Effective Communication: Principles, Processes and Ethics (Part 2)

Ruth N. Maguddayao, Ph.D.,LPT

Associate Professor
Cagayan State University

Learning Outcome:

To describe the nature, types, elements, and functions of communication in various and
multicultural contexts.

Agenda/Topics to Be Covered:

1. Aristotle’s Model
2. Lasswell’s Model
3. Roman Jakobson’s Model
4. Berlo’s Model
5. Osgood and Schramm Model
6. Shannon and Weaver
7. Dance Helical

COMMUNICATION MODELS AND PROCESSES

Aristotle’s Model

Communication theory traces its roots to the rhetorics of Classical Greek philosophers
beginning with Plato. It is Aristotle to whom the first communication model can be attributed.

Key Points of Aristotle’s Model:

a. Ethos which has been equated with source credibility. Expertise is the most important
aspect of credibility. Together with the expertise, another important aspect of credibility
is trustworthiness.
b. Pathos which is tied to understanding audiences, and thereby, designing messages that
are suitable for them. This is where empathy comes in.
c. Logos which now pertains to message design strategy, particularly for persuasive
communication. Here, logic comes in.

Lasswell’s Model

In the late 1940’s while working on propaganda, the social psychologist Harold Lasswell
introduced this model, whose elements were adopted by later communication models. (who
says what in what channel to whom with what effect)
Roman Jakobson’s Model

You must remember that as you communicate, other factors affect the communication
situation or context. This illustration in Jacobson’s model.

Roman Jacobson mentions the following as the components of communication:

addressor (speaker), addressee (listener), context (situation), contact, code, and the message.
Whatever you say will depend on your purpose, the person you are talking with, and the
context or situation. To illustrate, this model looks like this.

Berlo’s Model (The SMCR Pattern)

The SMCR model represents the process and phenomenon of communication.

The acronym stands for source, message, channel and receiver, and this theory
lays out the different components that form the net effect of communication.

David Berlo’s SMCR Model of Communication represents the process of

communication in its simplest form. The acronym SMCR stands for Sender, Message,
Channel, and Receiver.

Berlo’s SMCR Model of Communication (1960) describes the different

components that form the basic process of communication. Because this communication
tool also emphasises the coding and decoding of the message, it can be used for more
efficient communication.

As far back as ancient Greece, Aristotle already wrote about communication

processes. He described three primary aspects of all forms of communication: the
speaker, the subject, and the person who receives the message.

He argued that it is the listener who ultimately determines the meaning of any
particular message. Similar to modern theories on communication, Berlo’s SMCR Model
of Communication describes four components of communication.

History of the Berlo’s SMCR Model of Communication

In 1948, the Bell System Technical Journal published a Communication Cycle

model, developed by Claude Shannon and Warren Weaver. This model was initially
developed to improve technical communication, but would later be applied in many
other fields.

In 1960, David Berlo expanded on this linear communication model and created
the SMCR Model of Communication.
 Today, the sender-receiver framework is often used in communication sciences.
Lasswell’s communication model, for example, consists of a similar framework.
Components of Berlo’s SMCR Model of Communication

Berlo’s SMCR Model of Communication includes four components that describe

the communication process. The different components in the model are influenced by
various factors:

1. Sender

The sender of the message is the source who creates and sends the message to
the receiver. The source is the start of the communication process and is the person
who encodes the message.

Factors that may influence the sender are also applicable to the receiver.
Consider how the message is interpreted, for example. Berlo’s SMCR Model of
Communication identifies the following factors that affect the source:

2. Communication skills

Communication skills include: reading, listening, speaking etc.

3. Attitude

One’s attitude in relationship to the audience, receiver and subject changes the
meaning and consequence of the message.

4. Knowledge

Familiarity with the subject of the message makes communication more

effective.

5. Social systems

Values, beliefs, religion and rules influence the way in which the sender
communicates the message, alongside location and circumstances.

6. Culture

Cultural differences may result in the message being interpreted differently.

7. Message
 The message is the package of information or meaning that is sent from sender
to receiver. The message can be sent in various forms, such as audio, speech, text,
video or other media.

The sender of the messages always wants the receiver to interpret the message
in a certain way. The source’s intention is therefore translated into a coded message.
The receiver should understand the message with reasonable accuracy. The message is
influenced by:

8. Content

The content of the message from beginning to end.

9. Elements

Elements are (non)verbal aspects, such as gestures and signs, that may
influence the message. Albert Mehrabian’s rule of Communication goes into this in more
detail.

10. Treatment

Treatment refers to the way in which the message is sent, the message’s
packaging.

11. Structure

As the word suggests, the structure of the message refers to the way in which it
is structured.

12. Code

The code of the message is the form in which the message is sent. This may
include text, language, video, gestures, music, etc.

13. Channel

The channel is the medium used to send the message. The medium must be
able to be picked up by the sensory system of the receiver and may therefore involve
vision, sound, smell, taste or touch. Humans have the following senses:

Hearing
Seeing
Touching
Smelling
 Tasting

Mass communication always involves technical tools, such as phones, the

Internet and television. In these cases, the transmitted information is assimilated via
vision and sound.

14. Receiver

The receiver is the person who receives and subsequently decodes the coded
message. In a linear communication process, the receiver is always located at the end.

In order to make communication as effective and smooth as possible, Berlo’s

SMCR Model of Communication assumes the receiver’s thinking pattern must be in
accordance with that of the sender.

The same factors therefore influence this component in Berlo’s SMCR Model of
Communication. After all, the receiver decodes the message him/herself and gives it
their own meaning.

In practice, communication is not nearly as smooth as described in Berlo’s linear

model. There are a number of factors that may lead to a disrupted communication
process. Examples of disruptions include: Loss or distortion

The person sending the message must encode the message in such a way that
the full intention of the message is clear. He/she may choose to do this with words, but
it is very rare that the full intention is encoded in a message. In some cases, a message
may even barely contain the information the sender wants to convey.

Even if an additional channel is added to the communication process, the

message may become distorted. For example, consider the familiar team-building game
where a message is constantly passed on in a circle of people.

The last person will often hear a completely distorted or unrecognisable

message. Every time the message is conveyed by a different person, part of its initial
intention is lost.

15. Noise

After the message is sent, noise may occur. This noise disrupts the source and
message and causes the receiver to only partially receive the message or not at all.
Internal noise refers to a state in which part of the communication process, the receiver
for example, is not feeling well, or not entirely focussed.
 As a result, the receiver may miss out on certain parts of the message. External
noise, on the other hand, may be caused by background noise during a phone call, for
example. This also causes the receiver to potentially misunderstand certain parts of the
message.

There may also be situations in which noise is caused intentionally. Non-

intentional noise is caused unintentionally and can, for example occur if sender uses
difficult words, which then makes it more difficult for the receiver to understand the
message.

Berlo’s SMCR Model Synchronization

The communication process may be either synchronous or asynchronous. If the

receiver is in direct contact with the sender, this is referred to as a synchronous channel
or process.

If, on the other hand, the sender and receiver are not in direct contact with each
other, this is referred to as an asynchronous communication process.

The danger of asynchronous communication is that both the sender and receiver
will not receive direct feedback on how the message is conveyed. It also prevents the
message from being adjusted, making it impossible to clarify certain matters further.

To summarise Berlo’s SMCR Model

Berlo’s SMCR Model of Communication presents the communication process in its

simplest form. The model consists of four component that are each influenced by
different factors. To ensure the message is conveyed as effectively as possible, the
sender and the receiver must share some common ground.

Communication skills play a crucial role in this. Other factors, such as culture,
knowledge and attitude are also vital. What

Osgood and Schramm Model

The Osgood-Schramm model is built on the theory that communication is a two-way

street, with a sender and a receiver. Charles Egerton Osgood popularized the notion that
communication was circular rather than linear, meaning that it required two participants taking
turns sending and receiving a message.

It is a Circular Model, so that communication is something circular in nature.

Elements of Osgood and Schramm’s Model:

Encoder – Who does encoding or Sends the message (message originates)

Decoder – Who receives the message

Interpreter – Person trying to understand (analyses, perceive) or interpret

Note: From the message starting to ending, there is an interpretation goes on. Based on this
interpretation only the message is received.

This model breaks the sender and receiver model it seems communication in a practical
way. It is not a traditional model.

It can happen within our self or two people; each person acts as both sender and
receiver and hence use interpretation. It is simultaneously take place e.g. encoding, interpret
and decoding.

Semantic noise is a concept introduced here it occurs when sender and receiver apply
different meaning to the same message. It happens mostly because of words and phrases for
e.g. Technical Language, So certain words and phrases will cause you to deviate from the
actual meaning of the communication.

Note: When semantic noise takes place decoding and interpretation becomes difficult and
people get deviated from the actual message.

Advantage of Osgood- Schramm model of communication

1. Dynamic model- Shows how a situation can change

2. It shows why redundancy is an essential part
3. There is no separate sender and receiver, sender and receiver is the same person
4. Assume communication to be circular in nature
5. Feedback – central feature.

Disadvantage of Osgood- Schramm model of communication

This model does not talk about semantic noise and it assume the moment of encoding
and decoding.
Shannon Weaver Model of Communication

The Shannon and Weaver Model of Communication is a mathematical theory of

communication that argues that human communication can be broken down into 6 key
concepts: sender, encoder, channel, noise, decoder, and receiver. A later version of the theory
by Norbert Weiner added a 7th concept (‘feedback’) which changed the model from a linear to
cyclical model.

It is known as the “mother of all models” because of its wide popularity. The model is
also known as ‘information theory’ or the ‘Shannon theory’ because Claude Shannon was the
main person who developed the theory.

The model’s primary value is in explaining how messages are lost and distorted in the
process of communication.

The Shannon and Weaver model is a linear model of communication that provides a
framework for analyzing how messages are sent and received.

It is best known for its ability to explain how messages can be mixed up and
misinterpreted in the process between sending and receiving the message.

Shannon, in his famous article titled “A Mathematical Theory of Communication” where

he outlined the theory, explained what the goal of his model was:

“The fundamental problem of communication is that of reproducing a message sent

from one point, either exactly or approximately, to another point” (Shannon, 1948, p. 379) .

Using this mathematical theory of communication, he hoped to more effectively identify

those pressure points where communication is distorted.

Shannon developed the theory to improve understanding of communication via telephone

and eventually improve the quality of phones.

It was later used as a general theory of communications.

Explanation of the Shannon and Weaver Model

The Shannon Weaver model mathematical theory of communication follows the concept
of communication in a linear fashion from sender to receiver with the following steps: The
Shannon-Weaver Model of Communication diagram

1. Sender (Information Source)

The Shannon Weaver model starts with the sender or “information source”. They are the
person (or object, or thing – any information source) who has the information to begin with.
The information source starts the process by choosing a message to send, someone to send the
message to, and a channel through which to send the message.

A sender can send a message in multiple different ways: it may be orally (through
spoken word), in writing, through body language, music, etc.

Example: An example of a sender might be the person reading a newscast on the nightly news.
They will choose what to say and how to say it before the newscast begins.

2. Encoder (Transmitter)

The next step in the Shannon Weaver model is the ‘encoder’. The encoder is the
machine (or person) that converts the idea into signals that can be sent from the sender to the
receiver. The Shannon model was designed originally to explain communication through means
such as telephone and computers which encode our words using codes like binary digits or
radio waves.

However, the encoder can also be a person that turns an idea into spoken words,
written words, or sign language to communicate an idea to someone.

Examples: The encoder might be a telephone, which converts our voice into binary 1s and 0s to
be sent down the telephone lines (the channel). Another encode might be a radio station, which
converts voice into waves to be sent via radio to someone.

3. Channel

The next step in the Shannon Weaver model is the ‘channel’. The channel of
communication is the infrastructure that gets information from the sender and transmitter
through to the decoder and receiver. We sometimes also call this the ‘medium’.

Examples: A person sending an email is using the world wide web (internet) as a medium. A
person talking on a landline phone is using cables and electrical wires as their channel.

If we’re face-to-face, perhaps we don’t have a channel, except the sound waves from
our voice that carry the sound from the sender’s mouth to the receiver’s ear.

4. Noise

The next step in the Shannon Weaver model is ‘noise’. Noise interrupts a message while
it’s on the way from the sender to the receiver. It’s named after the idea that ‘noise’ could
interrupt our understanding of a message. There are two types of noise: internal and external.

Internal noise happens when a sender makes a mistake encoding a message or a

receiver makes a mistake decoding the message. Here’s the two points where it can happen:

• At the point of encoding (for example, when you misspell a word in a text
message);
• At the point of decoding (for example, when someone misinterprets a sentence
when reading an email)
 External noise happens when something external (not in the control of sender or
receiver) impedes the message. So, external noise happens:

• At the point of transmission through the channel (for example, when we’re having a
conversation by a busy highway and the receiver is having trouble hearing over the
sound of cars)

One of the key goals for people who use this theory is to identify the causes of noise and
try to minimize them to improve the quality of the message.

Examples: Examples of external noise may include the crackling of a poorly tuned radio, a lost
letter in the post, an interruption in a television broadcast, or a failed internet connection.

Examples of internal noise may include someone having a headache so they can’t concentrate,
someone speaking with a heavy accent, or when the sender mumbles when speaking.

5. Decoder

The next step in the Shannon Weaver model is ‘decoder’. Decoding is the exact opposite
of encoding. Shannon and Weaver made this model in reference to communication that
happens through devices like telephones. So, in this model, there usually needs to be a device
that decodes a message from binary digits or waves back into a format that can be understood
by the receiver.

If we’re talking about direct communication between people without the use of
technology, there may still be a need for decoding. For example, you might need to decode a
secret message, turn written words into something that makes sense in your mind by reading
them out loud, or you may need to interpret (decode) the meaning behind a picture that was
sent to you.

Examples: Decoders can include computers that turn binary packets of 1s and 0s into pixels on
a screen that make words, a telephone that turns signals such as digits or waves back into
sounds, and cell phones that also turn bits of data into readable (and listenable) messages.

6. Receiver (Destination)

The next step in the Shannon Weaver model is ‘receiver’ The receiver is the end-point of
the original Shannon and Weaver model of the technical communication process. This is the
step where the person finally gets the message, or what’s left of it after accounting for noise.

Examples: Examples of a receiver might be: the person on the other end of a telephone, the
person reading an email you sent them, an automated payments system online that has
received credit card details for payment, etc.

7. Feedback

The final step in the Shannon Weaver model is ‘feedback‘. Actually, the ‘feedback’ step
was not originally proposed by Shannon and Weaver in 1948. Norbert Weiner came up with the
feedback step in response to criticism of the linear nature of the approach. (‘Linear’ means that
the messages are only going one way).

Feedback occurs when the receiver of the message responds to the sender in order to
close the communication loop. They might respond to let the sender know they got the
message or to show the sender:

• Whether they got the message clearly without noise

• How well they understand the message

Nonetheless, the ‘feedback’ elements seems like a post-hoc add-on to the model, and is
the subject of a lot of criticism (see later in this article on ‘disadvantages of the model’ for
details).

Examples: Feedback does not occur in all situations. Sometimes, like when watching TV, we
don’t tend to let the people talking on the TV know what we’re thinking … we simply watch the
show.

Sometimes when feedback will occur include:

• During a chat between friends

• When you write a reply email
• Through your facial expressions and body language during a conversation

Examples of the Shannon Weaver Model of Communication

The Shannon-Weaver model of communication was originally proposed for technical

communication, such as through telephone communications. Nonetheless, it has been widely
used in multiple different areas of human communication.

Here are some examples of how the Shannon Weaver model works:

a) A telephone conversation

b) Listening to the radio

Sender: The radio host will speak into her microphone.

c) A face-to-face discussion

The Shannon and Weaver model of communication has many pros and cons. Here are a few:

Advantages:

1. It explains the barriers to effective communication very well

 The Shannon Weaver information theory was revolutionary because it explains the
concept of ‘noise’ in detail. It shows how information is interrupted and helps people identify
areas for improvement in communication.

For example, the model also includes three ‘levels’ where communication can be
interrupted. These are: technical problems, semantic problems, and effectiveness problems:

Technical problems: when the decoder, encoder or channel causes the problems. For
example, when a machine important for the communication of the message has a fault.

Semantic problems: This is when the message that was sent is different from the
message that was received (a practical way to think about this is the game ‘Telephone’, also
known as ‘Chinese whispers’ or ‘telephono roto’. The message is lost somewhere in the
retelling.).

Effectiveness problems: This explains how well the message can cause a response or
reaction from the receiver.

2. It breaks down communication into understandable parts

The model enables us to look at the critical steps in the communication of information
from the beginning to end.

3. Transferable to multiple situations

The communication model was originally made for explaining communication through
technological devices. However, it’s been used to explain just about any form of communication
you can think of.

Disadvantages:

1. It’s a Linear Model / There’s insufficient regard for Feedback

The original 1948 Shannon Weaver blueprint did not contain the ‘feedback’ component.
When it was added by Weaver later on, it was included as a bit of an afterthought.

Thus, it lacks the complexity of truly cyclical models such as the Osgood-Schramm
model.

2. It doesn’t account for power relationships

The model doesn’t take a social scientific look at how information is interpreted
differently based on power relationships or identities of those people communicating with one
another.

3. It doesn’t address one-to-many communication

The ‘mother of all models’ is silent on the issues that arise when there is one sender and
multiple receivers. For a better analysis of mass communication, use a model like the Lasswell
model of communication.
Dance’s Helical Model of Communication

Frank Dance’s 1967 model illustrates that communication is a relationship-building

processs. Participants need to share/ put in something of themselves in order to develop
relationships.

Key points of Dance Helical Model

a. What is communicated now will influence the structure and content of communication
later on.
• Since communication moves forward, the helix provides a better understanding
of communication process.
• The circular model suggests that communication comes back to exactly the same
point from which it started, a situation that is manifestly erroneous.
b. Time is an important element in the communication process, i.e. each act can be said to
be built on the others that come before it.