Appreciative Inquiry in a Failed State: The Case of Iraq

By

Randal Joy Thompson

Summary: Failed states, characterized by instability and random and pernicious violence, are considered incapable of governing themselves and of providing protection to their citizenry. Classified as a failed state since the U.S. invasion in 2003, Iraq has struggled to reconstruct itself in the midst of persistent insurgency. Iraqis live in constant fear of their lives. Iraqis also view themselves as the unwilling victims of an occupation which, although they were generally happy that it rid them of Saddam’s regime, is viewed as annoying, if not dictatorial. In such an environment, negativity and a problem-orientation are endemic. The author engaged staff of the Iraqi Ministry of Planning and Development Cooperation (MoPDC) in an Appreciative Inquiry and discovered that Iraqis are not onlycapable of focusing on the positive, but that such an approach serves as the appropriate orientation to envision and define a new future for their country. After summarizing the results of the Appreciative Inquiry, the author argues that this approach should be expanded to facilitate Iraq’s transition to its stated vision and to becoming a stable, successful state.

Background and Context:

Since the US invasion of 2003, Iraq has been classified as afailed state by the Fund for Peace.1 This U.S. Think Tank classifies a state as failed when its central government is so weak that it has little control over its territories. A state is also failing when it has been rendered ineffective and is not able to enforce its laws uniformly because of

1 Fund for Peace: Promoting Sustainable Security, “Failed State Index,” online resource: www.fundforpeace.org/web/index,

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high crime rates, political corruption, extensive informal market, impenetrable bureaucracy, judicial ineffectiveness, military interference in politics, and cultural situations where local leaders wield more power over an area than the state. Complex social, economic, and political indicators are measured annually, resulting in a list on which Iraq wasthe second worst (to Sudan) failed state in the world for 2007 and 2008 and is listed as the fifth failed state for 2009 (below Somalia, Sudan, Zimbabwe, and Chad). Failed states, generally the result of war or civil unrest, require“post conflict reconstruction,” according to the latest thinking in international development literature. The WorldBank describes post-conflict reconstruction as the rebuilding of the socioeconomic framework, including governance and rule of law, and enabling conditions for a functioning peacetime society.2 Orr describes post-conflictreconstruction as the build up of “a minimally capable statein four key areas: security; governance and participation; social and economic well-being; and justice and reconciliation.”3

Since the 2003 Donor Meeting in Madrid, at which 73 countries and twenty international organizations pledged in excess of $33 billion for the reconstruction of Iraq, donorshave poured an enormous amount of aid into Iraq To date, the US alone has spent over $50 billion on reconstruction efforts. Such efforts have been plagued by the lack of security in the country and the continuing insurgent attacksof infrastructure and citizenry. A recent Special InspectorGeneral for Iraq Reconstruction (SIGIR) report estimated that upwards of $580 million has been wasted by building infrastructure which militants then looted or destroyed.4

2 Kreimer, Alcira, Ericsson, John, et al, The World Bank’s Experience with Post-Conflict Reconstruction, World Bank Publications, 1998. 3 Orr, Robert C. (Editor), Winning the Peace: An American Strategy for Post-Conflict Reconstruction, Center for Strategic and International Studies, CSIS Press: Washington D.C. 2004.

4 Special Inspector General for Iraq Reconstruction (SIGIR) Report #08-020, Key Recurring Management Issues Identified in Audits of Iraq Reconstruction Efforts, July 27, 2008.

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Iraqis live in a constant state of fear. Those who work foror even with Americans are routinely threatened and sometimes killed. In such an environment, nation-building is a huge challenge.

Iraq’s administrative framework significantly weakened after2003. High level civil servants were largely Bathists in support of Saddam Hussein. The de-Bathification policies ofthe American Coalition Provisional Authority (CPA) led by Paul Bremer eliminated many of the experienced bureaucrats. Further, the American directive to balance power between Sunnis, Shiites, Kurds, and smaller ethnic and religious groups meant the influx of never-before represented groups into the government. In order to fill the numerous emptiedpositions, the new government hired young civil servants, many of whom were recent university graduates.

Prior to 2003, under the centrally planned and managed economy of the Saddam Hussein regime, the Ministry of Planning was the most powerful ministry and considered Saddam’s right arm. The civil servants of this Ministry were considered among the best, if not the best, in the government. A large percentage of the staff historically has been and continues to be women. Being such a powerful ministry meant that it was staffed by many Bathists and hence largely emptied in the aftermath of the invasion. Themajority of current employees were hired after 2003.

During Saddam’s regime, Iraq was a donor country, providing assistance to a number of Arab states. However, Iraq was isolated from the rest of the world, especially the West, due to the prohibition against travel and communications andsanctions imposed by the United Nations and the United States. Hence, being a donor-recipient and having to deal with the international world are new experiences for Iraq. Under the direction of Paul Bremer, the CPA established the Iraqi Strategic Review Board (ISRB) to review and approve donor projects and to assure that these projects supported

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Iraq’s reconstruction goals.5 Headed by the Minister of Planning, the ISRB includes several high level Director Generals from the Ministry plus representatives from the Ministry of Finance and any other ministry relevant to the donor project. The name of the Ministry of Planning was changed to the Ministry of Planning and Development Coordination (MoPDC) to reflect its new role. The CPA also established the International Cooperation Directorate and the Follow-Up Directorate of the Ministry to assume responsibility for screening, monitoring, and evaluating donor projects, for tracking donor funding and disbursements, and for establishing relationships with donorcountries.

The MoPDC, together with the Deputy Prime Minister’s Office is responsible for planning the overall development strategyfor Iraq. Two National Development Strategies have been written so far. In addition, the donors, led by the United Nations, negotiated the International Compact with Iraq, which lays out goals which both the government of Iraq and the donors jointly commit to. The MoPDC is also responsiblefor coordinating the investment budget for Iraq. Ministriesand provinces propose projects to receive funding from this budget and the Ministry gives final approval and also co-manages the contracting process. The MoPDC also monitors and evaluates the projects funded by the investment budget. The Government of Iraq is moving toward a system in which donor-funded projects and investment budget-funded projects will be more closely linked and donors will have the option of co-financing projects funded primarily from Iraq’s own capital budget.

As the Constitution of Iraq stipulates, and as donors have promoted, a process of decentralization and delegation of authority from the central government to the eighteen provinces is taking place. For the first time, provinces have created their own development plans. In addition, the MoPDC has established provincial planning units to assist 5Bremer, Paul, Coalition Provisional Authority Order #7, December 2003.

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the provinces plan, monitor, and evaluate both investment budget and donor projects. The MoPDC in Baghdad is currently working out coordination mechanisms between the capital and the provinces and reconciling provincial development plans with the national development strategy.

The mission of the MoPDC is to “encourage the planning and development processes in the regions in this respect by granting authorities to the regions to recommend projects and establish regional planning units in the governorates.”6

The vision for Iraq which the ministry is working to achieveis “a peaceful, unified federal democracy and a prosperous, market-oriented regional economic powerhouse that is fully integrated into the global economy.”7 The Ministry plays akey role in international cooperation and encouraging foreign investment, in planning and development, in establishing and monitoring Iraq’s capital budget, funded largely from oil revenues, and in fostering the use of information technology throughout the government.

The ministry is comprised of a directorate for each major sector in Iraq, including agriculture, industry, construction and housing, and transportation and communication. The ministry also includes foreign investment promotion, regional planning, and economic policies and research directorates Additionally, six quasi-independent structures report directly to the Minister, the Central Organization for Statistics and Information Technology (COSIT); the Central Organization for Standards and Quality Control (COSQC); the National Center for Consultation and Management Development (NCCMD); the Al-QudsSchool for Computers; the Inspector General’s Office; and the Iraqi Strategic Review Board. COSIT is responsible for collecting and analyzing statistics for Iraq and for helping6 Iraq Ministry of Planning and Development Cooperation (MoPDC) website,www.mop-iraq.gov

7 International Compact with Iraq (ICI), online resource, www.iraqcompact.org

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the government of Iraq move towards e-organization. COSQC establishes the standards for all products made in or imported into Iraq and monitors their quality. NCCMD coordinates and implements all management training for civilservants. The Al-Quds School provides computer training forcivil servants and schools. The Inspector General is responsible for reviewing and auditing ministry activities and dealing with issues of corruption. The Iraqi Strategic Review Board (ISRB), as mentioned previously, is responsiblefor reviewing and recommending that the Minister approve donor projects. The International Cooperation Directorate (ICD), coordinates the review of donor projects. The ICD requests that the relevant offices in the ministry review the project proposals and provide their comments to the ICD to take into consideration when negotiating changes in design with the donor and/or in making recommendations for approval or non-approval to the Minister. Other ministries are also involved in the vetting process and the ICD also has the responsibility to obtain comments from the ministries proposed to be involved in project implementation.

Reconstructing a country and moving from a fragile or failedstate to a competent state requires shifts in many social, economic, and political components. Likewise, moving from acentrally planned and controlled dictatorship and unitary state to a market oriented, private-sector driven, pluralistic parliamentary republic also requires a major shift in institutions, processes, and values. Social upheaval is inevitable. As the Minister of the MoPDC says “Shifting from central economy under a dictator regime to a free market which is adopting market mechanisms and trying to compact with the international economy may result in somepainful social consequences.”8

The challenges of reconstruction can be addressed with either an asset-based or deficit based approach. This article argues that an asset-based approach such as 8 Ministry of Planning and Development Cooperation website, op cit.

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Appreciative Inquiry is the appropriate approach to employ to make this transition. A deficit-based, problem-solving approach mires the country in past failures whereas appreciative inquiry builds powerful future visions which pull the country forward. After summarizing an appreciativeinquiry in the Ministry of Planning and Development Cooperation, this article will argue that this approach should be expanded to assist Iraq make the transition it envisions..

Appreciative Inquiry:

Unlike most deficit-based approaches which focus on a system’s weaknesses or problems, Appreciative Inquiry is theongoing, continuous study of what gives life to a living system when it is functioning at its best. A basic premiseof Appreciative Inquiry is that whatever people focus their attention on, they will create more of. People look for their own best practices so that they can create more successes. Every system has a “positive core,” that is a core of strengths that is often hidden and underutilized. Appreciative Inquiry helps people in the system search for and find the positive core. When found and tapped into, this core provides a sustainable source of positive energy that nourishes both personal and organizational changes and transformation.9

Three basic questions guide Appreciative Inquiry:10

1. What is X (the positive core of the organization) and when and where has X been at its best in the organization or system?

2. What makes X possible?3. What are the possibilities that enhance or maximize the

potential for X?

9 Watkins, Jane Magruder and Bernard J. Mohr, Appreciative inquiry: Change at the Speed of Imagination, San Francisco: Jossey-Bass/Pfeiffer, 2001.

10 Ibid,

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The tangible result of an inquiry is a series of statements that describe where the organization or systems wants to be,based on the high moments of where it has been. Because thestatements are grounded in people’s real experiences and history, peopleknow how to repeat their successes. Appreciative Inquiry isa generative process; it generates new possibilities throughnew and/or deeper working relationships.11

Organizations are manifestations of the human imagination. Appreciative Inquiry shifts the collective image people haveof their organization. Members start creating compelling new visions of the organization’s future together, grounded in their understanding of past successes. Appreciative Inquiry involves four phases, namely, discovery, dream, design, and destiny.

During the discovery phase, participants’ identity and appreciate the best of “what is” by focusing on high point experiences of organizational excellence – when people have experienced the organization as most alive and effective. Participants then understand the factors (leadership, relationships, technologies, core processes, structures, values, learning processes, external relationships, planningmethods, etc) that contributed to the high points.12

The dream phase expands and extends people’s sense of what is possible in terms of creating more vital and life-giving images for their own future. Participants converse about the organization’s mission, contribution, position, and potential in the world.13

During the design phase, participants create the organization’s architecture to realize the dream. Provocative propositions embody the organization’s dreams.

11 Ibid,12 Ibid,13 Ibid,

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These propositions state the ideal organization in relation to leadership, decision making, communication, customer service, teams, etc.14

In the destiny phase, participants meet in a planning and commitment session to co-create the future of their organization to realize their dreams. Participants develop (1) affirmative competence; (2) expansive competence; (3) generative competence; and (4) collaborative competence.15

Setting:

A five-day Appreciative Inquiry process, as described above,was carried out with twenty-one employees from the MoPDC in 2008. Staff from several Directorates participated, including the Directorates of Communication, Regional Planning, Housing and Construction, Economic Planning, Agriculture, and International Cooperation. The purpose of the Appreciative Inquiry was to determine the best experiences the staff have had in the MoPDC, what made theseexperiences so special, and how to increase this specialnessand hence achieve a higher-functioning organization.

Identifying the Topics of the Inquiry:

The first step of Appreciative Inquiry is to identify the best experiences the participants have had in their organization. This is done by pairing off and conducting interviews. Each person asks the other person the followingquestions: (1) Tell me a story of the best times and experiences you have had in your organization; (2) Let’s talk for a moment about some things you value deeply about yourself, your work and your organization; (3) What do you consider the core values of your organization?; and (4) Tellme three wishes you have which would increase the vitality and health of your organization.16

14 Ibid,15 Ibid,16 Ibid,

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The best experiences define the topics of the inquiry because these are experiences which the participants would like to have more of in the organization. The MoPDC participants selected the following five topics, based on their best experiences in the Ministry: (1) productive team work; (2) sharing of expertise; (3) fighting corruption; (4)working with a clear definition of responsibilities; and (5)effective time management. After the participants defined these five topic areas, they moved to the next step of discovering what made these topics so important to them. InAppreciative Inquiry, this is called the “Discovery Stage.” Participants discovered what qualities and values were manifested in each of the five areas which accounted for these areas being best experiences. Participants saw these qualities and values form the “positive core” of the MoPDC, according to the participants.

The Positive Core of the MoPDC:

In the area of team work, participants described productive team work as that in which the team has a strong, well-qualified leader, the team respects each member’s opinions, divides responsibilities clearly and according to qualifications, is highly professional, competent, disciplined, and committed, stands for justice and equality,is success-oriented, has a sportsmen like spirit of success,team members treat each other fairly and exhibit self-denial, members have strong academic backgrounds and are interested in increasing their expertise, team members openly share expertise with each other, work to create a positive future, and work within clear time parameters.

In are area of sharing of expertise, participants described their best experiences as those in which seasoned staff openly and voluntarily shared their expertise with new

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staff, experience is shared scientifically and appropriately, objective discussions among staff are held, mutual understanding is reached for problem solving and continuous learning, successful project experiences are reviewed in order to replicate experiences, regular meetingswith staff for progress reports are held, areas for cooperation and coordination between ministry and other ministries are defined, staff are offered training opportunities to build their expertise, there is an integration between practical and academic knowledge and experience, staff are encouraged to participate, people are not underestimated, new ideas are supported, humility and accepting constructive criticism, periodic seminars are held, competency courses are given, a better mechanism for selecting qualified candidates is put in place, general directors take staff recommendations more seriously.

In the area of fighting corruption, participants described their best experiences as those in which people guilty of either financial or administrative corruption are dealt withby the justice system, where transparency and accountabilityare practiced to prevent corruption, where people accused ofcorruption are dealt with justly, where the MoPDC IG actively pursues its role, where people take honesty seriously.

In the area of working with a clear definition of responsibilities, participants listed the best qualities as selecting the right person for the right job, distributing tasks and duties among staff based on proficiency and educational background, having a clear job description, making sure there is not overlap of responsibilities so there are too many people working on the same task, sense offairness in selecting staff and tasks, competency, integrity, decency, tactfulness, an incentive system is in place to reward staff who perform well with the possibility of managerial responsibilities, giving the opportunity for new staff to have responsibility and develop their expertise, giving priority to persons capable of bearing

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responsibility, clearer coordination with the provincial planning units.

In the area of effective time management, participants identified best qualities as “do not put off until tomorrow what you can do today,” determine a schedule for each job and stick to it, adopting electronic techniques for processing work and transactions among people, assure that power works in the MoPDC so work can continue, assure that air conditioning works so that staff can work more effectively, discipline, a generation with time consciousness, commitment, commitment of time in the discussions of the 2009 Annual Plan and for the implementation of 2009 projects, determining time by dividing up projects by priority, honor staff with proven proficiency and respect for time, create an ideal jon environment, have clear responsibilities laid out, find solutions for logistical issues, eliminate bureaucracy, adopt IT systems for increased time efficiency, commitment of dates and respecting of time by all employees, not wasting time on useless matters.

Provocative Propositions:

After participants specified qualities of the best experiences, they prioritized these qualities and developed provocative propositions for each of the five topic areas. These provocative propositions laid out the vision which participants imagined for each topic.

For productive team work, the participants envisioned a MoPDC in which:

“Sportsmen-like spirited and highly professional teams succeeding with inspirational and effective leadership and accountable team members with clear responsibilities, transparently and justly sharing knowledge and expertise, successfully accomplishing tasks within specified time frames.”

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For sharing of expertise, the participants envisioned a MoPDC in which:

“Professional and well-selected and well-trained staff, linked up to internet and other knowledge sources, work collegially to improve and share their expertise openly and humbly.”

For fighting corruption, the participants envisioned a MoPDCin which:

“Ministry effectively prevents and punishes both financial and administrative corruption by transparent and fair application of regulations, procedures, and processes and rapid and just dealings with accusations and violations.”

For working with a clear definition of responsibilities, theparticipants envisioned a MoPDC in which:

“Staff, with precise job descriptions, working as a team with complimentary and clear roles, exhibiting competency, integrity, decency, tactfulness, being rewarded for excellent performance by obtaining managerial responsibilities, coordinating well with other MoPDC directorates, the MoPDC provincial planning units, and otherministries.”

For working with effective time management, the participantsenvisioned a MoPDC in which:

“Staff working in an environment with continuous electricityand air-conditioning, with access to IT and other technologies, succeeding within clear and reasonable deadlines, and operating according to the motto: Do not put off until tomorrow what you can do today.”

Designing the MoPDC’s Architecture:

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Participants next looked at key stakeholders within the MoPDC who would have to be involved in order for the Ministry to achieve the above provocative propositions, and looked at what systems would have to support these propositions. They created what are called “goose-egg frameworks” which are oval shapes which contain the provocative proposition in the center, stakeholders in an oval around the proposition, and systems in the oval outsideof the stakeholders. Several of the “goose eggs” were beautiful in addition to being a visual representation of the ministry architecture which needs to be designed to support the visions.

To achieve productive team work, stakeholders include: staff, director generals, Human Resources Department. Key systems include: work organization, supervisor-staff relationships, training.

To achieve sharing of expertise, key stakeholders include: staff, general directors, the human Resources Department, procurement department, training department.

To achieve fighting of corruption, key stakeholders include:staff, general directors, the IG, the minister, the GOI committee on corruption, the Human Resources Department. Key systems include: the judicial system, the legislative system, the investigations system, work culture, accounting system, procurement system, recruitment system.

To achieve clear definition of responsibility, key stakeholders include: the director generals or heads of departments, the minister, human resources department of ministry. Key systems include: leadership, staff relations,personnel policies, career development plans, technology, elements of the ministry system, staff, communications, education and training.

To achieve effective time management, key stakeholders include: the director generals or heads of departments, the

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minister, human resources department of ministry, staff, procurement office of ministry, Ministry of Electricity. Key systems include: electricity distribution, budget, procurement plan, work culture, training, leadership, technology, IT,

The Destiny of the MoPDC:

Participants finally made individual and group commitments to taking concrete steps toward realizing their provocative propositions. First of all, participants wanted their experience written up in a report which they could distribute widely to general directors and colleagues in theMoPDC. Next, participants would like to hold a meeting in which they present their provocative propositions and their commitments and obtain support from key stakeholders within the ministry. Three participants volunteered to give the presentation. Hopefully, this meeting will initiate a ministry-wide process of AI led from within and a buy-in from senior managers.

Several participants are working without job descriptions and stated that they would work on these descriptions when they returned to their jobs. Almost all of the participantswanted ministry staff to have more input into what training courses are offered and which ones they can attend. Some mentioned specific training courses including: IT training, how to evaluate feasibility studies, post-project evaluation, strategic planning, economic feasibility, donor assistance database, courses with practical exercises, self-defense. Several participants purposed to meet with their general directors regarding training courses. A few participants made a personal commitment to fighting corruption.

As the AI process expands in the Ministry, it ideally can expand to other ministries and provinces. The MoPDC is in an ideal position to catalyze a government-wide AI process

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since it plays a leadership role in planning for development.

Values and Dreams of the Participants

The AI participants spontaneously came up with values, dreams and commitments consistent with the values of globalization which include democracy, strong social capitalgenerated by sharing common visions and working together as well-functioning teams, high ethical values, transparency, rejection of corruption, position and advancement based on merit rather than relationship, among others. The AI process illustrates that when leading their own process, theIraqi participants chose a path which some donors argue may be alien to Iraq and to Islam and which must be promulgated from outside. The AI process seems to have tapped an inner core in the participants which they were free to express. If successfully expanded, this process has the potential to unleash these attitudes and values which are critical to Iraq’s vision. A consistent observation the group made was that many of the mid- and senior-level and embedded bureaucrats within the ministry are squelching the positive energy of the junior staff and preventing change toward Iraq’s new vision. Some of them seem to be continuing to operate as they did under Saddam’s regime. Some of the resistance of these more entrenched bureaucrats may be due to their obsolete survival strategies. In order to reduce their resistance, a process would have to be implemented through which they would have to be reassured that their position would not be jeopardized by sharing information andallowing subordinates to more openly communicate and impact organizational processes.

Appreciative Inquiry and Reconstruction:

Post-conflict reconstruction has become a central focus since the fall of communism and the arising of conflicts in numerous countries pulled apart by sectarian violence or invasion. In their publication “U.S. Foreign Aid: Meeting

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the Challenges of the Twenty-first Century,” USAID states that the goal of reconstruction is “Stabilization, reform, and recovery that provides a foundation for transformationaldevelopment.”17 As stated earlier, Orr lays out four pillars of post-conflict reconstruction: (1) security; (2) governance and participation; (3) social and economic well-being; and (4) justice and reconciliation.18 The U.S. Department of State adds another pillar, namely, humanitarian assistance and social wellbeing: and includes infrastructure with the economic stabilization pillar.19 “Capacity development” is the watchword used by donors to describe the task underlying each of these pillars. Variously defined, capacity development involves helping a society improve its performance20 or as Tamas quotes the Australian Agency for International Development:21

The process of developing competencies and capabilitiesin individuals, groups, organizations, sectors, or countries which will lead to sustained and self-generating performance improvement

Tamas includes in the dimensions of capacity development values, structure, skills, resources, operations, and performance.22 He also points out the necessity to be cognizant of the war-torn society’s population’s mental or psychological state, “a type of collective post-traumatic stress disorder” caused by the turmoil of war, unrest, and danger.23 The trauma which the people endured erodes trust and hence social capital has been reduced and confidence diminished.

17 USAID, “U.S. Foreign Aid: Meeting the Challenges of the Twenty-first Century,” January 2004, p 19.18 Orr, op cit, p 11.19 United States Department of State, Post-Conflict Reconstruction: Essential Tasks, April 2005.20 Tamas, Andy, Warriors and Nation Builders: Development and the Military in Afghanistan, Kingston, Ontario: Canadian Defense Academy Press, 2009., p 65.21 Ibid, p .65. 22 Ibid, p. 69.23 Ibid, p. 74.

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Tamas quotes from Barakat and Chard regarding the special challenge of working in war-torn societies:24

One immediate obvious aspect of the breakdown of organized activities is of course the fact that transfer of knowledge and organizational culture (informal and formal education) between generations hasbroken down, leaving a human resource deficit. The other less tangible but more significant aspect is the breakdown of trust in human relations and confidence inplanning for the future. The fixed-term pre-planned project culture that…characterize most donor-funded interventions is particularly unsuited to these circumstances, since it allows no space for solutions to evolve as people recover their confidence, understand their changed circumstances, identify possible courses of action, and thus become able to make choices about what they need to know and learn in order to pursue their goals. Usually the cart is put before the horse: organizational structures are imposedand skills training is delivered in measurable packagesof ‘person hours’ long before the real institutional and capacity building needs can be understood.

Within the context of a systems approach in which the impetus for positive change comes from moving the systems ina constructive trajectory, Tamas points out that it is important to align with and encourage social groups who buy into and support the positive vision which will redefine andguide a fragile or failed state to become productive. Based on his experience in Afghanistan, he describes three groups:25

24 Barakat, Sultan, and Margaret Chard. “Theories, rhetoric, and practice: recovering the capacities of war-torn societies,” Third World Quarterly 23,5 (October 2002),pp 817-35, as quoted in Tamas, p. 74-5.25 Tamas, op.cit. p.112

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(1) Groups or forces that are already expending energyin a direction that is compatible with the society’s reconstruction process.

(2) Entities that seem to be neutral(3) Groups or forces that are expending energy in

unconstructive ways and are hindering the progress of society along a beneficial trajectory.

According to Tamas, it is especially important to work with the second group because they may switch to either of the other two groups and it important for the stabilization of the country and the success of reconstruction that they jointhe first group and increase the positive forces for change. Appreciative Inquiry and Reconstruction

The assumptions and processes of appreciative inquiry are similar to those of reconstruction. Appreciative inquiry stems from five principles: the constructivist principle, the principle of simultaneity, the anticipatory principles, the poetic principle, and the positive principles.26 The constructivist principle states that organizations evolve inthe direction of the images staff create based on the questions they ask about their organizations. The principleof simultaneity argues that change begins when people ask questions. Behavior in the present is influenced by the future people anticipate, according to the anticipatory principle. The poetic principle sets no constraints on whatpeople can inquire about. Finally, the more positive a question is which guides a change process, the more long-lasting and effective that process will be, according to thepositive principle.

Underlying these principles are the concepts of social constructionism, image theory, and grounded theory. Social constructionism argues that societies and their people 26 Mohn, Bernard J and Watkins, Jane Magruder, The Essentials of Appreciative Inquiry: A Roadmap for Creating Positive Futures, IMS Innovations in Management Series, Walthan Massachusetts: Pegasus Communications, Inc, 2002.

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communally define and create social structures and artifactsand that this construction largely begins by words. Image theory sees decision making as the result of the values and beliefs of people which determine their goals and visions which then drive their actions. Although grounded theory has various aspects, one key goal of this theory is to discover participants’ main concern and how they try to resolve it. The AI process has the potential to build trust and social capital because participants work together to construct commonly held visions and strategies

A specific technique of appreciative inquiry which is especially relevant to reconstruction is the “Generative Metaphor Intervention Process (GMIP)” which includes a journey into metaphor, poeticizing the world, possibility expansion, and return to the original domain.27 A metaphor “acts as a way of organizing perceptions and provides a framework for selecting and naming characteristics of an object of experience by asserting similarity with a different, seemingly unrelated object or experience.”28 A metaphor can “drive people to initiate actions congruent with the metaphors informing their beliefs.”29 A generative metaphor is “an invitation to see the world anew and can be used as an intervention into inter-group and interpersonal conflict”30 to help solve problems without directly engagingin problem-solving but rather focusing on creating a common future.

In the post-conflict reconstruction process, countries generally begin to reconstruct their political and social order through the rewriting of their constitutions includingthe form of government they agree to and the values which they will uphold. In many or most cases, the constitution establishes a society distinct from the previous one. This 27 Barrett, Frank J and Cooperrider, David L., “Generative Metaphor Intervention: A New Approach for Working with Systems Divided by Conflict and Caught in Defensive Perception,” 28 Ibid., p. 4.29 Ibid., p. 5.30 Ibid., p 20

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is true of Iraq. The fact that the writing of a constitution redefines a society parallels the social constructionism theory and the constructionist principle which underlies appreciative inquiry. A new constitution also serves as a “generative metaphor” in that it offers a new vision for the country which, when people buy into it and have the freedom to realize it, generates a new society.Iraq’s constitution, ratified in 2005, establishes Iraq as ademocratic, federal, representative, parliamentary republic in which Islam is the state religion. The constitution acknowledges that Iraq is a multi-ethnic, multi-religious state and guarantees the rights of all groups. While recognizing Arabic and Kurdish as the official languages, the constitution guarantees the rights of groups speaking other languages to educate their children in their mother tongues. Clearly the post-conflict reconstruction processis driven by positive questions and images because the country is creating a new society based on people’s values and ideals and hopefully rooted in their own personal best experiences.

Given the goals and methods of post-conflict reconstruction and appreciative inquiry, it seems critical to unleash the inner hopes and aspirations of groups who have internalized and become committed to the stated hopes and aspirations of the society at large as indicated in the constitution and inthe reordering of key social institutions. The AI processworks to tap these and to open the space for them to expand their aspirations to larger groups. The process would beginwith what Tamas has characterized as “group one,” namely those who are openly working to better society. The processwould then expand to “group two,” those who are unconvinced and who could become either positive or negative influencers.

Applying Appreciative Inquiry to Reconstruction:

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In terms of the generally accepted pillars of post-conflict reconstruction described previously, Appreciative Inquiry ismost immediately applicable to the governance and participation pillar, although the approach can also be applied to the other pillars as well. Orr defines governance as “setting rules and procedures for political decision making, and strengthening public sector management and administration to deliver public services in an efficient and transparent manner,” and participation as “theprocess for ensuring active and open participation of the citizenry in the formulation of government and its policies,including through advocacy groups, civic associations, and media that help ensure the generation and exchange of ideas.”31

In his chapter titled “Governing When Chaos Rules,” Orr cautions donors that governance and participation process must be led by indigenous groups, not imposed by outsiders. USAID asserts that “the effectiveness of assistance to strengthen fragile states depends critically on recipient commitment and self-help efforts” and that “this can pose dilemmas in failing and failed states, as weak governance istypically at the heart of fragility and weak commitment is often the main factor behind weak governance.”32 Orr pointsout that the UN defines governance as “the exercise of economic, political, and administrative authority to manage a country’s affairs at all levels and the means by which states promote social cohesion, integration, and ensure the well-being of their populations. It embraces all methods used to distribute power and manage public resources and theorganizations that shape government and the execution of policy.” Through an asset-based approach such as Appreciative Inquiry, groups work together to state their visions and to build their capacity to achieve them. As theAI process in Iraq’s Ministry of Planning and Development Cooperation illustrated, once a vision and provocative propositions have been stated, the group is in a good

31 Orr, op cit.32 USAID, op cit, p. 19.

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position to determine what they need in terms of training, buy-in from colleagues and supervisors, system adjustments and changes, and additional resources.

In the early stages of reconstruction, AI is also highly useful for reconcilitation of divergent groups. As Barrett and Cooperrider showed in their article on the generative metaphor approach, facilitating a common new metaphor and vision, can help groups.

Expanding Appreciative Inquiry for Iraq’s Reconstruction:

AI could be useful to help build capacity in all ministries in Iraq. In this way, a people-led asset-based process would complement steps being taken by the government and by donors. AI participants would identify steps to build theircapacity and hence their country according to the vision of their constitution and according to their visions based on their best personal experiences.

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