Behaviour Change Policy Framework The Four E s Model Educate, Encourage, Empower, Enforce Version: 1 Approved by: Date formally approved: Document Author: Sue Holden and Steve Stuart Name of responsible directorate: Chief Executive s Directorate Review date: April 2014 Target audience: Cross Council Page 1 of 14
POLICY DEPENDENCIES SUPERSEDES REVIEW FORMAL APPROVAL ORIGINATOR TITLE KMBC DOCUMENT CONTROL PAGE Title: Behaviour Change Policy Framework Publication Date: Document Type: Policy Framework Version Number: 1 Brief Summary: This framework is designed to be a guidance tool for those responsible in supporting individuals to make the changes and enhancements required to improve outcomes. It also aims to set out a clear framework so that policies and action plans can be developed to support this behaviour change, both within the council itself and within the communities we serve. Document Author and Job Title: Sue Holden, Head of Change & Transformation Responsible Directorate: Policy Operational Level: Chief Executive s Directorate Level 2 Council Corporate Policies & Strategies Approved by: Cabinet Date approved: Review Date: February 2011 Responsibility of: Chief Executive s Directorate Supersedes: Not applicable Description of Amendments: Link to other Council documents: Sustainable Community Strategy Link to Council Primary Objective: Link to Sustainable Communities Strategy Key Driver: All Page 2 of 14
TRAINING/ AWARENESS RAISING RISK ASSESSMENT SUSTAINABILITY APPRAISAL EQUALITY IMPACT ASSESSMENT KMBC DOCUMENT CONTROL PAGE (2) Continued In order to carry out an EIA you should first complete a screening matrix which can be accessed through the Corporate Equality and Diversity Team. Screening Matrix Complete: Yes No Date Complete: 11.2.10 Manager/Group responsible: Policy Unit, Chief Executive s Directorate Category: High Medium Low No relevance Based on the category indicate the date that a further assessment must take place: within 12 months Initial Assessment is complete: Yes No N/A Date Complete: Full EIA Process is complete: Yes No N/A Date Complete: 11 February 2010 To evaluate the economic, social and environmental impacts of a policy you should complete the Integrated Sustainability Appraisal Toolkit on the Policy Hub Policy has been appraised for sustainability: Yes No Action has been taken to mitigate any identified negative impacts: Yes No N/A Date Complete: 11 February 2010 A risk assessment template is available on the Corporate Risk Management intranet site. Policy has been risk assessed: Yes No Date complete: Training / awareness raising required to fully implement document: Yes No If no please state why: If yes indicate the date of training / awareness raising: Training provided by: Page 3 of 14
POLICY LIBRARY Once formally approved the document should be posted onto the Policy Library on the council intranet. Date Posted: Posted by: Page 4 of 14
Contents Page 1 Introduction 6 2 Background 7-8 3 The Four E s Model for Behaviour Change 9-10 4 The Focus of Each Stage of the 4E s Model 11 5 Reviewing Policies in Line with the 4E s Model 12 6 Responsibilities 13 Appendices Gap analysis and action planning overview Page 5 of 14
1 INTRODUCTION 1.1 It has been recognised that in order to effectively deliver the Sustainable Community Strategy (SCS) and best prepare ourselves for the challenges that lay ahead, an element of behavioural change is required across the organisation. 1.2 This framework is designed to be a guidance tool for those responsible in supporting individuals to make the changes and enhancements required to improve outcomes. It also aims to set out a clear framework so that policies and action plans can be developed to support this behaviour change, both within the council itself and within the communities we serve. 1.3 The framework provides a set of generic principles that can be used as the basis for planning, delivering and evaluating interventions aimed at changing behaviours. 1.4 The main focus is to ensure: All behaviour change interventions and programmes are carefully and sensitively planned. This must take into account the local and national context and work in partnership with recipients. Interventions and programmes should be based on a sound knowledge of community needs, evidence of what works and should build upon the existing skills and resources within a community. All behaviour change interventions and programmes are robustly evaluated. This should be done either locally or as part of a larger project. Wherever possible, evaluation should include a cost benefit analysis. 2. BACKGROUND 2.1 What does the term behaviour change really mean? 2.1.1 Behaviour change is all about making improvements and enhancements to behaviour that will have a positive impact for individuals, families, communities and organisations. 2.1.2 Behaviour change comes in many forms and through many activities. It can involve amendments or enhancements to an individual s conduct, approach, choices and actions. Some changes may be small and done with little effort or support, whilst others may need more dedicated work, multiple interventions and take a considerable time, maybe years, to achieve. Put simply it is Helping others to help themselves. Page 6 of 14
2.2 Why is behaviour change needed? 2.2.1 The Government will need to make significant reductions in public expenditure to address the impact of the recession on the national economy. The extent of the financial pressures facing the council in the medium term is likely to be far more significant and challenging than has been the case for many years. In addition to the financial pressures, the council and its partners have committed to delivering the vision set out the Sustainable Community Strategy. 2.2.2 More efficient and better services alone will be insufficient to meet all the challenges facing Knowsley in the future. Many outcomes in areas such as health or the environment increasingly depend on changes in personal behaviour and this is an area that cannot be overlooked. 2.3 Whose behaviour needs to change? 2.3.1 The behaviour change challenge is both internal and external to the organisation and the target audience will be entirely dependent on what the outcome needs to be. For example: there may be a need for some staff to behave differently in terms of transport between meetings to reduce the carbon impact on the environment whilst residents will need to change their attitudes and behaviours in reducing volumes of waste, reusing waste materials and maximising recycling to ensure that the Borough can divert waste from landfill and reduce the generation of carbon dioxide and methane gas whilst helping the Council to avoid the significant financial penalties in failing to achieve its recycling targets. 2.3.2 In most cases there will be individuals who do not need to amend or improve their behaviour but others who will need to make small or in some cases significant changes. 2.3.3 Everyone should be encouraged and supported to objectively review their own situation, with help from those around them whether that be in the home, community or workplace. 2.4 What can the council do to support and encourage behaviour change? 2.4.1 Actions to bring about behaviour change may be delivered at individual, family, community, area or borough wide population levels using a variety of means, techniques or interventions. The council is able to help others help themselves and set considered policies to influence behaviour change - whether that be through Education, Encouragement, Empowerment or Enforcement (or indeed a combination of all four). This is what is referred to as the 4E s to Behaviour Change. 2.4.2 The outcomes do not necessarily occur at the same level as the intervention itself. For example, population-level interventions may Page 7 of 14
affect individuals whilst community and family-level interventions may affect whole populations. 2.5 When will work begin to bring about these changes and when will the results be seen? 2.5.1 The process has already begun and there are many examples to demonstrate that a change in behaviour can result in an improved outcome. Examples of this include the high profile campaigns that have been run to raise awareness of the need to recycle which in turn has encouraged more residents to take part and change their attitude to reducing waste and increasing recycling as well as campaigns to reduce environmental crimes such as fly tipping, littering and irresponsible dog ownership. Other approaches to influencing behaviour may involve various interventions, for example to improve outcomes in health will mean multiple interventions such as encouraging exercise, learning about healthy eating and ensuring take up of medical screening. 2.5.2 Securing behaviour change is a long-term process rather than a single event and this will mean that the outcomes of behaviour change will be difficult to predict and results may not be seen in the short term. 2.6 How is this different to the Council s approach to enforcement and regulation? The approach to enforcement and regulation is the same. The council s overall approach to enforcement and regulation involves a range of interventions based on the four E s of Educate, Encourage, Empower and Enforce. The approach is much wider than just focussing on enforcement. For example the high profile projects to tackle smoke free workplaces and also underage sales of alcohol involve elements of education, encouragement, empowerment and enforcement and this approach to enforcement has always resulted in positive behaviour change and is the basis for the council s overall enforcement strategy. Enforcement officers commit significant amounts of time working on education, encouragement and empowerment as well as enforcement. Its not all about fixed penalty notices or prosecutions, this in fact is the last stage of an enforcement approach. In many ways the need to take formal legal action is the last resort. Page 8 of 14
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3 THE FOUR E S MODEL FOR BEHAVIOUR CHANGE The Behaviour Change Policy Framework is based on a model which is known as the 4E s for Behaviour Change. The model includes four stages of: Educate, Encourage, Empower and Enforce. This model should be adopted for Council policies and action plans which involve an element of behaviour change. The diagram below provides and overview of the stages which should be considered for any policies which are developed for service delivery. Stage 1: Educate The Education stage aims to increase awareness of the impact of an individual s action or inaction by providing advice and consultation. It is important that information is provided for all groups, particularly those who are minority, hard to reach or marginalised. Education needs to be delivered effectively by all partners and agencies in Knowsley s communities to ensure effective engagement. This can be done by providing information and guidance. Stage 2: Encourage The Encourage stage is to provide support and persuasion to an individual or a group to change their behaviour, alter their choice or to take a different action. This can be achieved through the offer of incentives and rewards. Stage 3: Empower Empower is the process that allows someone to gain the knowledge, skill-sets and attitude needed to cope up with the changing world and the circumstances in which we live. Generally it involves coaching and mentoring so that individuals or groups know they have access to information and resources for taking proper decision, or a range of options from which you can make choices (not just yes/no, either/or). In addition it is empowerment for an ability to exercise assertiveness in collective decision making and having positive thinking on the ability to make change. This can be supported by participation and involvement. 4: Enforce The ultimate aim is to ensure that the change is embedded. This can be achieved by the positive reinforcement of the message as to why the behaviour change is worth it and what the benefits are to the individual and the community. The message can also be enforced by demonstrating that impact of not behaving in the acceptable way has consequences by using regulation and control (i.e. the use of fixed penalty notices etc). The Council has a role to enforce through sanctions and regulation, however the enforcement strategy is in effect a behaviour change strategy as any successful enforcement approach involves all elements of this behaviour change model. Page 10 of 14
4 THE FOCUS OF EACH STAGE OF THE 4E S MODEL The 4E s model is based on the principle that where possible, resources and effort should be concentrated into the first stage of the 4 E s Model to Educate. Where efforts are invested in this first stage, then there should be less of a need for the later stages. As the pyramid diagram below shows, efforts and resources should be able to taper off through the latter stages of the model. Page 11 of 14
5 REVIEWING POLICIES IN LINE WITH THE 4E s MODEL Policies should be reviewed to see where adaptations can be made to influence behaviours of the target group of service users. During this process the following stages should be considered: Carry out a Gap Analysis Undertaking a gap analysis to identify the current position against the targets set out in the sustainable community strategy. Consider how the implementation of the Behaviour Change Policy Framework needs to be flexible to fit in with the services and interventions provided by each Directorate. Understand the behaviour and target group Be clear about the specific behaviour that needs to change. Be clear about who the target group is and involve this group in the design of any interventions where possible. Agree objectives Evaluate the cost of the intervention against the possible benefits for value for money. Define what the timescale for success may be taking into account that securing behaviour change is a long-term process rather than a single event. Decide the right intervention and approach Plan and understand that a different approach may be required with different sectors of the target group and at different times in the process of change. Consider what might motivate a change. Tackling habits, lifestyle choices or other behaviours may need different tactics. Consider what problems people may face in trying to change. Build an understanding of the target group and trends. Take into consideration attitudes, beliefs, motivations, barriers, and current and desired behaviours. Consider the role of other partners in the intervention: government, business, third sector and the public. What are others doing which will complement? Action Planning Structure actions plans in the model of the four E s (Educate, Encourage, Empower and Enforce). Pilot, Monitor and Evaluate Accept that the outcomes of behaviour change interventions are difficult to predict and that new ideas will need to be piloted through a small scale intervention. Page 12 of 14
6 RESPONSIBILITIES All staff who modify, create or design services or interventions will have a responsibility to ensure that the Behaviour Change Policy Framework is considered. Failure to adhere to this Policy Framework may result in the Council s ability to deliver its services and maximise outcomes. Cabinet Members / Corporate Management Team To support and enforce the Behaviour Change Policy Framework. Service Directors / Senior Management / Heads of Service To ensure that proper provision for the implementation of the Behaviour Change Policy Framework is made within their Directorate. To review policies in lines with the principles outlined in Section 5. To ensure that action plans for the implementation of the Four E s Model are incorporated into appropriate services, interventions and business plans. Page 13 of 14
You can also get this information in other formats. Please phone Customer Services on 0151 443 3197, or email customerservices@knowsley.gov.uk Page 14 of 14