## People, Politics And Change Building Communication Capacity For Governance Reform

THE WORLD
Cecilia Cabañero-Verzosa Helen R. Garcia

# People, Politics And Change Building Communication Capacity For Governance Reform

Cecilia Cabañero-Verzosa & Helen R. Garcia THE WORLD BANK
©2011 Th e International Bank for Reconstruction and Development / Th e World Bank Communication for Governance & Accountability Program (CommGAP) External Aff airs
1818 H Street NW, MSN U 11-1102 Washington DC 20433 Telephone: 202-458-7955 Fax: 202-522-2654 Website: http://www.worldbank.org/commgap Blog: http://blogs.worldbank.org/publicsphere E-mail: commgap@worldbank.org

## All Rights Reserved

Th e fi ndings, interpretations, and conclusions expressed herein are those of the author(s) and do not necessarily refl ect the views of the Board of Executive Directors of the World Bank or the governments they represent.

Th e World Bank does not guarantee the accuracy of the data included in this work. Th e boundaries, colors, denominations, and other information shown on any map in this work do not imply any judgment on the part of the World Bank concerning the legal status of any territory or the endorsement or acceptance of such boundaries.

## Rights And Permissions

Th e material in this work is copyrighted. Copying and/or transmitting portions or all of this work without permission may be a violation of applicable law. Th e World Bank encourages dissemination of its work and will normally grant permission promptly. For permission to photocopy or reprint any part of this work, please send a request with complete information to the Communication for Governance & Accountability Program (CommGAP) at the address stated above.

## Table Of Contents

| Introduction                                  |   01 |
|-----------------------------------------------|------|
| Communication Processes for Governance Reform |   07 |
| Case Study Briefs                             |   21 |
| Facilitation Tips                             |   25 |
| Adult Learning                                |   29 |

## Module I: Knowing The Reform Context

| Session 1: Linking Communication and Governance    |   45 |
|----------------------------------------------------|------|
| Session 2: Using Political Economy Analysis        |   97 |

## Module Ii: Addressing Recurring Challenges - The Three Wills

| Session 3: Securing Political Will                          | 125                             |
|-------------------------------------------------------------|---------------------------------|
| Session 4: Securing Organizational Will                     | 167                             |
| Session 5: Mobilizing Public Will                           | 221                             |
| MODULE III: MANAGING REFORM POLITICS                        |                                 |
| Session 6: Framing and Agenda Setting                       | 287                             |
| Session 7: Coalition Building                               | 331                             |
| Session 8: Mitigating the Collective Action Problem         | 363                             |
| Session 9: Managing Confl                                   | ict Among Multiple Stakeholders |
| MODULE IV: SUSTAINING CHANGE                                |                                 |
| Session 10: Sustaining Reform / Counter-reform Never Sleeps | 457                             |
| Case Summaries                                              | 473                             |
| Tools and Templates                                         | 493                             |
| Glossary                                                    | 499                             |

## Acknowledgements

Th is learning and resource guide for facilitators, trainers, reform teams is our modest contribution to the formidable challenge of leading change through governance reform. We would like to thank the many people who have off ered their expertise and experiences, as well as their passion for helping reform teams in developing countries confront the task of fostering governance reform and securing the political will, public will and organizational will to ensure that governance reform is relentlessly pursued.

Th rough the Communication for Governance and Accountability Program (CommGAP), which is fi nancially supported by the UK Department for International Development (DfID), the work on this capacity building and training program began in 2006. Th e fl agship course, People, Politics and Change: Building Communication Capacity for Governance Reform grew out of a Learning Needs Assessment which informed the design and content of CommGAP's global learning program. Special thanks go to all those whom we interviewed for this needs analysis—World Bank governance advisers, public sector reform specialists, senior government offi
  cials and development and communication professionals—for sharing their insights on communication challenges and capacity needs of governance-reform implementation. Our work benefi tted greatly from the valuable guidance and advice from various consultation sessions with a multi-disciplinary team composed of senior faculty from various academic institutions and colleagues at the World Bank. Th e pedagogical approach and the course materials were jointly developed by academics, sector specialists and subject-matter experts, and then tested in the classroom and continuously adapted, refi ned, and tailored to the expressed needs of successive cohorts of course participants. Our goal was to create a global learning program on communication and governance which meets the highest standards of quality, relevance and sustainability. Th is required the collective eff ort of many individuals, and the materials presented in this guide represent their valuable contributions. We hope to keep this guide a "live" document to which many more will be willing to contribute ideas, concepts, approaches and tools.

We off er our debt of gratitude to our Panel of Advisers: Vicki Freimuth, Director, Center for Health and Risk Communication and Professor, Department of Speech Communication and Grady School of Journalism, University of Georgia; Eric Henry, Managing Partner, CM Partners, LLC; Th omas Jacobson, Temple University, Senior Associate Dean in the School of Communications and Th eater and Professor of Communication in the School's Department of Broadcasting, Telecommunications, and Mass Media; Gary Orren, Professor of Public Policy and Management, Kennedy School of Government Harvard University; Alasdair S. Roberts, Professor of Law and Public Policy, Suff olk University Law School and Faculty Director of the Rapaport Center for Law and Public Service; Dietram Scheufele, Professor of Life Sciences Communication at the University of Wisconsin, Madison Wisconsin.

## Acknowledgements

Our colleagues at the World Bank who participated in the consultation sessions: Colum Garrity, Poverty Reduction and Economic Management (PREM); John Garrison, External Aff airs, Civil Society; Henriette von Kaltenborn-Stachau, CommGAP External Aff airs, Communication for Development; Natalia Kirpikova, External Aff airs, Communication for Development; Mary McNeil, World Bank Institute (WBI); 
Paul Mitchell, External Aff airs, Communication for Development; Stephen Ndegwa, Poverty Reduction and Economic Management (PREM), Africa region; Sina Odugbemi, CommGAP, External Aff airs, Communication for Development; Andrea Ries Padmanabhan, Sustainable Development Network (SDN); Francesca Recanatini, Poverty Reduction and Economic Management (PREM); and Jeff
  Th indwa, External Aff airs, Civil Society.

Th e World Bank staff
  and colleagues from other institutions who helped develop course presentations include Anne-Katrin Arnold, Jose Edgardo L. Campos, Th omas Jacobson, Natalia Kirpikova, Sumir Lal, Antonio Joselito G. Lambino, Lori Ann Post, and Sina Odugbemi. 

Th ose individuals who contributed instructional tools and learning materials—case studies, exercises, simulations, animations, interactive video, and videotaped expert interviews are Th omas Fiutak, Vicki Freimuth, Eric Henry, Th omas Jacobson, Natalia Kirpikova, Antonio Joselito G. Lambino, and Najma Siddiqi.

And we were fortunate in having the full support of CommGAP; led by Program Head Sina Odugbemi, Diana Ya Wai Chung, Johanna Martinson, Anne-Katrin Arnold, and Antonio Joselito G. Lambino. 

We thank our editor and publisher, Dilip K. Mirchandani, whose guidance has helped us experiment with, and navigate the process of using a transmedia knowledge-shar ing platform. 

Finally, we are grateful to the 231 course participants from 45 countries, who have joined us in classroom discussions and continue to share their country experiences in manifesting governance reform. We encourage them and their development partners to use and adapt the knowledge and learning resources in this guide for further strengthening communication capacity to achieve sustainable governance reform outcomes. It is, aft er all, on behalf of these developing country reform teams that we have all ventured on this journey. 

## About The Authors

Cecilia Cabañero-Verzosa directed the capacity-building and training program of CommGAP and served as lead facilitator for its fl agship course, *People, Politics and Change* in Washington DC, South Africa, and the Philippines. She has integrated this course into the newly-launched (> Leadership) program of the World Bank Institute, targeting multi-stakeholder reform teams in developing countries. Together with faculty from the Annenberg School for Communication at the University of Pennsylvania and the Annenberg School for Communication and Journalism at the University of Southern California, she co-facilitated the executive course on Strategic Communication in July 2011. Th is new executive education program aims to develop a cadre of strategic-communication specialists from the private sector, civil society organizations and academia that are based in developing countries and able to assist reform teams on-site. She has created a competency-based curriculum on strategic communication, confl ict management, and client engagement, and directed the Strategic Communication Learning Program at the World Bank—a program that has reached some 8,000 participants, including World Bank managers, sector specialists, project teams and their developing county partners, and communication specialists worldwide. She has experimented with various e-learning formats to expand the reach of learning programs including the interactive, online performance support tool on strategic communication, a web-compatible, interactive video, animation and short videotaped interviews with experts. She has experimented with the use of video scribing using *ydraw* to explain technical material in an entertaining way. Ms. Verzosa has also facilitated sessions for developing country leadership teams using the platform of *Second Life,* a virtual world wherein participants engage with one another through their avatars. She is currently exploring the use of electronic video games for development. 

Helen Garcia is an international development consultant with over 20 years of cross-sectoral experience and has worked in policy research, program development and capacity building. She conducted the 2007 Learning Needs Assessment, which shaped the design and content of CommGAP's fl agship course on communication and governance, *People, Politics and Change.* In 2010, she led a qualitative survey of development practitioners and senior communication professionals as research input to CommGAP's Executive Course in Communication and Governance Reform delivered in partnership with the World Bank Institute's Governance and Leadership Practice, the Annenberg School for Communication at the University of Pennsylvania and the Annenberg School for Communication and Journalism at the University of Southern California. As the lead capacity building consultant, she worked on the integration and mainstreaming of CommGAP's course content in various learning platforms within the World Bank and other development institutions. Ms. Garcia has written case studies as teaching tools on the politics of reform in water and sanitation, urban transport, roads, public procurement and tax administration, and draws from her operational experience 

## About The Authors

and public sector background as a writer of fi ctionalized accounts of reform programs based on real-world country experiences. She has worked on multi-media learning applications, and managed the documentary video production on the Philippines Procurement Reform Law and interviewed key players involved in the reform. Prior to CommGAP, she worked on social development issues for World Bank lending programs in Albania, Kyrgyz Republic, Russia, Poland and the West Bank and Gaza, poverty assessments in Ecuador, Pakistan, Philippines, Hungary, and Zambia, and the infrastructure and energy sector work in China, Indonesia, Th ailand and Mexico. Before the World Bank, she worked at the International Food Policy Research Institute, where she conducted urban and rural household surveys in Pakistan for a USAID-funded research project on food security and poverty. In the Philippines, she was Director for Social Development in the Offi
  ce of the Prime Minister. Her current interests in capacity building are trained on exploring advancements in pedagogical design and integration of technology solutions, the use of transmedia and immersive learning platforms to increase learner performance. 

## Introduction

Th e Communication for Governance and Accountability Program (CommGAP) was established in 2006 as a global program to confront challenges which create barriers to achieving eff ective and sustainable governance outcomes. In particular, CommGAP was created to address specifi c gaps that undercut the quality of governance reform eff orts: a structural gap, a process gap, and a capacity gap. Th e *structural gap,* produced by the insuffi
  cient recognition of the public sphere as an essential part in securing good governance and accountability, leads to a narrow, fragmented approach in the design and approach of many governance reform programs. Th e *process gap* is one that arises from a lack of applicable processes to deal eff ectively with political economy issues and people-related challenges due to vested interests and stakeholder resistance to change. Th e *capacity gap* deals with the problem of the meager capabilities among researchers, development and communication practitioners in government agencies, NGOs or private fi rms in ways that hinder their ability to provide eff ective and strategic support in the implementation of governance reform programs.

Th e program goals of CommGAP are:

 
1.  
Develop innovative, communication-based analytical and diagnostic approaches, conceptual frameworks and tools to support governance reform; 
 
2. Infl
 uence policy with respect to how governance reform programs are designed and implemented; 
 
3. Distill and disseminate lessons learned from around the world; 
 
4. Strengthen the discipline of communication as it applies to governance reform; 
 
5. Build a community of practice around a more holistic approach to governance reform.
To achieve these goals, CommGAP's core program is divided into three interrelated and mutually reinforcing areas of work: research and advocacy, training and capacity building, and operational support to development programs and projects.

## Flagship Course—People, Politics And Change: Building Communication Capacity For Governance Reform

In 2008, the Training and Capacity Building Program delivered an innovative training and capacity-building program for reform managers in development organizations in developing countries. 

Th at program, which formed the induction of this fl agship trainer's guide, was grounded on the knowledge and insights gained through CommGAP research work, global dialogues and learning events. It grew out of a needs-assessment conducted a year earlier that identifi ed critical capacity gaps in addressing communication challenges in governance reform programs. Th is assessment guided World Bank and senior government offi
  cials from 5 countries in Asia and Africa in designing the global learning program by providing information on three main issues: (1) challenges and obstacles that impede information and communication processes; (2) institutional constraints and capacity needs in supporting governance reform; and (3) the role of communication and the value of media development in enhancing transparency and accountability. More importantly, the study revealed recurrent real-world obstacles to reform across varying socio-economic and political environments. Th ese are: 

 
- Lack of political will or broad leadership support for change
 
- Resistance from middle managers or the professional bureaucracy 
 
- Vested interests and special interest groups opposed to reform 
 
- Hostile or indiff
 erent public opinion
 
- Unorganized majorities with no voice
 
- Weak citizen demand for accountability 
Th is trainer's guide is designed to help reform leaders and change agents tackle the persistent challenges identifi ed during needs assessment. Core modules, focusing on governance and accountability issues, were fostered in consultation with senior governance practitioners, program managers, communication experts and professionals from the academic and development communities. 

Our global learning program is designed for reform managers in government and in donor organizations to build their capacity in employing strategic communication approaches and techniques necessary to successfully implement diffi
  cult reforms and achieve the governance objective of developing capable, transparent and accountable institutions. It furthers one of CommGAP's key goals; that of equipping reformers and change agents with operationally relevant knowledge and innovative communication approaches and tools to support governance reform implementation. 

It is a learning program aimed at advancing CommGAP's strategic focus in promoting positive, accountable governance in terms of development policy and practice through the use of innovative communication approaches and techniques to strengthen the various components of the public sphere—engaged citizens, a vibrant civil society, pluralistic and independent media, and transparent government institutions. 

Th is resource is designed for reform managers, change agents, development practitioners, and training professionals who are interested in learning relevant communication concepts, frameworks and applications for addressing communication challenges in governance reform programs. More specifi cally, it is a practical guide for trainers in facilitating a learning program with respect to communication and governance reform that is grounded on understand distilled from research, expert knowledge from academics and scholars, and practitioners' expertise that has been culled and enriched from CommGAP's series of global dialogue on key governance issues. 

Some of the key concepts, frameworks and innovative approaches introduced in the course are: 

 
-  
Democratic public sphere as the space where citizens come together, share opinions on public aff
 airs 
and discuss issues of common concern. It is a participatory space, a free marketplace of ideas where citizens' voices are amplifi
 ed and public opinion are formed.
 
-  
Communication is defi
 ned in its broadest sense—"Communication bridges all the constitutive elements of the public sphere—engaged citizenries, vibrant civil societies, plural and independent media 
systems, open government institutions_and thus forms the framework for national dialogue through 
which informed public opinion is shaped on key issues of public concern and public policy."1
 
- Communication plays a role in governance on two levels: 
 
 -  
(1) *Communication structures,* which include free, plural, and independent media systems, robust 
civil society, and the legal and regulatory framework that enables or impedes the free fl
 ow of information between government and citizens which are essential components of the so called 'democratic public sphere'
, the space where citizens and government can communicate, engage in dialogue 
and form public opinion to infl
 uence change. (2) *Communication processes,* which are 'one-way' or 
unilateral in terms of the direction of the conveyed information, or 'two-way'
, which is more oriented toward participatory and deliberative processes of dialogue.
 
-  
Th
 e What, Why and How of reform as a mechanism to move from political economy analysis to action. 
 
-  
Th
 e 3 Wills of governance challenges - political will, organizational will and public will, as a framework for addressing recurring obstacles in real-world contexts. 
 
-  
Coalition building supported by strategic communication as a mechanism to eff
 ectively manage the 
politics of reform.

## Communication Processes For Governance Reform

Reformers are people with a vision - of what is possible. And reformers who succeed in working for the common good have their feet fi rmly planted on the ground, confronting reality and recognizing where their people are, in their knowledge and understanding of the need for reform as well as people's capacity to change. Th ese reform leaders, their teams, and their allies are able to tap the people's energies to pursue reform goals by inspiring them to own the problem and convert their beliefs, attitudes and behaviors in ways that contribute to the success of reform.

Th is book is about governance reform and how communication approaches can help reformers build understanding and support for its goals and aspirations. Governance refers to the manner in which "public offi
  cials and institutions acquire and exercise the authority to shape public policy and provide public goods and services."1 Th e UK Department for International Development (DFID) elaborates by stating that "good governance is not just about government … it is about how citizens, leaders and public institutions respond to each other in order to make change happen."2 DFID notes that good governance requires: State capability 
(the extent to which leaders and governments are able to get things done); responsiveness (whether public policies and institutions respond to the needs of citizens and uphold their rights; and accountability (the ability of citizens, civil society and the private sector to scrutinize public institutions and governments and hold them to account). 

Because governance reform can only be eff ectively achieved through the combined energies and commitment of three key entities within a public sector governance system, the book highlights communication approaches that diagnose the power relationships among these three groups and enable them to fi nd ways to collaborate, coalesce, and work together to achieve good governance. As described in the World Bank's World Development Report, 2004, the key relationships of power among the State (politicians and policymakers), the citizens, and service providers (management teams in bureaucracies) are critical for governance reform.

Leadership teams who promote governance reform face two types of challenges. Th e fi rst involves technical challenges. For instance, which "rules of the game," embedded in policies and procedures that govern how the State makes its purchases of public goods and services, will promote transparency and openness in public-procurement transactions. A technical challenge such as this can readily be addressed because there are known solutions and an authoritative source to provide advice or assistance in resolving the problem. Th e second, adaptive challenges are those which present no clear technical solutions, because the problem is new and authorities can provide neither direction nor guidance. Adaptive challenges require the people with the problem to own the problem and change their own priorities, beliefs, attitudes and behaviors.3 Adaptive challenges are best addressed through communication-based approaches. Technical experts usually fi nd these challenges messy and diffi
  cult to contend with. Many prefer to promote reform "by stealth," or using power, coercion, manipulation of incentives, and disinformation instead of taking the more time-consuming option of helping people recognize the need for change and creating the space for change. Adaptive challenges that are given technical, expert-driven solutions frustrate people and lead to their disenchantment with reform.

An analysis of governance reform challenges shows the present environment as one where citizens are uninformed and/or disengaged, where governments are unresponsive to citizen demands and unaccountable to their constituents, where there is a lack of political effi
  cacy, and where a culture of corruption and bad governance thrives. Governance reform goals are clear: an informed and active citizenry, a responsive and accountable government, and citizens able to hold their government accountable for the delivery of public goods and services in an open and transparent manner. But how does a society move from the current situation to a desired state?

In this book, we emphasize three types of obstacles to governance reform drawn from our CommGAP 
learning needs assessment conducted in 2007 to lay the groundwork for the development of the learning program for Communication and Governance.4 Th ese three types of obstacles complement the key power relationships mentioned above: the State, the public, and the service providers. We then provide examples, case materials and exercises that can be used in a learning environment—whether in workshops, formal courses, or in group discussions—to be held within organizations or among multi-stakeholder networks. 

Th e fi rst obstacle is the lack of political will. Political will to pursue governance reform exists when there is support from enough political leaders to pursue the policy change. Necessary conditions include: a suffi
  cient set of political actors representing a broad-based constituency, a common understanding of a particular problem on the public agenda, genuine intent of political leaders to support reform, and a commonly perceived potentially eff ective policy solution. Th e challenge in securing political will by removing or defl ecting resistance from the "iron law of oligarchy," whereby there is a persistence of power elites, a persistence of bad rulers, and persistence of bad rules.5 Communication can play a critical role in securing political will. Organized groups can pressure policymakers and government offi
  cials through public interest lobbying by the following means: rallies and demonstrations by a broad cross-section of society to air issues, backroom negotiations with targeted policymakers to uncover hidden interests, framing the issues by the mass media to mobilize political will and provoke the nation's leaders into action.

Th e second obstacle is the challenge of developing organizational will. Organizations and institutions are oft en averse to change or, at best, they move change at a glacial pace. Th e middle managers in the organization have been described as "a layer of clay through which nothing passes."6 Communication approaches that create a sense of urgency for change, engage the entire organization in moving forward and develop trust among the leaders, middle managers and the staff
  will help mitigate the hazard of feeble organizational will. Appreciative inquiry, an approach described by Kevin Barge (2008, p. 198)7 allows middle managers to comprehend the urgency for change, empowers them as equal partners, provides them a pathway for change and addresses their concerns regarding vulnerability.

Th e third obstacle is the absence of public will. Public will translates into public support which results in policy change and reform. Th ere are many reasons why public will is stifl ed, voiceless, or simply absent among the people, government offi
  cials and policymakers. Reforms oft en occasion long-term benefi ts to many, but also provide short-term gains to a few elite groups. If the costs of reform are known but the benefi ts are not well understood, potential "losers" with access and representation in the political system can oppose and derail the reform. Th is dilemma is well described by Gaetano Mosca (1939)8 Mosca proposed that "Th e domination of an organized minority over the unorganized majority is inevitable. Th e power of any minority is irresistible as against each single individual in the majority, who stands alone before the totality of the organized minority. At the same time, the minority is organized for the same reason that it is a minority."
Th e main communication challenge therefore is how to organize the unorganized majority. An approach for undertaking this eff ort is described in the following illustration:9
Another important approach for mobilizing public will is coalition building. Th is refers to the process of creating collaborative engagement among groups of people with shared interests who are in agreement about working together to pursue a common goal.

In summary, communication approaches can be developed to address the Th ree Wills and secure political will, organizational will and public will. Th e following illustration below shows how simultaneous interventions on these three fronts can fuel progress in governance reform.

## Securing Sustainable Reform Through The 3 Wills The Four Steps To Governance Reform Communication

Th ere are four steps to developing, implementing and evaluating communication interventions for governance reform. Undertaken in an iterative manner, reform teams can keep their communication activities highly targeted to critical stakeholders, with messages that are relevant to these stakeholders' needs, and by using channels of communication that are credible. Communication interventions in governance reform are particularly challenging, as concepts of good governance may not be well understood by the unorganized majority while being fully appreciated by organized elites who generally prefer the status quo. Furthermore, corrupt practices and lack of transparency in public transactions may have been accepted by many in a state of passivity and resignation. Creating a sense of urgency and of personal relevance may be necessary to stir people out of their inertia. On the other hand, those interest groups or elites who benefi t from the status quo will fi ercely oppose change. With this situation as a typical starting point, reformers need to be highly strategic in assessing where there is space for change, and in selecting which stakeholder groups will have the appetite for and the stamina to undertake what will seem to be a formidable challenge. 

## First Step: Diagnose

Th e fi rst order of priority is to know the lay of the land. 

What are the rules of the game? Where are the sources of power? What are the political economy issues that contribute to the situation? What is the institutional context where the problems persist? What adaptive challenges exist? Is there "space for change"? Having "space for change" means there are three factors that are present. First, there is some level of authority that will pursue reform goals. Second, there is acceptance of the need for reform and the proposed policy options are perceived to be viable. Th ird, there is the ability at some institutional level to implement reform. Th ough, as Andrews (2008) cautions, the reform space dictates the kind and degree of reform an organization can pursue. Following is an illustration of the Andrew's "reform space" model.10

## Analyzing The Three Wills - Access To Information In Africa

"Why is Africa lagging far behind in access 
to information legislation?"The fi
                                  ndings of a 
working group discussion of three ministers of 
information, newspaper editors, activists, and 
academics, convened as part of the 2010 Africa 
Regional Conference on the Right of Access to 
Information organized by the Carter Center, shed 
light on the main challenges faced in Africa. The 
Political economy problems cited may be classifi
                                                 ed 
according to the Three W's which CommGAP 
uses to examine obstacles to governance reforms. 

Political Will Challenges Political leaders want to minimize personal risk 
and, in their view, access to information laws maximizes risk.
Leaders worry that transparency laws might lead 
to the resurfacing of past mistakes that might put them in new jeopardy. 
Freedom-of-Information laws rarely produce 
good narratives for governments, or so they believe. They tend to produce narratives of incompetence and corruption.
Organizational Will Challenges Civil servants resist providing access through 
information laws and are masters at blocking reforms they don't want. 
Implementing access to information laws is seen as 
very expensive. 
Planning and budgeting for an access to 
information system is seen as diffi
 cult, make 
little sense vis-à-vis the cost and benefi
 t of any 
proposed reforms. 
Ministries of Information in Africa tend to be 
very weak on the whole, and have little clout except as megaphones for the ruling party. This complicates their roles as possible champions of reform.
Public Will Challenges
Public interest in access to information hardly 
exists, and very few citizens see it as the activists do: a fundamental and essentially serious right. This is an example of a global norm that has not yet made landfall in Africa in any proper sense. 
Pro-reform coalitions, able to solve the public's 
collective action problem, hardly exist. 
There is very little impetus coming from the 
region to energize national efforts for access to information. 
Odugbemi, Why is the Transparency Revolution not taking off in Africa?, CommGAP. Web. April 2010

## Operationalizing Political Economy Analysis At The Sector Level The Bus Sector As An Example*

The analysis addresses three sets of issues that pertain to the reform(s) being considered: the What, the Why, and the How. What Examine the nature of the pathologies Understand the roots of the problem in terms of their political economy: what pathologies have persisted over time despite attempted reforms andinterventions.

A pragmatic approach for the diagnostic phase is the "what"
, "why" and "how" technique.11 Th ree sets of issues need to be addressed. Th e "what" refers to understanding the political economy issues that have persisted despite repeated interventions to resolve them. Th e "why" seeks to fi nd the underlying reasons why these pathologies exist prompting reformers to identify the rules of the game, the key players that can potentially block reform, and their hidden interests. Finally, the "how" prompts reformers to outline a stakeholder map using political economy dimensions of the problem as the context.

## Second Step: Design

For example, in the commercial/bus transport sector there are typically two such pathologies: (1) the mismatch between the transport needs of the urban population and the types, quality, and number of transport modes that currently serving it, and (2) the seeming misallocation of routes among the different transport modes and providers.

Why
Understand the de facto rules 
and regulations
Doing so will explicate why these pathologies 
persist In the bus sector example, to get at the 
rules and regulations which infl
                 uence and determine 
the (a) entry and exit of transport fi
                   rms/providers, 
and (b) the allocation of routes. 

This kind of analysis is good at unraveling in great 
detail the forces the forces and players—politicians, 
government agencies, interest groups, and even 
concerned individuals—who have greatest sway over 
the decision-making process

Identity the key parties/players, analyze 
their underlying incentives/motivations
Once this has been established, then one can 
begin to identity the key parties who might block 
or delay the proposed reform and analyze their 
underlying incentives and motivations. 

From a political economy perspective, the de 
facto rules represent an equilibrium contract 
among the different parties who benefi
                                      t from 
the arrangement; and the contract is a product 
of some form of implicit exchange among the 
different parties based on their respective 
preferences. This analytical approach is what 
distinguishes good political economy work from 
run-of-the-mill methods. 

## Continued

Th e design step covers the development of a communication strategy that provides an overview of the objectives pursued, the stakeholders to be addressed, and the desired behavior change. It also includes the framing of messages in ways that explicitly and persuasively show the benefi ts of change. Design work also involves the selection of an appropriate mix of communication channels, so that messages are delivered by credible spokespersons and can reach intended stakeholders with adequate intensity to be memorable. Furthermore, it is wise to determine the evaluation logic model that defi nes what outcomes are anticipated from the communication interventions.

A systematic approach to developing a communication strategy is suggested, through the Five Communication Management Decisions model described below. A strategy needs to be established before decisions are made on tactics - the concrete steps to be taken and the techniques to be used in realizing communication goals. 

At the outset, the management objective or reform goal needs to be clarifi ed. But to create a meaningful communication strategy, the management objective needs to be stated in a way that defi nes the cause of the problem and the practices that contribute to the problem, Communication interventions can then be designed, not only to increase awareness about the general problem but also to promote changes in knowledge, attitudes and behaviors that would contribute to the achievement of objectives and the sustained success of reform.

Briefl y stated, the Five Communication Management Decisions are:12

- Whose support is critical to the reform's success. -  
What behaviors must be adopted to achieve the 
reform objectives, and what changes in knowledge and attitudes will facilitate the adoption of those behaviors.
-  
What messages will persuade people to support 
reform.
-  
What channels of communication will reach people and be credible to them.
-  
How will communication be monitored and 
e 
valuated.

## Third Step: Deliver

Th e third step focuses on the implementation of communication interventions. Th ese can range from a full-blown mass media campaign targeting a national audience to a series of dialogues with key infl uencers in government, the private sector and civic organizations, or even face-toface meetings with certain households in the community.

In governance reform, building coalitions of people who share a common goal is essential to provide a counterweight to the more organized groups with vested interests that will attempt to derail reform eff ort. Also critical is the timely fl ow of information about the political economy issues identifi ed during the diagnosis stage, as stakeholder preferences shift
  and power dynamics change as communication interventions are implemented. For example, aft er intense media coverage of the breadth and depth of corrupt practices in handing out public service contracts, a group of stakeholders who may earlier have had no interest in a governance reform issue might suddenly mobilize and align their eff orts with those of the reformers. Or a strong lobbying eff ort by vested parties could soft en the public stance of government offi
  cials who have previously championed governance reform.

## Fourth Step: Drive

Driving change requires attending to the evolving context for reform while refl ecting on lessons learned from the past. Seeking change in knowledge, attitudes and behaviors needs to be an ongoing eff ort, from the diagnosis to the design and the delivery steps. Reformers need to recognize the indicators of progress and how communication interventions might have change in the levels of knowledge within targeted stakeholder groups, and how knowledge about the benefi ts of reform are contributing to more positive attitudes towards change. High levels of knowledge combined with increased positive attitudes will enhance the likelihood that stakeholders will be able to change their behaviors in ways that contribute to the success of reform.

How Undertake a well-informed stakeholder analysis after thorough political economy analysis Once "the why has been answered," then one can begin to undertake a well-versed stakeholder analysis. One of the pitfalls of some political economy analysis is that it begins with stakeholder analysis without suffi
 cient comprehension of the 
What and the Why. The strategy that is therefore formulated is oftentimes not very helpful and sometimes even misguided. Identify winners and losers in the stakeholder analysis But the analysis should go beyond this: it should "line up" stakeholders from the most obstinate (those groups who cannot be persuaded to support the proposed reform, no matter what incentives are thrown their way) to the believers (those who do not need convincing). There will be a lot of groups in between and fi
 guring 
their "positions and preferences" correctly will be the key to developing a good communication strategy and ultimately a strong coalition-building effort. Develop a coalition building strategy, and good communication strategy to support it The "How" is fundamentally about implementing the envisioned reform(s) throughout the political landscape. It is about moving from the status quo to an envisioned better state, i.e., a better equilibrium. The heart of the "How" is coalition building and at the center of this is a good communication strategy; as the latter is effectively the glue that binds the different coalition members together. Operationalizing Political Economy Analysis at the Sector Level: The Bus Sector as an Example. Reference is Campos, J. Edgardo and Sameer Akbar (2008).

## Communication Processes For Government Reform

Th ese four steps to communication enable reform teams to plan communication and implement activities in a more systematic manner, reducing the risk of having piecemeal activities that contribute little to the achievement of the specifi c reform goal.

Following is a brief example of how this four-step process was used in the communication intervention that supported the passage of the Philippine Procurement Reform law. 

Diagnose: A research study of the procurement laws in the Philippines revealed the technical challenge: 
there existed a weighty set of rules, regulations and administrative orders that governed the public procurement of goods and services. Before the procurement reform was launched in 1999, a presidential decree passed in 1978 governed the contracting of public infrastructure projects.13 Th e adaptive challenge was more diffi
  cult to uncover, but the bottom line was that some groups benefi ted from this array of confusing rules and regulations, and it was not in their interest to reform the procurement system.

Design: A communication strategy was developed to address multiple stakeholders who needed to be persuaded to join the coalition and support the passage of the public procurement reform law. Th ere were three key tasks relevant to using communication. First, communication was used to unify the executive branch of government. Key offi
  cials of the executive branch of government, led by the Department of Budget and Management together with various line ministries, such as the Department of Public Works and Transportation, participated in discussions about the elements of a new omnibus procurement reform bill. Second, communication was used to rally the civil society organizations and the public, to correct the asymmetry of information that prevented these various groups to fully understand the problems in the current public procurement system and the critical need for reform. Th ird, communication was used to persuade the legislature that investing political capital to pass the new omnibus bill was a worthwhile endeavor.

Deliver: A well-designed and eff ectively orchestrated communication campaign built broad-based support for the passage of the procurement reform bill despite many twists and turns in the changing political landscape. It took almost three years, two Congresses, and two presidents to get the law passed in 2003. Its original champion, former President Joseph Estrada was himself facing impeachment on allegations of corruption and in 2001 stepped down from the Presidency. Linking government, civil society and the legislature, the communication campaign was the "glue" that held the coalitions together until the law was passed.

Drive: Th e communication intervention was implemented in a highly volatile political scenario, with stakeholders changing preferences and continually calculating the "costs" and "benefi ts" to themselves if they promoted public procurement reform. Communication campaigns had to be targeted at specifi c stakeholders off ering messages that appealed to them. An active populace demanded answers from public offi
  cials; hence public will helped to generate political will. Th e bureaucracy was brought into the fold of the reformers by engaging large associations such as the Philippine Association for Government Budget Administration (PAGBA), Inc. with 3,500 members from all sectors of government, which then endorsed the bill to the legislature. Th e media strategy used AM 
radio, television, print and advertising to successfully mobilize public support for the passage of the bill.

## How To Use This Book

Th is book is designed as transmedia material, to encourage trainers, facilitators and reform teams to use these resources and adapt these for their own purposes. Th e training sessions are organized according to four modules: 1) Knowing the Reform Context, which launches the concept of adaptive challenges in the context of government reform; 2) Addressing Recurring Challenges, which presents the strategic context of the Th ree Wills - political, public and organizational; 3) Managing Reform Politics, which examines the role of political economy in the success of governance reform eff orts; and 4)Sustaining Change, which highlights the importance of building communication capacity to ensure that positive results from reform eff orts are not cancelled by any counter-reform moves.

Each of the 10 sessions consists of a summary, teaching notes and process guide, application exercises, a brief write-up of communication approaches and techniques, technical briefs, additional resources;; a reference reading list and multi-media learning resources, with videos, animations and interactive decision tools. Worksheets are ready-to-use. Multimedia materials can be used to spark dialogue about issues, either in informal group discussions, through formal meetings or by structured learning sessions.  

## Learning Outcomes

Th e purpose of this course is to help reform leaders, change agents, development practitioners and communication professionals deal with reform obstacles identifi ed in the 2007 CommGap learning needs assessment  through communication-based approaches and techniques. 

Th at assessment guided the design and content of this learning program by providing information on three main issues: 1) challenges and obstacles that impede information and communication processes, 2) institutional constraints and capacity needs in supporting governance reform, and 3) the role of communication, and the value of media improvement for enhancing transparency and accountability. Th e survey respondents consisted of senior governance and public sector specialists from the World Bank and senior government offi
  cials from fi ve countries in Asia and Africa. 

More broadly, this training program is envisioned to address the 'capacity gap' which constrains most governance reform eff orts. It is designed to provide a strategic focus on knowledge and skills required to address the most diffi
  cult challenges inherent in the reform process. Participants will gain a solid understanding of communication techniques and acquire profound knowledge and skill for using communication techniques and tools aimed at: 

- Securing political will demonstrated by broad leadership support for change, -  
Gaining the support of public sector middle managers, who are oft
 en the strongest opponents 
of change,
- Addressing powerful vested interests by building coalitions of pro-change infl
 uencers,
- Transforming indiff
 erent or even hostile public opinion into support for reform,
- Instigating citizen demand for good governance and accountability.
By the end of this program, participants will

- Understand the role of communication in supporting and sustaining governance reform, - Learn about the framework of the 3Wills: Will, Public Will, Organizational Will, - Improve knowledge of relevant communication approaches and techniques, -  
Acquire skills in various areas of communication infl
 uence, such as persuasion, negotiation, and media 
relations,
-  
Become acquainted with the range of communication expertise required to support governancereform initiatives.

## Learning Content And Organizing Framework

While the contribution of communication to development programs is well recognized, its specifi c role and impact in the governance agenda has yet to be fully explored. Results from the needs assessment as well as insights from governance practitioners and reform managers indicate a need to build a holistic, multi 
-disciplinary and practice-oriented approach in developing learning programs designed particularly for those in the forefront of governance-reform implementation.

Figure 1.7 shows the Organizing Framework of the course, which outlines the diff erent modules and sessions topics (lower half of chart) and maps it alongside a summative graphic (top half of chart) Th e Grounding Path of Governance Reforms, which lays out the social and political processes relevant to each of the key governance reform challenges and the approaches and techniques that policy makers and reform managers may fi nd useful in addressing them. Th is graphic was drawn from the book Governance Reform under R 
eal-
World Conditions: Citizens, Stakeholders, and Voice (World Bank, 2008, one of CommGAP's major research publications, which brings together expert contributions from development practitioners, academic scholars and technical advisors. It is an edited volume which distills knowledge and real-world experiences in unpacking key challenges that frustrate governance reform eff orts and provides valuable lessons and useful approaches in confronting adversities encountered in the political landscape.

## Pedagogical Approach And Course Format

Th e course has a participant-oriented focus and adheres to adult-learning principles based on a model consisting of four distinct phases:  

1. *Experience* where the learning process begins … with an experience.
2. Refl
 ection, to consider and process the experience presented.

based
Reform
Outcomes
CommGAP
Objectives
Evaluation
Challenges
Framework
Objectives of
Interventions
Communication
Communication
Communication-
Accountability
Lack of awareness
Lack of engagement
Lack of citizen
competence
Use citizens' groups
Engage in dialogue
Encourage
deliberation
Use subsidiarity
Citizen Demand for
Manifestations
-  Lack of:
   Awareness
   Engagement
   Citizen competence
-  Inertia/indifference
Approaches
-
-
-
Techniques
-
-
-
-
Opinion
Make the case
Employ cultural
empathy
Use dialogue
Create
participatory
reform groups
Communicate
reform benefits
and costs
Hostile Public
Manifestations
-  Difficult publics
-  'Not in my
   backyard'
   NIMBY
   phenomenon
Approaches
-
-
-
Techniques
-
-
Focus on
influentials
Focus on
networks
Stakeholder
mapping
Network
analysis-
Create urgency
for change
-
-
Manifestations
-  Special interest
   groups opposed
-  Alliances of
   reform
   opponents
Techniques
-
-
-
Approaches
Vested Interests

## Organizing Framework

Middle
Managers
Use appreciative
inquiry
Adopt frank talk
or shock therapy
Combine
monologic and
dialogic
approaches
Signify political
will of leaders
Manifestations
-  Resistance to
   change
-  Lack of ability
   and authority
Approaches
-  
-  
-  
Techniques
-  

## The Grounding Path Of Governance Reform1

Political Will
Manifestations
-  Lone reform champion
-  Lack of support from
   political and policy elites
Approaches
-  Open up spaces for reform
-  Establish interpersonal
   linkages
-  Harness public will
-  Recognize leaders as
-  stakeholders
Techniques
-  Frame problem effectively
-  Persuade leaders to adopt
-  reform
-  Provide requisite authority

## People, Politics And Change - Building Communication Capacity For Governance Reform

Analysis
Political Economy
Examine the **What**,
Impact
Addressing Real-world
Challenges - The
3 Wills
Managing the
Politics of
Reform
Sustaining Change
Use frames to
explain reforms
-
Use ICT
-
Build capacity as
change agents
-
Will
Session 3
Securing Political
Will
-  Convince media  to support
-  reform
Module 3
Module 2
Module 4
Session 1
Linking
Communication
and
Governance
Session 2
Using Political
Economy
Analysis
Knowing
the Reform
Context

## Communication Processes For Government Reform

3.  
Generalization, which draws observations and general conclusions which take the experience into 
account.
4. *Application*, for using and applying the learned techniques.
Designed as an experiential learning program, this course leads participants to work with country-specifi c examples and case studies. Participants will examine stories of success and failure and draw lessons from real-world reform settings. Learning activities and session exercises will provide direct, hands-on application of operationally relevant approaches and tools to improve practical skills in using communicationbased solutions for governance reform programs.  
Th e Sarangaya Water Reform case simulation off ers participants a way to explore issues, concepts and problems that they are likely to face in the process of advancing governance reform; while the accompanying role-play activities engages immediate practice of the core competencies in communication. Th ese are: 1) 
Identifying and understanding communication challenges through political economy analysis, 2) Craft ing and framing messages for key stakeholders, 3) Building coalitions to support reform objectives, engaging in productive multi-stakeholder dialogue, 4) Working with an apathetic or uninformed public, and mobilized interest groups, and 5) Sustaining reform through increased eff orts in strengthening communication capacity.

Th rough its multi-media format, this course off ers participants a winning platform of learning that is supported by a menu of resources with interactive elements, including online performance support tools, animated graphics, slide presentations, and video interviews of experts in governance and communication. 

 
 
An optional feature of the course is an online follow-up program conducted to enable participant interaction with an e-learning format to encourage the productive sharing of relevant experiences, new knowledge and skills acquired in the application of tools and techniques in their respective reform environments. 

 

## Course Overview - Sample 4-Day Program Agenda

| Day 1                       | Day 2        | Day 3        | Day 4        |
|-----------------------------|--------------|--------------|--------------|
| Registration                | Session 2    | Session 3    | Session 10   |
| Opening Session             |              |              |              |
| Using Political Economy     |              |              |              |
| Analysis                    |              |              |              |
| Course Overview and         |              |              |              |
| Learning Objectives         |              |              |              |
| Session 3                   |              |              |              |
| Introductions, Expectations |              |              |              |
| and Participant Goals       |              |              |              |
| Securing Political Will     |              |              |              |
| Coffee break                | Coffee break | Coffee break | Coffee break |
| Session 4                   |              |              |              |
| Participant Discussions     |              |              |              |
| Governance Challenges       |              |              |              |
| Securing Organizational     |              |              |              |
| Will                        |              |              |              |
| Managing Confl           |  ict              |
|--------------------------|-------------------|
| Activity 1 -             |                   |
| Diffi                    | cult Conversation |
| Sustaining Change        |                   |
| Session 9                |                   |
| Managing Confl           | ict               |
| Exercise 2 - Discovering |                   |
| Hidden Interest          |                   |
| Session 9                |                   |
| Managing Confl           | ict               |
| Closing Session          |                   |
| Exercise 3 a Negotiation |                   |
| Informal gathering       |                   |

## Training Sessions

Th e ten training sessions, each dedicated to a key topic, consist of several components:

-  
Session Summary briefl
 y describes the purpose of the session, key concepts discussed, main messages 
and learning outcomes.  
-  
Th
 e Teaching Notes and Process Guide provides trainer instructions and key teaching points (abbreviated) for each presentation slide used in the session. Instructions to the trainer are in italics.
- Application Exercises outline the purpose, process and participant instructions for the structured 
learning activities. 
-  
Communication Approaches and Techniques are distilled from CommGAP's learning events and global 
dialogues
-  
Technical Briefs provide concise, abridged information on key communication concepts, methods and 
tools grounded in research literature
-  
Suggested Reading and References serves as a knowledge guide for the relevant literature about key topics in communication and governance, including an annotated guide and links to relevant blogs posted on the CommGAP website. Th
 is reference lists encourages in-depth understanding of the communication concepts in terms of background, historical trajectory, and empirical research.
-  
Multimedia learning resources provides a list of video, online and interactive materials which can be 
used as learning support tools. Th
 e web resources contain URLs that link to websites that might be 
useful in teaching or researching a particular topic.
Each session also includes an annotated PowerPoint Presentation, with notes and talking points for the trainer. Th ey highlight facilitation tips and guide the trainer in specifi c activities during the course of the session.

## Case Studies

Aft er the training section sessions in the book, we have added a set of seven case studies featuring seven countries, with supporting tools and templates to aid trainers in processing the session material and advancing his or her knowledge about governance reform with the process and outcomes from communicationbased solutions in the experience of those countries. Th ese case studies have been culled and summarized from CommGAP's major research publications and may be employed during the sessions and/or distributed as handouts to participants. 

Companion *Facilitation Tips* and *Tools and Templates* are provided with these case studies to, in the case of the former, give guidance about strategies for successfully facilitating the training process. Th e Tools and Templates are ready-to-use aids for program design and implementation.

## A Call To Action

Th e course, *People Politics and Change* has been used globally and adapted for various stakeholder groups in seeking a deeper appreciation of the value of communication for governance reform. It has been delivered to African civil society organizations, with a special emphasis on the role of communication in programs promoting social accountability. It has been brought to the operational staff
  of the World Bank and the Asian Development Bank together with members of the Affi
  liated Network for Social Accountability from East Asia and the Pacifi c, and from South Asia.   It has been presented to civil society organizations and private sector parties in Eastern Europe and Central Asia. Drawing heavily on this curriculum, an executive education course for strategic communication specialists was developed and delivered jointly by faculty from the Annenberg Schools of Communication at the University of Pennsylvania and the University of Southern California and the World Bank to some 40 senior communication specialists from Africa, East Asia and the Pacifi c, South Asia, Eastern Europe and Central Asia, Latin America and the Middle East. Now this communication and governance content has been fully integrated into the new leadership course launched by the World Bank Institute's ( >Leadership) program off ered to intact reform teams in Asia, Africa and Eastern Europe and Central Asia.

Th ere remains much territory to explore in this discipline. Th is book is a live document that advances the reader along the road of this discovery. We hope it will inspire reform teams, trainers and change-agents to more broadly discover these concepts, approaches, and tools and adapt them for their own specifi c needs, while building on them to co-create new material that can be shared with stakeholders in the fi eld. For it is only by joining hands and minds that reform can truly hope to succeed. We hope this book will be a small contribution to this great task.

## Case Studies

We have included seven case studies in this book that should be used with the training sessions to illustrate real-world applications that illustrate country-specifi c experiences and practical lessons learned in using communication-based strategies and approaches and the impact in the overall reform process. Extended summaries of these briefs are included at the back of this book, which should be used as ready handouts during the sessions, and form source material for group work discussions, role play and simulation. Several of the case studies may be applied to topics in more than one Session. Th e full text of the case studies are available in Odugbemi, S., and Jacobson, T., (eds.) 2008, 'Governance Reform Under Real World Conditions'
, Communication for Governance and Accountability Program (CommGAP), World Bank, Washington DC. http://www.gsdrc.org/go/display&type=Document&id=3758

## Case 1 Bangladesh: "We Didn'T Know People Like M<E Could Ask Questions Like This" - A Dialogue In Bangladesh

 Th
 e Bangladesh *Sanglap*, or dialogue demonstrates the power of issue-based 
public dialogue, and provides a platform for public opinion where citizens can challenge their government and raise important issues of public concern. Th
 e *Sanglap* model established a culture of public debate, raised public 
awareness of political issues, and heightened focus on direct accountability of its political leaders.

## Case 2 Georgia: Building Support For The Rule Of Law

 Th
 e value of opinion research is underscored by the Georgian reform experience. Initially, the public mistrust of the judiciary called for productive and frequent dialogue with its citizens, many of whom were unaware of their rights as citizens and the judiciary's role in establishing the rule of law. Working with credible messengers is one of the key communication lessons learned from this case study. Th
 e creation of an NGO group, the Association 
for Legal Public education (ALPE), served as the independent voice urging the judiciary to work towards a more open and transparent system, while supporting their eff
 orts in public outreach. 

## Case 3 India: Public Enterprise Reform In West Bengal And Orissa States

 Th
 e West Bengal and Orissa case examples off
 er contrasting experiences in 
demonstrating how two diff
 erent communication strategies, though having the same single-minded focus on building political will, can infl
 uence 
change. In Orissa, the government reformers started by building support among elites before engaging the wider public; while in West Bengal they initiated public consultation during the formulation of policy options. Both experiences share the same profound understanding of the relationship that must exist between politics and stakeholder-driven communication to build consensus. Both approaches off
 er valuable lessons in undertaking communication eff
 orts to support reform.

## Case 4 Nicaragua: Participation, Transparency And Consensus Building In Support Of Public Sector Reform

 Th
 e Nicaraguan experience shows how a holistic approach to communication using both one-way and two-way communication techniques were used to strengthen the quality of the governance system internally, both within the government and externally among citizens in the public sphere. By adopting seven-point criteria in developing its communication strategy, intra-governmental coalition-building ensured coherence of messages and political support for transparency and participation. Th
 e clear takeaway from this case 
is that public interest should always have primacy over politics in terms of communication strategies to support public sector reforms. Focusing on the 
res publica fosters a broader defi
 nition of the concept of the state and of public administration beyond the concept of government. 

## Case 5 Bulgaria: Tax Reform And Communication In Bulgaria. Getting It Right

 Reforming the tax administration in a country like Bulgaria required system-wide, sweeping changes that might easily have derailed the process at several places along the way. Th
 e Bulgarian experience illustrates 
how the government in a rush to reform the tax system managed the process eff
 ectively through a communication strategy focusing on both internal and external communication. Transparency and dialogue were central elements of a strategy which was made more eff
 ective with a strategic 
emphasis on building government communication capacity to mobilize broad-based consensus for reform.

## Case 6 Rwanda: Public Sector Middle Managers - The Critical Link To Driving Public Sector Reforms

 Th
 e cadre of public sector managers represents a formidable force in 
ensuring that reforms take place. Th
 e Rwandan experience illustrates how 
communication and advocacy eff
 orts are essential in building the sense of 
ownership and support by middle managers for change within the context of a multi-sector capacity building program. Reforms introduced to improve service delivery in the public sector hinged the support of midlevel managers and their collaborative eff ort as partners rather and consumers of change.

## Case 7 Slovakia: Public Opinion And Reform

 When reformers engage in open and frank dialogue with citizens, when they connect with the national mood and take public opinion seriously, then positive results will occur. Th
 e Slovakian case shows how its government built trust and credibility when they engaged early on in listening to the public. Th
 is helped to frame the reform eff
 ectively and craft
  a unifying message that resonated with the public. As Slovakia's reform experience 
illustrates, people-centered communication processes can drive change even in the face of a diffi
  cult reform environment. Since then, Slovakia has 
seen a change in government leadership, but current public opinion on the reforms remains favorable.

## Facilitation Strategies

Research shows that quality learning programs typically have the following key attributes:

 
1.  
Experiential - draws from the learner's perspective and experiences as a point of reference, 
 
2.  
Participative - aims for a high degree of learner involvement, 
 
3.  
Interactive - maximizes participant engagement with subject matter experts or provided learning 
materials, 
 
4.  
Learner-support enabled - integrates learning support systems in the overall learning program design. 
To ensure a quality learning experience during the course delivery, the list below provides useful tips and reminders for a successful facilitation process.

## During The Session Presentation…

 
-  
Begin the session with a review of the learning objectives. Knowing the scope of session at the outset 
gives participants a broad view of expected learning outcomes.
 
-  
Ask open-ended questions to promote active participation. Some useful questions: 
 -  
To encourage sharing of observations, "What happened during the activity? What did you observe? 
How did you feel about this?"
 -  
To guide refl
 ection on concepts or process, "What may be relevant or true based on your experience? What did you learn in the process?"
 -  
To assist in drawing generalizations, "How does this relate to your own context? What does this suggest to you about the issues you are facing?"
 -  
To apply generalization, "How can you adopt what you just learned? What can you do diff
 erently, 
based on the lessons learned? How can this help in your future work?"
 
-  
Check on participants' comprehension of the concepts. Ask participants to give examples from 
their own experiences or context to confirm if they have obtained a good grasp of the session's content. 
 
-  
Designate a wall space or fl
 ip chart as a 'parking lot' for questions of specifi
 c interest to participants 
that can be tabled for a later discussion. Participants can post their questions on this assigned space. 
 
-  
Remind participants of reading assignments to be completed in preparation for an activity; for 
example, a case study. 

## During The Session Exercises…

 
-  
Review the learning objectives of the exercise and associate the activity with the context of the session.
 
-  
Explain the instructions clearly, providing step-by-step procedures. If the activity involves small group discussions, ensure that the participants are clear about what they have to do before they break up into their assigned groups. Participants who are unclear about the process can slow or break the activity. When provided, display the PowerPoint slide for the exercise. In a role-play or simulation activity, participants will usually be given written instructions. 
 
-  
If the exercise calls for a group discussion, plan ahead to determine how the groups will be formed; for 
example, every third person will belong to Group 1, etc.
 
-  
Distribute the handouts and other materials that may be required during the activity. 
 
-  
Remind participants how much time is allocated for the activity. If the activity involves a two- or 
three-step process, indicate the time allotted for each step. You might want to post this on a fl
 ip chart 
as a reminder for participants. 
 
-  
Ask participants to designate a timekeeper and note-taker who will present the results in plenary. 
 
-  
If additional help is available, assign co-facilitators to circulate among the breakout groups to answer any questions and monitor the progress of group work. 
 
-  
Give a fi
 ve or 10 minute warning to signal the time remaining for the group activity. Th
 is will give groups the 
opportunity to pace themselves and ensure necessary completion of all the assigned tasks in the exercise.
 
-  
In the debriefi
 ng, link the exercise to the session objectives and synthesize its application to the understanding gained from the activity.

## Learning Activities

A learner-centered approach in building skills and competencies requires careful consideration of appropriate learning activities to optimize learning results. Various options are available for course designers and trainers interested in developing and delivering learning programs designed to support reform teams.1

| Learning Activity                      | Purpose                                | Procedure                                |
|----------------------------------------|----------------------------------------|------------------------------------------|
| Brainstorming                          |                                        |                                          |
| -                                      | Generate as many new ideas as          |                                          |
| possible for group discussion          |                                        |                                          |
| -                                      | Encourage practical-minded individuals |                                          |
| to think qualitatively and beyond the  |                                        |                                          |
| day-to-day                             |                                        |                                          |
| -                                      | Involves creative and                  |                                          |
| innovative thinking;                   |                                        |                                          |
| a "freewheeling" and                   |                                        |                                          |
| uninhibited process is                 |                                        |                                          |
| encouraged.                            | -                                      | Solve a problem in an unconventional way |
| The facilitator explains the process   |                                        |                                          |
| objective. Participants engage in      |                                        |                                          |
| open discussion. A recorder lists the  |                                        |                                          |
| participants' ideas before the group.  |                                        |                                          |
| Finally, the participants determine if |                                        |                                          |
| any of the ideas have merit in solving |                                        |                                          |
| the problem under discussion.          |                                        |                                          |
| -                                      | Develop independent and creative       |                                          |
| thinking                               |                                        |                                          |
| Learning Activity                       | Purpose                                |
|-----------------------------------------|----------------------------------------|
| Buzz Session                            |                                        |
| -                                       | Develop questions for a speaker or     |
| panel                                   |                                        |
| -                                       | Explore areas in which the group       |
| would like more information or further  |                                        |
| study                                   |                                        |
| -                                       | Discover areas of special interest for |
| future programs                         |                                        |
| -                                       | A technique for involving              |
| every member of a large                 |                                        |
| group in a discussion. The              |                                        |
| large group is divided into             |                                        |
| small groups of fi                      | ve to seven                            |
| members for a limited                   |                                        |
| time (5–10 minutes); each               |                                        |
| member contributes his or               |                                        |
| her ideas.                              |                                        |
| Case Study                              |                                        |
| -                                       | Present a problem which concerns the   |
| group                                   |                                        |
| -                                       | Present and study the solution to a    |
| problem similar to one that learners    |                                        |
| will confront at work                   |                                        |
| -                                       | A detailed account of any              |
| event or a series of related            |                                        |
| events. The presentation                |                                        |
| may be oral, in writing or a            |                                        |
| combination of the two.                 |                                        |
| -                                       | Develop learners' ability to solve     |
| work-related problems                   |                                        |
| Demonstration                           |                                        |
| -                                       | Teach people to carry out a particular |
| task or skill                           |                                        |
| -                                       | Show a new technique or procedure      |
| -                                       | Convince learners that a new product   |
| or procedure has merit                  |                                        |
| -                                       | An activity to show how                |
| to perform an activity or               |                                        |
| procedure. The learner                  |                                        |
| carries out the activity                |                                        |
| under the guidance of                   |                                        |
| the facilitator. Typically, a           |                                        |
| discussion follows.                     |                                        |
| Interview                               |                                        |
| -                                       | Explore a topic in depth with an       |
| expert or resource                      |                                        |
| The facilitator assigns questions to    |                                        |
| participants following a lecture. The   |                                        |
| learners explore various aspects of the |                                        |
| interviews and pose questions as the    |                                        |
| interview progresses.                   |                                        |

-  
A resource person or panel responds to questions from participants. 

Large Group Discussion
-  
Elicit participants' thoughts and feelings about a topic
-  
Lead learners to sound conclusions without lecturing

-  
A dialogue activity which involves a large group of participants which is led by a facilitator. 
-  
Challenge learners to solve a problem on their own
-  
The ability of the facilitator to ask clear and pointed questions is the key to success.

This technique typically follows a lecture immediately. The facilitator assigns a question and then asks the participants what was clear or vague about the information. The facilitator asks the groups to identify one individual who will report the results of the buzz session. The facilitator hears back from each small group spokesperson and addresses any questions or concerns they have. Learners may receive materials in advance and are expected to read them before class. The facilitator introduces the topic, explains the case study and criteria for problem solving. Group members then offer their strategies and solutions to the large group. Then the group critiques the various solutions, identifying the strengths and weaknesses of each. The facilitator demonstrates a skill or application. A commentator may describe the demonstration or give step by step instructions. Learners try to imitate the facilitator, and then solicit feedback on his or her success from facilitator and peers. The facilitator asks questions that generate discussion, makes sure participation is balanced and summarizes the discussion and relates it to the topic or to the next segment of training.
| Learning Activity                      | Purpose                                  | Procedure   |
|----------------------------------------|------------------------------------------|-------------|
| Lecture                                |                                          |             |
| -                                      | Present factual material in a direct and |             |
| logical manner                         |                                          |             |
| -                                      | Present one point-of-view on a           |             |
| controversial subject                  |                                          |             |
| -                                      | A carefully prepared oral                |             |
| presentation of a subject              |                                          |             |
| by a qualifi                           | ed expert.                               |             |
| -                                      | Recount a personal experience            |             |
| -                                      | Entertain or inspire a group             |             |
| -                                      | Not a useful method for                  |             |
| changing behavior.                     |                                          |             |
| -                                      | Stimulate thinking and further study     |             |
| of a problem and to open it to general |                                          |             |
| discussion                             |                                          |             |
| -                                      | Take notes and question the facilitator  |             |
| Listening Team                         |                                          |             |
| -                                      | Summarize key points made in a           |             |
| presentation                           |                                          |             |
| -                                      | Clarify aspects of a presentation that   |             |
| may be confusing to themselves or      |                                          |             |
| other learners                         |                                          |             |
| -                                      | A team of participants,                  |             |
| representative of the                  |                                          |             |
| audience, takes notes and              |                                          |             |
| summarizes a presentation.             |                                          |             |
| The team may also ask                  |                                          |             |
| questions of the facilitator.          |                                          |             |
| Role Play                              |                                          |             |
| -                                      | Examine a problem that mirrors a         |             |
| work-related situation                 |                                          |             |
| -                                      | Explore possible solutions to a diffi    | cult        |
| problem                                |                                          |             |
| -                                      | Provide insights to the interpersonal    |             |
| dynamics of a situation                |                                          |             |
| -                                      | Participants act out                     |             |
| real-life situations. They             |                                          |             |
| are assigned roles and                 |                                          |             |
| given instructions. The                |                                          |             |
| group then discusses the               |                                          |             |
| process and outcomes,                  |                                          |             |
| and puts it in the context             |                                          |             |
| of the problem under                   |                                          |             |
| consideration.                         |                                          |             |
| Simulation                             |                                          |             |
| -                                      | Explore possible solutions to a diffi    | cult        |
| and complex problem                    |                                          |             |
| -                                      | Provide insights into the dynamics of    |             |
| a process or procedure where people    |                                          |             |
| are involved                           |                                          |             |

-  
Similar to role playing, members re-enact a "reallife" situation. The group discusses the performance as it relates to the problem under consideration. Players can be asked to role play in the simulation or to be "themselves". Group simulations require careful scripting and instructions.

The lecture should be broken into 15 to 20 minute segments, followed by questions from the audience or a buzz session. A question-and-answer session led by the facilitator could follow. The listening team receives instructions on its role. The large group is briefed accordingly. Team members take notes during the presentation The listening team reports back to the large group The problem or situation is defi
 ned for 
the group before the role play begins; the facilitator sets the scene with the group's help. Players are assigned their roles. A warm-up period may be necessary for them to shed their selfconsciousness. A discussion follows the role play on what they learned. Then, if time allows, a second set of players comes up with a different scenario and the process continues.
-  
The problem or situation is defi
 ned 
for the group before the simulation begins.

-  
For role play, players or teams must know what their roles are. Depending on the learning activity, a simulation may be as short as fi
 ve 
to 10 minutes or extend over days and even weeks. The facilitator must keep the simulation moving.
-  
Debriefi
 ng of participants is essential.

## Adult Learning Contexts Of Adult Learning

Th e adage, "Experience is the best teacher," is unassailable. Adults are learning constantly, so long as they are experiencing their environments with some degree of consciousness.1,2 Irrespective of the commonplace of informal adult learning,3 the practice of adult education focuses on several more-or-less institutional c ontexts for adult learning.

Adult Literacy and Basic Education includes, most prominently, adult literacy instruction, but also might include teaching home fi nancial management skills,4 or civics for those seeking citizenship.5 Considerable eff ort in adult basic education is also devoted to preparing learners to earn alternative secondary education credentials, such as the General Education Diploma (GED) in the U.S., for those who have dropped out of school.

Considerable controversy surrounds the choice of criteria for what counts as functional literacy.6 Nonetheless, detailed statistics for the U.S.7 and worldwide8 indicate heterogeneous literacy rates, but with illiteracy generally on the decline. Evidence suggests that higher literacy rates can reduce the poverty burdens in all nations, but especially in developing nations.9 But the universality and the intensity of the relation between literacy rates and national and individual prosperity are subject to ongoing research.10

van der Veen, R. & Preece, J. (2005). Poverty reduction and adult education: Beyond basic education. International Journal of 
Lifelong Education. 24, 381–391.
Th e need to increase participation and retention rates in adult basic and literacy education is likewise the subject of a lively body of research.11 Some deterrents to participation are attitudinal, but others are structural. Common deterrents include: 12

 
-  
Individual, family, or home-related problems, including the need for childcare
 
-  
Cost concerns
 
-  
Incompatibilities of time and/or place, including lack of transportation or interference with job hours
 
-  
Questionable worth, relevance, or quality of available educational opportunities
 
-  
Negative perceptions of the value of education in general
 
-  
Lack of motivation or indiff
 erence toward learning
 
-  
Lack of self-confi
 dence in one's learning abilities
 
- A general tendency toward nonaffi
  liation, and inclination to isolate oneself from institutions
Workplace education is another common context for adult learning. Workplace education has traditionally been framed in terms of providing workers with skills to improve their productivity or for retooling them when old work assignments become obsolete.13 Research on program needs and effi
  cacy is conducted at worksites such as factories where workers need updated skills14 and in the armed forces, where recruits require training in military protocols and technology.15 A topic of keen interest within workplace education pertains to the notion of **situated cognition,** the degree to which knowledge and learning is inextricably linked to the particular context in which that knowledge is used.16 Th us learning to program a production line robot is intimately embedded in the culture of the factory fl oor.

In **organizational training and development,** the focus is on providing a range of management and communication skills needed by leaders and supervisors to enable eff ective decision-making and information fl ow in complex organizations.17 Typical topics in such training are leadership, stress management, time management, mentoring, and running eff ective meetings. One topic that has been the object of considerable research is **transfer**, that is, the degree to which learning in training classrooms and simulations actually impacts behavior on the job.18 Another issue of interest is **return on investment (ROI)** for training programs,19 especially since the training unit within a human resources department is oft en regarded as the least essential and most vulnerable unit in an organization.

 rst three critical weeks: A quasi-experimental model for use in ABE programs. *Adult Basic Education, 10,* 55–69.
12 Scanlan, C. (1986). Deterrents to participation: An adult education dilemma. (ERIC Information Series No. 308). Columbus, 
OH: Th
 e ERIC Clearinghouse on Adult, Career, and Vocational Education, Th
 e National Center for Research in Vocational 
Education, Th
 e Ohio State University.
13 Fenwick, T. J. (2000). Putting meaning into workplace learning. In A.L. Wilson and E.R. Hayes (Eds.), Handbook of Adult and 
Continuing Education, 294–311. San Francisco: Jossey-Bass.
14 Rose, A. D., Jeris, L., & Smith, R. (2005). Identity and practice at steel mill learning centers. Harvard Education Review, 107, 
1305–1334.
15 Kime, S. F., & Anderson, C. L. (2000). Contributions of the military to adult and continuing education. In A.L. Wilson and E.R. 
Hayes (Eds.), *Handbook of Adult and Continuing Education,* 464–479. San Francisco: Jossey-Bass.
16 Brown, J. S., Collins, A., & Duguid, P. (1989). Situated cognition and the culture of learning. *Educational Researcher, 18:1,* 32–42. 17 Laird, D. (2003). *Approaches to training and development*, 3rd ed. New York: Basic Books.
18 Yannil, S., & McLean, G. N. (2001). Th
 eories supporting transfer of training. *Human Resource Development Quarterly, 12,* 195–
208.
19 Rowden, R. W. (2001). Exploring methods to evaluate the return on investment from training. American Business Review, 19, 
6–13.
Adults oft en undertake learning projects, not so much for any instrumental purpose or because of economic motives, but for **self-actualization**.20 Of course work-related learning or acquisition of basic skills need not be divorced from self-actualization; indeed, the most potent motivation for adult learning may be a combination of the desire for self-actualization with other more practical factors.21 Th e Elderhostel movement22 and the Chautauqua movement23 are but two examples of contexts for voluntary adult learning.

## Andragogy

No doubt there are commonalities among learning processes across the life span,24 but as a result of developmental processes, experiential factors, and life circumstances, adult learning is in some respects qualitatively diff erent from learning at any other stage of life.25 the concept of andragogy, originated by Malcolm Knowles,26 captures the uniqueness of adult education and learning. Certainly the concept of andragogy is not without controversy.27 Authors debate about whether andragogy is an explanatory theory, a philosophy of teaching and learning, or a set of prescriptive techniques.28 Other critics charge that the andragogy perspective fails to suffi
  ciently take into account the social, economic, and political realities that constrain adult learners.29
Yet the andragogy perspective wields a powerful infl uence on research about adult learning. Th e andragogy perspective is founded on fi ve assumptions about adult learners.30

 
-  
Adult learners are self-directed.
 
-  
Adult learners have acquired a wealth of experience upon which new learning can be based.
 
-  
Readiness to learn for adults is a function of need that arises from changing life circumstances.
 
-  
Adult learning is highly practical. Adults come to learning in order to perform a task, solve a problem, 
or achieve higher satisfaction in life.
 
-  
Adults are motivated to learn by internal rather than external factors.
Seven features of andragogical process design for instruction follow from those assumptions about learners.31

 e role of self-actualization. Nursing Education Perspectives, 24, 
139–144.
22 Arsenault, N., Anderson, G., & Swedburg, R. (1998). Understanding older adults in education: Decision-making and Elderhostel. Educational Gerontology, 24.
23 Scott, J. C. (2005) Th
 e Chautauqua vision of liberal education. *History of Education, 34,* 41–59.
24 Houle, C. O. Th
 e design of education, 2nd ed. San Francisco: Jossey-Bass.
25 Tennant, M. (1997). *Psychology and adult learning,* 2nd ed. London: Routledge.
26 Knowles, M. S. and Associates. (1984). *Andragogy in action.* San Francisco: Jossey-Bass. 27 Elias, J. L. (1979). Andragogy revisited. *Adult Education, 29*, 252–255.
28 Pratt, D. D. (1993). Andragogy aft
 er twenty-fi
 ve years. In S.B. Merriam (Ed.), Update on adult learning theory. New Directions for 
Adult and Continuing Education, 57. San Francisco: Jossey-Bass.
29 Grace, A. P. (1996). Taking a critical pose: Andragogy-Missing links, missing values. International Journal of Lifelong Education, 
15, 382–392.
30 Knowles, M. S. and Associates. (1984). *Andragogy in action,* 9-12. San Francisco: Jossey-Bass.
31 Ibid, 15–18.
 
-  
An optimal climate for adult learning eschews typical classroom layouts that favor one-way transmission. Th
 e optimal climate fosters mutual respect, collaboration, trust, supportiveness, openness, 
authenticity, pleasure, and "humanness."
 
-  
Adult learners are involved in program planning.
 
-  
Adult learners diagnose their own educational needs.
 
-  
Adult learners formulate their own learning objectives.
 
-  
Adult learners formulate their own learning plans to meet those objectives.
 
-  
Tools, most prominently learning contracts, are needed to help learners carry out their learning plans.
 
-  
Adult learners are involved in evaluating their own learning.
Th e concept of **self-directed learning**, key to andragogy, is the subject of considerable theory and research.32 Th e **Staged Self-Directed Learning Model**33 is perhaps the most prominent explication of the role of self-directed learning in education. It describes four learner stages and the concomitant teacher stances that function at each of those levels.

 
1.  
Student is a dependent learner; teacher serves as authority or as coach.
 
2. Student is an interested learner; teacher serves as motivator and guide.
 
3. Student is an involved learner; teacher serves as a facilitator.
 
4. Student is a self-directed learner; teachers serve as a consultant or delegator.

## Adult Learning Styles

Learning style—the varying ways in which people acquire, process, and retain information—is most oft en regarded as an individual diff erence variable, rather like personality. Th erefore much research and theory about learning styles is treated as generalizable across ages. Th us, for example, Howard Gardner's taxonomy of multiple intelligences34 is frequently applied in adult education and training as well as in elementary and secondary education.35 Th e taxonomy includes seven types of intelligences, diff erent confi gurations of which (they are interdependent, not independent) dominate in diff erent learners:

 
1. Linguistic intelligence
 
2. Logical-mathematical intelligence
 
3. Musical intelligence
 
4. Bodily-kinesthetic intelligence
 
5. Spatial intelligence
 
6. Interpersonal intelligence
 
7. Intrapersonal intelligence, or self-awareness
Another common learning style taxonomy that is profi tably applied to adult learning36 as well as to childhood education is the **Dunn and Dunn model.**37 It attempts to integrate fi ndings from fi ve domains.

 
1. Environmental preferences: degree of quiet, amount of light, temperature, seating preferences
 
2. Emotional factors: persistence, responsibility
 
3. Sociological preferences: learning alone or with peers
 
4. Physiological factors: perceptual strengths, time of day
 
5. Psychological processing style: global vs. analytic, impulsive vs. refl
 ective
Although many elements of learning style may indeed be personality traits that are common across ages, eff ects of physiological changes in the brain38 and of experience and of life circumstances also render certain elements of learning style unique to adults. **Kolb's Learning Style Model**39 is intended to be adult-specifi c in that it accords a key role to accumulated experience as well as to mature development toward an integrated and relativistic sense of self. Th e model and its associated learning style measurement tool has been adopted in a host of research studies.40 Kolb's model postulates a learning cycle (i.e., a nonlinear view of learning) 
that includes four processes (feeling, watching, thinking, doing) and preferences for one or another of these processes defi ne four categories of learning styles.

 
1. Divergers favor concrete experience and refl
 ective observation.
 
2. Assimilators favor refl
 ective observation and abstract conceptualization.
 
3. Convergers favor abstract conceptualization and active experimentation.
 
4. Accommodators favor active experimentation and concrete experience.
A great many other models and instruments for understanding adult learning styles are available.41 For example, some researchers treat the ubiquitous Myers-Briggs types, usually regarded as a personality typology, as a surrogate for an index of learning styles preference.42,43

## Transformative Learning

Many adult educators and researchers have chafed against paradigms of adult learning that they felt to be unduly oriented toward economic productivity, or which failed to give suffi
  cient attention to sociopolitical 

38 Hill, L. H. (2001). Th
 e brain and consciousness: Sources for information for understanding adult learning. In S.B. Merriam (Ed.), 
New update on adult learning theories. New Directions for Adult and Continuing Education, 89. San Francisco, Jossey-Bass.
39 Kolb, D. A. (1984), *Experiential learning: Experience as a source of learning and development. E*nglewood Cliff
 s, NJ: Prentice-Hall.
40 Willcoxson, L., & Prosser, M. (1996), Kolb's Learning Style Inventory (1985): Review and further study of validity and reliability, 
British Journal of Educational Psychology, 66, 251–61.
41 Hall, E., & Moseley, J. (2005). Is there a role for learning Styles in personalised education and training? International Journal of 
Lifelong Education, 24, 243–255.
42 Mupinga, D. M., Nora, R. T., & Yaw, D. C. Th
 e learning styles, expectations, and needs of online students. College Teaching, 54, 
185–189.
43 Filbeck, G., & Webb, S. (2000). Executive MBA education: Using learning styles for successful teaching strategies. Financial 
Practice and Education, 10, 205–215.
issues of individual and group emancipation.44 Much theory and practice in this vein draws upon the work of Brazilian literacy educator **Paulo Freire.**45,46 Freire popularized the notion of **critical pedagogy,** pointing out that education is never a politically neutral process of merely "banking" knowledge in the minds of learners. Oppressed people, according to Freire, are enmeshed in a "culture of silence." Th ey can achieve "conscientization," however, through dialogue and co-learning with their teachers. Th rough studying the language of power and by other means, learners can eventually achieve awareness of the systems of power in their society.

Learner refection is central to critical pedagogy.47 While refl ective learning can mean many things, it is oft en linked to the notion of a refl ective practitioner.48 A refl ective practitioner is one who experiences awe, surprise, and curiosity about her experiences, rather than simply focusing on technique. One common method for enhancing refl ectivity among learners is the use of learning portfolios, which oft en explicitly require a refl ective essay.49, 50
Th e goal of critical consciousness and refection is to help learners not merely accumulate quantities of information, but rather to help learners transform themselves. A considerable body of research pertains to transformational processes in adult education.51,52  A leading thinker on this topic is Mezirow,53 who sees adult learning as an opportunity to challenge three kinds of **distortions** that may have accrued in earlier education:

 
1. Epistemic distortions about the nature and use of knowledge
 
2. Sociocultural distortions about power and social relations
 
3. Psychological distortions that lead to fear and anxiety in the individual
Mezirow's theory posits that these distortions can be overcome through a process of perspective transformation. Perspective transformation, which is regarded as the central task of adult learning, consists of a ten-stage sequence that should be considered a dynamic process rather than a rote prescription that can be taught:54

 
1. Experiencing a dilemma that upsets one's sense of order
 
2. Self examination
 
3. Critical assessment of one's role assumptions and resulting sense of alienation from the status quo
 
4. Sharing one's discontent with a group or community of interest
 e possibilities and limitations of a feminist emancipatory adult 
learning theory and practice. *Adult Education Quarterly, 48,* 139–156.
45 Freire, P. (1970). *Pedagogy of the oppressed. N*Y: Continuum Publishing. 46 Shor, I. (1992). *Empowering education.* Chicago: University of Chicago Press.
47 Brookfi
 eld, S. D. (2000). Th
 e concept of critically refl
 ective practice. In A.L. Wilson and E.R. Hayes (Eds.), Handbook of Adult 
and Continuing Education, 33–49. San Francisco: Jossey-Bass.
48 Schon, D. (1987). Educating the refl
 ective practitioner: Toward a new design for teaching and learning in the professions. San 
F 
rancisco: Jossey-Bass.
49 Hurst, B., Wilson C., & Cramer, G. (1998). Professional teaching portfolios. *Phi Delta Kappan, 79:8*, 578–82.
50 Stansberry, S. L., & Kymes, A. D. (2007) Transformative learning through "Teaching With Technology" electronic portfolios. 
Journal of Adolescent and Adult Literacy, 50, 488–496.
51 Taylor, E. (1997). Building upon the theoretical debate: A critical review of the empirical studies of Mezirow's transformative 
learning theory. *Adult Education Quarterly, 48,* 34–59.
52 Baumgartner, L. M. (2001). An Update on Transformational Learning. New Directions for Adult and Continuing Education, 89, 
15–25.
53 Mezirow, J. and Associates (1991). Fostering critical refection in adulthood: A Guide to transformative and emancipatory learning. 
San Fransciso: Jossey-Bass.
54 Mezirow, J. (1995). Transformation theory of adult learning. In M.R. Welton (Ed.), *In defense of the lifeworld,* 39–70. Albany, NY: 
SUNY Press.
 
5. Exploring options for new roles and actions
 
6. Planning a program for personal change
 
7. Acquiring knowledge needed to implement change
 
8. Experimenting and testing new roles and behaviors
 
9. Gaining confi
 dence and competence in those new roles and actions 
 10. Reintegrating into society on new terms of one's own choosing

## Technology And Adult Education

Information and communication technology (ICT) enjoys an ever-expanding role in education and training in diverse settings.55 Th e seeming constant presence of ICT in instruction—including not only computerand Internet-assisted learning but now also the use of video games and mobile telephones56—is belied, however, by the phenomenon known as **the digital divide.** Th e digital divide betokens diff erential access to ICT. 

While the digital divide is usually defi ned in terms of socioeconomic status, ethnicity, gender, or nationality,57 
age is also a factor. Adults typically have less access and require more support in technology use than do younger users.58 When age is combined with minority status, low income, and low literacy, adult utilization of the Internet plummets.59 Bridging the digital divide for adult learners is not merely a matter of making computers physically accessible (though accessibility is important). Even when community technology centers put computer access within physical reach of adult learners, many individuals are deterred because they fail to see the relevance of ICT to their lives, because they harbor anxieties about learning technology, or because their self-concepts are incompatible with computer usage.60
Knowledge workers are edging out production and service workers as the mainspring of the industrialized nations' workforces.61 For that reason, and because so many adult learners lack computer literacy, and because the rate of change in the ICT knowledge-base is so rapid even for those who are competent knowledge workers, an important component of adult education is **technology as curriculum**.62 Th at is, many adult learners are immersed in acquiring information technology skills.

and disability. *Multicultural Perspectives, 3:3,* 39–44.
58 Lam, J. C. Y., & Lee, M. K. O. (2006). Digital inclusiveness: Longitudinal study of Internet adoption by older adults. Journal of 
Management Information Systems, 22, 177–206.
59 Norris, D. T., & Conceição, S. (2004). Narrowing the digital divide in low-income, urban communities. New Directions for Adult 
and Continuing Education, 101, 69–81.
60 Stanley, L. D. (2003). Psychosocial barriers to computer literacy. *Information Society, 19,* 407–507.
61 Gordon, E. E. (1997). Th
 e new knowledge worker. *Adult Learning, 8:4,* 14–17.
62 Kasworm, C. & Londoner, C. (2000). Adult learning and technology. In B. Hayes and A. Wilson (Eds.), Handbook of Adult and 
Continuing Education, 224–241. San Francisco: Jossey-Bass.

## Adult Learning

Recent research suggests that there is oft en a disjuncture between technology training curricula that intend to impart *competence* in some linear fashion and the nonlinear methods that many technology end users actually employ to achieve *capability*.63 Th at is, individuals who are experienced and self-effi
  cacious learners of technology oft en experiment, play, learn from their failures, try out alternative paths, and thereby become capable of working with a wide variety of hardware and soft ware. Successful technology users oft en learn a piece of soft ware just a bit at a time, on a need-to-know basis. And they oft en consult with other similarly struggling peers or with mentors to share short cuts and effi
  ciencies they have discovered.64 Typical computer and technology training programs, to the contrary, are most oft en linear and directive.

Complementing questions of technology as curriculum are issues relating to technology as a delivery system for instruction. In fact, continuing adult education has long relied on technology—radio and television classes, and fi lms—to effi
  ciently reach large numbers of learners as well as to reach geographically isolated learners.65 Currently, technology-mediated adult learning situations range from highly specialized one-time teleconferences originating at distal sites66 to use of computer-assisted learning modules available on demand in adult basic education and literacy classrooms.67 Head-to-head comparisons of learning outcomes and learner attitudes comparing technology-mediated distance education and traditional classroom instruction famously result in either very small or zero advantage for one format over the other.68,69 One factor contributing to the lack of clear fi ndings in this body of research may be poor experimental methods.70 Another explanation may be that distance education is very eff ective for some students—those with high autonomy and internal locus of control, for example—but not for others.71 A recent trend is toward **hybrid classes**. Some are traditional faceto-face classes that incorporate periodic asynchronous email conferences, or synchronous chat-room meetings, or online collaborations; some are distance classes that incorporate occasional on-site whole group meetings.72
Th e trend toward hybrid classes highlights the fi nding that even the most technologically mediated, self-directed learning is enhanced by peer input and collaboration.73 Th us, the formation of online learning communities has engendered a great deal of research interest.74 Technological tools for maintaining online communities include:75

63 Phelps, R., Hase, S., & Ellis, A. (2005). Find more like this competency, capability, complexity and computers: Exploring a new 
model for conceptualising end-user computer education. *British Journal of Educational Technology, 36,* 67–84.
64 Kasworm, C. & Londoner, C. (2000). Adult Learning and Technology. In B. Hayes and A. Wilson (Eds.), Handbook of Adult and 
Continuing Education, 227. San Francisco: Jossey-Bass.
65 Moore, M. G. (2003). From *Chautauqua to virtual university: A century of distance education in the United States.* Information 
Series 393. Columbus, OH: Ohio State University Center on Education and Training for Employment
66 Harris, S. B., Leiter, L. A., Webster-Bogaert, S., Van, D.M., & O'neill, C. (2005). Teleconferenced educational detailing: Diabetes 
education for primary care physicians. *Journal of Continuing Education in the Health Professions, 25:2,* 87–97.
67 Berger, J. I. (2001). Eff
 ectiveness of computers in ALBE classrooms: An analytic review of the literature. Adult Basic Education, 
11, 162–183.
68 Lou, Y., Bernard, R., & Abrami, P. (2006). Media and pedagogy in undergraduate distance education: A theory-based metaanalysis of empirical literature. *Educational Technology Research & Development, 54,* 141–176.
69 Allen, M., Bourhis, J., Burrell, N., & Mabry, E. (2002). Comparing student satisfaction with distance education to traditional 
classrooms in higher education: A meta-analysis. American Journal of Distance Education, *16:2,* 83–98.
70 Bernard, R. M., Abrami, P. C., Yiping, L., & Borokhovski, E. (2004). A methodological morass? How we can improve quantitative 
research in distance education. *Distance Education, 25:2,* 175–198.
71 Eastmond, D. (1995). *Alone but together: Adult distance education though computer conferencing.* Creskill, NJ: Hampton Press.
72 DeNeui, D. L., & Dodge, T. L. (2006). Asynchronous learning networks and student outcomes: Th
 e utility of online learning 
components in hybrid courses. *Journal of Instructional Psychology, 33:4,* 256–259.
73 Salmon, G. (2000). Emoderating: Th
 e key to teaching and learning online. London: Kogan-Page.
74 Brook, C., & Oliver, R. (2003). Online learning communities: Investigating a design framework. Australian Journal of Educational Technology, 19, 139–160.
 
-  
Synchronous tools such as chat rooms or instant messaging
 
-  
Asynchronous tools such as discussion boards or email lists
 
-  
Content integration tools such as blogs or courseware
 
-  
Document management tools such as collaborative writing environments with version tracking
But the tools themselves are only a minor part of what it takes to build an online learning community. One model for **online co-construction of knowledge** postulates fi ve sequenced steps which must be undertaken collaboratively:76

 
1. Sharing and comparing information among members of the learning community
 
2. Unearthing dissonance or inconsistency among ideas
 
3. Negotiating meaning among community members
 
4. Testing and modifi
 cation of a co-constructed conclusion or fi
 nding
 
5. Agreement statements and the application of newly constructed meaning
Finally, the **social dimension** of online learning communities has been found to contribute to learning outcomes as well as to aff ective outcomes.77 A review of literature identifi es the following techniques for fostering that social dimension among adult online learners: 78

 
-  
Welcome members individually to the learning community
 
-  
Whenever members post, acknowledge their contributions
 
-  
Establish member profi
 les to which everyone can refer
 
-  
Establish a unique and positive identity for the community
 
-  
Set guidelines for communication, e.g., limitations on topics, length of posting, or managing confl
 ict
 
-  
Allow participants to adopt roles with which they are comfortable
 
-  
Develop a common symbol system including in-group jargon, acronyms, and the like
 
-  
Develop and encourage rituals that reinforce community coherence
 
-  
Cultivate a social dimension in addition to the task dimension of interaction
tional Technology, 19, 139–160.

## Additional Resources Adult Learning

Th is resource guide is designed to provide additional information about adult learning. Each section of the resource guide corresponds with a section of the Adult learning Participant Guide and contains two sections: additional textual resources, and useful web and media resources. Th e additional textual resources section provides references that off er a more in-depth understanding of the concepts. Th e useful web and media resources section contains the URLs to websites that might be useful in teaching or researching the topic, as well as fi lms and videos that can be used in training workshops.

## The Contexts Of Adult Learning Additional Textual Resources

 
-  
Baldwin, J. I., & Ford, J. K. (1988). Transfer of training: A review and directions for future research. 
Personnel Psychology, 41, 63–105.
 
-  
Beder, H., & Medina, P. (2001). *Classroom Dynamics in Adult Literacy Education*. Cambridge, MA: 
National Center for the Study of Adult Learning and Literacy.
 
-  
Caff
 arella, R., & Merriam, S. B. (2000). Linking the individual learner to the context of adult education. In A. L. Wilson and E. R. Hayes (Eds.), *Handbook of Adult and Continuing Education* (pp. 
55–70). San Francisco: Jossey-Bass.
 
-  
Lave, J., & Wenger, E. (1991). *Situated learning: Legitimate peripheral participation.* NY: Cambridge 
University Press.
 
-  
Merriam, S. B., & Simpson, E. L. (2000). *A guide to research for educators and trainers of adults* (2nd 
ed.). Malabar, FL: Krieger.
 
-  
Nevis, E. C., Bella, A. J., & Gould, J. M. (1996). Understanding organizations as learning systems. 
Sloan Management Review, 36:2, 73–85.
 
-  
Pernick, R. (2001). Creating a leadership development program: Nine essential tasks. Public Personnel Management, 30, 429–445.
 
-  
Quigley, B. A. (1997). Rethinking Literacy Education: Th
 e Critical Need for Practice-Based Change. San 
Francisco: Jossey-Bass.
 
-  
Solars, E., & Cannon-Bowers, J. A. (2001). Th
 e science of training: A decade of progress. Annual 
Review of Psychology, 52, 471–499.

## Useful Web And Media Resources

 
-  
http://www.ala.org/ala/olos/outreachresource/servicesnewnonreaders.htm —Th
 e American Library 
Association Offi
  ce for Outreach and Adult Literacy off
 ers guidelines for developing and assessing 
adult literacy programs.
 
-  
www.astd.org —Th
 e American Society for Training and Development is the largest organization or 
workplace education professionals. Its web site off
 ers white papers, practice tips, and numerous links.
 
-  
http://www.geocities.com/workplace_education/ —A collection of resources and research articles on 
workplace education.
 
-  
http://www.managementhelp.org/aboutfml/what-it-is.htm —Th
 e Free Management Library is a compilation of hundreds of articles and links that focus especially on employee training.
 
-  
http://www.ncsall.net/ —Th
 e National Center for Adult Learning and Literacy hosts the online journal, *Review of Adult Learning and Literacy,* as well as portals to a variety of other online resources.
 
-  
http://www.nifl
 .gov/ —Th
 e National Institute for Literacy provides a portal to statistics and programs 
regarding adult literacy in the U.S.

## Andragogy Additional Textual Resources

 
-  
Confessore, S. J., & Kops, W. J. (1998). Self-directed learning and the learning organization: Examining the connection between the individual and the learning environment. Human Resource Development Quarterly, 9, 365–375.
 
-  
Merriam, S. B. (2001). Andragogy and self-directed learning: Pillars of adult learning theory. In S.B. 
Merriam (Ed.), Th
 e new update on adult learning theory (New directions for Adult and Continuing 
Education, No 65). San Francisco: Jossey-Bass.
 
-  
Ozuah, P. O., Curtis, J., & Stein, R. E. K. (2001). Impact of problem-based learning on residents' selfdirected learning. *Archives of Pediatric and Adolescent Medicine.155,* 669–672.
 
-  
Roberson Jr., D. R., & Merriam, S. B. (2005). Th
 e self-directed learning process of older rural adults. 
Adult Education Quarterly, 55, 269–287.
 
-  
Savicevic, D. M. (1991). Modern conceptions of andragogy: A European framework. Studies in the 
Education of Adults, 23, 197–201.
 
-  
Vooglaid, Y., & Marja, T. (1992). Andragogical problems of building a democratic society. International Journal of Lifelong Education, 11, 321–328.

## Useful Web And Media Resources

 
-  
http://www.columbia.edu/itc/tc/parker/adlearnville/library.html —Part of an adult learning community website, this page links to streaming video interviews with Malcolm Knowles and another with Sharon Merriam.
 
-  
http://www-distance.syr.edu/sdlhome.html —Website associated with the International Self-Directed Learning Symposium.
 
-  
http://www.gwvirginia.gwu.edu/library/guides/hrd_elp/adult_learning_websites.htm —Links to a number of annotated bibliographies on andragogy.
 
-  
http://www.umsl.edu/~henschke/ —Andragogy website maintained at University of Missouri-St. 
Louis.

## Adult Learning Styles Additional Textual Resources

 
-  
Dunn, R. S., & Dunn, K. J. (1998). Th
 e complete guide to the Learning Styles Inservice System. Boston: 
Allyn & Bacon.
 
-  
Mainemelis, C., Boyatzis, R., & Kolb, D. A. (2002), Learning styles and adaptive fl
 exibility: testing the 
experiential theory of development, *Management Learning, 33*, 5–53.
 
-  
Russell, S.S. (2006). An overview of adult-learning processes. *Urologic Nursing, 26,* 349–370.
 
-  
Van Wynen, E.A (2001) A key to successful aging: learning-style patterns of older adults. Journal of 
Gerontological Nursing, 27, 6–15.
 
-  
Viens, J., & Kallenbach, S. (2004). Multiple intelligences and adult literacy: A sourcebook for practitioners. NY: teachers College Press.

## Useful Web And Media Resources

 
-  
http://agelesslearner.com/intros/lstyleintro.html —Th
 is page from the Ageless Learner web site links 
to a variety of formal and informal learning style inventories.
 
-  
http://learningstyles.net/ —International Learning Styles Network off
 ers free membership and links 
to scholarly and applied resources.
 
-  
http://vark-learn.com/english/index.asp —An online learning styles assessment tool that reveals verbal, visual, auditory, or kinesthetic dominance.
 
-  
http://www.emtech.net/learning_theories.htm —Th
 is learning theories website off
 ers summaries of 
major thinking about the nature of knowledge and learning, and links to a great many articles and essays regarding each theory.

## Transformative Learning Additional Textual Resources

 
-  
Brookfi
 eld, S.D. (2004). Th
 e *power of critical theory: Liberating adult learning and teaching*. San Francisco: Jossey-Bass.
 
-  
Brown, K.M. (2004). Leadership for social justice and equity: Evaluating a transformative framework 
and andragogy. *Educational Administration Quarterly, 5*, 700–745.
 
-  
Collard, S., & law, M. (1989). Th
 e limits of perspective transformation: A critique of Mezirow's theory. 
Adult Education Quarterly, 39, 99–107.
 
-  
Cranton, P., & Carusetta, E. (2004). Developing authenticity as a transformative process. Journal of 
Transformative Education, 2, 276–293.
 
-  
DasGupta, S., Fornari, A., Geer, K., Hahn, L., Kumar, V., Lee, H., Rubin, S., & Gold, M. (2006). Medical education for social justice: Paulo Freire revisited. *Journal of Medical Humanities, 27*, 245–251.
 
-  
Mayo, P. (1999). *Gramsci, Freire and adult education: Possibilities for transformative action.* London: 
Zed Books.
 
-  
Purcell-Gates, V., & Waterman, R.A. (2000). Now we read, we see, we speak: A portrait of literacy development in an adult Freirian-based class. Mahwah, NJ: Lawrence Erlbaum.
 
-  
Shor, I, & Freire, P. (1987). *A pedagogy for liberation: Dialogues on transforming education*. Boston: 
Bergin & Garvey.
 
-  
Usher, R., Bryant, I., & Johnston, R. Adult education and the postmodern challenge: Learning beyond 
the limits. New York: Routledge.

## Useful Web And Media Resources

 
-  
http://www.paulofreireinstitute.org/ —Th
 e Paulo Freire Institute at UCLA off
 ers an online research 
journal.
 
-  
http://www.podcastforteachers.org/atl/ —"Adventures in Transformative Learning" is a series of podcasts and other resources for adult educators.
 
-  
http://www.thepeaceprojectonline.org/documentary —Short documentary fi
 lm produced by high 
school students regarding Paulo Freire.
 
-  
"Second Chance: Making it Work" (2004), Good People 2 Know Marketing and Entertainment 
Corp - Th
 is fi
 lm documents the lives of women who have undergone dramatic transformations in 
the face of challenges.

## Technology And Adult Learning Additional Textual Resources

 
-  
Berger, J. I. (2005). Perceived consequences of adopting the Internet into adult literacy and basic education classrooms. *Adult Basic Education, 15*, 103–121.
 
-  
Cahoon, B. (Ed.) (1998). *Adult learning and the Internet* (New directions for Adult and Continuing 
Education, no. 78). San Francisco: Jossey-Bass.
 
-  
Chandrasekhar, C. P., & Ghosh, J. (2001). Information and communication technologies and health 
in low income countries: Th
 e potential and the constraints. Bulletin of the World Health Organization, 
79, 850–856.
 
-  
Dawson, C. (2004). Learning how to study again: A practical guide to study skills for mature students 
returning to education or distance learning. NY: Oxford University Press.
 
-  
Palloff
 , R., & Pratt, K. (1999). *Building Learning Communities in Cyberspace.* San Francisco: Josey-Bass 
Publishers.
 
-  
Venter, K. (2003). Coping with isolation: the role of culture in adult distance learners' use of surrogates. *Open Learning, 18*, 271–287.
 
-  
Vonderwell, S., Xin, L., & Alderman, K. (2007). Asynchronous discussions and assessment in online 
learning. *Journal of Research on Technology in Education, 39*, 309–328.

## Useful Web And Media Resources

 
-  
http://alri.org/harness.html —Harnessing Technology to Serve Adult Literacy provides numerous 
links to research and practice in areas such as math, science, home repair, and civics. It also includes soft
 ware reviews and links to online tools.
 
-  
http://www.educause.edu/ —Educause is an organization that promotes eff
 ective use of technology in 
higher education. Its website links to various online resources and communities.
 
-  
http://www.health.heacademy.ac.uk/resources/healthcast/hspvideo/keynote2.wmv/view/ —Streaming 
video presentation entitled "Learning to Use Technology/Using Technology to Learn" in health professions education.
 
-  
http://www.merlot.org/merlot/index.htm —MERLOT (Multimedia Educational Resource for Learning and Online Teaching) certifi
 es quality for public domain learning soft
 ware and promotes related 
research and development.
 
-  
http://www.learningcircuits.org/ —Sponsored by the American Society for Training and Development, Learning Circuits hosts discussions and research resources and instructional technology for training professional.

## Module I Knowing The Reform Context

Th is module introduces the concept of adaptive challenges in governance reform, and deliberates on the eff ective use of communication infl uence mechanisms. Shaping stakeholders' opinions, attitudes, and behavior change is critical for achieving sustainable governance. And adaptive challenges, while intrinsic to complex political environments, may also be amenable to communication-based solutions. An operationally relevant political economy analysis is shown as a way to unravel persistent problems and key vulnerabilities in the change environment. An in-depth understanding of the "What," the Why," and the "How" of reform is critical to mounting eff ective interventions for addressing diffi
  cult obstacles in the reform process.

## Linking Communication And Governance

Th e opening session provides an overview of 'how and why' communication matters in governance reform. We introduce a broad scope of communication's contribution to governance from two levels–
communication structures, through which government communicates and engages in dialogue with citizens; and *communication processes,* which infl uence opinions, attitudes and behavior change among key stakeholders who are critical to the reform process.

## Key Concepts And Messages

- Adaptive challenges are amenable to communication-based solutions. - Successful and sustainable reform requires addressing both technical and adaptive challenges. - Public opinion, a product of the public sphere, is a critical force in mobilizing multi-stakeholder support 
for governance reform. 
- Seize every opportunity to improve the public sphere where ever you are.

## Learning Outcomes

By the end of the session, participants will be able to: - Draw the distinction between adaptive challenges and technical problems in governance reform, - Apply an adaptive approach in their specifi
 c reform experiences using the framework of addressing challenges of political will, organization will and public will,
- Explore communication-infl
 uence strategies (both supply- and demand-side) that are relevant in their 
reform contexts
- Explain the importance of the democratic public sphere and public opinion in building broad support for 
reform.

## Exercise: Small Group Discussion: Addressing Adaptive Challenges Session Length: 90 Minutes T Eaching Notes And Process Guide

Content and Process
Presentation Slides and Process Cues

[Two active buttons here, side by side :]*
Play Slideshow Download Presentation File

## Addressing Adaptive Challenges Small Group Discussion

T I M E  A L L O T T E D :  4 0  M I N U T E S

## Purpose

To identify communication challenges and draw lessons from the utilized communication-based solutions. Th ree case examples, of governance-reform initiatives in Bulgaria, India and China are provided in the handouts. 

## Process

 
1.  
Ask participants to break into small groups of four to fi
 ve people.   
 
2.  
Distribute the handouts.
 
3.  
Each group will be given 20 minutes to discuss and share their experiences based on guide questions 
provided below. Groups should select a facilitator who will moderate and report back the group's discussion in plenary. 
 
4.  
Each group will present a two-minute summary of their discussions by presenting a brief overview of 
the case and its answers to the discussion questions.
 
5.  
Once all groups have completed their individual presentations, the facilitator will lead a 10-minute 
recap in plenary to summarize common fi
 ndings across the examples, and draw broad conclusions or 
lessons from the diverse set of case experiences.   

## Discussion Questions

Based on your reading of the case examples, please answer the following questions:

 
-  
What adaptive challenges were encountered–securing political will, organization will or public will? 
 
-  
What technical challenges had to be addressed, if any? 
 
-  
 What were the communication solutions used here ? 

## Orrissa, India: Public Enterprise Reform

Orissa is one of India's poorer states.  It is located on the east coast just south of West Bengal and north of Andhra Pradesh.  On the eve of the new millennium, the state government's fi nancial woes and the condition of its public enterprises were sources of great concern.  Th e new chief minister, Naveen Patnaik, inherited a political machine that lacked discipline.  Even among Orissa state legislators and many senior civil servants, there was neither an appreciation of the size and scope of the public enterprise problem nor the resolve to confront it.  Yet the new chief minister, together with a small group of senior civil servants, championed needed reforms, took the debate to the people, and built a statewide consensus.  
Orissa  published white papers on state fi nances in 1999 and 2001, which admitted that government's indiscriminate borrowing had not yielded expected results in terms of development, growth, and poverty alleviation.  Instead, the state was in a debt trap and at a crisis point.  Th e papers called for immediate and drastic steps to turn the fi scal situation around and proposed public debate on the issue.  Th e need for enterprise reform, part of a much broader government drive toward solvency, began to resonate inside and outside government.  One Indian economist commented: "Th e fact that Naveen Patnaik is among the few chief ministers to be returned to power aft er a state election is a testament to the fact that the people supported the tough approach taken by his government in its previous tenure"
. Th at success was, fi rst and foremost, the result of competent communication.

–Masty (2008), *Governance Reform*…

## Bulgaria: T Ax Reform

Th e Bulgarian government decided to unify and modernize its tax collection facilities by combining the revenue-collection function (NSSI) and the General Tax Directorate (GTD) into a new, single tax authority: 
the National Revenue Agency (NRA). Th e need for change was enormous. Bulgaria's tax system deterred foreign investors and citizen-taxpayers alike. 

Initially, technocratic and bureaucratic reluctance to internal and external communication was high. To address this challenge, the NRA devised an internal communication strategy. In a span of three months, the NRA held 25 half-day meetings, each with 100 to 300 participants from NSSI and GDT. All local agency employees were invited to the meetings. Senior NRA offi
  cials, together with participants from the two merging agencies, made presentations summarizing public opinion survey data on attitudes about taxes, discussed the need for enhanced revenue collection, and sketched out how the government planned to unite the two agencies. Time was also spent discussing opportunities for career advancement and benefi ts for the small number of employees who would lose their jobs in the merger. New procedures for answering employee questions via the newly created NRA Intranet were also announced. Follow-up letters were sent to all 8,000 employees of both agencies, recapping information disseminated during the meetings, highlighting issues raised by employees, and restating the intranet system through which queries would be answered. Internal transparency and dialogue have been credited for building support among the people on whom rigorous and unfamiliar demands would soon be placed. 

–CommGAP (2008), Governance Reform . . .

## Wenling City, China: Infrastructure Reform

In Zeguo township, Wenling City, about 300 km south of Shanghai, citizen deliberation was used to help select 10 infrastructure projects from a list of 30 possible options. For local offi
  cials, the deliberative method used—Deliberative Polls, developed at Stanford University—off ered a transparent, balanced, and representative way to provide public input into the decision-making process. Like many other municipalities, they had previously held *Kentan,* or "heart to heart," discussion meetings as a form of local consultation. But these open meetings were dominated by the intensely interested, the self-selected, and the local notables, and they lacked a decision process. Th e Deliberative Poll, which draws on a random sample of the population, added to perceptions of transparency and legitimacy. As local party leader Jiang Zhaugua observed, "I gave up some power and found that I had more."
During the Deliberative Polls, all the possible infrastructure projects were represented by experts on panels, and the briefi ng materials, which provided the agenda for discussion, had arguments for and against each project. When the resulting preferred projects were classifi ed in terms of their contribution to the entire city rather than just one village or another, there was a clear pattern of increasing support for projects of wider collective benefi t. In addition, the results have actually been implemented; the public's preference for sewage treatment plants rather than for more highways and for a people's park for recreation rather than for a fancy town square have changed the city's priorities of development. 

–Fishkin et al. (2008), *Govenance Reform* . . .

## Communication For Good Governance

According to the World Bank's 2007 Governance and Anticorruption (GAC) Strategy,1 "a large body of research shows that in the longer term good governance is associated with robust growth, lower income inequality, child mortality, and illiteracy; improved country competitiveness and investment climate; and greater resilience of the fi nancial sector. Research also indicates that aid projects are more likely to succeed in well-governed environments."
Improving governance requires eff ective and sustainable public sector reform eff orts. Empirical evidence suggests that skillful implementation of communication activities can play a critical role in translating reform objectives to actual results on the ground. One of the most frequently cited examples in this regard is the way in which newspaper publication of the education budget in Uganda was associated with a strong and signifi cant reduction of corruption. Capture of non-wage funds decreased from 80% to 20% in a span of fi ve years.2 Applied research has also found that communication mechanisms can lead to improved governance through citizen engagement initiatives in diff erent types of political systems. As will be illustrated later, not only does informed citizen deliberation on specifi c policy issues enhance the public-spiritedness of citizens in the developed world, but also in developing countries such as in Benin and China. While proponents of the role of communication in development have repeatedly drawn upon these and similar examples to describe *why communication matters,* not enough has been done in the policy and practice domains to explain how communication makes a diff erence. Returning to the Uganda example above, how is it that newspaper publication of budget data made a diff erence in the level of corruption? Knowing that teachers and parents gained access to budget information through newspaper publication only tells us that communication had some role in the story. It does not explain how communication mechanisms contributed to reducing corruption. While public access to budget information was a necessary condition, it was obviously not suffi
  cient.

Th is paper argues that communication's contribution to achieving good governance outcomes lies primarily in the area of infl uence. Th rough eff ective use of communication mechanisms, reformers can infl uence opinion, atttitude, and behavior change among stakeholders toward supporting governance reform objectives. An understanding of communication processes can help reveal the source, message, audience, and contextual factors involved in bringing about positive change. Findings from applied research in political communication provide us with plausible explanations for how communication infl uence mechanisms contribute to good governance outcomes. Th e overarching goal of this paper is to identify and elaboration on some of the linkages among the following: reform objectives; communication infl uence mechanisms; 
opinion, attitude and behavior change; and good governance outcomes.

## Good Governance

Given the fundamental importance of governance in improving the lives of citizens, it is essential that we develop a clear picture of what we mean by *good governance.* Th e United Kingdom Department for International Development (DfID)3 defi nes good governance as ". ․ ․ not just about government. It is also about political parties, parliament, the judiciary, the media, and civil society. It is about how citizens, leaders and public institutions relate to each other in order to make change happen."
Good governance requires three things:

- *State capability*—the extent to which leaders and government are able to get things done; - *Responsiveness*—whether public policies and institutions respond to the needs of citizens and uphold 
their rights;
- *Accountability*—the ability of citizens, civil society and the private sector to scrutinize public institutions 
and governments and hold them to account. Th
 is includes, ultimately, the opportunity to change leaders 
by democratic means. (p. 20)
Dfi D's tripartite formula implies that it is the state's mandate to get things done and be responsive to citizens' 
needs. In development parlance, this is **the supply side of governance.** Accountability, on the other hand, implies the right, but also the obligation on the part of citizens' groups, civil society, and private fi rms to remain vigilant, engaged, and demand better service provision and delivery from their leaders. Th is we call the demand side of governance.

## Changing Opinions, Attitudes, And Behavior Toward Building Political Will, Organizational Will, And Public Will

Th e World Bank's Communication for Governance and Accountability Program (CommGAP) has learned from global experience that the success and sustainability of reform, on both the supply and demand sides, oft en hinges on opinion, attitude, and behavior change among key stakeholders.

Th rough interviews with reform managers and project leaders in international development, CommGAP 
found that reform initiatives and accountability relationships are strengthened at three levels:

- political **will** among coalitions of leaders and policymakers (opinion, attitude, and behavior change 
among elites)
- organizational **will** within bureaucracies, especially at middle management level (opinion, attitude, and 
behavior change among public sector bureaucrats) 
- public **will** by mobilizing civil society and encouraging citizen participation (opinion, attitude, and 
behavior change among members of the public)
Th e World Bank's Governance and Anti-Corruption (GAC) Strategy groups societal stakeholders into fi ve categories, or entry points4, for governance reform. Strong accountability relationships between and among these entry points are necessary for a governance system to work well. For an illustration of associations among political, organizational, and public will; the supply and demand sides of governance; and the fi ve governance entry points, please see graph below:

## Governance Entry Points And Communication Mechanisms

Th e GAC strategy's fi ve entry points to governance comprise the stakeholder groups a reformer must infl uence to build political, organizational, and public will. Infl uencing these stakeholders requires skillful application of communication mechanisms that lead to opinion, attitude, and behavior change in support of reform objectives. Th e entry points fall under the supply and demand sides of governance, some solidly on either side and others including elements of both. Th ey all have a role to play in achieving good governance outcomes: states that are capable, responsive, and accountable to their citizens (Annex A presents these linkages in tabular form).

4 
(1) Public Sector Management—the *central government executive*, including cross-cutting control agencies responsible 

## Communication Infl Uence Mechanisms

In today's context, elites and ordinary citizens gain access to public information through multiple communication channels—interpersonal discussion, social networks as well as news and entertainment media— eff ective communication makes signifi cant contributions to achieving good governance outcomes. Evidence of the relationship between communication and good governance from applied research is presented below under the following headings: supply side of governance; demand side of governance; and approaches integrating both the demand and supply sides.

Supply Side of Governance: Securing Political Will through Public Interest Lobbying and Persuasion. 

Lobbying is defi ned as ". . . the art of educating and persuading your key audiences through direct, one-onone contact"5 and is a practical way of building political will among elites. As such, it is an area of practice that draws on techniques of persuasion directly relevant to getting political elites to support reform eff orts. 

Cohen et al. diff erentiate between *formal* and *informal* lobbying. Examples of the former include meetings in legislators' offi
  ces; examples of the latter include engaging policymakers in the *lobbies* of hotels and legislative hallways, networking events, or community meetings. A further distinction should be made between public interest lobbying, motivated by a concern for the public good, and *special interest lobbying,* carried out on behalf of particular individuals or interest groups.6 CommGAP endorses public interest lobbying, both formal and informal, as a means of building political will in support of reform. For examples from development, we can turn to the implementation of the Citizen Report Card (CRC) methodology in various countries, in which citizens are asked to rate public services through a survey questionnaire. One of the most successful CRC experiences was in India, where the eff ectiveness of the CRC was predicated on the publiclystated commitment of a high-level government offi
  cial. Th e Bangalore-based Public Aff airs Center, which developed the CRC, obtained this high-level commitment through public interest lobbying techniques7.

Demand Side of Governance: Building Public Will through Participatory and Deliberative Approaches. 

Democratic engagement, a term used to describe both political and civic participation8, is enabled and encouraged by public deliberation. Public participation can take many forms: "one can hold open meetings, do public opinion polls, solicit comments or letters, allow for mobilization in decision-making venues (participatory budgeting), and many other variations . . .

" 
.9 One particular type of consultative method, Deliberative Polling®
10, was developed at Stanford University's Center for Deliberative Democracy. A representative sample of citizens from a town, province, or country is recruited and given information on policy options regarding specifi c issues. 

Th ese citizens are then asked to deliberate on the pros and cons of these options. Deliberative Polls and similar methods have been deployed in both developed and developing contexts with promising results. For example, 

Real-World Conditions: Citizens, Stakeholders, and Voice (pp. 277–286). Washington, D.C.: International Bank for Reconstruction and Development/Th
 e World Bank.
10 Ibid.
in Zeguo Township, Wenling City, China, a Deliberative Poll was conducted for selecting local infrastructure projects. Results from pre- and post-deliberation measurements include the following: participants became more informed about the issues, the increase in information led to opinion change, and participants became more publicly-spirited, ultimately selecting projects that would benefi t the larger community as opposed to those that would cater to narrow self-interest. Th e importance of linking citizen deliberation to political will must be underscored: the results of deliberation in China - citizen preferences with regard to local infrastructure projects—were actually implemented by the local executive. In Benin's 2006 presidential election, supposed benefi ts of citizen deliberation were tested in a fi eld experiment11. In the "treatment" condition, political party elites engaged in expert policy dialogues that led to specifi c policy-driven promises by each party. Th is was followed by town hall meetings during which citizens deliberated on these promises and were exposed to multiple viewpoints. In the "control" condition, citizens were off ered typical "clientilist promises"
. Candidates made commitments that would appeal to the self-interest of specifi c groups and their members. Th e study found that the "treatment" had a positive eff ect on how much voters knew about the issues and candidates as well as on turnout and voting. Similar to Deliberative Polls, the Benin example shows clear interactions between public will and political will in bringing about good governance outcomes: it took the willingness of citizens to engage and invest time and eff ort into the political process as well as the willingness of candidates to campaign on empirically-supported issue positions. Th is multi-dimensional understanding of communication infl uence that brings together political and public will leads us to consider approaches that more explicitly describe the role of communication and information fl ows in integrating the demand and supply sides of governance.

Integrative Approaches: Securing Political Will and Building Public Support through Framing and Agenda Setting. Simply put, *framing* is about communicating in a way that leads audiences to see something in a certain light or from a particular perspective. Th is is usually achieved by tapping into pre-existing beliefs, attitudes, and opinions, and highlighting certain aspects of a phenomenon and deemphasizing others. Political, organizational, and public will can be infl uenced by framing processes. In the area of climate change, for instance, *"global climate change* is a broader term than *global warming* and brings to mind diff erent aspects of the issue"12 and these contrasting frames, in turn, call for diff erent solutions. Formally, framing has been defi ned as ". . . a central organizing idea for making sense of relevant events and suggesting what is at issue."13 Framing occurs ". . . when, in the course of describing an issue or event, a speaker's emphasis on a subset of potentially relevant considerations causes individuals to focus on these considerations when constructing their opinions."14 A health sector study undertaken in Africa revealed that diseases such as HIV/AIDS were more oft en framed with "negative, derogatory descriptions"15 in popular media than non-stigmatized diseases such as tuberculosis. An alternative approach is called problem-solution or issue framing16 where, for example, successful remedies and treatments might be compared with those that are less eff ective. More generally, the frames through which political elites, bureaucratic middle managers, and 

 ects. Who can frame? *Journal of Politics, 63,* 1041–1066.
15 Cornelius Pratt, Louisa Ha & Charlotte Pratt. 2002, p. 899. Setting the Public-Health Agenda on Major Diseases in Sub-Saharan 
Africa: African Popular Magazines and Medical Journals, 1981–1997. *Journal of Communication, December, 889–904*.
16 Joseph N. Cappella & Kathleen Hall Jamieson. 1997. Spiral of Cynicism: Th
 e Press and the Public Good. New York: Oxford 
University Press.
members of the citizenry view public issues are capable of driving what these societal actors think about and how they behave as regards these issues. Framing, under certain conditions17, has the power to infl uence opinion, attitude, and behavior change in support of viable solutions to public problems.

Agenda-setting has been defi ned as the ways in which the media agenda, public agenda, and policy agenda aff ect and infl uence each other.18 For example, the public agenda (which implies public will and public opinion) can constrain the policy options of elites, while the media agenda aff ects what the public considers to be important issues of the day. In fact, a number of studies from around the world have demonstrated that topics and issues that the media present as important (i.e., the order/prominence of news stories) are also those that the public subsequently deems important.19 Formally, media agenda-setting has been defi ned as 
". . . some form of positive association between the amount of mass media content devoted to an issue and the development of a place on the public agenda for that issue."20 A study on media coverage of environmental issues in Ghana21 found a correlation between the environmental issues that the public considered important (public agenda) and the environmental issues given importance by the media (media agenda). In Uganda, publication of budget information in education helped reduce corruption from 80% to 20% capture of non-wage funds in a span of fi ve years22. A likely explanation is that access to information via newspapers increased parent and teacher vigilance which, in turn, reduced the corrupt behavior of political elites. In the context of natural disasters, the news media's role as agenda-setter is particularly relevant: the world will only learn about disasters that the media choose to report.23 Policy agenda-setting is the supply side component of agenda-setting theory, where the policy agenda has the capacity to infl uence both the media agenda and the public agenda. Studies show that communications from policy elites (and perhaps leaks from either disgruntled or ethically-driven bureaucrats) are important drivers of media coverage24. Agenda-setting theory makes explicit the interrelationships among the policy, public, and media agendas. Th e infl uence these three elements exert on each other is interdependent and refl ects the critical linkages between political, organizational, and public will, on one hand, and communication structures and processes, on the other.

## Communication In The Context Of Governance

At the process level, communication infl uence mechanisms contribute to improved governance by infl uencing opinion, attitude, and behavior change of leaders and policymakers (political will), mid-level bureaucrats (organizational will), and citizens (public will) toward supporting governance reform objectives. Th ese pro-reform change processes occur in both the demand and supply sides of governance. At the structural level, communication links citizens, civil society, the media system, and government, forming a framework for national dialogue through which informed public opinion is shaped. Understanding the process and structural aspects of communication is critical to eff ective governance reform.

| Entry Point                              | Key Stakeholders            | Political, Organizational,    |
|------------------------------------------|-----------------------------|-------------------------------|
| and/or Public Will                       |                             |                               |
| Suggested                                |                             |                               |
| Communication                            |                             |                               |
| Infl                                     | uence Mechanisms            |                               |
| Public Sector                            |                             |                               |
| Management                               |                             |                               |
| Central executive (supply                |                             |                               |
| side of governance at national           |                             |                               |
| level)                                   |                             |                               |
| Strengthen                               | political will and          |                               |
| organizational will                      | through reform              |                               |
| coalitions; middle manager buy-          |                             |                               |
| in; enhance national government          |                             |                               |
| communication capacity                   |                             |                               |
| Formal                                   |                             |                               |
| Oversight                                |                             |                               |
| Institutions                             |                             |                               |
| Judiciary; Parliaments                   |                             |                               |
| (supply side at national level)          |                             |                               |
| Strengthen                               | political will              | through                       |
| parliamentary coalitions; enable         |                             |                               |
| public reporting mechanisms and          |                             |                               |
| enhance institutional legitimacy         |                             |                               |
| Political                                |                             |                               |
| Accountability                           |                             |                               |
| Political party leaders; CSO             |                             |                               |
| elites; Captains of industry             |                             |                               |
| (supply and demand at                    |                             |                               |
| national level)                          |                             |                               |
| Strengthen                               | political and public will   |                               |
| through supporting multi-stakeholder     |                             |                               |
| coalitions; facilitating policy dialogue |                             |                               |
| and negotiation; enabling deliberation   |                             |                               |
| and debate                               |                             |                               |
| Local governments & Local                |                             |                               |
| Communities (supply and                  |                             |                               |
| demand at local level)                   |                             |                               |
| Local                                    |                             |                               |
| Participation &                          |                             |                               |
| Community                                |                             |                               |
| Empowerment                              |                             |                               |
| Strengthen                               | political and public        |                               |
| will                                     | through coalition-building; |                               |
| increase political effi                  | cacy of citizens;           |                               |
| grassroots campaigns; enhance local      |                             |                               |
| government communication capacity        |                             |                               |
| Strengthen                               | public will                 | through                       |
| engagement and participation of          |                             |                               |
| multiple stakeholders                    |                             |                               |
| Civil Society &                          |                             |                               |
| Media/Private                            |                             |                               |
| Sector Interface                         |                             |                               |
| CSO's; Journalists and                   |                             |                               |
| editors, Private fi                      | rms                         |                               |
| (demand side at national                 |                             |                               |
| and local levels)                        |                             |                               |
Public interest lobbying; persuasion; policy and media agenda-setting; issue framing Public interest lobbying; persuasion; policy and media agenda-setting; issue framing Public interest lobbying; persuasion; policy and media agenda-setting; issue framing
Participatory and deliberative approaches; public and media agenda-setting, especially through local and community media; issue framing
Participatory and deliberative approaches; public and media agenda-setting; issue framing

## The Public Sphere

Th e notion of the public sphere is at the center of participatory approaches to democracy. Th e public sphere is the arena where citizens come together, exchange opinions regarding public aff airs, discuss, deliberate, and eventually form public opinion. Th is arena can be a specifi c place where citizens gather (for example, a town hall meeting), but it can also be a communication infrastructure through which citizens send and receive information and opinions. Th e public sphere is a central aspect of good governance. Without a functioning and democratic public sphere, government offi
  cials cannot be held accountable for their actions, and citizens will not be able to assert any infl uence over political decisions. 

Th e idea of the public sphere is normative. It is an ideal of good and accountable governance. Its requisites are free fl ows of information, free expression, and free debate. Th e ideal public sphere is truly participatory and the best protection against abuse of power. In reality, we only fi nd approximations to this ideal. 

However, promoting good governance means striving toward the ideal of a truly inclusive public sphere.

## Historical Roots Of The Public Sphere

To understand the meaning and the nature of the public sphere today, it is helpful to look at the historical development of the meaning of the term. Its meaning has always been closely tied to historical circumstances and to technical developments.

Th e historical trajectory also highlights the relevance of the public sphere for promoting democracy and political accountability.

Originally, the public sphere was a specifi c meeting place. With the development of media and communication technology, the character of the public sphere changed from a location to a communication network.1

 
-  
Ancient Greece—Th
 e most general understanding of the public sphere comes from the Ancient 
Greek city-states, where citizens directly participated in political decisions.2 Public life was tied to a 
specifi
 c locale, the *agora,* where citizens exchanged and discussed opinions.
 
-  
European Monarchies—In the non-democratic state-forms of later centuries, the Royal court was the 
public sphere, and only the king determined what was public.
 
-  
Salons—Over the course of the late 17th and early 18th centuries, coff
 eehouses (England), salons 
(France), and table societies (Germany) became places where aristocrats and members of the middle class met to discuss art and politics. In these gatherings, "authority of argument supplanted the 
authority of title,"3 social status became disregarded entirely.4 With the development of the fi
 rst mass 
medium, the newspaper, the groups that met in salons and coff
 ee houses became truly public: "newspapers made public aff
 airs and discussions about such aff
 airs accessible to individuals scattered across 
space."5 Technically, this denotes the advent of what is today understood as public sphere.
 
-  
Tribal gatherings—In stateless communities in Africa or in regions with strong tribal traditions, tribe 
gatherings have similar functions as Western citizen assemblies, or indeed the ancient agoras. Such meetings represent the public life of the tribal community.
 
-  
Church congregations—In periods of political struggle, the Church oft
 en provided a space for members of oppressed or marginalized groups to gather and articulate their objectives.
 
-  
Today—Today, the public sphere is even more strongly tied to the media. It is "defi
 ned in relation to 
the mass media, because the mass media permit the circulation of opinion and off
 er the conditions in 
which the forum can function."6 Th
 e term gained new prominence with the spread of new communication technologies in the 1990s. Th
 e Internet in particular is considered to provide unprecedented 
opportunities for exchanging information and for deliberation among a large number of people of 
diff
 erent backgrounds. Access for minority voices and political outsiders is considered to be essential 
to a well-functioning public sphere.7

## Defi Ning The Public Sphere

Th e concept of the public sphere has a long tradition in philosophy and the social sciences. the contemporary understanding of the term is mainly based on the work of German sociologist Jürgen Habermas, who provided a comprehensive analysis of the nature of the public sphere and its historic transformations.8 He defi nes the public sphere as "network for communicating information and points of view . . . the streams of communication are, in the process, fi ltered and synthesized in such a way that they coalesce into bundles of topically specifi ed public opinions."9
Th e public sphere is situated between private households on the one hand, and the state on the other. 

it is a space "where free and equal citizens come together to share information, to debate, to discuss, or to deliberate on common concerns."10
Until the invention of the printing press, citizens came together in a particular space, for instance a coffeehouse, where they discussed with other people. Th e development of mass communication has changed the nature of the public sphere from a physical space to a communication structure.11 Today, people can get in touch through telephone or the Internet, and they can fi nd out about what other people think by reading a eld; Habermas (1992/1997).

newspaper editorial or by watching local television news. Th erefore, today's public sphere goes beyond space and includes all channels of communications through which citizens can send and receive information. Th is two-way-fl ow of communication is essential: A public sphere does not exist if, for instance, a government publishes information but does not listen to the people.

Th e public sphere is for the state what the market is for the economy.12 In the public sphere, the goods that are exchanged and the currency that is traded are not of economic, but of political nature. Th e main product of the public sphere is public opinion, and ideas are the "goods" that are exchanged. Th is view equates the public sphere with a "free marketplace of ideas," a libertarian ideal where everyone is able to propose ideas, and where the best idea will win.13

## Constitutive Elements

A functioning democratic public sphere rests on fi ve pillars:14

 
-  
Constitutionally guaranteed civil liberties—Freedom of expression, opinion, and assembly. Most 
countries today accept basic civil liberties as agreed upon in the universal declaration on Human Rights.
 
-  
Free, plural, and independent media system not under state control—Th
 e media system is oft
 en 
seen as the main institution of the public sphere.15 As such, it can only guarantee equal access and 
voice to citizens if it is independent of political and corporate interests.
 
-  
Access to public information—Th
 is includes freedom of information legislation and a culture of 
transparency and openness. A large number of countries have adopted freedom of information laws. However, such laws need to be complemented by a culture that is conducive to openness and inquiry.
 
-  
Civil society—A vibrant civil society supports citizens' demand for accountability and participation 
in the public sphere. Civil society organizations organize and promote the citizen agenda.
 
-  
Sites of everyday talk about public aff
 airs—Everyday talk is an important factor in the formation 
of public opinion. Sites of everyday talk are all places where people come together to discuss politics (such as work place, coff
 ee shops, schools).
Th e constitutive elements of the public sphere work together based on the underlying principle of openness and publicity.16 the philosopher Immanuel Kant articulated the principle of publicity as a legal maxim and as a fundamental principle of democracy. He stated that all actions that aff ect other people are wrong if they do not hold up to public scrutiny.17 Kant also designated the public sphere to be the space for "public use of reason." Th e public use of reason is based on ethic principles of communication, 18 such as respect for opposing speakers and viewpoints, the ability to compromise, and other principles of fair public debate.

## The Public Sphere And Civil Society

Th e democratic public sphere is a "structural force in politics . . . a critical part of the architecture of good governance,"19 which again is crucial for the elimination of poverty. Th e public sphere is a participatory space where citizens' voices are amplifi ed.

Th e concept of the public sphere is closely tied to civil society, although they are not synonymous. Civil society organizations act and can gain voice and infl uence in the public sphere, thereby exerting infl uence over offi
  cial authorities through public opinion.20 "It is in the free and open public sphere that social movements acquire a public voice, fi ght for recognition, assert themselves, seek to shape public opinion, infl uence leaders and policy makers, and bring about change."21 Good and accountable governance builds upon a free fl ow of information, free expression, and free discussion of matters of political concern.

## Actors In The Public Sphere

 
-  
Th
 e public—Th
 e traditional understanding of the public refers to an imaginary group of people that 
are connected through their mutual interest in one or several issues of public concern. Th
 e members 
of the public need not be located in the same place. In contemporary social science, the term is oft
 en 
equated with politically relevant groups of citizens, for instance the electorate, civil society, local communities, or mass media audiences.22
 
-  
Civil society—Civil society and the public are closely related, but conceptually not synonymous. Civil 
society is constituted by organizations and activities that have no primary political or commercial character, and are not motivated by profi
 t or power.23 Under certain circumstances they can become 
part of the public sphere.24
 
-  
Public offi
  cials—Th
 e state is not a part of the public sphere, but it has the capacity, and even the obligation, to be an actor in the public sphere. In the democratic public sphere, public authorities listen to 
the public and determine the public will, communicate their own issues and positions, 25 and provide 
information about decisions and actions.
 
-  
Th
 e media—Th
 e mass media "have central signifi
 cance in the creation of an institutional (infra) 
structure enabling the organization of the general interest both nationally and internationally."26 In 
addition to providing communication channels, the mass media also introduce and shape topics of public discussion.
 
-  
Private actors—When private citizens or corporations enter the public sphere, they usually do so to 
promote private or public interests. In the latter case, they become part of the public.

## Public Opinion

Public opinion is a product of the public sphere, and a crucial concept in governance and political decision making. Public opinion refers to:

 
-  
Aff
 airs related to the state, the government, or social institutions;
 
- Issues that are open and accessible to everyone;
 
- Events, policies, or decisions that concern people that do not participate in them;27
 
- Issues of common concern;
 
- Th
 e public good (as opposed to private interests).
23 Splichal (1999). 24 Habermas (1962/1995). 25 Odugbemi (2008). 26 Splichal (2006, p. 703). 27 Mill (1859/1985).
Public opinion is oft en understood to have the following characteristics:

 
- It represents one prevailing opinion among many possible ones.
 
- It tends to be transitory.
 
- It refers to the dominant opinion, the opinion of the majority.
Public opinion is formed through processes of collective decision making: 28

 
1 Issues of concern are articulated.
 
2 Possible solutions to a problem are developed.
 
3 Decision makers assess the consequences of choosing one option over the other.
 
4 Decision makers evaluate alternative solutions.
 
5 Decision making.
Public opinion is crucial for politics. As Scottish philosopher David Hume stated: "It is therefore, on opinion only that government is founded."29 Public opinion is the basis of political power and legitimacy, and any government "is secure only to the extent that the relevant population willingly consents to the rule."30

## The Public Sphere As Threat

Not only democratic governments need to be aware of the functions of the public sphere. Hostile public opinion can be a threat to democracies as well as autocratic regimes. In authoritarian contexts, hostile opinion can build underground and may eventually erupt to disturb the political order. Th rough mobilizing public opinion, opposition groups may be able to gather substantial support and frame reform proposals that a government may be forced to heed. In the worst case, divisive groups may fracture the public sphere, causing political chaos or even violence.

Politicians and technical experts sometimes argue that it may not be advisable to follow public opinion in every instance. It is assumed that people oft en do not know or do not care about particular governance issues. If this is the case, following public opinion may even be detrimental to citizens' well being. A healthy and open public sphere is a remedy against uninformed and unconsidered opinion. Th e idea of democracy rests upon the assumption that if people are educated, have access to all relevant information, and if they are able to deliberate on issues, they have a right to have their say on how they are governed. Public opinion is not the "tyranny of the majority," but the considered product of deliberation in the public sphere.

## The Public Sphere As Opportunity

A properly functioning public sphere that allows for free information fl ows and for equal participation in deliberation will provide real opportunities for successful and good governance. Governments' legitimacy rests on the support of the people. National unity or at least an operative consensus enables the eff ective implication of policies. Citizens' genuine support for government programs and reforms is a prerequisite for their success. Active and informed citizens provide valuable input into the process of governance, helping to improve the quality and eff ectiveness of public service delivery. In short, governance is only good and democratic if citizens are able to form considered opinions within an open public sphere.

## Policy Implications

An open and democratic public sphere rests on legally guaranteed civil rights, most importantly freedom of expression, opinion, and assembly, as well as access to information laws. Such laws will only be eff ective in a culture of openness. Th at means that public offi
  cials should feel committed to the public's right to know, not the government's right to secrecy. Media regulation should guarantee that the media can fulfi ll its democratic roles without political or economic pressures. Literacy and education promote a citizenry that is interested in public aff airs and that is willing as well as able to participate in governance. Policies should target these main factors to promote a public sphere that enables good, democratic, and accountable government.

## The Public Sphere

Th is resource guide is designed to provide additional information about the public sphere in terms of conceptual background, historical trajectory, and empirical research. Each section in the resource guide corresponds with a section in the Public Sphere Participant's Guide and provides an overview of additional texts regarding theory, research, and useful web resources. Th e suggested texts off er a more in-depth understanding of the concept. Th e web resources sections contain URLs to websites that might be useful in teaching or researching the topic. Links to websites are current as of July 2008.

## The Public Sphere In History

 
Bentivegna, S. (2002). Politics and new media. In L. Lievrouw & S. Livingstone (Eds.), Handbook of new 
media: Social shapings and consequences of ICTs (pp. 50–60). London: Sage.
 
Habermas, J. (1962/1995). Th
 e structural transformation of the public sphere: An inquiry into a category of 
bourgeois society. Cambridge: MIT Press.
 
Price, V. (1992). *Public opinion.* Newbury Park, CA: Sage.
 
Splichal, S. (1999). *Public opinion.* Developments and controversies in the twentieth century. Lanham, 
MD: Rowman & Littlefi
 eld.
 
Splichal, S. (2006). In search of a strong European public sphere: Some critical observations on conceptualizations of publicness and the (European) public sphere. *Media, culture & society, 28*(5), 695–7147.

## Defi Ning The Public Sphere

 
Dahlgren, P. (1991). Introduction. In P. Dahlgren & C. Sparks (Eds.), Communication and citizenship: Journalism and the public sphere (pp. 1–24). London: Routledge.
 
Habermas, J. (1962/1995). Th
 e structural transformation of the public sphere: An inquiry into a category of 
bourgeois society. Cambridge: MIT Press.
 
Habermas, J. (1992). Further refl
 ections on the public sphere. In C. Calhoun (Ed.), Habermas and the 
public sphere (pp. 421–461). Cambridge: MIT Press.
 
Habermas, J. (1992/1997). Between facts and norms: Contributions to a discourse theory of law and democracy. Cambridge: Polity.
 
Marx Ferree, M., Gamson, W. A., Gerhards, J., & Rucht, D. (2002). Four models of the public sphere in 
modern democracies. Th
 eory and society, 31(3), 289–324.

## The Public Sphere

 
Mill, J. S. (1859/1985). On *liberty*. London: Penguin.
 
Milton, J. (1644/1927). *Areopagitica.* New York: Payson & Clarke.
 
Odugbemi, A. (2008). Public opinion, the public sphere, and quality of governance: An exploration. In 
S. Odugbemi & T. Jacobson (Eds.), Governance reform under real-world conditions. Citizens, stakeholders, 
and voice (pp. 15–37). Washington, D.C.: Th
 e World Bank.
 
Splichal, S. (1999). *Public opinion.* Developments and controversies in the twentieth century. Lanham, 
MD: Rowman & Littlefi
 eld.

## Constitutive Elements

 
Habermas, J. (1962/1995). Th
 e structural transformation of the public sphere: An inquiry into a category of 
bourgeois society. Cambridge: MIT Press.
 
Habermas, J. (1981/1984). Th
 e theory of communicative action. Boston: Beacon Press.
 
Kant, I. (1795/1983). To perpetual peace. In Immanuel Kant: Perpetual peace and other essays on politics, history, and morals (pp. 107–144). Indianapolis, IN: Hackett.
 
McQuail, D. (2005). *McQuail's mass communication theory.* Th
 ousand Oaks, CA: Sage.
 
Odugbemi, A. (2008). Public opinion, the public sphere, and quality of governance: An exploration. 
In S. Odugbemi & T. Jacobson (Eds.), Governance reform under real-world conditions. Citizens, stakeholders, and voice (pp. 15–37). Washington, D.C.: Th
 e World Bank.
 
Splichal, S. (2006). In search of a strong European public sphere: Some critical observations on conceptualizations of publicness and the (European) public sphere. *Media, culture & society, 28*(5), 695–7147.

## Online Resources

 
Online database of freedom of information laws: www.ijnet.org/director.aspx?p=home

## The Public Sphere And Civil Society

 
Habermas, J. (1992/1997). Between facts and norms: Contributions to a discourse theory of law and democracy. Cambridge: Polity.
 
Marx Ferree, M., Gamson, W. A., Gerhards, J., & Rucht, D. (2002). Four models of the public sphere in 
modern democracies. Th
 eory and Society, 31(3), 289–324.
 
Odugbemi, A. (2008). Public opinion, the public sphere, and quality of governance: An exploration. 
In S. Odugbemi & T. Jacobson (Eds.), Governance reform under real-world conditions. Citizens, 
stakeholders, and voice (pp. 15–37). Washington, D.C.: Th
 e World Bank.

## Actors In The Public Sphere

 
Habermas, J. (1962/1995). Th
 e structural transformation of the public sphere: An inquiry into a category of 
bourgeois society. Cambridge: MIT Press.
 
Odugbemi, A. (2008). Public opinion, the public sphere, and quality of governance: An exploration. 
In S. Odugbemi & T. Jacobson (Eds.), Governance reform under real-world conditions. Citizens, 
stakeholders, and voice (pp. 15–37). Washington, D.C.: Th
 e World Bank.
 
Price, V. (2008). Th
 e public and public opinion in political theories. In W. Donsbach & M. W. Traugott 
(Eds.), Th
 e Sage handbook of public opinion research (pp. 11–24). London: Sage.
 
Splichal, S. (1999). *Public opinion.* Developments and controversies in the twentieth century. Lanham, 
MD: Rowman & Littlefi
 eld.
 
Splichal, S. (2006). In search of a strong European public sphere: Some critical observations on conceptualizations of publicness and the (European) public sphere. *Media, culture & society, 28*(5), 695–7147.

## Public Opinion

 
Glynn, C. J., Herbst, S., O'Keefe, G. J., Shapiro, R. Y., & Lindeman, M. (2004). *Public opinion*. Boulder, Co: 
Westview.
 
Hume, D. (1994). *Political essays.* Ed. K. Haakonssen. Cambridge, U.K.: Cambridge University Press.
 
Mill, J. S. (1859/1985). *On liberty.* London: Penguin.
 
Odugbemi, A. (2008). Public opinion, the public sphere, and quality of governance: An exploration. 
In S. Odugbemi & T. Jacobson (Eds.), Governance reform under real-world conditions. Citizens, stakeholders, and voice (pp. 15–37). Washington, D.C.: Th
 e World Bank.
 
Price, V. & Neijens, P. (1997). Opinion quality in public opinion research. International journal of public opinion research, 9(4), 336–360.
 
Price, V. (1992). *Public opinion.* Newbury Park, CA: Sage.

## Changing Public Opinion Traditional Defi Nitions Of Public Opinion

Traditional senses of "the public" include beliefs, attitudes, and opinions about the following:

 
- Aff
 airs related to the state, the government, or broad social institutions.
 
- Something that is open and accessible to everyone.
 
-  
All the people who are aff
 ected by an event, policy, or decision. While "private" actions concern only 
those who participate in them, "public" actions aff
 ect both participants and the rest of the people 
either directly or indirectly.1
 
- Something that is of common concern.
 
-  
Th
 e public *good,* as opposed to the private *interests* of individuals who represent only a segment of the 
broader public.

## Modern Defi Nitions Of Public Opinion

Th e modern sense of public opinion is multidimensional and has the following characteristics:

 
-  
It represents only one prevailing opinion among many possible ones.
 
-  
It tends to be transitory.
 
-  
It refers to the opinion that seems to be the most dominant, widespread, or popular, even though there 
will always be a plurality of existing public opinions.
 
-  
It relates to "action or readiness for action with regard to a given issue on the part of members of a public 
who are reacting in the expectation that others in the public are similarly oriented toward the same issue.
"2
 
-  
It is jointly produced by the following: (a) elite opinion leaders who express and publish opinions, 
have access to media outlets and technologies, and have high degrees of social infl
 uence or institutional power; (b) statistical records, which represent and measure opinions collected through polls 
and surveys; and (c) people's "quasi-statistical sense" of which opinions prevail in their social and media environments, as well as how their own opinions match up with others'
.

## Dimensions Of Opinion And Expression3

 
-  
Cognitive/Th
 eoretical: Beliefs about the objective truth of factual, historical, or scientifi
 c matters.
 
-  
Normative/Practical: Beliefs about the moral or ethical rightness of actions, decisions, policies, practices, norms, laws, or values.
 
-  
Expressive/Evaluative: Beliefs about the truthfulness or sincerity of people's subjective expressions of 
who they are and what they believe. Also, beliefs about the authenticity of expressions—i.e., whether an utterance or a cultural work (e.g., a work of art, a literary text, or a fi
 lm) adequately expresses a 
personal viewpoint, a tradition, a coherent worldview, an artistic vision, or a group identity.

## Polling And Aggregation—The Dominant Approach To Public Opinion Research

Aggregation refers to the method of collecting opinions that have been generated and expressed by disparate individuals, through either voting or polling. Aggregation is the fundamental assumption of the statistical analysis of public opinion. Th e assumption that aggregation refl ects public opinion relates to the random sampling procedure in public opinion survey research. Th e random sampling entails that every individual has an equal chance to be picked by the survey. Th us, even with a small sample size, randomly chosen individuals are assumed to represent the entire population.

Critics4 of the aggregative method raise the following objections to the way it represents and measures public opinion:

 
-  
Statistical aggregation artifi
 cially represents public opinion because it fails to refl
 ect the fundamentally social nature of opinion formation. It also therefore fails to show how the isolated opinions it collects relate to one another.
 
-  
Polling's "one person, one vote" approach also overlooks power diff
 erentials in society. It falsely 
assumes that every individual opinion is equivalent and carries equal weight.
 
-  
Aggregation also fails to recognize that certain individuals within groups usually express opinions 
that carry more weight than the diff
 ering opinions of other group members.
 
-  
Th
 e same dynamic applies to diff
 erent social groups within society. Some groups will have greater 
resources of expression, media dissemination, mobilization, and social infl
 uence than others.
 
-  
Th
 e "random sampling" procedure of public opinion polling blinds the process to individual respondents' relative social roles and positions.
 
-  
People also diff
 er in their relative ability to express or even have an opinion on an issue, because they 
vary in their education, access to information, social knowledge, awareness of issues, or habits and 
opportunities of opinion expression.
 
-  
Opinions only matter when they are expressed by those who are responsible for taking the actions that 
relate to those opinions. Th
 ere are "active minorities" who take interest in infl
 uencing and mobilizing 
public opinion on specifi
 c issues. But these eff
 ective and active minorities cannot be said to represent 
the general public.
 
-  
Similarly, there is the "silent majority" that better represents the general public, but it is generally 
unconcerned about issues that either do not aff
 ect it or that they do not think they themselves can 
aff
 ect (Champagne, p. 119).

## What Are Practical Implications Of This Controversy?

 
-  
Th
 ese criticisms of the aggregation method call attention to potential blind spots in statistical research 
that attempts to measure how public opinion is formed, distributed, and changed.
 
-  
But if we recognize that these blind spots might exist, we can remain sensitive to inequalities that aff
 ect public opinion formation.
 
-  
Th
 ose inequalities can consist of diff
 erentials in the following: information access, awareness, attentiveness, education, social infl
 uence, media access, visibility, social or political power, and expressive 
competence.
 
-  
Critics of the aggregative method might be right to argue that researchers should study only potentially eff
 ective public opinions.
 
-  
But defenders of aggregation and random sampling argue that these methods can have populist eff
 ects. 
that is, they can give greater voice to opinions that would otherwise have been ignored were it not for 
the "one person, one vote" assumptions of polling.5

## Elements Of The Public Opinion Process6

 
-  
Issues: Th
 e topics about which people have opinions. Th
 ese topics can fall within or cut across the 
three public opinion dimensions—i.e., cognitive/theoretical matters of truth, or normative/practical matters of rightness, or expressive/evaluative matters of sincerity and authenticity. Issue agendas are typically set by opinion leaders and by the mass media. Also, issues have their own dynamics of development, and these dynamics set parameters for the development of public opinion.
 
-  
Communication: Th
 e social and/or technologically mediated channels through which opinion circulates. Most public opinion forms through *combinations* and *interactions* of interpersonal and massmediated communication.
 
-  
Perceptions of Reality: People's perceptions of "what the case is" in the material world, in the social 
world, and in themselves, as well as their judgments about how those three levels of reality intersect.
 
-  
Demographic, Social, and Psychological Characteristics: Diff
 erent attributes or tendencies that vary 
across, and oft
 en within, individuals. Many of these characteristics are potentially relevant to public 
opinion research, including the following: race, class, gender, age, educational level, cultural tastes, 
group affi
  liations, access to information, media use, social position, occupation, opinion leadership, 
fear of isolation, conformity, etc.

## Infl Uences Of Perception On Public Opinion7

 
-  
Pluralistic ignorance: Th
 e tendency for people to inaccurately perceive minority opinions as majority 
opinions, and vice versa. Pluralistic ignorance more likely occurs either when people's own judgments 
are not well established or when they face ambiguous situations.8 Pluralistic ignorance usually results 
when an issue generates divisive opinions. It may also change people's opinions when they feel embarrassed at being in the minority.9
 
-  
False consensus: Th
 e tendency for people to "see their own behavioral choices and judgments as relatively common and appropriate to existing circumstances while viewing alternative responses as 
uncommon, deviant, or inappropriate."10 In situations of false consensus, people project their own 
attributes onto others. But they overestimate how many other people share their opinions and attitudes, as well as the degree to which others share them.
 
-  
Looking glass perception: People's perception that others hold the same opinions on issues as they 
themselves do, regardless of what others' actual opinions are.11 Th
 e looking glass perception is similar 
to pluralistic ignorance and false consensus, but it usually results when people are not sensitive to differing opinions in others, and when issues do *not* generate divisive opinions.
 
-  
Th
 e spiral of silence (SOS) theory: Noelle-Neumann's theory that people will confi
 dently express their 
opinions when they notice that they share the prevailing opinion, but that they will remain silent and 
keep their opinions to themselves when they are in the minority.12 Noelle-Neumann bases this theory 
on strong assumptions that people fear isolation and that society will use isolation to punish those who hold deviant or unpopular opinions. Scholars have criticized this theory for disregarding the complexity of media environments and for failing to apply beyond small-group situations in which 
people feel social pressures directly.13
7 
Glynn, C. J., Ostman, R. E., & Mcdonald, D. G. (1995). Opinions, perception, and social reality. In Glasser, T.L. & Salmon, C.T. 
(Eds.). (1995). *Public opinion and the communication of consent*, 249–277. New York: Guilford Press.
8 
Latané, B., & Darley, J. (1970). Th
 e unresponsive bystander: Why doesn't he help? New York: Appleton-Century-Croft
 s.
9 
Miller, D. T., & McFarland, C. (1987). Pluralistic ignorance: When similarity is interpreted as dissimilarity. Journal of Personality 
and Social Psychology, 53, 298–305.
10 Ross, L., Greene, D., & House, P. (1977). Th
 e false consensus phenomenon: An attribution bias in self-perception and social 
psychological processes. *Journal of Experimental Social Psychology, 13*, 279–301.
11 Fields, J. M., & Schuman, H. (1976). Public beliefs about the beliefs of the public. *Public Opinion Quarterly, 40*, 427–488. 12 Noelle-neumann, E. (1993). Th
 e spiral of silence: Public opinion-our social skin, 2nd ed. Chicago: University of Chicago Press; 
Noelle-neumann, E. (1995). Public opinion and rationality. In T. L. Glasser & C. T. Salmon (Eds.), Public opinion and the communication of consent, 33–54, New York: Guilford Press.
13 Glynn, C. J. and McLeod, J. (1985). Implications of the spiral of silence theory for communication and public opinion research. 
In Sanders, K., Kaid, L., & Nimmo, D. (Eds.), *Political Communication Yearbook*, 1, 43–65. Carbondale IL: Southern Illinois 
University Press.
 
-  
Th
 ird-person eff
 ect: A tendency for people to believe that media messages, especially potentially harmful ones, will have a greater impact "not on 'me' or 'you,' but on 'them'—the third persons."14 With 
respect to perception, people perceive greater eff
 ects of harmful media messages on others than on 
themselves. With respect to behavior, the diff
 erence between perceived media eff
 ects on the self and 
on others will lead people to endorse restricting particular media messages. Th
 e third-person eff
 ect 
therefore might play a role in disputes over freedom of expression versus censorship.

## How Can These Theories Of Public Opinion Perception Inform Your Practice?

 
-  
Th
 ey off
 er ways of seeing how perceived opinions diff
 er from measured opinions.
 
-  
Pluralistic ignorance, false consensus, and the looking glass perception can help researchers assess 
situations in which people believe that others' opinions are either more conservative or more liberal than their own.
 
-  
Th
 e third-person eff
 ect helps explain public support for censorship. It proposes that people's support 
for censorship may be based on their misperception that a majority of *other* people are vulnerable to 
media messages.
 
-  
Th
 e spiral of silence theory suggests that a homogenous view in a society will make people either conform and change to the same view, or keep silent. But in complex media environments, there should be a better understanding that people can fi
 nd alternative views and channels that fi
 t their views.

## Changing Public Opinion

Th is resource list is designed for those planning to train on or incorporate theory and research on changing public opinion into their training practice. Included are suggested texts and websites that off er information beyond the participant handout.

## Suggested Public Opinion Texts

- Converse, P.E. (1987). Changing conceptions of public opinion in the political process. Public Opinion 
Quarterly, 51, S12–S24.
- Davison, W.P. (1958). Th
 e public opinion process. *Public Opinion Quarterly, 22,* 91–106.
- Glasser, T.L. & Salmon, C.T. (Eds.). (1995). *Public opinion and the communication of consent.* New 
York: Guilford Press.
- Glynn, C.J. (2005). Public opinion as a social process. In Dunwoody, S., Becker, L.B., McLeod, D.M., & 
Kosicki, G.M. (Eds.) Th
 e evolution of key mass communication concepts (pp. 139–163). Cresskill, NJ: 
Hampton Press.
- Kelman, H. (1939). Processes of opinion change. *Public Opinion Quarterly, 3,* 228–249.
- Knight, J., & Johnson, J. (1994). Aggregation and deliberation: On the possibility of democratic legitimacy. Political Th
 eory, 22, 277–296.
- Lippmann, W. (1997). *Public opinion.* New York: Free Press Paperbacks. (Original work published 1922) - Noelle-Neumann, E. (1993). Th
 e spiral of silence: Public opinion—our social skin (2nd ed.). Chicago: 
University of Chicago Press.
- Price, V. (1992). *Public opinion.* Newbury Park, CA: Sage Publications. - Splichal, S. (1999). *Public opinion: Developments and controversies in the twentieth century.* Lanham, 
MD: Rowman & Littlefi
 eld.

## American Public Opinion Websites

- American National Election (ANES) Studies


Th
 e survey has been conducted every other year since 1952, with focus on the political process, the 
role of government, and social and economic issues. 
 
 
http://www.electionstudies.org
 
- American Public Opinion and U.S. Foreign Policy Th
 is large-scale public opinion survey has been conducted by Th
 e Chicago Council on Foreign Relations every four years between 1974 and 2002, and then every two years since then. Th
 e topical focus 
is American and international public opinion on a wide-range of important international issues. Full 
text reports and results are accessible. 
 
 
http://www.ccfr.org/pos_overview.php
 
- Th
 e Gallup Organization Th
 e organization has conducted public opinion surveys for more than 70 years, on a wide variety 
of topics such as recent political and economic polling, attitudes toward social issues and consumer behavior. Some multinational studies are also included. Some datasets for many Gallup polls are available from the Roper Center for Public Opinion Research site.
 
 
http://www.gallup.com
 
- General Social Survey (GSS) Th
 e survey started in 1972, funded by the sociology Program of the National science Foundation and 
conducted by National Opinion Research Center at University of Chicago. It measures attitudes toward social and public policy issues, economic status, political events, work, and family life. Certain topics are included on a rotating basis, which include gender equity, religious beliefs, and perception of work. 
 
 
http://www.norc.org/projects/General+Social+Survey.htm
 
- Th
 e Pew Internet & American Life Project


Also led by the Pew Research Center and funded by the Pew Charitable Trusts, this project surveys and 
reports on the impact of the Internet on families, communities, work and home, daily life, education, health care, and civic and political life. Th
 e Project releases about 15–20 pieces of research a year, based 
on analysis of observation, in-depth interviews, nationwide telephone surveys, and online survey data. 
 
 
http://www.pewinternet.org
 
- Th
 e Pew Research Center for the People and the Press An independent opinion research group with particular focus on attitudes toward the press, politics, 
and public policy issues. Th
 eir regular national surveys measure public attentiveness to major news 
stories. Th
 eir polling charts trends in values and political and social attitudes. Th
 e Center is sponsored 
by Th
 e Pew Charitable Trusts.
 
 
http://pewresearch.org/
 
 
http://people-press.org

## Other Public Opinion Websites

 
- iPOLL, Roper Center for Public Opinion Research Th
 e Roper Center for Public Opinion Research is one of the world's leading archives of social science 
data, specializing in data from surveys of public opinion. Th
 e data held by the Roper Center spans 
from the 1930s, when survey research was in its infancy, to the present. Most of the data are from the United States, but more than 50 nations are represented. 
 
 
http://www.ropercenter.uconn.edu
 
- World Public Opinion (WPO) Launched by the Program on International Policy Attitudes (PIPA) in January 2006, the organization provides in-depth information and analysis on public opinion from around the world on international issues. 
 
 
http://www.worldpublicopinion.org
 
- PollingReport.com


An independent and non-partisan resource where selected reports on trends in American public opinion are available. 
 
 
http://www.pollingreport.com
 
- Public Agenda Th
 e non-partisan and non-profi
 t website discusses various current issues such as education, economy, 
immigration, foreign policy, religion, and civility in American life. It was founded by author and professional pollster Daniel Yankelovich and former Secretary of State Cyrus Vance in 1975. 
 
 
http://www.publicagenda.org
Fishkin, J. S., He, B., & Siu, A. (2008). Public consultation through deliberation in China: Th e fi rst Chinese Deliberative Poll. In S. Odugbemi & T. Jacobson (Eds.), Governance Reform Under Real-World Conditions: 
Citizens, Stakeholder, and Voice (pp. 461–475). Washington, D.C.: Th e World Bank.

Garcia, Helen R. (2007). Needs assessment for the Learning Program on Communication and Governance. Internal report. Washington, D.C: Th e World Bank.

Heifetz, Ronald, Grashow, Alexander, and Linsky, Marty (2009). Th e practice of adaptive leadership: Tools and tactics for changing your organization and the world. MA: Harvard Business School Publishing.

Masty, S. J. (2008). Communication, coalition building, and development: Public enterprise reform in West Bengal and Orissa States, India. In S. Odugbemi & T. Jacobson (Eds.), Governance Reform Under Real-World Conditions: Citizens, Stakeholder, and Voice (pp. 355–390). Washington, D.C.: Th e World Bank.

Masty, S. J. Tax Reform and Communication in Bulgaria: Getting It Right, In S. Odugbemi & T. Jacobson
(Eds.), *Governance Reform Under Real-World Conditions: Citizens, Stakeholder, and Voice* (pp. 413–417). 

Washington, D.C.: Th e World Bank.

Odugbemi, S., 2008, 'Public Opinion, the Public Sphere, and Quality of Governance: An Exploration'
, Chapter 2 in Governance Reform under Real World Conditions, CommGAP, World Bank http://www.gsdrc.org/go/display&type=Document&id=3732 Th is study from the World Bank argues that the power of public opinion is a critical factor. Further, a democratic public sphere provides a vital structure through which good governance may be secured. Odugbemi, S., and Jacobson, T., (eds.) 2008, 'Governance Reform Under Real World Conditions'
, Communications for Governance and Accountability Program (CommGAP), World Bank, Washington D.C. http://www.gsdrc.org/go/display&type=Document&id=3758
Th is volume from the World Bank argues that successful, sustained reform requires the alignment of citizens, stakeholders, and voice. Reformers must overcome adaptive challenges such as public opinion, self-interested forces and inertia, and this requires skilled communication. Communication links the constitutive elements of the public sphere - engaged citizenries, vibrant civil societies, plural and independent media systems, and open government institutions - to facilitate the national dialogue which shapes informed public opinion.

Wilson. M., Warnock, K., and Schoemaker, M., 2007, 'At the Heart of Change: Th e Role of Communication in Sustainable Development'
, Panos Institute, London http://www.gsdrc.org/go/display&type=Document&id=3717
Th is report from Panos argues that information, communication, the media and ICTs are powerful agents in giving 'voice' to the poor. Open, participatory information and communication processes contribute to inclusive politics, better governance, a dynamic civil society, and to rapid, fairer economic growth. However, communication must be put at the service of the poor - at community, national and international levels. A wide-ranging, holistic and strategic approach to information and communication challenges is needed, plus - crucially - political will to address them.

Lines, K. 2009, 'Governance and the Media: A Survey of Policy Opinion'
, BBC World Service Trust, London http://www.bbc.co.uk/worldservice/trust/pdf/governance_media_survey_April09.pdf Th is report sets out to provide a fresh analysis of current thinking and practice about the role of media in relation to governance outcomes. It fi nds that whilst there is some evidence to support the perception that policy makers recognise the central role that media plays in development more than they did formerly, policy and programmatic attention that media receives does not equate to its perceived importance for governance.

Coff ey International Development, 2007, 'Th e Role of Communication in Governance: Detailed Analysis'
, Coff ey International Development, London http://www.gsdrc.org/go/display&type=Document&id=3757

Th
 is paper from Coff
                ey International Development analyses the positive and negative contributions of com-
munication to governance. In theory, eff
                              ective communication can help to promote good governance; however, 
a solid evidence base is lacking and a positive correlation should not be assumed. Existing studies suggest that 
it is not enough to create the means of communication; enabling factors must be in place so that voices can be 
heard and citizens can hold government to account.

Th
 e Communication Initiative, 2007, 'Communication and Governance'
                                                     , Ch. 3 in World Congress on Com-
munication for Development: Lessons, Challenges, and the Way Forward, Th
                                                          e Communication Initiative, 
Food and Agriculture Organization of Th
                              e United Nations, and Th
                                                 e World Bank
http://www.gsdrc.org/go/display&type=Document&id=3721

Th
 is book chapter reports on some of the fi
                               ndings of the World Congress on Communication for Development. It 
argues that free fl
             ows of information and communication lie at the heart of good governance, transparency and 
accountability. Communication for development has evolved beyond traditional propaganda and marketing to 
a greater emphasis on two-way communication fl
                                     ows, dialogue, and participation.

CommGAP, 2008, 'Th
                 e Public Sphere' Policy Brief, Communication for Governance and Accountability 
Program (CommGAP), World Bank, Washington DC
http://siteresources.worldbank.org/EXTGOVACC/Resources/PubSphereweb.pdf

## Technical Briefs

CommGAP (n.d.). Th e public sphere.

http://siteresources.worldbank.org/EXTGOVACC/Resources/PubSphereweb.pdf.

CommGAP (n.d.). Changing public opinion.

http://siteresources.worldbank.org/EXTGOVACC/Resources/PublicOpinionweb.pdf.

CommGAP (n.d.). Communication for good governance.

http://siteresources.worldbank.org/EXTGOVACC/Resources/Governanceweb.pdf.

## Videos

Sina Odugbemi, CommGAP Program Head, 'Th e Global Forum for Media Development', 2008, Running time: 3:13 minutes http://www.youtube.com/watch?v=FvPipaLq60o James Fishkin, Stanford University, CommGAP Global Dialogue, 'Governance Reform under Real-World Conditions: a Dialogue on Communication Challenges'
, 2007, Running time: 3: 
57 minutes http://www.youtube.com/watch?v=da5Irgz3qpk

## Session 1 Using Political Economy Analysis

Participants will learn the importance of using political economy analysis  and gain deeper understanding of the challenges faced by reform leaders in eff ecting change. Political economy analysis may expose the obstacles that can block reform due to diffi
  cult or hostile stakeholder groups and arising from the social, cultural and political context of the overall reform environment. Th e case study on Urban Bus Operations in Dhaka is used to present an operationally-relevant approach for employing political economy analysis. Th is is accomplished through an examination of the 'what, why and how' of reform and a thoughtful consideration of the what and why of the persistence of challenges, their political economy roots, and how the recurring obstacles were addressed to successfully implement reform.

## Key Concepts And Messages

-  
Operationalizing political economy analysis involves a process of examining the 'what, why and how' of reform.
-  
A well-informed stakeholder analysis is required to identify the critical stakeholders - the winners and losers, the strong allies, potential supporters and opponents of reform. 
-  
Implementing and sustaining reform requires a well-designed communication strategy to build broad 
support for reform.

## Learning Outcomes

By the end of the session, participants will be able to:

- Understand the value of political economy analysis in gaining a deeper understanding of reform challenges, 
- Apply the approach of operationalizing political economy analysis as a tool to examine the 'what, why 
and how' of reform, 
- Use the knowledge gained from the analysis to map out a communication strategy aimed at  mobilizing 
multi-stakeholder support for reform

## Exercise: Small Group Work: Stakeholder Analysis Session Length: 90 Minutes T Eaching Notes And Process Guide

Content and Process
Presentation Slides and Process Cues

[Two active buttons here, side by side :]*
Play Slideshow Download Presentation File

## Stakeholder Analysis Small Group Work

T I M E  A L L O T T E D :  4 0  M I N U T E S

## Purpose

To apply the knowledge acquired by, stakeholder mapping and improve skills for analyzing the attitudes of critical stakeholders, the veto players, according to their perceptions, position and level of infl uence upon the proposed reform.  

## Process

 
1.  
Ask participants to break into small groups of four to fi
 ve people.   
 
2.  
Distribute the handouts.
 
3.  
Briefl
 y explain that the groups will have to:
- Identify the key stakeholders, their interests, perceptions, and level of infl
 uence and status with 
respect to the reform. Each group will have 20 to 25 minutes to discuss and share their assessments, based on their reading of the Dhaka Urban Bus Reform handout.  
- Fill out the Stakeholder Analysis Map*(S2-HO2)* as best you can.
- Present each group's fi
 ndings in plenary. Ask each group to make a two to three minute presentation.
 
4. Aft
 er the group presentations, invite comments and reactions from all participants.
 
5.  
Debrief the participants to reinforce learning from the activity. Depending on the insights garnered 
from the presentations, the facilitator may ask some follow-up questions.
- How did you fi
 nd this experience?  
- Was there any aspect which you found diffi
  cult?  
- What outcome did you expect? In what way was the actual outcome diff
 erent from your expectations?
- Is there an area where you feel you need more practice? - What did you fi
 nd most useful or relevant?
- How would you do things diff
 erently?

## Operationalizing Political Economy

S OU T H  A SI A P OL I T IC A L  E C O N O M Y  A N D  G OV E R NA NC E  I S S U E S  N O T E  N O.  1

## Urban Bus Operations In Dhaka

Unsafe, polluting buses are allowed to operate on Dhaka's already choked roads. Yet past eff
                                                                                            orts to 
regulate and reform bus operations have been thwarted by the eff
                                                              orts of business syndicates, politicians, 
police and trade unions. A strategic transport plan has been prepared, but eff
                                                                         ective implementation will 
take actions on many fronts. Th
                              e driving force for reform could come from owners of large bus compa-
nies, with support from their workers, associations, and trade unions, along with civil society groups, 
and the media. Th
                  e Bank and other international partners can support reform eff
                                                                                 orts, but they will 
only succeed with sustained, determined and courageous leadership backed by a cohesive and deter-
mined Bangladeshi political coalition.

Th
 is note summarizes the results of a political economy analysis [1] which aimed to increase the Bank's 
understanding about the reasons why unsafe, polluting buses continue to operate on Dhaka's already choked 
roads, despite eff
            orts to regulate and reform bus operations. It addresses three sets of issues:

 1) **What** are the systemic problems that continue to plague the bus sector in Dhaka ?
 2) Why have these ailments persisted? 
 3) How can coalition building and a good communications strategy help to address these pathologies?

## Context

Th ere are around 6700 buses in Dhaka, operating on about 170 kms of road space (out of around 3000 
kms) that are fi t for buses. Th e public sector entity, Bangladesh Road Transport Corporation (BRTC), operates less than 2% of the buses. Th e overall bus operations are regulated by a number of bodies with overlapping mandates. Th e Bangladesh Road Transport Authority (BRTA) is empowered to regulate public transport vehicles. Th e Road Transport Committee (RTC) is appointed by the BRTA to award route permits. Th e Dhaka Transport Coordination Board (DTCB) plans and coordinates public transport services. Th e Dhaka Metropolitan Police (DMP) is responsible for enforcing regulations. Th e Dhaka City Corporation (DCC) is responsible for overall municipal governance and administration. Development partners such as the World Bank have provided support to these authorities in infrastructure development, institutional strengthening and policy support. Other key stakeholders include bus owners (individuals or companies), bus workers, commuters, owners of other modes of transport, civil society, the media, and politicians.

Despite the extensive regulatory framework and work of interested stakeholders, bus transport in Dhaka leaves much to be desired. Th e chaos in bus operations in Dhaka includes unsafe buses that off er poor quality service, are insensitive to commuters' needs, and are grossly polluting. Most fatal pedestrian accidents in Dhaka are caused by buses, one corridor (Uttara-Motijheel-VIP) has more than 50% of the total buses in the city using just 30% of the total allocated bus routes, and it has been well-documented under the World Bank fi nanced Air Quality Management Project (AQMP) that urban diesel buses are the major source of air pollution. In addition, the confl ict between buses and other modes of motorized and non-motorized transport has contributed to average traffi
  c speeds in the range of 10 kph in Dhaka, further aggravating commuters and air pollution.

A careful analysis [2] of costs for four diff erent types of Dhaka buses fi nds that expected costs for operations, maintenance and depreciation per kilometer are up to 42% higher than the current Government fare, even without including illegal bribes and payments made. However, it is expected that bus owners make up for this by, *inter alia,* peak hour overloading, minimal maintenance, using buses long aft er their recommended lifespan, and adding on unauthorized charges based on what commuters are willing to pay.

## What Are The Systemic Problems?

Understanding why these conditions persist starts by analyzing the above contextual factors in more detail, and the *de facto* rules and regulations that both aggravate and take advantage of these conditions.

## Standards And Quality Of Service

Th e standard of bus service is inferior in physical and service quality. In terms of physical quality, many buses fail to meet safety and comfort standards. For example, buses and an estimated 90% of mini-buses are routinely fi tted with extra seats proscribed by law, leading to very little leg space. Seats are also very small and in poor condition, there are no handrails for passengers who are standing, and windows are broken, thus allowing dust and rain to come in. Most buses are more than 20 years old, emit black smoke, are badly dented, are vulnerable to accident due to faulty brakes, and lacking signal lights and rear view mirrors. (According to the report by Bhuiyan [2], 72% of the buses are less than 6 years old based on survey data; this is probably because for imported used buses, age is counted from date of registration in Dhaka.

Aspects of poor service quality include overloading of passengers, which contributes both to discomfort and to frequent pick-pocketing in crowded buses. Lack of adherence to time schedules occur both due to traffi
  c jams, and to the practice of frequent stopping in unscheduled and unauthorized places to pick up passengers. To compete with other buses for passengers, there is oft en reckless driving. Seats reserved for women are very few, and women passengers are reportedly mistreated by the bus staff
 . Passengers are also pushed out by the staff
  while exiting.

## Fragmented Industry

Th e industry is fragmented in many ways, which works to hinder effi
  cient service. First, there are many kinds of buses, including large buses (40+seats), mini-buses (about 30 seats), and human haulers (modifi ed small trucks that carry passengers). Second, there are varying ownership structures. Until ten years ago, most busses were individually owned. Th e fi rst bus company was registered in 1997, and starting in 2004, the Government decided to encourage companies with a minimum of 20 buses. Th ere are presently more than 60 bus companies, with ownership ranging from less than 10 buses to more than 150 buses. Th e bus companies are organized under umbrella organizations.

Th ird, the fare structure is poorly regulated. Operators reportedly charge higher than the approved fare in many cases in the name of special services such as 'seating service'
, 'gate lock'
, and use of compressed natural gas (CNG). Conductors also reportedly demand fares for a given distance traveled in an arbitrary fashion; the resulting heated arguments and haggling are common scenes adding to the discomfort of other passengers. Th ere are also concerns about the approved fares themselves. On the one hand, commuters feel that approved fares are too high, given the low quality of service, as is the case for the mini-bus. On the other hand, they prefer the comparatively better physical and service qualities of CNG run buses, but can't aff ord to pay the higher, approved fare.

Finally, there is no system of franchised routes, with route permits issued to individual buses. Th is leads to a rag tag collection of vehicles on a given route with little bearing to eff ective route management.

## Governance And Institutional Issues

Governance problems include the practice of buses violating traffi
  c rules with impunity such as obstructing other vehicles, making unauthorized stops, haphazard parking in bus stops, and using illegal, hydraulic horns. Many drivers are inexperienced, unlicensed, and unaware of traffi
  c rules; one traffi
  c sergeant estimates that only 50% of all buses have all required documents, 30% have some, and 20% have none, carrying instead counterfeit ones. Th e majority of the CNG run auto-rickshaws, a large number of minibuses and more than one half million rickshaws are operating with fake licenses. In addition, traffi
  c congestion discourages owners from introducing new buses because of the reduced daily passenger loads that buses can carry; for example, according to one owner, buses on one route that made up to 5 ½ trips per day a few years back, now make on average less than 3 trips per day.

Police reportedly demand bribes in the process of checking license and fi tness documents, and to avoid requisition of vehicles for police duty. To cope, bus companies may make routine monthly payments to all the police boxes and Th ana offi
  cers along their routes. Yet these payments don't reach the street level police, who respond by stopping buses arbitrarily, and thereby adding chaos and unpredictability to their corrupt transactions. Th e RTC collects bribes for route permits, and bargains to raise the bribe price. Th e BRTA 
takes bribes for issuing driving licenses, blue books, registration numbers, and fi tness certifi cates, and speed money to provide timely service. A portion of the funds collected goes to senior BRTA management, and political and transport association leaders.

In addition to these examples where bus owners, drivers and staff
  are the victims of corruption, these actors also engage in proactive corrupt practices themselves. Mini-bus staff
  are given early warnings from BRTA (for a price) about when mobile courts come into action, and the illegal, extra seats are taken out of the bus for the duration. Drivers caught with fake licenses don't go to the trouble of appearing before the traffi
  c section to pay the fi ne (200 taka or US$3) and regain the license, but rather obtain a new fake license costing 300 taka. Drivers also bribe police to operate buses beyond their allotted routes, or to turn back in the middle of a route if they see opportunities to collect more passengers without going the full distance.

Political organizations also take their cut. Owners associations and trade unions collect not only annual membership fees, but also daily fees at key checkpoints; a portion is allocated to party leaders, and most of the rest to leaders of the associations and unions, with almost nothing left
  to serve the rank and fi le. Important party leaders dominate the bus owners associations, and have a key role in route allocations; these are in turn given without consideration to traffi
  c congestion, in order to accommodate powerful clients, and to maximize revenue from formal and informal fees.

## Why Have These Ailments Persisted?

Th e inferior standard of bus service has persisted because of a range of rent-seeking practices aff ecting all aspects of bus operations and regulation making new investments unprofi table. Bus owners must pay extensive formal and informal fees, bribes, and speed money, to stay in business. Th e following explains key aspects of why these ailments have persisted.

## Political Patronage

Key ruling party leaders dominate bus owners associations. Association leaders are, in turn, members of the RTC, and work as conduits for other politicians. Th e RTC, through its role in route allocations, is the hub for patronage distribution. Routes are created to accommodate many clients, resulting in too many buses and congestion. Control of buses is invaluable when the need arises to transport supporters to political rallies and demonstrations. Donor supported infrastructure, such as bus terminals, is turned over to politically connected operating companies, such as Diva Enterprise, the operator of the Gabtoli Bus Terminal. Such operators may not pay appropriate rents to the DCC, and may provide poor service, but are beyond reproach because of their political connections, and the resulting fear of stakeholders to criticize them. Control of bus terminals gives operators rent-seeking opportunities, including proceeds from illicit trade and shipment of contraband goods.

Bus companies need to generously compensate a leadership team selected mainly based on ability to maintain good relations with key persons in authority, rather than on deep knowledge of the transport sector. For example, a Chairman might have a powerful position in a transport association, the RTC, and other relevant bodies. Board members may be retired army and police offi
  cials, or Members of Parliament. To protect their infl uence in the system, stakeholders bargain hard for key regulatory positions, raising funds through rent-seeking and extortion to bribe powerful political actors linked to the transport business, and relevant ministers, to work on their behalf. Companies also use media exposure to bargain hard: one company organized a press conference, among other strategies, to press BRTA to issue a route permit.

## Co-Opting Industry Associations

Bus owners associations and trade unions tend to change leadership automatically with changes in regime. Th ese changes are comprehensive, going from top leaders down to city ward level terminal and route committees. Th e main reason is that these organizations desire to maintain their power rents, and control over constituencies; thus, leaders voluntarily cede power, or switch their loyalty, to the new ruling party. However, such control by the ruling party isn't absolute: opposition party actors reportedly get roughly a quarter of the rents. Th is system of sharing, albeit asymmetrical, helps maintain stability, and avoid wildcat strikes and other forms of agitation by bus owners, staff
  and commuters. In an environment of rampant rent seeking, abuse, and political patronage based route allocations, it gives market actors political access and some degree of predictability in the system.

## Colonizing Institutions Of Accountability

Th is system persists because it serves the interest of powerful stakeholders, and because those that would have the most interest in reform have little infl uence. Th us, the appointment of the likes of BRTA Chairman and the RTC membership is carefully managed. In addition, the capacity of regulatory institutions is kept weak. Th us, BRTA doesn't have enough manpower to identify unfi t vehicles and to take necessary actions; it has no management manual, nor does it provide adequate training to staff
 . Coordination within BRTA is weak, with diff erent staff
  interpreting orders in diff erent ways. Coordination between BRTA and other agencies is also lacking, with police complaining about BRTA non-cooperation regarding the drive against unfi t vehicles. Further, to protect rent-seeking opportunities, BRTA allegedly has kept fi ve vehicle inspection centers equipped with modern fi tness testing technology out of operation for the last six years.

Th e DTCB staff
  has been reduced from 130 to72, with no posts for road safety, public transport specialists, and engineers. A few mobile courts are held per year on an irregular basis. Police infrastructure is very poor, and many traffi
  c policemen are inappropriately equipped. DTCB has no formal authority to hold the agencies it supervises accountable. Th e Strategic Transport Plan for Dhaka of 2005 proposes to address these issues by increasing DTCB professionalism and expanding its authority.

## Allocation Of Bus Routes And Permits

Th ere are problems in the allocation of routes and route permits (the number of buses that can operate on a given route), which are not based on proper estimates of demand of commuters, nor on the infrastructure needed for eff ective operation, but rather on the narrow business interests of bus owners and their political supporters. A related issue is the lack of good information on the actual numbers of buses in service on a given route. Th is allows owners to succeed in getting approval for additional route permits by taking advantage of a rule that new permits can be granted when there is a gap between the maximum number of buses needed and the actual number of buses in services. Th is problem is exacerbated by the practice of bus owners exhausting the maximum number of route permits without having enough buses to operate in practice. As a result, other bus companies without permits have to negotiate with permit holders to illicitly rent access to routes.

## Getting A Bus Route Permit: The *De Facto* Rules

 
-  
To operate a bus, the owner needs to get a route permit
 
-  
To get a route permit he needs to be a member of the owners association, for which there 
is a fee
 
-  
Th
 e associations are politically affi
  liated
 
-  
Th
 e RTC has sole authority for granting route permits
 
-  
RTC is chaired by the Police Commissioner
 
-  
Th
 e RTC includes representatives of the associations
 
-  
Th
 e association representative acts as the conduit between the route permit applicant and 
the RTC
 
-  
Rents are extracted from the applicant depending on the location of routes

## A Perverse Equilibrium

Dhaka has not seen frequent agitations by the bus owners and employees, perhaps due to the perverse consensus of key stakeholders benefi ting from the *de facto* rules of the game. Th is perverse equilibrium does not enhance the welfare of the citizen, but ensures rents and infl uence for all politicians linked to the sector. Th is has serious negative implications in terms of generating incentives for reform among political actors, even in a seemingly competitive political setting.

## How Can These Pathologies Be Addressed?

While the Constitution provides a legal basis for the rule of law, equality, and respect for human rights, in practice the ruling party and its associates misuse state power and its formal structures for partisan political and personal gain. While formal institutional mechanisms for maintaining checks and balances are in place, in practice these institutions lack autonomy from the executive and are not trusted by the public [3,4]. Th ese general problems of governance in Bangladesh apply in full measure to the bus sector, as can be seen from an analysis of the matrix below, depicting key stakeholders and their views on reforms. Most stakeholders are in one of two quadrants. Th ose in the upper right quadrant are those opposed to reforms, with high infl uence over the process. Th ose in the lower left
  quadrant are supportive of reform, but have low infl uence. Th ere are only two supporters in the quadrant with high interest and infl uence, and none in the fourth quadrant.

Within the upper right quadrant are politicians, associations, and regulatory bodies dominated by key fi gures from these groups. Th ese powerful elites use tools of corruption, patron-client dependency, and repression to sustain their authority, while ensuring that institutions of accountability are weak and subservient to their interest. Th e bus sector is an example of how these tools work in practice.

Addressing these pathologies will require actions on many fronts. Over the course of decades, Bangladesh may develop institutions where it is broadly in the interests of politicians and other elites to observe laws and constitutional rules, in the manner one fi nds in developed countries [5]. However, long before the emergence of impersonal institutions and the rule of law, it is possible for the country's political leadership to subdue various patronage networks and mafi as in the interests of better services for citizens where it has suffi
  ciently strong political will (in the CTG's case, this political will derived from its resolve to break up the major political parties, but such will can also be generated by a strongly articulated demand from citizens). Indeed, for a short time during the previous, military-backed caretaker government ruling from January 2007-December 2008, prominent political actors, mafi a bosses, ward commissioners and terminal committee leaders who had engaged in extortion and rent seeking went into hiding (or were imprisoned), and large-scale mafi a-type extortions abated. However, with the release from detention of prominent political fi gures prior to the December 2008 elections and the coming to power of a political government, these practices have reappeared.

To address the current situation, steps could be taken to promote the collective action capability of stakeholders in the lower left
  quadrant in the matrix, and to link them up in a pro-reform coalition with receptive and potentially receptive stakeholders in the upper left
  quadrant. Th e driving force could come from owners of large bus companies (40+ buses, mostly large and CNG equipped), who would welcome the increased revenue coming from reforms leading to less congestion, and would benefi t from fair route allocations, while feeling confi dent that they could survive and prosper in a post-reform situation. Among other groups in the lower left
  quadrant, bus workers are expected to endorse reforms, particularly those from large companies. Both reform-oriented owners and workers may in turn urge their associations/trade unions to promote integrity, non-partisanship in association activities, and more transparency in their functions and accountability to general members. Th ey could lobby for laws to de-link these organizations from political parties and to set standard criteria for eligibility of their leadership. Th ey could also push for eff ective implementation of the recommendations of the STP. Pro-reform members of associations/trade unions may be able to expand their coalition if they see visible reform gains, say from a few pilot initiatives, supported by an information-education-communication drive. Th ey might also promote new associations like the Association of Bus Companies (ABC), which aim to represent non-mobilized constituencies in the transport sector such as bus riders; this might, in turn, generate pressure on the traditional associations to change their antireform stance.

Civil society organizations linked to urban environmental issues could also be encouraged to play a greater role in voicing citizens' concerns related to traffi
  c congestion. Th ey could critically observe the process of reform (e.g. transparency in bidding, determination of bus fare, and actual quality of services on off er). Th ey could also monitor the economic rehabilitation of stakeholders who might suff er from reforms, such as rickshaw and human hauler pullers, and staff
  of small bus companies, to keep these stakeholders supportive or at least neutral towards reforms by countering inevitable false rumors with credible information. Likewise, investigative reporters in media organizations can be urged to master basic technical knowledge of transport issues so they can keep citizens better informed on transport governance constraints discussed above and related reforms. Both civil society and media organizations could benefi t from technical and fi nancial support from international partners such as the Bank to support these eff orts.

One should not underestimate the diffi
  culty of getting eff ective reform underway. Large bus owners and staff
  will be highly constrained in supporting reform by their current links to corruption networks of politicians, police, and leaders of associations, RTC, BRTA, DCC and BRTC. Powerful elites that feel threatened could fi ght back by orchestrating street battles, terror attacks, and extrajudicial killings. Th e Bank and other partners can support reform eff orts, but they will only succeed with sustained, determined and courageous leadership backed by a cohesive, Bangladeshi political force [6].

## References

1. 
Political Economy Analyses of Two Key Industry Sectors in Dhaka, Part A: Urban Bus Operations, report for the South Asia Social, Environment, and Water Resources Department, Th
 e World Bank, 2008.
2. 
Bhuiyan, Abdul Alam, Study on Bus Operation in Dhaka City, 2007. Air Quality Management Project, Department of Environment, Dhaka, Bangladesh.
3. 
Lokniti (Programme for Comparative Democracy, Centre for the Study of Developing Countries). 2008. State of 
Democracy in South Asia. New Delhi: Oxford University Press.
4. 
Barman, Dalem Ch., M. Golam Rahman, and Tasneem Siddiqui 2002. *State of Democracy in Bangladesh.* Stockholm and Dhaka: International Institute for Democracy and Electoral Assistance and University of Dhaka, Department of Peace and Confl
 ict Studies.
5. 
Douglass C. North, John Joseph Wallis, Steven B. Webb, and Barry R. Weingast, 2007. Limited Access Orders in 
the Developing World: A New Approach to the Problems of Development Policy Research Working Paper 4359. 
Washington, DC: World Bank.
6. 
Wil Hout, and Richard Robison, eds. 2009. *Governance and the depoliticisation of development.* London: 
Routledge.
Th is Issues Note is based on a study conducted for the World Bank by Mirza Hassan and Abul Hossain (Consultants, SASGP) in 2007-2008 under the guidance of Jose Edgardo Campos (Lead Governance Advisor, SASGP) and Sameer Akbar (Task Team Leader & Sr. Environmental Specialist, SASDI) from the World Bank. It was prepared by Clay Wescott (Consultant, SASGP) 
in July 2009 as part of the South Asia Governance and Public Sector (SASGP) series on Political Economy and Governance. Comments on earlier versions of this Note were received from Ajay Kumar (Lead Transport Economist, AFTTR), Hubert Nove-Josserand (Sr. Urban Transport S
pecialist, SASDT), Sakuntala Akmeemana (Sr. Public Sector Specialist, SASGP) and Dr. M. 

Khaliquzzaman (Consultant, SASDI). Th e study was fi nanced using DFID Trust Fund resources.

## Stakeholder Analysis–Dhaka Urban Transport Reform

Stakeholder
Interests 
Perceptions
Positions on reform
Infl
 uence

## How To Use Political Economy Analysis To Guide Communication Strategy In Governance Reform Approaches

Enhance stakeholder empowerment through dialogic participation
Dialogic participation's main objective is the empowerment of grassroots stakeholders in engaging the policy-making process. This can be implemented by using a subset of the following techniques: multi-stakeholder analysis, journalistic interviews, assessment of participatory culture, narrative formats to tell reform stories, and training programs geared toward engaging authorities. This approach can be implemented through the techniques of carrying out political analysis for engaging citizen voice and training local stakeholders to effectively engage authorities.
Build support through monologic persuasion
This essentially top-down approach toward reform is viewed as necessary in building support for a change initiative crafted by technical experts. *Monologic* persuasion requires that socio-psychological mechanisms of opinion, attitude, and behavior change be harnessed toward the diffusion and adoption in a reform initiative. In this vein, political analysis assists the reformer in charting paths of infl
 uence through which a reform will proceed through 
and among segments of a target population. This approach can be implemented through a combination of techniques such as multilevel stakeholder analysis and narrative formats used to tell reform stories.
Legitimate authority for change
The principle underpinning this approach promotes the view that authority gains legitimacy when citizens believe that their voices are heard by elites and count in the decision-making processes of governance. Political analysis guides this approach by mapping out relationships among various groups, especially between government and civil society; and by identifying communicative interactions among stakeholders that lead to broad-based support for reform. This approach is associated with the techniques of multi-level stakeholder analysis, communication report cards, and training programs geared toward engaging authorities.
Assess the place of participation in cultures
Grassroots participation may be desired as a comprehensive component of a reform initiative, or may be limited to particular stages of the change process. The cultures of societies and communities vary widely with regard to the open participation of particular population segments in policy decision-making forums. Sensitivity to these differences helps

reformers in terms of sequencing which groups should be involved at what stages, as well as the ways in which participation can help or hinder the reform process. Taking stock of trade-offs between participation and effi ciency is an essential element in this approach.

This approach can be implemented by using the following techniques: multi-level stakeholder analysis, communication report cards, journalistic interviews, and training of local stakeholders to effectively engage authorities.

## Techniques

Enhance stakeholder empowerment through dialogic participation
Dialogic participation's main objective is the empowerment of grassroots stakeholders in engaging the policy-making process. This can be implemented by using a subset of the following techniques: multi-stakeholder analysis, journalistic interviews, assessment of participatory culture, narrative formats to tell reform stories, and training programs geared toward engaging authorities. This approach can be implemented through the techniques of carrying out political analysis for engaging citizen voice and training local stakeholders to effectively engage authorities.
Carry out political analysis for engaging citizen voice
The type of political analysis needed to support this approach revolves around mapping political and social relationships among various levels of governance, and assessing the participatory capacity of local communities, particularly in terms of engaging local and national elites in the policy-making processes.
Perform multilevel stakeholder analysis
Mapping out various stakeholder groups and key individuals involves drawing linkages to increase understanding and generating insights regarding the political, social, and cultural landscape in which reform processes are played out. Particular care needs to be taken while assessing relative power relationships among groups and individuals, because these assessments provide opportunities and constraints to reform agents in moving a reform agenda forward.
Map the public sphere
The public sphere is a complex set of interlocking processes involving citizen conversation, non-governmental organizations (NGOs), the media (newspapers, magazines, radio, television), unions, public opinion organizations, , as well as political representatives who need to listen as well as provide information. All these elements must play their roles if the public sphere is to serve for effective and transparent governance. Mapping these players can improve understanding of the fl
 ows of information and opinion.
Use narrative 
communication formats
Situating reform efforts in larger cultural environments requires modes of communication 
that can capture the depth and breadth of human experience. For this, reform narratives should be created and presented through theater and fi
 lm productions as well as in the 
short-story format. It is imperative that individuals and organizations on the ground be equipped to engage people of authority at the local, state, and national levels. Training programs should include modules in leadership, negotiation, and understanding governance structures.
Train local stakeholders to engage authorities effectively

## Reading List

Campos, J. Edgardo, and Jose Luis Syquia. 2006. Managing the Politics of Reform: Overhauling the Legal Infrastructure of Public Procurement in the Philippines. World Bank WorkingPaper 70. Washington, DC. 

World Bank CommGAP, 2009, "Political Economy Analysis to Action: Political Communication Approaches and Techniques." CommGAP, World Bank, Washington, D.C.

http://www.gsdrc.org/go/display&type=Document&id=3763
Th is study from the World Bank suggests that reform managers must be able to persuade society. Furthermore, although reform includes technical challenges, the challenges of adaptation require political communication.

Nash, R., A. Hudson and C. Luttrell. "Mapping Political Context: A Toolkit for Civil Society Organizations" Department for International Development (2009). Political economy analysis how-to note. http://www.gsdrc.org/docs/open/PO58.pdf. Fritz, V., Kaiser, K., & Levy, B. (2009). "Problem-driven governance and political economy analysis. Good practice framework." Washington DC: World Bank Group. Nash, R., Hudson, A., & Luttrell, C. (2006). Mapping political context. A toolkit for civil society organizations. http://www.odi.org.uk/resources/download/152.pdf. Lal, S. (2008). Th e political economy of reform: Role of the internal "journalist." In S. Odugbemi & T. Jacobson (eds.), Governance reform under real-world conditions. Citizens, stakeholders, and voice (pp. 75–92). Washington DC. World Bank Group. Besley, T., and Burgess, R., 2002, "Th e Political Economy of Government Responsiveness: Th eory and Evidence from India." London School of Economics, London. http://www.gsdrc.org/go/display&type=Document&id=3704
Th is paper from the London School of Economics and Political Science highlights the importance of information fl ows about policy actions. Having an informed and politically active electorate strengthens incentives for government responsiveness. Evidence from India shows that state governments are more responsive where newspaper circulation is higher and electoral accountability greater; there is a role for both democratic institutions and mass media in ensuring that citizens' preferences are refl ected in policy.

Singh, A., 2008, "Political Economy Reforms: Learning from the Delhi Water Experience," in Governance Reform Under Real World Conditions, eds. S. Odugbemi and T. Jacobson. Communications for Governance and Accountability Program, World Bank, Washington, DC. http://www.gsdrc.org/go/display&type=Document&id=3764

Th
 is research from the World Bank looks at eff
                                   orts to reform the water sector in Delhi. It suggests that moving 
from policy rhetoric to its acceptance is always diffi
                                       cult. But instead of simply blaming the system for problems 
of implementation, it is important to analyse and work with the underlying reality.

recommended reading and resources Singh, A., 2008, 'Political Economy Reforms: Learning from the Delhi Water Experience'
, in Governance Reform Under Real World Conditions, eds. S. Odugbemi and T. Jacobson, Communication for Governance and Accountability Program, World Bank, Washington DC http://www.gsdrc.org/go/display&type=Document&id=3764

## Videos

Why do PE Analysis and what's new in this area of work? Kapil Kapoor, World Bank Country Manager for Zambia, World Bank Institute-CommGAP workshop on 
'Political Economy Analysis to Action: Political Communication Approaches and Techniques,
' 2009. World Bank, Washington DC. Running time: 1:44 minutes http://www.youtube.com/watch?v=qOJ5BXTzEz0&feature=youtu.be RakeshRajani, Head and Founder, Twaweza East Africa, World Bank Institute-CommGAP workshop on 
'Political Economy Analysis to Action: Political Communication Approaches and Techniques,
' 2009, World Bank, Washington DC. Running time: 0: 
52 minutes http://www.youtube.com/watch?v=qOJ5BXTzEz0&feature=youtu.be Christine Wallich, Director, Multilateral Investment Guarantee Agency, World Bank Group, 'Political Economy Analysis to Action: Political Communication Approaches and Techniques', 2009, World Bank, Washington DC. Running time: 1:53 minutes http://www.youtube.com/watch?v=yd8oe4-A7eM&feature=youtu.be Claudia Melim-McLeod, Democratic Governance Advisor, UNDP Oslo Governance Center, World Bank Institute-CommGAP workshop on 'Political Economy Analysis to Action: Political Communication Approaches and Techniques', 2009, World Bank, Washington DC, Running time: 1:47 minutes http://www.youtube.com/watch?v=R9-yZJVZQUc&feature=youtu.be AshutoshVarshney, Professor of Political Science, Brown University, World Bank Institute-CommGAP 
workshop on 'Political Economy Analysis to Action: Political Communication Approaches and Techniques', 
2009, World Bank, Washington DC, Running time: 1:27 minutes http://www.youtube.com/watch?v=oT_XoqJgl-E&feature=youtu.be

## On The Role Of Political Stakeholder Analysis

Sumir Lal, Operational Communication, External Aff airs, World Bank, CommGAP Global Dialogue, 
'Governance Reform under Real-World Conditions: a Dialogue on Communication Challenges', 2007, Running time: 3:51 minutes http://www.youtube.com/watch?v=VaggXLkMlMM 
Matt Uzzell, Adam Smith International. 'Governance Reform under Real-World Conditions: a Dialogue on Communication Challenges'
, 2007, World Bank, Washington DC. Running time: 4:27 minutes http://www.youtube.com/watch?v=WAnm7KK-FEM

## Session 2 S2-Vd5 Module Ii Addressing Recurring Challenges - The Three Wills

Th is module presents a strategic framework consisting of the Th ree Wills—"Political Will, Public Will, Organizational Will," which further unpacks the obstacles to change and demonstrates the intrinsic roles that communication processes and infl uence play at each level of intervention. Educating and persuading key audiences on the rational and benefi ts of reform is a critical fi rst step in the behavior change process.

Political Will, an outcome of elites' willingness to provide private and public support to a change initiative is essential to making reform happen.

Organizational Will focuses on gaining unifi ed support from public sector middle managers for their role in implementing and sustaining the reform eff ort, both internally and externally. 

Public Will challenges are manifested through apathetic or indiff erent behavior or as hostile public opinion which negatively impacts reform eff orts. Strategic communication as a stakeholder-oriented approach which focuses on infl uencing changes in behavior, attitudes and opinions that lead to positive action that is pivotal to reform eff ort.

## Securing P Olitical Will

Here we examine the role of political will, the importance of problem recognition and the conditions necessary for generating elite support for reform implementation. Participants will refl ect on several key questions: Whose will constitutes political will in your environment? What is the attitude of the relevant leadership groups to your reform? How to increase leadership support for your reform? Th e session further outlines relevant communication approaches and techniques for building support from policymakers, political actors and reform leaders.

## Key Concepts And Messages

- Political will exists when there is broad leadership support for change. A lone reform champion cannot 
do it single-handedly.
- Build problem recognition - the shared understanding of the issue that needs to be addressed. - Broad acceptance among key decision-makers and political leaders will expand space for change. - To make reform materialize, it is essential to advance from problem/issue recognition to a decision/
action agenda. 

## Learning Outcomes

- By the end of the session, the participants will be able to:
- Defi
 ne political-will challenges in reform environments,
- Recognize the drivers of political will, -  
Learn and apply communication approaches and techniques towards securing leadership support for reform.
securing p olitical will Exercise: Individual Table Work: "Whose will constitutes political will?" Session Length: 90 minutes

## T Eaching Notes And Process Guide

Content and Process
Presentation Slides and Process Cues

[Two active buttons here, side by side :]*
Play Slideshow Download Presentation File

## Whose Will Constitutes Political Will? Individual Table Work

T I  
M E  A L L O T T E D :  3 0  M I N U T E S

## Purpose

To identify challenges to political will and explore communication-based solutions for strengthening leadership support for reform. 

## Process And Discussion Questions

 
1.  
Ask participants to break into small groups of four to fi
 ve people.
 
2.  
Post the slide (S*lide No. 7)* with discussion questions on the screen.
- Whose will constitutes political will in your environment? - What is the attitude of the relevant leadership groups to your reform? - How do you increase leadership support for your reform?
 
3.  
Ask the participants to write their responses on a sheet of paper.  
 
4.  
Open the plenary discussion and invite participants to share their responses.  
 
5.  
Discuss and summarize highlights of participant responses. 

## How To Secure Political Will As Demonstrated By Broad Leadership Support For Change What Are The Best Methods For Reaching Out To Political Leaders, Policy Makers, And Legislators? Approaches

Open up spaces for reform
Spaces for reform are found at the intersection of three factors: the acceptance of the reform by interest-group leaders, the ability of middle managers to carry out the reform's prescriptions, and the wielding of suffi
 cient authority by these managers to bring about 
change. When these three factors overlap, then the likelihood of a successful reform effort increases. Techniques associated with this approach include generating broad acceptance among leaders for reform objectives, ensuring that middle managers have the ability to carry out reform, and ensuring that organizational structures provide suffi
 cient authority to 
reformers.
Establish interpersonal 
linkages among reform-minded leaders

This approach prescribes that reform-minded leaders be linked to one another through "connectors," people whose social networks span what may be disparate communities of practice. According to a belief that these leaders will be willing to risk political and social capital if they know they are not alone in supporting change, it is imperative to establish connections among them throughout the reform process to sustain leadership support. It is possible that the connector role will be played by different individuals at various stages of the reform effort. This approach can be implemented through the techniques of gaining the support of reform champions and connectors, and ensuring that organizational structures provide authority to the reformers.

Harness public will to generate political will
Clearly, differentiating public will from political will is essential in harnessing the former in support of the latter. Cultivating public will through agenda-building processes and raising issue salience will allow the emergence of political will. Driving policy change demands sensitivity to people's responsiveness to a given issue while securing political support for preferred policy solutions. Through these interlinked processes, the desires of constituencies

(public will) will create a reform-oriented environment that places pressure on leaders to support reforms. This approach can be implemented by the techniques of harnessing the dynamic of agenda building and framing processes, by securing consistent and intensive media coverage, and by gaining the support of reform champions and connectors.

Recognize leaders as stakeholders The idea that leaders are stakeholders stems from the belief that self-interest is the primary driver in political life. In this view, leaders can be encouraged to lend their support to reform efforts if the issue is cast in terms of their self-interest. Key to this approach is mapping out incentives and disincentives among leadership groups, and identifying common themes as well as discontinuities. Persuasive messages can be crafted to obtain leadership support when one is armed with this knowledge. Techniques associated with this approach include harnessing agenda building and framing processes, securing consistent and intensive media coverage, and generating broad acceptance among leaders of reform objectives.

## Techniques

Map agenda-building mechanics
Understanding the ways in which issues earn their places on policy agendas equips the reformer with the capacity to bring resources to bear in support of this objective. The two principles underpinning this technique are scarcity of space on the policy agenda docket and the need to refresh perceptions about the policy in order to hold the attention of various stakeholders. Implied in these two principles is that a reform initiative must supplant other initiatives and should be redefi
 ned when necessary to maintain stakeholder interest.
Frame the problem in terms of the sought-after reform

Once a problem has been framed (defi ned) in terms that are supportive of the reform effort, evidence from anecdotes to statistical data and analysis should subsequently be presented in support of this frame. Suggested policy solutions should likewise address the problem on the basis of the adopted frame.

Convince media practitioners and journalists to support reform objectives

Reformers should also provide media-friendly messages to secure consistent and intensive media coverage. Members of the public rank issues on the policy agenda largely on the basis of the news media; that is, what the news media presents as the most important issues of the day will drive audience perceptions and opinions about the relative importance of the issue. It is essential, therefore, to convince media practitioners of the rightness of the cause and to communicate the reform's arguments in media-friendly terms (for example, celebrity endorser, personal examples and easy sound bites). Many communication scholars believe that to gain traction in the public mind, reformers should attempt to keep media coverage of the reform issue in the news for at least fi ve to seven weeks.

Persuade leaders to adopt reform objectives as their own

Leaders need to have a deep understanding of the objectives as well as the technicalities of engaging in reform. It is necessary for them to gain in-depth understanding of these issues. They should  be urged to share their concerns about the reform. If possible, these concerns should be incorporated in revising the reform's goals and objectives. To facilitate the scaling up of the process, leaders should be considered members of communities of practice, who may very well share interests with others in similar positions of infl uence.

Change work routines to enable middle managers to carry out reform policies

Although middle managers generally wish to stay in the good graces of senior managers who champion reform, it is also likely that the prescriptions of an endorsed reform initiative fall outside the middle managers' abilities. For example, new procedures may take too much time or may put the middle manager in a tough position regarding subordinates and clients. It is imperative; therefore, that reform agents and senior managers consult with middle managers—who are usually the ground troops of reform implementation—about whether the reform components are feasible and practical.

In addition to being set within the limits of organizational capacities, a reform initiative must fi t the organizational structure, particularly in terms of whether individuals tasked to carry out reform components are vested with the requisite authority to implement change initiatives. Defi ciencies in authority need to be addressed prior to reform implementation.

Rearrange organizational structures to provide reform-minded politicians the 
requisite authority to carry out reform policies Identify and enlist support of reform champions and connectors

To raise awareness among leadership circles, support from high-level champions in elected posts, as well as in the bureaucracy, needs to be secured. These individuals should lend their prestige and visibility to the reform initiative throughout the project cycle. "Connectors" who will provide interpersonal linkages among reform-minded champions should also be identifi ed and included as partners in the reform initiative. High visibility and peer support are necessary both for generating excitement and sustaining commitments in reform efforts.

## Persuasion Defi Ning Persuasion

Persuasive communication is any message that is intended to shape, reinforce, or change the responses of another or others.1 Such responses are modifi ed by symbolic transactions (messages) which are sometimes, but not always, linked with coercive force (indirectly coercive) and which appeal to the reason and emotions of the target. Generally, *persuasion* refers to such communicative activities that are mediated. Th ose that are face-to-face are called *compliance-gaining.*2 Persuasive communication can be targeted at

 
-  
Cognition. Persuasion can be used to change individuals' beliefs about an object or an issue, which 
includes attributes, interpretation, defi
 nition, outcome, etc.
 
-  
Attitude. Persuasion can be used to change individuals' attitude toward an object or an issue, which 
refers to the categorization of an object or an issue along an evaluative dimension (from negative to positive).
 
-  
Behavior. Persuasion can be used to change individuals' behavior, which is the overt actions regarding 
an object or an issue.

## Persuasion Vs. Propaganda

Propaganda is the communication of a point of view with the ultimate goal of having the recipient come to 
"voluntarily" accept the position as if it were his or her own.3 In addition to the pejorative fl avor, propaganda has some essential and distinctive features: 4

 
- Propaganda has a strong *ideological* bent.
 
- Propaganda is *institutional* in nature.
persuasion
 
- Propaganda involves *mass* persuasion.
 
- Propaganda tends to rely on *ethically suspect* methods of infl
 uence.

## Persuasion Vs. Manipulation

Th ere are elements of manipulation and coercion implied in persuasion. However, persuasion is ethically neutral.

 
- It is the motives of the persuader that determine if a given persuasive attempt is good or bad.
 
- Persuasion also serves a defensive, anti-manipulation function.
 
-  
Individuals' free will and free choice are intact in persuasion. Th
 ey are able to make informed decisions as to if they comply with the persuasive messages or not.
 
-  
Persuasion is symbolic, which is generally more ethical than infl
 uence via nonverbal or behavioral 
means.

## Means Of Persuasion Source Credibility

Th e impact of source credibility on persuasion can date way back to ancient Greece (ethos). Social scientifi c research in persuasion showed that there are two major dimensions in source credibility: *expertise* and trustworthiness, although dynamism, liking, similarity and physical attractiveness might also infl uence source credibility.5,6

Information and Source Credibility:
 
-  
A means to enhance expertise: Information on background, formal training, education, personal 
experience, and knowledge on the subject.
 
- A means to enhance trustworthiness: legitimacy, speaking against one's own interest, endorsement.
Non-Verbal Communication and Source Credibility: 7
 
- Features that enhance expertise: fl
 uency, facial pleasantness/smiling, facial expressiveness.
 
- Features that enhances trustworthiness: facial pleasantness/smiling, facial expressiveness.
Message Delivery and Source Credibility: 7
 
- Features that enhance credibility: pitch variation, citation of sources
 
- Features that diminish credibility: fi
 lled pauses, response latency
Maximizing the Impact of Source Credibility on Persuasion:
 
- Personal relevance minimizes the impact of source credibility
 
- Positioning of the source at the beginning maximizes impact
graphs, 66, 90–103.
7 
Burgoon, J., Birk, T. & Pfau, M. (1990). Nonverbal behaviors, persuasion, and credibility. Human Communication Research, 17, 
140–169.

## Rational And Emotional Appeals

Attitude is based upon, or generated from, three general classes of information: cognitive, aff ective, and 
(past) behavioral.8 Research is rapidly accumulating empirical evidence that persuasion is the result of both cognitive and aff ective processes.9,10 Hence, there are two general means to persuasion: rational appeal and emotional appeal. A rational appeal uses logical arguments and factual evidence to persuade individuals that the advocacy is viable and likely to result in the obtainment of goals. An emotional appeal is designed to arouse emotions among the recipient and use the emotions as bases for persuasion.

 
-  
P**ersuasion via rational appeal**: the cognitive response tradition of persuasion posits that the persuasive eff
 ectiveness of a message is a function of the individual's cognitive responses to the message.11,12,13
If the overall cognitive response is positive, there will be persuasion; otherwise, the persuasive attempt fails or even boomerangs. Generally speaking, the success of a rational appeal thus depends on the strength and quality of arguments in the message, given that the recipient is able and motivated to process the message. Factual evidence can be in the form of statistics or personal testimonies. Th
 ere 
is no evidence showing the advantage of one over the other.14 If either ability or motivation to process 
the message is low, recipients are less likely to scrutinize message arguments, but tend to be infl
 uenced 
by non-content features of message, for example, message modality, channel, source credibility, etc.
 
-  
Persuasion via emotional appeal: Th
 e most widely applied emotional appeal in persuasion is fear 
appeal. Th
 e term is sometimes interchangeable with the term *threat appeal* when the emphasis is on 
the informational content of the message, rather than the arousal it activates among the recipients. Meta-analyses have demonstrated strong evidence for the eff
 ectiveness of fear appeals.15,16  Th
 ere is 
also evidence that *guilt appeal* is persuasive.17
 
-  
Fear appeal: A typical fear appeal message has two components: the threat component and the recommendation component. Th
 e threat component should present the risk information: the severity 
of the risk and the individual's *susceptibility* to this particular risk. Th
 e recommendation component 
presents the recommended behavior to cope with the risk: the response effi
  cacy, which refers to the 
eff
 ectiveness of the recommendation in removing the threat, and self-effi
  cacy, which refers to the individual's capability to enact the recommended behavior.
8 
Zanna, M. P. & Rempel, J. K. (1988). Attitude: A new look at an old concept. In D. Bar-Tal & A. W. Kruglanski (Eds.), Th
 e social 
psychology of knowledge, 315–334. Cambridge, UK: Cambridge University Press.
9 
Nabi, R. (2002). Anger, fear, uncertainty, and attitudes, a test of the cognitive-functional model. Communication Monographs, 69, 204–216.
10 Stephenson, M. T. (2003). Examining adolescents' responses to antimarijuana PSAs. Human Communication Research, 29, 
243–369
11 Albarracin, D., McNatt, P., Ho, R., Klein, C., Mitchell, A., & Kumkale, G. (2003). Persuasive communication to change actions: 
An analysis of behavioral and cognitive impact in HIV prevention. *Health Psychology, 22,* 166–177.
12 Eagle, A. H., & Chaiken. S. (1993). Th
 e psychology of attitudes. New York: Harcourt Brace Jovanovich.
13 Petty, R. E., Ostrom, T. M., & Brock, T. M. (1981) (Eds.), *Cognitive responses in persuasion.* Hillsdale, NJ: Erlbaum.
14 Hornikx, J. (2005). A review of experimental research on the relative persuasiveness of anecdotal, statistical, causal and expert 
evidence. *Studies in Communication Sciences, 5,* 205–216.
15 Boster, F. & Mongeau, P. (1984). Fear-arousing persuasive messages. In R. N. Bostrom, & B. H. Westley (Eds.), Communication 
yearbook 8, 330–375. Newbury Park, CA: Sage.
16 Witte, K., & Allen, M. (2000). A meta-analysis of fear appeals: Implications for eff
 ective pubic health campaigns. Health Education & Behavior, 27, 591–615.
17 O'Keefe, D. (2002). Guilt as a mechanism of persuasion. In J. P. Dillard, & M. Pfau (Eds.), Th
 e persuasion handbook: Developments in theory and practice, 329–344. Th
 ousand Oaks, CA: Sage.
 
-  
Guilt appeal: A typical guilt appeal message has two components: One presents materials to evoke 
guilt through drawing attention to some existing inconsistencies between the recipients' standards and actions, the other describes the recommended behavior or viewpoint, which is meant to off
 er the 
prospect of guilt reduction.

## Resistance To Persuation

 
-  
Psychological reactance: When individuals perceive the messages as a restriction on their freedom 
to hold a particular attitude or to engage in certain behavior, they might experience psychological 
reactance and reject the message.18,19 Message features that could lead to reactance include: intention 
to persuade, illegitimacy, and language intensity.
 
-  
Inoculation: Resistance to persuasion can also be strategically induced to guard against counter persuasion. Th
 ere is evidence that a simple forewarning induce resistance to persuasion.20 Th
 e inoculation model.21 Suggests that forewarning of possible future attacks on one's attitude make individuals 
recognize the vulnerability of their attitude and motivate them to resist infl
 uence. Another component of inoculation is refutations pre-emption: It identifi
 es possible counter-arguments, supplies refutations against possible attacks, and provides an operational model of attitude defense.

## Compliance-Gaining

Persuasion also occurs in interpersonal settings, which is mainly compliance gaining. Wiseman and Schenck-
Hamlin22 identifi ed 14 compliance-gaining strategies:

 
1. **Ingratiation:** Actor's off
 er of goods, sentiments, or services precedes the request for compliance.
 
2. **Promise:** Actor promises goods, sentiments, or services in exchange for compliance.
 
3. **Debt:** Actor recalls obligations owed to him or her as a way of inducing the target to comply.
 
4. **Esteem:** Target's compliance will result in automatic increase of self-worth.
 
5. **Allurement:** Target's reward arises from persons or conditions other than the actor.
 
6.  
Aversive stimulation: Actor continuously punishes target, making concessions contingent upon 
compliance.
 
7.  
Th
 reat: Actor's proposed actions will have negative consequences for the target if she or he does not 
comply.
19 Fogarty, J.S. (1997). Reactance theory and patient noncompliance. *Social Science & Medicine, 45,* 1277–1288.
20 Benoit, W. L. (1998). Forewarning and persuasion. In M. Allen, & R. W. Preiss (Eds.), Persuasion: Advances through metaanalysis, 139–154. Cresskill, NJ: Hampton.
21 Pfau, M. (1997). Inoculation model of resistance to infl
 uence. In G. A. Barnett & F. J. Boster (Eds.), Progress in communication 
sciences: Advances in persuasion, 13, 133–171. Greenwich, CT: Ablex.
22 Wiseman, R.L. & Schenck-Hamlin, W. (1981). A multi-dimensional scaling validation of an inductively-derived set of 
compliance-gaining strategies. *Communication Monographs, 48,* 251–270.
 
8. **Guilt:** Target's failure to comply will result in automatic decrease of self-worth.
 
9.  
Warning: Th
 e target's noncompliance could lead to circumstances in which other people become 
embarrassed, off
 ended, or hurt.
 10. **Altruism:** Actor requests the target to engage in behavior to benefi
 t the actor.
 11. **Direct request:** Th
 e actor simply asks the target to comply.
 12. **Explanation:** off
 er reasons for asking for the compliance.
 13.  
Hinting: Actor represents the situational context in such a way that the target is led to conclude the 
desired action or response.
 14.  
Deceit: Actor requests compliance by intentionally misrepresenting the characteristics of the desired 
response.

## Session 3 Persuasion

Th is resource guide is designed to provide additional information about research in persuasion. Each s ection on the resource guide corresponds with a section on the Persuasion Participant Guide and contains three sections: additional textual resources, useful web resources, and useful media resources. Th e additional textual resources section provides references that off er a more in-depth understanding of the concept. Th e useful web resources section contains the URLs to websites that might be useful in teaching or researching the topic. Th e last section provides some resources on persuasion in general.

## Ethical Issues In Persuasion Additional Textual Resources

 
-  
Frymier, A.B., & Nadler, M.K. (2006). Ethics in persuasion. In Persuasion: Integrating theory, research, and practice (pp. 293–312). Dubuque, IA: Kendall/Hunt Publishing Company.
 
-  
Gass, R.H., & Seiter, J.S. (2006). Th
 e ethics of persuasion. In Persuasion, social infl
 uence, and compliance gaining (3rd Ed.) (pp. 348–369). Boston, MA: Pearson.
 
-  
Guttman, N. (2003). Ethics in health communication interventions. In. T. Th
 ompson, A.M. Dorsey, 
K.I. Miller, & R. Parrott (Eds.), *Handbook of health communication* (pp. 651–679). Mahwah, NJ: LEA.
 
-  
Harvard Business School Essentials. (2005). Power, infl
 uence and persuasion. Boston, MA: Harvard 
Business School Press.
 
-  
Marlin, R. (2002). Propaganda and the ethics of persuasion. Orchard Park, NY: Broadview Press.

## Useful Web Resources

 
-  
http://www.asph.org/UserFiles/Module6.pdf—Th
 is online document is a module by Dr. Ronald Bayer 
from Columbia University on ethical issues of health promotion and disease prevention.
 
-  
http://www.refresher.com/!chwpersuasion.html—Th
 is website provides a CEO refresher on "three 
legs" of persuasion: Logos (logic), Pathos (passion), and Ethos (ethics).
 
-  
http://www.workingpsychology.com/ethics2.html—Th
 is website provides a taxonomy of levels of 
infl
 uence—the basis of the continuum. And upon examination, the continuum defi
 es simple right-orwrong categorization.

## Source Credibility In Persuasion Additional Textual Resources

 
-  
Cialdibi, R.B. (2001). Authority: Directed Deference. In Infl
 uence: Science and practice (4th Ed.) (pp. 
178–202). Boston, MA: Allyn & Bacon.
 
-  
Cialdibi, R.B. (2001). Liking: Th
 e friendly thief. In Infl
 uence: Science and practice (4th Ed.) (pp. 143–
177). Boston, MA: Allyn & Bacon.
 
-  
Frymier, A.B., & Nadler, M.K. (2006). Source factors. In Persuasion: Integrating theory, research, and 
practice (pp. 183–206). Dubuque, IA: Kendall/Hunt Publishing Company.
 
-  
Gass, R.H., & Seiter, J.S. (2006). Communicator characteristics and persuadability. In Persuasion, social infl
 uence, and compliance gaining (3rd Ed.) (pp. 95 
–120). Boston, MA: Pearson.
 
-  
Gass, R.H., & Seiter, J.S. (2006). Credibility. In Persuasion, social infl
 uence, and compliance gaining (3rd 
Ed.) (pp. 72–93). Boston, MA: Pearson.
 
-  
O'Keefe, D. (2002). Source factors. In Persuasion: Th
 eory and research (2nd Ed.) (pp. 181–214). Th
 ousand Oaks, CA: Sage.
 
-  
Pratkanis, A.R. & Aronson, E. (2000). Communicator credibility: Real and manipulated. In Age of 
propaganda (pp. 121–156). New York: W. H. Freeman & Company.
 
-  
Stiff
 , J.B. & Mongeau, PA. (2003). Source characteristics in persuasive communication. In Persuasive 
communication (2nd Ed.) (pp. 103–126). New York: Guilford.

## Useful Web Resources

 
-  
http://mason.gmu.edu/~montecin/web-eval-sites.htm—Th
 is website provides hints to evaluate the 
credibility of websites.
 
-  
http://www.ciadvertising.org/SA/fall_03/adv382j/hartatis/source_credibility/sourcecredibility.html 
—Th
 is website off
 ers a discussion of impact of source characteristics on advertisement.
 
-  
http://www.ciadvertising.org/student_account/spring_02/adv382j/mwald/source_credibility/index.htm
—Th
 is website off
 ers information about variables that impact source credibility, the eff
 ects of source 
credibility on persuasion and corporate credibility.

## Rational And Emotional Appeals Additional Textual Resources

 
-  
Frymier, A.B., & Nadler, M.K. (2006). Message factors: Content and style. In Persuasion: Integrating 
theory, research, and practice (pp. 207–238). Dubuque, IA: Kendall/Hunt Publishing Company.
 
-  
Gass, R.H., & Seiter, J.S. (2006). Motivational appeals. In Persuasion, social infl
 uence, and compliance 
gaining (3rd Ed.) (pp. 271–298). Boston, MA: Pearson.
 
-  
O'Keefe, D. (2002). Message factors. In Persuasion: Th
 eory and research (2nd Ed.) (pp. 215–240). 
Th
 ousand Oaks, CA: Sage.
 
-  
Pratkanis, A.R. & Aronson, E. (2000). Emotional appeals: Touch the heart, persuade the mind. In Age 
of propaganda (pp. 207–260). New York: W. H. Freeman & Company.
 
-  
Stiff
 , J.B. & Mongeau, PA. (2003). Persuasive message characteristics: Emotional appeals. In Persuasive 
communication (2nd Ed.) (pp. 145–164). New York: Guilford.
 
-  
Stiff
 , J.B. & Mongeau, PA. (2003). Persuasive message characteristics: Rational appeals. In Persuasive 
communication (2nd Ed.) (pp. 127–144). New York: Guilford.

## Useful Web Resources

 
- http://papyr.com/hbp/logos.htm—Th
 is website talks about various types of rational appeals.
 
-  
http://www.cuyamaca.edu/bruce.thompson/fallacies/emotional.asp—Th
 is website has information 
on various types of emotional appeals.
 
-  
http://www.fallacyfl
 es.org/emotiona.html—Th
 is website discusses diff
 erent types of emotional 
appeals and related fallacies.
 
-  
http://www.orwig.net/articles/rational_emotl/rational_emotl.html—Th
 is website off
 ers a comparison of rational appeals vs. emotional appeals.
 
-  
http://www.sjsu.edu/depts/itl/graphics/main.html—Th
 is website discusses various ways to construct 
arguments in persuasion, including both rational and emotional appeals.

## Resistance To Persuasion Additional Textual Resources

 
-  
Brehm, S. & Brehm, J. (1981). *Psychological reactance: a theory of freedom and control.* New York: 
A 
cademic Press.
 
-  
Knowles, E.S. & linn, J.A. (2004). *Resistance and Persuasion.* Mahwah, N.J.: Lawrence Erlbaum Associates.
 
-  
Pratkanis, A.R. & Aronson, E. (2000). Counteracting the tactics of propaganda. In Age of propaganda 
(pp. 329–356). New York: W. H. Freeman & Company.
 
-  
Stiff
 , J.B. & Mongeau, PA. (2003). Producing and resisting infl
 uence messages. In Persuasive communication (2nd Ed.) (pp. 259–281). New York: Guilford.

## Compliance Gaining Additional Textual Resources

 
-  
Dillard, J.P., Anderson, J.W., & Knobloch, L.K. (2002). Interpersonal infl
 uence. M. Knapp & J. Daly 
(Eds.), Th
 e handbook of interpersonal communication. Th
 ousand Oaks, CA: Sage.
 
-  
Dillard, J.P. (Ed.). (1990). Seeking compliance: Th
 e production of interpersonal infl
 uence messages. 
Scottsdale, AZ: Gorsuch-Scarisbrick.
 
-  
Wilson, S. (2002). Seeking and resisting compliance: Why people say what they do when trying to infl
 uence others. Th
 ousand Oaks, CA: Sage.

## Persuasion In General Additional Textual Resources

 
-  
Allen, M. & R. Preiss, R. (1998). (Eds.), *Persuasion: Advances through meta-analysis.* Dubuque, IA: 
Brown & Benchmark.
 
-  
Brinol, P. & Petty, E. (2006). Fundamental processes leading to attitude change: Implications for cancer prevention communications. *Journal of Communication, 56,* 81–104.
 
-  
Burgoon, M., & Dillard, J.P. (Eds.) (1995). Special issue of Communication Research on Social Infl
 uence.
 
-  
Crano, W. & Prislin, R. (2005). Attitudes and persuasion. *Annual review of psychology, 57,* 345–374.
 
-  
Dillard, J.P., & Pfau, M. (Eds.) (2002). Th
 e persuasion handbook: Developments in theory and p 
ractice. 
Th
 ousand Oaks, CA: Sage.
 
-  
Eagly, A.H. & Chaiken, S. (2005). Attitude research in the 21st century: Th
 e current state of knowledge. In D. Albarracin, B.T. Johnson, & M.P. Zanna (Eds.), Th
 e handbook of attitudes (pp. 743–767). 
Mahwah, NJ: LEA.

## Lobbying For The Public Interest

AUGUS T  10 , 2 0 0 7
Lobbying is defi ned as "… the art of educating and persuading your key audiences through direct, one-onone contact" (Cohen, de la Vega, & Watson, 2001, p. 114). As such, it is an area of practice that draws on persuasive techniques directly relevant to carrying out reform initiatives. Cohen et al. further defi ne lobbying as formal or *informal*. Examples of the former include meetings in legislators' offi
  ces, and examples of the latter include engaging policymakers in the *lobbies* of legislative halls, networking events, or community meetings. 

Cohen (1999) makes a further distinction between *public interest lobbying,* motivated by a concern for the public good, and *special interest lobbying*, carried out on behalf of particular individuals or interest groups. 

Th is paper is motivated by a desire to support public interest lobbying eff orts.

Because lobbying is an activity usually understood in the context of supporting special interests, many perceive it as illegitimate, geared toward exclusively supporting those with access to means and muscle. However, various pro-lobbying sources contend that it has its rightful place in competitive democratic societies by enabling individuals and groups to engage in the policymaking process in an organized, systematic manner. Moreover, supporting public interest lobbying eff orts is the best antidote to what may be ill-willed pursuits of special interest groups. Th is contention can only be true if lobbying techniques are codifi ed and widely disseminated for use by any party willing to fi ght for their democratically legitimate interests. 

By gaining an understanding of the techniques of lobbying, we can map out strategies to manage the process by which a reform initiative moves from being a parochial interest of a particular group to securing a place on the larger elite-dominated governmental and decision making agendas that determine the rules by which we live, work, and play. Eff orts at codifying the art and science of lobbying and its related activities include work of David Cohen and colleagues (2001), Benjamin Crosby and Deborah Orsini (1996), and Bob Smucker (1999).

## Lobbying Approaches And Techniques

Th is paper summarizes three practical guides on lobbying. Th e information is ordered based on how specifi c the advice given, from more general points to more specifi c. 

In "Developing Lobbying Capacity for Policy Reform"
, Benjamin Crosby and Deborah Orsini (1996) 
provide a framework that lends itself well to the approaches and techniques paradigm. As an approach, the paper defi nes lobbying as "… the eff ort of individuals or groups of interests to infl uence policy makers directly and thereby the legislative and regulatory actions of government" (p. 1, 1996). Crosby and Orsini's techniques for building lobbying expertise are organized under the following categorization:

 
-  
Identifi
 cation of priority themes and issues: Th
 emes and issues must be prioritized, aft
 er which 
those that are indispensable must be classifi
 ed and specifi
 ed. Clear prioritization criteria and methods should be adopted, which can be created via small informal working groups. Resource scarcity requires unwavering focus on priority issues, which should be informed by an agreed upon assessment of the group's needs as well as the policy environment. To assure consistency across its membership, a group's adopted position should be codifi
 ed in a moderate formal statement which is "concise, 
clear, factual, and moderate in tone" (p. 3). 
 
-  
(Gaining a) full understanding of the issue: Lobbyists should acquire a solid and clear understanding of the issue in concern, which includes a grasp of opposing positions. Requisite expertise can be developed in-house or through external partners/consultants. 
 
-  
(Gaining) a full understanding of the policy decision-making process with respect to the issue: Th
 e 
entire process of rulemaking as regards the particular policy must be intimately understood. Th
 is 
understanding should include who the players are, what the rules are on paper, how and in what 
sequence they are implemented, and how they are broken. Other ways in which the process can be infl
 uenced that may not be stated in the formal rules should also be seriously considered, such as public hearings, legal opinions, etc. Th
 ere are a number of methods for mapping out legislative processes, 
such as "policy network analysis; decisional process mapping; decisional structure analysis [please see memo entitled "political analysis for reform" for elaborations of these techniques]; or through a step by step outline of the process that an initiative or bill must pass to become a law or regulation" (p. 4). 
 
-  
Identify the key decision-makers and actors: Th
 e critical piece of knowledge is "who makes the decision?" (p. 5). In addition, the key decision maker is surrounded by networks of groups and individuals. Each of these has incentive and disincentive sets. Lobbyists must take note of key advisors to 
decision makers and legislators' past record on the issue, e.g., voting records.
 
-  
Comprehend the political environment: Th
 e balance of friendly and hostile interests of various groups 
determines in large part the overall political environment surrounding an issue. In some contexts, the "balance of forces can be quite precarious, and may shift
  from one position to another with unexpected 
speed" (p. 5). Periodically monitoring the environment, therefore, is a necessary activity for lobbyists. Monitoring mechanisms include macro- or micro political mapping and force-fi
 eld analysis. 
 
-  
Understand the group's strength and limitations: A group should identify what it possesses that has the power to "make the decision-maker sit up and take notice" (p. 6), whether it be special social status, capacity to mobilize fi
 nancial resources and/or mobilize large numbers of constituents. Th
 e needs 
of policymakers should be weighed against organizational capacities to fulfi
 ll them and vice-versa. 
Individuals personally representing the group's interests to policymakers should "be credible, possess 
strong communication skills and the ability to listen" (p. 6). 
From the foundational elements of lobbying listed above, we now turn to Bob Smucker's (1999) work on lobbying which provides a more specifi c, "how to" approach to nonprofi t advocacy work. Smucker fi rst describes the knowledge base an organization must acquire and moves on to building capacity in eff ective communications, which is "the key to mobilizing your lobbying strength" (p. 16). 

With regard to acquiring knowledge for lobbying, the following should be studied until well understood, and information should be updated when needed: lobbying law; the legislative process (introducing legislation, etc.); legislative leadership (and choosing legislative champion); and lobbying the administration (enlisting help from the Legislature and the press).

Eff ective communications capacity requires understanding the strengths and limitations of various media, using a combination of the following most appropriate to the lobby eff ort: communications technologies (e-mail ; websites; faxes; telephone routing systems; zip code matching); and keeping track of the lobby eff ort and maintaining a proactive stance (feedback; tallies of support; frequency of alerts; staying with the process).

Communicating with legislators requires a tailored approach to each person targeted for lobbying. Th e following media can be helpful in reaching out to particular policymakers: letters; personal visits; testimony; 
phone calls; e-mail and faxes; telegrams, mailgrams, and form letters. Organizational elements include the following: Legislative networks; coalitions; and government relations committees. Th ese organizational forms require constant cultivation. Lobbying can also be carried out through the media. Th e following can be helpful in this regard: press releases; press conferences; letters to the editor; radio and TV broadcasts.

In Advocacy for Social Justice: A Global Action and Refl ection Guide, David Cohen et al. (2001) provide a practical step-by-step guide to persuading "lobbying targets"
, i.e., legislators and other decision-makers. 

Assuming that one has access to such a target, the following steps should be taken (reproduced from Cohen et al, 2001, p. 114-117):

## Before The Lobby Visit

 
-  
Prepare the delegation: Who should participate? Does everyone in the delegation share the same 
point of view? Does everyone know when to meet and where, what to wear, and what to bring?
 
-  
Prepare your presentation: What is our issue? What are the main points? What issues should not be 
discussed? What is negotiable? What do we have to off
 er our audience? How will we open the meeting? Who will play which role during the meeting? How will delegation members be introduced?
 
-  
Practice your presentation: Consider using role-play exercises that will approximate the professional/social context in which the lobby visit will occur.
 
-  
Prepare your materials: a summary of the issue and your main points; your contact information.

## During The Lobby Visit

 
-  
Build relationships - develop new relationships or strengthen existing ones: Allow time in the beginning of the visit for small talk, but not too much. Maintain a tone of courtesy and respect; even if you disagree on this issue, they may support you on a future one. Build relationship for the future.
 
-  
Listen and collect information: What issues are important to your audience? What points do you 
agree/disagree on? Common goals? If your audience is a "silent type"
, ask questions.
 
-  
Educate and provide information: Off
 er information that will strengthen or contradict your audience's opinion (depending on your persuasive goal). You don't have to be an expert, and it is likely that 
your audience isn't one either - many elected offi
  cials are generalists. However… you may be able to 
be accompanied by someone who is an expert on the issue. It's OK to say "I don't know" and off
 er to 
follow up with information aft
 er the meeting.
 
-  
Persuade: Be open to counterarguments but don't get stuck on them. Don't be argumentative or confrontational. Stay on your point. Look for openings to bring the discussion back to your point. Use the right argument. Is your audience persuaded by logic? Statistics? Personal stories? "Close the deal." Aft
 er you have made a request and have listened to your audience's reply, ask for a specifi
 c action. At 
minimum, make it diffi
  cult for your audience to say "no."
 
-  
Keep the following tips in mind: Be on time; don't stay too long; keep it simple (no technical jargon, 
one to two issues); take notes; don't become argumentative or push your point so much that your audience stops listening. 

## After The Lobby Visit

 
-  
Debrief with the delegation and report back to your constituency and allies.
 
-  
Follow-up with: A thank you letter repeating your understanding of the commitments made during 
the meeting. Send info if off
 ered or requested. Send thank you letters to staff
  who helped arrange the 
meeting.
 
-  
Celebrate, cognizant of the fact that successful lobby visits not only support reform eff
 orts directly but 
are also powerful learning experience that enhance the professional capacities of reform agents.

## References

Cohen, D., de la Vega, R., & Watson, G. (2001). Advocacy for social justice: A global action and refl
 ection guide. Bloomfi
 eld, CT: Kumarian Press, Inc.
Cohen, D. (1999). Being a public interest lobbyist is something to write home  about. In B. Smucker [Ed.], Th
 e Nonprofi
 t Lobbying Guide, 2nd *Ed.* (pp. 94–103). Wasington, D.C.: Independent Sector. Accessed on July 2007 through 
http://www.independentsector.org/programs/gr/lobbyguide.html.
Crosby, B. L. & Orsini, D. M. (1996). Developing lobbying capacity for policy  reform. Implementing Policy Change 
Project. Washington, D.C.: United States Agency for International Development. Accessed on June 2007 through 
(http://www.usaid.gov/our_work/democracy_and_governance/publications/ipc/tn-7.pdf).
Smucker, B. (1999). Th
 e Nonprofi
 t Lobbying Guide, 2nd *Ed.* Washington, D.C.: Independent Sector. Accessed on July 
2007 through http://www.independentsector.org/programs/gr/lobbyguide.html.

## Additional Resources For Public Interest Lobbyists

 
-  
Center for Lobbying in the Public Interest 
 
 
(http://www.clpi.org/Home_Final.aspx)
 
-  
Advocacy Center at ISC 
 
 
(http://www.advocacy.org/index.htm)
 
-  
American League of Lobbyists 
 
 
(http://www.alldc.org/publicresources/lobbying.cfm)
 
-  
Independent Sector 
 
 
(http://www.independentsector.org/programs/gr/advocacy_lobbying.htm)

## Non-Verbal Communication How Do You Defi Ne Non-Verbal Communication?

Communication is generally defi ned as has having both a verbal and nonverbal component. Whereas verbal communication oft en refers to the words we use in communication, nonverbal communication refers to communication that is produced by some means other than words (eye contact, body language, or vocal cues, for example) (Knapp & Hall, 2002).1 Th e fi ve primary functions of Nonverbal Behavior 
(Argyle, 1988) are:2

 
1.  
Expression of Emotion—emotions are expressed mainly through the face, body, and voice.
 
2.  
Communication of Interpersonal Attitudes—the establishment and maintenance of relationships if 
oft
 en done through nonverbal signals (tone of voice, gaze, touch, etc.).
 
3.  
Accompany and Support Speech—vocalization and nonverbal behaviors are synchronized with speech 
in conversation (nodding one's head or using phrases like "uh-huh" when another is talking).
 
4.  
Self-Presentation—presenting oneself to another through nonverbal attributes like appearance.
 
5. *Rituals*—the use of greetings, handshakes or other rituals.

## Traditional Dimensions Of Nonverbal Communication

 
-  
Physical Appearance—Appearance messages are generally the fi
 rst nonverbal messages received 
and can be used to develop judgments about people based on how they look, what they wear, and 
their level of attractiveness, among other things (Virginia P. Richmond & McCroskey, 2004).3 Physical attractiveness impacts how people perceive others as similar to themselves and is used to evaluate 
credibility and general attractiveness (Hickson III & Stacks, 1993).4
Brown Communications.
 
-   
Territory and Personal Space (Proxemics)—Personal space refers to the space an individual maintains around him or herself, while territory is a larger area an individual controls that can provide privacy (for example, an offi
  ce or a specifi
 c chair in the conference room). Invading another's territory 
may cause that person discomfort and the desire to defend his or her space (by turning away or creating a barrier, for example) (Argyle, 1988).2 Culture can infl
 uence the way that individuals use space. 
Individualist societies like the United States emphasize personal rights and responsibilities, privacy, and freedom, whereas more collectivist societies emphasize community and collaboration (Andersen, 
Hecht, Hoobler, & Smallwood, 2002).5
 
-   
Facial Expressions—Th
 e most important non-verbal channel for expressing attitudes and emotions 
to other people is the face (Argyle, 1988).2 Researchers have attempted to categorize facial expressions 
that express emotion and typically agree on six: happiness, surprise, fear, sadness, anger, disgust/contempt. (Ekman, 1982 cited by Argyle, 1988).6
 
-   
Gestures & Posture—Gestures and postures are frequent and continuous movements of the body 
that refl
 ect individual thought processes and regulate communication (Goldman, 1994).7 For body 
language to be interpreted as positive and genuine, it is important that it appear to be natural. Lewis 
(1998)8 suggests individuals stand erect and walk with shoulders back and stomach in. Th
 is helps 
communicate a message of self-confi
 dence, awareness, and enthusiasm.
 
-   
Touch (Tactile Communication)—Argyle (1988)2 writes that "the most basic meaning of touch is 
that an interpersonal bond is being off
 ered or established" (p. 226). While touch can be used for consolation, support, and congratulations depending on the relationship, touch is oft
 en culturally regulated in organizations (Harris, 2002)9 meaning it may be regulated to behaviors such as handshakes. 
Touch, like any other communication message, may elicit negative and positive reactions depending on the confi
 guration of people and the circumstances (Knapp and Hall, 2002).1
 
-   
Eye Contact—Eye contact regulates conversation and signals the exchange of speaker and listener 
roles. It is occurs during 10–30% of the conversation. Eye contact is used to acknowledge or avoid the presence of others and can reveal information about attitudes, emotion, dominance and power in social relationships. When there are breakdowns in conversation it may be because the people conversing have diff
 erent patterns of eye contact (which can be a result of diff
 ering cultural backgrounds). 
When individuals respond with their eyes they allow others to have a sense of their emotional state 
and can increase feelings of communication satisfaction (Webbink, 1986).10
 
-   
Vocal Cues that Accompany Speech (Paralanguage)—Vocal cues include intonation, voice quality 
and vocal emphasis and that can enhance verbal meaning. Laughing and crying are also considered vocal cues. Th
 ese cues may reveal an emotional state, attitudes towards others, social class, or origin. 
Individuals may exercise dominance with a loud projecting voice and indicate submission by using a lower, soft
 er pitch. When communicating verbally it is important to ensure that the paralanguage 
aligns with the verbal messages it accompanies (Lewis, 1998).7
 e Power of Eyes. New York, NY: Springer Publishing
 
-   
Time (Chronemics) - Th
 e way an individual talks about or uses time can communicate much nonverbal information about him or her. Individuals may view time as the location or duration of events, the interval between events, or as patterns of intervals (routines or cycles of behavior) (Knapp & 
Hall, 2002).1 Individuals may also have diff
 ering psychological time orientations that infl
 uence how 
they think about and perceive time in their daily lives. Individuals may be more *past-oriented,* using 
the past to shape the present, or *future-oriented,* working towards tomorrow. Individuals can also be 
present-oriented, living mostly for today. Culture can play a role in determining time orientation, so it 
is important to be aware of these diff
 erences and their potential impact on communication (Virginia 
P. Richmond & McCroskey, 2004).3

## Selected Principles Of Nonverbal Communication In Organizations (As Cited By Harris, 2002)8

 
-   
People judge relationship quality through nonverbal cues (Hickson & Stacks, 1985; Remland, 2000).11,12
 
-   
Nonverbal communication is more believable than verbal communication when the two are incongruent 
(Knapp, 1972; Malandro & Barker, 1983; Mehrabian, 1981).13,14,15 Th
 erefore, individuals should concentrate on making nonverbal behavior consistent with our desired messages (Hackman & Johnson, 2000).16
 
-   
Inadvertent actions by an individual can still be meaningful to another person. Nonverbal communication can be assigned meaning even if only by one party (Hickson & Stacks, 1985).11
 
-   
Perception is an important part of nonverbal communication. We can send positive messages to others by paying more attention to them and utilizing non-verbal behaviors that show immediacy such as 
forward leans, relaxed posture, or decreased distance (Hickson & Stacks, 1985).11
 
-   
Rules for nonverbal behavior oft
 en vary depending on age, sex, and culture (Berko, Wolvin, & Wolvin, 
1985).17 Context, social situation, and power relationships may also determine the rules and the roles 
for nonverbal communication (Anderson, 1999; Henley, 1979; Remland, 2000).18,19,12 Members of an 
organization will learn and adapt nonverbal communication as they become part of the organizational 
culture (Wilson, Goodall, & Waagen, 1986).20
 
-   
In informal organizational settings, nonverbal communication is more important than verbal communication as power or affi
  liation may be shown through nonverbal communication (Richmond, 
McCroskey, & Payne, 1987).21
12 Remland, M. S. (2000). *Nonverbal Communication in Everyday Life.* Boston: Houghton Miffl
  in.
13 Knapp, M. L. (1972). *Nonverbal Communication in Human Interaction.* New York: Holt, Rinehart and Winston. 14 Malandro, L. A., & Barker, L. (1983). *Nonverbal Communication.* Reading, MA: Addison-Wesley. 15 Mehrabian, A. (1981). *Silent Messages: Implicit Communication of Emotions and Attitudes (*2nd ed.). Belmont, CA: Wadsworth. 16 Hackman, M. Z., & Johnson, C. E. (2000). *Leadership: A Communication Perspective,* 3rd ed. Prospect Heights, Il: Waveland. 17 Berko, R.M., Wolvin, A. D., & Wolvin, D.R. (1985). *Communicating: A Social and Career Focus.* Boston: Houghton Miffl
  in.
18 Anderson, P. A. (1999). *Nonverbal Communication: Forms and Functioning.* Mountain View, CA: Mayfi
 eld.
19 Henley, N. M. (1979). *Body Politics: Power, sex, and nonverbal communication.* Englewood Cliff
 s, NJ: Prentice-Hall.
20 Wilson, G. L, Goodall, H. L., Jr., & Waagen, C.L. (1986). *Organizational Communication.* New York: Harper & Row.
21 Richmond, V. P., McCroskey, J. C, & Payne, S. K. (1987). *Nonverbal Behavior in Interpersonal Relations.* Englewood Cliff
 s, 
NJ: Prentice-Hall.

## Leadership And Nonverbal Communication

 
-   
A leader's ability to decode follower's feelings and attitudes and communicate support and motivation are 
key to their success. Charismatic leaders are typically good at decoding the nonverbal cues of others 
and are able to read and respond to the needs of their followers (Riggio, 2005).22
 
-   
Richmond and McCroskey (2004)3 write that one of the roles of nonverbal communication is to defi
 ne 
the status of individuals within an organization. Dominance and power are conveyed through nonverbal 
cues including eye contact, posture, speaking time, and seating placement (Bass, 1990; Heckel, 1973; 
Mast, 2002; Mehrabian, 1969; Mullen, Salas, & Driskell, 1989 cited by Riggio, 2005).22,23,24,25,26
 
-   
Burgoon and Dunbar (2000)27 report that exhibiting power or dominance in interpersonal communication is linked to individual social skills as well as to the situation and relationships that people have with 
others.
 
-   
Aguinas, Simonson, and Pierce (1998)28 report that nonverbal behaviors do impact perceptions of 
power. Th
 ey report that facial expressions impacted the perception of fi
 ve bases of power (reward, 
referent, legitimate, expert, and credibility) particularly when a relaxed facial expression was used. Direct eye contact had an eff
 ect on ratings of credibility.
 
-   
Interpersonal dominance may be characterized as having fi
 ve interrelated dimensions, many of which 
are communicated nonverbally. Th
 e fi
 ve dimensions include: persuasiveness or infl
 uence, conveying 
focus and poise, conversational control, and self-assurance (J. Burgoon & Johnson, 1998).29

## Impression Formation And Management Of Nonverbal Communication (Leathers, 1997)30

 
-   
Impression Management is an individual's conscious attempt at control over communication behaviors 
and cues for the purposes of making a desired impression (oft
 en with nonverbal communication).
Research, 28, 420–450.
25 Mehrabian, A. (1969). Signifi
 cance of posture and position in the communication of attitude and status relationships. Psychological Bulletin, 71, 359–372.
26 Mullen, B., Salas, E., & Driskell, J.E. (1989). Salience, motivation, and artifact as contributions to the relation between participation rate and leadership. *Journal of Experimental Social Psychology, 25,* 545–559.
27 Burgoon, J. K., & Dunbar, N. E. (2000). An interactionist perspective on dominance-submission: Interpersonal dominance as a 
dynamic, situationally contingent social skill. *Communication Monographs, 67:1*, 96.
28 Aguinis, H., Simonsen, M., & Pierce, C. A. (1998). Eff
 ects of nonverbal behavior on perceptions of power bases. Th
 e Journal of 
Social Psychology, 138, 455–469.
29 Burgoon, J., & Johnson, M. L. (1998). Th
 e nature and measurement of interpersonal dominance. Communication Monographs, 
65:4, 308.
30 Leathers, D. G. (1997). *Successful Nonverbal Communication: Principles and Applications*. Needham Heights, MA: Allyn & 
Bacon.
 
-   
Two functions important for impression management: 1) *Presentational function* (consciously trying 
to control the impression he/she makes on the person with whom he/she is communicating with), 
and 2) Aff
 ect management (consciously controlling your emotional response) (Patterson, 1987 cited 
by Leathers, 1997).31
 
-   
Th
 e impressions we make on others are defi
 ned by four dimensions: credibility (how competent and 
trustworthy you are), likeability (that another will judge you likable), interpersonal attractiveness, 
dominance (showing power and assertiveness). (Ross, 1998 cited by Leathers, 1997).32
 
-   
Th
 e kind of person you are judged to be is infl
 uenced more by nonverbal than verbal cues. When we 
make judgments about others we typically give disproportionate weight to nonverbal behaviors and cues than to their actions (for example, looking at their posture to judge their level of self confi
 dence).
 
-   
Factors that infl
 uence the impressions we form about other people: a) *Stereotypes* that we hold about 
individuals that belong to certain groups; b) *First impressions* that might aff
 ect all subsequent perceptions and may be resistant to change; c) *Selective perceptions* whereby we pay attention to things that 
are consistent with our own past experiences and concerns; and d) *Last impressions* in which we disproportionately weigh the infl
 uence of an individual's most recent action or our last contact with the 
individual.

## Non-Verbal Communication

Th is resource list is designed for those planning to incorporate theory and research on non-verbal communication into their training practice. Included are suggested textbooks, journals, and websites that off er information beyond the participant handout. Additionally, this guide provides a list of teaching aids helpful for teaching non-verbal communication principles.

## Suggested Non-Verbal Communication Textbooks

Textbooks provide one of the best sources of information for instructors new to the study of non-verbal communication. While many of these books are geared towards academic settings, the textbooks listed here are more applicable to professionals. Many of these were also used in preparation of these materials.

 
-  
Andersen, P.A., Hecht, M.L., Hoobler, G.D., & Smallwood, M. (2002). Nonverbal communication 
across cultures. In W.B. Gundykunst & B. Moody (Eds.), Handbook of International and intercultural 
communication. Th
 ousand Oaks, California: Sage Publications, Inc.
 
-  
Guerrero, L.K., DeVito, J.A., & Hecht, M.L. (Eds.). (1999). Th
 e Nonverbal Communication Reader: 
Classic and Contemporary Readings (2nd ed.). Prospect Heights, Ill: Waveland Press. (Guerrero, 
DeVito, & Hecht, 1999).
 
-  
Knapp, M.L., & Hall, J.A. (2005). *Nonverbal communication in Human Interaction.* Belmont, CA: 
Wads-worth Publishing. (Knapp & Hall, 2005).
 
-  
Leathers, D.G. (1997). *Successful nonverbal communication: Principles and applications.* Needham 
Heights, MA: Allyn & Bacon. (Leathers, 1997).
 
-  
Richmond, V.P., & McCroskey, J.C. (2004). *Nonverbal behavior in interpersonal relations.* Boston, MA: 
Allyn and Bacon/Pearson Education, Inc. (Virginia P. Richmond & McCroskey, 2004).

## Popular Non-Verbal Communication Books

In addition to textbooks, academic and popular press books off er a more applied approach to non-verbal communication. Listed below are recent books on the topic of nonverbal communication that may be helpful for training purposes and learning more about nonverbal communication.

 
-  
Argyle, M. (1988). *Bodily Communication* (2nd ed.). New York, NY: Methuen, Inc.
 
-  
Calero, Henry (2005). Th
 e Power of Non-Verbal Communication: What You Do Is More Important 
Th
 an What you say.

## Non-Verbal Communication

 
-  
Lewis, H. (1998). *Body Language: A guide for professionals.* Th
 ousand Oaks, CA: Sage Publications.
 
-  
Mehrabian, A. (1981). *Silent messages: Implicit communication of emotions and attitudes* (2nd ed.). 
Belmont, CA: Wadsworth.
 
-  
Pease, A. and Pease, B. (2006). Th
 e Defi
 nitive Book of Body Language. New York: Bantam Books.

## Non-Verbal Communication Journals And Recommended Articles

Journals are where most cutting-edge and classic research in non-verbal communication resides. Below is a list of journals that publish research on non-verbal communication, as well as some relevant articles.

## Journals

 
- Journal of Nonverbal Behavior. Springer Netherlands
 
- More information and online access available at www.springerlink.com

## Articles

 
-  
Aguinis, H., Simonsen, M., & Pierce, C.A. (1998). Eff
 ects of nonverbal behavior on perceptions of 
power bases. Th
 e Journal of Social Psychology, 138, 455–469. (Aguinis et al., 1998).
 
-  
Elfenbein, H.A. (2006. Learning in emotion judgments: Training and the cross-cultural understanding of facial expressions. *Journal of Nonverbal Behavior,* See also Marco Pacori's web library on body 
language, available at http://www.linguaggiodelcorpo.it/english/frame_down.htm.
 
-  
Mehrabian, A. (1969). Signifi
 cance of posture and position in the communication of attitude and 
status relationships. *Psychological Bulletin, 71,* 359–372. (Mehrabian, 1969; Patterson, 1987).
 
-  
Patterson, M.L. (1987). Presentational and aff
 ect-management functions of nonverbal behavior. 
Jo 
urnal of Nonverbal Behavior, 11, 110–122.

## Helpful Websites On Non-Verbal Communication

 
-  
Dictionary of Gestures, Signs, and Body Language Cues 
 
 
http://members.aol.com/nonverbal2/diction1.htm Th
 is interesting site is maintained by David Givens of the Center for Non-Verbal Studies and provides 
a dictionary of common non-verbal behaviors.
 
-  
Exploring Nonverbal Communication (University of California at Santa Cruz) 
 
 
http://nonverbal.ucsc.edu/


Th
 is site off
 ers short learning modules on non-verbal communication. Th
 e site off
 ers videos and instructors available for purchase online which may be helpful in training nonverbal communication skills.
 
-  
Michael Hecht's Nonverbal Communication Research Page 
 
 
http://www.geocities.com/marvin_hecht/nonverbal.htm Th
 is comprehensive website, designed by Michael Hecht, provides links to nonverbal communication 
scholars, journals, and is a resource for people working in the fi
 eld of nonverbal communication.
 
- National Communication Association 
 
 
http://www.natcom.org/ctronline/nonverb.html Th
 e National Communication Association, a professional site for communication scholars, lists a 
variety of non-verbal communication resources, websites, and researchers in the fi
 eld.
 
-  
Nonverbal Behavior/Nonverbal Communication Links 
 
 
http://www3.usal.es/~nonverbal/introduction.htm


Th
 is site is one of the most comprehensive on the web. Developed by Jaume Masip it off
 ers a variety of 
resources including links to scholars, research centers, publications, and journals among other things.
Andrews, Matthew. 2004. "Authority, Acceptance, Ability and Performance-Based Budgeting Reforms." International Journal of Public Sector Management 17: 332–44. Creating Space for Eff ective Political Engagement in Development. In S. Odugbemi & T. Jacobson (Eds.), Governance Reform Under Real-World Conditions: Citizens, Stakeholder, and Voice (pp. 95–111). Washington, D.C. Th e World Bank.

Cruz, A., 2009, "Building Political Will for Enhanced Access to Information: Lessons from Latin America," 
Chapter 13 in From Political Wont to Political Will: Building Support for Participatory Governance, ed. C. 

Malena, Civicus. http://www.gsdrc.org/go/display&type=Document&id=3751
How can citizens' groups and other stakeholders build political will for the approval and enactment of right to information laws? By analysing experience in Honduras, Nicaragua, Chile and Uruguay, this book chapter from Civicus explores how political will was built to pass access to information laws. It also looks at the challenges of implementation, arguing that the adoption of legislation is merely an important fi rst step. It will mean little if government, encouraged by informed citizens, does not implement the laws.

Khemani, S., 2007, "Can Information Campaigns Overcome Political Obstacles to Serving the Poor?" Chapter 5 in Th e Politics of Service Delivery in Democracies - Better Access for the Poor, eds. S. Devarajan and I. 

Widlund, Ministry for Foreign Aff airs, Sweden, Stockholm http://www.gsdrc.org/go/display&type=Document&id=3708

Th
 is book chapter from the Swedish Ministry for Foreign Aff
                                              airs reviews the literature on information cam-
paigns and the role of mass media in infl
                              uencing public policy. Th
                                                ere is a role for information campaigns to shift
                                                                                   
political platforms away from ineffi
                           ciently targeted programmes towards broader public policies that promote 
development.

## Technical Briefs

Post, L., Eric Raile & Amber Raile (2008). Defi ning Political Will, 2008
Post, L., C. Salmon, & A. Raile (2008). Using Public Will to Secure Political Will. In S. Odugbemi & T. Jacobson (Eds.), *Governance Reform Under Real-World Conditions: Citizens, Stakeholder, and Voice* (pp. 95–111). 

Washington, D.C. Th e World Bank.

CommGAP (n.d.) Persuasion. http://siteresources.worldbank.org/EXTGOVACC/Resources/Persuasionweb.pdf. CommGAP (n.d.) Persuasion, Facilitator's Guide CommGAP (n.d.) Non-Verbal Communication. http://siteresources.worldbank.org/EXTGOVACC/Resources/NonverbalCommweb.pdf CommGAP (n.d.) Non-Verbal Communication, Facilitator's Guide CommGAP (2007) Lobbying for the Public Interest, Research Brief

## Videos

George Khroda, University of Nairobi, 'Governance Reform under Real-World Conditions: a Dialogue on Communication Challenges'
, 2007, World Bank, Washington DC. Running time: 6:00 minutes http://www.youtube.com/watch?v=nRxyZRd55-Y
 
Ashutosh Varshney, Professor of Political Science, Brown University, 'Political Economy Analysis to Action: Political Communication Approaches and Techniques', CommGAP 2009, World Bank, Washington DC. Running time: 1:27 minutes http://www.youtube.com/watch?v=oT_XoqJgl-E&feature=youtu.be Matt Uzzell, Adam Smith International. 'Governance Reform under Real-World Conditions: a Dialogue on Communication Challenges', 2007, World Bank, Washington DC. Running time: 4:27 minutes http://www.youtube.com/watch?v=WAnm7KK-FEM
Persuasion, Graphical Animation, CommGAP. Produced by the World Bank Institute, 2010. Running time: 3:35 minutes http://www.youtube.com/watch?v=BgqKVAbz2ls

## Session 3 Securing Organizational Will

Th is session examines the challenge of securing organizational will in governance reform programs and the importance of enlisting the support of middle managers in reform process. As the 'transmission belt' between the top and bottom layers of an organization, middle managers can make or break the reform process; the latter occurring when their role is marginalized and their support overlooked. Organizational change processes, which encompass improving systems and transforming embedded individual behavior patterns, can be met with hostile opposition or quiet resistance. We demonstrate how middle managers, given leadership and managerial capabilities, can more eff ectively be empowered to be productive partners in governance reform initiatives. 

## Key Concepts And Messages

-  
Securing organizational will is vital to a successful change eff
 ort. 
- Middle managers drive the reform process both internally and externally. Th
 ey play a critical role in 
implementing reform and sustaining momentum in the change process. 
- Communication approaches and techniques can be utilized to build the trust and support of middle 
managers in the reform process.

## Learning Outcomes

By the end of the session, participants will be able to:

- Assess the systemic role of public sector middle managers in governance reform, - Determine the types of middle managers according to the two primary dimensions of empowerment and 
inclusion
- Consider and apply the appropriate communication techniques which can lead to eff
 ective outcomes.
Exercises:  
Small Group Work - Perceptions on Middle Managers in Reform Role play - Senior managers vs Middle Managers - Understanding Roles and Perspectives
Session Length: 90 minutes

## T Eaching Notes And Process Guide

Content and Process
Presentation Slides and Process Cues

[Two active buttons here, side by side :]*

## Identifying The Role Of Middle Managers Small Group Work

T I M E  A L L O T T E D :  3 0  M I N U T E S  

## Purpose

To share their real-world perspectives on the role of middle managers when implementing reform, and to explore communication-based solutions that can eff ectively address internal resistance to change and organizational-will challenges in reform.

## Process

 
1.  
Ask participants to break into small groups of four to fi
 ve people.
 
2.  
Post the slide (Slid*e No. 7)* with guide questions on the screen.
- Based on your experience, what is your perception of Middle Managers and their role in the reform 
process?
- What are the most common causes for resistance to change?
Other discussion questions that may be asked:

- Name a change process that you were proud of. - What factors contributed to its success? - What were the key challenges you faced in the change process?
Ask the participants to write their responses on a sheet of paper or fl ipchart. 

Debrief in plenary, asking each group to share 2-3 key challenges discussed by their team. 

## Gaining Support Of Middle Managers Role Play

T I M E  A L L O T T E D :  4 5  M I N U T E S

## Purpose

To provide experiential learning by giving participants the opportunity to step into the shoes of a senior manager or a middle manager based on the reform context described in the case study on the Metro Sarangaya Water Reform Project. Th e exercise will elicit perspectives from individuals operating in each organizational role, and illustrate how their respective positions can infl uence views on the nature of the problems and how to address them.

## Process

Each participant is to be assigned a specifi c role to play, either as a senior manager or middle manager of a water authority. From the information provided to them earlier in the sessions (i.e. research fi ndings on the role of middle managers), participants should be able to validate which of the descriptions they consider to be most relevant in their organizational context. Th e process is as follows:

 
1.  
Form at least six groups composed of four or fi
 ve participants per group. Create a paired group with 
one group playing the role of middle managers and another group taking the role of senior managers. 
Each paired group becomes one universe. Each universe will be assigned to role play interacting with 
one type of middle manager. Th
 ere will be three types of middle managers, namely: the compliant 
middle manager, the apathetic middle manager, and the resistant middle manager. 
 
 
See chart below:

| UNIVERSE A     | UNIVERSE B   | UNIVERSE C   |
|----------------|--------------|--------------|
| Compliant      |              |              |
| Middle Manager |              |              |
| Apathetic      |              |              |
| Middle Manager |              |              |
| Resistant      |              |              |
| Middle Manager |              |              |
| Middle Manager | Group 1      | Group 3      |
| Senior Manager | Group 2      | Group 4      |

 
2.  
Show Slide 10 and ask each universe to fi
 rst write 5 things that will make their joint work on the Sarangaya water reform more eff
 ective. (7 minutes)
 
For senior managers, write 5 things that senior managers can do to make the reform successful.
 
 
For middle managers, write 5 things that middle managers would like Senior Managers to do to make 
the reform successful. - In each universe, the middle managers share their list with the senior managers and explore similarities and diff
 erences. (7 minutes)
 - In each universe, the group of senior managers and middle managers, jointly agree on the top three 
things that both middle managers and senior managers can do to make their joint work on the Sarangaya water reform more eff
 ective. 
 
3.  
Upon completion of the group discussion in each universe, ask two or three members of the middle 
managers and two or three members of the senior managers to join another universe. As new members join the universe, ask the incoming members to share the results of their discussions in their 
previous universe, and the rest of the members of the group of middle managers and senior managers can compare the experience of the incoming members with their own from earlier discussions.
 
4. Open the fl
 oor for a plenary discussion involving all universes. 
 
5. Summarize the main points and observations made by the participants. You may 
Conclude by highlighting the communication-based approaches that may be deployed to deal with possible resistance to change and gain the support of middle managers in the reform process. 

## Facilitator'S Note - Themes That May Emerge From Discussions*

| Middle Managers                         |
|-----------------------------------------|
| "What can Senior Managers do to improve |
| work conditions/relations?"             |
| "As Senior Managers, what can we do to  |
| improve work conditions/relations?"     |

## Compliant Middle Managers:

- 
Convene a meeting
- 
(More) Training 
- 
 
Help them understand the importance of the reform
- Empowerment: Recognition, more power and increased ability to make decisions
- 
Point out their rights
- 
Encourage them to share their views 
- Improve work environment: Coffee machines, laptops, air conditioning, government vehicles, and direct dial
- 
Increase  allowances

## Apathetic Middle Managers:

- 
Incentive package
- 
Describe the diffi
 culty of undertaking reform
- 
Salary increase/ performance
- 
Share your vision 
- 
Higher operating budget
- 
Appreciate their interests
- 
Job security
- 
 
Allow them to get involved and participate in the reform process
- 
Discharge package where necessary
- 
Capacity building, training 
- 
 
Increase awareness of reform goals and processes  and provide training
- 
Involvement in the reform process
- 
Clear job description

## Resistant Middle Manages:

- 
Improve internal communications 
- 
Describe  the benefi
 ts of reform
- Increase transparency in procurement systems
- 
 
Acknowledge the expertise of middle managers
- Make  recruitment and promotion system transparent
- 
Allay fears about change 
- Provide clear job descriptions with measurable results
- 
Assign roles and responsibilities
- 
Clear reward system for good results
- 
Build and strengthen team spirit 
- Clear, documented rules on allowances for extra work
- 
Identify infl
 uential adversaries 
Source:  CommGAP workshops in Africa (2008) and Asia (2009).

## Gaining Support Of Middle Managers– Exercise Instructions

Your Role: Senior Manager You are a member of the senior management team in the Metro Sarangaya Water Authority (MSWA), you have to work with a few middle managers who may feel *resistant and too bureaucratic* about the current reform. (See the case for more information on the situation in MSWA. Th e Middle Managers are: Assistant Directors of Engineering, Finance, Revenue, Treatment and Quality Control, Regulation and Corporate Development, Operations, Project Delivery, Human Resource and Corporate Services).

## Instructions:

 
1.  
Create a list of 5 things you will do to make your joint work with the middle managers on the water sector reform more eff
 ective.
 
2.  
Share your list with the group of middle managers and explore similarities and diff
 erences.
 
3.  
As one group now, identify the top 3 things that you agree will help make your joint work on the water sector reform more eff
 ective. Prepare to report those 3 things and also highlights / insights of the discussion between your two groups.
gaining support of middle managers–exercise instructions

## Gaining Support Of Middle Managers– Exercise Instructions

Your Role: Senior Manager You are a member of the senior management team in the Metro Sarangaya Water Authority (MSWA), you have to work with a few middle managers who may feel *apathetic* about the current reform.

(See the case for more information on the situation in MSWA. Th e Middle Managers are: Assistant Directors of Engineering, Finance, Revenue, Treatment and Quality Control, Regulation and Corporate Development, Operations, Project Delivery, Human Resource and Corporate Services).

## Instructions:

 
1.  
Create a list of 5 things you will do to make your joint work with the middle managers on the water sector reform more eff
 ective - 7 min.
 
2. Share your list with the group of middle managers and explore similarities and diff
 erences - 7 min.
 
3.  
As one group now, identify the top 3 things that you agree will help make your joint work on the water sector reform more eff
 ective. Prepare to report those 3 things and also highlights / insights of the discussion between your two groups - 6 min.

## Gaining Support Of Middle Managers– Exercise Instructions

Your Role: Senior Manager You are a member of the senior management team in the Metro Sarangaya Water Authority (MSWA), you have to work with a few middle managers who may feel *compliant and have no initiative* about the current reform. (See the case for more information on the situation in MSWA. Th e Middle Managers are: Assistant Directors of Engineering, Finance, Revenue, Treatment and Quality Control, Regulation and Corporate Development, Operations, Project Delivery, Human Resource and Corporate Services).

## Instructions:

 
1.  
Create a list of 5 things you will do to make your joint work with the middle managers on the water sector reform more eff
 ective.
 
2. Share your list with the group of middle managers and explore similarities and diff
 erences.
 
3.  
As one group now, identify the top 3 things that you agree will help make your joint work on the water sector reform more eff
 ective. Prepare to report those 3 things and also highlights / insights of the discussion between your two groups.
gaining support of middle managers–exercise instructions

## Gaining Support Of Middle Managers– Exercise Instructions

Your Role: Middle Manager You are a middle manager in the Metro Sarangaya Water Authority (MSWA) and you have to work with a team of senior managers of the MSWA, given the recent developments in the water sector reform you may feel *resistant and too bureaucratic* about it.

(See the case for more information on the situation in MSWA. Th e Middle Managers are: Assistant Directors of Engineering, Finance, Revenue, Treatment and Quality Control, Regulation and Corporate Development, Operations, Project Delivery, Human Resource and Corporate Services).

## Instructions:

 
1.  
Create a list of 5 things the team of senior managers should do to make your joint work with the team of senior managers on the water sector reform more eff
 ective .
 
2. Share your list with the group of middle managers and explore similarities and diff
 erences.
 
3.  
As one group now, identify the top 3 things that you agree will help make your joint work on the water sector reform more eff
 ective. Prepare to report those 3 things and also highlights / insights of the discussion between your two groups.

## Gaining Support Of Middle Managers– Exercise Instructions Your Role: Middle Manager

You are a middle manager in the Metro Sarangaya Water Authority (MSWA) and you have to work with a team of senior managers of the MSWA, given the recent developments in the water sector reform you may feel *apathetic* about it.

(See the case for more information on the situation in MSWA. Th e Middle Managers are: Assistant Directors of Engineering, Finance, Revenue, Treatment and Quality Control, Regulation and Corporate Development, Operations, Project Delivery, Human Resource and Corporate Services).

## Instructions:

 
1.  
Create a list of 5 things the team of senior managers should do to make your joint work with the team of senior managers on the water sector reform more eff
 ective.
 
2.  
Share your list with the group of middle managers and explore similarities and diff
 erences.
 
3.  
As one group now, identify the top 3 things that you agree will help make your joint work on the water sector reform more eff
 ective. Prepare to report those 3 things and also highlights / insights of the discussion between your two groups.

## Gaining Support Of Middle Managers– Exercise Instructions

Your Role: Middle Manager You are a middle manager in the Metro Sarangaya Water Authority (MSWA) and you have to work with a team of senior managers of the MSWA, given the recent developments in the water sector reform you may feel *just compliant and having no initiative* about it.

(See the case for more information on the situation in MSWA. Th e Middle Managers are: Assistant Directors of Engineering, Finance, Revenue, Treatment and Quality Control, Regulation and Corporate Development, Operations, Project Delivery, Human Resource and Corporate Services).

## Instructions:

 
1.  
Create a list of 5 things the team of senior managers should do to make your joint work with the team of senior managers on the water sector reform more eff
 ective.
 
2.  
Share your list with the group of middle managers and explore similarities and diff
 erences.
 
3.  
As one group now, identify the top 3 things that you agree will help make your joint work on the water sector reform more eff
 ective. Prepare to report those 3 things and also highlights / insights of the discussion between your two groups.

## Gaining The Support Of Public Sector Middle Managers, And Fostering A Stronger Culture Of Public Service Approaches

Work appreciatively (appreciative inquiry)
The concept of appreciative inquiry, or of working appreciatively, is an example of a dialogic approach to achieving reform by consensus. It is based on a commitment to be inclusive and is guided by three principles: (1) an appreciation of the expertise conveyed by all stakeholders, (2) a focus on what already works in an organization, (3) a collective vision for the future. This approach represents a fundamental departure from traditional approaches to change agencies, which have focused on the problems, thereby leading people to a negative blame game. Instead, appreciative inquiry shifts the attention to what works well. Appreciative inquiry has the potential to encourage a dynamic cultural change within an organization by empowering middle managers to own the change process and become agents of change. Techniques that can support this approach include principles of inclusion and appreciation for multiple profi
 ciencies; framing the dialogue positively to create forward 
movement; creation of space for visioning, experimentation and innovation; a sense of teamwork and collective responsibility; and creating momentum for reform.
Adopt shock therapy or frank talk
Shock therapy, or frank talk, is an example of a monologic approach wherein senior management makes a decision and communicates that conclusion to the lower ranks in a top-down fashion. Despite its negative reputation, the monologic approach is legitimate and more appropriate than the dialogic approach in cases where the reform objective has already been predetermined, or in which there are capacity constraints within middle management. Specifi
 cally with respect to addressing the challenge of building 
middle management support for reform, the use of monologic communication may work more effectively in situations where the civil service is known to be dysfunctional or corrupt. A strong message from leadership that it is serious about reform can be an effective instrument for supporting change among middle managers. To implement this approach, there is need for strong leadership commitment to reform and clear roles and responsibilities of teams within organizations.
Combine monologic and dialogic approaches
There are situations in which using a combination of monologic and dialogic approaches would be most suitable for generating the change-support among middle managers. Combinations of both approaches include (1) the use of the monologic approach to set the

broad parameters, followed by dialogue, (2) the employment of monologue as input for a dialogue, and (3) the application of the two at different stages of the reform process. The fi rst two variations are about sequencing. In using monologue followed by dialogue, senior management can set the broad parameters for change while permitting dialogue to emerge at the middle management level. The approach of using monologue as an input for dialogue is appropriate when the capacity of middle managers and other stakeholders is too low to initially produce a meaningful dialogue. In this case, the more capable stakeholders can guide the discussion in a monologic manner until the capacity of middle managers is suffi ciently raised, paving the way for the dialogic approach to take over. The third variation is the use of both the monologic and dialogic approaches at different stages of the reform process. In the Philippine procurement reform, for example, both the monologic and dialogic approaches were adopted at various times depending on which approach was deemed more appropriate.

## Techniques

This technique is about involving all relevant stakeholders in the reform process. At its core is the acknowledgment of and appreciation for the wisdom that everyone brings to the table. It also calls for listening deeply to the concerns of all stakeholders, both internal and external, and embracing the opportunity to learn from critics. Consulting and involving middle managers in the reform process creates a sense of ownership or buy-in for them.

Involve 
stakeholders, and 
appreciate "multiple 
profi
     ciencies" in 
implementing 
reform.

Frame the dialogue positively to create forward movement.

This technique emphasizes that discussions about change should be focused on areas of excellence in an organization (that is, what already works well as opposed to what does not). By framing the dialogue affi rmatively, the technique leads stakeholders to identify with what they take pride in and build on it as they try to move forward in making improvements within the organization. Framing the dialogue develops the positive core to accentuate middle managers' achievements, wisdom, social capital, and competencies. It results in stretching their imaginations and expanding their capacity to achieve tangible results.

Create opportunities for visioning, experimentation, and innovation A technique for securing buy-in and ownership of middle managers for reform is to create space and the opportunities for them to develop a vision of the organization's future, instead of merely executing the dictates of upper management. By giving middle managers the responsibility to develop their own vision of the future, the collective envisioning exercise opens the way for a clear understanding of the best direction for their organization. This technique tackles the challenge of inadequate ownership of reform by middle managers, which is likely when reform is supply-driven rather than demand-driven. 

Additionally, creating space means allowing middle managers to take risks, make mistakes, and develop new approaches based on lessons learned from those mistakes. It is all part of building an enabling environment, in which experimentation and innovation are the norm. Then, open dialogue and feedback can lead to constant improvements in the overall change process. Instilling in middle managers a sense of teamwork—a sense of "all of us are in this together"—working cooperatively rather than individually builds ownership of reform and positive dynamics in general. The concept of collective responsibility is a powerful tool for energizing and mobilizing a group of people.

Foster a sense of teamwork and collective responsibility Signal leadership commitment for reform to demonstrate political will.

Strong leadership commitment to middle managers is necessary for them to know that the reform has real support, and hence their efforts at change will be fully backed and also receive guidance from the leadership. Leader ship could show its commitment to reform by sending a strong message, clearly articulating its recognition of the need for change and its will to effect that change. It is useful for middle managers to have a change champion as well as access to power brokers.

Defi
    ne clear roles 
and responsibilities 
within organizations.

Middle managers need to have a clear understanding of their roles and responsibilities, 
as well as that of other partners involved in the reform effort. Toward this end, middle 
managers should be involved in crafting their own terms of reference and be provided with 
information about who is responsible for which aspect of the reform. Once the roles and 
responsibilities of each individual are clearly defi
                                                ned, it is imperative for the middle manager 
to be given suffi
                cient power and authority to implement change.

One of the major constraints of generating support for change among middle managers 
is their lack of capacity to be active and effective change agents. The fi
                                                                   rst area in which 
middle managers need training is in the concept of interacting with other middle managers. 
In many countries, because of the government's organizational structure or cultural 
traditions, middle managers neither talk to one other nor feel that they are encouraged to 
do so. It would be useful to teach and promote cross-level, horizontal interactions among 
middle managers, which could lead to further mobilization, as well as information diffusion, 
awareness raising, innovation, and partnerships. 

Train middle 
managers in cross-
level, horizontal 
interactions 
and strategic 
communication, and 
develop a holistic 
capacity-building 
framework.

Other suggestions for capacity building include training middle managers in strategic 
communication for greater effectiveness in interacting with the public, and developing a 
capacity-building framework that is multi-sectorial in nature, in contrast with traditional 
ad hoc, stand-alone programs.

Use a set of 
recommendations to 
guide dialogue with 
middle managers 
when their capacity 
is low.

Low capacity levels among middle managers can hamper their engagement in effective 
dialogue about change. Sometimes discussions must be guided by more capable stakeholders 
to ensure that decisions result from the meaningful and informed exchange of ideas. This 
is a technique that uses both monologic and dialogic approaches. For example, a panel of 
experts can produce 'options papers' for various options that the stakeholders might use 
as a starting point for guiding them in discussions about reform. These options papers 
can raise awareness and understanding among the less-informed stakeholders so they can 
participate more effectively in conversations.

## Use Educational Tools To Create Momentum For Reform.

Once momentum starts to build, it is diffi cult to stop and even more diffi cult to reverse. 

In one reform initiative that involved the passage of a bill, support for reform among middle managers gained momentum by the clever and gradual use of educational tools. The mix of materials used included screen savers, video-based tutorials, and workshops, which helped mobilize middle managers around the new bill. Observing the support among middle managers, legislators felt pressured to support the bill themselves. Creating momentum for reform is a powerful enabler in generating and sustaining the middlemanager support that is necessary to produce reform.

## Change Management Defi Ning Change Management

Change management has typically been defi ned as a process involving unfreezing, moving, and refreezing values, practices, and procedures within organizations.1 Unfreezing refers to the creation of a perceived discrepancy between the existing and ideal state of an organization that generates a desire for change and lowers people's resistance to change. Moving refers to the various processes such as training, education, and restructuring that lead to the development of new behaviors, attitudes, and beliefs. Refreezing regards reestablishing a new state of equilibrium within the organization by stabilizing the new patterns through a variety of support mechanisms.

## Change And Resistance

Change is oft en resisted by organizational members. Th e primary reason for resistance is that change requires employees to alter their existing individual and organizational identities. Changing one's identity can be anxiety provoking and it is common for employees to use strategies such as denial, rationalization, idealization, fantasy, and symbolization to resist change.2

## The Role Of Communication In Change Initiatives

Communication is key to developing change initiatives and implementing them. Communication can serve many functions during change initiatives.3

 
-  
Information sharing: Communication may be used to announce organizational changes and to provide stakeholders with information about the nature, timing, and signifi
 cance of the change.
  (Ed.), *Communication yearbook 21,* 93–151. Th
 ousand Oaks, CA: Sage.
 
-  
Participation: Change agents may create communication processes that actively involve lower-level employees in the planning and implementation of change initiatives or may construct communication processes that emphasize the role of upper-level management and limit lower-level participation.
 
-  
Vision and Motivation: Communication can be utilized to convey the vision, set the goals, and highlight the important drivers for changing existing organizational attitudes, beliefs, and practices.
 
-  
Social Support: Change eff
 orts can produce high-levels of anxiety, and communication may be needed 
to determine employee responses to change, alleviate potential fears, and encourage the establishment of social support systems among employees.
 
-  
Evaluation/Feedback: Change eff
 orts require the structuring of communication processes that provide employees feedback about their performance during change initiatives and provide feedback to implementers regarding strengths and weaknesses of the change initiative.

## Selected Strategies For Managing Change Communication

Lewis, Schmisseur, Stephens, and Weir (2006) highlight several general strategies to consider for communication during change initiatives.4

 
-  
Ask for input: Participation is generally regarded as a key success factor during organizational change. 
Input can be obtained through a variety of processes including multi-stakeholder dialogue, listening 
sessions, and the establishment of planning teams.5
 
-  
Use informal networks and knowledge of key stakeholders: Involving key stakeholders in the change 
process is important because they have access to important information from their networks that may be useful in determining how well the process is working and what challenges and diffi
  culties exist. 
Key stakeholders can also infl
 uence the change process by disseminating information through their 
network and acting as opinion leaders.
 
-  
Disseminate information: Keeping stakeholders informed about the change process is critical. When 
disseminating information, it is important to use multiple methods for communicating the mes 
sage 
as well as repeating the message consistently throughout the initiative. A variety of media may be used such as team meetings, email, newsletters, posters, public presentations, and Websites.
 
-  
Manage the style and content of communication: Change messages need to be credible, clear, and 
motivational. Formal and informal organizational rewards should be structured to encourage and 
support the desired behavioral changes.6
 
-  
Create and communicate vision: Visions should be clear, unambiguous, personally relevant, simple, 
and vivid.

## Problem Centered And Appreciative Models Of Change

A variety of models have been developed that change agents may select when designing and implementing change initiatives. Change models may be divided into two types: (1) problem-centered, and (2) appreciative. Problem-centered models: A gap between an existing and ideal state of aff airs is identifi ed, and change processes are designed and implemented to reduce this gap. Problem-solving steps normally include defi ning the problem, determining evaluative criteria, generating alternative solutions, evaluating solutions, and implementing solutions. Once the problem has been clearly defi ned, a structured set of steps needs to be followed in order to facilitate the change process. John Kotter's 8-step model of change is one exemplar of a problem-centered model.7

 
1.  
Establish a sense of urgency. Cultivate awareness among organizational members regarding market 
and competitive realities, existing or potential crises, and major opportunities in order to create a compelling reason for change and lessen resistance.
 
2.  
Create a guiding coalition. Put together a group of key stakeholders that will lead the change.
 
3.  
Develop a vision and strategy. Articulate the guiding vision that will inform the change initiative as 
well as the strategies to accomplish the vision.
 
4.  
Communicate the vision. Determine the appropriate media for disseminating the vision and constantly 
broadcast the message to the organization. Th
 e guiding coalition must "walk the talk" and model the 
vision for other organizational members.
 
5.  
Empower broad-based action. Assess potential obstacles that inhibit change. Discard or modify existing systems, policies, or structures that undercut the change vision. Create an organizational environment that recognizes and rewards risk taking, nontraditional thinking, and innovation.
 
6.  
Generate short-term wins. Create opportunities during the change process for viable performance 
improvements. Creating "small wins" along the way heightens organizational members' motivation and demonstrates that the change process can be successful.
 
7.  
Consolidate gains and produce more change. Th
 e credibility from generating "small wins" is leveraged 
to continue the change of systems, structures, and policies that don't fi
 t the vision. Hiring and promotion policies are aligned with the vision, and individuals are brought into the organization who can implement the vision. New projects, themes, and change agents are brought in to reinvigorate the 
process.
 
8.  
Anchor the new approach into the culture. Articulate the connections between the new behaviors and 
organizational success. Create a culture of leadership and program of leadership development and succession to support the new vision and further its development.
Appreciative models: Appreciative models of change begin with the premise that the organizations are doing something right and promote inquiry into the organization's moments of excellence, life-generating values, and best practices. Th is is typically referred to as the positive core. Appreciative models affi
  rm the "best of what is" in the current organization by building on the organization's existing strengths and developing processes that elaborate, develop, and enlarge the organization's capacity. Appreciative Inquiry is the dominant exemplar of an appreciative change model and is structured according to the 4-D Model of Change.8 Th e four D's are:

 
1.  
Discovery: Th
 e Discovery phase uses organization-wide interviews among members to appreciate and 
value the best of "what is" regarding the topic of inquiry. For example, an inquiry could be created that focuses on delivering high-quality customer service. Organizational members typically interview each other regarding the strengths, values, core competencies, best practices, wishes, and dreams concerning the particular issue the organization wishes to address.
 
2.  
Dreaming: During this phase, organizational members envision "what might be." Th
 ey create a futureoriented focus by imagining what a future would be like where they are at their best and performing at a high level.
 
3.  
Dialogue: Organizational members discuss "what should be" in light of the information they have 
developed in the Discovery and Dreaming phases. Provocative propositions that summarize what allows the individuals and the organization to succeed and perform well are articulated. Dialogue on how to create an organizational architecture and structure that supports these provocative propositions is conducted.
 
4.  
Destiny: Organizational members discuss "what will be" by determining what processes and procedures need to be in place to accomplish the visions and dreams that emerge from the Dialogue phase and create action plans.

## Change Management

Th is resource guide is designed to provide additional information about theory and research in change management. Each section in the resource guide parallels the Change Management Participant Guide by initially highlighting relevant resources of change processes in general, Kotter's change model, and Appreciative Inquiry. Within each section, written materials are presented that may off er more in depth coverage of important concepts and models. A list of useful web resources contains URLs to websites that provide access to material that may be useful in a training and research context.

## Additional Textual Resources On Change Management

 
- Beer, M., & Nohria, N. (Eds.) (2000). *Breaking the code of change.* Boston: Harvard Business School.
 
- Hesselbein, F., & Johnston, R. (Eds.). (2002). *On leading change.* San Francisco: Jossey-Bass.
 
- Holman, P., Devane, T., & Cady, S. S. (Eds.). Th
 e change handbook. San Francisco: Berrett-Koehler.
 
- Managing change & transition. Boston: Harvard Business School Press.
 
-  
Poole, M.S., & Van de Ven, A. H. (2004). *Handbook of organizational change and innovation.* New 
York: Oxford University Press.

## Useful Web Resources

 
- http://www.army.mil/ESCC/cm/guide.htm


Th
 is site provides a summary of the Capgemini model of change and identifi
 es critical success factors for 
creating and sustaining change.
 
- http://www.idea.gov.uk/idk/core/page.do?pageId=5829768 Th
 is website provides a comprehensive toolkit and set of case studies describing change management in 
governmental and public organizations.
 
-  
http://www.managementhelp.org/org_chng/org_chng.htm Th
 is site off
 ers a comprehensive manual identifying change management tools for use in nonprofi
 t organizations.
 
- http://www.12manage.com/i_co.html


Th
 is site provides clear summaries of a variety of change tools and models such as the balanced score card 
and Peter's Senge's theory of the learning organization.
 
- http://valuebasedmanagement.net/


Th
 is site provides short, easy to understand summaries on a variety of change approaches, management 
techniques, and models.

## Organizational Communication

Communicating and Organizing - Th ere are two main approaches to defi ning the relationship between communicating and organizing:

 
1.  
Th
 e **container approach** assumes that organizations exist independently of communication and serve 
as containers that infl
 uence communication behavior. For example, organizational structures, such 
as hierarchical, are assumed to exist independently and infl
 uence the content and directional fl
 ow of 
communication.1
 
2.  
Th
 e **social constructionist approach** assumes that communication creates the form and shape of 
organizations.2 For example, when organizational members consistently funnel their information 
through one person, they create a centralized network structure where one person maintains a high degree of power because s/he is at the hub and controls the fl
 ow of information. When people change 
the content and form of their communication such as transmitting their information to a larger array of people, they create new organizational structures, such as decentralized networks.

## Defi Ning Organizational Communication

How one defi nes organizational communication depends on one's view of the relationship between communicating and organizing. According to the container approach, organizational communication can be defi ned as the transmission of a message through a channel to a receiver. In the social constructionist approach, organizational communication can be defi ned as the way language is used to create diff erent kinds of social structures, such as relationships, teams, and networks. Th e former defi nition emphasizes the constraints that are placed on communication given pre-existing organizational structures and the latter defi nition highlights the creative potential of communication to construct new possibilities for organizing.

However, organizational communication may be viewed more profi tably as balancing creativity and constraint, as it is never entirely either constrained or creative. Th e defi nition of organizational communication as balancing creativity and constraint focuses on how individuals use communication to work out the tension between working within the constraints of pre-existing organizational structures and promoting change and creativity.3 For example, assume that an organization was undergoing a major change initiative. 

62, 152–180.
3 
Eisenberg, E. M., Goodall, H. L., & Trethewey, A. (2007). *Organizational communication: Balancing creativity and constraint,* 
5th ed. Boston: Bedford/St. Martin's.
An information transfer approach to organizational communication would require change messages to be sent clearly to all members in the organization. A social constructionist approach would focus on creating patterns of language use that would generate the desired change (i.e., to create a team-based organization, organizational members need to talk in the language of teamwork). An approach to organizational communication that emphasizes balancing creativity and constraint would focus on achieving a balance between using communication that fosters the desired change and being sensitive to the existing constraints of the organization.

## Areas Of Study In Organizational Communication

Th ere are several research areas within the fi eld of organizational communication.4 For ease of presentation, identifi ed here are fi ve major areas that organizational communication scholars study: (1) leadership, (2) 
teams, (3) communication networks, (4) organizational culture, and (5) organizational learning.

## 1) Leadership

Leadership may be defi ned as a communicative process where the ideas articulated in talk or action are recognized by others as progressing tasks that are important to them.5 Th is defi nition of leadership suggests that leadership may take many diff erent forms and be associated with many diff erent styles of communication. Nevertheless, a review of the literature suggests three important principles for eff ective leadership communication:

 
-  
Eff
 ective leadership communication connects with the hearts and minds of followers. At some level, 
eff
 ective leadership communication connects with the important values, attitudes, and commitments 
of followers and is viewed as addressing signifi
 cant issues and facilitating task accomplishment.6
 
-  
Eff
 ective leadership communication manages competing goals and tensions. Eff
 ective leadership 
communication balances the needs to create strong interpersonal relationships and accomplish tasks, maintain a balance between order and chaos within the organization, and use rewards and punishments to motivate followers.7 Rather than take an either-or position, eff
 ective leaders try to create a 
"both-and" position where oppositions are integrated constructively.
 
-  
Eff
 ective leadership communication is context dependent. Every context is unique, and eff
 ective 
leadership communication is appropriate to the special combination of people, time, place, and topic.8
5 
Fairhurst, G. (2007). *Discursive leadership.* Th
 ousand Oaks, CA: Sage.
6 
Conger, J. A. Th
 e charismatic leader. San Francisco: Jossey-Bass, 1989. Kouzes, J. M., & Posner, B. Z. (2007). Th
 e leadership challenge. San Francisco: Jossey-Bass.
7 
Fairhurst, G. (2001). Dualisms in leadership research. In F.M. Jablin & L.L. Putnam (Eds.). Th
 e new handbook of organizational 
communication, 379–439. Newbury Park, CA: Sage.
8 
Barge, J. K. (2004). Refl
 exivity and managerial practice. *Communication Monographs, 71*, 70–96. Barge, J. K. & Little, M. (2002). 
Dialogical wisdom, communicative practice, and organizational life. Communication Th
 eory, 12, 375–397.

## 2) Teams

Teams may be defi ned as two or more people who have a specifi c performance objective or recognizable goal to be attained where the coordination of activity among the members of the team is required for the attainment of the team goal or objective.9 A variety of teams exist within organizations such as work teams, project teams, research and development teams, sales teams, and special task forces. In a comprehensive study of 
6,000 managers, LaFasto and Larson argue that there are four important qualities of teams:10

 
-  
Clear elevating goal: High performance teams have both a clear understanding of the goal to be 
achieved and a belief that the goal embodies a worthwhile or important result. When setting goals, it is important to remember that: (a) goal setting is better than no goal setting, (b) specifi
 c versus vague 
goals are better, (c) diffi
  cult goals are better than easy goals, and (d) participative goal setting is equally 
eff
 ective when compared to assigned goals provided the person assigning the goal is viewed as having 
more authority, power, and expertise than the follower.
 
-  
Results-driven structure: Diff
 erent kinds of performance objectives require diff
 erent kinds of team 
structures. For example, creative teams such as those in advertising agencies would need to have a structure that fostered out-of-the-box thinking while tactical teams such as a surgical unit in an operating room would require a structure that facilitated executing surgeries in a competent and effi
  cient 
manner. High-performing teams need to have clear roles and accountabilities, access to needed information from credible sources, a system to help them monitor performance and receive feedback, and a fact-based decision-making style.
 
-  
Competent team members: High performance teams must be comprised of people who have the required: (a) technical competencies—the substantive knowledge, skills, and abilities related to the team's objectives, and (b) personal competencies—the qualities, skills, and abilities necessary to identify, address, and resolve socio-emotional issues.
 
-  
Unifi
 ed commitment: High performance teams have members who feel loyalty and dedication to the 
team.

## 3) Communication Network

A *communication network* is a group of individuals who may be identifi ed as sharing regular lines of communication. Th ese lines of communication can be described as: who talks to whom, about what, when, and where. A dominant theme in the network literature has been to distinguish between centralized and decentralized communication networks.11 A c**entralized network** exists when information is funneled through a small number of individuals within an organization. A **decentralized network** exists when information is shared widely among and fl ows through many individuals within an organization. Decentralized networks are well-suited for managing turbulent and complex environments because organizational members can communicate the changes they perceive in the business environment and each member can contribute ideas and knowledge for managing these changes.12
Network forms have recently been adopted by a growing number of global organizations because they facilitate the rapid acquisition, processing, and dissemination of information. Network forms of organizations:

 
-  
Employ relatively fl
 at hierarchies by relying on fl
 exible emergent communication.
 
-  
Develop fl
 exible relationships with the network of organizations that go beyond the local countrybound network.
 
-  
Use information technology to coordinate units and members located in diff
 erent geographic locations.
 
-  
Emphasize the use of autonomous, self-managing teams.13
By emphasizing autonomous and self-managed task teams, local units can manage emerging crises quickly rather than needing to receive permission from a centralized location. Th e existence of information technology permits the rapid dissemination of information and allows diff ering units to coordinate their response within the global network.

## 4) Organizational Culture

Organizational culture may be defi ned as the knowledge, ideology, values, and rituals that individuals share. Th ere is not a single organizational culture within organizations, as unique sub-cultures may emerge within organizations according to demographics such as race, gender, sexual orientation, organizational tenure, and membership in a particular work unit or division. Nevertheless, many organizational leaders are concerned with creating overarching organizational cultures that emphasize ethical high performance. Eisenberg, Goodall, and Trethewey highlight several important characteristics of ethically high performing organizational cultures.

 
-  
Unethical practices are more likely to emerge in organizational cultures of broken promises, where no 
one takes responsibility for actions and decisions, and participation and dissent are minimized.14
 
-  
High performing cultures tend to be characterized by a bias for action, maintaining close relations to the customer, emphasizing autonomy and entrepreneurship, achieving productivity through its employees, fostering strong corporate values, focusing on what they do best, adopting simple organizational forms, 
and having simultaneous loose-tight properties (i.e., they are both centralized and decentralized).15
 
-  
High performing cultures tend to preserve their core purpose over time while simultaneously being 
open to change. To create this strong sense of core identity and purpose, organizations explicitly 
articulate their ideology to employees, indoctrinate their employees into the company's core ideology, 
select potential employees based on their fi
 t with the existing culture, and emphasize the special qualities of the culture.16
Assessing the kind of culture that an organization has created requires you to focus on the communication that the organization uses in its messages and the various artifacts it creates. To analyze an organizational culture, you may want to focus on the following:

14 Eisenberg, E. M., Goodall, H. L., & Trethewey, A. (2007). Organizational communication: Balancing creativity and constraint, 
5th ed. Boston: Bedford/St. Martin's.
15 Peters, T., & Waterman, R. (1982). *In search of excellence.* New York: Harper & Row.
 
-  
Th
 e language that people use in their everyday conversation with other employees as well as formal 
organizational documents and communications. Th
 is may include exploring the way that people use 
technical terms, jargon, slang, jokes, gossip, and metaphors.
 
-  
Th
 e stories that people tell about their experience. Stories off
 er a window into the way that people 
make sense of their organizational experience.
 
-  
Th
 e way that physical work space is organized. For example, the simple arrangement of offi
  ce space 
can provide clues as to the way power and hierarchy is constructed in the organization.
 
-  
Company rituals and ceremonies provide insight into what the company values.17

## 5) Organizational Learning

Organizational learning involves elaborating organizational members' capacity to think collectively in new and rich ways that foster coordinated activity. Th e topic of organizational learning has grown in importance since the late 1980s as contemporary organizations have recognized that one of the primary strategies for adapting to a rapidly changing business environment is to learn from their successes and failures as well as think strategically about their future. Perhaps the strongest proponent of organizational learning is Peter Senge and his colleagues at MIT.18
Senge argues that organizations are more likely to learn when they develop practices that allow them to engage in systems thinking, foster a shared vision, encourage self-refl ection, and develop the ability to view situations from multiple perspectives. From a communication perspective, Senge argues that dialogue is central to fostering learning. From Senge's perspective, **dialogue** is a form of communication that fosters high-quality collective thinking. Dialogue is guided by several principles.

 
-  
Inquiry and advocacy must be balanced. Individuals must ask questions that challenge existing assumptions and beliefs while simultaneously engaging with advocacy by stating opinions and taking action. Inquiry without advocacy can lead to interrogation while advocacy without inquiry can lead to dictating.
 
-  
Tacit assumptions and beliefs should be brought to the surface. Many times we pay attention to certain 
elements of a situation and draw inferences about the situation based on our tacit assumptions and beliefs. While our perceptions and actions may make sense to us, their tacit nature may make it hard for other people to understand the good reasons we use to act in a particular way in a situation. Th
 erefore, dialogue works on making the tacit assumptions and beliefs that people use to form impressions and take actions explicit within the conversation.
 
-  
Suspend beliefs. It is important for others to be open to the opinions and thoughts of others; therefore, 
it is important to suspend certainty about the best way to understand a situation and what counts as appropriate actions and be open to new ideas. Suspending beliefs also means that one is willing to make one's beliefs and opinions clear to others (i.e., suspending them in front of others for them to see).
 
-  
A safe space for dialogue must be created. To reveal one's thoughts and positions requires trust in the 
other person. A lack of trust and feeling that one's statements may be used against them create an unsafe space. When people feel they can trust each other and that they are safe when revealing their opinions, they are more likely to openly discuss their thinking.
18 Senge, P. M. (2006). Th
 e fi
 ft
 h discipline: Th
 e art and practice of the learning organization. New York: Currency. Senge, P. M., 
Scharmer, C. O., Jaworski, J., & Flowers, B. S. (2005). Presence: An exploration of profound change in people, organizations, and society. New York: Currency. Senge, P. M., Kleiner, A., Roberts, C., Roth, G, Ross, R., & Smith, B. (1999). Th

## Organizational Communication

Th is resource guide is designed to provide additional information about theory and research in organizational communication. Each section in the resource guide parallels the Organizational Communication P 
articipant Guide by initially highlighting issues surrounding the defi nition of organizational communication followed by relevant resources regarding leadership, teams, communication networks, culture, and learning. Within each section, written materials are presented that may off er more in- depth coverage of important concepts and models. A list of useful web resources contains URLs to websites that provide access to material that may be useful in a training and research context.

## General Issues In Organizational Communication Additional Textual Resources

 
-  
Conrad, C., & Poole, M.S. (2005). *Strategic organizational communication in a global economy* (6th ed.). 
Belmont, CA: Wadsworth.
 
-  
Eisenberg, E.M., Goodall, H.L., & Trethewey, A. (2007). Organizational communication: Balancing 
creativity and constraint (5th ed.). Boston: Bedford/St. Martin's.
 
-  
Jablin, F.M., & Putnam, L.L. (Eds.). (2001). Th
 e new handbook of organizational communication. Newbury Park, CA: Sage.
 
-  
Keyton, J., & Shockley-Zalabak, P. (2007). Case studies for organizational communication: Understanding communication processes (2nd ed.). New York: Oxford University Press.
 
-  
Miller, K. (2005). *Organizational communication: Approaches and processes* (4th ed.). Belmont, CA: 
Wadsworth.

## Useful Web Resources

 
-  
http://wms-soros.mngt.waikato.ac.nz/NR/exeres/27439DE1-BBEF-466B-B2EC-B812A8B34014.htm—
Th
 is comprehensive website sponsored by the Department of Management at the University of 
Waikato (New Zealand) off
 ers several syllabi for teaching organizational communication as well as 
numerous links to other sites and Pdfs of case studies and short essays on important topics.

## Leadership Additional Textual Resources

 
-  
Bratton, J., Grint, K., & Nelson, D.L. (2004). *Organizational leadership.* Fort Worth, TX: South Western College Publishers.
 
-  
Conger, J.A. Th
 e charismatic leader. San Francisco: Jossey-Bass, 1989.
 
-  
Grint, K. Th
 e arts of leadership. Oxford, UK: Oxford University Press, 2001.
 
-  
Kouzes, J.M., & Posner, B.Z. (2007). Th
 e leadership challenge. San Francisco: Jossey-Bass.
 
-  
Torbert, W.R. (2004). Action inquiry: Th
 e secret of timely and transforming leadership. San Franciso: 
Berrett-Koehler.

## Useful Web Resources

 
-  
http://changingminds.org/disciplines/leadership/theories/leadership_theories.htm - Th
 is webpage provides short description of a variety of leadership theories including trait, behavioral, situational, contingency, transactional, and transformational leadership.
 
-  
http://pscyhology.about.com/od/leadership/p/leadtheories.htm —A short summary of eight diff
 erent 
types of leadership theories. Particularly useful for a short handout for training.
 
-  
http://www.12manage.com/i_l.html —Th
 is website provides detailed description of a variety of leadership theories including charismatic leadership, leadership styles, path-goal theory, and results-based leadership.
 
-  
http://www.leadership-studies.com/documents/mgmt_standards.pdf —Th
 is article provides a detailed 
summary of leadership theories and outlines a competency-based approach to the study of leadership.
 
-  
http://www.ccl.org/leadership/index.aspx —Th
 e Center for Creative Leadership is one of the leading 
leadership training and development centre. Th
 is website provides several articles and essays that are 
available for download.

## Teams Additional Textual Resources

 
-  
Hackman, J.R. (2002). *Leading teams: Setting the stage for great performances.* Boston: Harvard Business School Press.
 
-  
Katzenbach, J.R., Garvin, D.A., & Wenger, E.C. (2004). Harvard Business Review on teams that succeed. Boston: Harvard Business School Press.
 
-  
Katzenbach, J.R., & Smith, D.K. (2003). Th
 e wisdom of teams: Creating the high-performance organization. New York: Collins Business Essentials.
 
-  
LaFasto, M.J.F., & Larson, C. (2001). When teams work best: 6,000 team members and leaders tell what 
it takes to succeed. Th
 ousand Oaks, CA: Sage.
 
- Parker, G.M. (1996). *Team players and teamwork.* San Francisco: Jossey-Bass.

## Useful Web Resources

 
-  
http://changingminds.org/explanations/theories/a_group.htm —Th
 is webpage provides a nice summary of the academic theories connecting to conformity, in-group versus out-group status, and decision making within a group context.
 
-  
http://humanresources.about.com/od/involvementteams/atwelve_tip_team.htm —Th
 is website provides 
a simple list of 12 tips for building eff
 ective teams. Particularly useful as a handout to training groups.
 
-  
http://www.teambuildingtips.com/ —Th
 is website includes a number of articles on team building as 
well as team building tools that can be used for creating and sustaining teams.
 
-  
http://www.leadershipadvantage.com/creatingPowerfulTeams.shtml - this is a short article by Jon 
R. Katzenbach and Douglas K. Smith that summarizes their approach to creating high-performing teams.

## Communication Networks Additional Textual Resources

 
-  
Cross, R., Liedtka, J., & Weiss, L. (2005). A practical guide to social networks. Harvard Business Review, 
83, 124–132.
 
-  
Cross, R.L., Parker, A., & Cross, R. (2004). Th
 e hidden power of social networks: Understanding how 
work really gets done in organizations. Boston: Harvard Business School Press.
 
-  
Ibarra, H., & Hunter, H. (2007). How leaders create and use networks. *Harvard Business Review, 85,* 40–47.
 
-  
Monge, P.R., & Contractor, N.S. (2003). Th
 eories of communication networks. Oxford: Oxford University Press.
 
-  
Stohl, C. (1995). *Organizational communication: Connectedness in action.* Th
 ousand Oaks, 
CA: Sage.

## Useful Web Resources

 
-  
http://www.managementhelp.org/mrktng/org.cmm.htm —Concrete tips on how to clearly communicate one's message to internal organizational audiences is provided. Material on using upward, downward, and horizontal channels for communicating is covered.
 
-  
http://www.orgnet.com/sna.html —A brief introduction to social network analysis including concepts 
such as degree centrality, betweenness centrality, and network centrality are discussed.

## Culture Additional Textual Resources

 
-  
Cameron, K.S., & Quinn, R.E. (1999). Diagnosing and changing organizational culture: Based on the 
competing values framework. Englewood Cliff
 s, NJ: Prentice-Hall.
 
-  
Deal, T.E., & Kennedy, A.A. (2000). Th
 e new corporate cultures: Revitalizing the workplace aft
 er downsizing, mergers, and reengineering. Reading, MA: Pursues Books.
 
-  
Driskill, G.W., & Brenton, A.L. (2005). Organizational culture in action: A cultural analysis workbook. 
Th
 ousand oaks, CA: Sage.
 
-  
Keyton, J. (2004). Communication and organizational culture: a key to understanding work experiences. 
Th
 ousand Oaks, CA: Sage.
 
-  
Peters, T., & Waterman, R. (1982). *In search of excellence.* New York: Harper & Row.
 
- Schein, E.H. (2004). *Organizational culture and leadership. S*an Francisco: Jossey-Bass.

## Useful Web Resources

 
-  
http://business.nmsu.edu/~dboje/ —David Boje's website focuses on the organizational cultures of 
large multinational organizations such as Reebock and Nike. A variety of case studies highlighting the link between organizational culture and ethics are provided.
 
-  
http://leao-oise.utoronto.ca/~vsvede/culture.htm —Th
 is website provides an interactive walk through 
of organizational culture. On-line quizzes and exercises are included that facilitate your understanding your own culture.
 
-  
http://managers.emeraldinsight.com/strategy/interviews/pdf/schein.pdf?PHPSESSID=11ca13769cff
 e0
9660324b79f7232462 —A published interview with Edgar Schein and his views on the connection 
between managing culture and leadership.

## Organizational Learning Additional Textual Resources

 
-  
Argyris, C. (1999). *On organizational learning.* Malden, MA: Blackwell Publishing.
 
-  
Easterby-Smith, M., Lyles, M.A., & Crossan M. (2005). Th
 e Blackwell handbook of organizational 
learning and knowledge management. Malden, MA: Blackwell Publishing Limited.
 
-  
Senge, P.M. (2006). Th
 e fi
 ft
 h discipline: Th
 e art and practice of the learning organization. New York: 
Currency.
 
-  
Senge, P.M., Scharmer, C.O., Jaworski, J., & Flowers, B.S. (2005). Presence: An exploration of profound 
change in people, organizations, and society. New York: Currency.
 
-  
Senge, P.M., Kleiner, A., Roberts, C, Roth, G, Ross, R., & Smith, B. (1999). Th
 e dance of change: Th
 e 
challenges to sustaining momentum in learning organizations. New York: Currency.
 
-  
Wenger, E.C., Snyder, W., Pfeff
 er, J., Sutton, R., & Brown, J.S. (2001). Harvard Business Review on organizational learning. Boston: Harvard Business School Press.

## Useful Web Resources

 
-  
http://www.ewenger.com/ —Th
 is is Etienne Wenger's website that pioneered the notion of communities of practice. Th
 is detailed website covers his approach to communities of practice and their relationship to learning and provides case studies as well as interviews for download.
 
-  
http://www.solonline.org/ —Th
 e Society for Organizational Learning provides a variety of publications and resources for engaging organizational learning within organizations. It provides a detailed 
presentation of Senge's fi
 ve disciplines of organizational learning as well as links to other important 
topics.
 
-  
http://www.thinking.net/Systems_Th
 inking/systems_thinking.html —A crucial part of Senge's approach 
to organizational learning is systems thinking. Th
 e systems Th
 inking webpage provides a summary of 
important systems thinking concepts and approaches as well as links to other sites related to systems thinking.

## Relevant Journals Focusing On Organizational Communication Practitioner Journals

 
- Academy of Management Executive
 
- Harvard Business Review
 
- Organizational Dynamics

## Academic Journals

 
- Academy of Management Journal
 
- Academy of Management Review
 
- Communication Monographs
 
- Human Communication Research
 
- Human Relations
 
- Organization
 
- Organizational Studies
 
- Organizational Science

## Interpersonal Influence Defi Ning Interpersonal Communication

Interpersonal communication is a crucial part of your everyday life, yet you probably rarely think about the way in which you interact with other individuals. DeVito defi nes interpersonal communications as "communication that takes place between two persons who have an established relationship; the people are in some way 'connected'" (p. 4).1 Th us, as interpersonal communication can occur between romantic partners, business associates, doctors and patients, etc., it permeates our lives. Oft en, you devote your interpersonal interactions to attempts at infl uencing the other individual in some way.

## The Role Of Perception In Interpersonal Infl Uence

Perception is "the process of experiencing your world and then making sense out of what you experience" 
(p. 68).2 In interpersonal interactions, both parties engage in the process of perception. Th us, while a fundamental component of the interpersonal communication process, you have relatively little control of the process; it tends to be somewhat automatic. An individual's perception of you shapes what s/he thinks about you and how s/he interacts with you and vice versa. Most interpersonal communication research views perception as a three-part process:3

 
1 **Selection** - the stage in which you determine the stimuli on which you will focus
 
2 **Organization** - the stage in which you place stimuli into patterns
 
3 **Interpretation** - the stage in which you assign meaning to your observations
While the above explains the process of perception, there are several explanations of how we actually pro cess this information in our brains.

 
-  
Implicit personality theory argues that we develop a list of associated qualities that we attribute to the 
individuals with whom we interact. Th
 is allows us to make guesses about an individual's personality 
based on whatever information we currently have about him or her.4 For example, if someone tells you that your new boss is intelligent, you may infer that s/he is dedicated, hardworking, punctual, outgoing, etc., even though you have no basis for these inferences. Most individuals tend to group positive characteristics together (halo eff ect) and negative characteristics together (horn eff ect).5,6

 
-  
Impression formation theory says that we form impression about others based on their physical qualities and behaviors, information they tell us about themselves, and information third parties tell us about them. Proponents of this perspective argue that the information we fi
 rst learned about the 
individual and the information we learned most recently about the individual are most important in 
forming our perceptions.7 Th
 is is known as the primacy eff
 ect and the recency eff
 ect.8 For example, 
you might remember what your boss wore the fi
 rst day you met him or her and use it to judge how 
formal/casual an individual s/he is.
 
-  
Attribution theory argues that we attempt to assign motive or cause to the behavior of another individual.9 Specifi
 cally, we have three options in determining the cause of another's actions: the circumstance, a stimulus of some sort, or the person himself or herself.10 Individuals raised in the United 
States oft
 en attribute causes to internal factors, while individuals from other cultures may attribute 
others' behavior to external factors more oft
 en than internal factors.11,12
 
-  
Standpoint theory states that everyone sees the world diff
 erently because s/he views it from a diff
 erent 
position from everyone else.13 Th
 us, because your experiences are diff
 erent from everyone else's, you 
have a unique position through which you view the world. Your sex, age, religious background, education, nationality, etc., all infl
 uence your perceptions of others.
 
-  
Politeness theory posits that individuals across all cultures have a universal desire for others to be 
polite to us. Th
 us, our perceptions of individuals who are polite to us will be more positive than our 
perceptions of those who are impolite.14
It is important to consider that these theories describe processes that occur in your brain, of which you are oft en unaware. Further, you need to consider that these processes work together. Expectations of politeness may be associated with the implicit personality characteristics your have in a given situation.

4 
Bruner, J. S., & Tagiuri, R. (1954). Th
 e perception of people. In G. Lindzey (Ed.) *Handbook of Social Psychology*, Vol. 2, 634–654. 
Cambridge, MA: Addison-Wesley.
5 
Dion, K., Berscheid, E., & Walster, E. (1972). What is beautiful is good. *Journal of Personality and Social Psychology, 24*, 285–290.
6 
Riggio, R. E. (1987). Th
 e charisma quotient. New York: Dodd, Mead. 
7 
Wegner, D. M., & Vallacher, R. R. (1977). *Implicit psychology: An introduction to social cognition*. New York: Oxford University 
Press.
8 
Asch, S. (1946). Forming impressions of personality. *Journal of Abnormal and Social Psychology, 41*, 258–290.
9 
Heider, F. (1958). Th
 e psychology of interpersonal relations. New York: Wiley.
10 Kelly, G. A. (1955). Th
 e psychology of personal constructs. New York: Norton.
11 Matsumoto, D. (1994). *People: Psychology from a cultural perspective.* Pacifi
 c Grove, CA: Brooks/Cole.
12 Aronson, J., Cohen, J., & Nail, P. (1998). Self-affi
  rmation theory: An update and appraisal. In E. Harmon-Jones & J. S. Mills 
(Eds.). *Cognitive dissonance theory: Revival with revisions and controversies,* 127–147. Washington, DC: American Psychological 
Association.
13 Harding, S. (1991). Whose science? Whose knowledge? Th
 inking from women's lives. Ithaca, NY: Cornell University Press.
14 Brown, P., & Levinson, S. C. (1987). *Politeness: Some universals in language use.* Cambridge, England: Cambridge University 
Press.

## Intercultural Communication And Interpersonal Relationships

Communicating across cultures creates many challenges for eff ective interpersonal communication. Diff ering cultures and languages increase your chance of miscommunicating. Given these diff culties, Gudykunst off ers a special defi nition of eff ective communication in cross-cultural settings. He states, "communication is eff ective to the extent that the person interpreting the message attaches a meaning to the message that is relative similar to what was intended by the person transmitting it" (p. 289).15 However, your inability to achieve perfect understanding should not deter you from engaging in cross-cultural communication. For Gudykunst, the best way to achieve eff ective communication is through mindfulness, or thinking about your communication and continually working to change it in order to be more eff ective. Th e best advice for cross-cultural communication is simply: think as you do it.

## Impression Management In Interpersonal Relationships

Much of the work related to impression management in interpersonal relationships focuses on maintaining face. Face is "a metaphor for our public self-image, the way we want others to see us and treat us" 
(p. 440).16 Facework is "specifi c verbal and nonverbal messages that help to maintain and restore face loss, and to uphold and honor face gain" (p. 190).17 One of the major tenets of this research is that the importance individuals place on face diff ers across cultures. Although many Westerners think this notion is primarily a concern of Asian cultures, research indicates that face is a concern for all cultures. In any interpersonal interaction, you have concern for your own face as well as concern for the face of the other individual in the interaction. Th ese two concerns yield four options for facework:18 

 
-  
Mutual-Face Protection - In this condition, you will try to preserve face as well as to help the other 
individual in the interaction preserve face because your concern for your face and your concern for the other's face are both high. Simply, you want to look good and you want your partner to look good as well.
 
-  
Self-Face Defense - In this situation, your goal is to save face. You have little concern for the other 
individual; thus, self-face concern is high and other-face concern is low. Here, you don't care how your 
partner looks as long as you look good.
 
-  
Other-Face Upgrade - Th
 is situation is one in which you will work to help the other individual preserve face or gain face because your concern for self-face is low and your concern for other face is high. With this condition, you allow yourself to look bad so that your partner can look good.
  n, E. (2006). A fi
 rst look at communication theory, 6th ed. Boston: McGraw-Hill.
 e matrix of face: An updated face-negotiation theory. In William B. Gudykunst (Ed.). Th
 eorizing 
About Intercultural Communication, 71–92. Th
 ousand Oaks, CA: Sage.
 
-  
Mutual-Face Obliteration - In this setting, you have low concern for self-face and low concern for 
other-face; thus, you are not working to maintain face for either individual in the interaction. Here, you are okay with both individuals in the interaction looking bad.

## Interpersonal Infl Uence

While much of your interpersonal communication is oft en implicitly attempting to infl uence other individuals, there are times when you want to make an explicit request. Two common request strategies are:

 
-  
Foot-in-the-door - Th
 is strategy involves making a small request of the receiver, which the receiver 
then grants, and then making a larger request of the receiver (the larger request is actually the goal of the interaction). Th
 e idea behind this strategy is that once you "get your foot in the door" with the 
small request, the individual whom you are trying to infl
 uence will grant the target/actual request.19,20
 
-  
Door-in-the-face - Th
 e door-in-the-face strategy is essentially the opposite of the foot-in-the-door 
strategy. Th
 is strategy involves making a large request designed so that the receiver will turn it down. 
Th
 en the persuader makes a smaller request which the receiver grants (the smaller request is the goal 
of the interaction). Th
 e idea behind this strategy is for the initial request to be reasonable, but involved 
enough that most individuals will reject it. Th
 is makes the smaller/target/actual request much more 
doable and increases the likelihood that the receiver will comply.21

## Establishing Credibility In Interpersonal Interaction

Credibility is critical to interpersonal infl
 uence. O'Keefe defi
 nes credibility as "the judgments made by a 
perceiver (e.g., a message recipient) concerning the believability of a communicator" (p. 181).22
O'Keefe argues that there are two major components of credibility: 
1  
Competence - perceptions of an individual's intelligence, expertise, and knowledge on a subject
 
2  
Character - perceptions of an individual's sincerity, trustworthiness, and concern for others

## Types Of Credibility

We listen to individuals we judge to be credible and tend to question those who we judge to be not cred ible. 

McCroskey23 proposes three types of credibility:

 e foot-in-the-door technique. Journal of Personality and 
Social Psychology, 4, 195–202.
 ect. Journal of Personality and Social 
Psychology, 37, 2221–2239.
 e door-in-the-face technique. *Journal of Personality and Social Psychology, 31,* 206–215.
 eory and research, 2nd ed. Th
 ousand Oaks, CA: Sage.
 
-  
Initial Credibility - the credibility an individual has before he or she begins to speak - this type of 
credibility may be the result of the speaker's position, expertise, or simply the fact that s/he was asked to speak.
 
-  
Derived Credibility - the credibility an individual creates through what s/he has to say - this type of 
credibility may stem from the speaker's ability to communicate, the speaker's ideas, or the information s/he uses to support his or her position.
 
-  
Terminal Credibility - the credibility an individual has when s/he fi
 nishes speaking - this type of 
credibility is oft
 en a result of the other two types and infl
 uences the impact of the message (i.e., will 
the listeners adopt a long-term change).
In order to ensure that individuals with whom you interact see you as credible, you need to fi rst examine the amount of information they have about you. If you are attempting to infl uence an individual who has limited information about you (potentially a situation in which you have low initial credibility), it may be useful to provide him or her with information about your competence and/or credibility. Suppose you are attempting to infl uence an individual who knows you, but in a diff erent context (i.e., a friend who recently began working for your organization). You may need to think about how you can derive credibility in this situation by conveying your competence at work.

## Effective Public Speaking To Gain Infl Uence In Organizations

Numerous factors contribute to an eff ective public speech. Th e following is a list of suggestions from the most popular university-level public speaking text on the market designed to help you improve your public speaking:24

## Choose Appropriate Language

 
-  
avoid terminology with which your audience is unfamiliar unless you explain it
 
-  
avoid stereotyping sex-roles, sexual orientation, etc.
 
-  
avoid use of male terms to refer to both men and women
 
-  
avoid information that is not germane to the topic
 
-  
use labels individuals/groups use to identify themselves25

## Vocal Qualities

 
-  
vary your infection - it is diffi
  cult to listen to monotone presentations
 
-  
choose appropriate volume - too loud equals annoying and to soft
  means no one will hear you
 
-  
use pauses wisely - a well-timed pause can be very powerful, but consistent pauses and/or pausing too 
long will distract the audience
 
-  
select an appropriate rate - fast is not necessarily bad, neither is slow - you need to select a rate appropriate for the occasion, the topic, and the audience
 
-  
pronounce words correctly - mispronouncing words may damage your credibility
 
-  
articulate/enunciation - clearly form all words; don't run words together; don't chop off
  the endings 
of words; don't mumble

## Use Appropriate Nonverbal Behaviors

 
-  
avoid nonfl
 uencies such as "uh," "um," "like," and "you know" - these are distracting, decrease your 
credibility, and may make you appear deceptive26
 
-  
dress appropriately - you may need to do some research to fi
 nd out what appropriate means
 
-  
perfect your posture/movement - good posture contributes to good vocal qualities - all movement 
should have purpose and usually should be kept to a minimum
 
-  
make eye contact - eye contact engages your audience and provides you with important feedback 
about your presentation; however, diff
 erent cultures have diff
 erent rules about eye contact27
 
-  
use appropriate gestures - gestures should enhance the presentation rather than detract from it

## Research, Research, Research

 
-  
research your topic - this is essential for preparing your remarks and for your credibility
 
-  
research your source materials - this is especially important if you want to persuade your audience - 
the credibility of your information is just as important as your credibility
 
-  
research your audience - knowing your audience will help you tailor your presentation - demographic 
information is a good starting point, but you will oft
 en want to know about audience members' life 
experiences
 
-  
research yourself - be aware of how nervous you are, what you look like giving a presentation, and seek objective insight into what people think about your public speaking abilities

## Practice

 
-  
Eff
 ective public speaking requires practice!
 
-  
be familiar enough with your presentation that you can go "off
 " your notes if necessary
 
-  
audiotape/videotape yourself or speak in front of a mirror to see where you need to improve
 
-  
prepare answers to questions you think you might be asked about your presentation

## Interpersonal Influence

Th is resource guide is designed to provide additional information about interpersonal infl uence. Each section in the resource guide corresponds with a section in the Interpersonal Infl uence Participant Guide and contains three sections: additional textual resources, useful web resources, and useful media resources. Th e additional textual resources section provides references that off er a more in-depth understanding of the concept. Th e useful web resources section contains the URLs to websites that might be useful in teaching or researching the topic. Finally, the media resources section lists fi lms that display the concepts discussed in the section. Links to websites are current as of January 2007.

## The Role Of Perception In Interpersonal Infl Uence Additional Textual Resources

Th e three texts mentioned below are introductory interpersonal communication texts. Any similar text will include information on the process of perception.

-  
Beebe, S.A., Beebe, S.J., & Redmond, M.A. (2005). Interpersonal Communication: Relating to Others. 
Boston: Pearson-Allyn & Bacon.
- Blake, R., & Sekuler, R. (2005). *Perception.* Boston: McGraw-Hill.
-  
DeVito, J.A. (2004). Th
 e Interpersonal Communication Book (10th ed.). Boston: Pearson-Allyn & 
Bacon.
-  
West, R., & Turner, L.H. (2006). Understanding Interpersonal Communication: Making Choices in 
Changing Times. Belmont, CA: Th
 omson Wadsworth. 

## Useful Web Resources

-  
http://www.perceptionweb.com/ —Th
 is website is the home of a scholarly journal dedicated to the 
publication of perception related research.
-  
http://psych.hanover.edu/KRANTZ/sen_tut.html —Provides tutorials and overviews related to sensory perception.
-  
http://www.tolerance.org/hidden_bias/index.html —Th
 is website houses an implicit association test 
that allows users to test their hidden biases that might infl
 uence how they perceie other individuals.

## Useful Media Resources

- Guess Who/Guess Who's Coming To Dinner - Harry Potter & the Sorcerer's Stone

## Intercultural Communication And Interpersonal Relationships Additional Textual Resources

-  
Gudykunst, W
.B. (ed.). (2005). Th
 eorizing about Intercultural Communication. Th
 ousand Oaks, CA: Sage.
-  
Gudykunst, W
.B. (ed.). (2003). *Cross-cultural and Intercultural Communication.* Th
 ousand Oaks, CA: Sage.
- Journal of Intercultural Communication

## Useful Web Resources

-  
http://babelfi
 sh.altavista.com/ —Th
 is is an online language translator. Numerous sites such as this one 
exist. While oft
 en inaccurate, they are an interesting stimulus for discussion.
-  
http://www.kwintessential.co.uk/ —Th
 is website off
 ers information about world cultures and translation service.

## Useful Media Resources

- Anna and the King -  
Seven Years in Tibet

## Impression Management In Interpersonal Relationships Additional Textual Resources

-  
Dimitrius, J.E., & Mazzarella, M. (2002). Put Your Best Foot Forward: Make a Great Impression by 
T 
aking Control of How Others See You. New York: Simon and Schuster.
- Ting-Toomey, S. (1994). Th
 e Challenges of Facework. New York: SUNY Press.

## Useful Web Resources

-  
http://chiron.valdosta.edu/kcolwell/apls2002%20-%20impression%20management.doc —Interesting 
article on impression management and lying.
-  
http://www.richmond.edu/~choyt/supportingdocs_spring06/impressionmanagement.ppt#256,1,
Impression Management —PowerPoint presentation on impression management.

## Useful Media Resources

- Good Will Hunting - Joy Luck Club

## Interpersonal Infl Uence Additional Textual Resources

-  
Lieberman, D.J. (2001). *Get Anyone to do Anything.* New York: St. Martin's Press.
- O'Keefe, D.J. (2002). Persuasion: Th
 eory and Research (2nd ed.). Th
 ousand Oaks, CA: Sage.

## Useful Web Resources

-  
http://www.ilr.cornell.edu/directory/downloads/Interpersonal_Infl
 uence.ppt#256,1,Interpersonal 
Infl
 uence —PowerPoint presentation on interpersonal infl
 uence.
-  
http://store.teambuildinginc.com/items/team-profi
 les~assessments/interpersonal-infl
 uence-inventory/list.htm —Website of an Interpersonal Infl
 uence Inventory.

## Useful Media Resources

- 10 Th
 ings I Hate About You
- Twelve Angry Men

## Establishing Credibility In Interpersonal Interaction Additional Textual Resources

-  
O'Keefe, D.J. (2002). Persuasion: Th
 eory and Research (2nd ed.). Th
 ousand Oaks, CA: Sage Publications.
-  
Simons, H.W. (2001). *Persuasion in Society.* Th
 ousand Oaks, CA: Sage Publications.

## Useful Web Resources

-  
http://credibility.stanford.edu —Th
 is site focuses on how individuals determine credibility of online 
information, and might be useful in helping people think about the issue of credibility.

## Useful Media Resources

- Th
 e Rainmaker

## Effective Public Speaking In Organizations Additional Textual Resources

- Lucas, S.E. (2007). Th
 e Art of Public Speaking. Boston: McGraw-Hill.
- Zarefsky, D. (2005). *Public speaking*. Boston: Allyn & Bacon.

## Useful Web Resources/Media Resources

- http://www.americanrhetoric.com/top100speechesall.html —Provides text and audio of the 100 greatest speeches.
- http://www.speechtips.com/ —Th
 is site includes additional tips for preparing a good presentation.
-  
http://www.whitehouse.gov/ —Th
 e White House website includes video and text of presidential 
speeches that you can analyze or use as examples.
Westley, F. (1990). Middle managers and strategy: Microdynamics of inclusion. Strategic Management Journal, 11(5), 337–351. Oshry, B. (2003, November 19). Managing in the Middle. Th e Management Forum Series. A presentation in Portland, Oregon. Huy, Q. N. (2001, September). In praise of middle managers. Harvard Business Review, 72–79. Wooldridge, B. and Floyd, S. W. (1996). Th e Strategic Middle Manager: How to Create and Sustain Competitive Advantage, Jossey-Bass. Axelrod, R. (2010). Terms of Engagement: New Ways of Leading and Changing Organizations. Berrett- Koehler Publishers. CommGAP (n.d.). Change Management. http://siteresources.worldbank.org/EXTGOVACC/Resources/ChangeManagementweb.pdf.

## Videos

Kevin Barge, Texas A&M University, Running time: 3:55 minutes http://www.youtube.com/watch?v=NaYVOk3g_3w Peter Malinga, Human Resource Agency, Rwanda. On engaging middle managers in governance reform. 

Running time: 4:27 minutes.

http://www.youtube.com/watch?v=3_5Ck8N635M Sunil Mitra, Principal Secretary, Department of Power and Non Conventional Energy Sources, State Government of West Bengal, India, Running time: 2:28 minutes http://www.youtube.com/watch?v=epU-yFr0bGs

## S4-Vd3 Mobilizing Public Will

Here we explore the challenge of building public will and  mobilizing constituencies of support through strategic communication and coalition building. Generating widespread support for a reform eff ort requires gaining the trust and confi dence of the public, which  include groups of apathetic, intermittently engaged, or seriously organized networks. Engaging and supporting reform-minded groups and networks requires the strategic use of communication and coalition building techniques. Public will is defi ned as the opinions and preferences of the public-at-large, can be explored through the tools of public opinion research. By drawing on these tools, coalition building strategies will become robust and therefore more likely to succeed. A companion to Session 3
on political will, this session emphasizes that reform campaigns can unfold both from the top-down (when political will drives public will), and from the bottom-up (when public will drives political will).  
You will be introduced to the concepts of the Five Management Decisions, the Power-Interest Matrix, and Targeting Strategic Continuum as tools applied in the Philippines Procurement Reform case. 

## Key Concepts And Messages

-  
Public will is broad public support that results in policy changes and reform. It is central to the success of 
governance reform.
- Public-will campaigns can drive political will through mobilized citizen action. - Th
 e communication challenge is that of mobilizing stakeholders, particularly 'unorganized' majorities. 
- Strategic communication, a stakeholder-centered approach aimed at infl
 uencing people's behavior and 
attitudes, is at the heart of eff
 ective coalition building.

## Learning Outcomes

By the end of the session, participants will be able to:

- Recognize public-will challenges and examine eff
 ective strategies that lead to successful reform outcomes,
- Explain the mutually-reinforcing link between public will and political will, - Design a communication strategy using diagnostic tools and the Five Communication Management 
Decisions template. 
Exercise: Small Group Work - Using Strategic Communication to Secure Public Will Session Length: 90 minutes

## T Eaching Notes And Process Guide

Content and Process
Presentation Slides and Process Cues

[Two active buttons here, side by side :]*
Play Slideshow Download Presentation File

## Using Strategic Communication To Secure Public Will Case Study: Philippine Procurement Reform–Passing The Law Small Group Work

T I M E  A L L O T T E D :  4 5  M I N U T E S
Note: Th e case summary should have been assigned as advance reading prior to this session.

## Purpose

Develop a communication strategy using the Five Communication Management Decisions template. Th ese decisions include: which audiences/stakeholders need to be addressed; what behavior change goals are to be pursued; what key messages need to be developed, which channels of communication will be used; and how will the success of the communication intervention be evaluated. 

## Process

 
1.  
Ask participants to break into small groups of four to fi
 ve people. 
 
2.  
Provide participants with the following handouts:
- Case summary of the Philippine Procurement Reform Law (S5-HO1) - Philippine Procurement Perception Mapping (S5-HO2)
 
3. Participants will exchange ideas on the communication strategy employed, and proceed as follows:
- Defi
 ne the management objective
- Map out a communication strategy using the fi
 ve communication management decision template
- Agree on the fi
 ve main decisions and write the answers in the Communication Management Decision Tool form. 
 
4. Ask each group to report on the results of the discussion. 
 
5. Debrief in plenary. Invite participants to share their insights and lessons from the process. 

## Public Procurement Reform In The Philippines Background

Th e procurement system in the Philippines was one of the most lucrative sources of corruption. Th ere was a proliferation of laws, many out-dated legislation consisting of disparate, sometimes inconsistent laws and regulations. Xxxxxxxxxx In the Philippines, procurement is largely perceived to be synonymous to corruption. As some studies have shown, four out of the top fi ve agencies considered to be the most corrupt agencies are involved in government contracting. And about 20 percent of government contracts are typically given out in the form of commissions or kickbacks. A World Bank study conducted in 2000 estimated $48 billion as losses due to corruption in the past 20 years.

Th e 1998 reforms in budget formulation under the Filipino Medium-Term Expenditure Framework called attention to the fragmented system of procurement and the uncoordinated administrative responsibilities of agencies involved in the process.1 Reform-minded leaders in government took on the formidable task of initiating change within a system believed to be highly ineffi
  cient and corrupt yet left
  untouched for many years. In particular, the newly appointed Secretary of Budget and Management, who had administrative responsibility for supervising the government's purchases of goods and supplies, took on the challenge of tackling the systemic problems of procurement. An all-encompassing law or an omnibus code was seen to be a necessary part of the solution to the complex problem of rationalizing the procurement system. 

## The Long Road To Reform

As the Philippines experience shows, certain strategic steps were critical in successfully managing the reform process that led to the signing of the Procurement Reform Bill. Having an in-depth understanding of problems in the procurement system was a necessary starting point. With the support of donor assistance, diagnostic work began in August 1999. Within a six-month period, the procurement consultants completed an analysis of the government's procurement system. A draft
  law was also prepared with proposed provisions encompassing purchasing of goods and supplies, contracting for civil works and of consultants, sale of assets, privatization through build-operate-transfer schemes, rationalizing national, provincial, and local procurement.2
Winning the executive branch With the diagnostic work completed and the proposed law draft ed, the fi rst roadblock encountered was the lack of support within the proponent agency itself, the Department of Budget and Management. Unfamiliar with the internal workings of government and the socio-political environment, the foreign consultants overlooked the importance of securing ownership within the government's policy and technical staff
 . Th e senior and mid-level government offi
  cials and staff
  assigned to the project were neither motivated nor committed to take the necessary steps to move forward. Th e process ground to a halt with no further action taken on the study or the draft
  law. 

Committed to address procurement problems, a new Budget Secretary put the process back on track through a USAID-assisted budget reform process. Tasked to revive the study, the program team along with the Budget Reform Task Force (BRTF) reworked the diagnostic process and organized a "shoot-down" 
workshop to review the consultant's diagnostic study. Th e two-day workshop was a well-received event and about 60 government procurement experts and representatives from the donor community participated.3 
Th e gathering served as a good venue to eff ectively engage relevant stakeholders (within government), tap their expertise on procurement and seek inputs to the technical study. 

Aft er a rigorous process of review and deliberation, the end-result was a report that was essentially consistent with consultants' study that validated their earlier analysis and key fi ndings. But, more importantly, the "shoot-down" exercise empowered government stakeholders to lend their voice and technical expertise to the diagnostic process which gave them a greater sense of ownership. Th e process also helped in mapping out an action plan to be implemented over the succeeding three-month period. Th is involved the following: (1) formation of a technical working group (TWG) to oversee the completion of the omnibus bill and its submission for Congress deliberation; (2) conduct of regular TWG meetings and consultations, and (3) 
TWG participation in congressional deliberations.4
Th e three-month engagement within government had two positive outcomes: fi rst, it established strong relationships among the members of technical working group brought together by a shared commitment to the procurement reform initiative and second, it helped form a solid government position in procurement reform through regular deliberations and positive dialogue within the group. Despite the diversity of views arising from diff erent institutional perspectives, the group eventually arrived at a clear consensus paving the way for a unifi ed stance for government. Th is sent an important signal to the legislature that the reform initiative had the strong and solid backing of all government agencies concerned. Such a message was critical in providing assurance to supportive or unconvinced legislators that the draft
  law was thoroughly subjected to rigorous technical review and can withstand the test of legislative debate. Similarly, it was equally important to let the unconvinced or opposing legislators understand that they could face diffi
  culty in tearing it down since the full contingent of committed government stakeholders stood solid and united in pursuing meaningful changes in the country's procurement system. 

Lobbying within the legislature Mounting the legislative hurdle presented several challenges to the government's reform leaders. First, strong opposition among legislators who have personal vested interests was expected and had to be dealt with. Attempting to clean up the procurement system has always been a politically contentious issue. And introducing major changes to enhance fairness, transparency and accountability in the procurement system posed a clear threat to those who reap personal gains, either from kickbacks, commissions or favored contracts for those with major business interests. Second, unwavering support from potential sponsors (in the Lower House and Senate) and other allies had to be ensured. Supportive legislators, especially those who were willing to sponsor the bill, had to be convinced of the political benefi ts of associating themselves with a highly controversial piece of legislation. Th ird, the proposed bill went through the legislative mill twice: the fi rst round was during the 11th Congress which successfully got Lower House approval but failed to get the Senate's attention due to distractions from the impeachment trial of then President Estrada whose leadership was under siege due to corruption charges; and the second round was aft er Estrada stepped down and his Vice President Gloria Macapagal-Arroyo took over as President. Committed to focus on good governance and anti-corruption, the new President declared the passage of the Procurement Reform Bill as an important priority of her administration. 

Successfully navigating the legislative network in both rounds required strategic planning and several one-on-one consultations and negotiations with legislators and their technical staff
 . Securing approval of the bill required (1) identifying the appropriate legislative committee to approach, (2) fi nding a credible and infl uential member willing to sponsor the bill and (3) timely scheduling of the bill for legislative debate. 

Mobilizing legislative champions in the 11th *Congress* Tasked with fi nding the appropriate Committee, the legislative liaison offi
  ce of the Budget Department approached the Public Works Committee and Congressman Neptali Gonzalez II, an infl uential member of the Committee, who later agreed to act as sponsor of the bill. Congressman Gonzalez had fi led an earlier bill on sanctions for violations of government contracting regulations which made him a logical legislator to approach for sponsorship. Th e Committee, recognizing the importance of legislative measures on anti-corruption, particularly given the highly publicized corruption charges against then President Estrada, approved the bill with no amendments and submitted it for Floor debate. In the meantime, strong public sentiment grew against President Estrada calling for his impeachment. Th e Lower House was in the process of getting the process in motion and fi led a request to the Senate as the body empowered under the Constitution to handle impeachment proceedings. 

Th e 11th Congress had two weeks left
  before its scheduled recess and the prospect of getting the procurement bill on the debate calendar was deemed very unlikely. However, Congressman Gonzalez, also an infl uential member of the Rules Committee which had jurisdiction over the debate timetable, skillfully managed to get the bill included in the regular schedule of debates. Th e timing of the bill presentation was also a strategic tactic as it was done during a quorum when most of the likely and strong opponents were not present. An overwhelming majority approved the bill and 36 congressmen signed as co-sponsors of the bill. 

Th e next hurdle was approval of the Senate. Th e reform team successfully approached the Senate Committee on Constitutional Rules and Amendments and got agreement from the Majority Floor Leader to cosponsor the bill with the Committee's Chairman. However, with the focus on the impeachment trial and the elections only fi ve months away, the bill eventually got lost in the shuffl
  e and failed to make the Senate Floor. 

Creating bi-partisan ownership in the 12th *Congress* Congress resumed with a new political confi guration which called for a bipartisan legislative strategy to move the bill forward. In the Lower House where the ruling party had a majority, two infl uential legislators were approached. Th e Speaker of the Lower House 
(Jose de Venecia) and the Chairman of the Appropriations Committee (Congressman Rolando Andaya Jr) both agreed to so-sponsor the bill. 

To secure ownership within his legislative staff
 , a congressional technical working group (CTWG) was created at the request of Congressman Andaya consisting of the TWG, selected members of the Appropriations Committee and Procurement Watch Inc. as civil society representative. Several CWTG meetings provided the legislative staff
  and the Congressman himself a deeper understanding of the issues, developed trust among the members and facilitated informal negotiations with key legislators, all of which helped in successfully getting the Committee's approval. Two key provisions were reluctantly agreed to by the TWG and Procurement Watch and introduced as amendments: incorporation of the Flag Law giving preference to domestic fi rms in the procurement of goods and the granting preference to local provincial contractors for priority projects for a period of fi ve years. Aft er fi ve months, an overwhelming majority of the Lower House passed the bill in October 2002. 

Th e strategy to win the Senate involved approaching an infl uential member from the opposition party to sponsor the bill. Unlike the Lower House, the Senate had a more balanced distribution so a sponsor from the opposition party was likely to sway the opposition vote in favor of the bill. Senator Edgardo Angara, an infl uential legislator and the opposition's spokesperson agreed to sponsor the bill aft er several presentations and discussions with the Budget Secretary and the reform coalition. A Senate Technical Working Group with representatives from both parties, the government and civil society completed the draft ing of the Senate version of the bill. Aft er six months of technical meetings, Committee presentations and informal meetings to secure broad support from other Senators, the Senate passed its version of the bill. It was almost identical to the government's version but diff ered from the Lower House version as it did not include the two key provisions introduced mentioned above.

On December 2002, the Bicameral Conference Committee convened to review the two versions of the bill and prepared a consolidated bill. Th e Senate and the Lower House approved the Consolidated Bill. President Arroyo then signed the Consolidated Procurement Reform Bill and enacted into law as Republic Act No. 9184 in January 2003. 

## Main Pillars In The Reform Process

Th e passage of the reform bill took more than three years of painstaking work among committed reform leaders and supporters within government, the legislature, the business community and civil society. Streamlining the procurement system is a complex and politically charged issue that required careful planning and strategic decision-making, fi rmly grounded on sound technical analysis. Th e diagnostic work, a critical input in the process, provided a solid assessment of procurement problems that helped in craft ing solid and convincing arguments in the legislative debates. It also identifi ed potential obstacles and pitfalls that could jeopardize the process. Armed with such valuable knowledge, the reform group pursued action in four key areas to minimize risk of opposition and increase the chances for success in securing legislative approval of the reform bill. 

Enlisting a solid core of reform champions Experience has shown that making the case for reforms benefi t largely from the active involvement of 'champions' who strongly endorse the reform agenda. Th ey serve as respected and credible messengers speaking in favor of the reforms. In the Philippines experience, the process of enlisting champions in both the executive and legislative branches greatly infl uenced broad stakeholder support. Within government, the close and continued collaboration of the government working groups helped build a reliable core of reform champions. Even with the change in political leadership, the core reform group remained intact. Th eir steadfast involvement provided much needed continuity and sustained the process through a period of uncertainty and political turmoil. 

Engaging broad sectors of civil society Just as the government reform group had evolved into a cohesive unit aft er several months of working together, they realized that a critical missing link was civil society. In February 2001, the Procurement Watch Inc. (PWI) was established with support from the Bankmanaged ASEM Trust Fund to promote transparency and accountability in government procurement through research, partnerships, training and advocacy. It was created by a group of concerned citizens from government, acadame, the legal profession, and the private sector who shared a commitment to assist in anti-corruption eff orts of government. To build public support for the passage of the reform bill, the PWI focused on securing buy-in from key civil society groups and on working with the media to maintain heightened public awareness of corruption in government procurement and the need for urgent executive and legislative action. 

Various civil society groups representing the diff erent key stakeholders were mobilized to support the proposed bill. Group meetings, presentations and training workshops were held to inform and educate the various groups of the issues and reform changes proposed. Declarations of support in the form of manisfestos or letters of endorsement from the following stakeholder groups presented in the legislative deliberations strengthened the position of the proposed bill: (1) NGOs - Transparency and Accountable Network, comprising 20 NGOs as members; (2) Youth - "Walang Ku-Corrupt" (which means "say no to bribery"), an anti-corruption movement led by 13 university student councils; (3) Church leaders - the Catholic Bishops Conference of the Philippines; (4) Private sector - Philippine Chambers of Commerce and Philippine Contractors Association5; and (5) Local Government - League of Governors, consisting of all provincial governors in the country. 

Mobilizing the power of communication and the media Building a broad-based coalition for reform needs to be supported by the power and reach of mass media. To support advocacy eff orts, the reform group mounted a strategic media campaign aimed at eff ectively communicating clear and consistent messages on the proposed bill and the benefi ts of the procurement reform. Th e services of a professional group was contracted to roll out a media strategy. It involved the strategic use of radio TV, print, and the distribution of information and promotional materials, all of which were aimed at creating a "brand" with a distinct and memorable image. 

Eff ective targeting of each audience segment was achieved by keeping in mind that the take-away message answers the question "what is in it for me?" Having a good understanding of the audience's perceptions and attitudes helped in craft ing messages that resonate with specifi c audiences. Reform champions from government and legislative branches, were also mobilized on the media campaign trail as credible messengers of the reform process. Th ey were given air time in TV interviews and in other programs which gave them plenty of opportunity to inform and educate the public about the benefi ts of the proposed bill (and in the process increase their popularity, a key incentive for politicians).

Th e media strategy was successful in elevating public attention on the issues of corruption in procurement and in generating public support for the passage of the proposed reform bill provides important lessons in using the diff erent channels of communication: 

 
1.  
Radio - Media briefi
 ng of AM announcers, with prime-time radio programs, played a key role in 
reaching the broad mass of audiences among the lower-income households and in rural areas. Radio is the most popular and powerful channel of communication among this audience segment, majority of whom tune in to AM radio. Procurement Watch Inc. organized an information briefi
 ng for 
the radio announcers to educate them on the rational for the reform and the expected benefi
 ts in 
approving the proposed bill. Th
 e AM radio announcers responded to the call and used the power of 
the medium by conducting interviews with politicians and legislators. Equipped with a good understanding of the proposed bill, they were able to engage in a productive exchange and send out a clear message to the legislators of the importance of proposed bill.
 
2.  
Television - As the medium of the middle class and the intellectual elite, specifi
 c television programs 
were targeted to reach these audience segments. Interviews in TV talk shows of legislative champions and spokespersons as well as a special documentary on the procurement reform featured in a leading cable news channel were eff
 ective in reaching and infl
 uencing policymakers and the middle class on 
the benefi
 ts of the proposed bill. 
 
3.  
Print - Public education on the consequences of corruption and the benefi
 ts of the proposed bills was 
done through regular press releases, special articles and publications. Journalists were invited to various conferences, meetings and conferences especially those organized by the reform group. 
 
4.  
Advertising - Creating a 'brand name' helped in establishing a positive and memorable image for the 
reform process. Th
 e distribution of creative promotional materials consisting of posters, streamers 
and stickers heightened public awareness of the procurement reform agenda and served as constant reminders of much needed public support for the anti-corruption measures. 
Th e main pillars of the reform process as described demonstrates that the combined impact of active civil society engagement, committed reform champions supported by an eff ective communication strategy all contributed to eff ectively mobilizing public action that led to the passage of a landmark legislation. Not to be overlooked, however, is the most important lesson of this Philippines experience - the critical presence of a cohesive core group of government reformers providing the solid foundation amidst a politically fragile reform environment. Working as the "well-oiled machine"
, the reform coalition skillfully navigated the challenging political landscape and successfully led the path to procurement reform. 

## Targeting Strategies

Allies
Opponents
Hard-core
Allies
Uncommitted
and Involved
Uncommitted
and Uninvolved
Unmovable
opponents
Government reform team
Local government
NGOs, esp. in anti- Corruption
Church, business community, general media
Procurement Watch
College students
The general public and the poor were all indirectly involved in the reform campaign
Congressmen linked to contractors, mostly at the provincial, municipality level
- LGUs will now be bound to a uniform code
Philippines Anticorruption Commission
Budget and procurement government officials
Big contractors, Contractors Association
Investigative
media
Cabinet
members
Most donor agencies
Legislative staff

## Communication Management Decision Tool Management Objective:

| AUDIENCE   |
|------------|
| MESSAGES   |
| Take-away  |
| Messages   |
| Supporting |
| Data       |

## How To Instigate Citizen Demand For Good Governance And Accountability In Sustaining Governance Reform Approaches

Use collective action or citizen groups.
This approach is based on forming citizens groups to instigate demand for good governance and accountability for sustaining governance reform. Adopting an approach of using collective action thus implies that citizens as a group interact with the government, rather than on an individual basis. The techniques that can be used to implement this approach are the following: (1) form citizens' organizations that function autonomously from the government, (2) provide citizens with training for facing the risks of demanding better governance, (3) create physical spaces for argument and dialogue about governance, (4) use information and communication technologies (ICT) to build communication networks and communities of practice, (5) provide citizens with easy access to information that explains the reform project, (6) communicate in language that is easily understandable, and (7) strengthen relationships with the media for advocacy and intervention.
Conduct deliberation.
This approach engages the citizenry in deliberation to activate their demand for good governance and accountability, ensuring the sustainability of governance reform. The deliberative process leads citizens to express their views on specifi
 c policies related to 
governance. The deliberative approach is based on the rationale that when citizens are allowed to discuss governance issues, not only do they become more informed about these issues, but they also gain awareness of having the ability to demand better governance. The 
techniques that can be used to implement this approach include Deliberative Polls® for 
creating physical spaces for argument and dialogue; organizing deliberative opinion polls; using media, such as television programs, for deliberation; and mediating deliberation so that (1) competing demands can be resolved, (2) the demands are realistic, (3) the outcome is non-violent, and (4) the deliberation is not dominated by privileged groups.
Engage in dialogue
This approach seeks to engage reformers in dialogue with those who are affected by the reform to generate public support for reform objectives. Instead of using one-way or monologic communication, which is sent from reformers to stakeholders, this approach uses a two-way model, by which information fl
 ows back and forth between the reformers

the various stakeholder groups. This approach allows affected stakeholders to voice their support or disapproval of the planned reforms. The techniques that can be used to implement this approach include the following: (1) provide citizens with easy access to information that explains the reform project, (2) communicate in language that is easily understandable, (3) use appropriate communication tools that reach the right people, (4) respond to citizens' demands and needs, and (5) gather suffi cient material resources to support the pro-reform campaign.

Use subsidiarity or small governance units.

This approach derives from the political philosophy that small governance units should exercise power. In other words, demand for governance should be instigated at the local level and inside relatively small units of governance.  The techniques that can be used to implement this approach include framing the governance issues in terms of the local setting, researching the local setting where governance reforms might be implemented, engaging in consultation with the marginalized members of society, communicating in language that is easily understandable, and providing citizens with training to face the risks of demanding better governance.

## Techniques

Research the local setting and frame the issues accordingly.

This technique advocates that proper research must be performed in order to understand the local setting where the reforms will be implemented. It is based on the understanding that reform-related work, whether by citizen instigation or in actual implementation, can only be properly carried out when the local context has been thoroughly understood. Additionally, instead of generalizing the governance issues under scrutiny, concerns may also be framed by taking into account nuances in the local context. This technique suggests that citizens should be allowed to congregate in physical spaces where they can receive information about governance and may engage in arguments and dialogue about issues related to governance. It is expected that such spaces will be useful for instigating demand for better governance.

Create physical spaces for argument, dialogue and dissemination of information about governance.
This technique recommends that citizens be organized into groups that are autonomous from the government and have the authority to scrutinize the governing authority to demand better governance.
Form citizen organizations that function autonomously from the government

This is a technique for ensuring that deliberations lead to constructive outcomes. It is geared toward controlling certain problems that might arise in deliberative environments, such as a deliberative opinion poll or a television program.

Mediate deliberation so that competing demands can be resolved, demands are realistic, outcomes are non-violent, and deliberation is not dominated by privileged groups.

Organize a 
Deliberative Poll®
This technique is a form of public consultation that uses randomly selected and representative groups of citizens to assess how public opinion would change if they became better informed and more engaged in an issue.  First, the sample is polled on a given issue. Then the participants are provided with additional background information on the issue. After deliberation, the sample is polled once again to assess any change in opinion. With a highly representative sample, the conclusions will likely be representative of a broader public that has become more informed. This technique of organizing a Deliberative Poll has certain salient features: First, the sample should be representative of the population from which it is drawn. Second, the Deliberative Poll leads to changes in public opinion on politics and policy. Third, opinion poll results are able to show that respondents gained information by participating in Deliberative Polling. Fourth, analysis can demonstrate that the change in public opinion is caused by the gain in information. Fifth, the change in public opinion, however, does not correlate with any socio-demographic factors, such as education and gender. Sixth, deliberation leads to stronger preferences, which are also called singlepeaked preferences. Seventh, the opinions of the pre-deliberation group do not get reinforced toward the extremes. Eighth, the group's opinion is not unduly infl
 uenced by the 
more privileged—because of education or income, for instance—members of the group.
Consult marginalized members of society.
This technique recommends that the pro-reform advocates keep in touch with those who are marginalized from mainstream society; for example, citizens who are illiterate. This approach will allow reformers to be aware of the demands of the marginalized members.
Train citizens to manage risk.
Provide citizens training to face the risks of demanding better governance. When citizens demand better governance, they are subject to various physical and psychological risks, such as the threat of attack from a corrupt politician.
Use media, such as television programs, for deliberation and dialogue.

This is a technique for creating deliberative environments within the media. For example, a television program like *Sanglap* in Bangladesh can be used as a forum where citizens can engage in dialogue with politicians and voice their opinions regarding governance. Similarly, radio and print can be used to raise the profi le of corruption as an issue that concerns people. A few principles should be followed when one creates such deliberative forums. First, these forums should maintain a neutral political platform so the debate can be constructive. Second, the participants have to be recruited carefully so that the group is somewhat representative of the larger population. Third, the population has to be researched regularly to determine the degree to which participation in such debates or dialogues leads to a continued practice of demanding accountability, and also to determine whether perceptions about the levels of government accountability have increased or remained unchanged.

## Theories Of Behavior Change Defi Ning Theories Of Behavior Change

Behavior change is oft en a goal for staff
  working directly with constituents, organizations, governments, or communities. Individuals charged with this task can be thought of as "interventionists" whose goal it is to design and implement programs or interventions that produce the desired behavioral changes1 (Glanz, Lewis, 
& Rimers, 1990, p. 17). As Glanz, Lewis, and Rimmers1 suggest, designing interventions to yield behavior is best done with an understanding of behavior change theories and an ability to use them in practice (1990, p. 19). Th e goal of this Gravitas, therefore, is to introduce three major theories of behavior change, describe the key variables of behavior change models, and to explore the link between behavior change and attitude.

## The Key Elements Of Behavior Change

Before exploring behavior change models in depth, it is important to understand the variables that are essential to the models. Below is a select list of the variables common to many behavior change models2 as well ways to maximize on these variables when attempting to evoke a behavior change.

| Key Element                                           | Defi                                 |  nition                                |
|-------------------------------------------------------|--------------------------------------|----------------------------------------|
| Threat                                                | A danger or a harmful event of which |                                        |
| people may or may not be aware.                       |                                      |                                        |
| Raise awareness that the threat exists, focusing on   |                                      |                                        |
| severity and susceptibility.                          |                                      |                                        |
| Fear                                                  | Emotional arousal caused by          |                                        |
| perceiving a signifi                                  | cant and                             |                                        |
| personally relevant threat.                           |                                      |                                        |
| Fear can powerfully infl                              | uence behavior and, if it is         |                                        |
| channeled in the appropriate way, can motivate people |                                      |                                        |
| to seek information, but it can also cause people to  |                                      |                                        |
| deny they are at-risk.                                |                                      |                                        |
| Provide evidence of examples that the recommended     |                                      |                                        |
| response will avert the threat.                       |                                      |                                        |
| Response Effi                                         | cacy                                 | Perception that a recommended response |
| will prevent the threat                               |                                      |                                        |
| from happening.                                       |                                      |                                        |
| (continued)                                           |                                      |                                        |
| Key Element                                          | Defi                                          |  nition                                | Strategies for Behavior Change   |
|------------------------------------------------------|-----------------------------------------------|----------------------------------------|----------------------------------|
| Raise individuals' confi                             | dence that they can perform                   |                                        |                                  |
| response and help ensure they can avert the threat.  |                                               |                                        |                                  |
| Self-Effi                                            | cacy                                          | An individual's perception of or confi | dence                            |
| in their ability to perform a recommended            |                                               |                                        |                                  |
| response.                                            |                                               |                                        |                                  |
| Be aware of physical or cultural barriers that might |                                               |                                        |                                  |
| exist, attempt to remove barriers.                   |                                               |                                        |                                  |
| Barriers                                             | Something that would prevent an               |                                        |                                  |
| individuals from carrying out a                      |                                               |                                        |                                  |
| recommended response.                                |                                               |                                        |                                  |
| Benefi                                               | ts                                            | Positive consequences of performing    |                                  |
| recommended response.                                |                                               |                                        |                                  |
| Communicate the benefi                               | ts of performing the                          |                                        |                                  |
| recommended response.                                |                                               |                                        |                                  |
| Subjective Norms                                     | What an individual thinks other people        |                                        |                                  |
| think they should do.                                |                                               |                                        |                                  |
| Understand with whom individuals are likely to       |                                               |                                        |                                  |
| comply.                                              |                                               |                                        |                                  |
| Attitudes                                            | An individual's evaluation or beliefs about a |                                        |                                  |
| recommended response.                                |                                               |                                        |                                  |
| Measure existing attitudes before attempting to      |                                               |                                        |                                  |
| change them.                                         |                                               |                                        |                                  |
| Intentions                                           | An individual's plans to carry out the        |                                        |                                  |
| recommended response.                                |                                               |                                        |                                  |
| Determine if intentions are genuine or proxies for   |                                               |                                        |                                  |
| actual behavior.                                     |                                               |                                        |                                  |
| Provide communication that might trigger individuals |                                               |                                        |                                  |
| to make decisions.                                   |                                               |                                        |                                  |
| Cues to Action                                       | External or internal factors that help        |                                        |                                  |
| individuals make decisions about a                   |                                               |                                        |                                  |
| response.                                            |                                               |                                        |                                  |
| Reactance                                            | When an individual reacts against a           |                                        |                                  |
| recommended response.                                |                                               |                                        |                                  |
| Ensure individuals do not feel they have been        |                                               |                                        |                                  |
| manipulated or are unable to avert the threat.       |                                               |                                        |                                  |

## Major Theories Of Behavior Change 1. Social Cognitive Th Eory3,4

Behavior
Personal factors
Environmental

 Bandura's Social Cognitive Th eory proposes that people are driven not by inner forces, but by external factors. Th is model suggests that human functioning can be explained by a triadic interaction of behavior, personal and environmental factors (see fi gure 1). Th is is oft en known as reciprocal determinism. Environmental factors represent situational infl uences and environment in which behavior is preformed while personal factors include instincts, drives, traits, and other individual motivational forces. Several constructs underlie the process of human learning and behavior change.3 
Th ese variables may also intervene in the process of behavior change4.

 eory Research and Practice. San 
Francisco, CA: Jossey-Bass.
 
- Self-effi
  cacy - A judgment of one's ability to perform the behavior.
 
-  
Outcome Expectations - A judgment of the likely consequences a behavior will produce. Th
 e 
importance of these expectations (i.e., *expectancies)* may also drive behavior.
 
-  
Self-Control - Th
 e ability of an individual to control their behaviors.
 
-  
Reinforcements - Something that increases or decreases the likelihood a behavior will continue.
 
-  
Emotional Coping - Th
 e ability of an individual to cope with emotional stimuli.
 
-  
Observational Learning - Th
 e acquisition of behaviors by observing actions and outcomes of 
others' behavior.
How can this theory inform your practice?

 
-  
To increase levels of self-effi
  cacy it may be important to provide resources and support to raise 
individual confi
 dence. Others have suggested that to raise self-effi
  cacy behavior change should be 
approached as a series of small steps.4
 
-  
Bandura3 writes that even when individuals have a strong sense of effi
  cacy they may not perform 
the behavior if they have no incentive. Th
 is seems to suggest that if we are interested in getting 
others to enact behavior change it may be important to provide incentives and rewards for the behaviors.
 
-  
Shaping the environment may encourage behavior change. Th
 is may include providing opportunities for behavioral change, assisting with those changes, and off
 ering social support.4 It is important 
to recognize environmental constraints that might deter behavior change.
2. Th
 eory of Planned Behavior5,6,7
 Th e theory of planned behavior 
(fi gure 2) suggests that behavior is dependent on one's intention to perform the behavior. 

Intention is determined by an individual's *attitude* (beliefs and values about the outcome of the behavior) and subjective norms (beliefs about what other people think the person should do or general social pressure). 

Behavior is also determined by an individual's perceived behavioral control, defi ned as an individual's perceptions of their ability or feelings of self-effi
  cacy to perform behavior. Th is relationship is typically dependent on the type of relationship and the nature of the situation.

How can this theory inform your practice?

 
-  
Intention has been shown to be the most important variable in predicting behavior change, suggesting 
that behaviors are oft
 en linked with one's personal motivation.8 Th
 is suggests that it may be important 
to present information to help shape positive attitudes towards the behavior and stress subjective norms or opinions that support the behavior.
 
-  
For perceived behavioral control to infl
 uence behavior change, much like with self-effi
  cacy, a person must perceive that they have the ability to perform the behavior. Th
 erefore, as Grizzel7 suggests, 
perceived control over opportunities, resources, and skills needed is an important part of the change process.
3. Transtheoretical (Stages of Change) Model9
 Th e transtheoretical model (fi gure 3) proposes change as a process of six stages. 

Precontemplation is the stage in which people are not intending to make a change in the near future (oft en defi ned as the next 6 months). *Contemplation* 
is the stage where people intend to change (within the next 6 months). People in this stage are aware of the pros of changing but also can identify the cons. 

Preparation represents the stage where people have a plan of action and intend to take action in the immediate future (within a month). *Action* is the stage in which people make the behavior change and *maintenance* represents the stage where people work to prevent relapse. Finally, *termination* represents that stage where individuals have 100 percent effi
  cacy and will maintain their behavior. 

Th is stage is the most diffi
  cult to maintain, so many people remain a lifetime in maintenance.

How can this theory inform your practice?

 
-  
It is essential to match behavior change interventions to people's stages. For 
example, if an individual is in the precontemplation stage it is important to raise their awareness about a behavior in order for them to contemplate making a behavior change.
 
-  
Without a planned intervention, people will remain stuck in the early stages 
due to a lack of motivation to move through the stages. Prochaska, Johnson, 
and Lee7 suggest a series of activities that have received empirical support, 
which help individuals progress through the stages:
 
-  
Consciousness-Raising - increasing awareness of the causes (providing 
educational materials, confrontation, media campaigns, feedback, etc.)
 
-  
Dramatic Relief - producing an emotional experience which is followed by a reduced aff
 ect if some 
action can be taken (personal testimonies, media campaigns, drama)
 
-  
Self-reevaluation - inviting individuals to make cognitive and emotional assessments of their self 
image (clarify values, provide healthy models, using imagery)
 
-  
Environmental reevaluation - assessments of how the presence or absence of a behavior might 
impact one's social environment (documentaries, personal stories, family interventions)

## What If Attitude Change (As Opposed To Behavior) Is Your Goal?

Behavior change may not always be your goal. It may become a priority to change attitude or public opinion about some issue. You might also wish to change attitude before behaviors. Whatever your goal, it is important to understand how individuals adopt attitudes. Existing research is also helpful in defi ning the process of attitude change.

## Conceptualizing Attitude

Scholars Zanna and Rempel10 view attitude as having many causes. Th ey view attitude not as something stable or predisposed to the individual, but as something that might change based on internal or external cues. Figure 4 illustrates how attitude is generated from cognition (a source of information), aff ect (feeings, emotions associated with an object that can infl uence attitude), and past behaviors. Individuals evaluate new sources of information against previous or other information and evaluate it as favorable or unfavorable.

## Considerations For Changing Attitude (Zanna & Rempel, 1998)

When presenting information to change attitudes it is important that the information is consistent and congruent so that individuals can form a single attitude about an object.10

 
-  
When attempting to change attitudes it may be 
advantageous for persuaders to use multiple methods. Th
 ese methods may include a) disseminating information, b) including messages that are high in aff
 ect or emotion, or c) messages that connect attitudes to past behaviors.10
 
-  
Since individual characteristics are usually stable over time, Herek11 suggests that eff
 orts should 
focus on changing perceptions about groups or objects and creating situations that will foster attitude 
change. Herek also suggests "priming" whereby situational factors prime a person to be more receptive to a message (for example, asking about a related issue for which the individual might hold a 
favorable position).
 
-  
Remember that attitude may not directly cause a behavior change! Kim and Hunter12 showed that 
behavior intent acts as a mediator in attitude-behavior relationships. Behavioral intent is someone's willingness to engage to various behaviors. Th
 is implies that when striving to change attitudes (and 
eventually behaviors) it is important to stress the benefi
 ts of performing the behavior, the social 
appropriateness of performing the behavior, and positive aff
 ect for the behavior.12

## Theories Of Behavior Change

Th is resource guide is designed to provide additional information on the theories of behavior change. Th is guide provides additional journal articles, books, and useful websites on behavior change that off er a more in-depth understanding of the concept.

## Journal Articles On The Topic Of Attitude And Behavior Change Attitude Change

 
-  
Ajzen, I., & Fishbein, M. (1977). Attitude-behavior relations: A theoretical analysis and review of 
empirical research. *Psychological Bulletin, 84,* 888–918.
 
-  
Farr, A.C., Witte, K., Jarato, K., & Menard, T. (2005). Th
 e Eff
 ectiveness of Media Use in Health Education: Evaluation of an HIV/AIDS Television Campaign in Ethiopia. Journal of Health Communication, 10(3), 225–235.
 
-  
Katz, D. (1960). Th
 e functional approach to attitudes. *Public Opinion Quarterly, 24,* 163–204.
 
-  
Kendrick, A., & Fullerton, J. A. (2004). Advertising as Public Diplomacy: Attitude Change among 
International Audiences. *Journal of Advertising Research, 44*(3), 297–311.
 
-  
Zanna, M. P. & Rempel, J. K. (1988). Attitudes: A new look at an old concept. In D. Bar-Tal & A. W. 
Krug-lanski (Eds.), Th
 e social psychology of knowledge (pp. 315–334). Cambridge, UK: Cambridge 
University Press.

## Theory Of Planned Behavior

 
-  
Ajzen, (1991). Th
 e theory of planned behavior. Organizational Behavior and Human Decision Processes, 50, 179–211.
 
-  
Godin, G., & Kok, G. (1996). Th
 e theory of planned behavior: A review of its applications to healthrelated behaviors. *American Journal of Health Promotion, 11,* 87–98.
 
-  
Lee, H., Ebesu Hubbard, A., O'Riordan, C.K., & Kim, M. (2006). Incorporating Culture into the Th
 eory of Planned Behavior: Predicting Smoking Cessation Intentions among College Students. Asian 
Journal of Communication, 16(3), 315–332.
 
-  
Welbourne, J., & Booth-Butterfi
 eld, S. (2005). Using the Th
 eory of Planned Behavior and a Stage 
Model of Persuasion to Evaluate a Safety Message for Firefi
 ghters. *Health Communication, 18*(2), 
141–154.

## Social Cognitive Theory

 
-  
Bandura A. (1977b). Self-effi
  cacy: Toward a unifying theory of behavioral change. Psychological 
Review, 84: 191–215.
 
-  
Bandura, A. (1982). Self-effi
  cacy mechanism in human agency. *American Psychologist, 37*(122–147).
 
-  
Wood, R., & Bandura, A. (1989). Social Cognitive Th
 eory of Organizational Management Th
 e A 
cademy 
of Management Review, 14(3), 361–384.

## Stage Theories

 
-  
Fava, J. L., Velicer, W. F., & Prochaska, J. O. (1995). Applying the Transtheoretical Model to a representative sample of smokers. *Addictive Behaviors, 20,* 189–203.
 
-  
Prochaska, J. O., Diclemente, C. C, & Norcross, J. C. (1992). In search of how people change. American 
Psychologist, 47, 1102–1114.
 
-  
Prochaska, J. O., Johnson, S. S., & Lee, P. (1998). Th
 e transtheoretical model of behavior change. IN 
E. Schron, J. Ockene, S. Schumaker, & W. M. Exum (Eds.), Th
 e handbook of behavioral change (2nd. 
Ed.) New York, NJ: Springer.
 
-  
Weinstein, N. D. Rothman, A. J., & Sutton, S. R. (1998). Stage theories of health behavior: Conceptual 
and methodological issues. *Health Psychology, 17,* 290–299.

## Books On Attitude And Behavior Change

 
-  
Bandura A. (1986). Social Foundations of Th
 ought and Action: A Social Cognitive Th
 eory. Englewood 
Cliff
 s, NJ: Prentice Hall.
 
-  
Bandura, A. (1997). Self-effi
  cacy: Th
 e exercise of control. New York: Freeman.
 
-  
Glanz, K., Rimer, B. K. & Lewis, F. M. (2002). Health Behavior and Health Education. Th
 eory, Research 
and Practice. San Fransisco: Wiley & sons.

## Websites Focusing On Behavior Change Theory

 
-  
Albert Bandura Biographical Sketch Th
 is site, designed by F. Pajares (2004) provides a complete biographical sketch of Albert Bandura and 
information about his work on social cognitive theory.
 
 
http://des.emory.edu/mfp/bandurabio.html
 
- Cancer Prevention Research Center


One of the originators of the Transtheoretical or Stages of Change Model serves as director of the Cancer 
Prevention Research Center. Th
 is site provides one of the best overviews of the Transtheoretical model.
 
 
http://www.uri.edu/research/cprc/transtheoretical.htm
 
- Communication Initiative Network


Th
 is group hosts an online site for connecting with people and organizations using communication as 
a strategy for economic/social development and change. Th
 is site describes many of the major behavior change theories as well as provides current research and information.
 
 
http://www.comminit.com/
 
- Icek Ajzen's Website Personal website of Icek Aizen, originator of the Th
 eory of Planned Behavior. Website contains full list 
of publications as well us resources for use of the Th
 eory of Planned Behavior. 
 
 
http://www.people.umass.edu/aizen/

## Social Norms And Communication Influence

Social norms can be understood as either "what most people think and do" or, alternatively, "what individuals believe most people think and do." As such, social norms are about what's considered normal or ought to be normal in a given context and situation. Stated diff erently, norms refl ect real or perceived majority opinion and behavior.

Social norms exert infl uence on people's attitudes and behavior. Th is infl uence is strongest when individuals are uncertain about the "right way" to think and/or act. In these situations, people tend to survey their social and physical environments for attitudinal and behavioral cues or consider what they believe others think they should do. While the research literature includes many types of norms and discusses them from various perspectives, the intersection of social psychology and communication provides promising opportunities for increased understanding of the ways in which norms operate on the ground. Th e reason for this is simple: for norms to exert social infl uence, they must be communicated between and among people.

## Defi Nitions

Formally, "norms are of an informational nature, they help to understand and defi ne situations and specifi c events within that situation."1 Norms spread through social interaction; they ". . . are social phenomena propagated among group members through communication."2
It is important to diff erentiate between *actual* and *perceived norms*. Actual norms (or what some scholars refer to as "collective norms") are codes of conduct that are, in reality, shared by the group, community, or culture. Th ese types of norms indicate which behaviors members of a group can and should enact, and emerge through interaction among members of a group or collective. Since collective norms are rarely codifi ed, they are open to misrepresentation and misperception by individuals. Th e fact that actual norms are oft en misinterpreted underscores the importance of perceived norms, which are individuals' interpretations, oft en incorrect,3 of prevailing collective or actual norms.

Social science researchers have made various attempts to study and change perceived norms, whether to bring them more in line with actual norms4 so that people are better informed or to persuade people to avoid risky behavior, such as binge drinking or illicit drug use. Studies have found that infl uencing two types of norms is particularly eff ective in eff orts toward changing people's attitudes and behavior: injunctive and descriptive norms.5 Understanding these types of norms leads to practical options in craft ing persuasive messages and harnessing the power of normative infl uence. Injunctive norms refer to people's beliefs about what "ought to be done."6 Individuals act in accordance with that norm out of fear of social sanctions. Similar to injunctive norms are what some scholars call 
"subjective norms,"7 which are essentially what others (particular people deemed important by the individual) think ought to be done.



Descriptive norms, in contrast, do not refer to what individuals think ought to be done, but what 
most people do. As such, these norms merely "describe" what may be popular in the social environment. More specifi
 cally, these are based on perceptions of what is done by most members of one's 
social group. Unlike injunctive norms, there are typically no social sanctions for non-compliance with descriptive norms.

## Norms And Behavior

It is no surprise that human action is guided, in large part, by perceptions of the popularity of certain behaviors. Key determinants of whether an individual will engage in a behavior is whether others also engage in that behavior (descriptive norm) and/or whether others believe one should engage in the behavior (injunctive norm). Taking stock of one's social environment helps individuals live their day-to-day lives more effi
  ciently, but it can also lead to the adoption of negative behaviors. Nevertheless, evidence suggests that conforming to social norms is oft en a good choice because "collective wisdom tends to serve the individual, and the group, well."8 Norms aid people in decision making by allowing them to take into account what most people do or what the majority thinks should be done. By following the group, we are able to make decisions more quickly, reduce our own anxiety, and on balance, make fewer mistakes because what most people usually do is likely to be socially acceptable behavior. Th e infl uence of these descriptive norms on behavior is stronger when they are in line with injunctive norms. Th is is not to say that what is "usually done" is morally or ethically sound, important judgments which are beyond the scope of this paper.

Research has found that the infl uence norms exert on behavior is either strengthened or weakened by the following factors: outcome expectations; group identity; and ego involvement.9



Outcome expectations refer to the belief that a specifi
 c behavior will lead to desired benefi
 ts. Roughly 
speaking, these expectations are based on a weighing of the costs and benefi
 ts associated with behaving in a certain way: "when the high prevalence of a behavior is accompanied by beliefs that the behavior results in signifi
 cant benefi
 ts, individuals are more likely to engage in the behavior."10


Group identity: When individuals feel connected to a group, the descriptive norms of that "reference 
group" infl
 uence how they act. Conformity with group norms is likely because it makes people feel 
good (also called positive aff
 ect). In addition, it is assumed that if one does not act in accordance with 
the norm, this will be known by other members of the group, leading to ostracism and social sanctions.


Ego involvement refers to the extent to which a person's sense of self (or self-concept) is related to one's 
position on a particular issue. When a certain behavior is strongly associated with one's self-concept, descriptive norms have more infl
 uence on behavior.

## Norms And Communication

Communication is directly relevant to "formulating perceptions about norms" (e.g., people judge from what they see in the media how prevalent a behavior is).11 It is also reasonable to argue that the very basis of norm adoption is communication, which acts "as a 'conduit of infl uence.'"12 People base their behavioral decisions on perceived social support or opposition communicated through the social environment.

However, people oft en misperceive norms, and the extent of this misperception is aff ected by the extent of interpersonal communication among people about a given norm.13 Incorrect information about true collective norms is oft en circulated through interpersonal communication, and "individual communication patterns play a key role in the development of normative perceptions."14

Communication approaches applicable to the spread of norms in society include the following: Cultivation Th
 eory; Diff
 usion of Innovations; Social Cognitive Th
 eory; and Uncertainty Reduction Th
 eory.


Social Cognitive Th
 eory15: Individuals learn about behaviors through exposure and attention to media 
messages.


Cultivation Th
 eory: Exposure to media messages, over time, aff
 ects the perceived prevalence of certain 
actions.16 For example, heavy television viewers, compared to light viewers, assume that behaviors 
most oft
 en depicted on television are indeed most prevalent in society.17


Diff
 usion of Innovations18: Most people learn about new ideas and behaviors from individuals they 
consider knowledgeable and credible (also called "opinion leaders"). Interpersonal communication is therefore crucial in the spread and wide adoption of norms.
 eory, 15(2), 127–147.


Uncertainty Reduction Th
 eory19,20: People fi
 nd the experience of uncertainty unpleasant and are motivated to reduce it through interpersonal communication. An important "factor which reduces uncertainty between communicators is the degree of similarity individuals perceive in each other (e.g., 
background, attitudes, and appearance).21 

## Changing Norms Through Communication Infl Uence

Changing norms through communication campaigns is most prevalent in the health communication literature. Examples revolve around eff orts to reduce risky behavior, such as binge drinking, smoking, and unsafe sexual practices. Guided by what we have learned about the links between communication and normative infl uence, these communication campaigns are oft en designed to "correct misperceptions about the prevalence of behaviors with the belief that correcting these misperceptions will result in behavior change."22 For a review of communication campaigns targeting descriptive norms, please see Borsari & Carey.23
Th e same authors24 carried out a meta-analysis of 23 studies on the role of norms in alcohol consumption at the college level in the United States. Communication campaigns have sought to change norms of students who, in general, initially tend to believe that most of their peers drink more than they do or think that it's socially acceptable to do so. Here are some promising results:

 
-  
Communication campaigns were able to reduce the perception among college students that most others drink more than they do (changing descriptive norms).
 
-  
Communication campaigns that targeted descriptive norms reduced self-reported alcohol use (changing self-reported behavior through changing descriptive norms).
 
-  
A month aft
 er exposure to a communication campaign targeting students who live in dormitories and 
fraternities/sororities, these students self-reported decreases in perceived approval of drinking among 
friends and the "typical student"25 (changing injunctive norms).
 
-  
Perceived norms about groups whose members are deemed similar to oneself (a sense of shared or group identity) are more infl
 uential in attitude and behavior change than perceived norms about 
groups which are considered diff
 erent.
20 Berger, C. R. & Calabrese, R. (1975). Some explorations in initial interactions and beyond: Toward a development theory of 
interpersonal communication. *Human Communication Research, 1,* 99–112.
21 http://www.tcw.utwente.nl/theorieenoverzicht/Th
 eory%20clusters/Interpersonal%20Communication%20and%20Relations/
Uncertainty_Reduction_Th
 eory.doc/
22 Berkowitz, A. D. (2004), as cited in Lapinski, M. K. & Rimal, R. N. (2005, p. 137). An explication of social norms. Communication Th
 eory, 15(2), 127–147.
23 Borsari, B. & Carey, K. B. (2001). Peer infl
 uences on college drinking: A review of the research. *Journal of Substance Abuse, 13*, 
391–424.
24 Borsari, B. & Carey, K. B. (2003). Descriptive and injunctive norms in college drinking: A metaanalytic integration. Journal of 
Studies on Alcohol, 64, 331–341.
25 Barnett et al. (1996), as cited in Borsari & Carey (2003). Descriptive and injunctive norms in college drinking: A metaanalytic 
integration. *Journal of Studies on Alcohol, 64*, 331–341.

## Opinion Leadership Defi Nitions

"…the degree to which an individual is able informally to infl uence other individuals' attitudes or overt behavior in a desired way with relative frequency. Opinion leaders are individuals who lead in infl uencing others' opinions about innovations. Th e behavior of opinion leaders is important in determining the rate of adoption of an innovation in a system." (Roger, 2003, p. 130)
"What we shall call opinion leadership, if we may call it leadership at all, is leadership at its simplest: it is casually exercised, sometimes unwitting and unbeknown, within the smallest grouping of friends, family members, and neighbors. It is not leadership on the high level of Churchill, nor of a local politico; it is the almost invisible, certainly inconspicuous form of leadership at the person-to-person level of ordinary, intimate, informal, everyday contacts" (Katz & Lazarsfeld, 1955, p. 138)
"Opinion leadership is not really leadership in its common meaning and connotations. Opinion leader is not an authoritative, charismatic or leading fi gure but rather a position of an expert among his or her peers, a source of advice on a particular issue or subject." (Weimann, 1994, p. 75)
"
An opinion leader is defi ned as an individual who serves as a source of information for a wide range of individuals and shapes the opinion of many." (Jaccard & Levinson, 1995)

## Further Explanation

Th e idea of opinion leadership grew out of a context where mass media scholars were skeptical about the ability of the mass media to directly infl uence the public, as the hypodermic needle model had asserted. An alternative explanation was provided by the two step fl ow model, which developed out of a 1940 presidential election study in Erie County, Ohio. Th e fi ndings of this study, reported in a publication titled *People's Choice* 
(Lazarsfeld, Berelson, and Gaudet, 1944), highlighted three important points that were later outlined by Katz (1957). First, most people who had changed their political support during the election campaign cited personal infl uence as the primary reason for their decisions. Second, "the fl ow of personal infl uence was activated by certain individuals who were to be found on every level of society and, presumably, were very much like the people whom they infl uenced" (Weimann, 1994, p. 12). Th ird, the opinion leaders who had infl uenced the other voters were more exposed to the mass media, so the researchers concluded that "ideas oft en fl ow from radio and print to opinion leaders and from them to the less active sections of the population." (Lazarsfeld, Berelson, and Gaudet, 1944, p. 51)

## Opinion Leadership

Merton (1949), based on a study conducted in New Jersey, classifi ed the opinion leaders into the following dichotomies. First, the real and potential opinion leaders. Second, the local and cosmopolitan opinion leaders. Th ird, the monomorphous and polymorphous opinion leaders (or those who exercise their infl uence in a limited number of spheres and variety of spheres respectively). 

Katz (1957) explained that "infl uence is related (1) to the personifi cation of certain values (who one is); (2) 
to *competence* (what one knows); and (3) to *strategic social location* (whom one knows)." (p. 73) For example, as Katz mentioned, young unmarried girls are fashion leaders because of their youthfulness (or who they are), which is highly valued; older women are marketing advisers due to their experience (what they know); and gregarious people are leaders because they know a lot of people.

Weimann (1994) outlined the salient characteristics of opinion leaders. First, opinion leaders are usually more knowledgeable about and interested in their area of expertise than non-leaders, although intelligence is not a good predictor of opinion leadership. Second, opinion leaders are usually more cosmopolitan. Th ird, opinion leaders are usually early adopters of innovations. Also, "when the opinion leaders are also the innovators they tend to be more venturesome, less dogmatic." (Weimann, 1994, p. 77) Fourth, opinion leaders have a more "independent and individualistic approach based on their knowledge, status, and self-confi dence" than non-leaders (Weimann, 1994, p. 79). Fift h, opinion leaders are more gregarious and sociable than non-leaders. Sixth, opinion leaders have high social accessibility and they are positioned at the center of their social networks. Seventh, opinion leaders "enjoy social recognition, comprising credibility, trustworthiness, and confi dence" (Weimann, 1994, p. 83). 

Th e traditional method of identifying opinion leaders, as mediating the fl ow of information between the media and the masses, was criticized because it stressed on the limited direct eff ects of mass media. Th at is, critics argued that mass media do have signifi cant direct eff ects. Other criticism included creating a neat division between the leaders and non-leaders and ignoring the possibility that the information could fl ow through multiple steps instead of being a two-step fl ow. 

Th is criticism and the realization that a more sophisticated method of measuring opinion leadership was required led to the development of the Strength of Personality Scale (PS) by the German scholar Elisabeth Noelle-Neumann at the Allensbach Institute. Th is scale includes ten items that are weighted according to their part-whole correlations with the total scale. 

| Item                                                           | Weight of Yes                                  |   Weight of No |
|----------------------------------------------------------------|------------------------------------------------|----------------|
| 1) I usually count on being successful in everything I do      | 13                                             |              7 |
| 2) I am rarely unsure about how I should behave                | 14                                             |              7 |
| 3) I like to assume responsibility                             | 15                                             |              7 |
| 4) I like to take the lead when the group does things together | 17                                             |              8 |
| 5) I enjoy convincing others of my opinions                    | 15                                             |              7 |
| 6) I often notice that I serve as a model for others           | 16                                             |              8 |
| 7) I am good at getting what I want                            | 14                                             |              7 |
| 8) I am often a step ahead of others                           | 18                                             |              9 |
| 9) I own many things others envy me for                        | 15                                             |              9 |
|                                                                | 10) I often give others advice and suggestions |             12 |

Maximum Score: 149 Minimum Score: 75
Measurements using this scale, reported by Weimann (1994) revealed that those ranking high on PS had the following characteristics:

 
1. Th
 ey are strong communicators of information 
 
2. Th
 ey are located at the center of their social networks
 
3. Th
 ey read more books and newspapers
 
4. Th
 ey participate in sports
 
5. Th
 e spend more time with friends
 
6. Th
 ey go for more trips
 
7. Th
 ey go to the movies, theaters, and concerts more oft
 en
However, higher PS individuals do not watch more television or listen to more radio. Also, there isn't suffi cient empirical evidence for the hypothesis that those with high PS scores play a role in agenda setting. 

## Examples

Th e following are some highlights from research on opinion leadership:

 
1.  
Research by Jaccard & Levinson (1995) "applied the construct of opinion leadership to the health area 
of AIDS. Approximately 290 college students completed a questionnaire that identifi
 ed individuals 
whom peers tended to use as sources of information about AIDS. Th
 e results showed that, among 
men, the AIDS opinion leaders tended to have a larger number of sexual partners than their nonleader counterparts and that they were no more likely to practice safer sex or be more knowledgeable about safer sex. Female AIDS opinion leaders tended to engage in less sexual activity than their nonleader counterparts, but showed a greater reluctance to communicate with men about condom use. In addition, female AIDS opinion leaders were neither more knowledgeable about safer sex nor more likely to engage in safer sex than were their nonleader counterparts."
 
2.  
Research by Summers (1970) found that opinion leaders in the arena of women's fashion have the following characteristics: emotional stability, assertiveness, likeability, organizational involvement, and self confi
 dence. Also, these opinion leaders were younger and had higher socio-economic status. 
 
3.  
Weimann (1994) listed a number of studies that have reported the importance of personal infl
 uence 
in spreading information related to product marketing.
 
4.  
A study by Hellevik and Bjorklund (1991) reported that the majority of opinion leaders in politics 
held extreme political views. 
 
5.  
A study by Rosario (1971) reported that opinion leaders in the domain of family planning usually possessed the following characteristics. First, they are more sensitive than non-leaders to the information pertaining to that domain. Second, they are more knowledgeable about that domain. Th
 ird, they are 
more outgoing and sociable. Fourth, their knowledge is considered credible by non-leaders.
 
6.  
A study, by Crane (1972), of Rural Sociology literature revealed that only 6 out of 203 authors produced 52 % of the innovations in the fi
 eld, so they were clearly the opinion leaders infl
 uencing the rest 
of the fi
 eld.
 
7.  
Research by Kelly (1990, 1991) reported that intervention through opinion leaders decreased high risk behavior among members of a HIV prone community.

## Selected References

Weimann, G. (2004). Th
 e infl
 uentials: People who infl
 uence people. Albany, NY: SUNY Press.
Katz, E. (1957). Th
 e two step fl
 ow of communication: An up-to-date report on an hypothesis. Public Opinion Quarterly, 21, 61–78.
Katz, E. & Lazarsfeld, P. F. (1955). Personal Infl
 uence. New York: Th
 e Free Press.
Summers, J. O. (1970). Th
 e identity of women's clothing fashion opinion leadership. Journal of Marketing Research, 
7, 178–185.
Rosario, F. Z. (1971). Th
 e leader in family planning and the two-step fl
 ow model. Journalism Quarterly, 48, 288–297.

## Intercultural Communication Defi Ning Intercultural Communication

Intercultural communication takes place when individuals infl uenced by diff erent cultural communities negotiate shared meanings in interaction.1 What counts as intercultural communication depends in part on what one considers a culture, and the defi nition of culture itself is quite contestable. Some authorities limit the term "intercultural communication" to refer only to communication among individuals from diff erent nationalities.2 Other authorities, in contrast, expand the notion of intercultural communication to encompass inter-ethnic, inter-religious, and even inter-regional communication, as well as communication among individuals of diff erent sexual orientations.3,4
In this sense, all interactions can be arrayed along some continuum of "interculturalness."5 Interactions are most highly intercultural when individuals' *group identities* are most salient in determining the values, prejudices, language, nonverbal behaviors, and relational styles upon which those individuals draw. To the degree that interactants are drawing more on *personal* or idiosyncratic values, personality traits, and experiences, the interaction can be characterized as more interpersonal than intercultural. When individuals from diff erent cultural backgrounds become more intimate, their interactions typically move along the continuum from more intercultural to more interpersonal, though intercultural elements may always play a role. For casual or business communication, sensitivity to intercultural factors is key to success.

## Communication And Group Identity

Traditional theories of group identity recognize two types of group identity:6

 
1.  
Ascribed identity is the set of demographic and role descriptions that *others* in an interaction assume 
to hold true for you. Ascribed identity is oft
 en a function of one's physical appearance, ethnic connotations of one's name, or other stereotypical associations.
4 
Samovar, L. A., & Porter, R. E. (2004). *Communication between cultures*, 4th ed. Belmont, CA: Wadsworth Press.
5 
Gudykunst, W. B., & Kim, Y. Y. (2003). *Communicating with Strangers*, 2nd ed. Boston: McGraw Hill.
6 
Collier, M. J. (1997). Cultural identity and intercultural communication. In L.A. Samovar and R.E. Porter (Eds.), Intercultural 
communication: A reader, 8th ed., 36–44. Belmont, CA: Wadsworth Press.
 
2.  
Avowed identity is comprised of the group affi
  liations that one *feels* most intensely. For example, if an 
individual is assimilated into a new culture, then the values and practices of that destination culture will fi
 gure importantly in her avowed culture. A related concept is **reference group**. A reference group 
is a social entity from which one draws one's avowed identity. It is a group in which one feels competent and at ease.
Ascribed and avowed identity are important for understanding intercultural communication, because a person from another culture usually communicates with you based on your ascribed identity; that is how you are being perceived by that other person. But sometimes your avowed identity—the groups with which you really feel a sense of comfort and affi
  liation—diverges from that ascribed identity. In such cases, the interaction is bound to be frustrating for both parties.

Recently, many identity theorists have moved toward a Communication Th eory of Identity (CTI)7 or related ideas. According to this perspective, your cultural group membership is not a static label or fi xed attribute. Rather, cultural identities are *enacted* or performed through interaction. One enacts identity through choice of language, nonverbal signs such as gesture and clothing, and discourse strategy. Depending on the situation and on your goals, you may enact identity in very diff erent ways on diff erent occasions. 

Cultural identity performances can vary along three dimensions:8

 
-  
Scope of Identity Performance—How many aspects of one's behavior express cultural identity? For 
example, one may choose to eat a few ethnic-related foods, but reject ethnic dress. Or one may allude to national myths or sagas in speaking just with co-nationals, or may tell such stories at diverse occasions among diverse listeners.
 
-  
Intensity of Identity Performance—How powerfully does one enact one's identity? One may note in 
passing one's national origin, or one may make a point of proclaiming the centrality of national origin at every opportunity.
 
-  
Salience of Identity Performance—How obvious are the cultural elements of identity in one's daily 
routines? Ethnic dress, insistence on using one's fi
 rst language over the host national language, or reliance solely on ethnic mass media are all ways in which one asserts identity.

## Intercultural Communication Competence And Ethnocentrism

What does it mean to be a competent communicator across cultures, and what are the elements or components of that competence? Some authorities link intercultural competence with identity; the competent communicator is the person who can affi
  rm others' avowed identities.9 Other notions of intercultural competence focus on the communicator's goal attainment; the competent communicator is the person who can convey a sense of communication appropriateness and eff ectiveness in diverse cultural contexts.10 
Certainly profi ciency in the host culture language is valuable for intercultural competence. But it is not enough to know the grammar and vocabulary of that language; the competent communicator will also understand **language pragmatics** like how to use politeness strategies in making requests or how to avoid giving out too much information.11 Equally important, competent communicators are sensitive to nonverbal communication patterns in other cultures.12 In addition to avoiding insults and gaff es by using gestures that may mean very diff erent things in a host culture as opposed to one's home culture, competent communicators understand how to use (or avoid) touch, proximity in physical space, and paralinguistic sounds to convey their intended meanings.

Traits that make for competent intercultural communicators include fl exibility and the ability to tolerate high levels of uncertainty,13 refl ectiveness or mindfulness,14 open-mindedness, sensitivity, adaptability, and the ability to engage in divergent and systems-level thinking.15
Th e foundation of intercultural communication competence is the capacity to avoid **ethnocentrism**. 

Ethnocentrism is the inclination to view one's own group as natural and correct, and all others as aberrant. 

We tend to think prescriptively, that all groups should behave as our own group behaves. And we are naturally proud of our own group and distrustful of others.16 Obviously a person who is highly ethnocen tric cannot adapt to diverse people, and cannot communicate in an interculturally competent manner.

Some authorities hold that some degree of ethnocentrism is inevitable, and even functional for the preservation of distinct cultural groups. Competent communicators simply learn to suppress their natural ethnocentric reactions in order to better understand others on their own terms.17 Alternatively, it may be possible for individuals to evolve beyond ethnocentrism, to become ethnorelativistic. Th e Developmental Model of Intercultural Sensitivity (DMIS)18 is frequently used in intercultural training and assessment to chart individuals' progress toward ethnorelativism. Th e model posits six stages:

 
1.  
Denial—Th
 e individual refuses to acknowledge cultural diff
 erences.
 
2.  
Defense—Th
 e individual begins to see cultural diff
 erences and is threatened by them.
 
3.  
Minimization—While individuals at this stage do acknowledge cultural diff
 erences, they see human 
universals as more salient than cultural distinctions.
 
4.  
Acceptance—Th
 e individual begins to accept signifi
 cant cultural diff
 erences fi
 rst in behaviors, and 
then in values.
 
5.  
Adaptation—Th
 e individual becomes more adept at intercultural communication by shift
 ing perspectives to the other's cultural world view.
 
6.  
Integration—Individuals at this stage begin to transcend their own native cultures. Th
 ey defi
 ne their 
identities and evaluate their actions in terms of multiple cultural perspectives.
12 Anderson, P. A., Hecht, M. L., Hoobler, G. D., & Smallwood, M. (2003). In W. B. Gudykunst (Ed.), Cross-cultural and intercultural communication, 73–90. Th
 ousand Oaks, CA: Sage.
13 Gudykunst, W. B. (2005). An anxiety/uncertainty management (AUM) theory of eff
 ective communication: Making the mesh of 
the net fi
 ner. In W.R. Gudykunst (Ed.), Th
 eorizing about intercultural communication, 281–322. Th
 ousand Oaks, CA: Sage.
14 Langer, J. *Mindfulness*. Reading, MA: Addison-Wesley. 15 Ting-Toomey, S. (1999). *Communicating across cultures, 272*. New York: Guilford Press. 16 Triandis, H. C. (1994). *Culture and social behavior*. New York: McGraw-Hill.
17 Devine, P. G. (1989). Stereotypes and prejudice: Th
 eir automatic and controlled components. Journal of Personality and Social 
Psy 
chology, 56, 5–18.
18 Bennett, J. M., & Bennett, M. J. (2004). Developing intercultural sensitivity: An integrative approach to global and domestic 
diversity. In D. Landis, J.M. Bennett, & M.J. Bennett (Eds.), *Handbook of intercultural training*, 3rd ed., 147–165. Th
 ousand Oaks, 
CA: Sage.

## Communicating Across Diverse World Views And Values

To communicate competently across cultures, individuals must understand some of the ways in which cultures diverge in their world views. Th e pioneer in pointing out the practical implications of diff ering world views was the anthropologist Edward Hall. For example, Hall explained that some cultures are monochronic. 

Th ey regard time as segmentable, an almost tangible commodity. Monochronic cultures value schedules and can evolve effi
  cient bureaucracies. Polychronic cultures, on the other hand, regard events as embedded in more of a simultaneous matrix of occurrences. Little value is placed on demarcating work time as opposed to socialization time, for instance. People in polychromic cultures are little concerned with promptness or deadlines.19 
Th e most frequently utilized taxonomy of cultural world views in intercultural communication studies was developed originally by surveying IBM employees in 50 nations (and later supplemented with additional data).20 In this taxonomy, cultures can be arrayed along fi ve dimensions:

 
-  
Individualism/Collectivism—Are individuals defi
 ned by their unique attributes or by their group 
memberships? Is individual achievement and gratifi
 cation most important, or is group harmony?
 
-  
Uncertainty Avoidance—Is it preferable to tread well-known traditional paths, or is risk taking and 
experimentation prized?
 
-  
Power-Distance—Should status diff
 erences be kept to a minimum, or are strict social hierarchies 
preferred?
 
-  
Masculine/Feminine—Does the culture cultivate competition or cooperation? Acquisitiveness or sharing?
 
-  
Short-Term Orientation/Long-Term Orientation (also known as Confucian Dynamism)—Are immediate outcomes and personal dignity most important, or should long-term perspectives and social order be emphasized?
Of these six dimensions, **collectivism/individualism** receives the greatest attention. Sometimes the gulf between the two orientations seems immense. While individualists are most concerned with doing what must be done to succeed at a task, collectivists may be attuned to avoiding confl ict and assuring harmony. 

While individualists believe in direct and honest talk, collectivists may choose to communicate indirectly, through metaphor or through an intermediary, in order to avoid losing face oneself or causing others to do the same.

Because collectivist thought is literally so foreign to many Westerners, researchers have promulgated a set of **recommendations for individualists interacting with collectivists.**21

 
-  
Recognize that collectivists pay attention to group memberships and predict behavior thereby.
 
-  
Recognize that collectivists change their behaviors when they change group membership.
 
-  
Don't force equality of status—vertical hierarchies are ok.
 
-  
Avoid overt competition—emphasize harmony and cooperation instead.
 
-  
Avoid threatening another person's "face"—help them save face when necessary.
 
-  
Recognize that collectivists do not separate criticism of an idea or action from criticism of the person.
 
-  
Avoid overt confrontation—use a strategy of indirection—or just let go of the confl
 ict.
 
-  
Cultivate long-term relationships.
 
-  
Behave more formally than usual in initial interactions.
 
-  
Follow the collectivists' lead in self disclosure.

## Culture Shock And Adaptation

Culture shock is a common stress reaction that individuals have when they fi nd themselves immersed in an unfamiliar culture.22 One's sense of identity as a mature and effi
  cacious adult can be severely challenged when one can't even fi gure out how to pay bus fare in a foreign transit system. For relatively short-term sojourners in a new culture—for example exchange students, aid workers, or corporate executives on temporary assignment—the pattern of adjusting to a new culture oft en follows a predictable pattern from elation to depression to adjustment.23 Moreover, when the sojourn comes to an end, returnees oft en experience re-entry shock when they return home.24 Overall, sojourners may expect to traverse through seven stages:25

 
1.  
Honeymoon—Newcomers are elated about all the exotic sights and experiences and by the friendliness with which they are greeted.
 
2.  
Hostility—As the welcome wears thin and more quotidian tasks are expected of the sojourner, disorientation and frustration set in. Th
 ose lacking in communication skills may either abort their visit or 
else retreat into isolation.
 
3.  
Humor—Sojourners are able to see their various challenges and faux pas in perspective.
 
4.  
In-Sync—Having achieved a sense of comfort and competence in their host culture, sojourners may 
even serve as mentors for other newcomers.
 
5.  
Ambivalence—As the end of their sojourn approaches, individuals are torn between the joy of an 
anticipated homecoming and the disappointment of seeing their overseas adventure coming to an end.
 
6.  
Re-entry Culture Shock—Th
 e sojourner is shocked by the lack of interest and support among those 
who remained behind in the home culture. Oft
 en, the stress of re-entry may exceed the original stress 
of encountering the host culture.
 
7.  
Resocialization—As individuals adjust to being back in their home cultures, three patterns are common. **Assimilators** try to ft
  back into old patterns and forget that they had ever experienced another 
culture. **Alienators** are never quite satisfi
 ed with what they fi
 nd at home. Th
 ey may feel restless until 
they can accept another overseas assignment. **Transformers** are change agents who use their recently 
acquired intercultural knowledge to help vitalize their home relationships and organizations.

## Intercultural Communication

For immigrants, refugees, or émigrés, the long-term counterpart of culture shock is acculturation or adaptation. For them, there is to be no re-entry to their home cultures. Communication plays a key role in the adjustment of these individuals to their new home culture.26 Important communication components that will determine the quality of cross-cultural adaptation include (a) a critical mass of same-culture immigrants to provide community support and mass media, (b) the receptivity of the host culture to non-native populations, and (c) opportunities for immigrants and refugees to participate in interpersonal interaction with host nationals. If these communication factors are absent or out of balance, there is a danger that immigrants or refugees may either lose their native cultural identities and assimilate, or that they may iso late themselves from their host culture and fail to participate fully. Th e goal of communication for adaptation is the establishment of integrated bi-cultural (or multi-cultural) identity.27

## Intercultural Communication

Th is resource guide is designed to provide additional information about intercultural communication. Each section in the resource guide corresponds with a section in the Intercultural Communication Participant Guide and contains two sections: additional textual resources, and useful web and media resources. Th e additional textual resources section provides references that off er a more in-depth understanding of the concepts. Th e useful web and media resources section contains the URLs to websites that might be useful in teaching or researching the topic, as well as fi lms and videos that can be used in training workshops.

## Defi Ning Intercultural Communication Additional Textual Resources

 
-  
Gudykunst, W. B., & Kim, Y. Y. (1997). Communicating with strangers: An approach to intercultural communication, 3rd ed., New York: McGraw-Hill.
 
-  
Martin, J. K., & Nakayama, T. K. (2007). *Intercultural communication in contexts,* 4th ed. New York: 
McGraw-Hill.
 
-  
Moon, D. G. (1996). Concepts of "culture": Implications for intercultural communication discourse. 
Communication Quarterly, 44, 70–84.
 
-  
Paige, R. M. (1995). Intercultural trainer competencies. In D. Landis and R.S. Bhagat, (Eds.), Handbook of intercultural training, 2nd ed., 148–164. Th
 ousand Oaks, CA: Sage Publications.

## Useful Web And Media Resources

 
-  
http://interculturalpress.com/store/pc/mainIndex.asp —Th
 e Intercultural Press is an important 
source for books about specifi
 c cultures as well as about processes of culture shock, adaptation, and 
business negotiations.
 
-  
http://www.intercultural.org/ —Th
 e Intercultural Communication Institute off
 ers a cutting edge 
Summer Institute for Intercultural Studies. It also hosts the Intercultural Development Inventory, and instrument for measuring development in intercultural sensitivity.
 
-  
http://www.kwintessential.co.uk/intercultural/diversity-videos.html —Kwintessential posts a series 
of short streaming video productions from YouTube and elsewhere that discuss the need for intercultural understanding, as well as videos that explicate concepts like **high and low context** and collectivism. It also contains capsule descriptions and essays regarding a number of national cultures.
 
-  
http://www.work.com/cross-cultural-communication-973/ —Th
 is website compiles a number of 
online resources relating mainly to intercultural and cross-national communication in the workplace. It includes a list of training organizations.

## Communication And Group Identity Additional Textual Resources

 
-  
Collier, M. J., & Th
 omas, M. (1988). Cultural identity: An interpretive perspective. In Y.Y. Kim and 
W.B. Gudykunst (Eds.). Th
 eories in intercultural communication (International and Intercultural 
Annual Vol 12), 99–120. Th
 ousand Oaks, CA: Sage.
 
-  
Hecht, M. L. (1993). "2002—A research odyssey: Toward the development of a communication theory 
of identity." *Communication Monographs 48*:201–216.
 
-  
Hogg, M. A. (2006). "Social identity theory." In P. J. Burke (Ed.), Contemporary Social Psychological 
Th
 eories (pp. 111–136). Palo Alto, CA: Stanford University Press.
 
-  
Jackson, R.L. (2002). Culural contracts theory: Toward an understanding of identity negotiation. 
Communication Quarterly, 50, 359–367.
 
-  
Tajfel, H., & Turner, J. C. Th
 e social identity theory of intergroup behavior." In S. Worchel and W. G. 
Austin (Eds.), *Psychology of Intergroup Relations,* 7–24. Chicago: Nelson Hall, 1986.

## Useful Web And Media Resources

 
-  
"American Desi," 2000, Black Rock Productions and American Desi Films —An American-born 
young adult rejects his South Asian identity, only to recover it through friendship and romance. A comic fi
 lm fi
 lled with music and dance.
 
-  
"House of Sand and Fog," Dreamworks, 2003 —Iranian political refugee in the U.S. displays strong 
cultural identifi
 cation, results in intercultural confl
 ict.
 
-  
http://www.theory.org.uk/ —A partly light-hearted exploration of the role of mass media in personal 
and group identity formation.
 
-  
"Th
 e Grace Lee Project," 2005, LeeLee Films —Director Grace Lee explores Asian American identity—and those who expand its parameters—by interviewing scores of U.S. women named Grace Lee.

## Intercultural Communication Competence And Ethnocentrism Additional Textual Resources

 
-  
Axtell, R. E. Gestures: Th
 e Do's and Taboos of Body Language Around the World. New York, John Wiley 
& Sons, 1997.
 
-  
Davis, K. A. and Henze, R. C. (1998) Applying ethnographic perspectives to issues in cross-cultural 
pragmatics. *Journal of Pragmatics, 30*: 399–419.
 
-  
Lewis, R. D. (2005). *When Cultures Collide: Managing Successfully Across Cultures*, London: Nicholas 
Brealey Publishing.
 
-  
Morrison, T. et al. *Kiss, Bow, or Shake Hands: How to Do Business in Sixty Countries*. Holbrook, ME: 
Adams Media Corporation, 1995.
 
-  
Roth, N. L., Hunt, T., Stavropoulous, M., & Babik, K. (1996). Can't we all just get along? Cultural variables in codes of ethics. *Public Relations Review, 22,* 151–161.
 
-  
Rubin, D.L., & Lannutti, P. (2001). Frameworks for assessing contact as a tool for reducing prejudice. 
In V.H. Milhouse, M.K. Asante, and P.O. Nwosu (Eds.), Transcultural realities: Interdisciplinary perspectives on cross-cultural relations (pp. 313–326). Beverly Hills: Sage.
 
-  
Ting-Toomey, S., & Oetzel, J.C. (2001). Managing intercultural confl
 ict eff
 ectively. Th
 ousand Oaks, CA: Sage.

## Useful Web And Media Resources

 
-  
http://www.beyondintractability.org/ —Resources for understanding and resolving confl
 ict, especially intergroup confl
 ict.
 
-  
http://www.sietar.org —Th
 e Society for Intercultural Education, Training, and Research is a major 
organization devoted to improving intercultural skills in organizations and other clients.
 
-  
http://www.southerncenter.uga.edu/projectcores/public/resourcecore.htm —Th
 e Southern Center 
for Communication, Health and Poverty provides a screened "top 10" list of interactive web-based resources for cultural competence in health communication.
 
-  
"Th
 e Essential Blue-Eyed," (1999), California Newsreel —A fi
 lm by B. Verhaag that demonstrates 
the famous "Blue-Eyed" training exercise, in which it is seen how quickly group prejudices can be acquired and how virulently they can be practiced.

## Communication Across Diverse World Views And Values Additional Textual Resources

 
-  
Condon, J. C. (1997). *Good Neighbors: Communicating with the Mexicans.* Yarmouth ME: Intercultural Press.
 
-  
Hall, E. T. & M. R. Hall. (1990). Understanding Cultural Diff
 erences: Germans, French, and Americans. 
Yarmouth ME: Intercultural Press. Inc.
 
-  
Hofstede, G. Culture's Consequences: Comparing Values, Behaviors, Institutions, and Organizations 
Across Nations. 2nd ed. Newbury Park, CA: Sage, 2001.
 
-  
Miller, A. N. (2005). Keeping up with cartography: A call to study African communication. In W. J. 
Starosta & G.-M. Chen (Eds.) *International and Intercultural Communication Annual, 28* (pp. 214–
236). Washington DC: National Communication Association.
 
-  
Miller, L. (1994). Japanese and American indirectness. Journal of Asian Pacifi
 c Communication, 5, 
1–19.
 
-  
Richmond, Y. (1995). *From Da to Yes: Understanding Eastern Europeans*. Yarmouth ME: Intercultural 
Press.

## Useful Web And Media Resources

 
-  
http://ethnomed.org/ethnomed/ —the Ethnomed site is intended primarily for health care providers. It off
 ers capsule descriptions of source culture values and practices for about a dozen immigrant 
groups in the U.S.
 
-  
http://feweb.uvt.nl/center/hofstede/index.htm —Th
 is homepage for Geert Hoft
 stede describes 
dimensions of cultural orientation and updates research and training on that topic.
 
-  
http://www.culturegrams.com/ —Started nearly 30 years ago at Brigham Young University, Culture-
Grams off
 er up-to-date information about a huge number of nationalities and cultures, with a focus 
on norms for communication.

## Culture Shock And Adaptation Additional Textual Resources

 
-  
Ali, A. Van der Zee, K., & Sanders, G. (2003). Determinants of intercultural adjustment among expatriate spouses. *International Journal of Intercultural Relations, 27*, 563–580.
 
-  
Berry, J. W. (1990). Psychology of acculturation: Understanding individuals moving between cultures. 
In R. Brislin (Ed.), *Applied cross-cultural communication* (p. 232–253). Newbury Park, CA: Sage.
 
-  
Paige, R. M., et al. Maximizing Study Abroad: A Student's Guide to Strategies for Language and Culture Learning and Use. Minneapolis, MI: Center for Advanced Research on Language Acquisition 
(CARLA), University of Minnesota, 2002.
 
-  
Smith, C. D. (Ed.). Strangers at Home: Essays on the Eff
 ects of Living Overseas and Coming "Home" to 
a Strange Land. Bayside, NY: Aletheia Publications, 1996.
 
-  
U.S. Peace Corps. Peace Corps Odyssey: Th
 e Voyage Home. Washington, DC: Peace Corps Returned 
Volunteer Services, Offi
  ce of Domestic Programs, 1997.
 
-  
Ward, C., S. Bochner, & A. Furnham. (2001). Th
 e psychology of culture shock, 2nd. ed. Philadelphia: 
Routledge, Taylor & Francis.

## Useful Web And Media Resources

 
-  
"Culture, Diff
 erence, & Power," (2001). New York: Teachers College Press - A CD-Rom by Christine 
Sleeter that examines alienation of immigrant youth in US secondary schools.
 
-  
http://www.carla.umn.edu/index.html - Th
 e Center for Advanced Research on Language A 
cquisition 
at the University of Minnesota off
 ers materials to prepare and guide students who are studying abroad 
for heightened immersion and intercultural sensitivity.
 
-  
"Iron and Silk," (1991), SUN-Productions - Th
 is fi
 lm depicts an American who takes a teaching job 
in China and learns to adapt to Chinese norms.
 
-  
"Monkey Dance," 2004, Center for Independent Documentary - Cambodian refugees in Lowell, 
Massachusetts are plagued by their memories of Khmer Rouge oppression. Th
 eir children are challenged by the U.S. environment, but fi
 nd a way back to Cambodian identity.
Cabanero-Verzosa, C., and Garcia, H., 2009, 'Using Strategic Communication to Build Commitment to Reform'
, Chapter 1 in Building Commitment to Reform through Strategic Communication: Th e Five Key Decisions, World Bank, Washington DC http://www.gsdrc.org/go/display&type=Document&id=3706
Strategic communication is a stakeholder- or client-centred approach to promoting changes in people's attitudes, knowledge and behaviour to achieve development objectives. Th is chapter from the World Bank book, Building Commitment to Reform through Strategic Communication outlines a fi ve-step process for designing a communication strategy: (1) identify whose support is critical; (2) identify which behaviours, by which groups of people, will contribute to reform success; (3) use messages that start from the audience's perspective; (4) choose communication channels based on reach, frequency and credibility; (5) consider how changes will be tracked and evaluated.

Delli Carpini, M., 2004, 'Mediating Democratic Engagement: Th e Impact of Communications on Citizens' 
Involvement in Political and Civic Life'
, in Handbook of Political Communication Research, ed. L. L. Kaid, Lawrence Erlbaum Associates, New York, pp. 395–434. http://www.questia.com/PM.qst?a=o&d=104329609 Wantchekon, L., 2009, 'Can Informed Public Deliberation Overcome Clientelism?'
, New York University, New York http://www.gsdrc.org/go/display&type=Document&id=3762
Th is study from New York University draws on evidence from the 2006 presidential elections in Benin. It shows that if a campaign strategy is based on town hall meetings and policy proposals informed by empirical research, the electorate feels they have greater understanding of policies and candidates. It also suggests that this approach could have positive eff ects on turnout and electoral support for the candidates involved.

UNICEF, 2005, 'Strategic Communication for Attitude and Behaviour Change in South Asia'
, UNICEF, Kathmandu http://www.unicef.org/cbsc/fi les/Strategic_Communication_for_Behaviour_and_Social_Change.pdf Th is working paper presents a synthesis of the latest experiences in applying various communication approaches ranging from mass communication and entertainment education, interpersonal communication, participatory development communication, advocacy and social mobilisation that have been used in the health sector in South Asia and elsewhere. It concludes that communication programmes need to be responsive to peoples' wants, needs and desires. Careful communication research, analysis, planning, coordination, implementation, management, monitoring and evaluation are necessary for stimulating social change.

Fung, A., 2003, 'Recipes for Public Spheres: Eight Institutional Design Choices and Th
 eir Consequences'
, 
Th
 e Journal of Political Philosophy, Vol. 11, No. 3, pp. 338–367.
http://www.gsdrc.org/go/display&type=Document&id=2619
How can we improve the quality of civic engagement and public deliberation? Th is survey article from the JFK School of Government at Harvard University analyses several dimensions of eff orts to improve the public sphere. It focuses on the realm of 'minipublics' (deliberately convened publics), bringing practice into contact with considerations of democratic institutional design through a review of fi ve contemporary applications.

## Recommended Reading And Resources

Martinsson, J., 2009, 'Th e Role of Media Literacy in the Governance Reform Agenda'
, Communication for Governance and Accountability Program (CommGAP), World Bank, Washington, DC. http://www.gsdrc.org/go/display&type=Document&id=3739
Th is discussion paper argues that media literacy helps citizens to become informed, to engage in the public sphere to eff ect change, and to demand good governance and accountability. In an increasingly complex media landscape, citizens need to be able to access, analyse, evaluate and develop media content. Donors should therefore promote media literacy as an integral part of the development process.

Daruwala, M. and Nayak, V. (eds), 2007, 'Our Rights, Our Information: Empowering People to Demand Rights through Knowledge'
, Commonwealth Human Rights Initiative, New Delhi.

http://www.gsdrc.org/go/display&type=Document&id=3078
Th is Commonwealth Human Rights Initiative report provides case studies to show that information empowers people to demand adherence to the whole range of their human rights. By establishing the right to information in domestic law and by setting up public information systems, governments can enhance citizens' participation in governance, advance equitable economic development, reduce poverty and fi ght corruption.

Reinikka, R and Svensson, J, 2004, 'Th e Power of Information: Evidence from a Newspaper Campaign to Reduce Capture'
, World Bank Policy Research Working Paper 3239, World Bank, Washington DC.

http://www.gsdrc.org/go/display&type=Document&id=936

Th
 is working paper demonstrates the success of a Ugandan newspaper campaign that has enabled schools and 
parents to monitor a large-scale grant programme. Th
                                        e study uses regression analysis to estimate the eff
                                                                              ects of 
increased public access to information and fi
                                 nds a strong relationship between proximity to a news outlet and 
lower capture. It suggests that empowering users of public services through access to information can be an eff
                                                                                ec-
tive strategy to combat local corruption and the capture of funds.

World Bank, 2007, 'Generating Genuine Demand with Social Accountability Mechanisms,' Communication 
for Governance and Accountability Program. World Bank, Washington, DC.
http://www.gsdrc.org/go/display&type=Document&id=3761

What factors contribute to the success or failure of Social Accountability (SA) initiatives? Th
                                                                                              is paper reports on 
a 2007 workshop organised by the World Bank's Communication for Governance and Accountability Program. 
It examines what works in: (1) analysing the public sphere and political context; (2) gaining offi
                                                                                                   cial support for 
the use of SA tools; (3) informing citizens; (4) mobilising citizen activism; and (5) achieving behaviour change 
in public offi
             cials through public opinion.

IDS and BBC World Service Trust, 2009, 'Th
                                         e Role of Media in Fragile Situations: A Research Dialogue Across 
Disciplines'
          , Report from a research symposium held at Stanmer House, Brighton, UK, 16 January 2009.
http://www.gsdrc.org/go/display&type=Document&id=3712

Th
 is report presents the fi
                   ndings of a research symposium jointly organised by IDS and the BBC World Service 
Trust. Th
      e symposium brought together academics and practitioners across disciplines to discuss the role of the 
media in fragile and confl
                   ict aff
                        ected states and to identify critical research gaps. It concluded that media and 
communications research could provide important policy insights into state fragility, state eff
                                                                       ectiveness and 
state-citizen relationships.

Norris, P. and Odugbemi, S., 2010, '
Assessing the Extent to Which the News Media Act as Watchdogs, Agenda Setters and Gatekeepers'
, Chapter 15 in ed. Norris, P., 2010, 'Public Sentinel: News Media and Governance Reform'
, CommGAP, World Bank, Washington DC.

http://www.gsdrc.org/go/display&type=Document&id=3748

Th
 is review fi
          nds that news media are important in furthering democratic governance, provided they are set up 
in a way that allows them to act as eff
                             ective watchdogs, agenda setters and gatekeepers. Barriers to the fulfi
                                                                                 l-
ment of these roles include restrictions on press freedom, market failures, and lack of professional standards, 
weak civil society, and limitations in media literacy and public access to the media. Further research is required 
to fully determine the relationship between a free media and democratic governance.

Norris, P., 2008, 'Th
                    e Role of the Free Press in Promoting Democratization, Good Governance and Human 
Development'
              , in Section 2 of ed. Harvey, M., 'Media Matters: Perspectives on Advancing Governance and 
Development'
              , Global Forum for Media Development, Internews Europe.
http://www.gsdrc.org/go/display&type=Document&id=3719

Th
 is chapter examines the results of a large-N cross-sectional comparison analysing the impact of press freedom 
on multiple indicators of democracy and good governance. Th
                                             e study seeks to test the hypothesis that where the 
media functions eff
              ectively as a watch-dog, a civic forum and an agenda-setter it helps to promote democracy, 
good governance and thus human development. Findings support claims that a free press is important, both 
intrinsically and instrumentally, as a major component of democracy and good governance.

CommGAP, 2009, 'Media Eff
                         ects' Technical Brief, Communication for Governance and Accountability 
Program (CommGAP), World Bank, Washington DC.
http://siteresources.worldbank.org/EXTGOVACC/Resources/MediaEff
                                                          ectsweb.pdf Haider, H., 2010, 'Communication Initiatives to Change Attitudes and Behaviour'
                                                                              , Helpdesk Research 
Report, Governance and Social Development Resource Centre, University of Birmingham.
http://www.gsdrc.org/docs/open/HD752.pdf

Th
 is report presents literature on communication interventions in developing countries designed to change 
attitudes and behaviours, particularly around gender relations. It looks at entertainment education, group 
education and various participatory approaches. Studies and evaluations of various communication initia-
tives addressing gender issues have found positive outcomes. Key lessons include: conducting formative research 
when conceptualising communication strategies; adopting mixed methods of communication; building on tradi-
tion and popular culture; and reaching out to community leaders.

Byrne, E., Arnold, A. K. and Nagano, F., 2010, Building Public Support for Anti-Corruption Eff
                                                                                              orts: Why 
Anti-Corruption Agencies Need to Communicate and How, Communication for Governance and Account-
ability Program (CommGAP), World Bank, Washington DC
http://siteresources.worldbank.org/EXTGOVACC/Resources/CorruptionWhitePaperpub31110screen.pdf

Th
 is 'how-to' guide aims to help anti-corruption agencies understand how to control the way they present them-
selves to the public, how to frame their agencies' work, and how to develop allies in the press and the community 
at large.

## Online Strategic Communication Decision Support Tool

A hands-on, interactive learning tool designed to help reform managers and operational teams in developing and implementing a communication strategy aimed at creating multi-stakeholder support for reform and change initiatives. World Bank, 2008. http://siteresources.worldbank.org/EXTGOVACC/Resources/WB_Final_resources2.swf

## Recommended Reading And Resources

Users will examine real reform experience through various case examples and learn how to apply the 
strategic communication concepts using the Five Communication Management Decisions. A decision 
template presented as a performance support tool helps provide a systematic approach in making the 
fi
 ve key communication decisions–understanding and segmenting key stakeholder audiences, identify-
ing stakeholder behavior critical to successful reform implementation, framing messages that infl
                                                                                             uence 
desired behavior change, selecting eff
                                    ective channels of communication and defi
                                                                              ning evaluation indi-
cators to measure the results of the communication strategy.

## Videos

David Cohen, Th e Advocacy Institute, CommGAP Global Dialogue, 'Governance Reform under Real-World Conditions: a Dialogue on Communication Challenges'
, 2007, Running time: 6:24 minutes http://www.youtube.com/watch?v=qwI9GNoRdhs&feature=youtu.be Henry Mambo, Public Service Reform Programs, Tanzania, CommGAP Global Dialogue, 'Governance Reform under Real-World Conditions: a Dialogue on Communication Challenges', 2007. Running time: 
0:47 minutes http://www.youtube.com/watch?v=KlJ775ZoKFg J.P. Singh, Georgetown University, CommGAP Global Dialogue, 'Governance Reform under Real-World Conditions: a Dialogue on Communication Challenges'
, 2007. Running time: 4:15 minutes http://www.youtube.com/watch?v=yu4LKdpE5Xc Larry Cooley, Management Systems International, World Bank Institute-CommGAP workshop on 'Political Economy Analysis to Action: Political Communication Approaches and Techniques', 2009, World Bank, Washington DC. Running time: 1:27 minutes http://www.youtube.com/watch?v=qwI9GNoRdhs&feature=youtu.be

## Session 5 Module Iii Managing Reform Politics

Th e sessions in this module examines the role of political economy in the success of governance reform eff orts. Change creates resistance because it disrupts the status quo, breaks incentive structures, and threatens the vested interests of infl uential elites. Navigating a change process through a complex political landscape requires strategies that are pivotal to building multi-stakeholder constituencies of public support and creating broad leadership support for change. Th e case study on the "Philippines Procurement Reform - Passing the Law" provides many operational insights on how coalition building supported by strategic communication can move reform to a successful outcome despite obstacles on many fronts.

## Framing And Agenda-Setting

Th is is an introduction to the concepts of framing and agenda-setting as communication techniques. Th e challenges inherent in change initiatives are diffi
  cult and complex. And these techniques help in defi ning the underlying issues and making them the central focus of a successful reform eff ort. When they are employed consistently and systematically, message frames shape stakeholder perceptions of the issues, provide a unifying frame of reference for all stakeholders, and help to drive an eff ective public communication campaign. 

Frames create a compelling narrative of deliberately targeted messages that can be used to infl uence public opinion about critical issues of governance. By exploring the uses of these techniques, participants will recognize the relationships among the policy, public and media agendas and how communication infl uences good governance outcomes.

## Key Concepts And Messages

- Managing complex governance issues requires the eff
 ective use of communication-infl
 uence techniques.
- Message framing can drive public perceptions and opinion on governance issues and reform objectives. - Framing and message craft
 ing can address governance challenges involving political, organizational or 
public will issues.

## Learning Outcomes

By the end of the session, participants will be able to:

- Defi
 ne the concepts of framing and agenda-setting,
- Explain how public, policy and media agendas infl
 uence each other,
- Apply framing and agenda-setting principles in communication and governance work.
Exercise: Small Group Work: "Message Framing to Improve Service Delivery" Session Length: 90 minutes

## T Eaching Notes And Process Guide Content And Process Presentation Slides And Process Cues

[Two active buttons here, side by side :]*

## Message Framing To Improve Service Delivery Case Study: Metro Sarangaya Water Reform Project Small Group Work T I M E  A L L O T T E D :  4 5  M I N U T E S

Note: Participants are required to have read the Sarangaya case study prior to this session. Th is handout can be found in Session 9 (page XXX) of this book.

## Purpose

To apply the essential elements of message framing.

## Process

 
1. Distribute the handouts from the Saranagaya case study:
 
- Sarangaya Political Economy Analysis (S6-HO1)
 
- Sarangaya Stakeholder Analysis Map (S6-HO2)
 
2. Ask participants to break into small groups of four to fi
 ve people.   
 
3. Post the Framing Exercise slide (Slide 22)on the screen and outline process as follows: 
- Choose a primary stakeholder or audience
 
- Discuss and determine the specifi
 c elements of the message frame of each, which includes: 
 
- Th
 e type of frame (e.g. identity frame, loss or gain frame, etc.)
 
- Name for the frame (i.e. slogan or label)
 
- A short, one-sentence Description of Frame
 
- Key ideas or messages of the frame
 
- List your message frame elements on the fl
 ip chart
 
4. Ask each group to present their exercise output in plenary.
 
5. Invite participants to share their insights from lessons learned in the process. 
 
6. Summarize participant insights and observations.

## Annex 3 Political Economy Analysis Findings

Th e World Bank country team conducted a political economy analysis of the water sector in Sarangaya to gain a deeper understanding of the issues critical to the reform. It focused on the What, the Why and the How to help unravel the nature of pathologies that exist, the underlying reasons and "rules of the game" that determine economic and political interests of various key players which ultimately infl uence the process of public decision-making.

In summary, the political economy analysis revealed the following: 

 
1.  
Despite high availability of water, Sarangaya residents suff
 er from unequal access and intermittent 
water supply. MSWA can only distribute water for 4-5 hours per day. Th
 is level of performance places 
them well below the water utilities that serve major cities in the region. 
 
2.  
As much as 40 percent of water produced is lost, mostly due to old and leaking pipes.
 
3.  
More affl
  uent consumers can aff
 ord to have continuous water supply, 24 hours a day, 7 days a week, 
through overhead tanks and boreholes installed at their own expense. 
 
4.  
Poor households, in contrast, can only rely on private vendors and pay more for purchased water. Th
 e 
so-called 'water sharks' charge four to fi
 ve times more than piped water. 
 
5.  
A large number of illegal connections exist. 'Speed money' or bribes given to operations and maintenance personnel can expedite the installation of household connections. Only one in three connections has working meters and fraudulent billing is common practice. 
Why do these pathologies persist despite signifi cant investments to improve water supply and services provision? Th e political economy analysis uncovered fraudulent practices in the water sector, the prevailing 
'rules of the game' and the underlying incentives of various stakeholders who benefi t from corruption in the system.

 
1.  
Politicians and policymakers with vested interests infl
 uence investment priorities and policies aff
 ecting the water sector. Th
 is results a disconnect between urgent priority needs and actual projects 
implemented and distortions in the allocation of resources in the water sector.
 
2.  
In the planning and budgeting process, corrupt politicians and senior government offi
  cials manipulate decisions made in the selection of water and sanitation projects. Capital-intensive projects which off
 er potential for higher kickbacks are favored over those which require smaller investments. Budgetary outlays are oft
 entimes diverted to large-scale water projects. 
 
3.  
In terms of water sourcing, there is a preference for surface water rather than groundwater sourcing 
in order to justify the construction of costly water treatment plants and procurement of treatment chemicals. Any project that involves construction is a lucrative source of kickbacks—in the design specifi
 cations, contract and licensing procedures, bidding and procurement of equipment, vehicles 
and services. 
 
4.  
Fund approvals and fi
 scal transfers are secured through systematic collusion between senior-level 
offi
  cials within the line ministries of fi
 nance, budgeting and planning and head of the water authority 
down to the department directors and operating staff
  in the implementing agency.
 
5.  
Th
 e appointment of key personnel (e.g. municipal engineer) is made in exchange for a signifi
 cant 
share of proceeds earned from corrupt deals and illegal transactions. 
Th e above-description provides valuable insights on 'why' such pathologies persist. Tackling the 'how' 
requires the conduct of a stakeholder analysis which identifi es the winners and losers, the interest groups that are likely to oppose strongly and block the reform initiative as well as the supporters and strong advocates. 

A stakeholder mapping on page 17 defi nes the underlying interests and motivations that infl uence the behavior of various key players in the Metro Sarangaya Water Sector Reform.

## Stakeholder Analysis - Metro Sarangaya Water Reform Case Study

| Stakeholder                            | Interests                      |
|----------------------------------------|--------------------------------|
| Politicians,                           |                                |
| leaders of                             |                                |
| ruling party                           |                                |
| Broad public support                   |                                |
| for reform, positive                   |                                |
| political image                        |                                |
| Public opposition                      |                                |
| could hurt the                         |                                |
| President's popularity,                |                                |
| weaken political image                 |                                |
| Concerned about the                    |                                |
| short-term negative                    |                                |
| impact of increased                    |                                |
| tariffs                                |                                |
| Political image as a                   |                                |
| reformer                               |                                |
| Use reform program as                  |                                |
| a 'showcase'                           |                                |
| Minister                               |                                |
| of Water                               |                                |
| Resources                              |                                |
| Dev., and                              |                                |
| MSWA                                   |                                |
| Chairman                               |                                |
| Employee resistance                    |                                |
| and hostile                            |                                |
| negotiations with                      |                                |
| Labor Union                            |                                |
| Credibility, reputation                |                                |
| as chief executive                     |                                |
| Financial sustainability               |                                |
| and operational                        |                                |
| effi                                   | ciency of MWSA                 |
| CEO, Metro                             |                                |
| Sarangaya                              |                                |
| Water                                  |                                |
| Authority                              |                                |
| (MWSA)                                 |                                |
| Demands of water                       |                                |
| association do not                     |                                |
| fully represent the                    |                                |
| views of residents                     |                                |
| Middle                                 |                                |
| Managers,                              |                                |
| MWSA                                   |                                |
| Senior management                      |                                |
| has a 'close-door'                     |                                |
| policy on changes that                 |                                |
| will affect them and all               |                                |
| employees                              |                                |
| Participation and input                |                                |
| in the change process                  |                                |
| Clarity from senior                    |                                |
| management on scope                    |                                |
| and impact of reform                   |                                |
| on the organization                    |                                |
| High                                   | Conditional support            |
| Hold the reform if signifi             | cant                           |
| political and reputational risks exist |                                |
| High                                   |                                |
| Champion of reform, strong             |                                |
| support                                |                                |
| "A reform program has to be done       |                                |
| now. Time is of great importance.      |                                |
| Drinking water is a priority area. We  |                                |
| cannot afford to wait. "               |                                |
| Medium                                 |                                |
| Support, reform advocate               |                                |
| "                                      | The government response to NGO |
| opposition demonstrate the power       |                                |
| of public opinion. But, there is no    |                                |
| doubt in my mind that reform is the    |                                |
| only solution to the water crisis in   |                                |
| Sarangaya. It has to happen sooner     |                                |
| than later"                            |                                |
| Medium                                 |                                |
| Mixed -                                | Apathetic, with some           |
| tepid supporters                       |                                |
| "No excuse for no consultation. We     |                                |
| need to understand the reasons and     |                                |
| implications of the reform on the      |                                |
| organization as part of the reform.    |                                |
| Our support and plan of action can     |                                |
| make or break this."                   |                                |
| Stakeholder              | Interests     |
|--------------------------|---------------|
| Labor Union,             |               |
| MWSA                     |               |
| Job security, protection |               |
| of benefi                | ts and rights |
| Scope, timing and pace   |               |
| of reform changes        |               |
| Distrusts senior         |               |
| management due to        |               |
| lack of engagement,      |               |
| transparency and         |               |
| urgent attention to      |               |
| union agreement          |               |
Citizens Action Forum (NGO)
Increase  visibility Heighten public recognition through publicity and intense media coverage
Privatization is the World Bank's hidden agenda Stir negative sentiment against the World Bank on questionable bidding 
Water is a human right Believes that privatization is disguised as reform
Sarangaya Resident Water Association
Reliable water supply and universal access with no increase in tariffs 'Water sharks' vested interest in status quo
Reputational and operational risks need to be considered
Donor Group
Improved access and water sector Impact of better public services delivery
Medium
Oppose "We demand protection of our jobs, our benefi
 ts and rights as 
workers. We resent the lack of transparency and consultation in the process."
Medium
Strongly oppose "The people oppose privatization. The World Bank cannot dictate its terms. . . . "The Bank's intervention in the bidding process raises suspicion and is fundamentally fl
 awed."
Medium to Low
Mixed, diverse interests "In the name of privatization, they can't snatch our collective resources. There is suffi
 cient water. What needs 
to be fi
 xed is the problem of leakage."
Medium
Strong support "We stand behind the government's vision to provide universal access to safe and reliable water supply. Accountability and transparency are key to an effi
 cient, equitable and 
sustainable system."

## Media Effects Defi Ning Media Effects

Most people accept the idea that the media can infl uence people. But the degree of that infl uence, as well as who is most-impacted, when, how and why, have been the subjects of great debate among communication scholars for nearly a century. Media eff ects refers to the many ways individuals and society may be infl uenced by both news and entertainment mass media, including fi lm, television, radio, newspapers, books, magazines, websites, video games, and music.

## Searching For Evidence Of The Media'S Impact

Media eff ects have been studied by scholars in communication, psychology, sociology, political science, anthropology, and education, among other fi elds. Many early communication models designed to explain the process of message dissemination were simple, one-way, and linear (Shannon & Weaver, 1949), positioning the medium or message as the *cause* and the behavioral, emotional, or psychological response as the eff ect (Bryant & Th ompson, 2002, pp. 4–5). Modern conceptualizations, however, typically illustrate a twoway process that is more transactional or interactive in nature, in which the message or the medium aff ects the recipient(s), but the audience, in turn, infl uences and shapes the sender(s).

In the early part of the 20th century, concerns about political propaganda, manipulation by the elite and the rising popularity of electronic media led to the so-called "hypodermic needle" or "bullet" theories, which envisaged media messages as strong drugs or potent weapons that would have powerful eff ects on a helpless audience (Lasswell, 1927; Lippmann, 1922). However, while these theories explained some behavior, they did not account for the diff erent responses individuals may have to the same media source. In the 1950's and 60's, empirical research began to uncover the moderating power of predispositions and peer groups, concluding that the media's impact was small—oft en referred to as "limited eff ects" theory (Klapper, 1960; 
Lazarsfeld, Berelson, & Gaudet, 1944). In the 1970's and 80's, prominent scholars began to look more closely again at the media's relationship to knowledge, opinion, attitudes, and levels of vio lence, concluding that media eff ects could be signifi cant in some cases, even if not "all powerful." Scholars also came to agree that some vulnerable groups, such as children, may be more heavily infl uenced by media than others (Bryant & 
Th ompson, 2002; McCombs & Shaw, 1972; McLuhan, 1964).

One great diffi
  culty for researchers is how to measure media eff ects. Media consumption may aff ect a person's thoughts, emotions, or behaviors in ways that could be direct or indirect, immediate or delayed, fl eeting or lasting. It is impossible for scientists to control for all of the mediating factors, from levels of media consumption to demographics such as age, race, and socioeconomic status to harder-to-measure variables like environment, upbringing, values and previous experience. A researcher would not be able to prove, for example, that playing a violent video game caused a person to commit a violent crime, even if an association existed between the two behaviors. Did playing the game lead to the violent behavior, or did a propensity toward violence encourage use of the game? Why didn't all individuals who played the game commit acts of violence? Traditional methods of research such as surveys, experiments, and panel studies cannot adequately solve this cause-and-eff ect dilemma.

## Passive Versus Active Media Consumption

To understand media eff ects, it is fi rst critical to consider how media are used and for what purposes. Communication scholars have traditionally fallen into two camps—functionalists, who believe the media audience tends to be in control and active, and critical/culturalists who believe the audience has less control and is therefore more passive. Th e balance may lie somewhere in the middle and may vary from country to country.

Rather than concerning itself with what the media does to people, Uses and Gratifi cations Th eory looks at what people do with media (its functions), positing that individuals actively choose the media they use and do so with specifi c goals in mind (Blumler & Katz, 1974). Th ese goals or gratifi cations may be diff erent for diff erent people and can include entertainment, information, relief of boredom or escapism, introspection or insight, fi nding models for behavior, seeking reinforcement for beliefs or values, serving as a basis for conversation and social interaction, helping to either identify with others or to avoid interactions with them, and so on (McQuail, 2005). Functionalists emphasize the audience's cognitions and choices.

Critical/cultural scholars believe Uses and Gratifi cations Th eory fails to account for socio-cultural factors. First, they take issue with the assumption that open and active media choices are available to all individuals. Secondly, they believe the functionalist approach may minimize the impact of the dominant cultural or transnational power(s) in presenting "choices" that serve to reinforce existing elites. An additional concern is that if we accept the idea that people are neither coerced nor manipulated and have full control over their media consumption choices, policy makers may tend to be less attentive to and critical of media content and power (Morley, 2006).

## Media Effects And Our View Of The World

While discussion of media eff ects oft en centers on dramatic issues such as violence or propaganda, scholars have identifi ed a number of more subtle potential eff ects:

 
-  
Priming—Media messages may stimulate recall of stored ideas, knowledge, opinions, or experience 
associated in some way with the message content. For example, a news story about the French presidential election might trigger thoughts about the French economy, memories of a trip to Paris during college, or remind a person to put brie on their grocery list (Fiske & Taylor, 1991).
 
-  
Agenda-Setting—Th
 e media may not aff
 ect *what* people think, but may aff
 ect what they think about, 
through the choice of which topics to cover and what to emphasize. Control of the fl
 ow of infor 
mation 
is oft
 en referred to as "gatekeeping," and is based not only on media professionals' perceptions of what 
is important, but also on time and space limitations (Cohen, 1963; Lippmann, 1922).
 
-  
Framing—Frames are the particular treatment or "spin" an individual or organization gives to a message (Gitlin, 1980). While agenda-setting is choosing *which* stories to tell, framing is choosing how to 
tell them. Frames may "promote a particular problem defi
 nition, causal interpretation, moral evaluation, and/or treatment recommendation" (Entman, 1993, p. 54).
 
-  
Cultivation—Over time, heavy viewers of television may come to believe that the real world is similar 
to the television world - heavy exposure to the media *cultivates* this belief (Gerbner, Gross, Signorielli, &
Morgan, 1980). For example, based on the proportion among television characters, a heavy user of television might estimate that more than one in ten males hold jobs in law enforcement, when in reality only 1 in 100 do (Dominick, 2005, p. 471). Researchers have been particularly concerned with cultiva 
tion's impact on racial, ethnic, and gender stereotypes as well as attitudes about violence.
Related to *cultivation,* there are several other important terms in the media eff ects vocabulary:

 
-  
Mainstreaming—Heavy television viewers may lose the attitudes, beliefs or customs of their cultures 
in favor of those they see repetitively on television (Bryant & Th
 ompson, 2002).
 
-  
Disinhibitory effect—Media's ability to desensitize people to socially unacceptable behavior, 
making it either acceptable or desirable. The disinhibitory effect may enable people to rationalize or justify actions that conflict with their internal code of conduct or morality (Bryant & Thompson, 2002). Early research on this effect exposed preschoolers to a film in which adults took out their aggression on an inflatable punching bag clown ("Bobo"); children who saw the film later imitated it and also engaged in other violent behavior not seen on the film (Bandura, Ross, & Ross, 1963).
 
-  
Mean World Syndrome—Media consumers may become so overwhelmed by negative portrayals of 
crime and violence that they may begin—either cynically or despondently—to believe the real world is a mean and harsh place (Gerbner, Gross, Jackson-Beeck, Jeff
 ries-Fox, & Signorielli, 1978; Wilkinson & 
Fletcher, 1995).

## How The Media Change Attitudes And Opinions

Persuasion is one of the eff ects usually sought on purpose by the media and lies at the heart of advertising and public information campaigns. Several models have been developed to explain the process (Petty & Cacioppo, 1996):

 
-  
Cognitive Response Th
 eory argues that in order to experience attitude change a person receiving 
a persuasive message must *think* about the message, and their thoughts about it are more important 
than the message itself.
 
-  
Th
 e Elaboration Likelihood Model further explains that this thinking or cognitive processing can 
either happen centrally and consciously, or peripherally and subconsciously. Central processing of a message takes far more eff
 ort for the recipient and has been shown to have longer-lasting eff
 ects, while 
peripheral processing requires little eff
 ort and may have more fl
 eeting results. Being persuaded about 
a political issue covered in the news would likely require more central processing than viewing a soft
  
drink ad that persuades viewers by showing happy people drinking the product. Factors that increase the likelihood of central processing include personal relevance, likeability, credibility of attractiveness of the source, the number of arguments used and the number of people who seem to agree with them. Even the simple use of the word "you" rather than the third person can have a signifi
 cant impact on 
the persuasiveness of a message by making it seem more relevant (Burnkrant & Unnava, 1989).
 
-  
Persuading people to adopt a new idea or technology typically follows a predictable pattern. According to the Diff
 usion of Innovation Th
 eory, people fall into one of fi
 ve groups: innovators (2.5%), 
early adopters (13.5%), early majority (34%), late majority (34%), and the laggards (16%). Oft
 en the 
media fi
 rst spreads the word about a new idea, but ever-widening interpersonal networks persuade 
individuals to make the change. Over time, family, friends, social leaders, peers and the community at large adopt the innovation. If it is something the individual feels confi
 dent in doing—referred to 
as self-effi
  cacy—that does not confl
 ict with that individual's deeply held values, they join one of the 
adoption groups. Finally, adoption of the innovation reaches a critical mass (Rogers, 2003 [1962]).

## Negative Outcomes Often Attributed To Media Exposure

Concerns about exposure to violence and sexual content oft en dominate discussion of media eff ects, but a key challenge for researchers is determining what constitutes violence and sexual content. For example: Must violence include physical contact or could it be verbal? Is a news report about violence the same as seeing the incident in a fi lm? Is cartoon violence the same as other violence? In some studies, as many as 80% 
of U.S. network programs contained violent content and as many as 60% of the characters were involved. Measuring the eff ects of media violence can also be diffi
  cult: researchers have identifi ed catharsis, arousal, disinhibition, imitation, and desensitization as possible outcomes (Bryant & Th ompson, 2002), but proving a causal relationship is still an elusive goal.

While cultural standards of inappropriate sexual content diff er greatly, researchers have shown that repeated exposure to explicit sex may decrease an individual's fulfi llment with real life partners or family situations (Zillmann & Bryant, 1988a, 1988b), shift
  a person's attitudes about morality, decrease inhibitions, leading to risky or violent sexual behavior (Court, 1984), and generally cause individuals to demonstrate greater aggression (Zillmann, 1978). Th e most important predictor is the **prevailing tone,** such as whether the scene is treated seriously or trivially, has artistic value or intent, and how necessary the sex scene is to the plot and the context of viewing (Harris, 1994).

Media may also have the negative impact of promoting cultural, racial or gender biases, either through stereotyping roles and behaviors or the under- or over-representation of minority characters. However, some research has also shown that by familiarizing individuals with groups other than themselves, the media may also provide positive learning opportunities that help overcome stereotypes and prejudices (Bryant & 
Th ompson, 2002).

## Learning From Media

While the media are oft en criticized for their harmful eff ects, media can also be a positive avenue for learning and persuasion. Historically, the infl uence of publications such as Harriett Beecher Stowe's Uncle Tom's Cabin and Charles Darwin's Th e Origin of Species has changed the way people view the world. Numerous studies from around the world have shown the positive eff ects programming such as "Sesame Street" can have on children's cognitive and social skills. And every day, public health and safety campaigns save lives.

Some of the factors shown to be associated with eff
 ective mass media campaigns include (Bryant & 
Th
 ompson, 2002):
 
-  
Reasonable goals for the campaign
 
-  
Understanding the audience's habits, attitudes, and other characteristics
 
-  
Selecting the correct media for the audience and the issue (for example, using broadcast media for a 
target audience with low literacy rates)
 
-  
Using a mix of media when possible
 
-  
Emphasizing the benefi
 ts of the behavior change
 
-  
Modeling the desired behavior
 
-  
Increasing the audience's self-effi
  cacy through education
 
-  
Continual research, evaluation, and modifi
 cation before and during the campaign, if necessary

## Digital Media Effects

Studies on the eff ect of new media technologies are only just beginning to emerge, but here are some of the most important fi ndings and/or developments (Bryant & Th ompson, 2002):

 
-  
Media consumers are no longer simply an "audience," but are now "users"—heralding a new era of 
active consumption
 
-  
Communication and media impact are now multi-directional; two-way sender-receiver models are 
too linear and orderly to represent these interactions
 
-  
While some scholars have found high levels of Internet usage correlate with higher levels of loneliness, 
anxiety and depression, there may also be social benefi
 ts for shy or shut-in individuals who go online
 
-  
Media fragmentation (the development of many highly-specialized media outlets) makes targeting 
audiences easier, but may also make mass communication more challenging
 
-  
Th
 e increased number of media choices may expose children to adult material before they are prepared for it

## Selected References

Bandura, A., Ross, S. A., & Ross, D. (1963). Imitation of fi
 lm-mediated aggressive models. Journal of Abnormal Psychology, 66:1.
Blumler, J. G., & Katz, E. (1974). Th
 e Uses of Mass Communications: Current Perspectives on Gratifi
 cations Research. 
Beverly Hills, CA: Sage.
Bryant, J., & Th
 ompson, S. (2002). Fundamentals of Media Eff
 ects, 1st ed. New York: McGraw-Hill Higher Education.
Burnkrant, R. E., & Unnava, H. R. (1989). Self-referencing - A strategy for increasing processing of message content. 
Personality and Social Psychology Bulletin, 15:4, 628–638.
Cohen, B. C. (1963). Th
 e Press and Foreign Policy. Princeton, NJ: Princeton University Press.
Court, J. H. (1984). Sex and violence: A ripple eff
 ect. In N. M. Malamuth & E. Donnerstein (Eds.), Pornography and 
sexual aggression, 143–172. Orlando, FL: Academic Press.
Dominick, J. R. (2005). Th
 e Dynamics of Mass Communication: Media in the Digital Age, 8th ed. New York: McGraw-
Hill.
Entman, R. M. (1993). Framing: Toward clarifi
 cation of a fractured paradigm. *Journal of Communication, 43*:4, 51–59.
Fiske, S.T., & Taylor, S. E. (1991). *Social cognition*, 2nd. ed. New York: McGraw-Hill.
Gerbner, G., Gross, L., Jackson-Beeck, M., Jeff
 ries-Fox, S., & Signorielli, N. (1978). Cultural indicators: Violence profi
 le, 
no. 9. *Journal of Communication, 28,* 176–207.
Gerbner, G., Gross, L., Signorielli, N., & Morgan, M. (1980). Aging with television: Images on television drama and 
conceptions of social reality. *Journal of Communication, 30,* 37–47.
Gitlin, T. (Cartographer). (1980). Th
 e Whole World is Watching: Mass Media in the Making & Unmaking of the New Left
 .
Harris, R. J. (1994). Th
 e impact of sexually explicit media. In J. Bryant & D. Zillmann (Eds.), Media Eff
 ects: Advances in 
Th
 eory and Research, 505. Hillsdale, NJ: Lawrence Erlbaum Associates.
Klapper, J. T. (1960). Th
 e Eff
 ects of Mass Communication. Glencoe, IL: Free Press.
Lasswell, H. D. (1927). *Propaganda technique in World War I.* Cambridge, MA: MIT Press. Lazarsfeld, P. F., Berelson, B., & Gaudet, H. (1944). Th
 e People's Choice: How the Voter Makes Up His Mind in a Presidential Campaign. New York: Duell, Sloan and Pearce.
Lippmann, W. (1922). *Public Opinion*. New Brunswick, NJ: Transaction Publishers.
McCombs, M. E., & Shaw, D.L. (1972). Th
 e agenda-setting function of mass media. *Public Opinion Quarterly, 36*:2, 
176–187.
McLuhan, M. (1964). Understanding Media: Th
 e Extensions of Man, 1st ed. New York: McGraw-Hill.
McQuail, D. (2005). McQuail's Mass Communication Th
 eory, 5th ed. London: Sage.
Morley, D. (2006). Unanswered questions in audience research. Th
 e Communication Review, 9:2, 101–121.
Petty, R., & Cacioppo, J. T. (1996). *Attitudes and Persuasion: Classic and Contemporary Approaches*. Boulder: Westview 
Press.
Rogers, E. M. (2003 [1962]). Diff
 usion of innovations, 5th ed. New York: Free Press.
Shannon, C. E., & Weaver, W. (1949). Th
 e Mathematical Th
 eory of Communication. Urbana: University of Illinois.
Wilkinson, J. S., & Fletcher, J. E. (1995). Bloody news and vulnerable populations: An ethical question. Journal of Mass 
Media Ethics, 10:3, 167.
Zillmann, D. (1978). Attribution and misattribution of excitatory reactions. In J.H. Harvey, W.J. Ickes & R. Kidd (Eds.), 
New directions in attribution research, Vol. 2, 335–368. Hillsdale, NJ: Lawrence Erlbaum Associates.
Zillmann, D., & Bryant, J. (1988a). Eff
 ects of prolonged consumption of pornography on family values. Journal of Family Issues, 9:4, 518–544.
Zillmann, D., & Bryant, J. (1988b). Pornography impact on sexual satisfaction. Journal of Applied Social Psychology, 
18:5, 438–453.

## Media Effects

Th is resource guide is designed to provide additional information about research on media eff ects. Each s ection in the resource guide corresponds with a section in the Media Eff ects Participant Guide and contains three sections: additional textual resources, useful web resources, and useful media resources, if applicable. Th e additional textual resources section provides references that off er a more in-depth understanding of the concept. Th e useful web resources section contains the URLs to websites that might be useful in teaching or researching the topic. Th e last section provides some resources on media eff ects in general. Links to websites are current as of June 2007.

## Defi Ning Media Effects Additional Textual Resources

Th
 e books mentioned below are introductory media eff
 ects and mass communication texts. Any similar text 
will include information on media eff
 ects.
 
-  
Bryant, J., & Th
 ompson, S. (2002). Fundamentals of Media Eff
 ects (First ed.). New York: McGraw-Hill 
Higher Education.
 
-  
Bryant, J. & Zillmann, D. (Eds.), (1994). Media Eff
 ect: Advances in Th
 eory and Research. Hillsdale, 
N.J.: Lawrence Erlbaum Associates.
 
-  
Dominick, J. R. (2005). Th
 e Dynamics of Mass Communication: Media in the Digital Age (8th ed.). New 
York: McGraw-Hill.
 
-  
Klapper, J. T. (1960). Th
 e Eff
 ects of Mass Communication. Glencoe, IL: Free Press.
 
-  
McQuail, D. (2005). McQuail's Mass Communication Th
 eory (5th ed.). London: Sage.

## Useful Web Resources

 
-  
http://en.wikipedia.org/wiki/Media_infuence —Like all Wikipedia entries, which are not vetted by 
any offi
  cial expert source, this should be approached with caution, but it contains a comprehensive 
overview and many helpful links to further information.
 
-  
http://www.cmpa.com/ —Th
 e Center for Media and Public Aff
 airs, a think tank organization with 
links to research on media eff
 ects.
 
-  
http://www.cultsock.ndirect.co.uk/MUHome/cshtml/ —Th
 e Communication, Cultural and Media 
Studies Infobase (ccms). Th
 is website provides an excellent overview of dozens of media eff
 ects and 
communication topics. Rated by Microsoft
 's Encarta as the "best web site" on communication and 
rated "Superior" by Encyclopedia Britannica Internet Guide.
 
-  
http://www.media-awareness.ca/english/index.cfm —Primarily concerned with media literacy, this 
resource for parents and teachers has excellent summary information on current issues in the study of 
media eff
 ects.

## Searching For Evidence Of The Media'S Impact Additional Textual Resources

 
-  
Bryant, J., & Th
 ompson, S. (2002). Fundamentals of Media Eff
 ects (First ed.). New York: McGraw-Hill 
Higher Education.
 
-  
Klapper, J.T. (1960). Th
 e Eff
 ects of Mass Communication. Glencoe, IL: Free Press.
 
-  
Lasswell, H.D. (1927). *Propaganda technique in World War I* Cambridge, Mass.: MIT Press.
 
-  
Lippmann, W. (1922). *Public Opinion.* New Brunswick, NJ: Transaction Publishers.
 
-  
McCombs, M.E., & Shaw, D.L. (1972). Th
 e Agenda-Setting Function of Mass Media. Public Opinion 
Quarterly, 36(2), 176–187.
 
-  
McLuhan, M. (1964). Understanding Media: Th
 e Extensions of Man (1st ed.). New York: McGraw-Hill.
 
-  
Shannon, C.E., & Weaver, W. (1949). Th
 e Mathematical Th
 eory of Communication. Urbana: University 
of Illinois.

## Useful Web Resources

 
-  
http://www.psychologymatters.org/bandura.html —Th
 is American Psychological Association (APA) 
web page includes information on social learning theory
 
-  
http://www.tcw.utwente.nl/theorieenoverzicht/Theory%20clusters/Health%20Communication/ Social_cognitive_theory.doc/ —Explanation of Social Cognitive Th
 eory

## Passive Versus Active Media Consumption Additional Textual Resources

 
-  
Blumler, J.G., & Katz, E. (1974). Th
 e Uses of Mass Communications: Current Perspectives on Gratifi
 cations Research. Beverly Hills, CA: Sage.
 
-  
McQuail, D. (2005). McQuail's Mass Communication Th
 eory (5th ed.). London: Sage.
 
-  
Morley, D. (2006). Unanswered Questions in Audience research. Th
 e Communication Review, 9(2), 
101–121.

## Useful Web Resources Additional Resources

 
-  
http://www.mediaed.org.uk/posted_documents/Audience.html —Information about audiences and media eff
 ects

## Useful Media Resources

 
-  
Film: 1984, the Truman Show, Wag the Dog

## Media Effects And Our View Of The World Additional Textual Resources

 
-  
Blumler, J.G., & Katz, E. (1974). Th
 e Uses of Mass Communications: Current Perspectives on Gratifi
 cations Research. Beverly Hills, CA: Sage.
 
-  
Bryant, J., & Th
 ompson, S. (2002). Fundamentals of Media Eff
 ects (First ed.). New York: McGraw-Hill 
Higher Education.
 
-  
Cohen, B.C. (1963). Th
 e Press and Foreign Policy. Princeton, NJ: Princeton University Press.
 
-  
Dominick, J.R. (2005). Th
 e Dynamics of Mass Communication: Media in the Digital Age (8th ed.). New 
York: McGraw-Hill.
 
-  
Entman, R.M. (1993). "Framing: Toward Clarifi
 cation of a Fractured Paradigm"
. Journal of Communica 
tion, 43(4), 51–59.
 
-  
Fiske, S.T., & Taylor, S.E. (1991). *Social cognition* (2nd. ed.). New York: McGraw-Hill.
 
-  
Gerbner, G., Gross, L., Jackson-Beeck, M., Jeff
 ries-Fox, S., & Signorielli, N. (1978). Cultural Indicators: Violence Profi
 le No. 9. *Journal of Communication, 28,* 176–207.
 
-  
Gerbner, G., Gross, L, Signorielli, N., & Morgan, M. (1980). Aging With Television: Images on Television Drama and Conceptions of Social Reality. *Journal of Communication, 30,* 37–47.
 
-  
Gitlin, T. (Cartographer). (1980). Th
 e Whole World is Watching: Mass Media in the Making & Unmaking of the New Left
 .
 
-  
Lippmann, W. (1922). *Public Opinion.* New Brunswick, NJ: Transaction Publishers.
 
-  
Wilkinson, J.S., & Fletcher, J.E. (1995). Bloody News and Vulnerable Populations: An Ethical Question. *Journal of Mass Media Ethics, 10(3),* 167.

## Useful Web Resources

 
-  
http://www.cscs.umich.edu/~crshalizi/notebooks/social-construction-of-reality.html —A historical 
look at the social construction of reality
 
-  
http://www.museum.tv/archives/etv/A/htmlA/audienceresec/audienceresec.htm   —Background information on Cultivation Analysis, the research led by George Gerbner

## How The Media Change Attitudes And Opinions Additional Textual Resources

 
-  
Burnkrant, R.E., & Unnava, H.R. (1989). Self-Referencing - a Strategy for Increasing Processing of 
Message Content. *Personality and Social Psychology Bulletin, 15*(4), 628–638.
 
-  
Petty, R., & Cacioppo, J.T. (1996). Attitudes and Persuasion: Classic and Contemporary Approaches. 
Boulder: Westview Press.
 
-  
Rogers, E.M. (2003 [1962]). Diff
 usion of innovations (5th ed.). New York: Free Press.

## Useful Web Resources

 
-  
http://courses.umass.edu/psych586/readings/sears.1994.pdf —Media eff
 ects on political persuasion

## Useful Media Resources

 
- Film: Deadly Persuasion, Th
 e Advertising of Alcohol and Tobacco

## Negative Outcomes Often Attributed To Media Exposure Additional Textual Resources

 
-  
Bryant, J., & Th
 ompson, S. (2002). Fundamentals of Media Eff
 ects (First ed.). New York: McGraw-Hill 
Higher Education.
 
-  
Court, J.H. (1984). Sex and Violence: A Ripple Eff
 ect. In N.M. Malamuth & E. Donnerstein (Eds.), 
Pornography and sexual aggression (pp. 143–172). Orlando, FL: Academic Press.
 
-  
Harris, R.J. (1994). Th
 e Impact of Sexually Explicit Media. In J. Bryant & D. Zillmann (Eds.), Media 
Eff
 ects: Advances in Th
 eory and Research (pp. 505). Hillsdale, N.J.: Lawrence Erlbaum Associates.
 
-  
Zillmann, D. (1978). Attribution and Misattribution of Excitatory Reactions. In J.H. Harvey, W.J. Ickes 
& R. Kidd (Eds.), *New directions in attribution research* (Vol. 2, pp. 335–368). Hillsdale, N. J.: Lawrence 
Erlbaum Associates.
 
-  
Zillmann, D., & Bryant, J. (1988a). Eff
 ects of Prolonged Consumption of Pornography on Family 
V 
alues. *Journal of Family Issues, 9*(4), 518–544.
 
-  
Zillmann, D., & Bryant, J. (1988b). Pornography Impact on Sexual Satisfaction. Journal of Applied 
Social Psychology, 18(5), 438–453.

## Useful Web Resources

 
-  
http://tvnews.vanderbilt.edu —Link to the Vanderbilt Television Archive which holds more than 
30,000 U.S. evening news programs
 
-  
http://www.uweb.ucsb.edu/~ker/   —A collection of industry perspective, scholarly research, case 
studies, and public opinion related to media violence

## Useful Media Resources

 
-  
Films: Natural Born Killers, Bowling for Columbine, Th
 e Matrix, A Clockwork Orange
 
-  
Television programs: All in the Family, Tom and Jerry, Bugs Bunny, NYPD Blue, MTV
 
-  
Video games: Mortal Kombat, Doom, and Killer Instinct

## Learning From Media Additional Textual Resources

 
-  
Bryant, J., & Th
 ompson, S. (2002). Fundamentals of Media Eff
 ects (First ed.). New York: McGraw-Hill 
Higher Education.

## Useful Web Resources

 
-  
http://www.aap.org/family/tv1.htm —Background information about the eff
 ects of television on children and explanation of V-chip ratings
 
-  
http://www.adcouncil.org/default.aspx?id=15 —Read and watch more than 60 years worth of advertisements for American public health and safety campaigns produced by the Ad Council
 
-  
http://www.sesameworkshop.org/ —Th
 e online home of Sesame Street and Th
 e Children's Television 
Workshop

## Useful Media Resources

 
-  
Advertising: See Ad Council link above for online access to dozens of public service announcements
 
-  
Television: Sesame Street, Blues Clues, Barney

## Digital Media Effects Additional Textual Resources

 
-  
Bryant, J., & Th
 ompson, S. (2002). Fundamentals of Media Eff
 ects (First ed.). New York: McGraw-Hill 
Higher Education.

## Useful Web Resources

 
-  
http://www.apa.org/monitor/feb03/unraveling.html —Th
 e eff
 ects of digital media on children

## Framing Defi Nitions

"
A frame is a central organizing idea for making sense of relevant events and suggesting what is at issue." 
(Gamson & Modigliani, 1989, p. 3)
"To frame is to select some aspects of a perceived reality and make them more salient in a communicating text, in such a way as to promote a particular problem defi nition, causal interpretation, moral evaluation, and/or treatment recommendation for the item described." (Entman, 1993, p. 52)
"
A framing eff ect is said to occur when, in the course of describing an issue or event, a speaker's emphasis on a subset of potentially relevant considerations causes individuals to focus on these considerations when constructing their opinions." (Druckman, 2001, p. 1042)
Frames "organize the world both for journalists who report it and, in some important degree, for us who rely on their reports." (Gitlin, 1980, p. 7)
"Frames are organizing principles that are socially shared and persistent over time, that work symbolically to structure the social world." (Reese, 2001, p. 11)

## Further Explanation

While the above mentioned defi nitions provide a good introduction, the concept of framing can be better understood by comparing it to the process of persuasion through belief change. Nelson, Oxley, and Clawson (1997) explain that persuasion through belief change occurs when an individual or group receives new information that changes their beliefs about a certain issue. In contrast, "frames operate by activating information *already at the recipients' disposal*, stored in long-term memory." (original emphasis, p. 225).

Th eir explanation can be understood using the expectancy value model of attitudes:
A=ΣViWi (Anderson, 1981; Ajzen & Fishbein, 1980) or Attitude = Sum total of beliefs regarding an attitude object (Vi) and the weight given to that belief (Wi) Persuasion through belief change changes the value of Vi, or the beliefs regarding an attitude object.

framing Framing changes the value of Wi, or the weight given to that belief:
"Frames tell people how to weight the oft en confl icting considerations that enter into everyday political deliberations. Frames may supply no new information about an issue, yet their infl uence on our opinions may be decisive through their eff ect on the perceived relevance of alternative considerations." (Nelson et al., p. 226)
Furthermore, while it is more diffi
  cult to persuade more sophisticated individuals, who already possess a lot of information about an issue, than those who are less sophisticated and do not possess as much information, Nelson et al. explain that framing eff ects will not diff er according to the sophistication of the audience. 

Th at is, due to the framing eff ect, even those who possess a lot of information about an issue will change the weight they give to their beliefs about the issue. However, this fi nding is contradicted by Rhee (1997) who inferred that the knowledge of the audience has a direct eff ect on their interpretation of a framed message.

According to another viewpoint, framing eff ects occur due to the increase in accessibility of certain issues (Chong, 1996; Kinder & Sanders, 1996). Th at is, "as particular frames rise to prominence, some opinion ingredients are highlighted and made more accessible while others are shunted to the side" (Kinder 
& Sanders, p. 174). Th is perspective makes framing very similar to priming, so it is also known as the framing-as-priming hypothesis.

Yet, framing also diff ers from priming as well as agenda setting, and these diff erences have been explained in the separate documents on priming and agenda setting.

## Examples

Th e following are some examples of framing:

 
1.  
Iyengar (1990) compared the eff
 ects of episodic and thematic framing of news stories about poverty.


"In the thematic frame, the news might consist of information bearing on general trends (e.g. the 
poverty rate, the number of states experiencing signifi
 cant increases in hunger…), or matters of public 
policy (the Reagan administration's proposal to curtail various social welfare programs…)." (p. 22) "In the episodic frame, by contrast, poverty is covered in terms of personal experience; the viewer is 
provided with a particular instance of an individual or family living under economic duress." (p. 22) Th
 e study concluded that when a thematic frame is used to report poverty, responsibility is assigned 
to the society. In contrast, when an episodic frame is used to report poverty, responsibility is assigned to the individual.
 
2.  
A study by Roya Akhavan-Majid and Ramaprasad (1998) compared the Unites States and Chinese 
press coverage of the fourth United Nations conference on women and the NGO forum. Th
 e study 
revealed a strong infl
 uence of ideology on the framing of news stories. Th
 e anti-communist ideology prevalent in the United States led to an overwhelming trend in the U.S. newspapers to criticize China rather than focus on the issues that were directly relevant to the conference. In addition, an anti-feminist frame was noticed in the U.S. coverage, because the women attending the conference were oft
 en portrayed in derogatory terms. Th
 e Chinese coverage used a pro-equality frame due to 
the communist ideology dominant in the country, and the issues of concern to the conference were emphasized as well. Moreover, praise of China's preparation eff
 orts for the conference was also present, in a somewhat subtle form, in the Chinese coverage.
 
3.  
An analysis of the California Civil Rights Initiative's public campaign to defeat affi
  rmative action policies revealed that a "an 'individual rights' framing" was used to cover systemic racism and emphasize "ideologies of rugged individualism and the mythic American meritocracy." (Mukherjee, 2000, p. 42)
 
4.  
A study by Pratt, Ha and Pratt (2002) revealed that stigmatized diseases such as HIV/AIDs were more oft
 en framed with "negative, derogatory descriptions" (p. 899) in African popular media than nonstigmatized diseases such as tuberculosis.


Another study on the framing of HIV/AIDS, on the 5 transnational wire services, revealed that "overall, 
the global AIDS-HIV story of the 1990s seemed to move slightly beyond the biomedical frame of the late-1980s. Although this frame remains prominent, the coverage also emphasizes the socioeconomic, cultural, policy, human rights, and ethical aspects of the pandemic. Th
 e portrayal of AIDS or people living 
with AIDS-HIV as deviant has decreased considerably as has the moral panic angle. On the downside, the projection of AIDS as a globally interrelated phenomenon and the need for prevention and education glaringly lacks emphasis. Th
 e AIDS situation in lesser-developed countries is framed mostly in socioeconomic terms, whereas developed regions are framed mostly in biomedical terms.
" (Bardhan, 2001, p. 303)
 
5.  
A study by Edy and Meirick (2007) tested the eff
 ects of the framing of the September 11, 2001 attacks by 
the three major television networks on the support for the war in Afghanistan. Th
 e study revealed that 
the framing pattern observed on the television networks did not match their adoption by the audience. For example, 'pure war' was the most frequently televised frame, but least prevalent among the audience. However, the frame adoption of the audience infl
 uenced their reaction to the Afghanistan war. Th
 ose 
who adopted the 'vengeance frame' supported the war the most, followed by those who adopted the 'pure war frame,' 'pure crime frame,' and 'war crime frame' in decreasing order of magnitude. "A 'pure crime' perspective conceptualizes the events of September 11 as an attack on individuals by 
individuals, a moral judgment that suggests a need to redress private wrongs but that is also likely to fi
 nd the expansion of punishment beyond those directly responsible morally unacceptable. In contrast, the 'vengeance frame' makes the group responsible for attacks on individuals. Because the group is guilty, infl
 icting harm on group members who may have played no direct role in the attacks is morally acceptable. Indeed, there may be an 'eye-for-an-eye' logic behind the relative willingness of those subscribing to this frame to infl
 ict civilian casualties in Afghanistan. A 'pure war' frame describes an 
attack on a group by a group, creating an 'us-versus-them' evaluation that justifi
 es military action on 
the grounds of self-defense. However, the moral valence of such a posture is subtly diff
 erent from that 
of pure crime or vengeance in that it invokes the idea of self-defense rather than seeking redress on behalf of others. A 'war-crime frame' invokes its own unique moral judgment. Like the war frame, it defi
 nes its user as a member of a wronged group; however, it identifi
 es not a general 'enemy' but specifi
 c 'criminals' responsible for the wrong." (p. 136)
 
6.  
Semetko and Valkenburg (2000) conducted a content analysis of the frames used in Dutch national 
news (2601 newspaper stories and 1522 television news stories) from May 1 to June 20, 1997, which 
was the period that led up to the meeting of the heads of government of EU countries held in Amsterdam on June 16th and 17th, 1997.
 
 
Th
 e categories used for coding were as follows:
 
A.  
Confl
 ict Frame: "Th
 is frame emphasizes confl
 ict between individuals, groups, or institutions as a 
means of capturing audience interest." (p. 95)
 
B.  
Human Interest Frame: "Such a frame refers to an eff
 ort to personalize the news, dramatize or 
'emotionalize' the news, in order to capture and retain audience interest." (p. 96)
 
C.  
Economic Consequences Frame: "Th
 is frame reports an event, problem, or issue in terms of the consequences it will have economically on an individual, group, institution, region, or country." (p. 96)
 
D.  
Morality Frame: "Th
 is frame puts the event, problem, or issue in the context of religious tenets or 
moral prescriptions." (p. 96)
 
E.  
Responsibility Frame: "Th
 e frame presents an issue or problem is such a way as to attribute responsibility for its cause or solution to either the government or to an individual or group." (p. 96)
framing Th e study revealed that while serious newspapers and television stations used the responsibility and confl ict frames most oft en, the sensationalist newspapers and television stations used the human interest frame most oft en.

Also, the news was coded for four topics - European integration, crime, drugs, and immigration. Among these the European integration and crime emerged as most important. Th e study found that "topics about Europe and European integration were more frequently framed in terms of attribution of responsibility and economic consequences than were stories about crime. Stories about crime, on the other hand, were more oft en framed in terms of human interest. Th ere was no signifi cant diff erence between stories about Europe and those about crime in terms of the prevalence of a confl ict frame." (p. 104)

## Selected References

Bardhan, N. (2001). Transnational AIDS-HIV news narratives: A critical exploration of overarching frames. Mass 
Communication & Society, 4, 283–309.
Druckman, J. (2001). On limits of framing eff
 ects. Who can frame? *Journal of Politics, 63, 1041–1066*.
Edy, J. A. & Meirick, P. C. (2007). Wanted, dead or alive: Media frames, frame adoption, and support for the war in 
Afghanistan. Journal of Communication, 57, 11–141.
Entman, R. M. (1993). Framing: Toward clarifi
 cation of a fractured paradigm. Journal of Communication, 43, 51–58.
Gamson, W. A. & Modigliani, A. (1989). Media discourse and public opinion on nuclear power: A constructionist 
approach. American Journal of Sociology, 95, 1–37.
Gitlin, T. (1980). Th
 e whole world is watching: Mass media in the making and unmaking of the New Left
 . Berkeley: 
University of California Press.
Iyengar. S. (1990). Framing responsibility for political issues: Th
 e case of poverty. Political Behavior, 12, 19–40.
Kinder, D. R. & Sanders, L. M. (1996). *Divided by color: Racial politics and democratic ideals.* Chicago: University of 
Chicago Press.
Mukherjee, R. (2000). Regulating race in the California civil rights initiative: Enemies, allies, and alibis. Journal of 
Communication, 27–47.
Nelson, T. E., Oxley, Z. M., & Clawson, R. A. (1997). Toward a psychology of framing eff
 ects. Political Behavior, 19, 
221–246.
Reese, S. D. (2001). Introduction. In S. D. Reese, O. H. Gandy, & A. E. Grant (Eds.), Framing public life: Perspectives 
on media and our understanding of the social world (pp. 1–31). Mahwah, NJ: Erlbaum.
Semetko, H. A. & Valkenburg, P. M. (2000). Framing European politics: A content analysis of press and television 
news. Journal of Communication, 93–109.

## Agenda Setting By The Media Defi Nitions

"
Agenda-setting is an inherently causal theory. Studies generally have found some form of positive association between the amount of mass media content devoted to an issue and the development of a place on the public agenda for that issue." (Scheufele, 2000, p. 304)
"Whereas the 'fi rst level' of agenda setting is focused on the relative salience (usually operationally defi ned as perceived importance) of issues or subjects, the 'second level' examines the relative salience of attributes of issues…" (Weaver, 2007, p. 142)
"While the mass media may have little infl uence on the direction or intensity of the attitudes, it is hypothesized that the mass media set the agenda for each political campaign, infl uencing the salience of attitudes toward the political issues.

" (original emphasis) (McCombs & Shaw, 1972, p. 177)
" '
Agenda-setting' refers to the process by which problems become salient as political issues around which policy alternatives can be defi ned and support or opposition can be crystallized… In this context, agenda status refers to issue *salience* (relative perceived importance of a problem), not issue *position* (relative approval of a policy)." (original emphasis) (Erbring, Goldenberg, & Miller, 1980, p. 16–17)

## Further Explanation

Most scholars agree that agenda-setting and priming are similar concepts, which are both interested in how issue salience and accessibility are increased by media coverage:
"
Agenda-setting and priming rely on the notion of attitude accessibility. Mass media have the power to increase levels of importance assigned to issues by audience members. Th ey increase the salience of issues or the ease with which these considerations can be retrieved from memory if individuals have to make political judgments about political actors. In other words, media infl uence the standards by which audience members evaluate political fi gures." (Scheufele, 2000, p. 309)
Some scholars choose to diff erentiate between fi rst level and second level agenda setting, as defi ned above. In that case, fi rst level agenda setting is usually compared and considered to be similar to priming, while second level agenda setting is usually compared and considered to be similar to framing:
"Priming is the impact that agenda-setting can have on the way individuals evaluate public offi
  cials by infl uencing the thematic areas or issues that individuals use to form these evaluations. Framing can be considered an extension of agenda-setting as it 'is the selection of a restricted number of thematically related attributes for inclusion on the media agenda when a particular object is discussed' (McCombs, 1997, p. 6). In other words, whereas agenda-setting is concerned with the salience of issues, frame-setting, or second-level agenda-setting (McCombs, Llamas, Lopez-Escobar, & Rey, 1997) is concerned with the salience of issue attributes." (Scheufele, 2000, p. 298)
Th ere are three criteria that need to be met to convincingly argue that there is evidence of an agendasetting eff ect: 
"First, some form of covariation needs to be identifi ed between the two variables under study. Second, potential alternative explanations need to be ruled out. Th ird, a temporal order between independent and dependent variable has to be established…" (Scheufele, 2000, p. 304)
Th e independent variable, in the case of an agenda-setting study, is the amount of media coverage given to an issue, whereas the dependent variable is the importance given to that issue by the public. 

Th e major fl aw with many agenda-setting studies is that they do not fulfi ll the second and third criteria.

## Examples

Th e following are some examples of agenda setting:

 
1.  
A study by Ader (1995) found support for the hypothesis that "the media agenda and the public 
agenda for the issue of pollution will be related with a change in the media agenda leading to a change in the public agenda." (p. 302) 
 
2.  
A study, by Kwansah-Aidoo (2001), of media coverage of environmental issues in Ghana found a correlation between the environmental issues that the public considered important and the environmental issues given importance by the media, as per the 1997 PACIPE Media Report. 
 
3.  
Bakir (2006) described how Greenpeace used media coverage to emphasize the risks associated with 
the "planned deep-sea disposal of Shell-UK's fi
 rst decommissioned North Sea structure" (p. 67). 
Although their claims were partly incorrect, Greenpeace was able to set the policy agenda and infl
 uence the Oslp-Paris (OSPAR) Commission Environment Ministers to vote "for a full ban on marine dumping of steel oil installations and a zero discharge requirement for radioactive waste." (p. 68)
 
4.  
A study by Kiousis and McCombs (2004) "compared data on media content with public opinion 
data collected during the 1996 presidential election by the University of Michigan's National Election Studies (NES) pre-election poll. In particular, media content and public opinion about 11 major 
political fi
 gures were analyzed to assess the relationships among news coverage, public salience, and 
the strength of public attitudes." (p. 43–44) 

Th
 e study concluded that political leaders were more recognizable to the public as the media coverage 
of those leaders increased. Th
 e results also proved that as the media coverage of leaders increased, nonneutral attitudes towards these leaders and extreme attitudes towards these leaders increased as well.
 
5.  
A study by Holbrook and Hill (2005) reported that viewing of crime dramas increased the possibilities 
of the viewer considering crime to be "one of the most important problems facing the nation." (p. 283)
 
6.  
A study by Wanta, Golan, and Lee (2004) reported that "the more media coverage a nation received, the more likely respondents were to think the nation was vitally important to U.S. interests, supporting the agenda-setting hypothesis. Th
 e more negative coverage a nation received, the more likely 
respondents were to think negatively about the nation, supporting the second level of agenda setting. Positive coverage of a nation had no infl
 uence on public perceptions." (p. 364)
 
7  
Studies by Weaver, Graber, McCombs, and Eyal (1981) and McCombs, Lopez-Escobar, and Llamas (2000) found a strong correlation between the pre-election media agenda of candidate attributes and the voters' agenda of candidate attributes. Th
 e former study was about the 1976 U.S. presidential election contested by Jimmy Carter and Jerry Ford. Th
 e latter study was about the 1996 Spanish general 
election.
 
8  
A study by Jones and Baumgartner (2004) found a correspondence between the agenda of the public 
and the Congress, and the agenda of the public and the lawmakers in the national government. Th
 at is, 
the public plays an important agenda setting role. However, the Congress deals with a greater number of issues than the public does.

## Selected References

Ader, C. R. (1995). A longitudinal study of agenda setting for the issue of environmental pollution. Journalism and 
Mass Communication Quarterly, 72, 300–311.
Bakir, V. (2006). Policy agenda setting and risk communication: Greenpeace, shell, and issue of trust. Press/Politics, 
11, 67–88.
Erbring, L., Goldenberg, E. N., & Miller, A. H. (1980). Front-page news and real-world cues: A new look at agendasetting by the media. American Journal of Political Science, 24, 16–49.
Holbrook, R. A. & Hill, T. G. (2005). Agenda-setting and priming in prime time television: Crime dramas as political 
cues. Political Communication, 22, 277–295.
Kiousis, S. & McCombs, M. (2004). Agenda-setting eff
 ects and attitude strength: Political fi
 gures during the 1996 
presidential election. Communication Research, 31, 36–57.
Kwansah-Aidoo, K. (2001). Th
 e appeal of qualitative methods to traditional agenda-setting research. Gazzette, 63 (6), 
521–537.
McCombs, M. F., & Shaw, D. L. (1972). Th
 e agenda-setting function of mass media. Public Opinion Quarterly, 36, 
176–187.
McCombs, M. F., (1997). New frontiers in agenda setting: Agendas of attributes and frames. Mass Communication 
Review, 24, 32–52.
Scheufele, D. A. (2000). Agenda-setting, priming, and framing revisited: Another look at cognitive eff
 ects of political 
communication. Mass Communication & Society, 3, 297–316.
Wanta, W., Golan, G., & Lee, C. (2004). Agenda setting and internacional news: Media infl
 uence on public perception. Journalism and Mass Communication Quarterly, 81, 364–377.
Weaver, D. H. (2007). Th
 oughts on agenda setting, framing, and priming. Journal of Communication, 57, 142–147.
DFID, 2008, 'Media and Good Governance: A DFID Practice Paper,' Department for International Development, London http://www.gsdrc.org/go/display&type=Document&id=3711
Th is practice note, from the UK's Department for International Development (DFID), summarises the key global media trends which are leading to changes in country-level governance. It also explains some of the incentives and disincentives driving the sector which can lead the media to play either a positive or negative role in strengthening democratic politics. Donors should better understand how media can enable or prohibit citizen engagement, analyse the political implications of support to the media, and promote an enabling communications environment.

Deane, J., 2008, 'Why the Media Matters: the Relevance of the Media to Tackling Global Poverty'
, in Section 1 of ed. Harvey, M., 'Media Matters: Perspectives on Advancing Governance and Development,' Global Forum for Media Development, Internews Europe. http://www.gsdrc.org/go/display&type=Document&id=3720
Th is paper from the Global Forum for Media Development argues that the media has a critical role in poverty reduction, particularly by fostering country ownership of development strategies and the accountability of governments to their citizens. However, the media operates in a politically and economically hostile environment with only fragmented, inconsistent and short-term support from donors. It therefore remains largely peripheral to development action. Th e media can and must enable people with the most to win or lose from development debates to access, understand and contribute to them.

Norris, P. and Odugbemi, S., 2010, '
Assessing the Extent to Which the News Media Act as Watchdogs, Agenda Setters and Gatekeepers,' Chapter 15 in ed. Norris, P., 2010, 'Public Sentinel: News Media and Governance Reform,' CommGAP, World Bank, Washington D.C. http://www.gsdrc.org/go/display&type=Document&id=3748

Th
 is review from the World Bank's Communication for Governance and Accountability Program fi
                                                                            nds that 
news media are important in furthering democratic governance, provided they are set up in a way that allows 
them to act as eff
              ective watchdogs, agenda setters and gatekeepers. Barriers to the fulfi
                                                                   lment of these roles 
include restrictions on press freedom, market failures, and lack of professional standards, weak civil society, and 
limitations in media literacy and public access to the media. Further research is required to fully determine the 
relationship between a free media and democratic governance.

Norris, P., 2008, 'Th e Role of the Free Press in Promoting Democratization, Good Governance and Human Development'
, in Section 2 of ed. Harvey, M., 'Media Matters: Perspectives on Advancing Governance and Development'
, Global Forum for Media Development, Internews Europe.

http://www.gsdrc.org/go/display&type=Document&id=3719

Th
 is book chapter published by Internews Europe examines the results of a large-N cross-sectional comparison 
analysing the impact of press freedom on multiple indicators of democracy and good governance. Th
                                                                            e study 
seeks to test the hypothesis that where the media functions eff
                                               ectively as a watch-dog, a civic forum and an 
agenda-setter it helps to promote democracy, good governance and thus human development. Findings support 
claims that the free press is important, both intrinsically and instrumentally, as a major component of democ-
racy and good governance.

## Recommended Reading And Resources

CommGAP, 2009, 'Media Eff ects' Technical Brief, Communication for Governance and Accountability Program (CommGAP), World Bank, Washington DC. http://siteresources.worldbank.org/EXTGOVACC/Resources/MediaEff ectsweb.pdf

## Videos

Zubaru Kaloko, National Power Authority, Sierra Leone, CommGAP Global Dialogue, 'Governance Reform under Real-World Conditions: a Dialogue on Communication Challenges'
, 2007. Running time: 
1:27 minutes http://www.youtube.com/watch?v=Gu8bbnkdBoo&feature=results_main&playnext=1&list=PL9C9840FF5
1D3ECE9
Media Eff ects, Graphical Animation, CommGAP, Produced by the World Bank Institute, 2010. 

Running time: 2:56 minutes http: 
//www.youtube.com/watch?v=qvgURfZMGoQ&feature=mfu_in_order&list=UL

## Coalition Building

Th is session off ers insights on the 'how' of managing the politics of change through supporting multistakeholder coalitions for reform. Experience shows that reform eff orts are oft en derailed by powerfullyvested interests and organized local elites. How to deal with intractable parties has been a persistent challenge in implementing diffi
  cult reform initiatives.

Participants will learn how the Philippines was successful in passing a procurement reform law with a coalition-building strategy deployed by the reform coalition. Th e coalition did so as a 'well-oiled machine' 
that focused on empowering coalitions to overcome hostile and indiff erent public opinion and advance broad multi-stakeholder support for change. Th e case study in this session demonstrates how strategic communication can play a central role in galvanizing civil groups and the media to demand legislative approval, in this case, of a procurement reform bill.

## Key Concepts And Messages

- A coalition building strategy is critical in navigating the complex political landscape in a governance 
reform environment. It can guide the reform team in mitigating risks and creating opportunities to move 
from the status quo or poor equilibrium to an envisioned state or good equilibrium.
- A well-designed communication strategy is at the core of an eff
 ective coalition-building approach. It can 
act as the glue for bringing together critical allies and stakeholders to diminish risks from collectiveaction problems where benefi
 ciaries/supporters are oft
 en diff
 used and unorganized.

## Learning Outcomes

By the end of the session, participants will be able to:

- Recognize the advantages of using a coalition building strategy, - Deploy coalition building techniques to address challenges in reform implementation, - Design a communication strategy to build a coalition of supporters for governance reform.

## T Eaching Notes And Process Guide

Content and Process
Presentation Slides and Process Cues

[Two active buttons here, side by side :]*

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## How To Build Broad Coalitions Of Pro-Change Influentials What To Do About Powerful Vested Interests Approaches

| Focus on infl                                                                                         |  uentials                                                                             |
|-------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------|
| fi                                                                                                    | eld of expertise and are able to sway the opinions of others. Because reform is about |
| changing the status quo, overcoming resistance to and promoting support for change is                 |                                                                                       |
| better facilitated with the support of infl                                                           | uentials for that particular change effort. The                                       |
| techniques that are used to implement this approach include research, stakeholder mapping,            |                                                                                       |
| framing and branding initiatives and raising issue awareness among key stakeholders.                  |                                                                                       |
| Focus on networks                                                                                     |                                                                                       |
| and connectors                                                                                        |                                                                                       |
| This network-based approach seeks to identify a connector, also known as a broker or resource-        |                                                                                       |
| linker, who "sits at the center of relationships and basically manages constituencies whose           |                                                                                       |
| engagement is necessary for effective reform." The connector is an individual who crosses             |                                                                                       |
| organizational boundaries across networks. This connector role can be played by various               |                                                                                       |
| individuals at different stages of the reform effort. Using this approach to build coalitions assumes |                                                                                       |
| that networks and coalitions already exist and that there are connectors within these networks        |                                                                                       |
| who may wield infl                                                                                    | uence, bring people together and can effect change. It recognizes the power           |
| of the networks and often invisible connectors within them. The techniques that can be used to        |                                                                                       |
| implement this approach include the following: (1) performing research, (2) conducting network        |                                                                                       |
| analysis, (3) consulting directly with the affected parties, (4) creating an enabling environment     |                                                                                       |
| through empowering structures and transparency within coalitions, and (5) training technicians in     |                                                                                       |
| government to operate within networks rather than in isolation.                                       |                                                                                       |
| Use broad-based                                                                                       |                                                                                       |
| coalitions to get on                                                                                  |                                                                                       |
| the policy agenda                                                                                     |                                                                                       |
| Coalitions are powerful when the issues they advocate reach the top of the policy-making              |                                                                                       |
| agenda through the consensus of affected stakeholders. Successful coalition building arrives          |                                                                                       |
| from a broad-based consensus generated by pro-change agents. The techniques that can                  |                                                                                       |
| be used to implement this approach are (1) performing research, (2) framing, branding, and            |                                                                                       |
| advocacy of issues, (3) raising awareness of stakeholders about key issues, (4) using inclusion       |                                                                                       |
| and decentralization for ownership and sustainability, (5) creating and sustaining momentum           |                                                                                       |
| for change through a sense of urgency, (6) building the capacity of all stakeholders to               |                                                                                       |
| communicate, and (7) using the appropriate information and communication technology (ICT)             |                                                                                       |
| for the local context.                                                                                |                                                                                       |
Engage and partner with civil society in creative ways.

Increasingly, civil society is seen to represent legitimate and credible voice in public debate and policy making. This approach takes into account that broader and deeper engagements and partnerships with civil society are necessary to build effective coalitions for reform. Recognizing the need to talk about issues in new and creative ways is particularly important for a broader engagement with civil society to build coalitions. In working with organizations, the focus should not only be on the process of engagement with civil society, but also on the projected outcomes of those partnerships. In identifying like-minded individuals for coalition building, it is best not only to pick the easiest and most obvious individuals or groups to mobilize, but attempt to be creative in the search, keeping in mind that coalitions are not necessarily issue-specifi c. It is also useful to include national and international NGOs in the search. Although the legitimacy of international coalitions is sometimes questioned, these should not be discounted simply because these entities are not indigenous. Vocal international coalitions can play an important role in mobilizing groups around an issue. Several techniques for pursuing this approach include performing research; framing, branding, and advocacy of issues; creating a new stakeholder group, if needed; building an enabling environment through empowering structures and transparency within coalitions; creating and maintaining momentum for change through a sense of urgency; building capacity of all stakeholders to communicate; and using ICT appropriate to the local context.

## Techniques

Understand the local context by engaging in extensive research
Conducting research to understand the local context is the fi
 rst and most important 
step in any attempt at change. It is critical to enter the reform process without the prejudice of an established set of prescriptions, and to strive to understand what brings stakeholders together or pulls them apart in a particular setting. In addressing the challenge of building coalitions and tackling vested interests, stakeholder research identifi
 es the 
key players and decision makers, assesses their positions and determines the political feasibility of interventions. It provides the basis on which to develop a strategy for a thorough and effective engagement with all stakeholders. In terms of designing a strategy for tackling vested interests, it is important to speak with the opposition groups to get their perspective. Ultimately the success of any effort at building a powerful coalition for mobilizing change rests upon the quality of the research.
Conduct stakeholder mapping.
Stakeholder mapping is a process of determining the type, degree, tools, and context of infl
 uences among stakeholders. It is a research-based technique to fi
 nd the sources of infl
 uence, 
called infl
 uentials in a given society. Following a four-step sequence to (1) identify, (2) locate and 
profi
 le, (3) engage, and (4) map stakeholders according to their interests, level of infl
 uence and 
position regarding the reform. The fi
 ndings of the research contribute to the development of a 
dynamic visual map that illustrates the fl
 ows of infl
 uence among stakeholders and leading to the 
identifi
 cation of the infl
 uentials.
Conduct network analysis. 
Network analysis is the main technique for identifying the connector, also known as a broker or resource linker. This analysis uses interviews to determine who connects individuals and groups in an organization or institution. Connectors are often found in the most unlikely places. Mapping the system of networks with the connectors is a useful exercise in starting the process of building coalitions for change. The basis of network analysis is the understanding that networks and coalitions always exist, and they exist in forms that are not always obvious or intuitive. Connectors can also be detrimental if they are in opposition to one's cause. When one assesses the local environment for coalition

building, therefore, it is important to bear in mind that various types of coalitions exist, and these are formed most frequently because of resource dependency and uncertainty. Hence, they are not necessarily issue specifi c. Weak ties as well as informal networks and relationships are also relevant to discussions about coalitions. It would be useful to consider the strength of these ties when conducting research.

Brand the reform initiative, and frame messages to reinforce the branding.

Once the messengers have been identifi ed through stakeholder mapping and network analysis, the message needs to be framed appropriately to reinforce the branding of a given reform initiative. The development of an advocacy strategy would build awareness and promote support for the societal issue. A concrete agenda with measurable goals is needed to clarify the coalition's objectives and activities. Additionally the messenger must have a clear vision of the reform and say it in a way that helps to mobilize affected stakeholders and satisfy their expectations. In building coalitions, it is important to cut out intermediaries and consult directly with stakeholders for their input and ideas. 

Consult directly with the affected parties. Create a new stakeholder group if needed.

When the search for existing groups with similar objectives or interests does not yield results, another option is to try to create a new stakeholder group. In coalition building, it may be prudent to frame the issue loosely to bring as many people together as possible into the initial discussion. This framing would be distinct from identifying salient issues up front that would narrow the pool of potential coalition members even before the fi rst gathering. 

Holding regular consultations with coalition members and creating a platform for consensus building provides a forum where agreement is reached on a common objective, defi nes the reform program, mobilizes support, builds committed constituencies and establishes partnerships. Building trust among coalition members through an enabling environment with an empowering structure is critical for producing sustainable ownership of reform. Using transparency through regular communication is an important technique. 

Conduct information campaigns and regular consultations to promote transparency and ownership.

Broad-based ownership of reform can be built through inclusion and decentralization. Country experience shows that the principle of inclusion was applied through the formation of a policy-making steering committee comprising all key stakeholders. In addition, a separate implementation unit, independent of the ministry, was established to ensure that even if the government changed, the reform process would continue. That autonomy gave rise to public confi dence and faith that the process would be transparent and absent of government manipulation or intervention.

Create a multi-
stakeholder policy-
making group and 
an independent 
implementation 
body to ensure 
ownership and 
sustainability.

The attention span of humans is seldom short. When one is building coalitions for change, 
it is therefore critical to keep the issue alive by creating a sense of urgency to build on that 
momentum. Linking an issue to a change in legislation is one way of achieving this goal 
because there is a defi
                       nite and specifi
                                       c objective of the coalition members.

Link the issue to change in legislation to create a sense of urgency and momentum for change.

Train technicians in 
government to work 
in networks rather 
than in isolation.

Building coalitions within government can be a challenge because many civil servants are 
technicians who are used to working in isolation rather than in networks. While coalition-
building efforts should target technicians, be forewarned that they are diffi
                                                                           cult to mobilize 
into coalitions because of their tendency to work in isolation. The best way of overcoming 
this tendency is to train technicians to communicate and to work in teams and networks.

Use information and communication technology (ICT) appropriate to the local context.

If ICT adoption is high in a country, ICT may be a useful tool in pushing reform. In terms of mobilizing support for reform, ICT is also benefi cial for the raising awareness, education, as well as a means for sharing case studies and success stories. An example of a successful application of ICT for coalition building is the development and use of screensavers and video tutorials to stimulate awareness and build support among civil servants for the passage of a new procurement law in the Philippines

## Coalition Building Defi Ning Coalitions

Th ere are many ways that individuals and groups can work together toward realizing a shared vision and attaining common goals. Th ey can share information, organize joint activities, and collaborate on settingup an organization to further programmatic objectives. Experience from around the world has shown that among the available options for collaborative engagement, building coalitions is one of the most eff ective ways of achieving common objectives. Examples of successful coalition building eff orts range from the community level to the international context, and can be found in various sectors of governance and development.

Coalitions have been defi ned as "self conscious, freely-organized, active and lasting alliances of elites, organizations, and citizens sharing partially overlapping political goals."1 As such, coalitions are structures of formal collaboration undergirded by a common vision, and facilitate shared decision making power, infl uence, and material resources among individuals, groups, and organizations. Formed to carry out joint or coordinated activities,2 coalitions can either be a time-bound or open-ended partnering to achieve a common purpose. In either case, sustaining gains arising from collaborative engagement should always be a serious consideration, to guard against the threat of counter-reform by vested interests.

Th e return to signifi cant investments of time and energy is the higher likelihood of successful and sustain able reform eff orts. Coalitions can achieve what one citizen or organization cannot do alone, making those who are perceived to be weak—in government bureaucracies, nonprofi ts, and the general citizenry—
less vulnerable to harassment and intimidation of vested interests. For marginal and less resourced groups, coalitions serve as the "primary mechanism through which disempowered parties can develop their power base and thereby better defend their interests."3 Th us, coalition members, deriving strength from each other, are emboldened to more vigorously pursue their goals.

Coalitions are able to mitigate challenges by providing a shared platform for likeminded pro-change individuals and groups, leveraging the collective force of their members and infl uential allies, focusing the public spotlight on advocacy issues in the public arena, and applying pressure among leadership circles, within bureaucratic environments, and in the larger public sphere, toward the eff ective and sustainable implementation of reform.

## How Are Coalitions Formed?

Coalitions are products of deliberate, concerted, and painstaking eff orts among those who understand that collective action is more powerful than disparate eff orts carried out by lone champions and loosely affi
  liated groups. Structured and formal collaboration allow these societal actors to combine scarce resources and, by acting in concert, increase the power of their voices in the public sphere to eff ect positive change.4 Th is paper cites some of the lessons learned from experiences in building strong and lasting coalitions that increase the likelihood of successful reform.

In the areas of governance and development, coalitions have served many purposes and have been formed in various ways. However, experiences from around the world suggest that there are some essential steps to coalition building that can be carried out in diff erent sequences. Th e following coalition building stages do not comprise a comprehensive nor prescriptive list. Th at said, to increase the likelihood of success of change initiatives, it is imperative that reform leaders take stock of the ways in which coalitions have previously been successfully built and made sustainable. Drawing on a wide range of sources from the fi elds of leadership, communication, negotiation, and development, we fi nd that coalitions are formed and strengthened through the following stages:

 
-  
Issue Identifi
 cation and Specifi
 cation: the overall objective of the problem is articulated and broken 
down for detailed analysis; policy options are defi
 ned in terms of a continuum of options (from 
minimum to maximum reform positions) that particular stakeholders may either support or fi
 nd 
unpalatable
 
-  
Relationship/Stakeholder Mapping: signifi
 cant actors are identifi
 ed, positions toward key and related 
issues are plotted, especially in terms of the policy options identifi
 ed in the previous step
 
-  
Forming Core Membership: the core of a coalition is convinced about and becomes self-aware of the 
benefi
 ts of change; core actors are organized, early leaders and champions are identifi
 ed, and the joint 
agenda takes shape
 
-  
Demonstrating Credibility: coalition demonstrates it is knowledgeable about relevant issues, can act 
eff
 ectively, and is worthy of support from stakeholders
 
-  
Purposeful Expansion: a critical stage when a small organization builds a broader social and resource 
base while retaining coherence and eff
 ectiveness
 
-  
Sustainable Transformation: during which the coalition has grown and becomes polycentric, with 
initiatives on many fronts, drawing strength from many sources
Th e above-stated processes through which coalitions are formed and made sustainable have requisite research, networking, lobbying, and mass outreach activities. Communication between and among current and potential coalition members plays an important role in these activities, and should be key considerations in coalition building eff orts. It is to the communicative dimensions of coalition building to which we now turn.

## The Communication Dimensions Of Coalition Building

Coalition building requires tackling a complex array of challenges, one of which is getting the communication dimension right. Eff ective communication eff orts range from facilitating networks among likeminded political elites; fostering deliberation, dialogue, and debate among multiple stakeholders, especially public sector middle managers; measuring and informing public opinion; and building support among various interest publics as well as the general citizenry.

Eff ective communication eff orts in support of coalition building help secure, strengthen, and sustain political will at various bureaucratic levels. Both decision-making elites and public sector middle managers require support of likeminded individuals and organizations that will provide political cover when unpopular decisions need to be made in the public interest. Th e leveraging of shared resources allows coalitions to more eff ectively inform and cultivate support among publics. Inclusive and participatory approaches made possible by coalitions create a consensus for reform which increases the likelihood of success and sustainability of change eff orts.

While there may be no one way to build strong coalitions, experiences from around the world suggest that eff ective communication is an essential component that needs to be deployed judiciously in diff erent combinations and sequences, depending on the needs and stages of formation of particular coalitions. Each of the coalition building stages listed above implies communication activities, as listed here under each stage:

 
-  
Issue Identifi
 cation and Specifi
 cation: communication eff
 orts should focus on gauging public opinion 
and consulting with policy experts to determine the national mood,5 public discourse, and policy 
options surrounding the reform initiative (use public opinion research methods and key informant interviews)
 
-  
Relationship/Stakeholder Mapping: communication eff
 orts should focus on listening to actors and key 
informants, including using and analyzing public opinion data to determine positions of general public as well as subgroups (use public opinion research methods, key informant interviews, and network analysis)
 
-  
Forming Core Membership: communication eff
 orts should focus on lobbying and persuasion of infl
 uential individuals and key targets, as well as deepening understanding of their positions and trade-off
 s 
(use lobbying and persuasion techniques)
 
-  
Demonstrating Credibility: communication/messages should focus on successes to date (even small 
ones), but framed as much as possible in terms of the interests and incentives of core membership and 
key stakeholders; coalition should also demonstrate mastery of the issues surrounding the reform (use 
issue framing and media relations techniques)
 
-  
Purposeful Expansion: the target of communication eff
 orts should shift
  toward addressing the interests of broader relevant issue and policy networks (use framing for collective action and networking 
approaches)
 
-  
Sustainable Transformation: communication eff
 orts should broaden and include appeals to the general public, especially in terms of addressing social norms (use framing for collective action and media relations techniques)
While the contributions of communication to coalition building in support of reform are multi-faceted, successful efforts from around the world suggest that these initiatives can be boiled down into two categories: communication efforts that either **build trust**, especially during early formative stages, and leverage diversity, to make the most of a coalition's broad membership. Finding a balance between trust and diversity which exert pressure in opposite directions, much like centripetal and centrifugal forces, strengthens a coalition's orbital rotation around a particular issue and enhances its influence in the public sphere.

Coalition members must enjoy a level of trust that will enable the ceding of a signifi cant amount of autonomy, i.e., in sharing resources and decision making power). At the same time, each member's access to relevant policy networks and interest publics should be leveraged toward increasing the scope and infl uence of the coalition. It is toward building trust and managing diversity that eff ective communication is critical. Th e chart in Annex A renders the relationships among coalition building stages, their communication dimensions and a phased approach to building trust and leveraging diversity.

## What Motivates People To Join Coalitions?

Convincing stakeholders to join a coalition requires craft ing messages that resonate with the motivations of potential and current members. A recommended communication approach in this regard is called "framing for collective action," which essentially means fi nding a way to sell the coalition by tapping into the motivations of stakeholders. Two dimensions of human motivations (shared purpose and sought aft er rewards) are discussed below.

From the study of political psychology, we have learned that particular types of shared purpose play important roles in individuals' decisions to participate in social movements.6 An attempt is made here to apply these shared purposes to our understanding of coalition building. Appeals for stakeholders to join can be craft ed based on the following:

 
-  
Identity—highlighting identifi
 cation with preexisting ingroups, such as those based on ethnicity, 
gender, profession, etc.
 
-  
Ideology—responding to an individual's search for meaning (e.g., to serve the marginalized or enhance 
individual liberty) and serve as a platform for expression of one's voice (e.g., coalition as a forum for deliberation and debate)
 
-  
Instrumentality—providing opportunities to infl
 uence the social and political environment in the 
direction of a potential coalition member's pragmatic goals
Shared purpose is oft en refl ected in the stated objectives of the coalition, and is the most obvious reason for joining. It thus makes sense to communicate based on one or a combination of the shared purposes listed above. Eff ective communication, however, requires more than simply proclaiming whether a coalition's purpose is based on identity, ideology or instrumentality. Sahr Kpundeh argues that in addition to shared purpose, there are sought aft er rewards that drive the desire to join and maintain membership in coalitions. Th ese include:

 
-  
Material incentives: rewards of tangible value, such as money, goods, or jobs—communicate in terms 
of material benefi
 ts to the ingroup, such as shared decision making power over the allocation of pooled 
resources and a fair share of the gains from joint eff
 orts
 
-  
Specifi
 c solidary incentives: ". . . intangible rewards arising out of the act of associating can be given to, 
or withheld from, individuals—communicate a sense of belonging and prestige derived from membership
 
-  
Collective solidary incentives: ". . . intangible rewards created by the act of associating that must be 
enjoyed by the whole group, and restricted to group members—communicate a sense of fellowship 
and community derived from membership
Crossing categories of shared purposes with sought aft er rewards results in a more nuanced understanding of human motivations. Th is enhanced understanding can guide reform leaders in craft ing messages that might appeal to various stakeholders, once eff orts have been made to understand the motivations of particular stakeholders.

Shared Purpose
Sought After Rewards Identity
Ideology
Instrumentality
Material (tangible)
Resources for ingroup
Resources for the cause, in 
general
Resources for specifi
 c 
projects and programs
Specifi
 c solidary 
(intangible)
Sense of prestige and belonging
Affi
 rmation of personal 
beliefs and convictions
Political effi
 cacy7 (i.e., the 
individual's belief that she or he can make a difference)
Collective solidary (intangible)
Sense of community
Affi
 rmation of shared 
purpose
Collective effi
 cacy (i.e., the 
group's belief that it can make a difference)

Coalitions have the capacity to appeal to overlapping motivations of multiple constituencies. Th e broader the shared agenda among members and the larger the number of segments of society a coalition seeks to mobilize, the more potential motivations will be available for message craft ing. However, sensitivity to cross-purposes among members needs to be managed by eff ective communication and decision making rules. While coalitions, by defi nition, serve a common vision, they must also cater to multiple motivations given their broad memberships.

A caveat. It should be noted that long term sustainability is not always an overarching goal of coalition building since it could make sense for coalition members to disband once their joint purpose has been fulfi lled. However, there are long term policy and advocacy issues that require attention over time, especially in terms of applying pressure on decision makers and bureaucratic implementers to follow through on commitments. Th is suggests that sustainability should always be seriously considered to guard against the threat of counter-reform by vested interests.

## What Are Some Examples Of Successful Coalitions?

Some examples of successful coalition building eff orts in support of reform are considered here, including anti- corruption eff orts in the Philippines, improving water services in Kenya, privatizing public enterprises in India, and judicial sector reform in Georgia.

## Example 1: Transparency And Accountability Coalition In The Philippines8

In the Philippines, the Transparent Accountable Governance (TAG) initiative is a good example of successful pro-reform coalition building. In the late 1990's, Th e Asia Foundation was able to build a coalition for curbing corruption and fostering an improved environment for economic growth. Initially partnering with academic institutions to carry out research activities to examine the problem of corruption in the Philippines, the coalition was joined over time by other groups such as the League of Cities of the Philippines, credible NGOs and private sector partners. Th ese additional coalition members increased the infl uence and ensured sustainable support for the program. In addition, creation of the TAG Web site (http://www.tag. org.ph) proved instrumental in empowering citizens and motivating them to participate by making their contribution visible in a publicly accessible space.

Unlike traditional, one-way communication, which keeps repeating the same simple message through the same channel, coalition building is about building trust. Th is, requires engaging people with credible messages, backed up by research and evidence and delivered by credible messengers. Vested interests are at a disadvantage in this new landscape. TAG has had signifi cant achievements, such as textbook monitoring with the Department of Education, development of a feedback mechanism for procurement monitoring with the Offi
  ce of the Ombudsman, and development of deployment soft ware for civil society observers of the Bids and Awards Committee.

## Example 2: Water Sector Reform Coalition In Kenya9

In Kenya, building broad coalitions around decentralized institutions led to successful implementation of water sector reforms. High-level policy makers and other stakeholders brought on board broad political and social support ensuring a transparent and accountable process. Because of a clear focus on the major issues in the country's water sector, the political momentum created with the incoming government (in 2003), and the renewed interest in water by the government's development partners, a coalition quickly coalesced around reforms. Guided by the interministerial Water Sector Reform Steering Committee (WSRSC), the Water Sector Reform Secretariat (WSRS) implemented the reforms.

In the late 1990s, chronic water shortages had cultivated among the citizenry a sense of urgency for sector reforms. Th e Ministry of Water and Irrigation's role was, therefore, to build a coalition not only among people and groups who were disgruntled with the administration of water services to date but also among others who needed to be associated with such reforms, especially the new government that had campaigned on a platform of good governance and improved public service delivery. Under the new government, political awareness about water sector reform led to responsiveness to stakeholder demand for action and transparency in the reform process. Th e success of reform was due to broad-based consensus, stakeholder mobilization, the formation of a policy-making steering committee composed of key stakeholders, and the establishment of an independent implementation unit free of government manipulation or intervention.

## Example 3: Judicial Reform Coalition In Georgia10

In Georgia, survey results and focus groups suggested that citizens thought very poorly of the judiciary and showed a strong mistrust toward the institution. Although the leadership of the judiciary was capable and reform oriented, changes in the system were not going to happen overnight, and when they would take place, they would be known only to those using the courts. Explaining those changes to the public was a challenge because of the judiciary's low credibility. Messages in support of judicial reform would be much more successful if they were to be communicated by a neutral third party.

For this purpose, several NGOs active in the fi eld of justice created a new organization—the Association for Legal Public Education (ALPE)—tasked to implement the communication program. Th us, four NGOs and a state body, the Council of Justice, established ALPE. Th e new organization was given the responsibility of walking a very thin line: while remaining an NGO with a strong, independent voice, it had to engage the judiciary to become more open and transparent while at the same time helping the judiciary to reach out to the public.

## Example 4: Public Enterprise Reform Coalition In India11

Another successful coalition building eff ort was the controversial public enterprise reform in West Bengal, India. Many powerful and long established stakeholder groups opposed change, each with its own reason to preserve the current balance of power. In support of reform, government used a coalition to neutralize opponents. Th ose tasks required sophisticated deployment of communication techniques. In a low-key and transparent manner, government launched a broad, consultative dialogue among public enterprise managers, unions, and government: identifying problems together, drawing conclusions about the similar problems faced by the majority of fi rms in the public enterprise sector, and by exploring available options. Th is approach gave labor leadership a sense of shared ownership of the problems together with management and government.

Th e communication strategy followed logically from the political nature of the problem that communication was required to address. Once the decision was made for government fi rst to work with core stakeholders and later to involve mass media, there was no large audience involved at the beginning, and the core stakeholders could meet more or less in one room. Th e most intimate, fl exible, and credible medium, then, was face-to-face meetings; the second-most was written correspondence. Th ese letters and minutes not only kept all core stakeholders aware of how the policy debate progressed, but also put stakeholder positions on the record and discouraged participants from backsliding or shying away from earlier concessions. Personal meetings and transparent statements on paper were eff ective means of building transparency, credibility, and trust.

## Annex A

Key Challenges: A Phased Approach
Coalition Building Stages
Description of Each Stage
Communication Dimension/s and Recommended Techniques
Building Trust
Issue Framing and Specifi
 cation
Overall objective of the political problem is articulated and broken down; policy options are defi
 ned in terms of a 
continuum of options
Relationship/ Stakeholder Mapping
Signifi
 cant actors are 
identifi
 ed, positions toward 
key and related issues are plotted
Forming Core Coalition Membership
Core of a coalition is organized, early leaders and champions identifi
 ed, 
and agenda takes shape
Leveraging Diversity
Demonstrating Credibility
Coalition demonstrates it can act effectively and is worthy of support from stakeholders
Purposeful Expansion
Critical stage when a small organization builds a broader social and resource base while retaining coherence and effectiveness
Sustainable Transformation
Coalition has grown and becomes polycentric, with initiatives on many fronts, drawing strength from many sources
Gauging public opinion and consulting with policy experts to determine the national mood, public discourse, and policy options surrounding the reform initiative (use public opinion research methods and key informant interviews)
Listening to actors and key informants, including using and analyzing public opinion data to determine positions of general public as well as subgroups (use public opinion research methods, network analysis, and key informant interviews)
Listening to, lobbying, and persuasion of infl
 uential individuals and key targets, as well 
as deepening understanding of their positions and trade-offs (use lobbying and persuasion techniques)
Messages should focus on successes to date, even small ones, framed in terms of the interests and incentives of core membership and key stakeholders (use issue framing and media relations techniques)
Target of communication efforts should shift toward addressing the interests of broader relevant interest publics and policy networks (use framing for collective action and networking approaches)
Communication efforts should broaden and include appeals to the general public, especially in terms of addressing social norms (use framing 
for collective action and media relations techniques)

## Network Analysis Defi Nitions

"Social network analysis is focused on uncovering the patterning of people's interaction. It is about the kind of patterning that Roger Brown described when he wrote: 
"Social structure becomes actually visible in an anthill; the movements and contacts one sees are not random but patterned. We should also be able to see structure in the life of an American community if we had a suffi
  ciently remote vantage point, a point from which persons would appear to be small moving dots. 

. . . We should see that these dots do not randomly approach one another, that some are usually together, some meet oft en, some never. . . . If one could get far enough away from it human life would become pure pattern.

" 
Network analysis is based on the intuitive notion that these patterns are important features of the lives of the individuals who display them. Network analysts believe that how an individual lives depends in large part on how that individual is tied into the larger web of social connections. Many believe, moreover, that the success or failure of societies and organizations oft en depends on the patterning of their internal structure." (International Network for Social Network Analysis, Available Online: http://www.insna.org/INSNA/ na_inf.html, Accessed 07/30/07)
"Social Network Analysis is an approach to studying organizations focusing on analyzing the networks of relationships between people and/or groups as the most important aspect. Going back at least to the 1950s, it is characterized by adopting mathematical techniques especially from *graph theory*. It has applications in organizational psychology, sociology, and anthropology." (original emphasis) (Dekker, 2005, p. 2)
"Network theory . . . attempts to explicate how social and cultural phenomenon emerge out of interaction 
. . . Th is may be done by measuring the properties of local interactions as well as diff erent kinds of emergent structures, ideally through time, across observable networks of communication and of social and instrumental relations, events, and activities." (White, 2004, p. 173)
"Network analysts study the patterning of the social connections that link sets of actors. For the most part they seek to uncover either or both of two kinds of patterns. Th ey oft en look for *social groups*–collections of actors who are closely linked to one another. Or, alternatively, they look for *social positions*–sets of actors who are linked into the total social system in similar ways." (original emphasis) (Freeman, 2000, p. 2)
"Network analysis is a method of collecting and analyzing data from multiple individuals or organizations that may be interacting with one another. Th e focus here is on networks of *organizations*, recognizing that it is the individuals who actually interact on behalf of their organizations. Unlike more traditional network analysis methods, the unit of analysis is the relationship, not the organization itself. Network analysis allows for the examination and comparison of relationships between two organizations (dyads), among clusters or cliques of organizations, and among all of the organizations comprised by the network" (Provan, Veazie, Staten, & Teufel-Shone, 2005, p. 605).

## Further Explanation

Cross and Parker (2004) explain that a social network analysis can be both "personal (egocentric) and group (bounded) network assessments."(p. 143) When the personal approach is used, an individual is questioned about his or her contacts regarding a particular issue. When the group approach is used, a network or group is initially identifi ed and a list of group members, who can be questioned about their ties within the group, is gathered. 

Cross and Parker (2004) also list the following steps for conducting a social network analysis:

 
1.  
Identify a strategically important group.
 
2.  
Assess meaningful and actionable relationships.
 
3.  
Visually analyze the results using a social network diagram.
 
4.  
Quantitatively analyze the results using metrics such as centrality and cohesion.
 
5.  
Create meaningful feedback sessions.
 
6.  
Assess progress and eff
 ectiveness.

## Examples

Th e following are some examples of network analysis being conducted in the real world.

1. A network analysis, conducted longitudinally, of informal conversational partners regarding AIDS and 
family planning in rural Malawi revealed that the network ties were weak. Also, "networks tend to be more stable over short periods of time, especially for males, and that family planning networks tended to be more stable than AIDS networks." (Assche, 2005, p. 238). Some of the salient characteristics of these conversational networks are as follows. First, the networks are dynamic and theirs sizes increased 
between 1998, when the fi
 rst set of interviews were conducted, and 2001, when the second set of interviews were conducted. Second, respondents reported to have strong geographical and social links with 
those they named as members of their network. Th
 ird, there is a substantial overlap–30% for males in 
1998, 40% for males in 2001–between family planning and AIDS network partners (Assche, 2005).
2. A social network analysis conducted in Northern Ireland, to test the relationship between social contacts outside one's religious group and political behavior, revealed that social contacts via marriage of Protestants with Catholics and vice versa signifi
 cantly increased the chances of their identifying with the 
opposite political platform (i.e. Protestants with Irish Nationalism and Catholics with Protestant Unionists and Loyalists). However, social contacts between Protestants and Catholics through friendship, the 
workplace, or the neighborhood had no signifi
 cant impact on their chances of identifying with the opposite political platform. (McAllister, 1983) 
3. Halliburton, one of the leading organizations associated with the global petroleum and energy industries, used Social Network Analysis (SNA) to improve communities of practice (CoP) within their 
organization. In only one year, SNA produced a number of measurable results, in a global community of practice, such as a 24% decrease in customer dissatisfaction and a 10% increase in operational productivity. Th e SNA was geared towards increasing connectivity at key points within a community of practice and decreasing connectivity at irrelevant points. Some of the network diagnoses done through SNA are as follows. First, identifi cation of the over reliance on a few important people. Second, identifi cation of network silos where information was contained and not fl owing out. Th ird, identifi cation of the lack of awareness regarding expertise distributed in the network. Fourth, identifi cation of key individuals who possessed expertise but maintained a peripheral position within the network; thus not participating to the extent possible. (Cross, Laseter, Parker, & Velasquez, 2006)
4. Network analysis conducted at a global technology organization revealed that there was an over reliance on key executives, whose absence led to a striking fragmentation in the network. One of the problems of this fragmentation, for example, was the inability of the lower rungs of the organization to collaborate and provide optimal solutions to customers. Th e identifi cation of these problems led to signifi cant restructuring of the workforce. (Cross & Parker, 2004)
5. A technology consulting organization changed its structure from having separate offi
  ces in each major city, which operated independently, to consolidating offi
  ces into four groups representing four regions of the United States. Th e rationale for the restructuring was to improve the ability to pool in expertise for a particular project and thus better compete with other consulting fi rms that had gone global and could tap into a larger pool of resources. 

A network analysis was conducted to assess the level of collaboration in these four regions. Th ere was a surprising disparity in the level of integration in one region that performed much better than another relatively fragmented region. While offi
  ces in the better performing region were actively sharing expertise, this was not the case in the other region, where there was no forum for the employees to interact. Also, the better performing region encouraged people to collaborate while working on a project, even if it meant assigning two people to work on the project for 3 months, and spending more money, instead on one person working on it for 6 months. Th ere were diff erences, moreover, in the hiring practices of the better performing region, which gave separate weight to a candidate's collaborative skills. 

## Selected References

Cross, R. & Parker, A. (2004). Th
 e hidden power of social networks: Understanding how work really gets done in organizations. Boston, MA: Harvard Business School Press.
Cross, R., Laseter, T., Parker, A., & Velasquez, G. (2006). Using social network analysis to improve communities of 
practice. California Management Review, 49, 32–60.
Cross, R., Parker, A., & Sasson, L. (Eds.) (2003). *Networks in the knowledge economy.* New York: Oxford University 
Press.
Decker, T. Conceptual distance in social network analysis. *Journal of Social Structure, 6* (online). Available: 
http://www.cmu.edu/joss/content/articles/volume6/dekker/index.html
Freeman, L. C. Visualizing social networks. *Journal of Social Structure, 6* (online). Available: http://www.cmu.edu/
joss/content/articles/volume1/Freeman.html
Jaccard, J. & Levinson, R. A. (1995). Student opinion leaders and HIV/AIDS knowledge and risk behavior. Journal of 
American College Health, 43.
McAllister, I. (1983). Social contracts and political behavior in Northern Ireland, 1968-78. Social Networks, 5, 303–313. White, D. (2004). Network analysis and social dynamics. Cybernetics and Systems: An International Journal, 35, 
173–192.

## Reading List

Campos, J. Edgardo, and Jose Luis Syquia. 2006. Managing the Politics of Reform: Overhauling the Legal Infrastructure of Public Procurement in the Philippines. World Bank WorkingPaper 70. Washington, DC: 
World Bank Cabañero-Verzosa, C. & Garcia, H. (2009). Building commitment to reform through strategic communication. Th e fi ve key decisions. Washington DC: World Bank Group.

CommGAP, 2008, 'Coalition Building'
, Communication for Governance and Accountability Program 
(CommGAP), World Bank, Washington DC http://www.gsdrc.org/go/display&type=Document&id=3746

Th
 is briefi
        ng draws on experience from around the world, particularly from Kenya, the Philippines, Georgia 
and India. It argues that eff
                     ective coalitions require careful use of communication to foster trust among mem-
bers while also leveraging diversity - a delicate balancing act. Communication strategies should be sequenced 
according to each coalition's particular needs and stage of formation.

Steve Masty (2008). Communication, Coalition Building, and Development: Public Enterprise Reform in 
West Bengal and Orissa States, India. In S. Odugbemi & T. Jacobson (Eds.), Governance Reform Under Real-
World Conditions: Citizens, Stakeholder, and Voice (pp. 355–389). Washington, D.C.: Th
                                                                                e International Bank 
for Reconstruction and Development / Th
                                      e World Bank.

## Online

Forsythe, Janice. "
A Guide to Coalition Building." Cypress Consulting. 

http://www.cypresscon.com/coalition.html. 

Th
 is guide off
          ers clear descriptions of what coalitions are, their advantages and disadvantages, and how to go 
about building them.

"Coalition Building."
http://www.colorado.edu/confl
                               ict/peace/problem/coalition.htm.

People can build their power base and their ability to pursue (or resist) force-based strategies by building coalitions with people with complementary interests. Members of these coalitions promise to help each other advance their interests and defend themselves from external force-based strategies. Th is site off ers a condensed explanation of what coalition building is and what it entails. 

Wadud, Eric. "Coalition Building: Starting a Coalition." 
 le/92-1.pdf

## Recommended Reading And Resources Videos

Jose Edgardo Campos, Governance Practice Manager, World Bank Institute, World Bank Institute-
CommGAP workshop on 'Political Economy Analysis to Action: Political Communication Approaches and Techniques', 2009, World Bank, Washington DC. Running time: 2:22 minutes http://www.youtube.com/watch?v=3Z_7fea0VoM&feature=youtu.be Karen Tumulty, National Political Reporter, Th e Washington Post,  World Bank Institute, World Bank Institute-CommGAP workshop on 'Political Economy Analysis to Action: Political Communication Approaches and Techniques', 2009, World Bank, Washington DC. Running time: 4:36 minutes http://www.youtube.com/watch?v=ox3l-U3cXOI&feature=youtu.be

## Mitigating The Collective Action Problem

Collective-action problems pose risks to successful governance reform. And so, we look need to look at the challenge of transforming indiff erent, apathetic or the uninformed mass public to become informed and involved stakeholders. We explore the leading factors behind collective-action problems, drawing lessons from specifi c real-world experiences of how two countries, India and the Philippines, addressed the problem. Participants will learn mitigation techniques that can overcome these diffi
  cult obstacles to reform.

## Key Concepts And Messages

- Addressing collective-action problems in reform is critical to breaking barriers arising from indiff
 erent, 
apathetic or uninformed masses or groups with vested interests.
- Th
 e key factors that lead to collective-action problems are motivational and informational.
- Communication infl
 uence-mechanisms off
 er eff
 ective approaches in diminishing risks and creating 
opportunities for achieving positive reform outcomes.

## Learning Outcomes

By the end of the session, participants will be able to:

- Defi
 ne and distinguish the factors that lead to collective action problems,
- Analyze diff
 erent kinds of collective action problems and identify their respective characteristics,
- Apply mitigation techniques drawing lessons from practical real—world examples

## Exercise: Small Group Work: Message Framing To Improve Service Delivery Session Length: 90 Minutes T Eaching Notes And Process Guide

Content and Process
Presentation Slides and Process Cues

[Two active buttons here, side by side :]*

Play Slideshow 
Download Presentation File

## Message Framing To Improve Service Delivery Case Study: Metro Sarangaya Water Reform Project Small Group Work

T I M E  A L L O T T E D :   4 5  M I N U T E S
Note: Participants are required to have read the Sarangaya case study prior to this session. Th is material can be found in Session Nine on page ___.

## Purpose

To apply your understanding of the collective action problem and mitigation techniques.     

## Process

 
 
1. Ask participants to break into small groups of four to fi
 ve people.   
 
2. Advance to the slide for exercise instructions (*Slide No. 17*) and screen it for the participants.
 
3. Review the activity process:


Role:  You are a member of reform team of the Ministry of Water dealing with the problem in 
Sarangaya. 
 
- Identify a collective action problem
 
- Defi
 ne the type of collective action problem - political, organizational or public?
 
- Determine the mitigation 'strategy'
 
- Determine the mitigation 'techniques'
 
-  
Use the fl
 ip chart to present results of group work indicating:  Stakeholders, Goal, Type, Strategy and 
Tactics
 
4. Ask each group to present its exercise output in plenary.  
 
5. Invite participants to share their insights and lessons about the process. 
 
6. Summarize participant insights and observations.

## Transforming Indifferent Or Hostile Public Opinion Into Support For Reform Approaches

| Make the case.                                                                                    | This approach calls for reformers to campaign actively for the proposed reform project and to    |
|---------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------|
| transform indifferent or even hostile public opinion into support for reform objectives. In other |                                                                                                  |
| words, the campaign itself will be an argument in favor of implementing the reforms. Making       |                                                                                                  |
| the case thereby implies that the reformers take an active stance in communicating the agenda     |                                                                                                  |
| and its importance in transforming public opinion; that is, the reformers assume the burden of    |                                                                                                  |
| explaining the worthiness of the proposed project. It is crucial, moreover, that the reformers    |                                                                                                  |
| arm themselves with the appropriate tools to help them win the battle against indifferent or      |                                                                                                  |
| hostile public opinion.                                                                           |                                                                                                  |
| The techniques that can be used to implement this approach include the following: (1)             |                                                                                                  |
| communicate the costs of failure to implement and the benefi                                      | ts of implementing the reform                                                                    |
| project, (2) provide citizens with easy access to information that explains the reform            |                                                                                                  |
| project, (3) gather suffi                                                                         | cient material resources to support the pro-reform campaign, (4)                                 |
| record the ongoing arguments so they can be referenced in the future, (5) communicate             |                                                                                                  |
| in language that is easily understandable, (6) use the appropriate communication tools for        |                                                                                                  |
| reaching the right people, (7) use narratives to argue in favor of reforms, (8) use strategic     |                                                                                                  |
| frames to argue in favor of reforms, (9) use trigger devices such as natural catastrophes,        |                                                                                                  |
| unanticipated human tragedies, technological repercussions, societal imbalance, and               |                                                                                                  |
| ecological change to argue in favor of reforms, (10) use condensation symbols, such as            |                                                                                                  |
| catchphrases, exemplars and metaphors, and (11) use ICT to monitor reforms.                       |                                                                                                  |
| Build cultural                                                                                    |                                                                                                  |
| empathy.                                                                                          |                                                                                                  |
| This approach suggests that reformers empathize with and understand the perspectives              |                                                                                                  |
| of those being infl                                                                               | uenced by the reform project. Reformers using this approach try to                               |
| understand the reasons why people would support or oppose a proposed reform project               |                                                                                                  |
| and then explain the reform program in terms that resonate with the affected stakeholders.        |                                                                                                  |
| In this the use of locally infl                                                                   | uential people and local media to transmit messages that are                                     |
| culturally sensitive is particularly useful. The techniques that can be used to implement         |                                                                                                  |
| this approach include conducting opinion research, especially focus groups; using                 |                                                                                                  |
| culturally relevant narratives to explain reforms; communicating in language that is easily       |                                                                                                  |
| understandable; issue framing; creating participatory reform groups (forums, summits,             |                                                                                                  |
| schools, and the like) to increase awareness for the reforms; using trigger devices to argue      |                                                                                                  |
| in favor of reforms; and adopting condensation symbols, such as catchphrases, exemplars,          |                                                                                                  |
| and metaphors.                                                                                    |                                                                                                  |
Use dialogue to create a participatory environment.

This approach calls for reformers to engage in dialogue with those affected by the proposed reform project. Instead of relying on one-way or monologic communication, this approach uses two-way communication that fl ows between the reformers and the affected stakeholder groups. Through engaging stakeholders in dialogue, reformers give stakeholders the space for engagement in the reform process instead of simply functioning as recipients of information about reform. To create a participatory environment, reformers could get involved in public deliberation, dialogue, and communal engagement in civil society institutions. Dialogue can also be fostered through ICT. The techniques that can be used to implement this approach include the following: (1) create participatory reform groups (such as forums, summits, and schools) to increase awareness reforms, (2) provide citizens with easy access to information that explains the reform project, (3) communicate in language that is easily understood, (4) use appropriate communication tools that reach the right people, and (5) respond to the citizens' demands and needs; and use ICT to build networks and mobilize people.

## Techniques

Use the Strength of Personality (PS) scale

A research technique for identifying infl
                                         uentials to mobilize public opinion around an issue is 
the Strength of Personality (PS) scale, which was developed in 1983 by the German scholar 
Elisabeth Noelle-Neumann of the Allensbach Institute. This scale evaluates the ability of an 
individual to infl
                uence others, based on the results of a questionnaire that asks respondents 
to give a self-assessment of their perceived personal infl
                                                          uence. This technique can also be 
used for mobilizing networks and coalitions.

Create participatory reform groups (such as forums, summits, and schools) to increase 
awareness about the reforms and develop stakeholder ownership for the reform. This 
technique creates participatory institutions or reform groups in which information 
regarding reform projects is shared and discussed to build understanding of the goals of 
the reforms. These reform groups should ideally be moderated or supervised by individuals 
from within the community that is targeted by the reform project, so that information 
regarding the reform project can be presented in culturally familiar terms.

As commonly acknowledged by communication scholars, a frame can be defi
                                                                       ned as a pattern or 
structure for understanding the world around us. Frames can be used strategically to present 
an issue in a manner that benefi
                             ts a particular political platform. This technique suggests that 
reformers use strategic frames to communicate the pro-reform messages.

Use strategic frames 
to argue in favor 
of or to explain 
reforms

Reframe the 
issue rather when 
confronting hostility

This technique is useful for handling anti-reform public opinion. When people are hostile 
to a proposed reform initiative, this technique recommends that the pro-reform argument 
be reframed to curb hostility rather than using the objection to fi
                                                                  ght against the negative 
opinion. Reframing the pro reform argument requires taking into consideration the anti-
reform argument.

This technique makes people aware of what they might lose with failure of the reform 
implementation; that is, they would continue to incur the material or monetary losses of 
which they may not even be aware, in order to increase pro-reform public opinion.

Communicate 
the benefi
        ts and 
costs of reform 
implementation 
versus failure to 
do so

This technique recommends that the reformers speak in language that is easily understood and resonates with the people affected by the reforms. Instead of technical jargon, the use of ordinary terms is more effective for reaching out to the larger public.

Communicate in 
language that is 
easily understood, 
and generate 
support for reform 
through the use 
of frames and 
narratives.

Frames highlight terms and issues that are salient to audiences and provide critical value in 
an information campaign. Similarly, the use of narratives can also be effective in reaching 
out to certain stakeholder groups. A narrative is defi
                                                       ned as a story told in the sequence in 
which it occurred. Narratives are commonly used in many communities to transmit cultural 
histories, values, and norms, and are thus useful in communicating effectively within those 
communities.

In communicating with affected stakeholders, reformers should choose carefully the 
communication tools and media to reach them. For instance, depending on the local 
context, a particular medium that is more appropriate—billboards instead of newspapers—
than another.

Use appropriate media to reach affected stakeholders.

This is a technique of using the power and reach of ICT to create networks of pro-reform campaigners through electronic mail, cellular phones, instant messaging and the Internet.

Use ICT to build networks and mobilize people.

## Multi-Stakeholder Dialogue Defi Ning Stakeholding

Stakeholding is a *process* by which stakeholders are actively involved in the design, delivery, review and improvement of products and services (including political and social services). Stakeholders are involved to ensure gains over the long term.1 Stakeholder theory describes organizational connections to stakeholders addressing how stakeholders can enhance an organization and become more engaged.2

## Types Of Stakeholders

A stakeholder is a person, or group of persons, with who has an interest or concern in a particular process due to direct or indirect involvement. Marsh (1998) proposes four major types of stakeholders (p. 27).1

 
1.  
Core Stakeholders—people essential to 
the organization or process
 
2.  
Customers—people who receive the 
product or service (community members, interest groups)
 
3.  
Controllers—people who defi
 ne, regulate, and infl
 uence the organization or 
process (legislators, regulators, providers of capital, government services, media, trustees)
 
4.  
Partners—people through whom part 
or all of the service is provided (suppliers, temporary staff
 , distributors, agents, 
consultants)

## What Is Stakeholder Dialogue?3

 
-  
An interactive, working communication process that involves *all types* of stakeholders in decisionmaking and implementation eff
 orts.
 
-  
Involves *all* interest groups with a concern in a two-way communication process.
 
-  
Focuses on increasing understanding and relations among stakeholders through the use of communication that enable participants to move forward with implementation plans.
 
-  
Stakeholder dialogue is generative—discourages blaming for the past and creates a shared future.

## Dimensions Of Stakeholder Dialogue4

Pederson (2006) has identifi ed fi ve dimensions of stakeholder dialogue and engagement. Th ese fi ve dimensions defi ne the extent to which a stakeholder dialogue is truly participatory. For a dialogue to be productive and participatory all these dimensions should be considered.

 
1.  
Inclusion—If important stakeholders are left
  out of decision-making the benefi
 ts of dialogue can be 
limited. Dialogue should include important groups and individuals aff
 ected by the issues.
 
2.  
Openness—Dialogue should be open so that all stakeholders have a chance to voice their opinions. 
Organizations should not have a predetermined agenda or plan.
 
3.  
Tolerance—One opinion should not take precedence over others, no arguments should be considered 
more legitimate. Stakeholders and organizations must be open minded.
 
4.  
Empowerment—Stakeholders should feel that they have the ability to aff
 ect the structure, process, and 
outcomes of dialogue (p. 142). Stakeholders will be less committed if they sense an imbalance of power.
 
5.  
Transparency—All stakeholders involved in the dialogue should be given information needed to 
make decisions and implement outcomes.

## Factors That Affect The Quality Of Stakeholder Dialogue3

Despite the desire for a productive and participative process, there may still be factors that infl uence the quality of stakeholder dialogue. Th e following four features determine the outcome of stakeholder dialogues:

 
1.  
Commitment—Th
 ere must be a willingness to give priority and resources to the issue at the heart of the 
dialogue. Additionally, key persons must be committed to planning and implementation of decisions.
 
2.  
Capacity—Refers to the physical, organizational, and human resource available for stakeholder dialogue. Organizations with more resources may have more capacity for dialogue. However, even when organizations have capacity it does not mean they are willing to use them.
 
3.  
Consensus—A precondition for dialogue is 
that there be some degree of goal congruence and shared values or preferences. Th
 ere must 
be consensus between participants in the dialogue and implementing agents.
 
4.  
Consciousness—Organizational 
leaders 
must assist in the implementation of stakeholder dialogue. Dialogues must become integrated into the organizational system as opposed to something extraneous. People must be conscious of how they translate stakeholder dialogue into action.

## Stakeholder Types And Strategies For Dialogue5

While multiple stakeholder dialogues present an opportunity for participative and integrated decisionmaking, these dialogues can be challenging. Savage, Nix, Whitehead, and Blair (1991) suggest that organizations learn to manage their stakeholders and present a typology of stakeholders and strategies for managing each type.

## Stakeholder Type 1: The Supportive Stakeholder

High
Potential for
cooperation

Th e supportive stakeholder is the "ideal" 
stakeholder that supports organizational goals and actions.

Strategy: Involve supportive stakeholders to maximize their cooperative potential.

## Stakeholder Type 2: The Marginal Stakeholder

Th is type of stakeholder is neither highly threatening nor cooperative. Th ese types of stakeholders are generally not concerned about issues (although they may have "hot button" issues). 

Strategy: Monitor these individuals and recognize their interests are specifi c. Activate these stakeholders when issues are salient to them.

Source: Pedersen (2006) inspired by Discussion- Orientated Organizational Self-Assessment (www.edc.org)

| High                  |
|-----------------------|
| Stakeholder Type 4    |
| (Mixed blessing)      |
| Strategy: Collaborate |
| Stakeholder Type 1    |
| (Supportive)          |
| Strategy: Involve     |
Low
Stakeholder Type 3
(Non-supportive)
Strategy: Defend
Stakeholder Type 2
(Marginal)
Strategy: Monitor

## Stakeholder Type 3: The Nonsupportive Stakeholder

Th ese stakeholders have high threat potential and are low on cooperation. Th erefore, these individuals are most threatening to an organization.

Strategy: Defend against a nonsupportive stakeholder. Reduce dependence that is the basis for the stakeholders' interest in the organization or issue.

## Stakeholder Type 4: The Mixed Blessing Stakeholder

Th ese stakeholders are individuals who could potentially threaten or cooperate (Savage et al. (1991) describe these as people who are in short supply).

Strategy: Th ese individuals must be managed with collaboration that seeks to maximize stakeholder cooperation (making threatening stakeholders less likely to oppose the organization).

## Stakeholder Involvement Strategies6

By engaging in dialogue or symmetrical communication both the organization and stakeholders may change. Organizations can seek to be infl uenced and infl uence other stakeholders by the following:

 
-  
Engage frequently and systematically with stakeholders to determine mutually benefi
 cial action.
 
-  
Remember communication *must* be two-way. Th
 e aim of dialogue should be to achieve mutual understanding and rational agreement or consent.
 
-  
Organizations that set policies which dictate transactions with stakeholders will not be successful.
 
-  
Rather than imposing initiatives on stakeholders, invite stakeholders to become involved in negotiations to explore their concerns about initiatives (making changes along the way).
 
-  
If there are not channels for communicating with stakeholders—create them! Try to reach silent 
stakeholders and form partnerships with stakeholders early.7

## Stakeholder Management Strategies

Th e Clarkson Principles of Stakeholder Management are "highly respected in the literature as a model of best practice" (p. 152) and acknowledge a commitment to dialogue with stakeholders.2 Th ese principles are directed specifi cally at managers who are responsible for the performance of an organization, making them aware of diverse constituencies and the use of stakeholder management to increase success.8 Th ey believe that managers must recognize their obligation to deal openly and honestly with stakeholders and emphasize interdependence among stakeholders. Th e following are seven principles of Stakeholder Management.

## Clarkson Center For Business Ethics (1999) Principles Of Stakeholder Management

Principle 1
Managers should acknowledge and actively monitor concerns of all legitimate stakeholders, and should take their interests appropriately into account in decision-making and operations.
Principle 2
Managers should listen to and openly communicate with stakeholders about their respective concerns and contributions, and about the risks they assume because of their involvement with the organization.
Principle 3
Manager should adopt processes and modes of behavior that are sensitive to the concerns and capabilities of each stakeholder constituency.
Principle 4
Managers should recognize the interdependence of efforts and rewards among stakeholders, and should attempt to achieve a fair distribution of the benefi
 ts and burdens of organizational activity 
among them, taking into account their respective risks and vulnerabilities.
Principle 5
Managers should work cooperatively with other entities both public and private, to insure that risks and harms arising from organizational activities are minimized and, where they cannot be avoided, appropriately compensated.
Principle 6
Managers should avoid altogether activities that might jeopardize inalienable human rights or give rise to risks that, if clearly understood, would be patently unacceptable to relevant stakeholders.
Principle 7
Mangers should acknowledge the potential confl
 icts between (a) their own role as organizational 
stakeholders, and (b) their legal and moral responsibilities for the interests of stakeholders, and should address such confl
 icts through open communication, appropriate reporting and incentive systems, and 
where necessary, third party review.

## Multi-Stakeholder Dialogue

Th is resource list is designed for those planning to train on or incorporate theory and research on multistakeholder dialogue into their training practice. Included are suggested textbooks, journals, case studies and websites that off er information beyond the participant handout.

## Suggested Books On Multiple Stakeholder Partnerships And Communication

 
- Freeman, R.E. (1984). *Strategic Management: A Stakeholder Approach.* Pitman: Boston.
 
-  
Freidman, A.L. & Miles, S. (2006). Stakeholders: Th
 eory and Practice. New York: Oxford University Press 
Inc.
 
-  
Kaner, S., Lind, L., Toldi, C. (2007). Facilitator's Guide to Participatory Decision Making (2nd *Edition)*. 
Canada: John Wiley and Sons Canada, Ltd.
 
-  
Marsh, J. (1998). *A Stake in Tomorrow: World Class Lessons in Business Partnerships.* London: B.T. 
Batsford Limited.
 
-  
Pretty, J.N., Guijt, I., Th
 ompson, J., and Scoones, I. (1995). Participatory learning and action: A Trainer's Guide. London: IIED.
 
-  
Wates, N. (2000). Th
 e Community Planning Handbook - How People Can Shape Th
 eir Cities, Towns, 
and Villages in Any Part of the World. Earthscan Publications Ltd.
 
-  
Wenger, E., McDermott, W. and Snyder, W.M. (2002). Cultivating Communities of Practice: A Guide to 
Managing Knowledge. Harvard Business School Press.

## Academic Publications And Research On Stakeholder Relations And Dialogue

 
-  
Clarkson Center for Business Ethics (1999/2001). *Principles of Stakeholder Management.* Toronto: University of Toronto. Reproduced 2002, *Business Ethics Quarterly, 12,* 257–264.
 
-  
Kaptein, M. and Van Tulder, R. (2003). Toward eff
 ective stakeholder dialogue. Business and Society 
Review 108: 203–224.
 
-  
Morsing, M. and Schultz, M. (2006). Corporate social responsibility communication: Stakeholder 
information, response and involvement strategies. *Business Ethics, 15(4):* 323–338.
 
-  
Pederson, E.R. (2006) Making corporate social responsibility (CSR) operable: How companies translate stakeholder dialogue into practice. *Business and Society Review, 111*(2): 137–163.
 
-  
Savage, G.T., Nix, T.W., Whitehead, C.J., and Blair, J.D. (1991). Strategies for assessing and managing 
organizational stakeholders. *Academy of Management Executive 5(2):* 61–75.

## Helpful Websites On Stakeholders And Stakeholder Dialogue

 
-  
Th
 e Environmental Coalition
 
 
http://www.the-environment-council.org.uk/principles-of-stakeholder-engagement.html


Th
 e environmental coalition is an organization that facilitates multiple stakeholder dialogues. Th
 is 
website off
 ers information on the principles of stakeholder dialogue.
 
- MRS Research Portal
 
 
http://portals.wi.wur.nl/msp/?Articles_%26_Books


Th
 is site features a complete list of resources for those interested in stakeholder dialogue.
 
- World Bank Participation Sourcebook
 
 
http://www.worldbank.org/wbi/sourcebook/sbhome.htm
 
 
Chapter three discusses stakeholders and communication, featuring case studies.

## Case Studies For Use For Training On Multiple Stakeholder Dialogue

 
- Land Care Australia Th
 is site off
 ers a searchable database of case studies on a variety of environmental topics. 
 
 
http://www.landcareonline.com/
 
- One World trust Selection of Case Studies One World presents a collection of case studies on external stakeholder engagement. 
 
 
http://www.oneworldtrust.org/?display=esecasestudies
 
- Practice of Integrated Rural Development in Hungary


Th
 is guide focuses on the particular processes needed to get stakeholders in a rural (regional) area 
together in order to contribute to integrated rural development. 
 
 
http://portals.wi.wur.nl/fi
 les/docs/msp/050330manupload/Pride_Guide_FINAL_FEB.doc
 
- Th
 e Smart Growth Program


Th
 is organization focuses on smart growth and development in U.S. Cities. Th
 is site off
 ers a variety of 
community and stakeholder collaboration case studies.
 
 
http://www.smartgrowth.org/about/principles/resources.asp?resource=10&type=2&res=1024
 
- Th
 e World Bank Stakeholder Analysis Case Study: the Indonesian Rice Tariff
  PSIA


http://siteresources.worldbank.org/EXTSOCIALDEV/Resources/3177394-1168615404141/3328201-
1169656534628/StakeholderAnalysisIndonesiaRice.pdf
 
-  
Th
 e World Bank Stakeholder Analysis Case Study: Th
 e Zambia Land Reform PSIA


http://siteresources.worldbank.org/EXTSOCIALDEV/Resources/3177394-1168615404141/3328201-
1169656534628/ZambiaStakeholderAnalysisLong.pdf
Post, L. A., Salmon, T. and Raile, A., 2008, 'Using Public Will to Secure Political Will'
, ch. 7 in Governance Reform Under Real World Conditions, eds. S. Odugbemi and T. Jacobson, Communications for Governance and Accountability Program, World Bank, Washington D.C. http://www.gsdrc.org/go/display&type=Document&id=3710

Th
 is chapter from the World Bank's book, Governance Reform Under Real World Conditions examines com-
munication strategies for securing political will. Th
                                     ese involve defi
                                                 ning the issue, focusing attention on the issue 
and aff
     ecting policy. Securing public and political will involves a complex interplay of factors; it is advisable to 
use a number of approaches simultaneously.

David, R, 2008, 'Transforming Adverse Public Opinion into Support for Reforms'
                                                                             , ch. 16 in Governance 
Reform Under Real World Conditions, eds. S. Odugbemi and T. Jacobson, Communications for Governance 
and Accountability Program, World Bank, Washington D.C.
http://www.gsdrc.org/go/display&type=Document&id=3714

Th
 is chapter from a book published by the Communications for Governance and Accountability Program out-
lines six practical steps to help reformers successfully communicate reform messages. It argues that successful 
advocacy campaigns need a combination of research, reason, reach, resources, record and review.

Singh, J.P., 2008, 'Dialogues as Communication Strategy in Governance Reform'
                                                                            , ch. 4 in Governance Reform 
Under Real World Conditions, eds. S. Odugbemi and T. Jacobson, Communications for Governance and 
Accountability Program, World Bank, Washington D.C.
http://www.gsdrc.org/go/display&type=Document&id=3745

Th
 is book chapter from the World Bank examines 'dialogic communication,
                                                       ' or democratic deliberation, arguing 
that it off
       ers citizens and public offi
                            cials an opportunity to come together to fi
                                                           nd solutions to problems. Dia-
logic communication may be especially helpful for resource-constrained governments in designing public policy 
measures that fi
            nd broad acceptance. Political analysis must guide development actors' use of communication 
strategies.

Pruitt, B. and Th omas, P., 2007, 'Democratic Dialogue: A Handbook for Practitioners'
, General Secretariat of the Organization of American States , Washington, DC; International Institute for Democracy and Electoral Assistance, Stockholm; United Nations Development Programme, New York http://www.gsdrc.org/go/display&type=Document&id=3676

Th
 e fi
    rst section of this handbook from CIDA, International IDEA, OAS and the UNDP outlines the need for 
dialogue and how it can make a diff
                           erence in pursuit of peace, development and democratic governance. Th
                                                                                 e 
number of dialogue processes taking place around the world has increased, as has the need for a greater under-
standing of eff
           ective dialogue.

Tuft
    e, T. and Mefalopulos, P., 2009, 'Participatory Communication: A Practical Guide'
                                                                                         , World Bank, 
Washington, D.C.
http://www.gsdrc.org/go/display&type=Document&id=3754

## Recommended Reading And Resources

Th is publication outlines the four key phases of the participatory communication programme cycle. Genuine participatory communication is rare, but it can facilitate the empowerment of marginalised groups and have wider social and political eff ects. It requires continual dialogue with stakeholders. However, proper application of participatory communication methods is not enough to ensure a project's success. Broader contextual requirements are important, including a fl exible project framework (especially regarding timelines), a politically conducive environment, and an enabling attitude among stakeholders.

## Videos

Ernest Surrur, Ministry of Energy and Power, Sierra Leone, CommGAP Global Dialogue, 'Governance Reform under Real-World Conditions: a Dialogue on Communication Challenges', 2007. Running time: 4: 
13 
minutes http://www.youtube.com/watch?v=SqcUxcrr_9U&feature=related

## Managing Conflict Among Multiple Stakeholders

Th is session provides participants with direct experience through dialogue engagement with multiple stakeholders whose reform interests, attitudes, motivations and perspectives are diverse and oft en confl icting with the expressed goals of change interventions. 

We share some concepts and tools drawn from the academic literature on negotiation and confl ict management that have been adapted for use by reform teams in developing countries. You are presented with practical approaches and techniques to help in preparing for these dialogues in a systematic manner as well as guidance on how the dialogue process can focus on joint problem-solving rather than one-sided advocacy.  Th e ultimate goal for the dialogue is to reach a durable agreement among parties.  An agreement is durable when parties in the dialogue assess their satisfaction on three fronts:  on the substance of issues under consideration; on the fairness, inclusiveness of the dialogue process; and on a psychological level whereby they appreciate a sense of security as articulated in feelings and perceptions, while maintaining protected social status (external respect) 
as well as face (internal respect) as their personal performance has been acknowledged.1

## Key Concepts And Messages

-  
Joint problem-solving, a core concept in negotiation and confl
 ict management, is highly relevant to the 
process of engaging multiple stakeholders in dialogue in order to reach a durable agreement to pursue reform goals.
- Confl
 ict occurs when stakeholders have diverse interests and disparate goals.  A power imbalance results 
when weak parties are unable to have their voices heard and powerful parties "bulldoze" others to their way of thinking. In the rush to move reform forward, parties fail to listen and engage in unproductive dialogue that fails to seek common ground.
- Reform teams need to prepare for meaningful dialogue, a conversation which is usually best when occurring in small groups. Th
 ere are ways to discuss the substance of the sources of confl
 ict as well as manage 
the process of sharing information during dialogue that improve the likelihood of generating options that satisfy the interests of all parties.

## Learning Outcomes

By the end of the session, participants will be able to:

- Recognize how partisan perceptions impact stakeholder support or opposition to reform, - Diff
 erentiate between the use of strategic inquiry versus advocacy in dialogue,
- Learn how to use dialogue to explore interests and options rather than merely as advocacy for a position, - Practice brainstorming and joint problem-solving skills, - Assess when and how dialogue enhances commitment to joint action, - Gain a deeper appreciation of the value of the three dimensions of negotiation: tactics "at the table," the 
design of value-creating agreements, and the setup for a meaningful dialogue.  

## Exercise:

Three role play, simulation exercises will be conducted for this session. The case simulations provide experience in planning for dialogue and conducting and facilitating discussions around the table with stakeholders whose support is critical for successful reform. 

 - A Diffi
 cult Conversation - "The Bali Table"
 - Discovering Hidden Interests - Implementing the Philippines Procurement Reform Law - Role Play  Simulation - Multi-Issue and Multi-Party dialogue / Sarangaya Water Reform

Following each case simulation, a debriefi
                                          ng will be conducted to highlight the relevant negotiation and 
confl
     ict-resolution management concepts and approaches encompassed by the exercise.

## Session Length: 8 Hours T Eaching Notes And Process Guide Content And Process Presentation Slides And Process Cues

[Two active buttons here, side by side :]*
Play Slideshow Download Presentation File

## Difficult Dialogue Case Study: The 'Bali' Table

T I M E  A L L O T T E D :  4 5  M I N U T E S
Note: Th e case summary should have been assigned as advance reading prior to this session.

## Purpose

 
-  
Experience two ways of managing confl
 ict, namely through arbitration and by mediation.
 
-  
Gain an appreciation of the value of joint decision-making processes.

## Process

 
1.  
Divide participants in triads, and assign the roles of the disputants, Alex and Morgan as well as a neutral third party. Th
 ere will be two rounds of dialogue. In the fi
 rst round, the neutral third party will 
take the role of an arbitrator and will make a unilateral decision on who will claim the Bali table without consulting the two disputants. In the second round, the neutral third party will play the role of a mediator, helping the two disputants to clarify the issues and use productive and meaningful dialogue processes to reach a mutually-satisfying agreement.
 
2.  
Provide the following handouts:
 -  
Th
 e case description of the Bali Table is given to the two disputants.
 -  
Participant Instructions to Arbitrators is given to the neutral third party for the fi
 rst round of dialogue.
 -  
Participant Instructions to Mediators is given to the neutral third party for the second round of dialogue. 
 
3.  
Th
 e pairs of disputants, Alex and Morgan, are asked to read the case of the Bali Table prior to their 
discussion. A neutral third party is briefed outside the meeting room and asked to join a pair of disputants. Th
 e disputants conduct a dialogue for about 10 minutes. 
 
4.  
In the fi
 rst round of dialogue the neutral third party plays the role of an arbitrator, and makes a unilateral decision on who will take possession of the Bali table. In the second round of dialogue, the neutral third party plays the role of a mediator, and the two disputants decide on who should claim the Bali table. 
 
5.  
Debrief in plenary aft
 er the two rounds of dialogue. Invite participants to share their insights and lessons from the process.

## Facilitator Instructions

 
1.  
Divide the group of participants into triads. Th
 e two disputants who will conduct the negotiation will 
be assigned the role of Alex and Morgan. Th
 e third person will fi
 rst play the role of a neutral arbitrator, 
followed by the role of a neutral mediator. Th
 ere will be two rounds of dialogue.
 
2.  
Ask the two disputants to read the case note on Th
 e Bali Table, prior to any discussion. Th
 e third person will be asked to step out of the room to receive a briefi
 ng on their role; fi
 rst as an arbitrator and in 
the second round, as a mediator.
 
3.  
Distribute the *Participant Instructions* to Arbitrators (see Step One Handout for the assigned role of 
Arbitrator).
 
4.  
Ask Arbitrators to return to the room and join one of the pairs of disputants. Conduct the fi
 rst round 
of dialogue/arbitration process, for about 10 minutes, aft
 er which the facilitator stops the dialogue.
 
5.  
Ask Arbitrators to write the name of the person who, in their opinion should receive the Bali table. 
Th
 ere should be no consultation or discussion with the two disputants. Th
 e arbitrator stands and 
declares who should receive the table, while the two disputants remain seated.
 
6.  
Ask the third person to leave the room to receive his or her instructions on their second role as mediators, as described in Step Two Instructions. Aft
 er the briefi
 ng they are asked to join a new pair of 
disputants. 
 
7.  
When the mediator joins the two disputants, Alex and Morgan, the negotiation begins. 
 
8.  
Stop the dialogue aft
 er about 10 minutes. Th
 e disputants stand to declare their agreement while the 
mediator remains seated.
 
9. Plenary Discussion: Ask participants to describe their experience in resolving confl
 ict; fi
 rst when the observer played the 
role of an arbitrator in comparison with the second round, when the observer played the role of a mediator.
 
 
You may ask the following questions:
 
 
From your experience, which of the two methods
 - Encouraged active listening and joint problem-solving? - Helped to discover hidden interests? - Explored options that led to a mutually agreed settlement?
 
10. To introduce concepts in confl
 ict management, use the PowerPoint slides provided. 

## Facilitator Notes For The Debrief

Th e purpose of this exercise is to allow participants to experience two ways of managing confl ict, namely through arbitration and mediation. In the confl ict-management literature, these two methods fall into two categories. Th e fi rst category, called joint decision-making, consists of negotiation and mediation. Th e second category is third party decision making and includes arbitration, adjudication, and autocratic decision making. Th ere is a third category which will not be dealt with in this session, which is called separate action, and includes retreat, struggle, and tacit coordination.1
Arbitration is a confl ict management process whereby a third party makes a binding decision about the issues. Mediation, on the other hand, "preserves the voluntary, joint-decision features of negotiation," as the disputants are free to accept or reject any suggestion made by the mediator.2 Pruitt and Carnevale (1993, p. 2) 
defi ne negotiation as "a discussion between two or more parties with the apparent aim of resolving a divergence of interest and thus escaping social confl ict." Lax and Sebenius (2006, p. 10) have further elaborated on the defi nition of negotiation by introducing the value of three-dimensional negotiation which includes negotiation tactics "at the table," as well as deal-designs that create options to provide high value, and setup, which are moves "away from the table that set up the most promising situation once you are at the table."3
In a review of research fi ndings, Pruitt and Carnevale suggested that people in close relationships prefer joint decision making processes rather than third party decision and struggle.4 In debriefi ng this exercise, the facilitator is therefore encouraged to allow participants to compare their experience with the behavior of the third party, taking on the role of an arbitrator and mediator. Research on how mediators help disputants to manage confl ict include: (1) Structuring the agenda to help disputants reach agreement at an early stage of the dialogue, thus paving the way for future agreement on more contentious issues; (2) Overcoming the problem of "reactive devaluation" by having the mediator off er an option that would be rejected outright by the other party if this option was proposed by the one of the disputants; and (3) Reducing negotiator optimism about the likelihood that the other party will make large concessions. On the other hand, research on the role of arbitrators in helping disputants reach agreement has cited the following: arbitration was favored over negotiation and mediation when the dispute was complex and important; and time pressure increases attraction to arbitration.5

## Case Study: "The Bali Table"

Morgan and Alex were for 25 years partners in a very successful law fi rm. Th ree months ago, they decided it was time to split the partnership and go their separate ways. During their partnership, they jointly acquired many items in the offi
  ce, all of which they were able to easily split or thrown away…except for the Bali Table. 

Th is much-revered desk had been part of the law fi rm from the start. Twenty-six years earlier, when Morgan and Alex were in law school together, they started their plans to have a shared practice. Morgan's fi ancé, wanting to help this venture, found the Bali Table in the rear of an old antique store. It was scratched, dented and falling apart, but Morgan's fi ancé, having a keen eye for these things, immediately realized its extrinsic value as well as its intrinsic worth; and it became the fi rst piece of furniture for Morgan's and Alex's new law practice.

Once it was purchased, the fi ancé brought it to Alex, who was well known as having a long passion for woodworking. Sure enough, over the next year Alex spent many hours bringing this table back to life.

Aft er several attempts by each to argue, cajole, and threaten the other for possession of the Bali Table, the only result was greater and greater bitterness among them all.

Exhausted, they fi nally accepted that they had to bring in a neutral person to help them come to a conclusion.

(Fiutak, Th omas, 2003)

## Participant Instructions Step One Instructions For Neutrals For Bali Table Negotiation - Arbitrator

 
1.  
You will play the role of a neutral Arbitrator. In the other room, there are two parties, Alex and Morgan.
 
2.  
When you enter the room, sit with a pair of participants and wait for the signal from the session facilitator to begin the negotiation.
 
3.  
When the session starts, announce to both parties that you have been invited by both parties to arbitrate this dispute.
 
4. Aft
 er introductions, you are to give to the parties the following instructions:

 
"Th
 ank you for inviting me to arbitrate the dispute between you. I have no information about the 
matter, which brings you to this arbitration. Th
 erefore, I will ask you questions so I can understand 
the issues and interests that aff
 ect you in this matter. Aft
 er ten minutes, I will make a ruling which 
declares who will win and who will lose."
 
5. Th
 en begin your questioning.
 
6.  
When the signal is given to stop, and without indicating to the parties your decision, and based on the information provided by both parties, write the NAME ONLY on a piece of paper of the party whom you declare the winner. WHATEVER THE OUTCOME OF THE DISCUSSION, YOU MUST CHOOSE ON BEHALF OF ONLY ONE PARTY - either Alex or Morgan.
 
7.  
Th
 e session facilitator will ask that each Arbitrator stand, then the arbitrator for each pair of disputants will read the name of the party on their piece of paper. No defense for the decision is to be made.
 
8.  
Aft
 er all Arbitrators have declared their decisions, step outside the meeting room to receive instructions for the second round of dialogue.

## Step Two Instructions For Neutrals At The Bali Table Negotiation - Mediator

 
1. You will now play the role of a neutral Mediator.
 
2.  
When you enter the room, sit with a pair of participants, neither of which you negotiated with as an 
arbitrator, and wait for the signal from the session facilitator to begin the negotiation.
 
3.  
When the session starts, announce to both parties that you have been invited by both parties to mediate this dispute.
 
4. Aft
 er introductions the instructions you are to give to the parties are as follows:

 
"Th
 ank you for inviting me to mediate the dispute between you. I have no information about the 
matter, which brings us to this mediation. Th
 erefore, I will want to hear you discuss the issues and 
interests between you. I will have questions so I can better understand your points of view and 
help to clarify the issues. I will make no decisions for you, nor will I suggest any options. Th
 e total 
responsibility for any agreement, if any, is yours. We have ten minutes to see if an agreement can be reached. Aft
 er that time, the two of you will be asked to describe whatever agreement you have 
reached."
 
5. Begin.
When the signal is given to stop, each pair of Alex and Morgan will be asked to stand and declare to the group what agreement, if any, has been reached between them. You are to remain seated.

## Discovering Hidden Interests— "Implementing The Philippines Procurement Reform Law" Case Study: Philippine Procurement Reform - Passing The Law

T I M E  A L L O T T E D :  3 0  M I N U T E S
Note: Th e case summary should have been assigned as advance reading prior to this session.

## Purpose

 
1. Diff
 erentiate the use of strategic inquiry versus advocacy in dialogue.
 
2.  
Learn how to use dialogue to explore interests and options rather than merely advocating a position.
 
3.  
Learn about the seven elements of negotiation and use these to engage in a dialogue that enhances the 
likelihood of reaching a durable agreement between the parties.

## Process

 
1.  
Divide the group into pairs.  Assign the role of the Executive Director of the Government Procurement Policy Board to one person and the role of the Provincial Governor to the other person. 
 
2. Provide participants with the following handouts:
 
-  
Seven Elements of Negotiation - Strategic Compass
 
-  
Background Information on the Stakeholders
 
3.  
Participants are given 12–15 minutes to conduct a dialogue using the Seven Elements of Negotiation-
Strategic Compass, to guide the dialogue process. 
 
4.  
Ask each pair to report on the results of the dialogue, describing both the application of the seven e 
lements of negotiation and their fi
 nal agreement, if any.

## Debrief In Plenary

 
-  
Highlight that this exercise has provided participants with a real-world context for applying the seven elements of negotiation-strategic compass. Summarize by stating that tactics for conducting a dialogue where parties are in confl
 ict, focus on seven elements, presented in the Strategic Compass.
 
-  
Th
 e dialogue needs to focus on three core actions: fi
 rst, identifying and clarifying interests and needs 
of parties; second, generating several options that provide joint gains; and third, maximizing legitimacy of arguments, the pros and cons, by using objective standards and fair processes.
 
-  
Th
 ere are four other elements that can be used in dialogue, namely: (1) Maintaining a constructive 
relationship; (2) Promoting two-way communication, balancing inquiry with advocacy; (3) Understanding alternatives, particularly the "best alternative to a negotiated agreement" or BATNA for all the parties involved; and (4) If an agreement is reached, clarifying closure (who will undertake which tasks and by when, and how these tasks are to be done) with the advice that it is helpful if there is 
agreement on the process early on, and a subsequent focus on the substance.1 Th
 e baseline negotiation exercise, conducted in pairs, provides participants with fi
 rst-hand experience in using the Seven 
elements of negotiation in a real world case - the Implementation of the Philippines Procurement 
Reform Law.2

## Facilitator Instructions

 
1.  
Organize participants to work in pairs: One will assume the role of the Executive Director of the Government Procurement Policy Board, and the other will take the role of the Provincial Governor.
 
2.  
Th
 e goal is for the Executive Director to secure the cooperation of the Provincial Governor in the 
implementation of the new Procurement law.
 
3.  
Distribute the Participant Instructions.
 
4.  
Allocate 12–15 minutes for the two parties to engage in dialogue.

## Facilitator Notes For Debrief

Th e debriefi ng will focus on the types of benefi ts that both parties have been persuaded will accrue to each of them if they cooperate to fully implement the law.

In the debriefi ng, ask participants to describe their experience. You can ask the following questions:

 
a.  
Were you able to clarify interests and needs of the other party? If yes, how did you achieve this? How 
easy or diffi
  cult was it?
 
b. 
Were you successful in jointly exploring options that were mutually benefi
 cial?
 
c.  
Did you able to cite solid, legitimate arguments which persuaded the other party that the proposal was fair, as measured by an external standard, benchmark or accepted principle? If yes, how? If not, how could you have done things diff
 erently?

## Participant Instructions

 
1.  
Th
 ey will be assigned the role of an Executive Director of the Government Procurement Policy Board 
and a Provincial Governor.
 
2.  
Th
 is will be a negotiation between two participants. Begin the dialogue and negotiate an agreement 
between the Executive Director of the Government Procurement Policy Board who is responsible for the implementation of the newly-approved Procurement Reform law, and the Provincial Governor, one of the key stakeholders.
 
3.  
From the stakeholder mapping exercise conducted during the three-year period of negotiations with 
multiple stakeholders to build support for the passage of the law, local government offi
  cials were 
among those who were reluctant to fully endorse the passage of the law.  Now that the law has been passed, full implementation of the new law will need the cooperation of local governors.  
 
4.  
Th
 e goal is for the Executive Director to secure the cooperation of the Provincial Governor in the 
implementation of the new Procurement law. 
 
5.  
Conduct the dialogue by applying the concepts in the Seven Elements of Negotiation—Strategic C 
ompass.
 
6. Read the background information provided on the stakeholders.  
 
7.  
Th
 e negotiation exercise will last about 12–15 minutes and will be followed by a debriefi
 ng in a p 
lenary 
discussion.

## Background Information On The Stakeholders

| Learning Activity                       | Purpose                                |
|-----------------------------------------|----------------------------------------|
| Executive Director of the               |                                        |
| Government Procurement Policy           |                                        |
| Board (GPPB)                            |                                        |
| (Reports to the Secretary of the        |                                        |
| Dep't of Budget and Management,         |                                        |
| Offi                                    | ce of the President of the             |
| Philippines                             |                                        |
| Characterization                        | In her mid-40s, a talented lawyer with |
| some 10 years of government service.    |                                        |
| Was actively involved in the advocacy   |                                        |
| work to get the law passed. Has formal  |                                        |
| working relationships with key Cabinet  |                                        |
| members, the legislature. Has good      |                                        |
| contacts with media and civil society   |                                        |
| organizations nationwide.               |                                        |
| Provincial Governor                     |                                        |
| In his late 50's, an articulate and     |                                        |
| smooth-talking politician whose family  |                                        |
| has been in politics for almost three   |                                        |
| decades. He has been Governor for       |                                        |
| two terms and is interested in holding  |                                        |
| on to political power for a long time.  |                                        |
| He belongs to the economic elite in     |                                        |
| the province. He got his college degree |                                        |
| in business administration in Manila    |                                        |
| and has attended several leadership     |                                        |
| seminars sponsored by the national      |                                        |
| and local government. He remained       |                                        |
| on the political sidelines while the    |                                        |
| procurement law was being passed.       |                                        |
| He was betting this law will be like    |                                        |
| many others before it - laws get passed |                                        |
| but are never fully implemented, as     |                                        |
| some bureaucrat was likely to fi        | nd a                                   |
| creative way to avoid full and serious  |                                        |
| implementation.                         |                                        |

## Activity 3 Multi-Issue, Multi-Party Dialogue Case Study: Sarangaya Water Reform Case

SM A L L GROU P WOR K
T I M E  A L L O T T E D :   3 . 5  T O  4  H O U R S
Note: Th e case summary should have been assigned as advance reading prior to this session.

## Purpose

 
- Recognize how partisan perceptions infl
 uence stakeholder support or opposition to reform
 
- Diff
 erentiate the use of strategic inquiry versus advocacy in dialogue
 
- Learn how to use dialogue to explore interests and options rather than merely for advocating a position
 
- Practice joint problem-solving skills
 
- Assess when dialogue enhances commitment for joint action
 
-  
Gain a deeper appreciation of the value of the three dimensions of negotiation:  tactics "at the table"
, 
the design of value-creating agreements; and the setup for a meaningful dialogue.

## Process

 
1.  
Th
 ere are three Acts for this session. Th
 e fi
 rst Act involves having all participants with the same role 
discuss how to prepare to conduct the dialogue according to the characterization of the specifi
 c role. 
Th
 e second Act is an informal gathering of the 9 participants that constitute a universe.  Th
 is provides 
them with an opportunity to have one-on-one conversations or small group chats to discover interests of various stakeholders.  Th
 e third Act will be a formal negotiation in each of the universes.  
 
2. Provide participants with the following handouts: 
- Case summary of the Philippine Procurement Reform (S5-HO1)
 
- Philippine Procurement Perception Mapping (S5-HO2)
 
- Each participant is given a description of his/her role.
 
- Participants act out their assigned roles all throughout the three Acts.
 
3.  
Ask each universe to discuss the results of their negotiation highlighting how the stakeholders used 
the Seven Elements of Negotiation- Strategic Compass. 
 
4.  
Debrief in plenary. Invite participants to share their insights and lessons from the process.   Compare 
the experience of the various universes.

## Facilitator Instructions

 
1. Organize participants into groups of nine (9) participants. Each participant is assigned a specifi
 c role 
as a stakeholder.   
 
2. Th
 is role play is divided into 3 Acts, each one having a diff
 erent scenario and objective.  
Scenario 1 - Participants playing the same role (e.g. Minister of Water) meet to discuss how they will negotiate on the issue and provide peer advice on how the seven elements of negotiation can be deployed eff ectively to reach agreements that satisfy all parties.  

## T I M E  A L L O T T E D :  3 0  M I N U T E S

Scenario 2 - Th is is an informal gathering of diff erent stakeholders. Th e setting is a cocktail party where all stakeholders can socialize in an informal setting and engage in casual one-on-one conversations  to discover their respective underlying interests and what options might be acceptable. It is also a chance to discover which parties are strongly opposed and understand their reason for rejecting an option or proposed s olution.

## T I M E  A L L O T T E D :  6 0  M I N U T E S

Scenario 3 - Th is is a formal, on-the-table negotiation among the stakeholders and will be conducted immediately aft er the cocktail party.  

## T I M E  A L L O T T E D :  1 2 0  M I N U T E S

Participants will act out their assigned role as defi ned in the Handout. Th is is a confi dential note given to the participants which explains the objectives of the dialogue, and what should be their views and positions regarding the reform and their behavior during the formal dialogue. Each stakeholder will be expected to present and defend their positions persuasively.  

## Participant Voting

Th is role play will ask participants to cast a vote before and aft er engaging in dialogue to determine if and how the process has changed their position on proposed water reform. 

 
1.  
Before the start of the formal meeting, the facilitator will distribute secret ballots to the participants 
where they cast yes or no vote to the reactivation of the water reform project. 
 
2.  
Aft
 er the formal meeting, the facilitator will conduct another secret balloting. Th
 is will give participants a second opportunity to reconsider their position and recast their vote aft
 er going through an 
hour-long negotiation process. 
 
3.  
Before concluding the session, tally the votes - both pre- and post-negotiation sessions - and reveal 
the results to the participants.   

## Facilitator Notes For The Debriefing

Th is simulation of a complex, multi-issue, multi-stakeholder dialogue aims to underscore the need to have a deep understanding of stakeholder interests, while simultaneously managing the dialogue to ensure that all stakeholders have a voice in exploring interests, generating options and reaching agreement. In reforms, stakeholders are engaged in a long term reform process and must fi nd ways to manage confl ict while sustaining mutually-benefi cial relationships with one another. Negotiation in the context of reform is not a one-time, stand-alone process. Negotiations are infl uenced by cross-cultural similarities and diff erences in perceptions, attitudes and behavior. Reforms usually involve multilateral negotiations with more than two parties that oft en provide an opportunity for the formation of coalitions. Reforms also involve a large number of stakeholders, with diff ering perspectives on the rationale for reform as well as the policy and institutional processes needed to resolve confl ict in order to achieve reform goals.

To debrief the results of the secret balloting before and aft er the formal dialogue, note that when the participants in the formal dialogue are successful in managing both the substantive issues while simultaneously navigating the dialogue process, the results of the secret ballot may reveal that a greater number of stakeholders are in favor of reform aft er the dialogue than before the dialogue. On the other hand, in groups that did not eff ectively manage both a substantive discussion of the issues as well as the dialogue process, voting results may reveal more votes in favor of reform prior to the dialogue than aft er. In the latter case, the formal dialogue  was not eff ective in securing a durable agreement among stakeholders.

## Handouts

 
1. Case study - Sarangaya Water Reform 
 
2. Role Play Instructions for Each Stakeholder 

## Note To Facilitator:

Th ere are 2 parts to the Confi dential Note to be given to each 

## Participant:

 
1. Th
 e Role Play  Instructions 
 
2. Th
 e Role Description for Each Stakeholder
Please make sure that these two sections are attached as one handout.

## Role Play Instructions

Each participant is assigned a specifi c role as a stakeholder. Instructions for each role are found in a CON-
FIDENTIAL NOTE to guide each participant in acting out their respective roles. Here are the nine (9) roles:

 - Minister of Water Resources Development, MSWA Chairman - Minister of Urban Development and Secretary, Presidential Council of Advisers - CEO, Metro Sarangaya Water Authority (MSWA) - Leader,  MSWA Middle Managers Group
 - Leader, MSWA Labor Union
 - Head, Citizens Action Forum (CAF) - Representative,  Metro Sarangaya Residents Water Association - Representative, People's Coalition for Change (PCC) -  Country Director, and Administrator, Global Common Fund (GCF)
Th e role play will conducted in two stages: the fi rst will be an informal gathering of stakeholders, and the second will be a formal, on-the-table negotiation among the stakeholders. 

## First Meeting

You will attend a cocktail party where all stakeholders can socialize in an informal s etting and engage in casual one-on-one conversations. Th is gathering provides an occasion to initially build relationships and gather some needed information.

## Second Meeting

You will be participating in a formal meeting with the other stakeholders where you will be expected to articulate your specifi c position. Th e discussions could turn into heated debates so you need to be prepared to defend your position and challenge those of others should the situation warrant.

You will be a participant in a stakeholder dialogue. Your assigned role is described in the attached CONFI- DENTIAL note.

## Summary Background

Th e Government of Livonia has requested donor assistance in the development of a comprehensive water sector reform program for Metro Sarangaya. Th is will involve multi-donor support under a Global Common Fund under a Fund Administrator. Th e proposed water reform program will provide universal, continuous and safe water supply, upgrade trunk mains, repair leaks, provide water meters, and bring piped water to poor neighborhoods. It will also improve the operation and maintenance of the Metro Sarangaya Water Authority (MSWA) and strengthen its fi nancial standing and operational capacity. To improve the quality of governance and service delivery, measures to enhance transparency and accountability will be implemented.

To date, the project remains inactive. Th e government's decision to shelve the reform program due to public opposition arose from alleged misconduct in the bidding of contracts for technical studies. A total of US$2 million was earmarked for the conduct of the studies. Th ese would have included technical and economic feasibility studies that would provide recommendations and guide the design of the project.  

## Purpose Of Stakeholder Dialogue

A stakeholder dialogue convened jointly by the Ministry of Water Resources Development and the Ministry of Urban Development will be held on March 19, 2008. Th e outcome of the dialogue will determine whether the government will reactivate the proposed water reform program.  For this to happen, outstanding issues among key stakeholders need to be threshed out and can be resolved only if all parties arrive at a workable agreement that is mutually acceptable.

## The Objectives Of The Dialogue

 - To ensure that there is a common and shared understanding of the reform 
 - To establish that genuine interest exists among stakeholders to support the reform -  
To understand the underlying reasons (needs, fears, concerns) behind the stakeholder's positions 
through effective inquiry and active listening
 -  
To engage in a collaborative, joint-problem solving process and reach agreement on specifi
 c actionable 
steps that address differences and result in mutually benefi
 cial gains

## Participants In The Dialogue Government

  
Minister of Urban Development and Secretary, Presidential Council of Advisers
  
Minister of Water Resources Development and Chairman of Metro Sarangaya Water Authority (MSWA)
  
CEO, Metro Sarangaya Water Authority (MSWA)
  
Spokesperson,  Middle Managers Group
  
Labor Leader, MSWA Labor Union 

## Civil Society

  
Head, Citizens Action Forum (CAF)
  
Representative, People's Coalition for Change 
  
Representative, Metro Sarangaya Residents Water Association

## Donors

  
Country Director, Donor Fund Administrator, Global Common Fund (GCF)

## Instructions To Participants

Each participant is assigned a stakeholder role in the dialogue. Th e attached note provides a description of your particular role. Read it carefully and refl ect on how you can play this role eff ectively given your specifi c background, your positions and interests. Th ink of creative ways to act out your role.

Th ere will be other participants assigned to the same role. Be prepared to work with them, develop a strategy and identify ways you can best deploy the techniques learned. Th ese will include joint problemsolving, understanding perceptions and interests, developing options and identify specifi c action steps.   
During the dialogue, listen actively and articulate your views clearly, eff ectively and persuasively. Be as convincing, engaging and disarming in the dialogue. Appeal to both the heart and mind of your target audience or decision maker -- using wit, humor, or when necessary, share evidence-based information to bring a better understanding of the problem.

While you are encouraged to draw on your creativity in approaching our role, you must always be guided by the facts and the context of your role during the dialogue.  Th is provides the perspective and vantage point from which you will play your role in the dialogue and deploy what you think are the most eff ective techniques.

Eff ective communication is critical in bringing stakeholders with opposing views to resolve diff erences through a process of collaborative and productive dialogue.

## Stakeholder 1 Government Leader, Mswa Labor Union

You have made it clear to senior management that the Union will not accept their indiff erence and lack of transparency in the decision-making process, especially when it will aff ect your livelihood and your families. 

You demand respect of your rights as contributing members of the work force.

One underlying and upsetting concern is Management's failure to grant full rights to the Union, which is entitled to engage in negotiation of wages, work rules, complaint procedures, and policies that will aff ect the workers. Th e union was organized four years ago and Management has successfully managed to delay the process of fi nalizing any terms of agreement. You intend to use the dialogue as an opportunity to raise this issue and press Management into a commitment to set a timetable for fi nalizing an agreement.

As a resident of Sarangaya, you recognize and welcome the benefi ts of the proposed program. You are hopeful that, for the sake of the women and children in your families, positive changes will be made to improve the water situation will be implemented through the proposed reform. Many of you live in neighborhoods where water interruptions are worse than the rest of the city. Women and children bear the brunt of the water problem, with women spending much of their productive day waiting in line to collect water from private tankers, while children's health suff er caused by water-related illnesses due to unsafe drinking water. You are prepared to pay the increase in tariff
  in exchange for clean, reliable water that is available 24 
hours a day, 7 days a week. 

As many of you have said, "Th e only reason we are all working very hard, and committing our working lives to MSWA, is to provide the best we can for our families despite limited means. Our aim is to promote employment conditions for the workers…not to disrupt, cause trouble and hamper Management's ability to conduct its mission." Others were enthusiastic and motivated by the positive changes proposed in the reform, "One motivating factor in the proposed set-up is the provision of performance incentives. We hope that will materialize."
As many of you have said, "Th e only reason we are all working very hard, and committing our working lives to MSWA, is to provide the best we can for our families despite limited means. Our aim is to promote employment conditions for the workers…not to disrupt, cause trouble and hamper Management's ability to conduct its mission." Others were enthusiastic and motivated by the positive changes proposed in the reform, "One motivating factor in the proposed set-up is the provision of performance incentives. We hope that will m aterialize."
Your other concerns are: "the establishment of a permanent mechanism that will ensure a two-way, regular fl ow of communication; a fair and equitable compensation package for laborers and workers who will lose their jobs; and job assistance placements to retrenched employees, if company layoff s become inevitable.

You would be amenable to work out options that address only some of your interests.

## Stakeholder 2 Government Spokesperson, Middle Manager Of Mswa

You represent a group that serves as the critical link between MSWA senior management and the staff
 . 

Middle managers are key actors in the reform process, since you will be responsible for adapting the new priorities, implementing the reform program and managing people and change processes. One of your tasks is also to reorient staff
  to the change-initiative, get them on board and in sync with new approaches and new ways of going about their work.

However, you also represent a group with diverse attitudes about the reform, from skepticism to fear and uncertainty. Some middle managers felt excluded, bypassed and their input disregarded when Management failed to solicit their contributions and engage them in the thinking and planning process of the proposed reform. Middle managers, like you, have served MSWA for many years, equipped with tacit knowledge and a wealth of experience given their long tenure. Th ey may not off er sophisticated technical know-how most required in the design stages of the reform initiative but they have the 'institutional memory' and built longterm relationships with the staff
  and rank-and-fi le employees who will be aff ected by the reform changes. 

"Th e success and sustainability of the reform implementation depends largely on our ability to execute the necessary organizational changes and to mobilize cooperation of the staff
  as well as other government agencies involved.  We will end up translating the organization's vision into action. Why were some of us left
  out while senior management discuss and decide behind closed doors?"
Others in the group represent concerns about the risks involved in making drastic changes in the organization. Th ey are comfortable with the present bureaucratic culture and are likely to resist change especially if it will pose a threat to their job security or their pensions. "We need to understand the reasons for making needed changes in the organization as part of the reform. What's in it for us? Why should we rock the boat? We would just be adding more to our problems because of pressure from the troublemakers and noisy NGOs.

" Th ere has been increasing support for the labor union among middle managers. Some are believed to be strong, but anonymous supporters of the labor union. Th ey do not want to attract the attention and ire of senior management. 

Your main concerns: (1) you want to be fully engaged and informed in the process and establish a permanent mechanism to facilitate this, (2) you want clarity and commitment from senior management on the extent of organizational and personnel management reforms that will be required as part of the overall change initiative, and (3) you expect to have the resources to support and implement an eff ective communication strategy.

## Stakeholder 3 Government Minister, Urban Development And Secretary Of National Advisory Council

You are a highly infl uential minister in the government. You are a trusted adviser and a close confi dant to the President.. Th e President created a small informal group of policy elites, the Presidential Council of Advisers, which the President chairs and has designated you as the Secretary. You are oft en called upon to give advice on key policy issues, and more importantly, the political ramifi cations of critical decisions on reforms and development initiatives. On the proposed water sector reform, it was your recommendation to the President to put it on hold, a proposal which received unanimous agreement from the other Council members. 

As Minister of Urban Development and a Board member of the Metro Sarangaya Water Authority, you also have an advisory role in the country's water resources development agenda. You welcome donor support and value the partnership; however, you are unhappy about the stringent conditions that have been imposed in some donor-assisted urban projects. Th e lack of donor harmonization is still a problem, and as the key policy maker for urban services, your Ministry has experienced many of these problems in recent years. "Donors need to get their act together. We have such limited capacity and we cannot aff ord to stretch our human and physical resources to cater to diverse agendas and approaches".

You have strong nationalistic sentiments.  You believe that development should be done, by the people and for the people. Having too many foreign consultants in local projects has always been a concern. "If donors are keen to build capacity, why do they insist on sending foreign consultants to do work that tour our own local experts can do just as well.

" You have, however, made public expressions of support for the proposed water sector reform: "Th e public is demanding its right to clean water. Water and sewerage reforms are a top priority of government. I see no reason for any resistance to change. MSWA
's vision of "providing universal 
24/7 safe water supply in an effi
  cient, equitable and sustainable manner" should be disseminated to citizens in a language free of any jargon.

"
Nonetheless, you have strong political sensitivities with respect to the timing of reforms, since the pay off
  
is too great when reform initiatives are met with public opposition. You believe that reforms are likely to be more successful if they are supported by a broad-based coalition. 

## Stakeholder 4 Government Minister, Water Resources Development And Mswa Chairman

You have an established track record as a no-nonsense reformer. Some of your proud achievements include overhauling ineffi
  cient and corrupt mass transit system, abolishing the use of diesel fuel among public utility vehicles, and pushing urban land reform.  
You are not one to rest on your laurels. You are determined to build on your momentum as a reform champion and agent of change; and your next most important priority: water sector reform.

"Powerful and persistent" best describe you as a leader and administrator. You have gained a reputation for being tough-as-nails, and your ability to get things done is unquestioned. However patience is not one of your virtues. Your key message as inaugural speaker in the last International Water Summit confi rms this: "Drinking water is a priority area. And a reform program has to be done today and now. Time is of great importance. We cannot wait for a decade or even fi ve years for things to happen. Neither can we put things on hold until the outcome of any study. We have to move fast even if we make mistakes in the short run. Delay in action is a worse mistake.

" 
Th e supporters of the reform program applaud your steady resolve and sense of urgency.  And you are confi dent that you can count on the donor community as Livonia's development partner. You welcome their support, both its funding and knowledge resources, and consider these valuable in strengthening needed capacity to address Sarangaya's daunting urban challenges. Addressing their concerns on governance and accountability, however, raises some doubts on how far and how fast you can deliver expected results.  
You believe that 'all development is politics.' You come from a political clan and political legacy is important to you. While you are fully convinced of the long-term economic benefi ts of the water sector reform program, you are worried about short-term negative impact of increased tariff s. You understand the President's concern about the reform's political repercussions and on your family's broad-based constituency. It is important for you to reach a consensus on the outstanding issues.

## Stakeholder 5 Ngo Leader, Citizens Action Forum

You represent one of the most vocal groups, the Citizens Action Forum, which is widely identifi ed with the pro-accountability movement. In fulfi lling its mission, CAF has also evolved into a collective voice that represents strong nationalist sentiments. In the process, it has attracted other unorganized groups, who identify with your message and focuses their energies on waving the anti-foreign donors fl ag.     
Hearing of the alleged misconduct in the bidding process, you took this as an opportunity to use the public sphere and strongly advocate your agenda of protecting national interests, while at the same time demanding public accountability.    
Your two main concerns are the related issues of privatization and foreign intervention. In your public statements you have been unequivocal and uncompromising in your positions: 
"Th e Bank's intervention in the bidding process raises suspicion and is fundamentally fl awed
."
"Who should decide the agenda of reforms? Th e bank or the borrower? Th e people oppose privatization. Th e donors cannot dictate their terms. "
Th e Country Director and Donor fund Administrator has responded squarely with the issues you have raised. You have noted their responses, but expect more in terms of addressing your specifi c demands: (1) 
a record of assurance and clear plan of action which ensures that the foreign workers brought in will only provide the technical know-how and not take over the operation of the utility, or benefi t from its profi tability when a successful reform implementation is achieved, (2) that privatization will not be considered at any stage in the reform, and (3) the establishment of a permanent mechanism that will ensure a two-way, regular fl ow of communication and access to regular updates on the progress of the proposed reform.

Overall, you are encouraged to see that public opinion and a collective voice can have an impact on government's action.  

## Stakeholder 6 Ngo Representative, People'S Coalition For Change

You represent a group that strongly advocates inclusive and broad-based public participation and its most important mission is fi ghting corruption. On the failed water sector reform, you have articulated your message clearly: "Why do the donors continue to fund development programs despite rampant corruption in government? Th e MWSA has always been the milking cow of bureaucrats and politicians. It is a source of political corruption; a waste of the taxpayer's hard earned money. Any procurement process should be done with utmost transparency. We demand to be represented at all times.

"   
As active monitors of corruption, PCC strongly believes in raising public awareness for ways of fi ghting corruption, educating the public on the causes and consequences of corruption, and stirring up sentiments of indiff erent or uninvolved citizens. Your group is also reaching out to civil society activists and professional associations to demand integrity and ethical behavior among government offi
  cials.  You have coalesced with professional associations in eff orts to create public demand for codes of conduct and corruption-free behavior within the public and private sectors, and even among the general public. You have joined them in advocating integrity pacts promoted by Transparency International. Th is not only strengthens public participation in projects, but it is a pledge among contractors, suppliers and government agencies making expressed commitment to refrain from off ering or accepting bribes in public contracting.

On the proposed water sector reform, you have two specifi c concerns that need addressing. You want great clarity and specifi city on the:

 - Accountability and performance criteria among operators, - Performance monitoring and independent audit, - Open and continuous public engagement in the audit.
You welcome the government's initiative to convene a stakeholder dialogue. And a highly satisfactory outcome for you would be the creation of a permanent mechanism that will institutionalize relations and open, two-way communication processes between civil society and the public water authority.   

## Stakeholder 7 Ngo Representative,  Metro Sarangaya Residents Water Association

You represent a group that initially started as a small community-based neighborhood association led by informal leaders who are committed to representing the genuine interests of urban residents. However, collusion and corrupt behavior infi ltrated the informal group, and it has now evolved into a constituency largely infl uenced by the economic interests and rent-seeking behavior of private water sharks.  Over the years, the leaders of the association have gained a captive market through their access and capacity to generate underground water supply. Th rough some of its members, the association has also managed to infl uence results of public bidding to favor  small contractors that actively support the association. 

At the same time, the association also has become a strong collective voice in opposing increases in water tariff s. Many continue to believe that consumers across the board, especially in low-income households, are vehemently opposed to any reform that will increase the costs of paying for water from private sources.   
You have chosen to follow the message of the Citizens action Forum and echo their fears that the reform is a move toward privatization. "In the name of privatization, they can't snatch our collective resources. Th ere is suffi
  cient water, but it's the wastage in transit that fails the water authority.

"
Your main concern is the impact of the reform on your group's economic interests. But you are also apprehensive about a failure to maintain a positive communication and working relationship with MSWA. You are aware that some offi
  cials are suspicious of the association's actions and you are careful that you do not further antagonize them. Should the reform happen, in any case, you realize that you could lose a lot more opportunities as the water authorities may totally discredit and disbar the association from engaging in any MSWA activity.

You are open to exploring options but have to weigh the implications of these, particularly on the economic gains you are currently enjoying, against the prospect of benefi ting from a more inclusive and transparent system that may also off er more legitimate profi t-making opportunities. 

## Stakeholder 8 Donor Group Country Director, Global Common Fund

You have just been appointed to this position aft er a fi ve-year posting as Country Director in East Africa. 

Although you have been fully briefed by the country team and received  comprehensive project documentation, you are uneasy about any possible gaps in information that you may have, given the long-history and extended delays on the proposed reform.  
In your mind, the unfortunate miscalculation of the strength of NGOs enhanced by Livonia's Right to Information Act raised many questions: (1)Why was the Bank ill-prepared to respond to ill-founded allegations? (2)Why was a comprehensive communication and public engagement strategy not put in place early in the process? Obviously this one fell through the cracks. Yet the Bank team, for sure, covered all the technical bases and kept the relationships with the MSWA technocrats intact. But you also strongly believe that broad-based public engagement is not only necessary but vital, and that strategic coalitions need to be forged if public sector reforms are to successfully take off
  and become successful.

In an internal management meeting, you did not mince words about the Bank's inability to eff ectively bring key stakeholders, early, broadly and proactively, to the table. "Unfortunately, we continue to assume that technical know-how trumps political will. We may have confi dence in a 'water tight' design given our wealth of global experience, but we have much to learn about the fl awed process in mounting this reform program. Our critics are mistaken when they charge us of failure to hold consultations. But we also cannot deny the fact that our belated attempt to conduct dialogues was, at best, ad hoc and sporadic."
With the Country Director as convener, you and the chief administrator of the Global Common Fund will lead the donors group in the dialogue. You have agreed to take the position of an active listener, maintaining strong support for the proposed reform. However, you may need to address outstanding technical issues, if they arise and strongly set the record straight, should the false allegations of Bank misconduct resurface. Your main concern is to keep the lines of communication open for the reform program, explore all avenues for ensuring both government and public ownership of the program.  
You may have to reiterate the following points which were part of the donor's offi
  cial response to the complaints raised by the Citizens Action Forum:

 -  
The donors are not proposing privatization, neither are we recommending it. There is nothing like this 
in the project timetable, at any stage, which is being considered or promoted.   
 -  
On procurement guidelines - These are accepted global benchmarks by our supporters and critics 
alike. These guidelines and policies are all in the public domain and can be easily accessed on our website.
 -  
Procurement guidelines are based on four criteria: (1) ensuring economy and effi
 ciency, (2) providing all 
eligible bidders from developed and developing countries the same information and equal opportunity, (3) supporting the development of domestic contracting and manufacturing industries in the borrowing country, (4) emphasizing the importance of transparency in the procurement process.
 -  
In all procurement transactions, the short-listed fi
 rms comprise three to six fi
 rms with a wide geographic 
spread, with no more than two from any one country, and at least one from a developing country, unless qualifi
 ed fi
 rms from a developing country are not identifi
 able. The original shortlist included 
only developed country fi
 rms; this is why the donors asked that a fi
 rm from a developing country be 
included.  

In your written response to the Citizens Action Forum you stated: "We do not see this as 'donors calling the 
shots' or 'running' the borrower's aff
                                 airs, but ensuring in partnership with the borrower yields a transparent and 
fair procurement process. It involves a contract that is being funded with public money. Th
                                                                                    e insinuation that the 
Bank attempted to favor an international consulting fi
                                                    rm is completely unfounded.
                                                                              "

## Stakeholder 9 Government Ceo, Metro Sarangaya Water Authority

You have the full confi dence of the Minister and Chairman of Metro Sarangaya Water Authority. You were personally hand-picked for this position among other highly qualifi ed contenders. Your strongest asset is your technical expertise as a water and sanitation engineer. Th e move from the private sector to a publicservice job was a relatively smooth transition, but admittedly, you fi nd the politics and bureaucratic mindset painfully aggravating, as they oft entimes cramp your technocratic style. 

Your hands-on, roll-up-your-sleeves professional ethic has always worked in your favor.  Having been very much involved in the technical feasibility and economic cost-benefi t analysis, you are convinced that the program will dramatically improve water service delivery and yield the expected economic benefi ts. In your presentation to the policy elites and fellow-technocrats you made a strong case for the reform program on the basis of its fi nancial and economic feasibility and its signifi cant impact on operational effi
  ciency.  
Your credibility lies in your ability to clearly articulate the positions taken by MSWA. In the dialogue, you need to be prepared to respond to the most important issues that have been raised, such as:

 -  
On bringing in *foreign companies*: They will provide special expertise required for upgrading the system 
to provide continuous water supply requires specifi
 c expertise. They bring global experience which 
none of our local experts have. Their technical know-how can upgrade MSWA's operations; provide valuable staff training based on international standards.
 -  
On *tariff hikes*: Surveys show that people, even the poor, are willing to pay for quality water services. 
Tariff increases will be gradual, relative to improvements in the service delivery effi
 ciency.  
 -  
On concerns about *accountability among operators*: Clear performance criteria will be established and 
recorded in enforceable contracts. MSWA will pay the operators a fi
 xed management fee for satisfying 
the specifi
 ed performance objectives. The management fee will be determined by an open, competitive 
process. Operators will be given a bonus if they exceed the minimum criteria, and penalties will be 
imposed for poor performance.
 -  
On concerns about *performance monitoring* and *independent audit*: Technical audits will be conducted by 
independent auditors, to review the operator's performance against agreed targets. The auditor's report will be a public document. MSWA and the Government will involve the Residents Welfare Associations, the Citizen Action Forum and other NGOs to ensure public engagement in the audit.
You are cautious about mishandling the situation this time around, since you have seen how the NGOs have shown their capacity to sway public opinion and infl uence the public debate to derailed reform process. 

Similarly, you view the confl ict with the Labor Union as an undesirable situation that needs to be addressed. 

Its lack of support will impact the success of the reform. You also see the potential and positive role of the Labor Union, as an organized and cohesive group for raising awareness about the reform and the benefi ts it can bring to the city of Sarangaya. Th e union can serve as credible channel of information especially among associations of wage workers, employee groups and the general public.

Your primary interest is to address all outstanding issues in a fully satisfactory manner, with the ultimate goal of moving opposing as well as neutral stakeholders into exploring options that will get the water sector reform implementation back on track. You will be an active listener, understand the motivating factors that drive the demands of stakeholders, and use this perspective for advocating the reform, highlighting its benefi ts and the obvious consequences of inaction.   
Yet you remain wary about the demands from the Sarangaya Residents Water Association, since you are convinced that they are not truly representative of the residents, since their strong views against privatization seek primarily to protect their economic interests and preserve their rent-seeking, collusion-prone behavior.

## Case Study - Sarangaya Water Reform Case

Down the Drain:
Metro Sarangaya's Derailed Water Sector Reform A case study on the politics of change

## People, Politics And Change Course On Communication And Governance

Th is case study was written by Helen Garcia, Consultant, Communication and Governance Program 
(CommGAP), Operational Communication Division, External Aff airs Vice Presidency, World Bank. It was used as a core teaching tool in the course 'People, Politics and Change'
, CommGAP's Global Learning Program delivered from 2008–2009 in Africa, Asia and Washington DC. Sarangaya is a fi ctional case based on multi-country experiences in the water sector and prepared solely as training material. Caby Verzosa, Communication Advisor, and Sina Odugbemi, CommGAP Program Head provided overall guidance. Th e fi ndings, interpretations, and conclusions in this case study are the author's alone and should not be attributed to the World Bank, its affi
  liated organizations, members of its board, or the countries they represent. 

## Contents

| A politically-expedient exit strategy                                                                                | --------------------------------------------------------------------------  428                                    |
|----------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------|
| Twice the pain - a bankrupt and corrupt sector                                                                       | -------------------------------------------------------------  428                                                 |
| Tracing a troubled timeline -----------------------------------------------------------------------------------  429 |                                                                                                                    |
| Th                                                                                                                   | e road ahead ------------------------------------------------------------------------------------------------  432 |

## Annexes

|    1.   | Socio-economic and political environment of Livonia                                                            | -------------------------------------------------  434                                               |
|---------|----------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------|
|       2 | Governance and corruption statistics --------------------------------------------------------------------  437 |                                                                                                      |
|       3 | Political economy analysis of water sector reform ------------------------------------------------------  439  |                                                                                                      |
|       4 | Public Opinion Survey                                                                                          | ------------------------------------------------------------------------------------  440            |
|       5 | Press articles                                                                                                 | -----------------------------------------------------------------------------------------------  441 |

## Characters

Joseph Mantua 
CEO, Metro Sarangaya Water Authority (MSWA)
Sonya Gilbert  
Minister of Water Resources Development, MSWA Chairman
Olma Chidari Minister of Urban Development and Secretary, Presidential Council of Advisers
Alan Reddy  
Leader, MSWA Middle Managers Group
Isaac Sabir 
Leader, MSWA Labor Union 
Nagar Kouzi 
Head, Citizens Action Forum (CAF)
Arun Gopalan 
Metro Sarangaya Residents Water Association
Jim Randall 
Administrator, Global Common Fund (GCF-Donor Group)

## Acronyms

|      | CAF                             | Citizen Action Forum   |
|------|---------------------------------|------------------------|
| CEO  | Chief Executive Offi            | cer                    |
| CSO  | Civil Society Organization      |                        |
| GCF  | Global Common Fund              |                        |
| GDP  | Gross Domestic Product          |                        |
| MSWA | Metro Sarangaya Water Authority |                        |
| NSP  | National Solidarity Party       |                        |
| PDP  | People's Democratic Party       |                        |
| PPF  | Project Preparation Facility    |                        |
| RTI  | Right to Information            |                        |
| TOR  | Terms Of Reference              |                        |

## Down The Drain: Metro Sarangaya'S Derailed Water Sector Reform A Case Study On The Politics Of Change

"Th is has to stop!" thought Joseph Mantha, visibly infuriated as he pored over the news clippings. Not the kind of press coverage he was exposed to as former Manager of Technical Operations in Jackson-Sterling Inc., one of the largest international management consulting fi rms in the country. Highly respected for his technical know-how and managerial savvy, Joseph is well-known in his circles as a topnotch water and sanitation engineer. A frequent recipient of awards and accolades for his work, he was a popular fi gure among academic elites and professional associations, a favorite guest speaker in their conferences and annual conventions. And for all of these, he made the headlines and oft en enjoyed positive coverage. But this time it was diff erent. Very diff erent. 

Now, as CEO of Metro Sarangaya Water Authority (MSWA), a parastatal organization and primary provider of piped water supply and sewerage services, he is battling heavy media attack. Allegations of a rigged bidding process for technical studies in the proposed water sector reform have put a negative spotlight on MSWA authorities and senior government offi
  cials involved. Th e proposed comprehensive reform would provide reliable, aff ordable and sustainable water supply to the city and ensure customer-oriented service delivery. A US$650 million loan under a Global Common Fund (GCF) will fi nance the program with additional funding support for the feasibility studies to be provided through a GCF project preparation facility (PPF). Th e Global Common Fund (GCF) was created by a group of donors from bilateral and multilateral institutions for improved public service delivery. Jim Randall, is the convenor of the donor group and designated Fund Administrator. 

On Joseph's computer screen is the draft
  email addressed to his boss, Water Resources Development Minister Sonya Gilbert in her capacity as MSWA Chairman. Th e short message would inform the Minister that the Board minutes of the emergency meeting will be sent shortly. Th e MSWA Board just approved the Minister's recommendation to put on hold the Metro Sarangaya Water Sector Reform Program. It was the only decision item in the agenda. 

Re-elected for a second term, Minister Gilbert became concurrent Chairman of the water authority. A 
strong-willed and reform-minded leader, she outperformed her predecessors with a stellar record in public service. She revamped the corrupt and poorly managed mass transit system, abolished the use of pollutioncausing diesel fuel among public utility vehicles, and pushed urban land reform. Her next mission was the water sector. Th is was the reason why Joseph was lured to take the job.

Indeed, timing was everything. When Joseph was approached, he was ready to make a change in his career to help bring about change in his much-beloved city. He welcomed the challenge of mounting a comprehensive reform program, aware that it was a complex undertaking, but also one that was long overdue. Th is challenge was the 'carrot' that made Joseph give up his lucrative job in the private sector. Driven and ambitious, he was eager to make his mark in public service. 

Raised in the comfortable confi nes of his upper middle-class neighborhood, Joseph grew up witnessing and lamenting the city's serious water problem. People spend long hours in long lines trailing private tankers. It is a common sight in the city. Among the poor and less fortunate, it is part of their daily grind. Joseph's family, on the other hand, is better equipped to cope with the deteriorating water situation. Most well-off
  
residents invest in tube wells, overhead storage tanks and water fi lters. Bottled drinking water is purchased on a regular basis, very much a part of the household's weekly budget. To those who can aff ord, these are typical coping mechanisms that worked well in a system that simply did not work. 

## A Politically-Expedient Exit Strategy

With the public controversy surrounding the water sector reform, Minister Gilbert became politically vulnerable and succumbed to mounting pressure from senior politicians within their ruling party. Against the wishes of her technical advisers, she argued, "We cannot ignore the negative press and the public outcry. 

Clearly, there is gross misinterpretation of our approach and little public understanding of the reform's benefi ts. But the uprising and recent pandemonium on the streets is a politically untenable situation. It would be prudent to freeze action on the reform program." At the same time, she knew that the proposed reform is water sector's lifeline in tackling the twin evils plaguing the distressed water authority. 

In a private conversation with Minister Gilbert, Joseph and the senior management team learned that the Presidential Council of Advisors, led by Urban Development Minister Chidari, expressed strong reservations in pushing the proposed reform. Th e council is an infl uential group of policy elites, economists and social workers formed by the President as her informal think-tank group, part of her 'inner circle'
. Th ey believe that public opposition surrounding the proposed reform will further compromise the President's declining popularity in the recent polls. Clearly, the Advisory Council was concerned about the political and reputational costs of pushing a reform without broad public support. 

'Failure to launch!'
. Th at's one news headline Joseph did not anticipate when he joined the water authority to take on this assignment. Despite his self-ascribed gift
  of foresight, he did not predict this politicallycharged scenario. Robust fi ndings of feasibility studies confi rm the water reform program's economic, fi nancial and technical viability. But, despite all the due diligence done on the distressed water sector, Joseph realized that they did not dot all the 'is' and crossed all the 'ts'
. As one trusted colleague gently reminded him. 

"It's not all about the math!" Failure to manage the politics of reform was, indeed, a big lesson to take home. 

Joseph remained convinced that pulling the plug on the proposed reform was not the best solution, even in the worst of circumstances. Maybe something can still be done to revive the program. 

## Twice The Pain - A Bankrupt And Corrupt Water Sector

Th e proposed reform program is the water sector's lifeline. It is envisioned to provide universal, continuous and safe water supply for the city and benefi t from modern technology that will upgrade trunk mains, repair leaks, provide water meters, and install piped water to poor neighborhoods. It will start with 2 districts as pilot areas for a 24/7 water distribution management contract to a private operator. Currently, as much as 40 percent of water produced does not reach the public consumers because of 'unaccounted for water'
, while an estimated 70% of leakage comes from individual water connections. 

Ineffi
  ciency and wastage, resulting from both leakages and illegal connections, are the main reasons for the intermittent supply and low water pressure. Currently, a large part of unconnected households live in informal settlements, and rely on public standpipes, tankers and boreholes fi tted with hand pumps. More than 25 percent of residents rely on private vendors for their regular water supply. Th ese tanker operators started out as landowners with access to underground water, and some were engaged in transport services. Overpricing in some waterless communities is common practice, a predatory behavior among so-called 'water sharks' who charge four to fi ve times more than piped water. With such high demand even among those who have little choice and meager resources, the growth of water tanker vendors surged, turning it into a highly profi table industry. 

Th e Metro Sarangaya Water Authority, in turn, provides sharp contrast. It is bankrupt. Th e fi nanciallystrapped parastatal with 30,000 employees needs a bail-out badly. Th e proverbial hole in Sarangaya's 'leaking bucket' is burning a huge hole in MSWA's pocket. Employees face the risk of losing their jobs. Cash revenues generated is only about 25 percent of water produced, well below the average of 85 percent among wellfunctioning water utilities. It is overstaff ed, having two times more people on its payroll than the regional average. And a recent independent study revealed that "most of the operating staff
  are not qualifi ed to do waterworks installation and very few had the right skills in water treatment processes"
. Suff ering from years of gross ineffi
  ciencies, low revenues and huge operating losses, MSWA manages to stay afl oat through substantial infusion of public funds. As of last count, their balance sheet showed a spiraling debt of nearly $1.5 billion owed to the government coff ers. 

Corruption is embedded in the system. Among politicians and senior offi
  cials, grand corruption occurs in the selection of water and sanitation through political infl uence in resource allocation. Th ey push for larger capital investments where potential kickbacks are typically much higher. Although willingnessto-pay studies may indicate that poor consumers are willing to pay for quality, piped water than the more costly supply from 'water sharks'
, politicians have strong incentives of political patronage to keep the tariff
  artifi cially low. *Unwillingness to charge* among politicians allows them to reap favorable support from their key constituents and the general public. In surface water projects, corrupt practices in construction of water treatment plants and procurement of chemicals, equipment and supplies result in padded costs, bribery and collusion within the water sector. In operation and maintenance, administrative corruption takes place in obtaining access to water, installing illegal connections or securing preferential treatment to get faster service in repairs or new connection. Petty corruption is prevalent and usually occurs through fraudulent billing and meter reading and overcharging of fees. 

## Tracing A Troubled Timeline

Joseph keeps reminding himself that the proposed reform is on hold and not cancelled. He remains cautiously optimistic and is determined to revive the program and get it back on track. How can he persuade his Minister and her network of policy advisers to reconsider their decision? Who are the key players he needs to engage? Who are their real opponents, staunch supporters, and infl uentials who can be won over as allies? What alternative actions can he explore?

Joseph is thinking of re-tracing their steps, and missed steps. Going through the project fi les, he has unpacked the sequence of events, and unbundled the process—hoping to gain fresh insights. And maybe come up with a skillfully craft ed strategy to restart the stalled reform process. He has always believed in the merits of taking three steps back to move one step forward. Revisiting the project timeline, key milestones and internal communications seems like a logical place to start . . .

## A Snapshot Of Governance

Sarangaya, the capital city of Livonia, is a bus-
tling metropolis, densely populated and home 
to some 7.5 million residents. It has a thriving 
economy, and is projected to be one of the top 
30 richest urban agglomerations in the world. 
However, despite the city's positive economic 
outlook, there is an ever-increasing divide 
between the 'haves' and 'have nots' with recent 
surveys indicating that the prevalence and 
depth of poverty is worsening. Jarring contrasts 
amidst the city's modern skyline are upscale 
neighborhoods of urban elites and the upper 
middle class alongside nearby shanties in the 
slums and squatter settlements. Poor service 
delivery, congestion, and pollution round up 
the list of major problems in Metro Sarangaya. 
Within the city government and beyond, cor-
ruption is rampant and endemic, mirroring the 
country's deplorable state of governance. 

   The Republic of Livonia has been a consis-
tent poor performer in governance, ranking 
one of 10 'most corrupt' in a list of 100 countries 
rated. It holds negative ratings in Transparency 
International's Corruption Perception Index, the 
World Bank Institute's governance indicators, 
and the Global Integrity's governance assess-
ment report. The country's legal and institu-
tional framework is weak and its complex rules 
and procedures breed corruption in a system 
that is well-entrenched. In a survey done by the 
local chapter of Transparency International in 
Livonia, 4 out of 5 people interviewed said that 
they personally paid a bribe to get a job in a 
public offi
          ce. The police and tax revenue offi
                                            cials 
topped the list of the most corrupt. 
   One bright spot and positive development 
was the enactment and implementation of 
the Right to Information Act (RTI). Under the 
national act, all Livonian citizens have the right 
to ask for information from public authorities at 
all levels of jurisdiction. Although the national 
government was slow in putting the systems 
in place, civil society organizations invoke the 
law and use it as a tool to fi
                           ght corruption and 
demand public accountability.

2000 
 
Policy dialogue began. High-level government offi
  cials met with senior resident representatives of the Donor Group to discuss scope of development assistance needed to implement water sector reform. As a fi
 rst step, they agreed to the conduct of technical studies 
which will be funded by the Global Common Fund's project preparation facility (PPF). In 
December, the government submitted the formal request and the draft
  terms of reference 
for the PPF. Th
 e terms of reference defi
 ned the important elements of the task, its objectives, 
scope of work, key activities and tasks to be performed, respective responsibilities of the borrower and the consultant, the expected results, and deliverables from the assignment.
2001 
 
Evaluation sub-criteria raise a red fl
 ag. In April, both parties signed the PPF agreement. 
By the end of May, the fi
 nal terms of reference (TOR) were released and the short list of 
consultants confi
 rmed. Within 6 months, MSWA submitted the technical proposals to the 
GCF Technical Secretariat. In the internal review, the evaluators questioned the sub-criteria introduced by MSWA. It raised a red fl
 ag since the sub-criteria used did not adequately 
refl
 ect the requirements stipulated in the agreed TOR. Aft
 er some discussion, MSWA and 
the GCF technical team agreed to request the short listed fi
 rms to submit fresh proposals.
2002 Awarding of contract. Aft
 er resubmission of proposals, the winning qualifi
 ed bidder was 
selected, funding was released and consultants were hired. Th
 e project preparation was 
underway. By the end of 2002, the consultants had completed the study.
2003 Year-long debate and deliberation on options. Far from the fast track that MSWA senior 
offi
  cials were hoping for. Technical specialists and relevant government offi
  cials discussed 
long and hard the recommended options: (1) should the government retain control of the water and sanitation assets, collect charges from installed meters, retain MSWA personnel but under private sector management? or (2) consider a concession model of awarding water provision to a private sector operator on a 20-year lease, and the government acts as the water utility regulator? It was back and forth. Finally, the decision-makers around the table agreed to pursue the No.2 option. 
      
 
Public opinion overlooked. Other relevant studies were made available to the government 
review team. Th
 ese included the recently released Public Opinion Poll which focused on 
service delivery mechanisms. Th
 e results could inform the evaluation process, particularly 
on prevailing public perception on public services. Internal staff
  reports, however, indicate 
that the team noted the survey fi
 ndings, but did not closely consider its implications on the 
reform. 
2004 
 
Reform pace gained momentum. Th
 anks to the feisty and energetic Minister, and Chairman of MSWA. Minister Gilbert rattled everyone's cage with a lot of help from her CEO. Th
 e pilot phase then took off
  on a speedy start. Months later, the results looked good—the 
overall experience positive. Wasting no time, the team got the green light to roll out the program. Fully confi
 dent about the project's technical and fi
 nancial viability, and most important, the huge unmet demand for the service, implementation swift
 ly expanded to the other 
water distribution zones in the city. 
      
 
Consultations held, but limited and behind schedule. Following a 6-month interim 
period, MSWA convened a workshop to discuss a Vision Strategy for the water sector. On the same occasion, MSWA offi
  cials presented the proposed water sector reform program. 
Th
 e audience: mostly MSWA's senior technical staff
 , some key government offi
  cials and a 
couple of outside speakers. 
   
  Two months later, one more workshop. Same audience, this time to discuss detailed 
transition plans. Alan Reddy, a middle manager in charge of organization and management, found the entire process extremely frustrating. Despite his extensive experience and long tenure in MSWA, Alan along with a group of other middle managers grew apathetic about 
the proposed program. "It's another one of those 'reform du jour' initiatives of senior management - essentially, it's more work, and same pay for us"
, remarked Alan in one of their 
informal chats. "Yes, most defi
 nitely"
, was the chorus response from the other disgruntled 
middle managers. Besides, they resent that once again they were not consulted. Despite their wealth of knowledge and depth of experience, their contributions were barely sought in shaping the proposed reform.
 
  Meanwhile, tossed in the back burner were plans for a broader public consultation. Th
 e communication specialists who suggested it were anxious and unsuccessful. With confl
 icting schedules between MSWA's key technical staff
  and the GCF project team, it was 
diffi
  cult to calendar the event. Evidently, the team's technocratic mindset revealed two 
divergent views that led to one and the same outcome. No broad public consultations took place. Some members of the team thought it was not necessary; others considered it timeconsuming. 
2005 
 
Communication plan launched, delayed and under compressed timetable. One year and 
four months aft
 er the pilot launch, the GCF gave the go-signal to prepare a communication plan. Th
 e communication staff
  were apprehensive about the limited budget and unrealistically short-time frame. From years of experience, they know too well that building consensus and broad public support takes time and needs time. Remarked one disaff
 ected 
communication team member, "Th
 ere is no quick fi
 x, nor instant mix to gain credibility, 
build trust and mobilize coalitions of supporters… to follow a 'just pour and stir' approach is a recipe for failure." 
       
 
Th
 e labor union protests. Th
 e communication strategy's fi
 rst key target audience was the 
MSWA Labor Union led by Isaac Sabir. Hearing of the reform for the fi
 rst time, the union 
leaders were enraged, angered by the arrogance of senior management who chose not to inform and consult them. Th
 eir intense reaction was not surprising, but it was unsettling. 
In no time, emblazoned posters were plastered on walls in front of the MSWA compound and on nearby streets. Th
 e screaming slogans declared "Protect our fi
 rm from being sold to 
wicked foreigners!" "Down with foreign conspiracy! Together we will fi
 ght with our fi
 nal 
breath and last drop of blood!" Th
 is confrontation immediately hit the headlines. With 
the help of expert mediators and Joseph's skillful approach in communicating and managing confl
 ict, agitated union leaders were pacifi
 ed. Senior management and union leaders 
engaged in extensive talks and amicably agreed to a set of workable actions. 
2006 
 
Th
 e potent mix of RTI, CSOs and the media. Th
 e 2005 'internal revolt' in MSWA was the 
prelude to a larger and louder public protest that began in early March. All it took was one 
legislative act and *three* men on a mission. An indignant member of MSWA's labor union 
fed the story of alleged bidding misconduct to the Citizens Action Forum (CAF), a proaccountability movement and a strong coalition of fearless corruption-busting civil society organizations. Emboldened by Livonia's Right to Information Act (RTI), Nagar Kouzi, CAF leader and two senior associates acquired offi
  cial public records on the alleged wrongdoing. 
Th
 ey obtained copies of internal communications between the MSWA and the GCF.
 
  Th
 e paper trail began, one public document aft
 er another. Th
 e CAF team believed 
they tracked solid and complete evidence and ran a well-orchestrated media blitz to stir 
public controversy. Th
 is time it was one damaging and misleading news coverage aft
 er 
another—in print, on radio, and on national TV
. Th
 eir messages, clear and consistent, hammered on 3 specifi
 c accusations: (1) donors dictated the government decision on the management contract model; (2) the model proposed is a global' bad practice' based on the failed 
experience in other countries; and (3) donors interfered and infl
 uenced the bidding process 
to favor an international fi
 rm. 
 
  Hurling slogans that cried "Water is sacred!" and "We demand self-governance!"
, the 
recalcitrant activists sent wrong signals about the proposed reform by labeling it as "privatization"
. Th
 is quickly spawned public fears about indiscriminate tariff
  hikes and foreign 
take-over. Across the ranks of MSWA's worried workforce, the imminent threat of widespread job loss struck a sense of panic among its 30,000 employees. 
 
  Th
 e Citizens Action Forum also reached out and across a wide spectrum of 
stakeholders—politicians, opinion leaders, academics, local neighborhood associations and 
civil society activists—all of whom were appalled by the accusations, the lack of transparency and the absence of broad public consultation. Community-based organizations led by Arun Gopalan, dynamic leader of the Sarangaya Water Residents Association rallied behind the Citizens Action Forum. With great determination, they penetrated the decision-making chambers of policy elites in the ruling party, lobbied and infl
 uenced them through presentations made to 
senior politicians and policy advisers. Th
 e main strategy was to cover all the stakeholder bases, 
get politicians, planners and the people to listen, have their collective voices heard and their key messages to resonate. 
 
  **A staged event** Without missing a beat, the CAF leaders orchestrated a people's rally, 
rounded up a huge crowd raising placards in front of the GCF offi
  ce. Th
 ey knew a senior 
offi
  cial of donor group was in town and welcomed him warmly—with a fi
 restorm of angry 
demonstrators. It was, aft
 er all, a propitious occasion, a photo opportunity to attract foreign 
media coverage and gain international visibility. 
 
  To MSWA
's credit, they engineered carefully measured interventions to counteract negative accusations in the media. But, on the whole, they failed to stem the tide of opposition. Its belated, hamstrung communication and media strategy was muted, muscled and outmaneuvered by the strategic media campaign of the Citizens Action Forum. Th
 ey were ahead 
of the curve, defi
 ned the issues, framed the focus of the debate, and claimed the public space 
as their platform to voice out grievances and demand public action. Without a doubt, they mounted a successful strategy to capitalize on the combined force of grassroots activism 
from below and political pressure from above. 

## The Road Ahead

For sure, Joseph realized the power of public opinion and the peril of ignoring the politics of reform. He recalled his early thoughts at the fi rst hint of NGO opposition, "Th is is an organized, passionately committed group that is on a 'search and conquer' mission. Th ey are capable of pulling out all the stops to shape public opinion, infl uence policy, build coalitions and mount a belligerent, but a highly eff ective crusade!"
. And they did successfully. 

Although the reform was stalled, Joseph continues to believe that the road ahead should lead to reform. 

With every crisis comes opportunity. He is confi dent that sweeping changes in the water sector will create opportunities needed to urgently address a looming crisis. In fact, the delayed rainy season has put the city on the brink of a true emergency situation. Sarangaya could be facing its worst water crisis ever. 

 
-  
Th
 e Constitution mandates the creation of a National Ombudsman who can only be removed by Congress through formal impeachment proceedings. An independent study suggested that the ombudsman's performance has not been steadfast and consistent and on some occasions observed 

## Annexes

1. Socio-economic and political environment of Livonia 2. Governance and corruption statistics 3. Political economy analysis of water sector reform
4. Public Opinion Survey
5. Press articles

## Annex 1 Socio-Economic And Political Environment Of Livonia

Livonia has a population of 65 million people, a newly emerging economy that has kept pace with its fastgrowing neighbors in the region. Aft er ten years of sustained structural adjustment eff ort, the country is reaping the benefi ts of its bold macroeconomic stabilization measures. Th ese reforms helped the economy ride out an acute fi nancial crisis that swept the region the 1980s. Given its considerable achievements in instituting economic and structural reforms, the country's GDP rose from -2 percent from 1980–1985 to 3.8 percent between 1986–1996. Livonia is one of the most aggressive reformers and the donor community has been an active development partner in the reform process. 

## Economic And Political Transformation

Apart from its impressive economic transformation, Livonia underwent a democratic transition that has dramatically changed the political landscape in the country. For nearly fi ve generations, the country was under a powerful one-party rule, the People's Democratic Party (PDP). Th e party consolidated its power through a populist regime buttressed on political patronage. A system of rent-sharing was kept in the hands of a 'favored few' while the vast majority of Livonians were ruled under an illusory 'populist' government that cared for their needs and protected their rights. Job security was assured for most wage earners with the public sector looked upon as the biggest employer, or employer of last resort. Discretionary use of budgetary resources facilitated the distribution of political favors. Privileged groups, mostly businesses, commit party loyalty in exchange for 'party perks' which include monopoly control, subsidies and state protection. Th e Livonian citizen, although vested with the constitutional right to vote, did not have the privilege of choice, for a very long time. Every conceivable eff ort was made to ensure that no other viable alternatives to the PDP 
emerged on the political arena.

In 1995, all these changed with the overwhelming victory of the opposition presidential candidate Serin Hermann (National Solidarity Party) which toppled PDP's single-party rule. Internal squabbling and infighting, largely triggered by the country's economic crisis, weakened the party's credibility. As Livonia's fiscal resources dried up, PDP's spoils gradually disappeared and its political rewards dwindled. This engendered increasing dissatisfaction among its opportunistic supporters who later defected after economic incentives opened up under the opposition party's strong macroeconomic and fiscal reform program. 

Overall, Livonia's political transition has been relatively smooth, but the legacy of a single-party hegemony left
  vestiges of the PDP regime that permeated its new political order. In some areas, the PDP's traditional stronghold and its authoritarian enclaves still exist along with its old rules of the game. To date, Livonia is still working its way to consolidate progress made through a challenging transition period that continues to be confronted by socio-political obstacles. 

## Socio-Political Environment–Livonia'S Reform Context

A macro level profi le of Livonia's socio-political environment provides a broad picture of the reform context which can aff ect the design and implementation of policy reforms. Th e following information gathered from various key secondary sources, empirical studies, surveys and independent reports both global and in-country describe key characteristics of Livonia's socio-political environment. 

 
-  
Th
 e current ruling party (National Solidarity Party ) only holds about 40% of the congressional seats. 
Th
 ey have formed an alliance with the former ruling party (PDP) giving them the two thirds majority 
and unilateral control of the legislature. However, the power of the opposition in congress is considered to have become stronger over the past year. 
 
-  
In Livonia, the wealth of economic elites and the electoral clout of public sector unions, two of the 
strongest interest groups, wield both power and infl
 uence on politics and policies.
 
-  
Th
 e **Constitution of Livonia** is the basic law of the land which enshrines the citizen's right to free 
expression, free association, free speech and free media. 
 
-  
Th
 ere is a legal framework guaranteeing the citizen's **right to vote.** An election monitoring agency 
exists but it is not independent entity. It is part of the executive branch and reports to the President. A study on voting conditions revealed diffi
  cult access among rural inland communities or early closure 
of voting polls prevent people from voting. 
 
-  
Article 10 of the Constitution provides citizens the right to form civil **society organizations.** However, reports indicate that bureaucratic red tape and complex administrative requirements are obstacles to the formation of civil society organizations, particularly the creation of new anti-corruption/ good governance CSOs. Nonetheless, CSOs have increased in recent years. 
 
-  
State-civil society relations exist but CSO engagement in political and policymaking processes is 
limited. Th
 e government rarely invites their direct participation and prefers to form adhoc programspecifi
 c structures such as "citizen councils" with civil-society "representatives"
. 
 
-  
Th
 ere is **media** plurality in the print media with some estimates indicating that there are 120 independently owned newspapers. In urban areas, they are more exposed to a diversity of views, although it is much less in the rural areas. Th
 e government does not restrict the use of internet. About 20 percent 
of the population has access.
 
-  
Although media and free speech are protected under the constitution, licensing requirements are 
subject to bureaucratic procedures. Forming a new media entity such as radio or TV is reported to be extremely diffi
  cult. 
 
-  
Media is allowed to report on corruption, and there is no explicit government restraint on media 
reporting. However, anecdotal evidence indicates that corruption-related stories are prevented from mass distribution through the bulk purchase of newspapers which carry the story. 
 
-  
A Right to Information Act was enacted in 1995 and implemented largely in response to pressure 
from civil society demanding greater participation in public decision-making. Th
 e law opened up the 
space for citizen participation and oversight. Citizens can obtain offi
  cial public documents at a reasonable cost. Reports indicate that access to information is easier in the executive branch but in the judiciary, congress and other agencies it can sometimes take years. 
 
-  
Th
 e independence of the **judiciary** is guaranteed in Articles 75 and 102 of the Constitution. A research 
study by an international human rights group revealed systematic weaknesses from reported cases of arbitrary detentions and failure to serve justice to underprivileged groups, including court decisions that were believed to have been infl
 uenced by gender bias.
 
-  
Th
 e Constitution mandates the creation of a **National Ombudsman** who can only be removed by 
Congress through formal impeachment proceedings. An independent study suggested that the ombudsman's performance has not been steadfast and consistent and on some occasions observed to be subjected to political infl
 uence. A recent case disclosed in the papers indicates that the national 
ombudsman has acquiesced to executive authority and demonstrated weakness in battling powerful interests.
 
-  
A **Commission on Audit** is also mandated in the law. However, the agency is under-staff
 ed and 
under-funded. A provision in the Oversight Law allows Congress to dismiss the Auditor if a grave off
 ense has been committed. 
 
-  
Th
 e law also provided for the creation of an **Anti-corruption Agency** which is headed by an appointee 
of the President and has been given the rank of a Cabinet member. Th
 e President holds the discretion 
to remove the head of the agency without relevant justifi
 cation. Th
 e agency can initiate investigations but it has to have the clearance and fi
 nal approval of the President. Systematic problems exist in 
enforcing sanctions and punishment of wrongdoing. 
 
-  
Th
 e **public service delivery system** and sectoral reform eff
 orts are constrained by political obstacles, 
ranging from contentious negotiations with teachers unions over pay scales and performance evaluations, resistance from unionized workers and retirees over structural changes to correct imbalances in the pension system, and small enclaves of urban water lords who have monopoly of the water tanker industry.

## Annex 2 Governance And Anti-Corruption Statistics

Control of corruption measures the extent to which public power is exercised for private gain, including petty and grand forms of corruption, as well as "capture" of the state by elites and private interests.

Rule of law measures the extent to which agents have confi dence in and abide by the rules of society, in particular the quality of contract enforcement, the police, and the courts, as well as the likelihood of crime and violence.

Regulatory quality measures the ability of the government to formulate and implement sound policies and regulations that permit and promote private sector development.

Government eff ectiveness measures the quality of public services, the quality of the civil service and the degree of its independence from political pressures, the quality of policy form. Voice and accountability measures the extent to which a country's citizens are able to participate in selecting their government, as well as freedom of expression, freedom of association, and a free media.

Political stability and absence of violence measures the perceptions of the likelihood that the government will be destabilized or overthrown by unconstitutional or violent means, including domestic violence and terrorism

## The Most Problematic Factors For Doing Business Global Competitiveness Report (2005) Livonia

15.60
Inefficient government bureaucracy
12.50
Corruption
12.00
Access to financing
10.80
Inadequate supply of infrastructure
10.60
Crime and theft
9.30
Tax regulations
8.60
Restrictive labour regulations
7.60
Policy instability
6.30
Tax rates
3.80
Inadequately educated workforce
1.90
Poor work ethic in national labour force
0.60
Inflation
0.20
Foreign currency regulations
0.20
Government instability/coups

Note: Respondents ranked from a list of 14 factors, fi ve of the most problematic for doing business in their country. Th e fi gure above shows the responses weighted according to their rankings between 1 (most problematic) and 5 (least problematic).

Th e rankings are calculated from both publicly available data and the Executive Opinion Survey, a comprehensive annual survey conducted by the World Economic Forum and its network of partner institutes (leading research institutes and business organizations). Th is was based on a recent poll of 11,000 business leaders in 150 countries. 

Th e Global Competitiveness Report is based on a poll of 15,000 business executives worldwide.1 

## Annex 3 Political Economy Analysis Findings

Th e GCF Technical Secretariat commissioned a study on the political economy of the water sector in Sarangaya to gain a deeper understanding of the issues critical to the reform. It focused on the What, the Why and the How to help unravel the nature of pathologies that exist, the underlying reasons and "rules of the game" that determine economic and political interests of various key players which ultimately infl uence the process of public decision-making. 

In summary, the political economy analysis revealed the following: 

 
1.  
Despite high availability of water, Sarangaya residents suff
 er from unequal access and intermittent 
water supply. MSWA can only distribute water for 4-5 hours per day. Th
 is level of performance places 
them well below the water utilities that serve major cities in the region. 
 
2.  
As much as 40 percent of water produced is lost, mostly due to old and leaking pipes.
 
3.  
More affl
  uent consumers can aff
 ord to have continuous water supply, 24 hours a day, 7 days a week, 
through overhead tanks and boreholes installed at their own expense. 
 
4.  
Poor households, in contrast, can only rely on private vendors and pay more for purchased water. Th
 e 
so-called 'water sharks' charge four to fi
 ve times more than piped water. 
 
5.  
A large number of illegal connections exist. 'Speed money' or bribes given to operations and maintenance personnel can expedite the installation of household connections. Only one in three connections have working meters and fraudulent billing is common practice. 
Why do these pathologies persist despite signifi cant investments to improve water supply and services provision? Th e political economy analysis uncovered fraudulent practices in the water sector, the prevailing 
'rules of the game' and the underlying incentives of various stakeholders who benefi t from corruption in the system. 

## Annex 4 Livonia Public Opinion Survey

A public opinion survey was conducted to assess people's perception on various issues aff ecting them. Th e survey involved interviews with key opinion leaders, including the private sector, the academic community and civil society. Focus groups were also held to monitor public views on service delivery. Key fi ndings are:

 
- Th
 ere is a strong belief that corruption is the country's most serious problem. 
 
-  
Many believe that bureaucratic discretion gives civil servants much leeway to exploit public resources 
for private gain. Corruption cases are fi
 led against government bureaucrats but not acted upon. To 
avoid further scrutiny, they are relocated or reassigned. 
 
-  
Routine cases of corruption are oft
 en ignored and dismissed. Grease money and fi
 xers to expedite 
action are part of the system's standard operating procedures.
 
-  
Th
 e Right to Information Act is an important piece of legislation. Better protection should be provided to whistle-blowers. Recent reports indicate that 70 percent of them have been either harassed or victimized. 
 
-  
More than 75 percent of those interviewed believe that government has to address the perverse incentives that drive illegal activity and change the behavior of public service providers. Most serious problems in public service delivery include illegal water connections, teacher absenteeism, overcharging of fees and medicine among public health workers. 
 
-  
Within the business community, majority complained about the bureaucratic red-tape that continues 
to paralyze operations of various industries. Processing of business licenses and permits is still a haven for corrupt public employees.
 
-  
Among civil society organizations, a majority complained about the hostile attitude of government 
and disregard for their contribution. Th
 ey are always viewed with suspicion and distrust. Better communication would facilitate a more productive partnership.
The survey also provided relevant information on people's perceptions on water supply.

 
-  
A high majority of consumers see water as a right, an entitlement that the public sector has the responsibility to provide.
 
-  
Th
 ere is high dissatisfaction with the performance of water supply and sanitation services. Most have 
been victims of corrupt practices.
 
-  
People are willing to pay for reliable, safe and continuous water supply, even poor households. Th
 ey 
do not want to pay the exorbitant rates of private water vendors.
 
-  
Majority of consumers fear that reforms will increase the cost of water. Th
 ey believe that the private 
sector will exploit the situation to maximize their profi
 ts.

## Annex 5 Press Articles S Arangaya Times Patronage At Work In Water And Sanitation

May 28, 2006 The ruling party's municipal councilors heavily criticized the water department for its failure to cater and live up to the expectations of the people. Accusing the bureaucrats in MWSA of behaving in an "indifferent manner,'' the citizens' elected representatives were outraged at the field staff including engineers for turning a deaf ear to the needs and demands of their areas. 

Despite repeated reminders to the field engineers, they do not listen to their pleas to resolve the problem in their respective areas. They do not responded to their calls even after being called up and reminded several times. 

## The Livonia Herald Far From Over - Is The Government Washing Its Hands?

 
July 3, 2006
  Th
 e controversy cannot be swept under the rug. It is far from over. People continue to be outraged 
and are still out on the streets. Th
 ey are not satisfi
 ed with the government written explanations. Is 
Minister Gilbert passing the buck? He has referred the matter to senior policymakers in the Ministry of Urban Development? Much time has been lost and no action has been taken. 
    Poor quality water has made life miserable for the residents. Failure to carry out repairs and 
implementation of the planned projects in many constituencies has made the situation worse. Th
 e 
public opinion is that the bureaucrats were not bothered about the image of the government. Th
 ey 
continue to adopt a callous and unsympathetic attitude. 

## Negotiation Defi Ning Bargaining And Negotiation

Th e general area of confl ict management is concerned with the way that interdependent people manage the opposition of goals, aims, and values through communication. Communication plays an active role in shaping how people experience and work through confl ict, a task that is very challenging given people's interdependence where one party can interfere with the other achieving a goal.1 Within the last 25 years, a great deal of attention has been given to the methods we can use to manage confl ict including bargaining or negotiation, mediation, and arbitration.

Bargaining and negotiation have been defi ned as forms of confl ict management that involve two or more parties, who have a confl ict of needs and desires that choose to negotiate through a give and take process involving proposals and counterproposals to search for a mutually acceptable agreement. While some theorists and researchers distinguish between bargaining and negotiation, saying that the former is a competitive activity between parties and the latter is a cooperative process, the two terms will be used interchangeably.2
Bargaining and negotiation diff er from mediation and arbitration. Both mediation and arbitration emphasize the importance of an impartial third-party to help manage the confl ict. **Mediation** utilizes a third-party neutral, called a mediator, who facilitates the two parties to talk and generate a mutually acceptable agreement, but who has no decision power. **Arbitration** is similar to a legal hearing where both parties present information regarding their position to a third-party neutral, an arbitrator, who then makes a decision regarding the best way to manage the confl ict. Bargaining and negotiation do not rely on third parties to facilitate the process and make decisions; rather, the process and agreements are generated by the parties in confl ict.3

 erences among negotiation, mediation, and arbitration, see Domenici, K., & Littlejohn, S. W. 

## When To Choose Negotiation

Negotiation is a confl ict strategy that allows you to meet your needs. Th ere are certain moments and times when negotiation may actually hurt your ability to meet your needs and should be avoided. Th ese times include:

 
-  
When you are in a situation that could cause you severe fi
 nancial or personal risk.
 
-  
When your counterpart asks for something you cannot support because it's illegal or morally and ethically inappropriate.
 
-  
When there is high time pressure. Th
 e need to move quickly may hurt your ability to think clearly and 
cause you to underestimate the impact of your concession.
 
-  
When your counterpart acts in bad faith. If you can't trust their agreement, it makes little sense to follow through and negotiate.
 
-  
When you're not prepared. A failure to think through your positions, questions, and strategies will 
hinder your ability to achieve a good outcome.4

## Negotiation Approaches

All negotiations are similar in that they involve people taking initial positions, off ering proposals to help resolve the confl ict, making counter-proposals, off ering concessions, and coming to agreement. However, negotiations can be distinguished according to the strategy and tactics that are used to conduct the negotiation. Th ere are two general strategies and clusters of negotiation tactics: (1) distributive, and (2) integrative.5
Distributive bargaining. Th is type of bargaining emphasizes the importance of maximizing individual gains and minimizing losses. It adopts a "fi xed" pie approach where resources are viewed as being limited and it becomes important to claim one's rightful share of the pie. Distributive bargaining is competitive with each bargainer taking positions to achieve victory over the other side. Distributive bargainers tend to use the following kinds of strategies and tactics:

 
-  
Distributive bargainers try to keep the opposing side from gaining information about their position 
or "bottom-line" while trying to collect information about the resistance point of the other party.
 
-  
Distributive bargainers misrepresent and withhold information as well as make exaggerated statements about their positions in order to mislead people about their true objectives.
 
-  
Distributive bargainers may use bluff
 s, threats, and manipulation to reduce the options of the other 
party.
 
-  
Distributive bargainers use threats, putdowns, demands, and blame statements.
 
-  
Distributive bargainers develop their position by using more and more facts to build the case for the 
validity of their proposals.
Integrative bargaining. Th is type of bargaining emphasizes the importance of maximizing joint gains. 

Rather than viewing bargaining from a win-lose perspective, integrative bargaining adopts a win-win orientation where parties try to create agreements where both can prosper. Integrative bargaining assumes that both parties share multiple overlapping issues and that the best way to deal with these multiple issues is to be fl exible in one's position and to engage in cooperative problem solving. By engaging in cooperative problem solving the pie becomes expandable, as the focus becomes on developing creative solutions that expand the pie in ways that ensure both parties can get what they need. Integrative bargainers tend to use the following kinds of strategies and tactics:

 
-  
Integrative bargainers share their information openly and divulge their needs and objectives. Information disclosure is viewed as facilitating the problem-solving process as it allows bargainers to defi
 ne 
problems, identify causes, develop solutions, and evaluate the merits of proposed solutions.
 
-  
Integrative bargainers tend to use soft
  rather than hard tactics. Th
 ey tend to make statements that support the other party and use exploratory problem-solving messages.
 
-  
Integrative bargainers drop particular agenda items, separate issues, and recombine issues in creative 
ways as they move through the negotiation. Th
 is opens up the room for developing novel solutions to 
the problem.

## When To Use A Particular Negotiating Approach

While we may aspire to use an integrative bargaining approach, there are times when a distributive approach may be more useful to achieve our desired outcomes. Use a distributive approach:

 
-  
When your interests and the other party's clearly confl
 ict.
 
-  
When the other party insists on taking a win-lose approach.
 
-  
When you do not need a long-term harmonious relationship.
 
-  
When you are powerful enough to prevail.
 
-  
When short-term goals are more important.
Use an integrative approach:

 
-  
When you and the other party have common interests.
 
-  
When the other party is willing to consider a win-win approach.
 
-  
When a continuing, harmonious relationship is important.
 
-  
When you are weaker or power is approximately equal.
 
-  
When long-term goals are more important.6

## Principled Negotiation

Th e dominant model of integrative bargaining is principled negotiation. Th e idea of principled negotiation was developed in Roger Fisher and William Ury's classic book, *Getting to Yes*. In this book they distinguish between what they call positional bargaining and principled negotiation. Positional bargaining occurs when people negotiate according to their positions or statements of what they want to get out of the situation. Positional bargaining is a form of distributive bargaining where both parties view the confl ict as a win-lose situation. Positional bargaining can take one of two forms: (1) soft
 , and (2) hard.

Soft
  positional bargaining emphasizes the importance of building relationships, which may mean that the parties take a soft
  line toward the negotiation. Th is may create a win-lose outcome as they lose by giving up too much in an eff ort to maintain a friendly environment and good relationship. Soft
  positional bargaining is characterized by the following:

 
-  
Participants are friends.
 
-  
Th
 e goal is agreement.
 
-  
Make concessions to cultivate the relationship.
 
-  
Be soft
  on the people and the problem.
 
-  
Trust others.
 
-  
Make off
 ers.
 
-  
Disclose your bottom line.
 
-  
Accept one-sided losses to reach agreement.
 
-  
Search for the single answer: the one they will accept.
 
-  
Insist on agreement.
 
-  
Try to avoid a contest of will.
 
-  
Yield to pressure.7
Hard positional bargaining emphasizes the importance of getting what you want by playing hard-ball and being tough on the other person during a negotiation. Hard positional bargaining is characterized by the following characteristics:

 
-  
Participants are adversaries.
 
-  
Th
 e goal is victory.
 
-  
Demand concessions as a condition of the relationship.
 
-  
Be hard on the problem and the people.
 
-  
Distrust others.
 
-  
Dig in to your position.
 
-  
Make threats.
 
-  
Mislead as to your bottom line.
 
-  
Demand one-sided gains as the price of agreement.
 
-  
Search for the single answer: the one you will accept.
 
-  
Insist on your position.
 
-  
Try to win a contest of will.
 
-  
Apply pressure.8
Principled negotiation is based on the notion that we need to negotiate on the merits of the case. We need to fi nd ways to work together in order to ensure that wise choices are made that benefi t everyone. Principled negotiation operates from four simple rules:

 
-  
Separate the person from the problem. It is possible to be soft
  on the people you are working with and 
hard on the problem. One can simultaneously act in ways that are respectful of the other and treat the other person well but work hard at addressing the substantive issues that are informing the confl
 ict.
 
-  
Focus on interests, not positions. Creative resolutions can be achieved by focusing on the party's 
mutually shared interests. **Positions** are the statements of what someone wants or needs from a situation while the **interest** is the underlying reason or motivation for the position. For example, an individual in a social service organization may take a position of wanting to stamp out corruption because their interest is in making sure the resources the organization has are totally used to benefi
 t the client.
 
-  
Invent options for mutual gain. It is important to generate multiple options that may meet both parties' interests. Techniques such as brainstorming can be used to generate multiple options from which a resolution can be created later.
 
-  
Insist on using objective criteria. Principled negotiation emphasizes the importance of selecting objective criteria for selecting among competing alternatives. Rather than make negotiations a contest of the will, by creating objective criteria people can be open to reason and yield to principle, not pressure.

## Negotiation Defi Ning Bargaining And Negotiation

Th e general area of confl ict management is concerned with the way that interdependent people manage the opposition of goals, aims, and values through communication. Communication plays an active role in shaping how people experience and work through confl ict, a task that is very challenging given people's interdependence where one party can interfere with the other achieving a goal.1 Within the last 25 years, a great deal of attention has been given to the methods we can use to manage confl ict including bargaining or negotiation, mediation, and arbitration.

Bargaining and negotiation have been defi ned as forms of confl ict management that involve two or more parties, who have a confl ict of needs and desires that choose to negotiate through a give and take process involving proposals and counterproposals to search for a mutually acceptable agreement. While some theorists and researchers distinguish between bargaining and negotiation, saying that the former is a competitive activity between parties and the latter is a cooperative process, the two terms will be used interchangeably.2
Bargaining and negotiation diff er from mediation and arbitration. Both mediation and arbitration emphasize the importance of an impartial third-party to help manage the confl ict. **Mediation** utilizes a third-party neutral, called a mediator, who facilitates the two parties to talk and generate a mutually acceptable agreement, but who has no decision power. **Arbitration** is similar to a legal hearing where both parties present information regarding their position to a third-party neutral, an arbitrator, who then makes a decision regarding the best way to manage the confl ict. Bargaining and negotiation do not rely on third parties to facilitate the process and make decisions; rather, the process and agreements are generated by the parties in confl ict.3

 erences among negotiation, mediation, and arbitration, see Domenici, K., & Littlejohn, S. W. 

## When To Choose Negotiation

Negotiation is a confl ict strategy that allows you to meet your needs. Th ere are certain moments and times when negotiation may actually hurt your ability to meet your needs and should be avoided. Th ese times include:

 
-  
When you are in a situation that could cause you severe fi
 nancial or personal risk.
 
-  
When your counterpart asks for something you cannot support because it's illegal or morally and ethically inappropriate.
 
-  
When there is high time pressure. Th
 e need to move quickly may hurt your ability to think clearly and 
cause you to underestimate the impact of your concession.
 
-  
When your counterpart acts in bad faith. If you can't trust their agreement, it makes little sense to follow through and negotiate.
 
-  
When you're not prepared. A failure to think through your positions, questions, and strategies will 
hinder your ability to achieve a good outcome.4

## Negotiation Approaches

All negotiations are similar in that they involve people taking initial positions, off ering proposals to help resolve the confl ict, making counter-proposals, off ering concessions, and coming to agreement. However, negotiations can be distinguished according to the strategy and tactics that are used to conduct the negotiation. Th ere are two general strategies and clusters of negotiation tactics: (1) distributive, and (2) integrative.5
Distributive bargaining. Th is type of bargaining emphasizes the importance of maximizing individual gains and minimizing losses. It adopts a "fi xed" pie approach where resources are viewed as being limited and it becomes important to claim one's rightful share of the pie. Distributive bargaining is competitive with each bargainer taking positions to achieve victory over the other side. Distributive bargainers tend to use the following kinds of strategies and tactics:

 
-  
Distributive bargainers try to keep the opposing side from gaining information about their position 
or "bottom-line" while trying to collect information about the resistance point of the other party.
 
-  
Distributive bargainers misrepresent and withhold information as well as make exaggerated statements about their positions in order to mislead people about their true objectives.
 
-  
Distributive bargainers may use bluff
 s, threats, and manipulation to reduce the options of the other 
party.
 
-  
Distributive bargainers use threats, putdowns, demands, and blame statements.
 
-  
Distributive bargainers develop their position by using more and more facts to build the case for the 
validity of their proposals.
Integrative bargaining. Th is type of bargaining emphasizes the importance of maximizing joint gains. 

Rather than viewing bargaining from a win-lose perspective, integrative bargaining adopts a win-win orientation where parties try to create agreements where both can prosper. Integrative bargaining assumes that both parties share multiple overlapping issues and that the best way to deal with these multiple issues is to be fl exible in one's position and to engage in cooperative problem solving. By engaging in cooperative problem solving the pie becomes expandable, as the focus becomes on developing creative solutions that expand the pie in ways that ensure both parties can get what they need. Integrative bargainers tend to use the following kinds of strategies and tactics:

 
-  
Integrative bargainers share their information openly and divulge their needs and objectives. Information disclosure is viewed as facilitating the problem-solving process as it allows bargainers to defi
 ne 
problems, identify causes, develop solutions, and evaluate the merits of proposed solutions.
 
-  
Integrative bargainers tend to use soft
  rather than hard tactics. Th
 ey tend to make statements that support the other party and use exploratory problem-solving messages.
 
-  
Integrative bargainers drop particular agenda items, separate issues, and recombine issues in creative 
ways as they move through the negotiation. Th
 is opens up the room for developing novel solutions to 
the problem.

## When To Use A Particular Negotiating Approach

While we may aspire to use an integrative bargaining approach, there are times when a distributive approach may be more useful to achieve our desired outcomes. Use a distributive approach:

 
-  
When your interests and the other party's clearly confl
 ict.
 
-  
When the other party insists on taking a win-lose approach.
 
-  
When you do not need a long-term harmonious relationship.
 
-  
When you are powerful enough to prevail.
 
-  
When short-term goals are more important.
Use an integrative approach:

 
-  
When you and the other party have common interests.
 
-  
When the other party is willing to consider a win-win approach.
 
-  
When a continuing, harmonious relationship is important.
 
-  
When you are weaker or power is approximately equal.
 
-  
When long-term goals are more important.6

## Principled Negotiation

Th e dominant model of integrative bargaining is principled negotiation. Th e idea of principled negotiation was developed in Roger Fisher and William Ury's classic book, *Getting to Yes*. In this book they distinguish between what they call positional bargaining and principled negotiation. Positional bargaining occurs when people negotiate according to their positions or statements of what they want to get out of the situation. Positional bargaining is a form of distributive bargaining where both parties view the confl ict as a win-lose situation. Positional bargaining can take one of two forms: (1) soft
 , and (2) hard.

Soft
  positional bargaining emphasizes the importance of building relationships, which may mean that the parties take a soft
  line toward the negotiation. Th is may create a win-lose outcome as they lose by giving up too much in an eff ort to maintain a friendly environment and good relationship. Soft
  positional bargaining is characterized by the following:

 
-  
Participants are friends.
 
-  
Th
 e goal is agreement.
 
-  
Make concessions to cultivate the relationship.
 
-  
Be soft
  on the people and the problem.
 
-  
Trust others.
 
-  
Make off
 ers.
 
-  
Disclose your bottom line.
 
-  
Accept one-sided losses to reach agreement.
 
-  
Search for the single answer: the one they will accept.
 
-  
Insist on agreement.
 
-  
Try to avoid a contest of will.
 
-  
Yield to pressure.7
Hard positional bargaining emphasizes the importance of getting what you want by playing hard-ball and being tough on the other person during a negotiation. Hard positional bargaining is characterized by the following characteristics:

 
-  
Participants are adversaries.
 
-  
Th
 e goal is victory.
 
-  
Demand concessions as a condition of the relationship.
 
-  
Be hard on the problem and the people.
 
-  
Distrust others.
 
-  
Dig in to your position.
 
-  
Make threats.
 
-  
Mislead as to your bottom line.
 
-  
Demand one-sided gains as the price of agreement.
 
-  
Search for the single answer: the one you will accept.
 
-  
Insist on your position.
 
-  
Try to win a contest of will.
 
-  
Apply pressure.8
Principled negotiation is based on the notion that we need to negotiate on the merits of the case. We need to fi nd ways to work together in order to ensure that wise choices are made that benefi t everyone. Principled negotiation operates from four simple rules:

 
-  
Separate the person from the problem. It is possible to be soft
  on the people you are working with and 
hard on the problem. One can simultaneously act in ways that are respectful of the other and treat the other person well but work hard at addressing the substantive issues that are informing the confl
 ict.
 
-  
Focus on interests, not positions. Creative resolutions can be achieved by focusing on the party's 
mutually shared interests. **Positions** are the statements of what someone wants or needs from a situation while the **interest** is the underlying reason or motivation for the position. For example, an individual in a social service organization may take a position of wanting to stamp out corruption because their interest is in making sure the resources the organization has are totally used to benefi
 t the client.
 
-  
Invent options for mutual gain. It is important to generate multiple options that may meet both parties' interests. Techniques such as brainstorming can be used to generate multiple options from which a resolution can be created later.
 
-  
Insist on using objective criteria. Principled negotiation emphasizes the importance of selecting objective criteria for selecting among competing alternatives. Rather than make negotiations a contest of the will, by creating objective criteria people can be open to reason and yield to principle, not pressure.

## Negotiation

Th is resource guide is designed to provide additional information about theory and research in bargaining and negotiation. Each section in the resource guide parallels the Bargaining and Negotiation Participant Guide by initially highlighting relevant resources for negotiation in general, distributive and integrative bargaining approaches, and principled negotiation. A special section on mediation has also been added as many times courses on negotiation compare and contrast negotiation with mediation. Within each section, written materials are presented that may off er more in depth coverage of important concepts and models. A 
list of useful web resources contains URLs to websites that provide access to material that may be useful in a training and research context.

## General Issues In Confl Ict Management Addtional Textual Resources

 
-  
Cloke, K., & Goldsmith, J. (2000). Resolving personal and organizational confl
 ict. San Francisco: Jossey 
Bass.
 
-  
Folger, J.P., Poole, M.S., & Stutman, R.K. (2001). Working through confl
 ict. New York: Longman.
 
-  
Kolb, D.M. & Bartunek, J.M. (Eds.). (1992). Hidden confl
 ict in organizations: Uncovering behind-thescenes disputes. Newbury Park, CA: Sage.
 
-  
Oetzel, J.G., & Ting-Toomey, S. (2006). Th
 e SAGE handbook of confl
 ict communication. Th
 ousand 
Oaks, CA: Sage.
 
-  
Ting-Toomey, S., & Oetzel, J.G. (2001). Managing intercultural confl
 ict eff
 ectively. Th
 ousand Oaks, CA: Sage.

## Useful Web Resources

 
-  
http://www.beyondintractability.org —Th
 is website provides a wealth of resources including essays, 
recorded interviews, and case studies on the ways that constructive approaches can be used to transform destructive confl
 ict. Links to on-line resources for creating confl
 ict management curriculum are 
also provided.
 
-  
http://www.kettering.org/ —Th
 e Kettering Foundation has a major focus on the relationship between 
confl
 ict management and deliberative democracy. Resources for managing confl
 ict through sustained 
dialogue and track two diplomacy are provided.
 
-  
http://urban.csuohio.edu/~sanda/confi
 ct.htm —Th
 is comprehensive website provides over a hundred 
links to material on confl
 ict theory and case materials. Particularly noteworthy are its links to confl
 ict 
centers outside of the United States and journals that publish essays on confl
 ict management.

## General Issues In Mediation Additional Textual Resources

 
-  
Bush, R.A. B., & Folger, J.P. (2004). Th
 e promise of mediation (2nd ed.). San Francisco: Jossey Bass.
 
-  
Domenici, K., & Littlejohn, S.W. (2001). Mediation: Empowerment in confl
 ict management (2nd ed.). 
Cresskill, NJ: Waveland Press.
 
-  
Donohue, W.A. (1991) *Mediator-intervening strategies, Ch. 6.* Communication, marital dispute, and 
divorce mediation (pp. 135–160). Hillsdale, NJ: Lawrence Erlbaum.
 
-  
Moore, C. (1986). How mediation works. In C. Moore (Ed.), Th
 e mediation process: Practical strategies 
for resolving confl
 ict (pp. 13–43). San Francisco: Jossey Bass.
 
-  
Putnam, L.L. (1994). Beyond third party role: Disputes and managerial intervention. Employee 
Responsibilities and Rights Journal, 7, 23–36.
 
-  
Putnam, L.L., & Holmer, M. (1992). Framing, reframing, and issue development. In L. Putnam & M.E. Roloff
  (Eds.), *Communication and negotiation* (pp. 128–155). Newbury Park, CA: Sage.

## Useful Web Resources

 
-  
http://www.cpradr.org/pdfs/Drucker_USPS_and_Transformative.pdf —Th
 is is an essay that describes 
how the United States Postal Service implemented a transformative mediation program called REDRESS to manage employee concerns.
 
-  
www.mediate.com —Th
 is website provides a variety of articles regarding practical issues associated 
with conducting mediation.
 
-  
http://www.niacr.org/ —Th
 e National Institute for Advanced Confl
 ict Resolution is aimed at developing the capacities of mediators. A variety of practical articles on conducting mediation as well as several useful links to other confl
 ict resolution and mediation programs are provided.

## General Issues In Bargaining And Negotiation Additional Textual Resources

 
- Fisher, R., & Shapiro, D. (2006). *Beyond reason: Using emotions as you negotiate.* New York: Penguin.
 
-  
Friedman, R.A. (1995). Front stage, backstage: Th
 e dramatic structure of labor negotiations. Cambridge, 
MA: MIT Press.
 
-  
Harvard essentials guide to negotiation. (2003). Boston: Harvard Business School Press.
 
-  
Lewicki, R.J., Saunders, D.M., & Barry, B. (2006). *Negotiation* (5th ed.). Boston: McGraw-Hill Irwin.
 
-  
Lewicki, Roy J., Barry, B., & Saunders, D.M. (2007). *Essentials of negotiation* (4th ed.). Boston: Irwin, 
McGraw-Hill.

## Useful Web Resources

 
-  
www.law.stanford.edu/program/centers/SCICN/ —Th
 e Stanford Centre on International Confl
 ict and 
Negotiation provides a variety of essays and interactive case studies regarding negotiation.
 
-  
http://ocw.mit.edu/OcwWeb/Sloan-School-of-Management/15-665BPower-and-NegotiationFall2002/ CourseHome/index.htm —Th
 is website contains an online negotiation course off
 ered by MIT in Fall 
2002. A syllabus, lecture notes, readings, and other resources are provided.
 
-  
http://www.policy.rutgers.edu/CNCR/ —Th
 e Center for Negotiation and Confl
 ict Resolution (Rutgers 
University) focuses on creating collaboration among public stakeholders. Publications and additional links are provided.
 
-  
http://www.virginia.edu/ien/ —Th
 e institute for Environmental Negotiation focuses on environmental issues such as land planning, watershed issues, and transportation planning. Case studies regarding how these issues can be managed are provided.

## Principled Negotiation Additional Textual Resources

 
-  
Berger, K.P., (2006). Private dispute resolution in international business: negotiation, mediation, arbitration. Fredericks, MD: Aspen Publishers.
 
-  
Fiadjoe. (2004). *Alternative dispute resolution: A developing world perspective.* London: Routledge/ 
Cavendish.
 
-  
Fisher, R., & Ury, W. (1981). *Getting to yes* (2nd ed.). New York: Penguin.
 
-  
Lewicki, R.J., & Hiam, A. (2006). Mastering business negotiation: A working guide to making deals and resolving confl
 ict. San Francisco: Jossey-Bass.
 
-  
Stone, D., Patton, B., & Heen, S. (2000). Diffi
  cult conversations. New York: Penguin.

## Useful Web Resources

 
-  
www.pon.harvard.edu —Th
 e Program on Negotiation at Harvard Law School is the most comprehensive site on principled negotiation. Multiple case studies, course syllabi, and other materials are made 
available through their clearinghouse.

## Relevant Journals Focusing On Confl Ict Management And Negotiation

 
-  
Confl
 ict Resolution Quarterly
 
-  
International Journal of Confl
 ict Management
 
- Negotiation Journal
 
- Research on Negotiation in Organizations
CommGAP (n.d.) Negotiation. http://siteresources.worldbank.org/EXTGOVACC/Resources/Negotiationweb.pdf

## Videos

Negotiating Diff erence, World Bank, 2008. Running time: 43 
:43 minutes Th is video is online learning tool that can help users improve their eff ectiveness in skillfully handling diffi
  cult multi-stakeholder dialogue where multi-party interests lead to entrenched bargaining positions. Users will learn about the strategic compass and the seven elements framework of negotiation and apply the techniques of using skilled inquiry, the ladder of inference, and options generation to help explore acceptable alternatives of mutual gain, a process that can ultimately lead to a durable multi-party agreement. A video case study on a fi ctional water reform project, which involves managing multi-stakeholder relationships, and provides the reform context where users can engage in an interactive, practical application of the tools presented.

http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTDEVCOMMENG/EXTGOVACC/0,,content MDK:22480339~pagePK:64168445~piPK:64168309~theSitePK:3252001,00.html Negotiation, Graphical Animation, CommGAP, Produced by the World Bank Institute, 2010. Running time: 2:18 minutes http://www.youtube.com/watch?v=1FeM6kp9Q80

## Module Iv Sustaining Change

Th is module highlights the importance of building communication capacity to ensure that positive results from reform eff orts are not negated reversed by any counter-reform moves. Vigilant monitoring of activities and outcomes is necessary to ensure the traction of achieved outcomes. Two-way communication fl ows among the government, public institutions and citizens is necessary to sustain productive engagement and strengthen citizen voice in holding governments and leaders accountable. Th e Philippines experience in implementing a procurement reform law shows how communication challenges in reform implementation case was addressed through a two-fold strategy focusing on both internal and external communication.

## Sustaining Reform/ Counter-Reform Never Sleeps

Th is session advocates for vigilance over the regressive forces that act against reform, as counter-reform never sleeps. Th e case of the Philippine Procurement Reform identifi es the challenges that reform teams face in implementing long-term change interventions.

## Key Concepts And Messages

-  
Sustaining reform will always be a "work in progress," as vested interests push for counter-reform measures. 
- Keeping the issue alive among multiple stakeholder groups will help reform teams achieve progress 
despite counter-reform eff
 orts.
- Enhancing communication capacity among reform-minded multi-stakeholder groups will enable reformers to address emerging issues and proactively involve their supporters in fi
 ghting the fi
 ght in real time.

## Learning Outcomes

By the end of the session, participants will be able to:

- Appreciate the challenge of sustaining reform, - Become aware of the need to monitor the changing institutional context and the evolving stakeholder 
preferences for reform,
- Recognize that coalitions will be transformed over time, as the original goals are achieved and new challenges emerge which may require a more polycentric coalition for achieving various goals.

## Session Length: 60 Minutes T Eaching Notes And Process Guide Content And Process Presentation Slides And Process Cues

[Two active buttons here, side by side :]*
Play Slideshow Download Presentation File

## Sustaining Reform

T I M E  A L L O T T E D :  4 5  M I N U T E S

## Purpose

Identify communication tools and techniques that can help reform teams gain a better understanding of stakeholder interests, as well as the institutional context and socio-political environment that may infl uence sustainability of the reform.

## Process

 
1.  
Ask participants to work in small groups at their tables and discuss the various communication 
tools and techniques that they will need to understand the stakeholder interests and the changing socio-political environment that may aff
 ect eff
 ective and full implementation of the Philippine 
Procurement law.
 
2. Provide the following instructions for the exercise:
"You are members of the Government Procurement Policy Board (GPPB) reform team, faced with the task of supervising the work of a communication team that will design, implement, monitor and evaluate a communication intervention to promote the full implementation of the Philippine Procurement law. Two critical stakeholder groups need to be reached: a) the procurement offi
  cers in government, both at the national and local levels, and b) members of civil society organizations who can be motivated to volunteer as observers in Bids and Awards Committees." TASK: Brief the communication team on the various tools and techniques that they should use to design the communication intervention, and the sequence in which these tools can be used. 

 
3. Debrief in plenary.

## Facilitator Instructions

In small groups ask the participants, at their tables to discuss the various communication tools and techniques described in the course, and reach agreement on which of these tools they will ask the communication team to use, and the  order in which these will be employed.

Allow 15 to 20 minutes of discussion as separate groups, and then conduct a plenary discussion for about 
15 minutes comparing the outcomes among the various groups.

## Facilitator Notes For The Debrief

Th e task for the group is limited to the design of the communication intervention. Th erefore tools for message development and concept testing, and for monitoring and evaluation have been excluded. 

 
-  
First, there is a need to understand the political economy issues and the institutional context that might infl
 uence the willingness and ability of these stakeholder groups to change knowledge, attitudes 
and behavior in ways that support the successful implementation of the law. In situations where a formal political economy analysis cannot be undertaken, the journalistic inquiry method will provide 
timely information about the political, social, cultural aspects relevant to the reform. 
 
-  
Second, a stakeholder mapping exercise will identify whether stakeholders will support, oppose, or are 
neutral with regards the desired behavior change. For example, procurement offi
  cers at the national 
level may be more supportive of the new procedures than procurement offi
  cers in local government 
offi
  ces, because they have been more exposed to messages from their Department Minister, the media 
and CSOs citing the value of the new procurement law. Members of civil society organizations, who are already working on anti-corruption projects, may be more supportive than those CSO members unfamiliar with governance and anti-corruption projects.
 
-  
Th
 ird, use the Five Communication Management Decisions tool to help the communication team 
systematically make relevant decisions about  (1) which stakeholder groups need to be reached, (2) the current versus desired behaviors for each of these stakeholder segments, (3) what take-away messages need to be promoted to each segment, (4) what supporting data will be needed to persuade these stakeholders that the benefi
 ts of changing attitudes and behaviors outweigh the attendant "costs" , (5) 
what channels of communication are credible and will have geographic reach, and (6) what evaluation indicators will help assess whether knowledge, attitudes, and behaviors are changing in ways that contribute to the success of the reform.
Brautigam, Deborah (International Development Program, School of International Service, American University) with Diolle, Tania (University of Mauritius), (2009). Coalitions, Capitalists, and Credibility: Overcoming the Crisis of Confi dence at Independence in Mauritius. Published by the Leaders, Elites and Coalitions Research Programme. Garcia, Helen R. and Verzosa, Cecilia Cabanero. (2009). Building Eff ective Pro-Reform Coalitions - Public Procurement in the Philippines. Electronically published in the World Bank knowledge and learning platform of the Governance and Accountability Program. 

http://siteresources.worldbank.org/EXTGOVACC/Resources/BCRweb.pdf Humphreys , Macartan (2008). Coalitions. Annual Review of Political Science, 11: 351–386. Johnson, Michael and Kpundeh, Sahr (2002). Building a Clean Machine: Anti-Corruption Coalitions and Sustainable Development. Washington DC: World Bank Institute. Verzosa, C., Mobilizing Middle Managers While Keeping Opponents at Bay: Implementing the Philippine Procurement Law. In S. Odugbemi & T. Jacobson (eds.), Governance reform under real-world conditions. Citizens, stakeholders, and voice (pp. 431–448). Washington DC: World Bank Group.

## Technical Briefs

CommGAP (n.d.) Negotiation. http://siteresources.worldbank.org/EXTGOVACC/Resources/Negotiationweb.pdf

## Videos

Anthonia Ekpa, Bureau of Public Service Reform, Nigeria, CommGAP Global Dialogue, 
'*Governance Reform under Real-World Conditions: a Dialogue on Communication Challenge'*, 2007, Running time: 2:43 minutes http://www.youtube.com/watch?v=fMaB3-vVYDs&feature=autoplay&list=ULFvPipaLq60o&lf=mfu_in_
order&playnext=1
David Apter, Yale University, CommGAP Global Dialogue, 'Governance Reform under Real-World Conditions: a Dialogue on Communication Challenge', 2007, Running time: 4:45 minutes Rey Anthony David Jr, Great Wall Advertising, 'Governance Reform under Real-World Conditions: a Dialogue on Communication Challenge', 2007, Running time: 4:37 minutes http://www.youtube.com/watch?v=bOVwrXlqAUY Negotiating Diff erence, World Bank, 2008, Running time: 43:43 minutes

## Recommended Reading And Resources

Th is video is an online tool which can help users improve their eff ectiveness in skillfully handling diffi
  cult multistakeholder dialogue where multi-party interests lead to entrenched bargaining positions. Users will learn about the strategic compass and the seven elements framework of negotiation and apply the techniques of using skilled inquiry, the ladder of inference, and options generation to help explore acceptable alternatives of mutual gain, a process that can ultimately lead to a durable multi-party agreement. A video case study on a fi ctional water reform which involves managing multi-stakeholder relationships provides the reform context where users can engage in an interactive, practical application of the tools presented.

http://web.worldbank.org/WBSITE/EXTERNAL/TOPICS/EXTDEVCOMMENG/EXTGOVACC/0,content MDK:22480339~pagePK:64168445~piPK:64168309~theSitePK:3252001,00.html

## Session 10 Case Summaries Case Summary 1 Bangladesh Sanglap "We Didn'T Know People Like Me Could Ask Questions Like This" A Dialogue In Bangladesh1 Context

Th e political turmoil in the summer of 2005 threatened the impressive economic gains and social achievements in Bangladesh from the previous 10 years. Th e economy had enjoyed annual growth rates at 6 percent. 

About 1 percent of its 140 million people were lift ed out of absolute poverty every year. Infant and child mortality had declined and primary school enrolment was improved. But in 2005 Parliament had ceased to function; and the main opposition party, the Awami League refused to accept the 2001 election results. Th eir boycott, coupled with the speaker's management of parliamentary business, was starting to prevent the development of formal accountability systems.

## Challenges

Results from the audience research conducted by the BBC World Service Trust revealed that people saw the "culture of blame" as the biggest impediment to meaningful political dialogue. Th e people's interest in politics was strong. Th ey wanted better access to politicians, and the poor believed they had no access at all. 

Media appearances of politicians oft en resulted in apportioning blame, rather than any productive debate with their political opponents. Th e research further showed that politicians did not communicate clearly and tended to speak in a language that was understood by few. Th e BBC World Service Trust saw this as an opportunity to open the space for public debate of issues that were important to people.

## Approach

Building from BBC's long-term relationship with the people of Bangladesh, the BBC developed the Bangladesh Sanglap, as a "national conversation" about the country's future. Th e goal was to, "encourage and facilitate a change in the country's political culture, promoting a culture of responsiveness and accountability among political representatives and providing access to information on, and discussion of, governance issues." Th e BBC World Service Trust planned to do this by "creating a forum which allowed people to access and interact with policy and decision makers on important issues of the day."
Th e *Bangladesh Sanglap* began in November 2005 with eight issue-based discussions from Dhaka, Sylhet, and Chittagong. Th e launch was reinforced by a national opinion poll conducted by the BBC World Service Trust—"Th e Pulse of Bangladesh," the fi rst of its kind—that revealed that trust in government offi
  cials was lower than that in religious leaders, intellectuals and even the army. Unemployment, food prices and transport were considered the biggest problems facing the country, ranking well above corruption in the list of people's daily concerns.

Th ere was unprecedented attention surrounding the fi rst *Sanglap* debate on justice. Despite the ongoing parliamentary boycott, frequent strikes, and blockades, the law minister from the Bangladesh Nationalist Party government sat on the panel alongside his Awami League opposition counterpart. Th e program was broadcast live on radio and two days later live on television. More than 3,000 people attended the fi rst series of debates in Dhaka, Sylhet, and Chittagong on justice, corruption, education, health, local government, trade, security, and the institutions of state. 

Public reaction to the dialogue was positive. Th e research suggested that people believed they had been given a platform to challenge government in a way that they had never before experienced. Of those surveyed, 92 percent believed that the programs helped raise the "voice of the people," especially those from deprived backgrounds, and 78 percent thought the programs helped to ensure transparency and accountability.

A follow-up debate aired on the BBC's international news channel, BBC World, entitled Can Democracy Deliver? Th e same political leaders realized that in this globalized, interconnected world, some in the international community were taking an interest in the future of their country. Newspaper editorials at the time dwelt on how the global audience viewed the performance of their politicians.

Th e second series of debates came on the heels of the 2007 national elections. To provide maximum fl exibility for the discussion topics, the BBC adopted an "Any Questions?" style format, similar to the UK 
program where any member of the audience could pose questions on any issue of concern. Th e program continued to attract press coverage and high-caliber panelists from the two opposing parties participated, as well as leaders from the business community and civil society organizations. Political turmoil and violent protest leading up to the 2007 elections resulted in the takeover of a caretaker government which assured free and fair elections in 2008. In the process, the *Sanglap* program's fl exible format provided a platform for public discussion on relevant issues arising from evolving political events. 

## Results

Th e public discourse arising from the *Sanglap* program, supported by broad media reporting, called attention to issues of public concern and prompted offi
  cials to take positive action. For example, at a Dhaka *Sanglap* in March 2007, panelists and audience members condemned as "inhumane" the government's heavy-handed eviction of street hawkers from the city's streets without any thought as to how they might subsequently make a living. "I am talking about my village people who work as day laborers," said one audience member. "Th ey earn a scant amount of money by being a hawker. But aft er this eviction, their families are living a life almost without food." Following the program, the street clean-up was put on hold, with no further reports of evictions; and the authorities established 25 new markets in which the hawkers could operate. On another occasion, new emergency restrictions limiting a defendant's right to bail were criticized at a *Sanglap* to be a 
"violation of human rights." Th e strong feeling was echoed in the press. Within days, the order was amended and 482 people were released from jail.

Th e program's impact has been noted in the following areas:

 
1. Increase in political transparency and accountability resulting in:
 
- Culture of discussion between politicians and the electorate,
 
-  
Mass awareness of political issues, the rights of the public, and the commitments by political Leaders,
 
-  
A neutral platform for public opinion,
 
-  
An emphasis on the people's right to transparency.
 
2.  
Improved professionalism within the media in producing high-quality debates and programming on 
governance issues
 
3.  
Increased recognition by media houses of the commercial viability of programming that promotes a 
culture of accountability and opens public debate. 
 
4.  
Sensitized political leaders on the media's legitimate role in questioning public authorities. Mafuz 
Anam, editor of the *Daily Star*, commented that "politicians realize they will have to submit to the 
higher power of public will."
Th e Bangladesh *Sanglap* program off ers some key lessons learned: 

 
1. Understand that the platform must be neutral. 
 
2. Know that lively debate is not enough. It must be constructive. 
 
3. Use authentic language. 
 
4. Invest in audience recruitment. 
 
5. Invest in audience research.

## Case Summary 2 Building Support For The Rule Of Law In Georgia2 Context

The judicial system in Georgia was beset with many problems that needed addressing. Judicial decisions were weak and often politicized. The Politburo played a highly influential role as their endorsement was considered more important than a credible case or a good defense. Systemic corruption ran, rampant and entrenched interests owned the system. The judiciary suffered from negative image and lack of public trust.

In 1997, the government of Georgia mounted a comprehensive judicial reform process. Th e government sought World Bank assistance which came in the form of a Judicial Assessment, a detailed study of the state of the country's judiciary; and an operational project geared toward improving court administration, judicial training, rehabilitation of infrastructure and communication. A communication needs-assessment and opinion survey were carried out to identify the most important communication challenges. 

## Challenges

Th e survey results revealed a high degree of public mistrust of the legal and judicial system. A large majority of the population viewed the courts and law enforcement agencies as highly corrupt institutions, and that only those with money could achieve justice.

At the same time, a majority of Georgians still believed in the importance of the rule of law as the basis for its democratic society and market economy. 

Th e media-content analysis, on the other hand, confi rmed the low level of legal knowledge among most reporters, and that they also possessed a limited understanding of the media's role in educating the public about the judiciary and citizens' rights. News coverage of the judiciary revolved around personality issues and scandals rather than on issues of public concern.

Similarly, research results showed the need for the judiciary to listen regularly to public opinion in order to be more responsive to the needs of its citizens.

## Approach

Th e opinion research stressed the importance of communication in the reform implementation process. In designing the communication strategy, a number of questions emerged concerning: (1) size and scope of the intervention, (2) need for international technical assistance, (3) potential impact, (4) sustainability of the program, (5) risks involved, and (6) evaluation indicators. 

Aft er a careful assessment, the project team arrived at the following operational decisions: (1) Pursue a comprehensive program, with substantial funding support to eff ectively tackle the problems on various fronts, (2) Secure technical advice from international consultants, including a training component to support skills training of the local team, (3) Broaden the scope of the communication eff ort beyond a simple campaign for the judiciary to include work that will stimulate public interest and engagement, (4) Engage a neutral entity or non-aligned group with credibility that would serve as the 'messenger' of the communication eff ort instead of the Ministry of Justice or the Supreme Court, (5) Incorporate communication capacity-building as an important component for ensuring the sustainable implementation of programs, and (6) Utilize evaluation indicators to focus on the institutionalization of the communication approach, the results of capacity building activities, increasing levels of public understanding and trust, and media monitoring and coverage of the courts. 

## Results

A coalition of active and credible NGOs was formed in response to the need for a neutral entity to implement the communication program. Several NGOs joined forces in creating a new entity - the Association for Legal Public Education (ALPE), comprising of four NGO groups: Georgian Young Lawyers Association, the Open Society Institute Georgia, Liberty Institute and the Judicial Training Center. 

An ambitious capacity-building program spearheaded the communication implementation activities. 

Th is was later followed by initiatives using the mass media. First, ALPE partnered with one of the leading national newspapers, *Kviris Palitra* (Weekly Palette) to create what became the fi rst ever newspaper section dedicated to addressing legal issues in any print media. With a focus on how the average citizen could exercise his or her rights, the legal supplement was an immediate success. Second, ALPE produced TV programs such as *Court TV,* which portrayed what a defendant in Georgia could expect to experience when in a courtroom. A second TV series, *In Search of Justice* was produced together with *CourierPS,* a well-regarded current aff airs TV program, which featured real stories of how Georgian justice was meted out to people who wound up in court.

Th e program also involved mobilizing youth groups and bringing them in touch with the courts and the parliament. Th e education establishment welcomed this as a great opportunity to instill a sense of civic responsibility among students. 

ALPE also launched a public relations campaign, including a monthly newsletter on reform progress. Th is was circulated among key decision makers, including parliamentarians, government offi
  cials, and judges. 

One of the most challenging tasks for ALPE was helping the judiciary to become a more open and transparent institution. ALPE established and trained a network of court clerks responsible for information and customer service. A small group of judges identifi ed as "spokespersons" for the judiciary, along with the Supreme Court's public relations teams, were trained in communication and media relations to help them better articulate the views of their institutions to both internal and external audiences. Eff orts to promote openness in the institution, however, had little impact. Further attempts to increase transparency were not pursued.

To strengthen the media's capacity to report on legal and judicial issues, the project conducted several workshops for reporters covering the courts. Th e course on legal and judicial reporting developed by ALPE 
provided a platform for training future journalists. However, this aspect was the least successful as many problems remain in the area of media-strengthening; such as continued preference among most editors and readers for sensational unqualifi ed stories, failure to attract talented young professionals because of low salaries for journalists, which led many to take bribes.

While the overall outcome in implementing judicial reform showed mixed results, the operational impact of the program to increase public awareness of judicial processes and institutions, citizens' rights and privileges and the need for accountable governance, it still demonstrates the meaningful role that communication can play even in diffi
  cult reform eff orts. 

## Case Summary 3 India Public Enterprise Reform In West Bengal And Orissa States3 Context

Poorly functioning public enterprises in West Bengal and Orissa have contributed to major budget defi cits and created a major drain on the economic resources of both states. In West Bengal, the government had to borrow in order to fi nance payments for salaries, pension and debt-servicing commitments. Orissa, one of the India's poorer states, faced a similar situation of a rising debt burden and huge fi nancial losses incurred by most of its state-owned enterprises (SOE). 

Public enterprises fail as a result of systemic problems such as institutional failings, operational ineffi
  -
ciencies, and poor entrepreneurial and business management skills among SOE managers, many of whom were appointed only because of their political connections. Overstaffi
  ng, mismanagement, political pressures and interference from trade unions characterize many fi nancially troubled SOEs. Reform eff orts to correct defi ciencies in these loss-making enterprises, however, are politically contentious and face resistance from special interest groups determined to maintain the status quo. 

## Challenges

West Bengal and Orissa, though with diff erent political circumstances, faced many of the same socioeconomic and political risks involved in implementing a diffi
  cult change initiative involving public enterprise reform. Stakeholder-related issues were at the core of the political economy challenges that confronted the reform leaders. Experience shows that areas of resistance came from various stakeholder groups who opposed and raised objections on the need to reform. For example, political leaders needed to protect party interests and are wary of potential labor unrest, SOE managers and workers fear the loss of job and reemployment opportunities, civil servants were concerned about the loss of prestige, benefi ts and rent capture, labor leaders worry about a weakened power base due to worker retrenchment, and the media and the public are concerned about the welfare of workers. 

## Approach

Th e reform leaders of West Bengal and Orissa grappled with reform obstacles through similar approaches by engaging in stakeholder dialogue, building credibility, arriving at a shared understanding of the problems and mobilizing broad support for reform solutions. Both states shared a clear understanding of the relationship between politics and stakeholder-driven communication to create strong constituencies of support for reform. 

Th e major diff erence between the two states was the approach and the focus of the communication strategy that each employed to attack reform. A major political stakeholder in West Bengal is the ruling CPI (M) which has been in power for 30 years and represents 90 percent majority in the state legislature. Th e Party's longevity has been attributed to the importance given to maintaining consensus and the presence of a welldisciplined party machinery capable of informing and mobilizing politicians, labor organizations, government and other key stakeholders. It was clear to the government reform leaders that they needed to build support both inside and outside the party structure. 

West Bengal's communication process focused on making internal communication the starting point of the reform eff ort. Th e reform team conducted extensive dialogue among public enterprise managers, unions and the government to identify respective SOE issues, jointly explored and arrived at options for reform solutions. Th ey gained stakeholder support through the dialogues and internal consultations held over a three-year period that led to an informal coalition with a collective force for a broader mobilization of supporters. Th e reform team worked quietly and strategically to build stakeholder support before involving the news media. Low-tech methods of communication, involving personal communication through meetings, letters and other written correspondence, were highly eff ective. Th ey used these channels to build a strong case for reform by citing the economic, fi nancial and social consequences of inaction. Eff orts at ensuring participation and consultative dialogue safeguarded political support. Aft er consensus was built, the reform team launched a media blitz to inform and educate the public via press briefi ngs, positive media coverage using electronic, print and broadcast media. 

In Orissa, the reform eff ort was led by the new chief minister and a small group of senior civil servants who championed the reform by engaging in an open and public debate that built statewide consensus. Th ey published white papers which acknowledged the government's shortcomings in dealing with the debt burden and proposed urgent and drastic steps to address the fi scal problem. Th ey called for detailed discussions and public debate on the issue. Th ere was lack of support at the highest levels of government where there were confl icting ideas on scope and intent of reform. Among middle managers there was no consensus and the reform eff orts were perceived as threat to their powers. 

Reform leaders recognized the importance of raising the political awareness and an eff ective communication- and coalition-building strategy to support reform eff orts. To raise stakeholder understanding, the media became the key component of the communication strategy. Th e reform team organized fi eld visits and held frequent briefi ngs for the media. Journalists issued press releases and covered specifi c reform topics in diff erent newspapers. Video memoranda were powerful advocacy tools which strengthened the argument for reform. A documentary video on privatization and worker retraining was widely circulated among key stakeholders. He media campaign culminated in a major colloquium event, with the attendance of various key stakeholders. Overall, the fi rst phase of the reform benefi tted from the positive media coverage. 

## Results

Th ough their communication approaches were diff erent—West Bengal focused on internal communication and inquiry rather than advocacy and Orissa pursued a politically-aware, media-centric strategy—the results for both states led to greater stakeholder understanding of the reform. From a communication perspective, these examples off er useful lessons when undertaking reform eff orts: 

 -  
Initiate program planning with a good stakeholder analysis of their perceptions, interests and best channel to reach them.
 -  
Integrate communication into each step of project development, then in project implementation. At each 
stage ask, "Who needs to be told what?"
 -  
Build pro-reform coalitions. 
 -  
Test each communication to determine whether the message reaches the target audience, and, where 
possible, establish benchmarks for evaluating stakeholder attitudes, by which you can later attempt to measure communication impact.
 -  
Use dialogue and participation to build stakeholder understanding and demand for reform.

## Case Summary 4 Nicaragua Participation, Transparency And Consensus Building In Public Sector Reform4 Context

Nicaragua is faced with serious vulnerabilities in several fronts. In 2001, it ranked as the second poorest country in Latin America. Its economy was burdened by high external debt and susceptible to external shocks, including natural calamities and commodity price cycles. Th e economic and public sector environment was characterized by the presence of powerful interest groups and a lack of broad-based constituency for comprehensive reforms.

## Challenges

In June 2004, the Directorate for Strategic Communication and Governance (DCEG) was created within the Secretaria de Coordinación Estratégica de la Presidencia (SECEP) to support the governance reform process through the use of strategic communication. DCEG conducted an analysis of the most pressing issues in the country and defi ned the challenges that the communication program would seek to address, including:

 
1.  
Th
 e lack of transparency in public administration and the widespread perception of corruption among 
public offi
  cials.
 
2.  
Th
 e low level of trust toward association-building mechanisms at the local level.
 
3.  
Th
 e negative and polarized attitude of the media toward public administration activities.
 
4.  
Th
 e failure to understand reform among civil servants
 
5.  
Th
 e negative perceptions of people about their quality of life.
 
6.  
Th
 e incoherent image of public administration, as well as the muddled messages coming from it.
Th e active engagement of citizens in the policy-making process was considered a crucial challenge. 

Establishing incentives for initiating public demand for social accountability and enabling the environment for political will at the local level were the most ambitious challenges for DCEG.

## Approach

Using this analysis, DCEG, with the support of other allies within the government, built a framework for a strategic communication program. Its overarching objective was to "strengthen the transparency and participation processes of the public sector reform, and foster the change of people's attitudes and perceptions toward the most relevant economic issues with a particular focus on fi ghting corruption." Th e program design was structured around two expected results: (1) the development of an integrated and functioning participatory system to provide citizens with better access to information and to establish two-way communication mechanisms between government and civil society and (2) the strengthening of government's communication capacity by establishing a professionalized communication network in ministries and other key national institutions on the most important social and economic development initiatives.

Seven criteria were ascertained for the development of communication programs:

 
People fi
 rst, which called for the use of true stories in the communication products in order to create 
messages that resonate with the people and help to build public trust.
 
Useful infrastructure, to link infrastructure to its function (for example, roads with improved commercial opportunities and water systems with health), and to prevent the infrastructure from being used as a means to showcase "achievements" by politicians.
 
Government close to the people, which aimed at providing practical information on public services, and 
promoting knowledge of civic rights and responsibilities.
 
Twenty-fi
 rst-century modernity, to provide an image of a modern country with a future.
 
Common ground, to shift
  the focus from political confl
 ict to development objectives.
 
Friendly and verifi
 able data, to build trust and create easy-to-understand messages from government
 
Added value and open opportunities, to provide useful information, such as contact information and the names of public procedures, among others.
To improve participation and the quality of policy interventions, two-way communication mechanisms between the central government and relevant stakeholders in the territories was established. Governments were allowed to tap wider sources of information, perspectives, and potential solutions to meet the challenges of policymaking. At the local level, coalition and constituency building was carried out to strengthen participation. 

Th e transparency strategy implemented by DCEG was able to address only the information supply side. 

In 2003, civil society organizations formed an advocacy group to discuss with the executive and the assembly the likelihood of passing access-to-information legislation. DCEG proposed, as an alternative to the law, a three-stage voluntary access to public information strategy, Estrategia Voluntaria de Acceso a Información Publica (EVA, or Voluntary Access to Information Strategy) as an initiative to make available all the digital information produced by the public sector. Th e strategy involved the dissemination of information already available, the organization of pre-existing paper archives and the creation of a Center for Transparency that would provide information to citizens through face-to-face services, or by phone and online. 

Consensus-building eff orts concentrated not only on citizens, CSOs, and other 'external' actors, but also on creating political will within the government and the public administration at large. Th e consensus-building strategy focused on the attitude and perceptions of internal and external stakeholders toward improved ownership of the *res publica* (public matters). Th e consensus-building activities to support the overall communication program revolved around four main themes: (1) the economic agenda, (2) the attitude of people toward the county's development, (3) the Poverty Reduction Strategy, and (4) public services delivery and citizens' rights and duties. Among the main challenges were the lack of a professionalized public sector communication network to deal with the most important social and economic development initiatives, and a weak level of consensus around the reform agenda within the government. 

Capacity building of the public sector's communicators and the creation of a public sector communication network was important for establishing new communication standards in the government and to ensure the delivery of a coherent governmental message on topics related to PRSP and public sector reform. A government-services web portal was launched which contained general information on services, public administration offi
  cial contacts, and links to EVA and to all public administration websites. Four diff erent media campaigns were developed to sustain the country's image and deliver messages about the reform program, on the economic agenda and in support of the EVA. Th e main objective of the campaigns was to change the public's perception of a fragmented public administration and to increase public expectations for a better personal economic situation. 

Many institutions were doubtful about the need for a single strategy for the entire public sector. Th e main concern was related to the loss of power consequent to the establishment of a unique visual image. Presidential support and enforcement were necessary to overcome the resistance. 

## Results

Th is case demonstrates how communication can be used holistically in support of good governance, to build coalitions and constituencies around reforms and to increase citizen demand for accountability and foster participation at the local level. Th e communication strategy built around these three dimensions created the basis for strengthened citizenship at the local level.

Th e main constraint of the intervention was the failure to engage the legislative branch in the process. 

Th e lesson from this experience is that communication strategies for supporting public-sector reforms, regardless of the context, should keep a keen focus on the *res publica*. Th is approach fosters a larger defi nition of state and public administration beyond the concept of government, which is oft en confused with the idea of the executive branch.

Since the implementation of the communication program and despite initial resistance to the new visual image, a sense of ownership has been fostered among public offi
  cials. Coaching high-level offi
  cials on the merits of strategic communication enabled them to communicate more coherently. Th is change, together with the media campaigns, helped to condition the attitude of the media, both broadcast and print, toward their coverage choices. In 2005, alarmist and sensational headlines were replaced by a more informed dialogue around development issues that, on several occasions, stole the center stage away from political confl ict.

Th e access-to-information strategy demonstrated that it was possible for Nicaragua to coordinate several institutions into providing timely and relevant information to the citizens.

With respect to consultation, one of the communication program's achievements was the intra-governmental coalition building that ensured coherence of messages and support for transparency and participation among high-level offi
  cials. Th is coalition, along with the positioning of DCEG at the highest level of government and its blended functions of communication and governance, ensured participation of the executive's political will in support of strengthened citizen demand for accountability and inclusion. 

In the long term, however, the political capital gained from the program has been shown to be unsustainable, given the robust spoils system and the turnover in a public administration strongly conditioned by political change.

## Case Summary 5 Bulgaria Tax Reform And Communication: Getting It Right5 Context

Eff orts to reform the Bulgarian tax system called for urgent and enormous changes. Th e Bulgarian tax system was ineffi
  cient and bureaucratic. It performed poorly in terms of revenue collection: citizen-taxpayers did not trust the system and foreign investors were disengaged. To halt further decline, the government mounted a reform eff ort to modernize its tax collection facilities and unify and simplify internal processes. 

Th is involved organizational restructuring by merging the revenue-collection function of the National Social Security Institute (NSSI) and the General Tax Directorate (GTD) into a new, single tax authority - the National Revenue Agency (NRA). Th e reform had three main objectives: to increase economic effi
  ciency, cut tax rates, and benefi t from economies of scale when collecting revenue.

## Challenges

Th e main communication challenge in this reform agenda was the lack of internal consensus and public support. In an environment where the civil service is historically averse to openness and transparency, eff orts to engage in internal and external communication was frustrated by technocratic and bureaucratic reluctance. Hostile opposition came from civil servants themselves, who feared change and worried over loss of their jobs and privileges. Although public demand for reform was high, information on new modes of compliance was non-existent. 

Information from opinion surveys revealed that taxpayers believed that their tax rates were punitive. 

Th ey had limited knowledge about how the taxpayer's money was being spent by the government. For the NRA communicators, political uncertainty and delay were part of the problem. Th e legislation creating the NRA was approved only 72 hours before it had to begin collecting taxes. Th ere was little opportunity to initiate public education and outreach activities to inform people about new system and the overall benefi ts of the reform. 

## Approach

Th e communication strategy focused on ensuring transparency and engaging in dialogue. To quickly gain broad-based support for reform, the NRA set up a communication unit to focus on internal and external communication. To build internal consensus, the NRA launched an internal communication strategy and formed a steering committees consisting of senior management, specialists in business taxes and other taxation, communicators, and strategic planners. Senior NRA offi
  cials held briefi ngs for various employee groups. Th ese sessions served as communication channels for informing employees about the results of public opinion surveys on attitudes about taxes, discussing the need for the reform, and presenting the government's plan of action to improve the tax collection process. Time was also spent discussing employee opportunities for personal advancement and career development, as well as the inherent challenges of the new system and separation benefi ts for those in jobs considered redundant in the new organization. Th e presence of a feedback mechanism provided two-way communication between the managers and employees via the government e-mail service, and the NRA intranet assured employees of continuing open dialogue in the reform process. 

Personal follow-up letters were sent to each of the 8,000 employees, reiterating the information provided in the briefi ngs. Th is strategy of sending out personalized letters was recognized as an important step in the process of consensus building. It built trust and confi rmed the NRA's genuine eff orts to reach out to its employees. Pursuing this further, NRA created an "employee of the year" program as an incentive for various levels of civil servants. Th e NRA also engaged staff
  dialogue in the preparation of a Code of Practice to hasten the shift
  in organizational culture. Staff
  consultations, led by the Analysis Department, helped identify 300 performance indicators, which ultimately received backing from the civil servants.

To build public support, external communication began with a media campaign targeted incrementally at three areas: image making— to create public awareness of the new institution, practical information—on fi ling taxes and various new regulations and changes, and public relations—to explain the changes and encourage greater compliance.

Opinion sampling played a key role in assessing public sentiment and taxpayer attitudes and in informing the process of employee dialogue. Th rough public opinion research, the NRA and the Center for the Study of Democracy in Sofi a discovered that their customer base could be divided into four stakeholder groups: individuals who paid taxes, small-scale entrepreneurs and the self-employed, corporations, and the nation's biggest taxpayers. Th ey also gained in-depth knowledge about stakeholder attitudes and the reasons for noncompliance, for example: 

 -  
Awareness of the NRA was 67 percent among the wealthy, 40 percent among individual taxpayers and 
15 percent among entrepreneurs and small business owners.
 -  
Everybody had diffi
 culties fi
 ling their tax returns.
 -  
50 percent of the rich and 75 percent of sole proprietors thought Bulgaria's tax system was inequitable; 
and a smaller percent thought the tax burden was too high.
 -  
Reasons for noncompliance included: rates too high, tax procedures changed too quickly, and there is 
lack of transparency about how government spends tax money.
 -  
Reasons for compliance included taxpayer integrity and fear of arrest.
Based on this information, the NRA's public campaign focused on citizen demand for change in tax collection practices. Th e key campaign activities conducted for the 2006 and 2007 tax fi ling seasons included:

 -  
Public service docudrama that vividly explained what is purchased with tax money and how the people's everyday lives benefi
 ts from it; advocacy spots on newly installed monitors in the most widely 
traffi
 cked public buses; targeted billboards, print ads and web-based advertising.
 -  
"Myths and Facts" information sheet and an article titled "Fair Already" that addressed the primary 
concerns of individuals and corporate payers alike.
 -  
Short documentary fi
 lm aired nationwide to raise awareness and reinforce the fact that Bulgaria's tax 
rates are among the lowest in Europe.
 -  
Personalized letters to 15,000 businesses and accountants, followed up by personal and small group 
meetings wherever possible.
 -  
Regular media briefi
 ngs; creation of new NRA Web site and a 50-person telephone bank to answer public enquiries. 
 -  
Attitudinal research by the NRA to devise different approaches to radio and television advertising information for taxpayers.
 -  
Attention-grabbing, animated TV advertisements with compelling messages. 
 -  
A national, televised NRA-sponsored extravaganza celebrating each year's biggest taxpayer.

## Results And Lessons

By the end of the 2006 tax season, awareness of the NRA's activity among corporate taxpayers—the greatest source of NRA tax revenues—more than tripled, from 21 to 79 percent. Th is success in communication played a role in the NRA's fi nancial achievements: revenues increased 54 percent, from 4.8 billion leva in 
2005 to 7.4 billion leva in 2006, in part because the NRA set a record in 2006 for tax fi lings, which exceeded 
1 million returns for the fi rst time.

Some useful lessons from the Bulgaria experience:

 
1.  
Perform a communication capability and needs assessment as part of the project design process. 
 
2.  
Use expertise inside and outside government. 
 
3.  
Budget for measurement to establish baselines for testing and against which to measure progress.
 
4.  
Ensure that communication output is strong enough for audiences to get key messages. 
 
5.  
Leave enough time to engage in dialogue to reduce stakeholder resistance and for building stakeholder support 
 
6.  
Determine advertising budgets in advance. Reform projects should not be caught short of funds.

## Case Summary 6 Rwanda Public Sector Middle Managers: The Critical Link To Driving Public Sector Reforms6 Context

Th e tragic genocide and civil war in 1994 led to a badly damaged economic infrastructure, loss of skilled human resources and diminished public services. Th e post-genocide administration reestablished public institutions and reorganized pubic administration. To date, Rwanda has seen rapid reforms take off
  involving various public sector institutions. To address serious and persistent gaps in capacity building, however, the government established a Multi-Sector Capacity Building Programme (MSCBP) alongside the Human Resources and Institutional Capacity Development Agency (HIDA) responsible for strategic leadership, implementation oversight, and coordination of capacity building programs in the country. 

## Challenges

HIDA faced several operational challenges which needed to be addressed to ensure success of their programs. First was the question of "how to package capacity building." Middle managers who are directors or heads of departments consider training as capacity building and will only cooperate if the support is in that direction. In their view, capacity building can be off ered solely through scholarships to study abroad. 

Another constraint in the Rwandan experience is the tendency of public institutions to take a predominantly supply-driven approach to capacity-building interventions. Th is has contributed to major gaps and the lack of sustainability in these activities. Examples of weaknesses in such an approach include a mismatch between training needs and training, weak ownership, oversupply or undersupply of skills, and overlap and duplication of interventions. Instances abound where training is prescribed by the management staff
  but does not tally with the worker's job description. 

To support the adoption of the demand-driven approach, HIDA signed a memorandum of understanding (MoUs) with all its client institutions. Th e MoUs established cooperation and partnership arrangements, but most importantly, it included a list of client-identifi ed capacity-building activities drawn from the clients' strategic and action plans. Th is made HIDA's interventions acceptable, appropriate, and sustainable among middle management staff
 . Program reviews, however, indicated that the "usual way of supply-driven training" is still prevalent despite the presence of these MoUs. Th e practice has not changed, and this shows a lack of acceptance and ownership of managers in the client institutions. 

## Approach

To strengthen eff orts in reaching out to public sector middle managers, HIDA placed emphasis on their role as *partners* and not just *consumers* in the change process.

To build support for capacity-building interventions, it networked with top government leaders and policy makers to develop 'buy-in.' Once these individuals are on board, support percolates down to middle-level management; all new policies and reforms are subjected to a consultative and validation process. During the preparation of the National Skills Development Policy, two committees were formed: a national steering committee (comprised of six ministers from cross-cutting ministries) and a national task force (consisting of secretaries general from all ministries) in which middle-level managers were appointed to serve in key roles. 

Government technocrats were sensitized to the importance of taking ownership of the process through constant dialogue, direct technical assistance and coaching to build sustained internal capacity and enabling them to make informed choices. For example, HIDA supports various public institutions, which are referred to as "clients," not "benefi ciaries." Th ese clients have signed MoUs, now a tool of partnership, with HIDA. 

HIDA also initiated "peer groups" among public sector professionals to create a forum for discussion of common capacity challenges. Various forums were used as platforms to disseminate its success stories and best practices. Workshops were organized to serve as advocacy forums where discussions are supported by well-documented research to arguments in favor of the reform. , Radio and television programs, newsletters and websites were utilized to gain broader reach in sharing information.

In July 2006, HIDA conducted a pilot Knowledge, Attitude, and Perception (KAP) survey to gauge public servants' experience with work facilitation and their perception of HIDA's services. HIDA aims to focus on public servants as "customers" in reform, not "victims" or uninformed bystanders.

## Results

HIDA's communication and advocacy eff orts have led to promising results that should show continued progress in achieving desired development outcomes. HIDA has raised awareness of the strategic issues in capacity building and has earned increased leverage, morale, and pride in continuing its work. 

Th ere is broad consensus among government, senior and middle managers alike and other stakeholders on what capacity-building entails and how it should be packaged. Th is approach will positively aff ect planning and absorption of resources targeting capacity building. Most stakeholders, including government offi
  cials, acknowledge that much duplication, overlap and the squandering of resources have taken place. 

Continuing eff orts of information-sharing and planned capacity-building activities are well appreciated within government and across donor communities. Th e second generation of the World Bank-supported Poverty Reduction Strategy Paper, the Economic Development and Poverty Reduction Strategy (EDPRS) now includes a capacity-building subsector. 

## Case Summary 7 Slovakia Public Opinion And Pension Reform7 Context

Th e changing demographics, the pressures of Euro-integration, and the near collapse of the old centralized system prompted the need for pension reform in Slovakia. Th e old pay-as-you-go model had to be replaced with a new system that introduced obligatory personal pension accounts administered by private companies and included voluntary private accounts for additional contributions to pension savings. Th e pension reform implemented by the Ministry of Labor, Social Aff airs, and Family (MOLSAF), as the agency with oversight of the National Labor Offi
  ce and the Social Insurance Agency, was part of this comprehensive package of economic reforms. In cooperation with the World Bank, the Slovak government established a program titled, "Strengthening Government Capacity to Develop and Implement Public Information Programs in Support of Economic Reforms." 

## Challenges

Lack of Political Will Th e reform needed the support from the members of parliament (MPs). Securing their vote for the proposed reforms, including the pension system reform, would provide the authorizing mandate to implement much needed systemic changes. Th us, reformers needed to make a strong case and provide MPs and other decision makers with suffi
  cient information and arguments.

Lack of Support from Middle Managers Enlisting the support of the Slovakian civil service, particularly the middle managers, was also a challenge. It was important for the reformers to engage members of the civil service, show appreciation for their work, and explain the reforms in terms of the middle managers' enlightened self-interest. Lack of Public Support Support of the Slovak public and relevant stakeholders in favor of the proposed reforms had to be secured. Public information on the rationale behind the reforms, and its benefi ts and costs were crucial in conveying the vision for change and managing public expectations. A constant fl ow of information between the government, on the one hand, and the media and stakeholder groups, on the other, was needed to secure public support.

## Approach

Key to the program was the creation of a center to coordinate all communication activities. Th e center engaged in both analytical and training activities, including (1) a public opinion research program, ongoing media monitoring, opinion polls and surveys conducted by third parties, and comparative analysis of relevant trends in other countries. During the 18-month period of grant implementation, the center conducted two representative face-to-face baseline surveys, two representative computer-assisted telephone interviews, and 12 focus groups, and (2) targeted training of key communication staff
  members on strategic communication, and media training for senior offi
  cials entrusted with communicating the reforms to the public at large.

## Securing Political Will

To gain legislative support for the new Slovak pension system, reformers launched a public campaign which included the following activities:

 -  
Analysis of the key stakeholder groups to address them separately with specifi
 c messages,
 -  
Preparation of an "infl
 uence pack"—a set of arguments and information about the forthcoming pension reform as it pertained different target groups,
 -  
Media training for key offi
 cials at MOLSAF and the Financial Market Authority who would make public 
judgment on the pension reform,
 -  
Regular workshops, seminars, and business breakfasts for opinion leaders, especially MPs,
 -  
Regular workshops for the media,
 -  
A special two-day workshop for MPs, attended by foreign consultants,
 -  
A study tour to Chile by Slovak MPs, designed to give them an empirical understanding of how similar 
reforms worked in that country.

## Securing The Public Will

Th e issue of pension reform resonated well with the public. It was clear that given the shift ing demographics, the state-controlled, pay-as-you-go system could not guarantee future fi nancial security for younger Slovaks entering the labor market. To gain public trust and increase understanding, messages were kept simple.

Th rough eff ective use of public opinion research—surveys, polling, and focus groups—reformers were able to measure the growing public support for the reforms. A local company carried out both qualitative and quantitative public opinion research.

Th e public campaign was aided by an advertising blitz sponsored by pension companies. Ads saturated the airwaves and increased public awareness of the reforms. MOLSAF's simple message—that "you can manage your own money" if you subscribe to the privately administered options—was reinforced by private sector advertising.

Th e campaign was successful, as evidenced by public opinion data. According to Markant's Public Information Survey Company, "In the fi rst survey, conducted in June 2003, 65 percent of the respondents approved of the change in the pay-as-you-go system. From June 2004 to May 2005, the share of those who agreed with the proposed or implemented reform increased from 37 percent to 58 percent. Th e share of those who did not agree with the reform—about 25 percent—remained relatively constant in the observed time period.

## Securing Middle Management Support

One common challenge in implementing reform programs is working with members of the civil service. Th ey can be your best allies or the worst enemies. Breaching the redoubt of middle-level managers who did not support the reforms for a host of reasons was a key challenge in Slovakia's pension reform.

Th e reformers' approach was fi rst to gain the trust and respect of middle managers by attending all their meetings, inviting infl uential managers to external meetings and events, and setting a positive and appreciative tone in their interactions. By showing appreciation for middle managers' work, explaining the reforms within the context of their self-interest, and projecting a forward looking and inclusive vision, reformers were able to secure middle managers' support for advancing the reform campaign. Th e success of the pension reform can be largely attributed to the cooperation of the MOLSAF middle managers.

## Results

Slovakia's pension system is now rated among the most progressive in Europe. Approximately 1.7 million Slovaks, or close to 30 percent of the population, have subscribed to the pension reform, thereby locking it into the fi nancial system and making a policy reversal very diffi
  cult. More broadly, the set of pension reforms was successful in improving Slovakia's overall economic condition.

Th e communication strategy helped to secure the public will and sustain reform momentum. Public opinion still favors the reforms. Th e Slovak public's current support for the reforms despite the defeat of the Dzurinda administration in 2006 testifi es to the complex relationship between public will and political will.

## Communicating Diffi Cult Reforms: Eight Lessons From Slovakia By Jeremy Rosner

The communication lessons from the broad economic reforms include the following: 1. *Connect with the national mood.* Happy talk about how well things are going will not be effective in a country where the majority of the public believe that the country is headed in the wrong direction. Instead, leaders need to connect with public sentiment through research on how people feel. If the public sees the country to be going in the wrong direction, there is a need to take that direction seriously and to engage with a frame of communication that acknowledges that things are not going as they should. If the reforms are already in place and things are not going well, explain why that is the case or how the reforms will deal with it. 2. *Adopt a clear, unifying message.* In many cases, as in Slovakia, when one explains a complex reform or set of reforms to the public, it is important to pull back from the myriad details and to construct a unifying message that makes sense to people, is memorable, and ties pieces together. In Slovakia, the Dzurinda government was seeking to build support for at least seven different major reforms. The ministers and civil servants working on these reforms had strong explanations about why each of these reforms was important, but the cumulative impact of all the information on the public often was more akin to white noise. However, the research suggested that if the government were to use a central set of ideas and messages that explained what the reforms were about—that, taken together, they were aimed at attracting new investors and new jobs for Slovakia—it was possible for the government to increase support for their reforms. With a unifying message, the reforms suddenly became—for many people—intuitive, memorable, and attractive. 3. *Explore opportunities for reframing the debate.* Leaders and reformers often exhibit a stubborn streak in fi ghting against public opinion, as if presenting their facts over and over will eventually sway people, unaware that there may be opportunities to reframe the debate in ways that can generate more agreement for support. In Slovakia, by early 2005 the dislocations and other costs of the reforms had left the Dzurinda government with only minority support on the question of whether people approved or disapproved of the reforms. Yet focus group discussions revealed that people were against the idea of repealing the reforms; even though much of the public resented many elements and consequences of the reforms, they felt strongly that repealing the reforms would make their country even worse off. Subsequent quantitative research indicated that about three-quarters of respondents actually wanted to improve on the reforms rather than repeal them. By rephrasing the alternatives as whether to keep the reforms and to improve on them or to repeal them, the government was able to pursue a dramatic reframing that opened the door to a much more positive and receptive dialogue with a very large majority.

4. *Act macro; talk micro*. Leaders in many transitional governments often think and talk too exclusively in macro-terms. Unfortunately for their communications efforts, life is lived in micro-terms. For example, in Slovakia the dominant goal of the health care reforms was to reduce the debts imposed by the health care systems. This message did not resonate with the public because it just did not relate to people's lives. Most citizens do not come in contact with the debts of the health care system, but, rather, with doctors and hospital beds and pharmacies. Naturally, quite a different set of concerns with the health care system surfaced during focus group discussions, but the government had not suffi ciently addressed these concerns in its communications. By listening to the public through opinion research, and by doing more to look at the problem through the eyes of the citizens who are the consumers of the health care system, the government found the door opened to new lines of communication that could explain the micro-benefi ts of the health reforms. All this action requires looking through the other end of the telescope, to go from a "macro" lexicon to a "micro" lexicon. 5. *Confront the public's biggest concerns*. Reforms almost always entail costs that are usually unevenly shared, generating fears and resentments. Instead of confronting those fears and resentments, many reformers try to avoid the subject and to keep things focused on the positive aspects of the reforms. This approach can leave the public feeling that the government is out of touch. One of the most powerful things that a government can do is to admit and give voice to the public's biggest concerns. It takes enormous political courage to deal with them head on, but this act buys the government credibility and opens it up to hearing about other diffi cult issues.

6. *Build capacity on the ground*. It is often important to build the capacity of ministers, state secretaries, and spokespeople on how they frame messages and communicate with the media. In Slovakia, an extensive training program was conducted for government offi cials; the benefi ts of such capacity building may play out only over the long term, but they will tend to contribute to building the capacity of transitional governments to take the public's views seriously, to investigate and research those views, and to frame messages that will connect and address those views constructively. 7. *Stop talking politics*. Government offi cials love to talk politics because, in many countries, the way to get ahead in political life, at least under pre democratic political regimes, was by doing battle within the inner political circles rather than by talking to the public. Thus, many leaders are eager to air their political intrigues, designs, and grievances, which in turn allow or encourage the media to focus on those issues rather than on any discussions of reform. When this happens, the result is that all the public hears about is political battles, the personalities, the parties, and the coalitions. In Slovakia, by a three-to-one ratio, people said the bigger problem was that the government was spending too much time talking about politics and not about the reforms, rather than the alternative choice that the government was bad at explaining the reforms. Politics crowds out explanations of reforms. If government wants its messages about reforms to get through to people, it needs to stop talking politics. 8. *Start early*. When reformers build a process of listening to the public early on and develop their communications around dialogue with the public, there have been impressive results. Pension reform in Slovakia had two very talented communications consultants who built a conversation and a process of messaging from the very fi rst stages of the reform design, which brought about state-of-the-art thinking on how to research and frame the reform effort thoroughly from top to bottom. That reform, in turn, made a huge impact on the success of the reform.

## Tools And Templates

Managing stakeholder-related challenges is critical to achieving successful results in governance-reform implementation. Many of the approaches and techniques presented in this book have been used in conjunction with practical tools designed to inform the design and implementation of communication-based solutions. Sample templates of these tools are provided here for facilitators to use as part of the learning resource toolbox.

## Session Planning

Title of Session Specifi c Objective/s Challenge being Addressed

## Key Messages Details (Provide A Brief Description Below, As Explained For Each Item)

| 1.                                                       | Date & Time Slot Assigned                   |
|----------------------------------------------------------|---------------------------------------------|
| (as per agenda)                                          |                                             |
| 2.                                                       | Name & Title of Session Lead                |
| (also indicate back-up contact)                          |                                             |
| 3.                                                       | Type of Session                             |
| (case presentation, lecture, practical exercise,         |                                             |
| other - please specify)                                  |                                             |
| 4.                                                       | Key Speaker/s - and discussants, if any     |
| (name and organizational affi                            | liation)                                    |
| 5.                                                       | Process of the Session                      |
| (specify structure, process, and distribution of time    |                                             |
| during the session - ideally, with a running time order) |                                             |
| 6.                                                       | Role of Moderator OR Facilitator            |
| (intermediary/broker OR catalyst/stimulator)             |                                             |
| 7.                                                       | Role of Participants                        |
| (specify type of engagement expected)                    |                                             |
| 8.                                                       | Reference Materials - and Hand-Outs, if any |
| (indicate the format and the time of distribution for    |                                             |
| each item: pre-workshop, prior to or during the session, |                                             |
| or post-workshop)                                        |                                             |
| 9.                                                       | Space Layout                                |
| (indicate preference for theater, classroom, café style  |                                             |
| or other setting)                                        |                                             |
| 10.                                                      | Equipment and other Session Supplies        |
| (laptop or other projection equipment, number and        |                                             |
| type of microphones, fl                                  | ip charts/markers,                          |
| audio-video equipment, and other tools, as required)     |                                             |
Stakeholder
Interests 
Perceptions
Position on reform
Infl
 uence

## Communication Management Decisions

Management Objective:

MESSAGES
AUDIENCE
BEHAVIOR
CHANNELS
EVALUATION
Take-away
Supporting
Messages
Data

## Targeting Strategies

| Unmovable   | Opponents      | Uncommitted   | Uncommitted   |
|-------------|----------------|---------------|---------------|
| opponents   | and Uninvolved | and Involved  | Allies        |
| Deactivate or   | Minimal   | Activate   | Reinforce   |
|-----------------|-----------|------------|-------------|
| persuasion      | convert   | persuasion | persuasion  |

## Glossary

Agenda-Setting Th e media may not aff ect *what* people think, but may aff ect what they think *about,* through the choice of which topics to cover and what to emphasize. Control of the fl ow of information is oft en referred to as "gatekeeping," and is based not only on media professionals' perceptions of what is important, but also on time and space limitations (Cohen, 1963; Lippmann, 1922). Arbitration It is similar to a legal hearing where both parties present information regarding their position to a third-party neutral, an arbitrator, who then makes a decision regarding the best way to manage the confl ict.

Attitude An individual's evaluation or beliefs about a recommended response. Behavior Action one would like the target audience to take to help the program achieve its goal. Barriers Something that would prevent an individual from carrying out a recommended response. Coalition Self-conscious, freely-organized, active and lasting alliances of elites, organizations, and citizens sharing partially overlapping political goals; formed to carry out joint or coordinated activities. Coalition Building Th e process of creating collaborative engagement among groups of people with shared interests and who have agreed to work together to attain a common goal.

Communication What links citizens, civil society, the media system, and government, forming a framework for national dialogue through which informed public opinion is shaped. Processes, principles and structures or institutions that determine the way communication takes place. In governance reform, communication can contribute to (1) cultivating public spheres which support transparency, accountability, and participation; and 2) changing attitudes, opinions, and behavior in support of reform objectives. By incorporating a public sphere approach to existing governance diagnostics, communication can be helpful in assessing institutional and structural factors which can support or impede broad stakeholder participation in governance reform processes. In terms of operational and implementation support, the power of communication lies primarily in the area of infl uence.

Communication strategy Consists of *management decisions* that guide the communication plan itself. In a reform program, a communication strategy supports the attainment of a reform's management objectives in at least three ways: (1) by increasing awareness and knowledge about the problem being addressed by the reform; (2) by promoting a positive change in people's beliefs, attitudes, and behaviors; and (3) by encouraging the adoption of new practices that help the reform succeed. Episodic framing Th is framing technique presents news in the form of specifi c events or particular cases; 
usually illustrating the issue in the absence of the wider context. Citizens are less likely to consider society responsible for the events, but are more inclined to think that individuals are responsible. Frames Organizing principles that are socially shared and persistent over time, that work symbolically to structure the social world. (Reese, 2001) Framing A communication technique that leads audiences to see something in a certain light or from a particular perspective. Frames are the particular treatment or "spin" an individual or organization gives to a message (Gitlin, 1980). While agenda-setting is choosing *which* stories to tell, framing is choosing how to tell them. Frames may "promote a particular problem defi nition, causal interpretation, moral evaluation, and/or treatment recommendation." (Entman, 1993, p. 54) 
Gain frame Depicts something as rewarding, points to something positive given a specifi c action being done; it inspires hope. General public Defi nes the entire given population, which is unorganized and disconnected. Individual opinions are formed outside the arena of public debate. People are generally interested only on their own personal gain. Th ey have little concern for political aff airs and have no political participation. Among the general public, there is no demand for accountability. Identity frame Promotes a sense of identity with a group working on a common cause. Incentives What drives the behavior and actions of individuals and organized groups. Th ey are infl uenced by an individual's personal motivations (material rewards, fi nancial gains, social advancement) and the opportunities and/or constraints from the individual's principal economic and political relationships. Injustice frame Portrays unfair or biased treatment and infl uenced by prejudice or discrimination; it incites moral indignation. Loss frame Points out what can happen if you nothing is done to prevent a negative outcome from happening; it communicates urgency. Management objective Th e development problem which a specifi c reform seeks to address; articulate the nature of reform, its rationale, and the development outcomes sought. A communication objective describes how communication concepts, approaches, and tools will be used to achieve the management objectives. 

Mediation An approach in confl ict management which utilizes a neutral third party called a mediator, who facilitates the two parties to talk and generate a mutually acceptable agreement, but who has no decision power. Mobilized public Th is group represents the well informed public who have long-term interests in specifi c issues. Th ey voice their opinions strongly and engage in organized action to realize civic goals. Th ere is active demand for accountability and regular participation in and organization of civic forums. Th ey are the most important group for accountability. Interest groups and advocacy organizations belong to the mobilized public. Multi-stakeholder dialogue An interactive, working communication process that involves all types of stakeholders in decision-making and implementation eff orts; involves all interest groups with a concern in a two-way communication process; focuses on increasing understanding and relations among stakeholders through the use of communication and creates a generative process that enables participants to move forward with shared objectives and implementation plans. Negotiation A form of confl ict management that involves two or more parties, who have a confl ict of needs and desires that choose to negotiate through a give and take process involving proposals and counterproposals to search for a mutually acceptable agreement. Th ere are two general strategies and clusters of negotiation tactics: (1) distributive (It adopts a "fi xed" pie approach where resources are viewed as being limited and it becomes important to claim one's rightful share of the pie) and (2) integrative emphasizes the importance of maximizing joint gains, of bargaining from a win-win orientation (rather than win-lose) where parties try to create agreements where both can prosper. Network Analysis A method of collecting and analyzing data on the patterns of the social connections that link sets of actors. For example, *social groups* as collections of actors who are closely linked to one another; or *social positions* as sets of actors who are linked into the total social system in similar ways.

Opinion A subjective statement of view about an issue, and is usually driven by beliefs and desires. Persuasion Communicative activities that are mediated and can be targeted at: (1) Cognition - to change individuals' beliefs about an object or an issue, which includes attributes, interpretation, defi nition, outcome, etc.; (2) Attitude - to change individuals' attitude toward an object or an issue, which refers to the categorization of an object or an issue along an evaluative dimension (from negative to positive); and (3) Behavior - to change individuals' behavior, which is the overt actions regarding an object or an issue. Priming Media messages may stimulate recall of stored ideas, knowledge, opinions or experiences associated in some way with the message content. For example, a news story about the French presidential election might trigger thoughts about the French economy, memories of a trip to Paris during college, or remind a person to put brie on their grocery list. (Fiske & Taylor, 1991) Public-interest lobbying It is motivated by a concern for the public good and deploys the art of educating and persuading key audiences through direct, one-on-one contact." Cohen, de la Vega, & Watson, 2001, p. 114) As such, it is an area of practice that draws on persuasive techniques directly relevant to carrying out reform initiatives. Public opinion Th e consensus reached by a broad segment of the population through open discussion and debate among citizens on issues, policies or events of common concerns. When public opinion is crystallized into a strong and mobilized force, it changes the incentives of decision-makers and can be powerful in eff ecting real social change.

Public sphere Th e architecture of relationships and interactions among diff erent political actors (state/public servants, private sector, citizens). It is represented by information and communication processes and eff ective communication among the actors can raise the voice of citizens to strengthen accountability.

Strategic Communication A stakeholder- or client-centered approach to promote voluntary changes in people's knowledge, attitudes, and behaviors to achieve development objectives. 

Th ematic frame Presents political issues and events in a general or collective context.  
Th ematic frames depict topics more broadly and contextually by providing background information and analysis. Citizens who view news in a thematic frame are less likely to consider individuals responsible, but more likely to believe that society is responsible.

People, Politics and Change: Building Communication Capacity for Governance Reform is an applied facilitator's guide for reform managers, change agents, development practitioners, and training professionals who need to use smart communication techniques—the relevant concepts, frameworks and applications—to promote change through governance reform. It is grounded on the expert knowledge and practical research from academics and scholars and practitioners in the fi eld, culled and enriched from CommGAP's series of global dialogue on key governance issues.

Here is a storehouse of knowledge aimed at addressing the major communication challenges in governance reform and advancing CommGAP's strategic focus in promoting positive, accountable governance in terms of development policy and practice. One of its goals is capacity building and disseminating innovative communication approaches and techniques to strengthen the various components of the public sphere—engaged citizens, a vibrant civil society, pluralistic and independent media, and transparent government institutions—to bring about positive outcomes through the sphere of government reform.

THE WORLD BANK
Towards A New Agora CommGAP