Water and Sanitation Program: Technical Paper 72091 Constructive Dialogue Communication for Development in Water, Sanitation, and Infrastructure Projects The Water and Sanitation Program is a multidonor partnership administered by the World Bank to support poor people in obtaining affordable, safe, and sustainable access to water and sanitation services. © 2011, International Bank for Reconstruction and Development/World Bank Office in Peru Website: www.bancomundial.org.pe E-mail: bmperu@worldbank.org Water and Sanitation Program Website: www.wsp.org E-mail: wsplac@worldbank.org All Rights Reserved This volume is a product of the staff of the International Bank for Reconstruction and Development/The World Bank. The findings, interpretations, and conclusions expressed in this volume do not necessarily reflect the views of the Executive Directors of the World Bank or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. Rights and Permissions The International Bank for Reconstruction and Development/World Bank encourages dissemination of its work and grants permission to reproduce portions of this work provided that the source is cited. Contents Foreword ................................................................................ 5 Acknowledgements ................................................................ 6 Presentation ............................................................................ 7 Introduction ............................................................................. 8 I. What is Communication for Development? ......................... 9 II. Communication as a support process for project design and implementation .............................................................. 14 Communication for Development in the water, sanitation, and infrastructure project cycle ....................................... 14 Current challenges to Communication for Development in water, sanitation, and infrastructure projects ................ 18 III. A practical view; significant experiences ............................. 21 From shouting to counting; from confrontation to collaboration: building citizen engagement through the Citizens Report Card in Karachi, Pakistan ........................ 22 Strategy to eliminate weaknesses: the experience with the integrated mass transit systems in Colombia .............. 23 Creating a water culture: the experience in Guanajuato, Mexico ......................................................... 25 IV. Constructive Dialogue through Communication for Development ......................................................................... 28 Strategy design: key phases of the process .................... 28 Research as a point of departure .................................... 30 Behavior change and the creation of favorable environments that foster this change ............................... 34 Advocacy – a strategy for mobilizing commitment by decision makers .............................................................. 37 Communication for Development for project effectiveness, conflict management, and sustainability .... 39 Three ideas on communication strategies for avoiding conflict ............................................................................ 41 Communication for Development experiences in Africa ... 42 V. Conclusions and lessons learned ........................................ 43 Bibliography ............................................................................ 45 Acronyms and Abbreviations ................................................... 47 www.wsp.org 3 Index of Tables Table 1. Can all kinds of communication be considered Communication for Development? ................................................. 10 Table 2. Comparison between the diffusion and participatory communication models .................................................................. 12 Table 3. Value-added offered by Communication for Development ................................................................................. 13 Table 4. Value-added offered by Communication for Development in water and sanitation projects ...................................................... 13 Table 5. How does the Citizens’ Report Card (CRC) work? ............ 22 Table 6. Bene�ts of the research methodologies ............................. 33 Index of Charts Chart 1. The project cycle and CfD phases .................................... 16 Chart 2. The phases in the design of a communication strategy ......................................................................................... 29 Chart 3. Changes in hand washing practices in Tocache ................ 31 Chart 4. Comprehensive behavior change strategy ........................ 34 Chart 5. Interpersonal communication: the path to change for mothers and children ................................................................ 36 Chart 6. A conceptual framework for advocacy .............................. 38 4 Constructive Dialogue Foreword Foreword This publication sheds light on one of the most neglected areas of development strategies. Communication for Development ought to be an integral part of the development process, given that it creates a space for many voices to be heard and for inclusiveness, and contributes to consensus building among government actors, civil society, and communities on development objectives in general and specific projects in particular. The World Bank’s work in the region includes Communication for Development in its dialogue agenda. We therefore conduct programs with several governments, the news media, journalism associations, and civil society. These programs build institutional capacity, foster professionalism, transparency, and accountability, and boost the participation of citizens in development processes, either directly or via the traditional communications media, social networks, and community media. When measuring the outcomes of development initiatives that include communication activities and those that do not, the dividends are clear. This investment is not a luxury but a necessity in order to achieve the desired outcomes. Sergio Jellinek Manager, External Relations for Latin America and the Caribbean, World Bank www.wsp.org 5 Constructive Dialogue Acknowledgements Acknowledgements The content of this document was prepared with the We are especially appreciative of the contributions made to valuable assistance of the presenters, panelists, moderators, the enrichment of this document by Sergio Jellinek, Manager, and participants in the international workshop entitled External Relations for Latin America and the Caribbean; Iris “Constructive Dialogue: Communication for Development Marmanillo, Coordinator for Peru’s Water and Sanitation in Water, Sanitation and Infrastructure Projects�, held in Program at the World Bank; and of the assistance provided Lima, Peru November 23-25, 2009. by Jose Manuel Bassat, Alejandro Cedeno, and Cledan Mandri-Perrot in the Regional World Bank Office, and Rafael We would like to thank Enrique Cornejo, Peruvian Minister Obregón, Director of the Communication and Development of Transport and Communications; Felipe Jaramillo, World Studies Program at the University of Ohio. Bank Country Director for Bolivia, Chile, Ecuador, Peru and Venezuela; Jae So, WSP Global Program Manager; We would also like to thank Jorge Cornejo and Adolfo Philippe Zahner, Country Director for the Swiss Agency for Medrano for their assistance during the editorial phase, and Development and Cooperation (SDC); and Juan Sarmiento, Claudia Celis, for her technical contribution. Peruvian Minister of Housing, Construction and Sanitation. Our thanks also to Glenn Pearce-Oroz, World Bank Regional Special mention must be made of the hard work and great Director for the Water and Sanitation Program for Latin dedication of Beatriz Schippner, who organized the workshop America and the Caribbean, for the making the opening and and whom we thank for her ongoing commitment to the closing remarks at the event; to the following persons who promotion of a water culture in the region, particularly in helped to the success of the event: Carolina Camacho, Angélica Peru. Casillas, Alejandro Cedeno, Rocío Flórez, Rosa Goldfarb, Syeda Maheen Zehra, Cledan Mandri-Perrott, Giovanna Núñez, Rafael Obregón, and Mercedes Zevallos; moderators Sandra Arzubiaga, Fredy Chirinos, Salvador Herencia, Teresa Quiroz, Fernando Ruiz-Mier, Ricardo Torres, Vito Verna, and Marilú Wiegold; and lastly, to panelists Rosario Arias Quincott, Simón Bruna, Noris Decena, Frida Delgado, Jaime Delgado, César Guzmán-Barrón, Sebastián Henao Arango, Vandana Mehra, Humberto Muñoz, Carlos Oropeza, Giovanna Peñaflor, Ricardo Sancho, Geeta Sharma, Toni Sittoni, Adriano Stringhini, María Elena Ugaz, Christopher Walsh, Yosa Yuliarsa, and Beatriz Zúñiga. 6 Constructive Dialogue Presentation Presentation At the World Bank, we are committed to supporting policies Based on this enriching exchange, constructive dialogue is that foster economic development, create opportunities defined as the recognition of the other person as a valid, for disadvantaged population groups, and enhance the legitimate, and, at the same time, different interlocutor, and efficiency of public sector management. We understand that as the recognition of dialogue as a tool that allows us to work development is not possible without participation and that jointly on achieving a desired situation through consensus participation cannot be fostered without appropriate, timely, and acknowledgement of the needs and interests of the and relevant communication strategies. different social actors involved. The Water and Sanitation Program (WSP) is a multi-donor Clearly, there is no single formula or recipe for good partnership administered by the World Bank with more communication. The latter has to be adapted to local than 30 years of experience providing technical assistance to situations and to a specific purpose. People who lead and governments in order to ensure that the poorest people have work on development projects must be familiar not only with access to water, sanitation, and hygiene services. the conceptual underpinnings of the use of communication in development initiatives, but must also understand its WSP identifies and disseminates knowledge and lessons importance and forms of application. Such persons should to promote national and global scaling up of proven have the sensitivity to view their interventions in this area as solutions. proposals to people who have a specific culture, world view, and customs, and who have opinions and feelings that should In this context, a space for discussion was generated to be taken into account in order to better understand what leads underscore the value of communication as a fundamental to responsive and collective development work. process in making development initiatives related to water, sanitation, and infrastructure projects in Latin America viable We reiterate our commitment to continue engaging in and sustainable. This entails development interventions constructive dialogue. that promote spaces for the involvement, participation, and citizen engagement by all social actors involved in change Felipe Jaramillo processes in four key areas: public policies, accountability, World Bank Country Director for Bolivia, Chile, Ecuador, consumer demand, and behavior change. Peru, and Venezuela The workshop entitled: “Constructive Dialogue: Glenn Pearce-Oroz Communication for Development in Water, Sanitation, Regional Director of the World Bank Water and Sanitation and Infrastructure Projects in Latin America�, which served Program for Latin America and the Caribbean as the basis for this publication, sought to make the shared content truly a source of inspiration for participants, not only because of the technical knowledge provided, but also because of the valuable process of dialogue and sharing of experiences among the representatives of the 21 participating countries. www.wsp.org 7 Constructive Dialogue Introduction Introduction This report organizes the contents, lessons learned, and of environments conducive to behavior change by persons conclusions of this workshop and is geared toward project involved, the use of advocacy to foster engagement by decision and institution leaders and managers, as well as persons makers, and the use of Communication for Development in responsible for project execution who are interested in handling and resolving conflicts and promoting project taking advantage of the benefits derived from the inclusion sustainability in the future (Chapter 4). of Communication for Development (CfD) components in their projects so as to increase their effectiveness, impact, and The final chapter (Chapter 5) assesses the most significant sustainability over time. aspects of the last group activity conducted at the workshop. This assessment underscores the significant lessons learned In 1998, the World Bank institutionalized the use of CfD in at the event and such pending tasks as project teams relative its projects. More than ten years later, the first international to the communication components and/or strategies workshop entitled: “Constructive Dialogue: Communication encountered during the design or implementation process. for Development in Water, Sanitation, and Infrastructure Projects in Latin America� was held in Lima from November 23-25, 2009. This event brought together professionals from Workshop Objectives 21 countries in the region and representatives of 46 World Bank-funded projects. • Discuss the value-added and benefits of including Communication for Development strategies in various social development initiatives underway. Following a brief theoretical overview of the concept of • Foster horizontal peer learning involving all participants who, Communication for Development and the processes and may be unfamiliar with the specific areas of communication approaches that it can entail (Chapter 1), the document in their respective organizations. reviews the importance of Communication for Development • Share the knowledge, experiences, and different lessons in project design and implementation of projects, in particular contributed by each participant in order to build inter- those related to water, sanitation, and infrastructure (Chapter institutional alliances that lead to better work in the future. 2), and provides examples and outlines communication- • Prepare a background document that provides guidance on the topic. related challenges in these areas. Objectives of this Document Through a practical view focused on the presentation of After reading this document, it is hoped that readers will: experiences and lessons learned in three specific cases, • Incorporate the communication component into projects in namely, building citizen engagement in Pakistan, developing order to achieve the objectives of these projects and make a mass transit system in Colombia, and creating a water them more efficient. culture in Mexico, the evidence supports the strategic • Demonstrate a clear understanding of the difference between the approach and results expected between Communication value of Communication for Development in ensuring the for Development and institutional communication. smooth progress of a project (Chapter 3), and the benefits • Recognize the benefits and relevance of incorporating, in a and advantages that supplement and shape a development cross-cutting manner, the communication component in the proposal. project cycle, namely, design, implementation, monitoring, and evaluation. This is followed by a review of strategies aimed at establishing • Enhance their knowledge of the basic principles of dialogue that fosters the effective participation of all groups Communication for Development and be better equipped to incorporate and develop the communication component in involved. Emphasis is placed on such topics as research as water, sanitation, and infrastructure projects. a point of departure for project design, the establishment 8 Constructive Dialogue What is Communication for Development? I. What is Communication “Any process of change or development entails periods of disorganization, pain, frustration, and conflict. Such periods for Development? should be viewed as a normal part of the process, which must be contained and addressed.� Vito Verna, Ombudsman, Peru What is Communication for Development?1 they need to improve their condition and that of society, and The following is a brief overview of the definition of to improve the effectiveness of institutions.2 Communication for Development (CfD), its evolution over Orientation and Discussion Tools time, and its various components, as well as how this concept may be applied to a much broader process, namely development, The following are a number of key ideas related to which is strongly linked to communication processes. Communication for Development: To respond to this question, a distinction must be made • Development is not possible without participation and between the different types of communication, as indicated it is impossible to foster effective participation without in Table 1. appropriate, timely, and relevant communication strategies. Although there is a clear difference among the different types • No activity undertaken in the context of a development of communication in terms of purpose and role, these may program can be successful without the collaboration also be linked or used simultaneously in the same project. of the population where it is carried on. For example, advocacy may be part of a Communication for • Once it is recognized that a difference of opinion exists Development process. That means that while not all types of with respect to a project, if joint action is to be taken, communication are mutually exclusive, they entail markedly then sharing and communication are necessary. different objectives and processes. • CfD reminds that messages are always interpreted CfD addresses and facilitates change processes in various from the recipient’s rather than the sender’s vantage spheres – individual, political, or collective – with the point. For this reason, communication entails both participation of the various actors or interest groups involved. speaking and listening. Its mission is to achieve consensus-based change, by means • Access to information and dialogue facilitates of which the various voices involved in an initiative are heard improvement in project quality by encouraging and participate significantly in the final decision. engagement by the different participants, and helps improve project and policy design and In this regard, Colin Fraser and Sonia Restrepo-Estrada implementation. note that “Communication for Development is the use of communication processes, techniques and media to help • CfD facilitates public oversight and, for this reason, people towards a full awareness of their situation and their makes it possible not only to expose cases of corruption options for change, to resolve conflicts, to work towards but also to identify difficulties in the early phases consensus, [….] plan actions for change and sustainable of projects and to take corrective action in order to development, to help people acquire the knowledge and skills mitigate future risks. 1 Information taken from the presentation “Multiple approaches, a single objective�, by Rafael Obregón, Director of the Communication and Development Studies Program at the University of Ohio. 2 Fraser, C. and S. Restrepo-Estrada. Communication for Development, 1998. www.wsp.org 9 Constructive Dialogue What is Communication for Development? Table 1: Can All Kinds of Communication Be Considered Communication for Development? Type Purpose/Definition Function Corporate Communication Communicate the mission and activities Use news media to promote the mission of the organization, primarily for external and values of the institution; inform selected audiences. audiences about relevant changes in activities of the organization. It is also in charge of awareness, messaging, relevance, crisis management and media relations. Internal Communication Is under Corporate Communication and Ensure the timely and effective exchange of facilitate the flow of information within an relevant information within staff and institution institutional project. units. Enhance synergies and avoid duplication. Advocacy Communication Influence change at the public or policy level Raise awareness on important development and promote issues related to development. issues, use communication methods and media to influence specific audiences and foster change. Communication for Development Support sustainable change in development Establish conducive environments for assessing issues by establishing links among key risks and opportunities; disseminate information; stakeholders. induce behavior and social change. Source: MEFALOPULOS, Paolo. Broadening the Boundaries of Communication, 2009. (Loosely translated by the authors). The Rome Congress,3 a Milestone in Communication path to be followed to fully integrate communication into for Development development policies. In 2006, the World Bank sponsored the First World Congress on Communication for Development, held in Rome, with The Rome Consensus, the document resulting from the aim of demonstrating that communication is a key factor the discussions, outlines how policy makers can use in responding to the most urgent development challenges. communication and the media to accelerate efforts to improve food security and health and reduce poverty. In In conjunction with the United Nations Food and addition, it includes a fairly widely accepted definition of Agricultural Organization (FAO) and the Communication the term, as indicated in Box 1. Initiative, the World Bank brought together more than 300 communication professionals from around the world. They Communication Models put together a series of strategic recommendations on the The literature on the subject essentially adopts two broad approaches to the role of communication in a development context, reflected in the diffusion model and the participatory Box 1: De�nition of Communication for Development model. Communication for Development is a social process based on • The Diffusion Model dialogue using a broad range of tools and methods. It is also about seeking change at different levels including listening, The assumption underlying this model is that ideas building trust, sharing knowledge and skills, building policies, are part of development and are valid in any context, debating, and learning for sustained and meaningful change. neutral from the standpoint of values and, in some It is not public relations or corporate communication.4 cases, very much oriented toward change in the individual sphere. 3 Rome Consensus, http://siteresources.worldbank.org/EXTDEVCOMMENG/Resources/RomeConsensus07.pdf 4 Rome Consensus. 10 Constructive Dialogue What is Communication for Development? From a communication standpoint, this model is this field is gradually shifting toward an approach focused said to be monologic; in other words, a hierarchical on participatory processes that include not only changes and vertical stance is adopted in terms of the message required in the individual sphere, but also in the social, delivered. political, and even cultural spheres. The message is considered valid and necessary; consequently, there is no reason to question it. It must While in the diffusion model, culture was traditionally simply be adopted for promotion and implementation viewed as a barrier, in the participatory model it is in a specific context. considered a facilitator of change and progress. In this regard, the old, monologic concept now stands in contrast Based on this approach, the individuals who are part to the dialogic approach. This approach entails the broadest of a process are perceived as objects and not necessarily possible discussion of ideas in a bid to negotiate and/or subjects of change. achieve consensus, with the aim of creating an inclusive • The Participatory Model process. The participatory model contrasts with the diffusion In this regard, it should be noted that Communication for model, inasmuch as it covers more structural aspects using horizontal communication and assumes that Development work is not only an abstract concept; it also the other person also has something to say and incorporates very specific strategies that have been brought contribute. In this model, a greater effort is made to closer to each of these pragmatic or conceptual extremes, raise awareness and generate discussion related to this as we will see below. approach. An Evolving Concept The perspective of this model is dialogic, meaning that Over the past 30 years, significant progress has been made in instead of saying “this change is good for you,� one terms of incorporating new elements that have facilitated the says “let’s have a discussion; let’s work together.� One expansion of Communication for Development work. of the benefits of this approach is that it facilitates change in the collective and not only individual The diffusion model, which relies on persuasion, was sphere. In addition, since each situation is analyzed once linked to social marketing, which used commercial independently, the assessments done tend to be much techniques to promote new ideas or concepts in development more specific. contexts that were not necessarily suited to the circumstances of most individuals or communities. To use a colloquial Table 2 summarizes the main differences between the two models. expression: “Selling Coca-Cola and starting a negotiating process related to water and sanitation service are not Monologic Versus Dialogic Processes one and the same�. Despite shared application principles, Over the years, new approaches have been adopted to the the two do not necessarily have the same characteristics. use of communication in a development context. Currently, Consequently, each case must be viewed separately. www.wsp.org 11 Constructive Dialogue What is Communication for Development? Table 2: Comparison of the Diffusion and Participatory Communication Models Diffusion Model/Hierarchical Participatory Model/Dialogic Behavioral causes Structural causes Vertical Horizontal Persuasion Awareness raising Individual changes Joint changes Passive and “banking� focused Active and critical Objects of change Agents of change Widespread dissemination Dialogue and debate Broad assessments Specific assessments Short term/messages Long term/processes In the area of health, for example, the notion of Information, • It is a social process. Education, and Communication (IEC) became very much part • It calls for dialogue and public debate. and parcel not only of activities involving the transmission of • It draws on a wide variety of tools and methods. information and promotion of messages, but also much more interactive education and communication processes. • It emphasizes change at different levels. • It strengthens local capacity. Later on, Communication for Development started to • It is guided by research and evidence. include theories related to behavior change. This trend, in addition to the foregoing, helped impart a much more A wide variety of structures are at play in the sphere of rigorous structure to CfD processes. development, which in turn fits into a framework that increasingly entails the addition of communication strategies Social psychology has also made a host of contributions to to these processes. work in this field, starting with the area of individual change, and later with approaches that began to focus on such factors Consequently, reference is no longer made to a single intervention as social drivers and contextual elements in the adoption of but rather to multiple interventions. This new approach includes behaviors or attitudes, etc. new elements and new conceptual approaches. There is no single formula or methodology. Each term or topic calls for a specific This holistic view has shaped a concept that has truly gained and unique communication strategy. currency in the past five or six years, namely, the notion of communication for social change, where the change Communication for Development as a Source of processes are assumed to be present in every social dynamic, Value-Added thus according communication a facilitating role in that At this juncture, a key question arises – is communication for context. development the solution to all these problems? The answer Communication for Development and Social Change is that it is not a panacea. Although it is a very important The current concept of “communication for social change� no area that offers tremendous value-added to projects, it cannot longer covers communication in the context of development be used in isolation; it must be an integral component of only, but also change processes in a broader sense. Its primary projects from the outset. characteristics include the fact that: Tables 3 and 4 provide a summary of the value-added offered by Communication for Development and its application to the areas of water, sanitation, and infrastructure. 12 Constructive Dialogue What is Communication for Development? Table 3: Value-Added Offered by Communication for Development • It facilitates national and local dialogue through which the voices of citizens are heard, thus promoting transparency. • It combines popular and mass communication with community mobilization processes. • It involves multiple stakeholders, namely the media, the community, and individuals. • It builds trust through dialogue and respect. • It helps identify the benefits and obstacles associated with each development proposal. • It recognizes each process as being different and thus requiring adaptation in order to craft a specific communication strategy. Table 4: Value-Added Offered by Communication for Development in Water and Sanitation Projects • Contributes to the resolution of social problems associated with sector reform processes. • Strengthens rural development programs and builds capacity to handle water resources. • Permits the replication of processes at the national and regional levels; has a policy impact on national programs. • Improves governance issues in infrastructure projects. • Contributes to the preservation of the cultural and traditional aspects of participating communities. • Creates conditions that make project management viable (stakeholders). • Serves as a critical tool for facing challenges to expanding access to basic water and sanitation services. Challenges to Communication for Development The future challenges facing Communication for Development include: • Incorporating the communication component throug- hout the different phases of the project cycle. • Institutionalizing CfD in programs and projects by including funds and resources to ensure their efficient management. • Strengthening the capacities of decision makers with respect to development initiatives so that they can include communication components in the project or program framework in the early stages. • Documenting and arranging CfD experiences so as to continue generating knowledge on the subject. • Monitoring and evaluating CfD strategies so as to provide evidence of their contributions in the context of development initiatives. www.wsp.org 13 Constructive Dialogue Communication as a Support Process for Project Design and Implementation II. Communication as a Communication is essential to human, social, and economic development. At the heart of communication for Support Process for development is participation and ownership by communities and individuals most affected by poverty and other Project Design and development issues. Implementation Participants in the World Congress on Communication for Development, Rome 2006 Communication as a Support Process for Project Design and Implementation5 Box 2: What Purpose Does CfD Serve? Having worked on poverty reduction issues for over 60 years, • Facilitates project-related processes so that they can be broader and more participatory and strengthens relations the World Bank in 1996 launched a decentralization process with the primary interest groups. aimed at bringing governments and countries closer together through a greater presence in the “field.� • Builds the capacity of governments to listen to their electorate and helps with the negotiation process with the interested parties. This course correction in turn led to the need for such specialists in other disciplines as sociologists, anthropologists, • Creates mechanisms for expanding public access to information. and communication experts, with the aim of establishing better relations with the potential beneficiaries of development • Empowers grassroots organizations to achieve greater participation in the development process. projects and initiatives. This process led to heightened awareness of the importance of communication and dialogue • Reviews and analyzes public opinion using surveys and and understanding local cultural contexts in the achievement other empirical methodologies as the basis for its work. of comprehensive and consensus-based development. • Provides an objective and independent vision of the perceptions of key audiences. In 1998, the use of Communication for Development • Permits the development of strategies that resonate with (CfD) in project execution was institutionalized and it was grassroots groups. decided that in order to achieve more positive and sustainable outcomes, ongoing dialogue needed to be established and maintained with the various social actors involved in • Works on economic and social reform processes and development processes, ranging from metapopulations to on environmental, rural development, avian flu, and project executors (entities of partner governments). other projects, too. How does the World Bank Incorporate • Trains project teams in the incorporation of commu- Communication for Development as a Component of nication into development programs/projects. its Projects? • Provides technical assistance to (project) implementation Communication for Development in the units related to participatory and communication Water, Sanitation, and Infrastructure Project processes. Cycle6 • Develops strategic communication programs to obtain CfD is based on a wide range of tools and methods that the best results, mitigate risks, and build consensus. include listening, building trust, knowledge, and skills, and 5 Information obtained from presentations on “Communication as a process for project support in the current context. Communication challenges from a World Bank Perspecti- ve� and “the communication component of projects covered at the workshop. Findings of the initial participant survey,� by Alejandro Cedeño, Senior Communications Officer, External Relations, Latin America and Caribbean Region, World Bank. 6 Information obtained from presentations on “CfD challenges in the water, sanitation, and infrastructure project cycle,� by Rafael Obregón, Director of the Communication and Development Studies Program and the University of Ohio, and “State of the art of the communication component of projects covered at the workshop. Findings of the initial participant survey,� by Alejandro Cedeño, Senior Communications Officer, External Relations, Latin America and Caribbean Region, World Bank. 14 Constructive Dialogue Communication as a Support Process for Project Design and Implementation engaging in discussions and learning in order to promote and assessment; (ii) strategy and design of communication processes of sustainable change and social transformations. component; (iii) implementation; and (iv) monitoring and It is a strategic and specific process that facilitates improved evaluation, which enhance the effectiveness of the project cycle outcomes and risk mitigation. process and its implementation, with emphasis being placed on the dialogue and analytical dimensions. There are methodological tools to ensure that CfD can be used systematically and effectively from the time of the The first phase of CfD, namely basic communication preparation phase of a project, based on its overall objective. research/assessment, takes place during phases 1 and 2 of Review of the social, cultural, and political context, which the project cycle. This entails joint work with the countries entails an analysis of the communication, perception, and to identify their main development needs and establish a opinion components, provides information for assessing risk three- to five-year program to address priorities. From this and building consensus from the outset. point on, the groundwork for CfD has been laid, that is, horizontal and informed dialogue that accords priority to CfD should be included from the outset, including during listening to the views of those involved in the development the project design phase. In the case of infrastructure projects, initiative. The outcomes obtained provide the basis for project which have a profound impact on the lives of individuals, the management tools. use of CfD can ensure that the design of works, for example, meets the real needs of beneficiaries. During phases 3, 4, and 5 of the project cycle – the project identification and preparation phase – project functioning While projects may include high-level technical teams, is assessed, the communication strategy and components are experience has shown that if consideration has not been designed within the CfD cycle, projections are done of how given to communication components or actor mapping of communication work will be carried out based on concrete these projects has not been developed and analyzed, they are programming and plans, and the relations among the parties unsuccessful and substantial resources or, even worse, the are established in order to strengthen technical assistance. credibility and trust of their interest groups are lost. During phase 6 of the project cycle, which entails project Using “strategic communication� methods from the start of implementation, CfD is also actively used and focuses the project and applying “listening tools� instead of “speaking on objectives related to the metapublic dimension of the tools� ensure that communication interventions help with intervention while at the same time complementing the the full achievement of political, technical, and commercial technical aspects and training capacities of projects and objectives. Such an approach also strengthens the capacity to guaranteeing, in general terms, dialogue and participatory communicate with key actors in a transparent and horizontal processes with the aim of achieving the desired objectives. manner. This entails listening to the interested parties and participating in dialogue that manages expectations and builds Upon project completion, documentation of the political and social consensus, with the aim of fostering a communication component in the form of a completion sense of inclusion at the local level. Lastly, the goal is to have report is of critical importance from a communication individuals take ownership of the initiative and be empowered standpoint. to participate in interventions and make them sustainable. Lastly, during phase 7 of the project, which entails Chart I illustrates how CfD is used during the project cycle. monitoring and evaluation of the level of achievement of expected outcomes, the same activity is carried out with Mefalopulos (2009) considers a project cycle in seven phases: respect to the communication component. This work (i) country assistance strategy; (ii) project identification based is based on indicators that summarize the impact of the on the development priorities and needs of the client country; intervention, using as a mandatory benchmark the baseline (iii) project preparation; (iv) initial appraisal; (v) approval by initially developed and which, it is hoped, will lead to the the World Bank’s Board of Directors; (vi) implementation; and organization of information to serve as a source of learning (vii) evaluation, and the actual CfD phases, namely (i) research for the other projects that require this knowledge. www.wsp.org 15 Constructive Dialogue Communication as a Support Process for Project Design and Implementation Chart 1: The Project Cycle and CfD Phases7 Project Cycle Phases 1 2 3 4 5 6 7 Assessment Identification Preparation Appraisal Approval Implementation Evaluation Project Cycle Documents - Assessment Project - Studies - - Revised PID - Project - Implementation - Implemen- documents Information social - Revised Appraisal Supervision tation - Studies Documents safeguards, Safeguards Document Report Comple- - Consultation (PID) environment - Project - Financial tion Report - Other al, etc. Document Monitoring - Impact strategy - Legal Report evaluation documents documents - Mid-term Evaluation Communication for Development Program phases 1 2 3 4 Research/ Strategy and Communication Monitoring and Communication-based Design of Communication Program Evaluation Assessment Component Implementation Intervention and products Country - Actor mapping - Project documen- - Capacity building - Execution of the Portfolio - Sociopolitical risk tation inputs - Technical communication Review assessment - Communication assistance program and - Consultation strategy - Advisory services impact evaluation - Opinion polls on - Communication - Supervision key issues program - Research on implementation opinion polls plan Knowledge Client survey products Source: Michele Bruni and Paolo Mefalopulos. The editors have added the documents produced during each phase of the project cycle. 7 Loose translation and adaptation from MEFALOPULOS, Paolo, Development Communication Sourcebook. Broadening the Boundaries of Communication. World Bank. 2009. 16 Constructive Dialogue Communication as a Support Process for Project Design and Implementation Monitoring will determine whether the responses sought Electricity Access: Sierra Leone are being obtained, provide answers to questions, identify Bumbuna in Sierra Leone faces a very serious electricity obstacles, and facilitate further appraisal of the project problem. In the aftermath of the war, the country could not and adjustment of strategies and interventions where move forward without electricity and establishment of a grid necessary. During the evaluation process, the impact of the required the displacement of 40 percent of the population communication component will also have to be reviewed from a very war-torn area.10 which, in practical terms, has been shown to contribute to: Communication Proposal • Improving project design based on the actual needs The communication components helped this population of the population. accept the need for change. Through dialogue and consensus • Enhancing the credibility of the processes. building, the population was compensated and given new jobs. In the end, they agreed to a draft electricity law that is • Minimizing political risks. solving electricity and production problems. • Avoiding delays. Access to Education: Uganda • Improving coordination, client capacity, and internal communication. A study involving heads of household in Uganda revealed that for every ten dollars provided by these heads of household Analysis of Case Studies8 for their children’s education, only two dollars was spent on these children. The remaining eight dollars was disappearing Access to Potable Water: Haiti along the way. The problem was clearly one of government Haiti has a serious problem with access to basic services: 78 corruption or waste, which needed to be identified. percent of the population lives on less than US$2 a day and basic rural infrastructure (water, irrigation, electricity, and Communication Proposal sanitation) is either non-existent or very limited.9 Civil society groups were mobilized and they in turn mobilized the media, external donors, and other key groups. In this population of half a million persons, water is obtained In a mere three months, eight dollars was being spent on from drinking water wells. However, the private sector has educational services and two dollars on administrative taken advantage of this situation by selling bottled water expenditures.11 to the poor at very high prices. What gave rise to a culture where the poor do not use wells and buy bottled water at Access to Training and Development: India exorbitant prices? In India, a rural development project revealed that farmers who were listening to radio training programs, particularly Communication Proposal those related to agriculture, were more successful than those Through a water and sanitation Communication for who were not. Development program targeting the poorest areas, forums were provided to discuss with the population the need to Communication Proposal use community wells and establish a recycling system, which An initiative was started to use radio programs for training would allow for the survival of the population despite their and development, with programs being aired at specific times. low per capita income. One hundred and forty-seven radio stations participated in 8 Information taken from the presentation “Summary and key ideas from the three thematic groups�, by Cledan Mandri-Perrott, Senior Infrastructure Specialist, World Bank. 9 Source: World Bank, 2001. 10 The Role of Communication in Large Infraestructure. Mazzei, Leonardo and Scuppa, Gianmarco. 11 Information taken from the study “Information and Voice in Public Spending� Reinikka, Ritda and Svensson Jakob. www.wsp.org 17 Constructive Dialogue Communication as a Support Process for Project Design and Implementation the pilot. This initiative was replicated at the national level. In the Area of Management and Commitment by the As a result of this project, agricultural productivity in India Actors Involved: has exceeded all expectations in the past ten years. • Promoting leadership and commitment by project managers with respect to Communication for Human Rights Promotion: Senegal Development, so that all actors involved derive The rate of female genital mutilation in Senegal stands at 20 real benefits from participatory and transparent percent.12 This practice undermines physical, emotional, and management psychological wellbeing and is a flagrant violation of human • Changing the paradigm among the actors involved of rights. It also poses a challenge to achieving a cultural shift interpreting communication solely as “diffusion� toward respecting and valuing women. • Identifying and explaining the commitments of actors Communication Proposal through instruments, agreements, and other tools A communication strategy was designed and implemented • Devoting time and space to social research as a central element in tackling this challenge. This strategy • Building sufficiently detailed actor mapping that led to a three percent reduction in the rate of genital facilitates analysis of the interests of these actors mutilation.13 • Promoting platforms for internal communication that facilitate the organization of project-related Current Challenges to Communication information so that it can be communicated in a for Development in Water, Sanitation, and timely manner to all the actors involved Infrastructure Projects14 In general terms, the following are the challenges to In the Area of Promoting Behavior Change and Communication for Development: Environmental Conditioning: • Eliminating the paternalism and demagoguery that • L a c k o f k n ow l e d g e o f t h e a d va n t a g e s o f still exist in Latin American societies communication • Understanding the multicultural and gender • Inadequate ability to incorporate communication dimension in order to achieve project objectives components at the start of the project cycle and into all projects • Adapting technologies to the areas where projects are being developed • Failure to allocate resources owing to competing priorities • Understanding the strong oral tradition and functional illiteracy of many people • Lack of political will and, at times, capacities to implement communication strategies • Promoting horizontal communication • Insufficient monitoring and evaluation of the outcomes • Raising the awareness of governments and other of communication initiatives so as to demonstrate sectors of the social impact of the cost of effecting evidence of their impact meaningful change • Lack of documentation on processes and experiences • Implementing ongoing and systematic long-term awareness raising campaigns (community workshops, In practical terms, the discussions at the “Constructive joint activities, etc.) that are not associated with Dialogue� workshop led to the conclusion that based on the political propaganda different aspects of Communication for Development, the • Mobilizing the different sectors using an intersectoral specific challenges are as follows: coordination approach 12 http://www.gtz.de/de/dokumente/en-fgm-countries-senegal.pdf 13 http://www.tostan.org/web/page/586/sectionid/547/pagelevel/3/interior.asp 14 Information taken from “Identifying the communication challenges in order to make water, sanitation, and infrastructure projects efficient.� First group exercise. 18 Constructive Dialogue Communication as a Support Process for Project Design and Implementation • Working with children with the aim of making well- • Developing contingency plans structured communication a natural, day-to-day • Generating permanent spaces for citizen participation activity with a view to the discussion of projects from the pre- • Taking advantage of existing communication tools to investment phase generate behavior change • Including committees involved Ensuring that users and managers take ownership of • Putting technical information in non-technical projects to ensure their sustainability terms In the Area of Social Accountability and Oversight: In the Area of Internal Project/Institutional • Informing citizens of their rights and duties Communication: • Promoting access to public information • Achieving buy-in, within the organization, of the need • Including accountability in the project cycle for a communication strategy • Developing and building the capacities of social actors • Ensuring that project benefits reach the entire so that they can oversee project components implementation team, so that they can serve as direct and indirect communicators • Avoiding the politicization of accountability • Holding meetings to share ideas and provide feedback, • Assessing the impact of communication such as internal workshops, with the aim of achieving • Taking advantage of technology and avenues for a common understanding of the true objectives of the evaluating and disseminating information project • Encouraging the active functioning of the mechanisms • Encouraging internships for project team members so for citizen engagement that they can learn about the specific experiences and • Providing adequate information on project milestones outcomes achieved with other projects to various actors and society in general • Ensuring that communication exists from the time of • Generating media interest in development projects, project design so that the media may serve as a mechanism for • Ensuring that the same implementing institution facilitating citizen oversight rather than reacting only spearheads the communication component, so that to “scandals� it can be designed with local features in mind • Maintaining a communication and social promotion In the Area of Social and Political Conflict Risk team that is linked to the project management team Management: responsible for implementation of the communication • Conducting professional and serious research so as to strategy avoid possible social and political conflict • Harmonizing objectives between those funding and • Reaching out to local church, trade union, political managing the project party, and influential leaders in order to enlist their support for initiatives • Formalizing coordination mechanisms among the different actors involved (internal actors and with • Identifying the various interest groups involved and counterparts) adopting a proactive approach to problems • Seeking to achieve democratic rather than unilateral In the Area of Knowledge Management and Learning: decision making • Systematizing information on an ongoing basis, • Obtaining a commitment from authorities to make documenting milestones and lessons learned related projects sustainable to the project cycle process • Maintaining up-to-date actor mapping • Establishing a baseline and ex-post evaluation www.wsp.org 19 Constructive Dialogue Communication as a Support Process for Project Design and Implementation • Ensuring knowledge transfer within the organization • Strengthening skills related to the systematization of multidisciplinary team experiences • Creating instruments that systematize, on an ongoing basis, lessons learned, rather than only at the end of the implementation process • Developing monitoring and evaluation from the start of the project • Institutionalizing knowledge management, placing emphasis on both positive and negative (those to be avoided) lessons learned Other Areas: • Enhancing the value of Communication for Development in the project cycle, including an actual budget with specific financial resources • Building awareness in the media, so that balanced opinions can be formed to counteract distorted messages 20 Constructive Dialogue A Practical View – Significant Experiences III. A Practical View – “There is an emotional factor that causes people to become sensitized, to gain awareness, and take action. These Significant Experiences “triggers� should be the centerpiece of communication campaigns at all levels.� Angélica Casillas, Guanajuato State Water Commission A Practical View – Significant Experiences15 Sanitation Board of Directors in Karachi, which helped Outlined below is a summary of three cases that were shared foster conditions conducive to sector reform. The application at the workshop and demonstrate the value-added provided of such methodologies and instruments in the context of by Communication for Development (CfD) strategies in comprehensive communication strategies made it possible to development initiatives linked to water, sanitation, and create spaces for informed dialogue between service providers infrastructure projects, based on World Bank experience. and the social actors involved. The second case relates to the design and application of The process of identifying and selecting experiences was not a comprehensive communication strategy as a central easy since, as confirmed at the workshop, work is still being component in the management of a project aimed at done on the inclusion of the communication component into improving integrated mass transit systems in Colombia. projects on these topics, given their scope and magnitude. This case provides evidence of the value of a national However, in our view, owing to their characteristics and communication strategy with potential application at the objectives, the three topics can be viewed from different regional level, which has ensured and continues to ensure angles and contribute to underscoring the benefits of the viable implementation of the transport project funded by including, from the outset, communication strategies in the World Bank in that country. It is of critical importance development initiatives, particularly those linked to the to underscore the leadership role played by project leaders in subject matter in question. the strategy design and implementation, based on recognition of its benefits. The many public authorities and levels of The first case pertains to citizen consultation and participatory intervention are another feature of this experience that can mechanisms for the implementation of water, sanitation, and encourage similar projects in the region. infrastructure reform projects in Karachi, Pakistan. The case demonstrates the application of a consultation methodology The third case presents the Water Culture Program called the Citizens’ Report Card, which originated in India promoted by the Guanajuato State Water Commission in and is widely used in various development initiatives. Mexico. The scale of application of this initiative and its development process led to the transformation of independent The central feature of this case is that the application of this communication activities into an institutionalized program tool and the outcomes of this exercise gave rise to valuable to promote a water culture, which offers valuable ideas that communication processes, starting with the Water and can be used for replication purposes. 15 Information taken from the presentations on “Civic Participation and Participatory mechanisms for the implementation of water, sanitation, and infrastructure projects in Kara- chi, Pakistan,� by Syeda Maheen Zehra, WSP Pakistan; “The Water Culture Program in Guanajuato, México,� by Angélica Casillas, Executive Secretary of the Guanajato Water State Commission; “Transportation on a human scale. Comprehensive Communication Strategy as a Key Component of Project management,� by Carolina Camacho, Director of the Coordinating Unit of the Mass Transit Integrated Systems Project, Ministry of Transport, Colombia. www.wsp.org 21 Constructive Dialogue A Practical View – Significant Experiences From Shouting to Counting; from has been a history of negative attitudes toward the World Confrontation to Collaboration: Building Bank and privatization attempts. Any discussion of reform Citizen Engagement through the Citizens was viewed as a cosmetic undertaking by the government, Report Card in Karachi, Pakistan16 given that the average citizen was not really involved Through the Report Card in Karachi, Pakistan, an effort in the process. In light of the situation of deteriorating was made to implement a communication strategy with the services, poor community relations, a lack of accountability aim of encouraging institutional reform of the water service mechanisms, and dysfunctional government entities, far- provider. reaching institutional reform was required, going well beyond technical and financial imperatives. The water and sanitation topic is a complex one, not because of a paucity of resources or capacities, but because of the lack The process started with the adoption of a corporate structure of governance of services owing to a still incomplete process for the water and sanitation public company, that is, of decentralization in which no distinction is made between implementation of a system based on corporate performance the functions of the various government areas. and principles, with clear by-laws and rules. The city is divided into 18 towns with administrative Also, the need soon arose for a communication strategy that autonomy. It has 5.2 million direct connections and one would strengthen the mechanisms for citizen engagement million joint connections. In addition, of 376 settlements, and involve the press, in a bid to make the change process only 150 are officially recognized by the government. legitimate and more transparent. Water is an asset that has been politicized, and any change To achieve the first objective, a tool called the Citizens’ Report or activity in the provision of water services is viewed with Card (CRC) was used, an idea introduced by the Center for skepticism by civil society. Over the past decade, there Public Affairs in Bangalore, India. Table 5: How Does the Citizens’ Report Card (CRC) Work? • The views of citizens on the provision of services are compiled through surveys and focal groups. In the case of Karachi, the research sample was composed of nine zones. • The quantitative evaluation facilitates a comparison of the services in the various towns. This gives service providers an actual snapshot of the situation and encourages the introduction of citizen participation techniques. • Qualitative research is extremely important as a participatory mechanism, owing to the fact that it is the forum that allows individuals to express their agreement or disagreement with the various aspects of service and the service provider. This makes it possible to lay the foundation for simple and direct communication with the population. • The final report, which organizes the information collected through the CRC, serves as a point of departure for discussion and corrective action. A technical and complex report is prepared; however, it is simplified for the general public and the findings are converted into communication messages and become constructive feedback for the service provider. • The final report enters the public domain, which creates opportunities for alliances and spaces for dialogue and social accountability. • The Citizens’ Report Card presents an overview of services provided as well as knowledge and information to the population so that the latter may take ownership of the process, with the aim of having civil society demand reform. 16 For more information on the case, please visit: www.wsp.org/index.cfm?page=page_disp&pid=21450 www.adb.org/Projects/e-toolkit/NIM-Karachi-Midterm-report.pdf www.kwsb.gos.pk www.adb.org/projects/e-toolkit/e-learning1.asp 22 Constructive Dialogue A Practical View – Significant Experiences The Media as an Ally • The CRC became a simple but powerful tool, oriented The communication strategy revolved around three areas toward compiling the views of citizens on service of work: delivery in an objective and systematic manner, with the aim of improving services and facilitating the • Raising awareness in media circles in order to form involvement of the people. Consequently, demands alliances with the press and help the population take for reform came from civil society. ownership of the process. Building capacity to provide • Once the media was obtaining high quality and credible and serious reports on outcomes so as to raise credible information in a timely manner, it started the population’s awareness of the situation with respect to become very actively involved in the process and to services and the need for institutional reform. played a very important role in making the change • Engaging in advocacy work using the CRC so that process transparent. civil society itself can demand reform. • Engaging in a systematic effort to establish closer Strategy to Eliminate Weaknesses: The relations with the press through visits to publishers, Experience with the Integrated Mass Transit meetings, and above all, orientation workshops on System in Colombia17 the water and sanitation sector at which clarification Integrated mass transit systems (IMTS) constitute the biggest could be provided of the technical aspects and details urban transformation projects in Colombia’s recent history. of institutional reform. They benefit almost 40 percent of the population and are • The CRC outcomes served as a source of inspiration symbols of development, modernity, and competitiveness for radio programs. A representative fielded questions in 16 cities in the country. related to the qualitative evaluation process and established direct dialogue among citizens, who were The development and implementation of mass transit projects contacted by telephone to provide their opinions. foster change in the customs of citizens and the habits of users Municipal administrators interacted with the public, as roads, bus stops, and urban mobility plans are restructured cleared up doubts, and engaged in consultations. A to make the operation safe and efficient. By involving the documentary was also prepared, which was aired on public, a sense of ownership is forged among citizens of their various channels. system and the urban infrastructure of the city. Outcomes This has already been demonstrated in Bogota city and • A cohesive program. Pereira. At the moment, efforts are being made to replicate this effort in Santiago de Cali, Bucaramanga, Barranquilla, • Live public discussion through skits. Medellín, Soacha, and Cartagena. • Ties among reporters. Institutionalization of citizen report cards. This project seeks to improve the quality of life of 15 million Colombians in 14 municipalities through a public-private Lessons Learned partnership aimed at developing high-quality integrated • With the introduction of the Citizens’ Report Card, the mass transit systems, which are sustainable in the large and government of the town of Karachi, with the support mid-sized cities selected. of the WSP, moved from a reactive to a proactive mode and from confrontation to collaboration. 17 For more information on the case, please visit: http://www.mintransporte.gov.co www.wsp.org 23 Constructive Dialogue A Practical View – Significant Experiences The Ministry of Transport recognized the need to devise a • Seek balance in the information provided on comprehensive national and regional communication strategy advantages and drawbacks. with a wide variety of audiences, in order to effectively and • Ensure critics are better informed and that champions efficiently communicate the benefits of implementing these are identified. mass transit systems, and thus generate conditions conducive to their introduction, execution, and sustainability. • Strengthen projects free from political influence. • Show the progress and outcomes of implementation The strategy also had to meet the challenge of strengthening of these projects. the institutional capacity of each managing entity, with a • Suitably position the more competitive cities. view to seeking the most appropriate mechanisms that not only provide timely and effective information to the citizens • Ensure that the citizens take ownership of and affected during the development phases and subsequent champion the project. installation and entry into service of these systems, but also Work under way create forums for dialogue with them. In the context of the communication strategy and with a The communication strategy sought to eliminate weaknesses, view to supporting the implementation process, the following redefine the national debate, and reveal the environment of activities were executed: transparency in which these projects are being developed. • Tour of the cities in which projects are being developed: In view of the fact that each city had its own special features, in each city, the mayor, oversight offices, contractors, a general strategy outlining the basic guidelines was devised stakeholders, trade unions, community leaders, and to allow each city to execute it in line with their respective the media were invited to meetings at which a status needs and local context. report on each system was provided, drawbacks were identified, solutions were proposed, and the project A comprehensive communication strategy executors and the governments committed to the work The communication strategy being implemented since 2006 timetables for each system. seeks to provide information to citizens about how projects • Visits to regional and national media outlets: meetings are being structured, how they are progressing, and how were organized with those responsible for execution of service will be provided, thus covering the pre-, during-, the projects, that is, representatives of the managing and post-implementation stages of the projects. Its specific entities and the national government. While a single objectives have been as follows: national message was conveyed during these meetings, the prevailing situation and the goals of the IMTSs • Eliminate weaknesses: acknowledge delays and in each city in which these projects are being develop drawbacks and move the public discussion toward were also contextualized for the journalists. solutions and work timetables. • Meetings with columnists: these meetings were • Rede�ne the national debate: create a public opinion organized to raise awareness among and inform environment that facilitates the successful execution the columnists of the progress made in the various of projects; move from problems to solutions; and projects, with a view to having better informed change the technical language to a simpler one that opinion writers. is related to development and well-being. • Media monitoring: daily monitoring of the press, • Reveal the environment of transparency in which radio, television, and the Internet, for news provided projects are being executed. on mass transit. This facilitates immediate action • Provide training and promote citizen engagement to respond to negative reports or in the event of a culture in each phase of the project. crisis. 24 Constructive Dialogue A Practical View – Significant Experiences • Media training for managers, spokespersons, and • Much remains to be learned about the implementation communication teams for each ITMS: tools are of a mass transit system, given the existence of phy- provided to ensure improved message delivery to the sical (infrastructure), political, economic, and social various audiences. The aim is to create a unified series barriers that must be overcome to achieve its successful of messages initiated by the national government, implementation. replicated by the managers in their regions, and, • Execution of this type of project calls for a certain ultimately, reinforced by press releases issued by degree of flexibility in the work plans and the decision- communication managers. making process; otherwise, even a minor problem can • Radio spots: a project to suitably position the ITMSs jeopardize its success. throughout the country in the national and local • Mass transit projects are infrastructure works that revita- media was designed. Under this strategy, local spots lize the economy of the cities. There is a close correlation are aired in all cities and later broadcast as national between urban development indices and investment in radio spots. infrastructure and the operation of the transport system, which must create space for public opinion. Priority issues for public opinion • Communication with, and among, each of the con- News monitoring and analysis have facilitated the tractors and/or service concessionaires is absolutely identification of the following issues: critical throughout implementation of the project. • Transparency in money management and procure- • Adherence to the deadlines is essential for strengthe- ment. ning the project’s credibility. In the event of non- • Observance of the work timetable. compliance, the reasons and proposed solutions must be provided. • Impact of the works on vehicular and pedestrian movements. Creating a water culture: the experience in • Type of fuel to be used by the ITMSs. Guanajuato, Mexico18 An investment that is bearing fruit The government of Guanajuato state declared 1998 the “Year The national government has invested approximately of Water,� which led to the launch of the Water Culture US$300,000 for the implementation of the ITMS Program that helped strengthen communication campaigns to support development projects and investment in water communication strategy, the equivalent of just 0.06 percent and sanitation. of the investment in infrastructure. Each managing entity also has an allocation for communication and advertising in A year later in 1999, the school program “Digni�quemos its budget, thus providing local resources for the execution nuestra escuela, cuidemos el agua� was established, and evolved of this component. into the program entitled “Sumérgete y Cuida Aguanajuato,� Lessons learned which provided the model for designing additional educational components for young people, teachers, and • The changes in the beliefs, traditions, and ways in children, as part of the same project. which citizens mobilize themselves, and the urban, social, and environmental transformation that these A qualitative and quantitative study conducted in 2002 projects generate, for which a proactive communica- on the society’s perception of the value of water and its tion approach before, during, and after the develop- preservation revealed that citizens believed that merely paying ment and implementation stages of these projects is for the service guaranteed a solid infrastructure that would required. facilitate network rehabilitation and expansion. 18 For more information on this case, go to http://www.guanajuato.gob.mx/ceag/libros_documentos.php www.wsp.org 25 Constructive Dialogue A Practical View – Significant Experiences There was a preconception that management of services was Actions taken the responsibility of the government and not everyone. As a • Mass communication: radio spots on the main issues result, citizens were using water indiscriminately, oblivious to on the agenda, including timely payment for water the tremendous behind-the-scenes efforts of technical staff, as services received, social participation, payment for well as the infrastructure works and resources required. sanitation services, water rates, infrastructure, etc. • Communication with young children: the aim was The need therefore arose to first inform the population about to convey specific messages to this target group to the service for which it was paying and the implications of secure its cooperation. Theater productions that were providing this service to homes and offices, coupled with updated to reflect the regional issues identified were the dissemination of information on the prevailing water presented: overuse, efficient use in rural areas, and situation in the country. sustainable watershed management. A 2004 reform of the Law on National Waters in 2004 • Other products such as comics (comic strips) and identified social participation in water management as a interchangeable cards based on the adventures of the key issue. However, expectations have not been fully met, “Hidrokids,� characters that deal with topics related owing in large measure to a lack of knowledge of social to water culture and provide specific advice for its participation plans. responsible use. An interactive computer disk and guides for educators were created, messages were Premises underlying the program published in the print media, and a drawing contest • The society is quite capable of making its own deci- was organized. sions, thus obviating the need for mandatory messages • Institutional alliances: 39 municipal water culture to achieve behavior change. units and 15 water user organizations joined the ini- • A familiarity with the regional environment contex- tiative. tualizes the problems and ownership of these problems • Creation of four social communication networks and promotes social participation. a water culture that address, in a very detailed manner, • Information and communication are the best tools the common problems facing the country. for effecting change, the best way to reverse negative • Capacity and skills development (human capital) as a trends. vehicle for promoting behavior change for the efficient • Capacity and human capital development as a vehicle and responsible use of potable water. The profile of the for disseminating and promoting behavior change for water culture communication promoter was defined efficient and responsible water use. under this heading, with one of the main activities being the implementation of communication plans Program objectives to promote the importance of potable water. • Promote and establish the conditions for developing • To support the foregoing, the Manual for the Water greater awareness among the society of the water Culture Communication Promoter was designed. It situation in Guanajuato. outlines the strategic guidelines for the professional • Promote the social values of responsibility, equity, and profile, highlighting the design, implementation, and respect for the moderate and rational use of water. management of a media plan for communication • Strengthen the urban public sector to achieve increased on the issue of water culture, and the identification participation and a timely response from society with and establishment of water culture indicators, citing respect to water. a few that have already been implemented, such as 26 Constructive Dialogue A Practical View – Significant Experiences micro-measurement campaigns, the reduction in the municipalities and regions. Development of aids to build number of past due accounts, the promotion of water the labor and personal skills of the project and program leak reporting, water quality, etc. managers. • All of the foregoing is supported by the production of Lessons learned a wide array of alternative supporting communication • The society needs to be informed, to be aware of the materials. decisions made and actions taken by the authorities Strategic vision with respect to water management, as well as of its • This vision is predicated on an analysis of society’s benefits. Communities are aware of the fact that perception of the water resource situation. this resource is in scarce supply; however, alternative solutions are necessary to ensure its efficient use in • Users were segmented into the following areas: agri- a practical manner. It was essential to separate the cultural use, industrial use, and urban public use. various audiences and focus on children as agents of • The relevant technical information was translated change, who are now growing up in an environmen- into simpler language to ensure that the people have tally conscious setting where efficient water use is va- a better grasp of what is being done and why. Various lued. Message segmentation is essential to achieve the promotional materials and communication tools were desired objectives, with a special focus on agricultural developed to secure the participation of citizens and and industrial water users. The processes involved in foster a sense of joint responsibility among them. the promotion of a water culture are interdependent within the social networks that comprise various actors Outcomes operating in a participatory system. This is why it is In 2007 the state obtained a state water culture index (�ndice essential to strengthen this human capital. Estatal de Cultura del Agua19 IECA) of 96.74 percent, thus • There is an emotional factor that causes people to indicating that water culture practices that were relevant become sensitized, to gain awareness, and take action. and appropriate for the regions in the state were in place. Those “triggers� should be the centerpiece of commu- Involvement of institutions in the programs and projects and nication campaigns at all levels. ongoing monitoring of key actions and indicators. Design of inter-institutional strategies for the operation of the programs • The impact of this project had a direct effect on the te- and projects, with emphasis being placed on strengthening chnical, administrative, and programmatic operations the capacity of the communication promoters (training and of the municipal water operators. The citizens, for their the preparation of materials). Organization and sharing of part, felt included and a sense of joint responsibility actions pertaining to infrastructure and water culture for with respect to efficient water use is now on the rise. 19 The Water Culture Index (�ndice de Cultura del Agua) is a value that incorporates major indicators that facilitate decision making for guiding and implementing actions and achieving results in the context of a water culture that supports the sector’s public policies. It includes the analyses of knowledge and values and attitudes, reflected in social behavior related to overall water preservation and use. Web: http://sieca.guanajuato.gob.mx/. www.wsp.org 27 Constructive Dialogue Constructive Dialogue Through Communication for Development IV. Constructive “It is important to remember that the key focus of the strategy is not the message but the change that is being Dialogue Through sought.� Giovanna Núñez, WSP Consultant Communication for Development Strategy design: key phases of the process20 various components of the project and/or institutional bodies. Under the Communication for Development approach, a The importance and challenges of communication in communication strategy uses a plethora of methodologies to development initiatives address common challenges, with an emphasis on achieving Development cannot be achieved without the participation results. It bears noting that no two strategies are alike; each of the population. Communication is necessary to secure this is unique in content, methods, and media. It must also be participation. Without communication, the participation, borne in mind that the key focus of the strategy is not the empowerment, and commitment of the social actors will not message but the change that is being sought. be possible. This participation must be based on dialogue that facilitates the promotion of joint action by all actors. An effective communication strategy must be: An effective communication strategy is not just desirable—it is also essential. Not only does it create the conditions • Inclusive conducive to the effective management of projects, it also • Analytical: with solid research-based foundations boosts their future chances of success and sustainability. • Contextualized The main challenges facing communication in development initiatives are as follows: • Subject-focused • Interdisciplinary • Building confidence. • Participatory • Facilitating mutual understanding. • Comprehensive: considers a wide range of challenges, • Analyzing the interests of the actors involved and objectives, target audiences, behaviors, environments helping manage them. • Results-focused • Assessing political and social risks. Key phases of a communication strategy • Assessing communication opportunities in order The following cyclical model, in which each phase has its own to expand access to the benefits of the reform tools, methodologies, and products, can be used to design a processes. communication strategy. Chart 2 illustrates the four phases • Building the capacities of the technical teams in order of the cycle. A brief overview of each design phase of the to generate the dialogue processes. communication strategy is provided next: • Promoting changes in behavior and environments. Phase I: Research Toward the development of a communication strategy • Lays the foundations for an appropriate and successful strategy. Communication is a systematic and strategic process that promotes individual and social changes in synergy with the • Opens up dialogue to facilitate analysis and action. 20 Information taken from the presentation “A comprehensive approach to the design and management of communication strategies: key phases�, by Giovanna Núñez, WSP Consultant, World Bank. 28 Constructive Dialogue Constructive Dialogue Through Communication for Development • Identifies the best ways to promote change. • The type of change sought is specified (knowledge, • Analyzes facts and perceptions—much more than attitudes, and behaviors). simply identifying channels, media, and messages. • The communication approaches are selected. At this stage: • Media and messages for each audience are identified. • The interests and perspectives of the actors involved • The communication mix is proposed (advocacy, civic are identified and described. journalism, public agenda, community mobilization, • The level of knowledge, attitudes, and behaviors is training-based education, social marketing, mass determined. communication, community communication, interpersonal/group communication, adaptation of • The cultural, political, and social context is identified. services, etc.). • Risks are assessed (opposition and potential conflict) and solutions are sought. Phase 3: Implementation This stage will help: • The action plan is implemented. • Identify barriers and the facilitators for the change • A comprehensive package of communication processes. materials and/or events is designed: messages are • Identify resources, spaces for dialogue, and communication developed, materials are selected and designed in methods. accordance with the messages, and the comprehensive package is produced and validated. • Pinpoint the strengths and weaknesses related to the implementation of the CfD strategy. • Training is provided to the team. Phase 2: Strategy design Phase 4: Monitoring and Evaluation • The problems to be addressed are outlined. • Participatory needs assessment: diagnostic assessment. • The target audiences are selected: primary, secondary, and strategic allies. • Participatory assessment of the process: monitoring. • The objectives are defined. • Participatory assessment of the results. • Impact assessment. Chart 2: The Communication Project Phases (simplified version) Analyzes and identifies the best courses of action to promote change PHASE 1 Research What were the results? PHASE 4 Outlines how the PHASE 2 What lessons were Monitoring and strategy will be designed: learned? Strategy design the communication mix Evaluation PHASE 3 Implementation Launch of the dialogue process www.wsp.org 29 Constructive Dialogue Constructive Dialogue Through Communication for Development Research as a point of departure21 Experience has shown us that information is essential for the design of programs or projects to be executed. Meeting the “other�: the point of departure for At the outset, basic research provides us with useful designing a communication strategy information for strategy design and results measurement, People create meaning based on their place in society. In other while other research methodologies allow us, in the course words, they assign meaning to things and convey it through of the project, to redefine the action plan or address communication links in a specific context, which is part of communication-related challenges that arise during actual an even larger context—their culture. project development. Conducting research prior to the start of any project is Why is basic research necessary? essential for the design of a communication strategy. This Below are two examples that help demonstrate why basic research uses people as the point of departure, predicated on research is necessary in communication for development the recognition that a development model must be designed interventions. In the first example, information was critical in a collaborative manner. for the proposal of an action methodology (communication- based games), while in the second, information facilitated Operating on the principle that communication is a point of the design of a sanitation facility (a bathroom), using a contact introduces acknowledgement of an individual, the quality standard based on parameters that incorporated “other� with whom the link can be established. The activity or technical aspects and the user’s wishes. approach adopted to conduct the research (meeting, learning, engaging in dialogue) must be the first chain in this link, Example 1: Implementing a successful intervention initiating a dialogue process with persons whose lives will be strategy affected by the program or project. Two premises are essential In Tocache province in the San Martin region in Peru, the for the integration of research as a tool for action: NGO Prisma launched a program to promote hand washing among mothers with children under the age of five years, • No action carried out in the context of a development as an effective and efficient way to reduce the incidence of program can be successful without the participation diarrhea and respiratory illnesses. The baseline confirmed, of the population. through observation, that the frequency of hand washing • The messages are always interpreted from the vantage was quite low—only 15 percent of mothers washed their point of the recipients—the public. hands with soap whenever they came into contact with feces or food. Efforts must be made to ensure that social programs and interventions, whether public or private, are not inaccessible Exploratory research produced findings critical to the design or in remote locations, or driven by interests that are not of an appropriate communication strategy: understood by the population. Consequently, communication research facilitates the identification of: Main Findings (i) The mothers of young children are deeply motivated • A concept of joint development to change their behavior, given their role as the main • The symbolic world of the groups with which work is custodians of their children’s health; (ii) where there is an being carried out absence of educational/communication activities, the use • The potential political or social risks of the project of games could be motivating; and (iii) men and women • The forms of interaction in the communities often lamented that forgetfulness was one of the major inhibitors of the practice. • Communication spaces and forms. 21 Information taken from the presentation “Research: a point of departure for the design of successful communication strategies. Methodological approaches,� by Mercedes Zevallos, WSP Peru; and from “Identifying research needs in communication,� second work group. 30 Constructive Dialogue Constructive Dialogue Through Communication for Development These three findings were key to the design of a strategy that percentage points, jumping from 15 percent to 34 percent. used resources allocated for cultural activities and had three In the case of hand washing before meals, the use of soap main points: (i) if the children enjoy themselves, the mothers increased from 7 percent to 15.6 percent. Both increases are more inclined to listen as well; this is why puppets were illustrate the statistical significance that can be attributed to used; (ii) the children play while the mothers learn—games behavior change. were therefore used with the mothers and children; and (iii) if forgetfulness exists, reminders are necessary; memory aids The intervention helped reduce the prevalence of diarrhea were therefore developed along with the mothers and their among boys and girls, which fell from 50 percent to 37 children. percent during the 15 previous days between the baseline and final assessments. This decline contrasts with the results The results at the end of the exercise were encouraging. for the families in the control group that did not participate The risk of contamination where there was contact with in the intervention at the family level, but received bulk feces declined, as hand washing with soap increased by 19 messages from this event. Chart 3: Changes in hand washing practices in Tocache Changes in hand washing practices with soap in observed Prevalence of diarrhea among children under the age of cases where there was risk of contamination with feces 5 years – intervention and control groups 60 Did not use soap Used soap Did not wash hands 49.69% Baseline Final 50 45.8% 100% 36.99% 80% 40 59% 45% 31.9% 60% 30 40% 34% 20 15% 20% 10 26% 21% 0% 0 Baseline Final Intervention Control 187 mothers 126 mothers 336 mothers 260 mothers Source: Rosario Bartolini, Mercedes Zavallos, Raquel Pastor, Luís Segura “Hand washing with soap does reduce the incidence of disease.� Water magazine, published by the Sectoral Water and Sanitation Committee, Lima, June 2007. * Mothers: The universe refers to mothers with children under the age of five years. www.wsp.org 31 Constructive Dialogue Constructive Dialogue Through Communication for Development Example 2: Developing inclusive programs measured in terms of the completion of infrastructure works The foundation of a culture hinges on the symbolic world but in terms of the appropriate use and ownership of the shared by a community. An understanding of this world services, or the achievement of the goals for which it was helps: designed. The analysis of the relevant actors or the interest groups and public opinion studies are two of the most useful • Gain insight into the relationships and links of the methodologies or types of studies. Table 6 summarizes the infrastructure projects with the symbolic world of the benefits of these methodologies. people. Qualitative or quantitative research? • Know the expectations, dreams, fears, and anxieties. Qualitative research is often viewed with skepticism. It stands • Examine in-depth the various meanings that one in contrast to quantitative research because it is considered concept may have. to be insubstantial and less valuable, which can be attributed • Identify opportunities for change. to the lack of statistics in its results and the belief that the results obtained in a specific context are valid for that context What is the link between major infrastructure programs and only and not for others. the symbolic world of people? Another example also allows us to illustrate this in a chart. During the 1990s in Peru, a However, based on experience gained over several years of major investment was made in the construction of latrines conducting qualitative research, it can be concluded that in rural areas, with a view to improving access to sanitation not only are the mental models powerful tools, but they can facilities. Checks a decade later revealed that the latrines be found time and again in various towns within a given were not being used and were in fact for the most part being cultural environment. rejected, as they were synonymous with dirtiness, poverty, and backwardness. Qualitative research brings the researcher closer to the public’s point of view. Although this alone can produce conclusions on The team spearheading the “Creando Mercados de Saneamiento� the basis of observations, the use of a sound discourse analysis initiative, which seeks to develop inclusive markets as a tool methodology can help reduce interference and obtain results for expanding the coverage of water and sanitation services that contribute to the design of an appropriate strategy. in Peru, opted to include in the baseline questions that measured views on the quality of service that citizens were Current challenges – a practical approach assessing and in which they would be willing to invest. The An assessment of the discussions held by the participants basic question was simple: What kind of bathroom do you at the workshop is presented below. It was prepared by the want? (See Chart 4.) second working group that examined the type of research being conducted in the context of the projects and/or The results provided information for the design of a programs, its strengths and weaknesses, as well as pending product for which citizens were willing to pay, as it needs with respect to research topics. The following is a incorporates technical aspects such as availability of water, summary of the main responses provided. and attractiveness, modernity, and comfort. This service has far greater possibilities of being sustainable owing to its value Types of research conducted (it pays for itself and its value is based on its quality). • Risk identi�cation. • Measurement of service efficiency. Why should communication research be a cross- cutting activity with the projects? • Perception of service quality. Monitoring contextual changes during a field intervention • Exploration of alternative methods or solutions. can contribute to the success of a program. Success is not • Cultural perceptions. 32 Constructive Dialogue Constructive Dialogue Through Communication for Development • Surveys and focus groups. • Limited application of the results of the research. • Baseline for projects. • Research is not conducted as part of an overall • Exploration of community perceptions in order to planning strategy. develop a qualitative description of the problems. • Limited knowledge of methodologies, tools, and instruments for conducting communication Strengths research. • Availability of specialists to conduct the research. • Limited application of the analysis of the actor or • The results facilitate the design of communication stakeholder map. programs for specific areas. • Lack of resources for research in general, and for meeting • Assistance with the identification and description of the essential requirements for a communication the interest groups. strategy, in particular. • Direct contact with the population, to whom access • Studies are often conducted well in advance and are would not be otherwise gained. not updated at the time of project implementation. • Assistance with measuring the progress and impact of • Studies are conducted without necessarily the projects/programs, which facilitates modifications understanding their true value or their applicability. to, or the redesign of, the project. • Many studies, especially quantitative ones, cannot be Weaknesses conducted on a regular basis owing to time and cost constraints. • Limited resource allocation and operational facilities for research work. • Limitations in organizing participants into focus groups, among others. Table 6: BeneFIts of the research methodologies Type of study Bene�ts Analysis of the relevant actors or interest groups • Identification of the perceptions and priorities of the relevant actors or interest groups with whom activities will be carried out. • Identi�cation of the priorities and values of the interest groups, which influence development prospects. • Review of the feedback from groups or communities with similar experiences. • Identification of issues of social relevance to the group. • Identification of potential influences from interest groups with respect to the project. Public opinion study • Research conducted in this area helps: • Provide information to make informed and consensus-based decisions. • De�ne the transparency mechanisms for the information. • Develop a strategy for drafting and reaching consensus on reforms. • De�ne ongoing monitoring strategies. • Lay the foundations for a culture of transparency and dialogue to reduce the risk of corruption. www.wsp.org 33 Constructive Dialogue Constructive Dialogue Through Communication for Development Pending research needs program must strengthen the environment to facilitate • Design of research strategies to be applied on a case- change, thus necessitating the preparation of studies that by-case basis. help determine how amenable the primary audiences are • Development of measurement indicators for to change, design strategies targeting a variety of secondary communication. audiences, train various communication for behavior change officers, and develop an array of communication tools for • Drafting of timely research reports that provide each channel. adequate time between the collection of information at the beginning and end of a project. The Hand Washing Initiative (HWI) in Peru: a • Retrieval of past diagnostic assessments to learn from communication and ongoing learning process this information, albeit with reservations, taking into A communication strategy that takes into account myriad consideration the periods and contexts in which this factors such as the opportunity assessment, advocacy and information was gathered. awareness building, the establishment of alliances, capacity building, community mobilization, and campaigns in the Behavior change and the creation of local media is necessary to achieve comprehensive change. favorable environments that foster this The HWI developed a methodology, as illustrated in Chart change 4, which guides this dynamic process and facilitates the Behavior change is a dynamic process that must adopt approach based on size and audience, thus helping generate a comprehensive and long-term approach to achieve strategies for the achievement of specific objectives of the sustainable results. While the target audience that will adopt communication roadmap to change. the change (a new hygiene habit, for example) must be the 1. Opportunity assessment: This assessment evaluates the focus of the communication effort, the complexity of the strengths and weaknesses of the environment in order to process requires the participation of myriad actors and the induce change. It is a rapid process in which opportunities use of various channels to develop a hygiene culture that are identified: social programs under way, officers and is sustainable over time. In this case, the communication promoters trained, public and private institutions committed to similar Chart 4: Comprehensive behavior change strategy processes. The aim is to provide value- added to the processes under way in a region, province, or district, and 1. Opportunity Assessment secure the buy-in and support of the Learning Policies institutions and the population. It also helps identify the challenges that could arise during the process: shortages, lack 6. Campaigns in 2. Advocacy and of water, violence, problems related to the local media awareness building cultural diversity, etc. Impact on Behavior Agreements and 2. Advocacy and awareness building for health change commitments institutionalization: This step builds on 5. Community 3. Establishment the previous one. It is a communication mobilization of alliances process in which information and arguments to facilitate alliances are Agents of Resource put forward. The end result must be change allocation the confirmation of agreements and 4. Capacity building commitments and the development of policies: an express desire to move to the operational stage. 34 Constructive Dialogue Constructive Dialogue Through Communication for Development 3. Establishment of alliances: The roles and res­ ponsibilities of The education roadmap: methodology for training the partners are defined, an action plan for implementation officers who communicate directly with audiences is designed, and resources are allocated. In this phase, Knowledge alone cannot bring about behavior change. communication must strengthen the rationale for the Mothers and children must be motivated to become agents alliance: together we win, together we learn. of change. Analysis of the environment is therefore necessary: how widely has change been accepted, how is it viewed by 4. Capacity building in communication for behavior mothers, and in what way are they supporting it. change: the HWI works with teachers, health service and environmental promoters, and community officers to achieve In the case of behavior change related to hygiene, the issue uniform results in the various regions and provinces in the of resources is also important: access to water, its quality, country in which it is being implemented. Based on a series sanitation services, the availability and proper use of this of studies, an “education roadmap� or methodology, which is resource, and knowledge of the key moments for hygiene described below, was designed. This component also includes and hand washing, etc. training for local theater groups in stage techniques and in the development of scripts that contain the key points to be To effect change, an education roadmap based on studies conveyed, which have been tailored to reflect the diversity conducted among women and children, as illustrated in of language and culture. Chart 5, was developed. This facilitates the development of methodologies and tools, as well as capacity-building 5. Community mobilization: The studies have shown that strategies, to reach audiences through trained agents of direct communication is the method favored by women change (from the health, education, and environment and children who comprise the HWI target audience. Fun sectors). activities and games are the preferred channels. The power of soap 6. Campaigns in the local media: The radio is used to support The Hand Washing Initiative (HWI) experience showed the interpersonal processes. Research helps determine the that issues such as the need to immediately wash hands with behavior change phase reached by the audiences. The 2004 soap and water are essential. Mothers were unaware of the study revealed the need to strengthen knowledge: the key fact that they should wash their hands immediately before moments for hygiene and soap use. cooking and immediately after using the bathroom. This led to the preparation of a campaign whose main theme is A subsequent study conducted in 2008 revealed that the key the power of soap, and whose objective is to implement a moments had already been assimilated and that there was a behavior change action based on a comprehensive three- need to insist on the use of soap, on its placement in kitchens pronged strategy: (i) discovery; (ii) ownership; and (iii) and in bathrooms/latrines, and on the issue of immediateness, transfer. that is, the need to wash hands immediately before cooking and eating, and immediately after using the bathroom. All of This is a rather entertaining campaign that targets children this information serves as a guide for developing the scripts and involves the audience in the process in an interactive for radio commercials and messages. Two other elements manner. The first phase begins with an individual who stand out in this process: discovers the power of soap (discovery), then moves to the second phase in which this individual takes ownership of this • Evaluat ion and monitoring, which facilitates power (ownership), culminating in the third phase with the monitoring of the techniques and tools used, of local individual sharing this knowledge with others (transfer). capacity generation, of community mobilization, and of the use of mass media. Measurement of indicators • Documentation and lesson sharing comprise another Assessing behaviors is no easy task. It requires a special sustainability pillar and constitute the platform for the combination of methods and tools. The main behavior replication and scaled-up implementation of programs. indicators are as follows: www.wsp.org 35 Constructive Dialogue Constructive Dialogue Through Communication for Development • Change in factors influencing behavior: motivations, • Involves various actors. knowledge, resource availability, beliefs, etc. • Combines methodologies, tools, and channels. • Practice reported in the previous 24 hours. • Communicates specific messages based on research. • Specific place in use, designated for hand washing. • Behavior change in hygiene is an ongoing process, An impact assessment and intercept surveys are used to measure because: factors influencing behavior. The intercept survey entails - There are several target audiences. “intercepting� people and asking them to respond to a short - New findings are produced: research facilitates survey with several questions. Direct questions are not posed; corrections to the process and identifies new instead, a technique is used to address the issue from various priorities. angles and conduct observations at hand washing sites. - Involves various behaviors. Lessons learned Box 3 provides an additional summary of UNICEF’s Communication for behavior change seeks to achieve experience in promoting behavior change using visual specific objectives with respect to the individual, using a anthropology as a strategy. comprehensive process that: Chart 5: INTERPERSONAL COMMUNICATION. THE PATH TO CHANGE FOR MOTHERS AND CHILDREN Determinants Resources Knowledge Field of clean and Water and sanitation Hygiene good practices dirty - Hygiene, services quality access self-esteem, prestige Critical moments, Resources availability contamination route Field of relation between for hygiene practices health and hygiene habits. Water care, maintenance Interrupt the contamination Good use of resource of sanitation systems route (good practices, location of resource) Field of hygiene valuation beyond poverty • Methodology and tools • Capacity strengthening • Reaching audiences 36 Constructive Dialogue Constructive Dialogue Through Communication for Development Advocacy – a strategy for mobilizing The process has five phases: in the first phase, the problems commitment by decision makers22 or issues are identified. In phase 2, solutions for these issues are developed, while in phase 3, political will is built. Phase What is advocacy? 4 involves joint work on the issues and the solutions in an Advocacy is the defense and promotion effort aimed at effort to build political will, while in phase 5, the political mobilizing persons in support of a cause. It is a mechanism will garnered is evaluated. This process is clearly illustrated that helps draw the attention of citizens to a problem, which in Chart 6. must be resolved through action by decision makers in areas related to human rights, public health, education, and the environment, among others. It is a systematic process directed Box 3: The visual anthropology approach to improving at changing institutional policies, positions, or programs. behavior through self-reflection. The Buen Inicio experience in Peru23 Advocacy: Communication is essential for development, for modifying or improving key behaviors that achieve results in other • Captures the attention of decision makers with respect components. It is a cross-cutting issue that intersects the various components of a proposal or intervention. In this plan, to issues that affect a group or specific population. the communicator must be a part of the process, depending on the type of behavior or behaviors one is seeking to improve. • Helps find solutions to specific problems. Between 1999 and 2004, the Buen Inicio program helped • Places the issue (national or international) on the improve the growth and development of 75,000 children under public agenda to generate a current of opinion in favor the age of three years and 35,000 expectant and breastfeeding of the change being sought. mothers in 223 rural, Andean, and Amazon communities, through the incorporation of communication not as a secondary or very specific element, orienting it toward communication How does advocacy work? products,24 as is often the case, but as a key and essential Advocacy generates standards, support for, and a favorable component that intersects the various components. disposition toward, a cause through community mobilization When one speaks of communication to improve behavior, one processes. It provides opportunities to overcome obstacles, often believes that it is the mother who should improve her practices, when in reality, improvements should be made to the makes changes to unfavorable situations for achievement environment surrounding the child—the family, the community, of the objectives, seeks support, and, lastly, changes and the institutions. behaviors. In this case, anthropology is used to improve behavior through a process of self-reflection, which means looking inward, because With respect to advocacy three elements must be taken into the decision to make changes does not come from another, it account: comes from the individual, from the person, or from the mother, or the father, or health personnel. • As is the case with any change, it must be gradual. In visual anthropology, photographic images are taken of the areas in which work is to be carried out and of their population. • Patience is necessary, because change is not linear—it These images are then shown to the individual subjects so that moves back and forth. they can see themselves represented, and thus engage in a process of reflection. • The messages to be conveyed must be clear. The benefits tied to the change in public policy must be The experience showed that this technique has tremendous transformative potential, provided it is utilized appropriately. clearly understood. 22 Information taken from the presentation “Advocacy: a communication strategy to foster engagement by decision makers,� by Marilú Wiegold, Communication and Corporate Partnerships Specialist, UNICEF. 23 Information taken from a speech delivered by María Elena Ugaz, UNICEF Child Development and Nutrition Officer, Peru. 24 Source: Lechtig, Aarón. Buen Inicio Program: External evaluation. Lima: UNICEF, 2007. www.wsp.org 37 Constructive Dialogue Constructive Dialogue Through Communication for Development Methodological Steps • The environment: strengths, weaknesses, opportunities, threats Identi�cation of the problem • Available information • Examine the availability of technical and financial resources; study its main causes and effects. • The possibility of alliances or networks • Investigate existing laws related to the problem and • Team capacity and experience the need to amend these laws. • Identify the barriers and obstacles that may exist in The objectives that have been defined must be measurable, order to carry out advocacy and promotion activities, attainable, and targeted (they must reach a specific audience as well as the challenges and needs related to the or target group), reasonable (defined in accordance with problem. available financial and human resources), and specific (must be concrete). De�nition of the objectives Identi�cation of the audiences Determine which policies that favor the affected population can be implemented and in what time frame (short, medium, There are two types of audiences: or long term), taking into account the following: • Primary audience: the group that makes decisions. • The complexity of the problem • Secondary audience: the group with the ability to influence those who make the decisions. Chart 6: A conceptual framework for advocacy Issues/ problems Issues Solutions Phase 1: Identifying issues for policy action Political Issues Solutions Will Phase 5: Evaluating the policy action Phase 2: Developing solutions Issues Solutions Issues Solutions Political Will Political Will Phase 4: Bringing issues, solutions, and political will together for policy action Phase 3: Building political will 38 Constructive Dialogue Constructive Dialogue Through Communication for Development A number of key questions must be answered in order to Resource mobilization, monitoring, and evaluation carry out this step: Prepare budgets to mobilize own resources and resources from alliances. • Whom should the activities target? (identify the key actor with whom work will begin in the short term). • Develop indicators that show the progress made with • Which persons and/or institutions can serve as respect to the strategies. strategic allies? • Analyze the establishment of alliances and networks. • Who can provide effective support? Communication for Development for project • Who can influence the decision makers? effectiveness, conflict management, and To that end, research is crucial and should help achieve the sustainability25 following: “Us� and “the others�- a communication effort to acknowledge the existence of groups • Learning about the groups with which work will be The point of departure for communication is the done and the reasons why change has not occurred. acknowledgement of a distinction, a separation: an “I� Knowing their beliefs, perspectives, likes, etc. and a “you,� or “us� and “the others.� Furthermore, several • Become acquainted with their positions, priorities, subgroups or subsystems may exist within each group. budgets, how much they know about the issue in question or similar issues. If the objective is to include both groups or subgroups, to • Learning about the level of influence of the decision incorporate “everyone� into “us,� dialogue must be promoted. makers and the secondary audience. The existence of these groups is the first sign of the barriers that must be overcome through communication. Message design and media selection • Determine what will be said based on the audience Human beings have a complex individual and social profile. structure and their behavior is shaped by a wide variety of • Create arguments that tell the key actors what to do, factors. This complexity is even greater in the case of group why they should do it, and the benefits of doing it. They behaviors. Therefore, in order to get close to a group to try to must include qualitative (why change), quantitative understand its processes, which is critical for communication, (number of persons concerned), economic, political, consideration must be given to its conscious and unconscious and ethical information. dimension, its rational and affective aspects, the links that are established, and the roles of each individual comprising • Identify the media to be used for communication— the group. mass or interpersonal—depending on the actor. Strategy design and activities The genesis of this social organization could be traced back to primitive society, which comprised a group of individuals • Determine how to involve the sought-after institutions with a leader, a group identity, and a sense of belonging. and who will influence them. As was the case with primitive societies, social groups take • Determine how to ensure that they are transformed form as they distinguish themselves from others and view into champions of the cause and how to make good themselves as adversaries. This enables them to establish a use of their capacities. relationship of “us� against “the others,� which strengthens • Identify opposition to the cause; know the arguments the identity and sense of belonging of their members. being put forward. 25 Information taken from the presentation “Communication for the prevention of political risks and social conflicts,� by Rosa Goldfarb, from InnovAcción, Group for Institutio- nal Design and Transformation. www.wsp.org 39 Constructive Dialogue Constructive Dialogue Through Communication for Development The “other,� who is viewed as the potential enemy, strengthens However, in the mind system of the group executing the and unites the group, and spurs it to action. The degree to project, the “other� may be perceived as inferior, ignorant, which this division is deepened, polarized, or narrowed is ungrateful, violent, and destructive, which could lead this contingent upon the cultural, religious, and historical factors group to make decisions with counterproductive results. of the social context. It should also be borne in mind that the target group probably The unconscious, automatic division into “us� and “the includes persons whose personal and collective history may others� is the origin of social conflict, in the sense that fear be profoundly marked by experiences of marginalization, of a stranger and the projection of hatred onto him or her discrimination, and exclusion, as well as feelings of having contribute to the shaping of that which is conceptualized as been subjugated and ill-treated. These experiences will “the enemy.� condition their reactions until they succeed in making a distinction between their mind system and reality. This can Anxiety in the face of novelty only be achieved through meetings and communication. According to the psychoanalyst Wilfred Bion, whenever a new element that touches on key aspects of psychic The “mind system� functioning is introduced, it causes anxiety and defenses All persons or groups represent their world through against it are created. This element contains a potentially an unconscious mental construct known as the “mind destructive force that mobilizes unconscious defenses and, system.� This influences—and at times determines—their to a major or minor extent, unleashes acts of violence that, relationships, behavior, decisions, opinions of themselves, and when examined from a rational and objective standpoint, are their place in the world. It functions as a filter that processes completely devoid of sense. all their experiences. This determines the stance we adopt with respect to all issues of importance in our lives, the bonds that we establish, and the dynamics of our interactions. It is the Box 4: Belonging to a group: a pressing need basis for all forms of exclusion and social conflicts. The psychic processes that divide people into rival groups date back to infancy. A fear and rejection of strangers develops Therefore, it should come into play at this level in order to among children between the ages of 6 and 18 months. bring about a meaningful social transformation, and not This innate reaction, which could be survival mechanisms, shows that children have already established links with their only the achievement of specific works and provision of loved ones, with whom they feel safe, and that persons not partial solutions. However, owing to its unconscious nature, recognized as being a part of that circle are viewed as a threat. this system—at the individual or collective level—cannot From that moment, belonging to a group is a pressing need shared by all human beings, which allows them to function as be subjected to rational analysis or modified with logical such. Not belonging to a group generates chaos and extreme explanations. The “mind system� can only be modified if levels of anxiety, leading to a loss of a part of the richness of it permeates the consciousness and is transformed, based the human experience. on lessons learned from the experience, in a social situation where persons can interact, and it is during that interaction that they gain insight into what is happening in the here When a group perceived as the “other� proposes modifications and now. to age-old ways of life in a community, as is the case with such issues as water, communication, and so forth, this may Lessons learned be perceived as a threat, if an unconscious mind system that • This unconscious dynamic applies to all social systems always views the stranger as the conqueror, the dominant and must be brought to the fore. party, or the aggressor is triggered. In this case, his or her • Failure to do so could create political conflict or social interventions will be perceived as attacks. violence. 40 Constructive Dialogue Constructive Dialogue Through Communication for Development • Any process of change or development entails periods While this effort involves the project proposers, it should in of disorganization, pain, frustration, and conflict. reality be the responsibility of the community, of everyone. Such periods should be viewed as a normal part of the The communication strategy should be supplemented by an process, which must be contained and addressed. ethics strategy that incorporates factors such as the desire for • Material developments will be significant and sustai- a fulfilling life, that is, the desire for personal happiness and nable in the long term only if they are accompanied happiness with others. Happiness is not solely the search by efforts to facilitate the transformation in the un- for personal satisfaction. If that search excludes “the other,� conscious dimensions. happiness will never be achieved. The communication strategy must, therefore, be concerned with “the other� to Three ideas on communication strategies for prevent rejection and the ultimate failure of the strategy. avoiding conflict Believing in “the other�: communication strategies Consider an ethics strategy26 that instill confidence27 The Office of the Ombudsman is an autonomous body of Most conflicts stem from a severe lack of meaningful the Peruvian State, which, among other things, monitors communication and are the result of differences in perception. situations of conflict, and prepares a monthly report on social For this reason, the various perceptions of the actors involved conflicts in the country. in a project must be discerned in the incipient stages, in order to identify problems, and social and political conflicts that Socioenvironmental conflicts account for many of these are likely to arise, and, subsequent to this evaluation, those conflicts, which, in most cases, are linked in some way to results must be submitted to the actors, to all parties, with water problems or related to this resource. These are extremely a view to applying communication techniques that lead to complex phenomena with a wide range of demands. consensus. Several reasons can be attributed to the conflict in these cases. This is predicated on a very simple premise: conflicts On one hand, there are disputes pertaining to the use of water are complex. Assessments must be used to evaluate and as a resource or a factor of production: disputes between understand them from the outset. It is recommended that agricultural or mining users, between mining users or the this exercise be undertaken by a neutral party, an independent population, between energy or agricultural users, etc, while third party. on the other, these disputes relate to cultural perceptions of the value of this resource, among other things. Communication strategies must instill confidence, which is earned through empathy, respect, responsibility, and also if Consequently, a communication effort that promotes participation exists. dialogue among the stakeholders in an initiative must be in place prior to the launch of the intervention process. In the case of the water and sanitation projects, as with others, In general, following presentation of a project, the society the most important task is believing in “the other,� trusting reacts, peaceful protests are organized, new actors with diverse in “the other,� believing that “the other� is my equal, and interests get involved, and ultimately the project grinds to that he or she also has the right to think, to choose, and to a halt. participate, and, therefore, the right to support or reject a given water or sanitation project. To avoid this scenario, an effort must be made to integrate the project into a system with social, environmental, economic, The area must be evaluated in the early stages, with a shared and other dimensions, which must be understood. investment in time, effort, and resources so as to achieve a true communication strategy. 26 Information taken from a speech delivered by Vito Berna, Ombudsman, Peru. 27 Information taken from the speech delivered by César Guzmán-Barrón, Director of the Conflict and Analysis Resolution Center at the Pontificia Universidad Católica in Peru. www.wsp.org 41 Constructive Dialogue Constructive Dialogue Through Communication for Development When “rivalry� is the root cause of conflict: lessons • A decisive factor for ensuring the sustainability of projects learned28 is transparency, which promotes citizen monitoring, thus Water is a finite resource and thus necessarily invites conflict. helping prevent corruption. The World Bank’s work with respect to water and sanitation • It is also important to build the communication capacities projects has been criticized for three reasons: for orienting its of counterparts, as a limited ability to communicate with projects toward economic and technical aspects, for turning various audiences can jeopardize execution of the project. its back on the political economy, and for not listening In that regard, it is recommended that training plans take effectively and communicating with the parties involved. into account sensitive issues that are peculiar to the local Many of these criticisms are well-founded and have been culture. substantiated in myriad assessments. • When government entities fail to listen to the needs Since then, the World Bank has learned many lessons about of users, the risk of social conflict increases. Studies how to communicate effectively, particularly with a view show that engaging with, listening to, and involving to mitigating political risks and reducing social conflicts. the community leads to the increased efficiency and Improving communication with the relevant parties is sustainability of government entities. currently one of the World Bank’s strategic priorities. Involving the relevant parties is the most critical aspect, because when communication strategies with them are overlooked, a very high price is paid. The lack of support from the stakeholders translates into high monitoring costs, losses, delays, project cancelations, as well as a host of intangible impacts such as loss of reputation, good will, and confidence. Communication for Development experiences in Africa • In Kenya, where the sector is in the midst of a reform process, a political risk analysis was conducted to highlight the steps to be followed from a communication standpoint. Key actors were also identified using a mapping process, which facilitated two-way communication. The bene�ciaries were involved in the design process, which placed timely information at their disposal. • In Rwanda, consultation processes were carried out, taking into account the cultural component, and including the voices of the citizens who are the most vulnerable or in disadvantaged situations. In the long run, this dialogue process helped strengthen the reform phase underway in the country. 28 Taken from the speech delivered by Toni Sittoni, Water and Sanitation Program, Kenya. 42 Constructive Dialogue Conclusions and Lessons Learned V. Conclusions and “We do not communicate for the sake of communicating, but with a goal that must be identified through rigorous Lessons Learned processes and methodologies.� Glenn Pearce-Oroz, Regional Director for WSP Latin America and the Caribbean A practical look at current challenges: Pending tasks for the launch of the process to design commitments and lessons learned a comprehensive communication strategy The third working group was charged with evaluating the • Strengthen the communication component in orga- most significant lessons learned at the workshop, identifying nizations, projects, and/or programs. the pending tasks, and determining the manner in which • Establish the mechanisms for generating participa- communication strategies should be strengthened in tory processes in keeping with project characteristics, participating projects. The results are presented below. which include all actors/interest groups and factors involved. Significant lessons • Incorporate dialogue-based social conflict resolution • There is strategic value in communication for the strategies and instruments. effective development of projects (before, during, and after their implementation) to reduce risks during their • Incorporate research and diagnostic assessment tools implementation and enhance their effectiveness and to define a baseline and become acquainted with the efficiency. actors involved in a project. • Communication is an ongoing process of including To strengthen the ongoing communication strategy interest groups/key actors in all spheres. • Bridge the information gaps related to project scope • Communication components contribute to projects in order to minimize conflict risks. and to their sustainability subsequent to project com- • Improve the impact measurement strategy (improve pletion (maintenance process, ensuring that interest the measuring indicators for the traditional aspects of groups have a sense of belonging, etc.). the environment and the interest groups). • Communication for social change is a very significant qualitative change in the context of Communication To adjust the communication strategy during the for Development. design phase • Improve the measurement tools, which must have a • Ethics and transparency can determine the quality of broader scope (surveys, focus groups, etc.). communication and create conditions that help avoid conflicts. Effective communication is also good business29 • It is essential that internal communication within • It is in the interest of the World Bank and the Water work teams be oriented toward achievement of project and Sanitation Program to recognize that strategic objectives. communication is essential to generate impact. This 29 Information taken from the presentation “Assessment and final evaluation,� by Glenn Pearce-Oroz, Regional Director, WSP. www.wsp.org 43 Constructive Dialogue Conclusions and Lessons Learned is not a superfluous issue. It is an issue that must be tackled and included in order to ensure increased sus- tainability of investments. In other words, engaging in effective communication is also tantamount to doing good business. • Experiences with communication processes were shared and it was concluded that the wide variety of approaches enriches dialogue, the communication process requires time, and that there are related thorny issues. • It is a process that is developed over time, and it must be borne in mind that even the time frames for the various actors are very disparate. • Communication for Development does not involve a single procedure or a single methodology that fa- cilitates effective communication. While it must be tailored to local circumstances, it must, at the same time, be linked to a goal. We do not communicate for the sake of communicating, but with a goal that must be identified through rigorous processes and methodo- logies. The CfD is not a tool that will extinguish fires, but a great opportunity to learn and contribute to the comprehensive monitoring of projects. • The objective is not only to communicate rationality or statistics; this information must also be accompanied by a strategy that takes into account the significant emotional dimension of the society. They must both be combined in a more effective manner. • Although significant progress has been made with respect to this issue, much remains to be done. One essential task is ensuring that all of this knowledge is conveyed upwards and downwards to the other areas of the organization. It bears recalling that the World Bank operates on a demand basis: if there is a need to address this issue, the manner in which support will be provided will be apparent. However, if there is no demand, the task will be much more difficult for everyone. 44 Constructive Dialogue Bibliography Bibliography BELTR�N, Luis Ramiro FIGUEROA, María Elena et al Comunicación para el Desarrollo en Latinoamérica, Una Communication for Social Change: An Integrated Model evaluación sucinta al cabo de cuarenta años. Opening remarks for Measuring the Process and Its Outcomes. made at the Fourth Round Table on Communication and Communication for Social Change Working Paper Series No. Development. Lima, Instituto para América Latina (IPAL), 1 New York, Johns Hopkins University’s Center, 2002. 1993. FRASER, C. and S. RESTREPO-ESTRADA BYRNE, Ailish et al Comunicando para el desarrollo. EDICION, 1998. Measuring change: A Guide to Participatory Monitoring and Evaluation of Communication for Social Change. New Jersey, GORRE-DALE, Eirah et al Communication for Social Change Consortium, 2005. Communication in Water Supply and Sanitation Resource Booklet. Water and Sanitation Centre – IRC, 1999. CABAÑERO-VERZOSA, Cecilia Comunicación Estratégica para Proyectos de Desa­ rrollo, INAGAKI, Nobuya Herramientas para Coordinadores de Equipos de Trabajo. Communicating the Impact of Communication for Deve- Washington D.C., External Affairs and Learning Network, lopment, Recent Trends in Empirical Research World Bank World Bank, 2002. Working Paper Nº 120 Washington, D.C., World Bank, 2007. COFFMAN, Julia Lessons in evaluating communications campaigns: Five case JONG, Dick de studies. Cambridge, MA: Harvard Family Research Project, Advocacy for Water, Environmental Sanitation and Hygiene: 2003. Thematic Overview Paper International Water and Sanitation Centre – IRC, 1999. ELTZROTH, Carter and Charles KENNY Broadcasting and Development, Options for the World MEFALOPULOS, Paolo Bank. World Bank Working Paper Nº 11 Washington, D.C., Broadening the Boundaries of Communication. Develo- World Bank, 2003. pment Communication Sourcebook. Washington D.C., World Bank, 2009. EuropeAid Comunicación y visibilidad Manual de la Unión Europea MEFALOPULOS, Paolo and Chris KAMLONGERA en las acciones exteriores. Brussels, EuropeAid Cooperation Participatory communication strategy design. A handbook. Office, 2008. Roma, Centre of Communication for Development - SADC, 2004. Food and Agriculture Organization of the United Nations (FAO) MITCHELL, Paul and Karla CHAMAN-RUIZ A compendium of regional perspectives in communication Communication -Based Assessment for Bank Operations. for development. Rome, Research and Extension Division / World Bank Working Paper Nº 119, Washington, D.C., Natural Resources and Environment Department, 2007. World Bank, 2007. www.wsp.org 45 Constructive Dialogue Bibliography OBREGÓN, Rafael Comunicación, desarrollo y cambio social. Barcelona, Institut de la Comunicació (InCom-UAB), 2009. SCHIPPNER, Beatriz Construyendo una cultura del agua en el Perú. Estudio de percepción sobre el agua y hábitos de consumo en la pobla- ción. Lima, World Bank, 2008. SCHIPPNER, Beatriz et al Comunicación, agua y saneamiento en América Latina: El aporte de la comunicación para el desarrollo en proyectos de gestión de recursos hídricos e implementación de servicios. Lima, World Bank, 2008. United Nations Children’s Fund (UNICEF) Abogacía en medios y movilización social. Cuadernillo 6, Colección: Comunicación, Desarrollo y Derechos. Buenos Aires, UNICEF, 2006. World Bank Rome Consensus at http://siteresources.worldbank.org/ EXTDEVCOMMENG/Resources/RomeConsensus07.pdf 46 Constructive Dialogue Acronyms and Abbreviations Acronyms and Abbreviations CfD Communication for Development CPS Country Partnership Strategy CRC Citizens’ Report Card FAO United Nations Food and Agriculture Organization FMR Financial Monitoring Report HWI Hand Washing Initiative ICR Implementation Completion Report IEC Information, Education, and Communication IMTS Integrated Mass Transit Systems ISR Implementation Supervision Report KAP Knowledge, Attitude, and Practices – Communication Initiative MDGs Millennium Development Goals PAD Project Appraisal Document PAHO Pan American Health Organization PD Program Document PID Project Information Document PRS Poverty Reduction Strategy TOR Terms of Reference UNICEF United Nations Children’s Fund WB World Bank WCCD World Congress on Communication for Development WSP World Bank’s Water and Sanitation Program www.wsp.org 47