Introduction to Mergers and Acquisitions

Chapter 1: Introduction to Mergers and Acquisitions

1.         Which of the following are generally considered restructuring activities?

a.         A merger

b.         An acquisition

c.         A divestiture

d.         A consolidation

e.         All of the above

Answer:

2.         All of the following are considered business alliances except for

a.         Joint ventures

b.         Mergers

c.         Minority investments

d.         Franchises

e.         Licensing agreements

Answer:

3.         Which of the following is an example of economies of scope?

a.         Declining average fixed costs due to increasing levels of capacity utilization

b.         A single computer center supports multiple business units

c.         Amortization of capitalized software

d.         The divestiture of a product line

e.         Shifting production from an underutilized facility to another to achieve a higher overall operating rate and shutting down the first facility

Answer:

4.         A firm may be motivated to purchase another firm whenever

a.         The cost to replace the target firm’s assets is less than its market value

b.         The replacement cost of the target firm’s assets exceeds its market value

c.         When the inflation rate is accelerating

d.         The ratio of the target firm’s market value is more than twice its book value

e.         The market to book ratio is greater than one and increasing

Answer:

5.         Which of the following is true only of a consolidation?

a.         More than two firms are involved in the combination

b.         One party to the combination disappears

c.         All parties to the combination disappear

d.         The entity resulting from the combination assumes ownership of the assets and liabilities of the acquiring firm only.

e.         One company becomes a wholly owned subsidiary of the other.

Answer:

6.         Which one of the following is not an example of a horizontal merger?

a.         NationsBank and Bank of America combine

b.         U.S. Steel and Marathon Oil combine

c.         Exxon and Mobil Oil combine

d.         SBC Communications and Ameritech Communications combine

e.         Hewlett Packard and Compaq Computer combine

Answer:

7.         Buyers often prefer “friendly” takeovers to hostile ones because of all of the following except for:

a.         Can often be consummated at a lower price

b.         Avoid an auction environment

c.         Facilitate post-merger integration

d.         A shareholder vote is seldom required

e.         The target firm’s management recommends approval of the takeover to its shareholders

Answer:

8.         Which of the following represent disadvantages of a holding company structure?

a.         Potential for triple taxation

b.         Significant number of minority shareholders may create contentious environment

c.         Managers may have difficulty in making the best investment decisions

d.         A, B, and C

e.         A and C only

Answer:

9.         Which of the following are not true about ESOPs?

a.         An ESOP is a trust

b.         Employer contributions to an ESOP are tax deductible

c.         ESOPs can never borrow

d.         Employees participating in ESOPs are immediately vested

e.         C and D

Answer:

10.       ESOPs may be used for which of the following?

a.         As an alternative to divestiture

b.         To consummate management buyouts

c.         As an anti-takeover defense

d.         A, B, and C

e.         A and B only

Answer:

11.       Which of the following represent alternative ways for businesses to reap some or all of the advantages of M&As?

a.         Joint ventures and strategic alliances

b.         Strategic alliances, minority investments, and licensing

c.         Minority investments, alliances, and licensing

d.         Franchises, alliances, joint ventures, and licensing

e.         All of the above

Answer:

12.       Which of the following are often participants in the acquisition process?

a.         Investment bankers

b.         Lawyers

c.         Accountants

d.         Proxy solicitors

e.         All of the above

Answer:

13.       The purpose of a “fairness” opinion from an investment bank is

a.         To evaluate for the target’s board of directors the appropriateness of a takeover offer

b.         To satisfy Securities and Exchange Commission filing requirements

c.         To support the buyer’s negotiation effort

d.         To assist acquiring management in the evaluation of takeover targets

e.         A and B

Answer:

14.       Arbitrageurs often adopt which of the following strategies just before or just after a merger announcement?

a.         Buy the target firm’s stock

b.         Buy the target firm’s stock and sells the acquirer’s stock short

c.         Buy the acquirer’s stock only

d.         Sell the target’s stock short and buys the acquirer’s stock

e.         Sell the target stock short

Answer:

15.       Institutional investors in private companies often have considerable influence approving or disapproving proposed mergers. Which of the following are generally not considered institutional investors?

a.         Pension funds

b.         Insurance companies

c.         Bank trust departments

d.         United States Treasury Department

e.         Mutual funds

Answer:

16.       Which of the following are generally not considered motives for mergers?

a.         Desire to achieve economies of scale

b.         Desire to achieve economies of scope

c.         Desire to achieve antitrust regulatory approval

d.         Strategic realignment

e.         Desire to purchase undervalued assets

Answer:

17.       Which of the following are not true about economies of scale?

a.         Spreading fixed costs over increasing production levels

b.         Improve the overall cost position of the firm

c.         Most common in manufacturing businesses

d.         Most common in businesses whose costs are primarily variable

e.         Are common to such industries as utilities, steel making, pharmaceutical, chemical and aircraft manufacturing

Answer:

18.       Which of the following is not true of financial synergy?

a.         Tends to reduce the firm’s cost of capital

b.         Results from a better matching of investment opportunities available to the firm with internally generated funds

c.         Enables larger firms to experience lower average security underwriting costs than smaller firms

d.         Tends to spread the firm’s fixed expenses over increasing levels of production

e.         A and B

Answer:

19.       Which of the following is not true of unrelated diversification?

a.         Involves buying firms outside of the company’s primary lines of business

b.         Involves shifting from a firm’s core product lines into those which are perceived to have higher growth potential

c.         Generally results in higher returns to shareholders

d.         Generally requires that the cash flows of acquired businesses are uncorrelated with those of the firm’s existing businesses

e.         A and D only

Answer:

20.       Which of the following is not true of strategic realignment?

a.         May be a result of industry deregulation

b.         Is rarely a result of technological change

c.         Is a common motive for M&As

d.         A and C only

e.         Is commonly a result of technological change

Answer:

21.       The hubris motive for M&As refers to which of the following?

a.         Explains why mergers may happen even if the current market value of the target firm reflects its true economic value

b.         The ratio of the market value of the acquiring firm’s stock exceeds the replacement cost of its assets

c.         Agency problems

d.         Market power

e.         The Q ratio

Answer:

22.       Around the announcement date of a merger or acquisition, abnormal returns to target firm shareholders normally average

a.         10%

b.         30%

c.         –3%

d.         100%

e.         50%

Answer:

23.       Around the announcement date of a merger, acquiring firm shareholders normally earn

a.         30% positive abnormal returns

b.         –20% abnormal returns

c.         Zero to slightly negative returns

d.         100% positive abnormal returns

e.         10% positive abnormal returns

Answer:

24.       Which of the following is the most common reason that M&As often fail to meet expectations?

a.         Overpayment

b.         Form of payment

c.         Large size of target firm

d.         Inadequate post-merger due diligence

e.         Poor post-merger communication

Answer:

25.       Post-merger financial performance of the new firm is often about the same as which of the following?

a.         Joint ventures

b.         Strategic alliances

c.         Licenses

d.         Minority investments

e.         All of the above

Answer:

Chapter 2 Regulatory Considerations

1.         In determining whether a proposed transaction is anti-competitive, U.S. regulators look at all of the following except for

a.         Market share of the combined businesses

b.         Potential for price fixing

c.         Ease of new competitors to enter the market

d.         Potential for job loss among target firm’s employees

e.         The potential for the target firm to fail without the takeover

Answer:

2.         Which of the following is among the least regulated industries in the U.S.

a.         Defenses

b.         Communications

c.         Retailing

d.         Public utilities

e.         Banking

Answer:

3.         All of the following are true of the Williams Act except for

a.         Consists of a series of amendments to the 1934 Securities Exchange Act

b.         Facilitates rapid takeovers over target companies

c.         Requires investors acquiring 5% or more of a public company to file a 13(d) with the SEC

d.         Firms undertaking tender offers are required to file a 14(d)-1 with the SEC

e.         Acquiring firms initiating tender offers must disclose their intentions and business plans

Answer:

4.         The Securities Act of 1933 requires the registration of all securities issued to the public. Such registration requires which of the following disclosures:

a.         Description of the firm’s properties and business

b.         Description of the securities

c.         Information about management

d.         Financial statements audited by public accountants

e.         All of the above.

Answer:

5.         All of the following is true about proxy contests except for

a.         Proxy materials must be filed with the SEC immediately following their distribution to investors

b.         The names and interests of all parties to the proxy contest must be disclosed in the proxy materials

c.         Proxy materials may be distributed by firms seeking to change the composition of a target firm’s board of directors

d.         Proxy materials may be distributed by the target firm seeking to influence how their shareholders vote on a particular proposal

e.         Target firm proxy materials must be filed with the SEC.

Answer:

6.         The purpose of the 1968 Williams Act was to

a.         Give target firm shareholders time to review takeover proposals

b.         Prosecute target firm shareholders who misuse information

c.         Protect target firm employees from layoffs

d.         Prevent tender offers

e.         Promote tender offers

Answer:

7.         Which of the following represent important shortcomings of using industry concentration ratios to determine whether the combination of certain firms will result in an increase in market power?

a.         Frequent inability to define what constitutes an industry

b.         Failure to measure ease of entry or exit for other firms

c.         Failure to account for foreign competition

d.         Failure to account properly for the distribution of firms of different sizes

e.         All of the above

Answer:

8.         In a tender offer, which of the following is true?

a.         Both acquiring and target firms are required to disclose their intentions to the SEC

b.         The target’s management cannot advise its shareholders how to respond to a tender offer until has disclosed certain information to the SEC

c.         Information must be disclosed only to the SEC and not to the exchanges on which the target’s shares are traded

d.         A and B

e.         A, B, and C

Answer:

9.         Which of the following are true about the Sherman Antitrust Act?

a.         Prohibits business combinations that result in monopolies.

b.         Prohibits business combinations resulting in a significant increase in the pricing power of a single firm.

c.         Makes illegal all contracts unreasonably restraining trade.

d.         A and C only

e.         A, B, and C

Answer:

10.       All of the following are true of the Hart-Scott-Rodino Antitrust Improvements Act except for

a.         Acquisitions involving firms of a certain size cannot be completed until certain information is supplied to the FTC

b.         Only the acquiring firm is required to file with the FTC

c.         An acquiring firm may agree to divest certain businesses following the completion of a transaction in order to get regulatory approval.

d.         The Act is intended to give regulators time to determine whether the proposed combination is anti- competitive.

e.         The FTC may file a lawsuit to block a proposed transaction

Answer:

11.       All of the following are true of antitrust lawsuits except for

a.         The FTC files lawsuits in most cases they review.

b.         The FTC reviews complaints that have been recommended by its staff and approved by the FTC

c.         FTC guidelines commit the FTC to make a final decision within 13 months of a complaint

d.         As an alternative to litigation, a company may seek to negotiate a voluntary settlement of its differences with the FTC.

e.         FTC decisions can be appealed in the federal circuit courts.

Answer:

12.       All of the following are true about a consent decree except for

a.         Requires the merging parties to divest overlapping businesses

b.         An acquirer may seek to negotiate a consent decree in advance of consummating a deal.

c.         In the absent of a consent decree, a buyer usually makes the receipt of regulatory approval necessary to closing the deal.

d.         FTC studies indicate that consent decrees have historically been largely ineffectual in promoting competition

e.         Consent decrees tend to be most effective in promoting competition if the divestitures made by the acquiring firms are to competitors.

Answer:

13.       U.S. antitrust regulators are most concerned about what types of transaction?

a.         Vertical mergers

b.         Horizontal mergers

c.         Alliances

d.         Joint ventures

e.         Minority investments

Answer:

14.       Which of the following are used by antitrust regulators to determine whether a proposed transaction will be anti-competitive?

a.         Market share

b.         Barriers to entry

c.         Number of substitute products

d.         A and B only

e.         A, B, and C

Answer:

15.       European antitrust policies differ from those in the U.S. in what important way?

a.         They focus on the impact on competitors

b.         They focus on the impact on consumers

c.         They focus on both consumers and competitors

d.         They focus on suppliers

e.         They focus on consumers, suppliers, and competitors

Answer:

16.       Which other types of legislation can have a significant impact on a proposed transaction?

a.         State anti-takeover laws

b.         State antitrust laws

c.         Federal benefits laws

d.         Federal and state environmental laws

e.         All of the above

Answer:

17.       State “blue sky” laws are designed to

a.         Allow states to block M&As deemed as anticompetitive

b.         Protect individual investors from investing in fraudulent securities’ offerings

c.         Restrict foreign investment in individual states

d.         Protect workers’ pensions

e.         Prevent premature announcement of M&As

Answer:

18.       All of the following are examples of antitakeover provisions commonly found in state statutes except for

a.         Fair price provisions

b.         Business combination provisions

c.         Cash-out provisions

d.         Short-form merger provisions

e.         Share control provisions

Answer:

19.       A collaborative arrangement is a term used by regulators to describe agreements among competitors for all of the following except for

a.         Joint ventures

b.         Strategic alliances

c.         Mergers and acquisitions

d.         A & B only

e.         A & C only

Answer:

20.       Vertical mergers are likely to be challenged by antitrust regulators for all of the following reasons except for

a.         An acquisition by a supplier of a customer prevents the supplier’s competitors from having access to the customer.

b.         The relevant market has few customers and is highly concentrated

c.         The relevant market has many suppliers.

d.         The acquisition by a customer of a supplier could become a concern if it prevents the customer’s competitors from having access to the supplier.

e.         The suppliers’ products are critical to a competitor’s operations

Answer:

21.       All of the following are true of the U.S. Foreign Corrupt Practices Act except for which of the following:

a.         The U.S. law carries anti-bribery limitations beyond U.S. political boundaries to within the domestic boundaries of foreign states.

b.         This Act prohibits individuals, firms, and foreign subsidiaries of U.S. firms from paying anything of value to foreign government officials in exchange for obtaining new business or retaining existing contracts.

c.         The Act permits so-called facilitation payments to foreign government officials if relatively small amounts of money are required to expedite goods through foreign custom inspections, gain approvals for exports, obtain speedy passport approvals, and related considerations.

d.         The payments described in c above are considered legal according to U.S. law and the laws of countries in which such payments are considered routine

e.         Bribery is necessary if a U.S. company is to win a contract that comprises more than 10% of its annual sales.

Answer:

22.       Foreign direct investment in U.S. companies that may threaten national security is regulated by which of the following:

a.         Hart-Scott-Rodino Antitrust Improvements Act

b.         Defense Production Act

c.         Sherman Act

d.         Federal Trade Commission Act

e.         Clayton Act

Answer:

23.       A diligent buyer must ensure that the target is in compliance with the labyrinth of labor and benefit laws, including those covering all of the following except for

a.         Sexual harassment

b.         Age discrimination,

c.         National security

d.         Drug testing

e.         Wage and hour laws.

Answer:

24.       All of the following factors are considered by U.S. antitrust regulators except for

a.         Market share

b.         Potential adverse competitive effects

c.         Barriers to entry

d.         Purchase price paid for the target firm

e.         Efficiencies created by the combination

Answer:

25.       The Sarbanes-Oxley bill is intended to achieve which of the following:

a.         Auditor independence

b.         Corporate responsibility

c.         Improved financial disclosure

d.         Increased penalties for fraudulent behavior

e.         All of the above

Answer:

Chapter 3: The Corporate Takeover Market:

Common Takeover Tactics, Anti-Takeover Defenses, and Corporate Governance

1.         All of the following are commonly used takeover tactics, except for

a.         Poison pills

b.         Bear hug

c.         Tender offer

d.         Proxy contest

e.         Litigation

Answer:

2.         According to the management entrenchment theory,

a.         Management resistance to takeover attempts is an attempt to increase the proposed purchase price premium

b.         Management resistance to takeover attempts is an attempt to extend their longevity with the target firm

c.         Shareholders tend to benefit when management resists takeover attempts

d.         Management attempts to maximize shareholder value

e.         Describes the primary reason takeover targets resist takeover bids

Answer:

3.         Which of the following factors often affects hostile takeover bids?

a.         The takeover premium

b.         The composition of the board of the target firm

c.         The composition of the ownership of the target’s stock

d.         The target’s bylaws

e.         All of the above

Answer:

4.         All of the following are true of a proxy contest except for

a.         Are usually successful

b.         Are sometimes designed to replace members of the board

c.         Are sometimes designed to have certain takeover defenses removed

d.         May enable effective control of a firm without owning 51% of the voting stock

e.         Are often costly

Answer:

5.         Purchasing the target firm’s stock in the open market is a commonly used tactic to achieve all of the following except for

a.         Acquiring a controlling interest in the target firm without making such actions public knowledge.

b.         Lowering the average cost of acquiring the target firm’s shares

c.         Recovering the cost of an unsuccessful takeover attempt

d.         Obtaining additional voting rights in the target firm

e.         Strengthening the effectiveness of proxy contests

Answer:

6.         All of the following are true of tender offers except for

a.         Tender offers consist only of offers of cash for target stock

b.         Are generally considered an expensive takeover tactic

c.         Are extended for a specific period of time

d.         Are sometimes over subscribed

e.         Must be filed with the SEC

Answer:

7.         Which of the following are common takeover tactics?

a.         Bear hugs

b.         Open market purchases

c.         Tender offers

d.         Litigation

e.         All of the above

Answer:

8.         All of the following are common takeover defenses except for

a.         Poison pills

b.         Litigation

c.         Tender offers

d.         Staggered boards

e.         Golden parachutes

Answer:

9.         All of the following are true of poison pills except for

a.         They are a new class of security

b.         Generally prevent takeover attempts from being successful

c.         Enable target shareholders to buy additional shares in the new company if an unwanted shareholder’s ownership exceeds a specific percentage of the target’s stock

d.         Delays the completion of a takeover attempt

e.         May be removed by the target’s board if an attractive bid is received from a so-called “white knight.”

Answer:

10.       The following takeover defenses are generally put in place by a firm before a takeover attempt is initiated.

a.         Standstill agreements

b.         Poison pills

c.         Recapitalization

d.         Corporate restructuring

e.         Greenmail

Answer:

11.       The following takeover defenses are generally put in place by a firm after a takeover attempt is underway.

a.         Staggered board

b.         Standstill agreement

c.         Supermajority provision

d.         Fair price provision

e.         Reincorporation

Answer:

12.       Which of the following is true about so-called shark repellants?

a.         They are put in place to strengthen the board

b.         They include poison pills

c.         Often consist of the right to issue greenmail

d.         Involve White Knights

e.         Involve corporate restructuring

Answer:

13.       Which of the following is true? A hostile takeover attempt

a.         Is generally found to be illegal

b.         Is one that is resisted by the target’s management

c.         Results in lower returns to the target firm’s shareholders than a friendly attempt

d.         Usually successful

e.         Supported by the target firm’s board and its management

Answer:

14.       Which is true of the following? A white knight

a.         Is a group of dissident shareholders which side with the bidding firm

b.         Is a group of the target firm’s current shareholders which side with management

c.         Is a third party that is willing to acquire the target firm at the same price as the bidder but usually removes the target’s management

d.         Is a firm which is viewed by management as a more appropriate suitor than the bidder

e.         Is a firm that is willing to acquire only a large block of stock in the target firm

Answer:

15.       Which of the following is true about supervoting stock?

a.         Is a commonly used takeover tactic.

b.         Is generally encouraged by the SEC

c.         May have 10 to 100 times of the voting rights of other classes of stock

d.         Is issued to acquiring firms if they agree not to purchase a controlling interest in the target firm

e.         Is a widely used takeover defense

Answer:

16.       Which of the following factors influences corporate governance practices?

a.         Securities legislation

b.         Government regulatory agencies

c.         The threat of a hostile takeover

d.         Institutional activism

e.         All of the above

Answer:

17.       Which of the following are commonly considered alternative models of corporate governance?

a.         Market model

b.         Control model

c.         Takeover model

d.         A & B only

e.         A & C only

Answer:

18.       The market governance model is applicable when which of the following conditions are true?

a.         Capital markets are liquid

b.         Equity ownership is widely dispersed

c.         Ownership and control are separate

d.         Board members are largely independent

e.         All of the above

Answer:

19.       The control market is applicable when which of the following conditions are true?

a.         Capital markets are illiquid

b.         Equity ownership is heavily concentrated

c.         Board members are largely insiders

d.         Ownership and control overlap

e.         All of the above

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Answer:

20.       The control model of corporate governance is applicable under all of the following conditions except for

a.         Capital markets are illiquid

b.         Board members are largely insiders

c.         Ownership and control overlap

d.         Equity ownership is widely dispersed

e.         A, B, & D only

Answer:

21.       Which of the following are the basic principles on which the market model is based?

a.         Management incentives should be aligned with those of shareholders and other major stakeholders

b.         Transparency of financial statements

c.         Equity ownership should be widely dispersed

d.         A & B only

e.         A, B, and C only

Answer:

22.       Which of the following statements best describes the business judgment rule?

a.         Board members are expected to conduct themselves in a manner that could reasonably be seen as being in the best interests of the shareholders.

b.         Board members are always expected to make good decisions.

c.         The courts are expected to “second guess’ decisions made by corporate boards.

First Draft of a Commentary Assignment

ENG-105: Topic 6

First Draft of a Commentary Assignment

For this assignment, write a 750-1,000-word commentary that addresses a trend/topic related to ADHD.

 

This means that your essay should review a single trend related to ADHD. For instance, you could analyze one of the following trends (you are not limited to this list; these are suggestions):

 

· Increase in ADHD Diagnoses

· Impact of ADHD on a Child’s Schooling

· Impact of New ADHD Treatments

· Hidden Dangers of ADHD Medications

· The Reasoning Behind ADHD Awareness Week

· ADHD and the Zombie Phenomenon

· ADHD Drug Overdoses

This essay is NOT a summary of several different elements of ADHD. Rather, it is an analysis of a single trend related to ADHD, including various elements of that single trend.

Your review should include at least five scholarly sources outside of class texts.

Directions

1. Label or Identify the Subject: Provide the name for the trend and provide some context or background for the subject.

2. Explain the Subject: Find a pattern of meaning in the trend (e.g., speculate as to causes and effects of an event, compare with a similar case, or offer an example).

3. Make a Judgment/Offer an Opinion: Evaluate the trend using third person; offer praise or critique the trend, offering evidence to support your claims.

 

First Draft Grading

 

You will receive completion points for the first draft based upon the successful submission of your draft. Since instructor feedback for this draft is optional, you will need to consider feedback from peers and your self-review. You may also use the Center for Learning Advancement (CLA) and ThinkingStorm online tutoring services available at the following link for additional feedback: http://www.gcu.edu/Learning-Resources/Center-for-Learning-and-Advancement.php

 

 

The final draft of this assignment uses a grading rubric. Instructors will be using the rubric to grade the assignment; therefore, students should review the rubric prior to beginning the assignment to become familiar with the assignment criteria and expectations for successful completion of the assignment.

 

Because your first draft is a completion grade, do not assume that this grade reflects or predicts the final grade.

 

 

Final Draft Grading

 

The final essay will be graded using a rubric. Please review the rubric prior to beginning the assignment to become familiar with the assignment criteria and expectations.

 

Sources

 

· Include in-text citations and a References page in GCU Style for at least FIVE scholarly sources outside of class texts.

· These sources should be used to support any claims you make.

· Use the GCU Library to help you find sources.

· Include this research in the paper in a scholarly manner.

 

Format

Prepare this assignment according to the guidelines found in the GCU Style Guide, located in the Student Success Center.

TurnItIn

 

· You are required to submit this assignment to TurnItIn. Refer to the Turnitin Tutorial in the Student Success Center.

· Please be sure to review your TurnItIn score before submitting the draft to your instructor.

 

Submit this assignment to your instructor in the assignment drop box AND post this draft as an attachment in the Topic 6 Commentary Peer Review Forum by Day 3 of Week 6.

 

 

© 2014. Grand Canyon University. All Rights Reserved.

Case Study: Playing In The Orchestra

Case Synopsis and Analysis

Martina Bates is the newly hired orchestra teacher who oversees orchestras for the elementary, middle, and high schools in her area. Martina has success leading the elementary orchestra because she focuses on technique and form and helps the kids feel as though they can play their instruments. At the middle school level, Martina consistently provides friendly competition and rewards to enhance players’ skills and motivation. She has some success at this level, particularly because players generally have higher level skills and want to play in the spring concert. The high school orchestra is quite small, and Martina regularly teaches these students advanced-level techniques and skills and provides them with challenging music. Despite individual attention and hard work by Martina, the students at the high school level often want to quit.

This case study allows students to decipher the needs of three distinct groups of followers and then analyze how the leader should behave in order to motivate these followers.

Learning objectives:

· Students should be able to determine appropriate leadership behavior using path–goal and expectancy theories.

· Students should recognize a follower’s obstacles and determine how a leader can help remove those obstacles.

Fundamentals Of Speech

(1) What You See Isn’t Always What You Get!

Did you know that your clothing and personal grooming communicate a message about you? Today more than ever, people use clothing choices, body art, and other personal grooming to communicate who they are and what they stand for. Likewise, when you meet someone, you are likely to form an impression of them from how they are dressed and groomed.

Read Chapter 5 of your text. 

Write a paragraph of ten to 12 sentences in which you tell about a time that you judged someone or a time in which you were judged by what you were wearing. Type your paragraph in Microsoft Word and submit

(2)

 

Listening and Responding

 

When a situation calls for us to try to understand how someone else is feeling about what they have experienced or are talking about, we use emphatic listening. When our goal is to be a sounding board or help a friend sort through feelings, you will want to begin with empathetic listening.

Assignment: Write a paragraph describing a time when you effectively empathized with another person. What was the person’s emotional state? How did you recognize it? What were the nonverbal cues? Verbal cues? What type of relationship did you have with this person? How similar were the two of you? What type of empathizing did you use? 

Communicate! Kathleen S. Verderber Northern Kentucky University

Rudolph F. Verderber Distinguished Teaching Professor of Communication,

University of Cincinnati

Deanna D. Sellnow University of Kentucky

13

Australia • Brazil • Japan • Korea • Mexico • Singapore • Spain • United Kingdom • United States

 

 

© 2010, 2008 Wadsworth, Cengage Learning

ALL RIGHTS RESERVED. No part of this work covered by the copyright herein may be reproduced, transmitted, stored or used in any form or by any means graphic, electronic, or mechanical, including but not limited to photocopying, recording, scanning, digitizing, taping, Web distribution, information networks, or information storage and retrieval systems, except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, or applicable copyright law of another jurisdiction, without the prior written permission of the publisher.

International Student Edition: ISBN-13: 978-0-495-90172-3 ISBN-10: 0-495-90172-5

Cengage Learning International Offi ces

Communicate!, Thirteenth Edition

Kathleen S. Verderber, Rudolph F. Verderber, and Deanna Sellnow

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iii

Brief Contents

Contents iv

Preface xiii

PART I FOUNDATIONS OF COMMUNICATION

Chapter 1 Communication Perspectives 1

Chapter 2 Perception of Self and Others 23

Chapter 3 Communicating Verbally 47

Chapter 4 Communicating Nonverbally 66

Chapter 5 Listening and Responding 87

PART II INTERPERSONAL COMMUNICATION

Chapter 6 Communicating Across Cultures 111

Chapter 7 Understanding Interpersonal Relationships 133

Chapter 8 Communication Skills in Interpersonal Relationships: Providing Emotional Support, Managing Privacy, and Negotiating Confl ict 157

Appendix Interviewing 185

PART III GROUP COMMUNICATION

Chapter 9 Communicating in Groups 207

Chapter 10 Problem Solving in Groups 224

PART IV PUBLIC SPEAKING

Chapter 11 Developing and Researching a Speech Topic 250

Chapter 12 Organizing Your Speech 275

Chapter 13 Adapting Verbally and Visually 304

Chapter 14 Overcoming Speech Apprehension by Practicing Delivery 332

Chapter 15 Informative Speaking 363

Chapter 16 Persuasive Speaking 388

References 419

Index 430

 

 

iv

Brief Contents iii

Preface xiii

PART I FOUNDATIONS OF COMMUNICATION

Chapter 1 Communication Perspectives 1

The Communication Process 3

Participants 3 Messages 3 Context 4 Channels 5 Interference (Noise) 5 Feedback 7 A Model of the Basic Communication Process 8 Communication Settings 8

Communication Principles 10

Communication Has Purpose 10 Communication Is Continuous 11 Communication Messages Vary in Conscious Thought 11 Communication Is Relational 11 Communication Is Guided by Culture 12 Communication Has Ethical Implications 14 Communication Is Learned 15

Increasing Our Communication Competence 15

Develop Communication Skills Improvement Goals 18

Chapter 2 Perception of Self and Others 23

The Perception Process 24

Attention and Selection 24 Organization of Stimuli 25 Interpretation of Stimuli 26

Perceptions of Self: Self-Concept and Self-Esteem 26

Forming and Maintaining a Self-Concept 26

Developing and Maintaining Self-Esteem 28

The Infl uence of Gender and Culture on Self-Perceptions 30 Changing Self-Perceptions 31 Accuracy and Distortion of Self-Perceptions 31 The Effects of Self-Perceptions on Communication 34

Contents

 

 

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Presenting Self to Others 35

Self-Monitoring 36 Social Construction of Self 36

Perception of Others 37

Observing Others 38 Using Stereotypes 38 Emotional State 39 Perceiving Others’ Messages 40 Improving the Accuracy of Social Perceptions 41

Chapter 3 Communicating Verbally 47

The Nature and Purposes of Language 48

Purposes of Language 49 The Relationship Between Language and Meaning 49 Cultural and Gender Infl uences on Language Use 51

Improving Language Skills 52

Use Clear Language 52 Use Language That Makes Your Messages Memorable 55 Use Linguistic Sensitivity 58

Chapter 4 Communicating Nonverbally 66

Characteristics of Nonverbal Communication 68

Types of Nonverbal Communication 69

Use of Body: Kinesics 69 Use of Voice: Vocalics 71 Use of Space: Proxemics 73 Use of Time: Chronemics 75 Self-Presentation Cues 76

Guidelines for Improving Nonverbal Communication 79

Sending Nonverbal Messages 79 Interpreting Nonverbal Messages 82

Chapter 5 Listening and Responding 87

What Is Listening? 88

Types of Listening 88

Appreciative Listening 89 Discriminative Listening 89 Comprehensive Listening 90 Empathic Listening 90 Critical Listening 90

 

 

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Steps in the Listening Process 91

Attending 91 Understanding 93 Remembering 97 Evaluating 98 Responding 100

Conversation and Analysis 102

PART II INTERPERSONAL COMMUNICATION

Chapter 6 Communicating Across Cultures 111

Culture and Communication 112

Intercultural Communication 112 Dominant Cultures and Co-Cultures 113 Cultural Identity 116

Identifying Cultural Norms and Values 117

Individualism–Collectivism 117 Uncertainty Avoidance 121 Power Distance 121 Masculinity–Femininity 122

Barriers to Effective Intercultural Communication 123

Anxiety 123 Assuming Similarity or Difference 123 Ethnocentrism 124 Stereotypes and Prejudice 125 Incompatible Communication Codes 126 Incompatible Norms and Values 127

Intercultural Communication Competence 127

Adopt Correct Attitudes 127 Acquire Knowledge About Other Cultures 128 Develop Culture-Specifi c Skills 129

Chapter 7 Understanding Interpersonal Relationships 133

Types of Relationships 134

Acquaintances 134 Friends 136 Close Friends or Intimates 137

Disclosure and Feedback in Relationship Life Cycles 141

The Open Pane 141 The Secret Pane 142 The Blind Pane 142 The Unknown Pane 142

Communication in the Stages of Relationships 143

Beginning Relationships 143 Developing Relationships 144

 

 

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Maintaining Relationships 145 Deteriorating and Dissolving Relationships 148

Dialectics in Interpersonal Relationships 149

Relational Dialectics 149 Managing Dialectical Tensions 151

Conversation and Analysis 152

Chapter 8 Communication Skills in Interpersonal Relationships: Providing Emotional Support, Managing Privacy, and Negotiating Confl ict 157

Comforting Messages 158

Skills for Comforting 158 Gender and Cultural Considerations in Comforting 160

Managing Privacy and Disclosure in Relationships 161

Effects on Intimacy 164 Expectations of Reciprocity 164 Information Co-Ownership 165 Guidelines and Communication Strategies for Disclosure 165 Communication Strategies for Managing Privacy 171

Negotiating Different Needs, Wants, and Preferences in Relationships 172

Communicating Personal Needs, Wants, and Preferences: Passive, Aggressive, and Assertive Behavior 173

Cultural Variations in Passive, Aggressive, and Assertive Behavior 174

Managing Confl ict in Relationships 176

Styles of Confl ict 176 Guidelines for Collaboration 178

Conversation and Analysis 179

Appendix Interviewing 185

Structuring Interviews 186

The Interview Protocol 186 Effective Questions 187 Order and Time Constraints in Interview Protocols 188

Guidelines for Conducting Information Interviews 189

Doing Research About Interviewees 189 Conducting an Information Interview 190

Conducting Employment Interviews 191

Preparing for the Interview 191 Conducting the Interview 191

Interviewing Strategies for Job Seekers 192

Applying for the Job 192 Electronic Cover Letters and Résumés 194 Preparing to Be Interviewed 196 Guidelines for Job Interviewees 197

 

 

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Conversation and Analysis 198

Following Up After the Interview 200

Strategies for Interviews with the Media 200

Before the Interview 201 During the Interview 201

PART III GROUP COMMUNICATION

Chapter 9 Communicating in Groups 207

Characteristics of Healthy Groups 208

Healthy Groups Have Ethical Goals 208 Healthy Groups Are Interdependent 210 Healthy Groups Are Cohesive 210 Healthy Groups Develop and Abide by Productive Norms 210 Healthy Groups Are Accountable 212 Healthy Groups Are Synergetic 213

Stages of Group Development 213

Forming 213 Storming 214 Norming 214 Performing 214 Adjourning 214

Types of Groups 215

Families 215 Social Friendship Groups 216 Support Groups 216 Interest Groups 217 Service Groups 217 Work Groups 217

Evaluating Group Dynamics 219

Chapter 10 Problem Solving in Groups 224

The Problem-Solving Process 225

Step One: Identify and Defi ne the Problem 226 Step Two: Analyze the Problem 226 Step Three: Determine Criteria for Judging Solutions 227 Step Four: Identify Alternative Solutions 228 Step Five: Evaluate Solutions and Decide 229 Step Six: Implement the Agreed-Upon Solution 230

Shared Leadership 230

Task Roles 230 Maintenance Roles 231 Procedural Roles 232

 

 

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Making Meetings Effective 235

Guidelines for Meeting Leaders 235 Guidelines for Meeting Participants 238

Conversation and Analysis 239

Communicating Group Solutions 242

Written Formats 242 Oral Formats 243 Virtual Reports 243

PART IV PUBLIC SPEAKING

Chapter 11 Developing and Researching a Speech Topic 250

Identify Topics 252

List Subjects 252 Brainstorm and Concept Map for Topic Ideas 253

Analyze the Audience 254

Identify Audience Analysis Information Needs 254 Gather Audience Data 255

Analyze the Setting 257

Select a Topic 258

Write a Speech Goal 259

Identify Your General Goal 259 Phrase a Specifi c Goal Statement 259

Locate and Evaluate Information Sources 261

Personal Knowledge, Experience, and Observation 262 Secondary Research 262 Primary Research 264

Evaluate Sources 265

Identify and Select Relevant Information 267

Factual Statements 267 Expert Opinions 268 Elaborations 268

Draw Information from Multiple Cultural Perspectives 269

Record Information 269

Prepare Research Cards 269

Cite Sources in Speeches 270

Chapter 12 Organizing Your Speech 275

Developing the Body of the Speech 276

Determining Main Points 276 Writing a Thesis Statement 279

 

 

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Outlining the Body of the Speech 280 Selecting and Outlining Supporting Material 284 Preparing Section Transitions and Signposts 286

Creating the Introduction 287

Gaining Attention 287 Establishing Listener Relevance 289 Stating the Thesis 290 Establishing Your Credibility 290 Setting a Tone 290 Creating a Bond of Goodwill 291

Crafting the Conclusion 291

Summary 292 Clincher 292

Listing Sources 294

Reviewing the Outline 296

Chapter 13 Adapting Verbally and Visually 304

Adapting to Your Audience Verbally 305

Relevance 305 Common Ground 306 Speaker Credibility 307 Information Comprehension and Retention 309 Adapting to Cultural Differences 312

Adapting to Audiences Visually 315

Types of Presentational Aids 316 Criteria for Choosing Presentational Aids 323 Designing Effective Presentational Aids 323

Methods for Displaying Presentational Aids 326

Posters 326 Whiteboards or Chalkboards 326 Flip Charts 327 Handouts 327 Document Cameras 328 CD/VCR/DVD Players and LCD Projectors 328 Computer-Mediated Slide Show 328

Chapter 14 Overcoming Speech Apprehension by Practicing Delivery 332

Public Speaking Apprehension 333

Symptoms and Causes 333 Managing Your Apprehension 334

Characteristics of an Effective Delivery Style 336

Use a Conversational Style 336 Be Animated 336

Effective Use of Your Voice 337

Speak Intelligibly 337 Use Vocal Expressiveness 338

 

 

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Effective Use of Your Body 341

Facial Expressions 341 Gestures 342 Movement 342 Eye Contact 343 Posture 343 Poise 343 Appearance 344

Delivery Methods 345

Impromptu Speeches 346 Scripted Speeches 346 Extemporaneous Speeches 346

Rehearsal 346

Preparing Speaking Notes 347 Handling Presentational Aids 347 Recording, Analyzing, and Refi ning Speech Delivery 349

Criteria for Evaluating Speeches 351

Sample Informative Speech 353

Chapter 15 Informative Speaking 363

Characteristics of Effective Informative Speaking 364

Intellectually Stimulating 364 Relevant 365 Creative 365 Memorable 366 Address Diverse Learning Styles 367

Methods of Informing 368

Description 368 Defi nition 369 Comparison and Contrast 369 Narration 370 Demonstration 370

Common Informative Speech Frameworks 371

Process Speech Frameworks 371 Expository Speech Frameworks 372

Sample Informative Speech 379

Chapter 16 Persuasive Speaking 388

How We Process Persuasive Messages: The Elaboration Likelihood Model (ELM) 389

Writing Persuasive Speech Goals as Propositions 390

Types of Persuasive Goals 390 Tailoring Your Proposition to Your Audience 391

 

 

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Developing Arguments (Logos) That Support Your Proposition 393

Finding Reasons to Use as Main Points 393 Selecting Evidence to Support Reasons 394 Types and Tests of Arguments 395 Avoiding Fallacies in Your Reasons and Argument 397

Increasing Audience Involvement Through Emotional Appeals (Pathos) 398

Cueing Your Audience Through Credibility (Ethos): Demonstrating Goodwill 400

Motivating Your Audience to Act Through Incentives 401

Using Incentives to Satisfy Unmet Needs 401 Creating Incentives That Outweigh Costs 403

Organizational Patterns for Persuasive Speeches 403

Statement of Reasons 404 Comparative Advantages 404 Criteria Satisfaction 404 Refutative 405 Problem-Solution 405 Problem-Cause-Solution 406 Motivated Sequence 406

Sample Persuasive Speech 409

REFERENCES 419

INDEX 431

 

 

xiii

Preface

We are delighted to welcome Deanna D. Sellnow, Ph.D., to the author team for Communicate! A proven textbook author, Dr. Sellnow is the Gifford Blyton Endowed Professor and Director of Undergraduate Studies in Communication at the University of Kentucky. Her scholarly interests include instructional communi- cation, educational assessment, popular culture, and gender communication. A past president of the Central States Communication Association, she has taught a wide variety of communication courses and enjoys directing basic communication courses. Dr. Sellnow’s voice blends well with ours, as her writing has an appealing conversational quality that keeps the reader’s interest. While the contributions she has made to this book will not be evident to those of you who are reading the book for the fi rst time, those of you familiar with Dr Sellnow’s work will recognize and appreciate her infl uence. We look forward to a long and successful collaboration.

To Students Congratulations! You are beginning to study communication, a subject that is impor- tant and useful to you in all parts of your life. When you want to establish or improve a relationship, when you need to work with others on a group project for class or for a cause you support, or when you are required to make a presentation at work, your success will depend on how effective you are at communicating in those settings.

Most of you have probably never studied communication formally. Rather, you’ve learned the communication skills and strategies you use every day informally, in your home and from your friends. By taking this communication course and learning tested communication skills, you’ll strengthen your existing abilities and improve your rela- tionships. You can improve the likelihood that your group project is successful by understanding the predictable patterns of group process and communication. And you can more effectively overcome stage fright and give better presentations when you have studied public speaking and know how to plan and deliver a formal speech. So again, we say, congratulations! You’ll fi nd that this course will be instantly relevant to your day-to-day living. We are confi dent that by the end of this term you will be glad you spent your time and money on it.

The textbook you’re reading, Communicate!, was one of the fi rst college texts about human communication. A lot has changed since Rudy wrote that fi rst edition. Over the years we have worked to make sure that students, like you, have a book that is easy and enjoyable to read and learn from. We have also worked hard to make sure that the information, theories, and skills discussed and relevant to the real relation- ships and communication situations you face. So every three years we examine the book in light of how the world has changed. Just ten years ago, cell phones were not in wide use, texting wasn’t a verb, many social networking sites and YouTube didn’t exist, and “to twitter” simply meant to speak excitedly about something. Despite these huge changes in the way we communicate, this textbook is as up-to-date and useful as the fi rst edition was because we work hard to make sure that the information we present refl ects what it takes to be an effective communicator today.

 

 

xiv Preface

Communicate! is written with six specifi c goals in mind:

1. To explain important communication concepts, frameworks, and theories that have been consistently supported by careful research so that you can understand the conceptual foundations of human communication.

2. To teach specifi c communication skills that research has shown facilitate effective relationships.

3. To describe and encourage you to adopt the ethical frameworks that can guide competent communication.

4. To increase awareness of how culture affects communication practices. 5. To stimulate critical and creative thinking about the concepts and skills you learn. 6. To provide tools for practice and assessment that enable you to monitor how well

you are learning communication concepts and skills.

So we hope you will read and enjoy this textbook and that it will be a resource you will want to maintain in your personal library. We appreciate it when students who are using our text take time to share their reactions to the book with us. So we encour- age you to email us with questions, comments, and suggestions. Our email address is Communicate.Authors@cengage.com.

To Instructors Thank you for considering and using Communicate! We are grateful for the colleagues who have used previous editions of this text and to those of you who are considering using this edition. We believe that the revisions we have made will surprise and delight those of you who have used Communicate! in the past. We also believe that those of you who are looking for a different textbook will fi nd Communicate! is precisely the learning tool that will encourage your students to read and think about the important role of communication in their lives.

As we prepared this edition, we were acutely aware of how our students’ lives are changing and how these changes are infl uencing their learning process and the nature of communication in their lives. So we have revised the text with these new realities in mind while at the same time retaining the hallmarks that have made this textbook useful to students and instructors in the past. And, as with every new edi- tion, we have incorporated the suggestions of colleagues who use the text, and we’ve reviewed the latest scholarship so that this new edition refl ects what users want and what recent scholarship has discovered about human communication. In the sections that follow, we detail what’s new and highlight the continuing features that have made Communicate! a perennial favorite with both students and faculty.

New to This Edition • Pop Comm! articles, found in each chapter, highlight how the communication

concepts addressed in this book play out in popular culture. Each article demon- strates the universal and omnipresent role of communication in our culture and how communication practices change and evolve. Many articles spotlight how the uses of new technologies are changing basic communication processes. Topics include online mourning, the ghostwriting of online dating profi les, managing privacy on social networking sites, the dark side of online social groups, and the persuasive messages of infomercials.

• Relevant Communicate! pedagogy has been revamped to facilitate active learning and assessment. Chapter-opening questions prompt students to consider what

 

 

xv Preface

they already know and to engage with the main ideas of each chapter as they read (pre-assessment). Review questions in the margins throughout the chapters and activities at the ends of chapters encourage students to think critically about what they’re learning (formative assessment). And end-of-part and online quizzes help students determine how well they’ve absorbed chapter content (summative assessment).

• New and updated examples throughout the text highlight student-friendly topics, such as pop culture and new technologies.

• Chapter 1, “Communication Perspectives,” now includes a section on communi- cation settings that distinguishes among intrapersonal, interpersonal, small group, and public communication.

• Chapter 2, “Perception of Self and Others,” introduces the important role media images play in distorting one’s self-perception, the relationship between self- perceptions and communication apprehension, and how perception is shaped via images constructed on social networking sites such as Facebook and MySpace.

• Refl ecting the fact that today we rely heavily on computer-mediated communica- tion, Chapter 4, “Communicating Nonverbally,” includes a discussion of how nonverbal messages that clarify meaning and convey emotions can be communi- cated in online environments.

• Because listening and responding is a foundational element of communica- tion in any setting, we moved the discussion of this topic forward to Chapter 5, “Listening and Responding,” in Part I of the book. This chapter now includes a section on the types of listening, which distinguishes among appreciative, dis- criminative, comprehensive, empathic, and critical listening purposes. In addition, we added a section on responding effectively to public speakers in the form of speech critiques.

• Chapter 6, “Communicating Across Cultures,” has been updated to refl ect what we know today about dominant cultures and co-cultures, including the distinction among sex, gender, and sexual orientation.

• For this edition, we have reworked the two interpersonal chapters, which now focus, fi rst, on understanding relationships and, second, on specifi c skills. Chapter 7, “Understanding Interpersonal Relationships,” walks readers through the types of interpersonal relationships, the role of disclosure and feedback in relationship life cycles, communication in the various relationship stages, and the dialectical tensions inherent in interpersonal relationships. In Chapter 8, “Communication Skills in Interpersonal Relationships,” we describe communication skills for comforting, managing the competing urges between self-disclosure and privacy management, and confl ict management styles.

• Many instructors have indicated that they simply don’t have time to teach the chapter on interviewing in their courses. Still, because we believe effective inter- viewing skills are so important, we have retained the content in the form of an internal appendix, “Interviewing.” So, even if teachers cannot include the con- tent in their courses, students can still benefi t from learning about it on their own. The content of this appendix has been refi ned so that it fi rst focuses on developing good questions and then proposes some guidelines for conducting both informa- tion and employment interviews. Tips for presenting oneself in employment and media interviews are also discussed.

• The unit on group communication has been extensively revised. For this edition, Chapter 9, “Communicating in Groups,” focuses on understanding the character- istics of groups, stages of development, different types of groups, and guidelines for communicating effectively in groups. In Chapter 10, “Problem Solving in

 

 

xvi Preface

Groups,” we focus specifi cally on the nature of effective problem solving, includ- ing leadership, member responsibilities, and formats for sharing results with others.

• As in the previous edition, the unit on public speaking continues to describe the process for preparing and presenting public speeches using the Speech Plan Action Steps. The chapters in this part include many important revisions. Chapter 11, “Developing and Researching a Speech Topic,” now includes a discussion of concept mapping as a means by which students can generate topic ideas. In Chapter 12, “Organizing Your Speech,” we added narrative order as a method for arranging main points. Chapter 13, “Adapting Verbally and Visually,” includes a section about addressing diverse learning styles when adapting to an audience. In addition, we expanded the discussion of visual aids to include guidelines for using audio and audiovisual presentational aids. And Chapter 14, “Overcoming Speech Apprehension by Practicing Delivery,” offers an expanded discussion of public speaking apprehension and ways to overcome it.

• New to Chapter 15, “Informative Speaking,” are a discussion of learning styles as they relate to effective informative speaking, revised informative speech critique forms, and a new sample student speech, “Understanding Hurricanes.”

• Finally, in Chapter 16, “Persuasive Speaking,” we have expanded our discussion of reasoning fallacies to include the either-or and straw person fallacies, we have expanded the discussion of organizational patterns to include both the refutative and problem-cause-solution patterns as options, and we offer a new sample stu- dent speech, “Sexual Assault Policy a Must,” which uses the motivated sequence pattern.

Hallmark Features • Communication Skill boxes provide a step-by-step guide for each of the com-

munication skills presented in the text. Each of these boxes includes the defi nition of the skill, a brief description of its use, the steps for enacting the skill, and an example that illustrates the skill. A convenient tear-out chart at the begin- ning of the book provides a summary of all the Communication Skill boxes. The Skill Building activities, adjacent to each Communication Skill box, reinforce and provide an immediate opportunity for students to practice the skills. Students can complete these activities online and then compare their answers with models provided by the authors.

• Conversation and Analysis communication scenarios offer print and video exemplars of important concepts. Transcripts of these conversations appear in the text and online—students can download the transcripts to use for note taking as they view the videos. Once they have analyzed the conversation by answering a series of critical-thinking questions, they can compare their assessments with the authors’.

• The principles of effective speech making are organized into fi ve Speech Plan Action Steps, presented in Chapters 11–14. The activities that accompany each of these action steps guide students through an orderly process that results in better speeches. Communicate!’s online resources provide students with the opportunity to view examples of each activity prepared by other students and to complete many of the action steps with Speech Builder Express. (See the section Student Resources for more about these online resources.)

 

 

xvii Preface

• Sample student speeches appear in the text, each accompanied by an audience adap- tation plan, an outline, and a transcript and analysis. Two of the three sample speeches in this edition are new. Students can use their online resources to view videos of these speeches, see the transcript and two different kinds of outlines and sample note cards, prepare their own critiques, and compare their critiques to the authors’.

• In Parts I and II, Communicate On Your Feet speech assignments encourage students to begin building their public-speaking skills immediately while also addressing the needs of instructors who assign prepared speeches throughout the course. In Part IV, these assignments correspond to the speech types discussed in Chapters 15–16. In this edition, we have added a number of new assignments so that each chapter now includes at least one.

• Exercises that were called “Observe and Analyze” and “Test Your Competence” in previous editions are now called Skill Learning Activities and are grouped at the ends of chapters. Some of these exercises challenge students to observe events related to concepts they are learning, use the theories and concepts from the chapter to analyze what happened, and, in some cases, improve what occurred by applying the communication skills they’ve learned. Other activities provide opportunities for students to self-evaluate or practice specifi c skills. Students can use their online resources to complete these activities and download worksheets and data collection forms.

• Self-Reviews appear at the end of each part to encourage students to commit to improving their skills in interpersonal, group, and public communication. In accord with the fi ndings of learning motivation research, students have the opportunity to inventory their current skill levels and set specifi c goals for skill improvement. The Self-Reviews can be completed online and, if requested, emailed to the instructor.

• Diverse Voices articles give voice to the communication experiences of people from a wide range of social and cultural backgrounds. Each article, which presents the personal thoughts and experiences of the writer on topics related to chapter concepts, helps students understand and appreciate the relationship between cul- ture and communication. Six of these articles are new to this edition.

• What Would You Do? A Question of Ethics boxes are short case studies that appear near the end of chapters. These cases, several of which are new to this edition, present ethical challenges and require students to think critically, sorting through a variety of ethical dilemmas faced by communicators. Conceptual material presented in Chapter 1 lays groundwork for the criteria on which students may base their assessments, but each case focuses on issues raised in a specifi c chapter.

Teaching and Learning Resources Communicate! is accompanied by a full suite of integrated materials that will make teaching and learning more effi cient and effective. Note to faculty: If you want your students to have access to the online resources for this book, please be sure to order them for your course. The content in these resources can be bundled with every new copy of the text or ordered separately. If you do not order them, your students will not have access to the online resources.

Availability of resources may differ by region. Check with your local Cengage Learning representative for details.

 

 

xviii Preface

Student Resources

• The Premium Website for Communicate! provides students with one-stop access to all the integrated technology resources that accompany the book. These resources include Speech Builder Express™ 3.0, InfoTrac College Edition, interactive versions of the Skill Learning activities, interactive video activities, Web Resources links, and self-assessments. All resources are mapped to show both key discipline learn- ing concepts as well as specifi c chapter learn lists.

• The Communicate! interactive video activities feature the Conversation and Analysis communication scenario clips presented in the text so students can see and hear how the skills they are studying can be used to create effective conversa- tions in various circumstances. Students can answer the critical-thinking questions that accompany each video and then compare their answers to the authors’. This online resource also features videos of the sample informative and persuasive stu- dent speeches included in the book. Each speech is accompanied by a transcript, a preparation outline and a speaking outline, note cards, a speech critique checklist, and critical-thinking questions.

• Many of the Speech Plan Action Steps can be completed with the Speech Builder Express 3.0 organization and outlining program. This interactive Web-based tool coaches students through the speech organization and outlining process. By completing interactive sessions, students can prepare and save their outlines— including a plan for visual aids and a works cited section—formatted according to the principles presented in the text. Text models reinforce students’ interactive practice.

• InfoTrac College Edition with InfoMarks. This virtual library features more than 18 million reliable, full-length articles from 5,000 academic and popular periodicals that can be retrieved almost instantly. They also have access to InfoMarks—stable URLs that can be linked to articles, journals, and searches to save valuable time when doing research—and to the InfoWrite online resource center, where students can access grammar help, critical-thinking guidelines, guides to writing research papers, and much more.

• Speech StudioTM Online Video Upload and Grading Program improves the learn- ing comprehension of public speaking students. This unique resource empowers instructors with a new assessment capability that is applicable for traditional, online, and hybrid courses. With Speech Studio, students can upload video fi les of practice speeches or fi nal performances, comment on their peers’ speeches, and review their grades and instructor feedback. Instructors create courses and assign- ments, comment on and grade student speeches with a library of comments and grading rubrics, and allow peer review. Grades fl ow into a gradebook that allows instructors to easily manage their course from within Speech Studio.

• A Guide to the Basic Course for ESL Students can be bundled and is designed to assist the nonnative speaker. The Guide features FAQs, helpful URLs, and strategies for accent management and speech apprehension.

• Service Learning in Communication Studies: A Handbook is an invaluable resource for students in the basic course that integrates, or will soon integrate, a service- learning component. This handbook provides guidelines for connecting service- learning work with classroom concepts and advice for working effectively with agencies and organizations. It also provides model forms and reports and a direc- tory of online resources.

Availability of resources may differ by region. Check with your local Cengage Learning representative for details.

 

 

xix Preface

Instructor Resources

• The Instructor’s Resource Manual with Test Bank by Katrina Bodey, University of North Carolina, Chapel Hill, changes from the twelfth edition to the thirteenth edition, sample syllabi, chapter-by-chapter outlines, summaries, vocabulary lists, suggested lecture and discussion topics, classroom exercises, assignments, and a comprehen- sive test bank with answer key and rejoinders. In addition, this manual includes the Spotlight on Scholars boxes that were in the textbook in past editions. These boxes feature the work of eight eminent communication scholars, putting a face on scholarship by telling each scholar’s “story.” These boxes can be used as discussion starters, as enrichment for students who are interested in communication scholar- ship, or in any other way instructors would like to integrate them into the course. Available online only. Access at the Communicate! Instructor Companion Website.

• Special-Topic Instructor’s Manuals. Written by Deanna Sellnow, University of Kentucky, these three brief manuals provide instructor resources for teaching pub- lic speaking online, with a service-learning approach, and with a problem-based learning approach that focuses on critical thinking and teamwork skills. Each manual includes course syllabi; icebreakers; information about learning cycles and learning styles; and public speaking basics such as coping with anxiety, out- lining, and speaking ethically.

• The Teaching Assistant’s Guide to the Basic Course, based on leading communi- cation teacher training programs, covers general teaching and course management topics as well as specifi c strategies for communication instruction—for example, providing effective feedback on performance, managing sensitive class discus- sions, and conducting mock interviews.

• The PowerLecture CD-ROM contains an electronic version of the Instructor’s Resource Manual, ExamView® Computerized Testing, and predesigned Microsoft PowerPoint presentations. The PowerPoint presentations contain text and images and can be used as they are or customized to suit your course needs.

• Communication Scenarios for Critique and Analysis on Video and DVD include the communication scenarios included in the Communicate! interactive videos as well as additional scenarios covering interpersonal communication, interviewing, and group communication.

• Launch your lectures with ABC News DVDs: Human Communication, Interpersonal Communication, and Public Speaking. Footage from Nightline, World News Tonight, and Good Morning America provides context and real-life examples of communica- tion theories and practices. Footage includes discussion of dozens of communication topics—including family “virtual visitation,” cell phone spam, and professional non- verbal communication—as well as signifi cant speeches by public fi gures.

• The BBC News and CBS News DVDs: Human Communication, Interpersonal Communication, and Public Speaking, provide footage of news stories that relate to current topics in human and interpersonal communication, and footage of famous historical and contemporary public speeches, as well as clips that relate to current topics in speech communication. Available Spring 2010.

• The Student Speeches for Critique and Analysis on Video and DVD offer a variety of sample student speeches, including those featured in the Communicate! interactive videos, that your students can watch, critique, and analyze on their own or in class. All of the speech types are included, as well as speeches featuring nonnative English speakers and the use of visual aids.

Availability of resources may differ by region. Check with your local Cengage Learning representative for details.

 

 

xx Preface

• ABC News DVD: Speeches by Barack Obama. This DVD includes nine famous speeches by President Barack Obama, from 2004 to the present day, including his speech at the 2004 Democratic National Convention; his 2008 speech on race, “A More Perfect Union”; and his 2009 inaugural address. Speeches are divided into short video segments for easy, time-effi cient viewing. This instructor supplement also features critical-thinking questions and answers for each speech, designed to spark class discussion.

• The Media Guide for Interpersonal Communication provides faculty with media resource listings focused on general interpersonal communication topics. Each listing provides compelling examples of how interpersonal communication con- cepts are illustrated in particular fi lms, books, plays, Web sites, or journal articles. Discussion questions are provided.

Availability of resources may differ by region. Check with your local Cengage Learning representative for details.

 

 

xxi Preface

Acknowledgments This thirteenth edition of Communicate! has benefi tted from the work of many people we would like to recognize.

First, we thank our colleagues who reviewed the book and offered their insights and suggestions including Karen Anderson, University of North Texas; Thomas Bovino, Suffolk County Community College; Jon Croghan, Northwestern State University; Sheryl Davis, Kaiser University; James Floss, Humboldt State University; Thomas Gaines, Johnson & Wales University; King Godwin, Grambling State University; Daria Heinemann, Kaiser University; Tracey Holley, Tarleton State University; Keri Keckley, Crowder College; Nancy Levin, Palm Beach Community College; and Charlotte Toguchi, Kapiolani Community College.

We also want to thank Zach Leitch, Debbie Sellnow, and Rick Sellnow, who read the previous edition of this text and suggested where examples needed to be updated so that today’s 21st-century students would fi nd illustrations they could relate to.

We are fortunate to have the best editorial team in Communication Studies today. We are grateful for the support of Lyn Uhl, our senior publisher; Monica Eckman, executive editor; Colin Solan, editorial assistant; Jessica Badiner, media editor; Bryant Chrzan, marketing manager; Christine Dobberpuhl, marketing communications man- ager; Rosemary Winfi eld, senior content product manager; Linda Helcher, art director; Kristin Jobe, project manager at Elm Street Publishing Services; Barbara Armentrout, copy editor; Rokusek Design, designer; Dean Dauphinais, permissions acquisitions manager for images; Raquel Sousa, photo researcher; and Margaret Chamberlain- Gaston, permissions acquisitions manager for text. We give special thanks to Rebekah Matthews, assistant editor, who in addition to her usual duties helped us write the new Pop Comm! feature. As always, we are indebted to Greer Lleuad, senior development editor, who is simply the best in the business. We trust and respect her opinions and advice unconditionally. We simply could not have done this book without her.

We also thank our families for their continued patience, understanding, and support. Finally, we thank God for the many ways that our lives have been blessed. We

hope this book helps readers glimpse what Martin Buber called the “I-Thou” respect and love that we believe God planned us to have in our human relationships.

Kathleen S. Verderber and

Deanna D. Sellnow

 

 

 

Communication Perspectives

Questions you’ll be able to answer after reading this chapter:

• How does the communication process work? • What characterizes each of the communication settings you will study in

this course? • What are the basic principles of communication? • What major ethical issues face communicators? • What is communication competence and what can you do to achieve it? • What is communication apprehension and how does it relate to

communication competence?

Mimi and Marcus fi nished talking with the fi fth car salesperson.

“From what I could understand, most of the basic features we need are about

the same,” said Mimi. “So, for me, it comes down to who we feel most comfortable

with.”

“Yeah, that’s pretty much the way I see it. And from that standpoint, I’d pick

Carrie,” Marcus responded.

“She really seemed nice, didn’t she?” asked Mimi. “She seemed friendly and—

unlike Paul—she talked to both of us, not just you.”

Marcus replied, “She talked about features, price, and fi nancing options that

were tailored to our specifi c needs—unlike Dempsey, who spent most of his time

talking about luxury features that cost more than we can afford.”

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2 Chapter 1 Communication Perspectives

Mimi added, “Yeah, and Gloria was so disorganized . . . ”

“And she was so focused on getting through her presentation that she didn’t

even notice when you tried to ask a question!” Marcus interjected.

“I sort of liked Steve,” Mimi continued, “but when we suggested that the price

range he was quoting was out of our budget, he wasn’t much help. Once he got

off his ‘script,’ he seemed lost.”

“Well,” Marcus replied, “not only did Carrie offer a car with features we can use

and a fi nancing plan we can afford, she also led me to believe that we could call

her with questions later about when and where to service our vehicle.”

“OK,” Mimi said as she nodded. “So we agree; we’re buying our car from

Carrie!”

Why was Carrie successful? Was it the car she was promoting or her specialized expertise in the automobile business? Not necessarily. From this conversation, it appears that Carrie’s success was due to her ability to communicate with Mimi and Marcus. Carrie’s success is not unusual. Time and time again, studies have concluded that, for almost any job, employers seek oral communication skills, team- work skills, and interpersonal abilities (College learning for the new global century, 2008; Hansen & Hansen, 2007; Young, 2003). For example, an article on the role of communication in the workplace reported that in engineering, a highly technical fi eld, speaking skills were very important for 72 percent of the employers surveyed (Darling & Dannels, 2003, p. 12). A survey by the National Association of Colleges and Employers (Koncz, 2008) reported the top 10 personal qualities and skills that employers seek from college graduates. The number one skill was communication, including face-to-face speaking, presentational speaking, and writing. Other skills ranked in the top 10 that you will learn about and practice in this course include teamwork skills (number three), analytical skills (number fi ve), interpersonal skills (number eight), and problem-solving skills (number nine). The employers also said these very skills are, unfortunately, the ones many new graduates lack. So this course can signifi cantly increase your ability to get a job and be successful in your chosen career.

How effectively you communicate with others is important not only to your ca- reer, but also to your personal relationships. Your ability to make and keep friends, to be a good family member, to have satisfying intimate relationships, to participate in or lead groups, and to prepare and present speeches depends on your communication skills. During this course, you will learn about the communication process and have an opportunity to practice basic communication skills that will help you improve your relationships.

In this chapter, we begin by explaining the process of communication. Next, we describe several communication settings and how we’ll address improving commu- nication skills for them in this book. From there, we describe several fundamental principles of communication. Finally, we discuss communication competence, the role managing communication apprehension plays in achieving it, and a strategy for improving your communication skills.

 

 

3 Chapter 1 Communication Perspectives

The Communication Process Communication is the process of creating or sharing meaning in informal conversa- tion, group interaction, or public speaking. To understand how this process works, we begin by describing its essential elements: participants (who), messages (what), context (where), channels (how), interference (distractions), and feedback (reaction).

Participants The participants are the individuals who assume the roles of senders and receivers during an interaction. As senders, participants form and transmit messages using ver- bal symbols, visual images, and nonverbal behavior. As receivers, they interpret the messages that have been transmitted to them.

Messages Messages are the verbal utterances, visual images, and nonverbal behaviors to which meaning is attributed during communication. To understand how messages are created and received, we need to understand meanings, symbols, encoding and decoding, and form (organization).

Meanings Meanings include the thoughts in your mind as well as the interpretations you make of another’s message. Meanings are the ways participants make sense of messages. It is important to realize that meanings are not transferred from one person to another, but are created together in an exchange. Some communication settings enable participants to verify that they have shared meanings; in other settings this is more diffi cult. For instance, if Sarah says to Tiffany that many female celebrities are unhealthily under- weight, through the exchange of verbal messages, they can together come to some degree of understanding of what that means. But if Sarah is giving a speech on the subject to an audience of 200 people, Tiffany’s ability to question Sarah and negotiate a mutual mean- ing is limited. If Sarah shows a slideshow of before-and-after photographs of some of the celebrities she is referring to, she can make the meaning clear even for a large audience.

Symbols To express yourself, you form messages made of verbal symbols (words), nonverbal cues (behaviors), and visual images. Symbols are words, sounds, and actions that rep- resent specifi c ideas and feelings. As you speak, you choose word symbols to express your meaning. At the same time, you also use facial expressions, eye contact, gestures, and tone of voice—all symbolic, nonverbal cues—in an attempt to express your mean- ing. Your listeners make interpretations or attribute meaning to the messages they receive. When you offer your messages through a variety of symbols, the meaning you are trying to convey becomes clearer.

Encoding and decoding Encoding is the process of putting your thoughts and feelings into words, nonverbal cues, and images. Decoding is the process of interpreting another’s message. Ordinarily you do not consciously think about either the encoding or the decoding process. Only when there is a diffi culty, such as speaking in a second language or having to use an easier vocabulary with children, do you become aware of encoding. You may not think about decoding until someone seems to speak in circles or uses unfamiliar technical words and you have diffi culty interpreting or understanding what is being said. Have you ever taken a course where the instructor used lots of unfamiliar technical words? If so, how did that affect the decoding process for you?

communication the process of creating or sharing meaning in informal conversation, group interaction, or public speaking.

participants individuals who assume the roles of senders and receivers during an interaction.

messages verbal utterances, visual images, and nonverbal behaviors to which meaning is attributed during communication.

meanings thoughts in our minds and interpretations of others’ messages.

symbols words, sounds, and actions that are generally understood to represent ideas and feelings.

encoding the process of putting our thoughts and feelings into words and nonverbal cues.

decoding the process of interpreting another’s message.

How does the communication process work?

 

 

4 Chapter 1 Communication Perspectives

Form (Organization) When the meaning we wish to share is complex, we may need to organize it in sections or in a certain order. Message form is especially important when one person talks with- out interruption for a relatively long time, such as in a public speech or when reporting an event to a colleague at work. Visual images also need to be organized and in good form if they are to aid understanding.

Context The context is composed of the (1) physical, (2) social, (3) historical, (4) psychological, and (5) cultural situations in which a communication encounter occurs, including what precedes and follows what is said. According to noted German philosopher Jürgen Habermas, the ideal speech situation is impossible to achieve, but considering its con- texts as we communicate with others can move us closer to that goal (Littlejohn & Foss, 2007 p. 335). The context affects the expectations of the participants, the mean- ing these participants derive, and their subsequent behavior.

Physical context The physical context includes the location, the environmental conditions (tempera- ture, lighting, and noise level), the distance between communicators, and the time of day. Each of these factors can affect the communication. For instance, the mean- ing shared in a conversation may be affected by whether it is held in a crowded company cafeteria, an elegant candlelit restaurant, over the telephone, or on the Internet.

Today, more and more of our communication exchanges occur in technologically mediated spaces. When you call someone on your cell phone, for instance, you are in different physical places and your conversation will be infl uenced by the physi- cal contexts each of you occupy as well as by the quality of your phone connection. Moreover, the messages and meaning are affected by whether the technology used is synchronous or asynchronous. Synchronous technologies allow us to exchange mes- sages in real time, while asynchronous technologies allow delays between sending, receiving, and responding to messages. Telephone calls are synchronous, and voice mail messages and e-mail are typically asynchronous. Instant messages (IMs) and text messages may be either synchronous or asynchronous.

Social context The social context is the nature of the relationship between the participants. Whether communication takes place among family members, friends, acquaintances, work associates, or strangers infl uences what and how messages are formed, shared, and interpreted. For instance, most people change how they interact when talking with their parents or siblings as compared to how they interact when talking with their friends.

Historical context The historical context is the background provided by previous communication epi- sodes between the participants. It infl uences understandings in the current encounter. For instance, suppose one morning Chad tells Shelby that he will pick up the rough draft of a paper they had given to their professor for feedback to help prepare the fi nal manuscript. When Shelby joins Chad for lunch in the cafeteria, she says, “Did you get it?” Another person listening to the conversation would have no idea what the it is. Yet Chad quickly replies, “It’s on my desk.” Shelby and Chad would understand each other because the content of their previous conversation provides the context for understanding what “it” is in this exchange.

context the setting in which communication occurs, including what precedes and follows what is said.

physical context a communication encounter’s location, environmental conditions (temperature, lighting, noise level), distance between communicators, seating arrangements, and time of day.

social context the nature of the relationship that exists between the participants.

historical context the background provided by previous communication episodes between the participants that infl uence understandings in the current encounter.

 

 

5 Chapter 1 Communication Perspectives

Psychological context The psychological context includes the moods and feelings each person brings to the interpersonal encounter. For instance, suppose Corinne is under a lot of stress. While she is studying for an exam, a friend stops by and pleads with her to take a break and go to the gym with her. Corinne, who is normally good-natured, may explode with an angry tirade. Why? Because her stress level provides the psychological context within which she hears this message and it affects how she responds.

Cultural context The cultural context includes the values, beliefs, orientations, underlying assumptions, and rituals prevalent among people in a society (Samovar, Porter, & McDaniel, 2007). Culture penetrates into every aspect of our lives, affecting how we think, talk, and behave. Each of us belongs to many cultural groups, though we may differ in how much we identify with each group. Mina, for example, was born in Taiwan but was raised in Boston, where she attended Chinese elementary school. She is also a college student and a Democrat. Each of these groups helps characterize her cultural setting. When two people from different cultures interact, misunderstandings may occur because of the cultural variations between them. For example, the role of a “good student” in many Asian cultures typically means being quiet, respectful, and never challenging others’ views, but the good-student role in U.S. classrooms often includes being talkative, assertive, and debating the views expressed by others. The Pop Comm article in this chapter describes how the cultural ritual of mourning is changing in the U.S.A.

Channels Channels are both the route traveled by the message and the means of transportation. Messages are transmitted through sensory channels. Face-to-face communication has three basic channels: verbal symbols, nonverbal cues, and visual images. Technologically mediated communication uses these same channels, though nonverbal cues such as movements, touch, and gestures are represented by visual symbols like emoticons (textual images that symbolize the sender’s mood, emotion, or facial expressions) and acronyms (abbreviations that stand in for common phrases). For example, in a face-to-face inter- action, Barry might express his frustration about a poor grade on an assignment by ver- bally noting why he thought the grade was unfair, by visually showing the assignment along with the grading criteria for it, and by nonverbally raising his voice and shaking his fi st. In an online interaction, he might insert a frowning-face emoticon ( ) or the acronym “POed” to represent those nonverbal behaviors.

Interference (Noise) Interference (noise) is any stimulus that hinders the process of sharing meaning. Interference can be physical or psychological.

Physical interference includes the sights, sounds, and other stimuli in the envi- ronment that draw people’s attention away from intended meaning. For instance, while a

psychological context the mood and feelings each person brings to a conversation.

cultural context the values, attitudes, beliefs, orientations, and underlying assumptions prevalent among people in a society.

channel both the route traveled by the message and the means of transportation.

interference (noise) any stimulus that interferes with the process of sharing meaning.

physical interference sights, sounds, and other stimuli in the environment that draw people’s attention away from intended meaning.

Did you know that 2.5 billion text messages are sent each day in the United States?

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