Five-principles Model Model behavior
Leadership
Commitment
Participation
Behavioral change
Apeldoorn, Tuesday January 15, 2008 R.J.M. Remie Msc. MSHRM – winner Future award 2007 www.blendedcoaching.com J. Beenhakker Msc MSHRM – winner Future award 2014 http://www.expertisecentrumplato.nl
Five-principles Model Based on studies in five areas of science we present the five-principles model. This model can be used, for example, by HR-advisors, when they want to achieve a fast, strategic behavioral change. This model describes five steps, each step is based on knowledge from various scientific studies.
Model behavior
Leadership
Commitment
Participation
Behavioral change
Model behavior strengthens effective leadership when a leader wants to initiate a behavioral change. Only Leadership focused on vision, power, relationships and procedures can ensure a long-lasting change. Commitment can only be obtained by rewarding the behavioral change before the results are known, as motivation precedes performance and performance precedes satisfaction. Change is a development and this development contains milestones that need to be noted. Participation is the driving force here because it creates a bigger buy-in. The focus on Behavioral change will most likely result in a change in the organization's culture.
Introduction, context To answer the following question: “How can a fast, strategic behavioral change be accomplished?” a study was conducted of five different scientific disciplines: leadership, organizational culture, psychology, organizational psychology and learning styles. We made a conscious decision to choose these specific scientific disciplines and are aware that this may not be comprehensive. However, it would be impossible to include all other possible disciplines in our research. From these different scientific disciplines, members have formulated principles that provide a scientific basis for the way in which a fast behavioral change can be achieved. This search resulted in a number of very useful principles that support the answer to our key question. These principles examine various aspects of behavioral change, both in terms of content and procedure. Because our key question looks at behavioral change in both the individual and the organization as a whole, we have looked for a model that includes both aspects. For this we use the growth model, developed by Ben Tiggelaar (2003).
behavior
goals professional
goals private
Goals social
world vision
heart
© 2003
mind
strength
Ben Tiggelaar & Company BV
We can state that at the level of the roots (the heart, mind and strength) and at the level of the trunk (world vision) a fast behavioral change is not possible. At the root level, a lot of digging is required before individuals will reveal these, and these cannot be changed quickly as they are part of someone's core values. The trunk symbolizes someone’s world vision, which guides all aspects of life and the way we deal with our personal abilities.
Fast behavioral changes can only be achieved by influencing or determining the goals. In Tiggelaar’s model goals are categorized into professional, private and social goals. In this article we assume that we will only influence professional goals to accomplish a behavioral change in the work environment.
Our first conclusion is that to achieve a fast
Tiggelaar has founded his scientific basis on 35 years of specific and useful research of Edwin Locke, Gary Latham and others. These two American labor and organizational psychologists can be considered the true research veterans in the area of goal-setting and its effect on motivation and performance. Locke has been conducting research since 1960 and Latham since 1970. Together they recently wrote about their experiences in an article in the American Psychologist (Ben Tiggelaar, Doen, 2003)
behavioral change, interventions need to occur in the crown, the leaves of the tree. Principles From the five previously mentioned scientific disciplines we have looked for research on behavioral change. From these studies we have formulated principles. And we want to put these principles into a model to offer a useful tool for change makers. The principles differ not only in area but also in form. Some principles are content-based and some relate to the process of change. Because so often people refer to a change of culture when they really mean behavioral change, we have determined one principle from the field of organizational psychology as an umbrella principle, a framework in which we can implement the other principles. Behavioral change and cultural change go hand in hand. (Jansen, 1980) The literature often talks about a cultural change when it refers exclusively to a behavioral change. We want to emphasize that these are two very different variables, although a change in behavior may result in a change in culture in the long term. Below you will find fourteen principles that we have compiled with regard to behavioral change. Ten of these relate to the process of behavioral change and four have to do with the content of the issue.
Procedural principles
A
A target group experiences and
This principle was developed by Wijnen, Weggemans
processes a change as a
and Kor. They noted that several studies have shown
developing process that contains
that the degree of the willingness to change is not an
several milestones and a leader
impediment in itself. Employees experience a change
needs to appropriately take
as a developing process that contains several
advantage of this.
milestones, also known as the individual development cycle.
B
Participation is a driving force in
Participation encourages the effectiveness and
change
efficiency in change, as it uses the available knowledge and skill. This is stated by De Leede and Looise after researching various studies (Credssy & Williams, Koopman and Wierdsma, Looise and de Lange). It is also assumed that participation influences employee satisfaction positively.
C
Commitment can only be
Alblas and Wijsman describe various methods and
constructed in a gentle way (what
tactics for managers to prevent resistance to change
is that?)
and to obtain the commitment of employees. They base these comments on research conducted by Veen, Yukl Falbe and Youn, Emans.
D
Long term change = leadership
Schaveling describes four approaches that the change
aimed at vision + power +
maker can use to achieve a change (visionary
relationship + procedure
approach, power approach, relationship approach and procedural approach).
E
Social emotional leadership has a
Keuning & Eppink describe the actual course of action
positive influence on the
that determines whether someone provides effective
satisfaction of employees.
leadership. They base these statements on research by Stogdill, Locke & Schweiger, Dessler.
F
For an organization to achieve
Research conducted by Kotter and Hesket shows that
sustainable success it needs to be
only adaptive cultures achieve long term success. An
able to change its behavior
adaptive culture is characterized by a significant
quickly.
adaptability and a large emphasis on customers, employees and share holders. The behavior of the organization towards these groups needs to be constantly evaluated and adjusted.
G
A change in culture results from
Kotter & Heskett offer a description about a change in
behavioral change
culture in which they indicate starting with what is the
most visible, namely a change in behavior. H
A change in behavior can only
Schein, but later also Sanders & Beuijen and others
occur from the top down
describe mechanisms of cultural influence. They mention direct mechanisms such as attention from management, management’s reaction to events and modeling desired behavior.
I
Newly added information is
Research conducted by Nisbett & Ross, but also by
influenced by the existing
Piaget and Neisser provides insight into the way in
knowledge of people, or the
which information is processed inside someone’s brain.
team.
Piaget describes assimilation (information is adjusted to fit in the existing framework) and accommodation (the framework is adjusted to the new information). Thijs Homan (2006) conducted research among 200 companies and uses the metaphor of the Petri dish.
J
The goal is that which the
There has been some discussion in our group whether
individual tries to achieve.
this really can be noted as a principle. We believe it is more of a definition, originating in the literature by Locke, Latham and Mento. Content based thesis
K
Rewards can be detrimental to
J van de Ven ‘Psychological sentiments and economic
intrinsic motivation
behaviour’ (ISBN 90 5668 123 0) (2005) described in his award winning dissertation (recipient of the Christiaan Huygens science award) the research that supports this principle.
L
Reward first the change in
Ben Tiggelaar quotes in his book the study conducted
behavior and only then the
by Proschaska, Norcross & DiClemente that
outcome
categorized ten different change procedures from ten different psychological schools, both cognitively and behaviorally oriented.
M
N
Motivation precedes performance
Jansen (1996) bases this on empiric research by Locke
and performance precedes
who proved in the 50s and 60s that the idea that
satisfaction
satisfaction is a result of performance is not correct.
The level of satisfaction in the
Kets de Vries and Miller ‘Using the life cycle to
workplace is strongly dependent
anticipate satisfaction at work (1974)’ describe their
on where a person stands in his
findings from research and existing literature based on
life cycle
which they came to a preliminary conclusion that satisfaction is influenced by many factors and that the level of influence is also caused by where a person
stands in his life cycle.
This raises the question whether there are connections between these fourteen principles and if they can form a joint approach to achieve a fast strategic behavioral change. We believe so and would like to prove this by including these principles as a basis in a conceptual framework. By linking these principles to the different stages of the model, which has been researched by Jansen, we believe to have proven these principles sufficiently. The framework is used by Jansen in his book ‘Organization and people’ (year). In this book he describes six stages of cultural and/or behavioral change, using existing research and literature to describe each stage. That’s why at the beginning of this chapter we have named this principal as the umbrella principle.
Stage 5
Consistent guiding and embedding
Stage 4
Removing obstacles
Stage 3
Assistance in stage 3
Stage 2
Provide an explicite choice
Continuous feedback
Concrete model behavior
Stage 1
Stage 6 Principles D & K
Principle G
Principles N & F
Principles A & B
Principles C, I, L & M
Principles E & H
Explanation of linking the principles to Jansen’s model To be able to use these principles coherently in answering the key question, we have inserted the principles in the framework under each of the stages of Jansen’s model. As the framework shows, all principles were quite applicable to support the total framework of stages with scientific research. Stage 1
Modeling effective behavior
In this stage the modeling of behavior plays a key role. Goal and means need to be clear. Clear and visible behavior from top management modeling the new organizational behavior is key. Real change occurs in a local and situational context. Managers focus on real actual work instead of on abstract issues such as culture and participation. Jansen underpins this with research outcome from Beer et al. 1992
In our own research the principles E and H underpin the first stage of Jansen.
Social emotional leadership
Keuning & Eppink describe the actual course of action that
has a positive influence on the
determines whether someone provides effective leadership.
satisfaction of employees.
They base these statements on research by Stogdill, Locke & Schweiger, Dessler.
This principle emphasizes that actually displaying model behavior is important in providing effective leadership.
A change in behavior
Schein, but later also Sanders & Beuijen and others describe
can only occur from
mechanisms of cultural influence. Direct mechanisms mentioned include
the top down
attention from management, management’s reaction to events, modeling of desired behavior.
This principle also confirms stage 1 of Jansen; the clear display of model behavior by management plays an important role in motivating change. Stage 2
Providing feedback
After displaying model behavior, Jansen states based on research data by Kluger and DeNisi (1996) that in stage 2 it is important to provide constant feedback at a behavioral level about the inadequacy of current methods. The key here is to provide reliable information. Giving concrete feedback means learning more about the local situation. In our own research the principles C, I, L and M underpin the second stage of Jansen.
Commitment can only
Alblas and Wijsman describe various methods and tactics for
be constructed in a
managers to prevent resistance to change and to obtain the
gentle way
commitment of employees. They base these comments on research conducted by Veen, Yukl Falbe and Youn, Emans.
This principle supports the approach in stage 2 to provide continued feedback to inadequate behavior (the gentle way).
Newly added information
Research conducted by Nisbett & Ross, but also by Piaget and
is influenced by the
Neisser provides insight into the way information is processed
existing knowledge of
inside someone’s brain. Piaget describes assimilation (information is
people, or the team.
adjusted to fit in the existing framework) and accommodation (the framework is adjusted to the new information). Thijs Homan (2006) conducted research among 200 companies and uses the metaphor of the petri dish.
This principle emphasizes the precondition of this stage that reliable information is of key importance.
Reward first the
Ben Tiggelaar quotes in his book the study conducted by van
change in behavior
Proschaska, Norcross & DiClemente that categorized ten different
and only then the
change procedures from ten different psychological schools, both
outcome
cognitively and behaviorally oriented.
This principle adds to this stage the importance of focusing on behavior and not so much on performance. That is; reward the toddler for sitting on the toilet and not only for pooping.
Motivation precedes
Jansen (1996) bases this on empiric research by Locke who
performance and performance
proved in the 50s and 60s that the idea that satisfaction is a
precedes satisfaction
result of performance is not correct.
This principle adds to this stage that feedback should not be aimed at satisfying the wellbeing of the employee, but that the feedback needs to be aimed at setting goals and the interpretation of these. Stage 3
Offering choice
Offer an explicit choice to adopt or not adopt the new behavior. This is about visible commitment. The choice can no longer be avoided. It is important that by making a conscious choice the employee takes ownership of the new behavior and is responsible for his behavioral change. Based on their study, Wissema & Wijers concluded that in general the degree of adaptability of employees forms no impediment to implementing change. They noted a sometimes powerless request to participate or to have their contributions validated.
A target group experiences and
This principle was developed by Wijnen, Weggemans
processes a change as a developing
and Kor. They noted that several studies have proven
process that contains several
that the degree of the willingness to change is not an
milestones and a leader needs to
impediment in itself. Employees experience a change as
appropriately take advantage of
a developing process that contains several milestones,
this.
also known as the individual development cycle.
This principle adds to this stage that it is important to offer the opportunity of choice. This is emphasized by so-called milestones in the development cycle.
Participation is a
Participation encourages the effectiveness and efficiency in change, as it
driving force in
uses the available knowledge and skill. This is stated by De Leede and
change
Looise after consulting various studies (Credssy & Williams, Koopman and Wierdsma, Looise and de Lange). It also assumes that participation positively influences employee satisfaction.
This principle confirms that in this stage the effectiveness of the change is increased by allowing people to participate and make suggestions. Stage 4
To know and to manage
Assistance in achieving step 3 in terms of coaching, feedback in the work place, etc Consistent signals from coworkers and managers are very important here; creating a strong social construction. Vroom’s expectancy-theory teaches that behavioral change is completely pointless if employees don’t believe that they are capable of the desired behavior. It is therefore very important to provide support.
The level of satisfaction in
Kets de Vries and Miller “Using the life cycle to anticipate
the workplace is strongly
satisfaction at work (1974)” describe their findings from
dependent on where a
research and existing literature from which they came to a
person stands in his life
preliminary conclusion that satisfaction is influenced by many
cycle
factors and that the level of influence is also caused by where a person stands in his life cycle.
This principle underpins that connecting to where someone stands in his life cycle increases satisfaction. Someone will be more likely to display the desired behavior if there is a connection to where a person stands in his life cycle.
For an organization to
Research conducted by Kotter and Hesket shows that only
achieve sustainable success
adaptive cultures achieve long term success. An adaptive culture
it needs to be able to
is characterized by a significant adaptability and a large
change its behavior
emphasis on customers, employees and share holders. The
quickly.
behavior of the organization towards these groups needs to be constantly evaluated and adjusted.
Stage 5
Remove obstacles
Are there hindering circumstances? Important issues are a budget for rewards, training, dismissal, etc. The stage of changing/moving. New behavior and the matching new attitudes and values are acquired.
A change in culture
Kotter & Heskett offer a description about a change in culture in
results from behavioral
which they indicate starting with what is the most visible, namely
change
a change in behavior.
This principle adds to this stage that investments in removing obstacles need to happen primarily at a personal level. So there is no need for comprehensive cultural programs, but direct support for the behavior at a personal level. Stage 6
Consequent guidance and embedding
Consequent and consistent guiding of manifestations of desired behavior by evaluating and rewarding. Objectify the new behavior by embedding it in structures and systems. It is important to have a comprehensive reward system and apply this consistently. Kuratko et al (1993) note that “employees are willing to work on new projects and challenging teams if the rewards are apparent”. They add to this that this doesn’t always necessarily involve an increase in pay: It should be mentioned that the exact rewards for corporate entrepreneuring are not yet agreed upon by most researchers”. This requires an assessment of what is really valuable for employees, what the valentine of the work is for them.
Long term change = leadership
Schaveling describes four approaches that the change
aimed at vision + power +
maker can use to achieve a change. (visionary approach,
relationship + procedure
power approach, relationship approach and procedural approach)
This principle is a continuation of the principle in this stage that requires the assessment of what is really of value to employees.
Rewards can be
J van de Ven has described in his award winning dissertation
detrimental to intrinsic
(recipient of the Christiaan Huygens Science Award) the research
motivation
that supports this principle.
This principle underpins the importance of thoroughly checking to see what is valuable to employees. Simply trying to embed by rewarding may even be detrimental to the motivation.
Growth model for the organization Ben Tiggelaar has described a growth model not only for individuals but also for organizations. We believe that the previously described principles can also be explained this way. It isn’t such a huge step after all from personal entrepreneurship to corporate entrepreneurship. It is also important for organizations to aim for consistency. Organizing different goals in a similar growth model should assist in this, according to Tiggelaar.
behavior
goals professional
goals private
goals social
world vision
heart
Š 2003
mind
strength
Ben Tiggelaar & Company BV
In a corporate application of the growth model the roots symbolize the people in the company, the available talent, management and employees. What can they do?
The trunk represents the corporate philosophy, what is the goal of the organization, why does it exist? The branches are the most important strategic goals. Possible realms in which these goals can occur are: −
The realm of customers (who is the aim of the organization, how does it deal with these people?)
−
The realm of products and services (what does the company provide and why is that unique?) and
−
The realm of procedures (how does one operate internally and what is the outcome of this method for the outside world?)
The leaves and fruit represent the various types of behavior that the employees of a company should exhibit. Daily, weekly and monthly. The same goes for companies, you choose or you lose. The most successful companies know not only what goals are truly important to them, but they also know very well what they should not be doing. If we interpret the quote above from Tiggelaar's book, we see that fast behavioral changes in employees can only be achieved by working on the goals of the organization (in the realm of clients, products and/or procedures). The results are the leaves and fruit, or rather the behavior of the employees. The principles raised by us are primarily related to the procedure after adjusting the goals. Principle D (long term changes + leadership focused on vision + power + relationship + procedure) and principle H (behavioral changes can only occur from the top down) provide a reason to relate to setting goals. A leader has to have a vision (D) and changes happen from the top down (H). We assume that this happens when management describes the goals. The other principles are applied after the goals have been determined and describe methods and tips to achieve fast changes in the organization. Overall concept 1) We began with our key question: “How can a fast strategic behavioral change be achieved?”
2) From the context “fast” we have noted, based on Tiggelaar’s growth model, that fast behavioral change can only be achieved by interventions in the crown, influencing personal goals and the corresponding behavior of the individual. 3) With the conclusion that behavioral change in strategic terms starts with the individual and not with the whole, we have applied Jansen’s framework of stages. This framework is developed based on scientific research data. 4) We have further underpinned the various stages scientifically with our principles. 5) Because to achieve a strategic behavioral change it’s key that the changed behavior connects to the goals of the organization, we have also applied Tiggelaar's growth model here. By linking the concepts “fast” and “strategic” we conclude that in the organization as a whole interventions need to also occur in the crown of the tree, the strategic goals and the behavior of the employees. 6) With number 5 we conclude our formula that a fast strategic behavioral change is a process of communicating vessels, that of the crown of the tree at a personal level and the crown of the tree at an organizational level. To compare the crowns we present Jansen’s framework of stages, underpinned by our principles.