HUMAN RESOURCE CAPACITY BUILDING - Appreciative-Inquiry

179 Pages·2005·1.67 MB·English

by  Chandi Chapagain

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HUMAN RESOURCE CAPACITY BUILDING
THROUGH
APPRECIATIVE INQUIRY APPROACH
IN ACHIEVING DEVELOPMENTAL GOALS

BY

CHANDI PRASAD CHAPAGAIN

Submitted in fulfillment of the requirements for the
Degree of Doctor of Philosophy

Human Resource Management
Madison University, USA
September 2004

PhD Dissertation © Copyright 2004, by Chandi Prasad Chapagain
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About the author:

This dissertation has been prepared by Dr. Chandi Prasad Chapagain
currently working as Country Training Coordinator in Plan Nepal, having
16 years of experience in human resource development / management,
participatory community development, appreciative inquiry, capacity
building and facilitation, training design and delivery, research,
organization development, governance, equity etc.

This is the first PhD dissertation prepared on the subject “HUMAN
RESOURCE CAPACITY BUILDING THROUGH APPRECIATIVE INQUIRY
APPROACH IN ACHIEVING DEVELOPMENTAL GOALS “in Nepal.

The Authors’ address is:

Chandi Prasad Chapagain, PhD
Country Training Coordinator
Plan Nepal, Country Office
PO Box 8980, Kathmandu, Nepal
Phone: -00977-1-5535580 (O)
:-00977-1-4488406 (R)
Email:- [email protected]
[email protected]

PhD Dissertation © Copyright 2004, by Chandi Prasad Chapagain
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Dedication:

Dedicated to the people of Nepal seeking inspiration for the
appreciative/positive path for the greatest good of human being.

PhD Dissertation © Copyright 2004, by Chandi Prasad Chapagain
Abstract

The long dominance of traditional pattern of thinking and action continue to engage the society in
exploring ways to dig problems and their causes faced by individuals and devise institutional
mechanism to overcome stagnation and build the capacity of human resources and, consequently,
the developmental process of individuals, organizations and communities. Development is
essentially about systematic, open and deliberate application of appropriate policies and utilization
of resources for raising the material and moral standard and well-being of people for self-discipline
and self-emancipation.

Large and small or less resourceful to more resourceful organizations, all are infected with the
obsolete mode of identifying problems and showing the inadequacy of human resources and
development interventions. If the responsible people of the organization and society do not open
their mindsets and stop the feeling of self-importance and continue the tendency to be within the
static comfort zone, it would be difficult for exploring the appreciative paths, hopes and
potentialities for the betterment of human society. Behaving appreciatively and creatively is
important for developing an understanding and inquiring mind for the achievement of human
dream. It is imperative that a ‘positive revolution’ movement will inspire us soon to think of an
appreciative path not only for human resource capacity building for achieving developmental
objectives but also for the overall betterment of the society, economy and polity.

The eternal faith upon the dream, action and reflection of human being can entail them to create,
find and achieve miracles by changing their attitude and mindsets. The continuous practice and
learning of appreciative thinking and action will also help the human being to internalize the
supremacy of its benefits for capacity building, institutional innovation and change.

Positive/appreciative idea is more powerful than any thing else in this world. If we follow it through
logical vision, commitment, action and reflection combined with belief, it becomes a rational
instrument to achieve development outcome. As the saying goes: "To accomplish great things you
must not only act, but dream, not only plan, but believe…” Positive thought leads a person to ask
positive question, positive question leads towards a positive answer and action, and similarly a
positive outcome, positive change, and eventually capacity building within self, organization and
society. The essence of all successes is the liberty to think and immerse on self into vision and
creativity.

This dissertation postulates that any approach by itself is not an end in itself unless a person
internalizes it appreciatively/positively or follows thoroughly by ‘valuing it’, ‘knowing it’,
‘internalizing’ and ‘acting on it’. It is assumed that the human attitude and behavior based on
positive core can achieve higher capacity and productivity than the ones based on
negative/depreciative cores. One can contribute more in building human resource capacities as well
as to attain developmental goals if pursues through appreciative spirit.

PhD Dissertation © Copyright 2004, by Chandi Prasad Chapagain
Acknowledgement

This dissertation is the outcome of two years of research and study in the Appreciative Inquiry.
Though it may seem quite speedy, in reality, this work is the outcome of AI based visionary plan
envisaged since 1997. I had collected secondary information on Appreciative Inquiry in the context
of human resource capacity building, besides studying and applying the AI based processes in
different parts of the country. The relentless efforts enable me to conduct this doctoral research on
AI in the context of human resources capacity building for achieving desirable developmental goals.
Moreover, my continuous involvement for about 15 years in human resources management/
development, capacity building, facilitation and training in organization development, community
development, and to some extent, in academic sectors enhanced my confidence and ability to carry
out this research. My involvement in development-related works beginning from the Makalu-Barun
Conservation Project to CARE International Nepal & Plan International Nepal, has mostly been
related to the human dimension of development and management. These experiences have added
substantial values to my potentiality, knowledge and skills, consequently reinforcing my
commitment to complete this dissertation.

My former superiors Dr. Malcolm Odell and Dr. Balaram Thapa, respectively at Makalu-Barun
National Park and Conservation Area Project (MBNPCAP) and CARE International Nepal are the
primary sources of inspiration for me to undertake this study. I strongly believe that my
involvement with Dr. Malcolm Odell while developing Appreciative Planning and Action (APA)
model in the area of community development and staff capacity building at Makalu-Barun National
Park and Conservation Area Project has significantly enriched my professionalism and prompted
me to venture out on the Appreciative Inquiry journey, and ultimately contributing to a product like
this.

My career with Plan International Nepal, where I was required to report to Country Directors Mr.
Durval Martinez and later Ms. Minty Prabha Pande, proved to be quite enlightening and inspiring.
The efforts of Engineering & Management Consultant
Dr. Ravi K. Upadhaya, and Dr. Ganapati Ojha (Chairperson/Principal of Capital College &
Research Center), who offered me necessary guidance on the preparation of this dissertation, cannot
be overlooked. Similarly the comments and suggestions provided by Dr. Mac Odell, Mr. Dev Raj
Dahal, Mr. Laya Upreti, Mr. Mukta Singh Lama and
Dr. Chandra Kumar Sen have been instrumental in improving the substance of this study.

I am highly indebted to my faculty advisor Dr. M. R. Mousighi, Director of Academics, Madison
University, USA for his kind understanding, encouragement and suggestions, without which this
study couldn’t have been accomplished. I am also grateful to Kristi Lee (Registrar of the
University) for her efficient services throughout the study period. Thanks are also due to Teresa
Oesterling (Program Coordinator), Jennifer Ferrell, Nidga Johnson, Gloria Hancock, Charles Arthur
Baker and Tracy Terpening for their continuous support to make this study a successful academic
endeavor.
The comments and suggestions provided by Professor Dilli Ram Dahal (Tribhuvan University,
Nepal), the advisor of my Master’s-level Dissertation, have been found strategic to proceed this
research into proper direction.

Encouragement and opportunity provided by Dr. Gabriel Campbell (former Director of Mountain
Institute & Asia Environmental Program, and currently the Director General of ICIMOD), while
PhD Dissertation © Copyright 2004, by Chandi Prasad Chapagain
working at MBNPCAP in the area of human resource capacity building through appreciative/
positive approach, have been very constructive.

Ravi Pradhan, one of the pioneers of appreciative movement in Nepal as well as a famous
development consultant also deserves gratefulness for enlightening me including many Nepalese
though not time and again but occasionally through workshops, meetings, and dialogues on
Appreciative Inquiry and development concerns.

Linguist Uttam Bajgain’s contribution in the editing of the language, and the correction of
grammatical errors, is highly appreciated.

All beloved and experienced respondents including Dr. Chandra Kumar Sen, Dr. Ravi K.
Upadhaya, Dr. Ganapati Ojha, Dr. Mac Odell, Brian Peniston, Nel Kendrick, Dr.Anthony Willet,
Dr. Durga Pokhrel, Rodger Hodson, Dr. Ken Afful, Dr. Shibesh Chandra Regmi, Laya Upreti, Dev
Raj Dahal, Buddhi Tamang, Deepak Koirala, Dhurba Acharya, Sahadev Mahat, Lamu Sherpa,
Kamal Phuyal, Rabi Chitrakar, Anil Chitrakar, Mukta Singh Lama, Parimal Jha, Kamalesh K. Lal,
Dyuti Baral, Ram Gupta, Dandi Ram Bishowkarma,
Dr. Ashok Sharma, Man Bahadur Thapa, Udhav Rai, Uddhav Raj Poudel, Narayan Ninglekhu,
Santosh Sharma, Narayan Bhatta, Keshab Thapaliya, Tatwa Timshina and Arka Raj Timshina have
made meaningful contributions. Thus genuine applause for their substantial inputs and the time and
energy spent in filling the questionnaires.

My brother-in-law Dr. Amar Bista currently residing and working at US as a medical doctor
deserves admiration and high respect for convening the overall study into successful end through
timely enrollment/registration, prompt payments of university’s dues, and useful communications.

My wife Bimala Chapagain, and daughters Sushanti & Kusum Chapagain & nephew Laxmi
Chapagain were highly supportive in undertaking this study. Their assistance in entering the data
proved highly beneficial, as the author could utilize the time thus spared to concentrate on other
aspects of the research. My wife Bimala Chapagain having good knowledge on financial,
administrative and statistical analysis was also instrumental in designing and formatting the primary
sources of data. My house-keeper Chandra Rai equally deserves appreciation for her timely
services, which served to accelerate the progress of the research work.

I am deeply indebted to my late grand parents (Mr. Balaram Chapagain and
Mrs. Maheshora Chapagain) and parents (Mr. Padam P. Chapagain and Mrs. Uma Devi Chapagain),
without their support to my pre-schooling to schooling and beyond, I wouldn’t have gone for any
higher level of study.

Various documents on capacity building, human resources management and Appreciative Inquiry
collected from NGO/CBO Participatory Learning & Advisory Project (NPLAP), Nepal
Participatory Action Network (NEPAN) and from individuals like Deepak Koirala, Dhruba
Acharya, Buddhi Tamang, Dr. Ravi K. Upadhya, Dr. Gana Pati Ojha,
Dr. Chandra Kumar Sen and Mukta Lama, have provided me with requisite knowledge, and
intelligence on which the study is grounded.

I am also grateful to Professor David Loy Cooperrider, Diana Whitney, Ada Jo Mann,
Dr. Ronald Fry, Professor Suresh Srivastva, Jane Watkins, B. J. Mohr, Lesli Smith, Dr. Mac Oddle,
Jackie Stavros for their extraordinary writings/thesis on Appreciative Inquiry which helped me to
steer into the field of inquiry.
PhD Dissertation © Copyright 2004, by Chandi Prasad Chapagain
Finally, I once again wish to express my sincere gratitude not only to all the people mentioned
above but also to those, without whose efforts, co-operation, assistance and guidance, this
dissertation could have been just a dream, not a reality.

September 2004
PhD Dissertation © Copyright 2004, by Chandi Prasad Chapagain
CONTENTS

Abstract
Acknowledgments
List of Tables
List of Figures
Map and Photographs
List of Annexes
Acronyms
General Introduction of Nepal

CHAPTER I BACKGROUND OF THE STUDY

1. Background
2. Linkages between Appreciative Inquiry,
Capacity Building and Development
3. Importance of the Study
4. Limitation of the Study
5. Vision Mission and Objectives of the Study
6. Conceptual Assumptions, Variables and Deductive Logic
7. Statement of Hypotheses
8. Related Terminology

CHAPTER II REVIEW OF RELATED REFERENCES

1. Position of Human Resources Capital to Address and Improve
the Erosion of Social Capital and the Drawbacks of Modernity
2. Existing Status of Human Resources Capacity Building (HRCB)
Initiatives in the NGO Sector Nepal and Elsewhere
3. Existing Status and Implications of Development Approaches
in HRCB and Attaining Development Goals
4. Differences between Appreciative Inquiry and Traditional
Problem Solving Approach
5. Additional Values of Appreciative Inquiry
6. Importance of Appreciative/Positive Attitude and Behavior
in a Process to Build Human Resource Capacities
and Achieving Developmental Goals

CHAPTER III THEORETICAL FRAMEWORK

1. Five core principles
a. The Constructionist Principle
b. The Principles of Simultaneity
c. The Poetic Principles
d. The Anticipatory Principles
e. The Positive Principles

2. Related Theories
a. Normative Theory
PhD Dissertation © Copyright 2004, by Chandi Prasad Chapagain
b. Social Construction Theory
c. Generative Theory
d. Post-modern Social Theory
e. 'X' and 'Y' Theory
f. Mental Revolution
g. Human Relations Theory
h. System Theory
i. Theoretical Proposition of Capacity Building
CHAPTER IV METHODOLOGY/PROCEDURE

1. Study Area
2. Research Design
3. Sources of Data:
4. Sampling Design
5. Data Collection Tools and Techniques:
a. Questionnaire
b. Case Study
6. Data Presentation, Processing and Analysis
7. Summary Flowcharts of the Study Process

CHAPTER V FINDINGS (ANALYSIS & ASSESSMENT)

1. Human resources
a. Meaning
b. Importance

2. Capacity building
a. Meaning
b. Level
c. Scope
d. Traits/Characteristics
c. Methods/Ways of Developing Human Resource
Capacities into Positive Direction

3. Meaning and perception towards Appreciative Inquiry
a. Meaning of Appreciative Inquiry
b. Perception towards Appreciative Inquiry

4. Existing Status of Appreciative Inquiry in NGDO Sector
a. People Trained and Using Appreciative Inquiry
b. NGDO Using Appreciative Inquiry
- Approaches Used to Empower/Capacitate Human Resources,
Plan and Implement Development Activities within Organizations
- Existing Status and Prospects of AI Approach in HRCB
in Achieving Developmental Goals in NGDOs

5. Changes after Using Appreciative Inquiry In Human Resource
Capacity Building
a. Changes after the Application of Appreciative Inquiry
at Individual Level
b. Changes after the Application of AI Approach in
PhD Dissertation © Copyright 2004, by Chandi Prasad Chapagain
Human Resources Capacity Building, Planning,
Implementation and Evaluation at Organization Level

6. Essential Characteristics Required for a Good Human Resource
Capacity Building Facilitator in Light of Appreciative Inquiry
a. Knowledge, Skills, Attitude and Practice

7. Comparative Analysis of Appreciative Inquiry and
Problem Solving Approach (PSA) in relation to HRCB and
Developmental Efforts
a. Comparison of AI and PSA Based Work Process
b. Comparative Analysis of the General Characteristics of AI & PSA

8. Importance of Appreciative Inquiry in Human Resource
Capacity Building
a. Characters of Appreciative and Non-appreciative Person
b. General Ways of Developing Appreciative Thinking and Behavior
c. Additional Values of Appreciative Inquiry Over the Other
Approaches in Human Resource Capacity Building

9. Human Resource Capacity Building through Appreciative Inquiry
in Achieving Developmental Goals
a. Usefulness of Appreciative Inquiry Approach in Achieving
Human Resource Capacities and Development Goals
b. Contribution of Appreciative Inquiry (AI) Approach in Achieving
Human Resource Capacities and Developmental Goals

CHAPTER VI SUMMARY, CONCLUSIONS, IMPLICATIONS
AND RECOMMENDATIONS

Summary
Conclusion
Implications
Recommendations

ANNXES
BIBLIOGRAPHY
LIST OF RESPONDENTS
QUESTIONNAIRE

PhD Dissertation © Copyright 2004, by Chandi Prasad Chapagain