Creating effective and sustainable change in DQ initiatives is critical. Industry change management specialists Mark Boult and Mark Eaton present techniques that help implement both process and behavioural changes within the organisation.

Are you sustaining change in your data quality initiatives? Lessons from leading change management specialists.

Introduction

“There are no conditions of life to which a man (or woman) cannot get accustomed, especially if he sees them accepted by everyone about him.”

(Adapted from Leo Tolstoy, 1828-1910, Russian novelist and philosopher, from Anna
Karenina, part 7 chapter 13, 1875-7, translated by Rosemary Edmonds.)

Effective implementation of changes to the way that organisations work, from improving their controls on key areas of risk to maximising their organisational effectiveness, requires a change in processes and a change in behaviour. Many change programmes fail to deliver the results expected because they get the change equation wrong.

In this article we explore some of the reasons why organisational change programmes start off so well and then struggle to deliver long-term sustainable and safe improvements in performance.

The Difference Between Changing Processes & Changing Behaviours

We all experience changes in the processes we live and work with on a regular basis. In our personal lives these could be changes in the way that traffic lights are sequenced at the end of a familiar road, changes in the way that a bank deals with our account or changes in the way we are required to purchase tickets.

In an organisational context, changes in processes can be small (e.g. a minor change to a document) to major (e.g. changes in the layout and structure of an entire business unit). But all organisational changes have a common element, to be effective they require us to alter processes and alter the way we and others behave.

In the two examples given above, we might change a document to add in the requirement for additional information to be recorded (process change) but it requires people to enter the information to be a success (behaviour change). We might successfully change a layout and structure (process change) but we need people to work correctly in the new organisation and to follow the new processes and systems (behaviour change).

A common process change that many remember is the introduction of compulsory seatbelts back in the 1980’s. The trigger was the introduction of a new law driven by the harm people were suffering in road accidents which required a ‘process’ change.

There were also a range of activities undertaken to change the behaviour of individuals, designed to encourage people to comply with the law. These included television adverts, the creation of a catchphrase (“Clunk Click Every Trip”) and newspaper reports of prosecutions against drivers. Changes were made in the way new drivers were taught and tested and later on, many cars warn drivers that they have not inserted their seatbelt.

If we contrast this with another change in ‘process’ required through a new law, namely banning people from using a mobile phone whilst driving. This change did not come with the corresponding level of activity to support the required behaviour change.

In fact, many of us will have seen people using mobile phones driving past police cars. Indeed, the failure of the initial law to dissuade people from driving with mobile phones led to further changes to increase the penalty of non-compliance.

Whilst only a minority of organisational situations require ‘enforcement’ in the way that new laws do, they all require some form of acceptance and compliance with the new processes to be successful.

Preparing a Formula

A number of theories have been proposed about how to successfully achieve behavioural change, whether this is a change to achieve improvements in a person’s safety or changes required to support organisational improvement. In these theories the reason people do not comply are considered.

Common factors between the different theories include:

• Creating a belief in individuals that the benefits are worth their investment in time and effort, including being clear about the ‘future rewards’ that will be realised through this change.
• Reinforcement (even if only for a limited period) of the required changes in behaviour and the reasons for the change.
• Providing feedback on the success of the change and benefits being realised.This can be supported by auditing to ensure that the new processes are being adhered to (i.e. people are not ‘slipping back’ to their old habits) and benefits are realised.
• Providing those required to change ownership of and belief in the change. This can be achieved by giving individuals some control over the way the new process works and / or in the way it has been designed.
• Creating an environment that promotes the right behaviour, through such things as putting in place enablers for the new ways of working, removing mechanisms that allow people to ‘do it wrong’ and celebrating success.

By addressing these factors the intrinsic and external motivations for those required to change their behaviour are changed.

Now, for a minor change, addressing these key points may be fairly informal (a briefing, some checks in the first couple of weeks and an update at the end of a month), but for a major change programme or one where the consequences of non-compliance with the new process is high (financially, legally or physically), the work undertaken may have to be significant, including:

• A programme of scoping to set out the objectives of the programme, identify potential risks and benefits
• Implementing a process of audit and management review
• Establishing a communication programme to reinforce and provide feedback
• Setting up local improvement groups to give people the opportunity to participate in the improvement process
• Changing layouts, equipment and facilities

We also have to recognise that there will be different strategies for managing behaviour change depending on where individuals and groups are in the change process.

The ‘Stages of Change’ Model (also called the Transtheoretical Model of Change) identifies that there are five states that groups and individuals will go through on their journey to improvement:

• Precontemplation – people in this state will feel that they do not need to change their behaviours and may appear resistant, avoid information and discussion
• Contemplation – in this state people openly state their intention to change, but they would be best described as being ambivalent to change, and being keenly aware of the costs and risks associated with the change
• Preparation – at this state, people are actually ready to make an improvement within the near future, so this is really a transition state
• Action – this state covers the period from the point the change happens and the first few weeks afterwards and it is during this state that the processes change
• Maintenance – in this state, people are actively working to support and sustain the improvement process and in this state you approach real change in both processes and behaviour

Each element of the ‘Stages of Change’ Model will require a different management strategy to be successful but with a limited word count allowed for this article, the above can only be an introduction to an organisation-wide behaviour change programme.

However, below we introduce a specific formula for successful behaviour change at the individual level. In trying to identify a formula for successful behavioural change we have the advantage that there is a well established Formula for Change (also known as Gleicher’s Formula from Richard Beckhard & David Gleicher).

This states that for individuals to engage successfully in a programme of change, and for their behaviour to successfully change, the dissatisfaction with the current state, vision for the future and the possibility of ‘quick wins’ must be stronger than the desire to retain the status quo inside the organisation (which is sometimes considered as “organisational resistance”).

Gleicher’s Formula can be written as a formula as:

D x V x F > R

Where the results of:

D = Dissatisfaction with the Current State
x
V = Vision for the Future
x
F = The ability to take the first concrete steps towards the vision

The product of which must be greater than R (organisational resistance)

And for successful behaviour change, this does not just mean once but throughout and after the transition period.

Author Biographies

Mark Boult, BA, MA, MIRM, MIChemE - DNV (http://www.dnv.co.uk)

Mark is the leader of healthcare activities in the UK for and the majority of his time is spent working with healthcare clients. Mark has significant experience managing large and complex projects with large teams including managing DNV’s contracts with the NHS agencies and healthcare provider organisations. Mark influences the risk agenda of the health sector with a range of Government health agencies and with SHAs and Trusts.

Mark Eaton MSc MBA CEng FRSA - Amnis UK (http://www.amnis-uk.com)

Mark is a Chartered Engineer and has been involved in leading transformational improvement programmes for over ten years. Formerly the director of the UK’s Flagship Lean Transformation programme for  Manufacturing in a number of UK Regions, Mark has subsequently branched out into delivering transformational change in the NHS, Armed Forces and the wider Public Sector. Mark is Chair of the IET’s. Manufacturing Professional Network Executive and a Member of their Healthcare Executive. In 2004, Mark was awarded the Viscount Nuffield Medal for his contribution to UK Industry.

What have been your experiences of change management? Has your organisations managed it well? Do you want to learn more about this subject? Please add your comments and share your experiences.