explanation of synergistic facand at the same time they demonstrate how actual practice may vary from predictions made by syntality theory. attitudes a the extent that tors, toward the group and its operations, conflict will result, increasing the proportion of energy needed for group maintenance. Thus the more that individuals possess similar attitudes, less Unlike the other theories presented the It greater the effective synergy. Let’s use a simplified a example to see how group performance; nesses in it applied to is Suppose actual political groups. Janis has relied heavily on social-psychological research on group dy- members have varying attitudes toward manners of your meetings you argue a lot about how to organize your efforts and how to learn the material. Much time and energy is spent working out these interpersonal problems. This is your intrinsic synergy. Now, after getting your test grade back, if you sense that the study group failed to achieve the goal of mutual benefit, you will withdraw your energy and join another group or study alone. In this case the effective synergy of the group was so low that it did not accomplish more than you could have accomplished yourself. Next suppose that you join another group. This group agrees immediately on how to proceed and gets down to work. Since there are few interpersonal barriers to overcome, the group is cohesive. The effective synergy is high, and everyone does better on the examination than they would have done had they studied alone. 34. that the is study group, you discover Cattell’s theory explains real events. forming in this is normative and applied. normative in that it provides a base for diagnosing problems and remediating weak- chapter, Janis’s theory the need for intrinsic investment, and the that in AND ORGANIZATIONS the subject matter and differing namics, integrating concepts such as cohesiveness in explaining actual observed group prac- study. In tices. Janis describes groupthink:“I use the term groupthink mode of as a quick and easy way to refer to a when thinking that people engage in they are deeply involved in when members’ cohesive in-group, a strivings for unanimity over- ride their motivation to realistically appraise al- ternative courses ness is of action. The invidiousGroupthink refers to a de. . . intentional: terioration of mental efficiency, reality testing, and moral judgment that results from in-group pressures.” 35 Janis’s ical approach is intriguing. He uses histor- data to support his theory by analyzing six decision-making episodes in which outcomes were either good or bad, depending political on the extent of groupthink. 36 These historical analyses once again interesting illustrate how communication theory may be generated in a variety of arenas. One of the finest qualities of approach is that his theory involves small group communication at the interface of psychology, political science, and history. Groupthink can have six negative outcomes: Janis’s Janis’s Groupthink Theory. Cattell’s theory gives us one kind of answer to the question of The groupthink much different. 34 interpersonal effects in groups. hypothesis of Irving Janis Janis examines in decisions some is detail the adequacy of made by groups. He shows how tain conditions 1 . The group alternatives. It limits can lead to high group satisfac- The Guetzkow’s 35. Ibid., p. 9. ley’s 36. idea of assembly effects and Thibaut and Kelconception of costs and rewards. 237 discussion to only a few a full range of creative possibilities. 2. Irving L. Janis, Victims of Groupthink: A Psychological Study of Foreign Policy Decisions and Fiascoes. Copyright© 1972, Houghton Mifflin Company. Used by permission. its does not consider cer- position initially favored by most These include the Bay of Pigs, the Korean War, Pearl Harbor, and the escalation of the Vietnam War, as negative examples. Positive examples include the Cuban Missile Crisis and the Marshall Plan. CONTEXTUAL THEORIES members obvious 3. is never restudied to seek out fails to Expert opinion is The group not sought. so confident in its chosen alterdoes not consider contingency is it is marked by number of symptoms. The first symptom of groupthink is an illusion of invulnerability, which a undue creates an group air of optimism. Second, the creates collective efforts to rationalize the course of action decided on. Third, the group maintains an unquestioned belief in the group’s inherent morality, ethical or leading to a soft pedaling of moral consequences. Out-group leadweak, or stupid. In ers are stereotyped as evil, addition direct pressure is exerted on members not to express counteropinions. Dissent is quickly squelched. This leads to the sixth symptom, there is a the self-censorship of deviations. shared illusion make cohesiveness and mutually recognized competence are Thus of unanimity within the group. Finally, groupthink involves the emergence of self-appointed mindguards to protect the group and its leader from adverse opinion and unwanted information. The mindguard typically suppresses negative information by counseling participants not to “rock the boat.” Groupthink is a direct result of cohesiveness groups. Most small group research and theory indicate that cohesiveness is functional in in group performance. Lewin writes that cohesiveness is a reflection of the degree to which all group members share common goals and values. According to Cattell, the amount of effective synergy in groups results from cohesiveness, since cohesive groups need expend little intrinsic synergy. Although Janis does not deny the value of cohesiveness in decision-making groups, he shows how highly cohesive groups may still invest a lot of energy on maintaining 238 re- ceived in highly cohesive groups. With such rewards not surprising that group members invest intrinsic synergy to maintain solidarity. The doubts or uncertainties that arise may plans. Janis maintains that groupthink that can negative is the person’s need to maintain selfesteem. Such rewards as friendship, prestige, by the majority. The group is highly selective in gathering and attending to available information. native that group to the detriment of deci- in the The element reexamine those alterna- 5. 6. goodwill sion making. tives originally disfavored 4. less pitfalls. The group at stake, lead to an it is undermining of group confi- dence and hence of individual members’ selfesteem. Janis summarizes the problem as follows: “The greater the threats to the self-esteem of members of a cohesive decision-making body, the greater will be their inclination to resort to concurrence-seeking at the expense of critical thinking. If this explanatory hypothesis correct, symptoms of groupthink will be found most often when a decision poses a moral dilemma, especially if the most advantageous course of action requires the policy-makers to is violate their own standards of humanitarian be- havior.” 37 Thus cohesiveness is a necessary but not condition for groupthink. Under sufficient conditions of low cohesiveness, factors may be present that prevent the illusion of unanimity. The natural conflict in noncohesive groups leads to much debate and consideration of all Unfortunately such conflict is sides of an itself dysfunctional in decision making, as sev- issue. have pointed out. The amount of synergy absorbed by conflict significantly reduces group output. eral theorists What is the answer to this dilemma? Janis believes that decision-making groups need to recognize the dangers of groupthink. He suggests steps to prevent groupthink: 1 . The leader of a policy-forming group should asevaluator to each member, sign the role of critical encouraging the group to give high priority to airing objections and doubts. 2. The leaders in an organization’s hierarchy, assigning a policy-planning mission to 37. Janis, Victimsof Groupthink, p. 206. a when group, INTERPERSONAL CONTEXTS III: THEORIES OF GROUPS AND ORGANIZATIONS should be impartial instead of stating preferences and expectations at the outset. 3. The organization should appreciable degree, the period when dynamics the feasibility and together to 5. problem with under different chairmen, and then come hammer out their differences. synergy is Each member of the policy-making group should a is that fact, is earlier. Janis’s nothing more The case. One implies that intrinsic synergy work shows that this thrust of Janis’s hypothesis the group. At every meeting devoted to evaluating policy one member should be assigned the role of devil’s advocate. from laboratory research but from Janis’s theory tion theories After reaching a preliminary consensus about to be the best policy alternative, the policy-making group should hold a “second-chance” meeting at which every member is expected to ex- is perspectives or what seems air in this that not. This groupthink theory involves in a it does not take us very ing or explaining some of the important concepts from previous research and theory. It demon- suggests a its how far in understand- groups function. It against one particu- way of guarding danger in groups, but it does not help us understand the nature of cohesiveness, conflict, lar In addi- new understandings in its own right. Janis’s approach is valuable because, like Lewin’s theory, it provides a multidisciplinary roles, or communication. For this reason scholars would be reluctant to call Janis’s some work 39. For a laboratory test of the groupthink hypothesis, see John A. Courtright, “A Laboratory Investigation of Group- view. Ibid., pp. of group functioning. However, this aspect of the theory leads to one of its weaknesses, namely, practical setting 38. breath of fresh It is a normative, or prescriptive theory, providing guidelines for improved out of place, yet of group dynamics. a different also because is applied nature. After our review of several basic theories of provides on limited on limited types of research. regard. Janis’s theory small group communication, Janis’s applied and it stems not only that they are based Theories such as Janis’s are like press as vividly as he can all his residual doubts and to rethink the entire issue before making a definitive choice. 38 tion, It . 9. strates the viability appealing. is utility of group dynamics ideas in understanding actual groups at work. As we have seen repeatedly in this book, one of the failings of most communica- of time (perhaps an entire session) should be spent surveying all warning signals from rivals and constructing alternative scenarios of the rivals’ intentions. it is that in theory that demonstrates the the policy issue involves relations with may seem not the field application and historical case study as well 39 It is a alternatives, at least prescriptive theory is Groupthink occurs precisely because not enough conflict (intrinsic energy) is present in members. Whenever is highly cohesive groups where intrinsic synergy is low, group output may in fact be inadequate. 7. a rival nation or organization, a sizable bloc [sic] The representation of Cattell’s it bad and that the more effective the synergy in group, the better the group’s output will be. Clearly Janis’s or more outside experts or qualified colleagues within the organization who are not core members of the policy-making group should be invited to each meeting on a staggered basis and should be encouraged to challenge the views of the core 8. it has been applied re- it summarized than application of the synergy notion. discuss periodically the group’s deliberations with trusted associates in his own unit of the organization and report back their [sic] reactions. 6. literature groupthink theory, in of policy alternatives are being surveyed, the policy-making group should from time to time divide into two or more subgroups to meet effectiveness separately, that is useful in is peatedly and developed in detail in the group deliberations under a different leader. Throughout value of Cattell’s theory understanding groups. Although Cattell does not develop this idea of group energy to any ministrative practice of setting up several independent policy-planning and evaluation groups to work on the same policy question, each carrying out its 4. The Criticism. presents a basic idea, synergy, that routinely follow the ad- 209-19. think,” Communication Monographs 45 (1978): 229-246. 239 CONTEXTUAL THEORIES a theory at all. Janis himself refers to this appli- tory appears to be high. test, also theory tive side the On the nega- somewhat narrow is scope and is not heuristic of research ideas. in producing in a range are all impossible .” 42 Fourth, organizations usually last longer than a human lifetime. The groupthink hypothesis appears to have validity. Not only is it internally consistent in terms of congruence with other known aspects of groups, but its external validity, established through application to actual cases and labora- among so that close personal relations cation merely as a hypothesis. The second George definition of organization Strother’s. is According to Strother, or- two or more people incooperative relationship, which they have collective goals. The ganizations consist of volved in a implies that members of the organization differ in terms of function, and they maintain a stable hierarchical structure. Strother also recognizes that the or- ganization exists within an environment or milieu 43 Theories of Organizational Communication According to sociologist Amatai Etzioni: “Our society an organizational society. is in organizations, educated in organizations, and most of us spend much of our We organizations. We are born spend lives working much of our for leisure time playing and praying in organizations. Most of us will die in an organization, and when comes the time organization of all for burial, — the state the largest — must grant offi- permission .” 40 cial We know that a great deal of communication takes place in the context of the organization. A large body of written about literature and theory has been human communication in orga- In our search to understand the communication process, it is important for us to browse along the way in the area of organiza- nizations. tion theory. Bernard Berelson and Gary Steiner outline four characteristics of an organization that distinguish it from other first is formality. set of goals, The policies, lations that give it social groupings 41 . The typical organization has a procedures, and regu- form. The second quality of organizations is hierarchy typically expressed in terms of pyramidal structure. Third, organiza- tions tend to consist 40. An may nication perspective. of the literature many commumuch be viewed from Many is the theories and on organizations ignore this some of the writing both recognizes the importance of communication and covers it aspect, but University departments of business and speech communication reflect this concern in their curricula. A survey on organizational communication indicates that a large portion of in detail. speech communication graduate programs offers courses in organizational communication stressing theory, research, and application 44 . we will survey some imporof human organization, emphasizing their contributions to our understanding of interpersonal communication. Most reviewers divide this theory into three broad groups 45 The first, classical theory, rests on assumptions that organizational members are instruments of management or, more broadly, of the bureaucracy. Classical theories attempt to answer In this section tant theories . questions such as the following: work divided? How many How levels is “How is the the labor force divided? of authority and control , of many people, “enough Amatai Etzioni, Modern Organizations (Englewood Cliffs, N.J.: Prentice-Hall, 1964), p. 41. Organizations perspectives, only one of which Bernard Berelson and Gary Inventory of Scientific Findings Brace, 1964), p. 364. (New Ibid. George B. Strother, “Problems in the Development of Social Science of Organization,” in The Social Science of Organizations: Four Perspectives, ed. H. J. Leavitt (En43. a glewood Cliffs, N.J.: Prentice-Hall, 1963), p. 23. 44. Gerald Goldhaber, Organizational Communication (Dubuque, Iowa: William C. Brown, 1974), p. 8. 1. Steiner, 42. Human Behavior: York: Harcourt, 45. Ibid., p. 24. See also Organizations 240 (New James March and Herbert Simon, York: John Wiley & Sons, 1958), p. 6. INTERPERSONAL CONTEXTS How many exist? What at human each level? is that of each perof the weaknesses of classical it deals little with communica- For this reason theory One he we will look at it organiza- What Weber a is sive activity of organization’ is “An system of continuous, purpo- A a specified kind. ‘corporate an associative social relationship by an administrative staff devoted purposive activity.” 50 A of Weber’s theory of bureaucracy is his concepts of power, authority, and legitimacy. For Weber power is the ability of a person in any social relationship to influence others and to characterized to such continuous What is people? What ships exist as a result of various roles? central part and psychological needs exist for the What informal groups exist within the social areas for which of bureaucracy. work found in defines organization as follows: ‘organization’ status relation- the morale and attitude of the his theory is part of a larger is theory of organization. cal communication is usually termed human on propositions asserting that people’s attitudes, values, and personal needs are all important. Fundamental human relations questions include: “What roles do people as- tional relations. It rests in the organization? One of the known form the heart of what is commonly known as structuralism. These ideas, developed at the beginning of the century, relate to the early classi- theory of bureaucracy. sume institutions. best The Theory of Social and Economic Organization, edited by Talcott Parsons 49 Weber’s concepts only pertinent of the classical approaches, Weber’s The second school of thought on is This theory focusing on the most prominent and briefly, AND ORGANIZATIONS THEORIES OF GROUPS are the specific job functions son?” 46 tion. people exist III: people? organization?” 47 overcome resistance. Power in this sense is fun- school. damental to most social relationships. When power is legitimate, compliance is effective and This group of theories, which assumes that or- complete. Etzioni summarizes this concept: on decision making and problem solving, tends to answer the following kinds of questions: “What are the key parts of the organization? How do they relate interde- “Weber’s study of legitimation introduces a whole new dimension to the study of organizational discipline. He used power to refer to the A third branch theory may of thought be called the in organizational social systems ganizations are based pendently to each other? What ability to induce acceptance or orders; legitima- tion to refer to processes in the the acceptance of the exercise of with values held by organization facilitate these interdependent rela- power because What are the main goals of the organization? What is the relationship between the organization and its environment?” 48 The sys- the subjects; and authority to refer to the tionships? it is bination of the viewed tems approach is the most popular perspective for viewing organizations. Here we summarize two important system theories of organizations that emphasize communication as the basis for system relationships. in line two — as legitimate.” 51 to i.e., power com- that is This idea of legitimate Max Weber, The Theory of Social and Economic OrganiM. Henderson and Talcott Parsons (New York: Oxford University Press, 1947). A lengthy interpretation and discussion of Weber’s theory can be found in Parson’s introduction to the above book. Other secondary 49. zations, trans. A. Weber’s Classical Bureaucratic Theory Certainly Max Weber was one of the most prominent sociology and economics theorists of all time. In his lifetime, from 1864 to 1930, he produced a quantity of work on the nature of sources include: Strother, “Problems”; Dwight Waldo, “Organizational Theory: An Elephantine Problem,” GenSystems 7 (1962): 247-60; March and Simon, Organiza- eral tions; Etzioni, Modern Organizations Reinhard Bendix, ; liography of primary and secondary sources on Weber, see S. N. Eisenstadt, Max Weber on Charisma and Institution Building (Chicago: University 46. Goldhaber, Organizational Communication, 47. Ibid. 50. 48. Ibid. 51. Etzioni, p. 7. 241 Max Weber: An Intellectual Portrait (Garden City, N.Y.: Doubleday, 1962); Julien Freund, The Sociology of Max Weber (New York: Pantheon Books, 1968). For a more complete bib- Weber, Social and of Chicago Press, 1968). Economic Organizations, Modern Organizations, p. 51. p. 151. , CONTEXTUAL THEORIES power is a central communication concern. Whether communications will be accepted in an organization hinges on the degree to which the must be free to allocate resources within their realms of influence without fear of outside in- superior has legitimate authority. fringement. Weber The first outlines three types is traditional of authority 52 . authority. Traditional au- when orders of the superior are perceived as justified by tradition. One’s power is seen as legitimate because “it has always been thority occurs The second form of legitimate.” authority bureaucratic or rational-legal authority. is most relevant thorities in a in bureaucracies. is This form The au- bureaucracy derive their power from the bureaucracy’s rules, which govern and by all organization members. Weber sees bureaucracy as the most efficient pattern for mass administration: “Experience are accepted tends to show that the purely bureaucratic type — — of administrative organization that is, the monocratic variety of bureaucracy is, from a purely technical point of view, capable of attaining the highest degree of efficiency and is in this sense formally the most known means control over human rational of carrying out imperative beings. It is superior to any other form in precision, in stability, in the stringency of its discipline, and in its reliability .” 53 Weber’s view of bureaucracy rests on a number of well-defined principles 54 First, bureaucracy is based on rules. Such rules allow the solution of problems, standardization, and . equality in the organization. reaucracies are based competence. Thus Second, buon the concept of sphere of there is a systematic division ership of the organization. Sixth, bureaucrats Seventh, a bureaucracy requires carefully maintained records. This final crite- rion important in terms of communication. it this way: “Administrative acts, and rules are formulated and recorded in writing, even in cases where oral discussion is the rule or is even mandatory. This applies to preliminary discussions and proposals, to final decisions, and to all sorts of orders and rules. The combination of written documents and a continuous organization of official functions constitutes the ‘office’ which is the central focus of all types of modern corpois Weber puts decisions, rate action .” 55 Another feature of a bureaucracy is that it is usually headed by a nonbureaucrat. Nonbureaucratic heads are often elected or inherit their positions. nets, They include presidents, cabi- boards of trustees, and kings. Bureaucrats are dispensable; they may larly trained individuals, the nonbureaucratic head be replaced by simibut the succession of may well be a crisis, precipitating innovation and change. The first two types of authority are tradi- and bureaucratic forms. The third is Under this type of authoriis justified through the charismatic nature of the superior individual’s personality. Unlike bureaucratic authority charisma defies order and routine. The charismatic leader is tional charismatic authority. ty, power revolutionary and establishes authority in opposition to the traditions of the day. One’s of labor, each role having clearly defined rights and powers. Third, the essence of bureaucracy leadership as a prophet or hierarchy. Fourth, administrators are appointed on the basis of their knowledge and about through the demonstration of magical powers and heroism. Weber does not have They are not generally elected, nor do they inherit their positions. Fifth, the members much of the bureaucracy must not share Weber’s theory is included here primarily as a general backdrop for other theories to come. In this regard it serves two is training. in the own- 52. Weber, Social and Economic Organizations, pp. 330—32. 53. Ibid., p. 337. 54. Ibid., pp. tions, 330—34. See also Etzioni, faith in this kind of mass persuasion. Criticism. functions. Modem demagogue comes First, it provides a “classical” or Organiza- pp. 53-54. 55. 242 Weber, Social and Economic Organizations p. 332. INTERPERSONAL CONTEXTS III: THEORIES OF GROUPS standard picture with which the other theories can be contrasted. Second, mon it presents the sultant. com- view of organizations, relating the essence of the classical notion of organizations. Notice that communication and human behavior are downplayed in the theory; the thrust is structure and task factors. For our purposes this facet is the theory’s greatest weakness. The theory gives implicit ideas of what communication is like in organizations, but communication is not treated as an explanatory variable, nor is it seen as the essence of organizational life. As the upcoming sections will inis theory way is summary of the Hawthorne work. 57 Because of his impact on the beginnings of human relations, agement and the Worker was published as a Elton or why idea of branches in the how does not is is human relations The of the leadership school thesis that leadership facilitates morale, which One in of the most important manifestations of this branch is leadership training and T-groups (training groups). The second branch of the human validity, movement more relations sumptions of these theories with organizational climate is movement. 58 deals primarily with leadership in or- the philosophical appropriateness of the asis important also an turn leads to increased productivity. organizations operate. While the some first ganizations. not get an adequate claims of classical theories have considered the founder of the Charles Perrow describes two general The It is early contributor. organizations operate the we do Mayo movement. Kurt Lewin significant. prescriptive or normative. how they do. Hence some the direction of this team, employees about their problems and perceptions. These original interviews led to additional research on group functioning. ManElectric Like most other classical treatments, Weber’s explain Under three hundred interviewers talked with Western traditional dicate, this failure AND ORGANIZATIONS not adequate, nor is general, dealing as a whole. Again, productivity and worker welfare are stressed. their heuristic value high. Etzioni points out that “above Hu- of the failure of classical theory to deal with communication in a central way, the human relations movement began in man Relations School emphasized the role of communication, participation, and lead- the 1930s. ership.” 59 Precisely because . relations by school of organization theory developed partially as a reaction to the and partially as a reacof the 1930s. World War II pushed the movement onward, and by the mid-1940s it had become very popular. Human relations theory originated with the Hawthorne 56. sterile classical theories tion to the depression which received considerable attention and 1930s. 56 These extensive studies were directed by F. J. Roethlisberger, a Harvard industrial psychologist, and R. Dickson, a Western Electric manager. Elton Mayo of the Harvard Business School later acted as a constudies, in the 1920s 111.: Scott, Foresman, 1972), The reac- tion of this school against classical theory is Roethlisberger and W. Dickson, Management and the Worker (Cambridge: Harvard University Press, 1939). For an excellent brief description of the Hawthorne Perrow, Complex Organizations: A Crit- Essay (Glenview, basic tenets social Argyris and Interpersonal Competence. studies, see Charles ical the the following: First, productivity Relations School The human all, . of human relations include is determined norms, not physiological factors. Second, noneconomic rewards are all important in motivating workers. Third, workers usually react as group members rather than individuals. Fourth, leadership is extremely important and involves both formal and informal aspects. Fifth, human relationists stress communication as the most important facilitator of shared decision making. 60 The Human . p. 97. 243 57. F. 58. Perrow, Complex Organizations, 59. Etzioni, 60. Ibid., p. 38. Modem p. 97. Organizations, p. 32. CONTEXTUAL THEORIES perhaps best illustrated by the theory of Chris Argyris, which Argyris’s contribution ter 10). is the application nization relationship. 61 Recognizing that orga- of these postulates to organizational life. The relationship between the person and the organi- nizations are complex, Argyris has chosen to zation involves stresses the individual-orga- what Argyris calls “the basic dilemma between the needs of individuals aspir- focus on one source of energy in organizations — human psychological energy. Speci- ing for psychological success and self-esteem he has been interested in interpersonal competence and interpersonal relationships. and the demand of the pyramidal structure.” 63 The strategies typically viewed as necessary to achieve organizational objectives conflict with the needs of the individual. Here we see a direct manifestation of human relations’ reaction fically, For Argyris there is a lawful unity in every which defines the individual, This self or self. from personality develops interpersonally The person teraction with others. world through in- sees the this self-filter, accepting stimuli congruent with the self and distorting, denying, or rejecting stimuli that cannot be inthat are Thus threatening which blocks the become aware of new pos- tegrated readily into the self. against classical theory. Argyris believes that traditional organizational assumptions require from important dimenThis separation happens in six the person to separate sions of the ways. self. First, the person is required to behave stimuli arouse defensiveness, “rationally,” thus divorcing the self person’s ability to ings. sibilities. Persons have need to increase a basic self-acceptance and acceptance of others, a need is hard to fulfill in the presence of threat and defensiveness. Argyris shows that this is an interpersonal problem: “We come to the con- that clusion that enhance to impossible for it is a human being awareness and acceptance of (as- his from feel- Second, the principle of specialization worker from pursuing the need to utilize the range of abilities. Third, the mechanisms used by individuals to compensate prohibits the (or escape), including daydreaming, absentee- ism, turnover, trade unions, and noninvolve- ment, further drive the person from the need to be a producing, growing person. Fourth, the pects of) his self without simultaneously creat- principle ing the conditions for others to do the same. ordinate, passive, and dependent states. This Put in another way, an individual’s growth and condition worsens the lower the level in the chain of command. Fifth, the same principle learning (on the interpersonal level) is bly tied up with his fellow man.” 62 An inexora- of power places the individual in sub- a removes the worker from self-responsibility. Sixth, the principle of control (separation) places the evaluation of one’s work in the hands of another. high degree of descriptive (nonevaluative) feedback, trust, and experimentation. It is low in organizations to “get the job done” defeat indi- defensiveness and threat. vidual growth. This view of interpersonal communication is grounded in humanistic psychology (see Chap- pattern tic relationship is one in which both authen- parties can increase their sense of self-worth and self- awareness. Such a relationship is marked by In 62. 61 . The core of framework is found in Chris and Organization: The Conflict between Argyris’s Argyris, Personality System and the Individual 1957) the . It is updated Organization (New York: Harper & Brothers, I of Integrating the Individual and York: John Wiley & Sons, 1964). summary is the traditional strategies used in To make As cyclical. Shorter versions are available in part I (Homewood, Richard D. Irwin, 1962) and “Understanding Human sup- destructive cycle is illustrated in Figure 11.4. 64 Obviously Argyris’s work refutes classical and structuralist theories of organization. He of Interpersonal Com- petence and Organizational Effectiveness is on organizawhich deepens the problem. In Argyris’s words, while technical competence is high, interpersonal competence is reduced. The tional values, in part (New matters worse, the the individual self pressed, people are forced to take 111.: Be- havior in Organizations,” in Modem Organization Theory, Mason Haire (New York: John Wiley & Sons, 1959). ed. Argyris, Interpersonal Competence, pp. 20-21. 244 envisions a much different kind of organization 63. Argyris, Integrating, p. 58. 64. Argyris, Interpersonal Competence, p. 43. INTERPERSONAL CONTEXTS Reproduced with permission from Argyris, Richard D. Irwin, Inc., 1962. III: THEORIES OF GROUPS AND ORGANIZATIONS Interpersonal Competence and Organizational Effectiveness, © Figure 11.4. Argyris’s model of human relations. 245 Homewood, III.: CONTEXTUAL THEORIES which human values are as important as production values. Argyris would not abandon the broad groups of organizational variables. Causal variables are those that can be changed or in pyramid structure, but he would encourage altered. In this sense they may be considered as other concurrent forms in which individuals the independent variables in the model. Inter- making vening variables are those that lead to the results participate in organizational decision and evaluation. 65 of the causal manipulations. They reflect the general internal state and health of the orga- The Managerial Grid. Another popular human relations model is The Managerial Grid ® of Robert Blake and Jane Mouton. 66 These authors describe three important dimensions of organizations: purpose (production), people, and nization. The Managerial hierarchy. Grid, illustrated in in a is scaled outcomes book Blake and Mouton relate communi- relations pattern, they describe commu- two way, and moves along the diagonal At point to 9,9. is similar to system are illustrated in Figures 11.6 and Four Systems. Perhaps the most detailed 11.7. 71 communication to be an intervening variable, related to the interaction- that especially considers rather elaborate theory can be Patterns 1, Obviously communication is included throughout Likert’s model. However, Likert of Rensis Likert 69 This found in New of Management and, more recently, in is this sys- in nature. The authority figures still maintain control, but they seek consultation theory of human relations, and surely the most explanatory, Under from below. At the other extreme of the spectrum, system 4 management or participative management, allows the worker to participate fully in decision making. System 4 leads to high performance and an increased sense of responsibility and motivation. These interrelationships 9,1 closure.” 68 Likert’s any point sultative communication is highly formal, task oriented, and one way. At 1,9 it is very informal, social, and approval oriented. At 9,9 “the goal is open, authentic, and candid communication; that is full dis1,1 at is sensitive to the needs of the worker. Moving farther along the continuum, we come to system 3, which is con- nication as increasingly open, from organization can function a continuum of four systems. System 1, the extreme of the continuum, is the except that the manager described in Figure 11.5. Following the general adaptive, as the style An along authoritative leadership, cation directly to each of the managerial styles human dependent organizational tem the executive manages with an iron hand. Decisions are made by the executive, with no use of feedback. System 2, or benevolent- to are described. 67 In high, and possible their from low reflect exploitative-authoritative system. superior’s attitude for production and people. Each dimension end-result variables, the achievement. at Figure 11.5, outlines the various contingencies The variables or outputs, influence system and a subpart of the category of attitudinal, motivational, and perceptual var- The Human Organization. 70 Likert outlines three The relationship of communication variwith management systems is illustrated in iables. For a detailed exposition of Argyris’s ideas organizations, see parts II and III of Integrating. 65. 66. Robert Blake and Jane S. Mouton, on changing ables Table The Managerial Grid (Houston: Gulf Publishing, 1964). This book describes the number of managerial styles in some detail. nature of a 67. Ibid., pp. 160-61. 69. Perrow, Complex Organizations. 70. Rensis Likert, New McGraw-Hill, 1961); York: McGraw-Hill, a great deal of both ideological support and The movement helped prac- research data. Management (New York: The Human Organization (New Patterns of Likert, 72 Criticism. The human relations movement became popular in the 1940s and 1950s, generating Ibid., p. 10. 68. 11. 3. 1967). 246 Human 71. Likert, 72. Ibid., pp. 16-19. Organization, pp. 76-137. INTERPERSONAL CONTEXTS III: THEORIES OF GROUPS AND ORGANIZATIONS and scholars understand that human nature of organizational communication, group beings have needs and values related to organizational functioning and that communication dynamics, and leadership, and it has produced a useful set of guidelines for improving interper- and group process are important aspects of organizational life. It has provided thought on the ever, the titioners sonal communication in organizations. movement was basically How- extreme and High 9 9,9 1,9 8 Country club management Thoughtful attention to needs of Team management Work accomplishment is from people for satisfying relation- committed people; interdepen- ships leads to a comfortable dence through friendly organization sphere and 7 atmo- a “common stake” in organization purpose work tempo. leads to relationships of trust and respect. 6 a o O a 5,5 Organization man management Adequate organization performance is possible through bal- 5 ancing the necessity to get out o work with maintaining morale of c o people U at a satisfactory level. 4 i 3 9,1 Authority-obedience 1,1 Impoverished management Efficiency in operations results Exertion of minimum effort to 2 priate to sustain organization work in such a way that human elements interfere to a minimum membership. degree. get required 1 Low 1 Low from arranging conditions of work done is appro- 23456789 High Concern for production From The Managerial Grid, by Robert R. Blake and Jane Srygley Mouton. Copyright by permission of the publisher. Figure 11.5. The Managerial Grid®. 247 © 1978 by Gulf Publishing. Reprinted . CONTEXTUAL THEORIES embodied a number of serious problems, as and simplistic view that high morale improves outlined next. Human productivity. relations most from its was severely beginning primarily attributable to 73 problems are extreme position Its . its The between human criticized al- For 73. a correlations claimed to exist relations factors comprehensive critique, and organiza- see Perrow, Complex Organizations If a manager has: Well-organized plan of operation High performance goals High technical competence (manager or and if the staff assistants) manager manages via: Causal variables systems or 2 1 SYSTEM 4 for example, uses for example, uses principle of supportive relation- direct hierarchical pressure for results, tests including the usual con- group methods of superand other principles of system 4 ships, and other practices of the vision, traditional systems his organization will display: Less group loyalty Greater group loyalty Lower performance Intervening variables Higher performance goals goals Greater conflict and less cooperation Less technical assistance Greater cooperation More technical assistance to peers Less feeling of unreasonable pressure More favorable attitudes to peers Greater feeling of unreasonable pressure Less favorable attitudes toward manager Higher motivation to produce toward manager Lower motivation to produce and Lower sales his organization will attain: volume Higher End-result Higher variables Lower quality of business sold Lower earnings by salesmen From “New Copyright Patterns in Sales Lower sales costs Management,” in Changing Perspectives sales volume sales costs Higher quality of business sold Higher earnings by salesmen in Marketing Management, ed. Martin Warshaw. © 1962 by The University of Michigan. Reprinted by permission of the publisher. Figure 11.6. Sequence of developments in a well-organized enterprise, as affected by use of System 2 or System 4. 248 INTERPERSONAL CONTEXTS III: t- From The Human Organization , by Rensis Likert. THEORIES OF GROUPS z Jo u»)sXs Copyright I AND ORGANIZATIONS uraisXs © 1967 by McGraw-Hill. Reprinted by permission of the publisher. Figure 11.7. Simplified diagram of relationships among variables for system 1 or 2 and system 4 operations. 249 » CONTEXTUAL THEORIES c^ 3 -a O a/ 33 Oh -3 GO ‘go w > H I *(3 c Cl3 ft) £ N a a O « < £ o E o u >> 3 -O 33 p -3 4-1 o > o 3 S 4-> G 3 ca S ° 2 c 0 3 Q a) Ji -g JD 3 03 a> G>> V o' 50 33 . 03 33 I 0/ "rj ra <u Ah i * * TJ u c/> to Oh V) 3 6 33 03 ca to 5r § 6 T3 3 JD <U 3 '3 £ <u <U Ih a Q O * jj .S £ -»-> J3 a, o > 8 t S 3 D ^ g o « o > jy > 3 O C/5 . <u ^ < O 13 2 £ 3 >r ^ g |S 2 Oh E S" 3 rt GJ 3 G 5 d .2 cu u O flj G 2 O E cr >* 4? 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CONTEXTUAL THEORIES tional effectiveness have, for the most part, of empirical study. In many cases the correlations have not been found in research, and where they do appear, serious failed the test methodological objections have been raised. One of the biggest apparent weaknesses of human relations theories is that they ignore many nonhuman variables that affect the outcome of an organization. Such theories often to take into account the interrelationships fail among various structural and functional elements of organizational output. Since much of human relations is based on the humanistic school of psychology, it shares many faults of the latter (see Chapter 10). For instance human which tion in relations envisions an organizaconflict is minimal, suggesting that anything that might frustrate workers and understanding. Yet creativity stifle know will we that the natural conflict that occurs in groups and organizations can be functional, both for individual human growth and for organizational vigor, asjanis shows. Human relations, like its cousin humanistic psychology, is prescriptive in approach and does not provide much explanation of ongoing and process nature of organizations, two together. System theories tend found among human and structural orga- holistic brings these to be nizational elements. Several system theories of organizations have been devised. One of the first was that of Chester Barnard. The work of Barnard was phenomenon. As president of the New Company, Barnard was truly a Jersey Bell Telephone not only a practicing executive but produced one of the most influential treatises on management and organization. Barnard provided two theories, one on organization and one on communication as well. His book, The Functions of the Executive time filled a , written in 1938, at that theory void. 74 Barnard’s thesis is can only exist through cooperation and that cooperation is the that organizations human medium through which individual capabilities can be combined to achieve superordinate tasks. Charles Perrow writes the following of Barnard: “This enormously influential and remarkable book contains within it the seeds of three distinct were trends in organizational theory that dominate the field for the next three to One was decades. the institutional school [sys- organizational processes as they occur in natural tems approach]; organizations. decision-making school as represented by Herbert Simon; the third was the human rela- It has values for teaching and for developing certain practical strategies, but it has little theoretical value in the sense of helping us understand how and why individuals organize. Ironically, the ideology of the right, classical and the ideology of the left, Each calls for particular kinds of practices to improve organizational functioning without providing a basis for understanding how organizations operate. The group of theories we will discuss next has . . . . another was the . . The leading theorists of these schools freely acknowledged their debt to Bartions school. . . . nard.” 75 Calling him the last of the “practical structural theory, theorists,” Strother writes: human work of come relations, share this fault: and institutional economists, as own wealth of experience, to develop a closely reasoned, almost Euclidean treatment of industrial organization.” 76 sociologists, well as his into existence primarily with this goal in mind. “He draws on the the classical theorists, psychologists, One of the most nization is The Systems Approach In the three schools we see The all needs. of thesis-antithesis-synthesis. approach stresses structure above Human relations The system emphasizes theorists, . This techni- The Functions of the Executive (Cam- Harvard University Press, 1938). Perrow, Complex Organizations p. 75. bridge: a clear case classical else. by James March and in Organizations 77 74. Chester Barnard, of organizational theory, impactful theories of orga- that presented Herbert Simon human 75. , 76. Strother, “Problems,” p. 16. 77. March and Simon, source recognizing the 252 zations. is Organizations the interpretive A helpful secondary work of Perrow, Complex Organi- , INTERPERSONAL CONTEXTS III: THEORIES OF GROUPS cal treatise exemplifies theory in its purest form. Throughout their text March and Simon present hundreds of propositions related to de- making and organizational functioning. work as an im- cision Charles Perrow recognizes this portant extension of human relations and classical March and Simon themselves theories. make clear in the it beginning of their book that AND ORGANIZATIONS and because of their impact on the field of communication. Because space necessitates that certain choices be made, the elaboration of the following theories by no means should be taken as a statement that the works of such theorists as Barnard, March and Simon, or Katz and are unimportant. 80 Kahn only They are, perhaps, and current to the study of less central work was conducted for the purpose of providing a more complete conceptualization interpersonal communication than are the than that found in the “machine” models of the Russell. their past. Perrow writes: “Herbert March have provided for the the muscle and flesh Weberian skeleton, giving it more suband believability without . . Weick and Farace, Monge, and theories of Simon and James . The Weick: most of Carl Weick. 81 Weick’s reducing organizational theory to propositions about individual behavior [as the human rela- theory of organizing movement has done] .” 78 As a result of this fuller view, March and Simon’s conceptualization provides a more complex picture of the person than does the human relations school and a more complex picture of organizations as a basis for than does the classical school. ceived wide acclaim and Another example of a munication provides is field a that is it uses theories. Since Weick its inception in 1969, some is activities within the system. consist of double interacts, Perrow, Complex Organizations 79. Daniel Katz and Robert Kahn, The Social Psychology of (New York: John Wiley & Sons, 1966). , p. 146. it has re- criticism as well. but as activities. It is more proper speak of organizing than of organizations to be- cause organizations are something that people accomplish, via a process that must be constantly reenacted. Thus when people do what they do in an organization, their activities create organization, so that organizing The is continual. essence of any organization people are acting in such a haviors are interlocked-, way is that that their be- one person’s behavior contingent on another’s. All organizing consist of interlocked behaviors. A fundamental quality of interlocking is that communication takes place among the people in the organization. Thus organizing a activities concept defined on groups. Remember that statement of communicative behavior earlier in the section an act 80. first For is a a more detailed summary of these edition of this book, Stephen W. Human Communication (Columbus: 78. one sees organizations not as structures or of individual needs. Such is the nature of rule enforcement, accomplished through role behavior, norms, and values. These interrelated components provide a necessary integration Organizations is of the few truly organizational communication riding goals that necessitate the subordination genre have been chosen for discussion because of their central concern with communication as the binding element of organizational systems it how rationale for understanding entities representative theories of the system communication organizing and because is the work of Daniel Katz and Robert Kahn. 79 They present a clear and strong argument in favor of the open system model. Unlike a physical system the organization is social, created by people and bonded by psychological forces. Organizations as social systems are unique in their need for maintenance inputs or control mechanisms to keep human variability in check. Like Barnard, Katz and Kahn teach that the system involves over- Two com- significant in the because human people organize. In short, Weick’s theory systems approach to organizations the theories of organizational communication tions One of Process of Organizing. influential stance, complexity, theories, see the Littlejohn, Theories of Charles E. Merrill, 1978), pp. 303-20. 81. Carl Weick, The Social Psychology of Organizing (Read- ing, Mass.: Addison-Wesley, 1969). CONTEXTUAL THEORIES of one individual. followed by sists of an An interact involves an act a response. A followed by act double interact cona response and then an adjustment or follow-up act by the son. are Weick double believes that interacts. all per- The executive the secretary to undertake an activity asks (act); the secretary then asks for clarification (interact); and the executive explains (double interact). consist of double interacts, interlocked Of course the importance of information and the degree of make such situations clearer. equivocality in the information vary. Consider an executive and an example. a secretary as first organizing activities which behavior, or communication, are designed to Or utive’s asking the secretary a favor nificant problem equivocality. This difference and the secretary follows through Weick. after which the executive responds with you (double interact). a thank Simple? Yes, but these activities are exactly the kind that Weick be- lieves organizations are built on. Of occur for their own sake. Rather, they important function, which is an fulfill the essence of or- ganizing. Organizing activities fulfill tion of reducing the equivocality is not important to is that organizing is accomplished through processes that are developed to deal with equivocal information. The exact nature of that information is irrelevant to What is important members engage the fact that the organization course interlocked behaviors do not the func- of information received from the environment. Equivocality is The execan exam- that has a great deal of the executive asks the secretary a favor (act), (interact), is of an insignificant piece of information, whose equivocality is low; but the example of solving safety problems illustrates a more sigple in the processes to maintain organization. In- teraction serves to achieve common among group members, which anism by which equivocality idea is We is is meanings the mech- reduced. This further developed next. have discussed how individuals interact ambiguity or uncertainty. All information from the environment, according to Weick, is to deal with equivocal information from the environment. But what is the environment? equivocal; organizing activities are instituted by Traditional theories of organization imply that the members of the organization to make the information unequivocal. Of course equivocal- organization. This dualistic notion pits the or- matter of degree, and the organizing is done to reduce equivocality in the direction of ity is a unequivocality. Let’s return to the example of the executive Suppose the executive receives a direcfrom the firm’s president to solve a problem of plant safety. What is the nature of this problem, and how should the executive go again. tive about solving it? The answers to these questions are not clear, inasmuch as the problem can be defined and solved in a number of ways. In other words the executive is faced with equivocal information. At this point notice that certain Recall that information is a (Chapter measure of unfit in and that mescommunication reduce the uncertainty. entity outside the person’s attention to particular aspects of the stimuli. People are selective in any any situation, moment is and what what they attend is attended to at the environment. Indeed, in- formation from the environment is equivocal precisely because different people attend to different aspects terlocking) saying that organizing activities, known were somehow preexistent. Weick has a substantially different idea of environment. Orgaby a mix of stimuli to which they must respond, but the “environment” has no meaning apart from what the individual makes of it. In other words the environment is a product of the person, not something outside the person. What makes the environment salient for the individual is the sages or is a nizers are always surrounded certainty in a stimulus situation Weick is ganization against the environment as if each to in you probably notions from information theory 7). the environment is of it. The interaction process (inthe mechanism by which the in- dividuals in the group reduce this equivocality. 254 . INTERPERSONAL CONTEXTS III: THEORIES OF GROUPS AND ORGANIZATIONS Hence, environments are not preexistent; they are enacted by the humans in the organization. People are continually reenacting their environments, depending on their attitudes, values, and experiences of the moment. For example, the executive of our example is faced with a situation in which interpretation is necessary. Immediately, he or she will attend to process that enables the group to admit certain of the “safety problem.” In enlisting the aid of others, for example the secretary, the executive is beginning processes that will enable the group to treat the safety problem as its environment of the moment. To deal with this equivocal environment, group members make proposals (acts) to which others respond the aspects of safety that certain aspects (interacts) so that the initial ple, proposers can refine their proposals (double interacts). For exam- the executive check the tutes a files may ask the secretary to and reject others. It narrows the field, eliminating alternatives with which the organization does not wish to deal. This process therefore removes even more equivocality from the initial information. For aspects of information example, in dealing with the safety problem, the organization may decide to consider only trol, secretary ing the appropriate file, can be assured that the may comply, pull- formation To continue our example, may decide to deal with safety problems that are caused strictly it provide by machinery, problem has become much company knows has, in Weick’s parlance, the ocality file bers face a choice point. the kinds of decisions. The sec- moment depends on all moved from reenact the they address the question: Should the it equiv- mem- They must make two The first is whether to environment in some way. Here take of the ambiguous; After retention occurs, organization as follows: re- how retary’s activity less toward unequivocality. file (interact), participants’ behaviors are interlocked. rejecting other kinds of problems. As you can see, the (double interact). Notice file (act), body of the safety group ates. so that the executive of the double interact would be and review integrated into the existing is information on which the organization oper- extent of the safety problem. Here the sequence quest management can conworker factors that relate to tion will be saved for future use. Retained in- for accident records. This consti- The all The third process of organizing is retention. Here further equivocality is removed by decision about what aspects of the initial informa- proposal, an attempt to reduce the equivocality. eliminating predispositions. some we (or I) aspect of the environment that executive’s request, and the executive’s subse- attend to quent behavior depends on the secretary’s was compliance. for example, to have the Weick views organizing as an evolutionary process that relies on a series of three major processes: enactment, selection, and retention. Enactment is the definition of the situation or the registering of equivocal information from outside. Enactment is a process of attending to stimuli in such a way as to acknowledge that equivocality exists. The mere acceptance of certain aspects of the environment removes some equivocality. Accepting the task of dealing with safety problems narrows the field for the execu- check out the rate of accidents that are not related to machinery. The second kind of choice is whether to modify one’s behavior or actions. tive so that some uncertainty already removed. The second process is selection Selection is rejected before? Here the question action than utive may I The is: executive may decide, group go back and Should I take a different did before? For example, the exec- decide that solutions for both ma- chinery and nonmachinery accidents should be developed. So far this summary may lead you to believe move from one process of that organizations organizing to another in lockstep fashion: enactment, selection, retention, choice. Such is not the case. Individual subgroups in the orga- is nization are continually a 255 working on activities in CONTEXTUAL THEORIES all of these processes for different aspects of the environment. Although certain segments of the organization may specialize in one or more of the organizing processes, nearly everybody undertakes all of them in one form or another most of the time. Such is the essence of or- An abstract theory, Weick’s model is not designed to explain the substance of activity ganizing. variety of Knowing the evolutionary stages of organiz- ing helps us see how general scale, but this a knowledge does not pro- vide an explanation for moved from organizing occurs on how equivocality the information. To is that one might encounter to present in a general in an organization but way the means by which organizing occurs. In contrast the following theory is a theory of substance that addresses a all communication problems. The two theories are not inconsistent with one another; together they present an excellent system view of communication in organizations. re- address this problem, Weick outlines two elements that occur within each of the three organizing processes. These are assembly rules and interlocked behavior cycles. Assembly rules guide the choice of routines that will be used to accomplish the Structural Functionalism. The included in this section Farace, Their Peter is theory to be last of Richard that Monge, and Hamish structural-functional Russell 82 . theory (the most re- cent of the theories in this chapter) is an eclectic process being conducted (enactment, selection, or retention). Rules are sets of criteria on which system approach, drawing from the best insights of previous work. Like Weick’s this is one of the few strictly organizational communica- organizers decide what to do to reduce equivo- tion theories. cality. rules is The question answered by assembly this: Out of all the possible behavior cycles in this organization, now? For example, which shall we use in the selection process the executive might invoke the assembly rule that “two heads are better than one” and on this meeting of plant engineers. Behavior of interlocked behaviors that enable the group to come to an understanding about which meanings should be included and tion or include which rejected. Thus the safety meeting called by the executive would enable interested individuals to discuss the safety problem and decide how to proceed in defining and solving it. Assembly rules and behavior cycles are a natural part of each of the three processes of organizing. Remember that a behavior cycle consists of double interacts on the part of participating group members. Now we have completed the basic elements of Weick’s model. They are environment, equivocality, enactment, selection, retention, choices, assembly rules, behavior cycles, equivocality removed. and Weick envisions these elements working together in element related to the others. a system, each 256 summarized theories with communica- communication larger theory, but this approach as is part of a directed en- explaining communication processes in organizations. Thus this theory provides an extirely at cellent capstone for the chapter. basis call a cycles are sets Most other in this chapter deal indirectly Although Farace, Monge, and Russell prefer call their work a theory in the narrow not to sense, tive it certainly provides a coherent perspec- and explanation of communication in or- ganizations. This perspective is consistent with system theory generally and with other system approaches to organizations. The authors define an organization as a system of at least two people (usually many more), with interdepen- dence, input, throughput, and output. This group communicates and cooperates to produce some end product by using energy, informaand materials from the environment. One of the most important resources in organizations is information. Using information theory as a base, Farace and colleagues define information in terms of the reduction of uncertion, Richard V. Farace, Peter R. Monge, and Hamish RusCommunicating and Organizing (Reading, Mass.: Addison-Wesley, 1977). 82. sell, — INTERPERSONAL CONTEXTS III: THEORIES OF GROUPS As a person becomes able to predict patterns will occur in the flow of matter and energy, uncertainty is reduced and information is gained. (This concept parallels that of semantic information defined in Chapter 7.) Communication is in part the reduction of un- AND ORGANIZATIONS the second dimension. Among tainty. is which communication functions Communication, certainty via information. however, also involves the use of common symbolic forms that refer to mutually understood the variety of that exist, these au- thors stress three: production, innovation, and maintenance. Production refers to the direction, coordination, and control of activities. Innovagenerates change and tion new ideas in the sys- tem. Maintenance preserves individual values and interpersonal relations necessary to keep the useful distinctions in this theory. system together. The third dimension in the framework is structure. While function deals with the content of messages, structure deals with the emergent delineate patterns or regularities in the transmission of referents. At this point we encounter one of the most The authors two types of communication, which correspond to two types of information. Absolute information consists of all the pieces of messages. For every level in the organization knowledge present in the system. Thus the totality of communicated information in an orga- tional nization absolute communication. is other hand, distributed information is On that individual, dyadic, group, and organiza- which — we may investigate the cation functions and In their the in some We how it is way communi- structured. book Farace and colleagues address each of the four levels of organizgo over the individual, dyad, and detail has been diffused through the organization. The fact that information exists in an organization ing. some generalities. does not guarantee that it will be communicated adequately in the system. Questions of absolute Actually, the authors incorporate much of the information deal with what of Hisfrihnfion deal, practical implication tion is is know n; questions with who knows it. The of this theoretical distinc- that “failures in distribution policies are due to failures by managers to identify which groups of personnel need to know certain things, or to establish where these groups are supposed to be able to obtain the information group in the last this The key concept processing the information. relate to load. (as dis- relate 83. problem when areas the flow optimally to communication received by single individuals, these concepts also apply to organization as a system of interconnected groups forming a macronetwork. At each of these levels of analysis, we can examine the functions of communication, which is Two Underload occurs the notions of load, underload, and overload cussed in Chapter 3) is manifest. Individuals communicate with others in dyads; dyads clus- whole com- of messages to a person falls below the person’s ability to process them. Overload occurs when the load exceeds the person’s capacity. While individual, dyadic, group, and organizational. The related to individual messages or requests, while complexity is the number of factors that must be dealt with in , ter together into groups. mac- is munication is load. Communication load is the rate and complexity of information inputs to a person. Rate is the quantity of inputs such as framework for orcommunication rests on three analytic dimensions. The first of these is the system level which is made up of four sublevels: of system hierarchy chapters into their discussion of such an important contribution of theory, we will spend more time on it. ronetwork structural-functional principle two these levels. Since their discussion of the ganizational Here the highlighting thinking summarized earlier in this chapter and they need.” 83 The will briefly, all a other levels, including dyadic, group, and organizational. Thus, for example, an entire organization might be underloaded or overloaded. The key concept Ibid., p. 28. 257 applicable to the dyad level CONTEXTUAL THEORIES of communication is rules. Members of dyads relate according to patterned expectations. Within organizations there are explicit and im- to the individual, dyad, communicating. Such rules conor implicit communication They tell one how to communicate, when to communicate, with whom to communicate, and what to communi- thors, their plicit rules for stitute the explicit policy of the organization. Some common cate about. the following: who delays are treated; who selects dled; how how them; rule topics include how initiates interactions; what topics are discussed how and topic changes are han- outside interruptions are handled; interactions are terminated; and how fre- quently communication occurs. Through everyday contact between people in an organization, individuals in groups We communication. the most can and group move now levels of to perhaps of these aunotion of macronetwork. significant contribution A macronetwork is a repetitive pattern of information transmission among the groups in an organization. represents the organization’s It Several types of networks be overlaid upon an organization, each providing a major function for the organizaoverall structure. may tion. Perhaps the most network is is commonly understood the formal organization chart, which the prescribed task network. In addition a number of informal networks may also exist. Any network consists of two fundamental parts: the members and their links. tend to Links are characterized by five properties. and communicate together. In fact, the structure of the overall organization depends on these groupings. Since people work The first is symmetry or the degree to which the members connected by a link interact on an work, interact, together in different groups for different functions, different kinds a equally. may distinct member of several analysis one groups. Carrying this step further, we must realize that Members who communicate more the organization consists of multiple structures. For example, structures may be built on task relations, power relations, liking, and others. We will return to this idea structure in a moment. of organizational First, let’s look some at aspects of individual groups. The first, communication structure or micronetwork, pattern of interaction in the group. tion here is who communicates is is less often have a who communicate often have a weaker link. property of links, is the which members agree about their one person believes that he or she often communicates with another, but the other deReciprocity, the third extent to nies is is unreciprocated. is the interaction. the Is The fourth the predominant content of communication primarily about work, social matters, or some other content area? By probing the content of links in a whom what kind of power over whom? The the link property of links the The ques- with it, the The second kind of structure the power structure. Here the question has stronger link, while those links. If First, we note that groups themselves tend to have internal structures. Farace and colleagues outline three types of structure. within the group. An asymmetric link is one way, with a information sender and receiver. The second property of links is strength, which is a simple function of interaction frequency. of groups exist in an orga- nization; a given individual simultaneously be , equal basis. In a symmetrical relationship the members give and take information relatively network, who third type of structure stressed in this theory is leaderLeadership structure deals with role dis- ship. tribution in the group, specifically the distribu- of roles related to interpersonal influence of group members. We have outlined some key concepts related tion 258 we can discern the network’s overall function. The final property of links is mode. Here the question is: How is communication achieved, by what channel? Modes may be face-to-face conversations, group meetings, or communication via letter or telephone. Thus a network consists of members linked together in various ways to share information. To adequately understand a network, we must 1 INTERPERSONAL CONTEXTS III: THEORIES OF GROUPS AND ORGANIZATIONS look the isolate. self, in we Before network we roles. get into the are able to establish those the network. Isolates some role network who Of pects of the From Communicating and Organizing, by Richard structure. 84 This a sensible Criticism. at terms of These two theories, indeed many system theories of organizations, are exciting and quite different from classical and human Ibid., p. 192. Linkers: — — Other — 19 Bridges 5, Liaison 13 V. Farace, Peter R. Illustration network in communication. 9 Isolates: True isolate Isolated Monge, and Flamish Russell of communication network 259 — — dyad 1977 by Addison-Wesley. Reprinted by permission of the publisher. Figure 11.8. and way of looking organizational structure and function Group 18 network concept provides 84. — other roles members who members of any group, yet they link two or more groups. Figure 11.8 illustrates these as- are groups relatively stable structures. 1 Two structure: liaison also are linked to other groups. Liaisons are not cluster into groups. In Group 4, 5, 6, 7, 8 Group 2—9, 10, 11, 12 Group 3—14, 15, 16, 17, of groups and a series network bridge roles. Bridges are group network terminology a group is characterized by four criteria: (1) More than half of the group’s communication is within the group; (2) each person must be linked with all others in the group; (3) the group will not break apart with the exit of one person or the destruction of one link; (4) the group must have at least three members. These criteria, as you can see, make Groups: is are interlinked. are crucial in the are not who those network thus members who is it- have no links with other network members. linked to others, One A mem- Organization at additional factors. bers take different roles. 2, 3 (Figure 8-5). Copyright © CONTEXTUAL THEORIES relations theory. They are valuable for us because they stress communication in organiza- emphasizing the ways transfer of tions, information binds elements into holistic organi- With system theory zation. the emphasis changes from components and structure to relations and interactions. This shift of emphasis is captured by Weick: “The word, organization, a noun and it is also a myth. If organization one will not find found is is one looks for an it. What will be that there are events, linked together, that transpire within concrete walls and these ganizational communication, compared they cannot be terms of power or utility. They in also illustrate that and difficult to pin system concepts are slippery down when to particular observed events. more a way of thinking they are applied System concept than a theory per is se. System theories of organizations have been criticized specifically for their oversimplifica- tion of organizations. This objection because system theory is touted for posed is its ironic sup- wide variety of an organism. The problem is two with ability to deal variables in a sequences, their pathways, their timing, are the fold. First, forms we erroneously make into substances when we talk about an organization.” 85 Thus a the system claims in regard to an organization, key strength of most system theories of organization system theories tend to exaggerate ignoring aspects of the organization that are not systemlike. Second, along a similar vein, cer- is that they are highly appropriate for studying the nature of the phenomenon under not consideration. calls for a Still, system theories have been criticized. 86 Although a number of objections have been raised against various individual system dress questions such as the following: theories, to the we two will look at only those that apply theories presented. First, however, a general observation is in order. from Recall Chapter 3 on system theory that a major criticism of general system theory as an approach to communication is that it is so abstract that it can area. The two little theory of Farace and his colleagues, however, looks at how people are grouped into organiza- by virtue of their — “When boundaries?” 87 The that such theories therefore should be rejected tion to the actual activities that can occur. tional structures — of related entities the standard of a system act like a system and when will they not; what conditions tighten and loosen interdependencies; what conditions freeze or extend the range of values a variable will take; what conditions diffuse or intensify definition The problem bet- Weick’s theory presents a view of the most general organizing processes, with tempered approach that would ad- will a set atten- theories chosen for inclu- sion here could not illustrate this ter. fit problem is that system approaches enough to explain or to preConsequently they are not often falsifiable. Most philosophers of science agree that the validity of a theory that is not falsifiable never really can be known and 87. be applied in numerous ways, even to the same theme downplayed because they do well into the system paradigm. Weick tain variables are information Although these theories are not inconsistent with one another, they are hardly comparable. Even though both theories are system approaches, and even though both relate to or- basic rarely are specific dict individual variation. as inadequate. summarized vidual For example, both theories in this section human as downplay the indi- an important factor in organi- links. zational functioning. 85. Carl hyperbole of the human relations school about the role of human needs. Weick, “Middle Range Theories of Social Sys- 86. Ibid .; see also or Par- ticipation: Calif.: Sage, 1977). ahistorical, is in part a reaction against the criticism is that these theories are ignoring the developmental course Weick, “Middle Range,” 260 interactional structure emphasized over the needs of the individual. This quality Another tems,” Behavioral Science 19 (1974): 358. Bengt Abrahamsson, Bureaucracy The Logic of Organization (Beverly Hills, is The p. 357. INTERPERSONAL CONTEXTS III: THEORIES OF GROUPS of organizations. The theories also downplay the role of power in the organization, suggesting that system outcomes are a natural result of the mechanism of interactional structure and not of the influence of individuals and groups. AND ORGANIZATIONS group goals are also made At the same time groups and organizations, through the rules, norms, and values that arise in in- tain supraordinate achievable through communication. teraction, constrain the individual. membership, What Do We Know about Communication in Groups and Organizations? The distinguishing characteristic of cation in groups and organizations communi- is that indi- become linked into a structure by virtue of communication. The concept of macronetwork, as presented in the last section, captures the general idea of this linkage. Dyads become linked into groups, and groups are linked into organizations. The most important generalization for our purposes is that the essential binding element of groups and organizations is information sharing. Without sending and receiving messages, groups and organizations would not exist. Further, it is clear that groups and organizations are constantly being retion. by continual communica- Therefore communication can be viewed as a process Most words, causes Group a loss of otherwise unattainable goals, while paradoxically erecting new barriers that must be with by the individual. Communication functions dealt viduals created or sustained in other freedom. Communication in groups and organizations makes possible the achievement of of organizing. theorists agree that organizations, as interlinked groups, constitute a system and ex- in part to enable people to deal with the task and interpersonal barriers that naturally arise as part tion. Normally individuals in of joint ac- groups and orga- nizations exert energy to solve problems, make or accomplish objectives, but the concomitant need to relate to others in the group requires that energy also be directed todecisions, ward interpersonal objectives as well. Effective group functioning can only occur when optimal levels of task and interpersonal efforts are reached. Individuals behave in various ways in groups and organizations, giving rise to role division. Roles, including emergent leadership, are established and maintained through communication. The patterns of communication that occur are hibit such largely responsible for individual role behavior. parts, hierarchy, equifinality, homeostasis, Part of the role division in groups and organiza- system qualities as interrelatedness of and morphogenesis (see Chapter 3). Most important, the system operates and is sustained through the passage of information along the lines of the system network. Virtually all of the theories in this chapter stress the functional nature of groups and organizations. In other words the communication that binds individuals to one another accomplishes certain end results. Group and organizational communication functions both on of power. Power is and the locus of power depends not only on legitimate or assigned authority but also on information tions involves the allocation rarely, if ever, equally distributed, attribution. This chapter concludes our discussion of interpersonal contexts of communication. the last three chapters tings. In the next chapter In studied theories and organizational we move to the set- fourth mass communication. As you mass communication is distinguished primarily because of its mediated form. personal and group levels. Individual needs are major met by will discover, interaction in the group, groupness we have related to dyadic, group, is maintained through communication, and cer- 261 setting: , CHAPTER The Mediated Context: Theories of Mass Communication We what Marshall McLuhan Modern communica- What characterizes the mediated context? Several writers have discussed mass com- media make it possible for millions of people throughout the world to be in touch with nearly any spot on the globe. The omnipresent media present an important challenge munication as a concept 3 Most center on four primary criteria of the mass context. First, the audiences of mass communication tend to be large and heterogeneous, and messages tend to be public and open. The second quality of mass communication is that it is primarily one way. The audience is anonymous and impersonal, and feedback is limited. Third, modern electronic technology makes transmission of information to mass audiences rapid. Fourth, most mass communication messages originate from large organizations rather than calls are living in the “global village.” tion to students in many disciplines, impact of the media in for the potential mind boggling. is . We live an environment of constant mass communi- which we experience hourly and daily. Yet because we take this environment for cation, we may granted, have lost touch with the real- of its influence. The very essence of society most countries of the world has been affected by mass communication. Melvin DeFleur captures the importance of the study of communication: “No student of human nature, whatever his disciplinary idenity in tion research and theory such as Gerbner’s article. See, for example, David M. White, “Mass Communications Research: A View in Perspective,” in People, Society and Mass Communication ed. L. A. Dexter and D. M. White (New York: Free Press, 1964), pp. 521-46; Walter Weiss, “Mass Communication,” Annual Review of Psychology (Palo Alto, 3. Calif.: Annual Review Press, 1971); Sidney Kraus, “Mass , tification or theoretical orientation, human can study behavior without recognizing at the outset that man’s as vital to him communication processes as a human biological processes .” 1 are Communication and Political Socialization: A Reassessment of Two Decades of Research,” Quarterly Journal of Speech 59 (1973): 390—400; Wilbur Schramm, Men, Mesand Media: A Look at Human Communication (New being as are his George Gerbner adds sages, the following: “This broad ‘public-making’ significance of tions — the York: Harper & Row, 1973); James A. Anderson, “Mass Communication Theory and Research: An Overview,” in Communication Yearbook I, ed. Brent Ruben (New mass media of communica- ability to create publics, define is- common Brunswick, N.J.: Transaction Books, 1977), pp. 279-90; Joseph M. Foley, “Mass Communication Theory and Research: An Overview,” in Communication Yearbook II, ed. Brent Ruben (New Brunswick, N.J.: Transactions Books, 1978), pp. 209-14; Joseph M. Foley, “Mass Communication Theory and Research: An Overview,” in Communication Yearbook III, ed. Dan Nimmo (New Brunswick, N.J.: Transaction Books, 1979), pp. 263-70; Werner J. Severin and James W. Tankard, Communication Theories: Origins, Methods, Uses (New York: Hastings House, 1979); Dennis K. Davis and Stanley J. Baran, Mass Communication and Everyday Life: A Perspective on Theory and Effects (Belmont, terms of reference, and thus to allocate attention and power has sues, provide — evoked a large number of theoretical contributions. Other theories of mass media have their origins in political thought, analysis, and social-economic historical-artistic-literary schol- arship .” 2 Melvin DeFleur, Theories of Mass Communication (New York: David McKay, 1966), p. xiv. 1. 2. George Gerbner, “Mass Media and cation Theory,” in Human Communi- Human Communication Calif.: Theory ed. Frank Wadsworth, 1981). See, for example, Theodore Peterson, Jay W. Jensen, and William L. Rivers, The Mass Media and Modem Society (New York: Holt, Rinehart and Winston, 1965). Dance (New York: Holt, Rinehart and Winston, 1967), p. 45. There are numerous short surveys of mass communica- 263 , CONTEXTUAL THEORIES from Rogers provides the distinction between communication shown in Table 12.1. 4 Of course, we must be careful not to separate “public” communication completely from interpersonal channels. While there are some rather broad and important differindividuals. Everett summary of excellent interpersonal and mass ences, helpful to realize that “massness” it is matter of degree. For example, mass cation in the extreme sense vision is a communi- illustrated is by a tele- news broadcast, which is less personalized than reading a specialized article in a journal. we Additionally, as will see later in the chapter, mass and interpersonal channels which society is thought of as a large amorphous mass that is influenced as a whole by mass communication. The alternative approach is a group mediation model, in which the audience is not viewed as a mass, but as an amalgam of small groups. These two kinds of thought are represented in the two sections that follow. interrelate in important ways. Theories of Mass Society The Mass Society Concept. The theory of mass society is a concept growing out of the large, complex and bureaucratic nature of the modern state. 6 The theory envisions a malleable mass of people in which small groupings, community life, and ethnic identity are replaced by soci- Theories of mass communication are exceedingly difficult to integrate and to organize. ety-wide depersonalized relations. As William The are equally valued as voters, buyers, says, “All members of mass society and spectaNumerical superiority therefore tends to be the decisive criterion of success.” 7 Great power comes to those who are effective in ma- Kornhauser theories chosen for this chapter represent the mainstream of thought on mass communi- cation, although this compilation is tors. necessarily work in mass communication relates to the ways in which the media affect the public, the theories included nipulating the mass. here reflect this bias. 5 spread criticism of incomplete. Since most of the The theories in this chapter are divided into The first two sections. section relates to the nature of audi- ences and the distributed ways mediated information is public. The among members of the second section tions, The conception of society has led to widemodern life. Critics of the mass society have suggested several propositions, summarized by Daniel Bell as follows. 8 First, rapid developments in transportation and communication have increased human contact, and economic considerations have made people more and more interdependent. Thus, like a giant system, imbalance in one part affects everybody. The catch is that while we are all summarized which is media effects and funcmost popular research area in relates to the the field. Theories of Audience and Diffusion Although the question of how information 6. The most prominent critics of mass society are Jose Ortega y Gasset, Karl Mannheim, Karl Jaspers, Paul Tillich, Gabriel Marcel, and Emil Lederer. The best synthesis can be found in two critiques of the theory: Daniel Bell, “The Theory of Mass Society,” Commentary July 1956, pp. 75—83; and R. A. Bauer and A. H. Bauer, “America, Mass Society, and Mass Media Journal of Social Issues 16 (I960): is approached in many ways, two main kinds of thinking can be isolated. The first consists of a mass audience approach, in diffused in society 4. Everett M. is 3-66. Other sources used in the preparation of this section include Eliot Freidson, “Communications Reserach and the Rogers, “Mass Media and Interpersonal in Handbook of Communication, ed. Ithiel (Chicago: Rand McNally, 1973), p. 291. Concept of the Mass,” in The Process and Effects of Mass Communication, ed. Wilbur Schramm and Donald Roberts (Urbana: University of Illinois Press, 1971), pp. 197-208; and W. Kornhauser, “Mass Society,” in International Ency- Communication,” de sola Pool 5. et al. For a discussion of other aspects of mass communica- tion, including the ways in which society affects its media clopedia of the Social Sciences, vol. 10 and the process by which mediated communication operates, see Melvin L. DeFleur and Sandra Ball-Rokeach, Theories of Mass Communication (New York: Longman, (New 1968), pp. 58-64. 1982). 264 7. Kornhauser, “Mass Society,” 8. Bell, “The Theory of Mass p. 59. Society.” York: Macmillan, MEDIATED CONTEXTS: THEORIES OF MASS COMMUNICATION more interdependent, we have become ingly estranged from one another. and family The theory of mass society remains popular some circles. In the following paragraphs we two examples of prominent contemporary theories of mass communication increas- Community in broken and old values questioned. In addition, because society is no longer believed to be led by the elites, morals, tastes, and values decline. Rapid changes in society hurl men and women into multiple role situations, causing a loss of the sense of self. People become more anxious, and a charismatic leader ultimately may be required to lift society out of will review the abyss. nology. ties are that follow the mass society approach. Notice from one an- that these theories are different other in content and form, but that they share common the consists is assumption that modern society of a large undifferentiated public that affected as a whole by communication tech- This dismal view has several implications for munication may . has received acclaim ideas. At same time McLuhan has become one of the most controversial writers in the arena of pop culture. Whether one agrees with him or not, style and his startling and impactful the his ideas have received too much publicity to be many years, writing ignored. McLuhan published for such books as the Gutenberg Galaxy and The 12.1 between mass and interpersonal channels INTERPERSONAL CHANNELS Message flow He primarily because of his interesting and bizarre TABLE 1 be the most popular communication “theorist” of our time. 9. Paul F. Lazarsfeld and Robert K. Merton, “Mass Communication, Popular Taste, and Organized Social Action,” in The Process and Effects of Mass Communication, ed. Wilbur Schramm and Donald Roberts (Urbana: University of Illinois Press, 1971), p. 557. CHARACTERISTICS is known writer on mass comamong the general public. In fact he perhaps the best tural standards .” 9 Differences McLuhan Marshall McLuhan. Marshall media of communication. Critics of mass society fear that minds will be pounded and altered by propagandistic forces behind the media. Paul Lazarsfeld and Robert Merton express this fear: “There is the danger that these technically advanced instruments of mass communication constitute a major avenue for deterioration of aesthetic tastes and popular culthe mass tends to be two way MASS MEDIA CHANNELS tends to be one 2. Communication context face to face interposed 3. Amount of feedback readily high low selective high low way available 4. Ability to overcome processes (primarily selective exposure) 5. Speed 6. Possible effect to large audience From “Mass Media and Sola Pool et al. relatively slow relatively rapid attitude formation and change Copyright © knowledge change Communication,” by Everett M. Rogers, in Handbook of Communication, 1973 by Houghton Mifflin Company. Reprinted by permission of the publisher. Interpersonal 265 ed. Ithiel de — , CONTEXTUAL THEORIES Mechanical Bride. 10 However, munication environment. 12 His later works consist primarily of a series of articles. 13 Many students of mass communication and McLuhan himself would agree that his his mentor, Harold Adams Innis. 15 Both and McLuhan treat communication media of civilization, and both see the course of history as a manifestation of the predominant media of the age. Innis was a Canadian economist and historian. In his most important works, The Bias of Communication and Empire and Communications he traces the influence of communication throughout the works hardly ages. 16 Innis sees standing Media McLuhan , it The Medium is from was Under- published in 1964, that brought to public attention. 11 Later, his the Innis book, as the essence Massage provided an interest- ing exposition of his “probes” about our com- , — constitute a “theory.” Yet an ex- amination of his ideas reveals that he does have a somewhat systematic arises as much from what people have said about him as from his own writings. Some of this commentary is summarized later under criticism. on the public papyrus, on the other hand, tend to foster pire building, large bureaucracy, changed considerably in the last decade or so of his life. We will begin by summarizing his earlier ideas, then we will ideas move to his later thinking. 14 ideas on the interests. political authority a spatial sense. ings Marshall McLuhan, Understanding Media (New is 13. Implications of Cultural Uniformity,” in Superculture: American Popular Culture and Europe, C. E. E. Bigsby, ed. (Bowling Green: Bowling Green University Popular Press, 1975); “At the Moment of Sputnik the Planet Became a Global Theatre in Which There Are No Spectators but Only Actors,” Journal of Communication 24 (1974): 48-58; “Communication: McLuhan’s Laws of the Media,” Technology and Culture 16 (1975): 74-78; “At the Flip Point of Time The Point of More Return?” Journal of Communication 25 (1975): 102-6; “Misunderstanding the Media’s Laws,” Technology and Culture 17 (1976): 263; “The Violence of the Media,” The Canadian Forum, September 1976, pp. 9-12; “Laws of the Media,” Et Cetera 34 (1977): 173-79; “The Rise and Fall of Nature,” Journal of Communication 27 (1977): 80-81; “The Brain and the Media: The ‘Western’ Hemisphere,” Journal of Communication 28 (1978): 54-60. have relied on in . . spirit.” 17 W. Carey, “Harold Adams Innis and Marshall McLuhan,” The Antioch Review 27 (1967): 5-39. 15. J. 16. Harold A. Innis, The Bias of Communication (Toronto: University of Toronto Press, 1951); Empire and Communi(Toronto: University of Toronto Press, 1950, 1972). of Bruce Gronbeck, “McLuhan as Rhetorical Theorist,” Journal of Communication 31 (1981): 117-28; this article clearly summarizes the differences between McLuhan’s early and later ideas. I and the growth of empires Predating McLuhan’s expound- this point, Innis teaches that the essence . — 14. on of Western culture has been shaped by a strong print or spatial bias. His own viewpoint is expressed as follows: “Mechanization has emphasized complexity and confusion; it has been responsible for monopolies in the field of knowledge. The conditions of freedom of thought are in danger of being destroyed by science, technology, and the mechanization of knowledge, and with them, Western civilization. My bias is with the oral tradition, particularly as reflected in Greek civilization, and with the necessity of recapturing something of its York: 1964), Marshall McLuhan and Quentin Fiore, The Medium the Massage (New York: Banton, 1967). em- and military medium encourages tem- produce different kinds of culture. The spacebinding effect of writing produces interests in 1951). 11. as a which values knowledge and and supports community involvement and interpersonal relationships. Written media : 12. Speech tradition Marshall McLuhan, The Gutenberg Galaxy The Making of Typographic Man (Toronto: University of Toronto Press, 1962); The Mechanical Bride (New York: Vanguard Press, McGraw-Hill, ex- poral thinking, McLuhan’s early media of communication stem 10. as human mind. He teaches that the primary interest of any historical period is a bias growing out of the predominant media in use. Heavy media such as parchment, clay, or stone are time-binding, providing a bias toward tradition. Space-binding media such as paper and tensions of the outline of propositions about the relationship between various media types and culture as a whole. McLuhan’s effect McLuhan’s communication media the synthesis cations 17. 266 Innis, The Bias of Communication pp. 190-91. — , MEDIATED CONTEXTS: THEORIES OF MASS COMMUNICATION One of his predecessor, gone beyond the ideas of Innis in discussing the impact of media on society. In essence McLuhan’s early theory can be broken down into a few basic propositions 18 McLuhan’s most basic hypothesis is that people adapt to their environment through a certain balance or ratio of the senses, and the primary medium of the age brings out a particuideas and those McLuhan but clearly has . McLuhan sees every medium as some human faculty, with the sense ratio. lar We can easily see the connection between McLuhan’s an extension of media of communication thus exaggerating this or that particular sense. In his words, “The wheel is an extension of the foot. The book is an extension of the eye. Clothing, an extension of the skin. Electric circuitry, an extension of the central nervous system .” 19 Whatever media predominate will influence human beings by affecting the way they per. . . . . . . . . ceive the world. tribal people were primarily hearing-oriented communicators. They were emotionally and interperbelieving.” But the invention of the print- ing press changed a new The Gutenberg age this. sense ratio into being, in which McLuhan’s basic premise about the development of Western culture is that the nature of print forced people into a sight predominated. linear, tion. and categorial kind of percepthe use of the alphabet “fos- logical, For McLuhan tered and encouraged the habit of perceiving environment in visual particularly in terms of and a spatial formation pours upon us, instantaneously and c-o-n-n-e-c-t-e-d quired, , 19. McLuhan and Ibid. Our information electrically still is all tion. We move from the habit of data mode of pattern recogni- can no longer build serially, block- Fiore, (New York: Dial, The Medium is the Massage. com- munication insures that all factors of the environment and of experience coexist in a state of active interplay .” 22 Thus we come to the main “The medium is han’s work: This catch phrase, at thesis of McLu- the message .” 23 once curious and thought provoking, refers to the general influence that a has apart from its content. Tom Wolfe it this way: “It doesn’t matter if the networks show twenty hours a day of sadistic cowboys caving in people’s teeth or twenty hours of Pablo Casals droning away on his cello in a pure-culture white Spanish drawing room. medium puts It doesn’t matter about the content .” 24 And of course, is where McLuhan parts company from most contemporary researchers in mass communication. McLuhan claims that the content of communication is irrelevant. What really makes a difference in people’s lives is the predominant media, not content, of the period: here, and and McLuhan.” ac- newer configured world classification to the .” 20 ed. Gerald E. Stearn 1957), pp. 56—34; Carey, “Innis 20. as very rapidly replaced by has forced us to brief summaries of Hot and Cool it is information. McLuhan’s theory can be found in the following: Kenneth Boulding, “The Medium”; Tom Wolfe, “The New Life Out There,” in McLuhan: As soon continuously. terms space and of a time c,o,n,t,i,n,u,o,u,s Good age, though, accord- . that are uniform, 18. new Electronic technology has formerly taken for granted 21 McLuhan describes this impact; “Electric circuitry profoundly involves men with one another. In- sonally close. For the tribal person “hearing brought McLuhan. brought back an aural predominance. The Gutenberg technology created an explosion in society, separating and segmenting individual from individual; the electronic age has created an implosion, bringing the world back together in a “global village.” As a result “it is forcing us to reconsider and reevaluate practically every thought, every action, and every institution by-block, step-by-step, because instant Before printing was invented, was have entered a ing to “They 21. are so pervasive in their personal, Ibid. 22. Ibid. 23. McLuhan, 24. Wolfe, 267 Understanding Media “New Life,” p. 19. p. 7. CONTEXTUAL THEORIES political, economic, Given psychological, aesthetic, moral, ethical, and social consequences that they leave no part of us untouched, unaffected, McLuhan makes and the cool a distinction between the media of communication. These makes dium concepts are the most confusing and probably the most controversial in his writing. McLuhan radio which Hot media are For example, if a introduced into is tures, which are violent reaction those that contain relatively complete sensory data, or is from one kind of metremendous stresses in clear that a shift to another creates society. describes media in terms of the degree to they involve people perceptually. of cool media, you can believes that television changing the fabric of society. But the advent of television brings its own problems. McLuhan unaltered.” 25 hot his definition why McLuhan see hot tribal medium such may as or nonliterate cul- accustomed to cool media, a occur. Likewise, the reori- entation required for hot societies such as our own high redundancy in the information- to adapt to the introduction of cool media such as television has been upsetting. In Understanding Media McLuhan comments theory sense. With hot media the perceiver has need to become involved by filling in missing data. McLuhan refers to hot media as low in participation. Hot media, because they give us less on several media. The following quotations highlight his ideas: somnambulism population. Cool media, on the other everything, create a dulling or in the Speech: Language does hand, require the individual to participate perceptually by filling in missing data. This participation creates healthy involvement. It is involvement. Language extends and amplifies but it also divides his faculties. His collective consciousness or intuitive awareness is diminished by this technical extension of consciousness that is man ticipation or Speech acts to separate man from man, and mankind from the cosmic consciousness 27 speech. . Television, on the other hand, provides the viewer with only a sketch through the illumination of tiny dots. Perceptually the in crucial, for between these visual dots. In must become involved per- McLuhan sees point of impact on society. it as a it, . Repeatability and the cooling of all 26. the core of the mechanical principle dominated our world especially since the Gutenberg technology. .With typography, the principle of movable type introduced the means of mechanizing any handicraft by the process of segmenting and fragmenting an integral action. What . senses tends to result in hallucination.” 26 25. is that has “So the hotting-up of one sense tends to effect hypnosis, is a Print: is fundamental As he puts . unique technology. There have been many kinds of writing, pictographic and syllabic, but there is only one phonetic alphabet in which semantically meaningless letters are used to correspond to semantically meaningless sounds. This stark division and parallelism between a visual and an auditory world was both crude and ruthless, culturally speaking; ... it is the result of the sudden breach between the auditory and the visual experience of man. Only the phonetic alphabet makes such a sharp division in experience, giving to its user an eye for an ear, and freeing him from the tribal trance of resonating word magic and the web of kinship 28 could say that the film has high redundancy, fill . The phonetic alphabet low information. ceptually with the stimulus. This distinction . The Written Word: not required perceptually to fill in anything. In an information-theory sense (Chapter 7) we short the viewer what the wheel does less im- McLuhan’s use of parinvolvement does not refer to the degree of interest or time spent attending to a particular medium of communication. Rather he refers to the completeness (hot) or incompleteness (cool) of the stimulus. Film, for example, is considered to be a hot medium because the image projected on the screen is complete in every detail. The viewer of a film is portant to realize that viewer must for intelligence and body. It enables them to move from thing to thing with greater ease and speed and ever for the foot McLuhan, The Medium is the Massage. McLuhan, Understanding Media, p. 32. 27. Ibid., pp. 79-80. 28. 268 Ibid., pp. 83-84. . . MEDIATED CONTEXTS: THEORIES OF MASS COMMUNICATION had begun with the alphabet as a separation of the multiple gestures and sights and sounds in the spoken word, reached a new level of intensity, first with the woodcut and then with typography 29 Media forms do not cause but bring out modes of thought that are already present in the The problem occurs when the indiperson. individual. . is not familiar with the patterns of person-environment relationships depicted in media. The lack of consonance between the vidual Film: The between the close relation, then, reel world of film and the private fantasy experience of the printed word is indispensable to our Western acceptance of the film form. . . with book culture individual’s perceptual categories tions its reel form and in completely involved Film, both in . scenario or script form, its is 30 . shift in most people intimately, person-toperson, offering a world of unspoken communication between writer-speaker and the listener. That is the immediate aspect of radio. A private experience. environments. The Jacques Ellul. affects subliminal depths of radio are charged with the resonating echoes of tribal horns and antique drums believe that people are active creators in their much lectivism. . work background. as to be with it. . . . The It cool engages you. TV medium promotes depth structures in art and entertainment alike, and creates audience involvement in depth as well. There is scarcely a single area of established relationships, from home and church to school and market, that has not been profoundly disturbed in its pattern and texture 33 . . . McLuhan’s teachings changed substantially. In his earlier works he strongly implies that the form of media in society affects or causes certain modes of perception on the part of society’s members. In his later teaching In the 1970s he seems Instead, with or He takes a holistic approach, much less McLuhan reflect the certain of this causal link. says that media resonate perceptual categories of indi- all forces of society interact and mass system from which the individual cannot escape. At the center of this theory is the concept of technology, or la technique. The evils of mass society arise because of technology and its amoral, lifeless, emphasis on efficiency above all else. Society’s primary problem is that, despite the illusion to the contrary, individuals do not make critical choices based on individual values. They are prevented from doing so by the system, which creates uniformity and thoughtless compliance. In contrast to the amorality of the technological society, Ellul points to the original goals of democracy. True democracy is not possible, however, because technology has subverted in- create a giant dividual of envisioning a causal link between media and personal perception, he later saw a simultaneous outpouring of certain kinds of thought on the part of the media and the viduals. Instead human choice. The vehicle through which the technological society perpetuates the mass society is propaganda Ellul redefines propaganda to include all mechanisms, intentional and unintentional, that constrain individuals. As Conrad Kellen remarks in the introduction 29. Ibid., p. 160. 30. of claiming that will not . critics Jacques Ellul. 34 Ellul has to say about as education. , Television: You have of today’s foremost is mass communication and the media of communication, but he does not separate the two from other social forces, such 32 . One the mass society 31 . The power of radio to retribalize mankind, its almost instant reversal of individualism into col- TV and the depic- stress in society. McLuhan’s later years involves a change in ontology. Whereas he once saw the human being as a passive responder, he came to Radio: Radio of the media creates This Ibid., p. 286. 34. For an excellent brief summary see Clifford G. Chrisand Michael R. Real, “Jacques Ellul’s Contributions to Media Theory "Journal of Communication 29 (1979): 31. Ibid., p. 299. 32. Ibid., p. 304. Critical 33. Ibid., p. 312. 83-93. tians 269 CONTEXTUAL THEORIES book: “The principal difference between his thought ediface and most other literature on propaganda is that Ellul regards propaganda as a sociological phenomenon rather than as something made by certain people for certain purposes. Propaganda exists and thrives; it is the Siamese twin of our technological socito Ellul’s distinction political party to bring about change in the actions of the public. Sociological propaganda is more difficult to define, for its purpose is to integrate individuals into the mass, to unify group behavior; it arises not from the top of the societal structure but from within it. A second distinction can be made between agitation and integration. Agitation is highly visible and calls attention to itself. Usually it is subversive and is utilized by opponents of the primary order. Propaganda by integration, on the other hand, attempts to stabilize and unify. One may also distinguish between As implied in this quotation, Ellul sees propaganda as a universal phenomenon of technological society. Furthermore, he takes the fact essential, in The ganda modem necessary, in societies. technological system requires propa- keep individuals in in order to individuals rely Thus is on it as a line, and source of security. the media are not channels of information used by individuals as a basis for ing, but a critical means of propaganda and horizontal propaganda. Vertical propaganda is the classical type, in which the leader or group at the top attempts to affect the masses below. Horizontal propaganda originates from within the group and spreads in lateral fashion. Finally, one may distinguish between rational and irrational propaganda, although Ellul points out that propaganda is becoming increasingly rational and almost always is based on facts. vertical think- that creates general uniformity throughout society by re- moving individuals from their cultural founAs Ellul puts it: “What these media do what propaganda must do in order to dations. is exactly propaganda cannot exist without these mass media .” 36 In using attain its objectives. In reality the media of communication, the propagandist must organize and coordinate the involvement of different kinds of media much as a composer uses a keyboard to write a symphony. Ellul sees propaganda Several conditions are necessary for the spread of propaganda. As already mentioned, it succeeds in societies that have a dual massindividual character. As society moves toward as necessarily ubiqui- must pervade between political and sociological propaganda is employed by a government or ety .” 35 point of view that propaganda is types. Political and it must continue for long periods of time. Since propaganda must be based on the public sentiments and opinions of common group bonds that formerly held people together begin to break up. In a modern mass culture the individual is apt to find oneself alone face to face with the entire the day to effect the action for mass: “Precisely because the individual claims tous and continuous. It massness, the the indi- vidual’s daily routine, which 37. it aims, must be familiar with the psychological and sociological tenor of the authe propagandist dience. Along the same line be equal to all other individuals, he becomes an abstraction and is in effect reduced to a cito pher .” 37 People are thus susceptible to propaganda only after being cut off from their refer- propaganda must be timely in order to mesh with the thoughts and feelings of the average person. Once this separation happens, once people lose their roots, they become more ence groups. Several kinds of propaganda are found, according to Ellul. He expresses these in terms of distinctions between opposing types. The manipulatable. In first mass society public opinion plays an imWhen channels of information are portant role. 35. Conrad Kellen, “Introduction,” — The Formation of Men’s Knopf, 1965), p. v. Propaganda 36. Ellul, Propaganda , in Jacques Ellul, Attitudes (New people receive common information and thus take common positions. institutionalized, York: p. 9. Ibid., p. 90. 270 MEDIATED CONTEXTS: THEORIES OF MASS COMMUNICATION Ellul believes that public opinion is always The that common propaganda This fact is is true, ion; alienation necessary in modern propaganda is ous needs and in a democracy, a society. The masses is that is — ac- political / some of sociopolitical efc Today ideology as has been in the past. ical it (a it is not the voice of an nonbeliever, More often really) uses including unions, religious groups, polit- parties, national lines, and international blocks. for propaganda, are can promote fects as well. levels, . need Here It although disassociation can result Propaganda thus affects public opinion by crystallizing it, by simplifying, by separating private and public opinion, and by mobilizing public opinion to action. Another sociopolitical result of propaganda is the partitioning of subgroups in society, creating various we-they confrontations. This separation occurs on many . it. can create as well ideologies as a tool to manipulate the public. more: in democracy, the citizens must be tied to the decisions of the government. This is the greatest role propaganda must perform. It must give the people the feeling which they crave and which satisfies them to have wanted what the government is doing 39 state’s It guilt. Propaganda may promote the propagandist is Aside from the It produce Propaganda has important are there; they are interested in the individual needs can create self-justification, also tivism or withdrawal. government correct 38 — surrounding propaganda, effects. may it too. The government cannot act without them. So what can it do? Only one solution is possible: as the government cannot follow opinion, opinion must follow the government. One must convince this present, ponderous, impassioned mass that the government’s decisions are legitimate and good and that its foreign But there effects correctly perceived the picture Ellul as ease tension. cohesion, politics. policy psychic disassociation self; produces opposite but a necessity honest, serious, benevolent, and respects the voter cannot follow public opinion. But it cannot escape it either. from intended to paint. Propaganda simultaneously is of the government. The following quotations illustrate this point of view: Ergo: even the of public opin- of thought from action (uncritical behavior); perpetuation of the need for propaganda. If you have detected an inconsistency among the vari- you have startling conclusions dis- Among length in Ellul’s treatise. tallization or the solidification according to the theorist, on several grounds. First, at psychological effects are the following: crys- information. most propaganda are actual effects of cussed number of individuals receive the same information, they will react in similar ways. Propaganda requires two basic conditions: loss of group identification and mass reEllul’s com- important and involved. feel that a large One of simplifies these life. It ways that make the world more understandable to humankind. Propaganda combats loneliness. It promotes feelings of involvement and meaning to common people. Propaganda boosts self-esteem, making people plexities in Other conditions are required for propaganda to succeed. The most notable is literacy. Propaganda cannot succeed in societies that do not have the educational base of Western cultures. Since propaganda relies on the manipulation of symbols and the development of stereotypes, the population must have a high degree of receptivity to verbal messages. To the extent ceptivity to of modern plexities a step away from reality. The mass media, for example, allow the propagandist to structure “reality” in consistent ways. The idea of mass society has been rather severely criticized 40 Clearly the biggest Criticism. the . functions propaganda serves for people: It vides psychological support in facing the 38. Ibid., p. 126. 39. Ibid., p. 127. pro- problem with this idea is that it oversimplifies the nature of society. Consequently the claim that the mass public is at the mercy of those com- 40. 271 Bell, “The Theory”: Bauer and Bauer, “America.” CONTEXTUAL THEORIES who control the media has been refuted re- peatedly by empirical research in mass nication effects. The theories have had little impact or heuristic value social sciences. Although many ideas worth pursuing may be found in the work of such theorists as McLuhan, Ellul, and others, researchers have not been open to investigating these ideas, precisely because of their dogmatic and negative nature. Now let us turn our attention to McLuhan and Ellul specifically. McLuhan is in a world apart. His theory is not only unorthodox but is rarely classified with other theories of a certain genre. However, to the extent that McLuhan conceives of media as affecting society in a general way without discriminating various kinds of effects among different groups, he must be considered among the critics of mass society. His ideas are commu- in the mass media topics of mass society in general are comof mass society is newer concept of the audience as a complex mediator between media and effect. Raymond influence and plex. In contrast to the theory the many atphenomenon Bauer, in observing the failure of tempts at persuasion, refers to this as the obstinate audience.* 1 He denies the idea that hypodermic needle effect operates between communicator and audience. Instead, a direct many variables involved in the audience interact ways. 42 (Many of were discussed in Chapter 8.) of the more important areas of audience mediation are group or interpersonal effects and selectivity. Studies have shown that audience members are selective in their exposure to in- to shape effects in various these dynamics Two formation. 43 In its simplest almost impossible to this form the hypothesis not constitute proach, while agreeing that certain effects occur, denies the mass-sheep effect commonly to in a treatment and does theory in the standard sense. Therefore his scholarly stance is somewhat oracular; like the priests of Delphi he produces messages that can be interpreted in different ways but do stimulate thought and in many cases have considerable impact on the people who consult the oracle 44 the next section. clear using standard The reason for work is mostly an listed: of view is further elaborated by the multistep flow hypothesis, presented in feared. This point work that his commentary about the man. To give an idea of the variety of comments that have been published about McLuhan, several quotations are Thus in opposition to the theory of mass society, the social-psychological ap- of mass society tend is Yet there has been no lack of criticism and reference. As critical or norapproach fails to provide a understanding of the actual variables at difficulty artistic-historical-literary of selective exposure predicts that people in most circumstances will select information consistent with their attitudes and other frames of In addition the critics criticize categories of theory criticism. . concentrate on the negative. A man mative theory ability to cross this like McLuhan has wit, erudition, and the not only academic fields, but fields in Consequently these community and the academic. He has a fund of history and a sense of tradition which few possess these days. He represents a willingness to Raymond A. Bauer, “The Obstinate Audience: The Influence Process from the Point of View of Social Communication,” American Psychologist 19 (1964): 319-28. confront the present and yet not to reject the past. Yet he often approaches this area with the stance of a huckster, the techniques of a propagandist, the advanced societies. the professional 41. 42. Raymond Bauer, Communication, ed. “The Audience,” Ithiel de sola Pool et al. in Handbook of (Chicago: strategies of a con man 45 . Rand medium and to mix McLuhan books are the skyrocket McNally, 1973), pp. 141-52. Again, to vary the the metaphor, Studies on selectivity are well summarized in David O. Sears and Jonathan I. Freedman, “Selective Exposure to the that 43. Information: A came out Schramm, Men, Messages, and Media, p. 125. 45. Donald F. Theall, The Medium Is the Rear View Mirror: Understanding McLuhan (Montreal: McGill University Pre- 44. Review,” Public Opinion Quarterly 31 (1967), reprinted in Wilbur Schramm and Donald F. Roberts, The Process and Effects of Mass Communication (Urbana: University of Illinois Press, 1971). Critical ss, 272 1971), p. xvii. MEDIATED CONTEXTS: THEORIES OF MASS COMMUNICATION of this ferment, and one feels almost that if one lit a match they would soar up into the sky and explode into a thousand stars. 46 His writing deliberately antilogical: circular, repe- is titious, unqualified, gnomic, outrageous.47 There are people whose fate it is to be read in this spirit: not because of what they have to say, which is meager or foolish, but because of the bleaker measure they provide of their society’s quality of mind and conscience. And it is in this spirit that Marshall McLuhan must be approached: as one who has little that is substantial to say but who reveals a very great deal about the cultural permissiveness of mid- literature on rhetoric and communication is an act not unlike taking on Hercules’ Hydra; each blow one strikes for propositonal clarity requires two qualifications and a simultaneous assault on at least eight other conceptual quag- mires. would ing am many writes about himself: our culture is regarded as invited as long as he stays in one fixed position. Once he starts moving around and crossing boundaries, he’s delinquent, he’s fair game. The explorer is totally inconsistent. He never knows at what moment he will make some startling discovery. And consistency is a meaningless term to apply to an explorer. If he wanted to be consistent, he I stay in home. don’t explain This last . — . I difficult — using his ideas explore,” expresses the 51 . ideas are useful for stimulating a little guidance on how to understand the They are valu- of do not give a able in that they point to the importance media forms in society, but they criticism so of the variables involved in the of media forms. In sum Kenneth Bouldis perhaps typical of very creative minds that they hit very large nails not quite on the head .” 52 Ellul can hardly be compared with McLuhan. In contrast to McLuhan’s ambiguous, probing technique, Ellul’s works are of a single mind and clearly expressed. However, he shares the faults of the critics of mass society spelled to use art as evidence, out earlier in this section. Basically his tenet that realistic picture effects ing points out: “It . quotation captures the qualities of that — the tendency I process of mass communication. explore 49 McLuhan’s writings comment, “I main humanists). McLuhan’s McLuhan’s an investigator. 1 make probes. I have no point I do not stay in one position. would McLuhan all but defies conceptual You can see why such an approach fresh look at the subject matter, but they pro- of view. Anybody . reason social scientists have such difficulty vide I . frustrate social scientists (while delight- don’t explain century America. 48 McLuhan . synopsis .” 50 make the use of aphorisms or catch phrases in place of technology and the quality of being inconsistent and ambiguous. McLuhan’s goal often seems to be to stimulate thought rather than to make clear claims. Bruce Gronbeck relates the frustration of many critics: “To enter the world of Marshall McLuhan with a view to clearly defined terms, is reductionistic. at He the base of all tends to ignore plex issues and variables of social social ills is many com- life in favor of an overly simple view of mass society. His in- volvement of propaganda as the central concept of communication is an unfortunate usage. It is probably invalid to imply, as Ellul does, that the negative connotations attached to the term evaluating his contributions to the theoretical propaganda apply equally well to Kenneth Boulding, “The Medium is the Message,” in McLuhan: Hot and Cool, Gerald Steam, ed. (New York: all forms of 46. public communication in society. The Dial, 1967), p. 57. 47. George P. Elliott, “Marshall McLuhan: Double Agent,” in Steam, McLuhan, positive contribution of the critics of mass society is that they provide an important alternative view to the approach normally taken p. 67. Theodore Roszak, “The Summa Popologica of Marshall McLuhan,” in McLuhan: Pro and Con, ed. Raymond Rosenthal (New York: Funk & Wagnalls, 1968), p. 257. 48. 49. Steam, McLuhan, p. xiii. 273 50. Gronbeck, “McLuhan,” pp. 117-18. 51. Steam, McLuhan, 52. Boulding, “The Medium,” p. xiii. p. 68. : CONTEXTUAL THEORIES by social scientists. Typically social scientists through discussions with peers. For example, seem to be more take an administrative or pragmatic approach to Lazarsfeld found that voters media research. Their aim is to understand how media work so that media can be better used. The social scientists’ methods attempt to be influenced by their friends during a campaign objective. Little insight is adherents to the two-step flow theory describes of the media. In conapproach allows consumers to into the values or failings trast the critical ask the question: media How are both critical It was a healthy sign, they that people were still most successfully persuaded by give-and-take with other people and that the influence of the mass media was less automatic and less potent than had been assumed. For social theory, and for the design of communication research, the hypothesis suggested that the image of modern urban society needed revision. The image of the audience as a mass of disconnected individuals hooked up to the media but not to each other could not be reconciled with the idea of a two-step flow of communication implying, as it did, networks of interconnected individuals through which mass communications are channeled 56 for a democratic society. felt, and pragmatic ap- and Michael Real state of Ellul: “Unwilling to hide behind the mask of pseudo-objectivity, he steps into the value vacuum of academic analysis with ‘must’ and ‘should.’ In being prehe reduces the gap between the theory and action.” 53 scriptive as well as descriptive, Theories of Diffusion The Two-Step Flow. In 1940 a classic voting study was conducted by Paul Lazarsfeld and New . This view expounds the supremacy of the small group although unconfirmed, implied a possible strong involvement of interpersonal communicommunication process. This effect, which came to be known as the cation in the total mass was tional data have come in, much concept of opinion leaders community who media and pass cial, and the hypothesis 53. facilitate ship leaders in Paul Lazarsfeld, Bernard Berelson, and H. Gaudet, The (New York: Columbia University Press, that ion, The best summary of this hypothesis is Elihu Katz, “The Two-Step Flow of Communication,” Public Opinion Quarterly 21 (1957): 61-78. A more recent treatment is Katz, 55. issue Sills it differs in and public is 56. Katz, Interpersonal Influence,” in International En- David The opinion it is conceived as a of interpersonal important aspect is that opinion leadership changes from time to time and from issue to issue. Katz and Lazarsfeld find 1948). cyclopedia of the Social Sciences, vol. 4, ed. others. hard to distinguish from a trait. Instead, communication. Christians and Real, “Jacques Ellul’s Contributions,” III: groups: occupational, so- all is role taken within the process People's Choice “Diffusion not is the communication p. 92. 54. the is in the from the Opinion leaders other group members, because opinion leader- hypothesized that information flows from the mass media to certain opinion to their peers. it community, and leader typically — individuals receive information are distributed in addi- has received substantial support. 55 Lazarsfeld community, who in society. Personal Influence 57 Central to the theory and it had a major impact on the conception of mass communication. startling, Since the original Elmira study, More recently it has been shown that small groups interconnect in a web of networks running throughout the “mass.” The two-step flow theory is best summarized in Katz and Lazarsfeld’s classic work, York. 54 The re- searchers found an unexpected occurrence that, two-step flow hypothesis, contradicts the earlier mass society idea: considerable interest. The authors themselves were intrigued by its implications proaches are necessary. As Clifford Christians his colleagues in Elmira, it The hypothesis aroused communication falling short in serving society? In the overall picture One of the most prominent than by the media. how provided, though, An such areas as marketing, fashaffairs. Interest in a particular certainly an important determinant “Two-Step Flow,” of p. 61. Katz and Paul Lazarsfeld, Personal Influence: The Part Played by People in the Flow of Mass Communications 57. Elihu (New (New York: Macmillan, 1968). 274 York: Free Press, 1955). . MEDIATED CONTEXTS: THEORIES OF MASS COMMUNICATION opinion leadership, but leaders can be influential when only interest is shared by all members of the group. a variety any case the implication In is groups that provide the key for mass communication influThey do this by providing direction to the ence. individual in terms of opinions, attitudes, val- and norms. Groups also give ready access communication. In recent years most theorists have moved to the newer multiple-step model of diffusion 58 The multiple-step model is similar to the twostep hypothesis; it simply admits to more com- ues, to . plex possibilities. Research has number of ultimate and final receivers is shown that the between the media variable. In the adoption of relays an innovation, for example, certain individuals will hear about the innovation directly from media sources, while others will be many steps removed. However, the basic concept of opinion leadership remains unchanged. Everett Rogers and Floyd Shoemaker provide a list of theoretical generalizations about opinion leadership, which should help round out this theory for us. Opinion leaders have greater exposure than their followers. Opinion leaders lowers. . Opinion . . . to issues .” 60 The Diffusion of Innovations. . . . . followers. . . . When leaders are from a from person to person within a single Several prominent American and foreign areas or area 61 . researchers have been responsible for this line of research. The broadest and most communica- tion-oriented theory and is that of Everett Rogers his colleagues 62 . Rogers began his theory by relating it to the process of social change in general. Social change consists of invention, diffusion (or communication), and consequences. Such change can occur internally from within a group or externally through contact with outside change agents. In the latter case contact may occur spontaneously or accidentally, or it may result from planning on the part of outside mass media their fol- . social participation than are social status than their more innovative than agencies. their fol- . norms favor change, opinion more innovative, but when the norms are 60. Ibid., p. 224. 61. For a general summary see Torsten Hagerstrand, “DifII: The Diffusion of Innovations,” in International fusion the system’s traditional, opinion leaders are not especially Encyclopedia of the Social Sciences, vol. 4, ed. (New York: Macmillan, 1968). innova- David Sills Everett M. Rogers, Diffusion of Innovations (New York: Free Press, 1962); Rogers and Shoemaker, Communication of Innovations', Everett M. Rogers and Ronny Adhikarya, 62. tive 59 . One of the best summaries of this extension can be found in Everett M. Rogers and F. Floyd Shoemaker, Communication of Innovations, A Cross-Cultural Approach (New York: Free Press, 1971), chap. 6. 58. 59. diffusion of an idea spreads . Opinion leaders . most our un- point of origin to surrounding geographical . Opinion leaders have higher The when an innovation occurs . their followers. the tion research in rural agriculture, developing nations, and organizations. leaders have greater change-agent contact Opinion leaders have greater One of fruitful theoretical areas contributing to derstanding of diffusion stems from the innova- . more cosmopolite than are than their followers. lowers. Opinion leaders may be of two kinds: those on one topic and those influential on of topics. These types have been called monomorphic and polymorphic It has been hypothesized that monomorphism becomes more predominant as systems become more modern. “As the technological base of a system becomes more complex, a division of labor and specialization of roles result, which in turn lead to different sets of opinion leaders for different influential “Diffusion of Innovations: An Up-to-Date Review and Commentary,” in Communication Yearbook III, ed. Dan Nimmo (New Brunswick, N.J.: Transaction Books, 1979), pp. 67-82; Everett Ibid., pp. 218-19. M. Rogers and D. Lawrence Kincaid, (New York: Free Press, 1981). Communication Networks 275 CONTEXTUAL THEORIES Diffusion of innovations ing process. Many years time-consum- usually occur in this last category, although op- be required for an tional decisions can be rapid also. Collective decisions are probably the slowest. Figures 12.2 and 12.3 illustrate the differences between col- is may a idea to spread. Rogers states, in fact, that one of the purposes of diffusion research is to discover the means to shorten this lag. Once established, an innovation will have consequences, be they functional or dysfunctional, direct or indirect, manifest or latent. Change agents normally expect their impact to be functional, direct, and lective and authority decision processes. 64 The diffusion process just described may appear linear, seeming to occur in discrete steps or stages over time. Rogers now criticizes this linear view, showing that the diffusion of innothan he previously thought. manifest, although this outcome does not always occur. The diffusion of innovations depends on four broad elements: the innovation, the com- his objections to earlier notions are presented in the criticism section that follows. munication, the channels, the time. direction, concentrating tion mary mechanism An innovaany new idea in a social system. The perceived newness of the idea is what counts, not its objective newness. Any idea perceived as new by the citizens of the community applies to is this process. Rogers’s views on communication vations is less linear Some of His thinking later is in a somewhat different on networks as the priAlthough mass for change. 65 communication channels may play significant roles in diffusion, interpersonal networks are most important. Networks are more than a simple information linkage between opinion channels and opinion leaders already have been summarized in the previous section. To review leader and follower, us note that Rogers sees the diffusion process occurring through both mass and interpersonal understand ideas and the degree to which ideas are accepted and modified depend in large mea- let channels. sure The innovation-decision process consists of the four stages outlined in Figure 12. 1. 63 This network. Interaction diagram lists three important interacting determinants of the rate of diffusion. First, the people within a system have certain attributes, including personality, social characteristics, and needs. Second, the social system itself relates significantly to the process of decision. Third of innovations. of innovation There are three different sorts their neighbors. Physicians, among whom con- new drug, are required. The made by force. The fastest rates third kind that individuals modify innovations as part of adoption. Another insight is that innovations are often sought out or created in the system Communication is a convergence of meaning achieved by symbolic interaction. The adoption, rejection, modification, or creation is a product of of an convergence this makes of symbolic interactionism, system theory, and network theory, which were covered in previ- regard- of decisions made by their peers. On other kinds of issues, such as water fluoridation, coldecisions are authority decisions, along the links in the process. Rogers obviously less lective decisions individuals is important, for diffusion appears to be a product of give and take rather than the simple sending and receiving of information. One new insight of this approach is innovation siderable diffusion research has been conducted, or that interaction implied in the How injected into a decisions. The first is the optional decision. Farmers, for example, may grow any kind of corn they wish, regardless of the practice of may decide to use this on the is without the intrusion of a change agent. It is a fallacy to think that an innovation is simply system and adopted or rejected. are the perceived characteristics 63. which flow models just described. liberal use ous chapters of this book. of or decisions Criticism. of adoption Beginning with the work of Paul of diffusion Lazarsfeld, the research and theory Rogers and Shoemaker, Communication of Innovations 64. Ibid., pp. 276, 305. p. 102. 65. 276 Rogers and Kincaid, Communication Networks. MEDIATED CONTEXTS: THEORIES OF MASS COMMUNICATION Reprinted with permission of Macmillan Publishing Co., Inc. from Communication of Innovations by Everett F. Floyd Shoemaker. Copyright 1971 by The Free Press, A Division of The Macmillan Company. © Figure 12.1. Paradigm of the innovation-decision process. 277 M. Rogere and CONTEXTUAL THEORIES has been immensely successful. Dennis Davis of the two-step flow (and and Stanley Baran remark of Lazarsfeld: “If one person deserves the title of founder of the field of mass communication research, that person is flow) in the diffusion of information and innovation was a mainstay of mass communication Paul Lazarsfeld. termine the way No in one has done more to dewhich theory and research methods would be developed to aid our understanding of mass communication.” 66 The work of Lazarsfeld and his successors has been influential in guiding our thinking about the process of mass communication. The parsimony of these theories has enabled observers to deal with a huge and complex phenomenon with relative ease. Additionally, these theories have been highly heuristic and have produced a large body of research. For many years the idea 66. 1. Davis and Baran, Mass Communication , p. 27. later multiple-step theory, but diffusion theory change and is is undergoing quite unsettled at the present time. 67 Much criticism of diffusion research and theory arose in the 1970s. Generally, this criticism relates to the simplicity and consequent lack of explanatory power of these theories. now believe that these theories cannot adequately explain the complexities of diffusion Critics processes. We have realized for some time that diffusion does not follow a strictly two-step process, but the logic of the two-step flow 67. is still a standard Rogers and Adhikarya, “Diffusion.” stimulation of interest in the need for the new idea (by stimulators) 2. initiation of the new idea in the social system (by initiators) 3. legitimation of the idea (by power-holders or legitimizers) 4. DECISION to act (by members of the social system) 5. action or execution of the new idea Reprinted with permission of Macmillan Publishing Co., Inc. from Communication of Innovations by Everett F. Floyd Shoemaker. Copyright 1971 by The Free Press, A Division of The Macmillan Company. © M. Rogers and Figure 12.2 Paradigm of the collective innovation-decision-making process. The collective innovation-decision-making process is usually conceived as five or more steps or subprocesses from original realization of a needfor the new idea (stimulation) tofinal action or carrying out the on community decision making . . . , but new it idea in the social system This conception has mainly evolvedfrom research should be generally applicable to most other types of social systems, such as . bureaucracies, committees, 278 and families. MEDIATED CONTEXTS: THEORIES OF MASS COMMUNICATION explanation. In this explanation diffusion as a process is seen of spreading information or innovafrom media to opinion tion in a linear fashion leader to steps is members of the public; the ess. This logic does not explain enough, however. Research has not consistently supported notion of how diffusion occurs. At times media appear to inform the public directly, 1. with little interpersonal involvement; at other times different forms of diffusion are revealed. that for the most part diffusion Rogers believes 2. this the knowledge about lowers number of considered irrelevant to the basic proc- 3. a network-oriented process. The strict dichotomy between opinion leaders and folis is overly simple. The problems of this It linear model are many. tends to be one-way, implying a unidirec- of information and one-way causation. The implication that information and influence flow neatly from one person to another is not supported by research, which inditional flow good deal of two-way interaction is involved in the spread of information. Further, cates that a the one-way model suggests that receivers are the need for change and the innovation 4. persuasion and evaluation of the innovation decision unit 5. by the Decision-making phase decision concerning acceptance or rejection of the innovation by the decision unit communication of the decision to adoption units in the organization Decision-implementation phase action or implementation of the decision: adoption or rejection of the innovation by the adoption unit. Reprinted with permission of Macmillan Publishing Co., Inc. from Communication of Innovations by Everett 1971 by The Free Press, A Division of The Macmillan Company. F. Floyd Shoemaker. Copyright © Figure 12.3. Paradigm showing functions in the authority innovation-decision process. 279 M. Rogers and , CONTEXTUAL THEORIES dependent on information sources, tuality individuals in the social when group applied to any kind of communication, in ac- are in- often it is most applied to mass communication. In- terdependent. In the give and take of everyday deed, mass communication effects, the conversation, people exchange information, it, argue about it, and come to a shared understanding. Another problem with the ment question researched topic in mass communication in the model of diffusion is that it downplays but the actual circumstances under which diffusion occurs may have a great deal to do with the pattern of dissemination used by individuals in sharing information and innova- In the preceding section context, models of media-audience linear model linear models tend as on the outcomes of this dissemination. The theory of mass communication effects has undergone a curious evolution in this cen- Rogers is more a matter of convergence or the achievement of shared meaning than of strict influence. points out, diffusion tury. Early in the century researchers believed earliest effects. Individuals and best-known theorists of is Harold Lasswell. mass communication Lasswell, a great political scientist of our time, wrote an “The Function of Communication in article entitled Structure and which the public considered to be heavily influenced by media. the powerful-effects model, in is Whom This Effect. This model outlines the basic elements of communication that have received the most research attention. Although this model can be Harold D. Lasswell, “The Structure and Function of in Society,” in The Communication of Ideas, York: Institute for Religious and Social Studies, 1948), p. 37. For information regarding Lasswell’s contribution to political science, see Arnold A. 68. Communication ed. that these effects are search in the 1970s, scholars have returned to What Which Channel Says With What members but mediated by audience variables and are therefore only moderate in strength. Now, after re- Who In hypothesis was popular, media effects were considered to be minimal. Later, in the 1960s, we discovered that the media have effects on audience Society.” This 1948 treatise presents the simple and oftenquoted model of communication: 68 To “magic bullet” theory of communication were believed to be directly and heavily influenced by media messages. In other words media were considered to be extremely powerful in shaping public opinion. Then, during the 1950s when the two-step flow in the Communication Effects and Functions One of the how dissemination, this section focuses to stress influence rather than Yet, discussed the functions of media communications in society. While the last section stressed the process of simplistic will be inconsistent. Additionally, interpersonal understanding. we relationships: audiences receive information and influence. Here we cover more specifically the effects and tions. Since context creates variability in diffu- on the model, has been the most- last fifty years. linear sion patterns, research based in Lasswell’s last ele- Lyman Bryson (New Rogow, ed., Politics, Personality, and Social Science in the Twentieth Century: Essays in Honor of Harold D. Lasswell (Chicago: University of Chicago Press, 1969), especially the following articles: Heinz Eulan, “The Maddening Methods later research centers on television as the powerful medium. 69 The theoretical basis of this research is still under development, and for the most part theorists remain with the modmodels of the 1960s. Among the most prominent theories of mass media effects erate-effects and functions are reinforcement theory, agenda setting, uses and gratifications, and the dependency model. We will consider each of these in turn. For information on the powerful-effects model, see Noelle-Neumann, “Return to the Concept of Powerful Mass Media,” in Studies of Broadcasting ed H. Eguchi and K. Sata (Tokyo: The Nippon Hoso Kyokii, 69. Elisabeth of Harold D. Lasswell: Some Philosophical Underpinnings,” pp. 15—40; Bruce Smith, “The Mystifying Intellectual History of Harold Lasswell,” pp. 41-105. 1973), pp. 67-112. 280 MEDIATED CONTEXTS: THEORIES OF MASS COMMUNICATION The Reinforcement Approach torted. Early empirical research on the reinforcement ess approach integrated most clearly by Joseph Klapper in The Effects of Mass Communication 7° uals are influenced Klapper, in surveying the literature on mass communication develops five broad effects, generalizations or theoretical propositions: 1 Mass communication ordinarily does not serve as a necessary and sufficient cause of audience effects, but rather functions among and through a nexus of . mediating factors and influences. 2. These mediating factors are such render mass communication cally that they typia contributory agent, but not the sole cause, in a process of reinforc- ing the existing conditions. 3. On such occasions . . . mass communication does as function in the service of change, one of two conditions a. the mediating factors will be found to be inoperative they are sensitive to audience needs, a profit, likely to exist. Either: is and the effect of the media will be found to be or direct; b. Another mediating variable in the procof reinforcement is group norms. Individby the groups to which they belong; hence, mass persuasion will be mediated by group interaction. This idea was well developed in the multiple-step theories of diffusion, as we have seen. A third broad mediating variable is the process of dissemination itself. Following the lead of earlier researchers such as Katz and Lazarsfeld, Klapper points out the interpersonal nature of mass media dissemination. Along the same line, opinion leadership also influences the effects of mass media. Finally, Klapper lists the nature of media in a free society as an intervening factor. Because media are commercial enterprises carried out to make which normally favor reinbe found to be themselves impel- the mediating factors, forcement will ling toward change. and they attempt to utilize preexisting attitudes and opinions in their appeals. In short the tendency of media to reinforce rather than convert may result from a number of interacting variables. It There are certain residual situations in which mass communication seems to produce direct effects, or directly and of itself to serve certain psychophysical 4. is possible for attitude change to occur, particularly when group norms and other intra- audience factors are already conflicting. The third generalization in Klapper’ s synthesis is functions. 5. that predictable antecedent conditions The efficacy of mass communication, either as a contributory agent or as an agent of direct effect, is affected by various aspects of the media and communications themselves or of the communica- pany ditions ence tion situation. 71 The tempts first is mass media probably tend titude change occurs at be inoperative, and the second all, it The first is to the as follows: personality The Joseph T. Klapper, The (Glencoe, 111.: be avoided or dis- Effects of occur are itemized trait. fifth generalization is that are influenced and situational 71. may group norms, reduced personal influence, and high persuasibility as a it seems, attend to and recall information that supports existing views. Un- may who topic. an abatement of selective processes, conflicting or reduced tention. People, sympathetic material the neutrals, number four relates directly previous one. The situations in which direct persuasive effects the audience predisposition, which causes selective exposure, selective perception, and selective re- 70. that is Generalization will probably be of these among do not hold previous opinions on the is rare. This reinforcement probably caused by a number of in- teracting variables. of these precon- that the mediating factors in the audi- particularly noticeable to rein- minor; conversion is first sure toward change. Such direct effects will be that persuasive at- force existing attitudes in the audience. If at- effect is may The the mediating factors themselves created pres- generalization in the attitude change. accom- by a tions dealt primarily Mass Communication mass effects number of media, message, The previous generaliza- factors. with factors in the audi- ence; this final proposition alerts the reader to Free Press, 1960). the presence of mediating factors in the source. Ibid., pp. 8-9. 281 . CONTEXTUAL THEORIES message, and situation. Such factors include source credibility, media credibility, message public. organization, two-sided versus one-sided pres- idea entations, repetition, and so have the potential for structuring issues for the One of the first writers to formalize this forth. writing, his speeches, and his social tic The reinforcement approach, which Criticism. is time a definite step in the right direction at the it was theory, in vogue. Compared with the bullet the reinforcement approach would inhibit media tant mediating variables, environment but as to a he describes it, pseudoenvironment “the pictures in our model interposes an image between the audience and the actual environment: “For the real environment is altogether too big, too complex, and too fleeting for direct acquaintance. We are not equipped to deal with audience and situation ripe with mediating vari- The resome impora more effects. search in this tradition did identify the or, heads.” 74 Lippman’s viewed mass communication as more complicated than had previously been imagined. It envisioned an ables that com- mentary. 73 Basically, Lippman takes the view that the public responds not to actual events in often referred to as the limited-effects model, was was Walter Lippman, a foremost American Lippman is known for his journalis- journalist. much so completing subtlety, so much variety, so many And permutations and combinations. al- elaborate puzzle than had previously been con- together structed. have to reconstruct it on a simpler model before we can manage with it.” 75 The problem of the limited-effects model is it maintained a linear, cause-to-effect paradigm for research and theory. 72 It failed to we have to act in that environment, we that In recent years the agenda-setting function has been most completely described by Donald Shaw, Maxwell McCombs, and their colleagues. 76 In their major work on this subject, on the media or the ways that individuals might affect the process. The model remained one of active media and passive audience. In addition the limited-effects model concentrated almost exclusively on attitude and opinion effects, ignoring other kinds of effects and functions. Finally, true to past tradition, such research focused on short-term effects of mass communication without questioning whether repeated exposure or time latency might affect the audience. 72. During the 1960s and 1970s scholars attempted to overcome these difficulties. In the later period we can see an effort to expand the notions of communication effects and to assess take into account the social forces Shaw and McCombs write about the agenda- setting function: Considerable evidence has accumulated that editors and broadcasters play an important part in shaping our social reality as they go about their day-to-day task of choosing and displaying news. This im. pact of the mass media — the . . ability to effect cogni- change among individuals, to structure their thinking has been labeled the agenda-setting function of mass communication. Here may lie the most important effect of mass communication, its ability to mentally order and organize our world for us. In short, the mass media may not be successful in telling tive us — what to think, but they are stunningly successful us what to think about 77 functions other than direct audience effects. in telling One of the most M. Childs and J. Reston, eds., Walter Lippmann and His Times (New York: Harcourt Brace, 1959); Phillip L. Bright, “The Speaking of Walter Lippman as a Critic of the New Deal,” (Doctoral dissertation, University of Washington, 1968). popular areas of research centered on the agenda-setting function of mass 73. communication The Agenda-setting Function 74. Walter Writing on the agenda-setting function is not new. Scholars have long known that media lan, 1921). and Tankard, Communication Theories, Lippmann, 75. Ibid., p. 16. 76. Donald L. p. 249. 77. 282 Ibid., p. 5. Public Opinion Shaw and Maxwell Emergence of American Criticism of the reinforcement approach can be found in Severin . See, for example, (New E. York: MacMil- McCombs, The Political Issues (St. Paul: West, 1977). MEDIATED CONTEXTS: THEORIES OF MASS COMMUNICATION In other words agenda setting establishes the salient issues or images in the This theory obviously lic. is minds of the pubapplicable to polit- campaigns; consequently, nearly all research on agenda setting has used campaigns as ical public. how The model setting occurs because the press must be selective in reporting the news. The news outlets, as gatekeepers of information, make choices about what to report and how to report it. Therefore, what the public knows about the state of affairs at any given time is largely a product of media gatekeeping. Fur- variable, degree frequently an item of emphasis, is reported. Evidence suggests that the public generally ranks an issue as more important when it has been discussed frequently in the media. case studies. Agenda The next relates to ing variables, Audience some audience mediat- includes shown on interest the right of the figure. and knowledge is one such we know that how a person votes is determined mainly by what issues the individual believes to be important. For this reason some ther, researchers have come to believe that the issues may reported during a candidate’s term in office have more paign effect on the election than the cam- itself. Figure 12.4 depicts the key variables in the agenda-setting process according to and Shaw. 78 The events and issues first as McCombs variable consists of the they actually occur. These events provide a sea of possibilities for the reporter. Certain events naturally are defined as news; others have a narrower chance of being selected. Selection, or ond news choices, is the sec- variable in the model. Journalists experi- ence strong pressures from their teachers, their and their peers to look for certain kinds of events for reporting. In fact news media editors, often agree about the important events and sues on which istic standards are strong. The is- to report, indicating that journal- third variable, type of news media, also plays a role in the agenda-setting function. For example seems to have a short-term agenda-setting effect, while newspapers are television slower, but longer lasting, in their effects. The type of story, the fourth variable in the model, shapes the nature of the information communicated. The way the information is presented Reprinted by permission from The Emergence of American Political Issues and the placement of the story (for example, front page) affect the salience of an item for the 78. McCombs, by Donald L. Shaw and Maxwell E. © 1977 West Publishing Co. All rights reserved. Figure 12.4. Ibid., p. 21. 283 The agenda-setting process. CONTEXTUAL THEORIES public in terms of the issue agenda. Perhaps variable. Typically, the greater the interest in an issue and the less the knowledge about it, Figure 12.4 could be improved by having an arrow going back from social knowledge and behavior to the media variables that purportedly affect agenda setting. The two theories explained above the reinforcement approach and agenda setting are of the direct-effects tradition. Another way effects have been viewed is the functional approach. Here the question is not. How are people affected by the media? but, What personal and social functions are fulfilled by the media? In reality agenda-setting research lies on the border between effects and functions. Agenda set- the higher will be the need for orientation on that Audience need for orientation will lead to greater media exposure and to more interpersonal communication about related events. Probably those people who are more isolated from others will be more directly influenced by the media in terms of issue salience. The outcome of the agenda-setting process is a kind of issue. — consensus on issue importance, which constitutes social “We knowledge. As David Shaw states: known the press is a meswe are just beginning to obtain a of how that messenger himself can always have senger but glimpse shape the message and, perhaps, in a small and largely unconscious way help shape our common social destiny. That glimpse, of course, is the major challenge of agenda-setting research.” 79 referred to as a function, but to the extent ting is that media affect issue salience in the does not center on one-way cause-effect but looks to the system as a whole in terms of how functions. theories that were thought to be minimal. Second, interact to achieve The next Criticism. ing for effects tradition. its Early Functional Theories and opinion change adds a badly needed dimen- One of the salience as a media The effect is idea of issue functions problem with that although the theory is this line of work it is clear in positing a between media and issue salience, the research evidence on this point is not convincing. 80 Research has uncovered a strong correlation between audience and media views on the importance of issues, but it does not demonstrate that media choices cause audience salience. In fact one would argue that the emphasis given to issues in the media is a reflection, not a cause, of audience agendas. This is a chicken-egg issue. is A more likely possibility formal treatments of media of Harold Lasswell, whose is presented earlier in the work is paradoxical because implies a linear process of mass tion, yet it also communica- presents a set of functions by mass communication, which are not 81. easily classed as causal effects. Lasswell identifies three functions of the media of communication. These are “surveillance of the environment” (knowing what is going on), “correlation of the parts of society in responding to the environment” (having options or solutions for dealing with societal problems), and “the transmission of the social heritage of one generation to the next” (socialization and causal link 79. that chapter. Lasswell’s basic that there earliest was simple linear model intriguing and important. The system three sections present within this functionalist fall focus on cognitive effects rather than attitude sion to effects research. minds of agenda setting is also an effect. Generally speaking, the functional approach individuals, media and society The agenda-setting theory is appealtwo reasons. First, it returns a degree of power to the media after an era in which media — fulfilled is education). 81 an interaction between media and Ibid., p. 29. of this work can be found in Severin and Tankard, Communication Theories, pp. 253-54. 80. Criticism 284 Charles Wright has expanded on Lasswell’s model. Starting with Lasswell’s three basic Lasswell, “Structure and Function.” MEDIATED CONTEXTS: THEORIES OF MASS COMMUNICATION functions, he developed a twelve-category One model and a functional inventory for mass communication as shown in Figure 12.5 and Table 12. 2. 82 The model is set up as a question, proach probing the various functions and dysfunctions of mass-communicated messages. Such functions are broken down according to social levels. The skeleton provided by the basic functional model is filled in, the questions an- swered, on the inventory. In Figure 12.5 a number of we see functions and dysfunctions of of the criticisms of the functional apin general is its inherent ambiguities in regard to explanation. Although the following two do not solve this problem, they toward providing a different kind of theories take a step explanation than that found in effects research. Uses and Gratifications Approach In recent years, there has been growing dissatis- faction with the direct-effects theories outlined earlier. The problem is that this approach is Lasswell’s categories according to social level. primarily linear, positing a causal relationship Notice that Wright added a fourth function, from message to effect. This model takes the form message-audience-mediating variableseffect. Perhaps the paradigm is backward. The approaches we will summarize in this section and the next abandon the message-to-effect model in their search for other explanations. entertainment, to Lasswell’s list. Lasswell’s three functions and Wright’s elaboration of this theory have been Criticism. quoted frequently in the literature on mass communication. They provide an excellent simple outline of some functions and dysfunctions of mass communication. As such they are a useful pedagogical device. However, one must stretch to call this work theoretical in the standard sense because it does not help us understand when and how these various functions and dysfunctions operate. They constitute a good observational aid but are not powerful for The uses and gratifications approach focuses on the consumer, the audience member, rather than the message. This approach begins with media comviewpoint different from that the person as an active selector of munications, which 83. The a sees the person as a passive receiver. 83 material for this section comes from Elihu Katz, Communication,” Jay Blunder, and Michael Gurevitch, “Uses of Mass Communication by the Individual,” in Mass Communication Research: Major Issues and Future Directions ed. W. Phillips Davidson and Frederick Yu (New York: Praeger, 1974), pp. 11-35. See also Jay Blunder and Elihu Katz, eds., The Uses of Mass Communication (Beverly Hills, Calif.: Sage Publications, 1974). See also the entire issue of Communication 20. Research 6, January 1979. , explanation. 82. Charles R. Wright, “Functional Analysis and Mass Public Opinion Quarterly 24 (1960): 605— 1. What are the 2. 3. 4. manifest [intended] and latent [ unintended] functions and dysfunctions 5. surveillance (news) 6. 7. correlation (editorial activity) cultural transmission 8. entertainment of mass-communicated 9. for the society 10. subgroups 11. individual systems? 12. cultural From Public Opinion Quarterly, “Functional Analysis and Mass Communication,” by Charles R. Wright. Copyright Reprinted by permission of Public Opinion Quarterly and the author. Figure 12.5. Wright’s functional model. 285 © 1960. £ CONTEXTUAL THEORIES 3 3 tS .2 h (-< t4_» 3U 3o 3u W ‘3 -T3 ft C/5 o S3 10 3 5 6 o u m ^ to to D ab w Z o - _l < «u % 03 5 b W ^0 Q tn 6 s z u w cS y o Oh o 3 cd 3 bO Oh > 77 £ £ ^ 2 <2 ^ o £ 77 8 O 2 S u N 8 3 3 £| Oh <U *T3 3 e S £ £ c bO « 2 > 3 2 o 3 O o ’3 1/5 a s 3 Oh O Ih I . O >n 3 3 £ <u O r> C/5 C/5 <D CJ hflr /5 bfic/5 <u Q C. 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C/5 critical G 2 <« G r? 287 9. C/5 g G rt O ’a-> *-» CJ c/5 G c£ G <+S SC «d qI CONTEXTUAL THEORIES The basic stance is summarized as follows: figure Compared with classical effects studies, the uses and approach takes the media consumer rather than the media message as its starting point, and explores his communication behav