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.

1. www.advisian.com
Managing
Rule Breaking
Mark Cowan, Advisian
September 2016

2. 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

3. Situational rule violation
Lack 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

4. Optimising violations
It 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.

5. Exceptional violations
In 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.

6. 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.

7. Wolf in Sheep’s Clothing!
Wolves accept violation as a norm
– sheep do not
There are sheep in sheep’s clothing
There are wolves in wolf’s clothing
There are also sheep in wolf’s clothing
But 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’.

8. Human Error
Even 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

9. Sources of Human Error
Error Type Description Possible Causes Precondition
Slip
Unintended deviation from a
correct plan of action
Attention failure
Mistiming
Distraction from task
Preoccupation with other things
Lapse
Omission/repetition of a planned
action
Memory failure
Change in nature of task
Change in task environment
Mistake (rule-based)
Intended action inappropriate to
the circumstances
Sound rule applied in
inappropriate circumstances
Application of unsound rule
Failure to recognise correct area
of application
Failure to appreciate rule
deficiencies
Mistake (knowledge-
based)
Erroneous judgement in situation
not covered by rule
Insufficient knowledge or
experience – immaturity
Time/emotional pressures
Organisational deficiency
Inadequate 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
Piracy
Terrorism
Unstable societies
Breakdown of society

10. 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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