1.4 Agricultural extension as a Profession, Discipline, Specialisation and Practice

The objectives of agricultural extension are to raise agricultural productivity, the standard of living of the rural population, and rural welfare. Extension can be described as the transfer of knowledge from its source to those who require to use it, and the increase or extension of the application of improved methods, which result from this knowledge. Extension work is further based on human needs: the subject matter and the teaching methods used must be adapted to the interests and needs of the community or the target group within the community. Extension is a process of working with people, not for people. Extension is the method by which people are helped to help themselves. Agricultural extension is the method by which rural communities and individuals are helped to help themselves improve their agricultural production, leading to improved standards of living and rural welfare.

The concept of extension

The Extension Officer as extension worker, in his attempt to raise the agricultural productivity of his area, must firstly get to know the people and especially the leaders of his area, and as many of the facts relating to agricultural production as possible. The Extension Officer must then act in terms of what the people think, the way the people live, and the way they act, what they have and what they want and understand. The Extension Officer will thus start with the people as they are, and not as he thinks they should be.

The concept of the extension work that must be done by the Agriculturalist is as follows:

Rural people are largely dependent on agriculture and in most areas there is need for increased production. The Extension Officer must be up to date with increased techniques and methods of production, based on research and experience. It is the task of the Extension Officer to gather applicable knowledge, to translate it into understandable language and practicable methods, and to provide the farmers with this knowledge. It is however not enough to only pass on the knowledge to the farmers, but they must also be encouraged and helped to carry out in practice the methods suggested to them. This will require improvements of the methods which have been developed from and formed part of the traditions, customs and the social system of a community. Changes in agricultural methods will cause other changes. For example, a new variety of crops may produce higher yields than traditional varieties, but may also require changes in the methods of marketing or storage. Unless the learners accept these resulting changes they will prefer the lower yielding traditional variety.

It is clear that the extension that will be done by the Extension Officers will mainly be a matter of working with people, to help them to understand the problems they have, how to overcome these problems, and by doing so to develop the people themselves. People who have become apathetic towards their problems can be taught, over a period of time and through good extension, how to organize themselves to define their problems, and having done that, to act constructively in overcoming these problems.

The principles and purpose of extension

There are two sections included here.

The first is a shortened version in point form, and the second is longer and much more detailed, but although they are from very different parts of the world you will see that the basic information and understanding is just the same in both cases.

Objectives and Principles – Part 1

Objectives of Extension:

The objectives of extension can be expressions of the end towards which our efforts are directed. Even if the fundamental objective of extension is the development of the people, the specific objectives that have been developed over time in the history of extension can be categorized as follows:

The dissemination of useful knowledge and information relating to agriculture, including the use of improved technologies and improved cultural practices in a variety of farming practices
To improve all aspects of rural people’s lives within the framework of the national development policies and people’s need for development

The Principles of Extension

Extension work has evolved basic working principles which are necessary for an extension worker to follow in planning and practicing extension activities. These principles are:

The extension work must be based on the needs and interests of the people.

Extension work should be based on the knowledge, skills, customs, traditions, beliefs and values of the people.

Extension encourages people to take action and work out their own solutions to their problem rather than receiving ready-made solutions.

An extension programme should be flexible so that necessary changes can be made whenever needed to meet the varying conditions and need of the people.

Extension work should be based on the full utilization of local leadership.

Extension should be a co-operative action involving participatory activity in which people co-operate to pursue a common cause.

The success of extension education has to be measured by the level of satisfaction of the people i.e. the extension beneficiaries.

Extension should be based on constant evaluation. The effectiveness of the work is measured in terms of the changes brought in knowledge, skills, and attitudes and the adoption of changed behaviour of the people, and not merely in terms of achievement.

The Operational Principles of Extension

Extension:

Goals revolve around self-development of people through educational resources
Enables the people to manage changes in the social and economic arena.
Programmes address people’s needs and their priorities.
Uses a group approach to enhance cost-effectiveness, creativity and to encourage democratic processes.
Helps people become educators by encouraging them to participate in development of the learning activities.
Is flexible and innovative in program approaches.

Principles – Part 2

Principles of Agricultural Extension

Basic Principles of extension

Certain basic principles underlie the conduct of agricultural extension work. These principles differ with respect to the kind of community in which extension education is carried on. Extension principles may be defined as guidelines for the conduct of extension work and these principles are the bedrock upon which extension service rests. The principles are:

1 Extension should start where the people are. Williams et al., 1984 believed that extension should work at the level where the people are, that is, at their level of knowledge, understanding, interest and degree of readiness. In order to be able to assist the people to move to higher levels of aspiration, it is important that extension worker should know what the conditions are. It means personal contact with the local condition, and its environment, an understanding of the social structure, the habits, traditions, attitude and economic status of the people and society. The first principle therefore implies that to succeed with farmers, new ideas must be related to what the farmer already knows and that with which he is familiar.

2. Extension should be based on the needs and interests of the people which are closely related to improving their livelihood through increasing farm production and their physical environment (Williams et at., 1984). It is imperative therefore to conceptualize the basic needs of the people in the rural set up since the needs and interests of people vary from one set of people to the other due to difference in culture. Extension can only function if these two variables are put into consideration.

It is also imperative to note that extension workers must gain the confidence of their audience. This is so because farmers are said to be fatalistic as well as conservative in their attitudes. They are wary to thread on unsure grounds and are unlikely to take action without conviction. This is why it is necessary that the extension worker should gain their confidence (Obibuaku, 1983). Unless they are sure of the ability and skill of an extension worker, they will not be persuaded to accept his recommendations. This is more so if the extension worker is young and has had little or no farm experience. In that case, he must start with one or two programmes that are likely to succeed and must work on them until eventual success.

3. Extension should assist farmers to determine their own problems, help them to find desirable solutions and to encourage them to take action. This assistance does not imply that the extension worker’s problems are replica of the farmer’s problems and does not indicate that the farmers cannot think on their own. Embarking on this will enable the farmers to have the perception that the extension worker cares about their problems by assisting them in identifying their problems. In proffering solutions to these problems, the extension worker should not in any way solve their problems on their behalf as this will amount to imposing his own value judgment on them.

4. It is an established fact that human beings have unsatisfied wants, this assertion is also applicable to the farmers. An extension worker cannot go far with people unless they want to help themselves, therefore programmes must start with the felt needs of the people and proceed to others that are also needed by them. The wants of the people must be kept in reasonable relationship with the effort they are capable and willing to make. All the people within a community do not want the same thing at same time, and in the same fashion (Obibuaku, 1983). To this end, their values differ and so do their goals and the ability to achieve them.

5. The principle of co-operative work must be pursued to logical conclusion. This is so because the best programmes are those determined by the local people and extension staff working together. Planning of programmes with the people is an important part of extension teaching. People understand a programme better and are more likely to support it if they participate in its creation. Planning is also a learning process. By participating in programme planning, people learn to work together. Decisions that are collectively made are stronger and are more acceptable than the decisions that are passed and imposed on them from the outside. Rural people tend to resist change until they see the benefit of such a change and there is no better way of helping them than by involving them in planning for change.

6. Extension workers should work with all members of the family. The family should be regarded as a working unit in the home and in the field (Williiams et al., 1984). Religion, race or political interests should be put aside in working with rural people, extension worker should treat them as rational adults who are capable of making their own decisions.

7. The principle of the use of variety of teaching methods is another basic principle. In this case, a teaching method can be conceived in teaching a segregated learning unit. This is equally based on the principle of variety is the spice of life and that no one method will help to bring out desirable changes in people. No method therefore is an island. The implication of this principle is that, the more the variety of ways a topic is presented and practised, the quicker the people tend to grasp the subject matter.

8 In African rural communities, participation in extension programme is voluntary and therefore programmes must meet the varying needs of individuals. Participation in extension programmes differ significantly in age, sex, education, attitudes, interests, needs and economic and social values. Programmes must therefore be attractive and tailored to meet the needs and interests of the varying groups.

9. Extension workers should provide maximum opportunity for the people to work on programmes that have been determined by them and the extension agent working together. The joint determination of the programmes is one thing and full participation is another dimension which is crucial to the eventual success of such programmes. The farmers feel fully satisfied when they are given maximum opportunity to practice what they participated in building. The principle of involvement has a sound psychological basis in that people are never interested in programmes which they have not helped to develop.

10. Extension workers should take advantage of any existing local groups to involve the people in extension programmes. The people in rural areas tend to listen more to the local leaders than even the extension workers since they are power brokers and the inability of the extension agent to work with them makes it impossible for him to succeed in his programmes. This principle must be strictly adhered to if innovation is to be well adopted by the local people. The existence of these local leaders makes it possible for extension agents to spread his service over a wide area. There are numerous organizations and groups that are in existence in Ethiopia such as farmers’ co-operative societies or unions, farmer’s kebele administrative councils. All these groups should be used more intensively in involving the people in extension programmes.

11. Subject matter covered in extension must have definite purpose and must be specific so that programme would be able to achieve the purpose for which it was established. The subject matter here refers to the content of the extension programme, which must be relevant to the lives of the rural people and must therefore be useful to them. The content of the programme must be presented when it is most needed by the people. This is so because retention falls off rapidly if opportunity for application of what is learnt is not present. The subject matter covered must therefore be attainable within the time available, and within physical and economic resources of clientele, and within the social condition and learning ability of the participants.

12. The principle of constant evaluation must be followed. It should appraise periodically its work in the light of existing and changing conditions so that it can be seen whether the objective are being achieved. Extension workers have to make endless decisions and then act according to what they understand to be the mandates of their decisions. In a similar vein, the longer a practice has been followed, the harder it is to be objective about its limitations and the harder it is to get at making needed changes. Therefore frequent appraisal will assist a long way in arriving at these benefits.

13. The principle of professionalism should be followed. Extension workers should therefore work with extension professionals who can sell their programmes to their clientele. Credibility is therefore essential here. It should provide continuous opportunity, additional training and professional improvement for its staff.

14. Learning is a gradual process and therefore results must not be expected too soon. Research evidence has shown that learners must be exposed to new ideas over a period of time and in variety of ways before they begin to respond to them. The rural people must not be rushed as they do not learn at the same rate. This principle must be put in mind when basic things are expected from the rural people. The adoption rate is therefore to be considered as a gradual process. 15. Adult learning remains high throughout life. Adults have had years of varied experience, set beliefs and habits. Their beliefs and habits tend to change very slowly. However many of these have to be changed if progress is to be made. The Extension workers must therefore use all available strategies in taking care of these beliefs and habits.

16. A closer principle to the one just highlighted is the principle that extension is educational in function through assisting people to make their own decisions among various alternatives put before them. Extension workers should not be involved with supply activities. The farmers may be expecting the extension agents to supply them with needed planting materials, fertilizers and fungicides. This is basically contrary to its educational function.

17. Extension workers should promote the use and development of volunteer leaders. It is through this forum that extension agents can reach many people and educate them of the need for change. This principle therefore sees the volunteer leaders as loud speaker for extension. Without the use of the volunteer leader, most of the planned programmes will not be achieved.

18. Extension should be based on facts and knowledge. This principle can be achieved through the process of working closely with the researchers and the farmer. Therefore, extension in this regard will be seen as an intermediary or a link between researcher and the farmer.

Guiding principles of extension

Extension activities are widespread throughout the developing world and most governments have set up formally structured extension services to implement extension programmes and projects. The practice of extension is supported by budget, offices, personnel and other resources. Before examining extension in detail in later chapters, however, it will be useful to consider the principles which should guide it.

Extension works with people, not for them

Extension works with rural people. Only the people themselves can make decisions about the way they will farm or live and an extension agent does not try to take these decisions for them. Rural people can and do make wise decisions about their problems if they are given full information including possible alternative solutions. By making decisions, people gain selfconfidence. Extension, therefore, presents facts, helps people to solve problems and encourages farmers to make decisions. People have more confidence in programmes and decisions which they have made themselves than in those which are imposed upon them.

Extension is accountable to its clients

Extension services and agents have two sets of masters. On the one hand, they are accountable to their senior officers and to the government departments that determine rural development policies. Agents are expected to follow official policies and guidelines in their work.

On the other hand, extension is the servant of the rural people and it has the responsibility to fulfil the needs of the people in its area. This means that the rural poor should have a say in deciding how effective extension actually is. One measure of effectiveness is to see how well policies and plans have been carried out. An equally important measure is the extent to which incomes and living standards of the rural people have increased as a result of extension work.

Extension programmes, therefore, are based on people’s needs, as well as on technical and national economic needs. The extension agent’s task is to bring these needs together. For example, an important part of government policy may be to increase the amount of food grown and sold in the country. By choosing to encourage the mass of small farmers to increase their output by improving their farming methods, national needs and farmers’ needs can be satisfied together.

Extension is a two-way link

Extension is not a one-way process in which the extension agent transfers knowledge and ideas to farmers and their families. Such advice, which is often based upon the findings of agricultural and other research stations, is certainly important but the flow of information from farmers to extension and research workers is equally important. Extension should be ready to receive farmers’ ideas, suggestions or advice, as well as to give them. This two-way flow of ideas can occur at different stages.

When the problem is being defined. Being in regular contact with the farmers, the extension agent can help research workers to understand the farming problems of the area and the limitations under which farmers have to work. It is even better if the agent can bring researchers into direct contact with farmers in order to ensure that research recommendations are relevant to farmers’ needs.

When recommendations are being tested in the field. A new farm practice or crop variety might produce good results at a research station but not do so well on a farmer’s field. Trials on farmers’ fields are an opportunity to test research recommendations and provide feedback for research staff.

When farmers put recommendations into practice. Sometimes farmers discover problems with a recommendation which the research station failed to note. With the feedback the recommendations can be adjusted accordingly.

The two-way link between research, extension and the farmer is fundamental to sound extension practice and should be a basic principle of extension activity.

Extension cooperates with other rural development organizations

Within rural areas, extension services and agents should work closely with the other organizations that provide essential services to farmers and their families. Extension is only one aspect of the many economic, social and political activities that seek to produce change for the better in rural society. Extension, therefore, must be prepared to collaborate with all other such organizations, both government and non-government, and to take them into account when preparing to implement extension policies.

Extension works with different target groups

Extension recognizes that not all farmers in any one area will have the same problems. Some will have more land than others and will be keen to try out new ideas. Others, with fewer resources, will probably be more cautious. Extension cannot offer a single “package” of advice, suitable to all farmers. Different groups need to be identified and the agent will have to develop programmes appropriate to each group. In the past, much extension effort was concentrated on the progressive farmer who was expected to spread new ideas to others. It has been seen, however, that this does not always work, because progressive farmers often have different problems. They have more land, more education and are usually more involved in the marketing of their produce. Extension must, therefore, be aware of the existence of different farming groups and plan its programmes accordingly. The smallest and poorest farmers will need particular attention, as they may lack the basic resources needed to become involved in extension activities. The point to stress, therefore, is the existence of farmer groups with different resources and skills in any one community, and the need for extension to respond to these groups accordingly.

Drawn from the website of the Regional Universities Forum for Capacity Building in Agriculture (RUFORUM)

Approaches to Agricultural Extension

Agricultural Extension services can be approached in several ways.

The following approaches gives an indication and overview of some possibilities and opportunities that exist, and that can be used by the extension officer in the planning of an approach to develop farmers, or farming communities.

These approaches are also useful for making policies and taking decisions in formalising development strategies:

1. The general extension approach

In contrast to several other approaches, this approach assumes the following:

The basic assumption with this approach is that technology and information are available to a specific farmer / community, but it is not being used by the farmer / community.
If knowledge on this technology could be communicated, they will adopt the new technology and the farm practices and production will be improved.
The main objective of this approach is to help farmers to increase production.
Programme planning to this approach is normally controlled by the government

The success of this approach is measured in the adoption rate of recommendations and increases in national production. (Link how do people adopt new technology)

2. The commodity specialized approach

This approach assumes that the way to increase productivity and production of a commodity, is to group all the functions needed for increased production, under one administration. This administration refers to the functions of:

Extension services
Research
Input supply
Marketing, and
Pricing of commodities.

The extension programme planning is thus controlled by a commodity organization, for example, wool production will be planned, managed and controlled by a National Wool Growers Organisation, where the single organisation will control all above production functions.

The success of this approach is measured through the total production of the specific commodity, e.g. wool.

3. The training and visit approach

In this approach, the basic assumption is made that farmers or community groups do lack basic production information on specific commodities, people are poorly educated, and need supervision and logistic support. The approach is therefore focusses on activities of:

A fixed pattern and programme of visits to farmers or communities
Training of farmers or communities
Strict disciplines of training programmes and outcomes
Specific skills training or learnership programmes

This approach is normally funded by Government Departments or International funders, such as US Aid, European Union, or other Non-Governmental organisations.

The success rate of this approach is measured in terms of production increases of the commodities covered by the training programme, e.g. Crop production, Animal production, Poultry production, etc.

4. The agricultural extention participatory approach

In this approach, the assumption is made that farming people have enough knowledge and experience to produce certain commodities on their land, but that their levels of living could be improved if they could be exposed by learning more on practises used by other farmers or communities outside their isolated production area. This approach is further based on some additional assumptions, such as:

Effective extension cannot be achieved without the active participation of the farmers themselves,
Research and related services are emphasized
There is a strong reinforcing effect in group learning and group action
Extension efficiency is improved through focusing on the expressed needs of a group of farmers and by reaching out to farmers through their groups/organizations, instead of through individualized approaches, have better extension transfer results
Increased production and consumption is a strong stimulating factor, to enhance the quality of life of rural people
Programme planning must be controlled by the local groups or farmers association
Where there are no local farmers organisations, the task of the extension officer is to establish such an organisation, study group/s, or research groups
Implementation is done through:
- Group meetings
- Demonstrations
- Study tours
- Mouth to mouth sharing of technology between the members of a group

Success is measured by the numbers of farmers actively participating and the sustainability of local extension organizations.

5. The project approach

This approach assumes that something drastically must be done within a short period of time to increase production of commodities in a specific area, district or location. This approach is based on the implementation of a specific project to engage people to produce certain products. This approach is normally political and government driven, to proof political capacity or to promote political objectives, and is sometimes more a demonstration of political power, than having a positive impact on production. Within a very short period of time, a large infusion of outside resources is brought into a specific location, such as:

Training
Infrastructure
Agricultural inputs
Production activities
Transportation
Field staff
Equipment
Housing

The success rate is measured in the change in a specific location, in a very short period of time, e.g. Massive Food Production Schemes, Afforestation, etc.

6. The farming systems development approach

A key characteristic of this type of extension approach, is the holistic approach at the local level.

This approach is based on the following assumptions:

Technology to assist farmers are not available and must be generated locally
Research teams are deployed on local level to investigate local technology and resources available, to develop and tailor-make solutions to service the needs and interest of local farmers
Programme plans evolve slowly during the process, and may be different for each agro-climatic farm eco-system type, since the holistic approach to benefit the animals, plants and people within a particular location
Highly qualified and specialized field personnel is brought into the area from outside, for a specific period of time
Implementation is done through a partnership between Research- and Extension personnel, and with local farmers

Success is measured by the extent to which local people adopt and continue to use technologies developed by the programme.

7. The cost-sharing approach

This approach assumes that cost-sharing with local people (who do not have the means to pay the full cost) will promote a programme that is more likely to meet local situations and where extension agents are more accountable to local interests.

This approach assumes that:

The programme is more likely to fit local situations, and personnel are more likely to serve local people’s interests if part of the cost of agricultural extension is paid locally.
Rural farming people are too poor to pay the whole cost, so central and regional governments typically provide most of it.
The purpose of this approach is that farm people will learn the need towards self-improvement and increased productivity is the purpose
The programme is controlled between the local farmers in partnership with an agent / commercial farmer, and additional funders

Success is measured by farm people’s willingness and ability to provide some share of the cost, individually or through their local government units.

8. The education institution approach

This approach uses educational institutions which have technical knowledge and some research ability to provide extension services for rural people. Implementation and planning are often controlled by those who determine school curricula. The emphasis is often on the transfer of technical knowledge.

This approach is built on the assumption that:

Faculties of Universities or Colleges of agriculture have technical knowledge which is relevant and useful to farmers / rural communities.
The purpose is to help rural people to learn about scientific agriculture
Programme planning tends to be controlled by those who determine the curriculum of the education institution
Implementation is through non-formal instruction in groups, with individuals, and with other methods and techniques

Success is measured by attendance and the extent of participation by rural people in the Academic Institution’s agricultural extension activities

Ethics and Prfessionalism in extension

The code of conduct:

1. What is a code of conduct?

A code of conduct is a set of rules outlining the social norms and religious rules and responsibilities of, or proper practices for, an individual, party or organization. Related concepts include ethical, honour, moral codes and religious laws.

Key words:

Ethical = To deal with the morals or the principles of morality, pertaining to what is morally or ethically wright or wrong in conduct, or in business. It also refers to the accepted principles of right and wrong that govern the conduct of a profession.

Synonyms for ethical are: moral, right, honest, righteous, honourable.

Honour = To have high respect, great esteem, or the quality of knowing and doing what is morally right.

synonyms for Honour: integrity, honourableness, honesty, uprightness, ethics, morals, morality, principle, (high) principles, righteousness, rectitude, nobility, high-mindedness, right-mindedness, noble-mindedness.

Moral codes = A written, formal, and consistent set of rules prescribing righteous behaviour, accepted by a person or by a group of people. Moral refers to something that is concerned with determining what thoughts, behaviour, actions, traits, and characteristics are right and good and what are wrong and bad. A code is a basically a set of rules. It follows that a moral code is a set of rules or guidelines that a person or group follows in order to live a just and good life. Moral codes are heavily dependent upon culture. This is because each culture has its own ideas of what is considered right and what is considered wrong. Moral codes dictate many aspects of our lives, from how we act, to how we dress, and even how we treat other people.

Religious laws = Religious law refers to ethical and moral codes taught by religious traditions. Examples include Christian canon law, Islamic sharia, Jewish halakha, and Hindu law. The Ten Commandments, as written in the Bible, is a practical example of a moral code to the Christian religion, and serve as a religious guide to live a good Christina life. In the same way, the Code of Hammurabi which is dated back to the times of ancient Babylonia, is also an example of a religious moral code.

2. Why a code of conduct?

Public companies are legally mandated to have a Code of Conduct. Regardless of whether your organization is legally mandated to have a code of conduct, no organisation, company, association or organised cluster of people, whether social, formal business, or whatever the objective of the group, can function without a code of conduct.

A well-written code of conduct clarifies an organization’s mission, values and principles, linking them with standards of professional conduct. The code articulates the values the organization wishes to foster in leaders and employees and, in doing so, defines desired behaviour. As a result, written codes of conduct or ethics can become benchmarks against which individual and organizational performance can be measured.

Additionally, a code is a central guide and reference for employees to support day-to-day decision making. A code encourages discussions of ethics and compliance, empowering employees to handle ethical dilemmas they encounter in everyday work. It can also serve as a valuable reference, helping employees locate relevant documents, services and other resources related to ethics within the organization.

Externally, a code serves several important purposes:

Compliance: Legislation (i.e., the Sarbanes-Oxley Act of 2002) requires individuals serving on boards and organizational leaders of public companies to implement codes or clearly explain why they have not.

Marketing: A code serves as a public statement of what the company stands for and its commitment to high standards and right conduct.

Risk Mitigation: Organizations with codes of ethics, and who follow other defined steps in the U.S. Sentencing Commission’s Federal Sentencing Guidelines, can reduce the financial risks associated with government fines for ethical misconduct by demonstrating they have made a “good faith effort” to prevent illegal acts.

3. Costructing a code of conduct

There are different ways to structure an effective code. Some are very brief and provide little more than the core values or principles of an organization. Others are extremely detailed and lengthy, offering every rule of conduct an organization can think of. Either way, be willing to invest in a professional, user-friendly product.

Writing Style and Organization

The manner in which the code of conduct is written, organized and presented will have an important impact on the degree to which employees will understand the code or refer back to it. Because an organization generally intends its code to be read by employees at different levels of responsibility and in a wide range of functional areas, the code should be written in plain, direct language. The syntax should be uncomplicated.

Guidelines for writing an ethics code:

Be clear about the objectives that the code is intended to accomplish.
Get support and ideas for the code from all levels of the organization.
Be aware of the latest developments in the laws and regulations that affect your industry.
Write as simply and clearly as possible. Avoid legal jargon and empty generalities.
Respond to real-life questions and situations.
Provide resources for further information and guidance.
In all its forms, make it user-friendly because ultimately a code fails if it is not used.

Form and Content

There are different ways of structuring codes. The following code outline is recommended:

I. Memorable Title

Ii. Leadership Letter

Iii. Table of Contents

Iv. Introduction-Prologue

V. Core Values of Organization

Vi. Code Provisions-Substantive Matters

Vii. Information and Resources

4. Common code Provisions

Code provisions are the specific standards of behaviour and performance expectations that your organization chooses to highlight and address in your code. Code provisions can be brief or comprehensive depending on the objective. They address a wide variety of issues, ranging from
legal and regulatory concerns, to relations with the organization’s stakeholders and the application of the organization’s values. Importantly, code provisions tell employees which behaviours are not acceptable in your organization, so they can adhere to standards and are empowered to speak up if wrongdoing occurs.

The choice of topics to be included in your code will be influenced by three factors:

The code’s purpose and objectives;
Your organization’s overall purpose and objectives; and
The questions or concerns expressed by your intended users — your employees and stakeholders.

In deciding which topics to address, you might ask:

What are the principal laws and regulations applicable to our organization?
What has gone wrong in the past?
What else could go wrong?
What guidance do we need to offer our employees?
Where are there grey areas? What do we need to clarify or confirm?

Below are some common provisions found in organizational codes:

The list of provisions is not exhaustive, nor are the category headings definitive. Organizations tend to label and categorize their code provisions in many ways depending on their unique characteristics, their goals for the code and so forth. Code content (i.e., provisions) can also vary substantially across organizations depending on their industry, regulations/requirements and goals for the code.

Compliance, Integrity and Anticorruption

Accuracy of corporate finances and financial reporting
Employee records and expense reports
Bribes
Political contributions

Conflicts of Interest

Gifts and gratuities
Political activity
Outside employment
Family members
Disclosure of financial interests

Employee, Client and Vendor Information

Maintaining records and information
Privacy and confidentiality
Disclosure of information

Employment Practices

Workplace harassment
Equal opportunity
Diversity
Fair treatment of staff
Work-family balance
Discrimination
Fair labour practices
Illegal drugs and alcohol
Use of organization property and resources
Proper exercise of authority
Employee volunteer activities
Romantic relationships with co-workers
Incentives and recognition systems

Environmental Issues

Commitment to the sustainability
Employee health and safety

Ethics and Compliance Resources

Ethics advice helpline
Reporting procedures
Anonymous/confidential reporting hotline
Summary of investigations process
Anti-retaliation policy and protections for reporters
Accountability and discipline for violators
Ombuds program

Internet, social networking and social media

Internet and social network use at work
Prohibited sites and content
Policies regarding posts about company, work products or co-workers
Online relationships between managers and their reports

Relationships with third parties

Procurement
Negotiating contracts

5. Ten style tips for writing an effective code odf conduct

You have been given the task of writing an effective code of conduct for your organization. A blank page sits on your screen and the cursor blinks in anticipation. Ten minutes pass. Twenty minutes slip away.

You’ve held meetings, sought and received input, looked at samples, identified provisions you want in your code of conduct and yet nothing springs out of your mind and onto the page. Why not? You’re a good writer. You were chosen for this project because your reports are fact filled and precise; you are a chap at describing processes in concrete terms. What’s wrong with you?

Nothing is wrong with you!! .

You are simply faced with the reality of writing about abstract concepts rather than the physical world.

Tip 1: Think in terms of values, beliefs and expectations rather than facts.
People within an organization are inclined to feel that their situation in life is unique and that no other organization is faced with the same challenges, constraints and operational realities that they have to deal with on a daily basis. The sense of individual uniqueness is countered somewhat by a sense of group unity. The group is unified behind a core of shared beliefs that may be informally recognized within the organization or may codified in the form of an organizational values statement.

The organization’s values are the foundation upon which the code of conduct will grow. They express what a group of people drawn together as an organization believes in the words of business ethics consultant Frank Navran, “… to be right, good and fair.”
Once you recognize that you are not writing a report and that you may be called on to use language you usually avoid in formal reports because it may imply that you are judgmental or are assigning values to actions, you’ll be able to start writing.

Tip 2: “Eschew pomposity and verbosity assiduously.”
Your code will benefit from common language usually employed in your organization and understood readily by employees at all levels. This doesn’t mean you should become immersed in jargon. “Keep it simple,” is the best advice for codes.

Tip 3: Choose to be concise… within reason.
Conciseness can be a virtue. It can also be boring and choppy. To find a happy medium, avoid long sentences with linked phrases. Instead write sentences that express one thought and vary in length. A mix of short and medium-length sentences tend to hold your readers’ attention better than long, complex sentences.

Tip 4: Use active voice rather than passive.
Active voice tends to convey ideas more clearly and with fewer words than passive voice requires. In sentences written in active voice, the subject performs the action expressed in the verb. In passive voice, the subject is acted upon by the verb. Overuse of passive voice tends to make prose flat and uninteresting and passive voice sentences tend to be awkward. For example, “The code is required annual reading.” [PASSIVE] “You are required to read the code annually.” [ACTIVE]

Tip 5: Give examples when it is appropriate to do so.
If there is any doubt about the meaning of a code provision, use an example to provide clarity. Relevant, generic examples of what constitutes acceptable and unacceptable conduct make codes easier to understood; connections to actual workplace experiences make the code easier to apply.

Tip 6: Remember to write for your reader.
By this point in the process, you have become your organization’s expert on the code of conduct. Don’t lose sight of your readers. Something obvious to you may not be obvious to them. Think about what you are writing in terms of readers who have NOT had your experience with the code.

Tip 7: Don’t attempt to write polished prose when drafting.
Draft, review, edit and polish (DREP). Draft the entire code without being overly concerned about grammatical errors, punctuation and word choice. Once you have a draft on paper, review it carefully for clarity, content, conciseness, grammar, spelling and punctuation and clean it up. Edit the cleaned copy paying special attention to word choices and meaning. Finally, polish your final draft with the understanding that the next tip may just bring you back to this tip one more time.

Tip 8: Read your work aloud to yourself.
When you read your written work aloud, you will find errors and points of confusion because you have involved another of your senses. After all, you have thought about the code, written at least two drafts, edited a draft, and polished the text. Hearing the words may detect problems that your eyes, which are used to seeing the copy, have missed. If you find errors, repeat tips 7 and 8 until it sounds right as well as looks right.

Tip 9: Make your writing look easy to read.
Take a look at your final draft and ask the critical question, “How does this look to me?” You want this final draft to look professional because the reviewers you will pass it to next will judge what you have done based on its appearance as well as what you have written. Avoid using words and phrases written all in capital letters unless they are acronyms or unless they are specialized terms that are always written in fully capitalized form. Avoid presenting material in lengthy stretches of italics. They are hard to read. Avoid odd type fonts, especially those that mimic handwriting.

Tip 10: Ask others, especially your harshest critics, to read what you have written.
Once you are satisfied that what you have written makes sense and looks good, obtain the opinion of others. Sure, you can have some of your friends read what you have written. They may give you good feedback or they may sugar-coat their comments to you. But, if you choose the critics who are the harshest judges of your work, you will know that they are being candid. If you secure their approval, you have succeeded.

6. The PLUS ethical decision-making model

The Seven Steps to Ethical Decision Making:

Step 1: Define the problem (consult PLUS filters)

Step 2: Seek out relevant assistance, guidance and support

Step 3: Identify Alternatives

Step 4: Evalaute the alternatives (consult PLUS filters)

Step 5: Make the decision

Step 6: Implement the decision

Step 7: Evalaute the decision (consult PLUS filters)

Introduction
Organizations struggle to develop a simple set of guidelines that makes it easier for individual employees, regardless of position or level, to be confident that his/her decisions meet all of the competing standards for effective and ethical decision-making used by the organization. Such a model must take into account two realities:

Every employee is called upon to make decisions in the normal course of doing his/her job. Organizations cannot function effectively if employees are not empowered to make decisions consistent with their positions and responsibilities.
For the decision maker to be confident in the decision’s soundness, every decision should be tested against the organization’s policies and values, applicable laws and regulations as well as the individual employee’s definition of what is right, fair, good and acceptable.

The decision-making process described below has been carefully constructed to be:

Fundamentally sound based on current theories and understandings of both decision-making processes and ethics.
Simple and straightforward enough to be easily integrated into every employee’s thought processes.
Descriptive (detailing how ethical decision are made naturally) rather than prescriptive (defining unnatural ways of making choices).

Step 1: Define the problem
The most significant step in any decision-making process is to determine why a decision is called for and identify the desired outcome(s). How you define a problem shapes your understanding of its causes and where you will search for solutions.

First, explore the difference between what you expect and/or desire and the current reality. By defining the problem in terms of outcomes, you can clearly state the problem.

Consider this example: Tenants at an older office building are complaining that their employees are getting angry and frustrated because there is always a long delay getting an elevator to the lobby at rush hour. Many possible solutions exist, and all are predicated on a particular understanding the problem:

Flexible hours – so all the tenants’ employees are not at the elevators at the same time.
Faster elevators – so each elevator can carry more people in a given time period.
Bigger elevators – so each elevator can carry more people per trip.
Elevator banks – so each elevator only stops on certain floors, increasing efficiency.
Better elevator controls – so each elevator is used more efficiently.
More elevators – so that overall carrying capacity can be increased.
Improved elevator maintenance – so each elevator is more efficient.
Encourage employees to use the stairs – so fewer people use the elevators.

The real-life decision makers defined the problem as “people complaining about having to wait.” Their solution was to make the wait less frustrating by piping music into the elevator lobbies. The complaints stopped. There is no way that the eventual solution could have been reached if, for example, the problem had been defined as “too few elevators.”

How you define the problem determines where you go to look for alternatives/solutions– so define the problem carefully.

Step 2: Seek out relevant assistance, guidance and support

Once the problem is defined, it is critical to search out resources that may be of assistance in making the decision. Resources can include people (i.e., a mentor, coworkers, external colleagues, or friends and family) as well professional guidelines and organizational policies and codes. Such resources are critical for determining parameters, generating solutions, clarifying priorities and providing support, both while implementing the solution and dealing with the repercussions of the solution.

Step 3: Identify available alternative solutions to the problem
The key to this step is to not limit yourself to obvious alternatives or merely what has worked in the past. Be open to new and better alternatives. Consider as many as solutions as possible — five or more in most cases, three at the barest minimum. This gets away from the trap of seeing “both sides of the situation” and limiting one’s alternatives to two opposing choices (i.e., either this or that).

Step 4: Evaluate the identified alternatives
As you evaluate each alternative, identify the likely positive and negative consequence of each. It is unusual to find one alternative that would completely resolve the problem and is significantly better than all others. As you consider positive and negative consequences, you must be careful to differentiate between what you know for a fact and what you believe might be the case. Consulting resources, including written guidelines and standards, can help you ascertain which consequences are of greater (and lesser) import.

You should think through not just what results each alternative could yield, but the likelihood it is that such impact will occur. You will only have all the facts in simple cases. It is reasonable and usually even necessary to supplement the facts you have with realistic assumptions and informed beliefs. Nonetheless, keep in mind that the more the evaluation is fact-based, the more confident you can be that the expected outcome will occur. Knowing the ratio of fact-based evaluation versus non-fact-based evaluation allows you to gauge how confident you can be in the proposed impact of each alternative.

Step 5: Make the decision
When acting alone, this is the natural next step after selecting the best alternative. When you are working in a team environment, this is where a proposal is made to the team, complete with a clear definition of the problem, a clear list of the alternatives that were considered and a clear rationale for the proposed solution.

Step 6: Implement the decision
While this might seem obvious, it is necessary to make the point that deciding on the best alternative is not the same as doing something. The action itself is the first real, tangible step in changing the situation. It is not enough to think about it or talk about it or even decide to do it. A decision only counts when it is implemented. As Lou Gerstner (former CEO of IBM) said, “There are no more prizes for predicting rain. There are only prizes for building arks.”

Step 7: Evaluate the decision
Every decision is intended to fix a problem. The final test of any decision is whether or not the problem was fixed. Did it go away? Did it change appreciably? Is it better now, or worse, or the same? What new problems did the solution create?

Ethics Filters

The ethical component of the decision-making process takes the form of a set of “filters.” Their purpose is to surface the ethics considerations and implications of the decision at hand. When decisions are classified as being “business” decisions (rather than “ethics” issues), values can quickly be left out of consideration and ethical lapses can occur.

At key steps in the process, you should stop and work through these filters, ensuring that the ethics issues imbedded in the decision are given consideration.

We group the considerations into the mnemonic PLUS.

P = Policies
Is it consistent with my organization’s policies, procedures and guidelines?
L= Legal
Is it acceptable under the applicable laws and regulations?
U = Universal
Does it conform to the universal principles/values my organization has adopted?
S= Self
Does it satisfy my personal definition of right, good and fair?

The PLUS filters work as an integral part of steps 1, 4 and 7 of the decision-making process. The decision maker applies the four PLUS filters to determine if the ethical component(s) of the decision are being surfaced/addressed/satisfied.

Step 1: Define the problem (use PLUS to surface the ethics issues)
- Does the existing situation violate any of the PLUS considerations?
Step 2: Seek out relevant assistance, guidance and support
Step 3: Identify available alternative solutions to the problem
Step 4: Evaluate the identified alternatives (use PLUS to assess their ethical impact)
- Will the alternative I am considering resolve the PLUS violations?
- Will the alternative being considered create any new PLUS considerations?
- Are the ethical trade-offs acceptable?
Step 5: Make the decision
Step 6: Implement the decision
Step 7: Evaluate the decision (PLUS surface any remaining/new ethics issues)
- Does the resultant situation resolve the earlier PLUS considerations?
- Are there any new PLUS considerations to be addressed?

The PLUS filters do not guarantee an ethically-sound decision. They merely ensure that the ethics components of the situation will be surfaced so that they might be considered.

How Organizations Can Support Ethical Decision-Making
Organizations empower employees with the knowledge and tools they need to make ethical decisions by

Intentionally and regularly communicating to all employees:
Organizational policies and procedures as they apply to the common workplace ethics issues.
Applicable laws and regulations.
Agreed-upon set of “universal” values (i.e., Empathy, Patience, Integrity, Courage [EPIC]).
Providing a formal mechanism (i.e., a code and a helpline, giving employees access to a definitive interpretation of the policies, laws and universal values when they need additional guidance before making a decision).

For more information and understanding, refer to the THE CODE OF CONDUCT OF THE SOUTH AFRICAN PUBLIC SERVICE COMPARED WITH INTERNATIONAL GUIDELINES, By Kanthi Nagiah, Submitted in partial fulfilment of the requirements for the degree MPhil in Fraud Risk Management in the FACULTY OF ECONOMIC AND MANAGEMENT SCIENCES Department of Auditing at the UNIVERSITY OF PRETORIA.

7. Five keys to Reducing ethics and compliance risk

Your company’s good name and the trust of stakeholders are two of its most important assets. You can protect your company’s reputation and increase employee engagement by creating a workplace where ethical conduct is the norm. Reduce ethics risk by taking these five key steps:

Honestly assess your needs and resources.
Establish a strong foundation.
Build a culture of integrity — from the top down.
Keep a “values focus” in moments big and small.
Re-evaluate and revise as needed.

Honestly assess your needs and your resources.

Successful businesses start with a good plan. So, do successful ethics and compliance programs. In order to create a relevant and meaningful plan, you have to know the lay of the land. It’s important to know:

What ethics challenges are common in the work we do? In our workplace?
Where are our greatest areas of risk? Which groups of employees, locations, business units, etc. are potential “hot spots”?
What values are important to our company and its employees?
What values are necessary for our business, our work in particular?
What ethics and compliance resources will be most beneficial for employees? What vehicles of support (a phone line, an email, an individual or committee, internal social network, etc.) are likely to be most utilized and helpful?
In developing our code and values, which groups’ input is necessary? Who would be helpful? (For more information on this, see our resources on writing a code.)

Your program will only make a difference if you begin by having an accurate picture of existing strengths and areas of vulnerability. Risk assessment should be the starting point of your internal efforts, followed by gap analysis and program assessment. Audit reports are also an essential piece of the puzzle.

You can gather information in a variety of ways. Focus groups allow representative samples of the larger population to share their opinions and experiences; they provide a deep, rich “snapshot” of the state of ethics in your organization. Surveys (internal or conducted by a third party) provide the opportunity to gather information from a much larger group of your employees, to compare results and to analyse data by relevant subgroups (i.e., employee levels, departments, units, etc.).

Establish a strong foundation.

Once you know your needs, you can put in place the resources to address them by establishing a robust ethics and compliance program.

The good news is that such a program makes a difference. As part of the 2011 National Business Ethics Survey®, the Ethics Research Center (ERC), the research arm of ECI, demonstrated that an ethics and compliance program is a powerful tool for reducing pressure to compromise standards and observations of misconduct; increasing employee reporting of observations that occur; and decreasing retaliation against whistle-blowers. In essence, when a company commits resources to ethics, it makes a difference. Fewer employees feel pressured to break the rules and fewer misdeeds take place. When bad behaviour does happen, employees tell management so the problem can be addressed internally.

This strong foundation consists of several elements key elements:

Written standards of ethical workplace conduct (for more information on this, see our resources on writing a code).
Training on the standards.
Company resources that provide advice about ethics and compliance issues.
A means to report potential violations confidentially or anonymously.
Performance evaluations of ethical conduct.
Systems to discipline violators.

Just having these elements is not enough. When it comes to ethical conduct and compliance, it’s not enough to “print, post and pray.” Implementation and integration matter.

Your ethics and compliance program must be vital, integrated element of your work and the way you do it, ensuring that employees know how to and feel supported in their efforts to uphold ethics and compliance standards in their work. The hallmarks of an effective ethics and compliance program are:

Freedom to question management without fear;
Rewards for following ethics standards;
Not rewarding questionable practices, even if they produce good results for the company;
Positive feedback for ethical conduct;
Employee preparedness to address misconduct; and
Employees’ willingness to seek ethics advice.

Build a culture of integrity — from the top down.

People have an innate desire to get along and (long-past high school) want to fit in and conform to the norms of those around them. It may not be pleasant to admit it, but most people’s ethics standards are fairly malleable. Although most people retain a desire to “do the right thing,” the definition of right is significantly influenced by the company they keep. Culture matters.

Fortunately, if your company has diligently built an ethics and compliance program and woven it into the daily operations of the organization, a strong ethics culture is far more likely. Research proves that an effective ethics and compliance program helps build a culture of integrity in which everyone “walks the talk.” In a strong ethics culture, employees at all levels are committed to doing what is right and upholding values and standards.

Leaders are powerful drivers of corporate culture; they set the tone in any organization. They decide who gets attention, who gets promoted, what merits rewards and recognition. They set the standard. They are the example. There are several things leaders should do to help promote a strong ethics culture:

Talk about the importance of ethics.
Keep employees adequately informed about issues that impact them.
Uphold promises and commitments to employees and stakeholders.
Acknowledge and reward ethical conduct.
Hold accountable those who violate standards, especially leaders.
Model ethical conduct both professionally and personally.

When it comes to ethical leadership, there are two key things to keep in mind:

Character is paramount. Ethical leaders show integrity not only in the way they conduct themselves at work, but in their personal relationships as well. In a world of social media, private behaviour often becomes public knowledge, shaping employees’ beliefs about what kind of individuals their leaders are.
Leadership happens at all levels. While senior leaders set the tone for the entire organization, supervisors shape the everyday environments in which employees work and make decisions. The actions of supervisor have a profound impact on employees and their workplace conduct.

Keep a “values focus” in moments big and small.

Ethics is about choices-big and small. Organizations with integrity keep their values at the forefront in both mundane and the extraordinary moments. Corporate values should come into play and be reflected in multiple processes that drive the everyday life of the company, including:

HR policies and their implementation
Reward systems
Hiring and retention
Performance management and evaluation
Promotion decisions

On those occasions when crises occur, leaders should recognize not only the ethical dimension of the moment at hand, but the “teachable moment” it represents. Edgar Schein, the father of the study of organizational culture, noted that moments of crisis are particularly powerful culture-builders because of the intensity of emotion involved. Our research shows that employees learn a great deal about leaders’ priorities and character when they show their “true colours.” If leaders make values their touchstone in times of crisis, employees learn that ethics matters.

Re-evaluate and revise as needed.

Situations and needs will change. You need to know what is working, what isn’t, what new vulnerabilities have emerged, what progress you’ve made and where there’s work yet to be done. Be disciplined about regularly revisiting the state of ethics and compliance in your organization. Risk assessments, follow-up surveys and periodic or ongoing focus groups will allow you to keep your program relevant and minimize risk. As an added bonus, regular assessments will demonstrate internally (and, if ever needed, externally) that the resources you’ve invested in ethics and compliance have made a difference.

8. Business ethics and compliance timeline

The academic field of Business Ethics through a business Code of Conduct, developed and grew over six decades, and in this process, the ethical climate, compliance issues, and programmes developed, all according to the social, economic and world political climate of the time.

1960’s

Ethical Climate
Social unrest. Anti-war sentiment. Employees have an adversarial relationship with management. Values shift away from loyalty to an employer to loyalty to ideals. Old values are cast aside.