PDF Summary:The Oz Principle, by Roger Connors, Tom Smith, and Craig Hickman

When things feel out of your control, it’s easy to give up, believing that you can’t change your situation. However, the authors of The Oz Principle argue that, like Dorothy and her companions in The WIzard of Oz, you have more power to create change than you may realize; you don’t need a wizard or magical solution. The key is not getting stuck in a victim mindset.

The Oz Principle is: To reach your goals, take initiative and assume accountability for your circumstances and your future. The authors lay out four steps to accountability that will move you from a mindset of victimism to success in your personal life and in your organization. This guide compares the authors’ ideas for why and how to take charge of your life to those of other writers on psychology and business development.

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The authors note that facing reality is difficult, in part, because it’s inconvenient. But confronting inconvenient truths pays off in improved relationships, career advancement, a more successful business, and a better life. The rewards are far greater, in the long run, than the false security that comes with hiding from your problems.

(Shortform note: In Principles, Ray Dalio adds that a primary benefit of embracing reality and relentlessly pursuing the truth is improving yourself—for instance, by learning from your mistakes—which he calls life’s greatest reward because it’s so fulfilling.)

Step 2: Admit Your Role

Once you’ve faced the facts of your situation, The Oz Principle’s next step toward accountability is to “own” your situation by acknowledging that you’re not only a victim of circumstance, but that you contributed to those circumstances. While this is uncomfortable, the authors point out that it comes with a benefit: Once you realize you had a hand in creating the problem, it’s easier to see how you can create the solution; it’s a way of taking back power.

The authors offer several techniques to help you see patterns of thinking and behavior that are holding you back from acknowledging your role:

• Self-Assess: Ask yourself whether you’re open to other perspectives, able to admit when you’ve messed up, and comfortable with sometimes being wrong. (Shortform note: On their website, The Oz Principle authors also offer this expanded 10-question self-assessment. Or, you can try this true-false victim mentality quiz from a counseling service.)
• Take an external point of view: Imagine giving a friend advice about the same situation. Thinking about it as an outsider can help you see your mistakes and what you could do better in the future. (Shortform note: Psychologists refer to this as self-distancing: Besides adopting an outside observer perspective, techniques include using third-person pronouns to describe the situation in writing and asking yourself how you’ll feel about the situation in a week, month, or years from now.)
• Learn from the past: When you find yourself in a difficult situation, think about a time you faced something similar before. Consider what lessons you can draw from that experience. (Shortform note: Besides reviewing a specific experience, you can make learning from experience part of your routine. In First Things First, author Stephen Covey recommends asking yourself a series of questions each week about how things went, such as: What prevented me from reaching my goals, and what are the main lessons I can take away from this week?)
• Get feedback: Ask multiple, diverse sources for honest and specific feedback; this will help you figure out if a comment is an outlier or if it’s widely shared. (Shortform note: To get the most useful feedback, ask questions like, What should I stop doing and what should I start doing?)

Step 3: Take Responsibility for Solving Problems

When you recognize a problem, you may be inclined to step aside and let someone else take care of it. But if you recognize the problem but don’t solve it, it’s likely to get worse. Being accountable requires being a problem-solver. The authors give this advice for solving problems:

• Get at the root of the issue. Don't waste time and resources focusing on superficial aspects or symptoms, or in trying to take shortcuts.
• Mean it. Don't just take shortcuts or try to appease anyone. Implement long-lasting solutions and honestly believe in them.
• Don’t be complacent. Always look for things you can do better. This sentiment applies not only to resolving specific problems but also to how you can approach work and life in general. Hone your existing skills and keep gaining new ones. Be aware of what other people are doing. By being a more knowledgeable and well-rounded person, you’re more likely to spot problems early and to be able to come up with solutions.

Tips for Getting Started

Solving problems starts with the right mindset. Here are some tips from other authors on how to approach problem-solving:

Schedule time: In Emotional Intelligence 2.0, authors Travis Bradberry and Jean Greaves recommend dedicating regular time to problem-solving as a tactic of self-management, because it’s difficult in a busy life to find time to think through decisions before making them. Schedule 15 minutes a day to walk away from your work and problem-solve particular issues. This will help you to make clearer choices and ensure that your feelings aren’t skewing your decision-making process.

Accept struggle: In Ultralearning, Scott Young recommends letting yourself struggle with problems. While he’s referring to the process of learning, his advice applies to problem-solving more generally as well: Force yourself to struggle when you encounter a difficult problem or obstacle when trying to learn something. Most problems can be solved with enough thought and effort, and deliberate struggle creates deeper understanding of the problem and builds resilience, leading to more efficient problem-solving later. Encourage this by setting a timer for 10-15 minutes and pushing yourself to work on the problem at least until the timer goes off.

Ask this question: Finally, in 12 Rules for Life, psychologist Jordan Peterson advises: Before blaming anyone else for a problem, you should be able to answer yes to the question, “Have I done everything within my ability to solve the problem?”

Of course, when you’re trying to solve a problem, you’ll inevitably run into roadblocks. You might get discouraged and revert to unproductive patterns of thinking. Instead, mentally brace yourself for things to get tough. Try to predict what setbacks you might encounter, and prepare for them if possible.

(Shortform note: Following is a planning strategy for businesses to anticipate and prepare for problems; the same type of thinking can work for individuals too. Regularly brainstorm with your team to identify events or conditions that could upend your business. Identify early indicators of each event or condition, and determine what actions you would need to take in response, such as workarounds. Engage your up-and-coming leaders in “scenario thinking,” or imagining a range of problem scenarios and responses. Compile the scenarios and responses in a manual.)

Step 4: Take Action

The fourth step in The Oz Principle’s journey is staying committed and following through with action.

Even when you know the solution, you may still have a hard time executing it—or you may start but give up when you encounter a problem. However, a commitment to accountability means not letting obstacles stop you, or letting momentary success or luck make you complacent.

The authors recommend the following techniques and attitudes to ensure you get the job done:

• Focus on future goals, not just the immediate situation. For example, if you’re falling behind on your sales goal for the month, it’s not enough to work around the clock for the final week to get your numbers up. Also determine how to keep it from happening again in the future.
• Keep track of the results you're generating. The results should be concrete, whether in the form of numbers or feedback from other people, so you can measure and learn from them.
• Don’t put things off. Address problems right away. Procrastinating could weaken your commitment to following through and make the problem worse.

Use Psychology to Stay on Track

Even when you follow the authors’ advice, you may find it hard to stay committed. When desire and willpower aren’t enough, a Psychology Today article recommends:

• Visualize the benefits of following through and the downsides of not following through.

• Remind yourself that you’re doing the right thing.

• Accept that not everything is fun.

• Tell others about your commitment, so you’ll be less likely to renege.

• Imagine feeling guilty and embarrassed about not following through.

• Keep track of milestones.

Accountability on an Organizational Level

The authors emphasize the importance of not only individual accountability, but also joint accountability. In any group that’s working toward a shared goal—a sports team, students submitting a group project, or employees at a company—you succeed or fail together.

To help people look beyond their basic job responsibilities and think about the things for which they share accountability with others, the authors recommend that leaders emphasize results. Make it clear to employees what specific results you’re looking for. Identify the numbers you’ll need to see to know that you’ve succeeded. To score a goal, employees have to be able to see the goalposts.

(Shortform note: In The Five Dysfunctions of a Team, Patrick Lencioni asserts that by having tangible measures of success, teams are better able to attract and retain achievement-oriented employees. Also, it’s easier to evaluate performance, and a focus on results avoids the distraction and waste of energy occurring when team members pursue individual agendas at the expense of the team.)

Once you’ve established the need to get results, defined the results you’re after, and explained how you’ll measure them, you’ll then have to motivate your team to focus on results.

(Shortform note: On their Partners in Leadership website, the authors of The Oz Principle provide an interactive tool called the Propeller, which helps leaders and their teams focus, communicate and track key results, as well as build empowerment and ownership. As one aspect of the platform, team members each create a personal impact statement of how their role and duties contribute to achieving specific results; everyone can see everyone else’s impact statement to see how roles work together. A sense of empowerment increases team members’ motivation.)

The authors cite rewards as a valuable motivational tool, even if they’re purely symbolic, like getting a gold star on your homework in school. Give people gold stars in the form of praise and recognition, as well as substantive rewards such as commissions, bonuses, and so on. Some companies offer equity, knowing that employees who own a piece of the company are invested in the whole, not just in their own job. (Shortform note: If team-based rewards aren’t structured carefully, so that they’re clear and equitable, human resources experts caution that they can undermine individual initiative, trust, and therefore team success.)

Lead From and Into an Accountability Mindset

Once you understand the building blocks of an organization-wide culture of accountability, The Oz Principle recommends these steps to become the kind of leader who can create that culture:

• Examine your own motivations. Approach the task of creating an accountability culture with a desire to help people do better. If you use “accountability” to blame other people or shame them for slipping into a victim mindset, you’ll fail to create positive change. (Shortform note: Blaming or shaming others also likely means you’re not being honest about your own role in the problem. Accountable leaders set aside pride and admit their mistakes.)
• Lead by example. Show people how you hold yourself accountable by modeling behaviors such as being proactive, owning your mistakes, focusing on results, and following through. (Shortform note: In Can’t Hurt Me, retired Navy SEAL and ultramarathoner David Goggins recommends holding yourself accountable by creating an “accountability mirror”—write your goals on notes and tape them to your mirror; then have an honest conversation about your successes and failures while looking yourself in the eye each day.)
• Be understanding. It takes time for people to learn to be accountable. If someone reverts to victimism, offer support, encouragement, and constructive feedback. (Shortform note: To best support employees, check in often and communicate more than you think is necessary.)

Take Action to Change the System

While accountability is a choice that every employee has to make, you can create conditions within your organization that ensure people make that choice:

1) Train everyone in accountability. Discuss the behaviors of accountable people versus victims. Share personal anecdotes of times you fell into a victim mindset and how you overcame it. Giving concrete examples will help people self-reflect and apply the ideas to their own lives. (Shortform note: Inc. magazine cites the following “8 habits of highly accountable people”: Take responsibility, don’t make excuses, be on time, control your own fate, own your emotions, communicate expectations, collaborate, and don’t expect praise—take satisfaction in accomplishment.)

2) Coach employees through the process of forming good habits around accountability. Coaching people is different from controlling them. Instead of telling someone what to do, ask them what they think they should do. Give them the opportunity to make decisions and solve problems, because that will help them form good habits around accountability. It also requires them to take responsibility for their own work, rather than only taking orders (thus leaving the responsibility with whoever’s directing them).

(Shortform note: To further clarify the difference between coaching and controlling (or managing), a Forbes article describes coaching as involving exploring, facilitating, partnering, encouraging ongoing improvement, and opening the door to multiple potential outcomes. In contrast, managing involves ordering, directing, meeting immediate needs, and producing a specific outcome. This chart shows additional differences in coaching mindset and behavior.)

3) Help your team maintain a positive and productive attitude by asking questions that guide them toward an accountability mindset. The key question the authors of The Oz Principle recommend asking is, “What else can I do?” This focuses people’s thinking on making progress and on how they can influence the situation.

Accountability Questions

Another way to build a personal and organizational accountability habit is to ask yourself these questions weekly:

1. Rate the past week on a scale of 1-10 (10 being fantastic).

2. What was your biggest priority?

3. Did you accomplish it, and if not, why not?

4. What did you learn last week?

5. What were your biggest highlight and biggest obstacle?

6. What needs to happen to make this week a success?

4) Reinforce accountability behaviors so that they become habits. (Shortform note: Similarly, The Coaching Habit recommends taking advantage of daily coaching opportunities. For example, if an employee sends you a long email about a problem, respond by asking, “Before I send you a detailed reply, can you tell me what the central challenge is for you?”)

5) Finally, keep track of everyone’s progress. An accountability mindset, or lack thereof, will be evident in their work. If they falter, offer constructive feedback. If they’re succeeding, offer recognition and praise. In general, if you’re a leader, try to be present and visible.

(Shortform note: In Carrots and Sticks Don’t Work, Paul Marciano notes that managers tend to overestimate how much recognition they give. But recognition is a key part of a leader’s job, because quick recognition of positive behavior locks in that behavior while failure to reinforce it makes it less likely to be repeated. Further, a minute spent complimenting someone’s work can lead to hours of increased productivity.)