Performance Management / Discipline

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Sometimes the best way to get a handle on a difficult concept is to study the derivation of the word involved.  How did it come into being?  What various meanings does the word hold?  How does it relate to similar words?  What is the connection between what the word means and how it is really used?  This approach should help you to get a better fix on the word and the concept of discipline. 

The word discipline is built upon the same root word as “disciple” which the dictionary defines as “one who accepts and follows” a teacher.  It would seem to follow then that “discipline” would refer to some kind of practice or training that would help prepare someone to become a disciple, a follower.  The dictionary concurs by defining the word as “training of the mental, moral, and physical powers by instruction, control, and exercise.”  Assume that you want to become a great baseball player and that Barry Bonds is your idol.  Further assume that Barry Bonds comes to your town one day and that you get the opportunity to get together with him to discuss baseball.  You end up on the parking lot throwing a baseball around and your new friend, Barry Bonds, gives you some pointers on how to improve your control.  You know what?  You have just had a disciplinary interview with Barry Bonds. 

The example is extreme, of course, but the definitions and the concept are probably more on target than you might think.  This is by no means an easy concept for a supervisor to keep in perspective.  Years of conditioning have fixed the words in our minds as being connected with punishment and pain.  Correct understanding reveals that discipline is not about punishment and pain, but rather about re-direction, development, and growth.  You discipline children not because you want to inflict punishment and pain, but because you love them.  You are concerned about them, and want to help them develop into disciples — followers of ideas and values you hold as a parent and wish to transmit to them.  The same use of the word is the only proper use of the word in the work situation. 

A more functional, but equally sound definition of “discipline” is “the training which makes punishment unnecessary.”  This definition of the word contains the notion that the whole point of engaging in discipline is to develop self-discipline and self-control.  Discipline gets its bad reputation not from the word or its true definition, but from the human tendency to temper it with anger or revenge. 

When a child breaks a rule, we discipline the child to help teach the significance of the rule.  We then expect that the child will be able to develop enough self-control not to violate it again.  All too often, however, we discipline because we are angry.  We love the child, but when our rules get broken, we are hurt. 

When we get hurt we get mad.  When we get mad, we seek revenge against the source of the pain.  At work we also get hurt when an employee violates a rule or pushes us to the breaking point.  We have a natural tendency to strike back, get even, and “show them who’s boss.”  It is very human.  But it is also very unprofessional and very unproductive. 

Does this mean that supervisors should not discipline?  No.  On the contrary, as a supervisor, you not only should discipline, but you have to discipline.  It is part of your job and it comes with the territory.  But, understand that effective discipline in an organization is a constructive, problem-solving process designed to correct, mold, and improve.  It is an organizational matter and not a personal matter.  If you are in a supervisory position and are not concerned with discipline, then you are not earning your paycheck.  Likewise, if you are in a supervisory position and use disciplinary means to satisfy your own frustration, you are taking money under false pretenses. 

Creating a Proper Climate 

This discussion so far has focused on the meaning and purpose of discipline.  Now let’s talk about where you fit in.  Many supervisors shy away from the use of disciplinary measures.  They work out of an assumption which equates being lax with being popular.  They fear that invoking disciplinary measures will harm the careful work they have done in building good human relations bridges between themselves and their reports.  They feel, perhaps subconsciously, that using their power is going to create a lot of tension, make everyone hate them, and generally mess up the climate they have worked so hard to create.  When faced with an inevitable infraction such a supervisor prefers to turn his or her head, chalk it up to human frailty, and act as if it never happened.  While you might admire such intentions and empathize with a desire to avoid discord, you must ultimately face the fact that such behavior is naïve and guaranteed to be ineffective.  If, as a supervisor, you turn your back on discipline today, you are programming disaster for tomorrow.  When employees see you shirk your disciplinary responsibility, they assume that you consider the rules, regulations, and policies of the organization to be unimportant or that you are weak.  Either assumption will be devastating.  Employees, in general, want to obey the rules and do a good job.  Most people want to give an honest day’s work for an honest day’s pay, but only as long as that behavior is expected of them and is the norm throughout the organization.  People are willing to play fair as long as everyone else plays fair.  But if employees observe a peer producing sub-standard work, coming in late, stretching or breaking safety rules, and getting away with it, they resent the fact because it is unfair.  If such behavior goes uncorrected for any length of time, then they attempt to make the situation “fair” by following the example of the rule breaker and getting what they’ve gotten.  The old saying that “one rotten apple spoils the whole barrel” is very true. 

The proper climate for effective discipline is one of fairness.  How then do you go about producing and maintaining such a climate?  You start with rules, regulations, and policies.  These need to be in writing and should be considered as a guide to expected behavior.  They also should contain an explicit list of penalties which correspond to the infractions.  Your company may already have such a “policy manual” which is given to new employees as they join the company.  If such a document does not exist, maybe you can be instrumental in helping to get one written.  Remember that your aim is to create a fair climate and fairness is only possible when there are some ground rules.  Be electing to join your company and by receiving a written copy of the ground rules, your employees have entered into a kind of contract.  You have put your ideas about expected behavior in writing.  You have communicated in advance what kind of behavior you expect and what kinds of penalties will be imposed if that behavior is not forthcoming.  The whole point of a policy manual is to insure fairness.

The second step in building a proper climate for discipline depends on you and what you do to enforce the written policies.  The important concept here is consistency.  The whole doctrine of fairness will fall apart if you adopt an inconsistent approach to enforcement.  Every violation should be acted on, even though the exact circumstances, situations, and intent surrounding the violation may suggest that you choose between several different ways of handling it.  To be consistent is to take action every time you encounter a violation.   This does not mean that you must prescribe exactly the same penalty for a particular infraction at all times and in all circumstances.  Remember that your objective is fairness. 

Assume that you encounter two employees, Joe and Pete, smoking in a non-smoking area.  Joe has been employed for several months and twice in that time you have asked him not to smoke in this area.  Each time you have pointed out that he is violating the rules and explaining that safety measures make it dangerous to smoke there.  The last time you spoke to him, you reminded him that company policy provides for immediate suspension for intentional violation of a safety rule and warned him that if he smoked again in this area, he would be suspended.  Pete, on the other hand, just started work this week.  On his break, he looked for a smoking area, saw Joe smoking, and assumed that it was all right to smoke there.  Should Pete and Joe receive the same penalty?  Obviously not.  By suspending Joe and verbally warning Pete, you have taken action and your action is consistent even though you have prescribed different penalties for the same offense.  

Here is the important principle to remember.  Be consistent in acting on violations and tailor the penalty to fit the circumstances.  When you act consistently and fairly over a period of time, you condition your employees to an understanding that violation of a rule will have an inevitable result.  You have objectified the matter of discipline and minimized your role in it.  If an employee violates a rule, that employee does so in the certainty that you will act.  Thus, you have removed personalities, whim, and uncertainty from the process and helped your employees understand that discipline is the training that makes punishment unnecessary. 

How and When — The Disciplinary Interview 

Discipline should be fair and objective.  Employees like to be treated fairly and objectively.  It is possible and probable that the disciplinary interview will actually improve the relationship between you and the employee.  What counts most is your approach.  Remember that your goal is to correct, improve, and mold and those are all positive endeavors.  If you transmit this attitude, you can actually have an employee leave a disciplinary interview feeling good, glad that he or she works under your leadership, and with a renewed sense of confidence and self-respect. 

Handling a disciplinary interview will be a good test of your communication ability.  Here are some procedural steps which can make you more effective in disciplining. 

1. Prepare for the interview by getting the facts and checking the employee’s record.  Getting the facts may involve your review of documents such as time cards, production reports, inventory lists, [union contract, if applicable] as well as interviewing eye witnesses.
2. Schedule the interview in a quiet place where you will have absolute privacy.  The interview should be scheduled as soon after the offense as possible.
3. Begin the interview with open-ended questions and avoid being aggressive and accusatory.
4. Give the employee a chance to explain his or her position fully.  Listen carefully for points of agreement and disagreement with the facts as you have found them.
5. Discuss the facts you have collected and your interpretation and evaluation of them.  See the employee’s response and listen carefully and attentively to the employee.  If the explanation convinces you that you are wrong about some of your facts or evaluations, admit it.  Be aware of the possibility of an honest mistake having been made.
6. Remain objective and remember that the purpose of this process is rehabilitation not punishment.  Therefore, make sure the employee understands the reasons behind the rule or regulation that has been violated and the importance of everyone’s cooperation in abiding by the rules.
7. In deciding on the penalty to invoke, continue in your attempt to be fair.  Also, give some consideration to how you think the penalty will be received and what effect it will have on the employee.
8. In announcing your decision, be understanding but firm.  Remember that you are working to build a reputation for fairness and consistency.  There is no need to apologize or feel badly about your decision.
9. In closing the interview, work to help the employee repair his or her self-image and understand that they are important to the organization. 

Supervisors want to be liked and do not want to seem pushy or authoritarian.  But, the goal is to get the job done.  The effective supervisor encourages excellence, recognizes achievement, and disciplines whenever necessary.  The employees who work for this person produce above average work because they feel appreciated, important, and they are treated fairly.

For more information about Ken Chapman and Associates’ Leadership Development Programs, contact Ken Chapman at 205.366.0265 or email Ken at kchapman@leaderscode.com.

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