AI Practitioner Volume 12 Number 3 ISBN 978-1-907549-02-1 August 2010

Annet van de Wetering,

a senior consultant with TNO Management
Consultants, has worked in change management for
20 years. She completed the AI Certified program
in the United States. One of the initiators of the AI
network in The Netherlands, she is a frequently asked
to speak by universities and organisations.
Contact: wetering@tmc.tno.nl

Appreciative
Auditing
ABSTRACT What is appreciative auditing?
Traditional auditing
Internal auditing can The point of departure in traditional auditing is the way of documenting working
contribute to letting people (processes) in ISO (International Organisation for Standardisation). It is aimed
explore together, by letting at testing whether an organization operates in accordance with the documented
them break away from procedure:

the daily work routine. ••Is the process realized according to the arrangements agreed in
But the results are often advance?
perceived as criticism, ••Do actual practice and the description coincide?
so people do not always
The focus is on gaining insights into the control of the critical process steps. The
cooperate because they audit report is aimed at registering issues of non-conformity, thereby revealing
fear being judged based the difference between actual practice and the documented procedure. However,
on the findings of the this does not usually tell us anything about how this difference has developed or
internal audit. How does its consequences. To be able to determine correction or improvement measures,
the non-conformity still has to be investigated after the audit.
appreciative auditing differ
from traditional auditing? Appreciative auditing
What is the auditor’s The starting point is to look for the best practice: the successful moments during
which the desired result was achieved:
role? How can the auditor
ensure an audit becomes ••Consequence: What does this result imply?
inspiring and forms the ••Cause: In what way was this result achieved?
basis for the co-creation
of improvements and ••Responsibility: What was your contribution to this?
upgrades? This provides a picture of the situation in which the result has been or is being
realized. Possibilities are offered for co-creation (sharing knowledge and
insights) and one is stimulated to generate improvement. The strength of an

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AI Practitioner Volume 12 Number 3 ISBN 978-1-907549-02-1 August 2010

appreciative audit does not lie in tracking down mistakes, but in finding possible
points for improvement so the organization and its business goals can be further
developed. Experience has shown that an approach aimed at appreciation and
learning increases the effectiveness of the audit.

Table 1. Traditional auditing versus

Traditional Appreciative and explorative
appreciative and explorative auditing
auditing auditing
Focus on procedures and norms Focus on improvement
Focus on the objective standards, without Focus on appreciation inspires those
a great deal of consideration for those involved
involved
Focus on what is not going well Focus on what goes well (best practice)
Can come across as a pedantic approach Reflective
(policing)
More focus on incidents More focus on coherence

Appreciative, explorative attitude

An appreciative audit asks for a ‘yes-and’ attitude, or an appreciative explorative
attitude, which is essential in the process of an appreciative audit. This is
because in the auditing process a ‘yes-but’ attitude mainly registers the things
which are not there, those which are missing or lacking, and which are not
negative. Those who start from a ‘yes-and’ perspective will literally see more
chances and opportunities than those who are looking for what is not there. In
auditing, the most effective strategy is not to start by looking for what is not
there without first investigating what is there.

Table 2. The application of ‘yes-and’ The ‘yes-and’ attitude in auditing

attitude
1. Having an open mind What is meant here by the auditee?
In the assessment it is not necessary that
it is immediately clear what is going on.
The art is to have an open mind and first
observe the things that are there.
2. Continuing to inquire In his/her questions the auditor has to
continue to focus on what is relevant in an
appreciative manner, and summarize this
information.
3. Arriving at a clear judgment Delaying one’s judgment does not mean
that it is cancelled. After a process of
appreciative investigation, an auditor
ultimately has to arrive at a clear
judgment with respect to a learning and
improvement trajectory.

Appreciative audit questions

Appreciative auditing by no means implies that non-conformities are being
ignored and that problems ought not to be defined. Instead, they are investigated
in an appreciative manner For example: ‘This ISO-condition has not been met.
What would be the risks of this, and how could they be dealt with?’

A non-conformity is also considered as a finding and subsequently placed in the

perspective of points for improvement and opportunities. At the moment the
question is asked, the first step to improvement is initiated. It creates awareness

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AI Practitioner Volume 12 Number 3 ISBN 978-1-907549-02-1 August 2010

on the part of the employees with respect to their individual way of working and
motivates them to think about what they can do themselves to realize quality
improvements.

It can start with an open question, for example: ‘Could you tell us about the
course of the procedure?’ The answer shows the direction the next question
could take:

The procedure runs smoothly The procedure does not run

smoothly
Zaans Medical Centre, Netherlands If the procedure runs smoothly, continue If the procedure does not run smoothly
by asking about the good, successful yet, continue by asking about how this
moments and the individual contribution: could be improved and the individual
contribution:
Give us an example of when the procedure You indicate that the organization does
ran smoothly. not yet operate in accordance with the
procedure.
••What went well …?
••What would you gain if the
••Why was this? procedure were followed?
••How could you make sure that ••What would be a small step
the procedure continues to run to make in order to improve this
smoothly (securing it)? situation?
••What can you learn from this, ••Suppose you come to work
what makes it run smoothly and tomorrow and everything goes
could this possibly be applied exactly according to procedure…
to other procedures which are
followed less successfully? ••Describe what this situation
would be like. What would you do
differently from what you do now?

Appreciative questions generate a good atmosphere and positive energy. As a
natural response towards the positive core, the auditee gives more information
about what is not going well and what has to be improved.

Appreciative report
If the audits have a more appreciative, explorative character, it is important to
report on them in a similar tone. This is because the manner of reporting partly
determines whether the receiving party will make use of the report. Cooperrider
refers to ‘Positive Images – Positive Actions’, by which he means that a positive
use of language evokes positive actions (and vice versa), and that is what it is
ultimately about: stimulating people to learn in a way that motivates them to
deal with and improve the conclusions.

Case study: Zaans Medical Centre - the experiences of a hospital in

practice
The Zaans Medical Centre is a hospital with 300 beds, 1500 employees and
115 specialists in the northwest of The Netherlands. Their vision is that they
treat patients as customers and strive for the best care with the best results.
They respect their customers and each other.

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AI Practitioner Volume 12 Number 3 ISBN 978-1-907549-02-1 August 2010

Cooperrider refers to Reason to start with appreciative auditing

The hospital had already an external accreditation. One of the quality criteria
‘Positive Images – Positive
of the accreditation is the existence of a verifiable climate for development, in
Actions’, by which he which it is important that employees of the various units learn from each other.
means that a positive This was the reason the hospital started internal audits.
use of language evokes
The hospital had already introduced Appreciative Inquiry in management
positive actions (and vice
development training for their managers. When TNO Management Consultants
versa), and that is what suggested adopting the Appreciative Inquiry (AI) approach to internal auditing
it is ultimately about: in 2005, they responded immediately and positively. The hospital perceives the
stimulating people to learn positive principle behind Appreciative Inquiry to be an important basic attitude
because it focuses on the strengths of the organizational units, rather than
in a way that motivates
looking at mistakes. Instead of trying to figure out who caused a problem, a
them to deal with and positive appeal can increase people’s psychological ownership and responsibility.
improve the conclusions.
The appreciative auditing journey
In 2005 the Zaans Medical Centre implemented appreciative auditing in the
following way:

1. Profile of an appreciative auditor

First, a profile was set up which included the criteria necessary for
qualifying as an auditor. Employees of the hospital were invited to apply
through an open application procedure. During the ‘job interview’ the
following criteria were seen as important: empathy, being a team worker,
the wish to contribute towards the improvement of matters within the
organization and a positive attitude.

2. Selection of 16 auditors
This procedure resulted in the selection of 16 auditors. They were
subsequently trained in two two-day courses following the 5D-model of AI
to become fully qualified for their task. This method allowed the auditors
to explore and learn by themselves what it means to audit. They received
input from trainers to guide their exploration, of course.

The auditors audited themselves in practice in a follow-up meeting held two

months after the training. They reflected on their learnings and on how they
could further develop their own auditor roles in a second follow-up meeting held
six months after the training.

The organizations also invested by making it possible for each auditor to take
time for the training. The care departments were compensated for the hours the
auditor spent in training.

3. Training of the 16 auditors in appreciative auditing in the role of

the ‘internal auditor’
The goals of the training were to:

a. develop a positive attitude/skill as an auditor to create trust and make real

contacts with the people being audited.
b. practise communication skills such as listening, summarising and giving
feedback from a positive core.
c. practise writing clear and appreciative reports that represent the audit
dialogue in a way that invites learning and improving.

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AI Practitioner Volume 12 Number 3 ISBN 978-1-907549-02-1 August 2010

The importance of d. practise analysing the ‘big picture’ as well as the details during the audit and
to create a focus during the dialogue.
experiencing the audit
e. develop good cooperation between the auditors, enabling them to make use
as a moment to stop and of each others’ qualities.
reflect on goals – on HOW By establishing the training via the 5D-model of AI, a noticeable team feeling has
you are doing your work developed. The appreciative and pro-active approach of AI to designing their own
roles as auditors, created a feeling of solidarity and self-responsibility.
instead of only looking at
WHAT you are doing – is 4. Appreciative internal audits
considered valuable. People cooperated in an audit in teams of two or three. The audit teams were
established based on affinity, experience and additional team qualities. Each
audit team conducted appreciative audits within departments of the hospital
and wrote a report of the audit.

5. How is it going?
a. 2005: Those who were trained constituted a pool of auditors. They formed
audit teams of two or three people and conducted audits within the hospital
twice a year.
b. There is an annual meeting for all auditors to exchange experiences and
discuss contextual developments.
c. 2007: A second group of auditors was trained in appreciative auditing to
expand the pool of auditors.
d. 2009: A third group of auditors has been trained. The Zaans Medical
Centre conducts the audit not just in one department, but on an treatment
trajectory. The audit becomes bigger and more complex because it follows
a patient through the value chain of the hospital. The auditors look at the
interdependencies in procedures and therefore specifically address the cross-
departmental points of improvement.
e. 2010:They are still working to deepen the skills of the auditors and to
contribute to the learning climate within the hospital by the appreciative audits.

6. Results of appreciative auditing

Erwin Steenbergen, quality consultant at the Zaans Medical Centre, and Rob
van Haarlem, manager of the Projects and Programming department, both
participated in the auditors’ training, and talked about their experiences.

a. Audits experienced as valuable

Within the organization, there was some initial fear of internal audits, in the sense
that one acts as a police agent, and people wondered what would be done with
the findings. According to van Haarlem, the internal audits are now absolutely
‘alive’ within the Zaans Medical Centre. In planning the audits, one department
indicated; ‘Yes please, we actually wanted this earlier to reflect on our goals and
procedures’.

According to him, this illustrates the effect of the appreciative audits. The
appreciative way in which the internal audits take place allows people to perceive
them as fun, safe and meaningful. The importance of experiencing the audit as a
moment to stop and reflect on goals – on HOW you are doing your work instead
of only looking at WHAT you are doing – is considered valuable.

b. 75% of the findings from the audits are improved

Steenbergen indicates that there is a greater openness and honesty because
specific peripheral conditions have been created. The audit reports are

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AI Practitioner Volume 12 Number 3 ISBN 978-1-907549-02-1 August 2010

described appreciatively in terms of positive findings, points of improvement and

opportunities.

From the department’s improvement plan they discovered that 75% of the
established findings from the audit have been dealt with by the department.
These are mostly points of improvement that could be realized within the
own department. Cross-departmental points of improvement are realized
less quickly, because it is less obvious who is responsible for the process and
is thus the initiator. They are paying attention to improving this facet of the
departmental points by auditing in a cross-departmental way.

c. Learning together and greater understanding

Steenbergen says the appreciative internal audits have generated greater
understanding of each other through insights into each other’s qualities
and activities. The auditors also learned a lot from the best practices of
other departments during the internal audits, to the advantage of their own
department. And van Haarlem added: ‘That is what it’s all about: Helping each
other to improve and develop‘.

Conclusion
Good questions invite people to think and help them reflect on their way of
working. It is an excellent method for an auditor to have people think about
how they are engaged in their work and what they can do themselves to add
improvements. It is important that sufficient appreciative, explorative questions
are asked. The art is to create a balance between closed, open and appreciative
questions, aimed at both conformities and non-conformities, whereby a ‘yes-and’
attitude adopted by the auditor is absolutely essential. This is because it enables
the auditor to be open to what is going well and the possibilities that are there.
The auditors’ vision colours their observations: it is good to be aware of this, so
that one is capable of executing an appreciative, explorative audit.

References:
Byttebier, I. (2002) Creativiteit Hoe? Zo!, Lannoo Algemeen Fonds.

Cooperrider, D. L. (1990) ‘Positive Image, Positive Action, The Affirmative Basis

of Organizing,’ in S.Srivastva and D. Cooperrider, Appreciative Management and
Leadership. San Francisco: Jossey-Bass.

Gunster, B. (2005) Ja-maar wat als alles lukt? De tien regels voor een Ja-maar-
vrij-leven. Utrecht: A.W. Bruna Uitgevers B.V.

Whitney, D. and A. Trosten-Bloom. (2003) The Power of Appreciative Inquiry: A

Practical Guide to Positive Change, San Francisco: Berrett-Koehler.

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AIP August 10 van de Wetering: Appreciative Auditing 30

AI Practitioner August 2010

International Journal of Appreciative Inquiry

Inside:
4 Introduction to Measuring the Impact of Appreciative Inquiry in the Private Sector
by Susan Donnan and David Shaked

10 From Crisis to Global Competitiveness: Learning from a Spectacular Journey

by Henrik Kongsbak
From unwanted to Most Wanted: sustaining momentum for change in the face of
uncertainty

15 Building a Cohesive Team at ING by Katia Van Belle

Creating team spirit during a financial crisis

20 Generating Leadership Possibilities: An AI Way for Developing HR Change

Leadership by R Sankarasubramanyan, Hardik Shah and Wasundhara Joshi
Tapping into the immense capacity to change within a group of well experienced, yet
jaded, HR professionals

25 Appreciative Auditing by Annet van der Wetering

How does appreciative auditing differ from traditional auditing?

31 SOARing for Sustainability: Longitudinal Organizational Efforts Applying

Appreciative Inquiry by Gina Hinrichs
Leading and lagging indicators of success as they appear in the framework of Strengths,
Opportunities, Aspirations and Results

37 Unleashing Potential Through Appreciative Inquiry by Mike King and

Fanny L. Tamegnon
Changing an industry by providing customers with an exceptional experience

AIP August 10 Measuring the Impact of Appreciative Inquiry in the Private Sector Back Issues at www.aipractitioner.com
AI Practitioner August 2010

International Journal of Appreciative Inquiry

Inside continued:
44 Successful Adaptation of Appreciative Inquiry for Academic Medicine
by Julie Haizlip and Margaret Plews-Ogan
Applying AI in a high pressure 24/7 environment

50 Strength-based Approach to Metrics, Scorecards and Performance Reviews

by David Shaked
Changing from deficit-problem solving to AI models for performance-measuring tools

56 AI Research Notes
by Jan Reed and Lena Holmberg
AI research as the foundation of a PhD thesis which bridges academic study and practice
in nursing for patients with dementia and their carers

59 AI Resources
by Jackie Stavros and Dawn Dole
Good books, old and new, to recommend to people who want to learn more about AI

63 About the November 2010 Issue

Guest Editors: Cora Reijerse and Ronald van Domburg
This issue will be devoted to Teambuilding the AI Way

64 IAPG Contacts and AI Practitioner Subscription Information

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AI Practitioner Volume 12 Number 3 ISBN 978-1-907549-02-1 August 2010

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