This document summarizes key aspects of communication theory, including system constraints and conversational analysis. It discusses eight system constraints that are universal in all human communication: channel open/close signals, backchannel signals, turnover signals, message adequacy and interpretability, bracket signals, nonparticipant constraints, preempt signals, and Gricean communication norms. It also examines how to analyze conversations by transcribing spoken language into written form using transcription conventions to capture elements like intonation, stress, overlaps, and pauses. The document provides examples to illustrate phone call openings and closings, as well as backchannel signals, turnover signals, and overlaps during conversations.

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COMMUNICATION THEORY:
SYSTEM CONSTRAINTS AND CONVERSATIONAL
ANALYSIS
Written by:
Kuntum Trilestari, S.Pd.
20112506002
DISCOURSE ANALYSIS
Lecturers:
Prof. Dr. Indawan Syahri, M.Pd.
Drs. Akhyar Burhan, M.Pd.
Pascasarjana Program Sriwijaya University
English Language and Study Program
Palembang
2012

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COMMUNICATION THEORY:
SYSTEM CONSTRAINTS AND CONVERSATIONAL ANALYSIS
1. Introduction
Language is used in human being for communication. In human
communication there is a system of how people should communicate.
Goffman stated in Hatch‟s book (Hatch, 1992) that there is a set of
universal constraints on all communication. All human language has
constraints and these become universal in all type of communication.
Based on Goffman, from communication constraints, there are two types:
system constraints, and ritual constraints.
Universal Constraints
Communication Constraints
System Constraints Ritual Constraints
This paper focuses on system constraints, where the components
required for all communication systems, and conversational analysis, the
way to analyze spoken language into written language by using some
signals or symbols (transcription). In analyzing conversational data, it is
better for analysts or communication specialists to take a natural
conversational data, where language are produced in normal and ordinary,
everyday ways.

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The way to transcribe the conversation (spoken language) into
conversational data (written language) commonly uses videotaped data.
This videotaped data will help specialists to analyze language not only
from verbal language but also from body language. Many communication
specialists work from videotaped data because non-verbal information
such as eye gaze, body orientation, hand movements, and head tilt may
serve as communication signals (Hatch, 1992).
There is no pattern rule for trancribing the conversational data.
The transcription conventions for conversational analysis in here are
developed by Jefferson stated in Hatch‟s book (1992, 6):
1. Overlap symbols
a. Slash : // or /
b. Bracket : [
c. An asterisk : *
d. Equal : =
2. Elapsed time
a. Numbers in parentheses : (.2) (elapsed time in tenths of a second)
b. Dot in parentheses : (.) (micro pause)
c. Plus : +, ++, or +++ (short, longer or long pause)
3. Punctuation for Intonation
a. Question mark : ? (rising intonation)
b. Comma : , (a slight rise)

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c. Colon : :, ::::: (lengthened or more prolonged
syllable)
4. Stress (pitch and volume)
a. Uppercase type : e.q A: to my BOYfriend ann NOTHING
else.
5. Talk softly
a. Degree : (○)
6. Aspiration
a. h in parentheses : (h) (explosive aspiration)
b. h without parentheses : h (audible breathing)
c. Dot : . (in-breath)
7. Unsure of accuracy
a. Single parentheses : ()
8. Nonverbal sounds
a. Double parentheses : (( ))
9. Part of the transcript relevant to the analyst’s description
a. A right arrow : 
b. Underline : _
Furthermore, the spelling of words are altered to try to capture
some of the detail of natural speech. For example:
 “see you in ten minutes”  “see yuh „n ten minutes”
 “give me the key”  “gimme the key”

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2. System Constraints
There are eight system constraints that Goffman claimed to be
universal in all human communication (Hatch, 1992:8):
 Channel open/close signals
 Backchannel signals
 Turnover signals
 Acoustically adequate and interpretable message
 Bracket signals
 Nonparticipant constraints
 Preempt signals
 Gricean norms for communication
2.1 Channel open/close signals
In all communication, there must be ways to show that
communication is about to begin and then begins, and ways to show
that it is about to end and then ends (Hatch, 1992:8). The term of open
and close signal will be according to the situation where the
communication run. For example, in meeting, classroom, letter, phone
call, or interpersonal communication, there are differences way how to
open and close the conversation. The main focus part in this
conversational data is taken from phone conversation.
According to Schegloff, there are four basic parts in opening
phone conversation (Hatch, 1992:9): (1) summons-answer sequence,

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(2) identification sequence, (3) greeting sequence, and (4) how-are-you
sequence. It means that for opening a phone conversation, it is not only
using a word “hello”.
2.1.1 Summons-answer sequence
The phone conversation will be different in summons-
answer sequence based on formal and informal phone
conversation.
For example:
((phone ringing)) ((phone ringing))
A : Hello:, C : Good morning:,
B : Hi. D : Good morning.
2.1.2 Identification sequence
We are very often able to identify the caller or the
answerer from minimal voice samples (Hatch, 1992:9). When
the caller surely recognizes by the voice of the answerer, he
would probably say the name of the answerer.
For example:
((phone ringing)) ((phone ringing))
Answerer : Hello:, Answerer : Hello:,
Caller : Hi Ana. Caller : Hi mom, it‟s me.

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When the answerer has known the caller by using hand
phone or maybe in term of office/formal phone conversation,
the answerer will probably say the name of the caller or the
institution name.
For example:
((phone ringing)) ((phone ringing))
Caller : Hello:, Caller : Hello:.
Answerer : Hi Jane. Answerer : Smith Company,
2.1.3 Greeting sequence
Greeting sequence is just the continuing opening and
identification sequences.
For example:
((phone ringing))
A : Hello:,
B : Hi,
A : Hi Sue.
B : Hi, mom,
2.1.4 How-are-you sequence
Finally, the opening may include a „how-are-you‟
sequence. The default response is usually “okay” or “fine”
(Hatch, 1992:11). Actually, how-are-you sequence is just a way

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of opening a conversation and it is not a main aim of having a
phone call.
For example:
((phone ringing))
E : Huh-lo?
S : He-LO!
E : Hi Sue, How are yuh.
S : Fine, how‟re you.
E : hhhh Oh, not so good. I hadda a run-in with B.
For closing the conversation, it is not as simple as saying
“good-bye”. It has its system where pre closing appears and closing
parts come up at the end of the conversation. Preclosing signals will
give a sign that you might end the conversation, such as “well”,
“okay” and “so” used with falling intonation. For example:
E: okay. So::
S: Yeh.
E: Yeh. so I‟ll call yuh tomorrow then.
S: Okay mom, talk to you later.
E: Bye.
S: Bye.

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2.2 Backchannel Signals
There have to be signals that a message is getting through in
system constraints. Eye contact, head nods, smiles, and body
alignment all help to tell us whether or not the recipient has answered
our summons and is attending to our message. Backchannel signals
encourages the speaker to continue. Backchannel or feedback signals
differ across settings and according to the roles of speakers.
Example of back channel could be in term od noises like
“uuhmm”, “yeh”, “yerright”.
L : Here‟s a little girl.
E : Uhhuh
L : She was walking with flowers in the grass.
E : mmhmm
L : And then she saw the ice cream and she told a lady can
she have some.
E : yeah
L : And then the lady, the lady gave her some.
2.3 Turnover Signals
Turnover signals or turn taking signals allow for a smooth
exchange of turns. Signals for turn over such as:
 Slowing tempo
 Vowel elongation

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 Falling intonation
 A change in gaze direction
Sometimes, in turn over signal, overlaps do happen.Overlaps
means talk in the same time. It does not mean not listening each other
or they want to „grab the floor‟ or interupt each other. Overlaps show
encouragement much as backchannel signals do. It is just to assure the
speaker is not in the conversation alone.
Example 1:
Teacher : Who did that land already belong to?
Students: Spain ((a few students respond at the same time))
Teacher : And now + explores coming + and claiming it for?
Students: England ((several students respond at the same time))
Syntactic completion can also signal a transition-relevant
place. A change in gaze direction (at or away from the listener) can
indicate the end of a turn, Or, if speaker begins to raise his or her arms
at a possible transition place, listeners can project when the turn will
end. Again, the next speaker won‟t normally try to take aturn until the
speaker‟s arms are lowed.
Example 2:
M : Mmhmm sometimes it dangerous because if you go out of
chairchair is name of it?
S : Yeah the saddle

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M : Maybe you die because if you (pause)
S : Yeah you hit your head. ((completes turn for Miguel))
2.4 Acoustically Adequate and Interpretable Messages
Communication requires ungarbled and interpretable message
that have to be „hearable‟. Two ways in dealing with difficulty
adequate and interpreting message because of their language level
competence :
1. Fake it
Pretending to understand and continuing to interact in
the hope that we will catch the theme or focus of the
conversation. Communication can continue fairly smoothly,
but it may also break down completely since information that
allows the participants to build a common theme or focus is
missing.
2. Use backchannel cues
Use backchannel cues to let the speaker know we do
not understand. The speakers then repairs the message. The
message becomes comprehensible during the repair process,
but both the native speaker and language learner may find the
need for constant negotiation of repairs too burdensome to
make the conversation worth-wile.

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To overcome communication breakdowns when one partner
is not yet proficient in the language or in the content of the material
being talked about, we may use :
 a fill in the blank cooperative completion.
 rephrase questions so that less language is demanded of the
learner.
 supply answers.
 model the learner‟s response.
 model better forms of answer.
2.5 Bracket Signals
Bracket signals are used to show that parts of the message,
“side sequences”, are not right on-line with the message of the
moment. To show that the conversation is cut by other action, speakers
sometimes use “by the way”, “anyway” or “incidentally”. By using
these signals, it means the next sentences does not include in the main
message before.
 For example:
LF: (reading a lecture paper) ... to the total – ((looks up and directly
at audience)) I’m reading this as fast as I can because I bet
you’re as hungry as I am. I didn’t eat any breakfast this morning
– ((audience laughter; looks back down and continues reading
the text))...

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The example above shows that from reading a lecture paper “to the
total”, then it is cut by additional words “I’m reading this as fast as I
can because I bet you’re as hungry as I am. I didn’t eat any breakfast
this morning” where it doesn;t include in the lecture paper.
Bracket signals also show non-verbal action appears during the
communication. For example to show caughing, laughing, taking
something, body movement, or picking up and talking on the phone
where those actions are not include on-line with the message of the
moment. Signlas used for bracket signals such as dashes „-...-„, or
parentheses „((...)).
2.6 Nonparticipant Constraints
Nonparticipant contraints is where we are not in group of
conversation and trying ti get into the conversation. There is one
strategy used to move from non participant to participant status that is
to repeat parts of what one overhears in the ongoing communication.
For example:
(Setting: A coffee shop; two men are speaking together and a
woman is seated at the next table “listening in”.)
A to B: ... like someone from California.
B : yeh
C : Someone from CaloFORnia? I mean, I‟M from California
and...

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Laughter, eye contact and hand waving (non-verbal signals)
can also be used as a cue to move from non participant to participant
status.
2.7 Preempt Signals
Preempt signals is the condition where we are in a part of
conversation but want to stop or interupt the conversation. The aim of
interupting the conversation is not only to stop the conversation but
also to request reapirs or message clarification. But when we want to
stop a conversation because of we have to do something else, perhaps
preempt signals that we use could be supported by non verbal action.
In a conversation, nonverbal signals are used such as:
 leaning forward,
 shifting forward in our seats,
 opening our eyes wide
 raising eyebrows,
 waving a pencil in the air
2.8 Gricean Norms for Communication
Communication cannot truly work unless participants
generally observe four major norms of cooperation: relevance,
truthfulness, quantity, and clarity. These norms, called maxims, were
proposed by Grice (1975) as criteria for cooperative communication.

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2.8.1 Relevance
 Communication messages cannot be random, but must
relate to what has gone before.
 Topics in a conversation are dynamic and are negotiated as
a conversation progress.
 In writing, only one person is building the text, trying to put
information into appropriate sequence so that the pieces
most highly related to each other come together.
2.8.2 Truthfulness
 When we violate truthfulness, we often do so using special
intonation for sarcasm, for testing, or for playfulness.
 Learning how to move in and out of “truthfulness” with
appropriate marking may be acquired early in in life, but the
successful execution and recognition of irony, teasing, and
joking is not an easy matter.
2.8.3 Quantity
 In conversation, everyone should have his or her “fair”
share of talk time. No one should “hog” the floor without
permission.

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 In writing, some of us are very long winded, while others
too brief.
2.8.4 Clarity
 We should avoid obscurity and ambiguity.
 Our message should be constructed in an orderly way.
3. Conclusion
According to Goffman stated in Hatch‟s book, there are eight
system constraints to be universal in all human communication. They are
channel open/close signals, backchannel signals, Turnover signals,
Acoustically adequate and interpretable message, Bracket signals,
Nonparticipant constraints, Preempt signals, Gricean norms for
communication. All happens depend on the context of where the
communication is run and influenced by the culture of the area. In
analyzing the conversational data, specialists could use the method of
transcription conventions developed by Jefferson. Again, a natural
conversation is held by daily communication where the normal language is
used and run without any consideration of being analzed.
Reference:
Hatch, E. (1992). Discourse and language education. Los Angeles: Cambridge
University Press.