Communication for Development and Social Change, 2:4, 2008

COMMUNICATION FOR DEVELOPMENT AND SOCIAL CHANGE

VO L U M E T W O N U M B E R F O U R , 2 0 0 8

C O N T E N T S

Food for Thought

Where Social Change Scholarship and Practice Went Wrong?Might Complexity Science Provide a Way Out of this Mess? 000 Arvind Singhal

Articles

Does China Have Alternative Modernity? An Examination of Chinese Modernization Discourse 000 Pi-Chun Chang

Health Education for HIV/AIDS Prevention in the Caribbean 000 Nancy Muturi

Policy Implications of the Communication Effects Gap Hypotheses and Mainstream Organizational Communication Studies in Development Communication Campaigns 000 Siddhartha Menon

News from the Field

Visualisation in Participatory Programmes (VIPP): Taking Stock of Its Diffusion and Impact 000 Neill McKee, Maria Angelica Salas, Nuzhat Shahzadi, Herman J. Tillmann

Thanks to reviewers 000

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Silvia BalitIndrajit Banerjee, AMIC Luis Ramiro Beltran (Bolivia)Kwame Boafo, UNESCO Juan Biaz Bordenave (Paraguay)Moncef Bouhafa, Center for Development Communication Claude-Yves Charron, ORBICOMGustavo Cimadevilla, Universidad de Rio Cuarto Gary Coldevin, Concordia University Royal Colle, Cornell University Brenda Dervin, Ohio State UniversityWimal Dissanayake, University of Hawaii at ManoaDana Faulkner, Change ProjectElizabeth Fox, USAID Colin Fraser, Agrisystems Margaret Gallagjer, Media & Gender Lucia Grenna, Worldbank Cees Hamelink, University of Amsterdam Alan Hancock (UK)Tom Hogan, Macquarie University

Robert Hornik, Annenberg School, Philadelphia Jean-Pierre Ilboudo, FAO Abdul Waheed Khan, UNESCO David Lazarus, UNESCAP Paul Lee, Chinese University of Hong KongPhilip Lee, WACC Jose Marquez de Melo, USP/UMESP, Sao Paulo Emile McAnany, Santa Clara University Daniel Mato, Universidad Central de VenezuelaAndrew Moemeka, Central Connecticut State University Daniel Prieto Castillo, Universidad Nactional de Cuyo Nora C. Quebral, College of Development Communication Mina Ramirez, Asian Social Institute Brian Shoesmith, Edith Cowan Univeristy Louis Tabing, Tambuli Project Victor van Oeyen, ALER Georgette Wang, Hong Kong Baptist University Robert White, Gregorian University

COMMUNICATION FOR DEVELOPMENT AND SOCIAL CHANGEIssue: Volume 2 Number 4, 2008 ISSN: 1555-8711Frequency: QuarterlyPublication office: Hampton Press, Inc., 23 Broadway, Cresskill, NJ 07626

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Where Social Change Scholarship and Practice Went Wrong?Might Complexity Science Provide a Way Out of this Mess?

A RV I N D S I N G H A L

HERE I ARGUE THAT social change scholarship and practice has gone horri-bly wrong. Simply put, we stand on a ground that is shaky—fraught with faulty assumptions. We have been climbing a ladder (or ladders), steadily reinforcing its wobbly foundation, not questioning the need to climb.

Am I purporting to be holier than thou? No. I have been complicit in this enterprise, not questioning enough, perpetuating a misguided way of thinking, inadvertent as it may seem.

How did we get into this mess? Is there a way out? Here I present my thoughts, tempered by the thoughts of others,1 striving for a thesis and an antithesis, and perhaps some synthesis.

1

Arvind Singhal is Samuel Shirley and Edna Holt Marston Endowed Professor of Communication, and Senior Research Fellow, Sam Donaldson Center for Communication Studies, University of Texas, El Paso. In 2007, he was inducted as a member of the Board of Trustees of the Plexus Institute in Allentown, New Jersey, whose mission it is to use the principles of complexity science for enhancing the quality of life of people, organiza-tions, and societies. He is author of several complexity-in-action case studies including The Practice of Medicine is in the Interactions; Which Nursing Home Would You Put Your Mother In?; Trust is the Lubricant of Organizational Life; and When the Task is Accomplished, Can We Say we Did it Ourselves? These are available at http://www.plexusinstitute.org/ser-vices/stories/index.cfm. Three of Singhal’s books have won competitive awards: Combating AIDS: Communication Strategies in Action (Sage, 2003) and Entertainment-Education: A Communication Strategy for Social Change (Lawrence Erlbaum, 1999) received the National Communication Association’s Applied Communication Division’s Distinguished Book Award for 2004 and 2000, respectively, and India’s Communication Revolution: From Bullock Carts to Cyber Marts received the CHOICE 2002 Outstanding Academic Title Award. Email: [email protected]

1I am grateful to Everett M, Rogers (late), Curt Lindberg, Henri Lipmanowicz, Reuben McDaniel, Jr., Ruth Anderson, Jerry and Monique Sternin, Jon Lloyd, Virginia Lacayo, Karen Greiner, and several others who intro-duced me to the science of complexity and sharpened my understanding of the subject.

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S I N G H A L : W H E R E S O C I A L C H A N G E S C H O L A R S H I P A N D P R A C T I C E W E N T W R O N G ?

Social scientists and practitioners are for the most part trained erroneously in believing that social change phenomena can be predicted, controlled, and

achieved in linear steps and often with a high degree of certainty (Papa, Singhal, & Papa, 2006; Servaes, 2007). This problematic prevailing mind-set—“if we do this to people, they will behave in this way”—is a result of the overwhelming dominance of Newtonian thinking that spilled over to social science and was rei-fied over decades without much questioning.

Why did this happen? The mechanistic principles, wrapped in the three Newtonian laws, operated so brilliantly in creating predictable machines that we mistakenly began to believe that social and organizational systems could be built and manipulated like machines—with rigid hierarchies and interchangeable parts (Zimmerman, Lindberg, & Plsek, 1998). The march of science with the Industrial Revolution in tow etched the prescriptive “machine” metaphor indel-ibly. The derived implication was that social and living systems should be viewed as machines, designed as blueprints, implemented with precision, and outputs could be predicted, controlled, and measured (rather “counted”). When social systems did not behave in such predictable ways, the blueprint was re-engineered, the parts interchanged, the supervision enhanced, and stricter measures of quality control implemented. In essence, the “machine” was tweaked, greased, cleaned, and even rested, before it was put in use again, full throttle.

To question this prevailing machine metaphor meant turning upside down the “Holy Grail” of science (who would want to do that?) and inviting derision and condescension about being “soft” on the subject and not being scientific enough (God forbid). As a result, the premise that the thoughts and actions of human beings could be predicted, controlled, and measured in the same way as a machine, a clock, or the trajectory of an intercontinental ballistic missile, faulty as it was, dominated the mainstream discourse, overlooking, silencing, or downright reject-ing other ways of framing the world.

* * *The social change enterprise needs a framework that debunks the mechanistic

and “machine” view of a social system, recognizing that living beings cannot be controlled, manipulated, predicted, and/or replaced at free will. They cannot be hierarchically arranged as machine parts and work like clockwork, devoid of feel-ings, aspirations, and motivations. Needed is a framework that can simultaneously explain the certainty and uncertainty associated with outcomes, as also the agree-ment and disagreement about how those outcomes could be achieved. Needed is a framework in which outcomes can be conceptualized as being dynamic and emergent and in which serendipity, self-organizing, and surprise is valued, and not dismissed as anomaly. Needed is a framework that can account for both


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C O M M U N I C A T I O N F O R D E V E L O P M E N T A N D S O C I A L C H A N G E

linearity as well as nonlinearity—that is, why small inputs in a social system can yield surprisingly big outcomes and why often big, expensive interventions yield small, dismal outcomes. Needed is a framework that can account for the simul-taneous order and disorder in a system, as well as the co-existence of paradoxes and contradictions.

* * *One framework that can be helpful in seeing the social world in all its glorious

complexity is commonly referred to as “complexity science.” I discovered this framework through serendipity some years ago, although I later learned that Nobel laureates and MacArthur “geniuses” such as Murray Gell-Mann in physics, Ilya Prigogine in chemistry, and the late Herbert Simon in psychology have been writing about it for decades (www.plexusinstitute.org).

How did I learn about complexity science? In June 2004, while co- facilitating a three-day workshop on HIV/AIDS prevention, care, and support at Princeton University, my paths crossed—for the first time—with Professor Brenda Zimmerman of the Schulich School of Business, York University, Toronto, Canada. In the late afternoon of the first day, Brenda, a scholar of complexity and organi-zational change, said something that blew my socks off. She noted that HIV/AIDS was a complex social problem but, unfortunately, most interventions to combat it treated HIV as if it were a simple, or at best, a complicated problem.

At that time, I did not know much about “complexity science” but Brenda’s remark resonated with my own experiences. A year earlier, I had co-authored a book with Professor Everett M. Rogers titled Combating AIDS: Communication Strategies in Action (2003) in which we emphasized the sociocultural and political-economic complexities of HIV/AIDS, and pointed to the inadequacies of the dominant biomedical model in addressing this pandemic. However, not entirely clear about the distinctions that Brenda was making between simple, complicated, and complex systemic problems, I requested her to say more.

Brenda noted that the recipe for tomato soup was an example of a simple system. One could bring the various ingredients together in such a way that one could be quite certain about what the result would be. In essence, by mixing a few things together (or having certain agents interact in a certain manner), one could predict with almost 99% certainty (or more) what the systemic outcome would be.

Complicated systems are multiple simple systems strung together, but still characterized by a very high degree of certainty about the systemic outcomes. An example of a complicated system would be building an airplane with the help of blueprint (that is, the recipe to make an airplane). Brenda used the example of sending a rocket to the moon and bringing it back to illustrate a complicated system. In this case, too, there is a very high degree of agreement about what


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to do, and a high degree of certainty (predictability) about what the outcomes will be.

However, most social problems, Brenda argued, were complex systemic prob-lems. For instance, what is the “recipe” for raising a child? There was silence in the room.

I gasped: It seemed the hot air of formulaic “certainty” that I was trained in as a social scientist (that is, rejecting a null hypothesis about the relationship between two variables underlying a social phenomenon with the confidence level p < 0.05 or p < 0.01) left me, escaping into thin air.

As our discussions moved forward, I increasingly realized: Although most social problems were complex; social scientists approached them as being simple or compli-cated ones. That is where social change scholarship and practice had fundamentally gone wrong.

* * *So what is complexity science? Succinctly put, complexity science is a discipline

that provides new insights into how social systems self-organize, evolve, and adapt as a result of interactions among its constituent elements. Complexity sci-ence debunks highly planned cause-effect approaches to social change, especially paying attention to the quality of interactions, mutual causality, nonlinearity, outli-ers, and contradictions (Lacayo Criquillion, 2006; Papa, Singhal, & Papa, 2006; Zimmerman, Lindberg, & Plsek, 1998).

For those interested in further study of complexity science, a short bibliography is provided. However, for starters, some complexity-inspired statements are pre-sented here along with reflections on the implications they hold for social change scholars and practitioners (www.plexusinstitute.org/About/New_to_Complexity.cfm):

1. Order (or disorder) flows in a system and emerges as a result of interactions among the constituent parts, not from central control.

The social change implication of this premise is that leaders, change agents, and facilitators must help create conditions that unleash the talent distributed among people. The leader is more a cultivator and weaver, less of a controller.

2. When the quality of the interactions among agents is enhanced, the adapt-ability and creativity of the agents and the system are also enhanced. Further, the diversity of agents in the system further enhances the system’s adaptability and creativity.

The social change implication of this premise is that leaders, change agents, and facilitators must place a very high value on developing and strengthening personal relationships between and among themselves, interested others, and cli-ents. Relationship-centered practices such as openness, diversity, integrity, and


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authenticity deeply influence how the system’s constituent elements coalesce and self-organize.

3. Small changes in system inputs can produce big ripple effects. This occurs because the web of connections among the interacting parts can cause changes to ripple throughout the system. For example, an extra grain of sand can cause an avalanche in a sand pile. Rosa Parks’ refusal to give up her seat on a segregated bus, for instance, led to cascading events culminating in the granting of civil rights to black Americans.

The social change implication of this nonlinear premise is that big problems do not necessarily need big solutions. For instance, in 2002–2003 the Indian state of Bihar was the site of a radio soap opera broadcast called Taru, designed to pro-mote gender equality (Singhal, Sharma, Papa, & Witte, 2004). In one episode, the feminist protagonist, Taru, arranges with a village family to celebrate the birthday of one of the little girls. In reality, girls’ birthdays are traditionally not celebrated in rural Bihar; whereas a boy’s birthday calls for ritualistic ceremony. However, after this particular episode was broadcast, several villages in Bihar reported the celebration of girls’ birthdays (Singhal, Rao, & Pant, 2006). Also, once a girl’s birthday was celebrated, many other girls in the same village (who attended the birthday party) demanded that their birthdays be celebrated as well. One may ask: Is this just a new fad, complete with cakes, balloons, and sweets? Or is it more? If girls in today’s rural Bihar demand that their birthdays be celebrated on a par with boys, are they not likely to demand someday that they also ride the bicycle, or go to school, as their brothers do? Where will this stop?

* * *Complexity science is not a prescription, mantra, or religion. Nor is it dogma.

It is a growing field of scholarship and practice, not tied up in mechanistic knots of cause-effect and prediction-control equations. Complexity science val-ues human agency, especially in enacting society through interactions, good and bad, productive and interactive. Complexity science is not too concerned about unknowns and messiness; it knows that they are an integral part of the social change enterprise.

References and Suggested ReadingsLacayo Criquillion, V. (2006). Approaching social change as a complex problem in a world

that treats it as a complicated one: The case of Puntos de Encuentro, Nicaragua. MA Thesis. Athens, OH: Communication and Development Studies Program.

Papa, M. J., Singhal, A., & Papa, W. H. (2006). Organizing for social change. Newbury Park, CA: Sage.

Servaes, J. (2007). Harnessing the UN system into a common approach on communication for development. International Communication Gazette, 69(6), 483–507.


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Singhal, A., & Rogers, E. M. (2003). Combatting AIDS: Communication strategies in action. Newbury Park, CA: Sage.

Singhal, A., Rao, N., & Pant, S. (2006). Entertainment-education and possibilities for sec-ond-order social change. Journal of Creative Communications 1(3), 267–283.

Singhal, A., Sharma, D., Papa, M. J., & Witte, K. (2004). Air cover and ground mobili-zation: Integrating entertainment-education broadcasts with community listening and service delivery in India. In A. Singhal, M. Cody, E. M. Rogers, & M. Sabido (Eds.), Entertainment-education and social change: History, research, and practice (pp. 351–374). Mahwah, NJ: Erlbaum.

Zimmerman, B., Lindberg, C., & Plsek, P. (1998). Edgeware: Lessons from complexity science for health care leaders. Dallas: VHA.


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Does China Have Alternative Modernity?An Examination of Chinese Modernization Discourse

P I - C H U N C H A N G

THIS STUDY PRESENTS A comparative study of how the West perceives non-Western modernization, and how China asserts its allegedly particular one both at the official and the popular level. This comparison will show that in the West’s eyes the backwardness of Chinese modernization in the past was tied to cultural reasons and the progress of Chinese modernization in the present has also been attributed to cultural traditions. From the Chinese perspective, they believe their cultural and historical background has buttressed their rising suc-cess, thus paving a different path of modernization from the Western norm. As Chinese official discourse and popular discourse overlap to a certain degree, both “socialism with Chinese characteristics” and “saying no to the West” underlie the uniqueness of Chinese modernization, modernity, and develop-ment in terms of cultural differences. The emphasis on a Chinese alternative on the basis of local knowledge, culture, and perspective, however, resonates the culturalist binarism it attempts to oppose.

Key words: modernization, non-Western development, culture, orientalism, China

Frequently, the term “modernity” is used without the need to specify a global location, because it is understood that it implies the West or a universal stan-

dard (Lash & Friedman, 1992). Because modernization has long been considered Western and originally rooted in the European Enlightenment, the term “modern-ization” has acquired a kind of hegemonic cultural value in the West. As “mod-ernization” and “development” are often closely associated, the terms attached to them are produced within and by a particular context, that of the so-called West, generating a particular discourse about them. As such, many non-Western coun-tries have challenged the “normative” status of Western modernity and advocated a different view and a particular path of modernization, characterized by local needs and cultural traits. Yet how has culture come to play an important role in

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Pi-Chun Chang is an Assistant Professor in the Department of Communication at the Nan Hua University in Chiayi, Taiwan, R.O.C. Email: [email protected]

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C H A N G : D O E S C H I N A H A V E A L T E R N A T I V E M O D E R N I T Y ?

the notion of “modernization”? This paper presents a comparative study of how the West understands non-Western modernization in a dichotomous way, includ-ing Chinese modernization, and how China asserts its own ideas at the official as well as at the popular/nationalist level.

When it comes to a discussion of culture and its relation to modernization, one of the most noted Western scholars is Max Weber. Weber believes that culture shapes economic behavior and that it was the emergence of the Protestant Ethic that facilitated the rise of capitalism. In his The Sociology of Religion, Weber blames the lack of rationality for the failure of Chinese society to develop capital-ism (1963). Thus, the uniqueness of the West and the deficiencies of the Orient presents a sharp contrast to the assumption that culture is something that mod-ernization discourse acts upon. The modernization theory of the 1950s and 1960s reinforces Weber’s theory that culture shapes economic and political life. Based on the assumption that culture and development/modernization are intimately con-nected, modernization studies distinguish traditional culture from what is modern. As Dean Tipps (1973) observes, the conceptual framework of modernization theory is a dichotomous approach, which is based on the ideal-typical contrast between the attributes of tradition and modernity (p. 204).

This framework for the study of culture and its interaction with development has opened up in new ways the question of what is meant by development and in whose interests it operates. Focusing on representation, power, and development, a number of scholars have now convincingly demonstrated how “development” operates as a discourse of power/knowledge within which the global relationships between the so-called “First” and “Third” Worlds are constructed. In this vein, Arturo Escobar (1995) presents what he terms, “postdevelopment” to describe “the unmaking of the Third World”—that is, the failure of development to com-plete the Enlightenment in Asia, Africa, and Latin America. For him, postdevel-opment means resistance to modernization, and he points to the evidence of the proliferation of hybrid cultures and social movements with alternative visions not dominated by the logics of capital and instrumental reason (pp. 212–216).

As Escobar, among others, have deconstructed development as both discourse and process, modernization theory has not been deadened by attacks of decon-structionist criticism. Instead, it has been revived in Samuel Huntington’s (1996) thesis, Clash of Civilizations. The clash of civilizations is a postmodernization theory that sees not a homogenization of different civilizations in the process of modernization, but rather divergences and potential conflicts caused by profound cultural differences (pp. 26–30). Huntington claims that Western values are absent in Asia, where societies are fundamentally shaped by “indigenous values.”

In Asia, Huntington’s thesis has stimulated responses from officials and state elites who refuse to be contained by the West’s framework of understanding emer-


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gent nations in the Asian Pacific. In this respect, Chinese nationalist officials and elites do not simply write off the traditions of their countries as outmoded. They feel the need to search for their own cultural roots and to reaffirm indigenous cul-tural practices and traditions. Their response echoes Frantz Fanon’s (1967) analysis of the urge of Third World intellectuals to romanticize the national spirit beneath the misery of colonial domination to reclaim their self-determining identity and to raise a counter-discourse to dominant power/knowledge. However, the dichotomy between the traditional and the modern and the theme of Orientalism are also evident in Chinese official discourse and in the expressions of the public. It is in this respect that their view of Chinese modernity, modernization, and develop-ment deserve examination.

This article presents a comparative study of how the West perceives non-Western modernization and how China asserts its allegedly particular one both at the official and the popular level. This comparison will show that in the West’s eyes the backwardness of Chinese modernization in the past was tied to cultural reasons, and the progress of Chinese modernization in the present has also been attributed to cultural traditions. From the Chinese perspective, they believe their cultural and historical background has buttressed their rising success, thus paving a different path of modernization from the Western norm. To achieve this goal, this study is mainly divided into two parts. It firstly explores the various strands of the modernization school that dominated development thinking in the 1950s and 1960s, showing that culture is, explicitly and implicitly, central to the ways in which modernity is conceived of as an outcome of the development process. Although the modernization school focused on various non-Western regions, their theorization still sheds significant light on how the West understands the relation-ship between Chinese culture and modernization. This study then discusses how Escobar deconstructs development as both discourse and process. Furthermore, it examines the way modernization studies experienced a revival embodied in the works of two American political scientists, Francis Fukuyama and Samuel Huntington, whose common assumption is that culture is acted upon by the forces of modernization. The second part of this study examines Chinese discourse of modernization at the official and the popular level, as the former still has invisible and formidable influence on the latter. Finally, it concludes with Jonathan Rigg’s interrogation of what “the local” means and suggests that Chinese alternative discourse is a kind of politics of identity that continues a culturalist binarism.

Modernization TheoryModernization theories are the most widespread and persistent theories regarding

development. These theories dominated development thinking in the 1950s and 1960s and should be seen as one principal expression of a long-standing Western


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concern with progress. As Tipps notes, the origins of modernization theory can be traced to the response of American political elites and intellectuals in the period after World War II to the international setting of the Cold War and the simultaneous emergence of Third World societies (1973, p. 200). Similarly, Alvin So (1990) points out that the modernization school was the historical product of the disintegration of the European colonial empires after World War II, the rise of the United States as a superpower, and the growing influence of the commu-nist movement on world politics (1990, p. 17). Modernization theories have been so pervasive that it is difficult to separate the idea of modernization from that of development, which in turn is linked to notions of capitalism and economic growth (Roxborough, 1988). Given the dichotomous framework in the concepts of development and modernization, backwardness, stagnation, and above all, tra-dition, are often perceived as the opposites of modernization. Accordingly, mod-ernization theorists argue that a change of cultural tradition must take place in underdeveloped societies in order to break the vicious cycle of poverty, ignorance, and low productivity. Not only the economy has to be transformed, but also the education system and the ways of thinking, acting, and living.

As modernization involves a process of economic and social change, culture is regarded as the key element by which this can be achieved. One influential study was Talcott Parsons’s formulation of five sets of pattern variables that provide a simple binary model. As Tipps says, “modernization theorists have done little more than to summarize with the assistance of Parsons’s pattern variables” (1973, p. 204). So also observes that “[p]attern variables are the key social relations that are enduring, recurring, and embedded in the cultural system—the highest and the most important system in Parsons’s theoretical framework” (1990, p. 21).

American sociologist Daniel Lerner’s study of the small village of Balgat, located on the outskirts of Ankara in Turkey, shows how Parsons’s pattern variables were used to make sense of the rapid pace of change in the 1950s. In Lerner’s parable of the grocer and the chief, the two villagers in Balgat have come to represent modernity and tradition respectively. The chief represents the values of tradition: obedience, loyalty, and courage, whereas the grocer represents modern aspirations, such as traveling to the city, moving to America, and becoming rich. The village chief is described as austere but content with his life and his worldview. When Balgat had become integrated into the rapidly expanding city of Ankara four years later, Lerner found that the grocer had died, but the chief’s sons had both become shopkeepers. After asking a number of villagers about their opinions of the grocer, Lerner found that the grocer was regarded as a prophet, or the clev-erest man among the villagers. He concluded that the villagers had recognized modernization as their new religion. Lerner focuses on the differences between the “traditional worldview” of the village chief and the modern values and aspira-


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tions of his sons. Whereas tradition involves passing down from one generation to the next property, knowledge, skills, and values, modernization disrupts and revolutionizes knowledge, values, and social relations. As Lerner puts it, modern-ization “spells the passing of traditional society and defines the policy planning of social change” (1958, p. 388). Modernization and tradition cannot coexist, in this view, and any nostalgia for the “good old days” is more than compensated for by modernization’s promises of a better, more enlightened life.

Whereas Lerner draws his case from the Middle East, Gunnar Myrdal wrote about the comprehensive “modernization ideals,” representing one of the most influential modernization studies of South Asia. He argues that although these ideals stem from the Western world during colonial times, they have become “the official creed” or “almost a national religion” even before independence. He also points out that they are “composed mainly of the ideals long cherished in the Western world as the heritage of the Enlightenment” (1968, p. 55). For mod-ernization ideas to be institutionalized, Myrdal indicates that the attitude toward change is important. A positive attitude to change would lead to the creation of the “new man,” “the modern man,” “the citizen of the new state,” or “the man in the era of science.” Such an attitude requires “liberation from reliance on static customs . . . from superstitious beliefs and prejudices.” (1968, p. 61). By implica-tion, Myrdal’s modernization ideals require leaving behind traditions.

As the differences between modern and traditional societies have been explained in terms of cultural traits, some theorists view modern patterns of social relations as a “universal social solvent” (So, 1990, p. 34) that dissolves the traditional traits of Third World societies through increasing contact with the West in order for mod-ernization to occur. Marion Levy, for example, writes, “once the penetration has begun, the previous indigenous patterns always change; and they always change in the direction of some of the patterns of the relatively modernized society” (1967, p. 190). Levy makes clear that modernization is an irreversible process, and one of homogenizing to the West. His image of the “universal solvent” assumes a superiority of Western cultural norms of rationality compared with Third World cultural norms of tradition.

On the other hand, Walt Whitman Rostow (1971) provides an important con-tribution to modernization theory from the perspective of economic development, increasing productivity of labor, and rising living standards. He described in his book, The Stages of Economic Growth: A Non-Communist Manifesto, that all soci-eties have to go through five stages of development, from a primitive, traditional stage to a stage of high mass consumption. He premises his idea of economic growth on a linear concept of progress, which is drawn from European evolu-tionary theory. Building upon such a premise, industrialization, which is the most salient trait of a modern society, can be traced back through European history.


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Rostow thus considers industrialization as a part of Western civilization, and modernization as a “phased” process is heralded by the European Enlightenment (see So, 1990, p. 33).

Samuel Huntington (1971), one of the leading proponents of modernization theory, points out that the concepts of modernity and tradition were central to postwar modernization theory. He writes: “These categories were, of course, the latest manifestations of a Great Dichotomy between more primitive and more advanced societies which has been a common feature of Western social thought for the past one hundred years” (p. 285).

In general, culture plays a central role in modernization theories by distinguish-ing modern societies from traditional ones. The traditional/modern dichotomy is derived from the assumption that “culture” is a discrete, bounded entity. Such a dichotomy is implicated in the notion of hierarchy, where the modern is better, and the traditional is no longer respected. Due to cultural factors, the non-West or Third World is implicitly devoid of any stimuli of change, given the static, feudal quality ascribed to these societies. As a consequence, assistance from more advanced societies, particularly from the modern West, may be necessary. Hence, “development” or “modernization” in this context inevitably means the pro-cess of Westernization. Modernization is thus a one-way movement (Shih, 2001, p. 2). “Traditional cultures” are variously seen as barriers to the achievement of modernity. However, this depiction of culture as traditional, stagnant, and inferior ignores the dynamic forces of cultural interaction among different groups domesti-cally and among different societies internationally.

Postdevelopment as a Deconstruction of DevelopmentAs the modernization studies implies that “the cultural” functions as practices

and processes intrinsic to all social relations and structures, power and differ-ence unquestionably lie at the heart of the definition of culture. In this sense, Michel Foucault’s concepts of discourse and power/knowledge, along with repre-sentation, have been adopted by a number of scholars who want to demonstrate how “development” operates as a discourse of power/knowledge within which the global relationships between the so-called First and Third Worlds are constructed. Arturo Escobar’s influential book, Encountering Development: The Making and Unmaking of the Third World (1995), is the most comprehensive exposition of this perspective to date. Unlike earlier critiques of modernization theory, such as dependency theory, Escobar’s perspective does not see the answer in some alter-native form of development—a “socialist” or “nationalist” path of development. Rather, he searches for a “postdevelopment” discourse that will emerge outside of and in resistance to Western modernity.

Escobar delineates how “poverty has been applied as a defining feature of the “Third World” in the post–World War II period, a case of the representational


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power of a development discourse (1995, p. 22). Such a definition of “poverty” has resulted in marking the materially “rich” West as the desirable endpoint, and depicting those regions of the world not achieving this prosperity as deficient and requiring “development.” In this sense, the “Third World” is an invention of a Western discourse of development, defined by what it lacks—a material abundance—rather than by how the value systems of those societies define what is well-being. As Escobar makes clear: “Development was—and continues to be for the most part—a top-down, ethnocentric, and technocratic approach, which treated people and cultures as abstract concepts, statistical figures to be moved up and down in the charts of ‘progress’ ” (1995, p. 44).

End of History and Clashes of CulturesAlthough modernization studies encountered various attacks from different

perspectives, especially those from neo-Marxist and dependency theories, it appears to have experienced a resurgence in recent years (Roxborough, 1988, p. 753). The works of Francis Fukuyama and Samuel Huntington, although they take opposite positions in the debate over the universality of Western culture, embody this revival. In an article in 1989, Fukuyama argued that as the Soviet empire collapsed, we were witnessing not only the end of a historical period—that of the Cold War—but the end of history:

At the core of my argument is the observation that a remarkable consensus has developed in the world concerning the legitimacy and viability of liberal democracy. In order to refute my hypothesis it is not sufficient to suggest that the future holds in store large and momentous events. One would have to show that these events were driven by a systematic idea of political and social justice that claimed to supersede liberalism. (Fukuyama, 1990, p. 10)

For Fukuyama, the end of the Cold War means that liberal democracy outlasts authoritarian, and communist or fascist routes to modernity are doomed to fail. In the context of rapidly increasing economic wealth, welfare states were created, levels of consumption were expanded, and social mobility was increased. The fall out of the First World War meant that authoritarian monarchies were abandoned. The Second World War destroyed fascist politics in Europe and brought the prospect of authoritarian socialism in the East. The Cold War saw off the com-munist route to modernity, and only liberal democracy was left standing. The capitalist development thus seems both a long-term structural cause of democ-ratization and a central feature of its consolidation. Echoing the modernization studies of the 1950s and 1960s, most societies have come to the consensus that liberal democracy and free markets are “the best of the available alternative ways of organizing human societies” (Fukuyama, 1995, p. 29). He contends that the process of economic modernization is universal because the aspiration to become


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more advanced is universal humanity. “The only parts of humanity not aspiring to economic modernization are a few isolated tribes in the jungles of Brazil and Papua New Guinea, and they don’t aspire to it because they don’t know about it” (1995, p. 32). Thus, as in Levy’s (1967) and Lerner’s (1958) studies, Fukuyama believes that embracing of modernization in the Third World societies is irresistible and inevitable, for modernization provides them a vision of promising future.

Fukuyama’s claim, based on the belief in modernization and liberalism, is anoth-er way of saying that the process of Westernization must soon lead to the triumph of Euro-American technology and values everywhere. Samuel Huntington, how-ever, warns against “end of history” optimism with his analysis of civilizational differences in contemporary world politics. In his book The Clash of Civilizations (1996), he offers a theoretical approach to what has happened since the end of the Cold War and what will happen in the future. The division of the world into capitalist and communist blocs, which prevailed during the Cold War, no longer exists. He insists that the differences between civilizations will come to the fore now that the Cold War’s ideological bipolarity has disappeared. The civilization, not the nation-state, race, class, or gender, is the most fundamental unit of human interaction over the long run. For Huntington, civilization is “the broadest level of cultural identity people have” that is defined both by common objective ele-ments, such as language, history, religion, customs, and institutions, and by the subjective self-identification of people (1996, p. 24). A civilization may consist of several nation-states (for example, Western, Latin American, Arabic, Islamic, and Confucian civilizations) or only one (Japan). “Torn civilizations” are a blend of different cultural and religious traditions, for example, the “Eurasian” countries of Turkey and Russia, with their mix of Western, Orthodox, and Islamic traditions (1996, pp. 29–30).

Against Fukuyama’s thesis of the universality of Western liberalism, Huntington posits a very different view of the relationship between modernization and Westernization and the prospect of a universal civilization. In the early 1970s he had pointed out that modernization studies such as Lerner’s (1958) often failed to distinguish “modern” from “Western,” and had argued that “to a non-modern, non-Western society, the processes of modernization and Westernization may appear to be very different indeed” (1971, p. 295).

In contrast to Fukuyama’s universal civilization, Huntington sees several dis-tinctive civilizations coexisting on the planet: “for the first time in history, global politics has become multipolar and multicivilizational” (1996, p. 21). Although Fukuyama may be correct in his assumption that communism is no longer viable, he has overlooked the fact that there are still many forms of rule that are different from liberal democracy, including several religious alternatives. Thus, Huntington argues that after the collapse of communism, “[t]he more fundamental divisions


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of humanity in terms of ethnicity, religions, and civilizations remain and spawn new conflicts” (1996, pp. 66–67). From the ethnic religious conflict in the Balkans to the prospects for expansion of NATO, European resistance to Muslim immi-grants, the congeries of Sino-American disputes, and the widespread resistance to Western universals, such as human rights, free trade, women’s rights, and environmentalism, Huntington’s theory seems to be a better explanation of the new world (dis)order than modernization theories. For Huntington, the great enterprise of non-Western peoples in the present age is to modernize while at the same time preserving the distinctive cultural heritages that define them against the rest of the human race.

The works of Fukuyama and Huntington are often discussed together due to their close relationship with modernization theories, although these two American political scientists differ in their views on the links between modernization and Westernization. Whereas Fukuyama argues that modernization is seen as univer-sally desirable and that the majority of the world’s societies are now embracing the twin objectives of capitalism and liberalism, Huntington distinguishes moderniza-tion from Westernization, a value-laden process against which Muslims, Asians, Russians, and perhaps Africans increasingly rebel.

The above analysis shows that many modernization studies have explicit argu-ments about culture and its relation with social and economic development. Many modernization theorists argue that the cultural traditions of non-Western societies must change due to the impact of development, and development itself is con-ceived in terms of a universal modernity that is defined and rooted in European Enlightenment. Although the modernization school was attacked for its ethno-centrism in the era of decolonization, Fukuyama has revived its strength with his “end of history” theory. Huntington differs from Fukuyama on the assumption of whether modernization belongs exclusively to Western civilization, yet they have one thing in common. Both follow in the previous modernization theorists’ footsteps in perceiving culture as a bounded and coherent entity, which is acted upon by the forces of modernization.

Chinese Official Discourse of ModernizationSamuel Huntington’s thesis of “clash-of-civilizations” declares that the dominant

post–Cold War conflicts will be neither ideological nor economic but cultural. In Asia, Huntington’s thesis has stimulated responses from members of the politi-cal elite who are both influenced and frustrated by the West’s attempts to under-stand emergent nations in the Asian Pacific, and has coincided with East Asia’s high and enduring economic growth performance. Because East Asia presents a challenge to Western theories of modernization, Westernization and development in many ways, some analysts, echoing Huntington’s thesis, have turned to culture,


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in particular to those cultural features of Chinese societies that are shaped by Confucian ideas. For example, Singapore’s Lee Kuan-Yew and Malaysia’s Mahathir have applied the Confucian cultural features to the whole of Asia in the concept of “Asian values.” Such cultural discourse on development and modernization thus later inspired Chinese officials and political elites.

To understand Chinese modernity in terms of the inspiration from Southeast Asian leaders, however, is insufficient. One also needs to trace the history of Chinese modernization discourse in order to see how “culture” has come to represent China’s alternative and superior value for modernization. This will be explored at both the official and the popular levels, because official discourse more often than not has a formidable impact on social life in China.

During Mao’s era (1949–1976), the state sought political liberation from Western domination through autonomous development. Mao’s vision of modernity was closely connected with his revolutionary ideology to renounce the capitalist world economy. In doing so, Mao increasingly subscribed to an ideological and cultural determinism with an attempt to reject economic development. As Liu Kang says, Mao’s modernity “was an attempt at an alternative modernity, a modernity that transcends capitalist modernity and its Eurocentric assumptions of historical tele-ology and economic determinism” (2004, p. 49). On the one hand, intellectuals in Mao’s period stressed the development of science and technology to strengthen the Chinese socialist economy. On the other hand, they attacked what was constructed as Chinese tradition—Confucianism, which came to represent feudalism and the customs of the past. Such an attack was manifested by the Great Proletarian Cultural Revolution of the 1960s, during which intellectuals criticized China’s past “feudalism.” There were slogans and campaigns that aimed to “do away with the ‘four olds’ and cultivate the ‘four news,’ ” which meant old ideas, old culture, old customs, and old habits had to be replaced by socialist ideology for China to attain its socialist modernity” (Yang, 1989, p. 39). These narratives of Chinese modernity were modified when Deng Xiaoping came to power (1976–1996), as elements that were formerly vilified became revered by elites bent on defining Chinese modernity in cultural, and not merely socialist, terms.

Whereas Mao’s (alternative) modernity tried to elevate ideology and culture to the status of economy, from 1979 Deng embarked on economic development as the goal of modernization. One example of Deng’s determination to launch economic reform to modernize China, yet sustain socialism along Mao’s lines, is the commemorative paper, written by the Office of Archives and Research of the Chinese Communist Party (CCP) Central Committee (see Liu, 2004, p. 56). The second section of this article begins with interrogating the definition of socialism. Particularly, the “essence of socialism,” quoted in Deng’s own words, is, “to liberate productivity and develop productivity, to eliminate exploitation and reduce social dichotomies, and finally to achieve prosperity for all” (p. 56). Deng


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believes that “the key to resolve all the questions in China is its own develop-ment” and such belief is predicated on the marriage of socialism and a market economy. Thus the new phrase “socialism with Chinese characteristics” emerged in Deng’s era, which signaled the Sinicization of the modernization project and promoted national autonomy in rethinking development and China’s relation with the global economy. In other words, state control was not abandoned, but rather market forces were released as a way of strengthening the state. In a way, this is defined as developing the productive forces, raising the living standards of the people, and increasing national strength so that China, following the model of Asian capitalism, will become a developed country.

After Deng’s death, the CCP under Jiang Zemin still tried to follow and main-tain Deng’s legacy. The current leadership is taking much bolder steps at priva-tizing state-owned enterprises, promoting a free market, and further opening up China’s economy to multinational capitalism. Yet the rapid economic growth has not changed the leadership’s conservative attitude toward the political environ-ment. With such a mixture of a repressive political atmosphere and decentralized economic practices, Aihwa Ong defines the Chinese state strategy of engaging global capitalism as a kind of “authoritarian ‘Asian’ model of development,” which is a combination of “the developmentalist state, the disciplining of labor forces, the careful cultivation of transnational capital, the repression of human rights, and economic competition with the West” (1999, p. 38).

The increased Chinese integration with the global economy gives rise to an increasingly pluralistic society, even though the media and other ideologi-cal state apparatuses are still controlled by the CCP’s propaganda departments. Because official discourses are becoming nothing more than vacuous political rhetoric, which lie outside the people’s minds, some intellectual elites are reviving Confucianism to fill the ideological hole (Dirlik, 1995). The Confucian discourse is applied to the discussion of Chinese economic development and is used to legitimate the present regime and its policies. Confucianism, therefore, serves as “a single source for building a new culture” that relates Chinese cultural values to modernization. This revival and deployment also renews the cultural and ethnic connections between mainland and overseas Chinese, of whom the latter are viewed as the embodiment of a diffuse, enduring solidarity rooted in shared cultural traits (Ong, 1999). Such a discourse has gained the support of the public because it reflects a new Chinese confidence in seeking the roots of contemporary Chinese modernity while downplaying the hegemonic position of Western moder-nity. As such, narratives about Confucian culture produce a vision of modernity without challenging the official discourses.

Recently, the state government has advocated “peaceful development” and “har-monious society” in which Confucian values could lead all the people to benefit from and share in the economic growth and social development. The government


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officials emphasize the importance of turning to Confucian concept of “peace” and “harmony” for solutions to contemporary social problems, such as narrowing the gap between urban and rural development, making the wealth distribution fairer, aiding disadvantaged groups, further improving the socialist democratic and legal system and implementing principles of administering the country according to law (Burton, 2008). On the one hand, such an emphasis on Chinese culture in general has celebrated collectivism, orderliness, loyalty, and obedience as keys to maintain social stability. The implication is that Confucian respect for harmony and col-lectivism would prevent China from suffering a degeneration of morality, distrust of leadership, crimes, ethnic tensions, and economic stagnation, problems that exist notoriously in the United States and other Western countries. On the other hand, Confucianism or a broad sense of Chinese culture serves the function of attach-ing nationalist emotion to self/national identity. Yet the complexity of Chinese culture has been reduced to a series of labels, and the questions of authoritarian-ism at both the political and social levels have been covered up (Burton, 2008). Insofar as the official discourses are preserved to be public guidelines, we should always pay close attention to their social impact at the popular level. In the case of China, popular publications in the 1990s have become the best defenders of the developmentalist principles of the state.

Chinese Popular Discourse of Modernization and NationalismAs official discourses still retain dominance over the resources of cultural capital,

the general populace is, implicitly and explicitly, much influenced by the state and the state elites. The Chinese people, including highly educated intellectuals, tend to concur with the official position that the United States obstructs China’s path toward a stronger nation-state and is hostile to increased Chinese partici-pation in the global economy. This can be seen from the publication of a large number of books attacking the West by Chinese writers in the 1990s. Therefore, when Beijing failed to win its bid to host the 2000 Olympic Games and experi-enced repeated disputes with the United States over Most Favored Nation (MFN) trading status, its entry into the World Trade Organization and other issues, such as human rights, Taiwan, and Tibetan independence, these events disappointed many Chinese intellectuals and made them believe that Western countries, espe-cially the United States, regard China as a threat (Xu, 2001, p. 124; Zhao, 1997, p. 739). Huntington’s thesis of a “clash of civilization” only served to confirmed the suspicions of Chinese intellectuals (So, 2003).

Against the background that China has been viewed as an emerging threat due to its Confucian civilization, nationalistic writings appeared as a way to protest against neo-imperialism and the containment of China by the West, especially by the


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United States. The publication, Backgrounds of Demonizing China, for example, gained widespread popularity in early 1997 and stirred nationalistic sentiments among the public by revealing the so-called deliberate political bias of the American media against China (Liu & Li, 1996). The message it conveyed was that Chinese intellectuals ought to liberate themselves from “modern” Western thought patterns and acquire a new understanding of modern nationalism and nativism in a changing historical context and with deep self-reflexivity. Their assertion of cultural national-ism is argued against the dominance of Western culture in the age of globalization in which increasing international cultural exchanges threaten the cultures of devel-oping countries such as China. Through these exchanges and contacts, Western values and lifestyles are able to influence the social ethics of developing countries. In addition, various kinds of advanced communication technologies help to foster Western cultural hegemony as they disseminate Western values and lifestyles. The book therefore cautions against Chinese assimilation of the “Westernized mind set” both ideologically and psychologically (Zhao, 1997, pp. 735–736).

Another representative of the anti-imperialist ethos that emphasizes nationalism as a form of public opinion is the 1996 best-seller The China That Can Say No. The authors of this book were inspired by the book The Voice of Asia, which was published one year earlier by the Prime Minister of Malaysia Mahathir and the politician Shintaro Ishihara of Japan (Ong, 1999, p. 197). Ishihara, who is the author of The Japan That Can Say No (1991), wrote the first Asian book to protest against American-dominated trade policies. In their co-authored book, Mahathir and Ishihara publicly criticize Western “liberal” values, suggesting instead that Asian cultural values give rise to an Asian model of capitalism that is challenging Western domination in Asia.

The authors of The China That Can Say No believe their book represents the public opinion of the new generation who feel offended by how the imperialist West confronts and contains China. While concurring with the official standpoint, they rediscover the value of the Chinese cultural legacy to build a strong nation-state. There is a new awareness of the need to assert a more vivid sense of the collective identity of Chinese people. Their standpoint is that before the Chinese can say no to America, they have to say no to themselves, to their lack of spirit, and to their blind acceptance of Western values. They believe that China’s eco-nomic miracle proved that China was on a unique path of economic development. In response to the message that there was a Western conspiracy to contain China, the authors make some pertinent points about America’s China policy and point out its contradictions: “fearing China’s strength, but also fearing its weakness; fearing China’s wealth, but also fearing its poverty; fearing China’s stability, but also fearing its chaos” (Zhao, 1997, p. 741). Therefore, China should stand up and say no to the United States as a counter-hegemonic strategy to confront, resist, and challenge America.


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In a more militant tone, Shi Zhong (1996) insists that his own “normal national-ism” reflects genuine public opinion in China. In his view, normal nationalism is different from both nationalism in the West and national self-criticism in China, but represents struggles against the imperial West for China’s interest: “It is not compatible with China’s official theory, neither is it tolerated by the Western media and Chinese liberal intellectuals” (1996, p. 40). Shi was dissatisfied with the Chinese post–Cultural Revolution state policy of yielding too easily to the West and suppressing nationalist protests against the Western policy of containing China (1996, p. 33). Shi Zhong also rebuffs Huntington’s implication that China is a potential threat by arguing that there was no intention on the part of China to Confucianize the rest of the world, yet Western values are not transmitted to China without conspiracy. There are often instances that the transmission of these values involved economic and other forms of imperialism. According to Shi (1993), any cause of future conflicts is embedded in the collision of economic interests and the argument of civilization clashes is just a disguise for American imperial-ist pursuit of national interests. China is seen as a threat because its economic strength is growing.

In a similar vein, another best-seller, A Depiction of Trials of Strength between China and the United States, also stirs nationalist sentiments against American intervention in China by tracing Sino-U.S. relations from the Korean War in 1950–53 to the Taiwanese president’s visit to the United States in 1995 (Feng et al., 1996). The book tries to show that it was the United States that sought conflict with China over issues such as Taiwan, human rights, MFN status, and arms sales. With a self-determining attitude and a growing economic base, it claims that any containment effort from Washington would not prevail.

Although in most cases these books were written by intellectuals, they all became bestsellers. Because they gained unusual popularity, they may be taken as a reflection of the state of mind of many in the new generation. As Geremie Barme observes, “Since they were not produced by old-fashioned party hacks but by younger writers fluent in the style of populist prose, these works have also had an incalculable effect on shaping public opinion in urban centers, where they were eagerly greeted by their readers” (1999, p. 370).

A more recent example is the Tibetan uprising against Chinese rule that is breaking out as the Beijing Olympic Games in 2008 are approaching. The voices demanding “freedom and democracy” in Tibet have travelled along with the Olympic torch relay around the world. This event has fueled nationalistic sen-timents among Chinese. Many Chinese have expressed their support of the crackdown on riots in Tibet, condemning Western media for “biased reports” to demonize their country (“Commentary: Facts . . .,” 2008). They have even taken out their anger on Carrefour, a French supermarket chain, for protests against Olympic torch bearers in Paris and for France having raised the prospect of


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boycotting the Olympic opening ceremony. From a Chinese perspective, Chinese feel that this issue has damaged severely the image of China’s “peaceful develop-ment” and its “harmonious society” and that they face an ideological conflict with the West. In response, a pro-China, anti-Tibet and Western media nationalism has arisen. Such nationalist reactions arouse deep-rooted feeling of Chinese cultural superiority and resentment of perceived foreign effort to humiliate China.

The advocates of these nationalist discourses redefine the framework of dig-nity and self-esteem with their scope of freedom and resistance. Their call for cultural freedom and ideological resistance stems from their concern with the power relationship between the world’s “core” and “peripheral” cultures. Their emphasis on cultural autonomy is derived from a sense of cultural authenticity that leads them to articulate a new anti-imperialist and popular nationalist voice. The danger, as Xu Ben (2001) warns, is an antiliberal repression of the domestic environment that would be legitimated in the name of resistance to Western domination. As Xu writes, “Their [the advocates of popular nationalism] ethic of resistance is a very narrow nationalistic stipulation of liberation and freedom, an assertion of China’s uniqueness in relation to the West. . . . Such nativist critique of liberal-democratic intellectuals entails a frank endorsement of the authoritar-ian status quo and its political values in China” (2001, p. 135). In terms of local development and modernization, China is also framed in terms of deep cultural differences. When East-West difference is reinscribed in an oversimplified manner, is Orientalist discourse not invoked from the Chinese side?

ConclusionsDespite his discussion of different civilizations, Huntington’s taxonomy is evi-

dently based on the old “West-versus-East,” “us versus them” dichotomy, which depends on an assumption of the lack of historical dynamics in regions that are defined by the center as peripheral. As a discourse of power/knowledge, Huntington’s thesis returns to Said’s (1979, 1993) description of the nineteenth century legacy of Orientalist themes that stress difference and separation and ulti-mately create objects—“civilizations”—of knowledge and control (Turner, 1994, p. 46). The cultural essentialism and binarism of his theory, which opposes East and West, overlooks the political and economic factors that also define their dif-ferences and experiences.

Instead of incorporating the Enlightenment values, which are regarded as inherently Western, Chinese official and popular/nationalist discourses alike are reverting to old values, which appear not to have been modified, influenced, or changed by historical encounters with the West. Chinese narratives that identify Confucianism as the spiritual source of transforming China into a stronger nation and of protecting the Chinese people from being polluted by the inadequacy of Western values, are a case in point. Saying no to the West emphasizes Chinese


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particularity while deepening Huntington’s discourse of civilizational differences. The theme of cultural superiority and the making of a culturally oriented capi-talism as the emerging representation of Chinese modernity rejects the need to assimilate to the West in order to be modern. Domestically, this supports the offi-cial version of state nationalism by consenting that a centralized power structure must be strengthened in order to maintain social stability and economic develop-ment. Internationally, it also promotes cultural nationalism as an anti-Western movement by advocating a nativist value system. As such, cultural nationalism becomes the other side of Orientalist discourse.

The Chinese discourse of development and modernization in many ways echoes Escobar’s “postdevelopment” strategy. For Escobar, the post–World War II dis-cursive formation of development arises out of a Western context, whereas the current postdevelopment indicates a resistant Third-World autonomy, a kind of “saying no to the West.” Indeed, Escobar rightly points out how “development” as a discourse, set of institutions, and process, is implicated in the cultural effects of both globalization and colonialism. He also demonstrates how development discourse powerfully constructs the “Third World” as the object of development. Escobar argues for a “postdevelopment” discourse that would inform a different politics of global inequality, one that builds on and recognizes the diversity and intrinsic worth of the “local” and actively resists the hegemonic Western authority embedded in contemporary notions and the practice of development.

Escobar calls for indigenization of development. He stresses local knowledge and local action to deconstruct the hegemonic dominance of Western develop-ment discourse. However, Jonathan Rigg (1997) criticizes Escobar’s stress on local knowledge and local action for overlooking the experience of East and Southeast Asia, the regions of the world that most challenge development pessimism (pp. 278–279). He criticizes postdevelopment for failing to recognize the extent to which people in the developing world have welcomed modernization and defined their aspirations in terms of it (1997; Rigg, Allott, Harrison, & Kratz, 1999). Taking Southeast Asia as an example, he challenges contemporary thinking that often views modernization as a Eurocentric, insensitive approach to development. Yet he also provides a skeptical reading of the indigenous or alternative notions of development alleged to inhere in Buddhism and Islam. That is, what appears to be “local” is in fact a hybrid form of cultural politics affected by local, national, and international discourses about “development.” Therefore, the “local” in Escobar’s idea of “indigenization of development” was set up as a generic category. He asks, “when scholars ask for interpretation of development, history, and culture to be rooted in, and based on local/indigenous visions and experiences, it is fair to ask ‘which local?’ ” (1997, p. 36).

Rigg lists numerous cases to illustrate that “local” visions and notions of prog-ress and development are hardly outside the map of modernization, and it is thus


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hard to argue that modernization is an “alien ethic” in Southeast Asian societ-ies (1997, p. 288). When alternative development is claimed to rebuild lives and traditional institutions supposedly undermined and eroded by commercialization and capitalism, modernization has already become part of the local developmental landscape. Even the concept of “alternatives” is itself a product of Western think-ing (1997, p. 285). Rigg argues that “local” knowledge is not necessarily outside of, or opposed to, development discourse and practices. He takes the Southeast Asian experience as an example to point out that peasants, urban businessmen, and low-wage workers all utilize the vocabulary of development and globalization to describe themselves (1997; Rigg et al., 1999). He writes, “to a large extent the ethic of, and allegiance to modernity, consumerism, progress and development have been internalized. Development and alternative development, like develop-ment and underdevelopment, are two sides of the same coin (1997, p. 37).

Rigg’s criticisms are important in pointing out the false dichotomy of what is local and what is imported. It is difficult to build any alternative to the “devel-opment machine” on the basis of local knowledge, culture, and perspective, for there is nothing that is purely “indigenous.” In light of Rigg’s argument, the overemphasis of the local that goes with the suppression of the West seems to erase the historically sedimented effects of colonial political economies that have continually shaped China. In other words, the complexity and diversity of the local and its historical interaction with the West have been ignored. This study has shown that the backwardness/progress of Chinese modernization is perceived to be culturally specific in the West. The Chinese side, however, continues this culturalist binarism by asserting a culturally oriented path of modernization. As Chinese official discourse and popular discourse overlap to a certain degree, both “socialism with Chinese characteristics” and “saying no to the West” underlie the uniqueness of Chinese modernization, modernity, and development in terms of civilizational differences, albeit in a different way: “We will be modern, but we won’t be you” (Huntington, 1996, p. 101). If what mainly characterizes Chinese modernization discourse is its tradition, cultural legacy, and value-system, then the themes of Orientalism and global binary opposition still haunt the discussion of the Chinese alternative modernity.

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Chan, S. (2002). Human rights in China and the United States: Competing visions and discrepant performances. Human Rights Quarterly, 24, 1035–1053.


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Escobar, A. (1995). Encountering development: The making and unmaking of the third world. Princeton, NJ: Princeton University Press.

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Health Education for HIV/AIDS Prevention in the CaribbeanN A N CY M U T U R I

HIV/AIDS CONTINUES TO be a global catastrophe for the 21st century with education for behavior change now widely recognized as a crucial intervention in the fight against the epidemic. Mass media and public education programs, conventional education, health communication, and empowerment actions are common but oftentimes spontaneous interventions that fail to address the issues behind risky behaviors and practices that contribute to the prevailing epidemic. This article describes the development of a theory-based health education and behavior change project that addresses the high HIV/AIDS prevalence in the Caribbean. With a focus on college-age youth, the project uses a participatory approach to involve key stakeholders at various levels. This article describes the application of the P-Process model in design and implementation of the project activities, offering insights on behavior change strategies from lessons learned from the Caribbean experience.

Key words: HIV/AIDS, health education, Caribbean, Jamaica, P-Process model, theory-based, participatory intervention, youth, behavior change com-munication

HIV/AIDS is a global public health concern that has proved difficult to control in spite of the development in modern medicine. Its impact is greatest in the

less developed nations of Africa, Asia, Latin America, and the Caribbean where the majority of those affected with the virus reside. There is a universal consensus that the pandemic is a phenomenon that is as socially, symbolically, and commu-nicatively constructed as it is a biomedical reality (Bardhan, 2007), which implies that the medical sector cannot on its own control it.

One of the United Nations Millennium Development Goals (MDGs) is to halt and begin to reverse the rate of infection by 2015 (UN, 2006). However, in

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Nancy Muturi is a Lecturer and graduate studies coordinator at the Caribbean Institute of Media and Communication (CARIMAC), University of West Indies. She holds a Masters and PhD in communications from the University of Iowa with an emphasis in health and develop-ment communication. She also has a Bachelors and Masters in Sociology from the University of Nairobi. Email: [email protected]

V2/N4_03_Muturi_027-046.indd 27V2/N4_03_Muturi_027-046.indd 27 6/26/09 8:25:59 AM6/26/09 8:25:59 AM

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M U T U R I : H E A L T H E D U C A T I O N F O R H I V / A I D S P R E V E N T I O N I N T H E C A R I B B E A N

the absence of a complete cure, of affordable and manageable treatment, and of a vaccine, behavior change is the ultimate prevention strategy (Bertrand, 2004; Melkote, Muppiddi, & Goswani, 2000). World leaders attending the 2001 United Nations General Assembly Special Session (UNGASS) on HIV/AIDS agreed that prevention is the mainstay of any response to the epidemic globally (UNGASS, 2001). This agreement was reiterated at the 2001 Nicaraguan Communication for Development Roundtable that focused on the role of information, education, and communication (IEC) as a crucial component in meeting the MDGs specifically on the prevention of the epidemic.

This article describes a strategically designed and implemented response to the HIV/AIDS epidemic in the Caribbean with a focus on the youth. It is estimated that about 230,000 adults aged15 to 49 are living with HIV in the Caribbean region (UNAIDS, 2007). The face of HIV in the region has become increasingly young; it is estimated that nearly half of all new infections in Latin America and the Caribbean occur among people between the ages of 15 and 24 (Incardi, Syversten, & Surrat, 2005; PAHO, 2003). This calls for an intervention that specifically addresses the youth as one of the at-risk groups with a focus on education for AIDS prevention. Using the P-Process model, this article describes the process, methodologies, and lessons learned from the Caribbean project, some of which may be relevant to other programs with similar goals.

This article presents a case study of the University of the West Indies, one of the major tertiary-level institutions in the English-speaking Caribbean with campuses in Mona in Jamaica, St. Augustine in the Republic of Trinidad and Tobago, and Cave Hill in Barbados. Information provided here was gathered through a com-bination of methods. Among them was a review of project documents, most of which are unpublished material such as annual and quarterly reports, presentations from various local, regional, and international workshops and conferences, but also published documents and media clippings that focused on the project. In addition, conveniently selected project staff who participated in the project formulation and implementation served as key informants. Documenting and sharing the lessons learned from the Caribbean is crucial as organizations seek global partnerships in the fight against the AIDS pandemic.

Education for Social and Behavior ChangeSince AIDS was declared an epidemic more than two decades ago, studies con-

tinue to emphasize that behavior change communication (BCC) is widely rec-ognized as one of the cornerstones of HIV/AIDS prevention (e.g., Airhihenbuwa & Obregon, 2000; Bertrand, 2004; Melkote et al., 2000; Muturi, 2005a; Parker, 2004; Rogers, 1995; Tufte, 2005). Common BCC strategies involve public health media campaigns to raise awareness and motivate behavior change. As Gordon


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(2002) argues, conventional wisdom holds that knowledge levels should correlate with adaptive preventive health behaviors, and therefore health advocates spend much time and effort optimizing message design, presentation, and distribution to share knowledge effectively with publics.

In spite of these communication efforts, researchers criticize the media approach for the failure to achieve success (Dutta-Bergman, 2005; Parker, 2004; Tufte, 2005). Tufte, for example, terms HIV/AIDS media campaigns as disastrous due to lack of results in controlling the epidemic. Studies have also shown that health-promoting behaviors are rejected due to lack of education (Gordon, 2002). In exploring the traditional communication strategies Kelly and Bain (2003) observe that “changes that the information, education and communication (IEC) programs seek to pro-duce have been hard to achieve and slow to take effect” (p. 21). This has resulted in discrepancies between knowledge and behavior observed in the health field today (Rogers, 1995).

Health education attempts to close the gap between what is known about optimum health practice and what is actually practiced while promoting behavior changes in individuals, groups, and larger populations within a variety of set-tings. As Glantz, Lewis, and Rimer (2002) observe, health education is delivered in almost every conceivable setting—universities, schools, hospitals, pharmacies, grocery stores and shopping centers, churches, prisons, health maintenance orga-nizations, migrant labor camps, advertising agencies, the Internet, people’s homes, and health departments at all levels of government. The current development of information communication technologies (ICTs) particularly the Internet (includ-ing email, newsgroups, and chat rooms), mobile communication, digital radio and television, personal digital assistants (PDAs) and laptop computers among other mobile devices, has enhanced access to health information (Muturi, 2005b).

In spite of the availability and access to health information, the lack of proper understanding about HIV/AIDS is evident—how to prevent it and what those infected can do to live a longer life of better quality. In the Caribbean, for instance, market research reveals that information levels on HIV/AIDS have increased over the recent years, which is associated with public awareness campaigns (Kelly & Bain, 2003). These campaigns however fail to address the adverse social reac-tions that discriminate against and stigmatize those affected and infected by the epidemic, thus driving the disease into an underground of silence, secrecy, shame, and self-recrimination (Kelly, 2002).

Although a multistrategy approach is necessary in containing the spread of the epidemic, it is widely acknowledged that proper knowledge of the disease, includ-ing means of infection and prevention as well as positive attitudes toward those infected or affected by the virus play an equally critical role in prevention. The tragedy of the past 25 years is that education sectors worldwide, especially in the


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most severely affected countries, did not get moving early enough to respond to the demands of HIV/AIDS. As Kelly (2002) points out, there is a demonstrated need for wholehearted effort to mainstream HIV/AIDS, sexual and reproduc-tive health, and life-skills education into the curriculum of learning institutions specifically focusing on the youth to empower them to live sexually responsible, healthy lives.

The increasing rate of infection in the Caribbean, for example, has been associ-ated with the education sector’s unresponsiveness to the epidemic (Kelly & Bain, 2003; Morrisey, 2005). Criticizing the education sector in the region for not taking the lead in preventing the epidemic, Kelly (2002) noted:

For too long we have been standing by—timid, confused, uncertain, feeling that we were powerless, wanting to do something constructive but not quite sure what—and all the time, men, women and children continued to be infected in their millions, to fall sick in their millions, to die in their millions. (p. 10)

Overall the education sector has the formidable task of ensuring adequate levels of quality education that take due account of the epidemic and related social, economic, and psychological factors. Above all, reduction of HIV prevalence rates among young people has been directly related to school education. A combination of communication and education strategies that address social and behavior change not only increases awareness but also understanding that is geared toward behav-ior and attitude change at various societal levels. Promoting essential attitudes that instigate the reduction of stigma and discrimination against those affected and infected with HIV is an important aspect in this effort.

Strategic Planning and Program ImplementationEffective planning and implementation of theory-based health education pro-

grams is a necessary but missing component in many health promotion and behavior change programs. Researchers have observed that a lack of proper program planning and implementation hamper current health communication programs (Agunga 1997; McKee, Bertrand, & Becker-Benton, 2004; Piotrow & Kincaid, 2001; Piotrow, Kinkaid, Rimon, & Rinehart, 1997). Many communication programs view planning as a waste of resources, instead using media events and coverage to determine effectiveness (Agunga, 1997).

Strategic communication refers to a systematic approach to the design and implementation of programs that seek to increase their impact on behavior and social change. The systematic nature of strategic communication contrasts sharply the ad hoc practice in designing an occasional poster or radio spot for a given cause (McKee et al., 2004). Rather, it is about relationship building and stakehold-


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er involvement as crucial components in behavior change maintenance (Grunig & Huang, 2000). Specific characteristics of strategically planned communication approach are that it places emphasis on the process; deals with change over a significant period of time; follows a holistic approach; ensures full support from top-management; and involves a facilitator who takes on the role of change agent (Senior; 1997; Stöh, 2007).

As Hallahan et al. (2007) observe, strategic communication has gained accep-tance and therefore applied in international health campaigns as a tool to encourage environmental activism and in responding to the HIV/AIDS epidemic. Though the concept is often associated with the corporate world, current governments, nongovernmental organizations, and the international community including the World Bank, the USAID, and United Nations have recognized the role of strategic communication in successful project planning and implementation (McCaffrey, 1999; World Bank, 2005). This article describes the application of the P-Process model of strategic communication in the design and implementation of a health education project in Jamaica.

The P-Process ModelThe P-Process model is one of the strategic communication models that have

emerged in the fight against the HIV/AIDS epidemic. Developed by the Health Communication Partnership (HCP) of five major health institutions—Johns Hopkins School of Public Health/Center for Communication Programs, The Academy for Education Development, Save the Children, The International HIV/AIDS Alliance, and Tulane University’s School of Public Health and Tropical Medicine—the model is now applied extensively in reproductive health programs globally (HCP, 2003; Piotrow et al., 1997).

Based on the concept of strategic communication, the P-Process model pays special attention to research, communication planning, monitoring, and evaluation of the communication process. Its emphasis in stakeholder participation in the communication program planning and implementation qualifies the model as a strategic communication model that pays special attention to the abovementioned aspects, all critical steps toward strategic communication.

As demonstrated in Figure 1 below, the P-Process model is a systematic frame-work to guide communication professionals as they develop. The framework has five steps to guide in the development of a strategic communication program: (1) analysis, (2) strategic design, (3) development and testing of communication materials, (4) implementation and (5) monitoring (HCP, 2003). The following section elaborates upon each of these steps and describes how they were applied in the design and implementation of the Caribbean project.


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Program DescriptionThe University’s HIV/AIDS Response Program (UWIHARP) is one of the few

health education programs globally that focuses primarily on the prevention of the HIV/AIDS epidemic among college-age youth. Established in 2001 as an institutional response to the widespread epidemic, UWIHARP is based on the position of higher education institutions in dealing with issues or societal problems and the availability of intellectual resources and traditions (Kelly & Bain, 2003). UNESCO (2005) has listed the program as one of the few formal HIV/AIDS response programs globally implemented within academic institutions and strategi-cally focusing primarily on the youth with the goal of behavior change.

Program activities include HIV/AIDS education across disciplines, research, teacher training, development of the HIV/AIDS policy for the university, cur-riculum review and development, and social marketing (JICA, 2006; UWIHARP, 2002). The focus of this article is on the curriculum development project imple-mented from 2002 to 2005 targeting college-age youth with the goal of increas-ing knowledge, understanding, and motivating behavior change for HIV/AIDS prevention. The project used the P-Process model in the planning and implemen-tation of the planned activities, which also requires the involvement of the key stakeholders in each step of the process.

Source: Health Communication Partnership (2003)

Figure 1: The P-Process Model

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Model ApplicationStep 1: Analysis

The process started with formative research, also referred to as situational and audience analysis, which involved gathering information that would inform the

project goals, the formulation of working objectives, and the selection of activities to be carried out. This information gathering process requires listening to poten-tial participants, and analysis of behaviors, attitudes, perceptions, intentions, and practices that put them at risk (Piotrow et al., 1997). This step of research also involves understanding the problems that require a communication intervention, and a communication analysis to examine the participants’ access and use of media, as well as the capacity of organizations to use the available media.

Additionally, a strategic communication program requires an analysis of the society in general, including the cultural factors that contribute to the problem. Policy and programs as well as organizations that address the problem are also ana-lyzed, and the overall findings contribute to the objective formulation and plan-ning of strategies and tactics to achieve those objectives. As Piotrow & Kincaid (2001) observe, “audience research makes it possible to segment audiences based on relevant characteristics and then design engaging but often-different messages for diverse groups. The specific health problem and the analysis of the population determine which types of strategies and which messages and activities are most appropriate for different communities” (p. 251).

Review of DocumentsFormative research in the Caribbean HIV/AIDS project took various forms,

starting with the review of instructional material and curriculum documents for an identification of existing programs and courses within the University curriculum and across various disciplines to identify those already with HIV/AIDS content and those with some potential. To gather this information, a planning committee was formed that developed a matrix of courses to identify the relevant ones and those with potential to incorporate HIV/AIDS education. The process included identification of key words and development of guiding questions for use in the review of the instructional material. As noted in Muturi, Bhardwaj, Bain, Ruddock-Small, Ramsay, and de Bruin (2004), course identification was based on guiding questions as follows:

• Does the course have a specific focus on HIV/AIDS or related areas?• What are the surrounding factors addressed?• How much time is spent on the HIV/AIDS content?• In what context is HIV/AIDS taught?• What is the method of delivery?• What is the method of assessment?


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Based on the course content review, 49 courses were identified across disciplines as having potential for adjustment to include or strengthen the HIV/AIDS com-ponent, which were distributed as follows: Social Sciences (15), Humanities (14), Pure and Applied Sciences (2), Medical Sciences (12), General Education (4), and Interdisciplinary Gender Studies (2). Out of those identified, 23 courses had some HIV/AIDS components or related factors and 17 others had high potential for inclusion of new courses based on their focus and interest of faculty members. In addition, five courses were introduced in a newly developed graduate program—Communication for Social and Behavior Change—that was implemented as part of this initiative (Muturi et al., 2005; UNESCO, 2005). The program has a strong focus on health education with the goal of training local leadership in HIV/AIDS prevention, which organizations identified as a need in the Caribbean. New mod-ules were also introduced in University general education courses that all students are required to take regardless of their discipline, and within faculties that lacked a strong HIV/AIDS component.

Given this analysis, it was estimated that if the selected courses were offered in the same year they would reach 7655 students, keeping in mind that the founda-tion courses has over 300 enrollments (Muturi et al., 2005; UNESCO, 2005). Some students therefore enrolled in more than one course with a HIV/AIDS focus, which the project team viewed positively as a reinforcement strategy. The initial analysis, however, indicated that majority of other targeted courses were in the Social Sciences and Humanities, which called for other disciplines to introduce more health-related modules

InterviewsIn-depth interviews with course instructors followed course identification. The

interviews sought information regarding the course content and their commit-ment and willingness to participate in the project. Crucial requirements for their participation included not only adjustment of the course content to incorporate project objectives, but also to some extent of delivery methods to address the topic sensitively. Interviews also determined the knowledge and preparedness of lecturers to deliver HIV/AIDS–related information as well as their ability to do so effectively. Findings from interviews revealed that though the majority was pas-sionate about participation, the instructors lacked the capacity to address the topic, partially due to the lack of proper understanding of the disease technicalities but also because they lacked relevant material resources for teaching. Capacity build-ing was therefore identified as a need among course instructors as communicators or behavior change facilitators.

Focus Group DiscussionsParticipatory research methods ensure involvement of stakeholders through

information sharing. Focus group discussions participants were recruited volun-


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tarily through the Student Guild, a student representative body. Five focus group discussions were conducted, which sought information about their knowledge and understanding about of a variety of HIV/AIDS–related issues, attitudes toward the epidemic, sexual practices that might put them at risk of infection, as well as their general risk perception.

Based on the discussions, it was certain that many students were aware of the disease, but this awareness did not translate into understanding of the disease or use of prevention methods. Denial and low risk perception indicated no intention for immediate behavior change. Rather, participants perceived the university as the place to experiment with sexuality and to express their sexual freedom. Females, especially new students, were the target of this sexual experimentation, whereas men felt pressured to prove their manliness and noninvolvement in homosexuality through displays of sexual prowess. This manliness, as group discussion revealed, came through engaging in sexual relationships with several women. It was also revealed that many of the sexual activities were related to fetes and parties with a significant amount of alcohol consumption, which was not necessarily accom-panied by safer sexual practices, which put many at risk of contracting HIV. A surprising finding was that although students admitted to some small chance of contracting the disease they seemed more concerned with avoiding pregnancy than with avoiding STDs (UWIHARP, 2003).

Group discussions also generated information on the appropriate methodology for HIV/AIDS education for their age group. Due to the sensitivity of the issues involved, methods identified as appropriate for addressing the topic included for-mal lectures to address technical AIDS-related issues, role playing, and class proj-ects that involved student interaction with persons with HIV/AIDS. Involvement of PLWHA in the formal education giving students an opportunity to interact with those infected, and learning about their experience living with HIV/AIDS was seen as an effective strategy for influencing attitude and risk-taking behavior (UWIHARP, 2003).

Step 2: Strategic Design

Strategic design refers to the planning and development of communication strate-gies and objectives based on the findings from formative research. In a strategic

communication project, the set objectives have to be SMART (specific, measur-able, appropriate, realistic, and time-bound) (HCP, 2003). Planning also involves selection of communication channels and development of an implementation and evaluation plan (Smith, 2005). This step of systematic program development is fol-lowed by the development of messages and materials, which is also a well-planned and implemented component of a strategic communication program.

Based on the formative research the overall goal of the project was set to motivate behavior change among the youth aged 17–25, who formed the majority of the


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University population, through education and proper understanding of the HIV/AIDS epidemic and related issues. Long-term objectives of the project were to:

• Increase HIV/AIDS awareness through formal and informal education activities;

• Improve accurate knowledge about HIV/AIDS through formal education;• Influence positive attitudes towards PLWHA among students through

involvement of the former in the education and communication process;• Increase competency and commitment to the regional HIV/AIDS response

through continued research and outreach programs involving the key stakeholders.

The project aimed at achieving the set goals and objectives through formal and informal education strategies and a strategically designed participatory approach that involved various stakeholders in the process.

Step 3: Development and Pretesting

Development of communication messages and materials, which requires pretest-ing prior to campaign implementation, is guided by the analysis and strategic

design, but must also be creative to evoke emotion that motivates audiences. As HCP (2003) indicates, process of material and message development requires the involvement of the target population, who determine the appropriateness of the messages and materials. Piotrow and Kincaid (2001) refer to this involve-ment as a client-centered approach, which calls for substantial message pretesting and audience research (both qualitative and quantitative) using focus groups and interviews, surveys, and psychographic research. Through social marketing strate-gies, organizations are able to promote their materials and resources (Piotrow & Kincaid, 2001).

Whereas the UWIHARP project produced limited communication and pro-motional material mainly due to lack of adequate resources, the project was instrumental in the development of an HIV/AIDS teaching manual that became the main resources for faculty who participated in the project. This memento production provided basic information on the HIV/AIDS epidemic and the con-tributing factors, with a focus on the Caribbean. That manual sought to meet the needs identified through formative research among faculty members, all of whom had received a copy as a teaching resource to ensure uniformity of the course content in the new curriculum.

Partnerships and collaboration between UWIHARP and other regional health organizations including the Caribbean Epidemiologic Center (CAREC), Pan American Health Organization (PAHO), and Ministries of Health involved shar-ing of produced materials on HIV/AIDS used for teaching to avoid reinventing


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the wheel with limited resources. These organizations also served as credible sources of health information and epidemiologic data that was made accessible to project participants.

Step 4: Implementation and Monitoring

Project implementation refers to the actual communication activities that are based on systematic planning, development of messages, and an action plan

that is developed to guide the process. As the P-Process model indicates, moni-toring the process of implementation from the beginning ensures that changes are made if necessary during program implementation (HCP, 2003). The UWIHARP project activities implemented following the research and planning stages included: Training of Trainers (TOT) workshops for faculty, students, staff, and other key stakeholders; course development and revision of syllabi to include modules on HIV/AIDS; and several other youth-centered activities. Some of these activities were planned around the international health activities such as the World AIDS Day and the Safer Sex week. For instance, HIV/AIDS films, plays, and volun-tary counseling and testing (VCT) complement education and training strategies. In one campaign, through collaboration with the University health center about 80 students were tested for HIV. UNESCO (2005) observes that dialogues have continued on the proposed establishment of a VCT service on the University campuses. UWIHARP is also actively involved in IEC activities during orientation of new students and in community health fairs that reach a wider audience.

With regard to informal health education, the program has used the peer edu-cation approach to reach the youth with HIV/AIDS prevention messages across campuses. The approach entails building a strong peer network among those who make an impact on other students through leadership and advocacy roles. As noted by UNESCO (2005) role modeling is intrinsic to this approach, and it relies on the “each one teach one” approach, a cascade model of diffusion of knowledge and information within a target group. About 100 peers were trained across campuses, who then educated their peers on AIDS-related issues. Though peer counselors participated more in the information HIV/AIDS education pro-gram outside the classrooms, mainly through workshops and seminars in the halls of residence and other social gatherings, they occasionally presented as guest speakers in the formal education programs.

Step 5: Evaluation and Replanning

Monitoring and evaluation are key components in strategic communication planning. In a communication campaign, evaluation measures how well the

program meets its set objectives. Many public communication campaigns, how-ever, fail to formulate precise indicators and to use available research and evalu-ation designs to measure the impact and appropriateness of any communication


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intervention including message content or media channels (Piotrow et al., 1997). Such evaluation explains why a program is effective (or not), the strategies that work or do not work, as well as a measure of the program’s overall impact (HCP, 2003). Evaluation also determines the future needs of the project where follow-up is needed, allowing room to revise and redesign the program.

The P-Process model emphasizes the continuity of the program beyond short-term campaigns. This last step focuses on adjustment of project activities and the implementation plan based on close monitoring and process evaluation. Monitoring and process evaluation from the beginning of project implementation ensures that changes are made if necessary before the final evaluation that takes place at the end of the program.

Within the Caribbean project, process evaluation started with students’ evalu-ation of the newly developed courses and modules that focused on HIV/AIDS, completing pre- and post-tests in some courses, or an evaluation of the HIV/AIDS modules in which they had enrolled. Their involvement in several HIV/AIDS–related projects reflected their motivation and perceptions about the epidemic. The media and communication students, for instance, initiated AIDS-related capstone projects with support and/or endorsement from UWIHARP1 and others volunteered in the student initiatives coordinated by the peer educators or with the PLWHA support groups.

Stakeholder Involvement

Participation and relationship building with key stakeholders is a critical com-ponent in behavior change programs (Stöh, 2007). The P-Process model plac-

es special emphasis on stakeholder participation and on engaging them fully at various levels (national, district, and community) as a strategy for motivating communication and behavior change. This multistrategy approach ensures par-ticipation identifying each participant’s role in the process based on the project objectives Participation is also essential in building strong partnerships and coali-tions from the international and national level to the local and community level (HCP, 2003).

The participatory approach to HIV/AIDS communication requires involvement of key stakeholders in an attempt to influence their attitudes toward the epidemic and mobilize them to support in project activities. Within UWIHARP, identified stakeholders included the youth, faculty members, University leadership, project staff, health professionals, and persons living with HIV/AIDS. The project sought not only to involve them in various project activities but also to establish relation-ships for their continued support.

1An example of the project may be found at http://www.geocities.com/hivredribbontest/


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The Youth InvolvementThe youth, as the main target for behavior change, had a critical role to play

in the project. Through the participatory approach, the youth were involved at various steps in the project formulation and implementation process. Youth leaders from the student guilds, for instance, participated in initial brainstorm-ing sessions with the faculty and project staff, providing a student perspective, and several other students participated in the focus group discussions conducted during formative research. A few students also volunteered to participate in the training workshops for faculty and as peer educators received training that enabled them to take an active role in HIV/AIDS education both in and out of class. Peer educators were also actively involved in planning a variety of student- initiated events; for example, planning the Safer Sex week, and organized discussion ses-sions at the halls of residence with resource persons identified and invited through UWIHARP.

PLWHA InvolvementStigma and discrimination against persons infected and affected by the HIV/

AIDS epidemic is one of the major contributors to the widespread epidemic in the Caribbean. This problem has driven many infected people underground for fear of the consequences. In the formative research, many students indicated never having interacted with a PLWHA or knowing anyone living with the disease, though they recommended such interaction as an effective teaching strategy.

In an attempt to address this issue, PLWHA representatives were involved in various brainstorming sessions and participated in several courses as guest speak-ers. Some courses (for example in social work) introduced internships requiring students to volunteer for HIV/AIDS–focused organizations and PLWHA support groups—for instance the Jamaica AIDS support (JAS) and the Jamaica Network for Seropositives (JN+), which contributed to stronger relationships at the orga-nizational level. UWIHARP supported this through payment of compensation to the guest speakers.

Involving the Dominant CoalitionHaving sought and attained support from students and faculty members, the

project needed the input and support of senior University administrators. To get it, the UWIHARP team held a series of meetings with key persons, including the deans of various faculties whose approval was required before curriculum modi-fications. The leaders received information on the project goals and objectives, as well as planned activities. With support from the formative research, the team demonstrated the need, significance, and timeliness of an HIV/AIDS institutional response, which led to their endorsement and support. The fact that students


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and faculty members had already supported the project provided the necessary authenticity to the project, making it more credible to the University leaders who had few objections to the overall initiative.

As an externally funded project, there were concerns from the leadership regard-ing sustainability. In addressing the problem, the project invested in capacity-building strategies, investing in faculty members as a permanent human resource, and building long-term relationships and partnerships with health organizations to ensure continued collaboration.

Capacity Building

The P-Process model put emphasis in capacity building as a necessary component in strategic behavior change communication, which is crucial for the sustain-

ability of the project. In behavior change communication, capacity building may include skills development to enable the audience change and maintain new behav-iors and practices. Kelly and Bain (2003) note that education plays a critical role in combating HIV/AIDS in three complementary ways: First, it helps remove the ignorance. Second, it increases capacity of individuals to assimilate information, evaluate situations, and consider future benefits, thereby reducing the likelihood of their engaging in behavior that increases their risk of HIV infection. Third, it promotes the development of personal value systems and attitudes that along with the necessary knowledge and skills will help them avoid HIV infection. UNESCO (2005), however, observes that the capacity in the Caribbean education sector to respond to HIV/AIDS is undeveloped, and capacity building among faculty members was among the areas that UWIHARP identified as necessary in the formation research.

Capacity building within UWIHARP targeted faculty as a key resource and students who served as behavior change facilitators, which was achieved through training programs. For example, a three-day workshop that focused on the con-tent, the behavior-change process, and on teaching methodologies for HIV/AIDS education was carried out at the initial stages of project implementation. This workshop had been proposed at the brainstorming session with stakeholders and it used a format whereby participants from various disciplines were expected to take the lead in training other trainers in their disciplines. Follow-up workshops were held for other faculty members with the initially trained faculty and UWIHARP staff serving as resource persons. As Muturi and colleagues (2004) point out, this capacity building strategy aimed at equipping a cadre of faculty members with the knowledge and skills to become the permanent human resource persons for HIV/AIDS education and to motivate others to participate in the fight against the epidemic University wide. This therefore addressed the issues of sustainability that the University leadership had raised.


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Conclusions and Lessons LearnedLiterature indicates that many communication programs fail to succeed due to

the lack of proper planning (Agunga, 1997; Dozier, Grunig, & Grunig, 2001; Piotrow & Kincaid, 2001; Piotrow et al., 1997; Stöh, 2007). The UWIHARP proj-ect demonstrates the role of a planning model in the design and implementation of a behavior change intervention. Though there are several HIV/AIDS programs in the Caribbean, several factors make it unique in addition to the several lessons that the project offers. The fact that is it implemented in a major tertiary-level institu-tion in the Caribbean makes it unique given the level at which behavior change is targeted—among a highly educated and supposedly aware but at-risk population, the college-age youth. This project aimed at providing the youth with life skills for self-efficacy while empowering them to prevent themselves and others from becoming infected. The project’s emphasis on knowledge and understanding of the disease and related factors, rather than a focus on persuasion for behavior change, differs from the dominant behavior change communication strategies and from mass media campaigns, but complements other prevention strategies. This multistrategy approach is necessary in addressing the epidemic in the Caribbean and other regions with high HIV prevalence.

Using a planning model in a participatory project helped the project to focus on the planned activities and develop relevant strategies focusing on crucial stake-holders that mattered most. Studies in strategic communication have indicated that strategically planned programs use theory and research to identify the problems and the critical publics, to segment them, and to determine appropriate strategies for each segment of the population. Given limited time and resources, planning was also necessary to ensure full utilization of human and financial resources. Planning in this project enabled resource and role allocation of all participants.

A key lesson learned from the Caribbean project is that each step in a strategi-cally planned communication process is equally important, and proper documen-tation of the project activities ensures adherence to all steps, while spelling out the role of each participant in the participatory process. The participatory approach used in the project—engaging stakeholders in the process—gave everyone involved a sense of ownership and the motivation to collaborate with others in the fight against the epidemic.

Based on the lessons learned from this project, a combination of formal and informal education to reinforce learning is crucial in addressing any social issues that affect society. Allowing those mostly affected by the AIDS epidemic to tell their own stories and testimonials is a critical learning strategy, especially among those with low risk perception. This strategy not only contributes to better under-standing of the disease but is also a booster of HIV risk perception among the youth who otherwise feel less vulnerable to the disease. PLWHA involvement in


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a project that seeks to address AIDS-related stigma is also a necessary component of the program. In addition, addressing stigma and discrimination against PLWHA through a participatory approach applied in this program has aimed at influencing attitudes and risk perception among the youth.

This project aimed at providing the youth with life skills for self-efficacy while empowering them to prevent themselves and others from becoming infected. One of the most important lessons learned from this process is that behavior change is not a “one time” event but a process in which behavior change is the ultimate goal and communication and education are the means to that end. This project demonstrates the need for a continued process in addressing the HIV/AIDS epi-demic rather than looking for a quick fix in addressing the AIDS epidemic. For example, addressing the social, economic, cultural, and political issues related to the epidemic, as well as the stigma and discrimination associated with it, is a step toward risk perception and behavior change.

As studies indicate, risk perception is a necessary component of the behavior change process, and one of the goals of public health campaigns is to influence people’s perception of risks and therefore motivate change in risk-taking behavior for disease prevention (Keller, Siegrist, & Gotscher, 2004). In the case of HIV/AIDS, perceived risk of infection, which is the belief that one is vulnerable to a disease, is a significant predictor of self-protective behavior and a motivator for behavior change (Rimal & Real, 2003).

Though no formal evaluation was conducted on the impact of the strategies used, the targeted youth demonstrated in various ways an increase in concern and empathy toward those affected by HIV. Their motivation to become change agents in HIV/AIDS prevention, as demonstrated by the number of volunteers in AIDS-related initiatives and by the number of students’ class projects that addressed HIV/AIDS-related issues, were all indications of the project impact. A formal evaluation is, however, necessary to determine the impact of strategies used in this project.

A key lesson learned from the project is that though the youth were the key public targeted for behavior change, the HIV/AIDS epidemic requires an overall change in attitudes and behaviors at individual, community, and institutional levels, and involving different stakeholders was a step toward this change. The involve-ment of the dominant coalition, for instance, was necessary for their support of the project, which is a necessary step toward change at the institutional level.

The project has served a model for many projects in the region, including several academic institutions including the neighboring University of Technology and teachers colleges, some of which have sought collaboration with UWIHARP in their HIV/AIDS interventions. For instance, in 2005, a similar project was initiated within teacher-training colleges. The UWIHARP team served as resource, and


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the project adopted the UWIHARP HIV/AIDS manual as part of institutional collaboration.

Acknowledgements

The author wishes to acknowledge to contributions of the UWIHARP team that worked meticulously in the project design and implementation. In 2004, the project received honorable mention at the annual American Public Health Association meeting in San Francisco, at which results of the formative research were presented. The author also wishes to thank the blind reviewers for their comments and suggestions on how to improve the manuscript.

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Muturi, N., Bhardwaj, S. A., Ramsay, H., DeBruin, M., & Bain, B. (2004). Curriculum development across disciplines as part of a comprehensive response to the HIV/AIDS crisis in the Caribbean. Paper presented at the 131st American Public Health Association, San Francisco.

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Piotrow, P. T., Kincaid, D. L., Rimon, J. G., & Rinehart, W. (1997). Health communication: Lessons from family planning and reproductive health. Westport, CT: Praeger.

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web.worldbank.org/WBSITE/EXTERNAL/TOPICS/”


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Policy Implications of the Communication Effects Gap Hypotheses and Mainstream Organizational Communication Studies in Development Communication CampaignsS I D D H A RT H A M E N O N

THE RESEARCH ON development communication campaigns, the commu-nication effects gap hypothesis, and mainstream organizational communication studies have by and large followed three distinct trajectories. While these various areas of intellectual inquiry are not necessarily mutually exclusive, research in the respective arenas has made halting progress in drawing on common insights. This exploratory article focuses on the implications of the communication effects gap hypotheses and mainstream organizational communication studies on development communication campaigns. Particular attention is accorded to the interpersonal interactions among employees in NGOs and the ways that com-munication between personnel in these organizations and the target populations can be structured to better serve a community’s development needs. Finally, the article also considers key communication policy implications of this inquiry.

Key words: Development communication campaigns, communication effects gap hypothesis, organizational communication, interpersonal communication, NGOs, communication policies

This exploratory article offers a starting point for the implementation of concepts from mainstream organizational communication studies to the context of devel-

opment communication campaign strategies. There has been a rich research base on development communication strategies and on organizational communications;

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Siddhartha Menon is a doctoral student at Michigan State University’s program in Mass Media based in the department of Telecommunication, Information Systems and Media. He has pub-lished articles a number of journals including Telecommunications Policy (2001); Government Information Quarterly (2003); and Telematics & Informatics (2006) on new media and gover-nance issues. Email: [email protected]

V2/N4_04_Menon_047-064.indd 47V2/N4_04_Menon_047-064.indd 47 6/26/09 8:26:20 AM6/26/09 8:26:20 AM

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M E N O N : P O L I C Y I M P L I C AT I O N S O F T H E C O M M U N I C AT I O N E F F E C T S G A P H Y P O T H E S E S

however, much of the existing scholarship largely considers these two areas sepa-rately without linking them systematically into a dialogue. This exploratory article aims to ameliorate this lacuna in the field by exploring concepts that intertwine the two subfields, especially those concepts relevant to an understanding of power dynamics at the interpersonal level. Consequently, this conceptually oriented arti-cle’s main motivating research question asks: How do critical core concepts from mainstream organizational communications, specifically organizational socializa-tion and communication competence, empower specific development communica-tion campaign strategies to be more effective?

The research on development communication campaign strategies (Dearing, Everett, & Meyer, 1996; Hudson, 2006; Rogers, 1995; Rogers & Beal, 1958; Servaes & Arnst, 1999; Speer & Hughey, 1995) is well established. As Snyder (2003, p. 167) suggests, communication campaigns may be defined as “an organized com-munication activity, directed at a particular audience, for a specific period of time to achieve a particular goal.” Much of the research on communication campaigns has focused on specific development strategies, such as participatory campaigns and campaign management tactics. These strategies are typically designed to per-suade people to change their behavior and/or access to information. For example, these studies (Huesca, 2001; Mody, 2003; Wilkins, 1996, 1997, 1999, 2000; Wilkins & Mody, 2001) are focused on understanding the interactions among individuals in rural village contexts. In addition, the research base addresses how individuals communicate among themselves to address developmental issues. It is necessary to consider both participatory campaigns and campaign management strategies, because they have dialectical value when considered together. Specifically, par-ticipatory campaigns provide a singular from the consumer of the campaign’s perspective at the micro level, and campaign management provides the perspec-tive of the organizations that are implementing the strategies at the micro level. Consequently, each strategy, without references to the other, offers an incomplete assessment of the utility of these development communication campaign strategies. Ultimately, inquiry into concepts that link development campaign strategies and the research base from organizational communications advances the discourse in the respective subfields.

Article Structure

This exploratory article is structured in three main functional sections. The first section provides a theoretically grounded literature review of the research on

development communication campaigns and mainstream organizational communi-cation. The literature and key landmark studies are reviewed in both subfields.

The second and third sections discuss participatory campaigns and campaign management respectively. According to Snyder (2003, p. 173) “Participatory


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campaigns may be defined as developmental initiatives designed to facilitate bottom–up information flow of developmental ideas.” Moreover, Snyder (2003, p. 174) posits that “campaign management is typically identified as the orga-nizational properties and activities that involve training, technical assistance on managerial issues from consultants, conducting superior/subordinate job task and feedback and goal setting in evaluations as a management tool.” Each section draws on contributions from two concepts from organizational communication, specifically organizational socialization (Van Maanen & Schein, 1979) and com-munication competence (Jablin & Sias, 2001). Interpersonal communications plays a key role in highlighting these contributions.

Theory-driven Literature ReviewDevelopment Communication Campaign Literature

Literature Relevant to Participatory Campaigns and Participatory Action Research

Development communication campaigns are designed to improve and modernize physical and social infrastructure and communal services, typically in develop-

ing countries. There is no single definition for these types of campaigns and their goals. This is largely because development-related objectives tend to radically change over time and vary based on specific needs of diverse communities on a case-by case basis.

There are at least three landmark studies on development communication cam-paigns that provide the theoretical foundation for this article. These studies are linked in that they all apply insightful theoretical concepts from Participatory Action Research (PAR). PAR is a theoretical framework that belongs to the broader theoretical school of thought of practical theory (Barge, 2001). PAR is useful in illustrating the sociological processes with which ideas on development are diffused into disadvantaged communities in developing countries.

Morris (2003, p. 226) suggests that “the purpose of PAR is to empower people to have greater control over decisions that affect them and, in this way, to foster social equity and democratic practices.” Morris (2003, p. 226) submits that the “essence of the participatory approach lies in working with citizens to determine their needs and to design and implement programs to address these needs, rather than imposing an intervention on a community.” Community participation can extend from the formative research phase through program planning and execu-tion to the evaluation of the program (Cornwall & Jewkes, 1995; Roe, Berenstein, Goette, & Roe, 1997). The theory lends itself to a potentially expedient and experiential methodology (Freire, 1970; Jacobson, 2000; Servaes & Arnst, 1999) or processes in which the disenfranchised and powerless take the initiative to


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develop consciousness-raising tools and instruments within a development con-text. Consequently, PAR emerged as a forceful methodology-cum-action theoreti-cal approach, in which innovations occur in a horizontal direction or bottom-up pattern.

In the first of the three studies that were referenced earlier in this section and that are relevant to PAR, Snyder (2003) discusses the role and value of develop-ment communication in terms of facilitating grass-roots campaigns that promote change from the bottom up. The author draws on the work of Bandura (1986, 1994) to suggest that media campaigns can be effective in linking behavior and context in order to improve community participation. For example, “campaigns may teach the skills they need to change their behavior” (Snyder 2003, p. 178). She (2003, p. 178) finds that communications-driven “campaigns can provide information that causes people to alter their reasoning if either (a) there is a rec-ognized emergency or (b) new information is conveyed or (c) there is threat of enforcement by law enforcement.”

The second study was conducted by Melkote (1991) and addresses alternative development paradigms. These approaches provide insights into development communication from an ethical perspective and explore how society and culture benefit from advocacy campaigns. Melkote (1991) takes issue with traditional fundamental assumptions of development phenomena, which emphasize a top-to-bottom flow of information and messages from the government to the mass audience. Instead, he argues for a bottom-up or upward influence flow that origi-nates from the people who are experiencing the development problems locally in their communities.

In the third work Rodriguez (2000) engages the concept of citizens’ media, and her discussion complements Melkote’s notion of alternative development paradigms. These concepts are described as being radically different from the traditional development communication model, which assumed that communi-ties in need of social change would follow the mandate of communication and development experts. According to this traditional model “development com-munication scholars, international development agency officials, and government officials devised a course of action for marginal, poor communities” (Rodriguez 2000, p. 148). Moreover, the role of the community was limited to implementing the ideas and development plans of the experts.

Alternatively, Rodriguez defines citizens’ media along five primary dimensions: providing voice, fostering empowerment, connecting communities, instilling con-scientization, and offering alternative sources of information. She (2000, p. 150) posits that “by gaining access to the media, previously silenced communities can break the culture of silence and regain their own voices.” Moreover, involvement in citizens’ media projects strengthens peoples’ sense of self-efficacy and endows


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citizens with the power to act in and connect with the world. Ultimately, unlike most media, which are normally restricted by either economic or political forces, “citizens’ media are able to maintain an independent position when gathering, processing and distributing information” (Rodriguez 2000, p. 150).

Literature Relevant to Campaign Management and Diffusion of Innovation

There are a number of other research studies (Hornik, 1975; Shingi & Mody, 1976) on development campaigns that adopt a campaign management–type approach. Moreover, all the studies covered here share the common thread of drawing insights from diffusion of innovation theory, to varying degrees. Rogers (1995, p. 5) defines diffusion as “the process by which an innovation is com-municated through certain channels over time among the members of a social system.” According to him (1995, pp. 5–6) the definition of diffusion can be fur-ther parsed as “a process in which participants create and share information with one another to reach a mutual understanding.” Unlike PAR, the theory tends to assume a top-down flow of information on innovations. This research base also explores how the diffusion of innovation impacts target populations at different socioeconomic levels.

Four elements play a central role in defining and providing context to diffusion of innovations; namely, innovation, communication channels, time, and social sys-tems. Rogers (1995, p. 23) defines a social system “as a set of interrelated units that are engaged in joint problem solving to accomplish a common goal.” He elaborates that there are formal and informal social systems and structures worth considering. Formal systems consist of “hierarchical positions, giving officials in higher-rank positions the right to issue order to individuals of lower rank” (Rogers 1995, p. 24). Examples of formal systems might include local government or educational institutions. Alternatively “an informal type of structure also exists in the inter-personal networks linking a system’s members, determining who interacts with whom and under what circumstances” (Rogers 1995, p. 24). Examples of informal systems could include familial relationships or “get togethers” with friends, peers, and acquaintances. Consequently the structure of the social system can facilitate or impede diffusion of innovation in a system.

The first study relevant to diffusion of innovation involves Werner’s (1975) work, which was based on a response to a TV campaign in Norway designed to encourage the purchase of children’s books. The findings revealed that the percent-age of children acquiring the books was over five times greater in middle-class versus working-class families. The second study was conducted by Cooke (1975); it replicated previous data about the effects of the Sesame Street TV program. The evidence suggested that although the program did have a significant audience impact, the ultimate effect was to widen the educational achievement gaps between


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lower- and middle-class children. In the third referenced work, Galloway (1974) offered a field experiment on rural villagers from India who were introduced to radio forums whose content consisted of literacy reading classes. This time series study suggested that the knowledge gap decreased from 1964 to 1966, but the gap actually increased from 1966 to 1967. Furthermore, the gap in the adoption of radio as a mass medium, aside from content effects, increased from 1964 to 1967.

The more recent literature from the mid to late 1990s raises a spectrum of issues such as how these campaigns are designed to address inequalities in social stratifica-tion. Alcalay and Bell (1996) offer a quantitative study on health communication in which the health care system represents the social structure of interest. The authors utilize a secondary data analysis based on the impact of a health promotion inter-vention on African Americans, Hispanics, and non-Hispanic white females. The authors (1996, p. 303) found “a substantial gap in wellbeing-related knowledge and information acquisition skills between Hispanic clients and African American and non-Hispanic clients.” However, the authors (1996, p. 303) determined that “the intervention was found to be effective in increasing knowledge and information acquisition skills for all three groups” in absolute and relative terms.

Alternatively, Gaziano (1997) discusses social systems in terms of external and internal structural barriers to knowledge gain, social change, and mobility. With respect to external barriers in social systems, she (1997, p. 245) points out that “social stratification creates barriers to information flow and acquisition.” She sug-gests that pressures for knowledge and information control derive from power and merely serve the interests of pre-existing power structure. She (1997, pp. 245–246) addresses community power by arguing that “knowledge gaps were higher ini-tially and widened over time in more heterogeneous or pluralistic communities than in less pluralistic ones.” In terms of internal barriers, Gaziano (1997, p. 247) offers that “involvement, motivation, interest, salience or similar variables can help reduce knowledge gaps.” However, she (1997, p. 247) is quick to point out that “differing contexts and differing operational definitions make the analysis of the results difficult.”

Mainstream Organizational Communication Literature

Mainstream organizational communications covers an exceedingly broad area and incorporates numerous diverse aspects of interpersonal communication.

However this article’s emphasis is on the concepts of organizational socialization and communication competence. These two concepts are useful in drawing insights into how to make development communication strategies more effective.

Organizational Socialization

Organizational socialization involves the learning of content and the process by which an individual adjusts to a specific role in an organization. Definitions of


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organizational socialization have progressed from a general description of “learn-ing the ropes” to a more detailed definition of a “process by which an individual comes to appreciate the values, abilities, expected behaviors, and social knowledge essential for assuming an organizational role and for participating as an organiza-tional member” (Louis, 1980, pp. 229–230). Van Maanen and Schein (1979, p. 211) add that “across the roles, the process may appear in many forms, ranging from a relatively quick, self-guided, trial-and-error process to a far more elaborate one requiring a lengthy preparation period of education and training followed by an equally drawn-out period of official apprenticeship.” Thus organizational social-ization is useful in understanding how people adapt to new organizational roles.

In addition to defining organizational socialization in broad terms, the litera-ture also lends insights into how participatory and diffusion-oriented develop-ment campaigns are conceived by outreach agencies and target populations. For example, Chao et al. (1994) address how content dimensions of the socialization domain were defined within an organization or social system. The authors (1994, p. 730) discuss “six socialization dimensions—performance proficiency, politics, language, people, organizational goals/values, and history.” The socialization pro-cess was examined by comparing three groups: those that did not change roles, those that changed roles within the organization, and those that changed roles and organizations. The results showed these groups had significantly different response patterns on all dimensions. These dimensions may be applied to assess the efficacy of participatory and diffusion-oriented campaigns. Organizational socialization can lend insight into how individuals learn and process information about development campaign–related resources.

Communication Competence

The literature on communication competence tends to be value laden. Adams (2001, p. 40) points out that what “social actors perceive as competent is shaped largely by the standards of their communities, and the same is true of social sci-entists.” Consequently the literature is replete with definitions of communication competence. Monge et al. (1982, p. 506) equate competence with effectiveness and argue that “competent communicators are those who are effective at achieving their goals.” Alternatively, Parks (1982, 1985, 1995) is more specific in his goal/control-oriented conceptualization of the concept. In Park’s (1994, p. 595) view, “communication competence represents the degree to which individuals perceive that they have satisfied their goals in a given situation without jeopardizing their ability or opportunity to pursue subjectively more important goals.” However, Spitzberg (1994) questions whether those dominant conceptions of competence that emphasize clarity, sensitivity, and politeness reflect the full spectrum of com-petent communication. He (1994, p. 33) observes that “competence is sometimes equated with the accomplishments of clarity, accuracy and understanding. Yet,


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ambiguity, deception, equivocation, and tentativeness are often highly competent communication tactics.” Finally, McCroskey (1984, p. 264) distinguishes among “understanding” and “doing” (performance) and points out that “communication competence requires the ability to perform adequately certain communication behaviors as well as an understanding of those behaviors and the cognitive ability to make choices among behaviors.”1

The research base on definitions and on metrics to assess communication com-petence provides a context for addressing development communications cam-paigns. However, it is also important to consider richer and more diverse aspects of development communications aside from the more narrow definitional and measurement issues. Perhaps the most relevant example of such a work is by Jablin and Sias (2001). A prominent purpose of their (2001, p. 820) piece involves a proposal for a “developmental-ecological framework for organizing and critiquing existing competence.” The ecological perspective emphasizes the notion that “both individuals and environments change and interact as totalities (and) . . . changes do not take place in single aspects isolated from the totality” (Magnusson, 1995, p. 39).

This ecological approach provides insights into the social interaction among those who design campaigns and those who consume the social services. Those who implement campaigns and those who receive the campaign’s services make innumerable adjustments in the expectations surrounding their respective behavior and goals. This fluid and interactive process of learning, performing behaviors, and accomplishing goals establishes the basis to determine the competencies of the respective sides. Therefore to approach development campaigns from just the implementation side or just from the consumption perspective provides an incomplete understanding of how competence is shaped within these campaigns. The competencies play a role in the symbiotic relationship between providers and users of development campaigns. This interactive and ecological dynamic is a hallmark of the participatory action research philosophy.

Implications for Participatory CampaignsOver the years there has been considerable research on the communication-

related phenomena, processes, and campaign strategies that accompany devel-opment. Two specific strategies; namely, participatory campaigns and campaign

1Aside from definitional issues, the literature on communication competence has raised at least two prominent empirical measures to conceptualize the term: Wiemann’s (1977) Communicative Competence Scale and Duran and Kelly’s (1988) Communicative Adaptability Scale. Wiemann’s scale includes five dimensions of communication competence: general competence, empathy, affiliation/support, behavioral flexibility, and social relaxation. Duran and Kelly’s scale measures six dimensions of communicative adaptability: social composure, social experience, social confirmation, appropriate disclosure, articulation, and wit.


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management, will be focused on in this article, as they are the most applicable to communication at the interpersonal level. This section discusses participatory campaigns, and the next focuses on campaign management. The analysis for each strategy incorporates concepts from mainstream organizational communication—specifically organizational socialization (Van Maanen & Schein, 1979) and commu-nication competence (Jablin & Sias, 2001)—within the discourse on development campaigns.

Because participatory campaigns vary widely from one context to another, there is no unified all-inclusive operational definition of this term. However, these campaigns have two generally defined characteristics; they empower their target audiences and they tend to be democratic in nature. They may be broadly defined as developmental initiatives designed to facilitate a bottom-up information flow of development ideas (Snyder, 2003, p. 173). Consequently, those people who are in need of development innovations and services are the ones taking the proactive role in organizing the methods and logistics for their own development. Moreover, there are multiple categories of this development strategy that are elaborated in the relevant research (Snyder, 2003).2

These campaigns would involve outreach in which members of the community in need of development would be selected based on their fit with the profile target audience of the campaign. These selected individuals would communicate directly with other similar members of the community to persuade them to adopt the campaign. For example, these leaders in their communities would be asked to go to a commonly frequented social gathering place or to go to individual homes in order to raise critical issues related to their own development. This communication process would involve one-on-one or small group conversations between leaders and the rest of the community based on a sense of partnership in the process of development. Consequently, this process would be very labor intensive for those communicating strategies in the various micro groups. For example, this process may require those individuals who have attained leadership roles in their communities to engage in a dialog with target populations that entail interactions that are relevant to the concept of organizational socialization. Moreover, these leaders may need to demonstrate distinct communication competencies in their interactions with target populations in order for the campaigns to be effective.

2For example, Representative participation approaches typically involve contacting local leaders to gain their sup-port for a program and creating advisory boards composed of local representatives. Local expert participation consists of funding local organizations to conduct campaigns, create partnerships with local organizations, and hire locals as staff to participate in campaign designs. Audience research participation calls for conducting extensive interviews with target audience prior to designing the campaign using the feedback to refine campaign goals, targets, messages, and persuasion strategies. Local outreach worker participation builds on diffusion theory–related advice to choose communicators who are similar to the target audience, by choosing members of the target audience to be the communicators. Government agenda-setting participation links people to decision makers in government by facilitating town meetings.


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Contributions from Mainstream Organizational Communication

Two concepts from the mainstream organizational communication research base are particularly useful in drawing insights into participatory campaign strategies.

First, organizational socialization is useful in discussing the role of inclusionary tactics in groups. Second, communication competence involving self-efficacy issues stimulates behavior that is critical to the function of participatory campaigns.


Van Maanen and Schein’s (1979) discussion of organizational socialization can be extremely influential in presenting insights into the processes with which partici-patory campaign strategies function in development communications campaigns. Specifically, the authors raise numerous dimensions of organizational socializa-tion. These dimensions can explain how individuals approach their new roles within groups as they become socialized within participatory campaigns. This article focuses on one dimension, which involves “the social fabric or interper-sonal domain of organizational life” and is essentially an interactional dimension (Van Maanen & Schein, 1979, p. 221). The dimension is also characterized as an inclusionary one in which social rules, norms, and values play an important role in the process of determining who will be accepted within a group. Potential members are accepted depending on whether they share “the same assumptions as others in the setting as to what is organizationally important and what is not” (Van Maanen & Schein, 1979, p. 222).

A similar inclusionary dynamic is at work in participatory campaign strategies. For example, in local outreach worker participation, which is a type of participa-tory campaign, the leaders of the communication strategy are very often delib-erately selected from the group that the participative campaign is targeting. This strategy assumes that the leader and the group will share communication-related variables and norms on the value of development issues with others in their communities.3 As a result, disadvantaged members of the community will be able to identify with those opinion leaders who are designated by the organizers of the campaign. The individual in need of resources or ideas on development will therefore take cues about their new role in the campaign based on close frequent interaction with the leader. In addition, members of the target group would be more likely not only to participate in the campaign, but also to adopt behaviors and goals that will benefit their quality of life as a result of long-term exposure with the opinion leader. For example, this exposure would entail close, frequent, and sustained interaction with the leader of the participatory campaign. Such

3An implicit assumption specific to this category of participatory strategies is that when the leaders interact with members who are being persuaded to adopt the campaign’s innovation, who share customs and beliefs with them, and who live in their communities, the interpersonal interactions will be particularly effective and persuasive.


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exposure would enable a disadvantaged community member to become socialized via both verbal and nonverbal messages in general communication that would convey the practical necessity for development to solve everyday problems. The formation of strong and weak ties (Granovetter, 1983) or networked relationships facilitates the efficacy of development campaign strategies.

One practical example of a participative campaign might involve a disenfran-chised member of a village community who has a severe medical ailment and needs access to information about a vaccine or any other medical innovation or service. Such an individual would likely first notify either friends, family, peers, or a local outreach worker that he or she had a health problem or issue related to development. The inclusive norms, rules, and values expressed in the networks of friends, family, and social workers that characterize participative campaigns play a large role in influencing an individual on whether or not to adopt a particular medical innovation.


Jablin and Sias (2001) identify self-efficacy as a key concept in assessing an individual’s motivation to communicate effectively. Self-efficacy is “concerned with people’s beliefs in their capabilities to mobilize the motivation, cognitive resources, and courses of action needed to exercise control over task demands” (Jablin & Sias, 2001, p. 830). Moreover, self-efficacy becomes a pivotal issue when individuals identify a course of action but are ambivalent about whether they are actually able to successfully follow through with the behavior. Consequently, self-efficacy has important implications in the individual’s decision-making process as to whether he or she should engage in participatory campaigns.

The organizers of participatory campaigns need to consider what the main social processes are through which self-efficacy can raise insights into the efficacy of new ideas in development campaigns. This concept of self-efficacy provides a useful perspective on participatory campaign strategies, which tend to assume that individuals will be more likely to proactively seek out campaigns in order to obtain the most appropriate tools for development. As an example of a specific tangible application of the self-efficacy issue, Katz (1963) has suggested that more attention needs to be focused on the unit of adoption. Katz (1963) suggests that the unit can vary from the individual to the interpersonal level, depending on the specifics of the innovation. In this vein, he (1963, p. 90) observes that “it seems that different kinds of innovations ‘require’ different kinds of adopting units.” Therefore, the unit of adoption has the potential to have important implications on the individual’s self-efficacy. For example, depending on the type of innovation, one’s sense of self-efficacy can be shaped by a number of factors at multiple levels.

To sum up the discussion on participatory campaigns, it is important to recog-nize that they represent a type of development strategy of singular value. They


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are unique in that they facilitate a unique bottom-up flow of development ideas. The concepts from organizational communication research such as organizational socialization and communication competence raise invaluable contributions to participatory campaigns such as inclusionary tactics and self-efficacy.

Implications on Campaign ManagementOver the last twenty years there has been a modest growth in the attention paid

to strategies for managing development campaigns. Campaign management may be conceptually defined as the organizational properties and activities that involve training, technical assistance for managerial issues from consultants, and conducting superior/subordinate job task, feedback, and goal setting in evalua-tions as a management tool (Snyder, 2003, p. 174). For example, it would explore ways in which the personnel in these organizations can be trained to act in the field. An evaluation of a development campaign can provide essential feedback on the quality of the campaign’s strategy. In addition, the evaluation can be useful in assessing the effectiveness of the campaign. Although there has been limited empirical work on how well efforts to improve campaign management have worked in the field, theory suggests that social workers can provide important feedback to campaign supervisors.

Contributions from Mainstream Organizational Communication

The research base on mainstream organizational communication can be extremely useful in drawing insights into campaign management strategies in at least two

ways. First, organizational socialization accentuates the role of the hierarchical dynamics among different levels of campaign personnel. Second, communica-tion competence suggests that motivation is an important consideration and can improve the efficacy of campaign management.


Van Maanen and Schein’s (1979) discussion of organizational socialization pro-vides insights into various dimensions of organizationally defined roles. The dimen-sion that provides the most insight into campaign management concerns hierarchy or rank within an organization. Van Maanen and Schein (1979, p. 219) point out that this hierarchy dimension “reflects the official lines of supervisory authority within an organization, but does not presume that such authority carries with it the power to direct the behavior of underlings.” Furthermore according to their (1979, p. 219) model “very decentralized organizations will have relatively few hierarchical distinctions, whereas very centralized organizations will have many.”

The authors elaborate on six organizational socialization tactics, one of which will be focused on here as it is useful in drawing insights into those campaign man-


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agement strategies that highlight the issues of centralization and hierarchy. This tactic concerns collective versus individual socialization processes. Van Maanen and Schein (1979, p. 232) define collective socialization, which is reflective of a centralized organizational environment, as “the tactic of taking a group of recruits who are facing a given boundary passage and putting them through a common set of experiences together.” The authors (1979, p. 233) define individual socializa-tion, which represents a decentralized organizational structure, as “the tactic of processing recruits singly and in isolation from one another through a more or less unique set of experiences.”

Collective versus individual socialization tactics can have a profound effect on the way that managers and fieldworkers in outreach organizations are trained, and on their sense of organizational culture and learning experiences. Consequently, the tactics can have substantial implications for campaign management strate-gies in developing countries. Theory would suggest that collective socialization would foster a centralized structure in which upper-level campaign managers have relatively more power to micromanage in directing the day-to-day duties of fieldworkers in diverse rural village settings. Alternatively, individual socialization would likely accord relatively greater autonomy to fieldworkers who otherwise tend to have relatively less powerful roles in the organizations’ hierarchy and deci-sion making. Consequently, in individual socialization these fieldworkers would be empowered to take greater initiative in their roles, which allows for more specialization in the pattern of development on a case-by-case basis depending on context specific factors and considerations.


Although Jablin and Sias (2001) concede that motivation is often oversimpli-fied in the existing research on organizational communication, they do consider it an important concept. According to them (2001, p. 829) “motivation is what sets in motion our communicative efforts, directs us to specific strategies, and impels us to continue.” They (2001, p. 830) posit that “the more difficult, specific, and highly valued the goal, the more motivated an individual will be to com-municate.” The assumption is that motivation is an important factor that can be exceedingly effective in facilitating elaborate goals and ultimately communication competence.

Goals and motivations are concepts that are exceedingly influential when applied to campaign management contexts. For example, the existing research on these campaigns tends to lack specificity on what techniques are most effective for use by top level managers in convincing mid-level administrative workers and field workers to be more effective in implementing strategies in target communities. Perhaps the primary communication skill required in interorganizational campaign


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management is the ability to coordinate upper management with social workers who are in the field. This involves having a sense of upper management’s priori-ties as well the types of information and the amount of information that they need to make their decisions in order to ensure the most effective campaign management.

Mid-level managers also have to understand the interests and concerns of the social workers who are based in the local communities. These managers must be sensitive to conflicts among multiple levels of employees and to methods for fram-ing the communication so that they will implement the most effective strategies. This is especially true with fieldworkers who have a broad array of backgrounds and talents and work with diverse communities. However, there have been few substantive empirical studies or findings on what types of goal setting are success-ful and how and when motivation is most effective when training fieldworkers. Part of the problem is that “communicative goals are often below the conscious awareness level of interactants” (Jablin & Sias, 2001, p. 830). This makes the process of objectively assigning metrics to goal setting problematic in terms of forging a consensus on the value of specific goals among managers at different levels in the organization.

Few solutions to these problematic issues are raised in the literature. One pos-sible solution may be to break down the goals into meta-goals. These would include efficiency, quality of information on innovations/services, and customer satisfaction dimensions. Under these goal guidelines upper-level managers and field workers would agree to a number of the meta-goals before designing and implementing a campaign in a way that is mutually acceptable. The motivations, such as salary increases and career support, should also be discussed in detail and linked to specific goals in a way that most efficiently promotes communication competence. Finally, frequent communication between senior or upper-level man-agement and the fieldworker is necessary to ensure there are no misunderstand-ings. This communication will be helpful in ensuring that progress is on track and meets with the campaign management strategy.

To sum up the discussion on campaign management, these organizational techniques add value by integrating aspects of inter-employee relations within a development communications context. The techniques raise keen insights into how organizations that provide tools for development can better coordinate com-munication to design more effective strategies. Just as in the case of participatory campaigns, campaign management strategies in the field can be improved by inte-grating contributions from organizational communication. Finally, the concepts from the mainstream organizational communication literature, such as organi-zational socialization and communication competence, contribute to campaign management. Specifically these concepts draw attention to hierarchical dynamics that promote communication in organizational contexts.


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ConclusionThis exploratory article’s primary intent is to draw conceptual links between the

subfields of development communications and organizational communications. The original contribution presented in this article offers a starting point to examine the application of salient concepts from mainstream organizational communica-tion to the epistemology on development communication campaign strategies. This article is intended to be a starting point for highlighting the need to further integrate distinct the two subfields. The article also recognizes that the actual integration of the different areas of studies, such as organizational socialization, communication competence, participatory campaigns, and campaign management, is probably a task too ambitious for a single article to accomplish.

There are at least three aspects of interpersonal communication within the con-text of development that are worth reviewing. Firstly, there is a dearth of research in the field that explicitly treats the range of complexities of small group–related modalities with which ideas on development are diffused via human commu-nication. Also, although the participatory campaigns are more germane to the consumers of the campaigns at the micro level, campaign management is a more crucial consideration for those organizations that implement the strategies at a more macro level.

Secondly, intellectual inquiry focusing on interpersonal communication pro-vides a unique and valuable connection that bridges the contradictions between the two development communications campaign strategies. Thirdly interpersonal communication can be a useful analytical tool to blend concepts from organiza-tional communications within the context of development communication. This modality of communication also raises concepts that can improve the efficacy of development strategies. Even though organizational communications has been traditionally applied to employee issues in workplace settings, certain concepts are highly insightful and may be applied to better understand how ideas related to development are communicated among community members through small group interactions. This interpersonal communication can manifest in interaction between personnel, such as upper-level management and field workers in NGOs and outreach organizations, as well as the discourse among members of popula-tions that are targeted by development communication campaign strategies.

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Visualisation in Participatory Programmes (VIPP)Taking Stock of Its Diffusion and Impact

N E I L L M C K E E , M A R I A A N G E L I CA SA L AS, N U Z H AT S H A H ZA D I , & H E R M A N J. T I L L M A N N

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Neill McKee is a Canadian communication specialist with an MS in Communication, (Florida State University, 1988). He has over 40 years of experience in international development. He is presently the Associate Director for the Center for Global Health Communication and Marketing, Academy for Educational Development, Washington DC. From January 2001 to October 2008 McKee held senior positions in Baltimore and Russia with the Center for Communication Programs, Johns’ Hopkins’ School of Public Health. He held various commu-nication posts in Asia and Africa with UNICEF between 1990 and 2000 when he launched the regional Meena and Sara communication initiatives for girls’ rights in South Asia and Africa. McKee is author of a number of communication books and articles, including co-author of the first and second edition of the manual on VIPP methods. Email: [email protected] Angelica Salas is a Peruvian with a PhD in Anthropology (University of Nijmegen, The Netherlands, 1996) who has long experience in working with indigenous peoples in South and Central America, China, and Southeast Asia in participatory development. She has been guest lecturer in theory and methods of indigenous knowledge and intercultural dialogue at universities in Europe, South America, and Asia. She works as a consultant to international donor agencies on participatory development methods. Dr Salas’ publications include manu-als on PRA and PTD in Central America and in China. She is co-author of the first and second editions of the manual on VIPP. Email: [email protected] Shahzadi is a Bangladeshi communication specialist with an MPH (Dhaka University, 1989) and an MA in English Literature (Dhaka University, 1981). She has over 22 years experi-ence in the development field. She was a Communication Officer in UNICEF-Sri Lanka from 2006 to mid-2007 when she focused on emergency alongside regular programming. She moved to Herat, Afghanistan in June, 2007 where she is currently Head of UNICEF’s field office for the Western Region. In 2004–2005, Shahzadi was Senior Program Officer, Center for Communication Programs, Johns Hopkins University. She headed UNICEF’s Meena Communication Initiative in South Asia (2001–2004), and the Sara Communication Initiative in Africa (1996–2001). She is co-author of the second edition of the manual on VIPP. E-mail: [email protected] J. Tillmann holds a PhD in Anthropology (University of Berlin, 1990). He is a specialist in agricultural indigenous knowledge systems, biodiversity, participatory action research, and a trainer on participatory methods. He has worked on various field-based programs on these subjects in South and Central America, China, and Southeast Asia. During 1985-1993, he taught at the University of Hohenheim, Germany, on Rural Communication and Agricultural Extension. He is founder of several NGOs and networks in the 1970s supporting indigenous movements in the Andean Region and co-author of the first and second edition of the manual on VIPP methods. E-mail: [email protected]

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M C K E E , S A L A S , S H A H Z A D I & T I L L M A N N : V I S U A L I S AT I O N I N PA R T I C I PAT O R Y P R O G R A M S

OVER THE PAST FIFTEEN years, Visualisation in Participatory Programmes (VIPP) has been used in many communication and education programs around the world as a toolkit for participatory planning and training, as well as partnership building for many programs. VIPP has its roots in the popular education move-ments of Latin America and in the structured methods of Metaplan, in Germany, but it first came together as a distinct set of methods in UNICEF, Bangladesh, in 1991. The VIPP methodology breaks down this “seminar culture” and is adaptable for use with almost any framework. The authors document how, since 1991, VIPP has been applied successfully in programs and events in Asia, Latin America, Africa, Europe, and North America, including the development and design of regional communication initiatives, training on Participatory Learning and Action, WHO’s teaching/learning methodology on for adolescent health, and strategic planning for health programs in the U.K. This article takes a critical look at the ability of VIPP methods to transform the environment and context of the work of communication programmers and development workers using these methods. It analyses the strengths and weaknesses of the methods and the condi-tions under which it is most beneficial for communication programmers.

Key words: Participatory facilitation, training, learning, group dynamics, team building, community development, empowerment, indigenous knowledge

Over the past 15 years, Visualisation in Participatory Programmes (VIPP) (Salas et al., 2006; UNICEF Bangladesh, 1993) has been used in many communication

and education programs around the world as a toolkit for participatory plan-ning and training, as well as for partnership building. VIPP has its roots in the popular education movements of Latin America and in the structured methods of Metaplan, in Germany (Schnelle & Stoltz, 1977), but it first came together as a distinct set of methods in UNICEF, Bangladesh, in 1991.

Since 1991, VIPP has been applied successfully in programs and events in Asia, Latin America, Africa, Europe, and North America, including the development and design of the Meena Communication Initiative for South Asia; the Sara Communication Initiative for Africa; and the Adolescent Reproductive Health Communication Project of Bangladesh. In Latin America and South East Asia, VIPP has been widely applied to training on Participatory Learning and Action (PLA) and to programs that reinforce biodiversity and the indigenous knowl-edge of ethnic minorities. It has also been used widely in the creation of many national, regional, and local communication plans; curricula development; training; and project planning and review in many public health and social development programs. For instance, it has become the cornerstone of methodology for the World Health Organization’s orientation program on adolescent health (WHO, 2004). It was also used in Strategic Planning for the Reduction of Obesity and for Smoking Cessation and Tobacco Control by the National Health Services, U.K. (2004).


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This article takes a critical look at both the successes and limitations of VIPP methods when they are applied to social, health, and environmental development projects and programs. It analyzes the strengths the methods, the challenges encountered in their application, and it charts out a course for further develop-ment of the VIPP during the next decade. Much of the content of this article is derived from thinking and reflection in developing the new facilitators’ manual on VIPP written by the same authors (Salas et al., 2006).

What Is VIPP?VIPP is a methodology for conducting group events that puts people at the

center of the process of solving development and social problems and coming to new, collective visions of the future. It is unique in that it provides a creative combination of different participatory approaches that emphasize visualization techniques.

VIPP offers an alternative to the usual “seminar culture” of planning workshops, seminars, training sessions, business and organizational meetings. These are usu-ally conducted very formally with a multitude of presentations and little creative interaction between participants. In recent years, computerized presentations have become the status quo in almost any group event. Many of us have experienced “information overload” in group sessions, in which a large part of the content of presentations is lost due to lack of audience involvement and audience fatigue. Often the viewpoints of participants are not heard, nor processed. Typically, deci-sions are made and conclusions reached with little involvement of participants.

VIPP methods attempt to change this through democratizing interaction in group events. VIPP consists of visualization techniques, including the use of multicolored cards of different shapes and sizes, on which participants express their contributions and share these with one another, either anonymously or openly, depending on the question being addressed. VIPP is composed of a wide variety of participatory methods (see Appendix 1). Many of these methods have been adapted from other participatory traditions. However, in VIPP they can be applied at various levels with homogeneous and heterogeneous groups. They form a coherent toolbox of techniques with precise instructions on their possible applications.

In VIPP processes, all people involved take part in arriving at a consensus on an issue or in learning something new. Those who are less talkative are able to express themselves through visual inputs. Those who usually dominate cannot control the process and are forced to let others contribute. Through visualization, repetition and circularity in discussion are reduced while new ideas are highlighted and processed. This adds to the creativity of group processes and the practicality of their outputs.


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Roots of VIPPV IPP is derived from two main traditions. One is from Latin America, where

the work of Paulo Freire (1970) has spread widely and influenced develop-ment processes. Freire believed in the creativity of the underdog—the poor and oppressed in society. He developed methods of empowerment, raising indi-vidual and community consciousness through helping people identify blockages to progress. Through such processes, often involving visualization and literacy education, he helped the poorest sectors of society to articulate their needs and defend their rights.

These methods, sometimes called conscientization, spread through the work of many nongovernment organizations (NGOs) in Latin American. Over the last 40 years, applications of “Freirian approaches” have been documented in many different manuals, books, and articles. New philosophers came forward, such as Orlando Fals Borda (Fals-Borda & Rahman, 1991) in Colombia. He applied Participatory Action Research (PAR), an adult education method that was first formulated by Kurt Lewin (1948) in the United States. Borda used PAR in con-scientization processes by getting the poor to understand political organization processes, starting with the recovery and valuing of local history and moving to collective action.

The other main tradition from which VIPP is derived comes from Germany, where the Quickborn Team invented an approach they called Metaplan. Schnelle and Stoltz (1977), with other colleagues, set out a system of training in which decision makers come together with those who may be affected by decisions, visualizing problems and issues and preparing common solutions. These methods began in the 1960s when German society was experiencing student unrest, and some were looking for an orderly way to engender more democracy in social policy decisions. Since that time, a whole industry has grown up around Metaplan processes and materials in Germany, involving the public and private sectors and civil society.

However, it was not until the 1980s that these methods were substantially applied to international development work. At the Institute for Agricultural Extension, University of Hohenheim, Germany, a group of trainers began to develop creative processes for application in international rural development, and these were applied to training courses at the German Foundation for International Development (DSE), Feldafing, Germany. A manual called “Participatory Methods for Group Events” was published and revised several times to support this work (Ullrich, Krappitz, & Gohl, 1991).

In 1991, Neill McKee, then with UNICEF Bangladesh, having learned about these methods in a seminar at DSE in 1986, engaged Hermann Tillmann and Maria Angelica Salas of the University of Hohenheim to come to Bangladesh to help train facilitators for application of VIPP in UNICEF planning and training


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processes. They named the methods “Visualisation in Participatory Programmes” or “VIPP,” and developed the first manual, which was published in 1993.

VIPP synthesizes the visualization techniques of Metaplan and the empower-ment approaches of Freire and Fals Borda. It can be applied to any situation where a group of people are working together to analyze situations and plan activities or are to be trained on new concepts and approaches. VIPP stresses a democratic philosophy and the central role of the facilitator or “moderator” who fosters the generation of collective knowledge by encouraging dialogue between people.

Philosophy of VIPPThere are a number of key concepts involved in VIPP:

Development within a vision of empowerment: The methods are designed to increase democratization in group deliberation, to empower individuals, groups, and communities at different levels through facilitating dialogue that leads to local decisions and actions. Traditional bureaucrats often reject such approaches, as they may rob them of power. However, some managers may come to the realization that their efforts have a far better chance of success if they are owned by a team and by the communities with whom they are working.

Facilitation of groups: The facilitator in VIPP processes is a skilled, method-ological guide who recognizes that each individual has experiences and knowledge which can contribute a great deal to the outcome of group processes. He or she helps groups to arrive at collective knowledge for joint action. In VIPP processes, participants are equal partners. This does not exclude individual expression, but it does help to limit the usual tendency of one or two experts dominating the proceedings.

Lifestyles and cultures: Another basic tenant of VIPP is the need to strengthen group or cultural identity. VIPP does not prescribe universal techniques or impose rigid frameworks. VIPP recognizes that there are different learning styles. The facilitator is free to motivate participants to express themselves orally or visually, based on their lifestyles and cultures. In heterogeneous groups, the facilitator may engage participants in intercultural dialogue, demonstrating respect for the values and perceptions of other people. Although this may be more difficult within national programs with national goals, VIPP processes help such programs take local realities into account. If applied properly, they can assist in the devolution of planning processes.

Communicating personal perceptions: Everyone perceives reality in his or her own way. We select details out of our physical and social environment and inter-pret them according to past experiences and established values. However, our


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perceptions can change through dialogue with others. During visualized group processes, new insights may be acquired. VIPP catalyzes group interaction to cre-ate synergetic processes that generate new ways of looking at things. Subjective perceptions may be modified, and the outcome may be accepted as part of the collective knowledge of the group. Sustainable development usually results when people take ownership of decisions and are motivated to both individual and col-lective action. VIPP facilitates this process.

Mobile visualization: Most of us have five senses, yet the oral tradition of impart-ing information still dominates most group events. However, the more senses we employ in a process, the more we internalize and learn. In VIPP, ideas are normally expressed on mobile, visual media, such as on multishaped and multicolored cards mounted on charts or moveable boards. Ideas can be developed in small groups, clarified in plenary, revised and processed in the next step by the same group or new group. Visualization helps people to understand complex relationships and synergy between different concepts and to maintain a continuous record of each stage of the process. It allows presentations to be creative but logical and patterned in certain given codes. These methods help to capture the attention of participants and to maintain focus. In discussions on the issues, the comments of other partici-pants are captured and remembered. Visualization also helps create an immediate record for facilitators and participant so the ideas are not forgotten.

Process design: Every group process has its own distinctive and evolving dynamic due to variations in learning styles of individuals, variations in how groups build team spirit, and in how they manage crisis. The VIPP facilitator has to consider these factors in a plan for each event. Plans may include sessions such as introduc-tions, warm ups, problem analysis, problem solving, strategy planning, and ongo-ing evaluation of the process. The design of an event, such as a course, seminar, or planning session should take into account the interrelationship between the purpose, content, duration, and the participants. Also, factors such as people’s daily mood swings, attention rhythms, and possible conflict between participants must be taken into account in planning and adjusting plans.

The Uses of VIPPSince it was first developed in Bangladesh in the early 1990s, VIPP has been

applied to a large number of processes and programs around the world. These may be classified into the following categories:

• Planning communication strategies and programs, as well as other programs• Communication materials development and storyline planning• Putting research into action


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• Community-level development work• Training workshops• Training of facilitators and trainers• Curricula development• Running conferences and information markets• Management, human-resource planning and team building• Business meetings

One reason for this wide application is that VIPP is not tied to any one insti-tution, framework, or set of steps. VIPP methods can be applied to just about any group event. This section describes different kinds of applications and gives some examples. However, Appendix 2 lists a large number of applications that have taken place throughout the world.

Planning Communication Strategies and Programs, as Well as Other Programs

It has been found that any kind of development program, including communica-tion strategies and plans, can be designed using VIPP methods. This may include

steps such as analysis at the community level, consultations with a wide range of stakeholders, and discussion and planning sessions at the project directorate. Steps may include problem analysis; development and elaboration of goals, objectives, strategies, activities; and monitoring and evaluation. Users have found that VIPP methods allow quick collection, classification, and processing of ideas and issues that usually constitute blockages to planning progress.

Meena Communication Initiative for South AsiaThe Meena Communication Initiative for the South Asian girl child is an example of a communication program that was planned through a series of VIPP workshops. It involved participants from Bangladesh, India, Pakistan, Nepal, Sri Lanka, and the Maldives. They worked together in a number of stages in the development of the program: synthesizing research findings, developing characters and storylines for more research, refining stories, and developing production schedules. The workshops involved writers, artists, programmers, researchers, academics, and gender, health, and education specialists from all participating countries. These workshops were designed to build consensus on the whole program. The participants also used VIPP helped to create stories that address a range of social development issues: gender discrimination in education, health services, nutrition, child labor, early marriage, and dowry. It was found that by employing VIPP methods, these diverse countries could agree on such issues.Source: Salas et al. (2006)


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In communication planning, VIPP has been employed with a wide range of partners or a coalition to arrive at a plan for a program at the national, state, regional, or community level. This process is sometimes called social mobiliza-tion, “a process of bringing together all feasible and practical inter-sectoral social allies to raise people’s awareness of and demand for a particular development program, to assist in the delivery of resources and services and to strengthen community participation for sustainability and self-reliance” (McKee, Bertrand, & Becker-Benton, 2004, p. 65). The objective is to bring together many partners to combine resources and broaden ownership in a particular program. It may involve devolution of the planning process to local government and grassroots levels so that greater ownership and sustainability is achieved.

Social and Behavioral Networks andCommunication in Bangladesh

In 2005, UNICEF Bangladesh with the Center for Communication Programs, Bloomberg School of Public Health, Johns Hopkins University, held workshops to involve marginalized groups in an in-depth investigation of risk perceptions and behaviors regarding sexually transmitted diseases, including HIV/AIDS. In one workshop, the participants also developed local communication plans for HIV and AIDS prevention. The participants included male sex workers/males having sex with males; brothel-, street-, hotel-, and residence-based sex workers; people living with HIV and AIDS and injecting drug users. Also included were researchers and participants from NGO programs who work with the abovementioned groups. The same program has also used VIPP in planning workshops with people living with HIV and AIDS, sex workers and folk media specialist to develop mass media, local media and folk media strategies, Bangladesh.

It was found that the main challenge was to effectively engage such diverse participants from different social strata, some being semi-literates or non-literates. However, the participants actively gave their inputs and developed local level plans for implementation.Source: Salas et al. (2006)

Communication Materials Development and Storyline Planning

VIPP has also been widely applied to planning of storylines for print, radio, and television using entertainment education (EE) approaches that are intended to

educate while entertaining. The objective is to ensure that stories are embedded in social or cultural practices and address issues in a realistic manner.


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Creative writing is usually understood as an individual endeavor. However, it has been found that bringing together people with various perceptions of the issues, including members of the intended audiences, can lead to excellent results. People in homogeneous groups often spark one another’s imagination, leading to creative outputs. The VIPP rule of writing only one idea per card is especially useful in planning stories or creating messages because it is easy to move ideas into new sequences, add ideas, or discard ideas altogether. Some people believe that writing should not be left to a committee. However, a creative working group can avoid the symptom of “writers block” and can at least provide useful ideas for a professional writer to complete.

Adolescent Reproductive Health Communication in BangladeshIn the Bangladesh the Adolescent Reproductive Health Communication Program, writers, researchers, programmers, trainers, media officials and adolescents have been fully involved in the development of story lines for comic books, radio and TV programs, using VIPP methods. Such participatory methods have engendered partnerships and ownership of the project so much so that it has become national in scope. (See Figures 1 and 2)Source: Salas et al., 2006

Figure 1: Exercise in adolescent reproductive health communicationplanning workshop, Bangladesh

Source: Bangladesh Center for Communication Programs


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Putting Research Into Action

The results of surveys and qualitative research methods can be classified and directly applied, using VIPP methods. Findings are written up, one idea per

card. This allows an easy method of assessing, classifying and matching findings. In some cases, VIPP itself has become a tool for action research. For instance, in Uganda, VIPP was used in focus group research on adolescent sexual maturation (Kasente, Musisi, & Balihuta, 2003). In such uses, the VIPP facilitator becomes a member of the research team.

Community-level Development Work

Participatory Rural Appraisal (PRA) has advanced in the last decade from its rural focus into Participatory Learning and Action (PLA). VIPP can be used

as a complementary approach to PLA. VIPP is usually used by people who are literate and PLA is used in grassroots communities where literacy is not assumed. It employs local people’s drawings, mapping processes, and a good deal of dis-cussion to arrive at conclusions. However, the basic philosophy and many of the methods are the same as VIPP. VIPP methods have been used to train facilitators in PLA. Card and chart methods have also been used with mixed groups of liter-ates, semiliterates and nonliterates.

Figure 2: Adolescent reproductive health story writing workshop, BangladeshSource: Bangladesh Center for Communication Programs


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VIPP in Participatory Learning and Action (PLA)Over the past decade, VIPP has been used to train village-level facilitators. Such training emphasizes recognition of the potential of local indigenous knowledge and the threats placed on rural, minority groups in many parts of the world. During 2004–2005, the Indigenous Knowledge and People’s Network in Southeast Asia was involved in training 18 facilitator-trainers in VIPP facilitation, PLA tools, and intercultural communication. The focus has been on developing community action plans to strengthen livelihoods, cultural identities, and preserve biodiversity in specific geographic areas.Source: Salas et al., 2006

Training Workshops

VIPP can be applied to program training in areas such as communication, life skills, HIV/AIDS, health, and educational issues. Such training dispenses with

the traditional teacher-pupil relationship, and the process becomes interactive, tapping into both the emotional and intellectual sides of the participants. There is little one-way transmission of information. Instead, the proceedings are elaborated by the participants with guidance from facilitators. New knowledge is arrived at through recalling and synthesizing the experiences of participants. Rather than simply answering questions, facilitators work with the participants to discuss issues from their own perspectives. They visualize their deliberations in small groups and bring them to the plenary where they can be discussed further and synthesized into an overall framework. In this way, training workshops can be used to bring out the creativity of every participant.

In VIPP learning processes, the particular knowledge and experience of every participant is accentuated. The trainee is in the center of the process, not the trainer.

Training of Facilitators and Trainers

In training of facilitators for VIPP methodology, the content of training is also the method, that is, using VIPP methods and the issues of participation to train

in VIPP. It has been found that a four- to six-day training course is required for basic VIPP skills, such as improving visualization and presentation skills, understanding concepts of communication and facilitation, practicing facilitation, overcoming recurrent problems of group processes, designing events, and learn-ing planning and creativity tools. Trainees learn by doing. Such training includes a good deal of practice in facilitation, feedback, and reflection on methods and their applications.


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VIPP Facilitator TrainingAt the World Fish Center in Penang, Malaysia, a group of 15 participants from different sections of the organization learned how to facilitate planning sessions, workshops, business meetings, and storyline creation sessions using VIPP. The training program included an introduction to the VIPP approach, visualization, and presentation skills, practicing facilitation as a team, application of creativity tools, and designing forthcoming events. The participants learned the basics of VIPP and defined the role of the facilitator. Finally they applied different evaluation tools to assess achievements of the training workshop. The participants were able to apply their newly acquired skills in different events soon after the training.Source: Salas et al., 2006

VIPP methods can also be used to train facilitators and peer educators for pro-grams in health, education, rural development, and so forth. However, it has been found that if too much of such subject matter is used in training, participants will begin to focus on these issues rather than on facilitation skills, and the training session may become side-tracked into debates on technical matters.

Training of Facilitators and Peer Educators Working with Adolescents on Life Skills

The participants for this workshop were adolescent peers of street vendors, street-based sex workers, garment workers, out-of-school youth, in-school youth, college youth, street children, trainers of peer educators, and NGO program managers.

The methods used were drawing, buzz groups, small group work, role plays, plenary discussions, visualized presentations, drawings, feedback committee, and evaluation. The participants felt empowered because the process of the workshop was participatory. All voices were heard and the creative processes helped adolescent participants to work well with adult program managers and trainers.Source: Salas et al., 2006

Curricula Development

We often assume that curricula development is the job of experts. But experts are sometimes divorced from those who are applying curricula in classrooms.

It has been found that VIPP methods can be used to bridge this divide. Curricula


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can be planned through participatory consultations with teachers and students. In fact, the presence of administrators and psychologists will enrich a planning workshop and assist in creating a more useful curriculum.

Very often in such sessions, conflict may arise over what should be taught in which sequence, and how to measure learning achievement. VIPP methods have been used to bring government officials, educational researchers, psychological experts, teachers, and student representatives together to build consensus on these issues.

Running Conferences and Information Markets

VIPP methods can be modified for uses in conferences or “Information Markets” involving large numbers of participants. The methods are used to facilitate bet-

ter dialogue and understanding in the proceedings that are usually dominated by one-way communication from invited speakers.

Using VIPP in such events requires a large team of skilled facilitators who can assist in smaller group deliberations, clustering and labeling the ideas generated for presentation to plenary. Rather that the usual paper presentations in special-ized panels, such conferences split into miniworkshops with topics of interest to the participants. Each workshop employs a facilitator to support dialogue. A combination of VIPP methods can be used, such as expert interviews, drawings, statements, and structured discussions. This helps broaden the discussion and perceptions about issues. The deliberations of each miniworkshop are then fed back to the plenary.

In an Information Market the participants shift into a new “market” venue for a presentation and discussion on a different topic. The facilitators stay in place, repeating the process with each new group. In this way they can gather different results from different groups, and these can be summarized and reported to the plenary.

Management, Human Resource Planning, and Team Building

In managing organizations, the process of making decisions on how personnel and budgetary resources should be used is often completed by supervisors and

“sprung on” staff with little consultation. VIPP techniques can be used to consult employees on these matters. They can also be employed to review employee per-formance, to redesign ineffective work processes, and to revitalize an organization’s operations. Such team building exercises may be essential for achieving goals.

Such processes involve writing or reflection on mission statements, problem analysis on impediments to progress, brainstorming, and visualized discussion on solutions. They may lead to reflection on overall objectives, the role of the organization or group, operational issues, and specific activities that the group can carry out to build better teamwork. However, if layoffs or cuts in the workforce


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are envisaged, it is usually better for these to be carried out first, before involving all employees in an open process.

Business Meetings

Experience has shown that business meetings are often boring affairs for most participants, often dominated by one or two individuals, including the chairper-

son, and may involve repetition, circularity, sidetracking, and sideline discussions. Experience has shown that these timewasters can be overcome by using VIPP methods to quickly visualize and prioritize, using a quick card collection to gather important issues, hold visualized discussions on them, and vote, if necessary, on actions to be taken. Such joint decision making usually has more chance of actu-ally being realized than simply giving orders, as long as responsibilities are clear. It has been shown that VIPP methods can save time in business meetings and can also be a democratizing force in institutional work, as long as they are applied correctly, not in a manipulative and imposing way.

Evaluation and VIPPContinuous evaluation is built into VIPP processes and events. Feedback is

given by participants on the processes and methods on a daily basis through methods such as feedback committees/process monitors, moodmeter, flash (instant reactions to proceedings), feedback and memo boards, and drawing exercises. In addition, at the end of an event a number of factors are usually evaluated by participants on a 1 to 5 or 1 to 7 point scale, or at least on a linear continuum from “bad” to “excellent.” These may include:

• Objectives (measured separately)• Initial expectations• Materials• Participation/interaction• Facilitation team’s performance• Logistics• Accommodation• Food• Recreation• Ownership and/or consensus on outcome• Workable drafts of strategies• Predicted effectiveness of outcome in future• Allocation of responsibilities for follow up• Avoidance of initial fears—certain behaviors (measured separately): insin-

cerity, poor communication, conflict, domination by a few, poor focus in discussions.


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Such evaluation gives VIPP facilitators instant feedback on the process and allows them to reflect on their own role, skills, and shortcomings. Facilitation teams are encouraged to spend time on such self-reflection at the end of each event in order to improve future performance. In this way, performance of the groups they facilitate and outcomes of events are gradually improved.

However, it is recognized that evaluations of VIPP events are not standardized. It is up to facilitators and participants to arrive at the factors they think are impor-tant to measure in each event. But even if the final evaluation results of all VIPP events could somehow be combined to arrive at average scores, it is recognized that participants’ scores do not translate into measures of the actual impact of the events in terms of advancing social development goals.

Because VIPP is not a methodology being used by one or two agencies for application within a particular program, it is difficult to measure its overall impact. The applications listed in Appendix 2 represent only a portion of the actual uses of VIPP in the past decade, and it would be nearly impossible to make a final statement on the overall impact or value of VIPP and its contribution to develop-ment without a great deal of time and resources to carry out a formal investiga-tion. On the other hand, the apparent popularity of VIPP for a wide variety of applications by a wide variety of organizations, does give one the impression that the methodology is highly valued by those who take it up. Apparently VIPP is a method that fills an obvious need in planning and training processes in inter-national development.

However, it was decided that a full survey of organizations and individuals using VIPP would be a time consuming and costly endeavor, given the wide diffusion of the method, and that it could lead to a biased response from mainly keen VIPP facilitators. Therefore, when undertaking the writing of the new manual on VIPP (Salas et al., 2006) the authors met to discuss their own experience in using VIPP—the best and the worst. These were written up and shared with a core group of experienced VIPP facilitators to get their opinions and additions, especially concerning the limitations of VIPP or how VIPP could be improved. The findings are given below.

VIPP Caveats and Limitations

Materials and Equipment: VIPP has sometimes been accused of being too expensive in terms of materials and equipment. There are now a number of

Western sources of Metaplan materials to order from (e.g. see http://www.neuland.biz or http://www.neuland-online.de).

On the other hand, experience has shown that VIPP processes can be done with homemade boards or on walls. In addition, some organizations have started to manufacture their own VIPP materials at low cost out of locally available materi-als. For instance, the Indigenous Knowledge and People’s Network in Chiang Mai,


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Thailand, produces environmentally friendly VIPP kits with baskets manufactured from bamboo and cards made out of Saa (mulberry paper), a common weed found across Southeast Asia [http://www.ikap-mmsea.com].

Lack of teamwork: There is a tendency for facilitators to want to “go it alone” from the beginning, without having the experience it takes to properly facilitate certain events. Facilitation teams are encouraged, wherever possible. Long experi-ence has shown that reflecting with and being supported by others leads to better outcomes. In this way, skills can be built up by an informal mentoring system. Sometimes even experienced facilitators want to work by themselves whenever possible, to control processes in their own way. But some of these people have a tendency to become “entertainers” rather than facilitators and may get “stuck in a rut,” always performing the same “set of tricks.” Part of the problem is that facilitators often work in an environment that does not contribute much to their self-development.

Vulnerable inside facilitators: Sometimes facilitators come from inside organiza-tions, and their bosses dictate what they should do. This can derail good VIPP facilitation. VIPP facilitators need to be better trained not to take on the facilitation of processes in which they are subordinate to the organizers, if at all possible, or processes in which they may be perceived as having a vested interest. The best approach is to go over the basics of VIPP with managers to try to convince them that an independent facilitator is required, or to at least lay out the ground rules and make it transparent to participants from the beginning that the facilitator is playing an independent role.

“Flip-flop” clients or organizers: Many VIPP facilitators have experienced clients or sponsors who say that they are committed to participation but who do not recognize the important role participatory processes play in helping to achieve the desired outcomes. It is often difficult to engage them in a serious discus-sion prior to the actual events that would help to clarify the objectives and the process to be used. Sometimes this leads to demands for last minute changes and discord between facilitators and clients. Joint planning sessions bring about mutual understanding and give a chance for facilitators to negotiate what they require, as well as to explain what is entailed in a VIPP workshop. Without such agreement, disaster can result.

Unclear or ambiguous objectives: Unclear objectives can lead to poor outcomes. Very often not enough time is spent on clarifying objectives with organizers or clients. It may be necessary for facilitators to work with them to formulateor reformulate their objectives or to rephrase them if they are too ambitious or


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ambiguous. Another road to disaster is starting an event by allowing the partici-pants to develop the objectives “from scratch.” This may negate all preplanning because they may have very different ideas and hours could be spent in discussing what the objectives should be and how they should be worded. Unless it is one of the intentions of the event to start with a completely blank slate, clear objectives should be sent beforehand to all participants.

Time troubles: Facilitators often report that they don’t have enough time to complete objectives. This could be because the objectives are not clear or because they underestimate the time it will take to complete certain exercises. Very often it comes down to the problem of not spending enough time to carefully design events. The VIPP facilitation manual spells out the importance of this, but inexpe-rienced facilitators may try to take short cuts and to act without proper planning. There are many methods of saving time in VIPP processes that can be internalized by facilitators.

Including experts: Some VIPP facilitators ask how they can deal with people who have authority from their status and knowledge, but not from their attitude and congenial relationships with others. Organizers may want them involved due to these abovementioned qualities, and the facilitator is faced with fitting them into a participatory process. It is up to the facilitator to demonstrate the value of democratic procedures to such people and to devise ways of including them as resource persons, especially at the beginning of an event. VIPP has a number of methods of doing this that are underutilized.

Dealing with conflict: In some events there may be participants who have strong-ly opposing views on issues and they begin to dominate the proceedings, arguing with each other publicly.

Other participants may have little to contribute in such bilateral debates. They may lose interest and look for ways of escaping the proceedings. It has been found that it takes experience for facilitators to step in to troubleshoot in such situations. One way that experienced facilitators have found useful is to suggest to the conflicting pair that they should go for a walk and discuss their differences themselves, or simply talk about something else, such as their families and hobbies. During this time, the rest of the participants may work on the issue and try to resolve the impasse. Another way is to set up a time for a more formal discussion, using one of the VIPP debate methods or other techniques.

Frustrated participants: Facilitators report that in VIPP events the participatory processes may frustrate some participants who are more anxious to arrive at con-clusions. They want to have all answers spelled out for them quickly, and they find


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the democratic methods of VIPP too slow. Experienced facilitators try to explain why it is important for participants to learn from one another and why all the information cannot be given at once. One method of dealing with this is to go over the schedule at the beginning of each day so that participants are informed what to expect from the day’s proceedings.

Distracted participants: Very often workshops are held close to the workplaces of participants and although they may attend the opening sessions, they are soon pulled back to their offices due to the demands of supervisors or their own unease concerning pending work. This kind of situation has ruined the dynamics and outcome of many workshops. A number of solutions have been found useful. The first is to convince managers to hold a residential workshop far away from the workplaces of participants so that they can “tune out.” Another is to inform participants in the invitations that 100 percent attendance is required, and to reinforce this at the beginning of the event. A third means of control is to ensure that there is a “no phone” rule throughout the proceedings and to limit phone calls and internet connections to breaks.

Dealing with diversity: Many facilitators report that dealing with diversity of ideas, values, cultures, religious, and ethnic backgrounds is a big challenge for them. For example, one experienced facilitator reported having to plan and facili-tate a workshop for HIV/AIDS prevention with representatives of sex worker groups and journalists. There was a huge potential for conflict and disagreement. In this case the design of the workshop had to allow a good deal of inclusive exercises with dialogue. At the beginning of the workshop, ground rules were agreed on by all so that everyone had an equal opportunity to participate, and there was demonstrated respect for all ideas offered.

Training of facilitators: A short training course is enough for participants to acquire the skills to be able to facilitate business meetings, short planning work-shops, staff retreats, and other types of participatory group processes. However, to become a full-fledged facilitator of major events, much more experience is required, and facilitators should gradually build their skills first, working with experienced facilitators, if possible, before taking on complex events. Also, to be a trainer of other facilitators, a good deal more experience, knowledge, and skills are needed. In addition to knowing how to use VIPP methods, trainers of facilita-tors need to learn and internalize theories of learning and how to apply them to group processes. They also need to know how to design a whole program and to have in-depth knowledge of group dynamics and the various possible applica-tions of VIPP methods and techniques. Such trainers must also have a very good


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understanding of the philosophy of participation, be very communicative in style and attitude, and have deep respect for diversity in participants.

ConclusionsThe above shortcomings indicate that there is much room for improvement in

using VIPP methods. More VIPP training is needed at all levels: beginners, second-level, and training of facilitators. However, given that there is no single institution where VIPP is housed and no center for VIPP within UNICEF, where the methodology was first articulated, there is a need to set up other mechanisms for facilitators to exchange while advancing their skills. The consultation on the future of VIPP, referred to above, determined the need to create a “Community of Practice” for VIPP facilitators. Taking advantage of modern information technol-ogy, a virtual community has been established on the Internet through a website set up in conjunction with the second version of the VIPP facilitators’ manual (Salas et al., 2006). This site offers a space for exchange and consultation about facilitation for fellow facilitators, worldwide [see: http://www.southbound.com.my/vipp/].

A “Community of Practice” involves a process of exchange through facilitator peer contacts, sharing of experiences and solutions to problems of facilitation, and participation through electronic dialogue. It involves website administrators linked to experienced facilitators. They provide new material online, send out key questions, post the answers to challenges, and motivate network members to communicate regularly. Such a network crosses institutional, national, and cultural boundaries and, it is hoped, will become an innovative space.

It is evident from the above that VIPP is an innovation that has been diffused and used widely throughout the world to improve social communication programs and other programs that address social, health, and environmental issues. The next few years will determine if it can be taken even further to new levels of achieve-ments and recognition through the use of modern information technology.

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Schnelle, W., & Stoltz, I. (1977). Interactional learning: A guide to moderating group events. Quickborn, Germany: Metaplan GmbH.

Ullrich, G., Krappitz, U., & Gohl. E. (1991). Participatory approaches for cooperative group events: Basic concepts, case studies, practical tips. Bonn: DSE Documentation Center.

UNICEF Bangladesh (1993). VIPP—Visualisation in participatory programmes: A manual for facilitators and trainers involved in participatory group events. Dhaka: Author.

WHO (2004). Facilitators’ guide, orientation programme on adolescent health for health-care providers. Geneva: World Health Organization. Accessed January 21, 2006, from <www.who.int/child-adolescent-health/publications/ADH/ISBN_92_4_159126_9.htm>

Appendix 1: A Summary of VIPP MethodsProcess Methods:—Rules for writing card, ground rules and for group work—Traffic signs to steer the group process—Visualizing instructions—Establishing ground rules—Gathering expectations and fears and processing them—Variety in group formation: plenary, small groups, buzz groups, rotating plenary

Key Methods for Idea Generation and Processing:—Card collection and clustering—Visualized idea collection with open questions—Visualized presentations in plenary—Visualized discussion—Single and multi-dot question—Pro-contra debates—Fish bowl

Creativity Tools such as brainstorming, brain-writing, topsy-turvy, mind mapping

Other Methods to Improve Group Learning Processes: mini-dramas and role plays, expert interview or panel, field visits, study tours, nature hikes, case stud-ies, information market


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Games and Exercises (200 available):—Icebreakers and Getting to Know One Another—Warm-ups and Energizers—Communication—Perception—Intercultural Communication—Team-building and Cooperation—Conflict Management—Case Studies and Role Play—Gender Analysis and Sensitization—Creativity and Problem Solving—Relaxation and Meditation—End Games

Evaluation:—Feedback committees/process monitors—Moodmeter—Flash (instant reactions)—Feedback and memo boards—Drawing exercises—Final evaluation—Facilitator’s self-assessment wheel

Appendix 2: Examples of Application of VIPP, 1990–2005Source: (Salas et al., 2006, pp. 173–176)

Bangladesh and South Asia• Planning, training and communication design by UNICEF in health, water and

sanitation, nutrition, education, gender training, HIV/AIDS, etc. (1990 to present)• Meena Communication Initiative—planning, script writing, research design,

training. (1991–2003)• Communication training. (1992–1993 and 2002–2003)• Adolescent Reproductive Health communication planning, script writing,

research review. (2001–2005)• BRAC-NGO leadership training, gender training, human resources program

meetings, Human Rights training, etc. (1991 to present)• Many other Bangladeshi NGOs use VIPP methods in training, planning for

many social programs. (1992 to present)


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• UNICEF India, Nepal, Pakistan, and Sri Lanka also applied the methods to program planning and training. (Beginning in 1992)

• Used by JHU/CCP in planning state HIV/AIDS program in Maharashtra, India. (2002–2003)

• Used by UNDP to develop its subregional project: HIV and Development in South and Southwest Asia. (1998)

China and Southeast Asia• UNICEF Vietnam—planning of social and health programs. (2002 to present)• Training Health Educators in Hanoi, UNICEF-Vietnam—planning, needs

assessment, dissemination. (2002)• VIPP-training—NGOs of Southeast Asia in Kunming, China. (1999–2002)• Training of facilitators—Sino-German woman’s employment project, China.

(2002)• Training of facilitators—EU projects for Diary Sector, Environmental Protection

and Poverty Alleviation, China. (1997–2001)• Training of DflD project staff—Yunnan Environment Development Project in

Kunming. (2002)• Training of a Regional Trainer Pool in Southeast Asia. (2004–2005)• Training of facilitators—World Fish Center, Penang. (2004)• Training of facilitators—Asian Indigenous People’s Pact (AIPP) in Chiang Mai,

Thailand. (2004)• Application of VIPP in international and regional conferences: Cultures and

Biodiversity in China, Thailand, Vietnam (2002–2006)• Annual Program Consultation, East Asia Division, Swiss Agency for

Development (2005)

Africa• In over 20 African countries—training on methods and use in program planning

in UNICEF programs. (1994–2001)• Used widely in UNICEF’s HIV/AIDS network activities. (1994–1999)• Sara Communication Initiative—planning, script writing, research reviews in

over 20 African countries. (1994–2001)• UNICEF regional office team-building exercises and management training.

(1993, 1998)• Emergency program development and planning. (2000)• Communication training. (1994–1999)• Used for management and research—Sexual Maturation at Primary School,

Uganda. (2000–2004)• Institutionalized in Zambian agriculture development training institution. (1998

to present)


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• Used by CCP for national HIV/AIDS communication planning in Namibia. (2002)

• UNDP/World Bank/WHO Special Program for Research and Training in Tropical Diseases (TDR): Meeting for the planning of a Forum of African Medical Editors. (2003)

Latin America and the Caribbean• Training of project staff—forestry project, Ngobe Indians, GTZ, Panama.

(1992–1994)• Training workshops on PLA methods, Guatemala & Honduras. (1995–1996)• Training of facilitators for UNICEF Latin America in Quito, Ecuador. (1997)• Training of village facilitators—Quispillaqta, Ayachucho, Peru. (1997)• VIPP methods used for planning and training, University of Technology,

Jamaica. (1998–present)

US-based Agencies• Programs in health/nutrition planning/training in Africa, Linkages Project,

AED, Washington. (Mid-1990s to present)• Program planning, Health Communication Partnership, Johns Hopkins

University, Baltimore. (2002–present)• Program planning, performance management system, Catholic Relief

Organization, Baltimore. (2002 to present)

Europe• Training of rural communicators, Hohenheim University, Stuttgart. (1985–

1993)• Advanced level VIPP-training, Black Forest, Germany. (1994 & 1998)• Program consultations, UNICEF Innocenti Centre, Florence, Italy. (2000–

2003)• Facilitator training, UNICEF Serbia-Montenegro. (2002)• Strategic Planning—Reduction of Obesity and Smoking Cessation and Tobacco

Control, Nottinghamshire, NHS, UK. (2004)• Joint Strategic Plan Review with National Committees, UNICEF, Geneva.

(2004–2005)• Consultation on Accreditation and Training for Autism, Treehouse, London.

(2004 and 2005)• Program reviews, Child-to-Child Trust, London. (1996 to present)• Program planning—International Institute for Environment and Development,

London.


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Other Global Applications• Training of facilitator, UNICEF-NY and staff development college in Turin,

Italy. (1996–present)• Program reviews and planning by UNICEF in HIV/AIDS, many health areas,

violence against women and children. (1994 to 2000)• Development of a partnership for Africa by UNAIDS at the World Bank,

Washington. (2000)• VIPP—cornerstone of WHO teaching/learning methodology for adolescent

health. (1998 to present)• Global workshop on Indigenous Ways of Knowing organized by the Millennium

Ecosystems Assessment in Alexandria, Egypt. (2004)


2008 pp 000-000ISSN 1555-8711


SINCERE THANKS to the following people who assisted us in the review process for Volume 2:

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Nell Arnold, AustraliaSilvia Balit, ItalyRalph Bathurst, New ZealandLuis Ramiro Beltran, BoliviaGuy Besette, CanadaKwame Boafo, JamaicaMichael Bromley, AustraliaJean-Claude Burgelman, SpainCeleste Cadiz, PhilippinesAndrew Calabrese, USANico Carpentier, BelgiumClaude-Yves Charron, CanadaKevin Clements, AustraliaNabil Dajani, LebanonMohan Dutta, USAWimal Dissanayake, USAPieter Fourie, South-AfricaLinda Fuller, USAMartin Hadlow, AustraliaCees Hamelink, NetherlandsJohn Hartley, AustraliaTom Hogan, AustraliaJunhao Hong, USARobert Huesca, USATom Jacobson, USAAssaad Khairallah. LebanonRod Kirkpatrick, AustraliaUllamaija Kivikuru, FinlandMarwan Kraidy, USAPaul Lee, Hong Kong, ChinaRico Lie, NetherlandsShuang Liu, AustraliaEric Louw, Australia

Linje Manyozo, South AfricaPatchanee Malikhao, AustraliaJohn Mayo, USADenis McQuail, UKPaolo Mefalopulos, USAAndrew Moemeka, USAFrancis Nyamnjoh, SenegalLevi Obijiofor, AustraliaTokunbo Ojo, CanadaCharles Okigbo, USASean O’Siochru, IrelandToks Oyedemi, South AfricaClaudia Padovani, ItalyFeiziya Patel, New ZealandLidia Pola, ItalyNora Quebral, PhilippinesIan Richards, AustraliaArvind Singhal, USAUbonrat Siriyuvasak, ThailandColin Sparks, UKDoug Storey, USABoonlert Supadhiloke, ThailandMajid Tehranian, USAGeorgios Terzis, BelgiumPradip Thomas, AustraliaKeyan Tomaselli, South AfricaThomas Tufte, DenmarkTudor Vlad, USAKarin Wilkins, USARobert White, TanzaniaJune Yim, ChinaChin Saik Yoon, Malaysia

V2/N4_06_ Thanks 089-090.indd 89V2/N4_06_ Thanks 089-090.indd 89 6/26/09 8:27:18 AM6/26/09 8:27:18 AM

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