A Research Paper By Sarah Lupton, Transformational Leadership Coach, UNITED STATES
Client Transformation
I began my career as a coach in 2021. My goal with clients is to create long-lasting, sustainable change—such that the actions, beliefs, habits, and patterns required to sustain their desired results become fully integrated within the client. This is what I define as true transformation.
After working with hundreds of clients in various capacities, from one-on-one coaching to group coaching to blended training/coaching models, I observed that some of my clients completed full transformations in their lives, while others seemingly returned back to the initial state from which they started. These clients may have experienced rapid forward movement and then returned back to old patterns, or they may never have generated much forward movement to begin with.
Seeing the varying outcomes had me curious. How come some people were able to create rapid change, while others took a slower path? I noticed that certain practices worked really well for almost everyone. Specifically, the practice of creating a clear intention and goal, and then creating smaller goals to complete each day toward the larger intention and goal worked very well. It worked even better when the client shared their daily intention and goal with me, as a tool for accountability. And, in the accountability, a natural reflection opportunity arose in which the client was able to confront their performance in the previous day’s goals. The integration of these daily learnings into the next day’s goals created the most effective forwarding results of all.
The clients who fully engaged in these daily practices are the ones I observed create long-term, sustainable change in their lives. They stayed connected to their desired end result and were in daily action to make it happen. While I trust each client to discover the path that’s right for them at the pace that is right for them, it was clear that consistency in this particular practice of daily goal setting—enhanced by daily accountability to another person and daily reflection on what worked and didn’t work about the day before—created tangible results more rapidly than clients who did not engage in these practices.
Of course, none of this may sound all that surprising. Clients who set a clear goal and worked towards it created results faster than those who did not set daily goals. It’s common sense. However, I was curious to explore the mechanism behind the effectiveness of this practice, so that I could enhance the framework and also share from a scientific perspective with my clients about how this practice can get them where they want to go faster. These are the curiosities that have led me to the focus of this research paper, in which I explore the neuroscience behind what it takes to create sustainable, long-lasting change, or in my own terms: transformation.
Defining “Transformation”
For the purpose of this paper, it is important to clarify my working definition of transformation, based on what I have observed in practice. Transformation is the sustained maintenance of new actions, beliefs, patterns, and habits, such that the tangible results the client is able to create in their life are radically different from the results they were creating when they began their journey. Transformation both necessitates and generates new results that have never before happened. The process of transformation is both internal and external. External results can be a tangible measurement of transformation, but the internal shifts are what make the external results possible. Through shifting the internal thoughts and beliefs about oneself, possibilities for taking new actions emerge to create new results that have never happened before. New circumstances create evidence of the new beliefs. Therefore, transformation requires the interplay of internal and external change. It’s the process of intentionally choosing a belief that will support forward motion to a goal, taking action toward that goal, and creating tangible results that evidence forward movement toward the goal.
It’s important to articulate the process of transformation in this way because it differs from change. Change is an “alteration in the arena of process.”[1] Change is a building block of transformation, but change does not require transformation as defined above. It is possible to make changes without transforming the underlying beliefs driving the action. This type of change is not long-lasting and sustainable because the client has not changed the underlying mindset that drives their actions. Therefore, they revert back to old patterns as soon as they stop the actions of change. Transformation occurs when the beliefs, habits, patterns, and actions are fully integrated into the client’s automatic ways of being. Transformation takes place internally, and iterates as the shifts within the client generate results externally. In transformation, the external results are a byproduct of the internal mindset shifts.
A Mindset Shift
A mindset refers to the established patterns of thinking, beliefs, attitudes, and cognitive biases that shape an individual’s perception of themselves, others, and the world. These mental frameworks influence how individuals process information, make decisions, and respond to various situations. They help us quickly “distill complex worldviews into digestible information and then set expectations based on this input.”[2] Typically, we adapt mindsets that work for the circumstances we find ourselves in, however, “it is common to hold onto mindsets that were adaptive at one point in life but have since become maladaptive.”[3]
The good news is that mindsets are flexible, because our brains are flexible, thanks to neuroplasticity. Neuroplasticity, the brain’s ability to adapt and reorganize based on experiences and learning, is a critical mechanism underlying mindset formation and change. Every thought we have is the result of complex and dynamic interactions between neurons, neural networks, and neurotransmitters. Neuroplasticity is the result of re-wiring the connections of neurons[4] firing in the brain via neurotransmitters, which are “endogenous chemicals that allow neurons to communicate with each other throughout the body.”[5] Neuroplasticity was originally studied in cases of traumatic brain injury or stroke to determine the likelihood of recovery,[6] however, the concept of neuroplasticity has now been studied in non-traumatic interventions. Studies have shown that mindset interventions, including coaching and growth mindset training, can lead to changes in brain structure and function.[7] Neuroplasticity can also be activated by a variety of other interventions, including learning and cognitive training,[8] physical exercise,[9] environmental enrichment,[10] and social interaction.[11]
Therefore, in order to rewire the brain to create new mindsets that support long-lasting transformation, the client can activate neuroplasticity. In practice, this looks like interrupting current automatic patterns in the client’s daily routine by breaking out of old habit loops and creating new, supportive habits.
Creating New Habits
Habits are automatic routines formed through repetitive actions, deeply ingrained into our daily lives. Habits are triggered by contextual cues,[12] such as getting in a car may trigger the habit of putting on a seatbelt, or entering the kitchen for the first time in the morning may trigger making a pot of coffee.
Charles Duhigg offers a helpful model to consider the process of habit formation, called the habit loop. The habit loop consists of three stages: cue, routine, and reward. The cue is the trigger for the habit to commence, the routine refers to the actual behavior, and the reward reinforces the habit loop.[13] The reward comes in the form of the release of dopamine, a neurotransmitter that creates a sense of pleasure and creates a positive association with the behavior, making it more likely to be repeated.[14]
Once a habit is set, one is no longer reliant on conscious attention or external motivation to complete the behavior,[15] and as a result, habits are sustained even after external motivation dissipates.[16] This echoes my practical explanation of the difference between change and transformation. The functional explanation of what’s happening in the brain when this occurs is that the automation of motor actions is powered by the basal ganglia, “a group of subcortical nuclei primarily for motor control, as well as other roles such as motor learning, executive functions and behaviors, and emotions.”[17] The basal ganglia is the programming center for all habit formation. Decision-making, however, happens in the prefrontal cortex and hippocampus.[18] Once the basal ganglia have automated the motor actions in response to an external stimulus, the decision-making part of the brain “goes into a sleep mode of sorts.”[19]
If habits are created by automating motor actions in the basal ganglia, but decision-making occurs in the prefrontal cortex and hippocampus, it is possible to change wired habits by making a conscious decision to do so. Relying on neuroplasticity, repeatedly making the decision to engage in the new behavior until new neural connections are formed[20] has the potential to interrupt old habit loops and form new ones.
Setting Clients Up for Success
As coaches, we can use neuroscience research to create coaching programs that support rapid and healthy new habit formation so that clients can create their desired results as quickly as possible. Using the findings from my research I have put together some basic guidelines coaches can implement in their practice when their goal is to support client transformation through long-lasting, sustainable habits.
- It takes an average of 66 days—as few as 18 and as many as 254—to build a new habit, and it depends on the behavior, the person, and the circumstances.[21] Therefore, coaching programs focused on building new habits should aim to fall somewhere in this time frame, and can be set based on the coach’s experience of their client base. For example, career coaches may notice that new habits can be formed in under one month, whereas weight loss coaches may observe their clients requiring around six months to form new automatic routines.
- Goal Setting. Setting a goal creates motivation to choose (function of the prefrontal cortex) to engage in the new behavior before the habit is set (function of the basal ganglia). Research suggests that specific and challenging goals lead to higher motivation and perseverance, and ultimately, success,[22] and that clear intentions and a planning strategy have been found to strengthen the commitment to new habits and enhance their automaticity.[23] Coaches can support clients in creating clear goals that will inspire them to choose the new habit, even when it is uncomfortable starting out.
- Accountability plays an important role for two reasons. First, the practice of sharing your results with another person requires that you are clear on your results. Evidence-based data is much more reliable in demonstrating how you are progressing on your new habit formation than what you think your progress looks like. Secondly, research[24] shows that being accountable to another person increases your likelihood of following through on what you say you are going to do. An accountability buddy or working with a coach is a powerful mechanism to activate the dopamine reward release when you are successful, but can also trigger the suppression of dopamine[25] when you don’t achieve the goal you declared. Coaches can implement regular feedback loops into the coaching program in order to provide the opportunity for their clients to objectively review their results and inspire motivation to create wins in their daily result reports, as well as to create opportunities for chemical reinforcement within the client.
- Coaches can use the results that the client is reporting to move them forward at the pace that the client chooses. For example, the coach can empower the client to choose habit replacement, instead of habit suppression, which can be more effective[26] since the habit loop cue has a behavior to direct itself toward. The coach can also support the client in habit stacking, which allows the client to start with small changes in habit, and then build as the habit becomes part of the client’s automatic behavior.[27] Lastly, the coach can support the client in creating external environments that support the new habit.[28] It’s important to note that the coach’s role is not to prescribe integration techniques, but to facilitate the client in determining solutions that will enhance their own ability to reach their goals as they discover what they require to do so.
- Coaches can support clients in cultivating a mindset of self-compassion during the habit formation process. Self-compassion empowers the client to generate a growth mindset so that setbacks don’t discourage the client and knock them off track toward their goal.[29] Also, building a new habit doesn’t have to be perfect! You can have an off day and still be successful in creating a new habit.[30]
The Understanding Of Transformation
When I look back at the practices my successful clients engaged in, the practice of creating a goal, and writing down their steps toward their goal every day, while integrating the learnings of the previous day with their coach, it’s clear that they are working with the processes of the brain to enhance their likelihood of success. The practice supports creating new habits by moving the habitual behavior from the basal ganglia up into the prefrontal cortex, choosing to engage in a new behavior, and in the process, strengthening the neural pathways that will ultimately build a new, sustainable habit. As the client begins to see the results of the new habit, they receive a dopamine release that feels good and motivates them to keep going. Through this research, coaches like myself can use the understanding of the brain to create practices that yield powerful results for clients and also be able to explain how the process scientifically works to our clients.
References
[1] Goss, Tracy. The Last Word on Power: Executive Reinvention for Leaders Who Must Make The Impossible Happen. (Doubleday, 1996). Appendix II.
[2] Primeau, Mia. “Your powerful, changeable mindset.” Stanford Report. September 15, 2021.
[3] Primeau, Mia. “Your powerful, changeable mindset.” Stanford Report. September 15, 2021.
[4] Kiran Srivastava (Amity University, India) and Lalit Kumar Singh (Lucknow University, India). “Emerging Trends in the Diagnosis and Intervention of Neurodevelopmental Disorders.” IGI Global. 2019.
[5] Zachary M. Sheffler; Vamsi Reddy; Leela Sharath Pillarisetty. “Physiology, Neurotransmitters.” StatPearls Publishing. May 2023.
[6] Matt Puderbaugh; Prabhu D. Emmady. “Neuroplasticity.” StatPearls Publishing. January 2023.
[7] (Henderson et al., 2018) Henderson, V. L., Delparte, C. A., & Reyes, C. R. (2018). Growth mindset predicts greater academic outcomes and enhanced neural processing of errors. Frontiers in Neuroscience, 12, 685.
[8] (Draganski et al., 2006) Draganski, B., Gaser, C., Busch, V., Schuierer, G., Bogdahn, U., & May, A. (2006). Changes in grey matter induced by training. Nature, 427(6972), 311-312.
[9] Regular physical exercise has been associated with enhanced neuroplasticity. Exercise can stimulate the release of growth factors, such as brain-derived neurotrophic factor (BDNF), which support the growth and survival of neurons and the formation of new synaptic connections. (Voss et al., 2013)
[10] (Diamond et al., 1966) Diamond, M. C., Krech, D., & Rosenzweig, M. R. (1966). The effects of an enriched environment on the histology of the rat cerebral cortex. Journal of Comparative Neurology, 128(4), 417-433.
[11] (Cacioppo & Patrick, 2008) Cacioppo, J. T., & Patrick, W. (2008). Loneliness: Human nature and the need for social connection. W.W. Norton & Company.
[12] Benjamin Gardner, Phillippa Lally, Jane Wardle. “Making health habitual: the psychology of ‘habit-formation’ and general practice.” Br J Gen Pract. 2012 Dec; 62(605): 664–666
[13] (Duhigg, 2012) Duhigg, C. (2012). The Power of Habit: Why We Do What We Do in Life and Business. Random House.
[14] (Smith & Graybiel, 2016) Smith, K. S., & Graybiel, A. M. (2016). Habits, rituals, and the evaluative brain. Annual Review of Neuroscience, 39, 29-52.
[15] Lally, Phillippa, Jane Wardle, and Benjamin Gardner. “Experiences of habit formation: a qualitative study.” Psychology, health & medicine 16.4 (2011): 484-489.
[16] Gardner, Benjamin, Gert-Jan de Bruijn, and Phillippa Lally. “A systematic review and meta-analysis of applications of the self-report habit index to nutrition and physical activity behaviors.” Annals of Behavioral Medicine 42.2 (2011): 174-187.
[17] Lanciego, José L et al. “Functional neuroanatomy of the basal ganglia.” Cold Spring Harbor Perspectives in Medicine vol. 2,12 a009621. 1 Dec. 2012, doi:10.1101/cshperspect.a009621
[18] Saberi Moghadam, Sohrab, et al. “An Algorithmic Model of Decision Making in the Human Brain.” Basic and Clinical Neuroscience vol. 10,5 (2019): 443-449. doi:10.32598/bcn.9.10.395
[19] Habits: How They Form And How To Break Them. Fresh Air, NPR. March 5, 2012.
[20] (Murphy & Taylor, 2013) Murphy, G., & Taylor, V. A. (2013). The role of dopamine in the plasticity of habits. Journal of Neuroscience, 33(41), 15248-15255.
[21] Lally, Phillippa, et al. “How Are Habits Formed: Modelling Habit Formation In the Real World“. Eur. J. Soc. Psychol., vol. 40, no. 6, 2009, p. 998-1009. https://doi.org/10.1002/ejsp.674
[22] Matthews, G. (2015). Goal research summary. Paper presented at the 9th Annual International Conference of the Psychology Research Unit of Athens Institute for Education and Research (ATINER), Athens, Greece.
[23] (Gollwitzer, 1999) Gollwitzer, P. M. (1999). Implementation intentions: Strong effects of simple plans. American Psychologist, 54(7), 493-503.
[24] Rene DAILEY, Lynsey ROMO, Sarah MYER, Cathy THOMAS, Surabhi AGGARWAL, Kelly NORDBY, Madison JOHNSON & Carolyn DUNN (2018) The Buddy Benefit: Increasing the Effectiveness of an Employee-Targeted Weight-Loss Program, Journal of Health Communication, 23:3, 272-280, DOI: 10.1080/10810730.2018.1436622
[25] Prabhu, Vishwanath Vasudev, et al. “Effects of social defeat stress on dopamine D2 receptor isoforms and proteins involved in intracellular trafficking.” Behavioral and brain functions: BBF vol. 14,1 16. 8 Oct. 2018, doi:10.1186/s12993-018-0148-5
[26] (Verplanken & Wood, 2006) Verplanken, B., & Wood, W. (2006). Interventions to break and create consumer habits. Journal of Public Policy & Marketing, 25(1), 90-103.
[27] (Clear, 2018) Clear, J. (2018). Atomic Habits: An Easy & Proven Way to Build Good Habits & Break Bad Ones. Penguin Random House.
[28] Wood, W., Tam, L., & Witt, M. G. (2005). Changing circumstances, disrupting habits. Journal of Personality and Social Psychology, 88(6), 918–933. https://doi.org/10.1037/0022-3514.88.6.918
[29] Serena Chen, 2018. “Give Yourself a Break: The Power of Self-Compassion.” Harvard Business Review. September-October, 2018.
[30] (Gardner, Lally, & Wardle, 2012) Gardner, B., Lally, P., & Wardle, J. (2012). Making health habitual: The psychology of ‘habit-formation’ and general practice. British Journal of General Practice, 62(605), 664-666.