Message, Method, and Messenger: Literature Survey

R E S E A R C H R E P O R T Message, Method, and Messenger Literature Survey Tanvi Nagpal, PhD Rachel Rose S C H OOL OF A D V AN C E D I N TE R N A TI ON AL S TU D I ES J OHN S H OPK IN S UN I V E RS I TY S C H OOL OF A D V AN C E D I N TE R N A TI ON AL S TU D I ES J OHN S H OPK IN S UN I V E RS I TY November 2014 I N T E R N A T I O N A L D E V E L OP M E N T A B O U T T H E U R B A N I N S T I T U T E The nonprofit Urban Institute is dedicated to elevating the debate on social and economic policy. For nearly five decades, Urban scholars have conducted research and offered evidence-based solutions that improve lives and strengthen communities across a rapidly urbanizing world. Their objective research helps expand opportunities for all, reduce hardship among the most vulnerable, and strengthen the effectiveness of the public sector. The Urban Institute is a nonprofit policy research organization. It has been incorporated and is operated as a public charity. It has received official IRS recognition of its tax-exempt status under sections 501(c)(3) of the Internal Revenue Code. The Institute’s federal ID number is 52-0880375. Donations will be tax deductible and may be disclosed to the IRS and the public, unless given anonymously. We are committed to transparent accounting of the resources we receive. In addition to required tax filings, a copy of the Urban Institute’s audited financial statement is available to anyone who requests it. A B O U T W A T E R & S A N I T A T I O N FO R T H E U R B A N P O O R Water & Sanitation for the Urban Poor (WSUP) was established in 2005 and has quickly become recognized as a leading actor in the urban WASH sector, demonstrating how multi-sector partnerships can have significant impact. WSUP’s mission is to improve the lives of the urban poor in developing countries by strengthening the capacity of service providers and others to provide sustainable water and sanitation services, promote good hygiene and raise the health and environmental standards of the community. Copyright © November 2014. Urban Institute. Permission is granted for reproduction of this file, with attribution to the Urban Institute. Cover image by Ben Edwards. Contents Acknowledgments iv Introduction 5 Part I: Communication Goals and Methods 6 Method 1: Information and Knowledge Transfer 7 Method 2: Advocacy and Lobbying 9 Method 3: Social Marketing 12 Method 4: Social Mobilization and Participatory Models 13 Part II: Influencing Budget Priorities and Revenue Generation 16 Public Information and Input in the Budget Process 16 Influencing Revenue Generation 17 Weak Demand for Budget and Tax Accountability 19 Conclusion 20 Annex. Situational Analysis for Accra, Ghana; Nakuru, Kenya; and Maputo, Mozambique 21 Part I: Accra, Ghana 21 Part II: Nakuru, Kenya 24 Part III: Maputo, Mozambique 26 Notes 28 References 29 IV A C K N O W L E D G M E N T S Acknowledgments We gratefully acknowledge our partners, Water & Sanitation for the Urban Poor, whose support made this research possible. Urban strives for the highest standards of integrity and quality in its research, analyses, and policy recommendations. Urban scholars believe that independence, rigor, and transparency are essential to upholding those standards. Funders do not determine research findings or influence scholars’ conclusions. As an organization, the Urban Institute does not take positions on issues. Urban scholars and experts are independent and empowered to share their evidence-based views and recommendations shaped by research. The views expressed are those of the authors and should not be attributed to the Urban Institute, its trustees, or its funders. M E S S A G E , M E T H O D , A N D M E S S E N G E R 5 Message, Method, and Messenger Introduction This literature survey aims to review how communication and advocacy have been used to change local policymaking, programming, and budgetary allocations in the developing country context. Insights gathered from this review will help structure the first phase of data collection for a two-year research grant with Water & Sanitation for the Urban Poor (WSUP) on influencing municipal public finance for sanitation. Literature review insights will influence a field guide for semistructured interviews with key policy and political decision makers, professionals in water and sanitation service companies, and community leaders in WSUP program areas. We propose that a linear view of policymaking in which research recommendations and rational models are readily accepted and implemented by policymakers is unrealistic, and that effective advocacy is necessary to overcome implementation barriers such as information gaps or political or economic realities. Further, proper identification of implementation barriers results in more effective advocacy tools and targeting. For example, if the barrier is an information gap in understanding finance option