Compliance gaining

Compliance gaining is a term used in the social sciences that encompasses the intentional act of altering another's behavior. Research in this area originated in the field of social psychology, but communication scholars have also provided ample research in compliance gaining. While persuasion focuses on attitudes and beliefs, compliance gaining focuses on behavior.

Compliance gaining occurs whenever a person intentionally induces another person to do something that they might have not done otherwise. Compliance gaining and persuasion are related; however, they are not one and the same. Changes in attitudes and beliefs are often the goal in persuasion; compliance gaining seeks to change the behavior of a target. It is not necessary to change a person's attitude or beliefs to gain compliance. For instance, an automobile driver might have positive attitudes towards driving fast. The threat of a speeding ticket from a police officer positioned in a speed trap may gain compliance from the driver. Conversely, persuading someone to change their attitude or belief will not necessarily gain compliance. A doctor might tell a patient that tobacco use poses a serious threat to a smoker's health. The patient may accept this as a fact and view smoking negatively, but might also continue to use tobacco.

Compliance gaining research has its roots in social psychology, but overlaps with many other disciplines such as communication and sociology. Compliance gaining can occur via mediated channels, but the research is most associated with interpersonal communication. In 1967, sociologists Marwell and Schmitt attempted to explain how people select compliance gaining messages. The researchers posited that people have a mental bank of strategies that they draw from when selecting a message. Marwell and Schmitt created a typology for compliance gaining techniques: promise, threat, positive expertise, negative expertise, liking, pregiving, aversive stimulation, debt, moral appeal, positive self-feeling, negative self-feeling, positive altercasting, negative altertcasting, altruism, positive esteem, and negative esteem. This study was the catalyst for more interest in compliance gaining from communication scholars.

Miller, Boster, Roloff, and Seibold (1977) as well as Cody and McLaughlin (1980) studied the situational variables that influences compliance gaining strategies. The latter study identified six different typologies of situations that can influence compliance gaining behaviors: personal benefits (how much personal gain an actor can yield from the influencing behavior), dominance (the power relation between the actor and the target), rights (whether the actor has the right to expect compliance), resistance (how easy will the target be influenced), intimacy (whether the relation between actor and target is shallow), and consequences (what sort of effect this situation would have on the relationship between actor and target). Dillard and Burgoon (1985) later investigated the Cody-McLaughlin typologies. They concluded that situational variables, as described by Cody and McLaughlin, did very little to predict compliance gaining strategy selection. As early as 1982, there was already strong criticism about the strength of the relationships between situational variables and compliance gaining message selection.

By the 1990s, many research efforts attempting to link compliance gaining strategy selection and features of a situation or features of the individual "failed to coalesce into a coherent body of knowledge". Situational dimensions and individual differences were not effective in predicting so researchers went into other perspectives in an effort to understand compliance gaining. For instance, Schrader and Dillard (1998) linked primary and secondary goals to compliance gaining strategy. Using the theoretical framework of Goals-Plans-Actions developed by Dillard in 1980, Schrader and Dillard operate from the assumption that individuals possess and act on multiple goals. In any compliance seeking situation, the actor has primary goals that drive the attempt to influence a target. The primary goal is what the interaction is all about. For instance, if an actor wants a target to stop smoking, this is the primary goal and this is what drives the interaction. However, in the course of pursuing that goal, there are "secondary" goals to consider. These are goals that limit the behavior of the actor. If getting a target to stop smoking is the primary goal, then a secondary goal might be to maintain a friendly relationship with the target. Dillard specifies five types of secondary goals that temper the compliance gaining behavior: identity goals (morals and personal standards), interaction goals (impression management), relational resource goals (relationship management), personal resource goals (material concerns of the actor), and arousal management goals (efforts to manage anxiety about the compliance gaining attempt).

Despite the charges of individual differences making very little progress in prediction compliance gaining strategies, some researchers in the 2000s have focused their efforts to rectify this weakness in the research to link individual differences with compliance gaining effectiveness. King (2001), acknowledging the paucity of robust situational and trait studies linked to compliance gaining, attempted to isolate one situation as a predictor for compliance gaining message selection. King's research suggested that when target of compliance gaining were perceived to be less resistant to influence attempts, the actors used more compliance gaining tactics. When targets were perceived as strongly resistant, the actors used less tactics. Elias and Loomis (2004) found that gender and race affect an instructor's ability to gain compliance in a college classroom. Punyanunt (2000) found that using humor may enhance the effectiveness of pro-social compliance gaining techniques in the classroom. Remland and Jones (1994) found that vocal intensity and touch also affect compliance gaining. Goei et al. (2003) posited that "feelings of liking" between target and actor as well as doing favors for the target lead to liking and obligation, which leads to increased compliance. Pre-giving (giving a target a small gift or favor such as a free sample of food) is positively associated with increased compliance in strangers. One of the major criticisms of examining compliance gaining literature is that very little research studies actual compliance. Filling out a survey and reporting intent to comply with a request is certainly different than actually completing the request. For example, many people might report that they will comply with a doctor's order, but away from the doctor's office, they may ignore medical advice.

Compliance gaining research has a fairly diverse background so much of the research uses alternate paradigms and perspectives. As mentioned above, the field of compliance gaining originated in social psychology, but was adopted by many communication scholars as well. Many fields from consumer psychology to primary education pedagogy have taken great interest in compliance gaining.

Public administration scholars study compliance to understand why public policy targets, such as citizens, act in a fashion that achieves preferred outcomes. For instance, they focus on a wide range of areas from stay-at-home orders during the COVID-19 pandemic and tax collection to reducing obesity through healthy eating and discouraging speeding on highways. Two dominant theories have been used to explain why people do or do not comply with policy prescriptions: the rational actor perspective of classical economics and behavioral economics. The rational actor perspective sees policy targets as reasonable, non-emotional individuals, often labeled as Econs or Homo Economicus, and it will utilize self-interest and incentives in shaping their decision making. For instance, a rational actor view of obesity explains compliance by people rationally responding to the higher prices of unhealthy food or choosing what’s best for them when nutritional facts are added to food labels. The behavioral economic lens sees policy targets as sometimes irrational actors whose choices are influenced by emotions and impulses, that is, as real humans, and will suggest compliance mechanisms, such as emphasizing social norms, nudging people to make the right choice through choice architecture, or making the default option the desired outcome and thus making compliance easy. Applying behavioral insights to obesity highlights how unhealthy eating habits like overeating are induced by cues in the environment, such as large portion sizes.