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ManagingRule Breaking

Mark Cowan, AdvisianSeptember 2016

Types of Rule Breaking

When people fail to follow rules and procedures they usually know what they should be doing. Although, there are some cases where people mistakenly violate rules because they failed to understand the rule or did not know it existed.

Energy Institute, Hearts and Minds, Managing Rule Breaking

Situational rule violationLack of resources and a failure to understand working conditions may at times result in rule violations.

Possible solutions would be:• Provision of adequate resources• Application of variance procedures• Development of realistic procedures

with those involved

Optimising violationsIt is sometimes possible to get the job done faster, more conveniently or have a thrill by not adhering to the rules.

Incentives, such as bonus for meeting targets or achieving personal goals, may encourage optimised violations.

Solutions could include making rules easier to follow, introduce rewritten rules and improve the organisational competencies.

Exceptional violationsIn new, difficult or dangerous situations there may not be any procedural guidance or experience. This kind of violation may be more frequent in jobs that require a greater deal of novel problem solving.

Solutions could include training for the unexpected and increased development of personal situational awareness skills.

Wolf in Sheep’s Clothing!

People can be characterised as Sheep and Wolves.

Wolves are opportunistic go-getters who feel in command and are not worried by cutting corners to get the job done.

Wolves make their own decisions as they see fit at the

time. Challenges for organisations come when they

assume the rules are being followed.

Sheep are the guardians of high standards and feel

uncomfortable when faced with demands to break the

rules to get work done. Sheep tend to follow the rules.

Wolf in Sheep’s Clothing!

Wolves accept violation as a norm – sheep do not There are sheep in sheep’s clothingThere are wolves in wolf’s clothingThere are also sheep in wolf’s clothingBut the largest group are wolves in sheep’s clothing - they haven’t violated… Yet !!

Wolves are essential but dangerous – it’s vital that organisations have an effective ‘Wolf Management System’.

Human ErrorEven in the best-run company with well established safety cultures, effective HSE management systems and all the appropriate built-in defences and controls, accidents happen.Accidents also happen to the most experienced of individuals.But why do we all make mistakes? As most of us already know: To error is human!

Correct intention/plan

Inconceived intention/plan

Slip or lapse

Human error inducing situations

Mistake or violation

Source of

harm

Undesirable consequence

Sources of Human ErrorError Type Description Possible Causes Precondition

Slip Unintended deviation from a correct plan of action

Attention failureMistiming

Distraction from taskPreoccupation with other things

Lapse Omission/repetition of a planned action Memory failure

Change in nature of taskChange in task environment

Mistake (rule-based)Intended action inappropriate to the circumstances

Sound rule applied in inappropriate circumstancesApplication of unsound rule

Failure to recognise correct area of applicationFailure to appreciate rule deficiencies

Mistake (knowledge-based)

Erroneous judgement in situation not covered by rule

Insufficient knowledge or experience – immaturityTime/emotional pressures

Organisational deficiencyInadequate training

Routine Violation Habitual deviation from required practice

Natural human tendency to take the path of least resistance

Indifferent environment (no penalties); no rewards for compliance

Exceptional Violation Ad hoc infringement of regulated practice

Wide variety – dictated by local conditions

Particular tasks or circumstances not planned for

Act of Sabotage Deliberate violation for malicious reasons

PiracyTerrorism

Unstable societiesBreakdown of society

Ways to reduce rule breaking • Improving procedural compliance is a natural

way to manage rule-breaking by ensuring the existing rules are correct, available at site and understandable especially in a multicultural setting

• Workforce involvement in writing and evaluating their own procedures

• Reduce the complexity of procedures and focus on areas of known control reliability

• Provide adequate resources to enable the rules to be followed

• Always remember procedures cause problems as well as solving them

• Ensure the adequacy of ‘checkpoints’’• Regularly review the progress on procedural

improvements to ensure the changes are working or ask your operators

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