Develop and manage workplace rules

In developing and managing workplace rules you should:

1. Prepare the rules.
2. Present the rules.
3. Enforce the rules.
4. Reinforce the rules.

The majority of reasons do not call for punishment. They call for:

• Better: management/supervision/leadership.
• Communication, motivation, training, coaching, enforcement and leadership example.

When called upon to assist in developing rules that affect your people, use guidelines such as the following. 

• Apply the “principle of involvement”

“Meaningful involvement increases motivation and support.”  Find out what rules your workers think are needed.  Get their ideas and suggestions.  This creates ownership and authorship.   

• Keep rules to a minimum

Do not try to cover everything with rules.  Emphasise practices and conditions that could result in major loss.  Keep these four key questions in mind:

• Is there a real need?
• Does this rule meet the need?
• Is it practical?
• Is it enforceable?

The Principle of the Critical/Vital Few should be applied.  People are much more likely to comply with rules when they are important and few.  

• Apply the “KISS” principle

“Keep It Short and Simple.”  Avoid complicated details that make rules difficult to understand and remember.  People are much more likely to follow rules that are short, simple, clear, and understandable.  

• Keep rules as practical as possible

Consider that if compliance:

• Takes more time than non-compliance, people will tend to break the rule to save time.
• Requires more effort (work) than non-compliance, people will tend to break the rule to save the effort.
• Is less comfortable than non-compliance, people will tend to break the rule to avoid discomfort.  

People are much more likely to agree to rules based on patterned, normal human behaviour and accepted social standards.    

• Give reasons for rules

If there is no good reason for having the rule, there should be no rule; explain the reasons for the rule.  People are much more likely to comply with rules when they understand the reasons for them.   

• Review existing rules

Establish schedules and periodic reviews of all rules to assure current relevance.

Below are some practices you can use to stimulate good understanding and retention when covering rules with workers.  

• Employee distribution

See that each person has a copy of the rules for the organisation as a whole, and for his or her work area.  Ask people to get familiar with them and to note their questions and comments.  This prepares them for a good rules discussion with you.   

• “Show and Tell”

Present the rules using visual aids to increase attention, retention and understanding.  Demonstrate what the rule means and why it is important.  Use pertinent tools and equipment, pictures, slides, flip pads, transparencies and so on.  Ask employees to highlight or underline key words in their printed materials.  Use both sound and sight.  Help people to both hear and see what you mean.  

• Test Their Knowledge of Rules

Get feedback.  Find out how well they know the rules and the reasons for them.  Resist the temptation to assume that they understand what you have presented only once.  Give written and/or verbal tests and discuss the test results as a summary of your presentation.

Enforcement is an example of management control at work.  Positive enforcement is a function of:  

• Measuring performance.
• Evaluating compliance.
• Commending and correcting behaviours.

Equitable, consistent enforcement of rules encourages compliance.  This requires clear communication of the rules, the reasons and the related disciplinary policy and procedures.  It also requires good records, such as:

• A rule discussion record, preferably signed by the worker, to show that the rules were received, understood and discussed.
• Records showing which rules were discussed in group meetings, and when.
• Records of rules reviews and refresher course training.
• Records of individual violations and related disciplinary actions.
• Records of group or individual commendations for rule compliance.

You can reinforce the importance of rules, and gain greater compliance, by referring to them frequently in individual and group contacts.  Remind people of how important rules compliance is and why.  Commend consistent compliance publicly.  

You can reinforce rules using the following methods:  

• Group meeting discussions

A major rule can be an excellent topic for a short SHEQ meeting.  Examples of incidents caused by rule violations serve as excellent motivational material for helpful discussions.  

• Personal contact reminders

Rules should be emphasised and highlighted when giving proper task instruction or informal tips.  

• Displaying

General safety and health rules should be displayed in positions and places that reinforce their message and purpose.  Verbal reference to these postings is another way to reinforce their importance – and to stimulate compliance.  

• Contests and awards

A knowledge and understanding of specific rules can be the required preparation for award eligibility in promotion programs, awards and contests.  

• Formal reviews

All rules should be reviewed with all employees not less than once each year.

The question at the beginning of this section was  “How can I obtain and maintain employee compliance with rules and regulations?” Perhaps the most important answer is by the leadership model you demonstrate, the personal example you set for your people.  Occasionally, ask yourself the following questions:

• How often do I ignore rules violations?
• How often do I recognise people for their compliance with rules?
• How well do I follow rules myself?
• How well do my actions support what I say about rules?

People are much more likely to follow the rules when they have the best example to follow in their leader.