An alternative approach to influencing behaviour: Adapting Darnton's Nine Principles framework for scaling up individual upcycling

Kyungeun Sung, Sustainable Consumption Research Group, School of Architecture, Design and the Built Environment
Kyungeun Sung
Supervised by Tim Cooper & Sarah Kettley
Sustainable Consumption Research Group
School of Architecture, Design and the Built Environment
An alternative approach to influencing
behaviour: Adapting Darnton’s Nine Principles
framework for scaling up individual upcycling

Table of contents
 Introduction
 Darnton’s Nine Principles framework
 Setting the scene
 Adapted framework and application
 Conclusion

Introduction

Introduction: Recent role of design in influencing behaviour
 Traditional role: fulfilling needs and wishes of consumers
 New role: influencing human behaviour for desirable outcomes
 Application: sustainability, crime prevention, health enhancement, safety
(Niedderer, 2013)
 Outcomes: changing undesirable behaviour / reinforcing desirable
behaviour

Introduction: Research on design for influencing behaviour
 Feasibility of design-led approaches to influence user behaviour to reduce
negative social impacts (Lilley, 2007)
 Framework to bridge the social-psychological theories and design
interventions to reduce environmental household impacts (Tang, 2010)
 Application of Community Based Social Marketing for design interventions
(Clune, 2010)
 Design with Intent Method, innovation tool, for improving user
performance (Lockton et al., 2010)
 …

Introduction: Gaps in current knowledge
 Focus on products or communication information and graphics
  relative lack in interventions beyond product and communication design
(e.g. service design)
 Increasing interest in design for policy and service innovation in the public
sector (Bason, 2014; 2010; Boyer et al., 2011; European Commission, 2012)
  call for more general or wide-ranging approaches to design and policy
interventions

Introduction: Aims of the paper
 Critically review Darnton’s Nine Principles framework (Darnton, 2008) as an
overarching framework for design and policy interventions
 Show how the framework can be adapted for relatively unexplored
behaviour with insufficient resources
 Demonstrate the application of the adapted framework through the case of
scaling up individual upcycling

Darnton’s Nine Principles framework

Framework: Starting point for behaviour intervention
 Behaviour understanding and behaviour change policies resting on
behaviour models (i.e. antecedents/determinants/factors  behaviour)
 Darnton’s framework designed to “integrate behaviour models with
theoretical understanding of effective approaches and change. The
framework provides a starting point for selecting [appropriate] models and
developing behaviour change interventions” (Darnton, 2008, p. 23)
 Based on theory-based guidance for planning interventions – e.g.
Community Based Social Marketing (McKenzie-Mohr & Smith, 1999), Stern’s
Principles (Stern, 2000) – yet emphasis on models (Darnton, 2008)

Framework: Nine Principles
1. Identify the audience groups and the target behaviour
2. Identify relevant behaviour models and list influencing factors
3. Select the key influencing factors to design objectives for the intervention
4. Identify effective intervention techniques
5. Engage the target audience for the intervention
6. Develop a prototype intervention
7. Pilot the intervention and monitor
8. Evaluate impacts and processes
9. Feedback learning from the evaluation

Framework: Nine Principles framework

Framework: Assumptions in Darnton’s framework
 Identify target behaviour and actor = understand behaviour/audience
 Extract key factors from the models and past empirical research = valid and
appropriate in all cases
 Co-create an intervention prototype with actors = prerequisite for
developing interventions

Framework: Need for adaptation
What if…
 Behaviour under investigation not explored  empirical research required
 Not sufficient resources (e.g. time, financial support) for prototyping and
piloting

Setting the scene

Setting the scene: Project background
 UK target: Reduction in GHGs by 80% by 2050
 Government’s commitment: RCUK Energy
Programme establishing six EUED centres
 CIE-MAP: focus on materials and embodied
energy reduction
 PhD research: explore the emerging household
behaviour of upcycling as an important
opportunity to reduce carbon emissions related
to materials and energy consumption

Setting the scene: (Individual) upcycling
Creation or modification of any product out of used materials in an attempt to
result in a product of higher quality or value than the compositional elements
(Sung, et al., 2014) by individuals (at the household level)

Setting the scene: Benefits of upcycling when scaled up
 Environmental benefits (Ali et al., 2013; Goldsmith, 2009; Szaky, 2014)
 (-) need for new products > (-) materials and industrial
energy > (-) GHGs
 (-) municipal solid waste > (-) additional landfill spaces
 Economic benefits (Frank, 2013; Lang, 2013)
 Money saving
 SMEs (e.g. Sarah Turner in Sung & Cooper, 2015)
 Sociocultural & psychological benefits (Sung, Cooper & Kettley, 2014)
 Learning & empowering
 Sense of community & relaxing
 …

 contemporary Maker Movement (Anderson, 2012; Lang, 2013)
 readily available physical resources (e.g. Hackspaces)
 shared digital resources (e.g. Instructables, Etsy)
Setting the scene: Recent trend in upcycling

Setting the scene: Research question
 Despite growing interest, still a marginal activity + considering potential
benefits  scaling up (Ceschin, 2012; van den Bosch, 2010)
 How can this emerging, yet still marginal activity, be scaled up into a
mainstream everyday activity in households (and possibly also in
industries) to make a bigger impact on the environment and society?

Adapted framework and application

Adapted framework: Rationale
 Focus on early stage activities in behaviour intervention
 Understand relatively unexplored behaviour for valid key factors (premise:
identified specific behaviour to target)
 Design effective interventions with limited resources
 Does NOT suggest: prototyping and piloting are unnecessary
 Suggest: split cycle between research-led intervention generation process
and the rest for half-way decision-making and planning
  effectively invest resources in prototyping and piloting of the prioritised
intervention options

Adapted framework: Adapted framework with three stages

Adapted framework:
 Crucial first step
a) “Different behaviours are driven by different factors and in different
combinations” (Darnton, 2008, p.25)
b) Models determine the scope of the understanding (number of
factors)
 Darnton’s ‘practical guide’ to models (Darnton, 2008): table with 8
behaviour domains and matching behaviour models
Stage one:
Understanding behaviour and consumers
1. Identify behaviour
model for exploration

Case application:
 Thorough literature review
 Behaviour is complex and should be understood by both internal (e.g.
attitude) and external (e.g. situational conditions) factors (Egmond & Bruel, 2007;
Jackson 2005; Kallbekken, Rise & Westskog, 2008; artiskainen, 2007)
 Triandis’ Theory of Interpersonal Behaviour (TIB): recommended through an
extensive review on behaviour models by Jackson (2005) and Martiskainen
(2007); factors shared with a number of comprehensive models (e.g. Feola &
Binder, 2010; Klöckner & Blöbaum, 2010; Kallbekken, Rise, & Westskog, 2008); wider applicability
(e.g. technology adoption behaviour, civic behaviour, dietary behaviour,
sustainable consumption)
Stage one:
1. Identify behaviour
model for exploration

Adapted framework:
 Darnton’s original model: identify actors and behaviour to target
 Could be more exploratory for designers
 Investigate each behaviour factor, consumer profiles
 Qualitative research (e.g. interviews, focus groups, observation)
Stage one:
2. Understand
behaviour & consumers

Case application:
 Semi-structured interviews with 23 UK-based consumers
 Based on TIB (perceived benefits, social factors, emotions, habits,
facilitating conditions)
 A variety of elements in each factor
 Potential group differences
Stage one:
2. Understand
behaviour & consumers

Adapted framework:
 Make sure that the selected model is operationalisable for quants
 Refine the behaviour model
 Identify tested instrument by further literature review
Stage two:
Key behaviour factors identification
1. Refine behaviour model
for operationalisation

Case application:
 Issues in TIB: a) no operational definition of variables (Araujo-Soares &
Presseau, 2008); b) differences in a few adapted models (e.g. Gagnon, et al.,
2008; Bamberg & Schmidt, 2003; Knoeri & Russell, 2014)
 Combine TIB and TPB (Ajzen, 1991; Ajzen & Fishbein, 1980) – one of the
widely used models but with limited prediction/explanation power
– for improved operationalisability and explanation power
Stage two:
1. Refine behaviour model
for operationalisation

Adapted framework:
 Through quants (e.g. survey) based on the selected model
 Use variables and items identified from the qualitative (e.g.
interview)
 Statistical analysis (e.g. regression analysis): how much behaviour
variance by the model; which factors more influential
Stage two:
2. Identify key drivers,
facilitators and barriers

Case application: Stage two:
2. Identify key drivers,
facilitators and barriers
 Internet survey with 122 British residents

Adapted framework:
 Benchmark existing intervention strategies
 E.g. 4Es model (Defra, 2005): Enable, Engage, Encourage and Exemplify
 Based on key behaviour factors (to design and prioritise)
 Strategic design (Manzini & Vezzoli, 2003) to come up with design and policy
interventions
Stage three:
Intervention strategies development
1. Design effective
intervention strategies

Case application: Stage three:
1. Design effective
intervention strategies
 Initial ideas based on the key behaviour factors
 Map onto the table of 4E actions + add extra ideas  MECE
Enable action Intervention/policy category Elements to deliver ① Designer interventions
Local authorities & government
interventions
Provide facilities (Remove
barriers)
Environmental restructuring /
Enablement / service provision /
Environmental or social planning
- Materials ②
- Tools ③
- Space
- Design tool hire/rent service
- Design toolkits for the novice
- Improve material provision service/system
- Improve community workshops
- Provide material collection centre or
reuse/upcycle centre
- Provide community workshops
- Subsidise design interventions
Ensure ability (Provide
skills and capacity)
Education ④ and training /
Enablement
- Curriculum
- Workshop sessions ⑤
- Training
- Events ⑥
- Competitions
- Business service ⑦
- Provide the best upcycling practices
- Provide skills and knowledge
- Provide inductions and training sessions
- Design community events and workshop
sessions
- Advance/develop curriculum in art and
design
- Organise or subsidise community
workshops, training, events,
competitions, and business service
Build understanding [+
provide inspiration]
Persuasion / Communication ⑧
and marketing
- Handbook / brochures
- Social marketing
communications
- Promotion campaigns
- Media demonstration
- Design effective communication and
demonstration materials in prints or online
- Design effective campaigns (wow experience)
- Disseminate print communication
materials
- Initiate and/or subsidise
communication activities

Adapted framework:
 Important final step before developing prototypes with actors
 Explore and evaluate draft strategies (e.g. by a panel of experts, actors)
 Criteria: desirability, importance (potential impact on scaling up),
feasibility (technical, economic, political)
 Improve draft strategies based on the agreed evaluation results,
suggestions, comments
Stage three:
2. Evaluate and improve the
draft strategies

Case application:
 Semi-Delphi method: questionnaire study + workshop with experts (n=25)
 Expertise: policy (n=6), engineering (6), psychology (3), sociology (3), art
and design (3), business management (2), and economics (2).
 8 important interventions + 9 feasible interventions (out of 15)
 Multiple suitable actors
 Combination of interventions for short-term and long-term success
Stage three:
2. Evaluate and improve the
draft strategies

Conclusion

Conclusion: Summary
 Critically reviewed Darnton’s Nine
Principle’s framework as an overarching
framework to address the need for design
and policy interventions
 Identified limitations from Darnton’s
framework
 Introduced the case: individual upcycling
 Illustrate the adapted framework with case
application

Conclusion: Contribution
 Theory- and evidence-based intervention generation process
  higher chance of effectiveness in implementation + smooth buy-in
from decision makers
 More useful for strategic design
 Wider applicability (to any behaviour domain)
 Particularly useful for: a) understudied behaviour; and b) critical
decision-making process (with higher managers, clients, LAs, funders)
for the next steps (e.g. prototyping, piloting)

Kyungeun Sung, Sustainable Consumption Research Group, School of Architecture, Design and the Built EnvironmentImage sources: http://image.slidesharecdn.com/clapresentation-talisopenday-march14-140328085008-phpapp01/95/cla-presentation-talis-open-day-march-14-14-638.jpg?cb=1395996639
Thank you! Any question?
Kyungeun.sung2013@my.ntu.ac.uk
http://kyungeunsung.com
https://www.researchgate.net/profile/Kyungeun_Sung

An alternative approach to influencing behaviour: Adapting Darnton's Nine Principles framework for scaling up individual upcycling

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