This study investigates a distinct type of ethos, signalled ethos, and how it is used in
eight business speeches. A rhetorical analysis of the speeches resulted in five categories
of signalled ethos; the categories center around deference, self-criticism, similitude, expertise, and the inclination to succeed. The study examines the rhetorical functions of
these categories and suggests that signalled ethos is a useful concept for understanding the types of images authors create of themselves.
STRATEGIES FOR ESTABLISHING AN
EFFECTIVE PERSONA: AN ANALYSIS OF
APPEALS TO ETHOS IN BUSINESS
SPEECHES
Larry Beason
Eastern
Washington University
A ristotle states that ethos, or the persona that a speaker projects to
audience., can be the most potent means of persuasion, often being
effective than either logical or emotional appeals (Cooper, 1932, pp.
Aristotle
8-9).
goes on to explain that effective ethos is created when
speakers convey good intentions, good moral character, and good sense
(Cooper, pp. 91-92). While numerous perspectives of ethos have arisen
since Aristotle’s time, the reason for drawing upon the appeal to ethos
has largely remained the same. Effective in written as well as spoken
discourse, the appeal to ethos (also called the &dquo;ethical appeal&dquo;) derives
the arguments
from the assumption that audiences are prone to
of writers or speakers who are trusted and respected.
Several researchers have examined the role of ethos in business and
technical communication (e.g., Miller, 1978; Grimshaw & McCarron,
more
accept
1981; Walzer, 1981; Guinn, 1983; Enos, 1985; Kallendorf & Kallendorf,
1985; Stoddard, 1985; Kenton, 1989). They have explored contrasting
models of ethos, argued that ethos is relevant to business communication, and demonstrated that almost every feature of a text can contribute
to ethos. Although this research has been productive and convincing,
often the perspective that emerges is that ethos cannot be isolated from
other aspects of discourse; ethos thus seems so inclusive that it eludes
definition.
I suggest that what is both needed and possible is a practical, theoretically sound means by which teachers and practitioners of business
communication can analyze and use appeals to ethos. After examining
inherent problems associated with ethical appeals, I discuss one form of
ethos, signalled ethos, and why it can be useful in helping us deal with
these problems. Then, I describe categories of signalled ethos that
326
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327
emerged in a rhetorical analysis of business speeches; the categories are
on five character traits: deference, self-criticism, similitude, ex-
based
pertise, and the inclination to succeed.
ETHOS AND SIGNALLED ETHOS
A considerable amount of speech communication research has attempted to measure the impact of audiences’ perceptions of speakers (see
McCroskey & Young, 1981, for a review). Rhetorical analyses of the
ethical appeals used in actual discourse are less frequent, perhaps
because of the difficulty in deciding what does not qualify as an appeal
to a communicator’s character, knowledge, or good intentions.
The Problematic Nature of Ethos
In its broadest sense, ethos is determined by the content and style of
the message. A communicator’s logic and selection of sources are just two
aspects of content that contribute. For instance, Ramsey explains that
even the unintentional use of a logical fallacy could suggest that the
communicator is deceitful (1981, p. 93). Stylistic choices are often seen
as integral to ethos. Guinn (1983) contrasts the ethos of two authors
writing on the same medical subject but in markedly different styles.
Kallendorf and Kallendorf argue that figures of speech allow a business
writer to &dquo;arrange, shape, and present ideas in a way that projects the
image of a thoughtful and analytical person whose ideas deserve to be
taken seriously&dquo; (1985, p. 43). Enos (1985) examines how a range of
stylistic elementsr-including personal pronouns, active voice, and
cohesive ties--affects the ethos of technical report writers.
A substantial problem in comprehensively analyzing ethos is that it
seems necessary to consider every aspect of the textr-from handwriting
and spelling to major premises and world views. And some extra-textual
an ethos. One such factor precedes the text-the
communicator’s reputation. The problem of discussing ethos in its entirety is compounded when analyzing speech, since delivery and physical
appearance can affect an audience’s perceptions of the communicator.
Ethos is indeed pervasive, and business communication researchers
tend to treat ethos as an all-inclusive concept, as illustrated below:
factors help shape
A writer’s ethos emerges through his/her lexical and syntactic choices, a
disposition to write one way, to refrain from writing in another way, to
be dramatic or prosaic, to include certain information and. to exclude
other information. (Guinn, 1983, pp. 31-32)
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328
Image is embodied in the language the writer uses to present informaImage is also projected by the information itself. A writer
necessarily creates an image with his/her choice of language or material.
(Ewald, 1985, p. 9)
tion.
Business writing textbooks offer similar explanations. After equating
ethos with credibility, Burnett states:
You gain credibility through a variety of qualities: technical expertise,
favorable reputation, corporate status, values similar to those of the
reader, and characteristics in your writing that show you to be understanding, well informed, carefully organized, articulate, and fair-
minded. (1990, p. 485)
From the student’s perspective, the reasoning might appear circular.
That is, a writer builds a credible image in order to produce effective
writing, yet how is this image built? In effect, it is created by producing
effective writing. ~ue enough, in a sense, but such explanations might
lead to confusion, and not just in the classroom.
As one scholar said years ago, ethos often appears &dquo;too ephemeral, too
illusory, too intangible to permit accurate definition and analysis&dquo; (Pross,
1952, p. 258). But to discount a robust definition of etho s would contradict
what we know about discourse, for in truth an audience’s perception of
message and communicator are highly interrelated, often indistinguishable. Still, what might help in analyzing, using, and teaching the ethical
appeal is to consider one of its more recognizable manifestations, what
I refer to as &dquo;signalled ethos.&dquo;
Signalled Ethos
Because of the attention they place on the communicator, certain
linguistic features-namely, first-person pronouns and self-referential
third-person pronouns-signal possible ethical appeals. With signalled
ethos, the communicator’s persona is moved toward the forefront of the
message, offering what is likely the most conspicuous opportunitywhether intended or not-for an audience to focus on what the text
suggests about the communicator as a person. Locutions such as &dquo;I,&dquo;
&dquo;we,&dquo; and &dquo;this writer&dquo; signal authorial insertions that can help defme
an ethos, since it is difficult for people to talk about themselves without
also revealing something about themselves. When such terms appear,
ethos might not be enhanced at all, and we can only conjecture, of course,
as to whether a signalled appeal to ethos was consciously, intuitively, or
accidentally formed. Nonetheless, self-referential language carries with
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329
it the potential for audiences to discern something about a
communicator’s persona and be influenced by it.
Rosenthal argues that singling out communicators’ references to
themselves ignores the fact that ethos is &dquo;derived from and conveyed by
the whole rhetoric-the invention, arrangement, style, and delivery&dquo;
(1966, p. 120). While ethos ultimately involves more than self-referential
language, focusing on signalled ethos offers a productive means for
analyzing one form of ethos. As analyses in dissertations by Cherry
(1985) and Balester (1988) have shown, an examination of self-referential language can provide insights about ethos in its larger sense.
Despite its relative directness, signalled ethos has a degree of subtlety
and is not altogether closed to interpretation, giving rise to a complexity
that warrants study. Used effectively, the signalled appeal is rarely so
overt that the audience will readily detect a deliberate attempt to be won
over with a gratifying persona. Ethos of any sort operates best when, as
Corbett states, it is a &dquo;hidden persuader&dquo; (1990, p. 85). Subtlety is
warranted in any ethical appeal, for few things are more irritating than
those people who brazenly and repeatedly &dquo;toot their own horns.&dquo;
AN ANALYSIS OF SIGNALLED ETHOS IN BUSINESS SPEECHES
Now I turn to a rhetorical analysis of signalled ethos in authentic
instances of business communication. The primary goal is to
demonstrate that signalled ethos offers a manageable, productive
heuristic-a resource for interpreting ethos and ethical appeals. A
secondary goal is to explore categories of ethos that business communicators might be drawing on. While this analysis cannot determine
if the five categories found here are widespread in business discourse,
these signalled appeals could serve as focal points for future research.
Procedures
Unlike virtually all other studies of ethos in professional communica-
tion, this analysis focuses on spoken rather than written discourse. The
objects of the analysis are eight transcriptions of business speeches taken
from two volumes of Vital Speeches; as shown below, all speeches are
presented by business people, to business people, about business topics.
1. Robert Buckley, Chair and Chief Executive 4~cer of Allegheny Inc., speaking on entrepreneurship at General
Electric Credit Corp. and Los Angeles Times Business Seminar
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330
Eugene Freedman, Vice Chair of Coopers & Lybrand, speaking on the banking industry at Continental Seminar
3. Carole Howard, Division Manager of Regional Public Relations of AT&T,
speaking on women in senior management
2.
at Conference of Women in Communications Inc.
4. Peter Gillette, Vice Chair of Norwest Corp., speaking on
deregulation of financial services to International Associa-
tion of Accountants
5. Daniel Miglio, Senior Vice-President of Southern New
England Telephone Co., speaking on regulation to
Canadian Independent Telephone Association
6. John Nichols, President and Chief Executive Officer of Illinois Tool Works, speaking on marketing and technology
at American Marketing Association Marketing Conference
7. Leo Perlis, Former Director of AFL-CIO Dept. of Community Services, speaking on organized labor to Industrial
Relations Research Association
8. Richard Wilcke, President of Council for a Competitive
Economy, speaking on surviving economic pressures at Missouri Statewide Small Business Convention
The analysis first involved locating each speaker’s self-referential
language. Almost always, the speakers draw upon first-person pronouns
to refer to themselves. The self referential cues include singular references to only the speaker (e.g., &dquo;I&dquo; or &dquo;my’) and plural references to both
the speaker and his or her business affiliation (e.g., &dquo;my own company&dquo;).
Ethical appeals in the samples, as will be demonstrated, frequently rely
on the image of the speaker’s business or profession as well as on the
speaker’s individual persona. During the second stage of the analysis, I
determined the persona-if indeed there was one-that each of the
self-referential statements appeared to establish. The particular audiences, topics, speakers, and purposes identified by the selections and
editors of Vital Speeches offered contextual clues for interpreting the
speakers’ ethos. An awareness of the context is essential because, as
LeFevre points out, ethos refers not to the idiosyncrasies of the communicator but to those characteristics and qualities that are valued by
an audience and community (1987, pp. 44-46). The results of the analysis
indicate that the speakers enhance their personas by drawing upon five
major categories of signaled appeals.
Of course, interpretations of ethos-just like interpretations of Hamlet or a business contract-are subject to disagreement. The point is not
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331
that signalled ethos provides a formula for describing ethos in a way that
will meet with unanimous agreement; instead, signalled ethos offers a
means by which the elusiveness of ethos can be lessened.2 Since the goals
of the analysis are heuristic rather than predictive, the results are not
empirically validated; but, as explained below, the appeals are rhetorically functional and resemble tactics effectively used in various discourse
situations.
Category 1: Similitude
One important type of signalled ethos results when the speakers point
out similarities between themselves and their audiences, an effective
tactic in many contexts. Almost all people are more likely to accept and
trust a communicator who is perceived as being &dquo;one of them,&dquo; since such
commonality gives the impression that communicator and audience
share backgrounds, goals, and values.
Whenever the speakers use the term &dquo;we&dquo; to refer to both themselves
and their audience, they are claiming group membership with that
audience, although it can be a subtle type of affiliation. The speakers fmd
additional means of building a sense of community and indicating ties
with audiences (emphasis added in all subsequent examples):
My own company, ITW,
(Nichols,1984, p. 726)
is
a
supplier to
...
many of you in this
room.
The company an individual starts with bears roughly the same relationship to our working life as our parents did to our individual development.
I started with General Electric, as some of you did, and I’ll be the first
to admit that, many years later, I still share the dull impress of that
...
monogram.
(Buckley, 1985, p. 178)
Finally, I’d like to look at an area that’s near and dear to my heart and,
I suspect, some of yours as well ... how deregulation is affecting the
regulated utility. (Miglio, 1984, p. 110)
Nichols and Buckley emphasize business relationships, an important
form of similitude for this group of speakers. Buckley argues that these
ties are still intact, even though it has apparently been some time since
he actually worked for General Electric; interestingly enough, he infers
a familial relationship with General Electric and, by extension, his
audience. Taking another approach, Miglio explicitly points out the
values he shares with his audience.
Another means of expressing similitude relies on regional ties. Early
on, Wilcke devotes a sizable portion of his speech to relating a story about
the time he spent in the region in which most of his audience resides.
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332
He begins with a flattering remark that directs the audience’s attention
to this commonality:
It is always a special pleasure for me to be back in mid-America, and it
is exceptionally nice being here at Lake of the Ozark, which must be one
of the loveliest spots in what I have always considered to be a very pretty
state. I can still remember vividly my first glimpse of the Missouri
countryside. (1984, p. 681)
Although her claim to regional ties is more succinct, Howard begins
in a similar vein:
Th return to Seattle, where I began my business
treat.
career ...
is
a
special
(1984, p. 148)
Of the five categories described here, the appeal to similitude may
have the most theoretical and empirical support, especially from the field
of rhetoric. Aristotle explains that an audience should like the speaker
as a person and that similitude can determine this attraction (Cooper,
1932, pp. 102-106). Modern rhetoricians have continued to stress the
importance of similitude. In The New Rhetoric, Perelman and OlbrechtsTyteca argue that for argumentation to occur there must be sharing of
some frame of reference, a &dquo;formulation of an effective community of
minds&dquo; (1968, p. 14). Probably the most extensive treatment of similitude
in rhetorical theory is Kenneth Burke’s work on identification. Burke
writes, &dquo;You persuade a man only insofar as you can talk his language
by speech, gesture, tonality, order, image, attitude, idea, identifyingyour
ways with his&dquo; (1969, p. 55, emphasis in original). Identification is crucial
in rhetoric, Burke argues, because in a sense the goal of argumentation
is identification; people argue because they perceive themselves to differ,
and they use identification to eliminate these differences (p. 22). In her
Burkean model of ethos, Enos considers identification paramount: &dquo;Effective ethical argument arises from the union of speaker and listener,
writer and reader; the opening up of a world holding within it values that
both participants adhere to underlies the whole concept of ethos&dquo; (1990,
p.
101).
Similitude may be associated with an intuitive linguistic compulsion.
Linguists have extensively examined what is termed &dquo;convergence,&dquo; the
tendency of individuals to shift their speech styles to accommodate
whomever they are interacting with. Typically, convergence means that
speakers, seeking to gain approval, will use language features that they
believe their listeners will use (Giles 1973; Giles, Taylor, & Bourhis,
1973; Bell, 1984). Likewise, in expressing similitude the speakers con-
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333
verge with their audiences by pointing out shared traits, backgrounds,
and beliefs.
The field of psychology has indicated the significance of similitude in
discourse. Young, Becker, and Pike’s writing textbook draws upon
psychotherapist Carl Rogers in claiming that a writer cannot sway a
reader unless both &dquo;hold certain things in common, such as shared
experiences, shared knowledge, shared beliefs, values, and attitudes,
shared language&dquo; (1970, p. 172). In a Rogerian approach, the writer must
convey a non-threatening image, and one means of doing so is showing
that writer and reader are similar (pp. 274-275). Empirical psychologists
have shown that individuals with common characteristics tend to be
attracted to one another. Byrne (1971) finds that the positive correlation
between similarity and attraction holds true for diverse populations and
contexts. Since any ethical appeal attempts to increase an audience’s
attraction toward a communicator, this research also indicates the value
of similitude.
Similitude can be rhetorically effective in assorted contexts, yet its
value in business discourse is augmented by the high regard that
business people place on unity, company loyalty, and workers who are
able to work together. Fraternal bonding is needed when, as in most of
the speeches examined here, a speaker is addressing individuals who in
day-to-day transactions compete with one another, or even with the
speaker.
Category 2: Deference
A second form of signalled ethos centers around deference, on the
speakers’ ability to show courteous regard for their audiences by not
being presumptuous or brusque. Through this tactic, a communicator
can appear respectful and cooperative, attributes which help avoid the
all-too-common situation that occurs when people disagree simply because they see one another as inflexible and arrogant. Business people
are often perceived as &dquo;pushy&dquo;; sales and marketing techniques, along
with the aggressive competitiveness found in the corporate structure,
contribute to this disagreeable image. Deference helps counter such
stereotypes because it implies the acquiescence, courtesy, and respect
that a successful business person is expected to demonstrate to customers, peers, and superiors.
In the speeches, the language of deference tends to be unadorned and
brief; it is usually composed of a few qualifying remarks which reveal
that the speaker is presenting his or her ideas as suggestions or personal
observations, creating an inoffensive tone.
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334
In my view, a good part of the answer to the survival of entrepreneurship
lies in understanding the concept.... I believe the evolution of this
group... holds the key to the question of entrepreneurship. (Buckley,
1985, p. 178)
While this is a common opinion, in my opinion, it is a very unproductive
and even harmful one. (Wilcke, 1984, p. 682)
f you would, in a random walk through the pages of the business
(Howard, 1984, pp. 148-149)
Join me, i
press.
In my view, that roadmap must acknowledge that sensible deregulation
must ensure the preservation of all
principles. (Gillette,1984, p. 747)
...
As I see it, a basic market analysis can
tion. (Miglio, 1984, p. Ill)
provide some competitive direc-
The appeal is subtle. Miglio, for example, might have omitted &dquo;as I see
it&dquo; without creating an affront. Adding the phrase, though, suggests that
he takes an extra step to show that he realizes there are other views
besides his.
The appeal based on deference might be seen from another perspective-as not being very appealing at all. To some, the language might
represent ineffective hedging, an inability to take a position. Pedagogical
advice (e.g., Smith, 1985, pp. 110-111) often indicates that communicators should avoid phrases reflecting an unwillingness to take a
stand, phrases such as those pointed out above. However, the speakers
are not reluctant to make claims; rather, the speakers are unpretentious
and courteous in making claims.
Numerous instances of deference might create a &dquo;wishy washy&dquo; tone,
but on the average, each speaker draws upon this appeal only four times,
a small number considering the length of most formal speeches. Additionally, the grammatical positioning of the appeal helps avoid a submissive, overly humble persona. Although some instances of this appeal to
deference are in the subject and verb slots of a main clause (as in &dquo;I
believe that...&dquo;), often the appeal is situated so that grammatically it is
not the main thrust of the sentence. All but one of the above examples
are in grammatically subordinate phrases or clauses. Even so, by placing
the appeal at the front of the sentence in which it appears, the speakers
keep deference from being completely buried or tacked on like an
afterthought.
Linguists have studied various politeness strategies used to facilitate
the discourse:
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335
Conversation, and most other talk, is a collaborative activity that can be
successful only if the speaker respects, or takes into account, the rights,
capabilities, propensities, and feelings of the other parties. (Levelt, 1989,
p.
65)
Politeness requires the communicator to allow listeners the right to
make up their own minds and pursue their own options (Lakoff, 1972;
Brown & Levinson, 1978; Fasold, 1990, pp. 159-166). Deference is one
means of showing that the communicator respects these rights.3
Sociologist Erving Goffman offers a similar perspective. He sees
deference as a symbolic means by which people convey appreciation of
others to these others; it represents ways in which people celebrate and
confirm their relationship to others (1967, pp. 56-57). Goffman suggests
that deference has a lasting effect:
Acts of deference typically contain a kind of promise, expressing in
truncated form the actor’s avowal and pledge to treat the recipient in a
particular way in the on-coming activity.... Actors thus promise to
maintain the conception of self that the recipient has built up. (p. 60)
Goffman is mostly concerned with the types of ritual conduct found in
everyday face-to-face interactions, but we can see his conception of
deference in the formal speeches as well: deference shows a sentiment
of regard for the recipient and is important in setting a tone.
Category 3: Self-criticism
With the third category of signalled ethos, the speakers engage in a
brand of self-criticism demonstrating trustworthiness, frankness, and
honesty; they foster honesty-laden images by openly admitting the
shortcomings of their claims, abilities, or affiliate organizations. Below
are examples:
I had all the conventional answers. But not the one that satisfied either
my hosts in Tokyo. (Perlis, 1984, p. 735)
me or
Obviously,
statistical
even if I knew, I couldn’t go into the means of establishing
procedures in your operation. (Wilcke, 1984, p. 684)
Too much self-criticism can backfire, yet the speakers do not belittle
themselves so much or so often that they stand to lose their audiences’
confidence. Frequently, the speakers combine self-criticism with a
&dquo;redeeming&dquo; statement that lessens any negative ramifications. Perlis
begins with a mild boast or excuse before criticizing his company:
We were on fair grounds, but we were also behind the times. (Perlis,1984,
p. 734)
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336
Other speakers abate the severity of self-criticism by adding
pant, humorous tone-a useful redeeming tactic, or distraction.
a
flip-
rm reluctant to admit that I know practically nothing about the telecommunications industry. (Miglio, 1984, p. 109)
Fortunately, my charge as keynoter does not require me to be an expert
on anything. (Nichols, 1984, p. 726)
My assigned topic this morning ... is certainly a practical, down-to-earth,
business management one. That’s why I’m a little embarrassed to inform
that I am basically a philosopher. Here you people are debating
you
whether Missouri politics is practical enough to be worthy of your time
and attention, and you get ... someone even politicians consider impractical. (Wilcke, 1984, p. 682)
...
Communication research indicates the value of self-criticism. Norton
(1983) has investigated what he calls the &dquo;open style,&dquo; one in which the
communicator gives personal, private, and risky information. The open
style correlates with intimacy and trustworthiness: the more open the
communicator is, the more likely the audience is to trust and bond with
him or her (pp. 97-128). While self-criticism may not be private, it is
surely personal and risky, since the speakers state something about
themselves that could leave them vulnerable.
Besides indicating that the speakers are humble and honest, selfcriticism can be rhetorically effective in another way: by appearing to
minimize their expertise about their speech topics, the speakers lower
their audiences’ expectations, and thus listeners are set up for being
surprised and impressed by how much the speakers actually do know.
Clearly, the speakers must show they have some expertise on their
topics. Infusing lightheartedness into self-criticism can preserve
credibility, and as shown later, other ethical appeals establish the
requisite expertise.
Still, self-criticism could provide an opportunity for the opposition to
exploit admitted flaws; or if the audience is neutral or supportive,
self-criticism can open the door to doubt and disparagement. In certain
rhetorical situations, the ethos of honesty and candor justifies risk
taking; the business context is one such situation. Whether deserved or
not, business people are often perceived as being willing to say or do
anything to make a profit. Counteracting this negative image by establishing trustworthiness and good intentions warrants the risk.
Self criticism is subject to unscrupulousness-as in the case of a car
salesperson who points out one fault of a vehicle he or she wants to sell
but neglecting to mention the other dozen, and far more significant,
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337
defects. The issue is one of true versus apparent honesty,
matter discussed later.
an
important
Category 4: Expertise
This fourth category of signalled ethos focuses on the speakers’
expertise with the specific issues under discussion, an appeal also found
in diverse contexts. All audiences are more likely to believe and accept
those communicators who can demonstrate that they know what they
are talking about. Conventional wisdom would suggest that this assumption is valid, and research supports it as well (see surveys by McCroskey
& Young, 1981; Kenton, 1989).
Several tactics permit the speakers to exhibit expertise. Howard does
so in an unusual way: she engages in self-criticism while showing that
she has personal experience regarding her topic, which concerns female
executives’ lack of comfort with mathematics and machines.
Ladies, I speak from the heart on this one. I love my computer.... I just
returned from a computer course at MIT that I consider one of the best
educational experiences of my life. Yet you should know that I willingly
took three science courses at the University of California at Berkeley to
avoid having to take one math class. (1984, p. 149)
Usually, the speakers rely on business credentials to establish expertise.
In all my 25 years of banking, I cannot recall a time when there was ever
such feverish excitement about opportunities. (Gillette, 1984, p. 748)
In five years in Washington with the Council for a Competitive Economy,
we’ve discovered that businessmen are not only lousy teachers of freemarket principles, the majority of them don’t really believe in them down
the line. (Wilcke, 1984, p. 683)
We
first to develop the low profile configuration
keyboards. (Nichols, 1984, p. 728)
were
among the
of
I meet with you today as director of the United States Telephone Association. (Miglio, 1984, p. 109)
Since the
accomplishments alluded to are directly related to the
speech topics, these speakers are not bragging about irrelevant resume
items. Rank, seniority, and reputation-when pertinent to the subject
being discussed-not only suggest speakers’ proficiency with their topics
but also demand considerable respect in and of themselves.
The speakers again must maintain some tact in building an effective
ethos; they might seem to be braggarts trying to intimidate their audien-
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338
Tact can be achieved through appropriate timing, grammatical
placement, and humility; but, once more, a communicator can exercise
discretion by not using signalled ethos so often that audiences become
well aware of the communicator’s intent. The speakers examined in this
study use signalled appeals to expertise an average of only 3 1/2 times
apiece, a rate that allows them to build credibility without appearing
ces.
boastful.
Category 5: The Inclination to Succeed
A fmal type of ethos found in the sample texts may owe the most to
the distinctive nature of business communication. Although closely
related to the appeal to expertise, this fifth appeal merits a separate
discussion. What seems to be of foremost significance in business? Quite
simply-success. The day-to-day business world places a premium on
businesses that produce, make money, and grow; business people who
engineer such success are sought after, respected, and credible. The
speakers form signalled appeals to project what I call the &dquo;inclination to
succeed&dquo;-the image of someone who has the potential for success based
on actual and anticipated business dealings.
The speakers establish this inclination in two basic ways. The first
involves emphasizing successful track records by alluding to past or
present business accomplishments-not necessarily those dealing with
the topic at hand, but those relating to business success in general. A
second method of substantiating a successful inclination is demonstrating an optimistic, confident attitude conducive to future success; the
speaker boldly displays a conviction of success in business ventures yet
to come, often not only his or her personal success but success for other
business people as well. Through indicating past, present, and future
success, the speaker establishes the image of a person who has what it
takes to succeed in the corporate world, a person very much worth
listening to given an audience of business people. The resulting image,
like the one drawing upon expertise, mirrors the &dquo;good sense&dquo; noted in
the classical definitions of ethos; a successful track record coupled with
a firm belief in future triumphs indicates that the speaker has some
special knowledge accounting for his or her success and optimism,
knowledge that is worth gleaning.
The first method of projecting a successful inclination operates in a
straightforward way: the speakers allude to their histories of corporate
success. The second method can be more complex, perhaps even more
effective because it involves forthcoming success and not just success
&dquo;once&dquo; enjoyed. Often a forecast of success is implicitly extended to the
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339
audience
them.
as
well-that is, if they accept the message and advice given
frequently emphasize their optimism toward future
by providing foils; these take the shape of contrasting business
or
people even economic developments such as recessions. Freedman
accentuates his optimism by playing off economic hardships and doomsayers. Displaying a sense of hope and security during bleak financial
times for banking, he enhances his ethos while offering his listeners
something they would like to believe in:
The speakers
success
You’re all very aware of the problems you’re facing today. So Fm not about
to be a harbinger of doom and gloom, citing statistics of bank failures,
takeovers by nontraditional companies and the like.
Instead, what I
want to do is focus on what makes your end of the
industry-community banking--special and how I think you can use
these unique qualities to maintain your position in the community and
to gain a competitive advantage. (1985, p. 199)
Buckley finds an antithesis in the shape of corporations less successful
than his:
Frankly, most companies have found it [personal satisfaction] impossible
to provide. However, as this conference shows, we’re trying. And in some
cases, we’re succeeding. (1985, p. 179)
Buckley seems to have a particularly strong inclination toward sucbecause he and his company accomplish a task that-allegedly-is
impossible. Perhaps to avoid a glaring overstatement, Buckley first
states that his organization is only attempting the task (&dquo;we’re trying&dquo;);
and then, at the same time that he points out successes, he indirectly
admits to some failures (&dquo;in some cases, we’re succeeding&dquo;).
Other speakers locate negative dispositions as springboards for
launching positive images. To create her antithesis, Howard refers to a
specific individual, while Gillette finds a more abstract, metaphorical
cess
foil.
I do not share that womanY bleak view of women’s promotion opportunities at AT&T....
Here are some thoughts on how we can break
the
barriers
and
make it to senior management. (Howard, 1984,
through
p. 149)
Now,1 don’t subscribe to the &dquo;Attila the Hun&dquo; school of managementwhich is to say that it’s not enough that I succeed, everyone else has to
fail. No, I believe there will be lots of success stories in our industry, and
it’s my job to see to it that Norwest Corporation is one of these stories.
(Gillette, 1984, p. 748)
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340
A communicator can express optimism and potential in other ways.
Instead of forming contrasts, Perlis compares his vision of the future to
those of notable business and labor leaders:
And
so let me dream for a moment as unrealistically and unpragmatically as John L. Lewis when he organized the Committee for Industrial
Organization; as Sidney Hillman when he organized the first Political
Action Committee; as Walter Reuther when he declared that our plants
can be converted to produce 50,000 planes a year, as George Meany who
felt the AFL and CIO can be persuaded to merge after all. They had the
vision to see-,and the leadership to follow through. (1984, p. 734)
The appeal to expertise and the appeal to successful inclinations both
establish credibility, but they do so differently. A successful inclination
deals not so much with expertise on the specific topic being discussed as
with the ability to achieve business success, usually financial success but
at times success in terms of expansion, improved services, or-as in the
case of Howard’s last excerpt-promotion. Expertise, in other words,
establishes credibility in regards to knowing something about a discourse topic, but a successful inclination builds credibility in regards to
being a competent business person.
SUMMARY
This analysis indicates that signalled ethos does play a role in the
selected formal speeches. Research in assorted disciplines suggests that
the categories of appeals-deference, self-criticism, similitude, expertise, and the inclination to succeed-are useful strategies for enhancing
a communicator’s image and message.
As a way of summarizing the five categories of signalled ethos, I wish
to show how they fit into a binding framework that reflects existing
models for broader notions of ethos. Kenton synthesizes several contemporary approaches to ethos and proposes a four-dimensional model based
on the following perceptions of a communicator:
~
Goodwill and Fairness: focus on receiver,
receiver, unselfishness
~
Expertise: trained, experienced, qualified, intelligent, competent, achievement
Prestige: rank, power, position, status
Self-presentation: verbal ability, platform skills, similarity,
dynamism, energy, confidence. (1989, p. 149)
~
~
concern
for
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341
signalled appeals fit into this synthesized model, as well as
supporting Kenton’s observation (pp. 148, 150) that the dimensions are
not totally independent of each other. Kenton considers communicator/audience identification as a component of the &dquo;self-presentation&dquo; dimension. As noted earlier, this identification might also affect
how trustworthy the communicator is perceived to be (the &dquo;goodwill and
fairness&dquo; dimension). Deference, in that it shows the communicator’s
respect for the audience, relates to the &dquo;goodwill and fairness&dquo; dimension,
The five
as does self-criticism since it suggests that the communicator is fair and
honest enough to indicate personal shortcomings. Signalled expertise
has an obvious counterpart in Kenton’s model; however, because the
speakers in this study often illustrate expertise by pointing out their
rank and status, signalled expertise contributes to the &dquo;prestige&dquo; dimension as well. Finally, the selected speakers draw upon their business
success to show that they possess sufficient background and competence
for talking about business topics-a tactic that also reflects the &dquo;expertise&dquo; dimension.
IMPLICATIONS
An analysis of how signalled ethos is used in actual practice gives rise
question that rhetoricians since antiquity have been asking: how do
we deal with the ethics of ethos? That is, what is the difference between
seeming to be and actually being a good business person, a good rhetor,
a good individual? Once people discern the types of personas that their
audiences deem favorable, is it justifiable to use signalled appeals, or
other rhetorical devices, to manufacture whatever persona fits the
occasion? Such questions are not new, and while I do not pretend to be
able settle the matter in a few cautionary remarks, I cannot sidestep it
either.4 Since my background is in teaching, I focus on pedagogical
to
a
concerns.
Hashimoto suggests that perhaps teachers take themselves too
seriously in regards to their ethical responsibilities in teaching persuasive tactics:
I doubt that any students will become dangerous simply from taking a
composition class. And I suspect that students who will truly want to
become ruthless persuaders will learn to be ruthless all by themselves
despite our admonitions. (And those who were once pure will probably
remain pure no matter what they do once a week in composition class.)
Certainly English teachers’ own knowledge of persuasive devices and
ploys hasn’t turned them all sour. (1985, p. 51)
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342
Well put, yet despite the propensity of people to do what they want to
do in spite of what teachers would have them do, teachers are not without
influence. This influence engenders responsibility.
My position is not simply that signalled ethos is a tool to be ethically
or unethically employed depending on the nature of the communicator.
A persuasive tactic based on emotions or images has a potential for
misuse that cannot be ignored. Notwithstanding the difficulty of the task,
teachers should discuss appeals to ethos in ways that encourage students
to be fair, honest, precise. Perhaps the ethical ramifications of some
signalled appeals are unimportant. For instance, if a communicator
draws upon signalled deference and prefaces a remark with &dquo;I suggest&dquo;
even though he or she is usually not humble or respectful, the question
of ethics seems irrelevant, if not frivolous (in fact, perhaps this sort of
person would gradually change for the better if encouraged to form a
more respectful persona in business communication). With other appeals, including those based on expertise or success, deliberate inaccuracies clearly violate ethical standards and should be discouraged.
Corbett offers some insight as to how teachers might discourage an
unethical ethos:
The people’s protection against an unscrupulous demagogue lies in the
fact that the viciousness of such a person will eventually reveal itself and
consequently the persuasive effectiveness of that person will be forever
destroyed. Remember the maxim that Abraham Lincoln once used: you
can deceive some of the people some of the time but not all of the people
all of the time. (1989, p. 262)
Thus, one way of dealing with abuse of appeals to ethos is to stress
that unethical tactics are simply not worth the damage they might cause
in the long run. It is difficult for a person who has been labeled as
deceptive or inaccurate to change that image. As teachers of business
communication, we would be doing students a service by encouraging
them to strive not only for short-term efficacy with the images they
project, but for accuracy and honesty as well.
The analysis also offers some direction and implications for research.
Although the study finds that signalled ethos has a useful role in the
sample speeches, additional study is needed to determine the extent to
which signalled ethos, particularly the types found here, appears in other
forms of business communication, written as well as oral. The speakers’
ethical appeals, being based on values commonly found in the business
world and our society in general, might be found in diverse contexts. On
the other hand, the many differences between speaking and writing, or
even between formal and informal business speech, may well determine
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343
uses of ethical appeals. More research is needed for
the
impact of context on ethos, but the present study has
evaluating
demonstrated that the construct of signalled ethos allows for a manageable and productive analysis of the images that communicators build of
communicators’
themselves.
NOTES
I extend sincere appreciation to several individuals for their comments on
various drafts of this article: Craig Kallendorf, Gary Beason, Valerie Balester,
Dana Elder, and members of the editorial staff of JBC who reviewed my
manuscript.
Although this study examines samples of speech, some of my discussions
1
might often apply to written discourse as well. To avoid the the cumbersome
phrase "writer or speaker," I henceforth use the term "communicator." Occasionally, I refer to the appeal to ethos as the "ethical appeal," but it does not
necessarily center around what is commonly thought of as ethics.
Corder (1989) notes that some prevailing theories of literary criticism
2
would deny that authors have any presence in their texts. Space does not
permit me to address this issue fully, but I agree with Corder (1989) and Alcorn
(1987) that, even though communicators do not exist in their texts, they leave
"ghostly signals" and traces of themselves in the form of linguistic clues that
help an audience interpret ethos. Signalled ethos, I suggest, is one such trace.
Brown and Levinson (1978)
3
tend to
use
the term "deference" to refer to
politeness strategies based on honorific titles and forms of address. They use
"hedging" to refer to tactics resembling what I call "deference."
Surveys by Reinsch (1990) and Doheny-Farina (1989) reveal the
4
widespread concern for ethics in the study of professional communication.
Notable discussions of the ethics of ethos include Oates (1963), Yoos (1979),
and Rowland and Womack (1985).
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