It is also important to help employees and managers

procedures. It is also important to
help employees and managers
understand what the rules and
procedures are, where they can
be found and how they are to be
used.
Rules and performance
standards
Clear rules benefit employees and
set standards of conduct. They also
help employers to act fairly and
consistently.
Employers should also set standards
of performance so that employees
know what is expected of them.
This is usually done as part of an
organisation’s performance
management which will involve
agreeing objectives and reviewing
performance on a regular basis.

12
What should rules cover?
Different organisations will have
different requirements but rules often
cover such matters as:
● ●
timekeeping
● ●
absence
1
● ●
health and safety
● ●
use of organisation facilities
● ●
discrimination, bullying and
harassment
● ●
personal appearance
● ●
the types of conduct that might be
considered as ‘gross misconduct’
(see p32).
How should rules be drawn up
and communicated?
Rules are likely to be more effective if
they are accepted as reasonable by
those covered by them and those
who operate them. It is good
practice to develop rules in
consultation with employees (and
their representatives where
appropriate) and those who will have
responsibility for applying them.
Unless there are reasons why
different sets of rules apply to
different groups they should apply to
all employees at all levels in the
organisation.
The rules should not discriminate on
the grounds of sex, transgender,
marital or civil partnership status,
racial group, sexual orientation,
religion or belief, disability
2
or age
3
.
Writing down the rules helps both
managers and employees to know
what is expected of them. The rules
should be made clear to employees.
Ideally employees should be given
their own printed copy of the rules or
written information about how to
access them – eg on the
organisation’s Intranet or in their
handbook. Employees are entitled to
a written statement of employment
particulars which must include a note
about disciplinary rules and
procedures
4
.
In a small organisation, it may be
sufficient for rules to be displayed in
a prominent place. See Appendix 1
for a checklist ‘Disciplinary rules for
small organisations’.
Special attention should be paid to
ensure that rules are understood by
any employees without recent
experience of working life (for
instance young people or those
returning to work after a lengthy
break), and by employees whose
English or reading ability is limited or
who have a disability such as visual
impairment.

KEYS TO HANDLING DISCIPLINARY PROBLEMS IN THE WORKPLACE 13
2
Why have a disciplinary
procedure?
A disciplinary procedure is the means
by which rules are observed and
standards are maintained. The
procedure should be used primarily
to help and encourage employees to
improve rather than just as a way of
imposing punishment. It provides a
method of dealing with any apparent
shortcomings in conduct or
performance and can help an
employee to become effective again.