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INTERPERSONAL COMMUNICATION
Lecture 1
Communication theory: principles and
models
[SLIDE 1 – Introduction]
Key Ideas

The importance of communication and communication skills

Basic communication theory

Communication models

Communication variables

Communication competence
Organisation of this lecture
[SLIDE 2 – Lecture outline]
This lecture will:

Introduce the subject

Define “communication”

Introduce the 6 principles of communication

Introduce some models of communication and

Discuss the concept of communication competence.
[SLIDE 3 – Quote]
Of all the knowledge and skills you have, those concerning communication
are among the most important and useful.
“Of all the knowledge and skills you have, those concerning communication
are among the most important and useful. Communication will always play a
crucial part in your personal and professional lives.” (De Vito, 1993, p. 3).
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Why is communication so important?
It is an all-embracing part of human activity.
It affects how we see ourselves, and the way we are seen by others.
The clothes we wear, the style we adopt, what we say, the way we say it
and the way we stand and gesture all communicate our own self-image.
These messages also profoundly affect the way others see us, and influence
the feedback they offer to reinforce or alter our self-image, for bad or for good.
[SLIDE 4 – The 6 Axioms]
The 6 axioms (principles) of communication (De Vito,
2007, pg 21)
1. Interpersonal communication is a transactional process. (pg 21)
2. Interpersonal communication is ambiguous. (pg 22)
3. Interpersonal relationships may be symmetrical or complementary. (pg
24)
4. Interpersonal refers to content and relationship. (pg 25)
5. Interpersonal communication is a series of punctuated events. (pg 26)
6. Interpersonal communication is inevitable, irreversible and
unrepeatable. (pg 27)
[SLIDE 5 – Skill Areas]
Skill areas for effective communication

Professional writing

Interpersonal skills for one-to-one interaction

Interpersonal skills for group interaction.
1. Skills in professional writing are required so that you can match
your message formulation to the audience.
Different professions also require different writing styles and genres.
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2. One-to-one interpersonal skills are necessary for dealing with
colleagues, clients and customers.
3. Group interpersonal skills are necessary for working in teams.
4. The emphasis on these skills derives from the workplace.
At entry level there is an emphasis on technical skills to achieve
positive customer relations and team work.
At senior levels there is a need for participation in effective
organisational communication across many levels of the organisation,
for leadership to be communicated, for problem solving and for
teaching and training others.
5. Communication is the main activity that governs the quality of our
lives.
Interpersonal, social and professional success depends on your
knowledge of, and ability to use, the skills of effective communication.
When things go wrong, it is often because people do not relate well
with others and as a result, distort or even withhold information.
Poor communication can mean material loss, loss of profit, loss of
goods, and even loss of lives e.g. the Challenger disaster. Include
Omani example here.
Success, in fact, depends on communication competence, which is
why it is one of the topics in this lecture.
Basic communication theory
“Theory” and “theories” are words that you will hear often in this course, and
in others that you take.
Let’s start by defining what a theory is.
[SLIDE 6 – Theories]
What is a theory?

A theory is an explanation of the reason something happens, or the
way that it happens.

It is a generalisation based on research
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
For example, there are theories that explain interpersonal attraction or
why people are attracted to one another.
[SLIDE 7 – Theories continued]

The word “communication” comes from the same root as “common”
and “community”.

Therefore effective communication implies that people have a shared
understanding or a meaning in common.
Definition of Communication
[SLIDE 8 – Communication]
Communication is:

The act by one or more people

Of sending and receiving messages

That are distorted by noise

Occur within a context

Have some effect

And provide some opportunity for feedback.
(DeVito et al, 2000, p. 8)
[SLIDE 9 – Models]
What is a model?
A model is a diagram which symbolically represents theoretical ideas. Simply
put, it is a picture of a process.
Various models have been used since the 1940s to describe what happens
when two people interact with one another.
Generally speaking, we group them into three types: action, interaction and
transaction. I’m going to go through each of these three types of model and
explain them.
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[SLIDE 10 – Action model]
An action model of communication
This is an action model of communication.
The concept was derived from the early days of telecommunications, and the
amount of signal that was received.
The theory was that if the signal was strong enough, communication
was taking place.
It’s true that communication cannot occur if a signal cannot be received, i.e. if
there is some block in the way.
However, human communication is far more complex than simply sending a
voice signal down a telephone line.
We all have experience of someone who has plenty of signal, yet somehow
fails to get a point across.
You may recall a teacher who had plenty of knowledge, yet failed to reach
you. You probably said things like, “X really knows the subject, but s/he just
can’t teach!” What is happening in this situation?
These people go through the action of communication, but reaching shared
understanding and achieving real communication that builds relationships,
doesn’t happen.
This may be because one party (the teacher in this example) thinks that all
that is required is to send the message. Unless the teacher checks that
students understand the message, real communication cannot occur.
Of course, there are times when an action model is satisfactory and
appropriate e.g. a notice in a shop window saying “Sale” or another at a bank
saying “Queue Here” is often all you need.
There are also times when all we really want is an action model and we may
resent being forced into an interaction model e.g. some people prefer just to
be told “That’s $130, please” and pay the money without having to reply to
questions like “How’s your day been?”
What is happening in this situation is that there is a simulation of a
transactional model being forced into a place where an action model may be
satisfactory.
So, part of becoming a competent communicator is matching
communication behaviour to each individual situation.
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[SLIDE 11 – Interaction model]
An interaction model
Let’s move on to an interaction model.
This model shows communication as an interaction between parties in
the communication relationship.
This is the sort of communication that happens when people feel comfortable
enough to say, “I don’t get that! Could you please explain it to me?”, or when
the receiver formulates a response that generates a new message.
The feedback doesn’t have to be as direct or as spoken as that. It can be
something as simple as laughter at a joke, or a puzzled expression, or
restlessness in a lecture theatre.
The point is that the sender and receiver interact with one another, either by
modifying the original message or by constructing new messages. This is the
kind of communication relationship in which straightforward exchanges of
information can occur.
This model brings us closer to the concept of shared understanding, but it still
leaves some gaps.
[SLIDE 12 – Transactional model]
Transactional model
This is a simple transactional model of communication. Many are more
complex, but this more than adequately contains the main ideas connected
with achieving shared understanding.
A transactional model is one which shows that communication
somehow changes both sender and receiver.
Think of a transaction like buying and selling: it leaves both parties in a
different state from the one they were in when the transaction began. Both
parties have gained something.
In communication, the same thing happens. There is a genuine exchange of
ideas, which results in change in both parties. It doesn’t happen easily, and it
requires awareness of many factors in the communication relationship.
Communication Variables
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These factors are called communication variables.
1. Source-receiver:
Each person in the communication relationship formulates and sends
messages as well as perceiving and comprehending messages.
2. Message:
The message is the point we want to get across to the other person.
3. Channel:
Channel is the ways we send the message (speak / listen; gesture /
see; touch / feel; write / read; smell / be smelt).
4. Encoding-decoding:
Encoding refers to producing messages in some kind of symbolic
code like words that represent the idea.
Encoding can be:

spoken

written

nonverbal.
It also includes such things as:

dress

smell

use of time

art

music

and dance.
Decoding involves taking sound, writing, movement and gestures etc
and making meaning out of them.
5. Response / feedback:
Feedback can take many different forms. For example answers,
letters, smiles etc.
What sort of feedback am I getting from you today?
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6. Noise:
Noise is any distortion to the message.
It can be:

physical for example, loud noises

psychological for example, attitudes and feelings

semantic for example, confusion over the meanings of words.
7. Context:
Context is the environment in which the communication occurs for
example, a factory, a board room or a lecture theatre.
Context influences the form and content of the communication.
Aspects to consider within context are:
Physical context - can you speak softly and intimately, or do you have
to shout so everyone can hear?
Temporal context – the time of day influences the way that you react
to a message e.g. people may be tired at the end of the day.
Social-psychological context - status and seniority and other aspects
of the communication relationship e.g. a boss who has to discipline a
worker.
Cultural context - The rules and beliefs about communication are
transmitted from one generation to another and vary according to
different cultures.
Low context cultures pay less attention to social norms and are
more individualistic – they show a higher crime rate, higher levels of
personal freedom and higher rates of individual variation in behaviour.
They also demonstrate rapid rates of social change.
High context cultures pay more attention to social norms and
place greater emphasis on loyalty and duty to family and other
social groups. They also show slower rates of social change.
According to this definition is Oman a high or low context culture?
[SLIDE 13 – Communication competence]
Communication competence
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“The ability to communicate in a personally effective and socially
appropriate manner.”
(Trenholme)
Communication competence means being responsive and versatile.
Being responsive means seeing things from another’s perspective and
communicating with empathy.
It also means being aware of your own beliefs and attitudes and developing
an awareness of the beliefs of those you communicate with.
Being versatile means being flexible and adaptable.
Versatility includes having the ability to respond appropriately in a variety of
situations.
[SLIDE 14 – Elements]
Elements of communication competence

Interpretive competence

Role competence

Self competence

Goal competence

Message competence
1. Interpretive competence is a process of perceiving accurately.
It is the ability to label, organize, and interpret the conditions
surrounding an interaction, or knowing how to assess people and
situations
2. Role competence is a process of adapting our behaviour in
different relationships.
It is the ability to take on social roles and know what is appropriate
behaviour given these roles; knowing when and how to maintain or
violate social norms.
We learn the rules of roles by acculturation – that is, we watch our
elders and our peers. We copy people, are corrected by them, and so
learn what is acceptable.
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3. Self competence is a process of self-presentation.
It is the ability to choose and present a desired self-image; knowing
who one wants to be in a given situation and how to communicate that
self to others.
Self competence recognises that communication is about forming
relationships. It involves managing first impressions to establish the
relationship in the first place and maintaining relationships, through
successfully handling conflict.
4. Goal competence is a process of planning.
It is the ability to set goals, anticipate consequences, and choose
effective lines of action. Goal competence involves knowing how best
to achieve one’s communicative goals.
Each communicative interaction has a goal.
Sometimes the goals are very clear, e.g. as for a job interview.
Sometimes the goal is very vague, e.g. impression management;
getting something off your chest; using someone as a sounding board.
Setting goals for the interaction means developing strategies to
achieve the desired outcome.
It might mean choosing the right context, that is, having coffee with
someone rather than talking in their office.
5. Message competence is a process of coding.
Message competence is the ability to translate general lines of
action into specific message choices that others can comprehend
and respond to.
Message competence includes knowing how to code verbal and
nonverbal behaviour.
It means understanding what may be discussed and what must not be
mentioned; it means knowing when to speak up and when to stay
silent.
[SLIDE 15 – Communication competence consists of]
Communication competence consists of:
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
Knowing the rules

Setting appropriate goals

Being responsive and versatile

Recognising the importance of relationship development and
maintenance.
[SLIDE 16 –Reading for tutorial]
Reading for tutorial:
Read De Vito, Chapter 1, Universals of Interpersonal communication, pg 1 –
31.
Please note that there is more detail and information in the text than the
lecture can include, due to limitations on time.
Summary
In this lecture, we have looked at:

The definition of communication

The 6 principles of communication

3 simple models (action, interaction and transactional)

Communication variables such as source-receiver, message,
channel and encoding-decoding, within each model

The definition of communication competence

The elements of communication competence such as
o Interpretive competence
o Role competence
o Self competence
o Goal competence
o Message competence
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Conclusion
Communication is an essential and important part of every individual’s life,
success and happiness.
W.E Norris (quoted on pg 2 of your textbook) states:
“If your lips would keep from slips
Five things observe with care
To whom you speak, of whom you speak
And how, and when, and where.”
Observe this rule and you can be sure of success in interpersonal
communication.
References:
DeVito, J. (2007). The interpersonal communication book. International edition
(11th edition). USA: Pearson.
DeVito, J., O’Rourke, S. & O’Neill, L. (2000). Human communication: the New
Zealand edition. New Zealand: Pearson
Trenholme, S. (1991). Human Communication Theory 2nd ed. Upper Saddle
River, NJ: Prentice-Hall.