The 4D Approach to Addressing Behavior

After you’ve gained a better understanding of what happened and the impact it has on your business, it’s time to look at the frequency of needed corrective action. This part is really impactful because this is where we get to self-reflect as leaders. It’s a good idea to use these “hiccups” as an opportunity to ensure that our teams have the tools and resources necessary to succeed. Reflect on your expectations and make sure they have been clearly communicated, are reasonable and are obtainable. You may need to work together to eliminate barriers.

We are human. Business is fast-paced and messy and sometimes we make mistakes. Most people want to do well and most people are willing to correct any behavior if you know how to identify it and can kindly communicate it to them. I like to approach first-time discussions with a kind, gentle reminder in order to correct the behavior. You may not feel obligated to document. Just remember; if the behaviors continue or become more frequent, the sooner you start to document and address it, the sooner you can remove the unresolved behaviors from impacting your operation.

I like to give people the benefit of the doubt. Some conflicts may be arising from disorganization or lack of understanding. These situations can be very unique and may require a more creative approach. Human Resources strategies can help you evaluate responsibilities, company goals, and other operational information. That data may suggest a reduction or reorganization of responsibilities in leu of corrective action. Sometimes, this solution makes the most sense for everyone involved. Whichever approach you decide to take, always consider consistency. Deviation from previously established practices has the potential to be perceived as discrimination.

Wow! We’ve gone over a lot so far! We aren’t done just yet, though. It’s time to develop a plan to deliver your message. How you choose to communicate can have a significant impact on the individual’s morale and the morale of everyone involved. The hope is that the individual will be receptive to the feedback and cooperate fully during the discussion. However, this is not always the case and you may want to prepare yourself for the worst-case scenario. Consider the following guidelines and scripted verbal examples for communicating a corrective action. They are intended to be used when trying to discourage escalation:

• Kindly deliver your message without shaming the employee.

  • Try: “Thank you for meeting today, unfortunately we cannot ignore these concerns and have determined a corrective action.”

• Avoid personalization. The problem is not the person, but the behavior and the negative effects that behavior has on the business.

  • Try: “It’s critical that we have accurate data entry to avoid delays for our customers and additional company costs.”

• Avoid the rabbit hole! You will encounter individuals who are unwilling to take accountability for their actions. They will try to turn the conversation into a hunt for excuses and additional allegations. If you have conducted a thorough investigation prior to the discussion, it will make it much easier to keep from being distracted by additional accusations and claims that may come up during the discussion. When someone tries to deflect or blame others and add dramatized information into the discussion to remove the focus from their accountability, the following statements can be helpful for keeping the discussion on track.

  • “Thank you for sharing that information with us, we will definitely look into that further, but unfortunately it does not excuse us from this discussion and we will need to continue as planned today.”

  • “I appreciate where you are coming from, but we can only consider valid information when making our decisions. We have conducted a thorough investigation and we were not able to verify those claims and with that understanding this is how we have decided to proceed.”

• Finally, have an exit strategy planned. Always be aware of your personal safety and the physical and emotional safety of anyone involved. You may need assistance escorting someone out of the building and off of the property. Kindness in these situations can help you avoid an escalation of emotions that might lead to further disruption.

  • Try: “Thank you for your cooperation. As a safety precaution, we will help gather any personal belongings you may have before we escort you to your vehicle. We also are inclined to ask that you do not return to the property for any reason, moving forward. Again, we ask this as a safety precaution.”

  See! That statement is both kind (you did not shame them) and effective (you gave detailed instructions on the exit process that clearly communicate your expectations).

‍ ‍The Approach

‍ ‍ Determine > Develop > Deliver > Document

The goal of this approach is to Determine the scope of the behavior’s impact on your business and then Develop a plan to Deliver your message. This cannot be stressed enough, it is VITAL that you Document as much information as possible. This includes documented conversations with the individuals involved, following up on witness claims and gathering supporting documentation; such as operational data or physical evidence. Good documentation has the ability to redirect discussion focus, eliminate avoidant excuses, validate events that took place and will become your most valuable tool when addressing repeated behavior.

Defaulting to this model will slow your reaction time and allows for additional time to analyze several approach options before choosing the one that will most likely lead to your desired resolution. When you learn to investigate before reacting, you minimize the risk of overreacting in the moment. Take some time, prior to having a discussion with those involved, to effectively analyze the situation. Consider the severity of the behavior, the intent behind it, the impact of the behavior and the frequency of needed behavioral intervention. Feel free to explore additional aspects that apply to your unique situation, but those 4 are a quick way to get started and should invoke enough additional questions that will lead to a full understanding of what took place.

So let’s walk the process together and start by looking at the severity of the behavior. As a business affiliate, you can only enforce the policies that govern the terms of employment. In extreme situations, where anyone’s physical safety is in question, error on the side of caution and seek assistance from local law enforcement if necessary. If something like cost recovery for stolen property is being considered, you would need to seek legal advice. Employers are very limited under state payroll laws and withholding an employee’s earnings for cost recovery may be illegal. In case you’re not familiar with conflict resolution or addressing personnel behavior, here are some examples listed in order from less severe to very severe:

• Unintentional clerical mistakes/mislabeled product

• Innocuous/unintentional leaking of confidential information

• Stolen/unrecovered property

• Verbal/physical assault on company grounds or toward any individual/entity affiliated through your business

Now we need to understand whether the behavior was intentional or not. Without understanding why an individual is motivated, as a leader, it will be difficult to fully understand the scope of the impact that their actions have on the business. In order to gain clarity on intent, an investigation will need to be conducted and lucky for you that’s exactly what is required for the first of the 4 Ds, Determine the scope of the impact. Be ready to Document your conversations, but don’t overthink it. They should be detailed enough to capture the information that you need to make a decision about and support your corrective action. Consider exploring the following questions to seek a better understanding of the intent behind the behavior:

You could ask…

• “Did you know that what you were doing was harmful or incorrect?”

  • Many employers train to specific processes or behavioral expectations. Was this training completed and did they demonstrate a full understanding of what was expected of them?

• “Were you directed by an extension of leadership to perform the action in question?”

  • If so, their involvement in the matter may be excusable. On the other hand, you may need to further investigate the misdirection from your leadership.

So now that we’ve asked some great questions and hopefully have a full understanding of what happened, we need to determine the impact. This could be subjective to your business style, industry, culture and so many other variables. For now, let’s look at a few common impacts that could effect pretty much any operation. Those include:

• Financial impacts inclusive of time, money and resources required to correct or address the results of the behavior.

• Cultural impacts including the value of respect, safety and professional conduct among your workforce and other professional relationships.

• Reputation and company image that may impact relationships with customers, vendors, the community where your business operates and potentially even it’s stakeholders.

I’d like to acknowledge that there is no one way to handle corrective action. There is no blanket statement or chart that can tell you what to do, but if you seek to understand, that process will help you develop the confidence needed to handle corrective action professionally. Don’t shy away from these discussions. They should not be rushed or avoided. These are the moments in leadership where you will find that by replacing impulsiveness with intentionality, you will generate autonomy through your interpersonal communication skills. You’ll start to default to the right questions to ask, making your approach more efficient and effective each time.

You’ve got this!

Here are some general tips that will have you handling these difficult situations with ease and confidence.

Timing is everything. Be mindful of the embarrassment that the individual might experience during the discussion. Try to create as much privacy and confidentiality as possible. If there is access to company technology or information that needs to be removed, try to align those tasks with the date and time that the discussion will take place to avoid any gaps. Activities such as turning access off too soon may alert the individual that the discussion is coming. On the other hand, turning it off too late may result in a disgruntled individual having the ability to sabotage the business out of retaliation. Preparation and discretion will you serve you well here.

You may have to refer to your company’s progressive discipline policy to help guide you on what steps to take next. If you do not have a progressive discipline policy to refer to, consider a fair 3-step approach such as: Documented Verbal Warning, Written Warning and Unpaid Time Off inclusive of temporary suspensions and up to termination of employment. (But let’s hope this approach to correcting behavior keeps you from getting there!)

Always be openminded even when your decision is firm. While you don’t want to get sucked into the rabbit hole, you also don’t want to be negligent of any useful information that might come from the discussion. Even after a thorough investigation has been done, you may find that there are details you weren’t aware of at the time of the discussion. Details like fabricated statements, omitted information and personal life circumstances that may have impacted your decision.

If you do find yourself changing your mind in the moment, that is totally acceptable, but follow up and follow through are crucial here. You may even consider a suspension pending investigation to create distance while you allow yourself the time to necassary to make an informed decision. The following statement may help you pivot in the moment:

• “Thank you for sharing that information with me. I was not aware of this. I’m going to have you leave the property on a suspension pending investigation. I want to give this situation the time it deserves with your well-being in mind. I would like to ask that you keep our discussion private while I determine what to do next. I will follow up with you as soon as I have a direction.”

It’s tough to be on the receiving side of potential discipline or disappointment. Following up with a conversation to bring closure to the discussion is vital - even if you choose to disregard the concerns and never take action. In my experience follow up and follow through build trust between parties. This scripted example can provide closure while maintaining confidentiality.

• “Thank you for meeting today. I cannot provide many details because it does involve confidential information, but I wanted you to know that we appreciate your willingness to cooperate and have addressed the matter. There is nothing else you need to do. Please feel free to let us know if you have any concerns.”

Each situation is unique, but I hope that the 4D Approach will be a quick reference tool that will bring you confidence in your business practices. If you give the concepts in this article a try, check out this resource and send me an email! I’d love to hear how it went and what results you experienced. Good luck!