Anxiety/uncertainty management (AUM) theory explores how individuals manage anxiety and uncertainty when interacting with people from different cultural backgrounds. Developed by William B. Gudykunst, AUM theory posits that effective intercultural communication depends on reducing these feelings of anxiety and uncertainty. Building upon the foundation of uncertainty reduction theory (URT), which was introduced by Berger and Calabrese, AUM theory examines how individuals navigate the complexities of intercultural encounters, particularly with strangers. As a communication theory, AUM continues to evolve based on observations of human behavior in social situations.
Differences with URT and the introduction of anxiety
While uncertainty reduction theory (URT) focuses on how people manage uncertainty in social situations, AUM expands upon this by incorporating the role of anxiety, particularly in intercultural contexts. URT suggests that uncertainty arises from our attempts to predict others' attitudes, values, feelings, beliefs, and behaviors during social encounters. We are motivated to reduce this uncertainty when we anticipate future interactions, when the other person possesses something we desire, or when the other person acting in a strange or deviant way which is unexpected.Berger, C. 1979. The contact hypothesis in ethnic relations. Oxford: Basil Blackwell. Berger's URT model includes seven axioms (evident truths) and 21 theorems (theoretical statements which are generally accepted, but are used to observe behaviours in need of more proof) that have spurred significant research, including the development of AUM.
AUM builds on URT's foundation but integrates anxiety management alongside uncertainty management, formulating a more extensive set of 47 axioms. A key distinction is that while URT primarily addresses individual or one-on-one communication, AUM focuses on intercultural and intergroup interactions. It incorporates Stephan and Stephan's work on anxiety, extending URT's scope to encompass these broader communication dynamics.
Furthermore, the goals of the two theories differ. URT aims simply to reduce uncertainty, whereas AUM aims for cultural adaptation, a more complex outcome. AUM recognizes that anxiety is not simply eliminated but rather managed within a tolerable range. This understanding, combined with the recognition of mindfulness as a factor in effective communication, led Gudykunst to name his research Anxiety/Uncertainty Management theory.
Gudykunst assumed that at least one participant in an intercultural encounter is a "stranger"—someone who feels insecure and unsure how to behave. While both strangers and in-group members experience some degree of anxiety and uncertainty in new interpersonal situations, intercultural encounters heighten these feelings. Strangers become hyper-aware of cultural differences and may overestimate the influence of culture on behavior while overlooking individual variations.
AUM was initially designed as a practical, highly applicable theory. Its structure involves numerous converging axioms that aim to explain effective communication. The specific number of these axioms has evolved over time as cross-cultural communication research has progressed. Scope Communication theories commonly focus on four levels: individual, interpersonal, intergroup, and cultural.
• The individual level is the motivation for human communication, influencing the ways humans create and interpret messages (for example, the need for group inclusion and self-concept support).
• The interpersonal level is the way the message is exchanged when humans are communicating as an individual (for example, one-on-one communication, intimate relationships and social networks).
• The intergroup level is the exchange of messages when humans are communicating as a collective (for example, social identities, collective self-esteem).
• The cultural level is how people communicate similarly or differently dependent on their culture (for example, dimensions of cultural variability).
AUM focuses on interpersonal and intergroup levels of communication, with Gudykunst's axioms fitting into either the interpersonal or the intergroup categories. AUM discriminates between interpersonal and intergroup communications by examining predictions of behaviour. If the behaviour can be explained with cultural norms or with sociological norms, it can be classified as intergroup communication. When the behavior is best explained by psychological factors it is likely interpersonal communication. A second effective differentiator is to examine the identities that guide human behavior. When behavior is guided by personal or human factors, interpersonal behaviors tend to occur. When it is guided by social factors, the opposite is true.
Working assumptions Complex theories such as AUM need to accept certain assumptions as true before the real content can be explored. Some metatheoretical assumptions Gudykunst makes on AUM are on the nature of reality, the way we gain knowledge, and the basis of human behavior. Gudykunst assumes that the basic processes of communication are the same across cultures; only the methods of interpretation vary. Also, he assumes these interpretations are how we gain data to create theories. Finally, and vital to AUM, he assumes that when humans are mindful they have greater control over their communications behaviors. This aspect of human nature is sometimes referred to as determinism.
Gudykunst also employs several theoretical assumptions. The first is that strangers will trigger both interpersonal and intergroup anxiety. The perspective he takes for the sake of developing axioms is that of the stranger immersed in an ingroup.
Another assumption deals with the concept of uncertainty. Gudykunst assumes that when uncertainty falls between an individual's minimum and maximum acceptable levels, effective communication will then take place. The maximum threshold is defined as the amount of uncertainty that we can possess and still comfortably predict the behavior of a stranger. Uncertainty above the minimum threshold keeps us from getting bored with the stranger and hence constraining communication.
Anxiety for the purposes of anxiety/uncertainty management can be described as an apprehension based on the fear of negative consequences. It is more prevalent in intergroup relations because there is an added fear of appearing prejudiced when dealing with an outgroup. Similar to uncertainty, Gudykunst postulates that effective communication relies on managing anxiety between minimum and maximum thresholds. Once we reach our upper limit for anxiety, virtually all of our attention focuses on its source and not on effective communication. The concept of managing levels anxiety can be compared to managing eustress and distress to achieve optimum performance. The positive benefit of the optimum amount of anxiety is trust, or "confidence that one will find what is desired from another rather than what is feared" The negative consequence is avoidance. If we are overcome by anxiety we will simply choose not to communicate.
Another term needing a working definition for the purpose of anxiety/uncertainty management is "effective communication". Simply put, effective communication is the extent to which a message is interpreted by its recipient with the intended meaning from the sender. Communication is more effective when both the sender and receiver use the same frames of reference. However, in intercultural communication this is often untrue and interactions with strangers can in turn prove more difficult.
Finally, the mechanism around which anxiety/uncertainty management revolves is mindfulness. When people communicate mindlessly, they tend to utilize broad categories and stereotypes to predict behavior. As mindfulness increases, the categories become more specific and typically more accurate predictors. Since being mindful makes us open to more information we are more likely to correctly identify the receiver's frame of interpretation.
Mindfulness refers to a conscious choice rather than scripted behavior. Em Griffin, author of the communication book A First Look At Communication Theory and Professor Emeritus of Communications at Wheaton College in Illinois, defines mindfulness as "the way that in-group members and strangers can reduce their anxiety and uncertainty to optimum levels". Scripted behavior serves us well in familiar situations, but not in cross-cultural communication. William Howell suggests four levels of communication competence.
Unconscious incompetence: We are unaware that we are misinterpreting others' behavior. Conscious incompetence: We know that we are misinterpreting others' behavior but do not do anything about it. Conscious competence: We think about our communication and continually work to become more effective. Unconscious competence: Our communication skills are automatic.
Gudykunst defined mindfulness as stage three (conscious competence) in Howell's model. In this stage, cognitive choice moderates the destructive force of doubt or fear. The last stage (unconscious competence), is less competent than stage three and can quickly shift into oblivious incompetence. Mindfulness involves the creation of new categories, a new process of thinking, and formation of a kin which reinforces Delia's description of how a cognitively complex person uses a lot of interpersonal constructs.
Theory constructions
Gudykunst uses two types of theoretical statements to construct his theory; axioms and theorems. Axioms are "propositions that involve variables that are taken to be directly linked causally; axioms should therefore be statements that imply direct causal links among variables" Some axioms do not apply in all situations. Boundary conditions specify when the axioms hold. The axioms can be combined to derive theorems. When combined the axioms and theorems form a "casual process" theoryReynolds, P. D. 1971. A primer in theory construction. Indianapolis: Bobbs-Merrill Co., Inc. that explains effective communication. Dialectical processes influence much of our communication within specific interactions. To illustrate, uncertainty involves a dialectic between predictability and novelty. In the current version of the theory, dialectics are incorporated as boundary conditions for the axioms where applicable.
Gudykunst states that in generating the axioms for the theory he assumed that managing anxiety and uncertainty are "basic causes" influencing effective communication. Other variables (e.g. self-concepts, motivation, reactions to strangers, social categorization, situational processes, connections with strangers, ethical interactions, anxiety, uncertainty, mindfulness and effective communication), are treated as "superficial causes" of effective communication. The influence of these "superficial causes" on effective communication is mediated through anxiety and uncertainty. Being mindful allows us to engage in anxiety and uncertainty management.
Gudykunst uses 47 axioms as building blocks for the theorems of AUM. Axioms can be thought of as the lowest common denominators from which all causal theorems are derived.
Self-concepts Axioms one through five all relate to views of oneself, or self-concepts. Gudykunst includes personal identities, social identities, and collective self-esteem in this category. Social identities are employed when one tries to predict intergroup behavior and personal identities are naturally employed for interpersonal behavior. They both act in such a way as to help people manage uncertainty and anxiety by sufficiently predicting behavior. If either of these identities feels threatened, Gudykunst believes that people will attempt to raise collective self-esteem, hence fostering a more positive outcome. The greater one's self-esteem, the better one is able to manage our anxiety.