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Overview of Interpersonal
Communication
Friendship is born at that moment
when one person says to another,
‘What! You too? I thought I was the only one.’
—C. S. Lewis
British scholar and novelist (1898–1963)
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CHAPTER 2
Section 2.1 Purposes of Interpersonal Communication
Chapter 2 provides an overview of the purposes and elements of interpersonal communication. It also examines the evolution of theories and models and how interpersonal communication is viewed today. Chapter 2 also
discusses the interpersonal skills that are crucial to master to be a competent
communicator.
We humans seem to be “hard wired” for communication, to be programmed from birth
for symbolic communication with other people. At a basic level, interpersonal communication is the interaction between people; however, the interaction is far more complex
than it might first seem. Interpersonal communication is a process composed of multiple
elements, and skill and practice are required to be an effective communicator. This chapter
begins the study of interpersonal communication by examining its purposes and elements
and the communication process itself. What are the purposes for which we communicate
with other people?
2.1 Purposes of Interpersonal Communication
A
s social animals, we want and need connections with other people. Interpersonal
communication is a social process, and we usually communicate for one of three
primary purposes: (1) to meet personal needs; (2) to learn about ourselves, other
people, and the world; and (3) to build and maintain relationships with others.
Meeting Personal Needs
One of the most basics reasons people interact with others is to satisfy personal needs. In
1943, psychologist Abraham Maslow developed a theory of human motivation that he
expanded upon in his 1954 book Motivation and Personality and his 1962 book Toward a
Psychology of Being. He believed that all humans have an essential nature and a set of basic
human needs that are good or, at the very least,
neutral and not evil. Maslow said that these
needs motivate us to seek psychological health
and full humanness, or self-actualization
(Maslow, 1968).
According to Maslow, healthy, self-actualizing
people are good, strong, and successful and can
act unselfishly. They are winners rather than
losers. They give to others as well as to society,
and they construct rather than destroy things
(Maslow, 1968). If self-actualization guides
your life, believed Maslow, you will have a
sense of achievement, healthy self-esteem, and
self-confidence, and grow into a healthy, productive, and happy adult.
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Jack Hollingsworth/Asia Images RM/Photolibrary
Maslow believed that self-actualizing
people are more likely to be productive and
happy.
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Section 2.1 Purposes of Interpersonal Communication
CHAPTER 2
Figure 2.1 Maslow’s Hierarchy of Needs
Self-Actualizaon
Drive toward
purpose, meaning,
and full potenal
Esteem Needs
Need for self-respect and respect from others
Social Needs
Need for affecon, friendship, and appreciaon;
to belong and to receive and give love
Safety Needs
Need for security, freedom from the threat of physical and emoonal
harm, and protecon from violence
Physiological Needs
Need for food, water, shelter, sleep, and other necessies to sustain life
People have basic needs that must be met before they can move toward self-actualization.
If essential needs for such things as safety and esteem are not fulfilled then, we must
satisfy these “deficiency” needs before we can move forward in the process of selfactualization (Maslow, 1968). Like empty holes, deficiencies need to be filled, and they
can only be filled by other people, through interpersonal communication and interactions (Abraham Maslow, 2009).
Let us look at the hierarchy of human needs that Maslow identified, which is usually represented in a pyramid. As the arrow in Figure 2.1 indicates, Maslow believed that human
needs emerge in order starting from the bottom of the pyramid. Lower-level needs,
according to Maslow, must be satisfied first. Once the basic needs have been realized, then
higher-level needs will emerge.
Basic physiological needs, the necessities for life such as food, water, and shelter, are
the strongest needs. The first reason to communicate, believed Maslow, is for survival.
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Section 2.1 Purposes of Interpersonal Communication
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Communication enables us to call attention to ourselves, to warn others of danger, and to
exchange critical information to meet these physiological needs. Then we turn our attention to the need for safety and security. We may have enough food to eat today, but we also
need to feel secure that we will have food, water, and shelter tomorrow and the day after as
well. When these safety needs are met, we can then begin to address social needs. The most
basic social need is the need to belong. Friendship, acceptance by others, and the ability to
both give and receive love are powerful needs for all humans, and they drive much of our
interpersonal communication. When we satisfy these needs, thought Maslow, we are then
motivated toward fulfilling esteem needs, such as the need for recognition, the pride of
accomplishment, and self-respect.
The top rung on Maslow’s
hierarchy of needs is selfactualization. The selfactualizing individual is
far less dependent on others and is more autonomous and self-directed.
Less needy of praise and
affection and less anxious
for honors, prestige, and
rewards, this person is
able to pursue his or her
dreams, desires, and goals
and to strive to reach full
potential as a person. This
drive to self-actualization
can only be activated,
© Michael Maslin/ The New Yorker Collection/ www.cartoonbank.com
however, when lowerlevel needs have been met.
Maslow believed that only a small percentage of people reach a level of self-actualization,
fully using their talents, capacities, and potential. However, he also believed that the motivation to be self-actualizing rarely disappears. Even though full potential has not been
attained, the motivation to seek it will persist for there is always more to learn and new
ways to grow (Maslow, 1968).
Critics of Maslow’s theory say that the hierarchy of needs is not absolute, meaning that
some higher-level needs like self-actualization can be attained when lower-level needs
like food and shelter are not fully met (Wahba & Bridgewell, 1976). Others point out that
Maslow’s hierarchy describes those in individualistic cultures like the United States but
is not as applicable to countries where the individual is less valued than the greater good
(Hofstede, 1984). What is most important to take out of Maslow’s hierarchy, however, is
that all humans have basic needs that must be fulfilled, and that many of these needs are
fulfilled through interpersonal relationships.
Learning About Self and Others
In addition to interacting with other people to meet personal needs, another primary
purpose of interpersonal communication is to learn about oneself, other people, and the
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Section 2.1 Purposes of Interpersonal Communication
CHAPTER 2
world. Communication is one of the most important ways that societies maintain and
pass on knowledge about their society and culture. All societies communicate the history,
traditions, and values of their culture through oral communication; the roots of oral communication reach as far back in human history as scholars can trace, and more recently,
writing was used to communicate from generation to generation. When we communicate with others, we learn about their cultural
heritage and what is important in a particular
culture; we also learn about our own cultural
heritage.
Dominique Halleux/Bios/photolibrary
The rhythm of singing binds people
together.
Scientists who have studied oral communication
in societies point to the importance of rhythm—
in chanting, storytelling, singing, poetry, and
dance—as particularly important to human
societies. In fact, the performance of rhythmic
chanting, dancing, and singing has been found
to produce feelings of joy, peace, harmony, and
even mystical elevation in people. Scholars
believe this type of activity has a social purpose.
The rhythm affects the brains and the mood of
individuals and allows a group or a community
to become synchronized “on each other’s wavelength,” which produces pleasure and helps
bind people together (Turner, 1986).
Interpersonal communication also helps us develop a concept of ourselves. (In Chapter
3, we will discuss how we develop this concept of self and carry it into communication with others.) Researchers believe that self-concept is a complex mix of how we see
ourselves, what others have told us about ourselves, and what society says we should
be. This concept of self is learned through interpersonal communication. When we communicate with other people, what they say to us and about us to others contributes to
our concept of self. However, the good news is that we are free to accept or reject these
judgments, and our self-concept can change throughout life.
Building and Maintaining
Relationships
Finally, an important purpose of
interpersonal communication is to
help build and maintain relationships with other people. (We will
talk more about different types
of relationships later in this text.)
Because we humans are social animals, we form a variety of relationships, and we often band together
into larger groups to offer one
another the protection and strength
of numbers and to pool our talents
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© Aaron Bacall/ The New Yorker Collection/ www.cartoonbank.com
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Section 2.2 Elements of Interpersonal Communication
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to help one another. You probably have a variety of relationships and group memberships,
including the relationships with your family of origin and the family that you might form as
an adult. Interpersonal communication is an important component of building and maintaining these relationships. It helps us meet needs for belonging and for acceptance and
enables us to share values and principles, which are the foundation of human society.
2.2 Elements of Interpersonal Communication
I
n Chapter 1, communication was defined as a process. Before we examine the process
itself, let us identify the elements of this process and the role that each element plays.
We begin our study by defining the role of each of the participants in the communication process.
Sender
The sender is the source of the interpersonal communication—the person who originates
the communication encounter. Before communicating, the sender must encode the idea
that he or she wants to communicate, or put it into some form or code that the other person can understand. Language is a type of code; if the other person does not understand
the code, he or she will not be able to decode, or interpret, the message correctly. It is
important to note, however, that gestures, facial expressions, and other nonverbal elements of communication are codes as well. For example, placing the thumb and forefinger
together to form a circle is a code that is interpreted in the United States to mean “OK.”
However, this gesture is interpreted differently
and is offensive in Brazil and Germany, where it
is equivalent to the United States gesture of giving someone the middle finger (Hayden, 2007).
Receiver
Lifesize/Thinkstock
The receiver of the communication
message is an active participant in the
communication process.
The receiver is the recipient of the message. Early
communication models considered the receiver
to be a passive participant in the communication
process. However, researchers today believe that
the receiver is actively engaged in the communication process and that we are both senders
and receivers of communication, simultaneously,
whenever we interact with another person.
Message
In the communication process, the message is the content of the communication itself—
the idea the sender wishes to communicate to the receiver. As we previously discussed,
messages are communicated in a code, and the message must be decoded correctly by the
receiver for the communication to be understood and to be effective.
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Section 2.2 Elements of Interpersonal Communication
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Channel
iStockphoto/Thinkstock
The cellular network and air waves
constitute the channel for cell phone
communication.
The channel is the medium or the means through
which the message is transmitted from sender to
receiver. In interpersonal communication, when
two people are talking face to face, the channel
is the air around them that carries the message.
Often, however, the channel is mediated in some
way, which means that someone or something is
between the sender and the receiver in the communication process. For example, if two people
are talking by cell phone, the cellular network
and air waves constitute the communication
channel, in email, the internet network would be
the channel.
Feedback
As we stated previously, the goal of communication is to share meaning. In other words,
for communication to be effective, the message must have the same or similar meaning
to both the sender and the receiver. We cannot be sure if the message sent is the same as
the message received unless feedback is part of the communication process. Feedback
is defined as any information a communicator gets from others in response to his or her
message. This feedback can be a verbal or nonverbal response. For example, if you tell a
child that lunch is ready, his or her race into the house (nonverbal) and shout of “hooray”
(verbal) are both forms of feedback. Feedback is an important component in the communication process because it is the method by which we gauge the success of the communication. Feedback also provides the opportunity to change the message and to try to
communicate again if the previous communication was not understood.
Modern Communication: The Internet as Part of the Communication Process
Have you ever thought about what role the Internet plays in your life? Millions of people rely on
this unique form of communication to obtain and send information every day. The Internet has
revolutionized the way people communicate from going online to check the status updates of friends
around the world to connecting with people in the neighborhood. People turn to the Internet to send
and receive written messages, to watch and share funny videos, to browse through online versions of
their local newspaper, and even to read and discuss scholarly materials such as books and journals.
However, no matter what we plan to do when we go online, we are still employing the basic elements
found in all forms of interpersonal communication. Indeed, the Internet provides a way for verbal and
nonverbal messages to be encoded by a sender and broadcast to a particular individual—or to anyone
who wants to receive that message! Many websites even allow for interactive feedback, with users
commenting on or responding to content on the site. Even though people using the Internet do not
communicate in person, the Internet serves as a medium for interpersonal communication, allowing
relationships to develop or be maintained. The Internet may even be the channel through which a
new relationship begins.
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Section 2.2 Elements of Interpersonal Communication
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Environment
The external environment in which the communication takes place is also an essential part
of the communication process and can have a significant influence on any interaction.
What is considered appropriate in one communication environment is not necessarily
appropriate in another. It is acceptable, for example, to yell loudly at a football game, but
the same volume (and perhaps the same language) may not be considered appropriate in
a place of business.
Noise
In communication, the term noise refers to anything that disturbs or interrupts the communication process or is unrelated to the message content. In mediated communication,
noise can be caused by the devices used to send or receive the message, such as problems
with the radio, television, or cell phone. It can also be caused by trouble in the channel or
medium used to transmit the message, such as static in a telephone line or a disturbance
in the air waves.
However, equipment problems or technical noise in the system are not the only types
of noise that can interfere with interpersonal communication. Noise can also occur in the
communication environment, such as when background music is playing and making it
difficult for people to carry on a conversation.
The concept of noise also includes semantic noise, which consists of interferences in
communication caused by language issues, and psychological noise, which results from
internal issues within the people who are communicating. For example, the person sending the message may be tired or ill and not encode the message effectively, or the receiver
may be distracted and not listening attentively. Thus, noise can occur in any element of
the communication process.
Modern Communication: Noise
Have you ever been so distracted that you misunderstood what someone was trying to say? In
order for communication to be successful, you must be able to receive an intended message. Every
day you are presented with an inestimable amount of messages, from signs and advertisements to
interactions with strangers to music, television, and conversations. If you paid attention to every
possible message, you would suffer from what some scholars call “information overload.” Regardless
of the type of noise , there is a limit to how much the brain can process. Clearly you cannot rid
yourself of every distraction, but you can choose what messages to allow in. For example, you remove
the earphones when you want to pay attention to the people you are with and what they are saying.
You can unsubscribe from all the junk e-mail and pay more attention to the messages that you do
want or need. You can keep the television off for one evening and have a significant conversation
with someone. And, as an experiment, you could try not to fall asleep with the television on; instead,
remove that psychological noise and reflect on all that happened that day. We don’t have to put up
with noise; the more you work to reduce distractions and interruptions, the better communicator
you’ll be!
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Section 2.3 Theories and Models of Interpersonal Communication
CHAPTER 2
2.3 Theories and Models of Interpersonal Communication
I
n the mid-twentieth century, scholars began to study communication as an academic discipline. As their study advanced, they contributed to our knowledge of how the communication process operates and why it succeeds or fails to achieve its purpose. From your
own experiences, you probably know that communication can go astray and misunderstandings can occur at any number of places when you try to communicate with others. Perhaps
the receiver cannot hear or does not pay attention to the message being sent, or equipment
being used to transmit the message fails, such as when a cell phone call is dropped.
As researchers study phenomena, they develop theories. These theories are beliefs the
researchers hold that they test in real-world situations. They also often create physical
models to illustrate these theories. Models are simple representations, in an ideal form,
of a process or an object. Although models provide a simplified view of something that is
usually much more complex, they are useful because they clarify the nature of a phenomenon or process. A model highlights the elements the scholar believes are important and
allows us to examine the relationship of these elements to other parts of the model. Thus,
they are tools to illustrate the thinking that has taken place.
In some academic fields of study, a number of different models may exist at the same time,
and they may be tested to determine which most accurately represents the phenomenon
or process. In the field of interpersonal communication, however, the development of
communication theories and models was more of an evolution whereby early scholars
laid a foundation that was improved and expanded by others over time. We can divide
communication models into three primary types: (1) action models, (2) interaction models, and (3) transaction models. Each type builds on earlier models and adds new insights
to our knowledge of the communication process. Let us examine these three types of communication models and how they differ.
Action Models
iStockphoto/Thinkstock
Action models viewed interpersonal
communication as a one-way transmission
of information.
Study of the methods people use in an attempt to
influence others can be traced as far back as the
philosopher Aristotle in ancient Greece. However, the formal study of interpersonal communication, as an academic discipline, did not begin
until about 60 years ago. The early communication models, developed from 1948 through 1960,
are generally referred to as action models and
can be compared to shooting an arrow, because,
at that time, communication was viewed as a
one-directional transmission of information from
a source or sender to some destination or receiver.
In these early models, the sender of the message was assumed to be the only active participant in the process. He or she was considered responsible for communicating clearly
and accurately to the receiver, who was viewed as passive and simply received whatever
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Section 2.3 Theories and Models of Interpersonal Communication
message the sender transmitted. If the communication failed to produce understanding or
desired results, researchers focused on how the sender formed the message or on methods
for improving the manner in which the message was transmitted. Do you recall the conversation about bread that took place between Kim and Pat in Chapter 1? If we analyze that
conversation using an action model, we would assume that Kim has the responsibility to
communicate more clearly. We might suggest Kim’s statement be rephrased as, “I don’t like
bread that has seeds,” to be clearer and more explicit and instead state something like the
following: “I don’t like bread that has any type of seeds on top of it or inside the bread itself.”
Shannon-Weaver Model
In 1948, in an attempt to help engineers find the most efficient way to transmit electrical
signals from one location to another, Bell Telephone Company engineer and mathematician Claude Shannon developed one of the most influential early action models of communication. Shannon worked with mathematician Warren Weaver to come up with the
communication model known today as the Shannon-Weaver model (see Figure 2.2).
Shannon postulated that all communication could be broken down into three components: an information source, a channel or path, and a destination (Weaver & Shannon,
1963). In this model, the information source is the communicator, who has a message to
transmit. This message is transformed into a signal, which travels along a channel or path
to a destination, where it is delivered. The transmitter and receiver shown in the ShannonWeaver model were devices such as telephone handsets that sent and received the information signal. The Shannon-Weaver model focused on the mechanism of transmitting
electrical signals, not on the content of the information or the message. While it illustrated
the mechanical and technical issues involved, the model did not explain the complexities
of human communication. Nevertheless, Shannon was a visionary, and his theories and
model made two important contributions to the field of communication.
First, Shannon defined and quantified the vague notion of information. He believed that
telephone signals, radio waves, photographs, film, and other media could all be considered information, and this information could be encoded in binary digits, or bits, which
would make it possible to use relay circuits to perform complex mathematical operations
and to transmit this digital information without error. Almost 50 years elapsed before
Shannon’s information concept had practical application, but today this concept forms the
Figure 2.2 Shannon-Weaver Model of Communication
Informaon
Source
Transmier
Receiver
Signal
Received
Signal
Message
Message
Noise Source
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Desnaon
Source: Shannon, C. E. (1948, July, October).
A mathematical theory of communication. The
Bell System Technical Journal, Vol. 27, pp.
379–423, 623–656. Used by permission.
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Section 2.3 Theories and Models of Interpersonal Communication
basis on which computers and other electronic devices operate, and it made CDs, DVDs,
and broadband communication possible. In fact, Shannon has been dubbed “The Father
of Information Technology” and is credited with single-handedly creating today’s digital
revolution (Waldrop, 2001).
Second, the Shannon-Weaver communication model introduced the word noise into
the communication process. Shannon defined noise as anything that interferes with
or changes the communication signal as it travels through a channel. Again, Shannon
was primarily focused on technical noise in the signal transmission, such as static on a
telephone line. However, he recognized that communicators could experience semantic noise, which occurs when messages are misunderstood or misinterpreted or when
interference arises out of the language being used by one or more of the communication
participants.
As discussed earlier when we reviewed the elements of human communication, the definition of noise has been expanded to include anything that interferes with or distracts
from the communication, including external disturbances as well as internal disturbances
in the people involved in the communication process.
In the 1950s and early 1960s, other researchers attempted to adapt the Shannon-Weaver
model to the process of human communication. Several scholars during this time made
significant contributions to our knowledge of interpersonal communication. Two of these
models, in particular, are important to our understanding of interpersonal communication today.
Early Schramm Model
Beginning in 1954, theorist Wilbur L. Schramm, who founded the Institute of Communications Research at the University of Illinois, introduced several models of communication
that built on the Shannon-Weaver model. An early Schramm action model, illustrated in
Figure 2.3, recognized that the sender must first select a code for the message and that the
receiver must decode the message correctly, using the same code, for a shared meaning to
result. This code may be language, body gestures, music, art, dance, or other methods of
conveying meaning.
In 1956, Schramm modified his model to include the term field of experience as an important component in the communication process. Field of experience in Schramm’s model,
shown in Figure 2.4, was a common frame of reference or shared experiences. In other
words, Schramm recognized that communication is more likely to be effective if both the
Figure 2.3 Schramm’s Early Model of Communication
Source
Encoder
Signal
Decoder
Desnaon
Source: The Process and Effects of Mass Communication, Ed. by Wilbur Schramm.
Copyright © 1965 by the University of Illinois Press. Used by permission.
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CHAPTER 2
Section 2.3 Theories and Models of Interpersonal Communication
Figure 2.4 of that
Communication
A laterSchramm’s
communicaonLater
model Model
by Schramm
includes fields of experiences as
a component of the communicaon process. See permissions log.
Field of experience
Source
Field of experience
Signal
Encoder
Decoder Desnaon
sender and the receiver have something in common. For example, where there is a common culture, language, values, and experiences, there is a greater likelihood of mutual
understanding. Without some shared experiences, communication is difficult, if not
impossible (Hill et al., 2008).
Figure 2.5 Berlo’s SMCR Model of Communication
Decodes
Encodes
Source
Message
Channel
Receiver
Communicaon
Skills
Content
Hearing
Communicaon
Skills
Atudes
Elements
Seeing
Atudes
Knowledge
Treatment
Touching
Knowledge
Social
Structure
Smelling
Social
Culture
Code
Tasng
Culture
Source: Berlo, D. (1960). The process of communication: an introduction to theory
and practice. New York: Holt, Reinhart, and Winston.
soL6612X_02_c02_021-044.indd 32
Berlo’s SMCR Model
In 1960, communication
theorist David K. Berlo
developed an action model
of communication based
on the Shannon-Weaver
model. Berlo, who studied
with Schramm in Illinois
and later instituted the first
department of communication at Michigan State University, developed what
has become known as the
SMCR Model, where the
initials SMCR stand for
Source, Message, Channel,
and Receiver. See Figure 2.5.
Berlo theorized that both
the source (sender) and
the receiver of communication are influenced by
their skills, attitudes, and
knowledge as well as by the
social system and cultural
contexts in which the communication takes place. The
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Section 2.3 Theories and Models of Interpersonal Communication
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message was a crucial element in Berlo’s model, and he defined the components of the
message as the content, elements, treatment (emphasis), structure, and code. Berlo posited
that the communication channel is governed by our five senses: seeing, hearing, touching, smelling, and tasting (Berlo, 1960). His model was one of the earliest to consider the
receiver as an active participant in the communication process rather than as simply a
passive recipient of the message. Because the receiver is the target of the message, he or
she must share meaning with the sender. In his writings, Berlo (1960) discussed how we
create meaning. In short, he says:
• Communication does not consist of the transmission of meanings but of the
transmission of messages.
• Words do not have meanings; people create meanings.
• Senders actively create their own meanings when they encode the message, and
receivers actively create their own meanings when they decode the message.
• People can have similar meanings only if they have or can anticipate having
similar experiences.
• Meanings are never fixed; as experiences change, so meanings change.
• No two people can have exactly the same meaning for anything.
Interaction Models
By the mid-1960s, rather than viewing communication as a one-way process from the
sender/source to a receiver, communication researchers began examining in more detail
the role the receiver plays in communication. As scholars continued their study of the
communication process, they realized that the receiver was not simply a passive “catcher”
of whatever message was thrown his or her way but also bore some responsibility for the
success of the communication. The one-directional action models of communication were
succeeded by what are commonly called interaction models. These interaction models
viewed communication as a two-way process, in which both the sender and the receiver
equally share the responsibility for communication effectiveness.
If we used an interaction model to analyze the conversation between Kim and Pat in
Chapter 1, we might suggest that both Kim and Pat contributed to the misunderstanding.
While Kim could have been clearer and more explicit about bread with seeds, an interaction model would consider that Pat had a responsibility in the communication as well.
When Kim stated, “I don’t like bread that has seeds,” Pat could have checked to make
sure the message received was the same as the message sent. By asking, “Are you saying
that you don’t like any type of bread that has seeds?” Pat could have confirmed that Kim’s
message was correctly understood.
Two of the most influential interaction models are discussed next.
Osgood and Schramm Model
In 1965, professors Charles Osgood and Wilbur Schramm at the University of Illinois
developed a model of communication that introduced the concepts of interpretation and
feedback into the communication process. The Osgood-Schramm model is shown in Figure
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Section 2.3 Theories and Models of Interpersonal Communication
CHAPTER 2
Figure 2.6 Osgood and Schramm’s Model of Communication
Message
Encoder
Encoder
Interpreter
Interpreter
Decoder
Decoder
Message
Source: The Process and Effects of Mass Communication, Ed. by Wilbur Schramm.
Copyright © 1965 by the University of Illinois Press. Used by permission.
2.6. Interpretation requires the receiver of the message to give the message meaning and
creates the possibility that the message might be misunderstood. Feedback, the response
to the message, is one way to minimize misunderstandings.
What makes the Osgood and Schramm model significantly different from the early action
models we have studied is that it illustrates how, when a sender encodes and transmits a
message, the receiver decodes and interprets the message and transmits a message back
to the sender to respond to the message or to indicate what he or she understood. This
concept of feedback means that no longer is communication one-directional. Instead, in
the Osgood and Schramm model, communication moves in two directions. Each person
alternately takes on the roles of sender and receiver—similar to hitting a ball back and
forth in a tennis match.
Watzlawick, Beavin, and Jackson Model
In their 1967 book on communication, researchers Paul Watzlawick, Janet Beavin, and
Don D. Jackson emphasized the dynamic nature of communication and the back-andforth direction of communication when we have a conversation with another person. They
compared communication to the jagged blade of a handsaw, with messages going back
and forth continually between senders and receivers. Figure 2.7 illustrates this model,
which is also commonly referred to as a “sawtooth model.” These researchers viewed
interpersonal communication as a give-and-take process where neither person is just a
sender or just a receiver. Instead, they are two communicators who are interacting and
constantly shifting between sending and receiving messages.
The communication model created by Watzlawick, Beavin, and Jackson (1967) also emphasized the following principles about interpersonal communication:
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Section 2.3 Theories and Models of Interpersonal Communication
CHAPTER 2
Messages
• We cannot not
Figure 2.7 Watzlawick, Beavin, and Jackson’s Model
communicate.
of Communication
Because communication is
ongoing, whenPerson A
1
3
5
7
9
11
ever we are in
the presence of
another person,
communication
is taking place.
Even if we are not
saying anything,
our silence sends
a message to the
other person.
• Communication
involves conPerson B
2
4
6
8
10
scious choices and
unconscious influences. When we
Source: Watzlawick, P., Beavin, J., & Jackson, D.D. (1967). Pragmatics of human
communicate, we
communication. New York: Norton. Used by permission.
make conscious
choices about the
language we use, tone of voice, and other aspects of the communication. However,
factors such as our culture, the limitations of language, our perception of a situation, and the past relationship between those communicating also unconsciously
influence the communication. Communication has both verbal and nonverbal components. The nonverbal aspects of communication such as hand and body gestures
and facial expressions are important elements of the message. These verbal and
nonverbal components act like punctuation in a conversation and can often lead to
misunderstandings or communication failure.
• Communication has both content and relational components. The content of
the message consists of the words themselves and the information that is being
communicated. The relational components concern the power or status of the
other person or the feelings the other person is communicating in addition to the
verbal message. Relational messages are often unclear or ambiguous and may
require verbal checking. For example, if your boss says, “I’d like to see you in my
office,” the content of the message is clear and simple. However, the relational
component may cause you concern. You might analyze the tone of voice the boss
used when he or she made that statement or wonder about the way the boss
looked at you. Perhaps you mentally review your work to try to determine if the
meeting will be a positive or a negative experience. Could the boss be finding
fault with something you did or did not do recently?
• Communication is either symmetrical or complementary. Symmetrical communication takes place between people who have equal status such as co-workers
who are at approximately the same level of responsibility in an organization.
Complementary communication, on the other hand, takes place between people
who are of unequal status in the relationship, such as between a boss and subordinates (Watzlawick, Beavin, & Jackson, 1967).
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Section 2.3 Theories and Models of Interpersonal Communication
CHAPTER 2
Transaction Models
Barnlund’s Transactional Model
One limitation of the interaction models of communication is that they suggest the communicator and receiver take turns exchanging messages. As the study of communication progressed, researchers recognized that it is not necessary to receive a message before you send
one. Rather than take turns, communicators often send and receive messages at the same
time. For example, while someone is speaking to you, you might be smiling or frowning and
sending a nonverbal message to the other person. Thus, you can be a sender and a receiver
of messages simultaneously. Instead of comparing communication to shooting an arrow, like
the action models, or hitting a tennis ball back and forth, as in the interaction models, communication began to be viewed more like a dance, in which each person gets cues from the other
and each individual’s moves influence the direction of the communication. This “dance”
or interplay between two people is known as a
transaction, and these later models of communication became known as transactional models.
In the transaction models of interpersonal communication, both parties are active participants,
information is flowing in both directions, and
the communication takes place to meet the needs
of both people. The sender and the receiver are
mutually responsible for the creation of meaning,
and this meaning must be negotiated between
Kablonk!/photolibrary
the two parties. Feedback is an important part of
the process to ensure that the meaning of a mesTransaction models view communication
sage is shared by the communicators. Several
as a dance, where there is interplay
transaction models were proposed by theorists.
between communicators and cues are sent
However, the most well-known of these models
simultaneously.
was developed by Professor Dean C. Barnlund
of San Francisco State University in 1970. The
model, which resembles a complicated mathematical equation, may appear at first glance
to be unbelievably complex. However, for purposes of our study of interpersonal communication, two simple concepts are important to understand about this model.
First, Barnlund believed that we perceive three types of signs or cues in our environment:
(1) public cues, which are available to everyone in the environment and are outside of
our control; (2) private cues, which operate in our own heads and are part of our memories and experience that are not available to other people who enter the communication
environment; and (3) behavioral cues, which are the observable speech and nonverbal
activity that take place during the communication. In Barnlund’s view, all three types of
cue are transferable, one to the other. Public cues can be transformed into private cues,
and private cues can be transformed into behavioral cues that others can perceive or into
private cues that become part of our memory. Thus, transactions, or the transformation of
one type of cue to another, are always ongoing (Barnlund, 1970).
Let us look at an example of how these transformations occur. Imagine that you are sitting on a bench in a local park on your lunch break. The public cues would be the sights,
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Section 2.3 Theories and Models of Interpersonal Communication
CHAPTER 2
sounds, and smells around you. As you perceive these cues, you assign them meaning.
Perhaps these public cues remind you of the park you used to visit as a child, and you
remember the silly friend you used to play with at the park. This memory makes you
smile and laugh out loud and is a private cue, known only to you.
These nonverbal and verbal actions of smiling and laughing out loud are behavioral cues
that can be perceived by others. However, because others do not have access to the private cues from your childhood, they may misunderstand your actions or assign them a
meaning that is inaccurate. A distraught person walking just at the moment you started
laughing could misunderstand the public cue of your laughter and assign a meaning to
your behavior that is inaccurate (and perhaps think that you were laughing at him or her).
With a multitude of cues in the outside environment that we can focus on, another multitude of private memories and experiences we can draw on, an unlimited number of conscious and unconscious behaviors we might exhibit, and the constant transactions among
public, private, and behavioral cues, is it any wonder that misunderstanding can occur
whenever we are in the presence of other people?
Transaction Principles
The second important contribution of Barnlund’s transactional model to our understanding of interpersonal communication is the set of six principles that accompany his model.
These principles have been generally accepted by researchers who followed him and are
today considered to be fundamental principles of interpersonal communication. Barnlund’s (1970) six principles are:
1. Communication is complex. It involves a number of factors such as language,
power, the relationship between the parties in the communication and other elements, and meaning is constructed through transactions with other people.
2. Communication is continuous. Transactions are always taking place.
3. Communication is dynamic; it is always changing due to the constant transformations between public, private, and behavioral cues.
4. Communication is circular. Public cues and private cues are transformed into
behavioral cues, and these behavioral cues then become public cues—and the
process continues.
5. Communication is unrepeatable. We cannot exactly repeat something we have
said in the past. Even if our words are the same, tone of voice and other vocal
characteristics as well as body movement, facial expression, and other nonverbal
elements will be somewhat different. In addition, the communication may have
been perceived by others the first time and become one of their private cues, so the
second time it is communicated it will make a different impression.
6. Communication is irreversible. Once we communicate, we cannot “take it back.”
We can try to communicate in a different manner, try to explain previous communication, or perhaps apologize; however, it is impossible to reverse the communication once it has been made public. For example, although members of a jury in a
court trial may sincerely try to “disregard the previous statement” if the judge has
instructed them to do so, the statement has already made an impression that cannot be undone (Barnlund, 1970).
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Section 2.4 Interpersonal Communication Theory Today
CHAPTER 2
Thus, transaction models teach us that interpersonal communication is the shared responsibility of both parties in the communication encounter. The sender must attempt to communicate as clear a message as possible, and the receiver must provide feedback to communicate whether the interpreted meaning of the message was the same as the meaning
the sender intended or if further communication or clarification is needed.
Let us turn our attention one last time in this chapter to the conversation between Kim and
Pat regarding the bread and the seeds. Using a transaction model of communication, we
might look at the entire interaction that took place between these two people and note the
following about their communication. The direction of the conversation is clear from early
in the interaction, and it is not positive.
Kim begins by accusing Pat of deliberately buying bread that Kim did not like and uses
the strong, emotional word hate to express displeasure. Pat defends the purchase by denying knowledge of Kim’s dislike for the bread, and Kim counters by pointing out exactly
when Pat supposedly knew this information. Pat is again defensive and claims no recollection of hearing that statement. The conversation continues in this back-and-forth dance
between the two people, and each person has some responsibility for having carried the
conversation in a direction where shared meaning and understanding is not likely, at least
not without both parties having some hurt feelings.
2.4 Interpersonal Communication Theory Today
N
ow that we have examined some of the action, interaction, and transaction models of interpersonal communication developed during the first few decades of
the study of the subject, where do researchers stand today in their understanding of interpersonal communication? Because this subject is such an integral part of
our lives, theorists in a multitude of academic fields continue study it. In 1972, scholars
Richard W. Budd at Regent University and Brent D. Ruben at Rutgers University developed an anthology of communication theory that covered 24 disciplines, ranging from
anthropology to zoology; and a text by James A. Anderson at the University of Utah
in 1996 identified 249 distinct communication theories. Robert T. Craig (1999), associate professor in the Department of Communication, University of Colorado, Boulder,
wrote:
If ours is a culture in which we tend to think that all problems are fundamentally problems of communication (McKeon, 1957), in which we often
find that we need to “sit down and talk” in order “to work out problems”
in our relationships (Katriel & Philipsen, 1981), in which we ritually avow
that communication is the only tie that can hold together a diverse society across the vast spatial and cultural gaps that divide us (Carey, 1989),
then communication is already a topic much discussed throughout society,
and everyone already knows that communication is important and worth
studying in order to improve. (p. 130)
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CHAPTER 2
Section 2.5 Interpersonal Communication Skills
2.5 Interpersonal Communication Skills
A
large body of information and knowledge exists in the field of interpersonal communication; however, our primary goals in this text are to increase our awareness
of the principles of interpersonal communication and to apply these principles in
everyday interactions with other people. Interpersonal communication is a lifelong study
that requires ongoing practice for everyone. To become a more effective communicator,
scholars would most likely agree that five specific aspects of interpersonal communication are crucial areas of focus. We will introduce
these five aspects here and explore them in depth
in the remaining chapters of this text.
Listening Skills
Researchers report that most of us spend more
time listening than we do talking; however, most
people have had little education on how to be
an effective listener. In this text, we will explore
different types of listening and the requirements
for listener effectiveness. Listening requires
focus and attention, and failure to listen is one of
the key causes of miscommunication.
Eric Audras/Photoalto/photolibrary
Listening is a key component of effective
communication.
People Skills
People skills involve a wide range of interpersonal skills including appropriate selfdisclosure (determining how much personal information to share with others), appropriate assertion skills (presenting your ideas and opinions so that they are recognized),
collaborative skills (working well with others), problem-solving skills, and conflict
resolution skills.
Emotional Intelligence
Understanding emotions and expressing these emotions appropriately is the key to successful communication with others. People who are aware of their emotions and are sensitive to the emotions of others are better able to handle the ups and downs of life, to
rebound from adversity, and to maintain fulfilling relationships with others. As a result,
say researchers, they can live more satisfying lives (Matthews, Zeidner, & Roberts, 2003).
Emotional intelligence is a set of skills that can be learned. We can improve our emotional intelligence by increasing our awareness of emotional issues and improving our
ability to identify, assess, and manage our feelings. We discuss these skills of emotional
intelligence in more detail later in this text.
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Section 2.5 Interpersonal Communication Skills
CHAPTER 2
Appropriate Skill Selection
Appropriate skill selection means recognizing communication problems when they arise
and using effective skills to deal with those problems constructively. To achieve these
goals, we must be able to identify possible causes for a problem, know which tools in our
“communication tool box” to use in dealing with the problem, and be able to use those
skills effectively.
Communicating Ethically
The final critical communication competency is the ability to understand what constitutes
ethical communication and to make ethical choices in communication with others. Ethics
is the set of moral values each person carries throughout life—concepts of what is right
and wrong, good and bad, or just and unjust. When we say that someone is ethical, we
mean that he or she is honest, trustworthy, and a person of integrity. The information an
ethical person provides can be relied upon, and his or her behavior is guided by principles
of right and wrong.
All people in a group, a community, or a society are interdependent; their actions affect
others. We depend on the information others communicate, and they depend on the messages we send to them. If, for example, you report incorrect information at a business
meeting, a poor decision might be made on the basis of that information. If you fail to give
someone clear instructions for operating a piece of machinery, that person might be seriously injured. The statements and actions of every person affect others in the communities
to which that person belongs.
To ensure that you are an ethical communicator, keep the following principles in mind
and strive to demonstrate them in your everyday interactions with other people:
1. Take responsibility for your communication behavior. Strive to be truthful, accurate, and clear in your communication with others.
2. Remember that communication is shared meaning, and each person in a communication encounter has a responsibility to work toward achieving this shared
understanding and interpretation.
3. Acknowledge that your view of a situation is not the only view; strive to understand the perspective of other people and to see how their point of view makes
sense to them.
4. Respect others as well as yourself. Strive for win-win outcomes in communication encounters, where both parties get their needs met, not outcomes where one
person “wins” an argument or controls a discussion at the expense of the other
person’s feelings or interests.
5. Listen and evaluate the other person’s statements before responding to them and
choose your words carefully.
6. Honor the confidentiality of interpersonal communication. Do not share information that was given in confidence, and accept the consequences for your communication behavior.
7. Continually work to become a better communicator. Communication skills are
learned through knowledge and through practice.
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Section 2.6 Chapter Summary
CHAPTER 2
2.6 Chapter Summary
From birth, we humans are social animals, and we want and need connections with other
people. Interpersonal communication is a social process, and we usually engage in interpersonal communication for one of three purposes: to meet personal needs; to learn about
ourselves, other people, and the world; and to build and maintain relationships.
Psychologist Abraham Maslow constructed a hierarchy of needs, which are illustrated in
a pyramid-shaped model. In Maslow’s hierarchy, physiological needs are the most basic;
needs for food, water, and sleep must be satisfied first. Once these needs are met, safety
and security needs can emerge. If a person is able to meet the needs for safety and security, higher-level social needs and then esteem needs will emerge, in that order. These four
categories of needs Maslow labeled as deficiency needs because he believed they must be
satisfied before a person’s motivation can turn toward self-actualization.
In addition to meeting personal needs, interpersonal communication also helps us learn
about ourselves, other people, and the world. It helps us develop a concept of self and is
one of the most important ways in which societies pass on their cultural heritage. Interpersonal communication also helps in building and maintaining relationships and enables us
to share your values and principles.
The interpersonal communication process consists of several key elements:
• The sender—the source of the communication
• The receiver—the recipient of the message and an active participant in the communication process
• The message—the content of the communication, which is transmitted in some
type of code
• The channel—the medium through which the communication is transmitted
• Feedback—the response to the communication that a communicator gets from
others about the message
• The communication environment—the external situation in which the communication takes place
• Noise—information unrelated to the message that disturbs or interrupts the
communication process. This noise may be technical noise in the communication system or the equipment used to transmit the message, semantic noise that
consists of language problems, or psychological noise, that results from internal
issues within the people who are communicating.
The study of interpersonal communication as an academic discipline began in the midtwentieth century and is ongoing. As researchers continue to learn about the complex
subject of interpersonal communication, our understanding of this subject continues
to grow. Theories and models of communication that evolved during the first decades
of formal study can be divided into three categories: (1) action models that envisioned
interpersonal communication as one-directional, much like shooting an arrow at a passive
receiver; (2) interaction models, which viewed interpersonal communication as a twoway process, similar to hitting a tennis ball back and forth; and (3) transaction models,
in which the participants are senders and receivers simultaneously, similar to a dance in
which each person gets cues from the other and each individual’s moves influence the
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Key Terms
CHAPTER 2
direction of the communication. In today’s transactional view of interpersonal communication, both the sender and the receiver are responsible for creating meaning, and this
meaning must be negotiated between the parties. Feedback is crucial to ensure that the
meaning of a message is shared between the communicators.
Five essential aspects of interpersonal communication are listening skills, people skills,
emotional intelligence, appropriate skill selection, and communicating ethically.
Key Terms
action models Early descriptions of interpersonal communication as a one-directional
transmission of information from a source or
sender to some destination or receiver (also
called linear models)
linear models Early descriptions of interpersonal communication as a one-directional
transmission of information from a source or
sender to some destination or receiver (also
called action models)
behavioral cues Observable speech and nonverbal activity that takes place when people
communicate
meaning The feeling, idea, or action that a symbol represents to a sender or receiver
channel The medium through which communication is transmitted
communication environment The external situation in which communication takes place
decode The interpretation a receiver makes of
a message
emotional intelligence The ability people to
identify emotions and act appropriately
encode The sender’s action of putting ideas
into a form that the receiver can understand
ethics A set of moral values of what is right and
wrong, good and bad, or just and unjust
feedback The response to communication that
a communicator receives from others
message The content of the communication
that is transmitted
noise Information unrelated to the message
that disturbs or interrupts the communication
process
private cues Signs in the environment that trigger a person’s thoughts, memories, or personal
experiences and are not available to other
people
psychological noise Disturbances in the communication process resulting from internal
issues within the people involved in the process
public cues Signs in the environment that are
available to everyone and are outside of individual control
information The data or content of a message
receiver The recipient of the communication
message and an active participant in the communication process
information source The communicator or
sender of a message
self-actualization The achievement of one’s full
potential as a person
interaction models Descriptions of interpersonal communication as a two-way process in
which both the sender and the receiver share
equally the responsibility for communication
effectiveness
semantic noise Interferences in communication caused by language issues
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sender The who originates the communication
encounter and the message
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Key Terms
signal Information sent from one place or from
one person to another using equipment or an
organized system of some type
technical noise Disturbances in the communication system or the equipment used to transmit a message
CHAPTER 2
transaction models Descriptions of interpersonal communication as a process in which
both parties are active participants, information is flowing in both directions, the communication takes place to meet the needs of both
people, and the sender and the receiver are
mutually responsible for the creation of meaning (also called transactional models)
transaction A communication exchange between two people in which each party affects
or influences the other
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