Communication Theory and Criticism 1 of 9

Tibor Spiegel, M.A.

Communication Theory and Criticism

Question: Modern communication can be traced to the ancient Greeks, who studied it in their
schools, used it in their courts, and implemented it into the democracies of their city-states.
Among ancient theorists who first defined "rhetoric" was Aristotle. According to Aristotle
"rhetoric" is based upon three major types of artistic proofs or appeals.

First give an in depth definition of persuasion (i.e., rhetoric) beginning with Aristotle, and
chronologically incorporate other theorists, especially Kenneth Burke. Be certain to give a
biographical summary of each theorists to who you refer.

Then describe the characteristics of the three elements (major appeals) of Aristotelian
persuasion, give an in-depth definition of each, and be certain to relate how each "artistic proof"
applies in today's complex world, especially in advertising and in the tactics of propaganda
devices.

Finally, describe, define, and relate Aristotle's "common ground" concept, or theory of
"identification," to Burke's focus on "language's use to persuade people to action."

Definition of Persuasion Biographical Summary

ARISTOTLE

According to him all speech is Greek philosopher and writer of

persuasion and therefore part of
dialects. Aristotle felt that speech-
persuasion, can be used by anyone
who is intelligent, without any
particular knowledge of one field.
Using his words:"... for we have seen
that persuasion can be effected only
(1) by working on the emotions of
[judges,] or (2) by giving the
audience the right impression
of the speaker's character, or (3) by
convincing them all with proof."
"... persuasion is effected by the
arguments, when we demonstrate
the truth, real or apparent, by such
means as inhere in particular cases."
Rhetoric, the first and most
important book discussing all the
aspects of persuasion. Born around
384 B.C.E. Studied under Plato and
was from the age of 42 to 48 tutor
of the future Alexander the Great.
In around 336 B.C.E, started his
own school in Athens, the audiences
Lyceum. After Alexander's death
in 323 B.C.E, was forced into exile.
Died the following year in 322 B.C.E.
and was buried in Euboea, outside
of Athens.

© 1995 Tibor Spiegel


KENNETH BURKE
According to him: "Any complete
statement about motives will offer
some kind of answer to five
questions (hence the name pentad).
What was done THE ACT
When/Where was it done THE SCENE
Who did it THE AGENT
How he did it THE AGENCY
Why he did it THE PURPOSE
Burke stated that the ability to
persuade largely depends on the
persuader's own ability to identify
with the person to be persuaded.
In his words: "You persuade a man
insofar as you can talk his language
by speech, gesture, tonality, order,
image, attitude, idea and identifying
your ways with his."
HUGH RANK
Following his model, in order to
achieve one's goal in persuasion,
when DOWNPLAYING one must
minimize the negative side of his
or her character and at the same
time minimize the positive sides
of the competing character.
When INTENSIFYING, one must:
emphasize the positive sides of his
or her character and at the same
time, emphasize the negative sides
of the competing character.
CARL WRITHER
According to him, persuasion is an
act which can be measured by
specific and real numbers. By the
number of units sold and by the
profit it generated.
© 1995 Tibor Spiegel
Communication Theory and Criticism 2 of 9
A writer and philosopher who
developed the GRAMMAR OF
MOTIVES in defining the
characteristics of persuasion.
His works include essays, poetry
as well as fiction. Some of his titles are:
The White Oxen and Other Stories
(Published in 1924)
Counter-Statement (Published in 1931)
Attitudes Toward History
(Published in 1937)
Dramatism and Development
(Published in 1972)
In New Jersey, My Adopted and
I Hope Adoptive State
(Published in 1981)
A communications and persuasion
theoretician whose model of
successful persuasion is based on
the actions of Downplay and
Intensify.
A theoretician who was a believer
that one can sell anything to another
through advertising and translated
persuasion into a tool to sell. He is
one of the few who paved the way for
advertising theory and translated complex
persuasive ideas into the bottom line: Profit.

ABRAHAM MASLOW
According to his model, persuasion
can be only successful if all needs,
in his hierarchy of needs as satisfied
and fulfilled. To be satisfied are:
FIRST is the physiological need
(hunger, thirst);
SECOND is the safety need
(security, health);
THIRD is the love need
(affection, belongingness);
FOURTH is the self-esteem need
(self-respect, prestige); and the
FIFTH is the self-actualization need
(self-expression, self-fulfillment).
MARSHALL McLUHAN
According to him: "It is the medium
that is the message because medium
creates an environment that is
indelible and lethal. The medium-
more than the content-"is the message"
because it shapes human perception,
knowledge and human society".
To McLuhan, what effects people
decisively is not what they see
on television, but the process
of looking at television." He also
outlined the four laws of the Media,
which he believed would hold
true under scientific scrutiny:
1. Extension: Every technology
extends or amplifies some organ
or faculty of the user. The wheel
is the extension of the foot.
2. Closure: When one area of
experience is heightened or intensified,
another is diminished or numbed.
3. Reversal: Every form, pushed to the
limit of its potential, reverses its
characteristics.
4. Retrieval: The content of any
medium is an older medium.
© 1995 Tibor Spiegel
Communication Theory and Criticism 3 of 9
Defined the hierarchy of needs,
as the pre-requisite for any
successful persuasion.
Born in 1911 in Edmonton, Alberta Canada.
Received a B.A., and M.A., from the
University of Manitoba. Received a
postgraduate scholarship to study
at Cambridge University. He was
a prolific writer and by some theorists
of human communication is viewed
as a prophet who predicted that
the introduction of electronic
information media-Television- will
bring drastic changes in the ways
people communicate with each other
and receive information about events,
ideas and products. He coined the
famous phrase "global village" by
claiming that advanced communication
technology is making the world a
smaller place. His books The Medium
is the Massage, (which people often refer
to as The Medium is the Message)
The Mechanical Bridge, Laws of Media
and The Guttenberg Galaxy. Upon hearing
of his death in 1980, former Prime Minister
Pierre Trudeau praised McLuhan as a
"social theorist: and a "seminal scholar
and writer."
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Characteristics and definitions of PATHOS - ETHOS - LOGOS

According to Aristotle, audiences can be persuaded basically in three ways. One of them
is by awakening of emotions in the hearts of the listeners (using pathos), the other one is by
showing the character of the speaker him/herself in favorable light (using ethos) and the third is
by process of reason and logic (using logos.).

PATHOS

If we humans are the most sophisticated species of this planet due to our ability to
have, experience and control our emotions, the use of pathos becomes probably the most
important tool in achieving success when one takes on the task of persuading his/her
listeners. Appealing to one's emotion has always been a very strong tool to change
attitudes and "entice" the listeners to take action by satisfying emotional impulses and
with this, achieving the goal of the speaker. These speakers can use their pathos
persuasive skills for positive or negative purposes. All great politicians, statesmen,
military leaders or just plain trial attorneys appealed to the pathos of their listeners at one
time or another. Numerous examples come to mind even in our recent history. The most
prominent ones are undoubtedly the highly emotional appeals of defense attorneys asking
the jury to be lenient with their client. By claiming child abuse and other forms of ill
treatment when justifying the violent actions of their client, (even murder) defense
attorneys are appealing to the pathos of the jury. "Poor Johnny/Jane Doe was always
mistreated and abused." are statements meant to evoke compassion and "soften" the jury
by asking them to feel sorry for a criminal because of his/her previous (maybe even non-
existent) history of being abused and mis treated.
There are various levels and types of emotional appeal, but none of them as
dangerous as the ones using the pathos of race, color, religion and ethnic identity. Ethnic
and religious wars during centuries of human civilization, or the ones currently killing
thousands of people daily, are all perfect examples of what political and military leaders
can achieve when appealing to the pathos of their peoples. Appeals of hate, anger, and
greed are all examples of effective appeals, although lacking a virtuous approach.
Fortunately there are also positive uses of pathos in recent history. The names of John F.
Kennedy and Martin Luther King Jr., come to mind as great speakers whose speeches,
though highly logical and credible, were charged also with a lot of positive emotions.

In Advertising: One of the best examples of appeal to our pathos is in advertising for children's
products. Here the parents are constantly bombarded with messages tempting them to purchase a
product for their children just because the children will be happier when having it. The emotional
pleasure derived from seeing their own child happy is used as a selling tool. In adult
advertisement, this is more personalized. Emotional pleasure is promised is one purchases a
product. The act of having is equated with joy and the sense of fulfillment. This usually is
achieved by using young and pretty looking models, giving the potential buyer of a product the
false impression: "If you buy it, you will look as pretty/handsome and as happy as the models!"

© 1995 Tibor Spiegel

 Communication Theory and Criticism 5 of 9

ETHOS

Bryan and Wallace in their Fundamentals of Public Speaking (published in 1947)

define Ethos as embedded in the ethics of practical discourse in what has traditionally
been known as the ethos of the communicator. They state that Ethos:
"It is the feature of speaking and writing which reveals the personality of the communicator. More
narrowly and more accurately, however, ethos refers not to the total impression the speaker or writer
makes, but primarily to the aspects of personality by which an audience judges a communicator to be
worthy of belief."

This view is an extension of the first definition of ethos, established by Aristotle

in his Rhetoric:
"Persuasion is achieved by the speakers personal character when the speech is so spoken as to make us
think him (the speaker) credible. We believe good men more fully and more readily than others..."

In his 1968 published The Art of Persuasion Wayne Minnick states:

" ... men are strongly inclined to accept as probably true statements made by persons whom they admire
and respect."

Minnick further states that:

"...if the character and personality of the speaker elicit admiration and respect from an audience, the
likelihood that he (the speaker) will win belief, is increased."

It is much easier for a speaker or writer to expect support and trust from his/her
listeners and readers if the speaker's character and personality is backed by another
reputable person. This way the speaker is not promoting him/herself because he/she is
not telling them how good they (he/she) are but telling (to the listeners) what another
reputable person thinks of them (he/she). This from of identification can work in criminal
cases where the speaker (attorney) accepts to defend a client accused of a violent criminal
act. Just by associating with an accused person, the "clean ethos" of the speaker
(attorney) can help the case because it gives the listeners the subliminal message: "I am a
good person therefore I associate with good persons. Consequently, the accused can not
be a bad person, and you must let them go free!"
Another way of using ethos in today's court battles, is the constant attempt to
discredit the witness by finding faults in their character. If it is not necessarily proven to
he jury, but just hinted and supported with some evidence that a person on the witness
stand is not telling the truth, it can be used against them in order to suggest that their
present testimony may be corrupted and it can cast a shadow on their testimony. If it is
found and proven that a witness even once in their past acted irresponsibly by lying,
stealing, falsifying documents or they acted violently and caused damage to property or
injured another human being, it is almost the duty of the speaker (attorney) to attempt to
discredit everything and anything that witness is testifying on.

© 1995 Tibor Spiegel

 Communication Theory and Criticism 6 of 9

In Advertising: When a famous person's image, voice or live persona is used to advertise a
product, it is identified as the use of ethos. Probably the most credible way of advertising athletic
shoes, is if a professional and highly praised and recognized athlete endorses a brand or a style.
In our society where athletes are highly visible and it is safe to presume that millions of
youngsters look up to them, it would be a mistake not to hire them for advertising purposes.
What better person to endorse sneakers, candies, breakfast cereals, soft drinks, or for that matter
anything else, than a healthy sportsman/woman. If we see an athlete pitching a product, we are
more likely to try it ourselves, than if an unknown person is advertising it. We believe the
athlete, more so if we see them using the same products on the game courts. Their ethos, in our
eyes, is impeccable.

LOGOS

From the three books in Aristotle's Rhetoric, the first one is generally viewed as mainly
logical and political which means that it appeals to our logos. In order to understand what
Aristotle means we must familiarize ourselves with the terminology used when logos is
discussed. Aristotle himself is freely using argument as the most powerful weapon in
conducting infliction of logos onto the listening audience. He states:
" ...persuasion is effected by the arguments, when we demonstrate the truth, real or apparent, by such
means as inhere in particular cases. Such being the instrument of persuasion, to master all three (ethos,
pathos and logos) obviously calls for a man who can reason logically, can analyze the types of human
character [ethe], along with the virtues, and thirdly, can analyze the emotions- the nature and quality of
each several emotion, with the means by which, and the manner in which, it is excited."

As it was common during his time, Aristotle uses more than one word when
defining logic and we need to familiarize ourselves with all the nuances used in Rhetoric,
which are used to define the different ways of demonstrating and displaying proof. Here
is one example of how Aristotle suggests to use logos in persuasion:

" Whenever men in speaking effect persuasion through proofs, they do so either with examples or
enthymemes; they use nothing else. Accordingly, since all demonstration (as we have shown in the
Analytics) is effected either by syllogism [that is, deductively] or by induction, it follows that induction
and syllogism [deduction] must be identified respectively with example and enthymeme."

enthymeme (èn˝the-mêm´) noun

[Latin enthymêma, from Greek enthumêma, a rhetorical argument, from enthumeisthai, to
consider : en-, in. See en-2 + thumos, mind.]
A syllogism in which one of the premises or the conclusion is not stated explicitly.

syllogism (sîl˝e-jîz´em) noun

[Middle English silogisme, from Old French, from Latin syllogismus, from Greek sullogismos,
from sullogizesthai, to infer : sun-, syn- + logizesthai, to count, reckon (from logos, reason).]

1. Logic. A form of deductive reasoning consisting of a major premise, a minor premise, and a
conclusion; for example, All human beings are mortal, the major premise, I am a human being,
the minor premise, therefore, I am mortal, the conclusion.
2. Reasoning from the general to the specific; deduction.
3. A subtle or specious piece of reasoning.

© 1995 Tibor Spiegel

 Communication Theory and Criticism 7 of 9

logic (lòj˝îk) noun Abbr. log.

[Middle English, from Old French logique, from Latin logica, from Greek logikê (tekhnê), (art) of
reasoning, logic, feminine of logikos, of reasoning, from logos, reason.]

1. The study of the principles of reasoning, especially of the structure of propositions as

distinguished from their content and of method and validity in deductive reasoning.

2. a. A system of reasoning: Aristotle's logic.

b. A mode of reasoning: By that logic, we should sell the company tomorrow.
c. The formal, guiding principles of a discipline, school, or science.
3. Valid reasoning: Your paper lacks the logic to prove your thesis.
4. The relationship between elements and between an element and the whole in a set of objects,
individuals, principles, or events: There's a certain logic to the motion of rush-hour traffic.
5. Computer Science.
a. The nonarithmetic operations performed by a computer, such as sorting, comparing, and
matching, that involve yes-no decisions.
b. Computer circuitry.
c. Graphic representation of computer circuitry.

In Advertising: Logos is less likely to be used by itself, than in combination with other aspects
of persuasion. If an athlete is pitching sport shoes, which are very well made and they are better
than other brands, we are exposed to a dual persuasive tactic. First we have the athlete, who we
trust because he is using the shoes, but than we know from surveys and medical reports that the
shoes are very well made and feel good on our feet. The ethos of the athlete is used to legitimize
the claim, but even without it, our logos would tell us that the shoes a good product and that we
should buy it. The phone companies are the best example for the most frequent use of logos. By
comparing prices for services, they appeal to our logic, hoping that our math is still good,
and that we will switch over to them. Not because they have a famous spokesperson, but because
our logos tells us that they are offering the better deal.

Identification

In order for a speaker to gain trust of his audience, Aristotle suggested numerous tactics
One of them is the identification with the audience's ethnic background. By knowing
SOMEONE's customs, habits (by observing and respecting them), it is more likely that
SOMEONE will listen to us when we talk to them. This can manifest itself in clothing, wearing
jewelry or other ornaments, and the actual way of carrying ourselves. If a speaker is talking to
badly dressed and hungry people, it is more likely that they will let themselves be persuaded by
an equally badly dressed and hungry looking person, than by a well dressed, overweight person
wearing golden rings on his fingers. It is also desirable to properly judge the listener's intellect
and emotional status. If the listeners are highly educated professionals, the speaker must address
them accordingly in order to gain respect and attention. Otherwise nobody will take him/her
seriously and listen to what he/she has to say.
But there are some exceptions. For example, in William Shakespeare's Henry V, when the
King makes his famous speech before the battle on the day of St. Crispin's, he is talking to a
group of hungry and tired men who are (under the laws of that time) basically his property. They
should obey him, no matter what. But, and this why I chose this exception, in order to motivate
these tired warriors, King Henry "lowers" himself and talks to his men as if they were his equals.
© 1995 Tibor Spiegel
 Communication Theory and Criticism 8 of 9

He calls them "brothers in blood" thus giving them a moral boost to go into battle. What peasant
wouldn't want to fight next to his King, the ruler of all living in the land? By calling his warriors
to fight, bear wounds or die with him, King Henry brings himself, his noblemen and his peasant
warriors to the same level. They are "equals" going out to kill or be killed. The King tells his
warriors that the blood is the same red in everybody's veins and the sword doesn't distinguish
between English Royal and peasant. This blood and class identification is so powerful that King
Henry won the battle and became King of France against the overwhelming French army. By
suggesting that warriors who survive the battle, will be able to tell their children and
grandchildren that: "I was fighting with the King on this glorious day", King Henry (the
persuader because make no mistakes about it, that is what he was doing, strongly
PERSUADING) played on all three components at the same time. Ethos is the glorious act of
war by brave men, pathos is the emotion of pride to fight with English "brothers" for the
common cause and logos is following logic that their cause is just therefore logic dictates that
God would be with the brave.

Kenneth Burke's vision of identification is further expanding on the teachings of Aristotle

when he states that:

"you persuade a man only insofar as you can talk his language by speech, gesture, tonality, order, image,
attitude, idea, identifying your ways with his."

Following Burke's idea of identification the speaker becomes "substantially one" with
another person by allowing a bond to develop across different areas where similarities exist. The
more connected the audience feels toward the speaker, the more likely they are to identify with
him/her and accept his/her message. In Burke's view, the most important aspect of any
persuasion is the first step of identification, because as Burke sees it, without it there will be no
attention given to the speaker, resulting in rejection and a total failure to communicate.

© 1995 Tibor Spiegel

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Bibliography
Burke, Kenneth. A Grammar Of Motives. (Berkeley: California UP, 1969)
Campbell, George. The Philosophy of Rhetoric (Carbondale and Edwardsville: Southern
Illinois University Press-Feffer & Simons, Inc., 1963)
Cooper, Lane. The Rhetoric of Aristotle: An Expanded Translation with Supplementary
Examples for Students of Composition and Public Speaking. (Englewood Cliffs: Prentice Hall,
Inc., 1960)
Gordon, N. John. Persuasion: The Theory and Practice of Manipulative Communication. (New
York: Hastings House, Publishers, 1971)
Karlins, Marvin and Herbert I. Abelson. Persuasion: How opinions and attitudes are
changed (New York: Springer Publishing Company, Inc., 1970)
Kennedy, A. George. Aristotle on Rhetoric: A Theory of Civic Discourse. ( New York-Oxford:
Oxford University Press, 1991)
McLuhan, Marshall. Understading Media: Extension of Man. (New York: McGraw-Hill, 1971)
McLuhan, Marshall and Eric McLuhan.Laws of Media. (Toronto: University of Toronto,
1988)
Thompson, N. Wayne. The Process of Persuasion: Principles and Readings. (New York:
Harper & Row, Publishers 1975)
Smith, Mary John. Persuasion and Human Action: A Review and Critique of Social Influence
Theories. (Belmont: Wadworths Publishing Company,1982)
Rueckert, William H. Kenneth Burke And The Drama Of Human Relations. (Minneapolis:
Minnesota UP, 1963)

© 1995 Tibor Spiegel