Change

How to change things when change is hard?

Andy Weeger

Neu-Ulm University of Applied Sciences

September 3, 2024

Motivation

All change
= behavior change

For something to change, somebody somewhere has to start behaving differently—in other words, all change is ultimately behavior change. Chip Heath, American author

This class is about theories and tools that may help you to lead change in different contexts. As to that, we will get to know a useful framework for understanding change, as well as methods and tools that might help you to make changes you want to make but can’t.

Foundation

Switch: How to change things when change is hard

This unit is inspired by and based on the book Switch by Heath and Heath (2011)

Chip and Dan Heath have mined the latest psychological research to work out how to engage our emotional brain, and encourage us to focus on “bright spots”—techniques proven to help us change bad habits—rather than merely telling us what we’re doing wrong. Psychologies Magazine

Exercise

A bad habit is something where you have all the information you need to see its a bad behavior, yet your keep doing it anyway.

Are you engaged in some kind of “bad” habit?
Why?

• Did you set up an alarm to get up this morning?
  If so, did you hit snooze? Twice?
• Have you ever been on diet?
  If so, did you have fun? Did you quit before reaching your goals?
• Do you make sports as much as you think would be sufficiently worthy?

Introduction

Knowing vs. doing

A fundamental tension of psychology: knowing what the right answer is vs. doing it.

Problem statement

Psychology assumes that the brain has two independent systems at work at all times (see e.g., Haidt 2006; Kahneman 2011).

Emotional system
& rational system

Emotional system (system 1)

• Typified by the amygdala (trigger of the body’s stress response)
• Everything else, the unconscious, automatic, effortless
• Without self-awareness or control, “What you see is all there is.”
• Influenced by experiences and emotions
• Does 98% of our thinking
• FAST

Rational system (system 2)

• Typified by the prefrontal cortex (patterns, plans, predictions, monitoring, etc.)
• Deliberate and conscious, effortful, controlled mental process, rational thinking
• With self-awareness or control, logical and skeptical
• Influenced by facts, logic and evidence
• Does 2% of all our thinking
• SLOW

The elephant, the rider and the path

Leading change

Rider + elephant + path

If you want to change things, you’ve got to appeal both. The rider provides the planning and direction, and the elephant provides the energy. [..] A reluctant elephant and a wheel-spinning rider can both ensure that nothing changes. But when elephants and riders move together, change can come easily. Heath and Heath (2011)

• Direct the rider—give clear direction reduce mental paralysis
• Motivate the elephant—find the emotional connection
• Shape the path—reduce obstacles, tweak the environment, make the journey easy

Three hypotheses about change

1. Direct the rider
2. Motivate the elephant
3. Shape the path

• Direct the rider
  • What looks like resistance is often a lack of clarity.
  • Change requires crystal clear direction¹.
• Motivate the elephant
  • What looks like laziness is often exhaustion.
  • Change requires engagign the emotional side².
• Shape the path
  • What looks like a people problem is often a situation problem.
  • Change requires an environment that makes change more likely³.

Strengths and weaknesses of the rider

Strengths of the rider

• Visionary—willing to make short-time sacrifices for long-term payoffs
• Strong analytical skills that work well when parameters are known, assumptions are minimal, and the future is not fuzzy (not the case with big changes)
• Clever tactician

Weaknesses of the rider

• Limited resources of strength (e.g., willpower)
• Paralysis in the face of ambiguity and choice
• Restless focus on problems rather than solutions

Direct the Rider

Exercise

Paralysis in the face of …

Tell us about a time when you experienced mental paralysis. How did it manifest? How could it have been avoided?

Take 10 minutes to discuss these questions in small groups and come up with one example you could present to the plenum.

Strategies

What can you do to resolve mental paralysis and/or resistance?

Follow the bright spots
Script the critical moves
Point to the destination

Follow the bright spots

Investigate what’s working and clone it. Heath and Heath (2011)

Example: Jerry Sternin and mothers in Vietnam

In 1990, Jerry Sternin was working for Save the Children, asked to open a new office in Vietnam “to make a difference” within 6 months (see e.g., Marsh et al. 2004).

• Many children suffered malnutrition—a result of many intertwined problems: poor sanitation, universal poverty, no clean water, etc. (true but useless analysis).
• Sternin synthesized the “conventional wisdom” about feeding kids (norms).
• Sternin looked for very poor kids who are bigger and healthier than the typical child and analyzed what the mothers were doing differently (positive deviations).
• Sternin organized cooking groups where the mothers got highly specific instructions (Rider) and the feeling that they can make their kids healthier (Elephant), which also changed the culture of the village (Path).
• Six months later, 65 percent of the kids were better nourished and stayed that way; years later the program reached 2.2 million Vietnamese people.

Conclusion

Switch from a problem focus to a solution focus.

Ask the exception question—when does the problem you’re fighting not happen?

1. Gather data on the issue
2. Study the data to find the bright spots⁴ (the positive deviants)
3. Make sure you understand the “normal way” things are done
4. Study the bright spots to see what they’re doing differently
5. Make sure none of those practices are “exceptional” in some way
6. Find a way to reproduce the practices of the bright spots among other people

Script the critical moves

Don’t think big picture,
think in terms of specific behavior. Heath and Heath (2011)

Example: Brazilian southern line

In 1996, GP Investimentor Limited bought parts of the Brazilian railway network (a deteriorating mess) and set a young talent in charge—Alexandre Behring.

• Behring only had 30 million Brazilian reals in cash on its balance sheet (i.e., nothing).
• To change direction and guide decision-making, Behring developed four rules:
  • Money is only invested in projects that provide higher revenue in the short term.
  • The best solution to a problem is the one that costs the least money up front.
  • Quick fixes are preferred to slower options that provide superior long-term fixes.
  • Reusing or recycling existing materials is better than acquiring new materials.
• In 2000, the company’s performance improved from a net loss of 80 million reals to a net profit of 24 million reals.

Conclusion

If you want to change things, be clear about how people should act.

Change brings new choices that create uncertainty, which fatigues/paralyses the Rider and frightens the Elephant (the paradox of choice⁵). Reduce uncertainty by:

• Remove ambiguity from the vision
• Transform aspiration (the change idea) into action (specific behavior)
• Get rid of any abstraction
• Give priority to critical moves that evoke more parts of the framework

Clarity resolves resistance. Heath and Heath (2011, 72)

Checklist: Do you have the right “critical moves”?

• Does it evoke emotion? (Find the feeling)
• Does it feel do-able? (Shrink the change)
• Was it a part of success stories in the past? **(Find the bright spots)*
• Will your team see the connection with the big picture? (Point to the destination)
• Would it provide a quick win? (Grow your people)
• Would it create positive peer pressure? (Rally the herd)
• Is it consistent with the way people think about themselves in the firm? (Grow your people)

Point to the destination

Change is easier when you know where you’re going and why it’s worth it. Heath and Heath (2011)

Example: No dry holes at BP

After decades of success, in the 90s, BP had issues to find untapped oil resources.

• In 1989, BP had an average accuracy rate of just 1 out of 5 (global standard).
• The oil explorers behaved like salesmen and put pressure to drill every well (the logic behind: the payoff on hitting one big well will cover for the ones they did not hit).
• To reduce cost per Barrel, the CEO posed a clear destination: “No Dry Holes”—meaning no random shots, but systematic tests (using the knowledge they had).
• But No Dry Holes created an even bigger shift in BP’s culture—no one rationalized failure buy saying ‘Oh, we hit a dry well, but we learned’.
• In 2020, BP’s hit rate was 2 out of 3.

Conclusion

Paint a specific, rich, detailed picture of what the destination looks like to motivate people.

Some of Heath and Heath (2011) recommendations

• Avoid metrics as destinations (SMART goals are fine, but they should also be inspiring enough to motivate the Elephant).
• Reduce uncertainty and, thus, opportunities for rationalization⁶.
• Consider moving from process (e.g., 100% handwashing compliance) to outcome (e.g., 0% hospital-acquired infection).
• If “backsliding” is a problem, consider a black and white goal (i.e., a goal that brooks no dissent)⁷.
• Back up the destination postcard with a good behavioral script—describe the moves for a jump start.

Motivate the Elephant

Exercise

Information vs. feeling

Can you think of any situations in life where you or others have tried to get people to change their minds with information, rather than with feelings?

How could those situations be approached differently to be more effective?

Strategies

What can you do to prevent exhaustion?

Find the feeling
Shrink the change
Grow your people

Find the feeling

Knowing something isn’t enough to cause change. Make people feel something. Heath and Heath (2011)

Example: Chemotherapy game

After enduring weeks of brutal chemotherapy in the hospital, the children struggled to faithfully take their medications at home.

If you skip 20 percent of your doses, you don’t have a 20 percent higher chance of getting cancer again. Your odds go up 200 percent. Steve Cole, research director for HopeLabs

Hope labs developed a game called Re-Mission (Kato et al. 2008).

• They played Roxxi, a nanorobot in a silver suit that moved through the bloodstream and bombarded tumor cells with electro-green chemo beams; in between, Smitty, a mentor robot, provided additional information about chemotherapy and recovery.
• Kids adherence to their medication plans increased significantly.

Conclusion

Things you see are more likely to evoke emotion than things you read.

Make the need for change clear (tangible).

• Be cautious with negative emotions when people need to think flexibly or creatively. Negative emotions are effective to motivate people to tackle short-run challenges that require clear, forceful action.
• Inspire positive emotion, e.g., by pointing to a bright spot.
• Positive emotions broaden and build our repertoire of thoughts and action and encourage us to play.

The camera crew thought experiment.

Imagine that, in making the case for change to your people, you weren’t allowed to speak to them directly. Instead, you had a camera crew at your disposal who would film anything you wanted them to film, and you could pick any 10 minutes of footage that they shot. What would be happening in that footage?

Shrink the change

Downsize the change until it no longer frightens the elephant.

Example: Wash loyalty card

A local car wash ran a promotion featuring loyalty cards (Nunes and Dreze 2006).

• Group A: For every car wash bought, customers got a stamp on their card.
  Eight stamps meant a free car wash.
• Group B: Customers needed to collect ten stamp, but they were given a “head start”
  (2 stamps have already been added).
• A few months later, only 19% of group A had earned a free wash vs. 34% of group B.

People find it motivating to be partly finished with a longer story then to be at the starting gate of a shorter one Heath and Heath (2011)

Conclusion

Small targets lead to small victories, small victories can trigger momentum. Heath and Heath (2011)

As the elephant is easily demoralized (Heath and Heath 2011), make use of the endowed progress effect. This is the idea that if you provide some type of artificial advancement toward a goal, a person will be more motivated to complete the goal (Nunes and Dreze 2006).

• Show progress, plan for small wins (i.e., immediate, meaningful payoffs).
• Set goals within reach, don’t let success feel to distant.
• Care for a boost of hope that change is possible.

Grow your people

Identities are central to the way people make decision
(March 2009).

Example: Junior-high math students

Blackwell, Trzesniewski, and Dweck (2007) set up a study for seventh-grade math students in school in a low socioeconomic environment.

• The experimental group was taught that the brain is like a muscle that can be developed with exercise (two hours over eight weeks).
• The control group was taught generic study skills.
• The teachers, unaware of which group their students were assigned to, identified students who they thought had experienced a positive change during the term, whereof 76% were in the experimental group.

One hardcore, turned-off, low effort kind in the group said, ‘You mean I don’t have to be dumb?’ From that day on, he worked. Heath and Heath (2011)

Conclusion

Create a sense of identity and convey a growth mindset.

• Any change measure that violates a person’s identity easily fails (i.e., identity threat).
• Aspire people to be the kind of person who would make the change (i.e., engage in identity work).
• Changing identities is a quest, and every quest involves failure.
• Because the Elephant hates failure, you should create the expectation of failure.
• A growth mindset helps to grow (Dweck 2017), as it frames failure as a natural part of the change process (not of the situation).
• A growth mindset helps to establish confidence that the Elephant is capable of conquering the change (he feels “big” relative to the challenge).

Shape the path

Exercise

Environment shapes behavior.

Take five minutes to think back over your day.

When and where did your environment significantly shape your behavior?

Strategies

What can you do to make change more likely?

Tweak the environment
Build habits
Rally the herd

Tweak the environment

When the situation changes, the behavior changes. So change the situation. Heath and Heath (2011)

Example: Medication at Kaiser South

At Kaiser South Sans Francisco Hospital, nurses administer about 800 medications a day.

• Nurses are impressively accurate: on average, they commit approx. 1 error per 1,000 medications administered.
• However, a single error can be harmful or even deadly.
• In an effort to reduce medication errors, distraction was identified as a cause.
• Distraction isn’t a Rider (understanding) nor an Elephant problem (motivation).
• Instead of changing nurses behavior, medication vests have been installed, showing that nurses are administering drugs and should be left alone.
• Errors dropped by 47 percent.

Conclusion

Situations trump personal attributes

Social psychology shows that often situations trump personal attributes. However, people have a systematic tendency to ignore the situation forces that shape other peoples’ behavior—the fundamental attribution error.

• Avoid the fundamental attribution error.
• Emphasize the “tweak” (focus on small changes).
• Investigate your environment quickly (What one thing can you shift to make the right behaviors more likely?).
• Try to rearrange the environment to remove the obstacles, provide signposts that show people which way to turn, eliminate steps (1-click …).

Build habits

When behavior is habitual, it’s “free”—it doesnt’t tax the Rider. Look for ways to encourage habits. Heath and Heath (2011)

Some of Heath and Heath (2011) recommendations to encourage habits:

• Set an action trigger: The power of action triggers is that decisions are “pre-loaded.” If you want to act in a new way, picture the exact time and situation when you will execute the plan.
• Can you piggyback a new habit on an old one? It’s easiest to start a new routine when you can build it on an existing routine that takes place at a specific time and place. If you often forget to take your vitamins in the morning, put the vitamin bottle on top of the toothpaste. You know you’ll remember to brush your teeth, so you can “piggyback” your vitamin intake with brushing your teeth. Similarly, it might be easier for hospitals to get doctors to wash their hands if they put sanitizer next to the trays from which they take a patient’s chart - squeeze and rub before taking the chart.
• Create a checklist: Suppose you had a five-item checklist for the most important routines in your business. What 5 things do you need to do every time?
• Stand up your meetings: “Stand-up meeting” are a way to keep discussions brief and focused. Given the way your meetings have evolved, what habits have you implicitly encouraged (whether good or bad)? Are there ways you could alter the format of your meetings—the routine—to make them more effective? If so, set an action trigger—I’m going to pilot this new “meeting style” next Thursday with the staff meeting.
• Publicize your action triggers: What is the aspect of your change efforts that people tend to put off, or that tends to get displaced in favor of more “urgent” work? Ask your team to set action triggers – and to announce their intentions publicly in a meeting.

Rally the herd

Behavior is contagious. Help it spread. Heath and Heath (2011)

Some of Heath and Heath (2011) recommendations to spread behavior:

• Be smart about social pressure: If the majority of people on your team are already following the new plan, then publicize that fact, social pressure will influence the others to conform.
• Design a free space: Sometimes it is helpful to create small-scale settings within a community that are removed from the direct control of dominant groups, are voluntarily participated in, and generate the cultural challenge that precedes mobilization. (Polletta 1999).
• If people embrace change, make sure their actions are visible: Fight resistance echo chambers by showcasing people who are actively supporting the change. Shine a spotlight on the early signs of success.

Challenges

You want to learn how to lead change more efficiently? Here are three challenges that might help you along the way.

• Level 1: Analyze a personal change problem, identify bright spots, analyze them and find ways to reproduce the practices.
• Level 2: Apply the framework to one personal change problem—find ways to direct the rider, motivate the elephant and shape the path in order to support your change.
• Level 3: Identify a change problem within a group (e.g., at work); try to get the mandate for the change; develop a picture of what the goal looks like, script the critical moves, create positive emotions, shrink the change or make people grow, and try to tweak the environment path wherever necessary.

Reading list

For digging deeper, I recommend reading the articles cited here, particularly:

• The endowed progress effect: Nunes and Dreze (2006)
• Lewin’s change theory: Lewin (1951)
• Identities and identity work in organizations: Brown (2015)

As well as following books:

• The Happiness Hypothesis: Haidt (2006)
• The Growth Mindset (personal change): Dweck (2017)
• The Heart of Change (organizational change): Kotter and Cohen (2012)
• “Nudging” People to Make Better Decisions: Thaler and Sunstein (2008)

Homework

To get to know, what we mean with (recent) theoretical and empirical findings and to prepare for next class please read Dirks and Ferrin (2001) (download) and take some notes on the main constructs and findings.

Q&A

Literature

Berwick, Donald M, David R Calkins, C Joseph McCannon, and Andrew D Hackbarth. 2006. “The 100 000 Lives Campaign: Setting a Goal and a Deadline for Improving Health Care Quality.” Jama 295 (3): 324–27.

Blackwell, Lisa S, Kali H Trzesniewski, and Carol Sorich Dweck. 2007. “Implicit Theories of Intelligence Predict Achievement Across an Adolescent Transition: A Longitudinal Study and an Intervention.” Child Development 78 (1): 246–63.

Booth-Butterfield, Steve, and Bill Reger. 2004. “The Message Changes Belief and the Rest Is Theory: The ‘1% or Less’ Milk Campaign and Reasoned Action.” Preventive Medicine 39 (3): 581–88.

Brown, Andrew D. 2015. “Identities and Identity Work in Organizations.” International Journal of Management Reviews 17 (1): 20–40.

Dirks, Kurt T, and Donald L Ferrin. 2001. “The Role of Trust in Organizational Settings.” Organization Science 12 (4): 450–67.

Dweck, C. 2017. Mindset: Changing the Way You Think to Fulfill Your Potential. Little, Brown Book Group Limited.

Haidt, Jonathan. 2006. The Happiness Hypothesis: Finding Modern Truth in Ancient Wisdom. Basic books.

Heath, D., and C. Heath. 2011. Switch: How to Change Things When Change Is Hard. Random House.

Kahneman, D. 2011. Thinking, Fast and Slow. Farrar, Straus; Giroux.

Kato, Pamela M, Steve W Cole, Andrew S Bradlyn, and Brad H Pollock. 2008. “A Video Game Improves Behavioral Outcomes in Adolescents and Young Adults with Cancer: A Randomized Trial.” Pediatrics 122 (2): e305–17.

Kotter, J. P., and D. S. Cohen. 2012. The Heart of Change: Real-Life Stories of How People Change Their Organizations. NONE. Harvard Business Review Press.

Lewin, Kurt. 1951. “Field Theory in Social Science: Selected Theoretical Papers.”

March, J. G. 2009. Primer on Decision Making: How Decisions Happen. Free Press.

Marsh, David R, Dirk G Schroeder, Kirk A Dearden, Jerry Sternin, and Monique Sternin. 2004. “The Power of Positive Deviance.” Bmj 329 (7475): 1177–79.

Nunes, Joseph C, and Xavier Dreze. 2006. “The Endowed Progress Effect: How Artificial Advancement Increases Effort.” Journal of Consumer Research 32 (4): 504–12.

Polletta, Francesca. 1999. “’Free Spaces’ in Collective Action.” Theory and Society 28 (1): 1–38.

Schwartz, B. 2009. The Paradox of Choice: Why More Is Less, Revised Edition. HarperCollins.

Schwartz, Barry, and Andrew Ward. 2004. “Doing Better but Feeling Worse: The Paradox of Choice.” Positive Psychology in Practice, 86–104.

Thaler, R. H., and C. R. Sunstein. 2008. Nudge: Improving Decisions about Health, Wealth, and Happiness. A Caravan Book. Yale University Press.

Wansink, B. 2006. Mindless Eating: Why We Eat More Than We Think. Random House Publishing Group.

Footnotes

1. Steve Booth-Butterfield and Bill Reger, professors at West Virginia University, were contemplating ways to persuade people to eat a healthier diet. They concluded that you don’t need to change drinking behavior, but purchasing behavior. Thus, they launched a campaign that was punchy and specific in motivating people to buy skimmy milk (instead of the fuzzy message to act healthier) (Booth-Butterfield and Reger 2004).

2. In 2004, Donald Berwick, a doctor and the CEO of the Institute of for Healthcare Improvement, wanted to save a massive number of lives by reducing the “defect” rate in healthcare (e.g., administration of medication at the wrong time). Besides providing a crystal clear direction, he also motivated people by making them feed the need for change—he confronted hospital administrators with the mother of a girl who’d been killed by a medical error (Berwick et al. 2006).

3. A study of Brian Wansink of the Food and Brand Lab at Cornell University shows in his popcorn studies that “people eat more when you give them a bigger container. Period.” (Wansink 2006, 16–19)

4. Bright spots don’t have to be shining success stories, just look for situations when things are working better than others.

5. How it can be that more choice is actually bad for us? (Barry Schwartz and Ward 2004; B. Schwartz 2009)

6. When the elephant really wants something, the rider can be trusted to find rationalizations for it.

7. Please consider that black and white goals create a danger of demoralization if you don’t meet them consistently.