LESSON 1

NATURE, ELEMENTS, PROCESSES, TYPES, PRINCIPLES, AND ETHICS OF

COMMUNICATION

Learning Outcomes

At the end of this lesson, the students are expected to:

1. increase knowledge about nature, elements, processes, types, and principles of
communication; hence, they become more skillful communicators;
2. identify the essential elements of the communication process by creating a scenario to
illustrate the process using a model;
3. strengthen awareness on communication principles and ethics resulting in conscientious
and respectful interactions at home, school, community, and workplace; and
4. apply the knowledge gained in effectively accomplishing the class exercises that help
them execute the expected communication performances.

What is Communication?

The root of the word “communication” in Latin is communicare, which means to share,
or to make common (Weekley, 1967).

Communication may be defined as the interchange of thought or information between

two or more persons to bring about mutual understanding and desired action. It is the
information exchange by words or symbols. It is the exchange of facts, ideas, and viewpoints
that bring about the commonness of interest, purpose, and efforts (Bisen and Priya, 2009).

American Management Association defines, ‘Communication is any behavior that

results in an exchange of meaning.’

Peter Little defines Communication as ‘Communication is the process by which

information is transmitted between individuals and organizations so that an understanding
response result.’

Newman and Summer Jr. state that, ‘Communication is an exchange of facts, ideas,
opinions or emotions by two or more persons.’

According to Keith Davis, ‘The process of passing the information and understanding
from one person to another. It is essentially a bridge of meaning between the people. By using
the bridge, a person can walk safely across the river of misunderstanding’.

Louis A. Allen defines, ‘Communication is the sum total of all the things that a person
does when he wants to create an understanding in the mind of another. It involves a
systematic and continuous process of telling, listening, and understanding’.
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Communication as a Process

Communication is defined as the process of understanding and sharing meaning

(Pearson & Nelson, 2000). The first key concept in this definition is process. A process is a
dynamic activity that is hard to describe because it changes (Pearson & Nelson, 2000). The
second key concept is understanding: “To understand is to perceive, to interpret, and to
relate our perception and interpretation to what we already know.” (McLean, 2003). The third
key concept is sharing. Sharing means doing something together with one or more people. In
Communication, sharing occurs when thoughts, feelings, ideas, or insights are shared.
Finally, the meaning is what we share through Communication.

Therefore, Communication plays a vital role in instruction, integration, information,

evaluation, direction, teaching, influencing, image building, employees’ orientation, and
decision-making. It is the lifeblood of the business. No business can develop in the absence of
an effective communication system. Communication is the mortar that holds an organization
together, whatever its business or its size. When people within the organization communicate
with each other, it is internal Communication, and when people in the organization
communicate with anyone outside the organization, it is called external communication. The
ability to work well in teams, manage the subordinates, and establish relationships with
seniors, customers, and colleagues depends on communication skills (Bisen and Priya, 2009).

What then is Purposive Communication?

Magan et al. (2018) define Purposive Communication as intentional communication

within the bounds of specific contexts. Communication happens in specific contexts. Context
includes settings or environment (family, school, workplace, religious communities); social
relations (friends, husband, and wife, parent and child, colleagues/boss-subordinate in the
office); scenes which include place, time, and occasion (business meeting, job interview, social
gathering –parties, weddings, and others.); and culture (history, tradition, beliefs, norms,
values).

According to Magan, et al. (2018), contexts are vital considerations in our

communication acts since they affect the process of sending and receiving messages,
semantics or meanings, choice of channels, words, and methods of delivery. Communication,
therefore, must be suitable for the specific context hence should be intentional or purposive.
Therefore, it is logical to explain purposive communication as a communication applied in a
specific setting, environment, scene, social relations and culture.
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Essential Components of Communication

In order to better understand the communication process, study the essential

components:

1. Sender
2. Message
3. Encoding
4. Channel
5. Receiver
6. Decoding
7. Feedback
8. Context

Sender

The sender or encoder, the source of information or message, is a person who sends
the message. A sender uses symbols (words or graphic or visual aids) to convey the message
and produce the required response.

The sender of the message is a highly important element being the source of the idea.
As the sender, it is expected that one possesses the skills required in transmitting messages.
These skills could include the ability to use the language that the receiver understands. The
sender’s credibility is of great importance, as well. People will more likely reject a message if
the sender is proven to be unreliable. The message will only be as good as its source (Magan
et al., 2018).

Message

“The message is the stimulus or meaning produced by the source for the receiver or
audience” (McLean, 2005). In rhetorical and communication studies, a message is defined as
information conveyed by words (in speech or writing), and other signs and symbols. A
message (verbal or nonverbal, or both) is the content of the communication process
(Nordquist, 2019).
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Encoding

Encoding is the process of converting the message into words, actions, or other forms
that the speaker understands. It is the process of turning thoughts into communication. The
encoder uses a ‘medium’ to send the message — a phone call, email, text message, face-to-
face meeting, or other communication tools. The level of conscious thought that goes into
encoding messages may vary. The encoder should also take into account any ‘noise’ that
might interfere with their message, such as other messages, distractions, or influences
(Hawkins, 2016).

Channel

The channel is the medium or the means, such as personal or non-personal, verbal or
non-verbal, in which the encoded message is conveyed. “It is how a message or messages
travel between source and receiver” (McLean, 2005). In speaking or writing, the
communicator uses a channel to convey a message. Spoken channels include face-to-face
conversations, speeches, telephone conversations, and voice mail messages, radio, public
address systems, and voice over Internet protocol (VoIP). Written channels include letters,
memoranda, purchase orders, invoices, newspaper and magazine articles, blogs, email, text
messages, tweets, and so forth.

Receiver

A receiver or decoder is the recipient of the message or someone who decodes the
message. It refers to a person for whom the message is intended/aimed/targeted. How the
decoder understands the message depends on various factors such as knowledge of the
recipient, responsiveness to the message, and the reliance of encoder on the decoder.

“The receiver receives the message from the source, analyzing and interpreting the
message in ways both intended and unintended by the source” (McLean, 2005). Receivers
must have excellent listening and comprehension skills. Good listening requires one to focus
on what is conveyed and, as much as possible, eliminate all possible distractions or noises that
would hinder one from understanding the message. On the other hand, excellent
comprehension skills necessitate sharpness of cognition, which can be achieved through
continuous studies and acquisition of information and knowledge (Magan et al., 2018).
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Decoding

Decoding is the process of interpreting the encoded message of the speaker by the
receiver.

Feedback

Feedback is the reactions, responses, or information provided by the receiver. It is the

main component of the communication process as it permits the sender to analyze the
efficacy of the message. It helps the sender in confirming the correct interpretation of the
message by the decoder. Feedback may be verbal (through words) or non-verbal (in the form
of smiles, sighs, and others). It may take written form also in forms of memos, reports, and
others. As the amount of feedback increases, communication accuracy also increases (Leavitt
& Mueller, 1951).

Context

Context refers to the environment where communication takes place. “The

environment is the atmosphere, physical and psychological, where you send and receive
messages” (McLean, 2005). Communication is affected by the context in which it takes place.
This context may be physical, social, chronological, or cultural—every communication
proceeds with context. The sender chooses the message to communicate within a context.

INTERFERENCE

Interference, also called noise, can come from any source. “Interference is anything
that blocks or changes the source’s intended meaning of the message” (McLean, 2005).
Barrier, hindrance, obstacle, or noise - describe the distracting stimuli associated with the
communication process. It is summarized into five: 1. Linguistic/verbal barrier 2. Cultural
barrier 3. Physiological barrier 4. Psychological barrier and
5. Physical barrier.

1. Linguistic/Verbal Barrier
Language is needed for any communication, even people with speech impairments
communicate with sign language and brail. Communication becomes difficult in situations
where people do not understand each other’s language. The inability to communicate using
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a language is known as a language barrier to communication

(https://www.businesstopia.net).

2. Cultural Barrier
The way people communicate is affected by the culture they were brought up in. The
opposite is also exact. Culture is, to a large extent, determined by the way people
communicate. When people belonging to different cultures communicate, these factors can
become barriers. In America, people communicate freely, and that is a part of their culture. In
Germany, an Indian used to being very indirect with his communication might find their direct
way of speaking rudely. Being direct is part of the German culture, and the way they
communicate reflects their culture. Communication shapes culture and culture shapes
communication (https://www.businesstopia.net).

3. Physiological Barrier
Physiology is the state of the human body and mind. Physiological barriers to
communication occur due to the physical condition of the sender or receiver, which might
even be physical disabilities. It includes sensory dysfunction and other physical
dysfunctions. Effective communication requires the proper functioning of the senses in both
the sender and the receiver. Limitation of the human body and mind adds to the physiological
barrier causing an interruption in a message from reaching its destination or having meaning
(Bajracharya, 2018).

4. Psychological Barrier
The Psychological or Emotional Barriers refers to the psychological state - opinions,
attitudes, status consciousness, and emotions of a person that profoundly affects the ability
to communicate. Psychological noise is what happens when thoughts occupy attention while
listening or reading a message. The communication largely depends on a person's mental
condition; if the person is not mentally or emotionally sound, he cannot communicate
effectively either as a sender or a receiver. (https://businessjargons.com/psychological-
barriers.html)

5. Physical Barrier
The physical barrier is the environmental and natural condition that acts as a barrier in
communication in sending messages from sender to receiver. Organizational environment or
interior workspace design problems, technological problems, and noise are the parts of
physical barriers (https://localexam.com/search/example-physical-barriers).

Noise interferes with standard encoding and decoding of the message carried by the
channel between source and receiver. Not all noise is wrong, but noise interferes with the
communication process.
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Please watch the Communication Process @

https://www.youtube.com/watch?v=Btj94IHVc6I&t=89s
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Models of Communication

Transmission Model

The transmission model of communication describes communication as a linear, one-

way process in which a sender intentionally transmits a message to a receiver (Ellis &
McClintock, 1990). This model focuses on the sender and message within a communication
encounter. Although the receiver is included in the model, this role is viewed as more of a
target or endpoint than part of an ongoing process. The audience is left to presume that the
receiver either successfully receives and understands the message or does not. Think of how
a radio message is sent from a person in the radio studio to the receiver listening in the car.
The sender is the radio announcer who encodes a verbal message transmitted by a radio
tower through electromagnetic waves (the channel) and eventually reaches the receiver’s
ears via an antenna and speakers in order to be decoded. The radio announcer does not know
if the audience receives the message or not, but if the equipment is working and the channel
is free of static, then there is a good chance that the message is successfully received.

Interaction model

The interaction model of communication describes communication as a process in

which participants alternate positions as sender and receiver and generate meaning by
sending messages and receiving feedback within physical and psychological contexts
(Schramm, 1997). Rather than illustrating communication as a linear, one-way process, the
interaction model incorporates feedback, making communication a more interactive, two-
way process. Feedback includes messages sent in response to other messages. For example,
the instructor may respond to a point raised during class discussion, or a person may point to
the sofa when a roommate asks where the remote control is. The inclusion of a feedback loop
also leads to a more sophisticated understanding of participants' roles in a communication
encounter. Rather than having one sender, one message, and one receiver, this model has
two sender-receivers who exchange messages. Each participant alternates roles as sender
and receiver in order to keep a communication encounter going. Although this seems like a
perceptible and deliberate process, alternate between the sender and receiver roles very
quickly and often without conscious thought.

Transaction model

The transaction model of communication describes communication as a process in

which communicators generate social realities within social, relational, and cultural contexts.
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In this model, do not just communicate to exchange messages; communicate to create

relationships, form intercultural alliances, shape self-concepts, and engage with others in
dialogue to create communities. In short, do not communicate about realities; communication
helps construct realities (and the realities of others).

The roles of the sender and receiver in the transaction model of communication differ
significantly from the other models. Instead of labeling participants as senders and receivers,
the people in a communication encounter are referred to as communicators. Unlike the
interaction model, which suggests that participants alternate positions as sender and
receiver, the transaction model suggests that one is simultaneously a sender and a receiver.
For example, when Lyn is meeting a new friend, she sends verbal messages about her
interests and background, her companion reacts nonverbally. She does not wait until she is
done sending her verbal message to start receiving and decoding a new friend's nonverbal
messages. Instead, Lyn is simultaneously sending her verbal message and receiving her
friend’s nonverbal messages. It is an essential addition to the model because it allows an
understanding of how the communicator can adapt to the communication—for example,
adapting a verbal message—in the middle of sending it based on the communication received
simultaneously from a communication partner.

Please watch these videos. Refer to the following websites:

https://www.youtube.com/watch?v=kSq5lw1qDUk&t=104s – transmission model
https://www.youtube.com/watch?v=Ml5tieIioLc&t=21s – interactive model
https://www.youtube.com/watch?v=yxyuPO451ZU&t=7s – transactional model
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Madrunio and Martin (2018) classified communication according to: 1. communication

mode, 2. context, and 3. purpose and style.

TYPES OF COMMUNICATION ACCORDING TO MODE

1. Verbal communication

Verbal communication is the sharing of information between individuals by using

speech. Individuals working within a business need to effectively use verbal communication
that employs readily understood spoken words and ensure that the enunciation, stress, and
tone of voice with which the words are expressed is appropriate
(http://www.businessdictionary.com/definition/verbal-communication.html).

According to Bisen and Priya (2009), Verbal communication is when we communicate

our message verbally to whoever is receiving the message. It is of two types - oral and written
which had their advantages and disadvantages.

a. Oral communication: Oral communication is the communication where the

message or information exchanges by spoken words. It can be done by both face
to face and also through mechanical devices.

b. Written communication: Written communication is the communication where the

message or information exchanges by written words. The letter, telegraph, fax, e-
mail are examples of written communication. Written communication guarantees
that everyone concerned has the same information. It provides a long-lasting
record of communication for the future. Written instructions are essential when
the action called for is crucial and complicated. Written communication should be
understandable, brief, truthful, and comprehensive to be effectual.

2. Non-Verbal Communication

According to Bisen and Priya (2009), Non-verbal communication is the process of

communication through sending and receiving wordless messages. Such messages can be
communicated through gestures; body language or posture; facial expression and eye
contact; object communication such as clothing, hairstyles, or even architecture; symbols and
infographics. Speech may also contain non-verbal elements known as paralanguage, including
voice quality, emotion and speaking style, and prosodic features such as rhythm, intonation,
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and stress. Likewise, written texts have non-verbal elements such as handwriting style, the
spatial arrangement of words, or the use of emotions.

Moreover, non-verbal communication refers to behavior and elements of speech

aside from the words themselves that transmit meaning. It includes pitch, speed, tone and
volume of voice, gestures and facial expressions, body posture, stance, and proximity to the
listener, eye movements and contact, and dress and appearance
(http://www.businessdictionary.com/definition/verbal-communication.html)

3. Visual Communication

Visual Communication is the type of communication that uses visuals to convey

information and messages. Some examples are signs, symbols, imagery, maps, graphs, charts,
diagrams, pictographs, photos, drawings, or illustrations, and even various forms of electronic
communication. Some examples of electronic communication symbols or images are the
emojis, emoticons, and animation, among others, to convey the writer’s emotions or clarify
the intent of the message sender. These are achieved through digital mode or text (Madrunio
and Martin, 2018).

TYPES OF COMMUNICATION ACCORDING TO CONTEXT

The context in communication is referred to as a composite of people interacting with

each other. Communication may also be classified according to context: 1. Intrapersonal;
interpersonal; extended; organizational organization; and intercultural communication text
(Madrunio and Martin, 2018).

1. Intrapersonal Communication

The Latin prefix intra – means within or inside. Intrapersonal communication then
means talking to oneself. Some label it as self or inner talk, inner monologue, or inner
dialogue. Psychologists call it with other names such as self-verbalization or self-statement.

2. Interpersonal Communication

As opposed to intra, the Latin prefix inter means between, among, and together. An
interactive exchange takes place as interpersonal communication takes place. This may occur
in dyads or small groups, also known as group communication.
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3. Extended Communication

Extended Communication involves the use of electronic media. With the use of
electronic media, messages are transmitted quickly.

4. Organizational Communication

Organizations comprise individuals who work for the company. For an organization
to be successful, a system of organization should be in place.

There are two types of organizational structure:

1. Formal Communication
The formal structure allows communication to occur via designated channels of the
message flow between positions in the organization. It makes use of four approaches:

a. Downward communication
When the communication flows from a higher level to a lower level, it is called
downward communication. Order, individual instructions, policy statements, and circulars
fall under downward communication (Bisen and Priya, 2009). -

b. Upward communication
This communication flows the message from subordinates to superiors. It is the
reverse of downward communication or communication flows from the lower to the upper
levels (Bisen and Priya, 2009).

c. Horizontal/Lateral communication
This communication flows between persons at the same hierarchy level either of
the same or other department or division of the organization (Bisen and Priya,
2009).

d. Crosswise communication
This communication is diagonal as employees from different units or departments
working at various levels communicate with each other (Madrunio and Martin, 2018).

2. Informal communication
Informal communication, on the other hand, comes from unofficial channels of
message flow. Also known as ‘grapevine,’ messages coming from the different levels of the
organization are transmitted.
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Bisen and Priya (2009) identified these factors responsible for the grapevine
phenomenon: 1. the feeling of certainty or lack of direction when the organization is passing
through a difficult period. 2. the feeling of inadequacy or lack of self-confidence on the part
of employees leads to the formation of gaps. 3. Formation of a clique or favored group by
the managers gives other employees a feeling of insecurity or isolation.

5. Intercultural Communication

As the term implies, it is a communication between or among people having different

linguistic, religious, ethnic, social, and professional backgrounds. Even gender difference
affects communication. Individuals having different orientations communicate and interpret
messages differently. It mainly happens with non-verbal communication. For instance, in
assessing the sincerity of a person, Australians consider eye contact as necessary, and for
Indians, it is inappropriate to look straight into the eyes of a person while talking. However, it
does not mean that they are dishonest or insincere.

Moreover, for Filipinos, the twitching of lips means to refer to something or someone.
When someone asks: “Where is my book?” instead of responding: “There it is,” the response
may be twitching or puckering lips. When seen by people from other cultures, such facial
expressions may be taken to mean “seduction.” Indeed, it is essential not to be judgmental
or to rush into interpretations as cultures sometimes vary enormously.

Similarly, linguistic differences are of the essence. With the advent of World Englishes,
different cultures develop different lexicon peculiar only to the speech community. For
instance, in the Philippines, a local variety of English called Philippine English has been
developed, which has introduced lexical innovation, not found or used in other varieties, such
as thrice, batchmates, CR (comfort room), solons, barangay captain, and high blood. Even in
terms of pronunciation, words are pronounced differently by Filipinos, which, to some, are
considered erroneous. For instance, these supposedly pronounced with a hard /th/
represented with a /ð/is pronounced instead with a /d/by the average Filipino since hard /th/ is
not part of the Filipino penology.

TYPES OF COMMUNICATION ACCORDING TO PURPOSE AND STYLE

Earlier, formal and informal communication has been discussed concerning

organization communication. Similarly, the types of communication about purpose and style
are formal and informal. The emphasis is on the communication setting and the mode of
delivery.
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Formal communication employs formal language delivered orally or in written form.

Lectures, public talks/speeches, research and project proposals, reports, and business letters,
among others, are all considered formal situations and writings. Note that while lectures and
speeches are delivered orally, the texts have been thought out carefully and written well
before they are delivered. To inform, to entertain, and to persuade are the main objectives of
this type of communication.

On the other hand, Informal communication certainly does not employ formal
language. It involves ordinary personal conversations with friends, family members, or
acquaintances about anything. The mode may be oral as in face-to-face, ordinary or everyday
talks and phone calls, or written as in the case of e-mail messages, personal notes, letters, or
text messages. The purpose is to socialize and enhance relationships.

GENERAL PRINCIPLES OF EFFECTIVE COMMUNICATION

Since communication is a two-way process, it is essential to know the principles to be

observed to make it useful. For both oral and written communication, communicators should
be able to apply the following principles: (Madrunio and Martin, 2018)

1. Know your purpose in communicating. Are you communicating basically to inform, to

entertain, or to persuade? While you may have more than one purpose, there is still a
more dominant objective or reason why you communicate.
2. Know your audience. In both speaking and writing, you should know your audience as
it will dictate the speaking or writing style you are going to employ. Consider the age,
educational background, profession, culture, and salient features of your listeners or
readers.
3. Know your topic. Primarily, you communicate because you want to share something.
In speaking situations, speakers are invited because they have something to share. It
also applies to writing. You write because you wish that other people learn something
from you. You may then utilize several or multiple communication techniques to catch
the attention of the audience quickly.
4. Adjust your speech or writing to the context of the situation. The environment in which
your speech or writing is to be delivered determines the kind of language you will use.
5. Work on the feedback given to you. Once you receive comments from the
listeners/readers, work on them. Take kindly to criticisms. In the long run, constructive
criticisms will prove beneficial to you as you learn to address them.
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PRINCIPLES OF EFFECTIVE ORAL COMMUNICATION

(Madrunio and Martin, 2018)

1. Be clear about your purpose.

2. Be complete with the message you deliver. Make sure that your claims are supported
by facts and essential information.
3. Be concise. You do not need to be verbose or wordy with your statements. Brevity in
speech is a must.
4. Be natural with your delivery. Punctuate essential words with appropriate gestures
and movements. Exude a certain degree of confidence even if you do not feel
confident enough.
5. Be specific and timely with your feedback. Inputs are most helpful when provided on
time.

PRINCIPLES OF EFFECTIVE WRITTEN COMMUNICATION: THE 7Cs

1. COMPLETENESS

 Provide all necessary information

 Answer all questions asked
 Give something extra, when desirable

2. CONCISENESS

 Eliminate wordy expressions

 Include only relevant material
● Avoid unnecessary repetition

3. CONSIDERATION

 Focus on YOU instead of “I” or “WE”

 Show audience benefit or interest in the receiver
● Emphasize POSITIVE , PLEASANT facts

4. CONCRETENESS

 Use specific facts and figures

 Put action in your verbs
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● Choose vivid, image building words

5. CLARITY

 Choose precise, concrete, and familiar words

 Construct effective sentences and paragraphs
● Use of active rather than passive; make use of outlines

6. COURTESY

 Be sincerely tactful, thoughtful, and appreciative

 Use expressions that show respect
● Choose non-discriminatory expressions

7. CORRECTNESS

 Use the right level of language

 Check accuracy of figures, facts, and words
● Maintain acceptable writing mechanics

ETHICS OF COMMUNICATION

Ethical communication is a type of communication predicated upon specific business

values, such as being truthful, concise, and responsible with one’s words and the resulting
actions (Mandelbaum, 2019).

Likewise, Madrunio and Martin (2018) highlighted that communication ethics

emphasizes that morals influence an individual's behavior, group, or organization, thereby
affecting their communication and recommends three guidelines to achieve ethical
communication:

1. Establish an effective value system that will pave the way for the development of your
integrity as a person. One’s behavior and decision-making style affect, in turn, the
operations of an organization.
2. Provide detailed and accurate information. Whether it is needed or not, the data you
provide should always be contextualized and correct.
3. Disclose vital information adequately and appropriately. Never conceal or hide
information that is necessary for purposes of transparency.
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Further, Madrunio and Martin (2018) said that observing the code of ethics is essential
as it determines the kind of behavior that is proper and desirable over one that is displeasing
and offensive. A code of ethics sets the standards to be observed by a person or a company
that will create a good reputation or a positive image for an individual and the organization.
Therefore, it will lead to the attainment of the desired results leading to the success of an
individual or the entire company. Success in decision-making will likewise impact the
company’s reputation.