1.2 Communication Principles
Learning Objectives
- Identify principles and characteristics that influence interpersonal communication.
Now that we understand the elements involved in the communication process, we will learn characteristics and principles of communication that will help us to understand how our communication behaviors create our relationships. Take note of aspects of communication you may not have thought about before, and think about how you can apply communication principles to various parts of your life.
Why We Communicate
The exchange of messages and information is important for many reasons, but it is not enough to meet the various needs we have as human beings. While the content of our communication may help us achieve certain physical and instrumental needs, it also feeds into our identities and relationships in ways that far exceed the content of what we say.
Physical Needs
Physical needs include needs that keep our bodies and minds functioning. Communication, which we most often associate with our brain, mouth, eyes, and ears, actually has many more connections to and effects on our physical body and well-being. At the most basic level, communication can alert others that our physical needs are not being met. Even babies cry when hungry or sick to alert their caregivers of these physical needs. Asking a friend if you can stay at their house because you got evicted or kicked out of your own place will help you meet your physical need for shelter. There are also strong ties between the social function of communication and our physical and psychological health. Human beings are social creatures, which makes communication important for our survival. In fact, prolonged isolation has been shown to severely damage a human (Williams & Zadro, 2001). Aside from surviving, communication skills can also help us thrive. People with good interpersonal communication skills can better adapt to stress and have less depression and anxiety (Hargie, 2011). Communication can also be therapeutic, which can lessen or prevent physical problems. A research study found that spouses of suicide or accidental death victims who did not communicate about the death with their friends were more likely to have health problems such as weight change and headaches than those who did talk with friends (Greene, Derlega, & Mathews, 2006). Satisfying physical needs is essential for our physical functioning and survival. But, to socially function and thrive, we must also meet instrumental, relational, and identity needs.
Instrumental Needs
Instrumental needs help us get things done in our day-to-day lives and achieve short- and long-term goals. We all have short- and long-term goals that we work on every day. Fulfilling these goals is an ongoing communicative task, which means we spend much time communicating for instrumental needs. Some common instrumental needs include influencing others, getting the information we need, or getting support (Burleson, Metts, & Kirch, 2000).
To meet instrumental needs, we often use communication strategically. Politicians, parents, bosses, and friends communicate to influence others to accomplish goals and meet needs. There is a research area within communication that examines compliance-gaining communication, or communication aimed at getting people to do something or act in a particular way (Gass & Seiter, 1999). Compliance gaining and communicating for instrumental needs differs from coercion, which forces or manipulates people into doing what you want. Later in the course, we will discuss communication ethics and learn that open communication, free from constraint and pressure, is an important part of an ethical society. Compliance-gaining communication is also different from persuasion. While research on persuasion typically focuses on public speaking and how a speaker persuades a group, compliance-gaining research focuses on our daily interpersonal interactions. Researchers have identified many tactics people typically use in compliance-gaining communication (Gass & Seiter, 1999). As you read through the following list, note the tactics that are familiar to you.
Common Tactics Used for Compliance Gaining
- Offering rewards. Seeks compliance positively by promising returns, rewards, or generally positive outcomes.
- Threatening punishment. Seeks compliance negatively by threatening negative consequences such as loss of privileges, grounding, or legal action.
- Using expertise. Seeks compliance by implying that one person “knows better” than the other based on experience, age, education, or intelligence.
- Liking. Seeks compliance by acting friendly and helpful to get the other person into a good mood before asking them to do something.
- Debt. Seeks compliance by calling in past favors and indicating that one person “owes” the other.
- Altruism. Seeks compliance by claiming that one person only wants “what is best” for the other and that they are looking out for the other person’s “best interests.”
- Esteem. Seeks compliance by claiming that other people will think more highly of the person if they comply or think less of the person if he or she does not comply.
Relational Needs
Relational needs include needs that help us maintain social bonds and interpersonal relationships. Communicating to fill our instrumental needs helps us function on many levels, but communicating for relational needs helps us achieve the social relating that is an essential part of being human. Communication meets our relational needs by giving us a tool through which to develop, maintain, and end relationships. In order to develop a relationship, we may use nonverbal communication to assess whether someone is interested in talking to us or not, then use verbal communication to strike up a conversation. Then, through the mutual process of self-disclosure, a relationship forms over time. Once formed, we need to maintain a relationship, so we use communication to express our continued liking of someone. We can verbally say things like “You’re such a great friend” or engage in behaviors that communicate our investment in the relationship, like organizing a birthday party. Although our relationships vary in terms of closeness and intimacy, all individuals have relational needs and all relationships require maintenance. Finally, communication or the lack of it helps us end relationships. We may communicate our deteriorating commitment to a relationship by avoiding communication with someone, verbally criticizing him or her, or explicitly ending a relationship. From spending time together, to checking in with relational partners by text, social media, or face-to-face, to celebrating accomplishments, to providing support during difficult times, communication forms the building blocks of our relationships. Communicating for relational needs isn’t always positive though. Some people’s “relational needs” are negative, unethical, or even illegal. Although we may feel the “need” to be passive-aggressive or controlling, these communicative patterns are not positive and can hurt our relationships.
Identity Needs
Identity needs include our need to present ourselves to others and be thought of in particular and desired ways. What adjectives would you use to describe yourself? Are you funny, smart, loyal, or quirky? Your answer isn’t just based on who you think you are, since much of how we think of ourselves is based on our communication with other people. Our identity changes as we progress through life, but communication is the primary means of establishing our identity and fulfilling our identity needs. Communication allows us to present ourselves to others in particular ways. Just as many companies, celebrities, and politicians create a public image, we desire to present different faces in different contexts. The influential scholar Erving Goffman compared self-presentation to performance and suggested we all perform different roles in different contexts (Goffman, 1959). Indeed, competent communicators can successfully manage how others perceive them by adapting to situations and contexts. A parent may perform the role of stern head of household, supportive shoulder to cry on, or hip and culturally aware friend based on the situation. A newly hired employee may initially perform the role of motivated and agreeable coworker but later perform more leadership behaviors after being promoted. We will learn more about the different faces we present to the world and how we develop our self-concepts through interactions with others in chapter 2.
Communication Principles
The next section discusses how communication works. Principles of communication can help us understand why we are and are not successful. These principles are true whether we are aware of them or not. Awareness of them can help us to improve our communication behaviors.
Communication is Dynamic
Communication is a process that involves an interchange of verbal and/or nonverbal messages within a continuous and dynamic sequence of events (Hargie, 2011). There is no distinct beginning and end that follows a predetermined sequence of events. It can be difficult to trace the origin of a communication encounter since communication doesn’t always follow a neat and discernible format, which makes studying communication interactions or phenomena difficult. Any time we pull one part of the process out for study or closer examination, we artificially “freeze” the process to examine it, which is not possible when communicating in real life. But sometimes scholars want to isolate a particular stage in the process to gain insight by studying, for example, feedback or eye contact. Doing that changes the very process itself, and by the time you have examined a particular stage or component of the process, the entire process may have changed. These snapshots are useful for scholarly interrogation of the communication process. They can also help us evaluate our own communication practices, troubleshoot a problematic encounter we had, or slow things down to account for various contexts before we engage in communication (Dance & Larson, 1976).
We have already learned, in the transaction model of communication, that we communicate using multiple channels and send and receive messages simultaneously. There are also messages and other stimuli that we never actually perceive because we can only attend to so much information at one time. The dynamic nature of communication allows us to examine some principles of communication that are related to its processual nature.
Communication is Inevitable
Intent
Some scholars have put forth definitions of communication stating that messages must be intended for others to perceive them in order for a message to “count” as communication. This narrow definition only includes messages that are tailored or at least targeted to a particular person or group and excludes any communication that is involuntary (Dance & Larson, 1976). Since intrapersonal communication happens in our heads and isn’t intended for others to perceive, it wouldn’t be considered communication. But imagine the following scenario: You and I are riding on a bus, and you are sitting across from me. As I sit thinking about a stressful week ahead, I wrinkle up my forehead, shake my head, and put my head in my hands. Upon seeing this, you think, “That woman must be pretty stressed out.” In this scenario, did communication take place? If I really didn’t intend for anyone to see the nonverbal communication that went along with my intrapersonal communication, then this definition would say no. But even though words weren’t exchanged, you still generated meaning from the communication I was unintentionally sending. As a communication scholar, I do not take such a narrow definition of communication. Based on the definition of communication from the beginning of this chapter, the scenario we just discussed would count as communication. Still, the scenario illustrates the point that communication messages are sent both intentionally and unintentionally.
Conscious Thought
Communication messages also vary in terms of the amount of conscious thought that goes into their creation. In general, we can say that intentional communication usually includes more conscious thought and unintentional communication usually includes less. For example, some communication is reactionary and almost completely involuntary. We often scream when we are frightened, say “ouch!” when we stub our toe, and stare blankly when we are bored. This isn’t the richest type of communication, but it is communication. Some of our interactions are slightly more substantial and include more conscious thought but are still very routine. For example, we say “excuse me” when we need to get past someone, say “thank you” when someone holds the door for us, or say “what’s up?” to our neighbor we pass every day in the hall. The reactionary and routine types of communication just discussed are common, but the messages most studied by communication scholars are considered constructed communication. These messages include more conscious thought and intention than reactionary or routine messages and often go beyond information exchange to also meet relational and identity needs. As we will learn later, a higher degree of conscious thought and intention doesn’t necessarily mean the communication will be effective, understood, or ethical. In addition, ethical communicators cannot avoid responsibility for the effects of what they say by claiming they didn’t “intend” for their communication to cause an undesired effect. Communication has short- and long-term effects, which illustrates the next principle we will discuss—communication is irreversible.
Communication is Irreversible
The dynamic nature of the communication process also means that communication is irreversible. After an initial interaction has gone wrong, characters in sitcoms and romantic comedies often use the line “Can we just start over?” As handy as it would be to turn the clock back and “redo” a failed or embarrassing communication encounter, it is impossible. Miscommunication can occur regardless of the degree of conscious thought and intention put into a message. For example, if David tells a joke that offends his coworker Beth, then he can’t just say, “Oh, forget I said that,” or “I didn’t intend for it to be offensive.” The message has been sent, and it can’t be taken back. I’m sure we have all wished we could take something back that we have said.
Communication is Unrepeatable
Conversely, when communication goes well, we often wish we could recreate it. However, in addition to communication being irreversible, it is also unrepeatable. If you try to recreate a good job interview experience by asking the same questions and telling the same stories about yourself, you can’t expect the same results. Even trying to repeat a communication encounter with the same person won’t feel the same or lead to the same results. We have already learned the influence that contexts have on communication, and those contexts change frequently. Even if the words and actions stay the same, the physical, psychological, social, relational, and cultural contexts will vary and ultimately change the communication encounter. Have you ever tried to recount a funny or interesting experience to a friend who doesn’t seem that impressed? These “I guess you had to be there” moments illustrate that communication is unrepeatable.
Dimensions of Communication
When communicating with other people, we must always remember that our communication is interpreted at multiple levels. Two common dimensions used to ascertain meaning during communication are relational and content.
Relational Dimension
Every time we communicate with others, there is a relational dimension. You can communicate in a tone of friendship, love, hatred, and so forth. This is indicated in how you communicate with your receiver. Think about the phrase, “You are crazy!” It means different things depending on the source of the message. For instance, if your boss said it, you might take it harsher than if your close friend said it to you. You are more likely to receive a message more accurately when you can define the type of relationship that you have with this person. Hence, your relationship with the person determines how you are more likely to interpret the message. Take another example of the words “I want to see you now!” These same words might mean different things if it comes from your boss or if it comes from your lover. You will know that if your boss wants to see you, it is probably an urgent matter that needs your immediate attention. However, if your lover said it, then you might think that they miss you and can’t bear the thought of being without you for too long.
Content Dimension
In the same fashion, every time we speak, we have a content dimension. The content dimension is the information that is stated explicitly in the message. When people focus on the content of a message, they ignore the relationship dimension. They are focused on the specific words that were used to convey the message. For instance, if you ran into an ex-lover who said “I’m happy for you” about your new relationship. You might wonder what that phrase means. Did it mean that your ex was truly happy for you, or that they were happy to see you in a new relationship, or that your ex thinks that you are happy? One will ponder many interpretations of the message, especially if a relationship is not truly defined.
Another example might be a new acquaintance who talks about how your appearance looks “interesting.” You might be wondering if your new friend is sarcastic or if they just didn’t know a nicer way of expressing their opinion. Because your relationship is so new, you might think about why they decided to pick that term over another term. Hence, the content of a message impacts how it is received.
Communication Is Guided by Culture and Context
As we learned earlier, context is a dynamic component of the communication process. Culture and context also influence how we perceive and define communication. Western culture tends to put more value on senders than receivers and on the content rather than the context of a message. These cultural values are reflected in our definitions and models of communication. As we have learned, cultures vary in terms of having a more individualistic or collectivistic cultural orientation. The United States is considered an individualistic culture, where the emphasis is put on individual expression and success. Japan is considered a collectivistic culture, where the emphasis is put on group cohesion and harmony. These are strong cultural values that are embedded in how we learn to communicate. In many collectivistic cultures, there is more emphasis placed on silence and nonverbal context. Whether in the United States, Japan, or another country, people are socialized from birth to communicate in culturally specific ways that vary by context.
Communication Is Learned
Most people are born with the capacity and ability to communicate, but everyone communicates differently. This is because communication is learned rather than innate. As we have already seen, communication patterns are relative to the context and culture in which one communicates, and many cultures have distinct languages consisting of symbols.
A key principle of communication is that it is symbolic. Communication is symbolic in that the words that make up our language systems do not directly correspond to something in reality. Instead, they stand in for or symbolize something. The fact that communication varies so much among people, contexts, and cultures illustrates the principle that meaning is not inherent in the words we use. For example, let’s say you go to France on vacation and see the word poisson on the menu. Unless you know how to read French, you will not know that the symbol is the same as the English symbol fish. Those two words don’t look the same, yet they symbolize the same object. If you went by how the word looks alone, you might think that the French word for fish is more like the English word poison and avoid choosing that for your dinner. Putting a picture of a fish on a menu would definitely help a foreign tourist understand what they are ordering since the picture is an actual representation of the object rather than a symbol for it.
All symbolic communication is learned, negotiated, and dynamic. We know that the letters b-o-o-k refer to a bound object with multiple written pages. We also know that the letters t-r-u-c-k refer to a vehicle with a bed in the back for hauling things. But if we learned in school that the letters t-r-u-c-k referred to a bound object with written pages and b-o-o-k referred to a vehicle with a bed in the back, then that would make just as much sense, because the letters don’t actually refer to the object and the word itself only has the meaning that we assign to it. We will learn more, in chapter 3, about how language works, but communication is more than the words we use.
We are all socialized into different languages, but we also speak different “languages” based on the situation we are in. For example, in some cultures, it is considered inappropriate to talk about family or health issues in public, but it wouldn’t be odd to overhear people in a small town grocery store in the United States talking about their children or their upcoming surgery. There are some communication patterns shared by very large numbers of people and some that are particular to a dyad—best friends, for example, who have their own inside terminology and expressions that wouldn’t make sense to anyone else. These examples aren’t on the same scale as differing languages, but they still indicate that communication is learned. They also illustrate how rules and norms influence how we communicate.
Communication is Guided by Rules and Norms
Earlier we learned about the transaction model of communication and the powerful influence that social context and the roles and norms associated with social context have on our communication. Whether verbal or nonverbal, mediated or interpersonal, our communication is guided by rules and norms.
Phatic communion is an instructive example of how we communicate under the influence of rules and norms (Senft, 2009). Phatic communion refers to scripted and routine verbal interactions intended to establish social bonds rather than actually exchange meaning. When you pass your professor in the hall, the exchange may go as follows:
Student:
“Hey, how are you?”
Professor:
“Fine, how are you?”
Student:
“Fine.”
What is the point of this interaction? It surely isn’t to actually inquire as to each other’s well-being. We have similar phatic interactions when we comment on the weather or the fact that it’s Monday. We often joke about phatic communion because we see that it is pointless, at least on the surface. The student and professor might as well just pass each other in the hall and say the following to each other:
Student:
“Generic greeting question.”
Professor:
“Generic greeting response and question.”
Student:
“Generic response.”
This is an example of communication messages that don’t really require a high level of conscious thought or convey much actual content or generate much meaning. So if phatic communion is so “pointless,” why do we do it?
The term phatic communion derives from the Greek word phatos, which means “spoken,” and the word communion, which means “connection or bond.” As we discussed earlier, communication helps us meet our relational needs. In addition to finding communion through food or religion, we also find communion through our words. But the degree to which and in what circumstances we engage in phatic communion is also influenced by norms and rules. Generally, US Americans find silence in social interactions awkward, which is one sociocultural norm that leads to phatic communication because we fill the silence with pointless words to meet the social norm. It is also a norm to greet people when you encounter them, especially if you know them. We all know not to unload our physical and mental burdens on the person who asks, “How are you?” or go through our “to do” list with the person who asks, “What’s up?” Instead, we conform to social norms through this routine verbal exchange.
Phatic communion, like most aspects of communication we will learn about, is culturally relative as well. While most cultures engage in phatic communion, the topics and occasions for phatic communion vary. Scripts for greetings in the United States are common, but scripts for leaving may be more common in another culture. Asking about someone’s well-being may be acceptable phatic communion in one culture, and asking about the health of someone’s family may be more common in another.
Communication Has Ethical Implications
Another culturally and situationally relative principle of communication is that communication has ethical implications. Communication ethics deals with the process of negotiating and reflecting on our actions and communication regarding what we believe to be right and wrong. Aristotle said, “In the arena of human life the honors and rewards fall to those who show their good qualities in action” (Pearson et al., 2006). Aristotle focuses on actions, which is an important part of communication ethics. While ethics has been studied as a part of philosophy since the time of Aristotle, it has only recently become applied. In communication ethics, we are more concerned with the decisions people make about what is right and wrong than the systems, philosophies, or religions that inform those decisions. Much of ethics is a gray area. Although we talk about making decisions regarding what is right and what is wrong, the choice is rarely that simple. Aristotle goes on to say that we should act “to the right extent, at the right time, with the right motive, and in the right way.” This quote connects to communication competence, which focuses on communicating effectively and appropriately and will be discussed more later in this chapter.
Communication has broad ethical implications. When dealing with communication ethics, it’s difficult to state whether something is 100 percent ethical or unethical. We all make choices daily that are more ethical or less ethical, and we may confidently make a decision only later to learn that it wasn’t the most ethical option. In such cases, our ethics and goodwill are tested, since, in any given situation, multiple options may seem appropriate, but we can only choose one. If, in a situation, we make a decision and reflect on it and realize we could have made a more ethical choice, does that make us a bad person? While many behaviors can be more easily labeled as ethical or unethical, communication isn’t always as clear. Murdering someone is generally considered unethical and illegal, but many instances of hurtful speech, or even what some would consider hate speech, have been protected as free speech. This shows the complicated relationship between protected speech, ethical speech, and the law.
In some cases, people see it as their ethical duty to communicate information they feel is in the public’s best interest. The people behind WikiLeaks, for example, have released thousands of classified documents related to wars, intelligence gathering, and diplomatic communication. WikiLeaks claims that exposing this information keeps politicians and leaders accountable and keeps the public informed, but government officials claim the release of the information should be considered a criminal act. Both parties consider the other’s communication unethical and their own communication ethical. Who is right?
Since many of the choices we make when it comes to ethics are situational, contextual, and personal, various professional fields have developed codes of ethics to help guide members through areas that might otherwise be gray or uncertain. The following “Getting Critical” box includes information about the National Communication Association’s Ethical Credo. Doctors take oaths to do no harm to their patients, and journalists follow ethical guidelines that promote objectivity and provide for the protection of sources. Although businesses and corporations have gotten much attention for high-profile cases of unethical behavior, business ethics has become an important part of the curriculum in many business schools, and more companies are adopting ethical guidelines for their employees.
“Getting Critical”
NCA Credo for Ethical Communication
The “Getting Critical” boxes throughout this book will challenge you to think critically about a variety of communication issues, and many of those issues will involve questions of ethics. Therefore, it is important that we have a shared understanding of ethical standards for communication. As communication scholars, using the National Communication Association’s (NCA) “Credo for Ethical Communication,” since the NCA is the professional organization that represents communication scholars and practitioners in the United States, gives us a foundation for the discussion of ethical communication.
We all have to consider and sometimes struggle with questions of right and wrong. Since communication is central to the creation of our relationships and communities, ethical communication should be a priority for every person who wants to make a positive contribution to society. The NCA’s “Credo for Ethical Communication” reminds us that communication ethics is relevant across contexts and applies to every channel of communication, including media (National Communication Association, 2012). The credo goes on to say that human worth and dignity are fostered through ethical communication practices such as truthfulness, fairness, integrity, and respect for self and others. The emphasis in the credo and in the study of communication ethics is on practices and actions rather than thoughts and philosophies. Many people claim high ethical standards but do not live up to them in practice. While the credo advocates for, endorses, and promotes certain ideals, it is up to each one of us to put them into practice. The following are some of the principles stated in the credo:
- We endorse freedom of expression, diversity of perspective, and tolerance of dissent to achieve the informed and responsible decision making fundamental to a civil society.
- We condemn communication that degrades individuals and humanity through the expression of intolerance and hatred.
- We are committed to the courageous expression of personal convictions in pursuit of fairness and justice.
- We accept responsibility for the short- and long-term consequences of our own communication and expect the same of others.
Read through the whole credo. Of the nine principles listed, which do you think is most important and why? The credo can be accessed at the following link: http://natcom.org/Tertiary.aspx?id=2119&terms=ethical%20credo.
Key Takeaways
- Communication meets our physical needs by helping us maintain physical and psychological well-being; our instrumental needs by helping us achieve short- and long-term goals; our relational needs by helping us initiate, maintain, and terminate relationships; and our identity needs by allowing us to present ourselves to others in particular ways.
- Communication is a process that includes messages that vary in terms of conscious thought and intention. Communication is also irreversible and unrepeatable.
- Communication is guided by culture and context.
- We learn to communicate using systems that vary based on culture and language.
- Communication has both relational and content dimensions.
- Rules and norms influence the routines and rituals within our communication.
- Communication ethics varies by culture and context and involves the negotiation of and reflection on our actions regarding what we think is right and wrong.
References
Burleson, B. R., Sandra Metts, and Michael W. Kirch, “Communication in Close Relationships,” in Close Relationships: A Sourcebook, eds. Clyde Hendrick and Susan S. Hendrick (Thousand Oaks, CA: Sage, 2000), 247.
Dance, F. E. X., and Carl E. Larson, The Functions of Human Communication: A Theoretical Approach (New York, NY: Holt, Reinhart, and Winston, 1976), 28.
DiSalvo V. S., “A Summary of Current Research Identifying Communication Skills in Various Organizational Contexts,” Communication Education 29 (1980): 283–90.
Ehrlich, T., Civic Responsibility and Higher Education (Phoenix, AZ: Oryx, 2000), vi.
Gass, R. H., and John S. Seiter, Persuasion, Social Influence and Compliance Gaining (Boston, MA: Allyn and Bacon, 1999), 205.
Goffman, E., The Presentation of Self in Everyday Life (New York, NY: Anchor Books, 1959).
Greene, K., Valerian J. Derlega, and Alicia Mathews, “Self-Disclosure in Personal Relationships,” in The Cambridge Handbook of Personal Relationships, eds. Anita L. Vangelisti and Daniel Perlman (Cambridge: Cambridge University Press, 2006), 421.
Hargie, O., Skilled Interpersonal Interaction: Research, Theory, and Practice (London: Routledge, 2011), 2.
Jaschik, S., “The Civic Engagement Gap,” Inside Higher Ed, September 30, 2009, accessed May 18, 2012, http://www.insidehighered.com/news/2009/09/30/civic.
National Association of Colleges and Employers, Job Outlook 2011 (2010): 25.
Pearson, J. C., Jeffrey T. Child, Jody L. Mattern, and David H. Kahl Jr., “What Are Students Being Taught about Ethics in Public Speaking Textbooks?” Communication Quarterly 54, no. 4 (2006): 508.
Senft, G., “Phatic Communion,” in Culture and Language Use, eds. Gunter Senft, Jan-Ola Ostman, and Jef Verschueren (Amsterdam: John Benjamins Publishing Company, 2009), 226–33.
Williams, K. D., and Lisa Zadro, “Ostracism: On Being Ignored, Excluded, and Rejected,” in Interpersonal Rejection, ed. Mark R. Leary (New York, NY: Oxford University Press, 2001), 21–54.
Zabava, W. S., and Andrew D. Wolvin, “The Differential Impact of a Basic Communication Course on Perceived Communication Competencies in Class, Work, and Social Contexts,” Communication Education 42 (1993): 215–17.
