89851 PEOPLE, POLITICS AND CHANGE BUILDING COMMUNICATION CAPACITY FOR GOVERNANCE REFORM THE Cecilia Cabañero-Verzosa WORLD Helen R. Garcia BANK People, Politics and Change Building Communication Capacity for Governance Reform Cecilia Cabañero-Verzosa & Helen R. Garcia THE WORLD BANK ©2011 The International Bank for Reconstruction and Development / The World Bank Communication for Governance & Accountability Program (CommGAP) External Affairs 1818 H Street NW, MSN U 11-1102 Washington DC 20433 Telephone: 202-458-7955 Fax: 202-522-2654 Website: http://www.worldbank.org/commgap Blog: http://blogs.worldbank.org/publicsphere E-mail: commgap@worldbank.org All rights reserved The findings, interpretations, and conclusions expressed herein are those of the author(s) and do not necessarily reflect the views of the Board of 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. 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Table of Contents Introduction 01 Communication Processes for Governance Reform 07 Case Study Briefs 21 Facilitation Tips 25 Adult Learning 29 MODULE I: KNOWING THE REFORM CONTEXT Session 1: Linking Communication and Governance 45 Session 2: Using Political Economy Analysis 97 MODULE II: ADDRESSING RECURRING CHALLENGES – THE THREE WILLS Session 3: Securing Political Will 125 Session 4: Securing Organizational Will 167 Session 5: Mobilizing Public Will 221 MODULE III: MANAGING REFORM POLITICS Session 6: Framing and Agenda Setting 287 Session 7: Coalition Building 331 Session 8: Mitigating the Collective Action Problem 363 Session 9: Managing Conflict Among Multiple Stakeholders 391 MODULE IV: SUSTAINING CHANGE Session 10: Sustaining Reform / Counter-reform Never Sleeps 457 Case Summaries 473 Tools and Templates 493 Glossary 499 Acknowledgements This learning and resource guide for facilitators, trainers, reform teams is our modest contribution to the formidable challenge of leading change through governance reform. We would like to thank the many peo- ple who have offered their expertise and experiences, as well as their passion for helping reform teams in developing countries confront the task of fostering governance reform and securing the political will, public will and organizational will to ensure that governance reform is relentlessly pursued. Through the Communication for Governance and Accountability Program (CommGAP), which is financially supported by the UK Department for International Development (DfID), the work on this capac- ity building and training program began in 2006. The flagship course, People, Politics and Change: Build- ing Communication Capacity for Governance Reform grew out of a Learning Needs Assessment which informed the design and content of CommGAP’s global learning program. Special thanks go to all those whom we interviewed for this needs analysis—World Bank governance advisers, public sector reform spe- cialists, senior government officials and development and communication professionals—for sharing their insights on communication challenges and capacity needs of governance-reform implementation. Our work benefitted greatly from the valuable guidance and advice from various consultation sessions with a multi-disciplinary team composed of senior faculty from various academic institutions and colleagues at the World Bank. The pedagogical approach and the course materials were jointly developed by academics, sector specialists and subject-matter experts, and then tested in the classroom and continuously adapted, refined, and tailored to the expressed needs of successive cohorts of course participants. Our goal was to create a global learning program on communication and governance which meets the highest standards of quality, relevance and sustainability. This required the collective effort of many individuals, and the materi- als presented in this guide represent their valuable contributions. We hope to keep this guide a “live” docu- ment to which many more will be willing to contribute ideas, concepts, approaches and tools. We offer our debt of gratitude to our Panel of Advisers: Vicki Freimuth, Director, Center for Health and Risk Communication and Professor, Department of Speech Communication and Grady School of Journal- ism, University of Georgia; Eric Henry, Managing Partner, CM Partners, LLC; Thomas Jacobson, Temple University, Senior Associate Dean in the School of Communications and Theater and Professor of Commu- nication in the School’s Department of Broadcasting, Telecommunications, and Mass Media; Gary Orren, Professor of Public Policy and Management, Kennedy School of Government Harvard University; Alasdair S. Roberts, Professor of Law and Public Policy, Suffolk University Law School and Faculty Director of the Rapaport Center for Law and Public Service; Dietram Scheufele, Professor of Life Sciences Communication at the University of Wisconsin, Madison Wisconsin. v acknowledgements Our colleagues at the World Bank who participated in the consultation sessions: Colum Garrity, Pov- erty Reduction and Economic Management (PREM); John Garrison, External Affairs, Civil Society; Hen- riette von Kaltenborn-Stachau, CommGAP External Affairs, Communication for Development; Natalia Kirpikova, External Affairs, Communication for Development; Mary McNeil, World Bank Institute (WBI); Paul Mitchell, External Affairs, Communication for Development; Stephen Ndegwa, Poverty Reduction and Economic Management (PREM), Africa region; Sina Odugbemi, CommGAP, External Affairs, Communi- cation for Development; Andrea Ries Padmanabhan, Sustainable Development Network (SDN); Francesca Recanatini, Poverty Reduction and Economic Management (PREM); and Jeff Thindwa, External Affairs, Civil Society. The World Bank staff and colleagues from other institutions who helped develop course presentations include Anne-Katrin Arnold, Jose Edgardo L. Campos, Thomas Jacobson, Natalia Kirpikova, Sumir Lal, Antonio Joselito G. Lambino, Lori Ann Post, and Sina Odugbemi. Those individuals who contributed instructional tools and learning materials—case studies, exercises, simulations, animations, interactive video, and videotaped expert interviews are Thomas Fiutak, Vicki Fre- imuth, Eric Henry, Thomas Jacobson, Natalia Kirpikova, Antonio Joselito G. Lambino, and Najma Siddiqi. And we were fortunate in having the full support of CommGAP; led by Program Head Sina Odugbemi, Diana Ya Wai Chung, Johanna Martinson, Anne-Katrin Arnold, and Antonio Joselito G. Lambino. We thank our editor and publisher, Dilip K. Mirchandani, whose guidance has helped us experiment with, and navigate the process of using a transmedia knowledge-sharing platform. Finally, we are grateful to the 231 course participants from 45 countries, who have joined us in class- room discussions and continue to share their country experiences in manifesting governance reform. We encourage them and their development partners to use and adapt the knowledge and learning resources in this guide for further strengthening communication capacity to achieve sustainable governance reform outcomes. It is, after all, on behalf of these developing country reform teams that we have all ventured on this journey. vi About the Authors Cecilia Cabañero-Verzosa directed the capacity-building and training program of CommGAP and served as lead facilitator for its flagship course, People, Politics and Change in Washington DC, South Africa, and the Philippines. She has integrated this course into the newly-launched (> Leadership) program of the World Bank Institute, targeting multi-stakeholder reform teams in developing countries. Together with faculty from the Annenberg School for Communication at the University of Pennsylvania and the Annenberg School for Communication and Journalism at the University of Southern California, she co-facilitated the executive course on Strategic Communication in July 2011. This new executive education program aims to develop a cadre of strategic-communication specialists from the private sector, civil society organizations and academia that are based in developing countries and able to assist reform teams on-site. She has cre- ated a competency-based curriculum on strategic communication, conflict management, and client engage- ment, and directed the Strategic Communication Learning Program at the World Bank—a program that has reached some 8,000 participants, including World Bank managers, sector specialists, project teams and their developing county partners, and communication specialists worldwide. She has experimented with various e-learning formats to expand the reach of learning programs including the interactive, online performance support tool on strategic communication, a web-compatible, interactive video, animation and short video- taped interviews with experts. She has experimented with the use of video scribing using ydraw to explain technical material in an entertaining way. Ms. Verzosa has also facilitated sessions for developing country leadership teams using the platform of Second Life, a virtual world wherein participants engage with one another through their avatars. She is currently exploring the use of electronic video games for development. Helen Garcia is an international development consultant with over 20 years of cross-sectoral experience and has worked in policy research, program development and capacity building. She conducted the 2007 Learning Needs Assessment, which shaped the design and content of CommGAP’s flagship course on com- munication and governance, People, Politics and Change. In 2010, she led a qualitative survey of development practitioners and senior communication professionals as research input to CommGAP’s Executive Course in Communication and Governance Reform delivered in partnership with the World Bank Institute’s Gover- nance and Leadership Practice, the Annenberg School for Communication at the University of Pennsylvania and the Annenberg School for Communication and Journalism at the University of Southern California. As the lead capacity building consultant, she worked on the integration and mainstreaming of CommGAP’s course content in various learning platforms within the World Bank and other development institutions. Ms. Garcia has written case studies as teaching tools on the politics of reform in water and sanitation, urban transport, roads, public procurement and tax administration, and draws from her operational experience vii about the authors and public sector background as a writer of fictionalized accounts of reform programs based on real-world country experiences. She has worked on multi-media learning applications, and managed the documentary video production on the Philippines Procurement Reform Law and interviewed key players involved in the reform. Prior to CommGAP, she worked on social development issues for World Bank lending programs in Albania, Kyrgyz Republic, Russia, Poland and the West Bank and Gaza, poverty assessments in Ecuador, Pakistan, Philippines, Hungary, and Zambia, and the infrastructure and energy sector work in China, Indo- nesia, Thailand and Mexico. Before the World Bank, she worked at the International Food Policy Research Institute, where she conducted urban and rural household surveys in Pakistan for a USAID-funded research project on food security and poverty. In the Philippines, she was Director for Social Development in the Office of the Prime Minister. Her current interests in capacity building are trained on exploring advance- ments in pedagogical design and integration of technology solutions, the use of transmedia and immersive learning platforms to increase learner performance. viii Introduction The Communication for Governance and Accountability Program (CommGAP) was established in 2006 as a global program to confront challenges which create barriers to achieving effective and sustainable gover- nance outcomes. In particular, CommGAP was created to address specific gaps that undercut the quality of governance reform efforts: a structural gap, a process gap, and a capacity gap. The structural gap, produced by the insufficient recognition of the public sphere as an essential part in securing good governance and accountability, leads to a narrow, fragmented approach in the design and approach of many governance reform programs. The process gap is one that arises from a lack of applicable processes to deal effectively with political economy issues and people-related challenges due to vested interests and stakeholder resis- tance to change. The capacity gap deals with the problem of the meager capabilities among researchers, development and communication practitioners in government agencies, NGOs or private firms in ways that hinder their ability to provide effective and strategic support in the implementation of governance reform programs. The program goals of CommGAP are: 1. Develop innovative, communication-based analytical and diagnostic approaches, conceptual frame- works and tools to support governance reform; 2. Influence policy with respect to how governance reform programs are designed and implemented; 3. Distill and disseminate lessons learned from around the world; 4. Strengthen the discipline of communication as it applies to governance reform; 5. Build a community of practice around a more holistic approach to governance reform. To achieve these goals, CommGAP’s core program is divided into three interrelated and mutually rein- forcing areas of work: research and advocacy, training and capacity building, and operational support to development programs and projects. FLAGSHIP COURSE—PEOPLE, POLITICS AND CHANGE: BUILDING COMMUNICATION CAPACITY FOR GOVERNANCE REFORM In 2008, the Training and Capacity Building Program delivered an innovative training and capacity-building program for reform managers in development organizations in developing countries. 1 2 introduction Figure 1.1 Course participants identified governance challenges encountered in the field. introduction That program, which formed the induction of this flagship trainer’s guide, was grounded on the knowl- edge and insights gained through CommGAP research work, global dialogues and learning events. It grew out of a needs-assessment conducted a year earlier that identified critical capacity gaps in addressing com- munication challenges in governance reform programs. This assessment guided World Bank and senior gov- ernment officials from 5 countries in Asia and Africa in designing the global learning program by providing information on three main issues: (1) challenges and obstacles that impede information and communication processes; (2) institutional constraints and capacity needs in supporting governance reform; and (3) the role of communication and the value of media development in enhancing transparency and accountability. More importantly, the study revealed recurrent real-world obstacles to reform across varying socio-economic and political environments. These are: • Lack of political will or broad leadership support for change • Resistance from middle managers or the professional bureaucracy • Vested interests and special interest groups opposed to reform • Hostile or indifferent public opinion • Unorganized majorities with no voice • Weak citizen demand for accountability This trainer’s guide is designed to help reform leaders and change agents tackle the persistent challenges identified during needs assessment. Core modules, focusing on governance and accountability issues, were fostered in consultation with senior governance practitioners, program managers, communication experts and professionals from the academic and development communities. Our global learning program is designed for reform managers in government and in donor organizations to build their capacity in employing strategic communication approaches and techniques necessary to suc- cessfully implement difficult reforms and achieve the governance objective of developing capable, transpar- ent and accountable institutions. It furthers one of CommGAP’s key goals; that of equipping reformers and change agents with operationally relevant knowledge and innovative communication approaches and tools to support governance reform implementation. It is a learning program aimed at advancing CommGAP’s strategic focus in promoting positive, account- able governance in terms of development policy and practice through the use of innovative communication approaches and techniques to strengthen the various components of the public sphere—engaged citizens, a vibrant civil society, pluralistic and independent media, and transparent government institutions. This resource is designed for reform managers, change agents, development practitioners, and training pro- fessionals who are interested in learning relevant communication concepts, frameworks and applications for addressing communication challenges in governance reform programs. More specifically, it is a practical guide for trainers in facilitating a learning program with respect to communication and governance reform that is grounded on understand distilled from research, expert knowledge from academics and scholars, and practitioners’ exper- tise that has been culled and enriched from CommGAP’s series of global dialogue on key governance issues. Some of the key concepts, frameworks and innovative approaches introduced in the course are: • Democratic public sphere as the space where citizens come together, share opinions on public affairs and discuss issues of common concern. It is a participatory space, a free marketplace of ideas where citizens’ voices are amplified and public opinion are formed. 3 introduction Figure 1.2 People, Politics and Change has been offered in 45 countries From 2008 to 2009, CommGAP’s training team successfully delivered the flagship course in Washington DC, Cape Town, South Africa and Manila, Philippines. A total of 92 senior government of ficials, reform managers and development practitioners from 21 developing countries in Africa and Asia participated in the pilot courses. Since then, and over the last three years the course curriculum of People, Politics and Change was adapted or integrated into other learning programs and delivered around the world. The course has now been offered to 231 participants in 45 countries. • Communication is defined in its broadest sense—“Communication bridges all the constitutive ele- ments of the public sphere—engaged citizenries, vibrant civil societies, plural and independent media systems, open government institutions_and thus forms the framework for national dialogue through which informed public opinion is shaped on key issues of public concern and public policy.” 1 • Communication plays a role in governance on two levels: • (1) Communication structures, which include free, plural, and independent media systems, robust civil society, and the legal and regulatory framework that enables or impedes the free flow of infor- mation between government and citizens which are essential components of the so called ‘demo- cratic public sphere’, the space where citizens and government can communicate, engage in dialogue and form public opinion to influence change. (2) Communication processes, which are ‘one-way’ or unilateral in terms of the direction of the conveyed information, or ‘two-way’, which is more ori- ented toward participatory and deliberative processes of dialogue. 1 Odugbemi, Sina and Jacobson, Thomas, Eds (2008). Governance reform under real-world conditions. Citizens, stakeholders, and voice. Washington, DC: The World Bank. 4 introduction • The What, Why and How of reform as a mechanism to move from political economy analysis to action. • The 3 Wills of governance challenges - political will, organizational will and public will, as a frame- work for addressing recurring obstacles in real-world contexts. • Coalition building supported by strategic communication as a mechanism to effectively manage the politics of reform. 5 Communication Processes for Governance Reform Reformers are people with a vision — of what is possible. And reformers who succeed in working for the common good have their feet firmly planted on the ground, confronting reality and recognizing where their people are, in their knowledge and understanding of the need for reform as well as people’s capacity to change. These reform leaders, their teams, and their allies are able to tap the people’s energies to pursue reform goals by inspiring them to own the problem and convert their beliefs, attitudes and behaviors in ways that contribute to the success of reform. This book is about governance reform and how communication approaches can help reformers build understanding and support for its goals and aspirations. Governance refers to the manner in which “public officials and institutions acquire and exercise the authority to shape public policy and provide public goods and services.”1 The UK Department for International Development (DFID) elaborates by stating that “good governance is not just about government … it is about how citizens, leaders and public institutions respond to each other in order to make change happen.”2 DFID notes that good governance requires: State capability (the extent to which leaders and governments are able to get things done); responsiveness (whether public policies and institutions respond to the needs of citizens and uphold their rights; and accountability (the ability of citizens, civil society and the private sector to scrutinize public institutions and governments and hold them to account). Because governance reform can only be effectively achieved through the combined energies and com- mitment of three key entities within a public sector governance system, the book highlights communica- tion approaches that diagnose the power relationships among these three groups and enable them to find ways to collaborate, coalesce, and work together to achieve good governance. As described in the World Bank’s World Development Report, 2004, the key relationships of power among the State (politicians and policymakers), the citizens, and service providers (management teams in bureaucracies) are critical for gov- ernance reform. 1 GAC Strategy, Strengthening World Bank Group Engagement on Governance and Anti-corruption (2007). Washington, DC: The World Bank. 2 United Kingdom Department for International Development. 2006. Eliminating World Poverty: Making Governance Work for the Poor. Norwich, U.K.: Stationery Office. 7 communication processes for government reform The state Politicians Policymakers route of accountabi Co ng lit m pa ic e Lo y ct Vo Short route Citizens/Clients Providers Coalitions/Inclution Client power Management Nonpoor Poor Frontline Organizaions Services Figure 1.3 Key relationships of power Leadership teams who promote governance reform face two types of challenges. The first involves tech- nical challenges. For instance, which “rules of the game,” embedded in policies and procedures that govern how the State makes its purchases of public goods and services, will promote transparency and openness in public-procurement transactions. A technical challenge such as this can readily be addressed because there are known solutions and an authoritative source to provide advice or assistance in resolving the problem. The second, adaptive challenges are those which present no clear technical solutions, because the problem is new and authorities can provide neither direction nor guidance. Adaptive challenges require the people with the problem to own the problem and change their own priorities, beliefs, attitudes and behaviors.3 Adaptive challenges are best addressed through communication-based approaches. Technical experts usually find these challenges messy and difficult to contend with. Many prefer to promote reform “by stealth,” or using power, coercion, manipulation of incentives, and disinformation instead of taking the more time-consum- ing option of helping people recognize the need for change and creating the space for change. Adaptive chal- lenges that are given technical, expert-driven solutions frustrate people and lead to their disenchantment with reform. An analysis of governance reform challenges shows the present environment as one where citizens are uninformed and/or disengaged, where governments are unresponsive to citizen demands and unaccount- able to their constituents, where there is a lack of political efficacy, and where a culture of corruption and bad governance thrives. Governance reform goals are clear: an informed and active citizenry, a responsive and accountable government, and citizens able to hold their government accountable for the delivery of public goods and services in an open and transparent manner. But how does a society move from the current situ- ation to a desired state? In this book, we emphasize three types of obstacles to governance reform drawn from our CommGAP learning needs assessment conducted in 2007 to lay the groundwork for the development of the learning program for Communication and Governance.4 These three types of obstacles complement the key power 3 Heifetz, Ronald, Grashow, Alexander, and Linsky, Marty (2009). The practice of adaptive leadership: Tools and tactics for chang- ing your organization and the world. MA: Harvard Business School Publishing. 4 Garcia, Helen R. (2007). Needs assessment for the learning program on communication and governance. Internal report. Washington, DC: The World Bank. 8 communication processes for government reform relationships mentioned above: the State, the public, and the service providers. We then provide examples, case materials and exercises that can be used in a learning environment—whether in workshops, formal courses, or in group discussions—to be held within organizations or among multi-stakeholder networks. The first obstacle is the lack of political will. Political will to pursue governance reform exists when there is support from enough political leaders to pursue the policy change. Necessary conditions include: a sufficient set of political actors representing a broad-based constituency, a common understanding of a particular problem on the public agenda, genuine intent of political leaders to support reform, and a com- monly perceived potentially effective policy solution. The challenge in securing political will by removing or deflecting resistance from the “iron law of oligarchy,” whereby there is a persistence of power elites, a persistence of bad rulers, and persistence of bad rules.5 Communication can play a critical role in securing political will. Organized groups can pressure policymakers and government officials through public interest lobbying by the following means: rallies and demonstrations by a broad cross-section of society to air issues, backroom negotiations with targeted policymakers to uncover hidden interests, framing the issues by the mass media to mobilize political will and provoke the nation’s leaders into action. The second obstacle is the challenge of developing organizational will. Organizations and institutions are often averse to change or, at best, they move change at a glacial pace. The middle managers in the organiza- tion have been described as “a layer of clay through which nothing passes.”6 Communication approaches that create a sense of urgency for change, engage the entire organization in moving forward and develop trust among the leaders, middle managers and the staff will help mitigate the hazard of feeble organizational will. Appreciative inquiry, an approach described by Kevin Barge (2008, p. 198)7 allows middle managers to comprehend the urgency for change, empowers them as equal partners, provides them a pathway for change and addresses their concerns regarding vulnerability. The third obstacle is the absence of public will. Public will translates into public support which results in policy change and reform. There are many reasons why public will is stifled, voiceless, or simply absent among the people, government officials and policymakers. Reforms often occasion long-term benefits to many, but also provide short-term gains to a few elite groups. If the costs of reform are known but the ben- efits are not well understood, potential “losers” with access and representation in the political system can oppose and derail the reform. This dilemma is well described by Gaetano Mosca (1939)8 Mosca proposed that “The domination of an organized minority over the unorganized majority is inevitable. The power of any minority is irresistible as against each single individual in the majority, who stands alone before the totality of the organized minority. At the same time, the minority is organized for the same reason that it is a minority.” The main communication challenge therefore is how to organize the unorganized majority. An approach for undertaking this effort is described in the following illustration:9 Another important approach for mobilizing public will is coalition building. This refers to the process of creating collaborative engagement among groups of people with shared interests who are in agreement about working together to pursue a common goal. 5 Acemoglu, Daron (2011). Daron Acemoglu (2011). Origins and Limits of Democracy. Presentation at the World Bank, April 18, 2011. 6 Oshry, B. (2003, November 19). Managing in the Middle. The Management Forum Series. A presentation in Portland, Oregon. 7 Barge, Kevin (2008). Gaining the support of public sector middle managers. In Governance reform under real-world conditions. Odugbemi, Sina and Jacobson, Thomas (Eds). Washington, DC: The World Bank. 8 Gaetano Mosca (1939). The Ruling Class. New York: McGraw-Hill, p. 53. 9 Arnold, Anne-Katrin and Garcia, Helen R. (2011) Generating Genuine Demand for Accountability through Communication — A Facilitator’s Guide. Washington, DC: The World Bank. 9 communication processes for government reform The Stairway of the Mobilization Process Information Attitude Behavior Sustainability Change Change Members Mobilized Public Participants Motivated to Bystanders participate Active Public Targeted by Not motivated organization to participate Attentive Public Not targeted by Sympathetic organization Voting Public Indifferent General Public Figure 1.4 In summary, communication approaches can be developed to address the Three Wills and secure politi- cal will, organizational will and public will. The following illustration below shows how simultaneous inter- ventions on these three fronts can fuel progress in governance reform. Securing Sustainable Reform through the 3 Wills • Political will among coalitions of leaders and policymakers (opinion, attitude, and behavior change among elites) Public • Organizational will within will bureaucracies, especially at middle management level (opinion, attitude, and behavior change among Organizational public sector bureaucrats) will Political will • Public will by mobilizing civil society and encouraging citizen participation (opinion, attitude, and behavior change among members of the public) Figure 1.5 Source: CommGAP (n.d.) Communication for good governance. Author’s illustration 10 communication processes for government reform The Four Steps to Governance Reform Analyzing the Three Wills - Access to Communication Information in Africa There are four steps to developing, implementing and “Why is Africa lagging far behind in access evaluating communication interventions for governance to information legislation?”The findings of a working group discussion of three ministers of reform. Undertaken in an iterative manner, reform information, newspaper editors, activists, and teams can keep their communication activities highly academics, convened as part of the 2010 Africa targeted to critical stakeholders, with messages that are Regional Conference on the Right of Access to Information organized by the Carter Center, shed relevant to these stakeholders’ needs, and by using chan- light on the main challenges faced in Africa. The nels of communication that are credible. Communica- Political economy problems cited may be classified tion interventions in governance reform are particularly according to the Three W’s which CommGAP challenging, as concepts of good governance may not uses to examine obstacles to governance reforms. be well understood by the unorganized majority while Political Will Challenges being fully appreciated by organized elites who gener- Political leaders want to minimize personal risk ally prefer the status quo. Furthermore, corrupt prac- and, in their view, access to information laws maximizes risk. tices and lack of transparency in public transactions Leaders worry that transparency laws might lead may have been accepted by many in a state of passivity to the resurfacing of past mistakes that might and resignation. Creating a sense of urgency and of per- put them in new jeopardy. Freedom-of-Information laws rarely produce sonal relevance may be necessary to stir people out of good narratives for governments, or so they their inertia. On the other hand, those interest groups believe. They tend to produce narratives of or elites who benefit from the status quo will fiercely incompetence and corruption. oppose change. With this situation as a typical starting Organizational Will Challenges point, reformers need to be highly strategic in assessing Civil servants resist providing access through where there is space for change, and in selecting which information laws and are masters at blocking reforms they don’t want. stakeholder groups will have the appetite for and the Implementing access to information laws is seen as stamina to undertake what will seem to be a formidable very expensive. challenge. Planning and budgeting for an access to information system is seen as dif ficult, make little sense vis-à-vis the cost and benefit of any First Step: Diagnose proposed reforms. The first order of priority is to know the lay of the land. Ministries of Information in Africa tend to be very weak on the whole, and have little clout What are the rules of the game? Where are the sources except as megaphones for the ruling party. This of power? What are the political economy issues that complicates their roles as possible champions of contribute to the situation? What is the institutional reform. context where the problems persist? What adaptive Public Will Challenges challenges exist? Is there “space for change”? Having Public interest in access to information hardly “space for change” means there are three factors that exists, and very few citizens see it as the activists do: a fundamental and essentially are present. First, there is some level of authority that serious right. This is an example of a global will pursue reform goals. Second, there is acceptance norm that has not yet made landfall in Africa in of the need for reform and the proposed policy options any proper sense. Pro-reform coalitions, able to solve the public’s are perceived to be viable. Third, there is the ability at collective action problem, hardly exist. some institutional level to implement reform. Though, There is very little impetus coming from the as Andrews (2008) cautions, the reform space dictates region to energize national efforts for access to the kind and degree of reform an organization can pur- information. sue. Following is an illustration of the Andrew’s “reform Odugbemi, Why is the Transparency Revolution not space” model.10 taking off in Africa?, CommGAP. Web. April 2010 10 Andrews, Matthew (2008). Creating space for effective political engagement in development, page 100. In Odugbemi, Sina and Jacobson, Thomas. Governance reform under real-world conditions: Citizens, stakeholders, and voice. Washington, DC: The World Bank. 11 communication processes for government reform A pragmatic approach for the diagnostic phase is Operationalizing Political Economy Analysis the “what”, “why” and “how” technique.11 Three sets of at the Sector Level issues need to be addressed. The “what” refers to under- The Bus Sector as an Example* standing the political economy issues that have per- The analysis addresses three sets of issues that sisted despite repeated interventions to resolve them. pertain to the reform(s) being considered: the What, the Why, and the How. The “why” seeks to find the underlying reasons why these pathologies exist prompting reformers to identify What Examine the nature of the pathologies the rules of the game, the key players that can poten- Understand the roots of the problem in terms tially block reform, and their hidden interests. Finally, of their political economy: what pathologies have the “how” prompts reformers to outline a stakeholder persisted over time despite attempted reforms map using political economy dimensions of the prob- andinterventions. lem as the context. For example, in the commercial/bus transport sector there are typically two such pathologies: Second Step: Design (1) the mismatch between the transport needs of the urban population and the types, quality, The design step covers the development of a communi- and number of transport modes that currently serving it, and (2) the seeming misallocation of cation strategy that provides an overview of the objec- routes among the different transport modes and tives pursued, the stakeholders to be addressed, and providers. the desired behavior change. It also includes the fram- Why ing of messages in ways that explicitly and persuasively Understand the de facto rules show the benefits of change. Design work also involves and regulations Doing so will explicate why these pathologies the selection of an appropriate mix of communication persist In the bus sector example, to get at the channels, so that messages are delivered by credible rules and regulations which influence and determine spokespersons and can reach intended stakeholders the (a) entry and exit of transport firms/providers, and (b) the allocation of routes. with adequate intensity to be memorable. Furthermore, it is wise to determine the evaluation logic model that This kind of analysis is good at unraveling in great detail the forces the forces and players—politicians, defines what outcomes are anticipated from the com- government agencies, interest groups, and even munication interventions. concerned individuals—who have greatest sway over A systematic approach to developing a communica- the decision-making process tion strategy is suggested, through the Five Communi- Identity the key parties/players, analyze cation Management Decisions model described below. their underlying incentives/motivations A strategy needs to be established before decisions are Once this has been established, then one can begin to identity the key parties who might block made on tactics — the concrete steps to be taken and the or delay the proposed reform and analyze their techniques to be used in realizing communication goals. underlying incentives and motivations. At the outset, the management objective or reform From a political economy perspective, the de goal needs to be clarified. But to create a meaning- facto rules represent an equilibrium contract ful communication strategy, the management objec- among the different parties who benefit from the arrangement; and the contract is a product tive needs to be stated in a way that defines the cause of some form of implicit exchange among the of the problem and the practices that contribute to the different parties based on their respective problem, Communication interventions can then be preferences. This analytical approach is what distinguishes good political economy work from designed, not only to increase awareness about the gen- run-of-the-mill methods. eral problem but also to promote changes in knowledge, attitudes and behaviors that would contribute to the Continued achievement of objectives and the sustained success of reform. 11 Campos, Edgardo J. and Sameer Akbar (2008). Operationalizing Political Economy: Urban Bus Operations in Dhaka . South Asia Political Economy and Governance Issues Note No. 1 World Bank. Washington, DC: World Bank. 12 communication processes for government reform Briefly stated, the Five Communication Manage- ment Decisions are:12 How • Whose support is critical to the reform’s success. Undertake a well-informed stakeholder analysis after thorough political economy • What behaviors must be adopted to achieve the analysis reform objectives, and what changes in knowledge Once “the why has been answered,” then one and attitudes will facilitate the adoption of those can begin to undertake a well-versed stakeholder analysis. One of the pitfalls of some political behaviors. economy analysis is that it begins with stakeholder • What messages will persuade people to support analysis without suf ficient comprehension of the reform. What and the Why. The strategy that is therefore formulated is oftentimes not very helpful and • What channels of communication will reach people sometimes even misguided. and be credible to them. Identify winners and losers in the • How will communication be monitored and stakeholder analysis evaluated. But the analysis should go beyond this: it should “line up” stakeholders from the most obstinate Third Step: Deliver (those groups who cannot be persuaded to support the proposed reform, no matter what The third step focuses on the implementation of commu- incentives are thrown their way) to the believers nication interventions. These can range from a full-blown (those who do not need convincing). mass media campaign targeting a national audience to a There will be a lot of groups in between and figuring series of dialogues with key influencers in government, their “positions and preferences” correctly will the private sector and civic organizations, or even face-to- be the key to developing a good communication strategy and ultimately a strong coalition-building face meetings with certain households in the community. effort. In governance reform, building coalitions of people Develop a coalition building strategy, and who share a common goal is essential to provide a coun- good communication strategy to support it terweight to the more organized groups with vested inter- The “How” is fundamentally about implementing ests that will attempt to derail reform effort. Also critical the envisioned reform(s) throughout the political landscape. It is about moving from the status is the timely flow of information about the political econ- quo to an envisioned better state, i.e., a better omy issues identified during the diagnosis stage, as stake- equilibrium. The heart of the “How” is coalition holder preferences shift and power dynamics change building and at the center of this is a good communication strategy; as the latter is effectively as communication interventions are implemented. For the glue that binds the different coalition example, after intense media coverage of the breadth and members together. depth of corrupt practices in handing out public service Operationalizing Political Economy Analysis at contracts, a group of stakeholders who may earlier have the Sector Level: The Bus Sector as an Example. had no interest in a governance reform issue might sud- Reference is Campos, J. Edgardo and Sameer Akbar denly mobilize and align their efforts with those of the (2008). reformers. Or a strong lobbying effort by vested parties could soften the public stance of government officials who have previously championed governance reform. Fourth Step: Drive Driving change requires attending to the evolving context for reform while reflecting on lessons learned from the past. Seeking change in knowledge, attitudes and behaviors needs to be an ongoing effort, from the diagnosis to the design and the delivery steps. Reformers need to recognize the indicators of progress and how communication interventions might have change in the levels of knowledge within targeted stakeholder groups, and how knowledge about the benefits of reform are contributing to more positive attitudes towards change. High levels of knowledge combined with increased positive attitudes will enhance the likelihood that stakeholders will be able to change their behaviors in ways that contribute to the success of reform. 12 Cabanero-Verzosa, Cecilia and Garcia, Helen R. (2009). Building commitment to reform through strategic communication: The Five Key Decisions. Washington, DC: The World Bank. 13 communication processes for government reform These four steps to communication enable reform teams to plan communication and implement activi- ties in a more systematic manner, reducing the risk of having piecemeal activities that contribute little to the achievement of the specific reform goal. Following is a brief example of how this four-step process was used in the communication intervention that supported the passage of the Philippine Procurement Reform law. Diagnose: A research study of the procurement laws in the Philippines revealed the technical challenge: there existed a weighty set of rules, regulations and administrative orders that governed the public procure- ment of goods and services. Before the procurement reform was launched in 1999, a presidential decree passed in 1978 governed the contracting of public infrastructure projects.13 The adaptive challenge was more difficult to uncover, but the bottom line was that some groups benefited from this array of confusing rules and regulations, and it was not in their interest to reform the procurement system. Four Steps to Governance Reform Communication • Recognize adaptive challenges • Articulate communication objectives • Use political economy analysis to guide communication • Design communication-based strategy solutions and interventions aimed at securing 3 Ws • Monitor political context and • Define benchmarks for emerging challenges monitoring progress outcomes and impact Drive Diagnose • Build coalitions, • Deploy mobilize Deliver Design communication multistakeholder approaches support • Public opinion research • Deploy techniques to manage conflict, work • Strategic communication with mobilized elites • Framing • Persuasion • Mitigate colllective action problems by engaging the • Public interest lobbying public and media • Media relations Figure 1.6 Design: A communication strategy was developed to address multiple stakeholders who needed to be persuaded to join the coalition and support the passage of the public procurement reform law. There were three key tasks relevant to using communication. First, communication was used to unify the executive 13 Campos, J. Edgardo and Syquia, Jose Luis (2006) page 4. Managing the politics of reform: Overhauling the legal infrastructure of public procurement in the Philippines. Washington DC: World Bank. 14 communication processes for government reform branch of government. Key officials of the executive branch of government, led by the Department of Bud- get and Management together with various line ministries, such as the Department of Public Works and Transportation, participated in discussions about the elements of a new omnibus procurement reform bill. Second, communication was used to rally the civil society organizations and the public, to correct the asym- metry of information that prevented these various groups to fully understand the problems in the current public procurement system and the critical need for reform. Third, communication was used to persuade the legislature that investing political capital to pass the new omnibus bill was a worthwhile endeavor. Deliver: A well-designed and effectively orchestrated communication campaign built broad-based sup- port for the passage of the procurement reform bill despite many twists and turns in the changing political landscape. It took almost three years, two Congresses, and two presidents to get the law passed in 2003. Its original champion, former President Joseph Estrada was himself facing impeachment on allegations of cor- ruption and in 2001 stepped down from the Presidency. Linking government, civil society and the legisla- ture, the communication campaign was the “glue” that held the coalitions together until the law was passed. Drive: The communication intervention was implemented in a highly volatile political scenario, with stake- holders changing preferences and continually calculating the “costs” and “benefits” to themselves if they promoted public procurement reform. Communication campaigns had to be targeted at specific stakeholders offering mes- sages that appealed to them. An active populace demanded answers from public officials; hence public will helped to generate political will. The bureaucracy was brought into the fold of the reformers by engaging large associa- tions such as the Philippine Association for Government Budget Administration (PAGBA), Inc. with 3,500 mem- bers from all sectors of government, which then endorsed the bill to the legislature. The media strategy used AM radio, television, print and advertising to successfully mobilize public support for the passage of the bill. How To Use This Book This book is designed as transmedia material, to encourage trainers, facilitators and reform teams to use these resources and adapt these for their own purposes. The training sessions are organized according to four modules: 1) Knowing the Reform Context, which launches the concept of adaptive challenges in the context of government reform; 2) Addressing Recurring Challenges, which presents the strategic context of the Three Wills — political, public and organizational; 3) Managing Reform Politics, which examines the role of political economy in the success of governance reform efforts; and 4)Sustaining Change, which high- lights the importance of building communication capacity to ensure that positive results from reform efforts are not cancelled by any counter-reform moves. Each of the 10 sessions consists of a summary, teaching notes and process guide, application exercises, a brief write-up of communication approaches and techniques, technical briefs, additional resources;; a reference reading list and multi-media learning resources, with videos, animations and interactive decision tools. Worksheets are ready-to-use. Multimedia materials can be used to spark dialogue about issues, either in informal group discussions, through formal meetings or by structured learning sessions. Learning Outcomes The purpose of this course is to help reform leaders, change agents, development practitioners and commu- nication professionals deal with reform obstacles identified in the 2007 CommGap learning needs assess- ment through communication-based approaches and techniques. That assessment guided the design and content of this learning program by providing information on three main issues: 1) challenges and obstacles that impede information and communication processes, 2) institutional constraints and capacity needs in supporting governance reform, and 3) the role of commu- nication, and the value of media improvement for enhancing transparency and accountability. The survey 15 communication processes for government reform respondents consisted of senior governance and public sector specialists from the World Bank and senior government officials from five countries in Asia and Africa. More broadly, this training program is envisioned to address the ‘capacity gap’ which constrains most governance reform efforts. It is designed to provide a strategic focus on knowledge and skills required to address the most difficult challenges inherent in the reform process. Participants will gain a solid under- standing of communication techniques and acquire profound knowledge and skill for using communication techniques and tools aimed at: • Securing political will demonstrated by broad leadership support for change, • Gaining the support of public sector middle managers, who are often the strongest opponents of change, • Addressing powerful vested interests by building coalitions of pro-change influencers, • Transforming indifferent or even hostile public opinion into support for reform, • Instigating citizen demand for good governance and accountability. By the end of this program, participants will • Understand the role of communication in supporting and sustaining governance reform, • Learn about the framework of the 3Wills: Will, Public Will, Organizational Will, • Improve knowledge of relevant communication approaches and techniques, • Acquire skills in various areas of communication influence, such as persuasion, negotiation, and media relations, • Become acquainted with the range of communication expertise required to support governance- reform initiatives. Learning Content and Organizing Framework While the contribution of communication to development programs is well recognized, its specific role and impact in the governance agenda has yet to be fully explored. Results from the needs assessment as well as insights from governance practitioners and reform managers indicate a need to build a holistic, multi-disciplinary and practice-oriented approach in developing learning programs designed particularly for those in the forefront of governance-reform implementation. Figure 1.7 shows the Organizing Framework of the course, which outlines the different modules and ses- sions topics (lower half of chart) and maps it alongside a summative graphic (top half of chart) The Ground- ing Path of Governance Reforms, which lays out the social and political processes relevant to each of the key governance reform challenges and the approaches and techniques that policy makers and reform managers may find useful in addressing them. This graphic was drawn from the book Governance Reform under Real- World Conditions: Citizens, Stakeholders, and Voice (World Bank, 2008, one of CommGAP’s major research publications, which brings together expert contributions from development practitioners, academic schol- ars and technical advisors. It is an edited volume which distills knowledge and real-world experiences in unpacking key challenges that frustrate governance reform efforts and provides valuable lessons and useful approaches in confronting adversities encountered in the political landscape. Pedagogical Approach and Course Format The course has a participant-oriented focus and adheres to adult-learning principles based on a model consisting of four distinct phases: 1. Experience where the learning process begins … with an experience. 2. Reflection, to consider and process the experience presented. 16 Organizing Framework People, Politics and Change – Building Communication Capacity for Governance Reform The Grounding Path of Governance Reform1 Middle Hostile Public Citizen Demand for CommGAP Political Economy Political Will Vested Interests Evaluation Managers Opinion Accountability Analysis Framework Manifestations Manifestations Manifestations Manifestations Manifestations - Lone reform champion - Resistance to - Special interest - Difficult publics - Lack of: Objectives of Examine the What, - Lack of support from change groups opposed - ‘Not in my Awareness Reform the Why, and the political and policy elites - Lack of ability - Alliances of backyard’ Engagement How of reform and authority reform NIMBY Citizen competence opponents phenomenon - Inertia/indifference Communication What are the Approaches Approaches Approaches Approaches Approaches Challenges persistent problems (pathologies)? - Open up spaces for reform - Use appreciative - Focus on - Make the case - Lack of awareness - Establish interpersonal inquiry influentials - Employ cultural - Lack of engagement linkages - Adopt frank talk - Focus on empathy - Lack of citizen Communication Explain Why do these - Harness public will or shock therapy networks - Use dialogue competence Objectives pathologies exist by - Recognize leaders as - Combine understanding the - stakeholders monologic and Techniques Techniques Techniques rules of the game. dialogic Communication- Techniques approaches - Stakeholder - Create - Use citizens’ groups based mapping participatory - Engage in dialogue The heart of the How - Frame problem effectively Interventions Techniques - Network reform groups - Encourage is coalition building - Persuade leaders to adopt analysis- - Communicate deliberation and at the core of this - reform - Signify political - Create urgency reform benefits - Use subsidiarity is a good - Provide requisite authority will of leaders for change and costs Outcomes communication - Convince media to support - Build capacity as - Use ICT - Use frames to strategy - reform change agents explain reforms Impact Knowing Session 3 Session 4 Addressing Real-world Session 5 the Reform Securing Political Securing Organizational Challenges – The Mobilizing Public Will Module 2 Context Will Will 3 Wills Session 1 Linking Session 6 Framing and Agenda-setting Managing the Communication Session 7 Coalition Building and Politics of Session 8 Mitigating the Collective Action Problem Reform Governance Session 9 Managing Conflict Among Multiple Stakeholders Module 1 Module 3 Session 2 Using Political Economy Analysis Session 10 Sustaining Reform / Counter Reform Never Sleeps Sustaining Change Module 4 PPC Core Curriculum Figure 1.7 Organizing Framework 1For full text of approaches and techniques, see Odugbemi and Jacobson (2008) Appendix section. 17 communication processes for government reform 3. Generalization, which draws observations and general conclusions which take the experience into account. 4. Application, for using and applying the learned techniques. Designed as an experiential learning program, this course leads participants to work with country-specific examples and case studies. Participants will examine stories of success and failure and draw lessons from real-world reform settings. Learning activities and session exercises will provide direct, hands-on applica- tion of operationally relevant approaches and tools to improve practical skills in using communication- based solutions for governance reform programs. The Sarangaya Water Reform case simulation offers participants a way to explore issues, concepts and problems that they are likely to face in the process of advancing governance reform; while the accompanying role-play activities engages immediate practice of the core competencies in communication. These are: 1) Identifying and understanding communication challenges through political economy analysis, 2) Crafting and framing messages for key stakeholders, 3) Building coalitions to support reform objectives, engaging in productive multi-stakeholder dialogue, 4) Working with an apathetic or uninformed public, and mobilized interest groups, and 5) Sustaining reform through increased efforts in strengthening communication capacity. Through its multi-media format, this course offers participants a winning platform of learning that is supported by a menu of resources with interactive elements, including online performance support tools, animated graphics, slide presentations, and video interviews of experts in governance and communication. An optional feature of the course is an online follow-up program conducted to enable participant inter- action with an e-learning format to encourage the productive sharing of relevant experiences, new knowl- edge and skills acquired in the application of tools and techniques in their respective reform environments. Course Overview – Sample 4-Day Program Agenda Day 1 Day 2 Day 3 Day 4 Registration Session 2 Session 3 Session 10 Managing Conflict Opening Session Using Political Economy Activity 1 – Course Overview and Dif ficult Conversation Sustaining Change Analysis Learning Objectives Session 9 Introductions, Expectations Session 3 Managing Conflict and Participant Goals Securing Political Will Exercise 2 – Discovering Hidden Interest Coffee break Coffee break Coffee break Coffee break Session 9 Session 4 Participant Discussions Managing Conflict Securing Organizational Closing Session Governance Challenges Exercise 3 a Negotiation Will Informal gathering 18 communication processes for government reform Day 1 Day 2 Day 3 Day 4 Session 5 Course Evaluation and Securing Public Will Focus Group Feedback Lunch Lunch Lunch Closing Lunch Session 6 Session 9 Framing and Session 1 Agenda-setting Managing Conflict Linking Communication Activity 3 a and Governance Session 7 (Continuation) Coalition Building Coffee break Coffee break Coffee break Session 9 Session 8 Managing Conflict Mitigating the Collective Exercise 3 b Wrap Up Action Problem Negotiation Formal gathering Wrap Up Wrap Up Training Sessions The ten training sessions, each dedicated to a key topic, consist of several components: • Session Summary briefly describes the purpose of the session, key concepts discussed, main messages and learning outcomes. • The Teaching Notes and Process Guide provides trainer instructions and key teaching points (abbrevi- ated) for each presentation slide used in the session. Instructions to the trainer are in italics. • Application Exercises outline the purpose, process and participant instructions for the structured learning activities. • Communication Approaches and Techniques are distilled from CommGAP’s learning events and global dialogues • Technical Briefs provide concise, abridged information on key communication concepts, methods and tools grounded in research literature • Suggested Reading and References serves as a knowledge guide for the relevant literature about key top- ics in communication and governance, including an annotated guide and links to relevant blogs posted on the CommGAP website. This reference lists encourages in-depth understanding of the communi- cation concepts in terms of background, historical trajectory, and empirical research. 19 communication processes for government reform • Multimedia learning resources provides a list of video, online and interactive materials which can be used as learning support tools. The web resources contain URLs that link to websites that might be useful in teaching or researching a particular topic. Each session also includes an annotated PowerPoint Presentation, with notes and talking points for the trainer. They highlight facilitation tips and guide the trainer in specific activities during the course of the session. Case Studies After the training section sessions in the book, we have added a set of seven case studies featuring seven countries, with supporting tools and templates to aid trainers in processing the session material and advanc- ing his or her knowledge about governance reform with the process and outcomes from communication- based solutions in the experience of those countries. These case studies have been culled and summarized from CommGAP’s major research publications and may be employed during the sessions and/or distributed as handouts to participants. Companion Facilitation Tips and Tools and Templates are provided with these case studies to, in the case of the former, give guidance about strategies for successfully facilitating the training process. The Tools and Templates are ready-to-use aids for program design and implementation. A call to action The course, People Politics and Change has been used globally and adapted for various stakeholder groups in seeking a deeper appreciation of the value of communication for governance reform. It has been delivered to African civil society organizations, with a special emphasis on the role of communication in programs promoting social accountability. It has been brought to the operational staff of the World Bank and the Asian Development Bank together with members of the Affiliated Network for Social Accountability from East Asia and the Pacific, and from South Asia. It has been presented to civil society organizations and private sector parties in Eastern Europe and Central Asia. Drawing heavily on this curriculum, an executive educa- tion course for strategic communication specialists was developed and delivered jointly by faculty from the Annenberg Schools of Communication at the University of Pennsylvania and the University of Southern California and the World Bank to some 40 senior communication specialists from Africa, East Asia and the Pacific, South Asia, Eastern Europe and Central Asia, Latin America and the Middle East. Now this com- munication and governance content has been fully integrated into the new leadership course launched by the World Bank Institute’s ( >Leadership) program offered to intact reform teams in Asia, Africa and Eastern Europe and Central Asia. There remains much territory to explore in this discipline. This book is a live document that advances the reader along the road of this discovery. We hope it will inspire reform teams, trainers and change-agents to more broadly discover these concepts, approaches, and tools and adapt them for their own specific needs, while building on them to co-create new material that can be shared with stakeholders in the field. For it is only by joining hands and minds that reform can truly hope to succeed. We hope this book will be a small contribution to this great task. 20 Case Studies We have included seven case studies in this book that should be used with the training sessions to illustrate real-world applications that illustrate country-specific experiences and practical lessons learned in using communication-based strategies and approaches and the impact in the overall reform process. Extended summaries of these briefs are included at the back of this book, which should be used as ready handouts dur- ing the sessions, and form source material for group work discussions, role play and simulation. Several of the case studies may be applied to topics in more than one Session. The full text of the case studies are avail- able in Odugbemi, S., and Jacobson, T., (eds.) 2008, ‘Governance Reform Under Real World Conditions’, Communication for Governance and Accountability Program (CommGAP), World Bank, Washington DC. http://www.gsdrc.org/go/display&type=Document&id=3758 CASE 1 BANGLADESH: “WE DIDN’T KNOW PEOPLE LIKE M