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Adapting the Transtheoretical Model for the Design of Security Interventions

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The continued susceptibility of end users to cybersecurity attacks suggests an incomplete understanding of why some people ignore security advice and neglect to use best practices and tools to prevent threats. A more detailed and nuanced approach can help more accurately target security interventions for end users according to their stage of intentional security behavior change. In this paper, we adapt the Transtheoretical Model of Behavior Change for use in a cybersecurity design context. We provide a visual diagram of our model as adapted from public health and cybersecurity literature. We then contribute advice for designers' use of our model in the context of human-computer interaction and the specific domain of usable privacy and security, such as for encouraging timely software updates, voluntary use of two-factor authentication and attention to password hygiene.
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The continued susceptibility of end users to
cybersecurity attacks suggests an incomplete
understanding of why some people ignore security
advice and neglect to use best practices and tools to
prevent threats. A more detailed and nuanced
approach can help more accurately target security
interventions for end users according to their stage
of intentional security behavior change.
In this work, we adapt the Transtheoretical Model of
Behavior Change for use in acybersecurity design
context.We provide avisual diagram of each stage
and the associated causative concept (right, top) as
adapted from public health and security literature.
We then contribute advice for designers’ use of our
model (right, bottom) in the context of human-
computer interaction and the specific domain of
usable privacy and security, such as for encouraging
timely software updates, voluntary use of two-factor
authentication and attention to password hygiene.
Adapting the Transtheoretical Model
for the Design of Security Interventions
ABSTRACT CYCLICAL MODEL OF SECURITY BEHAVIOR CHANGE
HOW DESIGNERS CAN USE THE MODEL
BACKGROUND
Cori Faklaris, Laura Dabbish and Jason Hong
Carnegie Mellon University, Pittsburgh, PA 15213, USA; cfaklari@cs.cmu.edu
The Unified Theory of Use and Acceptance of
Technology synthesizes the ideas of Davis et al.and
Venkatesh et al.into one model of how users take
action inside acomputer system.In this view,
situational and social factors,moderated by
individual factors,precede the individual’s intention
to use and actual use of the system.
Security Sensitivity is defined by Das as “the
awareness of, motivation to use, and knowledge of
how to use security tools”.This is based on prior
findings that many people believe themselves in no
danger of falling victim to asecurity breach and are
unaware of the existence of tools to protect them
against those threats;they perceive the
inconvenience and cost to their time and attention
as outweighing the harm of experiencing asecurity
breach, and they think they are too difficult to use
or lack the knowledge to use them effectively.Stage Evidence Goal/Task Effective
Interventions Examples Successful
Result
Precontemplation
“I don’t need to
use / I don’t
have time to use
security
practices.
Creating
awareness
and
interest in
users
Feedback,
Education, Reading
materials,
Storytelling, Media
campaigns, Empathy
training
Password strength indicator;
CyberQuiz-type materials;
social media articles
“It may be a
good idea to
use security
practices.
Contemplation
“I worry I don’t
use / I may want
to use security
practices.
Motivating
users and
changing
values
“Family
interventions”;
Role playing;
Documentaries;
Imagery, Value
reflection/
clarification
IT workshops; “Choose your
own adventure” game
“I will regret it
if I do not start
using security
practices.
Preparation
(Determination)
“I want / I need
to change my
security
practices.
Persuading
users to put
knowledge
into action
Empowerment
procedures and
policies, Advocacy
for marginalized
users
; Resolutions +
Public Testimonies;
Providing choices
among 2-3
alternatives
“Magic link” alternative to
password (Slack); signing
security change contracts
“I feel better
for committing
to my chosen
security
practices.
Action
“I intend to use /
I know why to use
security
practices.
Creating action
and
reinforcement
of acts
Rewards,
Punishments and
Group recognitions;
Rapport building,
Coaching and Buddy
systems;
Self-help groups,
Learning
recommended
substitute behaviors;
Environmental Re-
engineering;
Controlling stimuli to
avoid harmful or
inadvisable actions
Thumprint (Das et al.);
Facebook Trusted Contacts;
chatbot to praise secure
behaviors and offer tips;
Inputting prank phrase on
peers unlocked laptop;
interface re-design to direct
or nudge behaviors
“I ask for help
with using /
I get help with
using /
I am successful
with /
I keep improving
my security
practices.
Maintenance
“I am already
using
/ I
value security
practices.
Maintaining
and solidifying
change
In our Cyclical Model of Security Behavior Change,the factors of Awareness,Motivation,Knowledge,Resistance,Reinforcement
and Denial cause users to move through Stages of Change as they weigh pros and cons comprised of Situational and Social Factors
(Performance Expectancy, Effort Expectancy, Social Influence and Facilitating Conditions), along with Self-Efficacy and Temptation.
Other Individual (Gender,Age, Experience and Voluntariness of Use) and External Factors (such as Regulations) impact the model.
Prochaska and DiClemente’s Transtheoretical
Model of Behavior Change has been identified in
the literature as auseful framework for privacy and
security research.The TTM marks ashift from
thinking of behavior change as occurring in asingle,
decisive moment to that of alonger-term, cyclical
process in which people balance pros and cons
along with Self-Efficacy and Temptat ion to make
decisions and move through identifiable stages:
Precontemplation,Contemplation,Preparation
(also called Determination), Action,Relapse,and
longer-term Maintenance of desired behaviors.
... Knowledge of existence of a given security practice or other technology, but no enactment of that practice [18] Securing Learning (Step 2) /Learning about practice the acquisition of knowledge or skills about a security practice through experience, study, or by being taught Adapted from [70] Securing Learning (Step 2) /Hesitating to adopt state of uncertainty, tentativeness, or slowness to act on knowledge of practice; evidence of cognitive balance toward cons; similar to vaccine hesitancy where people have not yet decided to resist or to reject. ...
... Either active or passive enactment of security practice or other technology, including trialing, beginning use, and maintaining use [18] (Cross-cutting) /Trialing adoption Acting to test the security practice to evaluate its usefulness in everyday life [47]; authors Security Practice Implementation (Step 3) /Implementing adoption Acting to put the decision to adopt a security practice into effect in everyday life [41,47]; authors Security Practice Implementation (Step 3) /Maintaining adoption Acting to finalize the decision to continue using the practice and/or to use it to its fullest potential; "still" or "currently" -present time will come up in the text [41,47]; authors Security Practice Maintenance (Step 4) /Educating others Acting to share one's security learnings and/or to instruct others in the use of a security practice authors Security Practice Maintenance (Step 4) Non-adoption ...
... Decision not to use a security practice or other technology, including termination of adoption context, rejection, and stopping usage [18] (Cross-cutting) /Discontinuing adoption Stopping use of a practice once it has already been used at least once; explicit mention [41,47]; authors Security Practice Implementation (Step 3) /Rejecting adoption Deciding against use of a practice before it has been used once; explicit mention [41,47]; authors Security Learning (Step 2) Time ...
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Much research has found that social influences (such as social proof, storytelling, and advice-seeking) help boost security awareness. But we have lacked a systematic approach to tracing how awareness leads to action, and to identifying which social influences can be leveraged at each step. Toward this goal, we develop a framework that synthesizes our design ideation, expertise, prior work, and new interview data into a six-step adoption process. This work contributes a prototype framework that accounts for social influences by step. It adds to what is known in the literature and the SIGCHI community about the social-psychological drivers of security adoption. Future work should establish whether this process is the same regardless of culture, demographic variation, or work vs. home context, and whether it is a reliable theoretical basis and method for designing experiments and focusing efforts where they are likely to be most productive. CCS CONCEPTS • Security and privacy; • Human and societal aspects of security and privacy; Usability in security and privacy; • Human-centered computing; • Human computer interaction (HCI); HCI design and evaluation methods, User studies; HCI theory , concepts and models; Empirical studies in collaborative and social computing;
... This avoids a "one size fits all" approach and produces a classification scheme that can be used to design and direct an intervention to those who are most likely to benefit from it. Researchers have created many models of behavior change, such as the Theory of Reasoned Action/Theory of Planned Behavior [2,74,132], the Technology Acceptance Model [46,47,197], the Transtheoretical Model [52,69,157,196], and Diffusion of Innovations [19,167,168]. However, no one has yet established or validated such a model for end-user cybersecurity, nor one that accounts for social influences by stage. ...
... The Transtheoretical Model [69,157] (Figure 7) incorporates insights from a variety of other models and theories, starting with Decisional Balance Theory. It proposes a cyclical process of precontemplation, contemplation, determination (sometimes called preparation), action, and either maintenance or relapse (called termination if it is final). ...
... In cybersecurity and in privacy, Sano et al. [175,176], Faklaris et al. [69], and Ting et al. [190] have explored applying the Stages of Change and Processes of Change to end user studies. These researchers identified a theoretical and/or empirical basis for classifying computer users by whether they are in either precontemplation (Stage 1), contemplation/preparation (Stages 2-3), or action/maintenance (Stages 4-5) of adopting practices such as updating their operating systems, checking for https in URLs, and using antivirus software. ...
Thesis
Full-text available
My research looks at how to apply insights from social psychology, marketing, and public health to reduce the costs of cybercrime and improve adoption of security practices. The central problem that I am addressing is the widespread lack of understanding of cyber-risks. While many solutions exist (such as using password managers), people often are not fully aware of what they do or use them regularly. To address the problem, we should look to insights from social psychology, marketing, and public health that behavior change unfolds as a process in time and is influenced at each stage by relevant contacts, and that interventions are more successful when grounded in appropriate theory. Other researchers have developed models to describe behaviors such as reasoned action, technology acceptance, health/wellness adoption, and innovation diffusion. But we lack a model that is specifically developed for end-user cybersecurity and that accounts for social influences and for non-adoption. In my thesis, I used an exploratory sequential mixed-methods approach to specify such a preliminary model, comprised of six steps of adoption, their step-associated social influences, and each step’s obstacles to moving forward. To this end, I conducted two phases of research. In Phase 1, a remote interview study (N=17), I gathered data to synthesize a common narrative of how people adopt security practices. In Phase 2, an online survey study (N=859), I validated the Phase 1 insights with a U.S. Census-matched panel of adults aged 18 and older. I documented the distribution of the steps of adoption for password managers (either built-in or separately installed), and which factors were significantly associated with each step. I then integrated these findings and triangulated them with prior research on the influences of threat awareness, social proof, advice-seeking, and caretaking roles in people’s security behaviors. The results are a data-driven diagram and description of the six steps of cybersecurity adoption and a survey-item algorithm for classifying people by adoption step. These steps are 0: No Learning or Threat Awareness, 1: Threat Awareness, 2: Security Learning, 3: Security Practice Implementation, 4: Security Practice Maintenance, and “X”: Security Practice Rejection. My Step Classifications exhibit reliability and convergent validity, showing an expected significant variance by steps on mean scores for adapted Transtheoretical Model scales (p<.001). The trialability of password managers and the availability of troubleshooting help were significantly positively associated with adoption of password managers (Step 3 and Step 4, p<.001), and the lack of troubleshooting help was significantly positively associated with rejection of password managers (Step X, p<.001). Other authority influences (mandates, adoption leadership, caretaking) and peer/media influences (advice on password managers, exposure to news of others’ security breach experiences) also were significantly associated with adoption decisions. My thesis helps move the field of usable security away from “one size fits all” strategies by providing a theoretical basis and a method for segmenting the target audience for security interventions and directing resources to those segments most likely to benefit. It establishes an agenda for future experiments to validate whether specific step-matched interventions influence adoption and are more likely to lead to long-term change. It contributes to the literature on Diffusion of Innovations and extends other established theoretical models, such as Protection Motivation Theory, the Technology Acceptance Model, and the Transtheoretical Model. Finally, it suggests specific design interventions for boosting security adoption.
... To this end, we apply Prochaska and DiClemente's Transtheoretical Model of Behavior Change [44,63]. This model, and its associated Stages of Change, has already been identified as a useful framework for privacy and security research [8,10,25,30,55]. ...
... In security and privacy, Sano et al. [49,50], Faklaris et al. [30], and Ting et al. [55] have explored applying the Stages of Change and Processes of Change to end user studies. These researchers identified a theoretical and/or empirical basis for classifying computer users by whether they are in either precontemplation (Stage 1), contemplation/preparation (Stages 2-3), or action/maintenance (Stages 4-5) of adopting practices such as updating their operating systems, checking for https in URLs, and using antivirus software. ...
... Model [29,30,55] to be a desirable framework for creating and assessing usability interventions. ...
Preprint
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Behavior change ideas from health psychology can also help boost end user compliance with security recommendations, such as adopting two-factor authentication (2FA). Our research adapts the Transtheoretical Model Stages of Change from health and wellness research to a cybersecurity context. We first create and validate an assessment to identify workers on Amazon Mechanical Turk who have not enabled 2FA for their accounts as being in Stage 1 (no intention to adopt 2FA) or Stages 2-3 (some intention to adopt 2FA). We randomly assigned participants to receive an informational intervention with varied content (highlighting process, norms, or both) or not. After three days, we again surveyed workers for Stage of Amazon 2FA adoption. We found that those in the intervention group showed more progress toward action/maintenance (Stages 4-5) than those in the control group, and those who received content highlighting the process of enabling 2FA were significantly more likely to progress toward 2FA adoption. Our work contributes support for applying a Stages of Change Model in usable security.
... The Transtheoretical Model [12,25] proposes a cyclical process of precontemplation, contemplation/preparation, ...
... Further, work to create the SA-13 security-attitude inventory [3] has identified four factors --Resistance, Concernedness, Attentiveness, and Engagement --that weigh in a person's cybersecurity decisional balance [19]. These findings echo stage models in public health [15] such as the Transtheoretical Model [9,12,25,34] and the Precaution Adoption Process Model [37,38], each successful in promoting measures such as smoking cessation and home radon tests. Now, we seek to integrate these findings with other proven models of behavior adoption, such as Diffusion of Innovations [27] concepts of successful tech characteristics, and with empirical data from end users to provide insights specific to cybersecurity. ...
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Our research focuses on understanding how attitudes and social influences act on end users in the process of cybersecurity behavior adoption (or non-adoption). This work draws on five expectancy-value models and on four stage models that have been applied successfully in social psychology, market-ing, and public health. In this talk, we will first give an over-view of these models. We then will present the progress of our empirical mixed-methods research to craft a model specific to cybersecurity adoption that identifies the relevant (1) attitudes and (2) social influences acting at each step, along with (3) tech characteristics that are associated with sustained adoption. We will conclude with remarks on how our work can be of use to cybersecurity teams tasked with boost-ing awareness and/or adoption.
... Cybersecurity psychology is akin to health psychology in that, in the short-term, people often act against their long-term or collective interest by neglecting to take precautions or avoid risky behaviors [29,70]. From the user's point of view, this is not necessarily irrational, as they may have needs that conflict with security recommendations and policies [1]; also, people's decisionmaking styles vary [65], which impacts their intentions and behaviors in both health care [31,50] and cybersecurity [27,54]. ...
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